Clark County Department of Environment and Sustainability
Title V Operating Permit Program Evaluation
Final Report
September 29, 2021
Conducted by the
U.S. Environmental Protection Agency
Region 9
75 Hawthorne Street
San Francisco, California 94105
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Table of Contents
Glossary of Acronyms and Abbreviations 7
Executive Summary 8
1. Introduction 11
Background 11
Title V Program Evaluation at the Clark County Department of Environment and Sustainabilityl2
The Clark County DES Description 13
Coordination with other State of Nevada Air Pollution Control Agencies 13
The Clark County DES Title V Program 14
The EPA's Findings and Recommendations 14
2. Permit Preparation and Content 15
2.1 Finding: The Clark County DES has a quality assurance process for reviewing draft versions of
permits before they are made available for review by the public and the EPA 15
2.2 Finding: The Clark County DES generally identifies and documents regulatory and policy
decisions in its technical support documents 15
2.3 Finding: The Clark County DES maintains template documents/patterns developed to provide
direction for several elements of permit writing and generally limits extensive quoting of regulatory
text 17
2.4 Finding: The Clark County DES staff generally have a clear understanding of, and the ability to
correctly implement, the various title V permit revision types or tracks pursuant to the Department
and federal regulations 18
2.5 Finding: Although the Clark County DES generally implements the appropriate type of title V
permit revision when changes are made, it does not consistently document the rationale/justification
for minor permit revisions in a clear and detailed manner 18
2.6 Finding: The Department generally incorporates applicable requirements into title V permits in
an enforceable manner 19
2.7 Finding: The Clark County DES generally references the regulatory authority, but sometimes
does not reference the origin for each applicable requirement in a title V permit. The Department
occasionally includes a permit shield for streamlined requirements, but the permit shield does not
always clearly document the subsumed underlying requirements 20
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2.8 Finding: The Clark County DES appears to correctly streamline permit requirements but does
not document the streamlining analysis in a clear or consistent manner 20
2.9 Finding: The Clark County DES generally includes sufficient recordkeeping requirements as
required by the NSPS and NESHAP regulations 21
3. Monitoring 23
3.1 Finding: The Clark County DES generally implements CAM requirements successfully.23
3.2 Finding: The Department's title V permits sometimes lack sufficient monitoring and
recordkeeping to ensure compliance with opacity standards 24
3.3 Finding: The Clark County DES maintains an internal guidance document for adding periodic
monitoring to title V permits 25
4. Public Participation and Affected State Review 26
4.1 Finding: The Clark County DES provides public notices of its draft title V permitting actions on
its website 26
4.2 Finding: The Clark County DES does not provide notification regarding the public's right to
petition the EPA Administrator to object to a title V permit 27
4.3 Finding: Clark County contains a significant number of linguistically isolated communities for
which the Clark County DES does not consistently provide translation services 28
4.4 Finding: The Clark County DES's general practice is to conduct a concurrent public and EPA
review. If comments are received during the 30-day public review period, the 45-day EPA review is
restarted and run sequentially to the public review period, not concurrently 28
4.5 Finding: The Clark County DES has a Small Business Assistance Program (SBAP) to help conduct
pre-application meetings with potential sources to help identify the potential permitting project scope
and regulatory requirements 29
5. Permit Issuance / Revision / Renewal 31
5.1 Finding: The Clark County DES does not have title V permit backlog and issues initial and renewal
permits in a timely manner 31
5.2 Finding: The Department allows sources to voluntarily limit their potential to emit to avoid title
V applicability, and generally writes synthetic minor limits that are enforceable as a practical matter.
31
5.3 Finding: The Clark County DES routinely submits proposed and final permit actions to the EPA.
33
6. Compliance
35
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6.1 Finding: The Department performs Full Compliance Evaluations (FCEs) of all title V sources on a
schedule consistent with its negotiated compliance monitoring strategy (CMS) 35
6.2 Finding: The Clark County DES's permitting and compliance managers communicate effectively
with each other and meet routinely to discuss programmatic issues 35
6.3 Finding: The Department reviews all title V deviation reports, annual compliance certifications,
and semiannual monitoring reports 36
6.4 Finding: The Department addresses potential compliance issues prior to permit issuance.
However, the Department's TSDs could be improved to describe compliance issues more clearly.
36
7. Resources and Internal Management 38
7.1 Finding: The Clark County DES permitting and compliance staff report that they receive effective
legal support from the County District Attorney's office 38
7.2 Finding: The Department tracks title V program expenses and revenue to ensure that funding
is sufficient to effectively implement the title V program and that funds are spent solely to support the
title V program 39
7.3 Finding: The Department staff report that supervisors and management are available for one-
on-one consultation on title V permitting issues 39
7.4 Finding: The Department provides training for its permitting and compliance staff.... 39
7.5 Finding: Permitting staff demonstrated a general lack of knowledge on environmental justice
(EJ) and would like the EPA to provide training on this issue 40
7.6 Finding: In response to the 2007 Evaluation, the Department is providing sufficient resources to
implement its title V permitting program effectively, has reduced staff turnover via compensation
changes, and has improved ladder and promotional opportunities to recruit and retain experienced
staff 40
7.7 Finding: The Clark County DES has taken several measures to maintain effective title V
permitting program implementation during the COVID-19 pandemic 41
8. Records Management 43
8.1 Finding: The Clark County DES has successfully converted all permitting hard copy files to
electronic files 43
8.2 Finding: The Clark County DES has a written file retention policy 43
8.3 Finding: The Clark County DES uses an electronic database to track title V permits effectively
and continues to make database improvements 43
Appendix A. Air Pollution Control Agencies in Nevada
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Appendix B. Title V Questionnaire and the Clark County DES Responses
Appendix C. U.S. EPA Statement of Basis Guidance
Appendix D. Map of Linguistically Isolated Households in the Clark County DES
Appendix E. Fee Information
Appendix F. 2021 State Review Framework
Appendix G. Clark County DES Record Retention Schedule
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Acknowledgments
EPA Region 9 acknowledges the cooperation of the staff and management of the Clark County
Department of Environment and Sustainability (DES). We appreciate their willingness to respond to
information requests and share their experiences regarding the implementation of the Clark County
DES's title V program under the Clean Air Act.
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Glossary of Acronyms and Abbreviations
Act
Clean Air Act [42 USC Section 7401 et seq.]
APTI
Air Pollution Training Institute
AQR
Air Quality Regulations
CAA
Clean Air Act [42 USC Section 7401 et seq.]
CAM
Compliance Assurance Monitoring
CARB
California Air Resources Board
CFR
Code of Federal Regulations
CMS
Compliance Monitoring Strategy
CROMERR
Cross-Media Electronic Reporting Rule
DAQ
Divison of Air Quality
DAQEM
Department of Air Quality and Environmental Management
DDA
Deputy District Attorney
Department
Clark County Department of Environment and Sustainability
DES
Department of Environment and Sustainability
EJ
Environmental Justice
EPA
U.S. Environmental Protection Agency
FCE
Full Compliance Evaluation
HOO
Hearing Officer Order
NDEP
Nevada Division of Environmental Protection
NESHAP
National Emission Standards for Hazardous Air Pollutants, 40 CFR Parts 61 & 63
NOV
Notice of Violation
NOx
Nitrogen Oxides
NRS
Nevada Revised Statutes
NSPS
New Source Performance Standards, 40 CFR Part 60
NSR
New Source Review
OIG
EPA Office of Inspector General
PCE
Partial Compliance Evaluation
PM
Particulate Matter
PMio
Particulate Matter less than 10 micrometers in diameter
PM2.5
Particulate Matter less than 2.5 micrometers in diameter
PSD
Prevention of Significant Deterioration
PTE
Potential to Emit
Region
U.S. Environmental Protection Agency Region 9
SA
Settlement Agreement
SIP
State Implementation Plan
S02
Sulfur Dioxide
SOP
Standard Operating Procedure
Team
EPA Region 9 Program Evaluation Team
TSD
Technical Support Document
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Executive Summary
In response to the recommendations of a 2002 Office of Inspector General (OIG) audit, the
Environmental Protection Agency (EPA or "we") re-examined the ways it can improve state and local
operating permit programs under title V of the Clean Air Act ("title V programs") and expedite permit
issuance. Specifically, the EPA developed an action plan for performing program evaluations of title V
programs for each air pollution control agency beginning in fiscal year 2003. The purpose of these
program evaluations is to identify good practices, document areas needing improvement, and learn
how the EPA can help the permitting agencies improve their performance.
The EPA's Region 9 (the "Region") oversees 47 air permitting authorities with title V programs in the
Pacific Southwest. Of these, 43 are state or local authorities approved pursuant to 40 CFR part 70 (35 in
California, three in Nevada, four in Arizona, and one in Hawaii), referred to as "Part 70" programs. The
terms "title V" and "Part 70" are used interchangeably in this report. The Region also oversees a
delegated title V permitting program in Navajo Nation under 40 CFR part 71 and title V programs in
Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands under40 CFR part
69, referred to, respectively, as "Part 71" and "Part 69" programs. Because of the significant number of
permitting authorities, the Region has committed to performing, on an annual basis, one
comprehensive title V program evaluation of a permitting authority with 20 or more title V sources.
This approach covers at least 85% of the title V sources within the Regional boundaries.
The Region initially conducted a title V program evaluation of the Clark County Department of
Environmental Sustainability ("Clark County DES" or "Department") in 2007 ("2007 Evaluation").1 This
is the second title V program evaluation the EPA has conducted for the Clark County DES. The EPA
Region 9 program evaluation team ("Team") for this evaluation consisted of the following EPA
personnel: Meredith Kurpius, Air and Radiation Division Assistant Director; Laura Yannayon, Acting
Manager of the Air Permits Office; Noah Smith, Attorney Advisor; Ken Israels, Program Evaluation
Advisor; Sheila Tsai, Program Evaluation Coordinator; Amber Batchelder, Clark County DES Oversight
Team Lead, Lisa Beckham, Clark County DES Oversight Team Member; Mario Zuniga, Program
Evaluation Team Member; Tina Su, Program Evaluation Team Member; and Catherine Valladolid,
Program Evaluation Team Member.
The program evaluation was conducted in four stages. During the first stage, the Region sent the Clark
County DES a questionnaire focusing on title V program implementation in preparation for the
interviews (see Appendix B, Title V Questionnaire and Clark County DES Responses). During the second
stage, the Team conducted an internal review of the EPA's own set of Clark County DES title V permit
files. The third stage of the program evaluation would typically include a site visit to the Clark County
DES office in Las Vegas, Nevada to conduct interviews of the Clark County DES staff and managers in
person. However, because of the COVID-19 pandemic, this part of the program evaluation was
conducted virtually through video conferencing. The virtual interviews took place March 8-11, 2021.
1 Clark County Department of Air Quality and Environmental Management; Title V Operating Permit Program Evaluation,
dated July 30, 2007. See https://www.epa.gov/sites/production/files/2015-07/documents/final-clark-title-5-eval-report-7-
30-07.pdf.
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Finally, the fourth stage involved follow-up and clarification of issues for completion of the draft
report.
The Region's 2021 title V program evaluation of the Clark County DES's Part 70 program and
implementation of the program concludes that the Clark County DES implements a generally effective
program. We specifically find that the Department generally identifies and documents regulatory and
policy decisions in its technical support documents (Findings 2.2); permitting and compliance sections
communicate effectively with each other (Finding 6.2); and in response to the EPA's 2007 Evaluation,
the Department is providing sufficient resources to implement its title V permitting program
effectively, has reduced staff turnover via compensation changes, and has improved ladder and
promotional opportunities to recruit and retain experienced staff (Finding 7.6). We have also identified
certain areas for improvement. Major findings from our report are listed below:
1. Finding: The Clark County DES staff generally have a clear understanding of, and the ability to
correctly implement, the various title V permit revision types or tracks pursuant to the
Department and federal regulations. (Finding 2.4)
2. Finding: Although the Clark County DES generally implements the appropriate type of title V
permit revision when changes are made, it does not consistently document the
rationale/justification for minor permit revisions in a clear and detailed manner. (Finding 2.5)
3. Finding: The Department generally incorporates applicable requirements into title V permits in
an enforceable manner. (Finding 2.6)
4. Finding: The Department's title V permits sometimes lack sufficient monitoring and
recordkeeping to ensure compliance with opacity standards. (Finding 3.2)
5. Finding: The Clark County DES does not provide notification regarding the public's right to
petition the EPA Administrator to object to a title V permit. (Finding 4.2)
6. Finding: Clark County contains a significant number of linguistically isolated communities for
which the Clark County DES does not consistently provide translation services. (Finding 4.3)
7. Finding: The Clark County DES does not have a title V permit backlog and issues initial and
renewal permits in a timely manner. (Finding 5.1)
8. Finding: The Department reviews all title V deviation reports, annual compliance certifications,
and semiannual monitoring reports. (Finding 6.3)
9. Finding: The Department tracks title V program expenses and revenue to ensure that funding is
sufficient to effectively implement the title V program and that funds are spent solely to
support the title V program. (Finding 7.2)
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10. Finding: The Clark County DES has taken several measures to maintain effective title V
permitting program implementation during the COVID-19 pandemic. (Finding 7.7)
Our report provides a series of findings (in addition to those listed above) and recommendations that
should be considered in addressing our findings. As part of the program evaluation process, the Clark
County DES has been given an opportunity to review these findings and consider our recommendations
on August 5, 2021, when we emailed an electronic copy of the draft report to the Clark County DESK
for comment. The EPA received no comments response from the Clark County DES on September 9,
2021. Having no comments, no changes were made to the final report.
To better communicate our recommendations and work together on the recommended
improvements, we request an initial kick-off meeting within 90 days of the Clark County DES' receipt of
the final report to discuss any need for a workplan. A workplan typically includes specific goals and
milestones that can be used to demonstrate progress. We commit to meet with the Clark County DES
regularly to discuss progress until both the Clark County DES and the EPA mutually agree the workplan
items are sufficiently complete.
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1. Introduction
Background
In 2000, the EPA's Office of Inspector General (OIG) initiated an evaluation on the progress that the
EPA and state and local agencies were making in issuing title V permits under the Clean Air Act (CAA or
the "Act"). The purpose of OIG's evaluation was to identify factors delaying the issuance of title V
permits by selected state and local agencies and to identify practices contributing to timely issuance of
permits by those same agencies.
After reviewing several selected state and local air pollution control agencies, the OIG issued a report
on the progress of title V permit issuance by the EPA and states.2 In the report, the OIG concluded that
the key factors affecting the issuance of title V permits included (1) a lack of resources, complex EPA
regulations, and conflicting priorities contributed to permit delays; (2) EPA oversight and technical
assistance had little impact on issuing title V permits; and (3) state agency management support for the
title V program, state agency and industry partnering, and permit writer site visits to facilities
contributed to the progress that agencies made in issuing title V operating permits.
The OIG's report provided several recommendations for the EPA to improve title V programs and
increase the issuance of title V permits. In response to the OIG's recommendations, the EPA made a
commitment in July 2002 to carry out comprehensive title V program evaluations nationwide. The
goals of these evaluations are to identify where the EPA's oversight role can be improved, where air
pollution control agencies are taking unique approaches that may benefit other agencies, and where
local programs need improvement. The EPA's effort to perform title V program evaluations for each air
pollution control agency began in fiscal year 2003.
On October 20, 2014, the OIG issued a report, "Enhanced EPA Oversight Needed to Address Risks From
Declining Clean Air Act Title V Revenues," that recommended, in part, that the EPA: establish a fee
oversight strategy to ensure consistent and timely actions to identify and address violations of 40 CFR
part 70; emphasize and require periodic reviews of title V fee revenue and accounting practices in title
V program evaluations; and pursue corrective actions, as necessary.3
The Region oversees 47 air permitting authorities with title V programs in the Pacific Southwest. Of
these, 43 are state or local authorities approved pursuant to 40 CFR part 70 (35 in California, three in
Nevada, four in Arizona, and one in Hawaii), referred to as "Part 70" programs. The terms "title V' and
"Part 70" are used interchangeably in this report. The Region also oversees a delegated title V
2 See Report No. 2002-P-00008, Office of Inspector General Evaluation Report, "EPA and State Progress In Issuing title V
Permits", dated March 29, 2002, which can be found on the internet at https://www.epa.gov/sites/production/files/2015-
12/documents/titlev.pdf.
3 See Report No. 15-P-0006, Office of Inspector General Evaluation Report, "Enhanced EPA Oversight Needed to Address
Risks From Declining Clean Air Act Title V Revenues", dated October 20, 2014, which can be found on the internet at
https://www.epa.gov/sites/production/files/2015-09/documents/20141020-15-p-00Q6.pdf.
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permitting program in Navajo Nation under 40 CFR part 71 and title V programs in Guam, American
Samoa, and the Commonwealth of the Northern Mariana Islands under 40 CFR part 69, referred to,
respectively, as "Part 71" and "Part 69" programs. Because of the significant number of permitting
authorities, the Region has committed to performing, on an annual basis, one comprehensive title V
program evaluation of a permitting authority with 20 or more title V sources. This approach covers at
least 85% of the title V sources within the Regional boundaries.
Title V Program Evaluation at the Clark County Department of Environment and Sustainability
This is the second title V program evaluation the EPA has conducted for the Clark County DES. The first
title V program evaluation was conducted in 2007. Thus, this evaluation is a follow-up to Clark County
DES's 2007 Evaluation. The EPA Region 9 program evaluation team ("Team") for this evaluation
consisted of the following EPA personnel: Meredith Kurpius, Air and Radiation Division Assistant
Director; Laura Yannayon, Acting Manager of the Air Permits Office; Ken Israels, Program Evaluation
Advisor; Sheila Tsai, Program Evaluation Coordinator; Amber Batchelder, Clark County DES Oversight
Team Lead, Lisa Beckham, Clark County DES Oversight Team Member; Mario Zuniga, Program
Evaluation Team Member; Tina Su, Program Evaluation Team Member; and Catherine Valladolid,
Program Evaluation Team Member.
The objectives of the evaluation were to assess how the Clark County DES implements its title V
permitting program, evaluate the overall effectiveness of the Clark County DES's title V program,
identify areas of the Clark County DES's title V program that need improvement, identify areas where
the EPA's oversight role can be improved, and highlight the unique and innovative aspects of the Clark
County DES's program that may be beneficial to transfer to other permitting authorities. The program
evaluation was conducted in four stages. In the first stage, the EPA sent the Clark County DES a
questionnaire focusing on title V program implementation in preparation for the interviews. (See
Appendix B, Title V Questionnaire and Clark County DES Responses.) The Title V Questionnaire was
developed by the EPA nationally and covers the following program areas: (1) Title V Permit Preparation
and Content; (2) General Permits; (3) Monitoring; (4) Public Participation and Affected State Review;
(5) Permit Issuance/Revision/Renewal Processes; (6) Compliance; (7) Resources & Internal
Management Support; and (8) Title V Benefits.
During the second stage of the program evaluation, the Region conducted an internal review of the
EPA's Clark County DES title V permit files. The Clark County DES submits title V permits to the Region
in accordance with its EPA-approved title V program and the part 70 regulations.
The third stage of the program evaluation would typically include a site visit to the Clark County DES
office in Las Vegas, Nevada to conduct interviews of the Clark County DES staff and managers in
person. However, because of the COVID-19 pandemic, this part of the program evaluation was
conducted virtually through video conferencing. The purpose of the interviews was to confirm the
responses in the completed questionnaire and to ask clarifying questions. The virtual interviews took
place March 8-11, 2021.
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The fourth stage of the program evaluation was follow-up and clarification of issues for completion of
the draft report. The Region compiled and summarized interview notes and asked follow-up questions
to clarify the Region's understanding of various aspects of the Clark County DES's title V program.
The Clark County DES Description
The Clark County Department of Environment and Sustainability (DES) is the air pollution control
agency, regional Endangered Species Act compliance program, and sustainability office for all of Clark
County, Nevada.4 Established as the Department of Air Quality and Environmental Management under
the provisions of the Nevada Revised Statutes (NRS)5 and by the Clark County Commission in 2001, it
was renamed in 2020 and is comprised of three divisions: Air Quality, Desert Conservation Program
and Office of Sustainability. The Clark County DES's mission is to ensure the air meets healthful,
regulatory standards, administer Clark County's Multiple Species Habitat Conservation Plan, and
address climate change. 6 The Air Quality Division is organized into four sections: Permitting, Planning,
Compliance and Enforcement, and Monitoring. The Clark County DES's office is located in Las Vegas,
Nevada.
Stationary source air permits, including title V permits, are issued through the County's Permitting
Section. Compliance and enforcement activities, such as source inspections, source testing, and
preparing enforcement cases are handled by the Compliance and Enforcement Section. The Planning
Section is responsible for preparing studies and plans to show how Clark County will comply with the
national ambient air quality standards. It also compiles and maintains the emissions inventory and
conducts emissions modeling. The Monitoring Section is responsible for maintaining and operating the
ambient monitoring network and informing the public about current air conditions.
Coordination with other State of Nevada Air Pollution Control Agencies
The Nevada Division of Environmental Protection (NDEP) is responsible for submitting the State
Implementation Plan (SIP) for all of Nevada to the EPA. Local air quality permitting authorities within
the State of Nevada are Clark County and Washoe County. The three permitting authorities operate
independently of each other. The Nevada Revised Statutes, Title 40, Chapter 445B, Air Pollution,
designate the district board of health, county board of health, or board of county commissioners as the
air pollution control agency of a county to establish and administer a program for the control of air
pollution in that county. This includes the control of air pollution from sources operating pursuant to
Title V of the Act.
4 https://www.clarkcountvnv.gov/government/departments/environment and sustainabilitv/about us.php
5 See NRS 445B.500: https://www.leg.state.nv.us/nrs/nrs-445b.html#NRS445BSec500
6 https://www.clarkcountynv.gov/government/departments/environment and sustainabilitv/about us.php
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The Clark County DES Title V Program
The EPA granted the Clark County DES's title V program interim approval effective August 14, 1995, full
approval effective November 30, 2001, and program revisions effective October 1, 2004.7 On July 25,
2001, the Clark County Board of County Commissioners assumed control of the Air Quality Division,
creating the Clark County Air Quality Management Board as the governing agency for air quality
programs and regulations. Subsequently, a new department, the Department of Air Quality and
Environmental Management (DAQEM), was formed, and the Clark County Board of County
Commissioners delegated authority to the DAQEM to implement and enforce the air quality programs
and regulations. The DAQEM was renamed to the Department of Environment and Sustainability in
2020.
Part 70, the federal regulation that contains the title V program requirements for states, requires that
a permitting authority take final action on each permit application within 18 months after receipt of a
complete permit application. The only exception is that a permitting authority must take action on an
application for a minor modification within 90 days of receipt of a complete permit application.8 The
Clark County DES's local rules regarding title V permit issuance contain the same timeframes as Part
70.9
Currently, there are 29 sources in the Clark County DES jurisdiction that are subject to the title V permit
program. Unlike the conclusion from our 2007 Evaluation, the Department now has sufficient
permitting resources,10 and processes title V permit applications in a timely manner. The Clark County
DES currently does not have a title V permit backlog.11
The EPA's Findings and Recommendations
The following sections include a brief introduction, and a series of findings, discussions, and
recommendations. The findings are grouped in the order of the program areas as they appear in the
Title V Questionnaire.
The findings and recommendations in this report are based on the Department's responses to the Title
V Questionnaire, the EPA's internal file reviews, virtual interviews conducted during March 8-11, 2021,
and follow-up emails and phone calls made after the interviews.
7 60 FR 36070 (July 13,1995), 66 FR 63188 (December 5, 2001), and 69 FR 46106 (August 2, 2004), respectively. See also
Appendix A to 40 CFR part 70.
8 See 40 CFR 70.7(a)(2) and 70.7(e)(2)(iv).
9 See Clark County DES Air Quality Regulations (AQR) Section 12.5.
10 See Section 7 of this report.
11 See Finding 5.1 of this report.
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2. Permit Preparation and Content
The purpose of this section is to evaluate the permitting authority's procedures for preparing title V
permits. Part 70 outlines the necessary elements of a title V permit application under 40 CFR 70.5, and
it specifies the requirements that must be included in each title V permit under 40 CFR 70.6. Title V
permits must address all applicable requirements, as well as necessary testing, monitoring,
recordkeeping, and reporting requirements sufficient to ensure compliance with the terms and
conditions of the permit.
2.1 Finding: The Clark County DES has a quality assurance process for reviewing draft versions of
permits before they are made available for review by the public and the EPA.
Discussion: Interviewees were consistent in their description of the Clark County DES's quality
assurance process for reviewing title V permits. The Clark County DES has developed processes
and templates (the Department also refers to them as "patterns") to help ensure consistency
from permit to permit. Upon completion by the permit engineer, the draft permit package is
typically reviewed by a senior engineer, compliance inspector, and permitting supervisor. After
the internal review is complete, it goes to the permittee for review and comment. The draft
permit package is then reviewed by the permit manager before going through the
administrative staff review and public participation process. These multiple rounds of review
result in improved drafts that staff, supervisors, and managers feel are of high quality and that
compliance staff find enforceable during inspections.
Recommendation: The EPA commends the Clark County DES for the thoroughness of its
internal review process and encourages the Department to continue this beneficial practice.
2.2 Finding: The Clark County DES generally identifies and documents regulatory and policy
decisions in its technical support documents.
Discussion: Both 40 CFR part 70.7(a)(5) and the Clark County DES's EPA-approved title V
program require the Department to provide "a statement that sets forth the legal and factual
basis for the draft permit conditions." The purpose of this requirement is to provide the public
and the EPA with the Department's rationale on applicability determinations and technical
issues supporting the issuance of proposed title V permits. A statement of basis, or as the
Department refers to them, technical support document (TSD), documents the regulatory and
policy issues applicable to the source and is an essential tool for conducting meaningful permit
review.
The EPA has issued guidance on the required content of statements of basis on several
occasions, most recently in 2014.12 This guidance has consistently explained the need for
12 Memorandum from Stephen D. Page, Director of the Office of Air Qualtiy Planning and Standards, "Implementation
Guidance on Annual Compliance Certification Reporting and Statement of Basis Requirements for Title V Permits," April 30,
2014. https://www.epa.gov/sites/production/files/2015-08/documents/2014043Q.pdf
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permitting authorities to develop statements of basis with sufficient detail to document their
decisions in the permitting process. The EPA provided an overview of this guidance in a 2006
title V petition order, In the Matter of Onyx Environmental Services, Order on Petition No. V-
2005-1 (February 1, 2006) (Onyx Order). In the Onyx Order, in the context of a general overview
statement on the statement of basis, the EPA explained:
A statement of basis must describe the origin or basis of each permit condition or
exemption. However, it is more than just a short form of the permit. It should highlight
elements that U.S. EPA and the public would find important to review. Rather than
restating the permit, it should list anything that deviates from simply a straight
recitation of applicable requirements. The statement of basis should highlight items such
as the permit shield, streamlined conditions, or any monitoring that is required under 40
C.F.R. § 70.6(a)(3)(i)(B). Thus, it should include a discussion of the decision-making that
went into the development of the title V permit and provide the permitting authority, the
public, and U.S. EPA a record of the applicability and technical issues surrounding the
issuance of the permit. (Footnotes omitted.) See, e.g., In RePort Hudson Operations,
Georgia Pacific, Petition No. 6-03-01, at pages 37-40 (May 9, 2003) ("Georgia Pacific");
In Re Doe Run Company Buick Mill and Mine, Petition No. VII-1999-001, at pages 24-25
(July 31, 2002) ("Doe Run"); In Re Fort James Camas Mill, Petition No. X-1999-1, at page
8 (December 22, 2000) ("Ft. James").
Onyx Order at 13-14. Appendix C of this report contains a summary of the EPA guidance to date
on the suggested elements to be included in a statement of basis.
The Department generally identifies and lists applicable regulatory requirements in the
Regulatory Review section in its TSDs. Not only is each of the listed standards evaluated for
applicability, but it also generally stated why the standard applies to the source.
The Department's TSDs consistently contain a record of what changes are being made to
permits and generally provide a clear basis for the Department's determination of New Source
Performance Standards (NSPS) or National Emission Standards for Hazardous Air Pollutants
(NESHAP) applicability. However, the Department could improve its consistency in providing
the basis for its permitting decisions. In a few instances, the basis for the Department's
determination of applicability is not detailed and clear, or does not explain why some
potentially applicable regulations are not applicable.13 Furthermore, a couple of TSDs reviewed
mention a relaxation of permit conditions without an explanation of the basis or any
justification.14
Recommendation: The EPA commends the Clark County DES for its efforts in producing
detailed TSDs that clearly state why the permitted source is subject to a standard. To improve,
13 For example: 40 CFR part 60, subpart Nil could potentially apply to Aquatic Co, Source ID: 75, but its TSD does not
mention this standard or why it does not apply.
14 We reviewed a couple TSDs that mentioned the changes to testing intervals and removal of operational limits that did not
include the Department's analysis of the requests.
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the EPA recommends the Department to also include analysis of potentially applicable
regulations to document why they are not applicable and improve the explanation for the
Department's permitting decisions in some areas. Also, the Department may consider including
a redline/strikethrough version of the permit revisions as part of the permit record provided
during the public participation process to facilitate permit review.
2.3 Finding: The Clark County DES maintains template documents/patterns developed to provide
direction for several elements of permit writing and generally limits extensive quoting of
regulatory text.
Discussion: The Clark County DES uses templates for developing permits and TSDs to ensure
consistency. The Department also develops patterns for specific source categories to ensure
consistency between similar sources, including additional instruction throughout the pattern
documents.
The Clark County DES's title V TSDs generally include the following sections: Source
Information, Emissions Information, Regulatory Review, Compliance, Emission Reduction
Credits (Offsets), Modeling, Administrative Requirements, and Attachments. During interviews,
staff were generally satisfied with the permits and TSDs, including the readability, length, and
decisions documented.
In the 2007 Evaluation, the EPA recommended the Clark County DES to reduce the length of its
TSDs by removing extensive quotes from regulations when discussing applicable
requirements.15 During the file review, the EPA found that the Clark County DES has generally
reduced the quantity and length of regulatory quotes found in its TSDs, but some TSDs still had
extensive regulatory quotes. We also noticed the potential to emit (PTE) threshold tables are
not consistently implemented across different TSDs, though this may be a result of recent
changes to pattern documents.16 For clarity, it would be beneficial if thresholds continue to be
included in tabular form and paired with a written explanation of their importance.
Recommendation: We commend the Clark County DES for making the TSDs more user-friendly
and encourage the Clark County DES to continue to implement the practice of developing and
enhancing templates for permitting documents. Additionally, we encourage the Clark County
DES to continue improving its TSDs by limiting the use of regulatory quotes to nuanced
scenarios that may require written analysis. To avoid quoting extensively from regulations, the
Department can also provide regulatory citations when a particular issue is discussed. The TSDs
could be further improved by including language that explains the significance of a source
having a PTE above tabulated thresholds, e.g. "The source emissions exceed the title V
threshold for pollutant X. Therefore, it is subject to the requirements of the title V program."
15 2007 Evaluation, Finding 2.3.
16 For example, in some TSDs, source PTE tables, title V major source threshold, the New Source Review (NSR) major source
threshold, Significance Threshold (from Clark County AQR 12.5.1), and the nonattainment NSR threshold are included.
However, other TSDs only include the PTE, or the PTE with the title V threshold.
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2.4 Finding: The Clark County DES staff generally have a clear understanding of, and the ability to
correctly implement, the various title V permit revision types or tracks pursuant to the
Department and federal regulations.
Discussion: In our 2007 Evaluation, the EPA recommended that the Clark County DES develop a
guidance document regarding permit modification requirements.17 The Clark County DES
reported that the Department developed written guidance for processing off-permit changes
(i.e. Prior Notifications) and that the Clark County Air Quality Regulations (AQR) were written to
include criteria specifying what type of permitting action should be used to make certain
changes.
The Clark County DES can easily produce records for all permit revisions, including
administrative, off-permit changes, and minor permit revisions through their file system. Based
on our file review of various title V permit actions, the Clark County DES's understanding of the
criteria for classifying title V revisions provides consistent processing of title V permit changes.
However, we observed that the Clark County DES does not consistently document its rationale
and justification for minor permit revisions in the TSD as part of the permit action record. See
Finding 2.5 below.
Recommendation: The Clark County DES should continue to ensure permitting staff accurately
categorize title V permit actions and document the rationale and justification for the type of
title V permit revision required.
2.5 Finding: Although the Clark County DES generally implements the appropriate type of title V
permit revision when changes are made, it does not consistently document the
rationale/justification for minor permit revisions in a clear and detailed manner.
Discussion: Based on the EPA's file review, the Clark County DES correctly determines when a
minor permit revision is appropriate for a requested change. The Department then uses the
TSD to describe the rationale and justification for minor permit revisions; however, the
rationale is generally not presented consistently or clearly. Federal regulations have specific
criteria for a permit revision to qualify as minor.18 The Department's TSDs for minor permit
revisions could be strengthened by explicitly describing, in a detailed manner, how a permit
revision meets each of the minor revision criterion.
As part of the demonstration that the revisions meet the minor criteria, the Department
includes in its TSDs an "Emissions Increase Summary" table that includes the Source's
established PTE and the Source's new PTE. In some instances, the "Significant Thresholds" from
Clark County AQR Section 12.5.1 are included. It is not clear what this threshold represents as,
while it is defined in Clark County AQR Section 12.5.1, the rule does not explain how this
17 See 2007 Evaluation, Finding 5.2.
18 See 40 CFR 70.7(e)(2)(i).
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"Significant Threshold" fits into the part 70 operating permit requirements, or if and how it
impacts the minor title V permit modification applicability (see also Finding 2.4). To clearly
demonstrate that the modifications meet minor permit revision criteria or whether other
potentially applicable requirements are triggered, the Department should consistently include
the change in PTE, the major NSR significance threshold (40 CFR 52.21(b)(23)(i)), and a
statement of how the minor permit modification criteria is met because the major NSR
significant threshold is not exceeded.
Recommendation: The EPA encourages the Department to consistently provide a detailed
rationale in its TSDs of why the minor permit modification criteria are met.19
2.6 Finding: The Department generally incorporates applicable requirements into title V permits in
an enforceable manner.
Discussion: A primary objective of the title V program is to provide each major source with a
single permit that describes how a source may ensure compliance with all applicable CAA
requirements. To accomplish this objective, permitting authorities must incorporate applicable
requirements in sufficient detail such that the public, source owners and operators, and
regulating agencies can clearly understand which requirements apply to the source. These
requirements include emissions limits, operating limits, work practice standards, and
monitoring, recordkeeping, and reporting provisions that must be enforceable as a practical
matter.
Based on our review of the Department's title V permits, the permitting staff generally
incorporate applicable requirements from the Department's SIP-approved rules as well as the
federal regulations with the appropriate level of detail to enable the Department and the
source to ensure compliance.20 The title V permits issued by the Department consistently
include a section titled "Emissions Units and Applicable Requirements." Generally, this section
contains a list of the emissions units as well as all applicable limits, standards, and emissions
controls. This section also includes the applicable monitoring, testing, recordkeeping and
reporting requirements. This consistent permit structure helps permit reviewers and
compliance staff locate permit conditions and content more easily.
Based on the interviews and information included in TSDs, the EPA noted compliance staff
review the title V permits for enforceability during source inspections and will, if necessary,
request that title V permits be revised to address any identified deficiencies. This practice
generally improves the quality of the permits and further ensures the title V permits issued by
19 The rationale could be further strengthened by including the minor NSR Significance Threshold from Clark County AQR
Section 12.5.1 in the Emissions Increase Summary table for all minor permit modifications and describing what the
threshold represents.
20 During the file review process, the EPA noticed the Department's opacity monitoring conditions could be improved.
Please see Finding 3.2 for details.
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the Clark County DES are enforceable as a practical matter. The EPA commends the Clark
County DES for this internal feedback process and encourages the Department to continue this
practice.
Recommendation: The Clark County DES should continue its good practice of incorporating
applicable requirements in sufficient detail to ensure that permit conditions are practically
enforceable. The EPA commends the Department's cooperation between the Compliance and
Enforcement Section and the Permitting Section to improve the quality of the title V permits.
2.7 Finding: The Clark County DES generally references the regulatory authority, but sometimes
does not reference the origin for each applicable requirement in a title V permit. The
Department occasionally includes a permit shield for streamlined requirements, but the permit
shield does not always clearly document the subsumed underlying requirements.
Discussion: Each title V permit is required to specify and reference the origin and authority for
each term or condition and identify any difference in form as compared to the applicable
requirement upon which the term or condition is based.21 Based on the EPA's review of the
Department's permits, the Clark County DES typically references the regulatory authority for
each applicable requirement. However, during our file review, the EPA discovered several
instances where the Clark County DES only referenced the authority for the permit condition
and did not include a citation to the origin of the applicable requirement (e.g. the initial NSR
permit condition).
The majority of permits we reviewed do not include a permit shield. However, some permits
that include a permit shield summary do not discuss how the specific permit conditions ensure
compliance with the subsumed requirements. The practice of including a permit shield further
highlights the importance of referencing the appropriate regulations that are the basis for the
condition, as each permit shield must include a reference to the underlying applicable
regulation(s) to which the permit shield applies.
Recommendation: The EPA recommends that the Department include an additional citation for
the origin of each permit condition if it differs from the regulatory authority.
2.8 Finding: The Clark County DES appears to correctly streamline permit requirements but does
not document the streamlining analysis in a clear or consistent manner.
Discussion: The Clark County DES's title V permits sometimes contain streamlined emissions
limits in which one or more emissions limits are subsumed under the most stringent limit that
applies to an emissions unit. For example, emissions limits from the NSPS and the more
21 See 40 CFR 70.6(a)(l)(i).
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stringent NSR requirements are sometimes streamlined into a single limit. This practice can be
appropriate but should be documented with a side-by-side comparison of the emissions limits
and associated monitoring and recordkeeping requirements in the TSD.22 The Clark County DES
does not typically include such an analysis in its TSDs.
When streamlining multiple applicable requirements, the TSD generally states that the permit
limit is more stringent than the streamlined requirements. However, the streamlining analysis
does not always clearly document that this statement is true. For example, because the two
emissions limits are not directly comparable, it is not immediately clear when a concentration-
based emissions limit has been determined to be more stringent than a mass-based emissions
limit.23
Recommendation: The Department should continue its good practice of creating clear and
concise title V permits. However, the EPA recommends the Department include more detailed
information in the streamlining analysis to demonstrate how the streamlined permit
requirement is at least as stringent as the subsumed requirement.
2.9 Finding: The Clark County DES generally includes sufficient recordkeeping requirements as
required by the NSPSand NESHAP regulations.
Discussion: During the EPA's review, we found the Clark County DES generally includes
sufficient recordkeeping requirements as required by the NSPS and NESHAP regulations. A
specific and prevalent exception pertains to recordkeeping for determining compliance with
diesel fuel standards in NSPS Subpart Nil and NESHAP Subpart ZZZZ. The Clark County DES
generally does not include a recordkeeping requirement in its title V permit to ensure sources
only purchase EPA-compliant diesel fuel as required by these standards. Maintaining fuel
purchase records is a standard practice to ensure non-compliant fuels are not entering the
market.24
Recommendation: The EPA commends the Clark County DES for including sufficient
recordkeeping requirements as required by the NSPS and NESHAP regulations. When
22 See EPA's March 5,1996 guidance memorandum, "White Paper Number 2 for Improved Implementation of The Part 70
Operating Permit Program" (see Appendix C) for additional information.
23 To determine whether a concentration-based limit or mass-based limit is more stringent the permitting authority must
consider the full operating range of the emissions unit and not just the maximum operating rate. When a concentration-
based limit (e.g., parts per million by volume) is converted to a mass emissions rate (e.g., pounds per hour) the equivalent
mass emissions rate will vary at varying operating loads. That is, at lower operating loads a concentration-based limit will be
equivalent to a lower mass emissions rate than at the maximum operating rate. This difference must be accounted for
when concluding that a mass-based emissions limit is more stringent than a concentration-based limit.
24 Records that EPA-compliant diesel fuel was purchased ensures that the fuel meets the sulfur content, cetane index, or
aromatic content of 40 CFR 80.510, as required by NSPS Mil and NESHAP ZZZZ.
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applicable, the Department should update their title V permits to require records that EPA-
compliant diesel fuel has been purchased.
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3. Monitoring
The purpose of this section is to evaluate the permitting authority's procedures for meeting title V
monitoring requirements. Part 70 requires title V permits to include monitoring and related
recordkeeping and reporting requirements. See 40 CFR 70.6(a)(3). Each permit must contain
monitoring and analytical procedures or test methods as required by applicable monitoring and testing
requirements. Where the applicable requirement itself does not require periodic testing or monitoring,
the permitting authority must supplement the permit with periodic monitoring sufficient to yield
reliable data from the relevant time period that is representative of the source's compliance with the
permit. As necessary, permitting authorities must also include in title V permits requirements
concerning the use, maintenance, and, where appropriate, installation of monitoring equipment or
methods.
Title V permits must also contain recordkeeping for required monitoring and require that each title V
source record all required monitoring data and support information and retain such records for a
period of at least five years from the date the monitoring sample, measurement, report, or application
was made. With respect to reporting, permits must include all applicable reporting requirements and
require (1) submittal of reports of any required monitoring at least every six months and (2) prompt
reporting of any deviations from permit requirements. All required reports must be certified by a
responsible official consistent with the requirements of 40 CFR 70.5(d).
In addition to periodic monitoring, permitting authorities are required to evaluate the applicability of
Compliance Assurance Monitoring (CAM), and include CAM provisions and a CAM plan into a title V
permit when applicable. CAM applicability determinations are required either at permit renewal, or
upon the submittal of an application for a significant title V permit modification. CAM regulations
require a source to develop parametric monitoring for certain emissions units with control devices,
which may be required in addition to any periodic monitoring, to assure compliance with applicable
requirements.
3.1 Finding: The Clark County DES generally implements CAM requirements successfully.
Discussion: CAM regulations, codified in 40 CFR Part 64, apply to title V sources with large
emissions units that rely on add-on control devices to comply with applicable requirements.
The underlying principle, as stated in the preamble to our 1997 rulemaking, is "to assure that
the control measures, once installed or otherwise employed, are properly operated and
maintained so that they do not deteriorate to the point where the owner or operator fails to
remain in compliance with applicable requirements".25 Per CAM regulations, sources are
responsible for proposing a CAM plan to the permitting authority that provides a reasonable
assurance of compliance to provide a basis for certifying compliance with applicable
requirements for pollutant-specific emissions units with add-on control devices.
25 62 FR 54902, October 22, 1997.
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The Department generally implements CAM requirements in the title V permits successfully and
in sufficient detail to satisfy the requirements of 40 CFR Part 64. In our review of the
Department's permits we found that when CAM applies, the Department generally explains
CAM applicability correctly and adds appropriate monitoring conditions to title V permits for
sources subject to CAM. The EPA commends the Department for this effort. During our
interviews, we found that some permitting staff do not have experience working on CAM plans.
Additionally, CAM is not a standard section of the Department's TSDs and we found examples
where CAM was not discussed in a permit renewal or significant modification action. CAM
applicability can evolve over time as a source makes changes, and thus its applicability should
be verified to ensure compliance. Furthermore, the EPA's review discovered a source subject to
CAM requirements, as stated in its TSD, where the title V permit lacks a CAM plan.
Recommendation: The Clark County DES should continue to implement CAM requirements as it
processes permit renewals and significant modifications, and ensure CAM applicability is
consistently reviewed and discussed in TSDs. The EPA recommends that the Clark County DES
update their TSD templates to include a standard section regarding CAM applicability.
Additionally, CAM training may be needed for some staff.
3.2 Finding: The Department's title V permits sometimes lack sufficient monitoring and
recordkeeping to ensure compliance with opacity standards.
Discussion: The Department's permits typically require sources to conduct visible emissions
surveys of stack or fugitive emissions on a regular basis (daily, weekly, monthly). Generally,
Method 9 opacity observations are also required for stack emissions on a regular basis
(monthly, quarterly, annually) and can be triggered if opacity is detected during the more
frequent visible emissions surveys. For baghouses, the Clark County DES also requires pressure
drop monitoring and regular visual inspections of the baghouse interior.
During the previous program evaluation, the EPA found that the Clark County DES's title V
permits generally contained appropriate opacity monitoring provisions, but the corresponding
recordkeeping provisions were insufficiently detailed.26 In our current review of the
Department's opacity monitoring permit conditions, we noted that several permits require
Method 9 observations if emissions "appear" to exceed the standard. Additionally, some
permits include the requirement to have a certified visible emissions observer conduct a
Method 9 observation, "if practical". This type of discretionary language is generally not
practicably enforceable. We recommend the Department update its standard monitoring and
recordkeeping conditions to ensure opacity limits are enforceable as a practical matter.27
26 See 2007 Evaluation, Finding 3.2.
27 Additionally, more detailed recordkeeping requirements would improve the enforceability of the opacity standards, such
as documenting the following for each observation: the emissions unit ID number, whether or not the emissions unit was
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Additionally, the EPA noted that some of the preventive maintenance requirements for
baghouses require the Permittee to have a Standard Operating Procedures (SOP) manual, but
do not explicitly require the Permittee to follow the manual. These conditions could be
improved by specifying that the Permittee follow the procedures specified in the SOP manual or
listing the specific requirements in the permit. During interviews, staff expressed interest in
adding additional details to the Department's baghouse preventive maintenance provisions to
improve enforceability.
Recommendation: The Clark County DES should continue to develop consistent, detailed, and
practicably enforceable monitoring and recordkeeping permit conditions to accompany all
opacity standards.
3.3 Finding: The Clark County DES maintains an internal guidance document for adding periodic
monitoring to title V permits.
Discussion: Since the last program evaluation, the Clark County DES has developed internal
guidances, patterns and templates to provide uniform guidance for permit writers in the
preparation of permits requiring performance testing. Some of these guidance documents
derive from teamwork between the Department's Permitting Section and the Department's
Compliance and Enforcement Section. The EPA was provided a copy of various internal
guidance and template documents during the file review step of this program evaluation. The
Clark County DES staff interviewed by EPA are aware of the guidance documents and appear to
understand and use them on a regular basis. Staff also noted they understood the documents
are a work in progress and may be updated and/or revised.
Recommendation: The Clark County DES should continue to develop, use, and maintain
internal guidance documents to provide uniform guidance for permit writers to add periodic
monitoring to title V permits.
operating at the time of the observation, whether visible emissions were detected, and if so, whether they were observed
continuously or intermittently, the results of each Method 9 observation, the reason a Method 9 observation was triggered,
or, if a Method 9 observation could not be performed, the reason it was not performed and when it will be attempted
again. We suggest the use of a standard form to document this information.
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4. Public Participation and Affected State Review
This section examines the Clark County DES procedures used to meet public participation requirements
for title V permit issuance. The federal title V public participation requirements are found in 40 CFR
70.7(h). Title V public participation procedures apply to initial permit issuance, significant permit
modifications, and permit renewals. The Clark County DES public participation procedures must
provide for public notice including an opportunity for public comment and public hearing on the draft
initial permit, permit modification, or permit renewal. Draft permit actions must be noticed in a
newspaper of general circulation or a state publication designed to give general public notice; sent to
affected states; sent to persons on a mailing list developed by the permitting authority; sent to those
persons that have requested in writing to be on the mailing list; and provided by other means as
necessary to assure adequate notice to the affected public.
The public notice must, at a minimum: identify the affected source; the name and address of the
permitting authority processing the permit; the activity or activities involved in the permit action; the
emissions change involved in any permit modification; the name, address, and telephone number of a
person from whom interested persons may obtain additional information, including copies of the draft
permit, the application, all relevant supporting materials, and all other materials available to the
permitting authority that are relevant to the permit decision; a brief description of the required
comment procedures; and the time and place of any hearing that may be held, including procedures to
request a hearing. See 40 CFR 70.7(h)(2).
The permitting authority must keep a record of the public comments and of the issues raised during
the public participation process so that the EPA may fulfill its obligation under section 505(b)(2) of the
Act to determine whether a citizen petition may be granted. The public petition process, 40 CFR
70.8(d), allows any person who has objected to permit issuance during the public comment period to
petition the EPA to object to a title V permit if the EPA does not object to the permit in writing as
provided under 40 CFR 70.8(c). Public petitions to object to a title V permit must be submitted to the
EPA within 60 days after the expiration of the EPA 45-day review period. Any petition submitted to the
EPA must be based only on objections that were raised with reasonable specificity during the public
comment period, unless the petitioner demonstrates that it was impracticable to raise such objections
within such period, or unless the grounds for such objection arose after such period.
4.1 Finding: The Clark County DES provides public notices of its draft title V permitting actions on
its website.
Discussion: A permitting authority's website is a powerful tool to make title V information
available to the general public. Easy access to information that is useful for the public review
process can result in a more informed public and, consequently, provide more meaningful
comments during title V permit public comment periods.
In our 2007 Evaluation, we encouraged Clark County DES to consider posting relevant title V
permit information on its website including, but not limited to, proposed and final title V
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permits, technical support documents, public notices, responses to public comments, citizen
petition procedures, and general title V information and guidance.28
Currently, the Department website provides general information to the public and regulated
community regarding the Clark County DES permitting program.29The public can find
information regarding the permitting process, whether a permit is needed for an operation,
how to obtain a permit, application forms, and information about related programs that inform
the Department's permitting program.
The Clark County DES's website also provides a list of active projects that are in the public
comment period along with the corresponding draft permit, TSD, and public notice that
includes information on how to comment electronically or by mail.30 The website also provides
the public with access to active title V permits and TSDs.31
The Clark County DES maintains electronic mailing lists for title V public notices and for
notification of affected states including the national parks, Moapa Band of Paiute Indians, and
the states of Nevada and Arizona. However, the Department does not include the Mojave
Desert Air Quality Management District, one of its neighbors, on its affected states notification
list. Members of the public may sign up for the title V public notice mailing list on the
Department's website.
Recommendation: We encourage the Clark County DES to continue providing information
related to title V permits to the public via their website and notifying affected states and
interested parties of relevant title V permitting actions via Department electronic mailing lists.
The Department should also include the Mojave Desert Air Quality Management District as part
of its affected states notification.
4.2 Finding: The Clark County DES does not provide notification regarding the public's right to
petition the EPA Administrator to object to a title V permit.
Discussion: 40 CFR 70.8(d) provides that any person may petition the EPA Administrator, within
60 days of the expiration of the EPA's 45-day review period, to object to the issuance of a title V
28 See 2007 Evaluation, Finding 4.7.
29
https://www.clarkcountvnv.gov/government/departments/environment and sustainabilitv/division of air quality/permit
ting/index, php
30
https://www.clarkcountvnv.gov/government/departments/environment and sustainabilitv/division of air quality/permit
ting/public notices.php
31
https://www.clarkcountvnv.gov/government/departments/environment and sustainabilitv/division of air quality/permit
ting/title v permits.php
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permit. The petition must be based only on objections that were raised with reasonable
specificity during the public comment period.32
Clark County AQR Section 12.5.2.18 contains the required information about the public's right
to petition the EPA Administrator to object to a title V permit. However, the Department's draft
and final permit packages, including the public notice for the permit action, do not inform the
public of the right to petition the EPA Administrator to object to a title V permit. We made the
same finding during our 2007 Evaluation.33
Recommendation: The EPA strongly recommends that the Clark County DES revise its public
notice templates to inform the public of the right to petition the EPA Administrator to object to
the issuance of a title V permit.
4.3 Finding: Clark County contains a significant number of linguistically isolated communities for
which the Clark County DES does not consistently provide translation services.
Discussion: The Clark County DES's jurisdiction includes sources located throughout Clark
County. The EPA prepared a map of linguistically isolated communities within the Clark County
DES's jurisdiction in which title V permits have been or may be issued (see Appendix D). The EPA's
map indicates that there are significant populations that are linguistically isolated. These
linguistically isolated communities have a significant population density, and thus DES should
provide translation services in those communities during the title V permitting process. Using a
map like that found in Appendix D may provide additional opportunities to direct the Clark
County DES's translation efforts.
Recommendation: The EPA recommends that the Clark County DES provide translation services
for linguistically isolated communities within its jurisdiction. The Clark County DES should
consider directing translation efforts by using mapping tools as appropriate to assure updated
information.34
4.4 Finding: The Clark County DES's general practice is to conduct a concurrent public and EPA
review. If comments are received during the 30-day public review period, the 45-day EPA
review is restarted and run sequentially to the public review period, not concurrently.
Discussion: Per section 505(b) of the CAA and 40 CFR 70.8, state and local permitting agencies
are required to provide proposed title V permits to the EPA for a 45-day period during which
the EPA may object to permit issuance. The EPA regulations allow the 45-day EPA review period
to occur either following the 30-day public comment period (i.e., sequentially), or at the same
32 An exception applies when the petitioner demonstrates that it was impracticable to raise those objections during the
public comment period or that the grounds for objection arose after that period.
33 See 2007 Evaluation, Finding 4.6.
34 Please see 40 CFR Part 7.35(a) for additional detail regarding federal grantee obligations in demonstrating compliance
with title 6 of the Civil Rights Act of 1964. In addition, please see Appendix D that includes a copy of a recent preliminary
decision regarding this topic.
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time as the public comment period (i.e., concurrently). When the public and the EPA review
periods occur sequentially, permitting agencies will make the draft permit available for public
comment, and following the close of public comment, provide the proposed permit and
supporting documents to the EPA.35 When the public and the EPA review periods occur
concurrently, a state or local agency will provide the EPA with the draft permit and supporting
documents at the beginning of the public comment period. As codified in 40 CFR 70.8, if the
Clark County DES receives comments from the public during the 30-day public review period,
the 45-day EPA review would be restarted to allow the Clark County DES to prepare responses
to the public comments and provide the response to comments, and an updated permit and
TSD, to the EPA.
Recommendation: The Clark County DES should continue its practice of preparing a response to
comments and making any necessary revisions to the draft permit or permit record.
4.5 Finding: The Clark County DES has a Small Business Assistance Program (SBAP) to help conduct
pre-application meetings with potential sources to help identify the potential permitting project
scope and regulatory requirements.
Discussion: Under Section 507 of the CAA, permitting authorities are required to implement a
small business assistance program to assist small businesses that need title V permits. In our
2007 Evaluation, we found that the Department had only intermittently assigned resources to
meet this requirement.36 We recommended that the Department ensure the SBAP duties and
training include coverage of title V small businesses; these duties would be formalized so that a
lapse in meeting this requirement does not occur in the future.
During this evaluation, we found that the Department now has a full SBAP that operates under
the oversight of the Division Director, to provide assistance to business owners and operators in
determining County, State, and Federal requirements that apply to small businesses. The
assistance includes coverage of title V small businesses.
During the interviews, the SBAP staff stated that they help small businesses draft permit
applications and review permits to ensure permit records adequately represents the source.
This helps the Permitting section to process permit applications in a timely fashion. The SBAP
staff also assists small businesses with compliance by conducting mock inspections on site and
by reviewing the source's draft Annual Emissions Reports to ensure they are adequate before
submitting the reports to the Compliance and Enforcement Section.
35 Per 40 CFR 70.2, "draft permit" is the version of a permit for which the permitting authority offers public participation or
affected State review. Per 40 CFR 70.2, "proposed permit" is the version of a permit that the permitting authority proposes
to issue and forwards to the EPA for review. In many cases these versions will be identical; however, in instances where the
permitting agency makes edits or modifications as a result of public comments, there may be material differences between
the draft and proposed permit.
36 See 2007 Evaluation, Finding 4.5.
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Additionally, the SBAP staff helps small businesses with pollution prevention by providing
guidance on control technologies. For example, they help gas stations to understand the
benefits of Stage II vapor controls. The Department has an SBAP website where they describe
who they are and provide forms, calculation sheets, and other information to aid businesses
developing permit applications. Furthermore, the website has a notification feature available
for small businesses in case they want to be made aware when there is new content on the
SBAP website.
Discussions with SBAP staff also indicated that work related to title V sources is tracked so that
time spent working with these sources is appropriately accounted for in tracking title V fees and
revenue.
Recommendation: The EPA encourages the Department to continue supporting its SBAP
program by providing these services.
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5. Permit Issuance / Revision / Renewal
This section focuses on the permitting authority's progress in issuing initial title V permits and the
Department's ability to issue timely permit renewals and revisions consistent with the regulatory
requirements for permit processing and issuance. Part 70 sets deadlines for permitting authorities to
issue each type of title V permit. The EPA, as an oversight agency, is charged with ensuring that these
deadlines are met as well as ensuring that permits are issued consistent with title V requirements. Part
70 describes the required title V program procedures for permit issuance, revision, and renewal of title
V permits. Specifically, 40 CFR 70.7 requires that a permitting authority take final action on each permit
application within 18 months after receipt of a complete permit application, except that action must
be taken on an application for a minor modification within 90 days after receipt of a complete permit
application.37
5.1 Finding: The Clark County DES does not have title V permit backlog and issues initial and
renewal permits in a timely manner.
Discussion: At the time of our evaluation, the Clark County DES had 29 title V sources and 75
synthetic minor sources. We found that the Department's internal procedures have provided a
record of timely permit issuance. The Department stated that it is facing an unusually busy
cycle of title V renewal applications, which was projected in advance. In preparation, the
Department restructured the Permitting Section's major source group to pull resources from
the minor source group as necessary. The Department intends to be timely with all permits, but
as many as 25% of the title V permits may experience delays beyond 18 months in the coming
years. However, the Department is proactively working to prevent any delays.
The Clark County DES's permit processing time has greatly improved since our 2007 Evaluation.
At the time of the 2007 Evaluation, the Department had a backlog of 38 major source permit
applications and was struggling with reducing the backlog because of high staff turnover in the
permitting section. The Department now provides promotional opportunities for permit writers
graduating into the title V program and offers competitive salaries to air quality permit writing
positions. Staff turnover is no longer an issue, and the Department is processing title V permits
in a timely manner.
Recommendation: The Department should continue the practices that allow it to process title V
permits within the timeframes established in 40 CFR part 70.
5.2 Finding: The Department allows sources to voluntarily limit their potential to emit to avoid title
V applicability, and generally writes synthetic minor limits that are enforceable as a practical
matter.
37 See 40 CFR 70.7(a)(2) and 70.7(e)(2)(iv).
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Discussion: A source may accept a voluntary limit (also known as a "synthetic minor" limit) to
maintain its PTE below an applicable major source threshold and thereby avoid major NSR
permit requirements and/or the title V permit program. Sources establish such a limit by
obtaining a synthetic minor permit containing practically enforceable emissions limits from the
permitting authority.
Synthetic minor limits must be enforceable as a practical matter, meaning they are both legally
and practicably enforceable.38 According to EPA guidance, for emissions limits in a permit to be
practicably enforceable, the permit provisions must specify: 1) technically-accurate limitations
and the portions of the source subject to such limitations; 2) the time period for the limitations;
and 3) the method to determine compliance, including appropriate monitoring, recordkeeping,
and reporting.39
In response to a petition regarding the Hu Honua Bioenergy Facility in Hawaii, the EPA stated
that synthetic minor permits must specify: 1) that all actual emissions at the source are
considered in determining compliance with its synthetic minor limits, including emissions
during startup, shutdown, malfunction or upset; 2) that emissions during startup and shutdown
(as well as emissions during other non-startup/shutdown operating conditions) must be
included in the semi-annual reports or in determining compliance with the emissions limits; and
3) how the source's emissions shall be determined or measured for assessing compliance with
the emissions limits.40
The Clark County AQR Section 12.1.7 allows a major source to voluntarily limit its PTE to below
major source thresholds to avoid the requirement to obtain a title V permit and/or a major NSR
permit. As a synthetic minor source, the source must demonstrate that its PTE is permanently
reduced either through a physical source modification or by accepting a practically enforceable
permit condition limiting its PTE below the title V major source and/or NSR major source
thresholds.
As part of our evaluation we reviewed several of the Department's synthetic minor permits.41
The permits and TSDs generally provide a summary of why the source has requested a synthetic
minor permit. The permit conditions are generally clear regarding the specific limitations, the
portions of the source subject to the limitations, the time period for the limitation, and the
method to determine compliance, including appropriate monitoring, recordkeeping and
reporting. However, for additionally clarity and consistency with the Hu Honua petition, the
Department should consider specifying in its permit conditions that compliance with synthetic
38 Options for Limiting the Potential to Emit (PTE) of a Stationary Source Under Section 112 and Title V of the Clean Air Act
(Act), John S. Seitz, Director, Office of Air Quality Planning and Standards (January 25,1995).
39 Ibid.
40 Order Responding to Petitioner's Request that the Administrator Object to Issuance of State Operating Permit Petition No.
IX-2011-1, Gina McCarthy, Administrator (February 7, 2014).
41 The permits reviewed included the following types of facilities: a polymer concrete manufacturing facility; a municipal
wastewater treatment facility; a resort hotel and casino facility; a urethane molding facility, an aggregate processing facility,
and a polymer products manufacturing facility.
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minor limits includes all actual emissions, including emissions from periods of startup,
shutdown, and malfunction. Additionally, while most of the TSDs provide reasonable detail
explaining the basis behind the synthetic minor permit limit, similar with the inconsistency issue
in Finding 2.3, some of the TSDs do not explain the applicable major source thresholds clearly
and do not differentiate between the title V and NSR applicability thresholds.
Recommendation: The EPA commends the Clark County DES' efforts in ensuring enforceability
of synthetic minor permit emissions limits. In addition to continuing its current good practices,
the EPA recommends the Clark County DES consider all the criteria from the Hu Honua petition
response in future actions when issuing synthetic minor permits. Furthermore, to better
facilitate the EPA's and the public's understanding of the basis behind the synthetic minor
permit limits, the EPA recommends that the Clark County DES consistently include a section in
the TSD to discuss synthetic minor limits that includes the applicable major source threshold
(including separate thresholds forTitle V and NSR/PSD), significance threshold, and/or
permitting exemption threshold.
5.3 Finding: The Clark County DES routinely submits proposed and final permit actions to the EPA.
Discussion: 40 CFR 70.8(a)(1) and the Clark County DES's EPA-approved title V program require
that proposed and final permits be sent to the EPA.
During our review of recent actions, the EPA found that the Clark County DES routinely submits
copies of proposed title V permit actions, and final title V permit actions to the EPA via the EPA
Central Data Exchange's Electronic Permit System (EPS). Additionally, anyone may sign up for
Clark County DES public notice email notifications. The EPA oversight team receives Clark
County DES air quality permitting notices. These notices generally include a notice of proposed
action, the proposed permit, and the proposed technical support document. During the internal
file review, there were several instances where we could not locate a copy of the permit
application on the Clark County DES website, as indicated in the notice of proposed action.
When the Department receives comments on a proposed title V permit, it responds to the
comments in a document titled the "Final Action Report," which is sent to the EPA for EPA's
second 45-day review (see Finding 4.4), and then issued with the final permit. During several
interviews, staff indicated that the Clark County DES rarely receives comments on title V
actions. Additionally, most comments received are from the EPA or the source. During the
EPA's 2007 Evaluation, we found that the Clark County DES did not consistently send final title V
permits and Final Action Reports to Region 9. 42 This issue has been corrected and the Clark
County DES routinely submits the Final Action Report with the final permit package to Region 9
when any comments are received.
42 See 2007 Evaluation, Finding 5.1.
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Additionally, during the 2007 Evaluation, the EPA found that the Clark County DES rarely
modified title V permits following the issuance of the initial permit.43 Based on our review of
recent actions, the Clark County DES has rectified this issue, likely through efforts to retain staff
and improving permit office guidance and practices.
Recommendation: The EPA commends the Clark County DES on the many improvements it has
made in processing title V permit modifications and submitting required documentation to the
EPA. Additionally, the EPA recommends including links to all of the application materials on the
public notice webpage.
43 See 2007 Evaluation, Finding 5.2
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6. Compliance
This section addresses the Clark County DES practices and procedures for issuing title V permits that
ensure compliance with all applicable requirements. Title V permits must contain sufficient
requirements to allow the permitting authority, the EPA, and the general public to adequately
determine whether the permittee is in compliance with all applicable requirements.
Compliance is a central priority for the title V permit program. Compliance assures a level playing field
and prevents a permittee from gaining an unfair economic advantage over its competitors who comply
with the law. Adequate conditions in a title V permit that assure compliance with all applicable
requirements also result in greater confidence in the permitting authority's title V program within both
the general public and the regulated community.
6.1 Finding: The Department performs Full Compliance Evaluations (FCEs) of all title V sources on a
schedule consistent with its negotiated compliance monitoring strategy (CMS).
Discussion: The EPA's 2016 Clean Air Act Stationary Source Compliance Monitoring Strategy44
recommends that permitting authorities perform FCEs for most title V sources at least every
other year. For the vast majority of title V sources, the EPA expects that the permitting
authority will perform an onsite inspection to determine the source's compliance status as part
of the FCEs. The EPA and the Clark County DES have negotiated specific inspection frequencies
for all title V sources consistent with national goals and have identified them in the
Department's CMS. The Clark County DES met the negotiated frequency for conducting FCEs of
Title V Major Sources, Mega-Sites45, and SM80s.46 The Clark County DES ensured each major
source was evaluated with an FCE once every two years, each Mega-Site once every three
years, and each SM80 once every five years. The Clark County DES has satisfactorily performed
FCEs at major facilities. For additional details, please see the EPA's 2021 State Review
Framework for Clark County DES, Finding 2-1.47
Recommendation: The EPA acknowledges the Department's ongoing efforts on meeting its
CMS.
6.2 Finding: The Clark County DES's permitting and compliance managers communicate effectively
with each other and meet routinely to discuss programmatic issues.
Discussion: In our 2007 Evaluation, we found that the Clark County DES's compliance and
permitting management communicated well, but the communication to staff was not clear for
44 This document is available at: https://www.epa.gov/compliance/clean-air-act-stationary-source-compliance-monitoring-
strategy.
45 Sources that are large in area, not necessary major in emissions.
46 Facilities that are operating between 80% and 99% of the applicable major source threshold.
47 Appendix F.
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resolving complex issues in a timely manner.48 For this evaluation, the Clark County DES's
compliance and permitting management continues to hold routine meetings to discuss
permitting and compliance issues. Unlike the 2007 Evaluation, both permitting and compliance
staff indicated everyone is readily accessible if there are any questions regarding a source or a
permit, and communication is effective. The two sections also communicate via the internal
"Pending" folder where the compliance section can fill out a form to notify the Permitting
section if something in the permit needs to be fixed; and the Permitting section can fill out a
form to notify the compliance section if there are compliance issues.
Recommendation: The EPA commends the Clark County DES for maintaining good
communication between permitting and compliance management and staff. We encourage the
Clark County DES to continue information sharing between permitting and compliance staff and
managers.
6.3 Finding: The Department reviews all title V deviation reports, annual compliance certifications,
and semiannual monitoring reports.
Discussion: Similar to our 2007 Evaluation, the Clark County DES continues to be diligent about
reviewing the deviation reports, quarterly monitoring, reports, and compliance certifications
that sources submit to the agency. The Clark County DES tracks these reports through a
database and they are reviewed by compliance staff and supervisors. If a Notice of Violation
(NOV) could be warranted after reviewing a report, the inspector will write a Partial Compliance
Evaluation (PCE), and, after internal review, will be followed by an NOV from the enforcement
group.
Recommendation: The EPA commends the Clark County DES's efforts in reviewing and tracking
all deviation reports, quarterly monitoring reports, and compliance certifications.
6.4 Finding: The Department addresses potential compliance issues prior to permit issuance.
However, the Department's TSDs could be improved to describe compliance issues more
clearly.
Discussion: The Part 70 program requires that each title V permit contain a schedule of
compliance if necessary.49 This includes ensuring title V permits contain requirements that
ensure sources comply with requirements that have future compliance dates and ensure that
title V permits contain enforceable milestones leading to compliance for those requirements for
which the source is not in compliance. In the 2007 Evaluation, we found that the Clark County
DES worked to bring noncompliant sources into compliance before issuing their title V permits,
but this also led to delayed permit issuance.50 These delays are no longer an issue and the
previous finding has been addressed.
48 See 2007 Evaluation, Finding 6.4.
49 See 40 CFR 70.6(c)(3) and 70.5(c)(8).
50 See 2007 Evaluation, Finding 6.2.
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Currently, the Department includes requirements with future compliance dates in its title V
permits and addresses issues of noncompliance through Settlement Agreements (SAs) and
Hearing Officer Orders (HOOs). The requirements from the SAs and HOOs are then
incorporated into the title V permit. While the Part 70 program provides permitting authorities
the authority to use the title V permit to establish the enforceable milestones that lead to
compliance when a source is not in compliance (versus, for example, through a SA), this
approach is not required. However, we recommend that the Department include a citation to
40 CFR 70.6(c)(3) when incorporating requirements from SAs and HOOs into title V permits as
the authority for such requirements, since SAs and HOOs do not meet the definition of an
applicable requirement. Consistent with the Part 70 program, the Department's processes
ensure that title V permits contain a schedule of compliance.
The Department's TSDs typically include a compliance section, but do not necessarily explain
compliance issues clearly. In addition to including SAs and HOOs in title V permits, the
Department also has other internal mechanisms for addressing compliance issues for Part 70
sources. The Department's permitting tracking system contains a module that specifies the
compliance status of a source, which is reviewed by the Permitting section during open permit
actions. In the event there are compliance issues, the Compliance and Enforcement Section will
work with the Permitting Section to ensure permitting conditions are included in the permit to
assure compliance. However, the steps taken to address compliance issues are not well
documented in the TSD and it can be challenging to understand how the Department is revising
a permit to address compliance issues. We recommend including more detail and explanation
of compliance issues in TSDs to better facilitate understanding of the requirements in the title V
permit. Currently, the compliance summary table provided in the Department's TSDs often
leaves the permitted source's compliance status unclear.
Recommendation: We commend the Clark County DES for ensuring title V permits include
compliance schedules. However, we recommend that the Department include citations to 40
CFR 70.6(c)(3) when incorporating SAs and HOOs into title V permits. Additionally, we
recommend the compliance section in TSDs be improved to better reflect the source's actual
compliance history and the actions being taken to address compliance issues, if applicable.
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7. Resources and Internal Management
The purpose of this section is to evaluate how the permitting authority is administering its title V
program. With respect to title V administration, the EPA's program evaluation: (1) focused on the
permitting authority's progress toward issuing all initial title V permits and the permitting authority's
goals for issuing timely title V permit modifications and renewals; (2) identified organizational issues
and problems; (3) examined the permitting authority's fee structure, how fees are tracked, and how
fee revenue is used; and (4) looked at the permitting authority's capability of having sufficient staff and
resources to implement its title V program.
An important part of each permitting authority's title V program is to ensure that the permit program
has the resources necessary to develop and administer the program effectively. In particular, a key
requirement of the permit program is that the permitting authority establish an adequate fee program.
Part 70 requires that permit programs ensure that title V fees are adequate to cover title V permit
program costs and are used solely to cover the permit program costs. Regulations concerning the fee
program and the appropriate criteria for determining the adequacy of such programs are set forth in
40 CFR70.9.
7.1 Finding: The Clark County DES permitting and compliance staff report that they receive
effective legal support from the County District Attorney's office.
Discussion: In our 2007 Evaluation,51 we stated that the Clark County DES had shifted its legal
support from the County District Attorney's office to within its organization. However, the shift
was not actually completed. The Clark County DES continues to receive support from the
Deputy District Attorney (DDA), who is responsible for providing legal support on a wide variety
of legal issues, including non-environmental issues. In our previous finding, we found that
competing priorities may have affected the DDA's ability to provide optimal legal support for
title V issues.
During our site visit, interviewees reported that even though the DDA does not have an
environmental background, they receive effective legal support. Unlike the previous evaluation,
the DDA is available to participate in any meeting at which the Clark County DES meets with a
permittee or others who have legal counsel.
Recommendation: The Clark County DES should continue to ensure that it receives effective
legal support.
51 2007 Evaluation, Finding 7.6.
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7.2 Finding: The Department tracks title V program expenses and revenue to ensure that funding is
sufficient to effectively implement the title V program and that funds are spent solely to
support the title V program.
Discussion: The Part 70 regulations require that permit programs ensure that the collected title
V fees are adequate to cover title V permit program costs and are used solely to cover the
permit program's costs.52 In our 2007 Evaluation, the EPA found that title V revenue was clearly
tracked while title V expenses were not well-defined.53 In this more recent effort, the Clark
County DES provided accounting data for the prior 3 years. Based on this more recent data,
revenue and expenses are tracked closely by category of service and show no deficits. A recent
change to how the Clark County DES gathers accounting information ensures that fewer errors
resulting from data entry will occur. The recent change in collecting information involves
presenting accounting information directly from the Clark County DES accounting software
instead of transferring that information from the Clark County DES accounting software to a
spreadsheet and then presenting the title V accounting data. During the evaluation, the EPA
provided the Clark County DES with the most recent EPA policy on title V funding (see appendix
E).
Recommendation: The EPA acknowledges the Clark County DES's efforts in maintaining a
transparent and effective title V fee accounting system and commends the improvement in
tracking title V expenses since our last evaluation.
7.3 Finding: The Department staff report that supervisors and management are available for one-
on-one consultation on title V permitting issues.
Discussion: The Department's staff report that supervisors and management are available for
one-on-one consultation on title V permitting issues. Generally, communication between staff
and management is very effective. Overall, staff feel that management does a good job
soliciting staff opinions and staff are very involved in developing permit requirements. Some
staff mentioned that if there are any disagreements, they maintain a record of communication
to document the final decision.
Recommendation: The EPA commends the Clark County DES for empowering staff and in
maintaining great communication.
7.4 Finding: The Department provides training for its permitting and compliance staff.
Discussion: As noted in the EPA's prior evaluation, the Department has a training program for
its permitting and compliance staff requiring that permit writers attend training classes such as
those offered by California Air Resources Board (CARB) and Air Pollution Training Institute
(APTI), as well as classes on topics such as NSR. The Department holds ad hoc training on
52 See 40 CFR 70.9(a).
53 See 2007 Evaluation, Finding 7.1.
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specific issues as warranted. The Department also trains new staff internally by having permit-
specific training done by one of the senior staff based on new assignments. Every inspector has
a development plan that includes APTI courses, CARB courses and Western States Resource
Council ("WESTAR") courses (stack testing, stationary source compliance, etc.), some internal
and webinar courses, and on the job training. New inspectors are assigned tasks to perform
while a senior inspector observes.
During the interviews, the Department staff expressed interest in more internet-based training
and identified NSPS and MACT standards as an area where they have specific interest in more
training (40 CFR part 60, subpart ZZZZ, turbines, reciprocal engines).54
Recommendation: The Department should continue to refine its training program and should
conduct periodic surveys to determine areas where additional training may be desired and
necessary. The EPA will provide regular updates on training availability during existing regularly
scheduled calls.
7.5 Finding: Permitting staff demonstrated a general lack of knowledge on environmental justice
(EJ) and would like the EPA to provide training on this issue.
Discussion: As noted in the 2007 Evaluation, the Department's permitting staff is generally not
familiar with EJ issues and how these issues may arise in a permitting context.55 As a result,
there is uncertainty about tools that may help the Department address EJ issues and inform the
public more effectively of permitting actions. In the EPA's prior evaluation, the EPA committed
to providing EJ training but was unable to do so given resource constraints at the time.
One of the tools available to help anticipate where EJ issues may arise with permitting actions is
the EPA's EJSCREEN tool. This tool can be used to prepare maps that highlight specific
demographic data for use in focusing outreach, for example. The EPA suggests that the
Department examine the maps provided in the appendices to this report (including the
linguistic isolation map - see Appendix D) to familiarize staff with the EJSCREEN tool and its
capabilities in identifying communities where additional outreach on permitting actions may be
warranted.56
Recommendation: The EPA will work with the Department to provide EJ training and will
provide assistance to improve the Department's familiarity with available EJ tools.
7.6 Finding: In response to the 2007 Evaluation, the Department is providing sufficient resources to
implement its title V permitting program effectively, has reduced staff turnover via
54 The EPA is aware that an effort is presently underway to provide more APTI training via the internet.
55 For reference, please see https://www.epa.gov/sites/production/files/2015-07/documents/ei-permitting-faqs-4.29.pdf
56 For an overview of the EJSCREEN tool, please see https://www.epa.gov/ejscreen
please see https://www.epa.gov/eiscreen/learn-use-ejscreen .
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For learning resources on EJSCREEN,
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compensation changes, and has improved ladder and promotional opportunities to recruit and
retain experienced staff.
Discussion: As noted in the EPA's recommendation for Finding 7.2 of its 2007 Evaluation:
Staff turnover can erode an agency's institutional knowledge regarding permitted
facilities, which can create delays in the issuance of Title Vpermits. (Footnote omitted.)
Based upon discussions with DAQEM's permitting staff EPA believes that a job
compensation analysis may lead to a system in which engineers can demonstrate growth
through their careers in a way that is comparable to what other divisions within DAQEM
offer and might reduce the frequency of staff turnover. A successful job compensation
structure may also lead to additional opportunities for qualified candidates for Senior
AQS positions within the Permitting Division. The Department should also conduct a
workload assessment to determine the number of additional staff persons needed to
implement its Title Vpermitting program.
Based on the EPA's interviews during this evaluation, it is clear that the Department has been
effective in responding to the earlier EPA finding on this matter. Following the publication of
the 2007 Evaluation, the Department aggressively pursued changes to its compensation
structure and career ladder for its permitting staff. The apparent success of these efforts is
indicated by the length of tenure among permitting staff (many of whom have over 10 years'
experience in permitting for the Clark County DES) as well as the Department's ability to attract
experienced permitting engineers from other agencies to augment and diversify the skillset of
the Department's permitting team.
As a result of the efforts described above, the Department has experienced very low
turnover among its permitting staff and management since the 2007 Evaluation, with a
concentration of knowledge at the management level. The Department may experience
significant attrition as its more experienced staff and management become eligible for
retirement over the next several years. As a result, the Department may want to focus on
measures to bring on new employees as the more experienced employees transition towards
retirement, with the goal of promoting knowledge transfer and preserving institutional
knowledge.
Recommendation: The EPA acknowledges the Department's success on retention and
recruitment since the 2007 Evaluation. The EPA encourages the Department to be strategic in
succession planning as more experienced employees transition to retirement in order to
promote knowledge transfer and to preserve institutional knowledge.
Finding: The Clark County DES has taken several measures to maintain effective title V
permitting program implementation during the COVID-19 pandemic.
Discussion: Recognized in March 2020, the worldwide COVID-19 pandemic response prompted
the Clark County DES to rapidly take measures to adapt to a new environment in order to
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maintain its effectiveness while ensuring employee health and safety. The Clark County DES
responded by quickly providing all employees with information technology (IT - tablets,
smartphones and laptops) that could be used remotely. In fact, the Department even
redeployed IT resources that had been identified as surplus to ensure that adequate functional
resources were available to their employees. The Department initially established a 100%
telework schedule for its employees and has more recently moved to a 50% telework schedule.
The Department plans to institute a 100% in-office schedule pending monthly reassessment to
ensure that current pandemic conditions are considered. During our interviews, we learned
that there is interest in instituting telework options for employees post-pandemic.
The Department's primary consideration throughout the pandemic has been employee and
public health and safety. The Department provided its employees early opportunities for
vaccination against COVID-19. The Department encouraged and implemented additional safety
measures (protective face masks, hand washing, etc.) for those in the field and interacting with
the public to ensure that they could safely continue protecting public health and the
environment with both in-office and field presence.
The Department's COVID-19 response efforts have prompted an interest in seeking Cross-
Media Electronic Reporting Rule (CROMERR) compliance to allow for additional electronic
information submittals. Published on October 13, 2005, CROMERR established a framework by
which EPA will accept electronic reports from regulated entities. CROMERR may apply to any
electronic document submission required by or permitted under the EPA or any authorized
program governed by EPA's regulations in Title 40 of the Code of Federal Regulations.57
Recommendation: The EPA acknowledges the Department's agile response to the pandemic.
57 For additional information, please see: https://www.epa.gov/cromerr/introduction-background-cromerr.
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8. Records Management
This section examines the system the Clark County DES has in place for storing, maintaining, and
managing title V permit files. The contents of title V permit files are public records, unless the source
has submitted records under a claim of confidentiality. The Clark County DES has a responsibility to the
public in ensuring that title V public records are complete and accessible.
In addition, the Clark County DES must keep title V records for the purposes of having the information
available upon the EPA's request. 40 CFR 70.4(j)(l) states that any information obtained or used in the
administration of a State program shall be available to the EPA upon request without restriction and in
a form specified by the Administrator.
The minimum Part 70 record retention period for permit applications, proposed permits, and final
permits is five years in accordance with 40 CFR 70.8(a)(1) and (a)(3). However, in practical application,
permitting authorities have often found that discarding title V files after five years is problematic in the
long term.
8.1 Finding: The Clark County DES has successfully converted all permitting hard copy files to
electronic files.
Discussion: In our 2007 Evaluation finding, the Clark County DES was in the process of
converting all permitting hard copy files to electronic files.58 During our virtual site visit, most
interviewees stated that they do not normally use any hard copies, and if they do, it is due to
personal preference. This conversion has helped greatly during the pandemic (see Finding 7.7).
Recommendation: The EPA commends the Clark County DES on its conversion to all electronic
files.
8.2 Finding: The Clark County DES has a written file retention policy.
Discussion: The Clark County DES did not have a written file retention policy during our 2007
Evaluation.59 The Department now has the Clark County DES Records Retention Schedule.60 The
Clark County DES's file retention policy keeps permitted major and synthetic minor source files
until 20 years after site closure.
Recommendation: The EPA commends the Clark County DES on having a written file retention
policy.
8.3 Finding: The Clark County DES uses an electronic database to track title V permits effectively
and continues to make database improvements.
58 2007 Evaluation, Finding 9.1.
59 2007 Evaluation, Finding 9.4
60 Appendix G.
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Discussion: In our 2007 Evaluation,61 the EPA encouraged the Clark County DES to continue
improving its database system. The Department hired an outside vendor and developed their
own database management system interface, AirTrax. AirTrax contains an assortment of useful
data, including finance, stationary source, and compliance information. The database contains a
workflow module where documents are put in queues awaiting someone's action and tracks
the history of each workflow as it moves from person to person. Reports can be pulled from
AirTrax to notify staff of outstanding items, and staff can request custom reports as necessary.
AirTrax includes automated countdowns, so regulatory timelines are visible and updated in real
time. Within AirTrax, each source and each NOV have their own folder with tabs that link
information together. The Department uses AirTrax to effectively track title V permits and
access files. The system keeps workflows well-organized and moving forward.
Both the Permitting and the Compliance and Enforcement Sections use AirTrax. In the
Permitting Section, both management and staff are generally satisfied with the system. The
main complaint of the system is its slowness. The compliance section is currently developing a
separate database that can be linked to AirTrax; the Permitting Section is still deciding if it will
also switch to the new database. The new database will allow the compliance section to receive
complaints online, and will enable sources to apply for dust control permits online. The
Department has a goal to eventually get CROMERR approval and have a fully electronic permit
application and issuance system.
Recommendation: The EPA commends the Clark County DES's efforts in maintaining and
improving AirTrax and creating a new database to further improve its electronic database
capacity. Being able to process all permitting related functions electronically and getting
CROMERR approval should continue to improve the Department's permit issuance process.
61 2007 Evaluation, Finding 5.3.
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Appendix A. Air Pollution Control Agencies in Nevada
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Air Pollution Control Agencies in Nevada
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Appendix B. Title V Questionnaire and the Clark County DES Responses
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United States Environmental Protection Agency
Region 9 - Pacific Southwest
https://www.epa.gov/caa-permitting/caa-permitting-epas-pacific-southwest-region-9
Title V Program Evaluation
Questionnaire
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Contents
A. Title V Permit Preparation and Content 3
B. General Permits (GP) 8
C. Monitoring 9
D. Public Participation and Affected State Review 11
Public Notification Process 11
Public Comments 12
EPA 45-day Review 13
Permittee Comments 13
Public Hearings 14
Availability of Public Information 14
Affected State Review and Review by Indian Tribes 16
E. Permit Issuance / Revision / Renewal 17
Permit Revisions 17
Permit Renewal Or Reopening 19
F. Compliance 20
G. Resources & Internal Management Support 25
Environmental Justice Resources 27
H. Title V Benefits 29
2
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A. Title V Permit Preparation and Content
1. For those title V sources with an application on file, do you require the sources to update their applications
in a timely fashion if a significant amount of time has passed between application submittal and the time
you draft the permit? YEI ND
a. Do you require a new compliance certification? YlEI ND
DAQ Response: An official completeness determination letter is issued informing the source that changes to
the application must be done as a separate permitting action, but we allow some latitude. The draft
permit/TSD is provided to the source for review prior to issuance, which occasionally results in additional
updates. Insignificant changes and updates that are proposed for the application and/or draft permit may be
considered if they do not impact the previous analysis. If so, the source must propose them in writing with a
new signature/certification.
2. Do you verify that the source is in compliance before a permit is issued? YlSI ND If so, how?
DAQ Response: The Title V application includes a question asking whether the source is out of compliance with
the permit, which must also be certified by the responsible official. Also, DAQ's permitting tracking system
contains a module that specifies the compliance status of a source, which is reviewed by the Permitting section
during open actions. If a compliance action is listed, details of the action are reviewed by Permitting staff.
Additionally, draft permits are reviewed by Compliance staff before the permit is issued and open
compliance/enforcement matters are brought to the attention of the Permitting section if not already
addressed.
a. In cases where a facility is either known to be out of compliance, or may be out of compliance (based
on pending NOVs, a history of multiple NOVs, or other evidence suggesting a possible compliance
issue), how do you evaluate and document whether the permit should contain a compliance schedule?
Please explain and refer to appropriate examples of statements of basis written in 2005 or later in
which the Department has addressed the compliance schedule question.
DAQ Response: Decisions to incorporate compliance schedules into permits are usually initiated by the
compliance/enforcement sections. Noncompliance matters identified through Full Compliance/Partial
Compliance Evaluations (FCEs/PCEs) are tracked by compliance/enforcement staff until they reach resolution.
Stationary sources may be required to resolve violations through Formal or Informal Enforcement Actions (e.g.,
Notices of Violation or Warning Notices) or through voluntary compliance measures. This may include
submitting a permit application, performing a stack test in accordance with a compliance plan or other
methods to correct a deficiency.
Violations that are long-lasting and on a schedule (e.g., additional performance testing, installation of new
control devices, changes to operations and/or monitoring) are addressed by incorporating conditions into the
permit via a settlement agreement, the terms of which are subsequently entered into a hearing officer's order
(HOO) during the adjudication of the applicable NOV(s). These documents may specify a requirement to initiate
a permitting action and include the compliance schedule as permit conditions.
Settlement agreement terms requiring additional permit conditions are communicated to the Permitting
section through a mandatory internal meeting prior to finalization. Copies of the executed Settlement
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Agreement and the associated HOO are then forwarded to the source-specific "Pending Folder." Pending
folders are reviewed by permit staff prior to any new permitting action and any compliance schedules
contained in the HOO are incorporated into the permit as specified. Newly developed permit conditions
addressing compliance schedules are reviewed by the Compliance section before issuing the permit. Technical
Support Documents (TSD) outline the details of the compliance matter. All relevant documents are part of the
administrative record in both permitting and enforcement files.
Examples attached: See permits and TSDs for source ID #00095,17286, and 17315.
Compliance matters discovered during the permitting process is communicated to the compliance section by
way of a "compliance referral form." This form outlines the issues discovered by permitting staff and forwarded
to the compliance section for their consideration. All aforementioned documents remain part of the
administrative record for each permitting action.
3. What have you done over the years to improve your permit writing and processing time?
DAQ Response:
Staffing - Senior AOS have been dedicated as Title V permit writers.
Training - Permitting staff are required to attend advance NSR training initially and on a 3-year cycle, which is
separate from additional training that's prescribed each year.
Patterns - Permit and TSD templates ("patterns") were derived for various source categories to include
standard structure, content and condition language. These guide permit writers through the process ensuring
all steps are taken and standard language is consistent across permits. Instructions embedded in the patterns
also assist with the analysis and rule applicability.
Calculation Sheets - Calculation sheets were derived for various source categories and/or emission units.
These automate emission calculations using standard methodology. Most allow custom emission factors be
used instead of default values.
Permit Tracking Log - AirTrax is the Departments data interface. It contains a workflow module where
documents are put in queues awaiting someone's action. Reports are pulled from AirTrax, which tell staff what
they need to address. It also tracks timing and includes automated count-downs, so regulatory timelines are
visible and updated in real time. This system keeps workflow organized and moving forward.
Regular Permit-writing Meetings - Title Vpermit writers meet weekly to discuss regulatory updates, new
methodologies, and program improvement needs. They also review workloads and discuss issues permit
writers are experiencing with their permits. Problem-solving is often collaborative and staff learn from sharing
each other's experiences. Assignments are shifted as necessary to optimize processing time.
Regular Operations Meetings - Permitting and Compliance staff meet monthly to address overlapping issues.
Processes are refined to address needs in respective sections. Problem-solving is collaborative and changes are
discussed to prevent unexpected outcomes. This proactive and inclusive approach prevents delays due to
unexpected issues and confusion.
Compliance Review of Draft Permits - The Compliance section reviews draft Title V permits before finalization
and issuance. Reviews are intended to ensure adequate compliance demonstration, practical enforceability,
and resolution of outstanding compliance matters, as applicable. This proactive and inclusive approach
prevents delays due to unexpected issues and oversight. A written policy was developed for this process.
Permitting and Compliance Joint Site Visits - Permitting and Compliance staff assigned to specific stationary
sources will conduct a joint site visit. They discuss the intent of the permitting action with customers and
ensure the application was interpreted correctly. They also review operations/emission units as necessary to
understand how permits should be written and avoid delays due to misunderstandings. Both sections take the
opportunity to reiterate the source's responsibilities to comply with the permit, and they address customer
questions. A written policy was developed for this process.
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Permitting and Compliance NOV and Settlement Meetings - Permitting and Compliance staff meet when an
NOV and Settlement Agreement is expected to affect the Title Vpermit. This meeting ensures that the terms of
the draft Settlement Agreement are consistent with current permitting practices/principles. It also provides
opportunity to vet permitting language to address compliance needs. These meetings eliminate confusion and
potential issues associated with permit requirements at a later date. A written policy was developed for this
process.
4. Do you have a process for quality assuring your permits before issuance? YlEI ND Please explain.
DAQ Response:
Permitting Peer review - Permitting staff (Senior AQS) conduct a peer review of draft Title V permits before
they're forwarded to the Compliance section. They review draft documents, the analysis/methodology and
data entry.
Compliance Peer review - Compliance staff (Senior AQS) conduct a peer review of draft Title V permits before
they are forwarded to the supervisor. They review the draft permit to ensure adequate compliance
demonstration, practical enforceability, and resolution of outstanding compliance matters, as applicable.
Supervisor review - The Permitting supervisor overseeing the Title V program conducts a review of draft Title V
permits before they are forwarded to the source. The supervisor reviews the draft documents and
analysis/methodology. The supervisor also ensures all review comments were adequately addressed.
Source review - The responsible official and/or delegated parties (including consultants) are given the
opportunity to conduct a review of the draft Title V permit and TSD. This helps to resolve issues, if any, before
the permit goes to public notice. Sometimes this step takes place before the Supervisor conducts his review.
Manager review - The Permitting manager conducts a review of draft Title V permits before forwarding to
administrative staff for public participation and/or issuance. The manager's review may be cursory, or in-depth
depending on the type of action.
Administrative review - Administrative staff conduct a review of draft Title V permits before publishing a
notice of proposed action and/or issuance. They clean-up all documents, check formatting, convert documents
to PDF, and install dates and signatures.
5. Do you utilize any streamlining strategies in preparing the permit? Please explain.
DAQ Response: Yes, we avoid overlapping applicable requirements and include the most stringent with the
permit conditions. We also require applicants to conduct a streamlining evaluation when requesting a permit
shield.
a. What types of applicable requirements does the Department streamline, and how common is
streamlining in Department permits?
DAQ Response: Streamlining is regularly conducted for emission limits, operational limits, and compliance
demonstration (monitoring, testing, recordkeeping and reporting). Limits derived from BACT/RACT/LAER
evaluations are often more stringent and supersede an applicable requirement from the NSPS, NESHAP, etc.
Additionally, DAQ compliance demonstration standards are typically as stringent, if not more stringent than
other federal applicable requirements.
b. Do you have any comments on the pros and cons of streamlining multiple overlapping applicable
requirements? Describe.
DAQ Response:
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Pros - Streamlining keeps Title Vpermits concise and avoids confusion about compliance demonstration that
would result from conflicting standards/requirements.
Cons - Streamlining evaluations require considerable time to construct the most stringent standards and
ensure their accuracy. Errors can be consequential, exposing operators to unintended violations (e.g., mistakes
converting overlapping standards to a common unit of measure). Streamlining may cause operators and/or
agencies to lose sight of other underlying standards if those are not identified well in the permit.
6. What do you believe are the strengths and weaknesses of the format of Department permits (i.e. length,
readability, facilitates compliance certifications, etc.)? Why?
DAQ Response:
Strengths - Format improvements occur periodically based on stakeholder feedback. Permits are organized
into sections and subsections, allowing readers to find parts easily and identify requirements specific to
processes and/or emission units. Permits include table of content, list of tables, and acronyms list. Permits
include comprehensive executive summaries, including well defined source categories, emitting descriptions,
and the status for each pollutant. Conditions are in bullet-form, which avoids lengthy narratives. Permits use
standard numbering format for straight-forward referencing. Requirements are kept separate to avoid
compounding them within the same condition.
Weaknesses - The order of sections have not yet been reorganized to reflect the customer's priorities and
facilitate inspections. Similar to the minor source permit format, Title V permits will be restructured to begin
with the most critical parts. Also, requirements will be grouped separately into parts that are inspected in the
field versus parts that are inspected in the office.
7. How have the Department's statements of basis evolved over the years since the beginning of the Title V
program? Please explain what prompted changes, and comment on whether you believe the changes
have resulted in stronger statements of basis.
DAQ Response: Correspondence between the Department and source was removed from TSDs and filed
separately. TSD sections were reorganized to follow the order and structure of their corresponding permits
whenever possible. These changes facilitated reviews and researching permit conditions. The information
contained in TSDs for permit revisions has been limited to that relevant to the permitting action, which reduces
the length of the document and facilitates comprehending what took place. The information contained in TSDs
for permit renewals summarizes all changes taking place over the previous five years. TSD language for
common issues/requirements were vetted and standardized, helping ensure complete, accurate, and consistent
statements. Changes are typically the result of stakeholder (internal and external) feedback.
8. Does the statement of basis explain:
a. The rationale for monitoring (whether based on the underlying standard or monitoring added in the
permit)? YlSI N ~
b. Applicability and exemptions, if any? YlSI N ~
c. Streamlining (if applicable)? YlEI N ~
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9. Do you provide training and/or guidance to your permit writers on the content of the statement of basis?
YlEI N ~
DAQ Response: The content of our TSDs is regularly discussed in meetings. Training is provided, issues are
identified, and improvements are implemented. TSD patterns (i.e., templates) were developed and
regularly updated, including standardized sections, standardized language, and instructions.
a. Do you have written policy or guidance on practical enforceability? YlSI N ~
DAQ Response: Permit writers undergo training (see Permitting 101 and Training Plan attached separately)
and the Department maintains written instructions to guide permit writers through the permit-writing process.
Standard conditions and instructions are included in permit patterns, which are periodically reviewed and
updated by a committee of senior compliance and permitting staff. Issues of practical enforceability
experienced by compliance inspectors are vetted by the committee and guidance material is updated. Staff are
apprised of these updates and the issues are used as training examples during regular meetings
Examples attached: see Permitting 101 and Training Plan. See also condition language for baghouses, bin
vents, drilling/blasting, laundry lint, commercial building permit pattern, and procedure for reviewing permits.
10. Do any of the following affect your ability to issue timely initial title V permits:
(If yes to any of the items below, please explain.)
DAQ Response: The following have a potential to cause delays and have interrupted the permitting process to
some extent in the Department's history. However; these have not caused a trend or significant problem
relating to delays.
a. SIP backlog (i.e., EPA approval still pending for proposed SIP revisions) YD N ISI
b. Pending revisions to underlying NSR permits YlSI N ~
c. Compliance/enforcement issues YlEI N ~
d. EPA rule promulgation pending (MACT, NSPS, etc.) YD N ISI
e. Permit renewals and permit modification (i.e., competing priorities) YlEI N ~
f. Awaiting EPA guidance YD N ISI
11. Any additional comments on permit preparation or content?
DAQ Response: N/A
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B, General Permits (GP)
1. Do you issue general permits? YD N ISI
DAQ response: No general permits have been developed for Title V sources in Clark County.
a. If no, go to next section
b. If yes, list the source categories and/or emission units covered by general permits.
2. In your agency, can a title V source be subject to multiple general permits and/or a general permit and a
standard "site-specific" title V permit? YD N ~
a. What percentage of your title V sources have more than one general permit?
3. Do the general permits receive public notice in accordance with 70.7(h)? YD N ~
a. How does the public or regulated community know what general permits have been written? (e.g., are
the general permits posted on a website, available upon request, published somewhere?)
4. Is the 5-year permit expiration date based on the date:
a. The general permit is issued? YD N ~
b. You issue the authorization for the source to operate under the general permit? YD N ~
5. Any additional comments on general permits?
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C. Monitoring
1. How do you ensure that your operating permits contain adequate monitoring (i.e., the monitoring
required in §§ 70.6(a)(3) and 70.6(c)(1)) if monitoring in the underlying standard is not specified or is not
sufficient to demonstrate compliance?
DAQ Response: DAQ procedures require that all permit limits and standards have corresponding monitoring,
testing (as applicable), and recordkeeping conditions written into the permit, irrespective of whether ifs
required by the underlying standard. As such, permit writers are trained to apply those requirements to
permits, and permit reviewers ensure they were included.
a. Have you developed criteria or guidance regarding how monitoring is selected for permits? If yes,
please provide the guidance. YlEI N ~
DAQ Response: The Department developed standard monitoring conditions for common processes, limits, and
controls, which are included in various permit patterns used by permit writers (see attached Commercial
Building pattern as an example). Also, see attached monitoring guidance on baghouses and binvents, drilling
and blasting, performance testing, and lint emissions from laundries.
2. Do you provide training to your permit writers on monitoring? (e.g., periodic and/or sufficiency
monitoring; CAM; monitoring QA/QC procedures including for CEMS; test methods; establishing
parameter ranges) YlSI N ~
DAQ Response: New permit writers are required to complete various APTI coursework, including "Introduction
to Permitting" (SI 460), "Effective Permit Writing" (454), and "Intermediate Permitting" (461). Subsequently,
and before advancing to Title V permit-writing, permit writers attend classroom training for CAM and advance
NSR. Advanced permit writers are required to conduct ongoing supplemental training as part of their annual
development plan, which typically involves several miscellaneous APTI or similar coursework. Title V permit
writers attend weekly meetings, where permit-writing principles are taught, reviewed, and reinforced by
leadership. Monitoring conditions are a common point of discussion in these sessions.
3. How often do you "add" monitoring not required by underlying requirements? Have you seen any effects
of the monitoring in your permits such as better source compliance?
DAQ Response: DAQ procedures require that all permit limits and standards have corresponding monitoring
conditions written into the permit, irrespective of whether ifs required by the underlying standard. Monitoring
conditions have been effective for maintaining compliance and demonstrating compliance of permit
conditions.
4. What is the approximate number of sources that now have CAM monitoring in their permits? Please list
some specific sources.
DAQ Response: Approximately Five (5): Certainteed Gypsum Manufacturing Inc (#00004), PABCO Building
Products LLC (#00011), Georgia Pacific Gypsum LLC (#00593), Lhoist North America (#00003), and EMD
Acquisition LLC (#00095).
5. Has the Department ever disapproved a source's proposed CAM plan?
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DAQ Response: Yes. Upon deeming a CAM plan insufficient, DAQ requires that the source resubmit a revised
CAM plan.
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D, Public Participation and Affected State Review
Public Notification Process
1. Which newspapers does the Department use to publish notices of proposed title V permits?
DAQ Response: DAQ uses the Las Vegas Review Journal
2. Do you use a state publication designed to give general public notice? YD N IEI
3. Do you sometimes publish a notice for one permit in more than one paper? YD N ISI
a. If so, how common is if for the Department to publish multiple notices for one permit?
DAQ Response: N/A
b. How do you determine which publications to use?
DAQ Response: The primary local newspaper is used.
c. What cost-effective approaches have you utilized for public publication?
DAQ Response: The word-count for each publication is minimized. A template was developed, which is revised
when unnecessary information is identified.
4. Have you developed mailing lists of people you think might be interested in title V permits you propose?
[e.g., public officials, environmentalists, concerned citizens] YI3 N ~
a. Does the Department maintain more than one mailing list for title V purposes, e.g., a general title V list
and source-specific lists? YI3 N ~
DAQ Response: The Department may maintain an additional mailing list on a limited basis. In cases where a
community expressed interest in a permitting action, the Department can develop a list of interested
stakeholders and keep them apprised of new developments until the action is finalized.
b. How does a person get on the list? (e.g., by calling, sending a written request, or filling out a form on
the Department's website)
DAQ Response: The Department does not require a standard format. Requests can be submitted by email, mail
or phone. Also, DAQ developed a notification mailing list registry ("ListServ"), where stakeholders can sign-up
on the departments website for various types of notices.
c. How does the list get updated?
DAQ Response: Additions and/or revisions are made upon request. The "ListServ" is updated by individual
users.
d. How long is the list maintained for a particular source?
DAQ Response: N/A - distribution lists are typically not source-specific. If a source-specific list is developed, it
will be used until the associated permitting action is finalized and memorialized in the administrative record.
e. What do you send to those on the mailing list?
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DAQ Response: A copy of the public notice (including a summary of source emissions), the proposed permit,
and the proposed TSD. The notice provides instructions on reviewing other information contained in the
administrative record.
5. Do you reach out to specific communities (e.g., environmental justice communities) beyond the standard
public notification processes? YD N 13
DAQ Response: The Department may maintain a community-specific mailing list in cases where there's been
expressed interest. We do not maintain these lists on an on-going basis.
6. Do your public notices clearly state when the public comment period begins and ends? YlSI N ~
7. What is your opinion on the most effective methods for public notice?
DAQ Response: Mass emails and website announcements. Also, providing the ability to sign-up on the website,
which is communicated/promoted whenever given the opportunity.
8. Do you provide notices in languages besides English? Please list the languages and briefly describe under
what circumstances the Department translates public notice documents? YD N IHI
DAQ Response: N/A
Public Comments
9. How common has it been for the public to request that the Department extend a public comment period?
DAQ Response: This is rare. Only one in recent recollection, which involved a non-Title Vsource.
a. Has the Department ever denied such a request? YlEI N ~
b. If a request has been denied, what were the reason(s)?
DAQ Response: A request relating to a non-Title V source was recently denied for the first time in recollection.
It was denied because the regulatory language in the minor source regulation does not explicitly provide the
department with discretion to extend comment periods. The circumstances associated with this request did not
warrant exploring further legal authority to extend the comment period.
10. Has the public ever suggested improvements to the contents of your public notice, improvements to your
public participation process, or other ways to notify them of draft permits? If so, please describe.
YlSI N ~
DAQ Response: As a result of a high profile permitting action (not Title V related) that occurred in circa 2017,
the neighboring citizens requested that the department create a method to push notifications out to interested
parties. The department developed a "ListServ," which allows stakeholders to subscribe to various types of
notifications and receive emails when those notifications are published on the website.
11. Approximately what percentage of your proposed permits has the public commented on?
DAQ Response: Public comments are rarely received for Title V permits within the past 10-15 years;
approximately less than five percent. More comments were received prior to that, but the primary
environmental group at that time has since dissolved.
12. Over the years, has there been an increase in the number of public comments you receive on proposed
title V permits? YD N IEI
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13. Have you noticed any trends in the type of comments you have received? YD N IHI
Please explain.
a. What percentage of your permits change due to public comments?
DAQ Response: Rarely
14. Have specific communities (e.g., environmental justice communities) been active in commenting on
permits? YlSI N ~
DAQ Response: Few neighboring communities. None specific to environmental justice communities.
15. Do your rules require that any change to the draft permit be re-proposed for public comment?
YD N M
a. If not, what type of changes would require you to re-propose (and re-notice) a permit for comment?
DAQ Response: Substantive changes equating to an increase in potential emissions or emission limits,
significant change in the method of operation, or significant reduction in control requirements or compliance
demonstration.
EPA 45-day Review
16. What permit types do you send to the EPA for 45-day review?
DAQ Response: Authority to Construct permits (ATC)for new Part 70 sources, ATCfor major modification
under AQR 12.2 (PSD review) or 12.3 (NNSR), initial Title Vpermits, and Title V renewals, significant revisions
and reopening for cause.
17. Do you have an arrangement with the EPA region for its 45-day review to start at the same time the 30-
day public review starts? (aka "concurrent review) YlSI N ~
a. What could cause the EPA 45-day review period to restart (i.e., if public comments received, etc)?
DAQ Response: If public comments are received, the department would address the comments and resubmit
the package to EPA. The 45-day review period would restart.
b. How does the public know if the EPA's review is concurrent?
DAQ Response: Only if they inquired.
c. If the Department does concurrent review, is this process a requirement in your title V regulations, or a
result of a MOA or some other arrangement?
DAQ Response: Memorandum of understanding
Permittee Comments
18. Do you work with permittees prior to public notice? YlEI N ~
19. Do permittees provide comments/corrections on the permit during the public comment period? YlSI N ~
DAQ Response: Typically permittees provide comments/corrections during the courtesy review period (prior to
public participation); however they are able to provide comments during the public comment period also.
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a. Any trends in the type of comments?
DAQ Response: Comments are either related to typographical errors or source-specific circumstances. No
notable trends in the types of comments received.
b. How do these types of comments or other permittee requests, such as changes to underlying NSR
permits, affect your ability to issue a timely permit?
DAQ Response: Generally, comments from sources have not affected the departments ability to issue timely
permits, because they tend to be simplistic and/or corrective in nature. Requests to change underlying NSR
permits are not accepted as comments. Instead, the source must submit an application to modify the NSR
permit (i.e., ATC certificate). There are cases when Title Vpermits were delayed due to revisions to the NSR
permit; however these instances are fairly uncommon.
Public Hearings
20. What criteria does the Department use to decide whether to grant a request for a public hearing on a
proposed title V permit? Are the criteria described in writing (e.g.., in the public notice)?
DAQ Response: There are no criteria specified in the AQR addressing public hearings relating to Title Vpermits.
Anyone can petition for a public hearing. The department would consider whether a significant degree of
public interest exists. The department would consider all relevant factors, including the number of petitioners,
the nature of their concerns as stated in their petitions, the type and quantity of emissions emitted by the
source, and the proximity of the source to sensitive areas such as parks, schools, hospitals or residential areas.
a. Do you ever plan the public hearing yourself, in anticipation of public interest? YlSI N ~
DAQ Response: There is one recent example of this, however it was not associated with a Title V source. In that
case (Wells Cargo source ID #00012), previous public opposition and ongoing complaints compelled the
department to initiate a public hearing proactively (permit revision). There is at least one example over 15
years ago when the Department initiated a public hearing for Timet source ID #00019 to address a control
device required by a consent decree. The hearing was held in the City of Henderson, NV, where the site is
located.
Availability of Public Information
21. Do you charge the public for copies of permit-related documents? YlSI N ~
DAQ Response: The department will not charge for personnel time or materials if the process takes 30 minutes
or less. Requests for the administrative record relating to a public participation process will fall within this 30-
minute timeframe, as these records are prepared in advance for distribution upon request. If the process is a
general request for information AND takes more than 30 minutes, staff will notify the requestor of the total fee
amount, as calculated in accordance with an established fee schedule.
a. If yes, what is the cost per page?
DAQ Response: Typically free for record requests associated with public participation processes. Otherwise, if
processing time exceeds 30 minutes, the cost of materials is 2 cents per page.
b. Are there exceptions to this cost (e.g., the draft permit requested during the public comment period,
or for non-profit organizations)? YlSI N ~
c. Do your title V permit fees cover this cost? YlSI N ~ If not, why not?
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22. What is your process for the public to obtain permit-related information (such as permit applications, draft
permits, deviation reports, 6-month monitoring reports, compliance certifications, statement of basis)
especially during the public comment period?
DAQ Response: The requestor may contact the department per the instructions in a public notice (phone,
email, mail) if requesting information subject to a public comment period. Otherwise, the requestor must
submit a Public Records Request Form that is available on the website or by requesting that one be sent to
them.
a. Are any of the documents available locally (e.g., public libraries, field offices) during the public
comment period? YlSI N ~ Please explain.
DAQ Response: Proposed permits and TSDs associated with a public comment period are available on the
department's website. They are also available at the department's office.
23. How long does it take to respond to requests for information for permits in the public comment period?
DAQ Response: Typically, same day. The NRS require that the department respond no later than 5 days.
24. Have you ever extended your public comment period as a result of requests for permit-related
documents? YD N 13
25. Do information requests, either during or outside of the public comment period, affect your ability to issue
timely permits? YD N IE
26. What title V permit-related documents does the Department post on its website (e.g., proposed and final
permits, statements of basis, public notice, public comments, responses to comments)?
DAQ Response: Proposed and final permits and TSDs. Also the public notice.
a. How often is the website updated? Is there information on how the public can be involved?
DAQ Response: The website is updated with current Title V documents once they are finalized. Public notices,
which specify how to be involved, are included with all postings.
b. Do you provide public commenters with final Title V permit documents?
DAQ Response: Yes, commenters receive the final permit, TSD and Final Action Report, which lists comments
and responses to comments.
21. Have other ideas for improved public notification, process, and/or access to information been considered?
YlSI N ~ If yes, please describe.
DAQ Response: Yes, the idea of a better way to push information out to stakeholders was considered. The
department developed a "ListServ" to notify interested parties when announcements are made, include public
participation processes.
28. Do you have a process for notifying the public as to when the 60-day citizen petition period starts?
YD N M If yes, please describe.
29. Do you have any resources available to the public on public participation (booklets, pamphlets,
webpages)? YlSI N ~
DAQ Response: The website includes all public notices that explain the process. Also, the website includes all
applicable regulations.
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30. Do you provide training to citizens on public participation or on title V? YD N ISI
31. Do you have staff dedicated to public participation, relations, or liaison? YlSI N ~
a. Where are they in the organization?
DAQ Response: The department employs a Public Information Administrator who reports to the director. The
department also employs a public records liaison who reports to the manager over rule development and Small
Business Assistance Program.
b. What is their primary function?
DAQ Response: The PIA's primary function is to manage the dissemination of department information,
including the website. The records liaison's primary function is to manage the department's database.
Affected State Review and Review by Indian Tribes
32. How do you notify tribes of draft permits?
DAQ Response: Email.
33. Has the Department ever received comments on proposed permits from Tribes?
DAQ Response: None can be recalled at this time.
34. Please provide any suggestions for improving your notification process.
DAQ Response: N/A
35. Any additional comments on public notification?
DAQ Response: N/A
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E. Permit Issuance / Revision / Renewal
Permit Revisions
1. For which types of permit modifications do you follow a list or description in your regulations to determine
the appropriate process to follow: (Check all that apply)
IE Administrative amendment?
IE Section 502(b)(10) changes?
IEI Significant and/or minor permit modification?
IEI Group processing of minor modifications?
2. Approximately how many title V permit revisions have you processed for the last five years?
DAQ Response: Title V OP Actions and Throughput:
• 502(B) 10 Letter 11
• Administrative Revisions 10
• Minor Revisions 57
• New Permits 6
• Notice & Goes 54
• Renewals 26
• Reopening for Cause 1
• Significant Revision 9
a. What percentage of the permit revisions were processed as:
DAQ Response: Title V OP Percent Distribution:
• Significant: 5.17%
3. For the last five years, how many days, on average, does it take to process (from application receipt to final
permit revision):
a. A significant permit revision?
DAQ Response: 421 days
b. A minor revision?
DAQ Response: 295 days (includes group processing when minor revisions are consolidated with other actions
in accordance with AQR 12.5.2.14(b)).
4. How common has it been for the Department to take longer than 18 months to issue a significant revision,
90 days for minor permit revisions, and 60 days for administrative amendments? Please explain.
DAQ Response:
• Significant Revisions -100% within 18 months
Minor:
Administrative:
Off-permit:
502(b)(10):
32.76%
5.75%
31.03%
6.32%
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• Minor Revisions - Most issued after 90 days because of group processing (AQR 12.5.2.14(b)), and including minor
revisions with permit renewals or significant revisions.
• Administrative Revisions - All except one issued within 60 days. One issued at 73 days.
5. What have you done to streamline the issuance of revisions?
DAQ Response:
• Consolidation of separate permitting actions for the same source.
• Group processing of minor revisions for the same source.
• Draft and circulate permits with edit-tracking turned on, so reviewers can focus on proposed changes.
• Limiting TSDs to information that's only relevant to the current permitting action.
6. What process do you use to track permit revision applications moving through your system?
DAQ Response: AirTrax is the Departments data interface. It contains a workflow module where documents
are put in queues awaiting someone's action. It also tracks timing and includes automated count-downs, so
regulatory timelines are visible and updated in real time.
7. Have you developed guidance to assist permit writers and sources in evaluating whether a proposed
revision qualifies as an administrative amendment, off-permit change, significant or minor revision, or
requires that the permit be reopened? YlSI N ~ If so, please provide a copy.
DAQ Response: The Department developed written guidance for processing off-permit changes (i.e., Prior
Notifications). The AQR were written to include criteria specifying what type of permitting action can/should be
used to make a change.
8. Do you require that applications for minor and significant permit modifications include the source's
proposed changes to the permit? YD N E3
DAQ Response: The Department does not require the source to include proposed changes to the permit;
however this practice is encouraged and commonly used.
a. For minor modifications, do you require sources to explain their change and how it affects their
applicable requirements? YlSI N ~
9. Do you require applications for minor permit modifications to contain a certification by a responsible
official that the proposed modification meets the criteria for use of minor permit modification procedures
and a request that such procedures be used? YlSI N ~
10. When public noticing proposed permit revisions, how do you identify which portions of the permit are
being revised? (e.g., narrative description of change, highlighting, different fonts).
DAQ Response: The TSD includes a description of the permitting action and proposed changes. This description
includes the affected emission units and the types of requirements that have changed. Changes are not
identified in the proposed permit.
11. When public noticing proposed permit revisions, how do you clarify that only the proposed permit
revisions are open to comment?
DAQ Response: Template language for public notices includes the statement "...any person may submit written
comments on the application and any relevant documents...," which is interpreted to mean changes associated
with the current application.
18
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Permit Renewal or Reopening
12. Do you have a different application form for a permit renewal compared to that for an initial permit
application? YD N ISI
a. If yes, what are the differences?
DAQ Response: The same application form is used for initial and renewed Title V permits. However; check
boxes are provided to indicate what type of action is being proposed. Also, the application contains separate
instructions and descriptions to distinguish between types of permit applications.
13. Has issuance of renewal permits been "easier" than the original permits?
YlEI N ~ Please explain.
DAQ Response: Generally, renewal permits maintain existing limits, standards and requirements. These are not
reassessed unless warranted by a change in policy, regulation, or federal standard.
14. How are you implementing the permit renewal process (ie., guidance, checklist to provide to permit
applicants)? YD N ~
DAQ Response: An automated email is sent to responsible officials when the application renewal window
opens. An automated second-notice email is sent afterwards if no application is submitted. The application
serves as a checklist for applicants. Additionally, various forms such as emission unit worksheets, reporting
forms, compliance certification forms, and guidelines for calculations are available to applicants.
15. What percentage of renewal applications have you found to be timely and complete for the last five
years?
DAQ Response: All applications in the last five years (100%) were timely and administratively complete. About
50% of renewal applications required some sort of additional information for deeming it technically complete.
16. How many complete applications for renewals do you presently have in-house ready to process?
DAQ Response: Currently there 14 renewal applications in-house.
a. Have you been able to or plan to process these renewals within the part 70 timeframe of 18 months?
If not, what can EPA do to help? YD N ~
DAQ Response: The Department is facing an unusually busy cycle of Title V renewal applications, which was
projected in advance. In preparation, the Department restructured Permitting's major source group to pull
resources from the minor source group as necessary. Well-seasoned AQS II permit writers are expected to help
with lesser Title V permitting actions. The Department intends to be timely with all permits, but as many as
25% of the Title V permits may experience delays beyond 18 months in the coming years. EPA has been very
responsive to questions and reviews relating to Title V permits.
17. Have you ever determined that an issued permit must be revised or revoked to assure compliance with the
applicable requirements? YlSI N ~
DAQ Response: The Department will infrequently reopen a permit shortly after issuance to improve a
compliance demonstration issue that's been identified. We're currently in the process of reopening five existing
Title V permits to incorporate PM2.5 emissions from mineral processing equipment/activities, which is the most
significant reopening effort in the Department's recent history.
19
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F, Compliance
Deviations
1. Deviation reporting:
a. Please describe which deviations you require be reported prior to the semi-annual monitoring report?
DAQ Response: Per Subsection 25.6 of the Clark County Air Quality Regulations (AQRs), the owner or
operator of any source required to obtain a permit under the AQRs shall report deviations to the
Control Officer for emissions in excess of an applicable requirement or the emission limits prescribed by
the permit. The report shall be in two (2) parts:
(a) Notification by telephone, facsimile or electronic mail within twenty-four (24) hours of the
time the owner or operator first learns of the excess emissions;
(b) Written notification by submission of an excess emission report containing the information
required by Air Quality Regulations, Section 25.6.3 within seventy-two (72) hours of the
notification required by paragraph (a) above.
Additionally, deviation reporting is required under 12.5.2.6(d)(4)(B) which reverts back to Section 25.6
of the AQRs.
b. Do you require that some deviations be reported by telephone? YlSI N ~
DAQ Response: Clark County requires deviation notifications by telephone, facsimile or electronic mail
within twenty-four (24) hours of the time the owner or operator first learns of the excess emissions.
c. If yes, do you require a follow-up written report? YlEI N ~ If yes, within what timeframe?
DAQ Response: A written notification report must be submitted within seventy-two (72) hours of the
notification as stated in F(l)(a) above.
d. Do you require that all deviation reports be certified by a responsible official? (If no, describe which
deviation reports are not certified). YlSI N ~
i. Do you require certifications to be submitted with the deviation report? YlSI N ~
ii. If not, do you allow the responsible official to "back certify" deviation reports? YD N ~
DAQ Response: NA
iii. If you allow the responsible official to "back certify" deviation reports, what timeframe do you allow
for the follow-up certifications (e.g., within 30 days; at the time of the semi-annual deviation
reporting)?
DAQ Response: This is a case-by-case determination.
20
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2. How does your program define deviation?
DAQ Response: Section 12.5.1(a) of the AQRs defines deviation as "...a variation from any permit terms,
including terms that establish emission limitations, operating conditions, or work practice standards,
and those terms intended to show compliance with those limitations, conditions, or standards,
including monitoring, recordkeeping, and reporting requirements. A deviation is not necessarily a
violation."
3. Do you require only violations of permit terms to be reported as deviations? YD N ISI
DAQ Response:
1) For deviations with excess emissions - Section 25 of the AQRs require the owner or operator of any
source required to obtain a permit under Clark County's Air Quality Regulations to report deviations to
the Control Officer for emissions in excess of an applicable requirement or the emission limits prescribed
by the permit. The report shall be in two (2) parts:
(a) Notification by telephone, facsimile or electronic mail within twenty-four (24) hours of the
time the owner or operator first learns of the excess emissions;
(b) Written notification by submission of an excess emission report containing the information
required by Air Quality Regulations, Section 25.6.3 within seventy-two (72) hours of the
notification required by paragraph (a) above.
2) For deviations without excess emissions, the owner or operator of any source required to obtain a
permit must submit such deviations in the next semiannual or annual report, depending on the source's
classification.
4. Which of the following do you require to be reported as a deviation (Check all that apply):
~ Excess emissions excused due to emergencies (pursuant to 70.6(g))
Note: Excess emissions due to emergencies are not excused in Clark County under Section 12.5 of the
AQR.
~ Excess emissions excused due to SIP provisions (cite the specific state rule)
Note: Excess emissions are not excused in Clark County through any SIP provision.
~ Excess emissions allowed under NSPS or MACT SSM provisions
ISI Excursions from specified parameter ranges where such excursions are not a monitoring violation (as
defined in CAM)
ISI Excursions from specified parameter ranges where such excursions are credible evidence of an emission
violation
Failure to collect data/conduct monitoring where such failure is "excused":
IS During scheduled routine maintenance or calibration checks Note: Yes, only if required by permit.
~ Where less than 100% data collection is allowed by the permit
21
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ISI Due to an emergency
~ Other? Describe.
5. Do your deviation reports include:
a. The probable cause of the deviation? YlEI N ~
b. Any corrective actions taken? YlEI N ~
c. The magnitude and duration of the deviation? YlEI N ~
6. Do you define "prompt" reporting of deviations as more frequent than semi-annual? YlSI N ~
DAQ Response: For deviations with excess emissions, reporting is required within 72 hours of the
deviation notification. For deviations without excess emissions, those deviations must be reported in
the next semiannual report.
7. Do you require a written report for deviations? YlEI N ~
8. Do you require that a responsible official certify all deviation reports? YlSI N ~
Compliance Reports
9. What is your procedure for reviewing and following up on:
a. Deviation reports? YlEI N ~
b. Semi-annual monitoring reports? YlSI N ~
c. Annual compliance certifications? YlSI N ~
DAQ Response:
Each of the above submitted reports are reviewed by a compliance officer either as a Partial
Compliance Evaluation (PCE) or during a Full Compliance Evaluation (FCE).
Deviation Reports with excess emissions: These reports are reviewed within 30 days of submittal as a
PCE. A check sheet/narrative form (Form) is used for the review process and all deficiencies are noted.
The form is peer reviewed and audited with a recommendation made regarding enforcement action.
Semi-annual monitoring reports: Semi-annual reports for CMS sources are reviewed within 60 days of
submittal as a PCE. A form is used for the review process and all deficiencies are noted. The form is peer
reviewed and audited with a recommendation made regarding enforcement action. For non-CMS
sources, the semi-annual report is reviewed during the FCE.
Annual compliance certifications (ACCs): ACCs are reviewed within 60 days of submittal as a PCE. A
form is used for the review process and all deficiencies are noted. The form is peer reviewed and
audited with a recommendation made regarding enforcement action. An ICIS entry is also performed
within the 60 days of submittal.
10. Please identify the percentage of the following reports you review:
a. Deviation reports; 100%
b. Semi-annual monitoring reports; 100%
c. Annual compliance certification; 100%
22
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11. Compliance certifications
a. Have you developed a compliance certification form? YlSI N ~ If no, go to question 12.
i. Is the certification form consistent with your rules? YlSI N D2007
ii. Is compliance based on whether compliance is continuous or intermittent or whether the
compliance monitoring method is continuous or intermittent?
DAQ Response: The certification form asks whether compliance with the permit condition, term or
requirement is continuous or intermittent.
iii. Do you require sources to use the form? YD N IEI If not, what percentage do?
DAQ Response: Approximately 90%
iv. Does the form account for the use of credible evidence? YlSI N ~
DAQ Response: The certification form allows for "other" for a compliance monitoring method, which
can be used for supporting credible evidence.
Does the form require the source to specify the monitoring method used to determine compliance
where there are options for monitoring, including which method was used where more than one
method exists? YlSI N ~
12. Is your compliance certification rule based on:
a. The '97 revisions to part 70 - i.e., is the compliance certification rule based on whether the compliance
monitoring method was continuous or intermittent; ISI
OR
b. The '92 part 70 rule - i.e., is the compliance certification rule based on whether compliance was
continuous or intermittent? ~
Excess Emissions
13. Does your program include an emergency defense provision as provided in 70.6(g)? YD N IEI If yes, does
it:
DAQ Response: Section 12.5 of the AQRs (Clark County's equivalent Part 70 rule) does not have a provision
to provide emergency defense pursuant to Section 70.6(g). However, Section 25 of the AQR does have an
affirmative defense provision, which is in the process of being revised for removal.
a. Provide relief from penalties? YD N ~
b. Provide injunctive relief? YD N ~
c. Excuse non-compliance? YD N ~ Answer: Evaluated on a case-by-case basis.
23
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14. Does your program include a SIP excess emissions provision? YD N 13 If no, go to 10.c. If yes does it:
a. Provide relief from penalties? YD N ~
b. Provide injunctive relief? YD N ~
c. Excuse noncompliance? YD N ~
15. Do you require the source to obtain a written concurrence from the Department before the source can
qualify for:
a. The emergency defense provision? YD N E3
b. The SIP excess emissions provision? YD N 13
c. NSPS/NESHAP SSM excess emissions provisions? YD N ISI
DAQ Response: Section 25 of the AQR does have an affirmative defense provision, which doesn't require
written concurrence from the Department if the source qualifies; however, Section 25 of the AQR is in the
process of being revised to become an excess emissions reporting rule only. The affirmative defense
provision will be removed.
16. Any additional comments on compliance?
DAQ Response: N/A
24
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G. Resources & Internal Management Support
1. Are there any competing resource priorities for your "title V" staff in issuing title V permits? YlEI N ~
a. If so, what are they?
DAQ Response: The Permitting section recently underwent structural changes to alleviate distractions of Title V
staff; reviewing draft minor source permits was moved under a single Senior AQS, so other staff can focus on
permit writing. All Senior AQS (i.e., Title Vstaff) mentor less experienced permit writers, lead special projects,
and help develop processes. These all compete with Title V permit writing, but are necessary for continual
optimization of the program.
2. Are there any initiatives instituted by your management that recognize/reward your permit staff for
getting past barriers in implementing the title V program that you would care to share? YlEI N ~
DAQ Response: The Department developed an electronic kudos system, where anyone can write a referral
that's approved by the director. If approved, the permit writer receives an email from the director, and the
write-up is posted on the intranet. All employees who received a kudos within a calendar quarter are entered
into a prize drawing at the following department-wide meeting.
3. How is management kept up to date on permit issuance? YD N ~
DAQ Response: Management prepares monthly performance reports that are submitted to upper
management. Performance is compared to annual goals, including productivity and timeliness. Permitting
management also reviews TOPS tracking reports submitted to EPA semi-annually and nearly all Title V draft
permits prior to issuance.
4. Do you meet on a regular basis to address issues and problems related to permit writing? YlEI N ~
5. Do you charge title V fees based on emission rates? YlEI N ~
a. If not, what is the basis for your fees?
b. What is your title V fee?
DAQ Response: The Departments fee schedule can be reviewed here.
c. Do you have sources that refuse to pay their title V fee? YlEI N ~ How do you approach these
situations?
6. How do you track title V expenses?
DAQ Response: Title V expenses are allocated on a percentage basis, segregated and tracked in a funded
program solely intended for Title V expenses.
7. How do you track title V fee revenue?
DAQ Response: Title V revenues are tracked in the same funded program with a specific general ledger
account that is solely intended for Title V revenues.
8. How many title V permit writers does the agency have on staff (number of FTE's, both budgeted and
actual)?
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DAQ Response: A total of five (5) Senior AQS FTEs are budgeted for the Permitting section. Currently, four (4)
are occupied and one (1) is vacant.
9. Do the permit writers work full time on title V? YD N ISI
a. If not, describe their main activities and percentage of time on title V permits.
DAQ Response: Three (3) Senior AQS focus approximately 75% of their time on Title V, including conducting
peer reviews for other Title V permit writers. One (1) Senior AQS devotes approximately 10% of his time on Title
V permit writing, as necessary to manage loads. Their remaining time is used for mentoring/training,
conducting special projects, and reviewing/processing minor source permitting actions.
b. How do you track the time allocated to Title V activities versus other non-title V activities?
DAQ Response: The Department uses an electronic permitting log (AirTrax) with pre-determined allocations
built-in for all types of permitting actions and source categories. This log tracks in real-time all current and past
permitting actions.
10. Are you currently fully staffed?
DAQ Response: Not all budgeted FTEs are filled in the Permitting section and the Department currently does
not intend to recruit new permit writers.
11. What is the ratio of permits to Title V permit writers?
DAQ Response: Approximately 5-8 Title Vpermits to 1 permit writer.
12. Describe staff turnover.
DAQ Response: Staff turnover is minimal in recent years. One Senior AQS left the Department over a year ago.
The remaining Senior AQS have been in-place for 5-10 years.
a. How does this impact permit issuance?
DAQ Response: The issuance of timely Title Vpermits has not been significantly affected by the loss of one
permit writer. A heavy Title V cycle is forthcoming and the section underwent structural changes to pull
resources from the minor source group as necessary.
b. How does the permitting authority minimize turnover?
DAQ Response: The Department provides promotional opportunities for permit writers graduating into the
Title Vprogram. Less significant Title V work (e.g., minor revisions and simplistic renewals) may be available to
non-Title V permit writers, which provides competitive skill sets for future promotional opportunities. The
County offers competitive salaries to air quality permit writing positions.
13. Do you have a career ladder for permit writers? YlSI N ~ If so, please describe.
DAQ Response: Permit writers start in the minor source program as AQS ////. After learning permitting
principles, they have opportunities to work on complex permitting actions, as well as insignificant Title V
permits (e.g., minor revisions and simplistic renewals). Permit writers can promote to Senior AQS on a
competitive basis when those positions become available.
14. Do you have the flexibility to offer competitive salaries? YD N ISI
DAQ Response: Salary ranges are pre-established. The compensation package is believed to be competitive
compared to private industry.
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15. Can you hire experienced people with commensurate salaries? YlEI N ~
16. Describe the type of training given to your new and existing permit writers.
DAQ Response: Please refer to the attachments; Training Plan-AQ Specialist I; and Permitting 101. New permit
writers must complete these training requirements within their first year, which includes coursework, hands-on
work, and cross-divisional experience. They're also required to accompany senior permit writers on site visits,
and attend Smoke School and MSHA 24-hr training upon the next availability.
Existing permit writers are required to attend multi-day Advance NSR training every three years. They're also
required to satisfy their annual development plan, which is created by the supervisor during the annual
performance evaluation and focuses on areas where additional training is warranted. Existing permit writers
must also maintain their MSHA certification by attending the 8-hr refresher course annually.
Additionally, the Department organizes on-site and off-site training sessions of various sorts that are offered by
an outside contractor (e.g., Westar and CARB). These courses can be permitting or compliance related, and
attendance is based on experience, work areas of focus, and work responsibilities.
17. Does your training cover:
a. How to develop periodic and/or sufficiency monitoring in permits? YlEI N ~
b. How to ensure that permit terms and conditions are enforceable as a practical matter? YlSI N ~
c. How to write a Statement of Basis? YlSI N ~
18. Please describe anything that EPA can do to assist/improve your training.
DAQ Response: Expand subject matter and availability of APT I coursework.
19. How has the Department organized itself to address title V permit issuance?
DAQ Response: The Permitting section was divided into two separate groups, each with its own supervisor.
Senior AQS are primarily focused on the Title V program, which eliminates distractions. Open communication
between Permitting and Compliance sections is built into processes, so decisions are informed and
unforeseeable consequences are minimized.
20. Overall, what is the biggest internal roadblock to permit issuance from the perspective of Resources and
Internal Management Support?
DAQ Response: Workload; adequate time to conduct thorough analyses without being rushed by other
pressing work.
Environmental Justice Resources
21. Do you have Environmental Justice (EJ) legislation, policy or general guidance which helps to direct
permitting efforts? YD N 13 If so, may EPA obtain copies of this information?
22. Do you have an in-house EJ office or coordinator, charged with oversight of EJ related activities? YD N ISI
23. Have you provided EJ training / guidance to your permit writers? YlSI N ~
27
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DAQ Response: Informal training on concepts and principles.
24. Do the permit writers have access to demographic information necessary for EJ assessments? (e.g., socio-
economic status, minority populations, etc.) YD N ISI
25. When reviewing an initial or renewal application, is any screening for potential EJ issues performed?
YD N 13 If so, please describe the process and/or attach guidance.
28
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H, Title ¥ Benefits
1. Does your staff implementing the title V program generally have a better understanding of:
a. NSPS requirements? YEI N ~
b. The stationary source requirements in the SIP? Yl3 N ~
c. The minor NSR program? YlSI N ~
d. The major NSR/PSD program? YlSI N ~
e. How to design monitoring terms to assure compliance? YlSI N ~
f. How to write enforceable permit terms? YI3 N ~
2. In issuing initial title V permits:
a. Have you noted inconsistencies in how sources had previously been regulated (e.g., different emission
limits or frequency of testing for similar units)? YlEI ND If yes, describe.
DAQ Response: Purposeful improvements are continuously implemented. It's likely that initial permits issued
today are different from those issued in the past. If so, those standards are carried over to all permits as
they're reissued/renewed.
b. Have you taken (or are you taking) steps to assure better regulatory consistency within source
categories and/or between sources? YlEI N ~ If yes, describe.
DAQ Response: The development of category-specific patterns (i.e., permit templates) ensure the
standardization of common requirements. The multi-level review process also ensures requirements are
consistent across comparable sources and same source categories.
3. Based on your experience, estimate the frequency with which potential compliance problems are
identified through the permit issuance process:
Never Occasionally Frequently Often
a. Prior to submitting an application ~ x ~ ~
b. Prior to issuing a draft permit ~ x ~ ~
c. After issuing a final permit ~ x ~ ~
4. Based on your experience with sources addressing compliance problems identified through the title V
permitting process, estimate the general rate of compliance with the following requirements prior to
implementing title V:
DAQ Response: The Department is unable to make this comparison, as no one currently employed was working
at the agency prior to the implementation of the Title V program.
Never Occasionally Frequently Often
a. NSPS requirements
(including failure to identify an NSPS as applicable) ~ ~ ~ ~
29
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b. SIP requirements
~ ~
~
~
c. Minor NSR requirements
(including the requirement to obtain a permit) ~ ~
~
~
d. Major NSR/PSD requirements
(including the requirement to obtain a permit) ~ ~
~
~
5. Do you see a difference in compliance behavior on the part of sources that have to comply with the title V
program? (Check all that apply.)
IE] Increased use of self-audits?
IE] Increased use of environmental management systems?
IE] Increased staff devoted to environmental management?
IEI Increased resources devoted to environmental control systems (e.g., maintenance of control
equipment; installation of improved control devices; etc.)?
IEI Increased resources devoted to compliance monitoring?
13 Better awareness of compliance obligations?
~ Other? Describe.
6. Does implementation of the title V program improve other areas of your program? (Check all that apply.)
~ Netting actions
IEI Emission inventories
~ Past records management (e.g., lost permits)
IEI Enforceability of PTE limits (e.g., consistent with guidance on enforceability of PTE limits such as the
June 13, 1989 guidance)
~ Identifying source categories or types of emission units with pervasive or persistent compliance
problems; etc.
IEI Clarity and enforceability of NSR permit terms
~ Better documentation of the basis for applicable requirements (e.g., emission limit in NSR permit
taken to ~ avoid PSD; throughput limit taken to stay under MACT threshold)
~ Emissions trading programs
~ Emission caps
~ Other (describe)
7. If yes to any of the above, would you care to share how the title V program improves other aspects of your
air program? (e.g., increased training; outreach; targeted enforcement)?
DAQ Response: The Department models its other permitting program after Title V whenever possible to ensure
sound permitting practices.
8. Are there aspects of the title V program that you have extended to other program areas (e.g., require
certification of accuracy and completeness for pre-construction permit applications and reports; increased
records retention; inspection entry requirement language in NSR permits). YlEI N ~ If yes, describe.
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DAQ Response: Generally, the air permitting program in its entirety is modeled after the Title Vprogram, as
appropriate and allowable.
9. Have you made changes in how NSR permits are written and documented as a result of lessons learned in
title V (e.g., permit terms more clearly written; use of a statement of basis to document decision making)?
If yes, describe.
DAQ Response: Enforceability issues discovered in Title Vpermits serve as lessons to establish adequate NSR
conditions.
10. Do you use information from title V to target inspections and/or enforcement? YlSI N ~
11. Is title V fee money helpful in running the program? That is, does it help you to provide: (Check all that
apply.)
M Better training?
13 More resources for your staff such as CFRs and computers?
ISI Better funding for travel to sources?
ISI Stable funding despite fluctuations in funding for other state programs?
ISI Incentives to hire and retain good staff?
~ Are there other benefits of the fee program? Describe.
12. Have you received positive feedback from citizens? YD N ISI
13. Has industry expressed a benefit of title V? YD N ISI If so, describe.
14. Do you perceive other benefits as a result of the title V program? YD N 13 If so, describe.
DAQ Response: All perceived benefits addressed above.
15. Other comments on benefits of title V? YD N 13
Good Practices not addressed elsewh ;his questionnaire
16. Are any practices employed that improve the quality of the permits or other aspects of the title V program
that are not addressed elsewhere in this questionnaire?
EPA assistance not addressed elsewhere in this questionnaire
17. Is there anything else EPA can do to help your title V program?
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Appendix C. U.S. EPA Statement of Basis Guidance
Page 47 of 51
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Table of SOB guidance
Elements
Region 9's Febuary 19,
1999 letter to SLOC
APCD
NOD to Texas' part 70
Program (January 7,
2002)
Region 5 letter to state of
Ohio (December 20, 2001)
Los Medanos
Petition Order
(May 24, 2004)
Bay Area Refinery
Petition Orders
(March 15, 2005)
EPA's August 1,
2005 letter
regarding Exxon
Mobil proposed
permit
Petition No. V-2005-
1 (February 1, 2006)
(Onyx Order)
EPA's April 30, 2014
Memorandum:
Implementation Guidance on
ACC Reporting and SOB
Requiremetns for Title V
Operating Permits
New Equipment
Additions of permitted
equipment which were not
included in the application
V
Insignificant
Activities and
portable equipment
Identification of any applicable
requirements for insignificant
activities or State-registered
portable equipment that have
not previously been identified at
the Title V facility
V
Streamlining
Multiple applicable
requirements streamlining
demonstrations
Streamlining requirements
Streamlining analysis
V
Permit Shields
Permit shields
The basis for applying the
permit shield
V
Discussion of permit
shields
Basis for permit shield
decisions
V
Alternative
Operating Scenarios
and Operational
Flexibility
Alternative operating scenarios
A discussion of any
operational flexibility that
will be utilized at the facility.
V
V
Compliance
Schedules
Compliance Schedules
Must discuss need for
compliance schedule
for multiple NOVs,
particularly any
unresolved/outstanding
NOVs
Must discuss need for
compliance schedule for
any outstanding NOVs
CAM
CAM requirements
V
PALs
Plant wide allowable emission
limits (PAL) or other voluntary
limits
V
Previous Permits
Any district permits to operate
or authority to construct permits
Explanation of any conditions
from previously issued permits
that are not being transferred to
the title V permit
A basis for the
exclusion of certain
NSR and PSD
conditions contained in
underlying ATC permits
V
Periodic Monitoring
Decisions
Periodic monitoring decisions,
where the decisions deviate
from already agreed upon levels
(eg. Monitoring decisions
agreed upon by the district and
EPA either through: the Title V
periodic monitoring workgroup;
or another Title V permit for a
similar source). These decisions
could be part of the permit
package or reside in a publicly
available document.
The rationale for the
monitoring method selected
A description of the monitoring
and operational restrictions
requirements
1) recordkeeping and
period monitoring that
is required under 40
CFR 70.6(a)(3)(i)(B) or
district regulation
2) Ensure that the
rationale for the
selected monitoring
method or lack of
monitoring is clearly
explained and
documented in the
permit record.
The SOB must include
a basis for its periodic
monitoring decisions
(adequacy of chosen
monitoring or
justification for not
requiring periodic
monitoring)
The SOB must include a
basis for its periodic
monitoring decisions.
Any emissions factors,
exhaust characteristics, or
other assumptions or
inputs used to justify no
periodic monitoring is
required, should be
included in SOB
V
Facility Description
A description of the facility
V
V
Applicability
Determinations and
Exemptions
Any federal regulatory
applicability determinations
Applicability and exemptions
1) Applicability
determinations for
source specific
applicable requirements
2) Origin or factual
basis for each permit
condition or exemption
SOB must discuss the
Applicability of various
NSPS, NESHAP and
local SIP requirements
and include the basis
for all exemptions
SOB must discuss the
Applicability of various
NSPS, NESHAP and
local SIP requirements
and include the basis for
all exemptions
V
General
Requirements
Certain factual information as
necessary
Generally the SOB
should provide "a
record of the
applicability and
technical issues
surrounding the
issuance of the permit."
V
V
V
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION IX
75 Hawthorne Street
San Francisco, CA 94105-3901
FSIsruary 19, 1999
Mr, David Dixon
Chairperson, Title V Subcommittee
San Luis Obispo County
Air Pollution Control District
3433 Roberto Court
San Luis Obispo, CA 93401
Dear Mr. Dixon:
I am writing to provide a final version of our response to your July 2,1998 letter in which
you expressed concern about Region IX's understanding of the Subcommittee's tentative
resolution to the 45-day EPA review period issue. I have also included a summary of the
Subcommittee's agreement on two title V implementation issues originally raised by some
Subcommittee members at our meeting on August 18, 1998. Our response reflects many
comments and suggestions we have received during the past several months from members of the
Title V Subcommittee and EPA's Office of General Counsel. In particular, previous drafts of
this letter and the enclosure have been discussed at Subcommittee meetings on October 1,1998,
November 5,1998, January 14,1999, and February 17, 1999. Today's final version incorporates
suggested changes as discussed at these meetings and is separated into two parts: Part I is
"guidance" on what constitutes a complete Title V permit submittal; and Part II is a five-point
process on how to better coordinate information exchange during and after the 45-day EPA
review period.
We will address the letter to David Howekamp from Peter Venturini dated August 7,
1998 regarding permits issued pursuant to NSR rules that will not be SIP approved in the near
future. This issue was also discussed at the August 18 Title V Subcommittee meeting.
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I appreciate your raising the issues regarding the 45-day EPA review clock to my
attention. Your efforts, along with the efforts of other Title V Subcommittee members, have
been invaluable towards resolving this and other Title V implementation issues addressed in this
letter. The information in the enclosure will clarify Title V permitting expectations between
Region IX and the California Districts and will improve coordination of Title V permit
information. It is important to implement this immediately, where necessary, so the benefits of
this important program can be fully realized as soon as possible in the state of California as well
as other states across the country.
If you have any questions please do not hesitate to call me at (415) 744-1254.
Enclosure
cc: California Title V Contacts
California Air Pollution Control Officers
Ray Menebroker, CARB
Peter Venturini, CARB
Sincerely,
Matt Haber
Chief, Permits Office
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Enclosure
Neither the guidance in Part I nor the process in Part II replace or alter any requirements
contained in Title V of the Clean Air Act or 40 CFR Part 70.
PART I. Guidance on Information Necessary to Begin 45-day EPA Review
A complete submittal to EPA for a proposed permit consists of the application (if one has not
already been sent to EPA), the proposed permit, and a statement of basis. If applicable to the
Title V facility (and not already included in the application or proposed permit) the statement of
basis should include the following:
• additions of permitted equipment which were not included in the application;
• identification of any applicable requirements for insignificant activities or State-registered portable
equipment that have not previously been identified at the Title V facility,
• outdated SIP requirement streamlining demonstrations,
• multiple applicable requirements streamlining demonstrations,
• permit shields,
• alternative operating scenarios,
• compliance schedules,
• CAM requirements,
• plant wide allowable emission limits (PAL) or other voluntary limits,
• any district permits to operate or authority to construct permits;
• periodic monitoring decisions, where the decisions deviate from already agreed-upon levels (e.g.,
monitoring decisions agreed upon by the district and EPA either through: the Title V periodic monitoring
workgroup; or another Title V permit for a similar source). These decisions could be part of the permit
package or could reside in a publicly available document.
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Part II- Title V Process
The following five-point process serves to clarify expectations for reviewing Title ¥ permits and
coordinating information on Title V permits between EPA Region DC ("EPA") and Air Pollution
Districts in California ("District"). Districts electing to follow this process can expect the
following. Districts may, at their discretion, make separate arrangements with Region IX to
implement their specific Title V permit reviews differently.
Point 1: The 45-day clock will start one day after EPA receives all necessary information to
adequately review the title V permit to allow for internal distribution of the documents. Districts
may use return receipt mail, courier services, Lotus Notes, or any other means they wish to
transmit a package and obtain third party assurance that EPA received it. If a District would like
written notice from EPA of when EPA received the proposed title V permit, the District should
notify EPA of this desire in writing. After receiving the request, Region IX will provide written
response acknowledging receipt of permits as follows:
(Date)
Dear (APCO):
We have received your proposed Title V permit for ("Source Name) on (Date)
If, after 45-days from the date indicated above, you or anyone in your office has not heard from
us regarding this permit, you may assume our 45-day review period is over.
Sincerely,
Matt Haber
Chief, Permits Office
Point 2: After EPA receives the proposed permit, the permit application, and all necessary
supporting information, the 45-day clock may not be stopped or paused by either a District or
EPA, except when EPA approves or objects to the issuance of a permit.
Point 3: The Districts recognize that EPA may need additional information to complete its title V
permit review. If a specific question arises, the District involved will respond as best it can by
providing additional background information, access to background records, or a copy of the
specific document.
The EPA will act expeditiously to identify, request and review additional information and the
districts will act expeditiously to provide additional information. If EPA determines there is a
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basis for objection, including the absence of information necessary to review adequately the
proposed permit, EPA may object to the issuance of the permit. If EPA determines that it needs
more information to reach a decision, it may allow the permit to issue and reopen the permit after
the information has been received and reviewed.
Point 4: When EPA objects to a permit, the Subcommittee requested that the objection letter
identify why we objected to a permit, the legal basis for the objection, and a proposal suggesting
how to correct the permit to resolve the objection.
It has always been our intent to meet this request. In the future, when commenting on, or
objecting to Title V permits, our letters will identify recommended improvements to correct the
permit. For objection letters, EPA will identify why we objected to a permit, the legal basis for
the objection, and details about how to correct the permit to resolve the objection. Part 70 states
that "Any EPA objection... shall include a statement of the Administrator's reasons for objection
and a description of the terms and conditions that the permit must include to respond to the
objections."
Point 5: When EPA objects to a permit, and a District has provided information with the intent to
correct the objection issues, the Subcommittee members requested a letter from EPA at the end
of the 90-day period stating whether the information provided by the District has satisfied the
objection.
While we agree with the Districts' desire for clear, written communication from EPA, a written
response will not always be possible by the 90th day because the regulations allow a District 90
days to provide information. To allow EPA ample time to evaluate submitted information to
determine whether the objection issues have been satisfied, we propose establishing a clear
protocol. The following protocol was agreed to by members of the Subcommittee:
1. within 60 days of an EPA objection, the District should revise and submit a
proposed permit in response to the objection;
2. within 30 days after receipt of revised permit, EPA should evaluate information
and provide written response to the District stating whether the information
provided by the District has satisfied the objection.
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December 20, 2001
CAR-18 J)
Robert F. Hodanbosi, Chief
Division of Air Pollution Control
Ohio Environmental Protection Agency
122 South Front Street
P. 0. Box 1049
Columbus, Ohio 43266-1049
Dear Mr. Hodanbosi:
I am writing this letter to provide guidelines on the content of an adequate
statement of basis (SB) as we committed to do in our November 21, 2001,
letter. The regulatory basis for a SB is found in 40 C.F.R. § 70.7(a)(5) and
Ohio Administrative Code (QAC) 3745-77-08 (A) (2) which requires that each draft
permit must be accompanied by "a statement that sets forth the legal and
factual basis for the draft permit conditions." The May 10, 1991, preamble
also suggests the importance of supplementary materials.
" [United States Environmental Protection Agency (USEPA)]...can obj ect to
the issuance of a permit where the materials submitted by the State
permitting authority to EPA do not provide enough information to allow a
meaningful EPA review of whether the proposed permit is in compliance
with the requirements of the Act." (56 FR 21750)
The regulatory language is clear in that a SB must include a discussion of
decision-making that went into the development of the Title V permit and to
provide the permitting authority, the public, and the USEPA a record of the
applicability and technical issues surrounding issuance of the permit. The SB
is part of the historical permitting record for the permittee. A SB generally
should include, but not be limited to, a description of the facility to be
permitted, a discussion of any operational flexibility that will be utilized,
the basis for applying a permit shield, any regulatory applicability
determinations, and the rationale for the monitoring methods selected. A SB
should specifically reference all supporting materials relied upon, including
the applicable statutory or regulatory provision.
While not an exhaustive list of what should be in a SB, below are several
important areas where the Ohio Environmental Protection Agency's (OEPA) SB
could be improved to better meet the intent of Part 70.
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- 2 -
Discussion of the Monitoring and Operational Requiranents
OEPA's SB must contain a discussion on the monitoring and operational
restriction provisions that are included for each emission unit. 40 C.F.R.
§70.6 (a) and QAC 3745-77-07 (A) require that monitoring and operational
requirements and limitations be included in the permit to assure compliance
with all applicable requirements at the time of permit issuance. OEPA's
selection of the specific monitoring, including parametric monitoring and
recordkeeping, and operational requirements must be explained in the SB. For
example, if the permitted compliance method for a grain-loading standard is
maintaining the baghouse pressure drop within a specific range, the SB must
contain sufficient information to support the conclusion that maintaining the
pressure drop within the permitted range demonstrates compliance with the
grain-loading standard.
The USEPA Administrator's decision in response to the Fort James Camas Mill
Title V petition further supports this position. The decision is available on
the web at
http://www.epa.gov/regionO7/programs/artd/air/title5/petitiondb/petitions/fort
_james_decisionl999.pdf. The Administrator stated that the rationale for the
selected monitoring method must be clear and documented in the permit record.
Discussion of Applicability and Exemptions
The SB should include a discussion of any complex applicability determinations
and address any non-applicability determinations. This discussion could
include a reference to a determination letter that is relevant or pertains to
the source. If no separate determination letter was issued, the SB should
include a detailed analysis of the relevant statutory and regulatory
provisions and why the requirement may or may not be applicable. At a
minimum, the SB should provide sufficient information for the reader to
understand OEPA's conclusion about the applicability of the source to a
specific rule. Similarly, the SB should discuss the purpose of any limits on
potential to emit that are created in the Title V permit and the basis for
exemptions from requirements, such as exemptions from the opacity standard
granted to emissions units under QAC rule 3745-17-07 (A) . If the permit shield
is granted for such an exemption or non-applicability determination, the
permit shield must also provide the determination or summary of the
determination. See CAA Section 504(f) (2) and 70.6(f) (1) (ii) .
Explanation of any conditions frcm previously issued permits that are not
being transferred to the Title V permit
In the course of developing a Title V permit, OEPA may decide that an
applicable requirement no longer applies to a facility or otherwise not
federally enforceable and, therefore, not necessary in the Title V permit in
accordance with USEPA's "White Paper for Streamlined Development of the Part
70 Permit Applications" (July 10, 1995). The SB should include the rationale
for such a determination and reference any supporting materials relied upon in
the determination.
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- 3 -
I will also note that for situations that not addressed in the July 10, 1995,
White Paper, applicable New Source Review requirements can not be dropped from
the Title V permit without first revising the permit to install.
Discussion of Streamlining Requiranents
The SB should include a discussion of streamlining determinations. When
applicable requirements overlap or conflict, the permitting authority may
choose to include in the permit the requirement that is determined to be most
stringent or protective as detailed in USEPA's "White Paper Number 2 for
Improved Implementation of the Part 70 Operating Permits Program" (March 5,
1996) . The SB should explain why OEPA concluded that compliance with the
streamlined permit condition assures compliance with all the overlapping
requirements.
Other factual information
The SB should also include factual information that is important for the
public to be aware of. Examples include:
1. A listing of any Title V permits issued to the same applicant at
the plant site, if any. In some cases it may be important to
include the rationale for determining that sources are support
facilities.
2. Attainment status.
3. Construction and permitting history of the source.
4. Compliance history including inspections, any violations noted, a
listing of consent decrees into which the permittee has entered
and corrective action(s) taken to address noncompliance.
I do understand the burden that the increased attention to the SB will cause
especially during this time when OEPA has been working so hard to complete the
first round of Title V permit issuance. I do hope that you will agree with me
that including the information listed above in OEPA's SB will only improve the
Title V process. If you would like examples of other permitting authorities'
SB, please contact us. We would be happy to provide you with some. I would
also mention here that this additional information should easily fit in the
format OEPA currently uses for its SB. We look forward to continued
cooperation between our offices on this issue. If you have any questions,
please contact Genevieve Damico, of my staff, at (312) 353-4761.
Sincerely yours,
/s/
Stephen Rothblatt, Chief
Air Programs Branch
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BEFORE THE ADMINISTRATOR
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
IN THE MATTER OF
LOS MEDANOS ENERGY
CENTER
PETITION NO.
ORDER RESPONDING TO
PETITIONERS REQUEST THAT THE
ADMINISTRATOR OBJECT TO
ISSUANCE OF A STATE OPERATING
PERMIT
MAJOR FACILITY REVIEW
PERMIT No. B1866,
Issued by the Bay Area Air
Quality Management District
ORDER DENYING IN PART AND GRANTING IN PART PETITION FOR OBJECTION
TO PERMIT
On September 6, 2001, the Bay Area Air Quality Management District, ("BAAQMD" or
"District") issued a Major Facility Review Permit to Los Medanos Energy Center, Pittsburg,
California ("Los Medanos Permit" or "Permit"), pursuant to title V of the Clean Air Act ("CAA"
or "the Act"), 42 U.S.C. §§ 7661-766If, CAA §§ 501-507. On October 12, 2001, the
Environmental Protection Agency ("EPA") received a petition from Our Children's Earth
Foundation ("OCE") and Californians for Renewable Energy, Inc., ("CARE") (collectively, the
"Petitioners") requesting that the EPA Administrator object to the issuance of the Los Medanos
Permit pursuant to Section 505(b)(2) of the Act, the federal implementing regulations found at 40
CFR Part 70.8, and the District's Regulation 2-6-411.3 ("Petition").
The Petitioners allege that the Los Medanos Permit (1) improperly includes an emergency
breakdown exemption condition that incorporates a broader definition of "emergency" than
allowed by 40 CFR § 70.6(g); (2) improperly includes a variance relief condition which is not
federally enforceable; (3) fails to include a statement of basis as required by 40 CFR § 70.7(a)(5);
(4) contains permit conditions that are inadequate under 40 CFR Part 70, namely that certain
provisions are unenforceable; and (5) fails to incorporate certain changes OCE requested during
the public comment period and agreed to by BAAQMD.
EPA has now fully reviewed the Petitioners' allegations. In considering the allegations,
EPA performed an independent and in-depth review of the Los Medanos Permit; the supporting
documentation for the Los Medanos Permit; information provided by the Petitioners in the
Petition and in a letter dated November 21, 2001; information gathered from the Petitioners in a
November 8, 2001 meeting; and information gathered from the District in meetings held on
October 31, 2001, December 5, 2001, and February 7, 2002. Based on this review, I grant in part
and deny in part the Petitioners' request that I "object to the issuance of the Title V Operating
Permit for the Los Medanos Energy Center," and hereby order the District to reopen the Permit
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for the reasons described below.
I. STATUTORY AND REGULATORY FRAMEWORK
Section 502(d)(1) of the Act calls upon each State to develop and submit to EPA an
operating permit program to meet the requirements of title V. In 1995, EPA granted interim
approval to the title V operating permit program submitted by BAAQMD. 60 Fed. Reg. 32606
(June 23, 1995); 40 CFR Part 70, Appendix A. Effective November 30, 2001, EPA granted full
approval to BAAQMD's title V operating permit program. 66 Fed. Reg. 63503 (December 7,
2001).
Major stationary sources of air pollution and other sources covered by title V are required
to apply for an operating permit that includes applicable emission limitations and such other
conditions as are necessary to assure compliance with applicable requirements of the Act. See
CAA §§ 502(a) and 504(a). The title V operating permit program does not generally impose new
substantive air quality control requirements (which are referred to as "applicable requirements"),
but does require permits to contain monitoring, recordkeeping, reporting, and other conditions to
assure compliance by sources with existing applicable requirements. 57 Fed. Reg. 32250, 32251
(July 21, 1992). One purpose of the title V program is to enable the source, EPA, permitting
authorities, and 1he public to better understand the applicable requirements to which the source is
subject and whether the source is meeting those requirements. Thus, the title V operating
permits program is a vehicle for ensuring that existing air quality control requirements are
appropriately applied to facility emission units and that compliance with these requirements is
assured.
Under § 505(a) of the Act and 40 CFR § 70.8(a), permitting authorities are required to
submit all operating permits proposed pursuant to title V to EPA for review. If EPA determines
that a permit is not in compliance with applicable requirements or the requirements of 40 CFR
Part 70, EPA will object to the permit. If EPA does not object to a permit on its own initiative,
section 505(b)(2) of the Act and 40 CFR § 70.8(d) provide that any person may petition the
Administrator, within 60 days of the expiration of EPA's 45-day review period, to object to the
permit. To justify the exercise of an objection by EPA to a title V permit pursuant to section
505(b)(2), a petitioner must demonstrate that the permit is not in compliance with the
requirements of the Act, including the requirements of Part 70. Part 70 requires that a petition
must be "based only on obj ections to the permit that were raised with reasonable specificity
during the public comment period. . ., unless the petitioner demonstrates that it was impracticable
to raise such objections within such period, or unless the grounds for such objection arose after
such period." 40 CFR § 70.8(d). A petition for administrative review does not stay the
effectiveness of the permit or its requirements if the permit was issued after the expiration of
EPA's 45-day review period and before receipt of the objection. If EPA objects to a permit in
response to a petition and the permit has been issued, the permitting authority or EPA will
modify, terminate, or revoke and reissue such a permit using the procedures in 40 CFR §§
70.7(g)(4) or (5)(i) and (ii) for reopening a permit for cause.
2
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II. BACKGROUND
The Los Medanos Energy Center facility ("Facility"), formerly owned by Enron
Corporation under the name Pittsburg District Energy Facility, is a natural gas-fired power plant
presently owned and operated by Calpine Corporation. The plant, with a nominal electrical
capacity of 555-megawatts ("MW"), is located in Pittsburg, California. The Facility received its
final determination of compliance ("FDOC")1 from the District in June, 1999, and its license to
construct and operate from the California Energy Commission ("CEC")2 on August 17, 1999.
The Facility operates two large natural gas combustion turbines with associated heat recovery
steam generators ("HRSG"), and one auxiliary boiler. The Facility obtained a revised authority
to construct ("ATC")3 permit from the District in March, 2001 to increase heat input ratings of
the two HRSGs and the auxiliary boiler,4 and to add a fire pump diesel engine and a natural gas-
fired emergency generator. The Facility began commercial operation in July, 2001. The Facility
emits nitrogen oxide ("NOx"), carbon monoxide ("CO"), and particulate matter ("PM"), all of
which are regulated under the District's federally approved or delegated nonattainment new
source review ("NSR") and prevention of significant deterioration ("PSD") programs5 or other
District Clean Air Act programs.
On June 28, 2001, the District completed its evaluation of the title V application for the
Facility and issued the draft title V Permit. Under the District's rules, this action started a
simultaneous 30-day public comment period and a 45-day EPA review period. On August 1,
2001, Mr. Kenneth Kloc of the Environmental Law and Justice Clinic submitted comments to the
'An FDOC describes how a proposed facility will comply with applicable federal, state, and BAAQMD
regulations, including control technology and emission offset requirements of New Source Review. Permit
conditions necessary to insure compliance with applicable regulations are also included.
The FDOC served as an evaluation report for both the CEC 's certificate and the District's authority to
construct ("ATC") permit. The initial ATC was issued by the District shortly after the FDOC under District
application #18595.
ATC permits are federally enforceable pre-construction permits tiat reflect the requirements of the
attainment area prevention of significant deterioration and nonattainment area new source review ("NSR") programs.
The District's NSR requirements are described in Regulation 2, Rule 2. New power plants locating in California
subject to the CEC certification requirements must also comply with Regulation 2, Rule 3, titled Power Plants.
Regulation 2-3-405 requires the District to issue an ATC for a subject facility only after the CEC issues its certificate
for the facility.
4The increased heat input allowed the facility to increase its electrical generating capacity from 520 MW to
555 MW.
5The District was implementing the federal PSD program under a delegation agreement with EPA dated
October 28, 1997. The non-attainment NSR program was most recently SIP-approved by EPA on January 26, 1999.
64 Fed. Re£. 3850.
3
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District on the draft Los Medanos Permit on behalf of OCE ("OCE's Comment Letter").6 The
District responded to OCE's Comment Letter by a letter dated September 4, 2001, from William
de Boisblanc ("Response to Comments"). EPA Region IX did not object to the proposed permit
during its 45-day review period. The Petition to Object to the Permit, filed by OCE and CARE
and dated October 9, 2001, was received by Region IX on October 12, 2001. EPA calculates the
period for the public to petition the Administrator to object to a permit as if the 30-day public
comment and 45-day EPA review periods run sequentially, accordingly petitioners have 135 days
after the issuance of a draft permit to submit a petition.7 Given that the Petition was filed with
EPA on October 12,2001,1 find that it was timely filed. I also find that the Petition is
appropriately based on objections that were raised with reasonable specificity during the
comment period or that arose after the public comment period expired.8
III. ISSUES RAISED BY I II I PETITIONERS
A. District Breakdown Relief Under Permit Condition I.H. 1
Petitioners' first allegation challenges the inclusion in the Los Medanos Permit of
Condition I.H.I, a provision which incorporates SIP rules allowing a permitted facility to seek
relief from enforcement by the District in the event of a breakdown. Petition at 3. Petitioners
assert that the definition of "breakdown" at Regulation 1-208 would allow relief in situations
beyond those allowed under the Clean Air Act. Specifically, Petitioners allege that the
"definition of 'breakdown' in Regulation 1-208 is much broader than the federal definition of
breakdown, which is provided in 40 CFR Part 70," or more precisely, at 40 CFR § 70.6(g).
Condition I.H.I incorporates District Regulations 1-208, 1-431, 1-432, and 1-433
(collectively the "Breakdown Relief Regulations") into the Permit. Regulation 1-208 defines
breakdown, and Regulations 1-431 through 1-433 describe how an applicant is to notify the
District of a breakdown, how the District is to determine whether the circumstances meet the
definition of a breakdown, and what sort of relief to grant the permittee. To start our analysis, it
6We note that OCE submitted its comments to the District days after the close of the public comment period
established pursuant to the District's Regulation 2-6-412 and 40 CFR § 70.7(h)(4). Though we are responding to the
Petition despite this possible procedural flaw, we reserve our right to raise this issue in any future proceeding.
This 135-day period to petition the Administrator is based on a 30-day District public notice and comment
period, a 45-day EPA review period and the 60-day period for a person to file apetition to objectwithEPA.
8In its Comment Letter, OCE generally raised concerns with the draft Major Facility Review Permit that are
the basis for the Petition. In regard to whether all issues were raised with 'reasonable specificity,'I find that claims
one through four of the Petition were raised adequately in OCE's Comment Letter. The fifth claim, that the District
did not live up to its commitment to make changes to the Permit, can be raised in the Petition since tie grounds for
the claim arose after the public comment period ended. See 40 CFR § 70.8(d). Finally, CARE's non-participation in
the District's notice-and-comment process does not prevent the organization from filing a title V petition because the
regulations allow "any person" to file a petition based on earlier objections raised during the public comment period
regardless of who had filed those earlier comments. See CAA § 505(b)(2); 40 CFR § 70.8(d)
4
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is important to understand the impact of granting relief under the Breakdown Relief Regulations.
Neither Condition I.H.I, nor the SIP provisions it incorporates into the Permit, would allow for
an exemption from an applicable requirement for periods of excess emissions. An "exemption
from an applicable requirement" would mean that the permittee would be deemed not to be in
violation of the requirement during the period of excess emissions. Rather, these Breakdown
Relief Regulations allow an applicant to enter into a proceeding in front of the District that could
ultimately lead to the District employing its enforcement discretion not to seek penalties for
violations of an applicable requirement that occurred during breakdown periods.
Significantly, the Breakdown Relief Regulations have been approved by EPA as part of
the District's federally enforceable SP. 64 Fed. Reg. 34558 (June 28, 1999) (this is the most
recent approval of the District's Regulation 1). Part 70 requires all SIP provisions that apply to a
source to be included in title V permits as "applicable requirements." See In re Pacificorp's Jim
Bridger and Naughton Electric Utility Steam Generating Plants. Petition No. VIII-00-1, at 23-24
("Pacificorp"). On this basis alone, the inclusion of the Breakdown Relief Regulations in the
permit is not objectionable.9
Moreover, Petitioners' allegation that Condition 1.H.1 is inconsistent with 40 CFR §
70.6(g) does not provide a basis for an objection. 40 CFR § 70.6(g) allows a permitting authority
to incorporate into its title V permit program an affirmative defense provision for "emergency"
situations as long as the provision is consistent with the 40 CFR § 70.6(g)(3) elements. Such an
emergency defense then maybe incorporated into permits issued pursuant to that program. As
explained above, these regulations provide relief based on the District's enforcement discretion
and do not provide an affirmative defense to enforcement. Moreover, to the extent the
emergency defense is incorporated into a permit, 40 CFR § 70.6(g)(5) makes clear that the Part
70 affirmative defense type of relief for emergency situations "is in addition to any emergency or
upset provision contained in any applicable requirement." This language clarifies that the Part 70
regulations do not bar the inclusion of applicable SF requirements in title V permits, even if
those applicable requirements contain "emergency" or "upset" provisions such as Condition
l.H.l that may overlap with the emergency defense provision authorized by 40 CFR § 70.6(g).
Also, a review of the Breakdown Relief Regulations themselves demonstrates that they
are not inconsistent with the Clean Air Act, and therefore, not contrary to the Act. A September
28, 1982, EPA policy memorandum from Kathleen Bennet, titled Policy on Excess Emissions
During Startup. Shutdown. Maintenance, and Malfunctions ("1982 Excess Emission Policy"),
explains that "all periods of excess emissions [are] violations of the applicable standard."
Accordingly, the 1982 Excess Emission Policy provides that EPA will not approve automatic
exemptions in operating permits or SFs. However, the 1982 Excess Emission Policy also
9This holds true even if the Petitioner could support an allegation thatEPA had erroneously incorporated
the provisio ns into the SIP. See Pacificorp at 23 ("even if the provision were found not to satisfy the Ac t, EPA co uld
not properly objectto a permit term that is derived from a provision of the federally approved SIP"). However, as
explained below, EPA believes that these provisions were appropriately approved as part of the District's SIP.
5
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explains that EPA can approve, as part of a SIP, provisions that codify an "enforcement
discretion approach." The Agency further refined its position on this topic in a September 20,
1999 policy memorandum from Steven A. Herman and Robert Perciasepe, titled State
Implementation Plans: Policy Regarding Excess Emissions During Malfunctions. Startup, and
Shutdown ("1999 Excess Emission Policy").10 The 1999 Excess Emission Policy explained that
a permitting authority may express its enforcement discretion through appropriate affirmative
defense provisions approved into the SIP as long as the affirmative defense applies only to civil
penalties (and not injunctive relief) and meets certain criteria. As previously explained, the
Breakdown Relief Regulations approved into the District's SIP provide neither an affirmative
defense to an enforcement action nor an automatic exemption from applicable requirements, but
rather serve as a mechanism for the District to use its enforcement discretion. Therefore, I find
that the provision is not inconsistent with the Act.
Finally, Petitioners allege that the inclusion of Condition I.H.I "creates unnecessary
confusion and unwarranted potential defense to federal civil enforcement." Inclusion of
Condition I.H.3 in the Los Medanos Permit clarifies Condition I.H. 1 by stating that "[t]he
granting by the District of breakdown relief. . . will not provide relief from federal enforcement."
Contrary to Petitioners' allegation, we find that addition of this language successfully dispels any
ambiguity as to the impact of the provision, especially as it relates to federal enforceability, and
therefore clears up "confusion" and limits "unwarranted defenses." Forthe reasons stated above,
I deny the Petition as it relates to Condition I.H. 1 and the incorporation of the Breakdown Relief
Regulations into the Permit.
B. Hearing Board Variance Relief Under Permit Condition I.H.2
The Petitioners' second allegation challenges the inclusion in the Los Medanos Permit of
Condition I.H.2, which states that a "permit holder may seek relief from enforcement action for a
violation of any of the terms and conditions of this permit by applying to the District's Hearing
Board for a variance pursuant to Health and Safety Code Section 42350. . . ." Petition at 3.
Petitioners make a number of arguments in support of their claim that the reference to
California's Variance Law in the Los Medanos Permit serves as a basis for an objection; none of
these allegations, however, serves as an adequate basis for EPA to object to the Permit.
Health and Safety Code ("HSC") sections 42350 et seq. ("California's Variance Law")
allow a permittee to request an air district hearing board to issue a variance to allow the permittee
to operate in violation of an applicable district rule, or State rule or regulation for a limited time.
Section 42352(a) prohibits the issuance of a variance unless the hearing board makes specific
10 On December 5 , 2001, EPA issued a brief clarification of this policy. Re-Issuance of Clarification - State
Implementation Plans (SIPs); Policy Regarding Excess Emissions During Malfunction, Startup, and Shutdown.
6
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findings.11 Section 42352(a)(2) limits the availability of variances to situations involving non-
compliance with "any rule, regulation, or order of the district." As part of the variance process,
the hearing board may set a "schedule of increments of progress," to establish milestones and
final deadlines for achieving compliance. See, e.g.. HSC § 42358. EPA has not approved
California's Variance Law into the SIP or Title V program of any air district. See, e.g.. 59 Fed.
Reg. 60939 (Nov. 29, 1994) (proposing to approve BAAQMD's title V program without
California's Variance Law); 60 Fed. Reg. 32606 (June 23, 1995) (granting final interim approval
to BAAQMD's title V program).
Petitioners argue that the "variance relief issued by BAAQMD under state law does not
qualify as emergency breakdown relief authorized by the Title V provisions . . . ." Petition at 4.
As with the Breakdown Relief Regulations, Petitioners' true concern appears to be that Condition
I.H.2 and California's Variance Law are inconsistent with 40 CFR § 70.6(g), which allows for
the incorporation of an affirmative defense provision into a federally approved title V program,
and thus into title V permits. Condition I.H.2 and California's Variance Law, however, do not
need to be consistent with 40 CFR § 70.6(g) because these provisions merely express an aspect
of the District's discretionary enforcement authority under State law rather than incorporate a
Part 70 affirmative defense provision into the Permit.12 As described above, the discretionary
11 HSC section 423 52(a) provides as follows:
No variance shall be granted unless the hearing board makes all of the following findings:
(1) That the petitioner for a variance is, or will be, inviolation of Section 41701 or of any rule,
regulation, or order of the district.
(2) That, due to conditions beyond the reasonable control of the petitioner, requiring compliance
would result in either (A) an arbitrary or unreasonable taking of property, or (B) the practical
closing and elimination of a lawful business. In making tho se findings where the petitioner is a
public agency, the hearing board shall consider whether or not requiring immediate compliance
would impose an unreasonable burden upon an essential public service. For purposes of this
paragraph, "essential public service" means a prison, detention facility, police or firefighting
facility, school, health care facility, landfill gas control or processing facility, sewage treatment
works, or water delivery operation, if owned and operated by a public agency.
(3) That the closing or taking would be without a corresponding benefit in reducing air
contaminants.
(4) That the applicant for the variance has given consideration to curtailing operations of the
source in lieu of obtaining a variance.
(5) During the period the variance is in effect, that the applicant will reduce excess emissions to the
maximum extent feasible.
(6) During the period the variance is in effect, that the applicant will monitor or otherwise quantify
emission levels from the source, if requested to do so by the district, and report these
emission levels to the district pursuant to a schedule established by the district.
12
Government agencies have discretion to not seek penalties or injunctive relief against a noncomplying
source. California's Variance Law recognizes this inherent discretion by codifying the process by which a source
may seek relief through the issuance of a variance. The ultimate decision to grant a variance, however, is still wholly
discretionary, as evidenced by the findings the hearing board must make in order to issue a variance. See HSC
section 42352(a)(l)-(6).
7
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nature of California's Variance Law is evidenced by the findings set forth in HSC §42538(a) that
a hearing board must make before it can issue a variance.13 Inherent within the process of
making these findings is the hearing board's ability to exercise its discretion to evaluate and
consider the evidence and circumstances underlying the variance application and to reject or
grant, as appropriate, that application. Moreover, the District clearly states in Condition I.H.3.
that the granting by the District of a variance does not "provide relief from federal enforcement,"
which includes enforcement by both EPA and citizens.14 As Condition I.H.2. refers to a
discretionary authority under state law that does not affect the federal enforceability of any
applicable requirement, I do not find its inclusion in the Los Medanos Permit objectionable.
Petitioners also argue that the "variance program is a creature of state law," and therefore
should not be included in the Los Medanos Permit. Petitioners' complaint is obviously without
merit since Part 70 clearly allows for inclusion of state- and local-only requirements in title V
permits as long as they are adequately identified as having only state- or local-only significance.
40 CFR § 70.6(b)(2). For this reason, I find that Petitioners' allegation does not provide a basis
to object to the Los Medanos Permit.
Petitioners further argue that California's Variance Law allows a revision to the approved
SIP in violation of the Act. Petitioners misunderstand the provision. The SIP is comprised of the
State or di strict rules and regulations approved by EPA as meeting CAA requirements. SIP
requirements cannot be modified by an action of the State or District granting a temporary
variance. EPA has long held the view that a variance does not change the underlying SIP
requirements unless and until it is submitted to and approved by EPA for incorporation into the
SIP. For example, since 1976, EPA's regulations have specifically stated: "In order for a
variance to be considered for approval as a revision to the State implementation plan, the State
must submit it in accordance with the requirements of this section." 40 CFR §51.104(d); 41 Fed.
Reg. 18510, 18511 (May 5, 1976).
The fact that the California Variance Law does not allow a revision to the approved SIP is
further evidenced by the law itself. By its very terms, California's Variance Law is limited in
application to "any rule, regulation, or order of the district." HSC § 42352(a)(2) (emphasis
supplied); therefore, the law clearly does not purport to modify the federally approved SIP. In
addition, California's view of the law's effect is consistent with EPA's. For instance, guidance
13
Because of its discretionary nature, California's Variance Law does not impose a legal impediment to the
District's ability to enforce its SIP or title V program. EPA cannot prohibit the District's use of the variance process
as a means for sources to avoid enforcement of permit conditions by tie District unless the misuse of the variance
process results in the District's failure to adequately implement or enforce its title V program, or its other federally
delegated or approved CAA programs. Petitioners have made no such allegation.
14Other BAAQMD information resources on variances also clearly set forth the legal significance of
variances. For example, the application for a variance on BAAQMD's website stales that EPA "does not recognize
California's variance process" and that "EPA can independently pursue legal action based on federal law against the
facility continuing to be in violation."
8
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issued in 1989 by the California Air Resources Board ("CARB"), the State agency responsible
for preparation of California's SIP, titled Variances and Other Hearing Board Orders as SIP
Revisions or Delayed Compliance Orders Under Federal Law, demonstrates that the State's
position with respect to the federal enforceability and legal consequences of variances is
consistent with EPA's. For example, the guidance states:
State law authorizes hearing boards of air pollution control districts to issue
variances from district rules in appropriate instances. These variances insulate
sources from the imposed state law. However, where the rule in question is part
of the State Implementation Plan (SIP) as approved by the U.S. Environmental
Protection Agency (EPA), the variance does not by itself insulate the source from
penalties in actions brought by EPA to enforce the rule as part of the SIP. While
EPA can use enforcement discretion to informally insulate sources from federal
action, formal relief can only come through EPA approval of the local variance.
In 1993, the California Attorney General affirmed this position in a formal legal opinion
submitted to EPA as part of the title V program approval process, stating that "any variance
obtained by the source does not effect [sic] or modify permit terms or conditions . . . nor does it
preclude federal enforcement of permanent terms and conditions." In sum, both the federal and
State governments have long held the view that the issuance of a variance by a district hearing
board does not modify the SIP in any way. For this reason, I find that Petitioners' allegation does
not provide a basis to object to the Los Medanos Permit.
Finally, Petitioners raise concerns that the issuance of variances could "jeopardize
attainment and maintenance of ambient air quality standards" and that inclusion of the variance
provision in the Permit is highly confusing to the regulated community and public. As to the first
concern, Petitioners' allegation is too speculative to provide a basis for an objection to a title V
permit. Moreover, as previously stated, permittees that receive a variance remain subject to all
SIP and federal requirements, as well as federal enforcement for violation of those requirements.
As to Petitioners' final point, I find that including California's Variance Law in title V permits
may actually help clarify the regulatory scheme to the regulated community and the public.
California's Variance Law can be utilized by permittees seeking relief from District or State rules
regardless of whether the Variance Law is referenced in title V permits; therefore, reference to
the Variance Law with appropriate explanatory language as to its limited impact on federal
enforceability helps clarify the actual nature of the law to the regulated community. In short,
since title V permits are meant to contain all applicable federal, State, and local requirements,
with appropriate clarifying language explaining the function and applicability of each
requirement, the District may incorporate California's Variance Law into the Los Medanos
Permit and other title V permits. For reasons stated in this Section, I do not find grounds to
object to the Los Medanos Permit on this issue.
C. Statement of Basis
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Petitioners' third claim is that the Los Medanos Permit lacks a statement of basis, as
required by 40 CFR § 70.7(a)(5). Petition at 5. Petitioners assert that without a statement of
basis it is virtually impossible for the public to evaluate the periodic monitoring requirements (or
lack thereof). Id. They specifically identify the District's failure to include an explanation for its
deci sion not to require certain monitoring, including the lack of any monitoring for opacity,
filterable particulate, or PM limits. Petition at 6-7, n.2. Additionally, Petitioners contend that
BAAQMD fails to include any S02 monitoring for source S-2 (Heat Recovery Steam Generator).
Id.
Section 70.7(a)(5) of EPA's permit regulations states that "the permitting authority shall
provide a statement that sets forth the legal and factual basis for the draft permit conditions
(including references to the applicable statutory or regulatory provisions)." The statement of
basis is not part of the permit itself. It is a separate document which is to be sent to EPA and to
interested persons upon request.15 Id.
A statement of basis ought to contain a brief description of the origin or basis for each
permit condition or exemption. However, it is more than just a short form of the permit. It should
highlight elements that EPA and the public would find important to review. Rather than restating
the permit, it should list anything that deviates from a straight recitation of requirements. The
statement of basis should highlight items such as the permit shield, streamlined conditions, or
any monitoring that is required under 40 C.F.R. 70.6(a)(3)(i)(B) or District Regulation 2-6-503.
Thus, it should include a discussion of the decision-making that went into the development of the
title V permit and provide the permitting authority, the public, and EPA a record of the
applicability and technical issues surrounding the issuance of the permit.16 See e.g.. In Re Port
15Unlike permits, statements of basis are not enforceable, do not set limits and do not create obligations.
16EPA has provided guidance on the content of an adequate statement ofbasis in a letter dated December
20, 200 1, from Region V to the State of Ohio and in a N otice of Deficiency ("NOD") issued to the State of T exas.
(Region V letter to Ohio); 67 Fed.
Reg. 732 (January 7, 2002) (EPA NOD issued to Texas). These documents describe the following five key elements
of a statement ofbasis: (1) a description ofthe facility; (2) adiscussion of any operational flexibility that will be
utilized at the facility; (3) the basis for applying the permit shield; (4) any federal regulatory applicability
determinations; and (5 ) the rationale for the monitoring methods selected. Id. at 735. In addition, the Region V
letter further recommends the inclusion of the following topical discussions in a statement ofbasis: (1) monitoring
and operational restrictions requirements; (2) applicability and exemptions; (3) explanation of any conditions from
previously issued permits that are not being transferred to the title V permit; (4) streamlining requirements; and (5)
certain other factual information as necessary. In a letter dated February 19, 1999 to Mr. David Dixon, Chair of the
CAPCOA Title V Subcommittee, the EPA Region IX Air Division provided guidance to California permitting
authorities that should be considered when developing a statement ofbasis for purposes of EPA Region IX's review.
This guidance is consistent with the other guidance cited above. Each of the various guidance documents, including
the Texas NOD and the Region V and IX letters, provide generalized recommendations for developing an adequate
statement ofbasis rather than "hard and fast" rules on what to include in any given statement ofbasis. Taken as a
whole, these recommendations provide a good road map as to what should be included in a statement ofbasis
considering, for example, the technical complexity of the permit, the history of the facility, and any new provisions,
such as periodic monitoring conditions, that the permitting authority has drafted in conjunction with issuing the title
10
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Hudson Operation Georgia Pacific. Petition No. 6-03-01, at pages 37-40 (May 9, 2003)
("Georgia Pacific"); In Re Doe Run Company Buick Mill and Mine. Petition No. VII-1999-001,
at pages 24-25 (July 31, 2002) ("Doe Run"). Finally, in responding to a petition filed in regard to
the Fort James Camas Mill title V permit, EPA interpreted 40 CFR § 70.7(a)(5) to require that
the rationale for selected monitoring method be documented in the permit record. See In Re
Fort James Camas Mill. Petition No. X-1999-1, at page 8 (December 22, 2000) ("Ft. James"!
EPA's regulations state that the permitting authority must provide EPA with a statement
of basis. 40 CFR § 70.7(a)(5). The failure of a permitting authority to meet this procedural
requirement, however, does not necessarily demonstrate that 1he title V permit is substantively
flawed. In reviewing a petition to object to a title V permit because of an alleged failure of the
permitting authority to meet all procedural requirements in issuing the permit, EPA considers
whether the petitioner has demonstrated that the permitting authority's failure resulted in, or may
have resulted in, a deficiency in the content of the permit. See CAA § 505(b)(2) (objection
required "if the petitioner demonstrates . . . that the permit is not in compliance with the
requirements of this Act, including the requirements of the applicable [SIP]"); see also. 40 CFR §
70.8(c)(1). Thus, where the record as a whole supports the terms and conditions of the permit,
flaws in the statement of basis generally will not result in an objection. See e.g.. Doe Run at 24-
25. In contrast, where flaws in the statement of basis resulted in, or may have resulted in,
deficiencies in the title V permit, EPA will object to the issuance of the permit. See e.g.. Ft.
James at 8; Georgia Pacific at 37-40.
In this case, as discussed below, the permitting authority's failure to adequately explain
its permitting decisions either in the statement of basis or elsewhere in the permit record is such a
serious flaw that the adequacy of the permit itself is in question. By reopening the permit, the
permitting authority is ensuring compliance with the fundamental title V procedural requirements
of adequate public notice and comment required by sections 502(b)(6) and 503(e) of the Clean
Air Act and 40 CFR § 70.7(h), as well as ensuring that the rationale for the selected monitoring
method, or lack of monitoring, is clearly explained and documented in the permit record. See 40
CFR §§ 70.7(a)(5) and 70.8(c); Ft. James at 8.
For the proposed Los Medanos Permit, the District did not provide EPA with a separate
statement of basis document. In a meeting with EPA representatives held on October 31, 2001,
at the Region 9 offices, the District claimed that it complied with the statement of basis
requirements for the Los Medanos Permit because it incorporated all of the necessary explanatory
information either directly into the Permit or it included such information in other supporting
documentation.17 As such, the District argues, at a minimum, it complied with the substantive
requirements of a statement of basis.
V permit.
17
This meeting along with the others held with the District were for fact-gathering purposes only. In a
November 8, 2001 meeting at the Region 9 offices, the Petitioners were likewise provided the opportunity to present
facts pertaining to the Petition to EPA representatives.
11
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In responding to the Petition, we reviewed the final Los Medanos Permit and all
supporting documentation, which included the proposed Permit, the FDOC drafted by the
District for purposes of licensing the power plant with the CEC, and the "Permit Evaluation and
Emission Calculations" ("Permit Evaluation") which was developed in March 2001 as part of the
modification to the previously issued ATC permit. Although the District provided some
explanation in this supporting documentation as to the factual and legal basis for certain terms
and conditions of the Permit, this documentation did not sufficiently set forth the basis or
rationale for many other terms and conditions. Generally speaking, the District's record for the
Permit does not adequately support: (1) the factual basis for certain standard title V conditions;
(2) applicability determinations for source-specific applicable requirements, such as the Acid
Rain requirements and New Source Performance Standards ("NSPS"); (3) exclusion of certain
NSR and PSD conditions contained in underlying ATC permits; (4) recordkeeping decisions and
periodic monitoring decisions under 70.6(a)(3)(i)(B) and District Regulation 2-6-503; and (5)
streamlining analyses, including a discussion of permit shields.
EPA Region 9 identified numerous specific deficiencies falling under each of these broad
categories.18 For example, the District's permit record does not adequately support the basis for
certain source-specific applicable requirements identified in Section IV of the Permit, especially
those regarding the applicability or non-applicability of subsections rules that apply to particular
types of units such the as NSPS for combustion turbines or SIP-approved District Regulations.
For instance, in table IV-B and D of the Permit, the District indicates that subsection 303 of
District Regulation 9-3, which sets forth NOx emission limitations, applies to certain emission
units. However, the permit record fails to describe why subsection 601 of the same District
Regulation, an otherwise seemingly applicable provision, is not included in the tables as an
applicable requirement. Subsection 601 establishes how exhaust gases should be sampled and
analyzed to determine NOx concentrations for purposes of compliance with subsection 303.
Similarly, in the same tables, the District lists certain applicable NSPS subsections, such as those
in 40 CFR Part 60 Subparts Da and GG, but does not explain why these subsections apply to
those specific emission units nor why other seemingly applicable subsections of the sameNSPS
regulations do not apply to those units.19
The permit recoid also fails to explain the District's streamlining decisions of certain
18 EPA Region 9 Permits Office described these areas of concern in greater detail in a memorandum dated
March 29, 2002, "Region 9 Review of Statement of Basis for Los Medanos title V Permit in Response to Petition to
Object." This memorandum is part of the administrative record for this Order and was reviewed in responding to
this Petition.
19 The tables in Section IV pertaining to certain gas turbines located at the Facility cite to 40 CFR
60.332(a)(1) as an applicable requirement. However, these same tables fail to cite to subsections 40 CFR
60.332(a)(2) through 60.332(1) of the same NSPS program even though these provisions also apply to gas turbines.
The District's feilure to provide any sort of discussion or explanation as to the applicability or non-applicability of
the subsections of 40 CFR 60.3 32 makes it impossible to review the District's applicability determinations for this
NSPS.
12
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underlying ATC permit conditions as set forth in Section VI of the Permit. The District
apparently modified or streamlined the ATC conditions in the context of the title V permitting
process but failed to provide an explanation in the permit record as to the basis for the change to
the conditions. For instance, Condition 53 of Section VI states that the condition was "[djeleted
[on] August, 2001," but the District fails to discuss or explain anywhere in the permit record the
basis for this deletion or the nature of the original condition that was deleted.
As a final example of the District's failure to provide a basis or rationale for permit terms,
in accordance with Petitioner's claim, the permit record is devoid of discussion pertaining to how
or why the selected monitoring is sufficient to assure compliance with the applicable
requirements. See 69 Fed. Reg. 3202, 3207 (Jan. 22, 2004). Most importantly, for those
applicable requirements which do not otherwise have monitoring requirements, the Permit fails
to require monitoring pursuant to 40 C.F.R. 70.6(a)(3)(i)(B), and the permit record fails to
discuss or explain why no monitoring should be required under this provision. As evidenced by
these specific examples, I find the District did not provide an adequate analysis or discussion of
the terms and conditions of the proposed Los Medanos Permit.
To conclude, by failing to draft a separate statement of basis document and by failing to
include appropriate discussion in the Permit or other supporting documentation, the District has
failed to provide an adequate explanation or rationale for many significant elements of the
Permit. As such, I find that the Petitioners' claim in regard to this issue is well founded, and by
this Order, I am requiring the District to reopen the Los Medanos Permit, and make available to
the public an adequate statement of basis that provides the public and EPA an opportunity to
comment on the title V permit and its terms and conditions as to the issues identified above.
D. Inadequate Permit Conditions
Petitioners' fourth claim is that Condition 22 in the Los Medanos Permit is
unenforceable. The Petitioners claim that this condition "appears to defer the development of a
number of permit conditions related to transient, non-steady state conditions to a time after
approval of the Title V permit." Petition at 7. The Petitioners recommend that "a reasonable set
of conditions should be defined" and amended through the permit modification process to
conform to new data in the future. I disagree with the Petitioners on this issue.
As Petitioners correctly note, Part 70 and the Act require that "conditions in a Title V
permit. . . be enforceable." However, they argue that "Condition 22 is presently unenforceable
and must be deleted from the permit." I find that the condition challenged by the Petitioners is
enforceable.
Conditions 21 and 22 establish NOx emissions levels for units P-l and P-2, including
limits for transient, non-steady state conditions. Condition 22(f) requires the permittee to gather
data and draft and submit an operation and maintenance plan to control transient, non-steady
13
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state emissions for units P-l and P-220 within 15 months of issuance of the permit. Condition
22(g) creates a process for the District, after consideration of continuous monitoring and source
test data, to fine-tune on a semi-annual basis the NOx emission limit for units P-l and P-2 during
transient, non-steady state conditions and to modify data collection and recordkeeping
requirements for the permittee.
These requirements are enforceable. EPA and the District can enforce both Condition
22(f)'s requirement to draft and submit an operation and maintenance plan for agency approval
and the control measures adopted under the plan after approval. Fcr Condition 22(g), the process
for the District to modify emission limits and/or data collection and recordkeeping requirements
is clearly set forth in the Permit and the modified terms will be federally enforceable. Moreover,
the circumstances that trigger application of Condition 22 are specifically defined since
Condition 22(c) precisely defines "transient, non-steady state condition" as when "one or more
equipment design features is unable to support rapid changes in operation and respond to and
adjust all operating parameters required to maintain the steady-state NOx emission limit
specified in Condition 21(b)." As such, I find that Condition 22 is federally and practically
enforceable. Therefore, Petitioners' claim on this count is not supported by the plain language of
the Permit itself.
Moreover, to the extent that Petitioners are concerned that Lowest Achievable Emission
Rate ("LAER")21 emission standards are being set Ihrough a process that does not incorporate
appropriate NSR, PSD, and title V public notice and comment processes, such concerns are not
well-founded. By its very terms, the Permit prohibits relaxation of the LAER emissions
standards set in the permitting process. Condition 21(b) of the Permit sets a LAER-level
emission standard of 2.5 ppmv NOx, averaged over any 1-hour period, forunits P-l and P-2 for
all operational conditions other than transient, non-steady state conditions. Condition 22(a) sets
the limit for transient, non-steady state conditions of 2.5 ppmv NOx, averaged over any rolling 3-
hour period.22 Implementation of Condition 22 cannot relax the LAER-level emission limits.
Condition 22(f) merely requires further data-collecting, planning, and implementation of control
20
Unit P-l is defined as "the combined exhaust point for the S-l Gas Turbine and the S-2 HRSG after
control by the A-l SCR System and A-2 Oxidation Catalyst" and unit P-2 is defined as "tie combined exhaust point
for the S-3 Gas Turbine and the S-4 HRSG after control by the A-3 SCR System and A-4 Oxidation Catalyst."
Permit, Condition 21 (a).
21
LAER is the level of emission control required for all new and modified major sources subject to tie NSR
requirements ofSection 173, Part D, ofthe CAA for non-attainment areas. 42 U.S.C. § 7501-15. Since the Bay
Area is non-attainment for ozone, the Facility must meet LAER-level emission controls for NOx emission since NOx
is a pre-cursor of ozone. California uses different terminology than the CAA when applying LAER, however. In
California, best available control technology ("BACT") is consistent with LAER-level controls, and California and
its local permitting authorities use this terminology when issuing permits.
22
The District determined this limit to be LAER for transient, non-steady state conditions because, as the
District stated in its Response to Comments, "the NOx emission limit (2.5 ppmv averaged over one hour) during load
changes .... ha[s] not yet been achieved in practice by any utility-scale power plant."
14
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measures for transient, non-steady state emissions that go beyond those already established to
comply with LAER requirements. While Condition 22(g) does allow the District to modify the
emission limit during transient, non-steady state conditions,23 this new limit cannot exceed the
"backstop" LAER-level limit set by Condition 22(a). As such, Condition 22(g) serves to only
make overall emission limits more stringent. The District itself recognized the "no backsliding"
nature of Conditions 22(f) and (g) on page 3 of its Response to Comments where it stated that the
Facility "must comply with 'backstop' NOx emission limit of 2.5 ppmv, averaged over 3 hours,
under all circumstances and comply with all hourly, daily and annual mass NOx emission
limits."24
Finally, for any control measures; further data collection, recordkeeping or monitoring
requirements; new definitions; or emission limits established pursuant to Conditions 22(f) or (g)
that are to be incorporated into the permit, the District must utilize the appropriate title V permit
modification procedures set forth in 40 CFR § 70.7(d) and the District's Regulation 2-6-415 to
modify the Permit. The District itself recognizes this in Condition 22(g) by stating that "the Title
V operating permit shall be amended as necessary to reflect the data collection and recordkeeping
requirements established under 22(g)(ii)." For the reasons described above, we do not find
Conditions 22(f) and (g) unenforceable or otherwise objectionable for inclusion in the Los
Medanos Permit.
E. Failure to Incorporate Agreed-to Changes
The final claim by the Petitioners is that the District agreed to incorporate certain changes
into the final Los Medanos Permit but failed to do so. Namely, Petitioners claim that the District
failed to keep its commitments to OCE to add language requiring recordkeeping for stipulated
abatement strategies under SIP-approved Regulation 4 and to add clarifying language about NOx
monitoring requirements. The District appeared to make these commitments in its Response to
Comment Letter. These allegations do not provide a basis for objecting to the Permit because
neither change is necessary to ensure that the District is properly including all applicable
requirements in the permit nor are they necessary to assure compliance with the underlying
applicable requirements. CAA § 504(a); 40 CFR § 70.6(a)(3).
The first change sought by OCE during the comment period was a requirement that the
23
The District may modify the emission limit during transient, non-steady state conditions every 6 months
for the first 24 months after the start of the Commissioning period. The Commissioning period commences "when
all mechanical, electrical, and control systems are installed and individual system start-up has been completed, or
when a gas turbine is first fired, whichever comes first. . . The Commissioning period terminates "when tie plant
has completed performance testing, is available for commercial operation, and has initiated sales to the power
exchange." Permit, at page 34.
24
The purpose of Condition 22, as stated by the District, is to allow for limited "excursions above the
emission limit that could potentially occur under unforeseen circumstances beyond [the Facility's] control." This is
the rationale for the three hour averaging period for transient, non-steady state conditions rather than the one hour
averaging period of Condition 21(b) for all other periods.
15
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Facility document response actions taken during periods of heightened air pollution. The
District's Regulation 4 establishes control and advisory procedures for large air emission sources
when specified levels of ambient air contamination have been reached and prescribes certain
abatement actions to be implemented by each air source when action alert levels of air pollution
are reached. OCE recommended that the District require recordkeeping in the title V permit to
"insure that the stipulated abatement strategies [of Regulation 4] are implemented during air
pollution events," and the District appeared to agree to such a recommendation in its Response to
Comments. Although the recordkeeping suggested by Petitioners would be helpful, Petitioners
have not shown that it is required by title V, the SIP, or any federal regulation, and therefore, this
failure to include it is not a basis for objecting to the permit.
The Part 70 regulations set the minimum standard for inclusion of monitoring and
recordkeeping requirements in title V permits. See 40 CFR § 70.6(a)(3). These provisions
require that each permit contain "periodic monitoring sufficient to yield reliable data from the
relevant time period that are representative of the source's compliance with the permit" where
the applicable requirement does not require periodic testing or instrumental or noninstrumental
monitoring (which may consist of recordkeeping designed to serve as monitoring). 40 CFR §
70.6(a)(3)(i)(B). There may be limited cases in which the establishment of a regular program of
monitoring and/or recordkeeping would not significantly enhance the ability of the permit to
reasonably assure compliance with the applicable requirement and where the status quo (i.e., no
monitoring or recordkeeping) could meet the requirements of 40 CFR § 70.6(a)(3). Such is the
case here.
Air pollution alert events occur infrequently, and therefore, compliance with Regulation 4
is a minimal part of the source's overall compliance with SIP requirements. More importantly,
Regulation 4-303 abatement requirements mostly impose a ban on direct burning or incineration
during air pollution alert events, activities which are unlikely to occur at a gas-fired power plant
such as the Facility and in any case are easy to monitor by District inspectors. The other
Regulation 4-303 requirements are mostly voluntary actions to be taken by the sources, such as
reduction in use of motor vehicles, and therefore do not require compliance monitoring or
recordkeeping to assure compliance. Since the activities regulated by Regulation 4 are unlikely
to occur at the Facility, and compliance is easily verified by District inspectors, recordkeeping is
not necessary to assure compliance with Regulation 4. Therefore, further recordkeeping
requirements sought by the Petitioners are not required by 40 CFR § 70.6(a)(3).
The second change sought by the Petitioners is to add language to Condition 36
clarifying why certain pollutants, such as NOx emissions, are exempt from mass emission
calculations. On page 3 of the District's Response to Comments, the District explained that the
NOx emissions are exempt from the mass emission calculations because they are measured
directly through CEMS monitoring, whereas the other pollutant emissions subject to the
calculations do not have equivalent CEMS monitoring. Though this clarification is helpful, it
does not need to be incorporated into the title V permit itself. Therefore, its non-inclusion in the
Permit does not provide a basis for an EPA objection to the Permit. To the extent that such
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clarifying language is important, it should be included in the statement of basis, however. Since
the District will be drafting a statement of basis for the Los Medanos Permit due to the partial
granting of the Petition, we recommend that the clarifying language for Condition 36 be included
in the newly drafted statement of basis.
Though we hope that permitting authorities would generally fulfill commitments made to
the public, we find that the Petitioners' fifth claim does not provide a basis for an objection to the
Los Medanos Permit for the reasons described above. The mere fact that the District committed
to make certain changes, yet did not follow through on those commitments, does not provide a
basis for an objection to a title V permit. Petitioners have provided no other reason why the
agreed upon changes must be made to the permit beyond the District's commitments. I
accordingly deny Petitioners' request to veto the permit on these grounds.
IV. CONCLUSION
For the reasons set forth above and pursuant to Section 505(b)(2) of the Clean Air Act, I
am granting the Petitioners' request that the Administrator object to the issuance of the Los
Medanos Permit with respect to the statement of basis issue and am denying the Petition with
respect to the other allegations.
Mav 24. 2004 /S/
Date Michael O. Leavitt
Administrator
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BEFORE THE ADMINISTRATOR
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
In the Matter of Valero Refining Co
Benieia, California Facility
Petition No- IX-2004-G7
Major Facility Review Permit
Facility No, B2626
Issued by the Bay Area Air Qua lity
Management District
ORDER RESPONDING TO
PETITIONER'S REQUEST THAT THE
ADMINISTRATOR OBJECT TO
ISSUANCE OF A STATE OPERATING
PERMIT
ORDER DENYING IN FACT AND GRANTING IN PART
A PETITION FOR OBJECTION TO PERMIT
On December 7,2004, the Environmental Protection Agency ("EPA") received a petition
("Petition") from Our Children's Earth Foundation ("OCE" or "Petitioner") requesting that the
EPA Administrator object to the issuance of a state operating permit from the Bay Area Air
Quality Management District ("BAAQMD" or "District") to Valero Refining Co. to operate its
petroleum refinery located in Bcnicia, California ("Permit"), pursuant to title V pf the Clean Air
Act ("CAA" or "the Act"), 42 U.S.C. §§ 7661-7661 £ CAA §§ 501-507, EPA's implementing
regulations in 40 C.F.R. Part 70 ("Part 70"), and the District's approved Pan 70 program. See (>6
Fed, Reg. 63503 (Dec. 7,2001).
Petitioner requested EPA object to the Permit on several grounds. In particular,
Petitioner alleged that the Permit failed to properly require compliance with applicable
requirements pertaining to, inter aha, flares, cooling towers, process units, electrostatic
precipitators, and other waste streams and units. Petitioner identified several alleged flaws in the
Permit application and issuance, including a deficient Statement of Basis. Finally, Petitioners
alleged that the permit impermissibly lacked a compliance schedule and failed to include
monitoring for several applicable requirements,
EPA has now fully reviewed the Petitioner's allegations pursuant to the standard set forth
in section 505(b)(2) of the Act, which places the burden on the petitioner to "demonstrate^ lo the
Administrator that the permit is not in compliance" with the applicable requirements of the Act
or the requirements of part 70, see also 40 C.F.R, § 70.8(c)(1), and 1 hereby respond to them by
this Order. In considering the al legal ions, EPA reviewed the Permit and related materials and
information provided by ihe Petitioner in the Petition.1 Based on this review, I partially deny and
'On March 7, 2005 EPA received a lengthy (over 250 pages, including appendices), detailed submission
from Valero Refining Company regarding this Petition. Due lo lite fact thai Valero Refining Company mad? iis
submission very shortly before EPA's sclllcment agreement deadline for responding ro ihe Petition and (he size of the
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partially grant (he Petitioner's request that I object to issuance of the Permit for the reasons
described below.
I. STATUTORY AND REGULATORY FRAMEWORK.
Section 502(d)( I) of the Act calls upon each State to develop and submit to BP A an
operating permit program to meet the requirements of title V. fn 1995, EPA granted interim
approval to the title V operating permit program submitted by BAAQMD. 60 Fed. Reg, 32606
(June 23, 1995); 40 C.F.R. Part 70, Appendix A. Effective November 30, 2001, EPA granted
full approval to BAAQMD's title V operating permit program. 66 Fed. Reg. 63503 (Dec 7
2001.)- ' '
Major stationary sources of air pollution and other sources covered by title V are required
to apply for an operating pemiit lhat includes applicable emission limitations and such other
conditions as are necessary to assure compliance with applicable requirements of the Act See
CAA §§ 502(a) and 504(a). The title V operating permit program does not generally impose new
substantive air quality control requirements (which are referred to as "applicable requirements"),
but does require permits to contain monitoring, recordkeeping, reporting, and other compliance
requirements when not adequately required by existing applicable requirements to assure
compliance by sources with existing applicable emission control requirements. 57 Fed. Reg,
32250, 32251 (July 21, 1992). One purpose of the title V program is to enable the source, EPA,
permitting authorities, and the public to better understand the applicable requirements to which
the source is subject and whether the source is meeting those requirements. Thus, the title V
operating permits program is a vehicle for ensuring that existing air quality control requirements
are appropriately applied to facility emission units and that compliance with these requirements
is assured.
Under section 505(a) of the Act and 40 C.F.R. § 70.8(a), permitting authorities are
required to submit all operating permits proposed pursuant to title V io EPA for review. If EPA
determines that a permit is not in compliance with applicable requirements or the requirements of
40 CF.R. Pan 70, EPA will object to the permit If EPA does not object to a permit on its own
initiative, section 505(b)(2) of the Act and 40 C.F.R, § 70.8(d) provide that any person may
petition the Administrator, within 60 days of the expiration of EPA's 45-day review period, to
object to the permit. Section 505(b)(2) of the Act requires the Administrator to issue a pemiit
objection if a petitioner demonstrates lhat a permit is not in compliance with the requirements of
the Act, including the requirements of Part 70 and the applicable implementation plan. See, 40
C.F.R, § 70.8(e)(1); New York Public Interest Research Group, Inc. v. Whitman, 321 F.3d 316,
333 n. 11 (2d Cir. 2003). Part 70 requires that a petition must be "based only on objections to the
submission, HPA was not able to review (heSubmission itself, nor was i! able to provide ihe Peiitioner an opportunity
to respond to (he submission, AI [hough the Agency previously has considered submissions from permittees in some
instances where EPA wis able to fiilly review the submission and provide ihe petitioners wiih a chance lo review and
respond lo the submissions, time did not allow for eilher condition here. 'Hie re fore, EPA did not consider Valero
Re lining Company's submission when responding la ihe Petition via this Order.
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permit that were raised with reasonable specificity during the public; comment period. .., unless
the petitioner demonstrates that it was impracticable to raise such objections within such period,
or unless the grounds for such objection arose after such period." 40 C.F.R. § 70.8(d). A
petition for objection does not stay the effectiveness of the permit or its requirements if the
permit was issued after the expiration of CPA's 45-day review period and before receipt of an
objection, If EPA objects to a permit in response io a petition atid the permit has been issued, the
permitting authority or EPA will modify, terminate, or revoke and reissue such a permit using the
procedures in 40 C-FJR. §§ 70.7(g)(4) or (5)(i) and (ii) for reopening a permit for cause.
IL PROCEDURAL BACKGROUND
A Permitting Chronology
BAAQMD held its first public comment period for the Valero permit, as well as
BAAQMD *s other title V refinery permits from June through September 2002/ BAAQMD held
a public hearing regarding the refinery permits on July 29, 2002. From August 5 to September
22, 2003, BAAQMD held a second public comment period for the permits. EPA's 45-day
review of BAAQMD's initial proposed permits ran concurrently with this second public
comment period, from August 13 to September 26, 2003. EPA did not object to any of the
proposed permits under CAA section 505(b)(1). The deadline for submitting CAA section
505(b)(2) petitions was November 25, 2003, EPA received petitions regarding the Valero Permit
from Valero Refining Company and from Our Children's Earth Foundation. EPA also received
section 505(b)(2) petitions regarding three of DAAQMD's other refinery permits.
On December I, 2003, BAAQMD issued its initial title V permits for the Bay Area
refineries, including the Valero facility. On December 12, 2003, EPA informed the District of
EPA's finding that cause existed to reopen the refinery permits because the District had nut
submitted proposed permits to EPA as required by title V, Part 70 and BAAQMD's approved
title V program. See Letter from Deborah Jordan, Director, Air Division, EPA Region 9 w Jack
Broadbent, Air Pollution Control Officer, Bay Area Air Quality Management District, dated
December i 2, 2003. EPA's finding was based on the fact that the District had substantially
revised the permits in response to public comments without re-submitting proposed permits to
EPA for another 45-day review. As a result of the reopening, EPA required BAAQMD to submit
to EPA new proposed permits allowing EPA an additional 45-day review period and an
opportunity to object to a permit if it failed to meet the standards sel forth in section 505(b)(1).
On December 19, 2003, EPA dismissed all of the section 505(b)(2) petitions seeking
objections to the refinery permits as unripe because of Ihe just-initiated reopening process. See
e.g., Letters from Deborah Jordan, Director, Air Division, EPA Region 9, to John [\ Hansen,
?Tliere arc a total of live petroleum refineries in the Bay Area: Chevron Producls, Company's Richiifom!
refinery, ConocoPhillips Company's San Francisco Refinery in Rodeo, Shell Oil Company's Martinez Refinery,
Tesoro Refining and Marketing Company's Martinez refinery, and Valero Refining Company"5 Bcnicia facility.
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PiHsbury Winthrop, LLP (representing Valero) and to Marcel in E, Keever, Environmental Law
and Justice Clinic, Golden Gate University School of Law (representing Our Children's Earth
Foundation and other groups) dated December 19, 2003. EPA also stated that the reopening
process would allow the public an opportunity to submit new section 505(b)(2) petitions after the
reopening was completed. In February 2004, three groups (lied challenges in the United States
Court of Appeals for the Ninth Circuit regarding EPA's dismissal of their section 505(b)(2)
petitions. The parties resolved this litigation by a settlement agreement under which EPA agreed
to respond to new petitions (i.e., those submitted after EPA's receipt of BAAQMD *s re-proposed
permits, such as this Petition) from the litigants by March 15, 2005. See 69 Fed, Reg. 46536
(Aug. 3, 2004).
BAAQMD submitted, a new proposed permit for Valero to EPA on August 26, 2004;
EPA's 45-day review period ended on OctobeT 10,2004. EPA objected to the Valero Permit
under CAA section 505(b)(1) on one issue: the District's failure to require adequate monitoring,
or a design review, of thermal oxidizers subject to EPA's New Source Performance Standards
and National Emission Standards for Hajtardous Air Pollutants.
B Time I i ness o f Petition
The deadline for filing section 505(b)(2) petitions expired on December 9, 2004. EPA
finds that the Petition was submitted on December 7,2004, which is within the 60-day time
frame established by the Act and Part 70, EPA therefore finds that the Petition is timely.
HI. ISSUES RAISED BY PETITIONER
A Comp liance w ith App I i cab I e Req ui rem ent s
Petitioner alleges that EPA must object to the Permit on the basis of alleged deficiencies
Petitioner claims EPA identified in correspondence with the District dated July 28, August 2, and
October 8, 2004. Petitioner alleges that EPA and BAAQMD engaged in a procedure that
allowed issuance of a deficient Permit, Petition at 6-10, EPA disagrees with Petitioner that it
was required to object to the Permit under section 505(b)(1) or that it followed an inappropriate
procedure during its 45-day review period.
As a threshold matter, EPA notes that Petitioner's claims addressed in this section are
limited to a mere paraphrasing of comments EPA provided to the District in the above-referenced
correspondence. Petitioner did not include in the Petition any additional facts or legal analysis to
support its claims that EPA should object to the Permit. Section 505(b)(2) of the Act places the
burden on the petitioner to "demonstrate|J to the Administrator that the permit is not in
compliance" with the applicable requirements of the Act or the requirements of pari 70. See also
40 C.F.R. § 70.8(c)(1); NYPIRG, 321 F.3d at 333 nil. Furthermore, in reviewing a petition to
object to a title V permit because of an alleged failure of the permitting authority to meet all
procedural requirements in issuing the permit, EPA considen whether the petitioner has
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demonstrated thai the permitting authority's failure resulted in, or may have resulted in, a
deficiency in the content of the permit. See CAA § 505(bX2); see also 40 CF R. § 70.8(c)(1); hi
the Matter of Los Medanos Energy Center, at 11 (May 24, 2004) ("Los Medanos")i In the Matter
of Doe Run Company BuickMill and Mine7 Petition No. VII-1999-001, at 24-25 (July 31,2002)
("Doe Run"). Petitioner bears the burden of demonstrating a deficiency in the permit whether the
alleged flaw was first identified by Petitioner or by EPA. See 42 ILS.C. § 7661d(b}(2). Because
this section of the Petition is little more than a summary ofEPA's comments oil the Permit, with
no additional information or analysis, it does not demonstrate that there is a deficiency in the
Permit.
1. EPA's July 28 and August 2, 2004 Correspondence
Petitioner overstates the legaj significance ofEPA's correspondence to the Distric! dated
July 28 and August 2,2004. This correspondence, which took place between EPA and the
District during the permitting process but before BAAQMD submitted the proposed Permit to
EPA for review, was clearly identified as "issues for discussion" and did not have any formal or
legal effect Nonetheless, EPA is addressing the substantive aspects of Petitioner's allegation
regarding the applicability and enforceability of provisions relating to 40 C.F.R, § 60. l04(aX 1) in
Section IH.G,L
2 Attachment 2 of EPA's October 8, 2TO4 Letter
EPA's letter to the District dated October 8,2004 contained the Agency's formal position
with respect to the proposed Permit. See Letter from Deborah Jordan, Director, Air Division,
EPA Region 9 to Jack Broadbent, Air Pollution Control Officer, BAAQMD, dated October 8,
2004 ("EPA October 8, 2004 Letter"). Attachment 2 of the letter requested the District to review
whether the following regulations and requirements were appropriately handled in the Permit:
Applicability of 40 C.F.R. Part 63, Subpart CC to flares
Applicability of Regulation 8-2 to cooling to we re
• Applicability of NSPS Subpart QQQ to new process units
Applicability of NESHAP Subpart FF to benzene waste streams according to annual
average water content
Compliance with NESHAP Subpart FF for benzene waste streams
• Parametric monitoring for electrostatic precipitators
EPA and the District agreed that this review would be completed by February 15, 2005
and that the District would solicit public comment for any necessary changes by April 15,2005.
Contrary to Petitioner's allegation, EPA's approach to addressing these uncertainties was
appropriate. The Agency pressed the District to re-analyze these issues and obtained the
District's agreement to follow a schedule to bring these issues to closure. EPA notes again that
the Petition itself provides no additional factual or legal analysis that would resolve these
applicability issues and demonstrate that the Permit is indeed lacking an applicable requirement
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Progress in resotving these issues is attributable solely to the mechanism set in place by EPA and
the District
EPA has received the results of B AAQMD's review, see. Letter from Jack Broadbenl, Air
Pollution Control Officer, BAAQMD, to Deborah Jordan, Director, Air Division, EPA Region 9,
dated February 15, 2005 ("BAAQMD February 15,2005 Letter"), and is making the following
findings.
a. Applicability of 40 C.F.R. Pari 63, Subpart CC to Flares
This issue is addressed in Section DLH
b Cooling Tower Monitoring
This issue is addressed at Section DDLGJ
Applicability of NSPS Subpart QQQ to New Process Units
Petitioner claims EPA determined that the Statement of Basis failed to discuss the
applicability of NSPS Subpart QQQ for two new process units at the facility.
In an applicability determination for Valero's sewer collection system (S-161), the
District made a general reference to two new process units that had been constructed since 1987,
the date after which constructed, modified, or reconstructed sources became subject to New
Source Performance Standard ("NSPS") Subpart QQQ. The District further indicated thai
process wastewater rrom these units is hard-piped to an enclosed system. However, the District
did not discuss the applicability of Subpart QQQ for these units or the associated piping. As a
result, it was not clear whether applicable requirements were omitted from the proposed Permit.
In response to EPA's request for more in formal ion on this matter, the District stated in a
letter dated February 15, 2005' that the process units are each served by separate storm water and
sewer systems. The District has concluded that the storm water system is exempt from Subpart
QQQ pursuant to 40 C.F.R. 60.692-1(d)(1). However, with regard to 1hc sewer system, the
District stated the following;
The second sewer system is the process drain system that contains oily water waste
streams. This system is "hard-piped" to the slop oil system where Ihe wastewater is
separated and sent to the sour water stripper. From the sour water stripper, the
wastewater {is] sent directly to secondary treatment in the WWTP where it is processed in
the Bio* units.
!Stfi Letter from Jack Broadbent, Executive OfTke/APCQ, Bay Area Air Quality Management District to
Deborah Jordan, Director, Air Division, EPA Region 9,
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The District will review the details of the new process drain system and determine the
applicable standards. A preliminary review indicates that, since this system is hand-piped
with no emissions, the new process drain system may have been included in the slop oil
system, specifically S-Sl and/or S104. If this is the case, Table FV-J33 will be reviewed
and updated, a? necessary, to include the requirements of the new process drain system.
The District's response indicates that the Permit maybe deficient because it may lack
applicable requirements. Therefore, EPA is granting Petitioner's request tq object to the Pennit.
The District must determine what requirements apply to the new process drain system and add
any applicable requirements to the Permit as appropriate.
d. Management of Non-aqueous Benzene Waste Streams Pursuant to
40 C.F.R. Part 61, Subpart FF
Petitioner claims that EPA identified an incorrect applicability determination regarding
benzene waste streams and NESHAP Subpart FF. Referencing previous EPA comments,
Petitioner notes that the restriction contained in 40 C,F,R, § 61.342(e)(l) was ignored by the
District in the applicability determination it conducted for the facility.
The Statement of Basis for the proposed Permit included an applicability determination
for Valero's Sewer Pipeline and Process Drains, which stated the following;
Valero complies with FF through 61.342(e)(2Xi)» which allows the facility 6
Mg/yr of uncontrolled benzerte waste. Thus, facilities are allowed to choose
whether the benzene waste streams are controlled or uncontrolled as long as the
uncontrolled stream quantities total less than 6 Mg/yr„,Because the sewer and
process drains are uncontrolled, they are not subject to 61.346, the standards for
individual drain systems.
In its October 8, 2004 letter, EPA raised concerns over this applicability determination
due to the District's failure to discuss the control requirements in 40 C.F.R. § 61,342{cXt)
Urtder the chosen compliance option, oniy wastes that have an average water content of 10% or
greater may go uncontrolled (see 40 C.F.R. § 61.342(e)(2)) and it was not clear from the
applicability determination that the emission sources met this requirement In response to EPA's
request for more information on this matter, the BAAQMD stated in its February 15, 2005 Setter,
"In the Revision 2 process, the District will determine which waste streams at the refineries are
non-aqueous benzene waste streams. Section 61.342(e)(1) will be added to the source-specific
tables for any source handling such waste. The District has sent letters to the refineries
requesting the necessary information "
The District's response indicates that the Permit may be deficient because it may lack an
applicable requirement, specifically Section 61.342(e)(1). Therefore, EPA is granting
Petitioner's request to object to the Permit, The District must reopen the Permit to add Section
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61.342(e)(1) to the source-specific tables for all sources that handle non-aqueous benzene waste
streams or explain in the Statement of Basis why Section 61.342(c)(1) does not apply.
e. 40 C.F.R. Pad 61, Subpart FF - 6BQ Compliance Option
Referencing EPA's October 8,2004 letter. Petitioner claims that EPA identified an
incorrect applicability determination regarding the 6BQ compliance option for benzene waste
streams under 40 CJF.R. § 61.342(e), Petitioner claims thai this should have resulted in an
objection by EPA.
The BP A comment referenced by Petitioner is issue #12 in Attacliment 2 of the Agency's
October 8, 2004 letter to the B AAQMD, Ln that portion of its letter, EPA identified incorrect
statements regarding the wastes that are subject to the 6 Mg/yr limit under 40 C.F.R. §
6l.342(e)(2)(i). Specifically, the District stated that facilities are allowed to choose whether the
benzene waste streams are controlled or uncontrolled as long as the uncontrolled stream
quantities total less than 6 Mg/yn fn actuality, the 6 Mg/yr limit applies to all aqueous benzene
wastes (both controlled and uncontrolled).
The fundamental issues raised by the EPA October 8,2004 letter were I) whether or not
the refineries are in compliance with the requirements or the benzene waste operations NESHAJP,
and 2) the need to remove the incorrect language Irom the Statement of Basis. The first issue is a
matter of enforcement and does not necessarily reflect a flaw in the Permit, Absent information
indicating that the refinery is actually out of compliance with the NESHAP, there is no basis for
an objection by EPA- The second issue has already been corrected by the District. In response to
EPA's comment, the District revised the Statement of Basis to state that the 6 Mg/yr Simit applies
to the benzene quantity in the total aqueous waste stream. See December 16, 2004 Statement of
Basis at 26. Therefore, EPA is denying Petitioner's request to object to the Permit. However, in
responding to this Petition, EPA identified additional incouect language in the Permit,
Specifically, Table VU-Refmery states, "Uncontrolled benzene <6 megagrams/year." See Permit
at 476. As discussed above, this is clearly inconsistent with 40 C.F.R, § 61.342(eX2). in
addition, Table IV-Refinery contains a similar entTy that states, "Standards: General;
[Uncontrolled] 61.342(e)(2) Waste shall not contain more than 6,0 Mg/yr benzene." See Permit
at 51. As a result, under a separate process, EPA is reopening the Permit pursuant to its authority
under40 C.F.R, § 70.7(g) to require that the District fix this incorrect language,
f. Parametric Monitoring for Electrostatic Precipitators
Petitioner claims EPA found that the Permit contains deficient particulate monitoring for
sources that are abated by electrostatic precipitators (ESPs) and that are subject to limits under
SIP-approved District Regulations 6-310 and 6-311, Petitioner requests that EPA object to the
Permit to require appropriate monitoring,
BAAQMD Regulation 6-310 limits particulate matter emissions to 0.15 pains per dry
8
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standard cubic Foot, and Regulation 6-311 contains a variable limit based on a source's process
weight rate. Because Regulation 6 does not contain monitoring provisions, the District relied on
its periodic monitoring authority to impose monitoring requirements on sources S-5, S-6t and S-
10 to ensure compliance with these standards. See 40 C.F.R. | 70,6(a)(3)(i)(B); BAAQMD Reg.
6-503; BAAQMD Manual of Procedures, Vol. HI, Section 4,6- For sources S-5 and S-6, the
Permit requires annual source tests for both emission limits. For S-lGt the Permit requires an
annual source test to demonstrate compliance with Regulation 6-310 but no monitoring is
required for Regulation 6-311.
With regard to monitoring for Regulation 6-311 for source S-10, the Permit is
inconsistent with the Statement of Basis, The final Statement of Basis indicates that Condition
19466, Part 9 should read, "The Permit Holder shall perform an annual source test on Sources
S-5, S-6, S-8, S-10+ S-l 1, S-12, S-176, S-232, S-233 and S-237 to demonstrate compliance with
Regulation 6-311 (PM mass emissions rate not to exceed 4.1QP0.67 lb/hr)," See December 16,
2004 Statement of Basis at 84. However, Part 9 of Condition 19466 in the Permit states that the
monitoring requirement only applies to S-5 and S-6, December 16, 2004 Permit at 464. In
addition, Table Vtl-Bl states that monitoring is not required. Therefore, EPA is granting
Petitioner's request to object to the Permit as it pertains lo monitoring S-!0 for compliance with
Regulation 6-311. The District must reopen the Permit to add monitoring requirements adequate
to assure compliance with the emission limit or explain in the Statement of Basis why it is not
needed.
Regarding the annual source tests for sources S-5, S-6, and S-10, KPA believes that an
annual testing requirement is inadequate in the absence of additional parametric monitoring
because proper operation and maintenance of the ESPs is necessary in order to achieve
compliance with the emission limits- In the BAAQMD February 15,2005 Letter, the District
stated that it intends to "propose a permit condition requiring the operator to conduct an initial
compliance demonstration that will establish a correlation between opacity and particulate
emissions," Thus, EPA concludes the Permit docs not meet the Part 70 standard that it contain
periodic monitoring sufficient to yield reliable data from the relevant time period that are
representative of Ihe source's compliance. See 40CF.R. § 70,6(a)(3){j)(B), Therefore, EPA is
granting Petitioner's request to object to the Permit. At a minimum, the Permit must contain
monitoring which yields data that art representative of the source's compliance with its permit
terms and conditions.
3. Attachment 3 of EPA's October 8, 2004 Letter
Attachment 3 of EPA's October 8,2004 Letter memorialized the District's agreement to
address two issues related to the Valero Permit. One issue pertains to applicability
determinations for support facilities. EPA does not have adequate information demonstrating
that the Valero facility has support facilities, nor has Petitioner provided any such information.
EPA therefore finds no basis to object to the Permit and denies the Petition as to this issue.
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The second issue pertains to the removal of a permit shield from BAAQMD Regulation
8-2. EPA has reviewed the most recent version of the Permit and determined that the shield was
removed. Therefore, EPA is denying Petitioner's request to object to the permit as this issue is
moot.
R Permit Application
Applicable Requirements
Petitioner alleges that EPA must object to the Permit because it contains unresolved
applicability determ mat ions due to "deficiencies in the application and permit process" as
identified in Attachment 2 to EPA's October 8, 2004 letter lo the District,
During EPA's review of the Permit, BAAQMD asserted that, notwithstanding any alleged
deficiencies in the application and permit process, the Permit sufficiently addressed these items
or the requirements were not applicable. EPA requested that the District review some of the
determinations of adequacy and non-applicability that it had already made, EPA believes that
this process has resulted in improved applicability determinations. Petitioners have failed to
demonstrate that such a generalized allegation of "deficiencies in the application and permit
process" actually resulted in or may have resulted in a (law in the Pennit. "t herefore, EPA denies
the Petition on this basis.
2. Identification of Insignificant Sources
Petitioner contends that the permit application failed lo list insignificant sources, resulting
in a "lack of information ... [that] inhibits meaningful public review of the Title V permit."
Petitioner further contends that, contrary to District permit regulations, the application failed to
include a list of all emission units, including exempt and insignificant sources and activities, and
failed to include emissions calculations for each significant source or activity. Petitioner lastly
alleges that the application lacked an emissions inventory for sources not in operation durine
1993.
Under Part 70, applications may not omit information needed to determine the
applicability of, or to impose, any applicable requirement, or to evaluate a required fee amount.
40 C.F.R. f 70.5(c). Emission calculations in support of the above information are required. 40
C.F.R. § 70.5(c)(3J(viLi). An application must also include a list ofinsigni(leant activities that
are exempted because of size or production rate. 40 C.F.R. § 70.5(c).
District Regulation 2-6-405.4 requires applications for title V permits to identify and describe
"each permitted source at the facility" and "each source or other activity that is exempt from the
requirement to obtain a permit „.. EPA's Part 70 regulaiions* which prescribe the minimum
elements for appravable state title V programs, require that applications include a list of
insignificant sources that are exempted on the basis of size or production rate, 40 C.F.R.
10
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§ 70.5(c). EPA's regulations have no specific requirement for the submission of emission
calculations to demonstrate why an insignificant source was included in the list.
Petitioner makes no claim that the Permit inappropriately exempts insignificant sources
from any applicable requirements or that the Permit omits any applicable requirements.
Similarly, Petitioner makes no claim that the inclusion of emission calculations in ihc application
would have resulted in a different permit. Because Petitioner failed to demonstrate that the
alleged flaw in the permitting process resulted in, or may have resulted in, a deficiency in ifie
permit, EPA is denying the Petition on this ground.
EPA also denies Petitioner's claim because Petitioner fails to substantiate its generalized
contention that the Permit is flawed. The Statement of Basis unambiguously explains that
Section III of the Permit, Generally Applicable Requirements, applies to all sources at the
facility, including insignificant sources:
This section of the permit lists requirements that generally apply fo all sources at a facility
including insignificant sources and portable equipment that may not require a District
permit....[Standards that apply to insignificant or unpermitted sources at a facility (e.g.,
refrigeration units that use more than 50 pounds of an ozone-depleting compound), are
placed in this section.
Thus, all insignificant sources subject to applicable requirements are properly covered by ihe
Permit.
Petitioner also fails to explain how meaningful public review of the Permit was
"inhibited" by the alleged lack of a list of insignificant sources from the permit application/ We
find no permit deficiency otherwise related to missing insignificant source information in the
Permit application.
In addition, Petitioner fails to point to any defect in Ihe Permit as a consequence of any
missing significant emissions calculations in the permit application. The Statement of Basis for
Section IV of the Permit states, "This section of the Permit lists the applicable requirements thai
apply to permitted or significant sources." Therefore, all significant sources and activities are
properly covered by the Permit,
"With respect to a missing emissions inventory for sources not in operation during 1993*
Petitioner again fails lo point to any resultant flaw in the Permit. These sources are appropriately
addressed in the Permit.
For the foregoing reasons, EPA is denying the Petition on these issues
4 In another part of U« Petition, addressed below. Petitioner argues lit at the District's delay in providing
requested information v billed the District's public participation procedures approved to meet 40 C.F.R. § 70.7.
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3, Identification of Non-Compliance
Petitioner argues that the District should have compelled the refinery to identify non-
compliance in the application aod provide supplemental information regarding non-compliance
during the application process prior to issuance of ihe final permit on December 1, 2Q03. In
support, Petitioner cites the section of its Petition {IIl.D.) alleging that the refinery failed to
properly update its compliance certification.
Title V regulations do not require an applicant to supplement its application with
information regarding non-compliance,5 unless Lhe applicant has knowledge of an incorrect
application or of information missing from an application. Pursuant to 40 C.F.R. § 70.5(cX8)(i)
and (ni)(C), a standard application form for a title V permit must contain, inter aiia1 a
compliance plan that describes the compliance status of each source with respect to all applicable
requirements and a schedule of compliance for sources that are not in compliance with all
applicable requirements at the time the permit issues. Section 70.5(b), Duty io supplement or
correct application, provides that any applicant who fails to submit any relevant facts, or who
has submitted incorrect information, in a permit application, shall, upon becoming aware of such
failure or incorrect submission, promptly submit such supplemental or corrected information. !n
addition, Section 70.5(c)(5) requires the application to include "(ojther specific information that
may be necessary to implement and enforce other applicable requirements ... or to determine the
applicability of such requirements,"
Petitioner docs not show that the refinery Iiad failed to submit any relevant facts, or had
submitted incorrect information, in its 1996 initial permit application. Consequently, the duty to
supplement Or Correct the permit application described at 40 C.F.R. § 70. 5(b) has not been
triggered in this case-
Moreover, BP A disagrees that the requirement of 40 C.F.R. § 70.5(c)(5) requires the
refinery to update compliance information in this case. The District is apprised of all new
information arising after submittal of the initial application - such as NOVs, episodes and
complaints — that may bear on the implementation, enforcement and/or applicability of applicable
requirements. Jn fact, the District has an inspector assigned to the plant to assess compliance at
least on a weekly basis. Therefore, it is not necessary to update the application with such
information, as it is already in lhe possession of the District Petitioner has failed to demonstrate
that the alleged failure to update compliance information in the application resulted in, or may
have resulted in. a deficiency in the Permit. For the foregoing reasons, EPA denies the Petition
on this issue.
C. Assurance of Compliance with All Applicable Requirements Pursuant to the Act,
Pari 70 and BAAQMD Regulations
5 As discussed infra, title V regulations also do nol require permit applicant to update fheir compliance
certifications pending permit issuance.
12
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1 Compliance Schedule
In essence, Petitioner claims that the District's consideration of the facility's compliance
liistory during the title V permitting process was flawed because the District decided not to
include a compliance schedule in the Permit despite a number of NOVs and other indications, in
Petitioner's view, of compliance problems, and the District did not explain why a compliance
schedule is not necessary. Specifically, Petitioner alleges that EPA must object to the Permit
because the "District ignored evidence of recurring or ongoing compliance problems at the
facility, instead relying oil limited review of outdated records, to conclude that a compliance
schedule is unnecessary " Petition at 11-19. Petitioner further alleges that a compliance schedule
is necessary to address NOVs issued to the plant (including many that are still pending)15, one-
lime episodes7 reported by the plant, recurring violations and episodes at certain emission units,
complaints filed with the District, and the lack of evidence that the violations have been resolved.
The relief sought by Petitioner is for the District to include "a compliance schedule in the Permit,
or explain why one was not necessary." Id. Petitioner additionally charges that, due to the
facility's poor compliance history, additional monitoring, recordkeeping and reporting
requirements arc warranted to assure compliance with all applicable requirements. Id.
Section 70.6(c)(3) requires title V permits to include a schedule of compliance consistent
with Section 70.5(c)(8). Section 70.5(c)(8) prescribes the requirements for compliance schedules
to be submitted as part of a permit application. For sources that are not in compliance with
applicable requirements at the time of permit issuance, compliance schedules must include wa
schedule of remedial measures, including an enforceable sequence of actions with milestones,
leading to compliance " 40 C.F.R. § 70.5(c){8)(iii)(C). The compliance schedule should
"resemble and be at least as stringent as that contained in any judicial consent decree or
administrative order to which the source is subject." Id.
In determining whether an objection is warranted For alleged flaws in the procedures
leading up to permit issuance, such as Petitioner's claims thai the District improperly considered
the facility's compliance history, EPA considers whether a Petitioner has demonstrated that the
alleged flaws resulted in, or may Itave resulted in, a deficiency in the permit's content. See CAA
§ 505(b)(2) (requiring an objection "if the petitioner demonstrates... that the permit is not in
compliance with the requirements of this Act...."). In Petitioner's view, the deficiency that
resulted here is the lack of a compliance schedule. For the reasons explained below, EPA grants
4BaaQMD Regulation 1:401 provides for the issuance of NOVs; "Violation Notice: A not ice of violation
or citation skull be issued by the District for all violations of District refutations and shall be delivered to persons
alleged to be in violation of District regulations. The notice shall identify the nature of the violation, the rule or
regulation violated, and the dale or dates on which said violation occurred,"
7According to BAAQMD, "episodes" ire "reportable events, bul are not necessarily violations," Letter
from Adan Schwartz, Senior Assistant Counsel, RAAQMO to (jerardo Rio*, EPA Region IX, dated January 31,
2005.
13
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the Petition to require the District to address in the Permit's Statement of Basis the NOVs thai
the District has issued to the facility and, in particular, NOVs thai have not been resolved
because they may evidence noncompliance at the time of permit issuance, EPA denies the
Petition as to Petitioner's other compliance schedule issues.
a. Notices of Violation
fn connection with its claim that the Permit is deficient because it lacks a compliance
schedule, Petitioner states that the Dislrict issued 85 NOVs to Valero between 2001 and 2004
and 51 NOVs in 2003 and 2004. Petitioner highlights that, as of October 22, 2004, all 51 NOVs
issued in 2003 and 2004 were unresolved and still "pending." Petition at 14-15. To support ils
claims, Petitioner attached to the Petition various District compliance reports and summaries,
including a list of NOVs issued between January 1,2003 and October l» 2004. Thus, Petitioner
essentially claims that the District's consideration of these NOVs during the title V permitting
process was Hawed, because the District did not include a compliance schedule in the Permit and
did not explain why a compliance schedule is not necessary.
As noted above, EPA's Part 70 regulations require a compliance schedule for "applicable
requirements for sources that ate not in compliance with those requirements at the time of permit
issuance," 40 C.F.R, §§ 70.6(cX3}» 70.5(c)(8)(iii)(C). Consistent with these requirements, EPA
his slated that a compliance schedule is not necessary if a violation is intermittent, not on-going,
and has been corrected before the permit is issued. See In the Matter of New York Organic
Fertilizer Company, Petition Number 11-2002-12 at 47-49 (May 24, 2004). EPA has also stated
that the permitting authority has discretion not to include in the permit a compliance schedule
where there is a pending enforcement action that is expected to result in a compliance schedule
{i.e., through a consent order or court adjudication) for which the permit will be eventually
reopened. See in the Matter of Hunt ley Generating Station, Petition Number 11-2002-01, al 4-5
(July 31, 2003); see also In the Matter of Dunkirk Power, LLC, Petition Number [1-2002-02, at 4-
5 {July 31, 2003),8
Using the District's own enforcement records, Petitioner has demonstrated that
approximately 50 NOVs were pending before the District at the time it proposed the revised
Permit. The District's most recent statements, as of January 2005, do not dispute this fact.' The
"These orders considered whether a compliance schedule was necessary to address (i) opacity violations for
which the source had included a compliance schedule with its application; and (ii) PSD violations dial the source
contested and was litigating in federal district court. As to the uncontested opacity violations, EPA required ibe
permitting authority ir> reopen the permits to either incorporate a compliance schedule or explain that a compliance
schedule was not necessary because the facility was in compliance. As to the contested PSD violations, EPA found
that ""[lit is entirely appropriate fat the [state] enforcement process to lake its course" and For a compliance schedule
to be included only after the adjudication has been resolved.
*As stated in a tetter from Adati Schwartz, Senior Assistant Counsel, DAAQMD, toGerardo Rios. Air
Division, U.S, EPA Region 9, dated January J I, 2005, "The Dislrict is following upon each NOV to achieve an
appropriate resolution, which will likely entail payment of a civil penalty."1 EPA provided a copy of this letter to
14
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permitting record shows that the District issued the initial Permit on Dscembcr 1,2003 and the
revised Permit on December 16,2004, According to the District, the facility did not have
noncompliance issues at the lime it issued the initial and revised permits. Tlie permitting record
contains the following statements:
• July 2003 Statement of Basis "Compiiance Schedule" section: "The BAAQMD
Compliance and Enforcement Division has conducted a review of compliance over
the past year and has no records of compliance problems at this facility." July 2003
Statement of Basis at 12.
Ju5y 2003 Statement of Basis, "Compliance Status" section: 'The Compliance and
Enforcement Division has prepared an Annual Compliance Report for 2001... The
information contained in the compliance report has been evaluated during the
preparation of the Statement of Basis for the proposed major Facility Review permit.
The main purpose of this evaluation is to identify ongoing or recurring problems that
should be subject to a schedule of compliance. No such problems have been
identified," July 2003 Statement of Basis at 35. This section also noted that the
District issued eight NOVs to the refinery in 2001, but did not discuss any NOVs
issued to the refinery in 2002 or the first half of 2003. EPA notes that there appear to
have been approximately 36 NOVs issued during that time, each of which is
identified as pending in the documentation provided by Petitioner.
December 16, 2004 Statement of Basis: " The facility is not currently in violation of
any requirement. Moreover, the District has updated its review of recent violations
and has not found a pattern of violations that would warrant imposition of a
compliance schedule." December 2004 Statement of Basis at 34,
2003 Response to Comments ("RTC") {from Golden Gate University): 'The
District's review of recent NOVs failed to reveal any evidence of current ongoing or
recurring noncompliance that would warrant a compliance schedule." 2003 RTC
(GGU) at I.
EPA finds that the District's statements at the time it issued the initial and revised
Permits do not provide a meaningful explanation for the lack of a compliance schedule in the
Permit. Using the District's own enforcement records. Petitioner has demonstrated that there
were approximately 50 unresolved NOVs at the time the revised Permit was issued in December
2004. The District's statements in the permitting record, however, create the impression that no
NOVs were pending at that time. AI thou eh the District acknowledges that there have been
"recent violations," the District fails to address the fact that it had issued a significant number of
NOVs to the facility and that many of the issued NOVs were still pending. Moreover, the
District provides only a conclusory statement that there are no ongoing or recurring prohlems that
Petitioner on February 23, 2005
1 S
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could be addressed with a compliance schedule and offers no explanation for this determination.
The District's statements give no indication that it actually reviewed the circumstances
underlying recently issued NOVs to determine whether a compliance schedule was necessary.
The District's mostly generic statements as to the refinery's compliance status are not adequate to
support the District's decision that no compliance schedule was necessary in light of the NOVs.'®
Because the District failed to include an adequate discussion in the permitting record
regarding NOVs issued to the refinery, and, in particular, those that were pending at the time the
Permit was issued, and an explanation as to why a compliance schedule is not required, EPA
finds that Petitioner has demonstrated that the District's consideration of the NOVs during the
title V permitting process may have resulted in a deficiency in the Permit. Therefore, EPA is
granting the Petition to require the District to either incorporate a compliance schedule in the
Permit or to provide a more complete explanation for its decision not to do so.
When the District reopens the Permit, it may consider EFA's previous orders in the
Huntley, Dunkirk, and New York Organic Fertilizer matters to make a reasonable determination
that no compliance schedule is necessary because (i) the facility has returned to compliance; (ii)
the violations were intermittent, did not evidence on-going non-compliance, and the source was
in compliance at the time of permit issuance; or (iii) ihe District has opted to pursue the matter
through an enforcement mechanism and will reopen the permit upon a consent agreement or
court adjudication of the noncompliance issues. Consistent with previous EPA orders, the
District must also ensure that the permit shield will not serve as a bar or defense to any pending
enforcement action.1' See Huntley and Dunkirk Orders at 5.
b Episodes
Petitioner also cites the number of "episodes" at the plant in the years 2003 and 2004 as a
basis for requiring a compliance schedule- Episodes are events reported by the refinery of
equipment breakdown, emission excesses, inoperative monitors, pressure relief valve venting, or
other facility failures. Petition at 15, n, 21- According to the District, "[ejptsodes arc reportable
events, but arc not necessarily violations. The District reviews each reported episode. For those
that represent a violation, an NOV is issued,1* Letter from Adan Schwartz, Senior Assistant
Counsel, BAAQMD to Genrdo Rios, EPA Region DC, dated January 31, 2005. The summary
chart entitled 4'BAAQMD Episodes" attached to the Petition shows that the District specifically
l0Jn contrast, EPA notes that the slate permitting authority in the Huntley and Dunkirk Orders provided a
thorough record as To the existence and circumstances regarding the pending NOVs by describing them in detail trt
the permits and acknowledging (he enforceti^nt issues in (hi public notices for the permit!. Huntley ai 6, Dunkirk at
6. In addition, EPA found that tl« permits contained "sufficient safeguards" to ciisuic thai ihc permit shields would
not preclude appropriate enforcement actions. Id.
11 After reviewing (he permit shield in (he Permit, EPA finds nothing in it [hat could serve as a defense to
enforcement oTthe pending NOVs, The District, howevui, should stiil independently perform this review wln-n it
reopens the Permit.
16
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records for each episode, under the heading "Status " iis determination for each episode; (i) no
action; (ii) NOV issued; (iii) pending; and (iv) void. This document supports the District's
statement that it reviews each episode to see whether it warrants an NOV. Because not every
episode is evidence of noncompliance, the number of episodes is not a competing basis for
determining whether a compliance schedule is necessary. Moreover, Petitioner did not provide
additional (acts, other than the summary chart, to demonstrate that any reported episodes are
violations. EPA therefore finds that Petitioner has not demonstrated that the District's
consideration of the various episodes may have resulted in a deficiency in the Permit, and EPA
denies the Petition as to this issue.
c. Repeat Violations and Episodes at Particular Units
Petitioner claims that certain units at the plant are responsible for multiple episodes and
violations, "possibly revealing serious ongoing or recurring compliance issues." Petition at 16.
The Petition then cites, as evidence, the existence of 16 episodes and 8 NOVs for the FCCU
Catalytic Regenerator (S-S), 9 episodes and 4 NOVs for a hot furnace (S-22G), 9 episodes and 2
NOVs for the Heat Recovery Steam Generator (S-103I), and 3 episodes and 2 NOVs for the
South Flare (S-18).
A close examination of the BAAQMD Episodes chart relied upon by Petitioner, however,
reveals that the failures identified for these episodes and NOVs are actually quite distinct from
one another, often covering different components and regulatory requirements. This fact makes
sense as emission and process units at refineries tend lo be very complex wilb multiple
components and multiple applicable requirements. When determining whether a compliance
schedule is necessary for ongoing violations at a particular emission unit based on multiplfe
NOVs issued for that unit, it would be reasonable for a permitting authority to consider whether
the violations pertain to the same component of the emission unit, the cause of the violations is
the same, and the cause has not been remedied through the District's enforcement actions.
Again, Petitioner has failed to demonstrate that the District's consideration of the various repeat
episodes and alleged violations may have resulted in a deficiency in ihe Permit, EPA therefore
denies the Petition as to this issue,
d. Complaints
Petitioner contends that the "numerous complaints" received by the District between 2001
and 2004 also lay a basis for the need for a compliance schedule. These complaints were
generally for odor, smoke or other concerns. As with the episodes discussed above, the mere
existence of a complaint does not evidence a regulatory violation. Moreover, where the District
has verified certain complaints, it has issued an NOV to address public nuisance issues. As such,
even though complaints may indicate problems that need additional investigation, they do not
necessarily lay the basis for a compliance schedule. Because Petitioner has not demonstrated that
the complaints received by the District may have resulted in a deficiency in the Permit, EPA
denies the Petition as to this issue.
7
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e. Allegation that Problems are not Resolved
Petitioner proposes three "potential solutions to ensure compliance:" (I) the District
should address recumng compliance at specific emission units, namely S-5, S-220 and S-1030,
(2) the District should impose additional maintenance or installation of monitoring equipment, or
new monitoring methods to address the 30 episodes involving inoperative monitors; and (3) the
District should impose additional operational and maintenance requirements to address recurring
problems since the source is not operating in compliance with the NSPS requirement to maintain
and operate the facility in a manner consistent with good air pollution control practice for
minimizing emissions. Petition at 18-19.
In regard to Petitioner's first claim for relief, EPA has already explained that Petitioner
has not demonstrated that the District's consideration of the various 'recurring' violations for
particular emission units may have resulted in a deficient permit or justifies the imposition of a
compliance schedule. In regard to the second claim for relief, the 30 episodes cited by Petitioner
are for different monitors, and spread over a multi-year period. As long as the District seeks
prompt coirective action upon becoming aware of inoperative monitors, EPA does not sec this as
a basis for additional maintenance and monitoring requirements for the monitors. Moreover,
Ep A could only require additional monitoring requirements to the extent that the underlying SIP
or some other applicable requirement does not already require monitoring. See 40 C.F.R,
§ 70.6(a)(3)(i)(B), Lastly, in response lo Petitioner's third claim for relief seeking imposition of
additional operation and maintenance requirements due to an alleged violation of the "good air
pollution, control practice" requirements of the NSPS, EPA believes that such an allegation of
noncompliance is too speculative to warrant a compliance schedule without further investigation.
As such, EPA finds thai Petitioner has not demonstrated that the District's failure to include any
of the permit requirements Petitioner requests here resulted in, or may have resulted in, a
deficient permit, and EPA denies the Petition on this ground.
2, Non-Compliance Issues Raised by Public Comments
Petitioner claims that since the District failed to resolve New Source Review (i!NSR"),J
compliance issues, EPA should object to the issuance of the Permit and require either a
compliance schedule or an explanation that one is not necessary. Petition at 21. Petitioner
claims to have identified four potential NSR violations at the refinery, as follows: (i) an apparent
Substantial rebuild of the fluid catalytic cracking unit ("FCCU") regenerator (S-5) without NSR
review,'3 based on information that large, heavy components of the FCCU were recently
12 "NSR" is used in this section lo include both the nonattaiiunentarea New Source Review permit
program and the attainment area Prevention of Significant Deterioration ("PSD") permit program.
13 Petitioner also alleges thai S-5 wen I through a rebuild without imposition of emission
limitations and other require raents of 40 C.F.R. § 63 Subpart UUU. EPa notes that the requirements of Subpart
UUU are included in the Permit with ? future effective rfate of April 11,2005. Permit at SO,
18
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replaced; (ii) apparent emissions increases at two boiler units (S-3 and S-4) beyond the NSR
significance level for modified sources of NOx, based on the District's emissions inventory
indicating dramatic increases in NOx emissions between 1993 and 2001; and (iii) an apparent
significant increase in S02 emissions at a ooker burner (S-6)t based on the District's emissions
inventory indicating a dramatic increase in S02 emissions in 2001 over the highest emission rate
during 1993 to 2000,14 Petition at 20.
All sources subject to title V must have a permit to operate that assures compliance by the
source with all applicable requirements. See 40 C,F,R. § 70.1(b); CAA §§ 502(a), 504(a). Such
applicable requirements include the requirement to obtain NSR penults that comply with
applicable NSR. requirements under the Act, EPA regulations, and state implementation plans.
See generally CAA §§ i 10(a)(2)(C), 160-69, 172(c)(5), and 173; 40CF.R. §§ 51,160-66 and
52.21. NSR requirements include the application of the best available control technology
{"BACT") to a new or modified source that results in emissions of a regulated pollutant above
certain legally-specified amounts,13
Based on the information provided by Petitioner, Petitioner has failed to demonstrate that
NSR permitting and BACT requirements have been triggered at the FCCU catalytic regenerator
S-5, boilers S-3 or S-4, or coke burner S-6. With regard to the FCCU catalytic regenerator,
Petitioner's only evidence in support of its claim is (i) an April 8, 1999, Energy Information
Administration press release that states that the refinery announced the shutdown of its FCCU on
March 19, 1999, and announced the restarting of the FCCU on April I, I999;l6and
(ii) information posted at the Web site of Surface Consultants, Inc., stating that "several large,
heavy components on [the FCCU] needed replacement " See Petition, Exhibit A. Petitioner
oilers no evidence regarding the nature of these activities, whether the activities constituted new
or modified source under the NSR rules, or whether refinery emissions were in any way affected
Petitioner also lakes issue wiih the District's position lhat "the [NSR] p reconstruct ion review rules
themselves are rot applicable requiienienls, for purposes ofTitlc V." (Petition, « 21; December 2003 Consolidated
Response to Comments ("CRTC") at 6-7). Applicable requirements are defined in the District's Regulation 2-6-202
as **{a Jir quality requirements villi which a facility must comply pursuant to the District's regulations, codes of
California stMUtory law, and (lie federal Ciean Air Act, including all applicable requirements as defined in 4ft C.H.R.
§ 70.2." Applicable requirements arc defined in 40 C.F.K. § 70.2 to include "any standard Of other requirement
provided for in the applicable implementation plan approved or promulgated by BPA through rulemaking under title
I of the Act that injplcmenis the relevant requirements of the Act...." Since the District's NSR rales arc pad of its
implementation plan, (lie NSR rules themselves are applicable requirements for purposes of title V. Since ihis point
has little relevance to the matter at hand (i.e., whether in this case the NSR rules apply to a particular new or
modified source at the refinery), CPA views the DtstricTs position as other dictum.
15 The Act distinguishes between the requirement to apply UACl, which is part ofthe PSD permit program
for attainment areas, and the requirement to apply the lowest achievable emkiion rate ("LAEI")„ which is part of (lie
NSR permit program tot nonstl ailment areas, In Ihis case, however, the District's NSR rules use the term "BACT"
to signify "LAER."
14 This press release is available on the Internet at hltpwww.eia.doc.go1v/ncic/press/press 123.html (last
viewed on February I, 2005).
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by these activifies
With regard to the two boilers and the coke burner, Petitioner s only evidence in support
of its claims are apparent "dramatic" increases in each of these unit's emissions inventory.
However, as the District correctly notes:
"...the principal purpose of the inventory is planning; the precision needed for this
purpose is fairly coarse. The inventory emissions are based, in almost all cases,
on assumed emission factors, and reported throughputs. An increase in emissions
from one year to the next as reflected in the inventory may be an indication that
reported throughput has increased, however it does not automatically follow that
the source has been modified. Unless the throughput exceeds perniit limits, the
increase usually represents use of previously unused, but authorized, capacity. An
increase in reported throughput amount could be taken as an indication that
further investigation is appropriate to determine whether a modification has
occurred. However, the District would not conclude that a modification has
occurred simply because reported throughput has increased,"
December 1, 200J Consolidated Response to Comments ("2003 CRTC'*), at 22- Moreover,
Petitioner does not claim to have sufficient evidence to establish that these units are subject to
NSR permitting and the application of BACT. The essence of Petitioner's objection is the need
for the District to "determine whether the sources underwent a physical change or change in the
method of operation that increased emissions, which would trigger NSR." Petition at 20. Not
only is Petitioner unable to establish thai these units triggered NSR requirements, Petitioner is
not even, alleging that NSR requirements have in fact been triggered. Petitioner is merely
requesting that the District make an NSR applicability determination based on Petitioner's "well-
documented concerns regarding potential non-compliance." Petition at 20 (emphasis added).
During the title V permitting process, EPA has also been pursuing similar types of claims
in another forum. As part of its National Petroleum Refinery Initiative, EPA identified four of
the Act's programs where non-compliance appeared widespread among petroleum refiners,
including apparent major modifications to FCC Us and refinery heaters and boilers that resulted
in significant increases in NOx and S03 emissions without complying with NSR requirements.
However, based on the information provided by Petitioner, EPA is not prepared to conclude at
this time that these units at the Valero refinery are out of compliance with NSR requirements. Tf
EPA later determines that these units are in violation of NSR requirements, EPA may object to or
reopen the title V permit to incorporate the applicable NSR requirements.17
Since Petitioner has failed to show that NSR requirements apply to these units, EPA finds
17 EPA rotes Uiat with respect lo (he specific claims of NSR violations raised ty Petitioner in ils comments,
the District "intends to follow up with further investigation." December t, 2003 CRTC, at 22. EPA encourages ihe
District to do so, especially where, as in this case, the apparent changes in the emissions inventories are substantial.
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that Petitioner has not met its burden of demonstrating a deficiency in the Permit. Therefore, the
Petition is denied on this issue.
3. biterniitlent and Continuous Compliance
Petitioner contends that EPA must object to the Permit because the District has
interpreted the Act to require only intermittent raLher than continuous compliance. Petition at 21-
22. Petitioner contends that the District has a "fundamentally flawed philosophy." Petitioner
points to a statement made by the District in its Response to Public Comments, dated December
1, 2003, that "[compliance by the refineries with all District and federal air regulations will not
be continuous." Petitioner contends that the District "expects only intermittent compliance" and
that the District's belief "that it need only assure 'reasonable intermittent' compliance" means
that it failed to see the need for a compliance plan in the Permit.
EPA disagrees with Petitioner's suggestion that the District's view of intermittent
compliance has impaired its ability to properly implement the title V program. As slated above,
EPA has not concluded that a compliance plan is necessary to address the instances of non-
compliance at this Facility. Moreover, the Agency disagrees with Petitioner's interpretations of
the District's comments on the issue. For instance, EPA finds nothing in the record slating lhat
(he District's view of the Permit, as a legal matter, is lhat it need assure only intermittent
compliance. Rather, a fairer reading of the District's view is that, realistically, intermittent non-
compliance can be expected. As the District stated:
The District cannot rule out that instances of non-compliance will occur. Indeed at a
refinery, at least occasions! events of non-compliance can be predicted with a high degree
of certainty,, ., Compliance by the refineries with all District and federal air regulations
will not be continuous. However, the District believes the compliance record at this
[Shell] and other refineries is well within a range to predict reasonable intermittent
compliance, December 1,2003 RTC at 15.
The District's view appears to he based on experience and the practical reality that
complex sources with thousands of emission points which are subject to hundreds of local and
federal requirements will find themselves out of compliance, not necessarily because their
permits are inadequate but because of the limits of technology and other factors. Even a source
with a perfectly-drafted permit - one that requires state of the art monitoring, scrupulous
recordkeeping, and regular reporting to regulatory agencies - may find itself out of compliance,
rot because the permit is deficient, but because of the limitations of technology and other factors.
EPA also believes that, far from sanctioning intermittent compliance, as Petitioner
suggests, see Petition at 22, n. 36, the District appears committed to address it through
enforcement of the Permit, when appropriate: "when non-compliance occurs, the Title V permit
will enhance the ability to delect and enforce against iho&e occurrences." Id. Although the
District may realistically expect instances of non-compliancc, it docs not necessarily excuse
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them. Non-compliance may still constitute a violation and may be subject to enforcement action
For the reasons stated above, EPA denies the Petition on this ground
4. Compliance Certifications
Diitial compliance certifications must be made by all sources that apply for a title V
permit at the time of the permit application. See 40 C.RR. § 70.5(c)(9). The Part 70 regulations
do not require applicants to update their compliance certification pending issuance of the permit.
Petitioner correctly points out that the District's Regulation 2-6-426 requires annual compliance
certifications on "every anniversary of the application date" until the permit is issued. Petitioner
claims that, other than a truncated update in 2003, the plant has failed to provide annua]
certifications between the initial permit application submittal in 1996 and issuance of the permit
in December 2004. Petitioner believes that "defects in the compliance certification procedure
have resulted in deficiencies in the Permit." Petition at 24,
In determining whether ait objection is warranted for alleged flaws in the procedures
leading up to permit issuance, including compliance certifications, EPA considers whether the
petitioner has demonstrated that the alleged flaws resulted in> or may have resulted in, a
deficiency in the permit's content- See CAA Section 505(b)(2) (objection required "if the
petitioner demonstrates ... that the permit is not incompliance with the requirements of this Act,
including the requirements of the applicable [SEP]"); 40 C.FR. § 70.8(c)(1); See also In the
Matter of New York Organic Fertilizer Company, Petition No. 0-2002-12 (May 24, 2004), at 9.
Petitioner assumes, in making its argument, that the District needs these compliance
certifications to adequately review compliance for the facility. This is riot necessarily true,
Sources often certify complimce based upon information that has already been presented to a
permitting authority or based upon NOVs or other compliance documents received from a
permitting authority. The requirement for the plant to submit episode and other reports means
that the District should be privy to all of the information available to the source pertaining to
compliance, regardless of whether compliance certifications have been submitted annually
Finally, the District has a dedicated employee assigned as an inspector to the plant who visits the
plant weekly and sometimes daily. In this particular instance, the compliance certi fication would
likely not add much to the District's knowledge about the compliance status oft he plant EPA
believes that in this case, Petitioner has failed to demonstrate that the lack of a proper initial
compliance certification, or the alleged failure to properly update that initial compliance
certification, resulted in, or may have resulted in, a deficiency in the permit.
D. Statement of Basis
Petitioner alleges that the Statements of Basis for the Permit issued in December 2003
and for the revised Permit, as proposed in August 2004, are inadequate. Specifically, Petitioner
alleges the following deficiencies:
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Neither Statement of Basis contains detailed facility descriptions, including
comprehensive process How information;
• Neither Statement of Basis contains sufficient information to determine applicabi lily
of "certain requirements to specific sources," Petitioner specifically identifies
exemptions fit)in permitting requirements that BAAQMD allowed for tanks.
Petitioner also references Attachments 2 and 3 to EPA's October 8, 2004 letter as
support for its allegation that the Statements of Basis were deficient because they did
not address applicability of 40 C.F.R, Part 63, Subpart CC to flares and BAAQMD
Regulation 8-2 to hydrogen plant vents.
• Neither Statement of Basis addresses BAAQMD's compliance determinations
• The 2003 Statement of Basis was not made available on the District's Web site during
the April 2004 public comment period and does not include information about permit
revisions in March and August 2004
The 2004 Statement of Basis does not discuss changes BAAQMD made to the Permit
between the public comment period in August 2003 and the final version issued in
December 2003, despite the District's request for public comment on such changes.
EPA's Part 70 regulations require permitting authorities, in connection with initiating a
public comment period prior to issuance of a title V permit, to "provide a statement that sets
forth the legal and factual basis for the draft permit conditions " 40 C.F.R. § 70.7(a)(5), EPA's
regulations do not require thai a statement of basis contain any specific elements; rather,
permitting authorities have discretion regarding the contents of a statement of basis. EPA has
recommended that statements of basis contain the following elements: (I) a description of the
facility; (2) a discussion of any operational flexibility that will be utilized at the facility; (J ) the
basis for applying the permit shield; (4) any federal regulatory applicability determinations; and
(5 ) the rationale for the monitoring methods selected, EPA Region V has also recommended the
inclusion of the following; (1) monitoring and operational restrictions requirements; (2)
applicability and exemptions; (3) explanation of any conditions from previously issued permits
that arc not being transferred lo the title V permit; (4) streamlining requirements; and (5) certain
other factual information as necessary. Sec, Los Mcdanosy at 10, n.16.
There is no legal requirement that a permitting authority include information such as a
specific facility description and process (low diagrams in the Statement of Basis, and Petitioner
has not shown how the lack of this information resulted in, or m^y have resulted in, a deficiency
in the Pennit, Thus, while a facility description and process How diagrams might provide useful
information, their absence from the Statement of Basis does not constitute grounds for objecting
to (he Permit.
EPA agrees, in part, that Petitioner has demonstrated the Permit is deficient because the
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Statement of Basis does not explain exemptions for certain tanks. This issue is addressed more
specifically in Section II1H.3.
EPA agrees with Petitioner's allegation thai the Statement of Basis should have included
a discussion regarding applicability of 40 C-P-R. Part 63, Subpart CC to flares and BAAQMD
Regulation 8-2 to hydrogen plant vents. Applicability determinations are precisely the t>pe of
information that should be included in a Statement of Basis. This issue is addressed more
specifically in Section IILHJ,
EPA addressed Petitioner's allegations relating to the sufficiency of the discussion in (he
Statement of Basis on the necessity of a compliance schedule in Section IILC.
EPA does not agree with Petitioner's allegations that the 2003 Statement of Basis was
deficient because it was not available on the District's Web site during the 2004 public comment
period or because it did not provide information about the 2004 reopening. First, EPA notes that
the 2003 Statement of Basis has been available to the public on its own Web site since the initial
permit was issued in December, 2003J* [n addition, Petitioner has not established a legrf basis
to support its claim that this information is a required element for a Statement of Basis,
Petitioner also concedes that the District provided a different Statement of Basis in connection
with the 2004 reopening. Petitioner does not claim that the Permit is deficient as a result of any
of these alleged issues regarding the Statement of Basis, therefore, EPA denies the Petition on
this ground..
EPA does not agree with Petitioner s allegations that the 20W Statement of Basis was
deficient because it did not discuss any changes made between the draft permit available in
August 2003 and the final Permit issued in December 2003, Petitioner has not established a legal
basis to support its claim that this information is a required element Tor a Statement of Basis.
Petitioner has not demonstrated that the Permit is deficient because the District did not provide
this discussion m the 2004 Statement of Basis. Moreover, Petitioner could have obtained much
of this information by reviewing the District's response to comments received during the 2003
public comment period, which was dated December 1, 2003, Therefore, EPA denies the Petition
on this ground.
E Permit Shields
The District rules allow two types of permit shields. The permit shield types are defined
as follows; (1) A provision in a title V permit explaining that specific federally enforceable
regulations and standards do not apply lo a source or group of sources, or (2) A provision in a
title V permit explaining that specific federally enforceable applicable requirements for
monitoring, recordkeeping and/or reporting are subsumed because other applicable requirements
18
Title V permit* and related documents are available ihrough Region IX's Electronic Permit Submittal
System at htl-p :ffwww.epa .gov/repiouW/a Ir/ne nnit/i nde x hrml.
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for monitoring, recordkeeping, and reporting in (he permit will assure compliance with all
emission limits. The District uses the second type of pemiit shield for all streamlining of
monitoring, recordkeeping, and reporting requirements in title V permits, The District's
Statement of Basis explains: "Compliance with the applicable requirement contained in ibe
permit automatically results in compliance with any subsumed {= less stringent) requirement,"
See December 2003 Statement of Basis at 27.
40 C,F.R. §§ 60.7(c) and (d)
Petitioner alleges that the permit shield in Tabic fX B of the Permit (p669-670)
improperly subsumes 40 C.F.R. §§ 60.7(c) and (d) under SIP-approved BAAQMD Regulation
1-522.8, and that the Slalement of Basis does not sufficiently explain the basis for the shield.
Petition at 28.
BAAQMD Regulation 1-522.8 requires that
Monitoring data shall be submitted on a monthly basis in a format specified by the
APCO, Reports shall be submitted within 30 days of the close of the month
reported on.
Sections 60.7(c) and (d) require very specific reporting requirements that are not required
by BAAQMD Regulation I-522 J. For instance, § 60.7(c)(1) requires that excess emissions
reports include the magnitude of excess emissions computed in accordance with § CO. 13(h) and
any conversion factors used. Section 60.7(d)(1) requires, that the report form contain, among
other things, the duration of excess emissions due to startup/shutdown, control equipment
problems, process problems, other known causes, and uiitotown causei and total duration of
excess emissions.
The Statement of Basis for Valero contains the following justification for the shield
40 C.F.R, Part, 60 Subpart A CMS reporting requirements are satisfied by
BAAQMD 1-522,8 CEMS reporting requirements. See December 2003 Statement
of Basis at 31.
EPA agrees with Petitioner that the requirements of 40 C-F,R- §§ 60.7(c) and (d) are not
satisfied by BAAQMD Regulation 1-522.8, and that the Statement of Basis does not provide
adequate justification for subsuming §§ 60.7(c) and (d). An adequate justification should address
Aowthe requirements of a subsumed regulation are satisfied by another regulation, not simply
that the requirements are satisfied by another regulation,.
For the reasons set forth above, EPA is granting the Petition on these grounds. The
District must reopen the Permit to include the reporting requirements of §§ 60.7(c) atid (d) or
adequately explain how they are appropriately subsumed.
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2. BAAQMD Regulation i-7
Petitioner also alleges that the District incorrectly attempted to subsume the State-only
requirements of BAAQMD Regulation 11-7 for valves under the requirements of SIP approved
BAAQMD Regulation 8-11-404, and states that only a federal requirement miy be subsumed in
the permit pursuant to BAAQMD Regulation 2-6-233.2, Petition at 29.
Including a permit shield for a subsumed no n-federally enforceable regulation has no
regulatory significance from a federal perspective because it is not related to whether the permit
assures compliance with all Clean Air Act requirements. See 40 C.F.R. 70.2 (defining
"applicable requirement"); 70.1(b) (requiring that title V sources have operating permits that
assure compliance with all applicable requirements). Stale only requirements are not subject to
the requirements of title V and, therefore, are not evaluated by EPA unless their terms may either
impair the effectiveness of the title V permit or hinder a permitting authority's ability to
implement or enforce the title V permit. In the Matter of Eastman Kodak Company, Petition
No.: H-2003-02, at 37 (Feb, 18,2005). Therefore, EPA is denying the Petition on this issue.
3. 40 C.F.R. § 60.482-7(g)
Petitioner alleges that a permit shield should not be allowed for federal regulation NSPS
Subpart VV, § 60.482-7(g) based upon its being subsumed by SIP-approved BAAQMD
Regulation 8-18-404 because the NSPS defines monitoring protocols for valves that are
demonstrated to be unsafe to monitor, whereas Regulation 8'18-404 refers to an alternative
inspection scheme for leak-free valves. Petitioner slates "Because the BAAQMD regulation does
not address the same issue as 40 C.F.R. § 60.482-7(g), it cannot subsume the federal
requirement." Petition at 29,
EPA disagrees wilh Petitioner that the two regulations address different issues. Both
regulations address alternative inspection time lines for valves. Regulation 8-18-404 specifically
states:
Alternative Inspection Schedule; The inspection frequency for valves may change
from, quarterly to annually provided all of the conditions in Subsection 404,1 and
404.2 are satisfied.
404.1 The valve has been operated leak free for five consecutive quarters;
404.2 Records are submitted and approval from the APCO is obtained.
404.3 The valve remains leak free. If a leak is discovered, the inspection
frequency will reverl back to quarterly.
NSPS Subpart VV requires valves to be monitored monthly except, pursuant to f 60.482-7(g),
any valve that is designated as unsafe to monitor must only be monitored as frequently as
practicable during safe-to-monitor times. In explaining the basis for the shield, the Permit states:
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[60.482-7(g)] Allows relief from monthly monitoring if designated as
unsafe-to-monitor. BAAQMD Regulation 8-18-404 does not allow this relief.
Permit at 644.
BAAQMD is correct that the Regulation 8-18-404 is more stringent than 40 C.F.R
§ 6Q.482-7(g). Therefore, EPA is denying the Petition on this issue.
F. Throughput Limits for Grandfathered Sources
Petitioner alleges that EPA should object to the Permit to the extent that throughput limits
for grind fathered sources set thresholds below which sources are not required to submit all
information necessary to determine whether "new or modi lied construction may have occurred."
Petitioner also alleges that the thresholds are not "legally correct" and therefore are not
reasonably accurate surrogates for a proper NSR baseline determination. Petitioner also argues
that EPA should object to the Permit because the existence of the throughput limits, even as
reporting thresholds, may create "an improper presumption of the correctness of the threshold"
and discourage the District from investigating events that do riot trigger the threshold or reduce
penalties for NSR violations. Finally, Petitioner also requests that EPA object to the Permit
because the District's reliance on non-SIP Regulation 2-1-234.1 "in deriving these throughput
limits" is improper.
The District has established throughput limits on sources that have never gone through
new source review ("grandfathered sources"). The Clean Air Act docs not require permitting
authorities to impose such requirements. Therefore, to understand the purpose of these limits,
EPA is relying on the District's statements characterizing the reasons for, and legal implications
of, these throughput limits. The District's December 2003 CRTC makes the following points
regarding throughput limits:
• The tliroughput limits being established for grandfathered sources will he a useful tool
that enhances compliance with NSR... .Requiring facilities to report when
throughput limits are exceeded should alert the District in a timely way to the
possibility of a modification occurring.
The limits now function merely as reporting thresholds rather than as presumptive
NSR triggers.
They do not create a baseline against which future increases might be measured
("NSR baseline"). Instead, they act as a presumptive indicator that the equipment has
undergone an operational change (even in the absence of a physical change), because
the equipment has been operated beyond designed or as-built capacity.
The throughput limits do not establish baselines; furthermore, they do not contravene
NSR requirements. The baseline for a modification is determined at the time of
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permit review. The proposed limits do not preclude review of a physical modification
for NSR. implications.
• Throughput limils on grandfathered sources are not Federally enforceable.
• The [permits] have been modified to clearly distinguish between limits imposed
through NSR and limits imposed on grandfathered sources.
December 1,2003 ETC at 31-33.
EPA believes the public comments and the District's responses have done much Id
describe and explain, in the public recoid, the purpose and legal significance of the District's
throughput limits for grandfathered solutes. Based on these interactions, EPA has the following
responses lo Petitioner's allegations.
First, EPA denies the Petition as to the allegation that the thresholds set levels below
which the facility need not apply for NSR permits. A3 the District states, the thresholds do riot
preclude the imposition of federal NSR requirements. EPA does not see that the tluoughput
limits would shield the source from any requirements to provide a timely and complete
application if a construction project will trigger federal NSR requirements.
Second, the Permit itself makes clear that the throughput limits are not to be used for the
purpose of establishing an NSR baseline; "Bxceedance of this limit does not establish a
presumption that a modification has occurred, nor does compliance with the limit establish a
presumption that a modification has not occurred." Permit at 4, Therefore, EPA finds no basis to
object to the Permit on the ground that the thresholds are not "reasonably accurate surrogates" for
an actual NSR baseline, as they clearly and expressly have no legal significance for that purpose.
Third, while EPA shares Petitioner's interest in compliance with NSR requirement.
Petitioner's concern that the thresholds might discourage reliance on appropriate NSR baselines
to investigate and enforce possible NSR violations is speculative and cannot be the basis of an
objection to the Permit-
Fourth, EPA finds that the District's reliance on BAAQMD Regulation 2-1-234.1, which
is not SCP-approved, to impose these limits is appropriate, EPA's review of the Permit, however,
found a statement suggesting that the District will rely 011 this non-SEP approved rule to
determine whether an NSR modification has occurred, EPA takes this opportunity to remind the
District that its NSR. permits must meet the requirements of the federally-applicable SIP. See
CAA 172, 173; 40 C.F.R. § 51 - EPA finds no basis, however, lo conclude that the Permit is
deficient.
G. Monitoring
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The lack of monitoring raises an issue as to consistency with ihe requirement that each
permit contain monitoring sufficient to yield reliable data from the relevant lime period that are
representative of the source's compliance with the permit where the applicable requirement does
not require periodic monitoring or testing. See 40 CJF.R. § 70 6(a)(3Xi)(B). EPA has
recognized, however, that there may be limited cases in which the establishment of a regular
program of monitoring or recordkeeping would not significantly enhance the ability of the permit
to assure compliance with an applicable requirement and where the status quo (i.e., no
monitoring or recordkeeping) could meet the requirements of 40 C.F.R. § 70.6(a)(3). See,Las
Medanos, at 16. EPA's consideration of these issues and deteiminations as to ihe adequacy of
monitoring follow.
1 40 C.F.R. Part 60, Subpart J (NSPS for Petroleum Refineries)
Petitioner makes the following allegations with regard to the treatment of flares under
NSPS Subpart 1: (i) BAAQMD has not made a determination as to the applicability of NSPS
Subpart I to three of the four Hares at Valero; (ii) there is no way to tell whether flares qualify for
the exemption in NSPS Subpart J because there are no requirements in the Permit to ensure tliat
the flares are operated only in "emergencies;" (iii) the Permit must contain a federally
enforceable reporting requirement to verify that each flaring event would qualify for an
exemption from the H2S limit; (iv) the Permit fails to ensure that all other NSPS Subpart J
requirements arc practically enforceable; and (v) federally enforceable monitoring must be
imposed pursuant to 40 C.F.R. §§ 70.6(a)(3)(i)(B) and 70.6(c) and Section 504(c) of the Act to
verify compliance with all applicable requirements of Subpart I. Petition at 33.
The New Source Performance Standard (NSPS) for Petroleum Refineries, 40 C.F.R, Pan
60, Subpart J, prohibits the combustion of fuel gas containing H2S in excess of 0.10 gr/dscf at
any flare built or modified after June 11, 1973. This prohibition is codified in 40 C.F.R.
§ 60.104(a)(1). Additionally, 40 C.F.R. §§ 60.105(a){3-4) requires the use of continuous
monitors for flares subject lo § 60.104(a)(1). However, the combustion of gases released as a
result of emergency malfunctions, process upsets, and relief valve leakage is exempt from the
HjS limit. The draft refinery permits proposed by BAAQMD in February 2004 applied a blanket
exemption from the E^S standard and associated monitoring for about half of the Bay Area
refinery flares on the basis that the flares are "not designed" to combust routine releases. The
statements of basis for the refinery permits state, however, that at least some of these flares arc
"physically capable" of combusting routine releases. To help assure that this subset of flares
would not trigger the H2S standard, BAAQMD included a condition in the permits prohibiting
the combustion of routine releases at these flares.
Following EPA comments submitted to BAAQMD in April of 2004, BAAQMD revised
its approach to the NSPS Subpart I exemption. The permits proposed lo EPA in August of2004
indicate that all flares that are affected units under 60,100 are subject to the H2S standard, except
when they are used lo combust process upset gases, and gases released to the flares as a result of
relief valve leakages or other malfunctions. However, the permits were not revised to include the
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continuous monitors required under §§ 60.105(a)(3) and (4) on the basis that the flams will
always be used to combust non-routine releases and thus will never actually trigger the iI2S
standard or the requirement to install monitors.
With respect to Petitioner's first allegation, BAAQMD has clearly considered
applicability of NSPS Subpart J to flares, and has indicated that NSPS Subpart J applies to one,
S-19, Page 16 of the December 2004 Statement of Basis stales:
The Benicia Refinery has three separate flare header systems: I) the main flare gas
recovery header with flares S-18 and S-19,2) the acid gas flare header with flare S-16,
and 3) the butane flare header with flare S-17. Flares S-16 and S-18 were placed in
service during the original refinery startup in 1968, Flare S-17 was placed in service with
the butane tank: TK-1726 in 1972. Flare S-19 was added to the main gas recovery header
in 1974 to ensure adequate relief capacity for the refinery. S-19 is subject to NSPS
Subpart I, because it was a fuel gas combustion device installed after June 11, 1973, the
effective date of 60,100(b),
The table on page 18 of the Statement of Basis also directly states thai flares S-16, S-17
and S-l 8 are not subject to NSPS Subpart J. While the Permit would be clearer if BAAQMD
included a statement that the flares have not been modified so as to trigger the requirements of
NSPS Subpart J, such a statement is not required by title V. Therefore, EPA is denying the
Petition on this issue.
However, EPA agrees with Petitioner that the Permit is flawed with respect to issues (ii)
and (iii) above. First, the continuous monitoring of f § 60.105(a)(3) and (4) is not included in the
Permit because, BAAQMD claims, flare S-19 is never used in a manner that would trigger the
H2S standard and the requirement to install a continuous monitor. While the Permit does contain
District enforceable only monitoring to show compliance with a federally enforceable condition
prohibiting the combustion of routinely-released gases in a flare (20806, #7), there is currently no
federally enforceable monitoring requirement in the Permit to demonstrate compliance with this
condition or with NSPS Subpart J, both federally enforceable applicable requirements. Because
NSPS Subpart J is ail applicable requirement, the Permit must contain periodic monitoring
pursuant to 40 C.F.R, § 7Q,6(a)(3)(i)(B) and BAAQMD Reg. 6-503 (BAAQMD Manual of
"Procedures, Vol, 111, Section 4,6) to show compliance with the regulation.
Therefore, EPA is granting the Petition on the basis thai the Permit does not assun:
compliance with NSPS Subpart I, or with federally enforceable permit condition 20S06, #7.
BAAQMD must reopen the Permit to either include ihe monitoring under sections 60.105(a)(3)
or (4), or, for example, to include adequate federally enforceable monitoring to show compliance
with condition 20806, #7.
With respect to issues (iv) atid (v), it is unclear what other requirements Petitioner is
referring to, or what monitoring Petitioner is requesting. For these reasons, OP A is denying the
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Petition on these grounds.
2 Flare Opacity Monitoring
Petitioner notes that flares are subject to SiP-approved BAaQMD Regulation 6-301,
which prohibits visible emissions from exceeding defined opacity limits for a period or periods
aggregating more than three minutes in any hour. Petitioner alleges that the opacity limit set
forth irj Regulation 6-301 is not practically enforceable during short-duration flaring events
because no monitoring is required for flaring evenls that last less than fifteen minutes and only
limited monitoring is required for events lasting less than thirty minutes. Petitioner alleges that
repeated violations of BAAQMD Regulation 6-301 due to short-term flaring could be an ongoing
problem that evades detection.
The opacity limit in Regulation 6-301 does not contain periodic monitoring Because the
underlying applicable requirement imposes no monitoring of a periodic nature, the Permit must
contain "periodic monitoring sufficient to yield reliable data from the relevant time period that
are representative of the source's compliance with the permit ..." 40 C.F.R, § 70.6(a)(3)(i)(B).
Thus, the issue before EPA is whether the monitoring imposed in the Permit will result in
reliable and representative data from the relevant time period such that compliance with the
Permit can be determined,
hi this case, the District has imposed certain monitoring conditions to determine
compliance with the opacity standard during daring events. The Permit defines a "Oaring event"
as a fiow rate of vent gas dared in any consecutive 15 minute period that continuously exceeds
330 standard cubic feet per minute (scfrn). Within 15 minutes of detecting a flaring event, the
facility must conduct a visible emissions check. The visible emissions check may be done by
video monitoring. If the operator can determine there are no visible emissions using video
monitoring, no further monitoring is required until another 30 minutes has expired. If the
operator cannot determine there are no visible emissions using video monitoring, the facility
must conduct either an EPA Reference Method 9 test or survey the flare according to specified
criteria. If the operator conducts Method 9 testing, the facility must monitor the flare for at least
3 minutes, or until there are no visible emissions. If the operator conducts the non-Method 9
survey, the facility must cease operation of the ftare if visible emissions continue for three
consecutive minutes.
Although EPA agrees with Petitioner thai the Permit does not require monitoring during
short-duration flaring events, EPA does not believe Petitioner has demonstrated that the periodic
monitoring is inadequate. For instance, Petitioner has not shown that short-duration flaring
events arc likely to be in violation of the opacity standard, nor has Petitioner made a showing that
short-duration daring events occur frequently or at all. Thus, Petitioner has not demonstrated
that the periodic monitoring in the Permit is insufficient to detect violations of the opacity
standard.
II
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Additionally, in June 1999, a workgroup comprised of EPA, CAPCOA and CARD staff
completed a set of periodic monitoring recommendations for generally applicable SIP
requirements such as Regulation 6-301, The workgroup's relevant recommendation for refinery
flares was a visible emissions check "as soon as in intentional or unintentional release of vent
gas to a gas flare but no later than one hour from the flaring event" See CAPCOA/CARB/EP A
Region [X Periodic Monitoring Memo, June 24, 1999, at 2. In comparison, the periodic
monitoring contained in the Permit would appear to be both less stringent, by not requiring
monitoring for up to thirty minutes of a release of gas to a flare, and more stringent, by requiring
monitoring within 30 minutes rather than one hour. Therefore, EPA encourages the Dislrict to
amend the Permit to require monitoring upon the release to the flare, rather than delaying
monitoring as currently set forth in the Permit,
Finally, EPA notes that the Permit does not prevent the use of credible evidence to
demonstrate violations of permit terms and conditions. Even if the Permit does not require
visible emissions checks for short-duration daring events, EPA, the District, and the public may
use any credible evidence to bring an enforcement ease against the source. 62 Fed. Reg. 8314
(Feb. 24, 1997).
For the reasons cited above, EPA is denying the Petition on this issue.
3 Cooling Tower Monitoring
Petitioner claims that the Permit lacks monitoring conditions adequate to assure that the
cooling tower complies with SIP-approved District Regulations 8-2 and 6. Petitioner further
alleges that the District's decisions to not require monitoring for the cooling towers is flawed due
to its use of AP-42 emission factor, which may not be representative of the actual cooling tower
emissions.
a. Regulation 8-2
District Regulation 8-2-301 prohibits miscellaneous operations from discharging into the
atmosphere any emission that contains 15 lb per day and a concentration of more than 300 ppm
total carbon. Although the underlying applicable requirement does not contain periodic
monitoring requirements, the District declined to impose monitoring on source S-29 to assure
compliance with the emission limit.11
The December I, 2003 Statement of Basis sets forth the grounds Tor the District's
decision that monitoring is not necessary to assure compliance with this applicable requirement.
First, the District stated that its monitoring decisions were made by balancing a variety of factors
including I) the likelihood of a violation given the characteristics of normal operation, 2} the
degree of variability in the operation and in the control device, if there is one, 3) the potential
Permit, Table VII - C5 Cooling Tower, pp. S4I
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severity of impact of an undetected violation, 4} the technical feasibility and probative value of
indicator monitoring, 5) the economic feasibility of indicator monitoring, and 6) whether there is
some other factor, such as a different regulatory restriction applicable to Hie same operation, that
also provides some assurance of compliance with the limit in question- In addition, the District
provided calculations that purported to quantify the emissions from the facility's cooling tower.
The calculations relied upon water circulation and exhaust airflow rates supplied by the refinery
m addition to two AP-42 emission factors. The District found that the calculated emissions were
much lower than the regulatory limit and concluded that monitoring was not necessary.
Although it is true that the results suggest there may he a large margin of compliance, the nature
of the emissions and the unreliability of the data used in the calculations renders them inadequate
to support a decision that no monitoring is needed over the entire life of the permit.
An AP-42 emission factor is a value that roughly correlates the quantity of a pollutant
released to the atmosphere with an activity associated with the release of that pollutant. The use
of these emission factors may be appropriate in some permitting applications, such as
establishing operating permit fees. However, EPA has stated that AP-42 factors do not yield
accurate emissions estimates for individual sources, See In the Matter ofCargitt, Inc., Petition
IV-2003-7 (Amended Order) at 7, nJ (Oct. 19, 2004); In re: Peabody Western Coal Co., CAA
Appeal No. 04-01, at 22-26 (EAB Feb. J 8, 2005), Because emission factors essentially represent
an average of a range of facilities and emission rates, they are not necessarily indicative of the
emissions from a given source at all times, with a few exceptions, use of these factors to develop
source-specific permit limits or to determine compliance with permit requirements is generally
not recommended. The District's reliance on the emission factors in making its monitoring
decision is therefore problematic.
Atmospheric emissions from the cooling towers include fugitive VOCs and gases that are
stripped from the cooling water as the air and water conic into contact. In an attempt to develop
a conservative estimate of the emissions, (he District used the emission factor for "uncontrolled
sources." For these sources, AP-42 Table 5.1.2 estimates the release of 6 lb of VOCs per million
gallons of circulated water. This emission factor carries a "D" rating, which means that it was
developed from a small number of facilities, and there may be reason to suspect that the facilities
do not represent a random or representative sample of the industry. In addition, this rating means
that there may be evidence of variability within the source population. In this case the variability
stems from the fact that I) contaminants enter the cooling water system from leaks in heat
exchangers and condensers, which are not predictable, and 2) the effectiveness of cooling lower
controls is itself highly variable, depending on refinery configuration and existing maintenance
practices.M It is this variability that renders the emission factor incapable of assuring continued
compliance with the applicable standard over the lifetime of the permit For all practical
purposes, a single emission factor that was developed to represent long-term average emissions
can not forecast the occurrence and size of leaks in a collection of heat exchangers and is
therefore not predictive of compliance at any specific time.
20AP 42, Fifth Edition, Volume I, Chapter 5
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EPA has previously stated that annual reporting of NQx emissions using an equation lhat
uses current production information, along with emission factors based on prior source tests, was
insufficient to assuie compliance with an emission unit's annual NOx standard. Even when
presented with CEMs data which showed that actual NOx emissions for each of five years were
consistently well below the standard, EPA found that a large margin of compliance alone was
insufficient to demonstrate that the NOx emissions would not change over the life of the permit-
See In the Matter of Fort James Camas Mill, Petition No. X-1999-1, at 17-18, (December 22,
2000).
Consistent with its findings in regard to the Fort James Camas Mill permit, EPA finds in
this instance that the District failed to demonstrate lhat a one-time calculation is representative of
ongoing compliance with the applicable requirement, especially considering the unpredictable
nature of the emissions and the unreliability of the data used in the calculations. Therefore,
under the authority of 40 C.F.R. § 70.6(aX3KO(D), EPA is granting Petitioner's,request to object
to the Permit as the request pertains to cooling tower monitoring for District Regulation 8-2-301.
As an alternative to meeting the emission limitation cited in Section 8-2-301, facilities
may operate in accordance with an exemption under Section 8-2-114, which slates, "emissions
from cooling towers.,.are exempt from this Rule, provided best modern practices are used." As a
result, in lieu of adding periodic monitoring requirements adequate to assure compliance with the
emission limit in Section 8-2-301, the District may require the Statement of Basis to include an
applicability determination with respect to Section 8-2-U 4 and revise the Permit to reflect the
use of best modern practices.
b. Regulation 6
BAAQMD SIP-approved Regulation 6 contains four particulate matter emissions
standards for which Petitioner objects to the absence of monitoring. The District's decision for
each standard is discussed separately below,
(1) Regulation 6-310
BAAQMD Regulation 6-310 limits the emissions from the cooling tower to 0. IS grains
per dry standard cubic foot. Appendix G of the December 1,2003 Statement of Basis sets forth
the grounds for the District's decision that monitoring is not necessary to assure compliance with
this requirement- Specifically, Appendix G provides calculations for the particulate matter
emissions from the cooling tower and compares the expected emission rate to the regulatory
limit. In calculating the emissions, the District used the PM-10 emission factor of 0.019 lb per
1000 gal circulating water from Table 13.4-1 of AP-42. The calculations show that the
emissions are expected to be approximately ISO times lower than the emission limit, As a result,
the District concluded that periodic monitoring is not necessary to assure compliance with the
standard.
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Petitioner alleges that these calculations do riot adequately justify the District's decision
because the AJM2 emission factor used carries an E rating, which means that it is of poor
quality. As a result, Petitioner claims it is unlikely that the calculated emissions based on this
factor are representative of the actual cooling tower emissions.
Petitioner is correct that the emission factor used by the District has an B rating.
However, EPA disagrees ihai this rating alone is sufficient to conclude that the emission factor is
not representative of Lhe emissions from the cooling towers at the refinery. PM-10 emissions
from cooling towers are generated when drifl droplets evaporate and leave fine particulate matter
formed by crystallizalion of dissolved solids. Particulate matter emission estimates can be
obtained by multiplying the total liquid drift factor by the total dissolved solids (TDS) fraction in
the circulating water- The AP-42 emission factor used by the District is based on a drift rate of
0 .02% of the circulating water flow and a TDS content of approximately 12,000 ppm. Willi
regard to both parameters, the District indicated in the December 1,2003 Statement of Basis that
the emission factor yielded a higher estimate of the emissions than the actual drift and TDS data
that was supplied by the refineries. Therefore, EPA believes thai the District's reliance on this
emission factor does not demonstrate a deficiency in the Permit.21
EPA notes that the emission factor's poor rating is due in part to the variability associated
with cooling tower drift and TDS data, As discussed in the Statement of Basis, the degree to
which the emissions may vary was taken into account when considering the ability of the
emission factor to demonstrate compliance with the emission limit. With respect to the drift,
EPA believes that the emission factor is conservatively high compared to the 0.0005% drill rale
that cooling towers are capable of achieving. Where TDS are concerned, AP-42 indicates that
the dissolved solids content may range from 380 ppm to 91,000 ppm. While the emission factor
represents a TDS concentration at the lower end of this spectrum, increases in the TDS content
do not significantly increase the grain loading due to the large exhaust air flow rates exiting the
cooling towers. Even assuming that the TDS concentration reached 91,000 ppm, the calculated
emissions arc still approximately 22 limes lower than the regulatory limit."
The District has provided sufficient evidence to demonstrate that the emissions will not
vary by a degree that would cause an exceedance of the standard. Given the representative air
flow and water circulation rates supplied by the refinery, compliance with the applicable
requirement is expected under conditions (i.e., maximum TDS content) that represent a
reasonable upper bound of the emissions. Therefore, EPA is denying Petitioner's request lo
object to the Permit as it pertains to periodic monitoring for Regulation 6-310.
¦"Although EPA staled above in tlie discussion for Regulation 8-2 that AP-42 emission factors are generally
not recommended for use in determining compliance with emission limits, there are exceptions. Data supplied by die
refineries indicates (hit the AP^fZ emission factor for PM-10 const rvalively estimates the actual cooling lower
emissions; as discussed further below, compliance with the limit is expected under conditions that represent a
reasonable upper bflund on the emissions,
54Again, this is assuming a drift rate of 0,02%.
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(2) Regulation 6-31
BAAQMD Regulation 6-311 states that no peraon shall discharge particulate matter into
the atmosphere at a rate in excess of that specified in Table I of the Rule for the corresponding
process weight rate- Assuming the process weight rate for the cooling tower remains at or above
the maximum level specified in Table I, the rule establishes a maximum emission rate of40
Ib/hr. Unlike for Regulation 6-310, the District provided no justification for its decision to not
require monitoring to assure compliance with this limit.
Using the PM-10 emission factor cited by the District in its calculations for Regulation 6-
310, EPA estimates the emissions from S-29 to be in excess of 40 Ib/hr. While the District stated
that the emission factor represents a more conservative estimate of the emissions than the actual
data provided by the refineries, it did not say how conservative the factor is. As a result, the
District's monitoring decision is unsupported by the record and EPA finds that the Permit fails to
meet the Part 70 standard that it contain periodic monitoring sufficient to yield reliable data that
are representative of the source's compliance with its terms. See 40 C.F.R. § 70.6{a)(3)(i)(B).
Therefore, EPA is granting Petitioner's request to object to the Permit. The Permit must include
periodic monitoring adequate to assure compliance with BAAQMD Regulation 6-31L See 40
C.F.R, § 70,6(a)(3)(i){B).
(3) Regulation 6-305
BAAQMD Regulation 6-305 slates that, "a person shall not emit particles from any
operation in sufficient number to cause annoyance to any other person . This Section 6-305 shall
only apply if such particles fall on real property other than that of the person responsible for the
emission." Nuisance requirements such as this may be enforced by EPA and the District at any
time and there is no practical monitoring program that would enhance the ability of the permit to
assure compliance with Ihe applicable requirement. Therefore, EPA is denying Petitioner's
request to object lo the Permit as it pertains to monitoring for BAAQMD Regulation 6-305,
{4) Regul alion 6- 3 0 i
BAAQMD Regulation 6-301 slates that a person shall not emit from any source for a
period or periods aggregating more than three minutes in any hourf a visible emission which is as
dark or darker than No. I on the Rmgelmann Chart- While the Statement of Basis does not
contain a justification for the District's decision that monitoring is not required for this standard,
the District stated the following in response to public comments; "The District has prepared an
analysis based on the AP-42 factors for particulate, which are very conservative, and has indeed
determined that 'it is virtually impossible for cooling towers to exceed visible or grain loading
limitations.' The calculations show thai the particulate grain loading is a hundredth or less than
the 0.15 gr/dscf standard due to the large airflows. When the grain loading is so low, visible
emissions are not expected," 2003 CRTC at 59, EPA finds the District's assessment of the
visible emissions to be reasonable and that Petitioner has not demonstrated otherwise. Therefore,
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EPA is denying Petitioner's request lo object to the Permit as ii pertains to monitoring for
BAAQMD Regulation 6-301.
4. Monitoring of Pressure Relief Valves
Petitioner alleges that the Permit must include additional monitoring to assure thai all
pressure relief valves at the facility are in compliance with the requirements of SlP-approved
District Regulation 8-28 (Episodic Releases from Pressure Relief Valves), Petition at 36,
Regulation 3-28 requires that within 120 days of the first "release event" at a facility, the
facility shall equip each pressure relief device of that source with a lamperproof tell-tale indicator
that will show thai a release his occurred since the last inspection, Regulation 8-28 also requires
that a release event from a pressure relief device be reported lo the APCO on the next working
day following the venting. Petitioner stales that neither the regulation nor the Permit includes
any monitoring requirements to ensure thai the first release event of a relief valve would ever be
recorded, and that available tell-tale indicators or another objective monitoring method should be
required for all pressure relief valves at the refinery, regardless of a valve's release event status.
First, EPA believes thai the requirement that a facility report all release events to the
District is adequate to ensure that the first release event would be recorded- EPA also notes that
the refinery is subject to the title V requirement to certify compliance with all applicable
requirements, including Regulation 8-2S, See 40 C,F,R, § 70.6(c)(5). Thus, EPA does not have
a basis to determine that the reporting requirement would not assure compliance with the
applicable requirement at issue.
For the reasons stated above, EPA is denying the Petition on this issue
5, Additional Monitoring Problems Identified by Petitioner
Petitioner claims that several sources with federally enforceable limits under BAAQMD
Regulation 6 do not have monitoring adequate to assure compliance. The sources and limits at
issue are discussed separately below.
Sulfur Storage Pit ($-157)/ BAAQMD Regulations 6-301 and 6
310
BAAQMD Regulation 6 contains two particulate matter emissions standards for which
Petitioner objects to the absence of monitoring. Specifically, BAAQMD Regulation 6-301 limits
visible emissions to less than Ringclmann No, 1 and Regulation 6-310 limits the emissions to
0.15 gr. perdscf. Although Regulation 6 does not contain periodic monitoring requirements for
either of the standards, the District declined to impose monitoring on this source.
The December 1,2003 Statement of Basis provides the District's justification for not
37
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requiring monitoring. Specifically, the District stated, "Source is capable of exceeding visible
emissions or grain loading standard only during process upset. Under such circumstances, other
indicators will alerl the operator that something is wrong." See December I, 2003 Statement of
Basis, ii- 4, at 23. If the source is not capable of exceeding the emission standards at times other
than process upsets, it is reasonable that the District would not require regularly scheduled
monitoring during normal operations. However, if, as stated by the District, S-157 is capable of
exceeding the emission standards during process upsets, monitoring during those periods may be
necessary. While the District stated that indicators would alert the operator that something is
wrong in the event of a process upset, the District failed to demonstrate how the indicator or the
operator's response would assure compliance with the applicable limits.
EPA Ends in this case that the District's decision to not require monitoring is not
adequately supported by the record. Therefore, EPA is granting Petitioner's request to object to
the Permit as it pertains to monitoring for S-157. The District must re-open the Permit to include
periodic monitoring that yields reliable data that are representative of the source's compliance
with the permit or further explain in the Statement of Basis why monitoring is not needed,
b. Lime Slurry Tanks (S-l74 and S-175) / BAAQMD Regulations 6
301,6-310, and 6-311
BAAQMD Regulation 6 contains three standards for which Petitioner objects to the
absence of monitoring. Regulation 6-311 sets a variable emission limit depending on the process
weight rate and the requirements of 6-301 and 6-310 are described above, Regulation 6 does not
contain periodic monitoring requirements for any of the standards and the District did not impose
monitoring on these sources.
As in the previous case for source S-157, the Statement of Basis states thai the District
did not require monitoring to assure compliance with Regulations 6-101 and 6-310 because the
"source is capable of exceeding visible emissions or grain loading standard only during process
upset Under such circumstances, other indicators will alert the operator that something is
wrong," See December 1, 2003 Statement of Basis, n. 4, at 23. The Statement of Basis is silent
on the District's monitoring decision for Regulation 6-311 - Therefore, for the reasons staled
above, EPA is granting Petitioner's request to object to the Permit as it pertains to monitoring for
sources S-l74 and S-l75 to assure compliance with Regulations 6-301,6-310, and 6-311, The
District must reopen the Permit to include periodic monitoring or further explain in the Statement
of Basis why monitoring is not needed.
c Diesel Backup Generators (S-24G, S-241, and S-242) / BAAQMD
Regulations 6-303.1 and 6-310
BAAQMD Regulation 6 contains two particulate matter emissions standards for which
Petitioner objects to the absence of monitoring- The requirement of Regulation 6-310 is
described above and Regulation 6-303.1 limits visible emissions to Rjngelmann No, 2.
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Regulation 6 does not contain periodic monitoring requirements for My of the standards and the
District did not impose monitoring on these sources.
As a preliminary matter, EPA notes that opacity monitoring is generally not necessary for
California sources firing on dieseJ fuel, based on the consideration that sources in California
usuaily combust low-sulfur fuel." Therefore, EPA is denying Petitioner's request to object to the
Permit as it pertains to monitoring for Regulation 6-303.1.
With regard to Regulation 6-310, the December 1,20G3 Statement of Basis sets forth the
basis for the District's decision that monitoring is not necessary. Specifically, the District states,
"No monitoring [is] required because tills source will be used for emergencies and reliability
testing only." While it is true that Condition 1874S states these engines may only be operated to
mitigate emergency conditions or for reliability-related activities (not to exceed 100 hours per
year per engine), this condition is not federally enforceable. Absent federally enforceable
restrictions on the hours of operation, the District's decision not to require monitoring is not
adequately supported. Therefore, EPA is granting Petitioner's request to object to the Permit as
it pertains to Regulation 6-310. The District must reopen the Permit to add periodic monitoring
to assure compliance with the applicable requirement or further explain in the statement ofbasis
why it is not necessary.
d. FCCU Catalyst Regenerator (S-5) and Fluid Coker (S-6) f
BAAQMD Regulation 6-305
BAAQMD Regulation 6 contains one particulate mailer emission standard for which
Petitioner objects to the absence of monitoring. Regulation 6 does not contain periodic
monitoring requirements for any of the standards and I he District did not impose monitoring on
these sources.
BAAQMD Regulation 6-305 states that, "a person shall not emit particles from any
operation in sufficient number to cause annoyance to any other person.. .This Section 6-305 shall
only apply if such particles fall on real property other than that of the person responsible for the
emission," Petitioner has failed to establish that there is any practical monitoring program that
would enhance the ability of the permit to assure compliance with the applicable requirement
Therefore, EPA is denying Petitioner's request to object to the Permit as it pertains to monitoring
for BAAQMD Regulation 6-305,
e. Coke Transport, Catalyst Unloading, Carbon Black Storage, and
Lime Silo (S-8, 3-10,3-11, and S-12) / BAAQMD Regulation 6-
311,
~ JPcr CAPCOaCARB'E^A Region IK agreement. See Approval of Title V Feriodic Monitoring
Recommendations, Juiw 24, 1M9.
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BAAQMD Regulation 6 contains one particulate matter emission standard for which
Petitioner objects to the absence of monitoring. Specifically, BAAQMD Regulation 6-311 sets a
vtriable emission limit depending on the process weight rate. Regulation 6 does not contain
periodic monitoring requirements for any of the standards and the District did not impose
room taring on these sources.
For ali four emission sources, the Permit requires monitoring with respect to Regulations
6-301 and 6-310 but not 6-3IS, Given this apparent conflict and the failure of the Statement of
Basis to discuss the absence of monitoring, EPA finds that the District's decision in this case is
riot adequately supported by the record. Therefore, EPA is granting Petitioner's request as it
pertains to monitoring for sources S-8, S-10, S-l 1, and S-12. The District must reopen the
Permit to include periodic monitoring for Regulation 6-311 that yields reliable data that are
representative of the source's compliance with the permit or explain in the Statement of Basis
why monitoring is not needed.
H. Miscellaneous Permit Deficiencies
1 Missing Federal Requirements for Flares (Subpart CC)
Petitioner states that the District incorrectly determined that Valero flares are
categorically exempt from 40 C.F.R, § 63 Subpart CC (NESH AP for Petroleum Refineries),
Petitioner further states that "EPA disagreed with the District's claim that the flares qualify for a
categorical exemption from Subpart CC when used as an alternative to the fuel gas system," and
that the Valero Permit and Statement of Basis contain incorrect applicability determinations for
flares S-l8andS-I9, and that there is not enough information to determine applicability for
flares S-16 and S-17. Petitioner stales thai for all flares subject to Subpart CC, the Permit must
include all applicable requirements, including 40 C.FJR. § 63 Subpart A, by reference from 40
C.F.R. | 63 Subpart CC. Petitioner goes on to note that Petitioner has requested in past
comments thai the District determine the potential applicability of a number of federal
regulations to the Valero flares, including 40 C.F.R. § 63 Subpart A, 40 C.F.R, § 63 Subpart CC,
and 40 C.F.R. § 60 Subpart A, but that the District did not do so. Petitioner notes that given a
lack of relevant information, Petitioner was unable to make an independent evaluation of
applicability. Petitioner also alleges that EPA agreed with Petitioner that the District failed to
provide sufficient information for the applicability determinations for flares S-16 and S-70 via
Attachment 2 of EPA's October 8 comment letter. Finally, Petitioner states that EPA must
object to the Permit until the District provides a sufficient analysis regarding the applicability of
these federal rules to the Valero Hares, and until the Permit contains all applicable requirements.
a. 40 C.F.R, Part 60, Subpart A
EPA finds that the applicability of 40 C.F.R. § 60 Subpart A is adequately addressed in
the December 16,2004 Statement of Basis for Valero. See Statement of Basis at 18 (Dec. 16,
2004). The District has included a table on page 18 of the December 16,2004 Statement of Basis
40
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indicating applicability of NSPS Subpart A to each ofValero's llarcs. Therefore, EPA is denying
the Petition on this issue.
b. 40 C.F.R. Part 63, Subparts A and CC
40 C.F.R, Pan 63, Subpart CC contains the Maximum Achievable Control Technology
("MACF') requirements for petroteum refineries. Under Subpart CC, the owner or operator of a
Group 1 miscellaneous process vent, as defined in § 63.641, must reduce emissions of Hazardous
Atr Pollutants either by using a flare that meets the requirements of section 63.11 or by using
another control device to reduce emissions by 98% or to a concent ration of 20 ppmv. 40 C.F.R,
§ 63.643(aX I )¦ If a flare is used, a device capable of detecting the presence of a pilot flame is
required, 40 C-F.R. § 63,644(a)(2).
The applicability provisions of Subpart CC arc set forth in section 63.640, "Applicability
and designation of affected source." Section 63.640(a) provides that Subpart CC applies lo
petroleum refining process units and related emissions points. The Applicability section further
provides that affected sources subject to Subpart CC include emission points that arc
"miscellaneous process vents." 40 C.F.R. § 63.640(c)(1) The Applicability section also
provides that affected sources do not include emission points that are routed to a fuel gas system.
40 C.F.R. § 63.640(d)(5). Gaseous streams routed to a fuel gas system are specifically excluded
from the definition of "miscellaneous process vent," as are "episodic or nonroutine releases such
as those associated with startup, shutdown, malfunction, maintenance, depressuring, and catalyst
transfer operations." 40 C.F.R. § 63,641,
The District's Statement of Basis indicates that flares S-IS and S-19 are not subject lo
MACT Subpart CC pursuant to the exemption set forth in 40 C.F.R- § (53.640(d)(5). See
December 16, 2004 Statement of Basis at 18. In the BAAQMD February 15, 2005 Letter,
BAAQMD again asserted section 63.640(d)(5) as a basis for finding that the refinery's flares are
not required to meet the standards in Subpart CC. EPA continues to believe that a detailed
analysis of the configuration of the flare and compressor is required to exempt a flare on the basis
that it is part of the fuel gas system.
BAAQMD's February 15, 2005 letter also provides an alternative rationale that gases
vented to the refinery's flares are not within the definition of "miscellaneous process vents."
Specifically, BAAQMD asserts that the flares are not miscellaneous process vents because they
are used only to control "episodic and nonroutine" releases. As BAAQMD states:
At all of the affected refineries, process gas collected by the gas recovery system are
routed to flares only under two circumstances: (I) situations in which, due lo process
upset or equipment malfunctions, the gas pressure in (he flare header rises to a level that
breaks the water seal leading to the flares; or (2) situations in which, during process
startups, shutdown, malfunction, maintenance, depressuring [sic], and catalyst transfer
operations are, by definition, not miscellaneous process vents, and are not subject lo
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Subpart CC
EPA agrees that a Hare used only under the two circumstances described by the District
would not be subject to Subpart CC because such Hares are not used to control miscellaneous
process vents as that term is defined in § 63.641. According to the BAAQMD February 15, 2005
Letter, BAAQMD intends to revise the Statement of Basis Lo further explain its rationale that
Subpart CC does not apply to the Bay Area refinery flares, and intends to solicit public comment
on its rationale.
Because the Permit and the Statement of Basis for Valero's flares S-18 and S-19 contain
contradictory information with regard to the use of these flares, EPA agrees with. Petitioner that
the Statement of Basis is lacking a sufficient analysis regarding the applicability of MACT CC to
these flares. Therefore, EPA is granting the Petition on this issue. BAAQMD must reopen the
Permit to address applicability in the Statement of Basis, and, if necessary, to include the flare
requirements of MACT Subpart CC in the Permit.
2 Basis for Tank Exemptions
Petitioner claims that the statement of basis and the Permit lack adequate bformalton to
support the proposed exempt status for numerous tanks identified in Table IIB of the Permit.
Table IIB of the Permit contains a list of 43 emission sources that have applicable
requirements in Section IV of the Permit but that were determined by the District lo be exempt
from BAAQMD Regulation 2, which specifies the requirements for Authorities to Construct and
Permits to Operate. Rule 1 of the regulation contains numerous exemptions that are based on a
variety of physical and circumstantial grounds. EPA agrees with Petitioner that the Permit itself
contains insufficient information lo determine the basis for the exempt status of the equipment
with respect to the exemptions in the rule, However, for most of the sources in Table IIB,
Petitioner's claim that the Statement of Basis lacks the information is factually incorrect.
Petitioner is referred to pages 94-99 of the Statement of Basis that accompanied the Permit
issued by the District on December I, 2003. Nonetheless, EPA is granting Petitioner's request on
a limited basis for the reasons set forth below.
EPA's regulations stale that the permitting authority must provide the Agency with a
statement of basis that sets forth the legal and factual basis for the permit conditions 40 C.P.R.
§ 70.7(a)(5). EPA has provided guidance on the content of an adequate statement of basis in a
letter dated December 20,2001, from Region V to the State of Ohio14 and in a Notice of
Deficiency (NOD) issued to the State of Texas," These documents describe several key
elements of a statement of basis, specifically noting that a statement of basis should address any
'4The Idler is available at: littp tVwww.cpa goy/ >1 gmj/progra ms-'a rtd'a ir,'[ tile5t5 nit mos/sbgy itk p J I-
"67 Fed. Reg, 732 {January 7.2002)
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federal regulatory applicability determinations. The Region ¥ letter also recommends the
inclusion of topical discussions on issues including but not limited to the basis for exemptions.
Further, in response to a petition filed in regard to the title ¥ permit for the Los Medanos Energy
Center, EPA concluded thai a statement of basis should document the decision-making that went
into the development of the title ¥ permit and provide the permitting authority, the public, and
EPA with a record of the applicability and technical issues surrounding the issuance of the
perm it. Such a record ought to contain a description of the origin or basis for each permit
condition or exemption. See, Los Medanos, at 10.
As stated in Los Medanos, the failure of a permitting authority to meet the procedural
requirement to provide a statement of basis does not necessarily demonstrate that the title V
permit is substantively flawed. In reviewing a petition to object to a title V permit because of an
alleged failure of the permitting authority to meet all procedural requirements in issuing the
permit, EPA considers whether the petitioner has demonstrated that the permitting authority's
failure resulted in, or may have resulted in, a deficiency in the content of the permit See CAA
§ 505(b)(2) (objection required "if the petitioner demonstrates .,. that the permit is not in
compliance with the requirements of this Act, including the requirements of the applicable
[SIP]"); see also 40 C.F.R. § 70.8(c)(1). Thus, where the record as a whole supports the terms
and conditions of the permit, flaws in the statement of basis generally will not result in an
objection. See e.g.. Doe Runi at 24-25. In contrast, where flaws in the statement of basis resulted
in, or may have resulted in, deficiencies in the title V permit, EPA will object to the issuance of
the permit.
With regard to the Valero Permit, the majority of the sources listed in Table 11B are
identified in the December !, 2003 Statement of Basis along with a citation from Regulation 2
describing the basis of the exemption. For the sources that fall within this category, EPA finds
that the permit record supports the District's determination for the exempt status of the
equipment. However, in reviewing the December 16, 2004 Statement of Basis, EPA noted that
three of the sources listed in Table HB of the Permit are not included in (he statement of basis
with the corresponding citations for the exemptions." For these sources, the failure of the record
to support the terms of ibe Permit is adequate grounds for objecting to the Permit. Therefore,
EPA is granting Petitioner's request to object to the Permit with respect to the listing of exempt
sources in Table HB but only as the request pertains to the three sources identified herein.
Although EPA is not aware of other errors, the District should review the circumstances for all of
the sources in Table f[B and the corresponding table in the statement of basis to further ensure
that the Permit is accurate and that the record adequately supports the Permit, EPA also
encourages the District Jo odd the citation for each exemption to Table [IB as was done for the
Conoco Phil lips, Chevron, and Shell permits.
3 Public Participation
"Compare Table IIB of the Permit wilh llie December I, 2003 statement of basis for the LPG Trtick
Leading Rack, the TK-27IO Fresh Acid Tank, and (he Co|enetaticm Plant Cooling Tower,
41
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Petitioner argues that the District did not, in a timely fashion, make readily available to
the public, compliance information that is relevant to evaluating whether a schedule of
compliance is necessary. Specifically, Petitioner asserts that it had to make several requests
under the California Public Records Act to obtain "relevant information concerning NOVs issued
to the facility between 2001 arid 2004" and the "2003 Annual Report and other compliance
information, which is not readily available " Petitioner slates that it took three weeks for the
District to produce the information requested in Petitioner's "2003 PRA request." Petitioner
contends that it expended significant resources to obtain the data and received the data so late in
the process that they could not be sufficiently analyzed.
[n determining whether an objection is warranted for alleged flaws in the procedures
leading up to permit issuance, such as Petitioner's claims here that the District failed to comply
with public participation requirements, EPA considers whether the petitioner has demonstrated
that the alleged flaws resulted in, or may have resulted in, a deficiency in the permit's content.
SeeCAA, Section 505{b)(2)(objection required "if the petitioner demonstrates ... that the permit
is not in compliance with the requirements of [the Act], including the requirements of the
applicable [SEP].") EPA's title V regulations specifically identify the failure of a permitting
authority to process a permit in accordance with procedures approved to meet the public
participation provisions of 40 C.F.R. § 70.7(h) as grounds for an objection, 40 C.F.R.
§ 70.8(c)(3)(iii). District Regulations 2-6-412 and 2-6-419 implement the public participation
requirements of 40 C.F.R. § 70.7(h). District Regulation 2-6-412, Public Participation, Major
Facility Review Permit Issuance, approved by EPA as meeting the public participation provisions
of 40 C.F.R, § 70.7(h), provides for notice and comment procedures that the District must follow
when proposing to issue any major facility review permit. The public notice, which shall be
published in a major newspaper in the area where the facility is located, shall identify, inter alia,
information regarding the operation to be permitted, any proposed change in emissions, and a
District source for further information. District Regulation 2-6-419, Availability of Information*
requires the contents of the permit applications, compliance plans, emissions or compliance
monitoring reports, and compliance certification reports to he available to the public, except for
information entitled to confidential treatment.
Petitioner fails to demonstrate that the District did not process the permit in accordance
with public participation requirements. The District duly published a notice regarding the
proposed initial issuance of the permit The notice, inter alia, referenced a contact for further
information. The permit application, compliance plan, emissions or compliance monitoring
reports, and compliance certification reports are available to th« public through the District's
Web site or in the District's files, which are open to the public during business hours. Petitioner
admits that it ultimately obtained the compliance information it sought, albeit later than it
wished. Petitioner fails to show that the perceived delay in receiving requested documents
resulted in, or may have resulted in, a deficiency in the Permit, Therefore, EPA denies the
Petition on this issue.
44
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IV TREATMENT,, IN THE ALTERNATIVE, AS A PETITION TO REOPEN
As explained in the Procedural Background section of this Order, EPA received and
dismissed a prior petition ("2003 OCE Petition") from this Petitioner on a previous version of the
Permit al issue in this Petition. EPA's response in this Order to issues raised in this Petition that
were also included in the 2003 OCE Petition also constitutes the Agency's response lo the 2003
Petition. Furthermore, EPA considers the Petition validly submitted under CAA section
505(b)(2). However, if the Petition should be deemed to be invalid under that provision, EPA
also considers, in the alternative, (he Petition and Order lo be a Petition to Reopen the Permit and
a response to a Petition to Reopen the Permit, respectively.
V CONCLUSION
For the reasons set forth above, and pursuant to section 505(b)(2) of the Clean Air Act, I
deny in part and grant in part OCE's Petition requesting that the Administrator object to the
Valero Permit. This decision is based on a thorough review of the draft permit, the final Permit
issued December 16,2004, and other docur
Date
MAft 1 5 2005
Sleph
Act in;
AS
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BEFORE THE ADM IN IS PR AI OR
UNITED STATES ENVIRONMENT AI PROTECTION AGENCY
IN THE MA ITER O!
ONYX ENYIRONMENTAL SERVO: S
Petition number V-2005-1
CA M'P No Hi312l AAP
Proposed hv the Illinois
Environmental Protection Agency
) ORDER RESPONDING TO
) PETITIONERS* REQUEST THAT
) THE A DM IN ISTRATOR OBJECT
) ro ISSUANCE OF A STATU
) OPERA 11NG PERMIT
ORDER AMENDING PRIOR ORDl:R PARTIALLY DENYING AND
PAR I'lALEY GRANTING PI:1 ITtON" FOR OBJECTION TO PERMI T
EPA has become aware of a factual ciror in the February 1, 2006 Order Responding to
Petitioners' Request Hull the Administrator Object to Issuance of a proposed Stale Operating
Permit fur Onyx Eiivnonmetiial Services fo correct that eitor. I am amending the February 1
2006 Order by striking oui the section entitled *Af*L Monitoring" and replacing it with She
I;mintage appearing below. As a result of the correction, 1 am hereby granting the petition on
thai issue.
The amended language for section VI i5 as follows
\ I. Monitoring
The Petitioners argue that the Administrator must object to the proposed
Onyx peinnt because it fails to include conditions that meet the legal requirements
for monitoring. The Petitioners cite condition 7.1 S.h.ii on page 56 of the
proposed Onyx, permit, which prov ides that Onvx must install, calibrate, maintain,
and operate Particulate Matter Continuous Emission .Monitors (PM CEMs) to
demonstrate compliance. Petitioners note that the next clause provides that the
permittee need not comply with the requirement to "install, calibrate, maintain,
and operate the PM CEMs until such time that 1 VS. EPA promulgates all
performance specifications and operational iequipments for PM OEMs'
Petitioners argue that there are no PM monitoring requirements established tn the
permit without the obligation to install and operate the PM CEMs. which is
contingent on future U.S. EPA action. Petition at 18.
U.8 EPA promulgated the performance specification foi PM CEMs
(Performance. Standard 11} on January 12. 2004. However, U S, EPA has not yet
promulgated She operational requirements for PM CEMs. Accordingly, the
requirement to install and operate PM CEMs does not currently apply lo Onyx,
although the pel mi t properly requires PM CEMs onee U.S. EPA promulgates
such operational requirements. I iov, e\er, subpart EEE contains other
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requirements intended to help assutc compliance with the PM limits, including a
requirement for bag leak detection monitoring/ The Onyx facility is equipped
with baghouses, and therefore Onyx is required to operate and maintain a system
to detect leaks from the baghouses, but the permit currently lacks provisions
requiring a leak detection system, Accordingly, the lack of a currently applicable
requirement 10 operate and maintain PM OF Ms does not make the permit
deficient under 40 CP R 7().6{a}{3 )0)(B), but Petitioners are correct that the
permit tacks monitoring required under other provisions of 40 C.F.R. §?0.6, and
therefore I am granting the petition on tins, issue and directing IEPA to revise the
permit to incorporate all PM monitoring required for the facility under subpart
EbE, including a leak detection system/
! am not revising the Order issued February 1 m any other way and its provisions, other
than section VI, remain undisturbed and in effect.
AUG -9 2006
Dated
feplicn L, Johnson
Administrator
See Final Technical Support Document tor fl\VC MAC! Standards, Vol. IV: Compliance with
the HWC MACT Standards (July 1999)
Subpart EtE has been amended since she permit was proposed by IEPA, although the
requirement for bag leak detection applied to the Onyx facility at the time the permit was proposed. In re
proposing the permit, IEPA should ensure that the permit properly reflects all of the current M ACT
requirements
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, UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
, ^^7 RESEARCH TRIANGLE PARK, NC 2771 i
.
APR 3D 2014 AlHUUAlltYKrtUNINl!
AND srftNr'AHl'K
MEMORANDUM
SUBJECT: Implementation Guidance on Annual ('oijipikincc Certification Reporting and Statement
of Basis Requirements for Title V operating permits
FROM
TO:
This memorandum and attachments provide guidance on satisfying the Clean Air Act tide V annual
compliance certification reporting and statement of basis requirements. It addresses two outstanding
recommendations made by the Oft ice of Inspector General (OIO) in the report titled, "Substantial
Changes Needed in Implementation and Oversight of Title V Permits if Program Goals are to be Fully
Realized:' (OIG Report No. 2005-P-00010);
Recommendation 2-1: Develop and issue guidance or rulemaking on annual compliance
certification content, which requires responsible officials to certify compliance with oil
applicable terms ami conditions of the permit, as appropriate.
Recommendation 2-3: Develop nationwide guidance on the contents of the statement of basis
which includes discussions of monitoring, operational requirements, regulatory applicability
determinations, explanation of any conditions from previously issued permits that are not being
transferred to the title V permit, discussion of streamlining requirements, and other factual
information, where advisable, including a list of prior title V permits issued to the same
applicant at the plant, attainment status, and construction, permitting, and compliance history of
the plant.
In a February 8, 2013. memorandum to the OKi, the EPA stated its intent to address these two
recommendations, as well as similar recommendations from the Clean Air Act Advisory Committee's
Title V Task Force {see "Final Report to the Clean Air Act Advisory Committee: Title V
Implementation Experience," April 2006).
Flic attachments below provide non-binding guidance that responds to OIG recommendations regarding
annual compliance certification and statement of basis, The attachments highlight existing statutory and
regulatory requirements and guidance issued by the KPA, and state and local permitting authorities. In
addition, the attachments highlight key components of the applicable legal requirements and
clarifications responsive to certain OIG recommendations. As you are aware, this information was
developed in collaboration with EPA regional offices. Note that state and local permitting authorities
Stephen f), P.^c
Director
Regional Air Division Directors. Regions 1-10
internet Address (URL) * http.7/www.epa.gov
FtocyctadflFtecyelAbta • Printed wild Vogetal* Oil Based Inks on Ptai;ycli?fi Papor (Minimum 25% Poslconsumer}
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also provide guidance on title V requirements; the EPA encourages sources to consult with their stale
and local permitting authorities to obtain additional information or to obtain specific guidance,
If you have any questions, please contact Juan Santiago, Associate Director, Air Quality Policy
Division/O AQPS, at (919) 541-1084, saniiago.jutm@epa.gov,
Attachments
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Disclaimer
These documents explain flu- requirements of the EPA regulation,s, describes the EPA policies, and
recommends procedure.1) for sources and permitting authorities to use to ensure thai the annual
compliance certification and the statement of busts are consistent with applicable regulations, These
documents are not a rule or regulation, and the guidance they contain may not apply to a particular
situation based upon the individual fads and circumstances, The guidance does not change or substitute
for am' law. regulation, or am' other legally binding requirement and is not legally enforceable. The me
of non-mandatory language such as "guidance, " "recommend." "may,'' "should. " and "can, " is
intended to describe the EPA policies and recommendations. Mandatory terminology such as "must "
and "required" is intended to describe controlling requirements under the terms of the Clean Air Act
and ihe EPA regulations. but the documents do not establish legally binding requirements in and of
themselves.
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Attachment 1
Implementation C.uiilance on Annual Compliance Certification Kequiremcnts Under the
Ctean Air Act Title V Operating Permits Program
I. Oveniew of Title \ ;in
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status of the source, (C) the compliance status, (D) whether compliance is
continuous or intermittent, (E) such other facts as the Administrator may require.
Compliance certifications and monitoring data shall be subject to subsection (c) of
this section [availability of information to the public].
OA A section 114(a)(3), 42 U.S.C. section 7414(a)(3), The EPA promulgated regulations
implementing these provisions for title V operating permits purposes. Key regulatory provisions
regarding compliance certifications are found in 40 CFR section 70.6(c), "Compliance
requirements."
It. Overview of Annual Compliance Certification Requirements
The EPA's regulations at 40 CFR section 70.6(c) describe the required elements of annual
compliance certifications. Specifically, 40 CFR section 70.6(c)(5)(iii)-(iv) provides that all
permits must include the following annual compliance certification requirements;
'(in) A requirement that the compliance certification include all of the following
(provided that the identification of applicable information may cross-reference the
permit or previous reports, as applicable):
(A) The identification of each term or condition of the permit that is the basis of
the certification;
(B ) The identification of the method(s) or other means used by the owner or
operator for determining the compliance status with each term and condition
during the certification period. Such methods and other means shall include, at a
minimum, the methods and means required under paragraph (a)(3) of this section;
(C) The status of compliance with the terms and conditions of the permit for the
period covered by the certification, including whether compliance during the
period was continuous or intermittent. The certification shall be based on the
method or means designated in paragraph (c)(5)(iii)(B) of this section. The
certification shall identify each deviation and take it into account in the
compliance certification. The certification shall also identify as possible
exceptions to compliance any periods during which compliance is required and in
which an excursion or exceedance as defined under part 64 of this chapter
occurred; and
(D) Such other facts as the permitting authority may require to determine the
compliance status of the source.
(iv) A requirement that all compliance certifications be submitted to the
Administrator as well as to the permitting authority.
(6) Such other provisions as the permitting authority may require.
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Further information surrounding compliance certification is described in the regulatory provision
addressing the criteria for a permit application, 40 CFR section 70.5(d). There have been
revisions to Part 70 since its original promulgation in 1992.
One rulemaking action relevant to compliance certifications was in response to an October 29.
1999. remand from the United States Court of Appeals for the District of Columbia Circuit in
Natural Resources Defense Council (NRDC) v. EPA, 194 F,3d 130 (D.C, Cir. 1999). In that case,
the Court upheld a portion of the EPA\s compliance assurance monitoring rule, but remanded
back to the EPA the need to ensure 40 CFR sections 70.6(c}(5 )(iii) and 71.6(c)(5)(iii) were
consistent with language in CAA section 114(a)(3) which states that compliance certifications
shall include, among other requirements. " 'whether compliance is continuous or intermittent." "
NRDC at 135 (internal citations omitted). Accordingly, the EPA proposed to add appropriate
language to paragraph (c)(5)(iii)(C) of both 40 CFR sections 70.6 and 71.6. However, the final
rule on June 27, 2003 (68 FR 38518) inadvertently deleted an existing sentence front the
regulations (which was not related to the addition which resulted from the D.C. Circuit decision).
The OIG Report referenced this issue and in response to the OIG, as agreed, the EPA has
proposed to restore the inadvertently deleted sentence back into the rule. See, e.g., 78 FR 19164
(March 29, 2013). This proposed rule would reinstate the inadvertently removed sentence -
which, consistent with the Credible Evidence rule, requires owners and operators of sources to
'Identify any other material information that must be included in the certification to comply with
section 113(c)(2) of the Act, which prohibits knowingly making a false certification or omitting
material information" - in its original place before the semicolon at the end of 40 CFR sections
70,6(e)(5)(iii)(B) and 71.6(c*)(5j(iii)(B). The EPA is still reviewing comments received on this
proposal: however, today's guidance document is based on statutory and long-standing
regulatory requirements regarding compliance certifications, obligations for "reasonable inquiry"
and consideration of credible evidence, many of which were also relied upon in the EPA's
proposal.
Ill, Implementation of the Annual Compliance Certification Requirements
The statutory and regulatory provisions regarding compliance certification provide direction to
sources and permitting authorities regarding implementation of these provisions. Nonetheless,
questions arise periodically and. as a general matter, responding to those questions typically
occurs on a ease-by-case basts, consistent with the statutory and regulatory requirements, as well
as applicable slate or local regulations. Questions may be posed to authorized permitting
authorities, EPA Regional Offices, or EPA Headquarters offices. As a general matter, where
formal responses are provided by EPA. such responses may be searched and viewed on various
websites. These include, among others:
• hitp:-'/ ivvcu'. epa goV'Un-oarpg/tSpgm. html
• Environmental Appeals Board (EAB) decisions on PSD permitting
ht(p:/Amemiie.epa.gov/oa-EABJ4'eb_Docket.nsJ>PSD+Penmt +Appeals - (CAA}?Open! lew
Environmental Appeals Board (EABI decisions on title V permuting
http;.'i'yosemUe.epa.gov'oa'EAB JVebJDncket.nsf Title-'- V-1 Permit-Appeals'.3Openl'mv
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• The EPA's online searchable database of many PSD and title V guidance documents
issued by EPA headquarters offices and EPA Regions (operated by Region 7)
hup: i/wmv. epa. gov/regianO 7/air/pulicy/search. htm.
• The EPA's online searchable database of CAA title V petitions and issued orders
(operated by Region 7) http://www.epa.gOv/region7/air/f itIe5/petithmdb/peti{iondb. htm.1
A review of these databases indicates that there are a number of issues that arise with some
regularity and those general questions and responses are addressed below. In addition, the EPA
notes that state and local permitting authorities are also a source of guidance on compliance
certification form, instructions, and content. In some circumstances, state and local permitting
authorities may require additional content for the annual compliance certification, See. e.g., 40
CFR sections 70.6{c)(5)('iii)(D) and (e)(6). As a result, sources should review such requirements
prior to completing the annual compliance certification,
A, Level of Specificity in Describing the Permit Term or Condition
The CAA and the EPA's regulations require that the annual compliance certification identify the
terms and conditions that are the subject of the certification. As a general matter, specificity
ensures that the responsible official has in fact reviewed each term and condition, as well as
considered all appropriate information as part of the certification.2 This does not mean, however,
that each and every permit term and condition needs to be spelled out in its entirety in the annual
compliance certification or that the certification needs to resemble a checklist of each permit
term and condition. While some sources (and states) use what is informally referred to as a "long
form" for certifications (where each term or condition is typically individually identified), such
forms are not expressly required by either the CAA or the EPA's regulations, even though it may
be advisable to use such a form.
The certification should include sufficient specificity and must identify the terms and conditions
that are being covered by the certification. 40 CFR section 70.6(e)(S)(iii)( A)-(D), As a "best
practice," sources may include additional information where there are unique or complex permit
conditions such that "compliance" with a particular term and condition is predicated on several
elements. In that case, additional information in the annual compliance certification may be
advisable to explain how compliance with a particular condition was determined and, thus, the
basis for the certification of compliance.
Consistent with the EPA's regulations, the annual compliance certification must include *'[t]hc
identification of the method(s) or other means used by the owner or operator for determining the
compliance status with each term and condition during the certification period." 40 CFR section
70.6(c)(5)(iii)(B). For example, there may be situations where certification is based on electronic
1 The EPA's practice is, to publish a notice in the Federal Register announcing that a petition order was signed, Once
signed, the EPA's practice is to place a copy of that final order on the title V petition order database, which is
searchable online,
7 The EPA's regulations require thai a ""responsible official" sign the compliance certification. The term "responsible
official" is defined in 40 CFR section 70.2.
4
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data from continuous emissions monitoring devices, which may result in a fairly straightforward
annual compliance certification. Alternatively, there may be situations where compliance during
the reporting period was determined through parametric monitoring, which requires the source to
consider various data and perform a mathematical calculation, to determine the compliance
status. In that latter situation when various data from parametric monitoring are combined via
calculation, the annual compliance certification may contain more detail regarding that term or
condition which relies on parametric monitoring in the permit.'""'
Regardless of the level of specificity provided for the particular terms and conditions in the
annual certification itself, the minimum regulatory requirements include "ft]he identification of
each terra or condition of the permit that is the basis of the certification." 40 CFR Section
70.6fc)(5)(iii)(A), As noted above, there may be different ways to meet this requirement. For
example, when referencing a permit term or condition in the certification, if the permit
incorporates by reference a citation without explaining the particular term or condition, the
source may choose to provide additional clarity in the compliance certification to support the
certification. Another situation where additional specificity may be advisable is where a source
has an alternative operating scenario where the source may be best served by providing
additional compliance related information in support of the certification. As another example, the
pail 71 federal operating permits program administered by the EPA includes a form, and
instructions, for sources to use for their annual compliance certifications. Annual Compliance
Certification (A-COMF). HP A form 5900-04, at page 4, available at;
htip://ww\v.epiigo\>/airqu
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considered in light of the regulatory requirement to certify compliance with the specific terms
and conditions of the permit. 40 CfR section 70.6(c)(5)(iii)(C). Additionally, as was noted
earlier, because approved state and local areas may require additional elements in the annual
compliance certifications, sources should confirm that their form is consistent with applicable
state and local permitting requirements.
C. Certification Language
The CPA's regulations at 40 CFR section 70.5(d) require that the annual compliance certification
include the following language: "Based on information and belief formed after reasonable
inquiry. I certify that the statements and information in this certification are true, accurate, and
complete." (Emphasis added.) While the EPA appreciates that each permit includes specific
monitoring requirements, additional data may be available that indicate compliance (or
noncompliance). The EPA recently proposed to provide additional clarity on this issue by
proposing to restore a sentence to 40 CFR section 7().6(c)(5)(mKB) that had been inadvertently
deleted, as discussed above.
IV. Discussion of Compliance Certification Content in Clean Air Act Advisory
Committee Final Report on the Title V Implementation Experience
In the BPA's February 8, 2013, memorandum to the OIG, stated its intent to address the CMC's
recommendation concerning the annual compliance certification, as well as similar
recommendations from the Clean Air Aci Advisory Committee's Title V Task Force,4 While this
guidance document responds to the 2005 OIG Report, information provided above overlaps with
recommendations from the Title V Task force. This guidance document does not adopt the Task
Force recommendations; however, to the extent that they overlap with the discussion above, the
EPA provides some observations regarding those recommendations.
Section 4,7 of the Task Force Report discusses compliance certification forms. This section
includes, among other items, comments from stakeholders, a summary of the Task Force
discussions, and Task Force recommendations. Of the five recommendations included in this
section of the Report, three were unanimously supported by the Task Force members
(Recommendations 3,4, and 5), Task Force Final Report at 119-120, HPA's discussion above
regarding the level of specificity and the form of the annual compliance certification generally
addresses the two recommendations for which there was not consensus within the Task Force
(Recommendations 1 and 21
The five recommendations- directly quoted from the Task Force Report, are as follows:
'' In April 2006, the Title V Task Force finalized a document titled, "Final Report to the Clean Air Act Advisory
Committee: Title V Implementation Experience." This document was the result of the Task Force's efforts to review
the implementation and performance of the operating permit program under title V of the 1990 Clean Air Act
Amendments. Included in the report are a number of recommendations, including some specific recommendations
regarding compliance certifications that are consistent with existing regulations and information provided in this
guidance document.
6
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Recommendation #1, Most of the Task Force endorsed an approach akin to the "short
form" certification, believing that a line-by-line listing of permit requirements is not
required and imposes burdens -without additional compliance benefit. Under this
approach, the compliance certification form would include a statement that the source
was in continuous compliance with permit terms and conditions with the exception of
noted deviations and periods of intermittent compliance. Although the permittee
would cross-reference the permit for methods of compliance, in situations where the
permit specifies a particular monitoring method but the permittee is relying on
different monitoring, testing or other evidence to support its certification of
compliance, that reliance should be specifically identified in the certification and
briefly explained. An example of such a case would be where the permit requires
continuous temperature records to verify compliance with a minimum temperature
requirement. If the chart recorder data was not recorded for one hour during the
reporting period because it ran out of ink. and the source relies on the facts thai the
data before and after the hour shows temperature above the requirement minimum
and that the alarm system which sounds if temperature falls below setpoint was
functioning and did not alarm during the hour, these two items would be noted as the
data upon which the source relies for certifying continuous compliance with the
minimum temperature requirement.
Recommendation #2. Others on the Task Force believed that more detail than is
included in the short form is needed in the compliance certification to assure source
accountability and the en force-ability of the certification. These members viewed at
least one of the following options as acceptable (some members accepting any, while
others accepting only one or two):
1. The use of a form that allows sources to use some cross-referencing to iden-
tify the permit term or condition to which compliance was certified. Cross-
referencing would only be allowed where the permit itself clearly numbers
or letters each specific permit term or condition, clearly identifies required
monitoring, and does not itself include cross-referencing beyond detailed
citations to publicly accessible regulations. The compliance certification
could then cite to the number of a permit condition, or possibly the numbers
for a group of conditions, and note the compliance status for that permit
condition and'the method used for determining compliance. In the case of
permit conditions that are not specifically numbered or lettered, the form
would use text to identify' the requirement for which the permittee is
certifying.
2. Use of the long form,
3. Use of the permit itself as the compliance certification form with spaces in-
cluded to identify whether compliance with each condition was continuous
or intermittent and information regarding deviations attached.
Recommendation H 3. Where the permit specifies a particular monitoring or
compliance method and the source is relying on other information, that information
should be separately specified on the certification form.
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Recommendation /?' 4, Where a permit tenn does not impose an affirmative obligation
on the source, the form should not require a compliance certification; e.g., where the
permit states that it does not convey property rights or that the permitting authority is
to undertake some activity such as provide public notice of a revision.
Recommendation # 5. All forms should provide space for the permittee to provide
additional explanation regarding its compliance stains and any deviations identified
during the reporting period.
Task Force final Report at 118-120.5 With regard to these recommendations, the EPA offers
several observations. First, there is nothing in the CAA or Part 70 that prohibits
Recommendation 3., 4, and 5, which had unanimous support from the Task Force. See 40 CFR
section 70.6(c)(5)(iii)-(iv). Second, with regard to Recommendations 3 and 5, these should he
considered "best practices" to ensure that the annual certification provides adequate information.
Third, Recommendations 1 and 2 outline different ideas surrounding the level of specificity and
the form of the annual compliance certification. This guidance document does address those
issues and recommends activities consistent with the regulatory requirements while also
providing some flexibility on the level of specificity depending on the complexity of the permit
conditions being certified.
^ With regard to the first recommendation, the EPA observes that the example provided in the Task Force Report
Identities a scenario in which additional narrative on the annual compliance certification form would be useful to
explain the determination thai the sources was ('or was not) in compliance with a permit term or condition.
8
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Attachment 2
Implementation (.imkuKi- i-n Statement of Ba*ns Requirements I iukr the Clean Air Act
Title V Operating Permits Program
I. Overv iew of Legal Requirements for Statement of Basis
Section 502 of the CAA addresses title V permit programs generally. Among other required
elements of the EPA's rules implementing title V, Congress stated that the regulations shall
include:
Adequate, streamlined, and reasonable procedures for expeditiously determining
when applications are complete, for processing such applications, for public
notice, including offering an opportunity for public comment and a hearing, and
for expeditious review of permit actions, including applications, renewals, or
revisions,,,,
CAA section 502(b)(6). The EPA's regulations implementing title V require that a permitting
authority provide "a statement that sets forth the legal and factual basis for the draft permit
conditions (including references to the applicable statutory or regulatory provisions). The
permitting authority shall send this statement to the EPA and to any other person who requests
it." 40 OR section 70.7(a)(5). As will be discussed below, among other purposes, the statement
of basis is intended to support the requirements of CAA section 502( b)<6 > by providing
information to allow for "expeditions'" evaluation of the permit terms and conditions, and by
providing information that supports public participation in the permitting process, considering
other information in the record.
Since the EPA promulgated its Part 70 regulations, the EPA has provided additional guidance
and information surrounding the statement of basis. This information is available on EPA's
searchable online database of Title V guidance
,epu.gov/region07,-mr//}olicy/search.hm). A search of that database reveals
numerous documents dating back to 1996 that provide feedback regarding the content of the
statement of basis,1 Because the specific content of the statement of basis depends in part on the
terms and conditions of the individual permit at issue, the EPA's regulations are intended to
provide flexibility to the state and local permitting authorities regarding content of the statement
of basis. The statement of basts is required to contain, as the regulation states, sufficient
information to explain the 'legal and factual basis for the draft permit conditions." 40 CFR
section 70,7(a)(5).
II, Guidance on the Content of Statement of Basis
Since promulgation of the Part 70 regulations, the EPA has provided guidance on recommended
contents of the statement of basis, Taken as a whole, various title V petition orders and other
documents, particularly those cited in those orders, provide a good roadmap as to what should be
' See eg.. Region 1') Questions & Answers No. 2: Title V Permit Development (March 14, 19%) (available online
at futprfwww.epa.gm'-'r'egirmfr'aii- Hfqol.pilf).
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included in a statement of basis on a permit-by-permit basis, considering, among other factors,
the technical complexity of a permit, history of the facility, and the number of new provisions
being added at the title V permitting stage. This guidance document identifies a few such
documents for example purposes and provides references for locating such materials on the
Internet.
'['lie EPA provided an overview of this guidance in a 2006 title V petition order, In the Matter of
Onyx Environmental Services, Order on Petition No. V-2005-1 (February 1, 2006) (Owx Order)
at 13-14. In the Onyx Order, in the context of a general overview statement on the statement of
basis, the EPA explained,
A statement of basis must describe the origin or basis of each permit condition or
exemption. However, it is more than just a short form of the permit. It should
highlight elements that U.S. EPA and the public would find important to review.
Rather than restating the permit, it should list anything that deviates from simply a
straight recitation of applicable requirements. The statement of basis should
highlight items such as the permit shield, streamlined conditions, or any
monitoring that is required under 40 C.F.R. § 70.6(a)(3)(i)(B). Thus, it should
include a discussion of the decision-making that went into the development of the
title V permit and provide the permitting authority, the public, and U.S. EFA a
record of the applicability and technical issues surrounding the issuanee of the
permit. (Footnotes omitted.) See, e.g., In Re Port Hudson Operations, Georgia
Pacific. Petition No, 6-03-01, at pages 37-40 (May 9, 2003) f"Georgia Pacific1');
In Re Doe Run Company Buick Mill and Mine, Petition No, VII-1999-001. at
pages 24-25 (July 31, 2002) ("Doe RimIn Re fori James Camas Mill, Petition
No, X-1999-1, at page 8 (December 22, 2000) ("Ft. James"),
Onvx Order at 13-14. In the Om:x Order, there is a reference to a February 19. 1999. letter that
s/ »« J tt
identified elements which, if applicable, should be included in the statement of basis. In that
letter to Mr. David Dixon. Chair of the California Air Pollution Control Officers Association
(CAPCOA) Title V Subcommittee, the EPA Region 9 Air Division provided a list of air quality
factors to serve as guidance to California permitting authorities that should be considered when
developing a statement of basis for purposes of EPA Region 9"s review. Specifically, this letter
identified the following elements which, if applicable, should be included in the statement of
basis;
• additions of permitted equipment which were not included in the application,
• identification of any applicable requirements for insignificant activities or State-
registered portable equipment that have not previously been identified at the Title
V facility.
• outdated SIP requirement streamlining demonstrations,
• multiple applicable requirements streamlining demonstrations,
• permit shields,
• alternative operating scenarios,
• compliance schedules,
• CAM requirements.
-------
• plant wide allowable emission limits (PAL) or other voluntary limits.
• any district permits to operate or authority to construct permits.
• periodic monitoring decisions, where the decisions deviate from already agreed-
upon levels. These decisions could be part of the permit package or could reside
in a publicly available document. (Parenthetical omitted')
fenclosure to February IS). 1999, letter from Region 9 to Mr. David Dixon.
hi 2001. in a letter from the EPA to the Ohio Environmental Protection Agency, which is also
cited to in the Onyx Order. the EPA explained that:
The (statement of basis] should also include factual information that is important
for the public to be aware of. Examples include:
1. A listing of any Title V permits issued to the same applicant at the
plant site, if any. In some eases it may be import ant to include the
rationale for determining that sources are support facilities.
2. Attainment status.
3. Construction and permitting history of the source.
4. Compliance history including inspections, any violations noticed, a
listing of consent decrees into which the permittee has entered and
corrective aetion(s) taken to address noncompliance.
Letter from Stephen Rothblatt, EPA Region 5 to Robert Hodanbosi, Ohio EPA, December 20.
2001 (available online at hitp:-'Aww.epa.gov/reghmn J'ahvtitkSASnmms-'sbguide.pdfi. In 2002.
in the context of finding deficiencies with the State of Texas operating permits program, the EPA
explained that, "a statement of basis should include, but is not limited to, a description of the
facility, a discussion of any operational flexibility that will be utilized at the facility, the basis for
applying the permit shield, any federal regulatory applicability determinations, and the rationale
for the monitoring methods selected.'" 67 PR 732, 735
(January 7. 2002).
The EPA has also addressed statement of basis contents in additional title V petition orders
(available in an online searchable database at
htlp:/AvH>\v.epa.gov/region?>'air:'ttik5/petithwdb-,petUiondh.htm), In some cases, title V petition
orders provide information even where a statement, of basis is not directly at issue. For example,
the EPA has interpreted 40 CPR section 70.7(a)(5) to require that the rationale for selected
monitoring methods be clear and documented in the permit record. In the Matter ofCITGO
Refining and Chemicals Company LP (CITGOj. Order on Petition No, Vl-2007-01 (May 28,
2009) at 7; see also In the Matter of Fort Jumes Camas Mill (Fort James), Order on Petition No,
X-1999-1 (December 22, 2000) at page 8. This type of information could be included in the
statement of basis. The EPA observes that where such information is included in the statement of
basis, this can facilitate a better understanding of the rationale for monitoring. Such information
could also be included in oilier parts of the permit record. In addition, it is particularly helpful
when the statement of basis identifies key issues that the permitting authority anticipates would
be a priority for EPA or public review (for example, if such issues represent new conditions or
3
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interpretations of applicable require menu that are not explicit on their face). See, e.g., In the
Matter of Consolidated Edison Co, Of NY, Inc. Ravemwood Steam Plant, Order on Petition No.
11-2001-08 (Sept, 30. 2003) at page 11; /i? the Matter of Port Hudson Operation Georgia Pacific,
Order on Petition Mo, 6-03-0] (May 9, 2003) at pages 37-40: In the Matter of Doe Run Company
Buick Mill ami Mine (Doe Run}. Order on Petition No. V11-1999-001 (July 31, 2002) at pages
24-26; In the Matter of Los Medanos Energ\> Center (Order on Petition) (May 24, 2004) at pages
14-17,
Each of the various documents referenced above provide generalized recommendations for
developing an adequate statement of basis rather than "hard and fast" rules on what to include.
Taken as a whole, they provide a good roadmap as to what should be included in a statement of
basis on a permit-by-permit basis, considering, among other factors, the technical complexity of
the permit, history of the facility, and the number of new provisions being added at the title V
permitting stage.1
111. Discussion of Statement of Basis Content in Clean Air Act Advisory Committee
Final Report on the Title V Implementation Experience
In the EPA's February 8, 2013. memorandum to the OIG, the EPA stated its intent to address the
OlG's recommendation concerning the statement of basis, as well as similar recommendations
from the Clean Air Act Advisory Committee's Title V Task Force.3 While this guidance
document responds to the 2005 OIG Report, in formal ion provided above overlaps with
recommendations from the Title V Task Force. This guidance document does not adopt the Task
Force recommendations; however, to the extent that they overlap with the discussion above, the
EPA provides some observations regarding those recommendations.
Section 5.5 of the Task Force Final Report addresses the statement of basis. This section includes
a regulatory background piece, comments from stakeholders, a summary of the Task Force
discussions, and Task Force recommendations. The recommendations section includes a list of
items considered appropriate for inclusion into a statement of basis. Final Report at 231.
Members of the Task Force unanimously supported the recommendations regarding the
statement of basis, Because these recommendations overlaps substantially, if not wholly, with
guidance previously provided by EPA, it is appropriate to include these recommendations within
this guidance document as an additional guideline tor developing an adequate statement of basis.
The Task Force recommended that the following items are appropriate for inclusion in a
statement of basis document:
With regard to the title V permitting stage, a best practice includes making previous statements of basis accessible
to give background on provisions thai already exist in the permit and may not be u pari of the permit action at issue,
and provide context for the permit as a whole and the particular revisions at issue in that permit action or permit
stage.
! In April 2006, the Title V Task Force finalized a document titled, "Final Report to the Clean Air Act Advisory
Committee: Title V Implementation Experience.'* This document was the result of the Task Force's efforts to review
the implementation and performance of the operating permit program under title V of the 1990 Clean Air Act
Amendments. Included in the report are a number of recommendations, including specific recommendations
regarding statement of basis contents that overlap with or are informative to this guidance document.
4
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1 - A description and explanation of any federally enforceable conditions from
previously issued permits that are not being incorporated into the Title V
permit.
2, A description and explanation of any streamlining of applicable requirements
pursuant to EPA White Paper No. 2.
3, A description and explanation of any complex non-applicability determination
(including any request for a permit shield under section 70.6(f)(l }(ii)) or any
determination that a requirement applies that the source does not agree is
applicable, including reference to any relevant materials used to make these
determinations (e.g., source tests, state guidance documents),
4. A description and explanation of any difference in form of permit terms and
conditions, as compared to the applicable requirement upon which the
condition was based.
5. A discussion of terms and conditions included to provide operational
flexibility under section 70.4
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Appendix D. Map of Linguistically Isolated Households in the Clark County DES
Page 48 of 51
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CLARK COUNTY, NEVADA
LINGUISTICALLY ISOLATED
HOUSEHOLDS
Data Not Available !¦ 70-80%ile
f 1 Less than 50%ile ~~ 80-90%ile
I I 50-60%ile ~ 90-95%ile
I I 60-70%ile H 95-100%ile
SEFA
REGION 9 -AIR
ARD21072 Clark County Linguistic Isolation.aprx (April 2, 2021)
Sources: US EPA, US Census Bureau, Esri, HERE,
Airbus;USGS,NGA,NASA,CGIAR,NCEAS,NLS,OS,NMA,Geodatastyrelsen,GSA,GSI and
the GIS User Community, For use by U.S. EPA and stakeholders for emergency
response and area contingency planning.
-------
CLARK COUNTY, NEVADA
LOW-INCOME HOUSEHOLDS
80-90%ile
3 90-95%ile
95-100%ile
Title V facility
25
50 Miles
_J
50 Kilometers
A EPA
REGION 9 ¦ AIR
ARD21072 Clark County Low Income.aprx (May 25, 2021)
Sources: US EPA, US Census Bureau (2021).
-------
CLARK COUNTY, NEVADA
SCHOOL LOCATIONS AND TITLE V FACILITIES
A Title V facility
• School
25
_L_
50 Miles
50 Kilometers
-------
vvEPA Environmental Protection EJSCREEN Report (Version 2020)
1 mile Ring Centered at 36.217625,-115.023210, NEVADA, EPA Region 9
Approximate Population: 4,752
Input Area (sq. miles): 3.14
Selected Variables
State
Percentile
EPA Region
Percentile
USA
Percentile
EJ Indexes
EJ Index for PM2.5
EJ Index for Ozone
EJ Index for NAT A* Diesel PM
EJ Index for NATA* Air Toxics Cancer Risk
EJ Index for NATA* Respiratory Hazard Index
EJ Index for Traffic Proximity and Volume
EJ Index for Lead Paint Indicator
EJ Index for Superfund Proximity
EJ Index for RMP Proximity
EJ Index for Hazardous Waste Proximity
EJ Index for Wastewater Discharge Indicator
100
EJ Index for the Selected Area Compared to All People's Blockgroups in the State/Region/US
75
U
CL
25
X.. >
"J*
V
G/s
fv,, X
v
O/-
EJ Indexes
State Percentile Regional Percentile | 1 USA Percentile
This report shows the values for environmental and demographic indicators and EJSCREEN indexes. It shows environmental and demographic raw data (e.g., the
estimated concentration of ozone in the air), and also shows what percentile each raw data value represents. These percentiles provide perspective on how the
selected block group or buffer area compares to the entire state, EPA region, or nation. For example, if a given location is at the 95th percentile nationwide, this
means that only 5 percent of the US population has a higher block group value than the average person in the location being analyzed. The years for which the
data are available, and the methods used, vary across these indicators. Important caveats and uncertainties apply to this screening-level information, so it is
essential to understand the limitations on appropriate interpretations and applications of these indicators. Please see EJSCREEN documentation for discussion of
these issues before using reports.
April 21, 2021 1/3
IflR
-------
Environmental Protection EJSCREEN Report (Version 2020)
l—l Agency
1 mile Ring Centered at 36.217625,-115.023210, NEVADA, EPA Region 9
Approximate Population: 4,752
input Area (sq. miies): 3.14
13
Rsl
M
QH)
m
\
(3
Ba
\
©
G3
April 21, 2021
^ Project 1
1:1.155,581
Sites reporting to EPA
Superfund NPL
0
Hazardous Waste Treatment, Storage, and Disposal Facilities (TSDF)
0
April 21, 2021
2/3
-------
EPA g™"— EJSCREEN Report (Version 2020)
1 mile Ring Centered at 36.217625,-115.023210, NEVADA, EPA Region 9
Approximate Population: 4,752
Input Area (sq. miles): 3.14
Selected Variables
Value
State
Avg.
%ile in
State
EPA
Region
Avg.
%ile in
EPA
Region
USA
Avg.
%ile in
USA
Environmental Indicators
Particulate Matter (pm 2.5 in ng/m3)
7.24
6.83
75
9.99
11
8.55
16
Ozone (ppb)
54.8
54.2
53
50.1
65
42.9
93
NATA* Diesel PM (Mg/m3)
0.505
0.614
41
0.479
60-70th
0.478
60-70th
NATA* Cancer Risk (lifetime risk per million)
39
33
69
35
60-70th
32
80-90th
NATA* Respiratory Hazard Index
0.59
0.5
71
0.53
60-70th
0.44
80-90th
Traffic Proximity and Volume (daily traffic count/distance to road)
13
580
7
1700
5
750
12
Lead Paint Indicator (% Pre-1960 Housing)
0.0033
0.051
56
0.24
17
0.28
11
Superfund Proximity (site count/km distance)
0.0044
0.012
4
0.15
0
0.13
0
RMP Proximity (facility count/km distance)
0.52
0.39
76
0.99
52
0.74
61
Hazardous Waste Proximity (facility count/km distance)
2.2
2.5
45
5.3
36
5
67
Wastewater Discharge Indicator
(toxicity-weighted concentration/m distance)
0
43
N/A
18
52
9.4
33
Demographic Indicators
Demographic Index
55%
42%
75
46%
65
36%
78
People of Color Population
72%
50%
79
60%
60
39%
79
Low Income Population
39%
34%
64
33%
64
33%
66
Linguistically Isolated Population
3%
6%
51
8%
40
4%
65
Population With Less Than High School Education
21%
14%
76
16%
67
13%
80
Population Under 5 years of age
7%
6%
58
6%
57
6%
61
Population over 64 years of age
9%
15%
32
14%
35
15%
27
* The National-Scale Air Toxics Assessment (NATA) is EPA's ongoing, comprehensive evaluation of air toxics in the United States. EPA developed the NATA to
prioritize air toxics, emission sources, and locations of interest for further study. It is important to remember that NATA provides broad estimates of health risks
over geographic areas of the country, not definitive risks to specific individuals or locations. More information on the NATA analysis can be found
at: https://www.epa.gov/national-air-toxics-assessment.
For additional information, see: www.epa.gov/environmentaljustice
EJSCREEN is a screening tool for pre-decisional use only. It can help identify areas that may warrant additional consideration, analysis, or outreach. It does not
provide a basis for decision-making, but it may help identify potential areas of EJ concern. Users should keep in mind that screening tools are subject to substantial
uncertainty in their demographic and environmental data, particularly when looking at small geographic areas. Important caveats and uncertainties apply to this
screening-level information, so it is essential to understand the limitations on appropriate interpretations and applications of these indicators. Please see
EJSCREEN documentation for discussion of these issues before using reports. This screening tool does not provide data on every environmental impact and
demographic factor that may be relevant to a particular location. EJSCREEN outputs should be supplemented with additional information and local knowledge
before taking any action to address potential EJ concerns.
April 21, 2021 3/3
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Appendix E. Fee Information
Page 49 of 51
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i€ L
UNIT! ! ENVIRONMENTAL PROTECTION AGENCY
RESEARCH TRIANGLE PARK, NC 27711
AIR
•JING
IS
fMAR 2 7 2010
MEMORANDUM
SI BJKO : Pro^i'Lim anJ l-\.v l.\:ilmnion SlialcLiVjiitd (iiikLmce lor -in t11'R Pan 70
Director / /
mjf
TO:
Regional Air Division Directors, Regions 1-10
The attached guidance is being issued in response to the Environmental Protection Agency Office
of Inspector General's (OIG) 2014 report regarding the importance of enhanced EPA oversight of state,
local, and tribal1 fee practices under title V of the Clean Air Act (CAA).2 Specifically, this guidance
reflects the EPA's August 22, 2014, commitment to the OIG in response to the OlG's Recommendations
2 through 8 to "issue a guidance document that sets forth a fee oversight strategy" (we refer to the attached
guidance as the "title V evaluation guidance"). The EPA's response to the OIG's other recommendation
is being issued concurrently in a separate memorandum and guidance concerning the EPA's review of fee
schedules for title V programs ("updated fee schedule guidance").3
The title V evaluation guidance is consistent with EPA principles and best practices for efficient
and effective oversight of state permitting programs4 and applies those principles and best practices to the
specific context of title V program and fee evaluations under part 70 of the CAA. As a result, this guidance
highlights opportunities for communication and collaboration between the EPA and air agencies
throughout the evaluation process. Principles and best practices are discussed in Section 1 of the attached
title V evaluation guidance.
1 As used herein, the term l'air agency" refers to state, local, and tribal agencies.
2 Enhanced EPA Oversight Needed to Address Risks from Declining Clean Air Act Title V Revenues; U.S. EPA Office of the
Inspector General. Report No. I5-P-0006. October 20.2014 ("OIG Report").
•' Updated Guidance on EPA Review of Fee Schedules for Operating Permit Programs Under Title V. Peter Tsirigotis,
Director, Office of Air Quality Planning and Standards (OAQPS), U.S. EPA. to Regional Air Division Directors, Regions 1 -
10, March 27, 2018 ("updated fee schedule guidance"). See the EPA's title V guidance website at https://www.epa.gov/iitle-
v-operating-permits/tille-v-operaling-permit-policy-and-guidance-document-index.
4 See Promoting Environmental Program Health and Integrity: Principles and Best Practices for Oversight of St ate
Perm tiling Programs (August 30, 2016).
Internet Address (URL) « http://www.epa.gov
n»cycl
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Example best practices for conducting part 70 fee or program evaluations described in the
guidance, as well as other existing guidance documents relevant to title V evaluations, include:
Example Best Practices:
•i The frequency and timing of program and fee evaluations are defined in the Office of Air andi
Radiation's National Program Manager Guidance (NPM guidance), which is issued for a 2-yeari
period.3 See Section III of the title V evaluation guidance.i
•i The EPA willipost final evaluation reports on publicly accessible websites established for thisi
purpose. See Section III.D of the title V evaluation guidance.i
mi A best practice for resolving concerns that arise during or after an evaluation is to use collaborativei
approaches, such as face-to-face meetings between the air agency and the EPAiwhen possible, andi
preferably prior to taking formal approaches provided for in the part 70 regulations. See Sectioni
III.Eiofithe title V evaluation guidance.
Other Available Guidance:
•i EPA guidance on the sufficiency of fees and other fee requirements of pail 70 for permittingi
programs, including guidance on certain requirements related to fee demonstrations. See Sectioni
IV of the title V evaluation guidance.i
•i EPA guidance on governmental accounting standards tailored to the part 70 program, including ani
example method for calculating annual fees, costs, and the "presumptive minimum" fee amount;i
types of revenue that may be counted as "fees"; clarification on the definition of "direct costs,"i
"other direct costs." and "indirect costs"; and a review of methods for determining indirect costs.i
See list of EPA guidance on part 70 fee requirements in Attachment B of the title V evaluationi
guidance.i
Finally, the title V evaluation guidance contains several attachments:i
•i Attachment A is a checklist that may be used by the EPA to help plan for a particular program ori
fee evaluation using a step-by-step approach with suggested timeframes for completing each step,i
including a timeframe for the issuance of the final evaluation report.i
•i Attachment B is a list of reference documents and other resources that may be useful as backgroundi
information for reviewing issues that may arise during a program or fee evaluation.i
•i Attachment C provides an example annual financial data reporting form. It may be used as a tooli
to collect information to track an air agency's compliance with certain part 70 fee requirements.i
The form may be used to track information on fee revenue, program costs, and the presumptivei
minimum fee amount for a particular air agency. The example form also includes helpfuli
explanations of common accounting terms referenced in part 70.i
The EPA is also working to increase and improve internal collaboration, communication,i
expertise, and the sharing of infonnation between the EPA staff working on title V evaluations. Fori
example, as a best practice, the EPA plans to establish an internal system to facilitate staff input on and
sharing of evaluation tools and evaluation reports.
5 See Final FY2017 OAR National Program Manager Guidance Addendum, U.S. EPA, Publication Number 440B16001
(May 6, 2016) (NPM guidance) located at https://wmv.epa.gov/sites/production/files/20l6-05/doaiments/fyI7-oar-npm-
guidance-addendimi.pdf.
2
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The development of this guidance included outreach and discussions with stakeholders, including
the EPA Regions, the National Association of Clean Air Agencies, and the Association of Air Pollution
Control Agencies.
1 f you have any questions concerning the title V evaluation guidance, please contact Juan Santiago,
Associate Director, Air Quality Policy Division, Office of Air Quality Planning and Standards, at (919)
541-1084 or Santiago, juan@epa.gor.
Attachments
1. Program and Fee Evaluation Strategy Guidance for 40 CFR Part 70 ("title V evaluation guidance")
2. Attachment A - Evaluation Checklist for 40 CFR Part 70
3. Attachment B - Resources
4. Attachment C - Example Annua! Financial Data Form for 40 CFR Part 70
3
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DISCLAIMER
These documents explain the requirements of the EPA's regulations, describe the EPA's policies, and
recommend procedures for sources and permitting authorities to use to ensure that program evaluations
and fee evaluations are consistent with applicable regulations. These documents are not a rule or
regulation, and the guidance they contain may not apply to a particular situation based upon the
individual facts and circumstances. The guidance does not change or substitute for any law, regulation,
or any other legally binding requirement and is not legally enforceable. The use of non-mandatory
language such as "guidance, " "recommend, " "may, " "should, " and "can, " is intended to describe the
EPA's policies and recommendations. Mandatory terminology such as "must" and "required" is
intended to describe controlling requirements under the terms of the Clean Air Act and the EPA's
regulations, but the documents do not establish legally binding requirements in and of themselves.
4
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Program and Fee Evaluation Strategy Guidance for 40 CFR Part 70
I. Principles and Best Practices for EPA Oversight of Permitting Programs
As part of the EPA's ongoing efforts to strengthen partnerships with state, local, and tribal
agencies (referred to here as, "air agencies'"), in 2016, the EPA established common principles
and best practices for oversight of state permitting programs for air, water, and solid waste. See
Promoting Environmental Program Health and Integrity: Principles and Best Practices for
Oversight of State Permitting Programs, August 30, 2016.' The principles and best practices are
intended to promote efficient and effective oversight that optimizes both collaboration and
accountability in support of program health and integrity.
The title V evaluation guidance aligns with these principles and best practices and will consider
them in title V evaluations of local and tribal air permitting programs as well as state programs.
For example, this guidance provides for air agency evaluations that will be accomplished through
clear, accurate, and up-to-date guidance, including guidance on evaluations and fee requirements
for air agencies; routine review of air agency programs to identify and implement program
improvements; requirements for yearly program evaluations on timeframes established in the
Office of Air and Radiation's National Program Manager Guidance (NPM guidance);2 the use of
tools, including checklists, for planning and tracking the timely completion of evaluations;
opportunities for collaboration between the EPA and air agencies throughout the evaluation
process; and electronic posting of final evaluation reports.
II. Summary of Title V Requirements for Air Agencies
A. Ceneral Program Requirements
Title V of the Clean Air Act (CAA or Act) of 1990 establishes an operating permit program for
major sources of air pollutants, as well as some other sources.3 The EPA promulgated regulations
under 40 CFR part 70 (part 70), consistent with title V of the Act, to establish the minimum
elements for operating permit programs to be administered by permitting authorities.
Air agencies with approved permit programs under part 70 must comply with minimum permit
program requirements, such as reviewing application forms, adhering to certain permit
processing procedures (including timeframes), ensuring certain permit content, collecting fees
sufficient to fund the program, providing for public participation and EPA review of individual
1 The report is located at https://yvww.epa.gov/sites/productiort/files/2016-
IO/documents/principles_and_best_practices Jbr_oversight of state perm itting_programs. pi!)¦
2 The latest NPM guidance is for FY 2018 and FY 2019: Final FY2018 - 2019 OAR National Program Manager
Guidance, U.S. EPA, Publication Number 440P17002 (September 29.2017) (NPM guidance) located at
https://Mnnv.epa.gov/sites/production/files/20/ 7-09/documentsffy / 8- / 9-oar-npm-guidance.pdf. The most recent
NPM guidance should be consulted for specific program requirements and timeframes.
3 See CAA §§ 501-507; 42 U.S.C. §§ 7661-766If.
-------
permits, and supplementing permits with compliance provisions (when needed), among other
requirements.4
B. Summary of Title V Fee Requirements
The EPA is issuing a separate memorandum and updated fee schedule guidance on the activities
that constitute title V permit program costs and must, therefore, be funded by permit fees. The
requirements for air agency fee programs are further discussed in Section 1 of the updated fee
schedule guidance.3 This title V evaluation guidance identifies best practices and guidance on
EPA oversight of air agency fee programs, particularly through program and fee evaluations.
Attachment B of the title V evaluation guidance provides a list of all previously issued EPA
guidance on part 70 fee requirements. The following is a summary of the fee requirements that
will guide the EPA reviews of air agency programs:6
• Permit fees must be paid by "part 70 sources,"7 and the permit fees must cover all
"reasonable (direct and indirect) costs" of the permit program.8 If the permit fees at least
cover the total permit program costs, the fees are deemed to be sufficient.
• Permit fees paid by "part 70 sources" are "exchange revenue" or "earned revenue" in
governmental accounting terminology because a good or service (e.g., a permit) is
exchanged by a governmental entity for a price (e.g., a permit fee).9 Only revenue
classified as "exchange revenue" should be compared to costs to determine the overall
financial results of operations for a period.i° This means that no legislative
appropriations, taxes, grants," fines and penalties, which are generally characterized as
4 See 40 CFR §§ 70.1(a) and 70.4.
5 Updated Guidance on EPA Rex'iew of Fee Schedules for Operating Permit Programs Under Title V, Peter
Tsirigotis, Director. OAQPS, to Regional Air Division Directors, Regions 1-10, March 27, 2018 (updated fee
schedule guidance).
h See the updated fee schedule guidance at Section I. General Principles for Review of Title V Fee Schedules.
7 The term "part 70 sources" is defined in 40 CFR §t70.2 to mean "any source subject to the permitting requirements
of this part, as provided in 40 CFR §§ 70.3(a) and 70.3(b) of this part."
8 See CAA section 502(b)(3)(A); 40 CFR § 70.9(a).
9 See Statement of Recommended Accounting Standards Number 7, Accounting for Revenue and Other Financing
Sources and Concepts for Reconciling Budgetary and Financial Accounting, issued by the Federal Accounting
Standards Advisory Board (FASAB) ("FASAB No. 7") at page 2 and see Statement No. 33, Accounting and
Financial Reportingfar Nonexchange Transactions (December 1998), issued by the Governmental Accounting
Standards Board (GASB) at pages 1-4.
10 See FASAB No. 7 at page 8. For example, see Governmental Accounting Standards Series, Statement No. 33,
Accounting and Financial Reporting for Nonexchange Transactions (December 1998), issued by GASB, and
Statement of Recommended Accounting Standards Number 7, Accounting for Revenue and Other Financing
Sources and Concepts for Reconciling Budgetary and Financial Accounting, issued by FASAB.
" Since part 70 fees are "program income" under 40 CFR § 31.25(a), part 70 fees cannot be used as match for
section 105 grants, and no state may count the same activity for both grant and part 70 fee purposes. See an
October 22, 1993, memo (and several other memos) on this subject, listed in Attachment B of this document.
2
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"non-exchange revenue,"!2 should be compared to program costs to determine if permit
fees are sufficient to cover costs.
•i Any fee required by part 70 must "be used solely for permit program costs"—in otheri
words, required permit fees may not be diverted for non-part 70 purposes.1314 Nothing ini
part 70 restricts air agencies from collecting additional fees beyond the minimum amounti
needed to cover part 70 program cost; however, all fees (including surplus) must be usedi
for part 70 purposes.i
•i During permit program implementation, the EPA may require "periodic updates" of thei
"initial accounting" portion of the "fee demonstration" to show whether fee revenuei
required by part 70 is used solely to cover the costs of the permit program.15
•i During program implementation, theiEFA may also require a "detailed accounting" toi
show that the fee schedule is adequate to cover costs when an air agency changes its feei
schedule to collect less than the "presumptive minimum"16 or if the EPA determines,i
based on comments rebutting a presumption of fee sufficiency or on the EPA'siowni
initiative, that there are serious questions regarding whether the fee schedule is sufficienti
to cover the permit program costs.17
12 "Nonexchange revenue" arises primarily from the exercise of governmental power to demand payment from the
public (e.g., income tax, sales tax, property taxes, fines, and penalties) and when a government gives value directly
without directly receiving equal value in return (e.g., legislative appropriations and intergovernmental grants).
13 Part 70 purposes are all activities in a permit program that must be funded by part 70 fees. As the EPA has
previously explained in the EPA's November 1993 memo, Title V Fee Demonstration and Additional Fee
Demonstration Guidance ("fee demonstration guidance"), the types of activities included in a permit program to be
funded by permit fees, and the costs of those activities will differ depending on many factors associated with the
particular permitting authority. These include the number and complexity of sources within the area covered by the
program; how often the permitting authority reviews permits (e.g., some permitting authorities may renew permits
every year instead of every 5 years); the universe of sources covered (i.e., some permitting authorities may not opt to
def er permitting for non-major sources); the experience of the permitting authority with permitting (e.g., agencies
with permitting experience may not need as extensive training programs as those with no operating permit
experience); and many other factors. Each permitting authority will have to determine its own permitting effort and
what activities are directly or indirectly concerned with operating permits.
14 See 40 CFR § 70.9(a).
15 See fee demonstration requirements at 40 CFR §§ 70.9(c) and 70.9(d) and see the EPA's November 1993 memo,
Title V Fee Demonstration and Additional Fee Demonstration Guidance ("fee demonstration guidance'"), on
preparing fee demonstrations for the initial part 70 program submittal.
16 A fee schedule that would result in fees above the "presumptive minimum" is considered to be "presumptively
adequate." The "presumptive minimum" is generally defined to be "an amount not less than $25 per year [adjusted
for increases in the Consumer Price Index] times the total tons of the actual emissions of each "regulated air
pollutant (for presumptive fee calculation)" emitted from part 70 sources." Note that the calculation of the
"presumptive minimum" also excludes certain emissions and adds a "GHG cost adjustment." See 40 CFR
70.9(b)(2)(i) through (v).
17 See 40 CFR § 70.9(b)(5) and Section 2.0 of the fee demonstration guidance for an example "detailed accounting."
The scope and content o fa "detailed accounting" may vary but will generally involve information on program fees
and costs and accounting procedures and practices that will show how the air agency's fee schedule will be
sufficient to cover ail program costs.
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Ill.i Best Practices for EPA Evaluation of Part 70 Programsi
This section includes an overview of title V program and fee evaluations and describes the
EPA's recommended best practices for conducting program and fee evaluations. This includes a
general process and recommended steps for conducting such evaluations, including a timeframe
for completion of final evaluation reports. This section also includes recommendations for
activities that may occur after a final evaluation report is issued, including for resolution of
concerns raised during an evaluation process, and for public posting of final evaluation reports.
A.i Overview of Part 70 Program and Fee Evaluations!
In its oversight capacity, the EPA periodically evaluates part 70 programs to ensure that they are
being implemented and enforced inaiccordance with the requirements of title V and part 70.
Program and fee evaluations help the EPA pinpoint areas for program improvement, determine if
previously suggested areas of improvement have been addressed by the air agency, and identify
best practices that can be shared with other air agencies and the EPA Regions to promote
program health and integrity.
The frequency and timeframes for conducting part 70 evaluations are documented in the NPM
18
guidance.aTherftequency and timeframe for a specific evaluation should be consistent with the
NPM guidance for the period in which the evaluation occurs.19 The current NPM guidance
requires each EPA Region to complete one part 70 evaluation each year. This means that final
evaluation reports should be issued within a 1 -year timeframe.20 It may be possible for the EPA
to complete some evaluations on a shorter timeframe than specified by the NPM guidance when
the scope of an air agency evaluation is tailored to some element of the program, based on
previous performance, as evidenced by previous evaluations. Looking for these opportunities and
completing evaluation reports in less than a year is encouraged as a best practice.
Program evaluations can be conducted on any particular element or elements of the part 70
program, including the complete program, or the air agency's implementation (including fee
reviews), enforcement, and legal authority for the program.
As a best practice, the EPA Regions should reviewqprevious evaluation results that may help
inform and tailor the appropriate scope of an upcoming evaluation and may give particular focus
to issues that have previously been identified as problematic. In addition, the EPA Regions
should be aware of any recent statutory or regulatory changes (including to federal or state rules)
and may want to focus part of the evaluation on these newer implementation areas.
18 The final FY 2018 - 2019 NPM guidance includes a goal for the EPA Regions to perforin an evaluation for at
least one permitting authority for each EPA Region per year. The Regional goals in the guidance are reviewed
periodically and may change in the future.
19 The NPM guidance is currently revised on a 2-year cycle. The current guidance is effective for fiscal years 2018
and 2019.
20 The EPA notes that program or fee evaluations are not currently required to begin on the first day of the fiscal
year; thus, an evaluation may start during one fiscal year and end during the next fiscal year.
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To ensure that permitting authorities have adequate resources to implement their part 70
programs, another best practice is to conduct a fee evaluation as part of the overall program
evaluation. The content and scope of a fee evaluation may be specific to the air agency being
evaluated, but frequent topics include those identified in Sections 11.B and IV of this title V
evaluation guidance.
B. Preparing for Title V Evaluations
Developing an evaluation checklist and an evaluation questionnaire can help expedite the
program review process and is considered a best practice for the EPA Regions in preparing for a
part 70 program evaluation. An example evaluation checklist, to plan for and track the progress
of a particular evaluation, is provided in Attachment A. An evaluation checklist provides a
framework of specific topics to be evaluated and recommended steps leading to issuance of a
final evaluation report, including a timeline based on the 1-year timeframe of the current NPM
guidance. Note that the timeframes for the individual steps in the example checklist are flexible,
provided the I-year overall timeframe is met. Another recommended best practice is to share the
checklist with the air agency prior to the actual evaluation to assist them in preparing for the
evaluation.
An evaluation questionnaire is another tool that the EPA Regions may prepare in advance of an
evaluation. Typically, an evaluation questionnaire is a compilation of specific questions intended
to gather information and data from an air agency to assist the EPA in its evaluation of a
particular part 70 program. As a best practice, the EPA Regions should share draft questionnaires
with other EPA Regions or Headquarters offices to seek input and share "lessons learned" prior
to transmitting to the air agency. Collaboration can enhance national consistency and help the
Regional office learn from the experiences of other Headquarters offices.
C. Information and Data Gathering Phase
An important initial step of any program or fee evaluation is gathering information about current
program implementation. Typically, an evaluation formally begins when the EPA Region sends a
letter to the air agency informing the agency of the EPA's intent to conduct an evaluation, with a
request for specific information and data needed to conduct the evaluation. Usually such a letter
will be preceded by an informal call or email to provide the air agency with notice of the
evaluation. The letter should specify the scope of the evaluation and a timeline for when a
response from the air agency is expected. As a best practice, if the EPA Region intends to use an
evaluation questionnaire, that questionnaire should be included with the letter.
The next recommended step is for the air agency to respond in writing to the EPA's questions
and provide the information or data that was requested. The length of time to complete this step
is dependent on the scope of the evaluation and the air agency's data collection systems. If the air
agency foresees an issue with providing the information requested in a timely manner, it should
reach out to the EPA Region to discuss steps to address the issue and reach consensus on a
revised timeline.
If resources allow, the EPA Region should, as a best practice, conduct an in-person meeting with
the air agency shortly after sending the letter (and questionnaire if one is to be used) to answer
5
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preliminary questions on timing and scope. In addition, the EPA Region and the air agency could
hold a follow-up meeting to discuss the air agency's draft response. In preparing for these
meetings, the EPA staff should make every effort to gather as much relevant information as
possible before meeting with the air agency in order to make the best use of time.
In addition to the evaluation questionnaire, another method for collecting information or data for
an evaluation includes file and permit reviews. File reviews may also be used by the EPA to
evaluate the effective implementation of certain program responsibilities (e.g., to quality assure
fee collection procedures). The EPA may use a permit review (reviewing a sample of issued
permits) to evaluate whether the air agency is satisfying permit-content requirements and permit-
issuance procedures in practice.21
D. Evaluation Report Phase
The EPA staff should document each title V evaluation in an evaluation report. The report may
describe concerns identified during the evaluation and, if any concerns are identified, may
include recommended corrective actions with intended timeframes for resolution. The EPA may
also ask the air agency to provide an explanation of how it will resolve these concerns and an
estimate of the timeframe needed for the air agency to complete its work.
The EPA staff drafting the evaluation report should consult with Regional management or
Headquarters offices as needed, particularly if the report addresses nationally significant issues.
Once completed, the draft evaluation report's findings and recommendations, including those
addressing novel or controversial issues, should be shared with EPA management and other
offices.
As a best practice, the EPA should provide the draft report to the air agency with an option to
provide comments back to the EPA. During this time, the EPA and the air agency may also
choose to have further discussions of the draft report findings. If further discussion occurs,
additional time may be necessary to complete the final report and corrective action plan.
After attaching any air agency comments to the report and revising the report to incorporate
input from EPA management and the air agency being evaluated, the final report should be
signed by the relevant EPA air program manager or other designated EPA official. The final
report should then be transmitted to the air agency and an electronic copy should be posted on a
publicly accessible website maintained by the EPA (the Regional websites are linked to the
national webpage for the part 70 program).22 As a best practice, any supporting information
related to the evaluation should be posted on the EPA website with the final report, including the
air agency's response to the questionnaire, relevant communications, and other supporting data.
Approaches used to address novel or controversial issues should be summarized and shared for
potential use in future reviews.
21 See 40 CFR §§ 70.6 and 70.7.
22 See hitps:/fwww.epagov/title-v~operating-permits/epa-oversight-operating-permits-program.
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E. Post-Report Activities
Activities that occur after the EPA transmits the final evaluation report are not included in the 1 -
year timeframe for completing the evaluation process pursuant to the NPM guidance. Subsequent
activities will proceed on a separate track under different timeframes.
The EPA may provide an opportunity for the air agency to respond in writing to the final
evaluation report, particularly in cases where the EPA identified concerns but a corrective action
plan was not agreed upon during the preparation of the final report. This step is not necessarily
part of the evaluation process and may proceed on a separate track. The EPA would not expect
such responses to necessarily be part of the final report, particularly in cases where the responses
occur after the final report has been transmitted to the air agency. However, these post-report
responses may be included as supporting information on the website, along with the final report.
The EPA encourages its staff to, where possible, conduct in-person meetings with their air
agency counterparts in order to best facilitate resolution of any issues identified in the report.
Depending on the complexity of the issue, such face-to-face meetings may be facilitated by the
involvement of a third-party negotiator or other EPA offices (e.g., the Office of the Chief
Financial Officer) as appropriate. Such meetings may prove useful to resolve straight forward
issues that can be expeditiously resolved (e.g., permit administration or implementation issues
that do not require regulator}' changes), as well as to discuss long-term plans for resolving more
complex issues (e.g., where resolution may involve changes to statutory authority, regulatory
changes, or a multi-step process that may take multiple years to complete). In cases where initial
discussions between the EPA and air agency staff do not result in a plan to resolve issues, a best
practice is to elevate the issue to the management level (e.g., EPA and air agency management).
Finally, if the issue resolution process described above fails to resolve the issues identified
during a program or fee evaluation, the EPA has the authority to consider whether an official
EPA finding of a program deficiency is warranted.23 The decision to make such a finding should
be coordinated with EPA management at the Regional and Headquarter level. Section 502(i) of
the Act provides that whenever the EPA Administrator determines that an air agency is not
adequately administering or enforcing a title V program, or any portion of a title V program, the
EPA shall provide notice to the air agency and may take certain measures intended to incentivize
compliance. In practice, the EPA refers to the determination as a "finding," the inadequate
administration or implementation as a "deficiency," and the notice as a "Notice of Deficiency"
(NOD).24 The EPA will use its bestjudgment to decide when a finding of a program deficiency
is warranted; whenever such a finding is made, the EPA will issue an NOD and follow the
requirements that flow from that finding.
25 See 40 CFR §§ 70.10(b) and 70.4(i)(l).
24 NODs are published in the Federal Register.
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IV. Assessment of Fee Sufficiency and Other Fee Requirements
This section discusses the requirement for part 70 permit fees to be sufficient to cover program
costs, including requirements for updates to certain elements of part 70 fee demonstrations,
including for "periodic updates" to the "initial accounting" and for a "detailed accounting" in
certain circumstances. This section also discusses Attachment C, which is an example annual
financial data reporting form that may be used to report fee revenue, program costs, and to
calculate the "presumptive minimum" for an air agency for a particular year.
Fee sufficiencv.aThe part 70 rule uses the term "sufficient" in relation to fees and costs.23 Since
the question of whether fees are sufficient is a key concern that may be considered by the EPA as
part of a program or fee evaluation, further explanation may be helpful:
• Section 502(b)(3)(A) of the Act requires permit programs to fund all "reasonable (direct
and indirect) costs" of the permit programs through permit fees collected from sources.
Similarly, part 70 requires the fees to be paid by "part 70 sources."26 requires the fees to
be sufficient to cover all reasonable permit program costs, and requires the fees to be
used "solely" for permit program costs.27
• The costs against which fees are compared must include, at a minimum, certain activities
required by the part 70 rules28 and all "reasonable (direct and indirect) costs."29
Additional discussion on the revenue and costs that should be used in this comparison is
provided in the separate updated fee schedule guidance as well as Section II.B of this title
V evaluation guidance.
• If concerns regarding fee sufficiency are raised by the EPA, the EPA will typically follow
the issue resolution procedures discussed in Section lll.E of this title V evaluation
guidance.
Initial fee demonstration. As part of the initial part 70 program submittal to the EPA, air agencies
are required to provide a "fee demonstration" to show that the fee schedules selected by the air
agencies would result in the collection and retention of fees in an amount sufficient to meet the
fee requirements of part 70.30 The contents of the "fee demonstration" vary depending on the
status of the air agency with respect to the "presumptive minimum":
25 See 40 CFR §§ 70.9(a), (b) and (c).
26 The term "part 70 sources" is defined in 40 CFR § 70.2 to mean "any source subject to the permitting
requirements of this part, as provided in 40 CFR §§ 70.3(a) and 70.3(b) of this part." Thus, a source is a part 70
source prior to obtaining a part 70 permit if the source is subject to permitting under the applicability provisions of
40 CFR § 70.3.
27 See 40 CFR § 70.9(a).
28 See 40 CFR § 70.9(b)(1).
29 CAA section 502(b)(3)(A).
50 See the fee demonstration requirements at 40 CFR §§ 70.9(c) and 70.9(d) and the EPA's November 1993 memo,
Title V Fee Demonstration and Additional Fee Demonstration Guidance ("fee demonstration guidance"), on
preparing fee demonstrations for the initial part 70 program submittal. See 40 CFR § 70.9(c), (d).
8
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• Air agencies with fee schedules that would result in fees abovedhe "presumptive
minimum" are required to submit a "presumptive minimum program cost" demonstration
showing that the expected fee revenue would in fact be above the "presumptive
minimum"31 and also provide an "initial accounting"32 to show that fees would be used
solely to cover part 70 program costs.
• Air agencies with fee schedules that would result in fees below the "presumptive
minimum" are required to submit a "detailed accounting"33 showing that the expected fee
revenue would still be sufficient to cover part 70 program costs and an "initial
accounting"34 to show that the required fees would be used solely to cover part 70
program costs.
Also, as part of the initial program submittal, part 70 requires the submittal of several additional
elements with respect to program costs.33
Detailed accounting. After program approval, a "detailed accounting" that permit fees are
collected and retained in an amount sufficient to cover all reasonable direct and indirect costs is
required in the following two circumstances:56
• When an air agency sets a fee schedule that would result in an amount less than the
"presumptive minimum,"37 or
• When the EPA determines—based on comments rebutting the presumption or its own
initiative—that there are serious questions regarding whether the fee schedule is
sufficient to cover costs.
A "detailed accounting" for an approved part 70 program would be based on data on fee revenue
and program costs. The level of detail required in the "detailed accounting" remains at the
discretion of the EPA and will depend on circumstance-specific factors related to the air agency
being evaluated.38
Periodic updates.aAf'ter program approval, the EPA may require "periodic updates"39 to the
"initial accounting" element of the fee demonstration to confirm that required fees are being used
solely to cover part 70 costs. A "periodic update" for an approved part 70 program is based on
31 This fee demonstration is referred to as the "presumptive minimum program cost" demonstration in Sections 1.1
and 3.2 of the EPA's November 1, 1993, memo. Title V Fee Demonstration and Additional Fee Demonstration
Guidance ("fee demonstration guidance").
32 See 40 CFR § 70.9(d).
33 See 40 CFR § 70.9(b)(5) and an example "detailed accounting" in Section 2.0 of the fee demonstration guidance.
34 See40 CFR § 70.9(d).
35 See, e.g., 40 CFR § 70.4(b)(8)(v).
36 See the "detailed accounting" requirements at 40 CFR § 70.9(b)(5)(l).
37 The calculation of the "presumptive minimum" is provided in 40 CFR §§ 70.9(b)(2)(i) through (v).
31 See the fee demonstration guidance. Section 2.0, for an example "detailed accounting."
39 See the "periodic update" provision at 40 CFR § 70.9(d).
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records showing that required fee revenue is actually being retained and used to cover the
reasonable direct and indirect costs of the part 70 program.
Example annual financial reporting form.a\ttachment C of this title V evaluation guidance is an
example annual financial reporting form for part 70. This tool may be used to help track the
collection of fee revenue, program costs, and the presumptive minimum fee amount for a
particular air agency. Attachment C also includes helpful explanations of common accounting
terms used for part 70 purposes. This example annual financial reporting form represents one
way to collect the information previously described and is not required by part 70 for any
particular oversight activity.
V.i Identification of Financial and Accounting Expertise for Fee Reviewsi
TheaOIG Report requested thatathe EPA explain how to leverage financial or accounting
expertise toaassist with fee evaluations. Historically, the EPA staff with scientific, engineering, or
similar technical degrees or experience are tasked with air agency program and fee evaluations.
A recommended best practice is to seek the assistance of existing EPA staff with governmental
accounting, financial, or economics expertise, who work outside of the part 70 program (e.g.,
staff involved in grants administration or in determining the economic penalty of noncompliance
for civil penalty assessment) to assist with fee evaluations as needed. One way for the EPA to
seek internal assistance for fee evaluations would be to offer a formal detail opportunity
(a temporary reassignment for a set period of time) for a financial or accounting professional to
work on part 70 evaluations. Another way to seek internal EPA assistance would be to use the
EPA's Skills Marketplace.40
EPA staff without financial or accounting expertise who want to become familiar with state,
local, or tribal financial and accounting standards and practices may consider reviewing
governmental accounting guidance issued by the national accounting standards board (e.g., the
Governmental Accounting Standards Board (GASB)) and financial or audit reports generated by
the air agency. Financial oraaccounting audit reports generated by the air agency may also
provide useful data, address emerging issues with the part 70 program, or confirm that known fee
issues are being addressed.
Financial or accounting guidance.aThe primary focus of part 70 fee evaluations is to review
whether the air agency's fee program is being implemented consistent with part 70 requirements
(see Section II of this guidance. Summary of Title V Requirements for Air Agencies). The focus
of fee evaluations under part 70 is different from the focus of typical financial or accounting
"audits" (as that term is used in the accounting profession).41 Attachment B of this guidance
40 The Skills Marketplace is a component of the EPA's recently launched Talent Hub Portal SharePoint site located
at: https://usepa. sharepoint.com/sites/OA_Applicatiom/TalentHub/smpfSitePages/Home.aspx.
41 In the accounting profession, the primary purpose of an audit is to verify that financial statements of governmental
or private entities are consistent with specific accounting criteria.
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includes several examples of governmental accounting or financial guidance and other resources
that may be useful for technical staff to build expertise in these areas.
Financial or accounting audit reports generated bv air agencies. Audit reports or financial reports
prepared by air agencies for their own accounting, budgeting, or oversight purposes may include
useful background information for fee evaluations, including caseload statistics, historical
funding patterns, funding sources, and identification of program performance issues. The GASB
requires air agencies to prepare annual financial reports to determine compliance with their
budgetary requirements or finance-related requirements. Most air agencies follow these
requirements through review of financial reports by an auditor, with preparation of the reports by
the air agency budget office, legislature, or by the department itself. Most air agencies also
require local programs to be audited for submittal to the state auditor. These financial audits are
typically conducted at the departmental level, but part 70 data may be available upon request.
Such reports are not required by the EPA, but, if available and timely, they may provide useful
information for program or fee evaluations.
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ATTACHMENT A
Evaluation Checklist for 40 CFR Part 70
Regardless of the type of evaluation being conducted (program, fee, or combination of the two),
the EPA describes the evaluation process as consisting of two phases: 1) Information and Data
Gathering Phase and 2) Evaluation Report Phase, each of which is composed of several
recommended steps. The requirement of the EPA's national program manager guidance ("NPM
guidance) for fiscal years 2018 and 2019 is for part 70 evaluations to be completed within 1
year.1 The checklists in Tables 1 and 2 describe the phases, recommended steps, and timeframesa
for each phase and step, leading to completion of the evaluation process within the I -year
timeframe.
The EPA Regions may revise this checklist to meet their needs. For example, the column for
recommended duration could be replaced with expected dates for completion of each step for
planning purposes, and steps that do not apply for a specific evaluation could be deleted. The
column for comments could be used to document reasons why expected timeframes were not met
or other relevant information concerning implementation of a step.
Information and Data Gathering Phase
An EPA letter requesting certain information from the air agency, and the air agency's response
is the first phase of the evaluation process. The recommended best practice for this phase is that
it takes no longer than 160 days. Recommended steps and durations for the steps are listed in
Table 1.
Evaluation Report Phase
Drafting and finalization of the evaluation report is the second phase of the evaluation process.
The recommended timeframe for this phase is 205 days. Specific steps and a recommended
duration for each step are listed in Table 2.
1 Final FY 2018 - 2019 OAR National Program Manager Guidance, U.S. EPA. Publication Number 440PI7002
(September 29. 2017) (NPM guidance) located at https;//www.epa.gov/sites/produtiion/fties/'20}7-
09 fd ocuments/Jy 18-!9-oar-npm-g«i dance.pdf-
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Table 1: Information and Data Gathering Phase Checklist
(It is recommended that this phase take no more than 160 days.)
Description
The Region drafts
a checklist and
sends an
information
request letter to the
state, local or tribal
agency ("air
agency").
Air agency
responds to
questions in
writing.
Recommended
Duration
No longer than
40 days.
Checklist
~aStart drafting letter
and checklists
/ /
riaLetter transmitted:a
/ /
Comments
~»\ir agency response
received:a
/ /
No longer than
120 days.+
This phase
should be
completed
within 80 days
of project
initiation.
+ The scope of the evaluation and sophistication of the data collection systems employed by the
air agency will inform the time needed for this step.
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Table 2: Program and/tor Fee Evaluation Report Phase Checklist
(It is recommended that this phase take no more than 205 days.)
Description
Recommended
Duration
Checklist
Comments
The Region reviews
No longer than
~(Regional review ofi
the air agency
60 days.
air agency responsei
response and drafts
~iConsultation withi
evaluation report.
HQ (as needed)i
EPA HQ
consultation as
Date step completed:
needed.
/ /
The EPA and the
No longer than
oiEPA & air agencyi
air agency meet to
30 days after
meeting to discussi
discuss results
draft report
results:
(optional).
available.
/ /
EPA Regional
No longer than
oiEPA management!
management
50 days.tf
briefmg:i
briefed on draft
/ /
report; copy
provided to air
oiDraft report sent fori
agency for
comment:!
comment (optional).
/ /
Air agency
No more than 30
~iAir agency responsei
responds to draft
days.
received :i
report with
/ /
comments
(optional).
The EPA releases
No more than 35
~iFinal evaluation!
final version of
days/
report released:i
evaluation report.
/ /
n Iftan air agency will not be providing comments on the report, the EPA Region could issue the final report by the
end of this step or 140 days.
~ Some air agencies may request that the EPA also release the air agency's response with the release of the final
evaluation report. The EPA recommends that Regions include such responses in their final reports, when
practicable.
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ATTACHMENT B
Resources
This is a list of resources where users can find additional information related to the requirements
and issues discussed in this document.
Part 70 Monitoring Requirements
•a Source Monitoring Guidances
oa Monitoring Knowledge Base: http://cfpub.epa.gov/oarweb/mkb/.
oa Compliance Assurance Monitoring: http://mvw3.epa.gov/itn/ahv/cam/ricam.htmlj
oa Emissions Measurement Center: http://www3.epa.gov/itn/emc/.
•a Preconstruction Review:a
oa For EPA resources concerning preconstruction review permitting, seei
hi t'p:Wwww2. epa.gov/nsr.
oa For EPA guidance memos on preconstruction review, seel
hltpsfJwww.epa.gov/nsr/new-source-rexnew-po!icy-and-guidance-documenl-index.
EPA Responses to Part 70 Petitions (EPA Orders)
•a SeeiEPA responses and petitions at
htlps://w\%>w.epa.gov>/iille-v-operaling-permils/iille-v-petilion-dalabase.
Greenhouse Gas Permitting Requirements
•a October 23, 2015a- Standards of Performance for Greenhouse Gas Emissions From New,a
Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units, Finala
Rule: https://www.gpo.gov/fdsys/pkg/FR-2015-IO-23/pdf/20 l5-22837.pdf.
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Guidance oil Government Accounting Standards
•a Handbook of Federal Accounting Standards and Other Pronouncements, as Amended, asa
of June 30, 2015, Federal Accounting Standards Advisory Board (FASAB Handbook):
http://wmv.fasab.gov/pdffiles/2015 Jasab Jtandbook.pdf:\
oa Statement of Federal Financial Accounting Standards 4: Managerial Costi
Accounting Standards and Concepts, page 396 of the FASAB Handbook (Junea
2015) ("SFFAS No. 4").a
oa Statement of Federal Financial Accounting Standards 7: Accounting for Revenuei
andiOther Financial Sources and Concepts for Reconciling Budgetary andl
Financial Accounting, page 592 of the FASAB Handbook (June 2015) ("SFFASa
No. 7").
•a Statements of the Governmental Accounting Standards Board (GASB Statements):a
http://www.gasb.org/cs/ContentServer?c=Page&pagename=GASB%2FPage%2FGASBSi
ectionPage&cid-1176160042391 \
o Statement No. 33, Accounting and Financial Reporting for Nonexchangei
Transactions (December 1998) ("GASB Statement No. 33"):a
http://wwwgasb.org/jsp/GASB/Document _C/GASBDocumentPage?cid= I 1 ?6l60i
029148&acceptedDisclaimer=true.i
c Statement No. 34, Basic Financial Statements - and Management's Discussioni
and Analysis - for State and Local Governments (June 1999) ("GASB Statementa
No. 34"):
http://www.gasb.org/jsp/GASB/Document C/GASBDocumentPage?cid-11761601
029121 &acceptedDisclaimer—true.[
•a Examples of air agency financial or performance audit reports:
•
oa Accountability, New York State Department of Environmental Conservation,i
Report of Title V Operating Permit Program Revenues, Expenses and Changes in i
Fund Balance for the Two Fiscal Years Ended March 31. 2009, Report Numbera
2010-S-61. Accessed January 19, 2017. at:a
www.osc.state.ny. us/aitd its/allaudits/093011/10s6l.pdf
oa State of Washington, Department of Ecology, Air Operating Permit Prog rami
Report Fiscal Year 2014. Publication Number 15-02-008. Accessed January 19,a
2017, at www.fortress.wa.gov/ecy/publications/documents/I502008.pdfi
oa State of North Carolina, Division of Air Quality, Department of Environment and
Natural Resources, Title V Air Quality Permit Program Accountability Report,i
November 2009. Accessed January 19, 2017, at:
www.ncleg.ne(/documen(si(es/commi((ees/ERC/ERC%20Repor(s%20 Received/20
09/Dept%20oJ%20Environment%20and%20Natural%20 Resources/2009- Nov%[
20-%20Tit!e£/o20V%20Ai r%20Ouali ty%20 Permi t%20 Program .pdf.
2
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List of EPA Guidance on Part 70 Fee Requirements
•a Januaryal992a- GuidelinesiforilmplementationiofiSection 507bftheiCleaniAiriActi
Amendments- Finali Guid e/wes,i U. S. £P A, £) ffi c e ao f AirEQualityflanningaandtStandardsa
(OAQPS),iJ.S.aEPA.aSeeipages 5 andal 1 -12 concerning fee flexibility for smallabusinessa
stationary asources:
httpyiAvww.epa.gov/site/production/files/20I5-08/documents/smbus.pdfi
•a Julya7,al993a- Questions and Answers on the Requirements ofiOperating Permit Programi
Regulations,iU.S.dBPA.aSeeiSection 9 at page 9-1: a
http://www.epa.gov/sites/production/Jiles/2015-08/documents/bbrd qaI pdf. i
•a August 4,a) 993a- ReissuanceiqfiGuidanceioniAgencyiReviewiqfiState Fee Schedulesifori
OperatingiPermitiProgramsiUnden Tit lei Vj John.£S.£Seitz,£Director,aOAQPS,dJ.S.dEPAaioa
Airi)ivisioni)irectors,dlegionsd-X4"1993afeeascheduleqguidance").dMote£thatahereavasa
anaearlieralocumentaDnahisasubjectahatavasasupersededi)yahisadocument:
http://www3.epa.gov/itn/naaqs/aqmguideicollection/i5/fees.pdfA
•a August^ ,a!9 93a- Acid Rain-T it lei V Guidance on Fees and I ncorporation by Reference,i
Br8anaf.£McLean,£Director,a\ciddlaind3ivision,£Lf.S.aEPAatoa\ir, aPesticides, mndafoxicsa
Divisioni)irectors,ato£Regionsd, !V,andaVl,aAirandaWastedv!anagement,aDivisiona
Director,£RegionaH,aAirandaToxicsd3ivision£)irectors,dlegions£ilLaVll,aVllS,dX,fflnd^C
and Air andaRadiationaDivision Director,dRegionaV:
http://www.epa.gov/sites-/production/jiles-/2015-08/documents/combo809.pdfi
•a Septemben23,al993 - Matrix ofiTitlei V-Related and Air Grant-Eligible Activities,i
OAQPS,dJ.S.dZPA,aTheariatrixaiotes;lhatatasao bed'readaindajsedan concert&vithahea
Augusta!, 1993d"eeatschedule]aguidance'X"inatrixqguidance"):
hup: //www. epa.gov/'sites/production/files/2015-08/documents/matrix.pdf
•a October 22, 1993a- Use of Clean Air Act Titlei V Permit Fees as Match for Sectioni/05i
Grants, GeralddVI aYarnada,a<\cting£jeneral Council,iJ.S.aEPA toaMichaelaH.aShapiro,
Acting Administrator, Office of Air and Radiation, U.S.aEPA:a
http://yosemite.epa.gov/oa/eab_web_docket.nsf/fdings%20by%20appeal%20numbei-/95 7a
cb8b03e0ccqf0852574b0005aa688/Sfile/addit ional%20filing%20%20no.il %20... 22.pdf.i
•a Novembenfil, 1993 - T it lei V Fee Demonstration and Additional Fee Demonstrationi
Guidance.i John;£ ifieitz,aDirector,aOAQPS. U.S. EPA todDirector.aAir. Pesticides anda
ToxicsdvlanagementdDivision.aRegionsal andalV,dDirector,aA.iramdaWastedVlanagement
Division,aRegionaiI,Director.aAir.aRadiationaindaToxicsaDivision.aRegiondlI,£Director,a^ir
anddRadiationiDivision,dlegionaV.£Director.a^ir,£Pesticidesaindaroxics£Division.dRegion
Vl,aDirector,a^iramdaroxicsaDivision,aRegionsaVlI,aVllI.dX,aind£X ("feeademonstration
guidance"):
http:/Avww3. epa.gov/itn/naaqs/aqmguideicol!ection/t5/feedemon.pdf
3
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•a Julya21, 1994a- TransitionrtorFundingrPor lions of State andrLocal AirrProgramsnvithn
PermitrFeesrRalhenthan Federa/^ra/?/.9,«Mary£).aNichols,aA.ssistantaAdministratorafbra
Airaand£Radiation,aU.S.£EPAatoaRegionalaAdministrators,aR.egionsala- X:a
http:/i/www .epa.gov/sites/production/fihs/201 J-08/documents/gr antmem.pdj~.n
•a Augusta28, 1994a- Additional Guidancennv funding Support for State andiLocaln
/3rogro?m',/Mary£D.aNichols,a'\ssistanta\dministratorafbra\irandaRadiat8on, U.S.dEPAao
RegionalaAdministrators,£Regionsd - X ("additionalqguidanceanemo"):
http: //www. epa.gov/sites/production/files/2015-08/'documents/'guidl ine.pdfn
•a Januarya23,aJ996a- Letter from Conrad Simon, Director,aAira& WastedVlanagement
Division,dJ.S £EPAdlegiondIaoaMr.£BillyaI.iSexton,aDirector,aIef'ferson£County
Depaitmenta3f£PlanningaandaEnvironmentaldVlanagement,a1\inPollution£ControlaDistrict,
Louisv\Uz,d4633:ahllp:tfwww.gpo.go\'(tikys/pkg/FR-2015-]0-23/pcif/2015-
22S37.pdf n
•a Marcha27, 2018- UpdatediGuidance onrEPA Review of FeerSchedules for Operatingn
PermitrProgramsiUnderfTitled/,fPeteraTsirigotis,aDircctor, OAQPS,i) S aEPA,£toa
RegionalaAiraDivisionaDirectors, Regionsal - 10^"updatedafeeascheduleqguidance"):a
hit ps.Wwww. epa.gov/iitle-v-operating-permits/title-v-operating-permit-policy-and-
guidance-document-index.
4
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ATTACHMENT C
Example Annual Financial Data Form for 40 CFR Part 70
Permitting Authority:
Annual Period: / / to / / _ (MM/DD/YYYY)
Annual Program Revenue
A
Total Program Revenue (Fees Paid by Part 70 Sources)
$
Annual Presumptive Minimum Cost Calculation
B
Total Emissions of "Regulated Pollutants (for presumptive fee
calculation)"
tons :
c:
Presumptive Minimum Fee Rate During Period (S/ton)
$ per ton :
D
Total Greenhouse Gas (GHG) Cost Ad justments (as applicable)
$
E = (B*C)+D
Presumptive Minimum Cost for the Program
$
A < E or
A > E
Compare Total Program Revenue to Presumptive Minimum Cost
Enter: "Less Than" or "Greater Than" or "Equal To"
Annual Program Costs
F
Direct Labor Costs'
$
G
Other Direct Costs2
$
H = F+G
Total Direct Costs
$
1
Known Indirect Costs3
$
J - K*L
Calculated Indirect Costs''
$
K
Indirect Rate
%
L
Total Cost Base for the Part 70 Program
$
M = I or J
Total Indirect Costs
$
N = H+M
Total Program Costs
$
0 = A-N
Annual Operating Result 5
(Report deficits in parentheses) [
1 This is the sum of all direct labor costs, including regular payroll, overtime payroll, leave, fringe, and any other
administrative surcharges.
2 This is the sum of all other direct costs, including travel, materials, equipment, contractor, and any other costs directly
allocable to the part 70 program.
3 Indirect Costs may either be known or calculated. If known, enter on this row; if calculated, skip to the next three rows.
4 If Indirect Costs are calculated, enter the result here, and enter the rate and base below. Accounting or budgeting personnel
may be able to provide additional information on or assistance with calculating Indirect Costs.
1
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Program Balance of Accounts (Report deficits in parentheses)
P
Beginning of Year Balance5
S
Q = o
Annual Operating Result
$
R
Fee Revenue Transferred In (describe in comments)
$
S
Non-Exchange Revenue Transferred In (describe in
comments)a- Informational Only
$
T
Fee Revenues Transferred Out (describe in comments)
$( )
U = O+Q+R-T
End of Year Balance
$
COMMENTS:
Use this section to describe any changes in accounting methods or program elements that
effect the fee program, categories of revenue or expenses that do not fit into any of the listed
categories or apply across multiple categories, transfers in or out, or any unusual activities or
circumstances relevant to fees administration. Attach additional pages if needed..
5 This is the prior year's "End of Year Balance.'
9
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BACKGROUND - EXAMPLE ANNUAL FINANCIAL DATA FORM FOR PART 40 CFR 70
The Example Annual Financial Data Form is a tool that may be used to collect information from state,
local, or tribal ("air agencies") part 70 programs concerning their compliance with part 70 requirements
for fees. The use of this form is not required for any specific air agency or time period and it may be
revised as appropriate. Air agencies may find this form useful for collecting programmatic information
for their own internal tracking purposes.
Fee sufficiencv.aThe primary purpose of the revenue, costs, and balance of accounts sections of the
financial data form is to collect information concerning the sufficiency of fees, consistent with Clean Air
Act (Act)a§ 502(b)(3)(A) and 40 CFR § 70.9(a). The fee sufficiency requirements include requirements
for air agencies to collectaannual fees (or the equivalent over some other period) that are sufficient to
cover all reasonable direct and indirect costs ofahe program and to track if required fees are being
6
diverted for non-part 70 purposes.aa
Presumptive minimum.aA secondary use for the financial data form is to assess an air agency's status
with respect to the "presumptive minimum" of part 70 7 This assessment may haveabeenamportant when
an air agency was originally approved to collect above the '"presumptive minimum," but changes made
over time have resulted in total annual fees being collected that are less than the "presumptive
minimum."8 This assessment is important because 40 CFR § 70.9(b)(3) requires air agencies that collecta
less than the presumptive minimum to submit a "detailed accounting" to ensure fee sufficiency, and air
agencies that were originally approved to collect at least the presumptive minimum would not have
submitted the detailed accounting with the program submittal. Examples of cases where an air agency's
status in this respect may have changed include where the air agency uses a formula to calculate the
presumptive minimum that is outdated or inconsistent with 40 CFR § 70.9(b)(2) or where the program
was approved to charge fees to individual sources using the methodology for calculating the
presumptive minimum pursuant to 40 CFR § 70.9(b)(2) and the air agency's requirements for fee
payment from individual sources are outdated or inconsistent with the part 70 calculation 9
The EPA may use its discretion to decide when this form should be completed by an air agency and
which sections of the form should be completed. The EPA will evaluate any information submitted and
determine appropriate next steps.
6 The requirements that fees be sufficient to cover all reasonable direct and indirect program costs, and that such fees not be
diverted f or other purposes, applies to all title V permit programs, regardless of whether or not the program was approved to
collect "not less than" or "less than" the presumptive minimum.
7 The presumptive minimum of CAAe§ 502(b)(3)(B) and 40 CFR § 70.9(b)(2) is generally calculated by multiplying a dollar
perton rate (which is adjusted annually for increases in the Consumer Price Index) by the tons ofregulated pollutants (for
presumptive fee calculation)" emitted by all part 70 sources in an air agency for a year (or equivalent period) and adding a
"GHG cost adjustment," which is a set dollar amount to reflect certain increased costs for permitting.
8 Air agencies have flexibility to charge fees to sources on any basis, including to charge emission fees, application fees,
service-based fees, or other types of fees, regardless of whether or not the program was approved to collect "not less than" or
'less than" the presumptive minimum.
9 The presumptive minimum calculation of 40 CFR § 70.9(b)(2) was updated in 2015 to add a GHG cost adjustment; see the
final rule. Standards of Performance for Greenhouse Gas Emissions from New, Modified and Reconstructed Stationary
Sources: Electric Utility Generating Units; Final Rule(80 FR 64510, October 23,2015). See Section Xil.E, "Implications for
Title V Fee Requirements for GHGs" at page 64633:
httpSAvww. gpo.go \'fiisys/i}kg/FR-20! 5-I0-23/pJf?20I5-2283 7.pdf
3
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Accounting methods: The part 70 rules do not generally require any particular governmental accounting
standards or tracking systems to be used by air agencies. However, part 70 contains certain requirements
for tracking permit fees and program costs and for funding the program costs with permit fees that must
be met by all air agencies, regardless of the accounting standards and tracking systems being used. Due
to variability and changes in accounting standards, systems, and practices, it is important for air agencies
to note changes that may affect part 70 lees, costs, and accounting practices in the comments section of
this form.
The EPA recognizes the following resources may be helpful in understanding governmental accounting
standards as they relate to part 70 programs:
•a Handbook of Federal Accounting Standards and Other Pronouncements, as Amended, as of Junea
30, 2015, Federal Accounting Standards Advisory Board (FASAB).a
http://www.fmah.gov/pdffiles/2015Jasab handbook.pdf. n
oa Statement of Federal Financial Accounting Standards 4: Managerial Cost Accounlingn
Standards and Concepts, page 396 of the FASB Handbook (June 2015) ("SFFAS No.a
4").a
oa Statement of Federal Financial Accounting Standards 7: Accounting for Revenue andn
Other Financial Sources and Concepts for Reconciling Budgetary and Financialn
Accounting, page 592 of the FASAB Handbook (June 2015) ("SFFAS No. 7").a
®a Statements of the Governmental Accounting Standards Board (GASB):
http://www.gasb. org/jsp/GASB/Page/GA SBSectioniPage&cid-1176160042391 Hgasbs25n
oa Statement No. 33, Accounting and Financial Reporting/or Nonexchange Transactionsn
(December 1998) ("GASB Statement No. 33"):
hitp://www.gasb. org/jsp/G ASB/Document C/G AS B Document PageHcid= 11 M6160029148n
&accepted Disclaimer-truen
oa Statement No. 34, Basic Financial Statements - and Management's Discussion andn
Analysis - for State and Local Governments (June 1999) ("GASB Statement No. 34"):a
http://www.gasb. org:/jsp/GASB/Document _C/GASB Document Page?cid 1176160029121n
^accepted Disclaimer-truen
Definition of terms: Several terms (e.g., "Direct Labor" and "Indirect Costs") used in the Example
Annual Financial Data Form are not defined in part 70. Some terms are defined in the EPA's fee
guidance (particularly the EPA's updated fee schedule guidance^0), in the U.S. Office of Management
and Budget's (OMB's) Circular A-87 Revised (Cost Principles for State, Local, and Indian Tribal
Governments), and in the FASB Handbook's chapter on Managerial Cost Accounting Standards and
Concepts (SFFAS No. 4), among other reference documents.
Supporting information: The information reported on this example form should be based on relevant
supporting accounting information or documentation. Air agencies that complete the form for submittal
to the EPA should maintain such supporting information for submittal to the EPA upon request.
10 Updated Guidance on EPA Review of Fee Schedules for Operating Permit Programs Under Title V, Peter T sirigods.
Director, OAQPS, to Regional Air Division Directors. Regions I - 10, March 27.2018. (updated fee schedule guidance).
4
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INSTRUCTIONS - EXAMPLE ANNUAL FINANCIAL DATA FORM FOR PART 70
These instructions are a general explanation of how to complete the attached Example Annual Financial
Data Form for Part 70 ("example financial form"). This form is not required to be submitted on any
frequency by air agencies - it is simply a useful example of how an EPA Region may collect financial
information related to title V fee requirements. The EPA Regions may revise this form to suit a
particular air agency or may opt to only require certain sections be completed.
Annual Program Revenue
•a Total Program Revenue (Fees Paid by Part 70 Sources)($):dnclude all title V fees paid directly
by part 70 sources, including emission fees, application fees, and other fees under the air
agency's fee schedule.a
ca The fees collected under a part 70 program are referred to as "Exchange Revenue" or
"Earned Revenue" in governmental accounting guidance because a good or service isa
provided by a governmental entity (e.g., a permit) in exchange for a price (e.g., a permita
11
f'ee).aAlso, governmental accounting guidance provides that only revenue classified asa
"Exchange Revenue" should be compared against costs to determine the overall financiala
results of operations for a period.12 This means that legislative appropriations, taxes. grants,a
fines, or penalties, which are generally characterized as "Non-Exchange Revenue," shoulda
not be compared against costs to determine if fees are sufficient to cover part 70 program
costs.a
oa Some part 70 programs have direct access to permit fees to cover costs. However, other parta
70 programs are required by state or local law to deposit permit fees into general accounts,
with operating costs subject to legislative appropriation. In both scenarios, if the funds werea
originally paid as permit fees and used for part 70 purposes for the report year, the fees maya
be considered "Total Program Revenue" and entered as such on the example financial form a
Permit fees that were retained in a prior year and transferred for use in the report year shoulda
be reported as "Funds Transferred In."a
oa Note that any non-part 70 fee revenue ("Non-Exchange Revenue") should only be identified
for informational purposes in the "Program Balance of Accounts" section of the example
14
financial form, specifically the "Non-Exchange Revenue Transferred In" line.
" See Statement of Recommended Accounting Standards Number 7, Accounting for Revenue and Other Financing Sources
and Concepts fa- Reconciling Budgetary and Financial Accounting, issued by the Federal Accounting Standards Advisory
Board (FASAB) ("FASAB No. 7") at page 2. Also see Statement No. 33, Accounting and Financial Reporting for
Nonexchange Transactions (December 1998), issued by the Governmental Accounting Standards Board (GASB) at pages 1-
4. Conversely, "Non-Exchange Revenue" arises primarily from the exercise of governmental power to demand payment from
the public (e.g., income tax, sales tax, property taxes, fines, and penalties) and when a government gives value directlye
without directly receiving equal value in return (e.g., legislative appropriations and intergovernmental grants).
12 See FASAB No. 7 at page 8.
13 "Non-Exchange Revenue" arises primarily from the exercise o f governmental power to demand payment from the public
(e.g., income tax, sales tax, property taxes, fines, and penalties) and when a government gives value directly without directly
receiving equal value in return (e.g., legislative appropriations and intergovernmental grants).
14 Since "Non-Exchange Revenue" is not allowed to be counted as part 70 fees, they should not be compared to costs or
carried over to the "Beginning of Year Balance" or "End of Year Balance'' lines.
5
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Annual Presumptive Minimum Calculation
This section helps to determine if an air agency's status is considered to be "presumptively adequate" to
fund program costs for a year.i5 This determination is relevant to part 70 when an air agency's feea
schedule was approved to be above the "presumptive minimum," but due to changes overtime, it is now
collecting and retaining fee revenue below the "presumptive minimum." When such a change occurs, 40
CFR § 70.9(b)(5) requires the air agency to submit a "detailed accounting" to show that its fees are
sufficient to cover the part 70 program costs.
•a Total Emissions of "Regulated Pollutants (Tor presumptive fee calculation)" (tons/year): Report
the actual emissions of "Regulated Pollutants (for presumptive fee calculation)," as the term isa
defined in 40 CFR § 70.2, for all part 70 sources for the year. Also see 40 CFR § 70.9(b)(2)(ii)a
and (iii) for additional information on emissions that may be excluded from the total. The EPA
sometimes refers to these emissions as "Fee Pollutants" since they are only used for feea
purposes.a
•a Presumptive Minimum Fee Rate During Period fS/ton):aThe EPA calculates the "Presumptivea
Minimum Fee Rate" ($/ton) for part 70 in September of each year, and the fee rate is effectivea
from September 1 through August 31 of the following year. The EPA publishes the fee rate on
the EPA's title V permit websitei6 If a part 70 program uses a different 12-month period, thena
the fee rate in effect at the beginning of the reporting period or an average fee rate (prorated by
month) may be used .a
•a Total Greenhouse Gas (GHG) Cost Adjustments, as applicable3"S):aA final rule publisheda
October 23, 2015, included a "GHG Cost Adjustment," which is part of the calculation of the
"presumptive minimum" for an air agency under part 70.17 The adjustment is intended to reflecta
the increased costs of permitting GHGs for part 70 programs.a
•a Presumptive Minimum Cost for the Program ("$): To determine the total "presumptive minimum"a
for an air agency, multiply the actual emissions of "Regulated Pollutants (for presumptive fee
calculation)" by the "Presumptive Minimum Fee Rate" and add the "GHG Cost Adjustment" (as
applicable) for the period.a
•a Compare Revenue to Presumptive Minimum Cost: Compare the "Total Program Revenue" to the
calculated "Presumptive Minimum Cost for the Program" to determine if the fee revenue has
fallen below the "Presumptive Minimum." If the total program revenue is lower, a "detaileda
accounting" is required to show that fee revenue is sufficient to cover the program costs.18
15 Seet40 CFR § § 70.9(b)(2)(i) through (v) for more on thet"presumptive minimum."
16 See https:fJmvw.epa.gav/title-v-operatmg-permits/permit-fees.
17 See 80 FRb-1659 and 40tCFR §§ 70.9(b)(2)(i) andt§ 70.9(b)(2)(v) concerning thef'GHG cost adjustment" for part 70.
18 Sect40 CFR § 70.9(b)(5).
6
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Annual Program Costs
The full cost of a part 70 program is described in accounting terms as being comprised of all reasonable
"direct and indirect costs." To assess the full cost, one should assess the total resources used to conduct a
program or complete an activity under a program. Full cost includes all "direct and indirect costs,"
regardless of funding sources. "Indirect costs" exist whether or not the program exists, while "direct
costs" exist only if the program exists. If, by eliminating the program, a particular cost is eliminated,
then the cost is labeled a "direct cost."
Examples of "Direct Labor Costs," "Other Direct Costs," and "Indirect Costs" are provided below. It is
beyond the scope of this example financial form to include a review of whether ail part 70 program
activities described in the separate updated fee schedule guidance^9 are included in the "Direct and
Indirect Costs;" however, such a review may be part of a "detailed accounting" or other EPA oversight
activity.
•a Direct Labor Costs fS):aSalary and wages for direct work on part 70, including for professional^
administrative, and supervisory staff. These costs should include fringe benefits (compensationan
aaanion to regular salary and wages). Also, include the portion of "Direct Labor Costs" not
covered by employee contributions, such as those associated with employee contributions to
insurance and retirements
•a Other Direct Costs($):aPirect part 70 expenses, such as materials, equipment, professional
services, official travel (i.e., food and lodging), public notice, public hearings, and contractors.a
•a Indirect Costs($): "Indirect Costs" are funds spent on general administration (sometimesareferred
to asaDverhead). For a part 70 program, this is a share of costs associated with managingahe
organization within whichahe permit program resides, represented through an "IndirectaRate."
For example, to the extent that a program resides within a larger office, the program may£>e
charged a proportionate share of the overhead expense associated withahe larger office. The
budget or accounting office of the environmental division or department may be able to provide
the indirect costs for part 70 or may be able to assist with determining them using one of thea
following methods:a
oa Known Indirect Costs(S):aThis is the known value of "Indirect Costs" for a part 70 program,a
such asanay be provided by an air agency budget or accounting office.a
oa Calculated .indirect Costs (S ):alf the "Indirect Costs" are not known, then multiply ana
"Indirect Rate" (e.g., a percentage that represents a fraction of total costs that are indirect
costs) by a known "Total Cost Base" (either "Total Costs" or "Total Labor Costs" for the part
70 program) to calculate "Indirect Costs." If calculated in this manner, the "Indirect Rate"aind
the "Total Cost Base" should be included on the example financial form .a
•a Annual Operating Result ($)afhe difference between the "Total Program Revenue" and "Total
Program Costs" reveals the degree to which the program generated a surplus, deficit, or breaksa
even. If costs exceed fee revenue, then there was a deficit. If fee revenue exceeds costs, thenahere
was a surplus. Deficits should be reported in parentheses to indicate a negative number.
19 See Updated Guidance on EPA Review of Fee Schedules far Operating Permit Programs Under Title V. Peter Tsirigotis,
Director, OAQPS, to Regional Air Division Directors, Regions 1—10, March 27, 2018 (updated fee schedule guidance).
7
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Program Balance of Accounts
This section of the example financial form shows the program's overall fiscal status over time based on
the balance at the beginning of the period, changes in account balances from operations, fund transfers,
and resulting year-end balance.
•a Beginning of Year Balance (S):aThe net balance (surplus or deficit) at the beginning of the year.a
If unknown, enter zero. This is the prior year's "End of Year Balance."a
•a Annual Operating Result ($):aThe amount of fees minus costs for the year. If negative, include ina
parentheses to indicate a deficit for the year.a
•a Fee Revenue Transferred In ($):aPermit fee revenue not already accounted for above that isa
transferred from other accounts, such as fee revenue that was collected and retained in prior
years used to cover costs for this year. Enter the amount of fee revenue and describe the sourceaDf
funds in the comments section (e.g., permit fees retained in prior years) and whether thedransfers
are temporary (e.g., one-time) or permanent (e.g., recurring). If the funds originated asspermit
fees for the year being reported, enter the amount on the "Total Program Revenue" line,rather
thanahis line.a
•a Non-Exchange Revenue Transferred In ($): Non-Exchange Revenue (e.g., grants, taxes,
penalties, fines, and similar) transferred in to cover program costs. Enter the amount here and
describe the source of funds in the comments section. This line is for information only and will
not be included in any calculations of permit fee revenue on this form.a
•a Fee Revenue Transferred Out (SVaPermit fee revenue transferred out of program accounts duringa
the report year. In the comments section, describe the intended use of the funds and whether thea
transfer is permanent or temporary. If you intend to use the fees inrfuture years for the part 70a
program, please indicate so inacomments. Ifanot, please describe the intended use of funds anda
whether the fees are in excess of the costs for the year. Any such transfers out will be subject toa
close scrutiny by the EPA.a
•a End of Year Balances $):aThe net balance (surplus or deficit) at the end of the year. In the
comments section, please describe any steps that will be taken to address a significant deficit, ifa
known or available.
8
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EXAMPLES OF TYPICAL DIRECT AND INDIRECT COSTS
The following examples are intended to help permitting staff understand how various types of costs
would be categorized for accounting purposes. For a complete list of part 70 program activities that
should be included as part 70 costs, see the EPA's separate updated fee schedule guidance.
Direct Costs:
"Direct Costs" consists of two categories: 1) "Direct Labor Costs" and 2) "Other Direct Costs."
•a Examples of Direct Labor Costs:
- Cost of "direct labor';a
- Fringe benefits (i.e., retirement, health insurance, and life insurance); anda
- Leave, holiday, overtime and premium pay, and other personnel costs.a
•a Examples of Other Direct Costs:
- Equipment purchases; anda
- Miscellaneous items, such as supplies and materials, equipment rentals, travel, purchased
services such as printing, and contractual services.a
Indirect Costs:
"Indirect Costs" can be thought of as the time spent on administrative support and other office expenses,
which are not solely related to the program's operation because they benefit multiple programs or cost
objectives, but are needed to operate a part 70 program.
•a Examples of Indirect Costs:a
- Space rental, utilities, including telephones;a
- Administrative support related to an office's overall mission, including such costs as
procurement, contracting, office services, property management, vehicle management,
supply, finance, payroll, voucher processing, personnel services, records management,
and document control;a
- Miscellaneous supplies and materials, including postage;a
- Data processing, management, and control;a
- Equipment rentals and costs;a
- Training and developments
- Budget development, planning, and coordinations
- Public information and inquiries;a
- Safety management, including inspection, training, and promotions
- Recurring reports, such as accounting or property reports; anda
- Unemployment Compensation, Equal Employment Opportunity Office costs and othera
affirmative action program costs.a
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DETERMINING THE PROPORTIONAL SHARE OF INDIRECT COSTS
When "Indirect Costs" are not known, they can be calculated though the use of an "Indirect Rate."
Generally, an "Indirect Rate" is calculated by dividing total "Indirect Costs" by total "Direct Costs."
Because air agency accounting methods vary, the indirect and direct costs can be for all environmental
programs, the environmental department or division, or the air program. The resulting "Indirect Cost
Rate" is the percentage of "Total Costs" that are "Indirect Costs." The resulting "Indirect Rate" is then
multiplied by the "Total Cost Base," which may be either "Total Direct Labor Costs" or "Total Costs''
for part 70, as shown below.
Indirect Cost Rateff= Total Indirect Costsaf Total Direct Costs
Calculated Indirect Costs = Indirect Cost Rate * Total Direct Labor Costs for Part 70
or
Calculated Indirect Costsaa Indirect Cost Rated'' Total Costs for Part 70
FOR MORE INFORMATION ON DETERMINING AIR AGENCY COSTS
For further information on determining costs for state, local, and tribal governments, see OMB Circular
A-87 Revised, Cost Principles for State, Local and Indian Tribal Government (May 10, 2004) and OMBa
Circular A-133, Audits of State, Local Governments, and Non-Profit Organizations (last reviseda
June 26, 2007). These guidance documents are not specific to part 70 but are generally useful for
understanding costs for the purposes of the part 70 program.a
10
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'A*' ' l'"-,
£% '
UNITED STATES ENV
RESEARCH
CTION AGENCY
27711
,53©
WAR 2 7 2013
OFFICE OF
AIR QUALITY PLANNING
AND STANDARDS
MEMORANDUM
SUBJECT: Updated Guidance on EPA Review of Fee Schedules for Operating Permit Programs
The attached guidance is being issued in response to the Environmental Protection Agency Office
of Inspector General's (OIG) 2014 report regarding the importance of enhanced EPA oversight of state,
local, and tribal1 fee practices under title V of the Clean Air Act (CAA).2 Specifically, this guidance
reflects the EPA's August 22, 2014, commitment to the OIG in response to OlG's Recommendation 1 to
"assess our existing fee guidance and to re-issue, revise, or supplement such guidance as necessary" (we
refer to the attached guidance as the "updated fee schedule guidance"). The EPA's response to the OlG's
other recommendations are being issued concurrently in a separate memorandum and guidance concerning
title V program and fee evaluations ("title V evaluation guidance"). '
Title V of the CAA and 40 CFR part 70 contain the minimum requirements for operating permit
programs developed and administered by air agencies, including requirements that each program issue
operating permits to certain facilities (facilities that are "major sources" of air pollution and certain other
facilities) and that each program charge fees ("permit fees") to these facilities to fund the permit program.
These operating permits are intended to identify all federal air pollution control requirements that apply
to a facility ("'applicable requirements") and to require the facility to track and report compliance pursuant
to a series of recordkeeping and reporting requirements. Section 502(b)(3) of the CAA requires each air
agency to collect fees "sufficient to cover all reasonable (direct and indirect) costs required to develop and
administer" its title V permit program.4 The 40 CFR part 70 regulations establish the minimum program
1 As used herein, the term "air agency" refers to state, local, and tribal agencies.
' Enhanced EPA Oversight Needed to Address Risks from Declining Clean Air Act Title V Revenues; U.S. EPA Office of the
Inspector General. Report No. 15-P-0006, October 20, 2014 ("OIG Report").
3 Program and Fee Evaluation Strategy and Guidance for 40 CFR Part 70, Peter T sirigotis, Director, Office of Air Quality
Planning and Standards (OAQPS), U.S. EPA. to Regional Air Division Directors, Regions 1 - 10, March 27, 2018 ("title V
evaluation guidance"). See the EPA's title V guidance website at https://www.epa.gov/title-v-operating-permits/title-v-
operaling-permit-poiiiy and-guidance-dociimenl-index.
4 42 U.S.C. § 766la(b)(3)(A).
Under Title V
TO:
FROM:
Internet Addmss (URL) • http://www.epa,gc»¥
Recycled/Recyctabte « Printed with Vegetable Oil Based Inks on Recycled Paper (Minimum 25% Postconsumer)
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requirements for operating permit programs, including requirements for fees to be administered by air
agencies with approved part 70 programs.5
On August 4, 1993, the EPA issued a memorandum, commonly referred to as the "1993 fee
schedule guidance," to provide initial guidance on the Agency's approach to reviewing fee schedules for
part 70 programs.6 Since that time, the EPA has issued a number of memoranda and a final rule7 that have
touched upon, revised, or clarified certain topics contained in the 1993 fee schedule guidance.8 The
attached updated fee schedule guidance provides additional direction on how the EPA interprets the title
V permit issuance and fee collection activities, as well as discussion of other fee requirements for air
agencies. In addition to the memoranda and final rule noted above, the updated fee schedule guidance
includes numerous changes to remove outdated regulatory provisions and focuses on the review of
existing part 70 programs, rather than on initial program submittals.9
The updated fee schedule guidance sets forth updated principles, which will generally guide the
EPA's review of part 70 fee programs. These updates are consistent with the fee requirements of title V
and part 70, as well as prior guidance on fee requirements. Accordingly, these updates do not themselves
provide substantively new fee guidance or create any inconsistencies with fee requirements or prior fee
guidance.
The development of this guidance included outreach and discussions with stakeholders, including
the EPA Regions, the National Association of Clean Air Agencies, and the Association of Air Pollution
Control Agencies.
If you have any questions concerning the updated fee schedule guidance, please contact Juan
Santiago, Associate Director, Air Quality Policy Division, Office of Air Quality Planning and Standards,
at (919) 541-1084 or Santiago, juan@epa.gov.
Attachments:
1. Updated Guidance on EPA Review of Fee Schedules for Operating Permit Programs under Title V
2. Attachment A - List of Guidance Relevant to Part 70 Fee Requirements
3. Attachment B - Example Presumptive Minimum Calculation
5 40 C.F.R. § 70.9.
6 See Reissuance of Guidance on Agency Review of State Fee Schedules for Operating Permits Programs under Title V, John
S. Seitz. Director. OAQPS, U.S. EPA, to AirDivision Directors. Regions 1-X (August 4, 1993} ("1993 fee schedule
guidance") at page 1. Note that there was an earlier document on this subject that was superseded by the 1993 fee schedule
guidance.
7 See the October 23, 2015, final rule, Standards of Performancetfor Greenhouse Gas Emissions from New, Modified and
Reconstructed Stationary Sources: Electric Utility Generating Units. 80 FR 64510, 64633 (Section Xll.E "Implications for
Title V Fee Requirements for GHGs").
8 A list of the relevant title V fee-related guidance memoranda is included as Attachment A.
9 At this time, all air agencies have EPA-approved part 70 programs. It is conceivable that additional part 70 program
submittals will be received in the future for a number of Indian tribes, and, if so, the EPA will work closely with the tribes to
assist them with identifying activities which must be included in costs related to the program submittal and to meet other fee
requirements of part 70.
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DISCLAIMER
These documents explain the requirements of the EPA regulations, describe the EPA policies, and
recommend procedures for sources and permitting authorities to use to ensure that title Vfee schedules
and fee evaluations are consistent with applicable regulations. These documents are not a rule or
regulation, and the guidance they contain may not apply to a particular situation based upon the
individual facts and circumstances. The guidance does not change or substitute for any law, regulation,
or any other legally binding requirement and is not legally enforceable. The use of non-mandatory
language such as "guidance, " "recommend, " "may, " "should, " and "can, " is intended to describe the
EPA policies and recommendations. Mandatory terminology, such as "must" and "required, " is
intended to describe controlling requirements under the terms of the Clean Air Act and the EPA 's
regulations, but the documents do not establish legally binding requirements in and of themselves.
3
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Updated Guidance on EPA Review of
Fee Schedules for Operating Permit Programs under Title V
The purpose of this document and the attachments is to provide guidance on the Environmental
Protection Agency's (EPA's) review of fee schedules for operating permit programs under 40 CFR part
70 (part 70), the regulations that set minimum requirements for permit programs administered by state,
local, and tribal air agencies (referred to here as, "air agencies") authorized under title V of the Clean
Air Act (CAA or Act). This document updates and clarifies the previous fee schedule guidance issued
by the EPA on August 4, 1993 (the "1993 fee schedule guidance").1 This updated fee schedule guidance
clarifies which permit program costs must be included in an analysis to demonstrate that adequate fees
are collected to fund all part 70 program costs. The guidance also discusses other fee-related
requirements for air agencies. The updated fee schedule guidance focuses on the costs of program
implementation, rather than on the costs of initial program development (as was the case for the 1993
fee schedule guidance).
I. General Principles for Review of Title V Fee Schedules
Section 502(b)(3)(A) of the Act requires operating permit programs to fund all "reasonable direct and
indirect costs" of the permit programs through fees collected from "part 70 sources"2 and requires the
fees to be sufficient to coverall reasonable permit program costs.3 The terms "fee schedule" and "permit
fees" are sometimes used interchangeably to describe the fees that an air agency charges to part 70
sources to fulfill this requirement.4 Section II of this guidance provides an explanation of the term
"direct and indirect costs" and a detailed explanation of specific permit program activities to be included
in costs for the purpose of analyzing whether the permit fees are sufficient to cover all the permit
program costs.
The fees collected under a part 70 program are classified as "exchange revenue" or "earned revenue" in
governmental accounting guidance because a good or service (e.g., a permit) is provided by a
governmental entity in exchange for a price (e.g., a permit fee).f Also, governmental accounting
guidance provides that only revenue classified as "exchange revenue" should be compared to costs to
1 See Reissuance of Guidance on Agency Review of State Fee Schedules for Operating Permits Programs under Title V, John
S. Seitz, Director, OAQPS, U.S. EPA, to Air Division Directors. Regions 1-X (August 4, 1993) ("1993 fee schedule
guidance").
2 The term "part 70 sources" is defined in 40 CFR § 7.2 to mean "any source subject to the permitting requirements of this
part, as provided in 40 CFR §§ 70.3(a) and 70.3(b) of this part." Thus, a source is a part 70 source prior to obtaining a part 70
permit if the source is subject to permitting under the applicability provisions of 40 CFR § 70.3.
3 See 40 CFR § 70.9(a).
4 The fee schedule is typically included in the regulations that the air agency uses to implement part 70; it is a component of
the part 70 program. The fee schedule (and other elements of an air agency's regulations for part 70) can vary significantly
across air agencies.
s See Statement of Recommended Accounting Standards Number 7, Accounting for Revenue and Other Financing Sources
and Concepts for Reconciling Budgetary and Financial Accounting, issued by the Federal Accounting Standards Advisory-
Board (FASAB) ("FASAB No. 7") at page 2. See also Statement No. 33, Accounting and Financial Reporting for
Nonexchange Transactions (December 1998), issued by the Governmental Accounting Standards Board (GASB) at pages 1-4
("GASB No. 33").
1
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determine the overall financial results of operations for a period.6 This means that legislative
appropriations, taxes, grants,7 fines and penalties, which are generally characterized as "nonexchange
revenue,"8 should not be compared to part 70 program costs to determine if permit fees are sufficient to
cover costs.
Any fee required by part 70 must "be used solely for permit program costs" (in other words, the feesa
must not beadiverted for non-part 70 purposes).9 Manyaair agencies transfer fees that are inasxcess of
program costs for a particular year into accounts to be used forepart 70 purposes in another year when
there is expected to beai fee shortfall, and this is an acceptable practice. However, if title V fees are
transferred for uses not authorized by part 70 (e.g., highway maintenance or other general obligations of
government), they would be considered improperly diverted.
Each air agency is required, as part of its part 70 program submittal, to submit a "fee demonstration" to
show that its fee schedule would result in the collection and retention of fees sufficient to cover program
costs, including an "initial accounting" to show that "required fee revenues" would be used solely to
cover program costs.10
The EPA will generally presume that a feeaschedule is sufficient to cover program costs if it results in
the collection and retention of fees in an amount above the "presumptive minimum"—i.e., "an amount
noldess than $25 per ton" adjusted annually for increases in the Consumer Price Index" "times the total
tons of the actual emissions of each regulated air pollutant (for presumptive fee calculation) emitted
from part 70 sources," plus any greenhouse gas (GHG) cost adjustments, asaapplicable.12 A fee schedule
that is expected to result in fees above the "presumptive minimum" isa:onsidered to be "presumptively-
adequate." Note that the "presumptive minimum" isainique to each air agency because the total tons of
actual emissions of "regulated air pollutants (for presumptive fee calculation)" are unique to each air
agency.
As part of a fee demonstration, air agencies w ith fee schedules that would not be presumptively-
adequate are required to submit a "detailed accounting" to show that collection and retention of fee
6 See FASAB No. 7 at page 8; GASB No. 33.
7 Concerning grants, an EPA memo, Use of Clean Air Act Title V Permit Fees us Match for Section 105 Grants, Gerald
Yamada, Acting General Counsel, U.S. EPA, to Michael H. Shapiro, Acting Assistant Administrator, Office of Air and
Radiation, U.S. EPA, October 22, 1993, states that part 70 fees are '"program income" under 40 CFR § 31.25(a), and, because
of this, part 70 fees cannot be used as match for section 105 grants and no air agency may count the same activity for botht
grant and part 70 fee purposes.t
* "Nonexchange revenue" arises primarily from the exercise ofgovernmental power to demand payment from the public
(e.g., income tax, sales tax, property taxes, fines, and penalties) and when a government gives value directly without directly
receiving equal value in return (e.g., legislative appropriations and intergovernmental grants).
9 See 40 CFR § 70.9(a).
10 See 40 CFR §§ 70.9(c)-(d) (fee demonstration requirements); 1993 fee schedule guidance (explaining that preparing the fee
demonstrations that is part of the initial part 70 program submittal).
" See CAAt§ 502(b)(3)(B); 40 CFR § 70.9(b). The presumptive minimum fee rate is adjusted for increases in the Consumer
Price Index each year in September. The fee rate for the period of September I, 2016, through August 31, 2017, is $48.88 per
ton. For more information, including a list of historical adjustment to the fee rate, see https://www.epa.gov/title-v-operating-
permits/perm it-fees.
12 See 40 CFR § 70.9(b)(2) (emphasis added). The components of the "presumptive minimum" calculation—including certain
emissions that may be excluded from the calculation, and an upward "GHG cost adjustment" that may apply—are addressed
in 40 CFR §§ 70.9(b)(2)(i)-(v).
2
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revenue would be sufficient to cover program costs.13 Air agencies are also required to provide an
"initial accounting" to show how ""required fee revenues" will be used solely to cover permitting
program costsi4 Air agencies with fee schedules considered "presumptively adequate" are nevertheless
required to submit fee demonstrations,13 but they may be '"presumptive minimum program cost"
demonstrations^6 showing that expected fee revenues are above the "'presumptive minimum" calculated
for the air agency. In order to receive the EPA's approval, any fee demonstration must provide an
""initial accounting" showing how required fee revenues will be used solely to cover program costs.17
After an air agency fee program is approved by the EPA, there are several fee requirements that may
apply to the permit program as circumstances dictate. One requirement is for an air agency to submit, as
required by the EPA, "periodic updates" of the ""initial accounting" portion of the fee demonstration to
show how "required fee revenues" are used solely to cover the costs of the permit program.18 Further, an
air agency must submit a ""detailed accounting" demonstrating that the fee schedule is adequate to cover
costs ifan air agency changes its fee schedule to collect less than the presumptive minimum or if the
EPA determines—based on the EPA's own initiative, or based on comments rebutting a presumption of
fee sufficiency—that there are serious questions regarding whether the fee schedule is sufficient to cover
the costsi9
In addition, title V and part 70 provide general authority for the EPA to conduct oversight activities to
ensure air agencies adequately administer and enforce the requirements for operating permits programs,
including that the requirements for fees are being met on an ongoing basis.20 One method the EPA uses
to perform such oversight is through periodic program or fee evaluations of part 70 programs. As part of
such an evaluation, the EPA may carefully review how the state has addressed the fee requirements of
part 70 as previously described and work with the air agency to seek improvements or make corrections
and adjustments if any fee concerns are uncovered. Also, as part of such an evaluation, the EPA may
require "periodic updates" to a fee demonstration or a "detailed accounting" that fees are sufficient to
cover permit program costs.21 See the EPA's separate Program an J Fee Evaluation Strategy and
Guidance for 40 CFR Part 70 ("title V evaluation guidance") for more on this subject.22
13 See 40 CFR § 70.9(b).
14 See 40 CFR § 70.9(d).
15 See 40 CFR § 70.9(c).
16 See Sections 1.1 and 3.2 of the fee demonstration guidance.
17 See 40 CFR § 70.9(d).
18 See 40 CFR § 70.9(d).
19 See 40 CFR § 70.9(b)(5); fee demonstration guidance, Section 2.0 (providing an example ofta "detailed accounting"). The
scope and content of a "detailed accounting" may vary but will generally involve information on program fees and costs and
other accounting procedures and practices that will show how the air agency's fee schedule will be sufficient to cover all
program costs.
20 See C AA § 502(i); 40 CFR § 70.10(b).
21 See 40 CFR §§ 70.9(a); 70.9(b)(1), (5)(ii).
22 Program and Fee Evaluation Strategy and Guidance for 40 CFR Part 70, Peter Tsirigotis, Director, Office of Air Quality
Planning and Standards (OAQPS), U.S. EPA, to Regional Air Division Directors, Regions 1 -10. March 27,2018.
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II.a Types of Costs and Activities Included in Title V Costsa
A.aOverviewa
Activities that count as part 70 costs (direct and indirect costs of part 70).tPart 70 uses the term "permit
program costs" to describe the costs that must count for fee purposes under part 70.23 This term is
defined in 40 CFR § 70.2 as "all reasonable (direct and indirect) costs required to develop and
administer a permit program, as set forth in [40 CFR § 70.9(b)] (whether such costs are incurred by the
permitting authority or other State or local agencies that do not issue permits directly, but that support
permit issuance or administration)." At a minimum, any air program activity performed by an air agency
under title V or part 70 must be included in program costs. Many of the activities required under title V
or part 70 are described in Sections II.B through II. K of this guidance.
As described above, part 70 costs must include all "reasonable direct and indirect costs"24 that are
incurred by air agencies intthe development, implementation, and enforcement of the part 70 program.
"Direct costs" are expenses that can be directly attributed to part 70 program activities or services.
"Direct costs" can generally be subdivided into two categories: "direct labor costs" and "other direct
costs." The term "direct labor costs" refers to salary and wages for direct work on part 70, including
fringe benefits. The term "other direct costs" refers to other direct part 70 expenses, such as materials,
equipment, professional services, official travel (e.g., transportation, food and lodging), public notices,
public hearings, and contracted services, 'indirect costs" are costs for ''general administration" or
"overhead" that are not directly attributable to a part 70 program because they benefit multiple programs
or cost objectives, but they are needed to operate a part 70 program. "Indirect costs" for a part 70
program are typically determined based on an indirect rate or a proportional share of the expenses of a
larger organization. Examples of "indirect costs" include, but are not limited to, costs for utilities, rent,
general administrative support, data processing charges, training and staff development, budget and
accounting support, supplies and postage.
Intaddition, note that air agency accounting practices vary in how they nominally categorize costs as
"direct costs," "indirect costs," or "other direct costs," depending on the specific nature of the activity.
An example would be training costs, which are typically treated as "indirect costs" but sometimes ast
"direct costs," particularly where the training ist about part 70 (e.g., for permit staff development). While
accounting practices and terminology may vary among air agencies, the important principle to remember
is that all reasonable direct and indirect costs of the program must be represented in the costs reported to
the EPA, regardless of how the costs are categori zed by the air agency.
Part 70 and the 1993 fee schedule guidance describe the part 70 activities of "reviewing and acting on
any application for a part 70 permit"23 and "implementing and enforcing the terms of anytpart 70t
23 See 40 CFR § 70.9(a).
24 The phrases, "reasonable direct and indirect costs" and "reasonable (direct and indirect) costs" have the same meaning. The
phrase "reasonable direct and indirect costs" was initially used by the EPA in the 1993 fee schedule guidance, page I. The
phrase "reasonable (direct and indirect) costs" is also found in CAA section 502(b)(3)(A), (C)(iii).
25 The response to comments document for the part 70 final rule clarifies that the phrase "acting on permit applications" in
section 503(c) of the Act means the act of issuing or denying a permit, not just beginning review of a permit application. See
Technical Support Document for Title V Operating Permits Programs (May 1992) at page 4-4, EPA Docket No. EPA-HQ-
OAR-2004-02 88; Legacy Docket No. A-90-33.
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permit," and these activities must be included in part 70 costs.26 The following paragraphs use these
phrases to clarify the extent that certain activities performed by the air agency must be included in part
70 costs. The phrase ''reviewing and acting on any application for a part 70 permit" refers to all
activities related to processing the permit application and issuing (or denying) the final part 70 permit,
while the phrase "implementing and enforcing the terms of any part 70 permit" refers to all activities
necessary to administer and enforce final part 70 permits, prior to the filing of an administrative or
judicial complaint or order.27
Also, the following paragraphs clarify the extent to which fees must fund the costs of "permit programs
under provisions of the Act other than title V" (hereafter referred to as "other permits") (e.g.,
preconstruction review permits) and "activities which relate to provisions of the Act in addition to title
V" (hereafter referred to as "other activities") (e.g.. a requirement for an air agency to develop a case-
by-case emissions standard for an existing source).-8
Costs related to "other permits."29 The costs of "implementing and enforcing" the terms of a part 70
permit must be treated as a part 70 cost.30 Thus, part 70 costs must include the cost of implementing and
enforcing any term or condition of a non-part 70 permit required under the Act31 that is incorporated into
a part 70 permit and meets the definition of "applicable requirement''32 in part 70. Similarly, the cost of
implementing and enforcing any term or condition of a consent decree or order that originates in a non-
part 70 permit that has been incorporated into a part 70 permit must be included as a part 70 cost.33
The costs of implementing and enforcing "applicable req uirements" from a non-part 70 permit that will
go into a part 70 permit in the future may be counted as part 70 costs. However, once a source has
26 The phrases "reviewing and actingon any application for a part 70 permit" and "implementing and enforcing the terms of
any part 70 permit" are found at 40 CFR § 70.9(b)(l)(ii) and (iv). Similar phrases are found in the EPA's 1993 fee schedule
guidance at page 3 and the phrases in the guidance have the same meaning as the phrases in part 70. See also, CAA §
502(b)(3)(A).
21 An EPA memo. Matrix of Title V-Related and Air Grant-Eligible Activities, OAQPS, U.S. EPA, September 23, 1993 (the
"matrix guidance"), page 8, which clarifies that enforcement costs are counted lor part 70 purposes prior to the filing ofta
complaint or order. See page 8.
28 The phrases cited here were originally discussed on pages 2 and 3 of the cover memorandum lorthe 1993 fee schedule
guidance.
2' Note that the EPA's 1993 fee schedule guidance contains the statement that "the costs of reviewing and acting on
applications for permits required under Act provisions other than title V need not be recouped by title V fee." This statement
has been interpreted by some to mean that the costs of non-title V permits "are not needed" or "may optionally" be counted
in title V costs.
r,(} See 40 CFR § 70.9(b)(l)(iv).
31 Examples of non-pait 70 permits required under the Act may include "minor new source review" (minor NSR) permits,
"synthetic minor" permits, Prevention ofSignificant Deterioration (PSD) permits, and Nonattainment NSR permits
authorized under title 1 of the Act.
32 "Applicable requirements" are the air quality requirements that must be included in part 70 permits. See the definition of
"applicable requirement" in 40 CFR § 70.2, which includes "any terms and conditions of any preconstruction permits issued
pursuant to any regulations [under title 1]," and certain requirements under titles 1, 111, IV and VI of the Act.
33 The EPA has previously explained that consent decrees and orders reflect the conclusion of a judicial or administrative
process resulting from the enforcement ofCappli cable requirements," and, because of this, all CAA-reiated requirements in
such consent decrees and orders "are appropriately treated as 'applicable requirements' and must be included in title V
permits. . ." See In the Matter ofCitgo Refining and Chemicals Company, LP., Order on Petition Number Vl-2007-01, at 12
(May 28, 2009).
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submitted a timely and complete part 70 application and paid part 70 fees, all costs o{"implementing and
enforcing the non-part 70 permit must be counted as part 70 costs.34
Also, any implementation and enforcement activities related to a requirement that is incorporated into a
part 70 permit that is not ""federally enforceable" and would not meet the definition of an ""applicable
requirement" (e.g., a "state-only" requirement) need not be treated as a part 70 cost.33 The matrixt
guidance also clarifies that state-only requirements are air grant-eligible activities, rather than title V-
eligible activities.
Costs of performing certain other activities related to applicable requirements.t Certain activities required
by the Act or its implementing regulations are not "applicable requirements" as defined in part 70
because they apply to the permitting authority rather than the source.36 We refer to such activities ast
""other activities." As such, questions often arise asto whether the costs of "other activities" are part 70
costs, costs of the underlying standard, or costs of the preconstruction review permitting process.
Examples of applicable requirements associated with ""other activities" include, but are not limited to,
the following:
•t Emissions standards or other requirements for new sources under section 111(b) of the Act;t
®t Emissions standards or other requirements for existing sources under section 111(d) of the Act;t
•t Case-by-case maximum achievable control technology (MACT) standards that may be required
under section 112 of the Act; andt
•t Activities required by a state, federal, or tribal implementation plan (SIP, F1P, or TIP), includingt
section 110 of the Act.t
The 1993 fee schedule guidance stated that the cost for performing ""other activities" would be part 70
costs only to the extent the activities are ""necessary for part 70 purposes."37 The 1993 fee schedulet
guidance has resulted in numerous questions over the years as to the scope of the term "part 70
purposes." The EPA believes a clearer standard for determining when "other activities" must be
included in part 70 costs would include an evaluation of: the extent to which the air agency is required to
perform the "other activities" pursuant to part 70, title V, or the approved part 70 program; the extent to
which the activity is performed to assure compliance with, or enforce, part 70 permit terms and
conditions; or the extent to which a non-part 70 rule (e.g., a section 111 or 112 standard) requires the air
agency to perform the activity in the part 70 permitting context. If an "other activity" does not meet any
34 See EPA memo, Additional Guidance on Funding Support for State and Local Programs, Mary D Nichols, Assistant
Administrator for Air and Radiation, U.S. EPA, to Regional Administrators, Regions 1- X, August 28, 1994.
35 See 40 CFR § 70.6(b)(2).
36 Although the "other activities" may originate within a federal standard or requirement that we generally refer to as an
"applicable requirement" and the activities may result in an "applicable requirement," the activities themselves do not meet
the definition of "applicable requirement" within 40 CFR § 70.2.
37 See page 2 of the introductoiy memorandum for the 1993 fee schedule guidance.
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of these criteria (e.g., a non-part 70 rule requires an activity in a non-part 70 context), it should not be
included in part 70 costs.
Nonetheless, if any activity is an "applicable requirement" for a source, the applicable requirement must
be included in a part 70 permit and the costs to the air agency of including it in the permit (and
implementing and enforcing) must be treated as part 70 costs.38
For example, the cost of incorporating a standard (e.g., a section 111(b) standard) into a part 70
permit—where the task is merely one of copying the requirements from the regulation unchanged into a
permit—would be a part 70 cost. However, the cost of developing a source-specific emission limitation
outside the permit processing context (e.g.. a standard pursuant to section 111(d) emission guidelines)
would be a section 111 cost (although the cost of subsequently incorporating that standard into the part
70 permit would be a part 70 cost).
The costs of "other activities' related to implementation plans, including section 110 or 111 of the Act,
should not be counted for part 70 purposes if the activities are required as part o f the preconstruction
review process or directly relate to implementation plan development, as required by title I of the Act.39
On the other hand, part 70 costs can include ambient monitoring or emission inventories necessary to
implement the part 70 program (e.g., development and quality assurance of emissions inventory for
potential part 70 sources for the purpose of determining applicability)# If an air agency is unsure where
to draw the line on including such activities in part 70 costs, they should contact the EPA for assistance.
General standard for EPA review of part 70 costs for a particular air agency. In general, the EPA expects
that part 70 permit fees will fund the activities listed in this guidance. However, in evaluating a part 70
program, the EPA will consider the particular design and attributes of that program. Because the nature
of permitting-related activities can vary across air agencies, the EPA evaluates each program
individually. The activities listed in this guidance may not represent the full range of activities to be
covered by permit fees.41 Additionally, some air agencies may have further program needs based on the
particularities o f their own air quality issues and program structure.
Sections II.B through ILK of this guidance provide further information on specific permitting activities
and the extent to w hich the costs of such activities must be treated as part 70 costs.
B. The Costs of Part 70 Program Administration
All part 70 program administration costs must be treated as part 70 costs.42 Examples of program
administration costs include:
38 Seee§ 70.9(b)(l)(ii), (4).
39 Implementation plan development is mandated under title 1 of the Act and costs typically include such activities as
maintaining state-wide emissions inventories and performing ambient monitoring and emissions modeling of air pollutants
for which national ambient air quality standards have been set.
40 See the matrix guidance at page 1.
41 The fee demonstration guidance cites various factors that may affect the types of activities included in a permit program
and influence costs. See fee demonstration guidance at 4-5.
42 This section includes many activities that would be categorized as part 70 costs under 40 CFR §§ 70.9(b){ 1 )(i)-(iii) that are
not covered elsewhere in subsequent sections of this guidance and are necessary to conduct a pait 70 program.
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Program infrastructure costs (e.g., development of part 70 regulations, implementation guidance,
policies, procedures, and forms);
Program integrati on costs (adapting to changes in related programs, such as NSR, secti on 112
programs, and other programs);
Data system implementati on costs (including data systems for submitting permitting informati on
to the EPA. for permit program administration, implementation and tracking and to provide
public access to permits or permit informati on);
Costs to operate local or Regional offices for part 70, the costs of interfacing with other state,
local, or tribal offices (e.g., briefing legislative or executive staff on program issues and
responding to internal audits);
Costs related to interfacing with the EPA (e.g., related to program oversight, including program
evaluations, responding to public petitions, revising implementati on agreements between the air
agency and the EPA); and
• Activities similar to those above.
In additi on. there are other program implementati on costs, such as the costs of making determinations of
which sources are subject to part 70 permitting requirements that must be treated as part 70 costs.43
Examples of such activities include:
• Maintaining an inventory of part 70 sources (e.g., for enforcement of the requirement for sources
to obtain a permit or for part 70 fee purposes);
• Costs of determining if an individual source is a major source (for applicability purposes);
• Costs of determining if a source qualifies for coverage under a general permit (if the air agency
chooses to issue them); and
• Costs of determining if a n on-major source is required to obtain a part 70 permit and costs of
implementing any insignificant activity and emission level exemptions under part 70.
C. TheCostsof Part 70 Program Revisions
All costs of revising an approved part 70 program must be treated as part 70 costs, including the costs of
developing new program elements to respond to changes in requirements, whether the revisions are the
air agency's own initiative or required by the EPA.44 Examples of program revision costs include:
• Costs of revising the program elements that are changing (e.g.. program legal authority,
implementing regulations, data systems, and other program elements);
43 Many of these activities may also be described as related to reviewing and acting on applications for part 70 permits, as
provided in 40 CFR § 70.9(b)(l)(ii).
44 See 40 CFR § 70.4(i).
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• Costs of documenting the changes; and
• Costs associated with obtaining the needed approvals, including for submitting program
revisions to the EPA and any necessary follow-up work related to obtaining approval.
D. The Costs of Reviewing Applications and Acting on Part 70 Permits
All costs of reviewing an application for a part 70 permit, developing applicable requirements as part of
the process of a permit, and ultimately acting upon the application must be treated as part 70 costs.t*5
These costs must include the costs of the application completeness determination, the technical review
of the application (including the review of any supplemental monitoring that may be needed, review of
any compliance plans, compliance schedules, and review of initial compliance certifications included in
the application), drafting permit terms and conditions to reflect the applicable requirements that apply to
the source, determining if any permit shields apply, public participation, the EPA and affected air
agency review, and issuing the permit. The cost of these activities must be included for initial permit
processing, permit renewal, permit reopening, and permit modification.
The costs of developing part 70 permit terms and conditions. All costs associated with the development
of permit terms and conditions to reflect the "applicable requirements," including the costs of
incorporating such terms in part 70 permits, must be treated as part 70 costs. The applicable
requirements include the emissions limitations and standards and other requirements as provided for in
the definition of applicable requirements in 40 CFR § 70.2. Such costs may include the costs to
determine the provisions of the applicable requirements that specifically apply to the source, to devel op
operational flexibility provisions, netting/trading conditions, and appropriate compliance conditions
(e.g., inspection and entry, monitoring and reporting). Appropriate compliance provisions may include
periodic monitoring and testing under 40 CFR § 70.6(a)(3) (i)(B) and monitoring sufficient to assure
compliance under 40 CFR § 70.6(c)(1).
Part 70 also requires certain regulatory provisions to be included in permits, such as citation to the origin
and authority of each permit term, a statement of permit duration, requirements related to fee payment,
certain part 70 compliance and reporting requirements, a permit shield (if provided by the air agency),
and similar terms. The costs of developing such terms must be covered by permit fees.46
The costs of developing "state-only" permit terms need not be treated as part 70 costs. Air agencies
should screen or separate ""state-only" requirements from federally-enforceable requirements and—
while the act of separating part 70 terms from state-only terms should be treated as part 70 costs—the
costs of developing state-only permit terms, putting them in the part 70 permit, and implementing and
enforcing them as they appear in the part 70 perm it need not be treated as part 70 costs for fee
purposes^7
45 See CAA section 502(b)(3)(A)(i); 40 CFR § 70.9(b)(lf)(ii).
46 See 40 CFR § 70.6.
47 See the matrix guidance, which notes that state-only requirements in part 70 permits are air-grant-eligible activities, rather
than title V-eligible activities.
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The costs of public participation and review (bv the EPA and the affected air agency)! All costs of
notices (or transmitting information) to the public, affected air agencies and the EPA for part 70 permit
issuance, renewal, significant modifications and (if required by state or local law) for minor
modifications (including staff time and publication costs) must be treated as part 70 costs.48
Any costs associated with hearings for part 70 permit issuance, renewal, significant modifications, and
for minor modifications (if required by state or local law), including preparation, administration,
response, and documentation, must be treated as part 70 costs.
All costs for the air agency to develop and provide a response to public comments received during the
public comment period must be treated as part 70 costs.
Any costs associated with transmitting necessary documentation to the EPA for review and response to
an EPA objection must be treated as part 70 costs.49 Also, the costs associated with an air agency's
response to an EPA order granting objection to a part 70 permit and/or the costs of defending challenges
to part 70 permit terms in state court must be treated as part 70 costs.
E. The Costs of Implementation and Enforcement of Part 70 Permits
With some exceptions related to court costs and enforcement actions, the costs of implementing and
enforcing the terms of any part 70 permit must be treated as part 70 program costs.30 Implementation and
enforcement of permit terms and conditions related to part 70 includes requirements for compliance
plans, schedules of compliance, monitoring reports, deviation reports, and annual certifications.
The costs of any follow-up activities when compliance/enforcement issues are encountered should be
treated as part 70 costs. Part 70 costs include such activities as conducting site visits, stack tests,
inspections, audits, and requests for information either before or after a violation is identified (e.g.,
requests similar to the EPA's CAA section 114 letters).
Part 70 costs should include the costs for any notices, findings, and letters of violation, and the
development of cases and referrals up until the filing of the complaint or order. Excluded from permit
costs are enforcement costs incurred after the filing of an administrative or judicial complaint.31
Part 70 costs must also include the costs of implementing and enforcing any restrictions on potential to
emit (PTE) that are included in a part 70 permit, whether they originate in the part 70 permit or were
transferred from a non-part 70 permit, such as a minor NSR permit for a ''synthetic minor source."
48 See 40 CFR § 70.7(h) concerning public participation and 40 CFR § 70.8 concerning the EPA and affected air agency
review.
49 See 40 CFR § 70.8(a).
50 See 40 CFR §§ 70.4(b), 70.6,70.9(b)(l)(iv), and 70.11.
51 See the matrix guidance at page 8.
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F. The Costs of Implementing and Enforcing the Requirements of Non-Title V Permits Required
Under the Act
Part 70 fees must cover the costs of implementing and enforcing the terms and conditions of "other
permits" (n on-part 70 permits) required under the Act, such as prec on struct ion review permits under title
1, that have been incorporated in part 70 permits as "applicable requirements."52
Also, the costs of implementing and enforcing the terms and conditions of consent decrees and orders
that originate in a non-part 70 permit that are incorporated into a part 70 permit must be treated as part
70 costs. See Section 11.A of this guidance.
The costs of implementing and enforcing applicable requirements for "prospective part 70 sources" need
not be treated as part 70 costs until such time as the source submits a timely and complete permit
application and pays fees. In addition, the costs of implementing and enforcing "state-only"
requirements need not be treated as part 70 costs.
G. The Costs of Performing Certain "Other Activities" Related to Applicable Require me nts
Certain activities are required by the Act but are not "applicable requirements" because they apply to the
permitting authority, rather than the source; such activities are referred to as "other activities."53
Examples of applicable requirements that contain these activities include, but are not limited to.
standards for existing sources under section 111(d) of the Act; case-by-case MACT under sections 112
of the Act; and certain activities required by a SIP, FIP, or TIP. including section 110 of the Act. The
costs of other activities must be treated as part 70 costs, if the air agency is required to perform the
activities by part 70, title V, or the air agency's approved part 70 program; if a n on-part 70 rule requires
them to be performed in the part 70 permitting context; or if the activities are needed to assure
compliance with, or to enforce, the terms and conditions of a part 70 permit. The costs of other activities
should not be treated as part 70 costs, if they do not meet any of these criteria (e.g., a n on-part 70 rule
requires an activity that occurs in a non-part 70 context). See Section II.A of this guidance.
H. The Costs of Revising, Reopening, and Renewing Part 70 Permits
All costs associated with processing permit revisions, including for administrative amendments, minor
modifications (fast-track and group processing^ and significant modifications, must be treated as part 70
costs.34 The part 70 costs must include all the costs of reviewing and acting on the application, as well as
implementing and enforcing the revised permit terms.35 The costs of implementing any "operational
flexibility provisions"56 approved into a program to streamline permit revision procedures must be
treated as permit program costs (this may also generally be considered to be one of the costs of
implementing a permit).
52 Required to be treated as part 70 costs in certain cases by 40 CFR § 70.9(b)(l)(iv).
53 Required to be treated as part 70 costs in certain cases by 40 CFR §§ 70,9(b)(l)(ii) and (iv).
54 Required to be treated as part 70 costs under 40 CFR § 70.9(b)(l)(ii), Also see 40 CFR § 70.7 for more on permit issuance,
renewal, reopening and revision procedures.
55 40 CFR §§ 70.9(b)(l)(ii) and (iv).
56 Section 502(b)( 10) of the Act requires the operating permit regulations to include provisions to allow changes within a
permitted facility without requiring a permit revision under certain circumstances. The EPA refers to these provisions as
'"operational flexibility provisions." See 40 CFR § 70.4(b)(12).
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The cost for the air agency to reopen a part 70 permit for cause must be treated as part 70 costs. The
proceedings to reopen a permit shall follow the same procedures that apply to initial permit issuance,
and include a requirement for the air agency to provide a notice to the source of the agency's intent to
reopen the permit.
When the EPA reopens a part 70 permit for cause, the air agency's costs for the proposed determination
of termination, modification, or revocation and reissuance, and the costs to resolve the objection in
accordance with the EPA's objection, must be treated as part 70 costs.
The cost of renewing permits every 5 years, which involves the same procedural requirements, including
public participation, and the EPA and affected air agency review, must be treated as part 70 costs,57 just
as for initial permit issuance.
I. The Costs of General and Model Permits
All costs for development and implementation of general and model permits under part 70 must be
included in part 70 program costs, including the costs of drafting permits, public participation, the EPA
review and any affected air agency's review, permit issuance, publication, assessing applications for
coverage under the general permit, and other related costs.58 Note that the issuance of general and model
permits is an option for air agencies, but if such permits are issued by an air agency under part 70, the
costs must be included in part 70 costs.
J. The Costs of the Portion of the Small Business Assistance Program (S BAP) Attributable to
Part 70 Sources
The SBAP under title V is authorized to provide counseling to help small business stationary sources to
determine and meet their obligations under the Act.59 The SBAP is authorized to provide assistance to
small business stationary sources, as defined by CAAt§ 507(c)(1), under the preconstruction and
operating permit programs; however, air agencies need only to include costs related to assistance with
part 70 in part 70 costs.60 See 40 CFR § 70.9(b)(l)(viii). Allowable costs for part 70 include the costs to
establish a small business ombudsman program to provide information on the applicability of part 70 to
sources, available assistance for part 70 sources, the rights and obligations of part 70 sources, and
options for sources subject to part 70. Allowable costs also include the costs associated with part 70
applicability determinations.
57 40 CFR § 70.9(b)(lt)(ii).
58 Required to be included in part 70 costs by 40 CFR §§ 70.9(b)(l)(ii) and (iv). Also see40 CFR § 70.6(d) for more on the
administration of general permits.
59 For examples of the types of activities of a SBAP that could be attributable to part 70 sources and funded by part 70 fees,
see Transition to Funding Portions of State and Local Air Programs with Permit Fees Rather than Federal Grants, Mary D.
Nichols, Assistant Administrator for Air and Radiation, U.S. EPA, to Regional Administrators, Regions I - X, July 21, 1994
("transition guidance"); Letter from Conrad Simon, Director, Air & Waste Management Division, EPA Region 11 to Mr.
Billy J. Sexton, Director, Jefferson County Department of Planning and Environmental Management, Air Pollution Control
District, Louisville, Kentucky, January 23, 1996 ("Sexton memo").
60 Note that the preconstruction review permitting costs of assisting non-part 70 sources should generally not be included as
part 70 costs, except for costs related to implementation and enforcement of permit terms from a preconstruction review
permit that have been included in a part 70 permit.
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Part 70 costs for S BAP must include the costs for outreach/publications on the requirements of part 70
and/or the applicable requirements included in part 70 permits, the costs of assisting part 70 sources
through a clearinghouse on compliance methods and technologies, including pollution prevention
approaches, and the costs to assist sources with part 70 permitting, which may include the portion of
costs for a small business compliance advisory panel that are related to part 70.
K. The Costs of Permit Fee Program Administration
All costs associated with the administration of an air agency's part 70 fee program must be included in
part 70 costs, including the costs for revising fee schedules (as needed to cover all required costs),
periodic updates, detailed accounting (if needed), determining the presumptive minimum for the air
agency, participating in EPA evaluations of fee programs or similar EPA oversight activities, assisting
sources with fee issues, auditing fee payment by sources, assessing penalties for fee payment errors,
responding to internal audits and inquiries, and similar activities.61
III. Flexibility in Fee Schedule Design
An air agency may design its fee schedule to collect fees from sources using various methods, provided
the fee structure raises sufficient revenue to cover all required program costs.62 Thus, air agencies may
charge: emissions-based fees based on actual emissions or allowable emissions; fixed fees for certain
permit processes (different fees for initial permit review, renewals, or for various types of permit
revisions); different fee rates (e.g., dollars per ton of emissions) for certain air pollutants; fees reflecting
the actual costs of services for sources (such as charging for time and materials for a review); or other
types of fees, including any combination of such fees. Finally, air agencies may charge annual fees or
fees covering some other period of time.
This flexibility for fee schedule design is available without regard to whether the air agency has set its
fees to collect above or below the presumptive minimum. Many air agencies have designed their fee
schedules to collect fees using an emissions-based approach that mirrors the approach of part 70 for
determining the presumptive minimum program cost for an air agency.63 However, air agencies are not
required to charge fees to sources in that manner, and it is possible that such an approach may not
necessarily result in fees that would be sufficient to cover all part 70 program costs.
51 See 40 CFR § 70.9(b)(l)(ii); Overview of Clean Air Title V Financial Management and Reporting - A Handbook for
Financial Managers, Environment Finance Center, University of Maryland, Maryland Sea Grant College, University of
Maryland. Supported by a grant from the U.S. EPA, January 1997 ("Financial Manager's Handbook") (providing an
overview of air agency application of general government accounting, budgeting, and financial reporting concepts to the part
70 program).
62 See 40 CFR § 70 9(b)(3).
63 See 40 CFR § 70.9(b)(2)(f).
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IV. The EPA Review of Existing Air Agency Fee Programs
The initial program submittals involved review of data on expected fee revenue, program costs and
accounting practices that were prospective in nature, since little or no data would have been available on
actual fees or costs at that time.
At this point, the EPA review of air agency fee programs generally focuses on a review ofactual data on
fee revenue, program costs, and review of existing accounting practices. The EPA oversight of existing
fee programs will also likely be conducted as part of a program evaluation, a separate fee evaluation, or
through submittal of any periodic updates or detailed accountings related to fee demonstration
requirements. The EPA has issued a separate memorandum and guidance on part 70 program and fee
evaluations concurrently with this updated fee schedule guidance.^4
Fee evaluations for existing part 70 programs will generally focus on certain key requirements of the Act
and part 70 for fees discussed in Section 1, General Principles for Review of Title V Fee Schedules, of
this guidance. Such reviews may cover certain aspects of air agency accounting practices and procedures
related to fees, particularly fee assessment procedures, tracking of fee collection and revenue uses
(including transfers in and out of part 70 program accounts), whether all part 70 costs are included in the
air agency's accounting of costs, and potentially other accounting aspects.
A fee evaluation may include a review of an air agency's fee program status with respect to the
presumptive minimum defined in 40 CFR § 70.9(b)(2). This may be important in cases where a part 70
program was initially approved to charge above the presumptive minimum, in order to determine if the
air agency is now charging less than the presumptive minimum. This is relevant because 40 CFR §
70.9(b)(5)(i) requires an air agency to submit a detailed accounting to show that its fees would be
adequate to cover the program costs if the air agency charges less than the presumptive minimum. This
requirement is ongoing (not restricted to program submittals).
In addition, the EPA revised the part 70 requirements related to calculating the presumptive minimum to
add a "GHG cost adjustment'' in an October 23, 2015, final rule.65 Although the EPA has announced a
review of this final rule (82 FR 16330, April 4, 2017), the EPA has not proposed any specific changes to
the "GHG cost adjustment." Because air agencies are required to collect sufficient fees to cover the costs
of implementing their operating permit programs, they may still use the "GHG cost adjustment" (as
applicable) in calculating the fees owed to reflect the associated administrative burden of considering
GHGs in the permitting process. The "GHG cost adjustment" is designed to cover the overall added
administrative burden of adding GHGs to the permitting program in a general sense.
6-1 Program and Fee Evaluation Strategy and Guidance for Part 70, Peter Tsirigotis, Director, Office of Air Quality Planning
and Standards (OAQPS), U.S. EPA, to Regional Air Division Directors, Regions 1 — 10, March 27, 2018.
65 The "GHG cost adjustment" was promulgated as part oftan October 23, 2015, final rule titled. Standards of Performance
fir Greenhouse Gas Emissions from New, Modified and Reconstructed Stationary Sources; Electric Utility Generating Units,
80 FR 64510. Specifically, see Section XII.E. 'implications for Title V Fee Requirements for GHGs" at page 64633, See also
40 CFR §§ 70.9(b)(2)(v) and (d)(3)(viii).
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"Presumptive Minimum" Calculation
1. Calculate the "Cost of Emissions." The calculation is based on multiplying the actual
emissions of "fee pollutants"66 (tons) from the air agency's part 70 sources for a preceding 12-
month period by the "presumptive minimum fee rate"67 ($/ton) that is in effect at the time the
calculation is performed.
Air agencies may exclude the following types of fee pollutants from the calculation:
- Actual emissions of each regulated fee pollutant in excess of 4,000 tons per year on
source-by-source basis.68
- Actual emissions of any regulated fee pollutant emitted by a part 70 source that was
already included in the presumptive minimum fee calculation (i.e.. double-counting of
the same pollutant is not required).69
- Insignificant quantities of actual emissions not required in a permit application pursuant
to 40 CFR § 70.5(c).70
2. Calculate the "GHG Cost Adjustment" (as applicable)71 The ';GHG cost adjustment" is the
cost for the air agency to conduct certain application reviews (activities) to determine i f GHGs
have been properly addressed for an annual period. The adjustment is calculated by multiplying
the total hours to conduct the activities (burden hours) by the average cost of staff time ($/hour)
to conduct the activities.
To calculate the total hours for the air agency to conduct the activities, multiply the number of
activities performed in each category listed in the following table by the corresponding "burden
hours per activity factor," and sum the results.72
Table 1. GHG reviews counted for GHG cost adjustment purposes
Activity
Burden Hours per
Activity' Factor
GHG completeness determination
(for initial permit or updated application)
43
GHG evaluation for a permit modification or
related permit action
7
GHG evaluation at permit renewal
10
66 The term "fee pollutants" used here is shorthand for "regulated pollutants (for presumptive fee calculation)," as defined in
40 CFR § 70.2.
67 The "presumptive minimum fee rate" is calculated by the EPA in September of each year and is effective from September
I to August 31 of the following year. The fee rate is adjusted annually for changes in the Consumer Price Index (CP1) and is
published on the following Internet site: htrps;//www.epa.gov/title-v-operating-permits/permh-fees.
68 See 40 CFR § 70.9(b)(2)(ii)(B).
69 See 40 CFR § 70.9(b)(2)(ii)(C). For example, a source may emit an air pollutant that is defined as both a hazardous air
pollutant and a pollutant for which a national ambient air quality standard has been established, e.g., a volatile organic
compound. The actual emissions of such a pollutant is not required to be counted twice for fee purposes.
70 See 40 CFR § 70.9(b)(2)(ii)(D),
71 See 40 CFR §§ 70.9(b)(2)(i) and (v).
II The table shown here is found at 40 CFR § 70.9(b)(2)(v).
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To determine the GHG cost adjustment^ $), the total hours to conduct the reviews (calculated
above) is multiplied by the average cost of staff time ($/hour). The average cost of staff time
must include wages, employee benefits, and overhead and will be unique to the air agency. The
average cost may be known for the air program or may be available from the air agency budget
office or accounting staff.
3. Calculate the Total Presumptive Minimum. The total presumptive minimumt($) for the annual
period is determined by adding the "cost of emissions" (determined in Step 1) and the "GHG
cost adjustment," as applicable (determined in Step 2).
See Attachment B, Example Presumptive Minimum Calculation, for an example calculation for a
hypothetical air agency that incorporates the "GHG cost adjustment."
V. Future Adjustments to Fee Schedules
Air agencies must collect part 70 fees that are sufficient to cover the part 70 permit program costs.73
Accordingly, air agencies may need to revise fee schedules periodically to remain in compliance with
the requirement that permit fees cover all part 70 permit program costs. Changes in costs over time may
be due to many factors, including but not limited to: changes in the number of sources required to obtain
part 70 permits; changes in the types of permitting actions being performed; promulgation of new
emission standards; and minor source permitting requirements for CAA sections 111, 112, or 129
standards. Air agencies should keep the EPA Regions apprised of any changes to fee schedules over
time. The EPA will assess the proposed revision and determine whether it must be processed by the EPA
as a substantial or non-substantial revision. As part of this process, the EPA may request additional
information, as appropriate.
73 40 CFR § 70.9(a).
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ATTACHMENT A
List of Guidance Relevant to Part 70 Fee Requirements
EPA Guidance on Part 70 Requirements:
• January 1992 - Guidelines for Implementation of Section 507 of the Clean Air Act Amend me ntsa-
Final Guidelines, Office of Air Quality Planning and Standards (OAQPS), U.S. EPA. See pages 5
and 11-12 concerning fee flexibility for small business stationary- sources:
hlt'p://\vww.e pa. gov/si tes/production/files/2015-08/documents/smbus.pdf.
• July 7, 1 993 - Questions and Answers on the Requirements of Operating Permits Program
Regulations, U.S. EPA. See Section 9: http://www.epa.gov/sites/production/files/2015-
08/documentsfbhrd_qa I .pdf.
• August 4, 1993 - Reissuance of Guidance on Agency Review of State Fee Schedules for Operating
Permits Programs under Title V, John S. Seitz, Director, OAQPS, U.S. EPA, to Air Division
Directors, Regions I-X ("1993 fee schedule guidance"). Note that there was an earlier document on
this subject that was superseded by this document:
http:fJwww3.epa.gov/ttn/naaqs/aqmguide/colleclion/i5/fees.pdf
• August 9, 1993 - Acid RaimTitle V Guidance on Fees and Incorporation by Reference, Brian J.
McLean, Director, Acid Rain Division, U.S. EPA, to Air, Pesticides, and Toxics Division Directors,
Regions I, IV, and VI, Air and Waste Management Division Director, Region II, Air and Toxics
Division Directors, Regions III, Vll, VIII, IX and X and Air and Radiation Division Director,
Region V: hitp://www.epa.gov/sites/production/filesf20l5-0H/documenis/combo809.pdf
• September 23, 1 993 — Matrix of Title V-Related and Air GrantaEligible Activities, OAQPS. U.S.
EPA ("matrix guidance"). The matrix notes that it is to be '"read and used in concert with the August
4, 1993, fee [schedule] guidance": http://www.epa.gov/sites/productionJfiles/20l5-
08/documents/matrix.pdf.
• October 22, 1 993 - Use of Clean Air Act Title V Permit Fees as Match for Section 105 Grants,
Gerald M. Yamada, Acting General Counsel, U.S. EPA, to Michael H. Shapiro, Acting
Administrator, Office of Air and Radiation, U.S. EPA:
htrpsfJwww.epa.gov/sites/production/files/20l5-08/documents/usefees.pdf
• November 01, 1993 — Title V Fee Demonstration and Additional Fee Demonstration Guidance. John
5. Seitz, Director, OAQPS, U.S. EPA, to Director, Air, Pesticides and Toxics Management Division,
Regions I and IV, Director, Air and Waste Management Division, Region 11, Director, Air, Radiation
and Toxics Division, Region 111, Director, Air and Radiation Division. Region V, Director, Air,
Pesticides and Toxics Division, Region VI and Director, Air and Toxics Division, Regions VII, VI11.
IX and X, U.S. EPA ("fee demonstration guidance"):
http: f/www3.epa.gov/ttn/naaqs/aqmguide/col lection/i5(feedemon.pdf
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• July 21,1 994 - Transition to Funding Portions of State and Local Air Programs with Permit Fees
Rather than Federal Grants, Mary D. Nichols, Assistant Administrator for Air and Radiation, U.S.
EPA, to Regional Administrators, Regions I - X ("transition guidance"):
http://www.epa.gov/sites-/production/files/20I5-08Aiocuments/grantmem.pdf
• August 28, 1994 - Additional Guidance on Funding Support for State and Local Programs, Mary D.
Nichols, Assistant Administrator for Air and Radiation, U.S. EPA, to Regional Administrators,
Regions 1 - X ("additional guidance memo"): http://www.epa.goV/sites/productioti/files:/2015-
08/documents/guidl ine .pdf.
• January 25, 1995 - Options for Limiting the Potential to Emit (PTE) of a Stationary Source Under
Section J12 and Title V of the Clean Air Act (Act), John S. Seitz, Director for Office of Air Quality
Planning and Standards, U.S. EPA, to Regional Directors, Regions 1 - X:
https://www.epa.gov/sites/production/files/documents/Hmit-pte-rpt.pdf.
• January 23,1996 - Letter from Conrad Simon, Director, Air & Waste Management Division, EPA
Region II to Mr. Billy J. Sexton, Director, Jefferson County Department of Planning and
Environmental Management, Air Pollution Control District, Louisville, Kentucky ("Sexton memo"):
hl(ps:/'Jwww.epa.gov/sites/production/files/20l6-04/documents/sexton _l996.pdf
• January 1997 - Overview of Clean A ir Title V Financial Management and Reporting - A Handbook
for Financial Managers, Environment Finance Center, University of Maryland, Maryland Sea Grant
College, University of Maryland. Supported by a grant from the U.S. EPA ("financial manager's
handbook"): http://www.epa.gov/sites/production/files/20J5-08/docimenis/t5jinance.pdf
• October 23, 2015 - Standards of Performance for Greenhouse Gas Emissions from New, Modified
and Reconstructed Stationary Sources: Electric Utility Generating Units: Final Rule (80 FR 645tl 0).
See Section XII.E, 'implications for Title V Fee Requirements for GHGs" at page 64633:
http://www.gpo.gov/fdsys/pkg/FR-2015-10-23/pdf/2015-2283 7.pdf
Guidance on Governmental Accounting Standards Relevant to Part 70:
• Handbook of Federal Accounting Standards and Other Pronouncements, as Amended, as of June 30,
2015, Federal Accounting Standards Advisory Board (FASAB).
http://www.fasab.gov/pdffiles/2015Jasab_handbook.pJf
• Statement of Federal Financial Accounting Standards 4: Managerial Cost Accounting Standards and
Concepts, page 396 of the FASB Handbook ("SFFAS No. 4").
• Statement of Federal Financial Accounting Standards 7: Accounting for Revenue and Other
Financial Sources and Concepts for Reconciling Budgetary and Financial Accounting, page 592 of
the FASAB Handbook ("SFFAS No. 7").
Statements of the Governmental Accounting Standards Board (GASB):
• Statement No. 33, Accounting and Financial Reporting for Nonexchange Transactions (December
1998) ("GASB Statement No. 33"):
http://www.gasb.org/jsp/GASB/Document C. GASBDocumentPage?cid-l 176160029148&accepted
Disclaimer= true.
2
-------
• Statement No. 34, Basic Financial Statements - and Management's Discussion and Analysis for
State and Local Governments (June 1999) ("GASB Statement No. 34"):
http://www.gasb.org/jsp/GASB/Document_C/GASBDocumentPage?cid= 117616002912l&accepted
Disclaimer=true.
3
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ATTACHMENT B
Example Presumptive Minimum Calculation
This attachment provides an example calculation of the "presumptive minimum" under 40 CFR part
70 for a hypothetical air agency ("Air Agency X").i
Background:
•t The "presumptive minimum" is an amount of fee revenue for an air agency that is presumed to
be adequate to cover part 70 costs.2
ot If an air agency's fee schedule would result in fees that would be less than the
presumptive minimum, there is no presumption that its fees would be adequate to cover
part 70 costs and the air agency is required to submit a "detailed accounting" to show that
its fees would be sufficient to cover its part 70 costs.3
ot If an air agency's fee schedule would result in fees that would be at least equal to the
presumptive minimum, there is a presumption that its fees would be adequate to covert
costs and a "detailed accounting" is not required. However, a "detailed accounting" is
required whenever the EPA determines, based on comments rebutting the presumption oft
fee adequacy or on the EPA's own initiative, that there are serious questions regarding
whether its fees are sufficient to cover part 70 costs.4
®t In addition, independent of the air agency's status with respect to the presumptive minimum, at
"detailed accounting" is required whenever the EPA determines on its own initiative that theret
are serious questions regarding whether an air agency's fee schedule is sufficient to cover its partt
70 costs. This is required because part 70 requires an air agency's fee revenue to be sufficient to
cover part 70 permit program costs.5
•t The quantity of air pollutants and the "GHG cost adjustment" are unique to each air agency andt
vary from year-to-year. As a result, the presumptive minimum calculated for an air agency ist
also unique to that particular agency on a year-to-year basis.t
•t No source should use the presumptive minimum calculation described in this attachment to
calculate its part 70 fees.6 Sources should instead contact their air agency for more informationt
on how to calculate fees for a source.t
1 The example calculation follows the requirements of40 CFR § 70.9(b)(2)(i)-(v).t
2 See 40 CFR § 70.9(b)(2)(i).
3 See40 CFR § 70.9(b)(5) (concerning the "detailed accounting" requirement).
4 See 40 CFR § 70.9(b)(5)(ii).
5 See 40 CFR §§ 70.9(a) and (b)(1).
6 See40 CFR § 70.9(b)(3) (providingair agencies with flexibility on how they charge fees to individual sources).
1
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• An air agency may calculate the presumptive minimum in several circumstances:
o As part of a fee demonstration submitted to the EPA when an air agency sets its fee
schedule to collect at or above the presumptive minimum.
o As part of a fee evaluation to determine if an air agency with a fee schedule originally-
approved to be at or above the presumptive minimum now results in fees that are below
the current presumptive minimum. When this occurs, the air agency is required to submit
a ''detailed accounting" to show that its fee schedule w ill be sufficient to cover all
required program costs. Such a change in the presunptive minimum for an air agency-
may occur for many reasons overtime.7
o To update the presunptive minimum amount for the air agency to account for changes
that have occurred since the calculation was last performedaA common reason for an air
agency to do this is to recalculate the arnount to add the GHG cost adjustment.8
The presumptive minimum calculation is generally composed of three steps:
1. Calculation of the "cost of emissions. "aThe "cost of emissions" is proportional to the emissions
of certain air pollutants of part 70 sources.
2. Calculation of the "GHG cost adjustment" (as applicable). The "GHG cost adjustment,"
promulgated in October 23, 2015, is intended to recover the costs of incorporating GHGs into the
permitting program.
3. Sum the values calculated in Steps 1 and2.
7 It has been almost two decades since most part 70 programs were approved. Changes may have occurred since then that
would affect the presumptive minimum calculation for an air agency. For example, changes in the emissions inventory for
part 70 sources or changes to air agency fee schedules. The part 70 rules were also revised in 2015 to add a "GHG cost
adjustment" to the calculation of the presumptive minimum fee.
*See 80 FR 64633 (October 23. 2016); 40 CFR § 70.9(b)(2)(v).
2
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Example Scenario and Calculation:
Air Agency X performs its presumptive minimum calculation in November of2016 using data for Fiscal
Year 2016 (FY16 or October 1, 2015, through September 30, 2016).
Step 1 - Calculate the Cost of Emissions:
The "cost of emissions" is determined by multiplying the air agency's inventory of actual emissions of
certain pollutants from part 70 sources ("fee pollutants") by an annual fee rate determined by the EPA.
A. Determine the Actual Emissions of "Fee Pollutants" for a 12-month Period Prior to the
Calculation.
Note that the term "fee pollutants" used here is shorthand for "regulated pollutants (for
presumptive fee calculation)," a defined term in part 70,9 which includes air pollutants for which
a national ambient air quality standard has been set, hazardous air pollutants, and air pollutants
subject to a standard under section 111 of the Act, excluding carbon monoxide, greenhouse
gases, and certain other pollutants.10 Note that any preceding 12-month period may be used, for
example, a calendar year, a fiscal year, or any other period that is representative of normal source
operation and consistent with the fee schedule used by the air agency.
For example, a review of Air Agency X's emissions inventory records for part 70 sources for the
12-month period (FY16) indicates that the actual emissions of "fee pollutants" were 15,700 tons.
Total "Fee Pollutants"t= 15,700 tons for FY16
B. Determine the Presumptive Minimum Fee Rate (S/ton) Effective at the Time the
Calculation is Performed.
The presumptive minimum fee rate is updated by the EPA annually and is effective from
September 1 until August 31 of the following year. Historical and current fee rates are available
online: h{tps://www.epa.gov!/title-v-opera!ing-permits/permit-fees._Jhe fee rate used in the
calculation is the one that is effective on the date the calculation is performed, rather than the fee
rate in effect for the annual period of the emissions data.
For example. Air Agency X calculates its "presumptive minimum" for FY! 6 in November 2016.
The air agency first refers to the EPA website (listed above) to find the fee rate effective for
November 2016. This fee rate ($48.88) is used in the next step to calculate the cost of emissions.
Presumptive Minimum Fee Rate ($/ton) = S 48.88 per ton.
9 The definition of "regulated pollutant (for presumptive lee calculation)" is found at 40 CFR § 70.2.
10 Note that 40 CFR §§ 70,9(b)(2)(ii) and (iii) provides exclusions for certain air pollutants and includes a definition of
'"actual emissions."
3
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C.aCalculate the Cost of Emissions^
Calculate the cost of emissions by multiplying the total tons of'"fee pollutants" (value found in
A)tby the presumptive minimum fee rate (value found intB).t
Cost of Emissionst= "Fee Pollutants" (tons) * Presumptive Minimum Fee Rate ($/ton)
= 15,700 tonst* $48.88/ton
= $767,416
Value Calculated in Step 1: Cost of Emissionsa= $767,416
Step 2 - Calculate the GHG Cost Ad iustment (as applicable):
The "GHG cost adjustment" is the cost for the air agency to review applications for certain permitting
actions to determine ifGHGs have been properly addressed.
A.a Determine the Number of GHG Activities for Each Activity Category^
Determine the total number of activities processed during the period for each activity category
listed in the following table [based on table at 40 CfR § 70.9(b)(2)(v)].
Activity
Burden Factor
(hours per activity)
GHG Completeness Determinations
(for initial permit or updated application)
43
GHG Evaluations for Permit Modification or
Related Permit Actions
7
GHG Evaluations at Permit Renewal
10
For example, Air Agency X's records were reviewed to determine the number of activities that
occurred for each activity category during FY 16:
•t 2 GHG completeness determinations for initial applicationst
•t 46 GHG evaluations for permit modifications or related actions
(II significant modifications and 35 minor modifications)
•t 20 GHG evaluations at permit renewalt
Note that the activities above are assumed to occur for each initial application, permit
modification, or permit renewal, regardless of whether the source emits GHGs or is subject to
applicable requirements for GHGs. Thus, there were 20 GHG evaluations at permit renewal
because there were 20 permit renewals.
4
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B. Calculate the GHG Burden for Each Activity Category.
The GHG burden for each activity category is calculated by multiplying the number of activities
for each category (identified in A) by the relevant burden factor (hours/activity) listed in the
table above.
GHG Burden = Number of activities * Burden factor (hours/activity)
For example, Air Agency X calculated GHG burden as follows:
• 2 Completeness Determinations * 43 hours/activity = 86 hours
• 46 Evaluations for Mods or Related Actions * 7 hours/activityt= 322 hours
• 20 Evaluations at Permit Renewal * 10 hours/activity = 200 hours
G Calculate the Total GHG Burden (in hours).
The total GHG burden hours are calculated by summing the GHG burden hours for each activity
category determined in B.
For example, Air Agency X calculated total GHG burden hours as follows:
Total GHG Burden Hours = 86 hours + 322 hours + 200 hours
= 608 hours
D. Calculate the GHG Cost Adjustment.
Calculate the GHG cost adjustment for the period by multiplying the total GHG burden hours
(value calculated in C) by the cost of staff time.
GHG Cost Adjustments Total GHG burden hours (hours)t* Cost of staff time ($/hour)
For example, Air Agency X's budget office reported that the average cost of staff time for the
Department of Natural Resources (including wages, benefits, and overhead) for FY16 was
$56/hour.
GHG Cost Ad justmentt= Total GHG burden hourst* Cost of staff time
= 608 hours * $56/hour
= $34,048
Value Calculated in Step 2: GHG Cost Adjustments S34,048
5
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Step 3 - Calculate the Total Presumptive Minimum:
Calculate the total for the period by adding the cost of emissions (value calculated in Step 1) and the
GHG cost adjustment, as applicable (value calculated in Step 2).
Presumptive minimumt= Cost of emission ($) + GHG cost adjust mentt($)
= $767,416 + $34,048
- $801,464
TotalaPresu mptive Minimum= 5801,464
Conclusions
$801,464 is the Air Agency X's presumptive minimum for FY1 6. This value would be compared against
the total part 70 fee revenue for the same period to determine if the total fee revenue is greater than or
less than the presumptive minimum.
6
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Overview
Title V Financial
Management a
A Handbook for Financial Officers
and Program Managers
I ' * „ . ^ -
-------
Acknowledgm ents
The production of this kiokJet is made possible through grant miiitbei
993379-0!-0 from the Environmental Protection Agency to the Maryland Sea
Grant College. We arc particularly appreciative of support from the Office of Air
Quality Planning and Standards and Region III.
Fund accounts andrfinanmi tonus in Appendix A arc from Gmvnmummi
Accounting, Auditing and Financial Reporting, reprinted with permission of the
Government Finance Officers Association, J80 N. Michigan Avenue, Suite §00,
Chicago, II, 60601.
Special thanks to Mark Kelleii for bis help m producing this report.
For additional copies of this himcibook, contact;
Environmental 'Finance Center
Maryland Sea Grant College
University of Maryland
0112 Skinner Hall
College Park, MP.20742
-------
Overview of
Title V Financial
Management and Reporting
A Handbook for Financial Officers
and Program Managers
Produced by
Environmental Finance Center
University of Maryland System
Supported by
U.S. Environmental Protection Agency
Maryland Sea Grant College
January 1997
-------
to 19*17 by Maryland Sea Grant Colli pe
Publication Number UM-SG-CEPF-OT-tB
Produced bv the Environmental Finance Center, University of Maryland System m coop-
eration with the Maryland Sea Grant College, University of Maryland, College1 Park,
The Environmental Finance Center (EPC) Network is an association of six wiivcrsttici.
(realed under KPA sponsorship, providing fmrmce training and educational services to
slate and local officials and small businesses, EFC service?: arc designed to demonstrate
ways til lowering (he cans of, and increasing investments in. environmental facilities and
services. Funding for the network came initially through EPA grantK then Iron) othei
MinrceA as well, Mich a% public agencies and private source t. and from fees for training
courses, materials, and conferences.
The participating institutions! are; the University of New Mexico, University of Maryland
System; Maxwell School at Syracuse I'nivetsity; California State Untversiiy ;« Hay ward;
Cleveland State Untversiiy; and Idaho Universities Policy Group al Boise State.
Printed in ti« United States of America on recycled paper,
-------
Contents
Introduction v
Overview of Title V Program Management Challenge viii
CHAPTER 1
Turn- Keeping and Cost Allocation i
introduction J
Allocating Title V Costs 4
Time Keeping < 7
Lessons Learned by Air Quality Agencies 15
Conclusion . 19
CHAPTER. 2
Accounting Framework lor Title V Programs 21
Types of Funds 23
Government Fund Accounting Reports 29
Accounting for the Title ¥ Program 29
Summary: Pros and Cons of Title V Accounting
Structure Alternatives . 38
C riteria for Evaluating the Need so Modify
an Agency's Title V Accounting Structure 40
CHAPTER 3
Management Reporting and Tracking 43
Introduction 43
Internal Reporting - - 44
External Reporting 49
Conclusion 55
Appendix A 59
Appendix B . >.., . ,...,.....,.,,....,....81
m
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Introduction
Title V of the Clean Air Act Amendments of 1990
(P.L. 103-549) establishes an operating permit pro-
gram for stationary sources of air pollution. Title V
requires that state agencies and local air programs col- [
lect fees from air permit holders to support operation i
of the permit program. Since the passage of the Clean j
Air Art, states have been working diligently to ad- i
dress the many challenges associated with the impie- j
mentation of the Title V program. All states and U. S. j
territories (6) have submitted operating permit pro-
grams io EPA for approval. Most of these programs
have been approved.
Among the myriad challenges confronting slates
in designing and implementing the Title V operating
permit program is the need to address associated fi-
nancial management responsibilities. This document
explores the financial challenges air quality agencies
face when implementing the Title V program. The
goal of the document is to help state. local, and feder-
al air program personnel—especially those with limit-
ed financial management experience—to understand
the fundamentals of financial management and report-
ing. It provides an oveiview of Title V program fi-
nancial management challenges, discusses generally
how states are addressing these challenges, provides
state-specific exampJes of Title V management and re-
porting practices, and discusses pros and cons of vari-
ous approaches to financial management.
Introduction v
-------
This overview report was developed to be an
introductory guide to Key Title V financial manage-
ment responsibilities — but should not be considered
to he formal EPA guidance. The report was devel-
oped through a broadly designed interview-survey
process that explored die state/local application of gen-
eral government accounting, budgeting, and financial
reporting concepts to the Title V program. The prima-
ry target audience for this document includes state and
local air quality agencies that are in the process of de-
veloping or refining the financial management and re-
porting aspect of their Title ¥ programs.
The remainder of this report is presented in five
.sections. The next section provides a brief description
of the Title V management challenges as were identi-
fied through the research phase of the project.
Sections three, four, and five explore the primary fi-
nancial management challenges. The findings of the
study are summarized in the conclusion section of this
report.
How Many Air Programs Are There?
There, are 56 state (including the District of
Columbia and Territories) and 60 local air operating
permit programs in the United Stales. Most states in
the U.S. have a single program account for all air pro-
gram operating procedures, fees, and permits within
their state.
In eleven states there are also local air programs.
Some states allow these local programs to collect and
-------
distribute their own Title V fees. In other states,
however, a state agency collects ail Title V fees and
distributes them to the local programs. In California,
on the other hand, there is no stale program at ail. and
all 34 local permitting authorities submit operating
permit programs directly to the EPA,
There are no multi-state Title V permit programs.
There are. however, some multi-state boards which
discuss certain environmental issues, including air
pollution and Title V permits.
Region States/Territories State Programs Local Programs
Clean Air Act
Operating Permits Programs
Number of
Number of
Number of
IV
V
VI
VII
VIII
IX
X
111
6
4
6
8
6
4
6
7
4
6
4
6
a
6
5
4
6
7
4
0
0
0
10
0
1
2
0
39
8
Total
58
56
60
Introduction m
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Stacks with Local Programs
Number of
Region
State
Local Programs
IV
Alabama
2
IV
Kentucky
1
IV
North Carolina
3
IV
Tennessee
4
VI
New Mexico
1
VII
Nebraska
2
IX
Arizona
3
IX
California
34
IX
Nevada
2
X
Oregon
1
X
Washington
8
Overview of Tille \' Program Management
Challenges
The introduction of the Clean Air Act Tille V Fee
Program presented many challenges to state air quali-
ty agency personnel specifically in the areas of finan-
cial management and reporting. Historically, these
agencies have been involved with the implementation
and management of the Section 105 program, funded
by federal grants. Conversely, Title V does not pro-
vide federal grants to state air quality agencies for
program implementation. Instead, the Title V pro-
gram is designed to be completely self sufficient, rely-
ing on fees received from Title "V permittees to offset
program expenditures. In many eases, the Title V pro-
gram is the first major fee-based program implement-
ed by state air quality agencies.
viii Introduction
-------
Learning to fiscally account for fee-based program
revenues and expenditures is the primary challenge
facing air quality agencies thai have historically dealt
primarily with grant-based programs. Further, these
agencies must now learn to manage fee-based and
grant-based program resources simultaneously. The
Title V program requires stale ait quality agencies to
account for Title V resources in a fashion that segre-
gates them from other air quality programs, requiring
state agencies to review the methods used to account
for program resources.
Based on interviews conducted with state and lo-
cal air program personnel the financial management
and reporting challenges facing Title V program agen-
cies can be broken denvn into three categories:
* Time Keeping and Cost Allocation. As a result ol
Title V, air quality agencies modified procedures for
tracking and distributing labor and non-labor costs
among Title V and non-Title V programs, A key
challenge these agencies face is addressing the
manner in which indirect costs are allocated to
these programs.
* Accounting Fund Structures and Controls. In es-
tablishing the Title V program, air quality agencies
had to select on accounting fund structure for the
Title V program. Different fund structures are rec-
ommended for different types of activity by She
governmental accounting industry. Also, (he fund
structure would need to assure the permit program
is managed as a segregated set of accounts to assure
compliance with the Clean Air Act,
Introduction Ix
-------
4 Internal ant! Externa! Reporting, Finally. those
agencies implementing the Title V program are de-
veloping internal and external reporting procedures
for their stakeholders. Assessing the success of the
Title V program will rely heavily on the use of
sound reporting practices.
These categories follow the natural sequence of
actual financial management activities. First, the flow
of financial information begins with the initial input
of labor cost information in the time keeping process.
Next, financial information is organized in the budget
and accounting system. Finally, the information is
reported in financial and other reports that are gener-
ated for internal and external reporting.
x Introduction
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Chapter 1: Time Keeping
and Cost Allocation
Introduction
Time Keeping
The ability (o accurately track tune spent by em-
ployees is just as important in she government sector
as it is in the private sector. Private sector businesses
need to keep track of whaf their employees are doing
— as well as when they are doing it •— in order to
minimize costs and maximize efficiency. While these
goals are also important for governments, sound time
keeping procedures also allow government accounting
departments and program staff m monitor (he labor
charges from program to program. Government bud-
geting arid accounting is characterized by strict segre-
gation of the numerous programs.
This same argument holds true for the Title V pro-
gram. Funds to be used to pay the engineers, man-
agers, and administrative staff for working on Tide V
casks must come from ihe Title V program. The only
way to ensure the proper segregation of these labor
charges is through the use of an appropriately de-
signed time sheet process, Employees record their
time on a daily basis by using different time codes,
each of which refers to a unique account to which
time is charged. After time sheets are submitted, the
Chapter I: Time Keeping and Cost Allocatitm 1
-------
total labor hours charged to each project can be calcu-
lated, either manually or through a computerized sys-
tem. Mosl importantly, this information can then be
used by accounting staff and managers alike to moni-
tor the status of Title V. Section 105, or any other spe-
cific air quality program.
Cost Allocation
A primary function of any government accounting
system is to record accurately revenues and expendi-
tures as they are realized or incurred. Timely record-
ing or posting of account activity is necessary in order
to ensure up-to-date accuracy of financial reports that
may be scrutinized by a variety of entities. While
timeliness is important when measuring the effective-
ness of an accounting system, it is also necessary to
review the manner in which expenditures are allocated
to various revenue sources. The costs of implementing
a fee-based program such as Title V should be recov-
ered by the revenues realized through the operation of
that same program. In order for this to occur, effective
governmental accounting systems need lo record all
direct and indirect costs associated with program im-
plementation in a manner that allows those costs to be
identified or recognized — as a Title V program ex-
pense, for example. Once the accounting system has
identified the program(s) to which the expense is at-
tributed, the expense can then be allocated., offsetting
the corresponding revenue source(s). Figure 1 graphi-
cally depicts the flow of information associated with
the time keeping and cost allocation process.
2 Chapter 1: Time Keeping and Co&t Allocation
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Figure 1: Cost Allocation
and Time Keeping Activity
Employee carries
out Title V
related activity
Agency identifies
method to allocate
shared costs
between Title V and
other cost centers
M'v!"!Cj ncllvilv to.!1;! j
employ v.1 I
¦:'« time j
oil iii'.i - Mit..." i
Periodically (monthly
or quarterly) charges
are distributed based
on cost sharing approach
{% of total hours speni
on Title V}
Manager oversees
Chapter 1; Time Keeping and Cost Allocation 3
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Allocating Title V Costs
Numerous costs are associated with Title V pro-
gram implementation, all of which can be allocated in
a variety of ways. Direct labor includes those profes-
sionals who can attribute all or a portion of their work
to the Title V program. Indirect labor includes the ad-
ministrative and managerial personnel who provide
general support for the entire air quality division or
department. Direct (non-labor) costs are those costs
incurred through the direct implementation of the Title
V program. Finally, indirect (non-labor) costs are
those costs incurred by the entire air quality division
or department that will benefit all air programs. Ex-
amples of each of these types of expense are present-
ed below.
Expense C nicy on
lixampJes
Direct labor
> Employees responsible for Title V permitting
• Air quality engineers conducting permittee
inspections
Indirect labor
* Managers of air quality agencies
• Air quality agency administrative
support staff
Direct (non-labor t
• Travel expense to visit Title V permittee
• Telephone charges for Title V program tasks
Indirect (non-labor)
* Office supplies for air quality agency
~ Utilities for air quality agency
4 Chopin !: Time Keeping iiru! Cost Allocution
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Din ct Cast Allocution Overview
Allocating the appropriate direct costs to the Title
V program is best accomplished by using time sheets,
either manual or automated, that can interact with the
government accounting system. With such a system in
place, assigning direct costs to various air quality pro-
grams is a straightforward process. Air quality de-
partment employees fill out lime sheets weekly or
bi-weekly to reflect the number of hours spent on var-
ious tasks. By assigning a unique account charge code
to each task, accounting stall are able to track, in de- j
tail, the amount of direct labor charged to each air
quality program. This information allows accounting
departments to reconcile direct labor charges with the !
Title V program budget and also provides Title V pro-
gram managers with information on how labor is be-
ing distributed across various air quality programs
such as Title V. Section 105, and others.
Direct, non-labor charges should be allocated us-
ing the same approach. Air quality employees that
charge direct expenses, such as travel, to air quality
programs can use the same accounting charge code
procedures as for direct labor. |
i
Indirect Cost,\lloi auon Overview
Charging indirect labor and non-labor costs to var- i
ions air quality programs is much more challenging |
than under the direct cost scenario. In order to main- |
tain efficient and accurate accounting practices, air
quality program accountants and managers alike need
Chapter I: Time Keeping ami (osl Allocation 5
-------
to ensure that all indirect costs are recovered, and thai
they are recovered equitably.
The most practical method of allocating indirect
labor costs to Title V and non-Title V programs in-
volves using direct labor charges as an index. Under
this framework, indirect labor charges are allocated to
Title V and non-Title V programs based on the num-
ber of direct labor hours charged to the various air
programs. For example, if Title V direct labor charges
represent sixty percent of the total direct labor charges
within the air quality division, assigning sixty percent
of the indirect labor costs to the Title V program is
justifiable, ft can be assumed that sixty percent of the
secretarial and managerial support time is being spent
on Title V related tasks under this scenario. Percent-
age allocations for indirect labor costs can be adjusted
weekly or monthly, based on the direct labor charges
for that period.
Allocating indirect non-labor costs among Title V
and non-Title V is more complicated. As indirect costs
are to be shared among a variety of programs, they
should be allocated in a manner where the program
receiving the greatest benefit from the source of the
cost is responsible for the majority of the cost recov-
ery, Unfortunately, this presents a tedious and compli-
cated task for accounting staff. Instead, common
practice usually involves the same process as de-
scribed for indirect labor; as the indirect non-labor
costs are allocated based on the percentage direct
labor charged to each program. However, some state
programs use their own discretion for allocating these
6 Chapter1; Time Keeping and Cost Allocation
-------
costs, often treating indirect non-labor costs as general
overhead and charging to each air quality program
equally. Stale-specific approaches to this type of cost
allocation are described in the next section.
State Title V Programs
Accounting personnel from state ah quality divi-
sions across the country were contacted in order to
determine the common practices regarding cost allo-
cation for Title V and non-Title V programs. The ma-
jority of the state air quality agencies interviewed rely
on the methods described and recommended in the
previous section oi' this document when tracking time,
and allocating and recording costs.
The table on page S contains a sample of the suites
contacted and describes their approach to cost allocation.
Time Keeping
Of the state air quality divisions contacted, all but
one require the completion of weekly time sheets to
provide accounting and program staff with a detailed
account of where time is spent during the week. To
complete the time-sheet employees must provide the
number of (direct labor) hours worked daily on each
particular task, each of which identified by its own
unique account/charge code. The level of detail in the
account/charge code system varies from state to state,
but at the very minimum, the Title V program is rep-
resented by its own unique identifier. The majority of
the time sheet systems in the state air quality agencies
Chapter 1: Time Keeping and Cost Allocation 7
-------
Trru- V Cosi Allocation ami Time Keeping Procedures
.Stale Cost Allocation Time Keeping
Maryland Non-Iaboi costs arc allocated
to each program (Title V, new-
Title V, 105) based oil direct
labor charges to each pro-
gram. Maryland's sophisticat-
ed MIS (Management
Information Systems') allo-
cates these costs based largely
on the Program Cost Accounts
iPCAs'j employees use to
charge their time.
Time sheets are used to allocate la-
bor to appropriate account. Title V
will also use the PCA system,which
drives a number of other llscaj re-
ports as well bs. indirect charges.
Time sheet and financial reporting
systems- arc very closely integrated.
Mississippi Non-labor costs are allocated
to each program (Title V, non-
Title V, J 05) based on direct
labor charges to each pro-
gram.
Pre-printed time sheets arc uied and
interface with MIS by account code.
Employees are prevented from
charging non-air-relaied accotmis.
Title V is only one account code —
more detail i& desired by depart-
ment Summary reports distributed
w program managers monthly.
North Non-labor costs are allocated
Carolina to each program (Title V. non-
Title V, 1051 based on direct
labor charges to each pre-
grant
Time sheet system will interface
with new accounting software Time
tracking began in 1994 and divides
staff time into a number of cate-
gories, including Title V. Activity
codes are used to identify' specific
tasks charged to under the Title V
category.
Oregon Non-labor costs, are allocated
to each program (Title V. non-
Title Y, 105) based on direct
labor charges to each pro-
gram.
The sophisticated on-line accounting
system interface? with the employee
time sheet system, using very de-
tailed task codes to refteci employee
charges to Title V.
PcNtisxlvania
Non-laboi costs are allocated
based on program staffers'
recommendations as to the
relative percentages that
should be charged to Title V
& non-Title V. PA is working
on a more exact allocation
svstem.
Time sheets art filled in manually,
hut contain codes correspond tag to
low-level tasks for the Title V pro-
gram, Information is entered into
MIS and reports arc, generated show-
ing expended funds per employee,
per task, etc
8 Chapter J: Hum Keeping and 17m Allocation
-------
are computerized and interface with the other manage-
ment information system! s) (MIS) in place in the
state. This relationship among computer .systems al-
lows timeshcei information, for example the total
number of hours charged to Title V for the week, to
be immediately reflected in the Title V budget system.
Figure 2 shows an example of a completed time
sheet. Id this example, the actual codes and sub-codes
used to segregate tasks correctly are shown in the first
two columns under the "Project" heading. This partic-
ular employee has divided his or her time among six
unique tasks, necessitating six unique account codes,
The first three activities are "NSR" ("New Source
Review") subtasks. The last three project functions
listed are OPP (Operating Permit Program) activities.
The second column lists the operating permit program
activity (section code). Based on this information, ac-
counting and program personnel can review the time
sheet and know exactly how much time was spent on
each task and to what accounts that time should be
charged, all without any guesswork. Figure 2 includes
the actual pages from the same air quality agency that
list and define the appropriate account sub-codes for
the slate air activities including the Title V Operating
Permit Program.
Labor Cos is: I tire'.:!
Direct labor, those hours dedicated to a specific
task, are accounted for usiny the time sheet system
described above. Employees simply enter the number
of hours worked and the account code (or sub-code if
Chapter I: Time Keeping and Cost Allocation 'J
-------
POS # 1008 DEPARTMENT OF ENVIRONMENTAL QUALITY - TIME REPORT - REPORT ENDING 04/15/96
s
I
I
&
¦3
I"
1
3
1
S*.
o
LAST. First NAME t Print)
n-tr,rn? i o\>, inc,statement aftufs
T'K>N1 V NW-S'XEm ?-MFUM ¥$S
{certify to ih>* xLtirment rep«ya»nte \hc hmn worked
by mt Ajjch work dw ?nH wesk «f sfitt pay ftnri
and the paj ?n which f am enfitlfd for ibK pay frrimi
employef signature.
CTRTFFTEH BY _
PROJECT
1
2
3
4
5
6
7
8
9
10
11
12
13 U 15
FUNC.
SECT.
(1
16
17
18
19
20
21 '
22
23
24
25
26
27
28 29. 30
31
TOTAL
N i-
014
2,00
4,00
8.00
6.00
1.00
21.00
NSR
024
3.00
1.00
1.00
8.00
3 00
16.00
NSR
034
1,00
5.00
5.00
2.00
4.00
17,00
OPP
MS
5.00
4,00
;
2.00
7.00
18,00
OPP
PAR
3.00
4.00
1.00
I
j
8,00
OPP
EIF
1.00
7.00
i
,
8.00
I
0.00
•
0.00
;
0.00
I ! :
0.I
V.T.T.
! i
¦¦ ::'.:
S.L.T.
I '.'.J '¦
0.00
M.I.L.
I " i"*1
0. '
A.C.T
|—4—
0.00
] TOTAL HOURS
5.00
8.00
8.00
8.00
8.0
! o.oo
1 0.00
8.00
8.00
8.00
8.00
8.00
15&1® 8.00
0.00
88,00
COMP. EARNED
0.00
-------
applicable.) After the time sheets are submitted and
approved, the actual hours are charged to appropriate
Title V or non Title V program.
Figure 2 also shows total direct labor charges for
an air quality agency employee. The "Total Hours"
line displays the total hours charged for the day and
period (two weeks in this case), while the far right
column "Total" shows the number of hours spent on
each particular task.
Air Quality Division
Time Sheet Budget & Acnvrrv Cooes
June 21,1994
Operating Permit Program
Function Code OPP
Section Code
(Activity) Explanation
INS Facility Inspections and Report
Writing/Staff Review
PAR Operating Permit Application Review
GIF Emissions Inventory/fee Assessment
R£G Regulation and SIP Development for
Stationary Sources
AMM Ambient Monitoring — See March 24,
1994 budget Chargeable Work
Activities for list of activities.
VIS Visibility Monitoring
CEM CEMs Certification and Audits
SKT Stack Tests Witness and Review
Chapter I: Time Keeping and Cost Aitocalhn
-------
CPL Review of Facility Compliance
Reports
SBA Small Business Technical Assistance
Program
EPA EPA Reporting
ML Filing
AQB Air Quality Advisory Board
BPT Budget Preparation and Track]rig
CM] Complaint Investigation (Stationary
Source)
) ENF Enforcement prior to Filing In Court
; ADM General Administrative Duties,
j (Reserved for Administrator
| Secretaries, Program Manager)
New Source Review (NSR) Function Code NSR
Section Code (Project/Activity)
Assigned
I Application # A Unique Application number is
1 assigned for each application corre-
i spending to company name and date
| of application
| ADM General Administrative Duties
i (Reserved for Program Mgr. and
Administrator)
12 Chapter I: Time Kt eping and Cost Allocaium
-------
Non Fee Program (EPA 105 Grant and State Genera!
Fund)
Function Code
(Budget) 105
Section Code (Activity) and Explanation
A MM
ASB
CM I
REG
BPT
ENF
ADM
RAD
RSI
Ambient Monitoring (Sec March 24,
J 994 Budget Chargeable Work
Activities for full list of activities)
Asbestos and Indoor Air
Complaint Investigation (Not related
to stationary sources,)
Regulation and SIP Development (Not
related to stationary sources).
Budget Preparation and Tracking
Enforcement Activities-including ail
enforcement actions for asbestos and
work after filing in court for stationary
sources.
General Administrative Duties
(Reserved for Administrator,
Secretaries, and Program Manager)
Radiological Activities
Railroad Safety Initiative
Labor Costs: Indirect
For most of the air quality agencies interviewed,
the process of allocating indirect labor cost is based
on the direct labor tracking system described above.
Labor costs for air quality division managers and
Chapter I: Time Keeping and Coat Allocation 13
-------
administrative support stall" that are not directly attrib-
utable to a program activity code art- allocated based
on the percentage of total labor charged to each of the
air programs, e.g.. Title V, Section 105, etc. Using
the employee time sheet system, the total number of
direct labor hours charged to each air quality program
is calculated along with the percentage that program
represents of total direct labor charges. These percent-
ages are then multiplied by the total number of indi-
rect labor hours charged for the same period, resulting
in the proper allocation to be charged to each air qual-
ity program. Most air quality agencies interviewed
rely on their MIS to perform these calculations, while
others make the calculations manually.
\!on-labor Costs
Direct non-labor costs are allocated and recorded
differently from state to state. Some agency staff that
were interviewed rely on the time sheet system to
track these costs, usually for travel expenditures that
are to be charged to a particular program, e.g., a Title
V permittee inspection. Other agencies use an inde-
pendent expense authorization system to approve, pay,
allocate, and record direct costs. Regardless of the
subtle procedural differences, all agency staff inter-
viewed use an account/charge code to ensure that the
direct (non-labor) costs are charged to the appropriate
air quality program, a code that usually differs from
that used to allocate and record labor charges within
the lime sheet system, Additionally, all those inter-
viewed relied on their agency's MIS at some level to
charge direct costs to the various air program budgets.
J 4 Chapter I: Tutit Keeping and Costi Allocation
-------
As expected, allocating and recordino indirect
non-labor costs to the various air quality programs
presents it greater challenge to the state agencies con-
tacted. As described previously, indirect non-labor
costs would besi be allocated among various air pro-
grams by assessing the amount of benefit or usage
each program realizes as a result of incurring the indi-
rect cost. Again, measuring the relative contribution of
each indirect expenditure to each air program could
present a unacceptable administrative burden as at-
tempts are made to calculate, for example, the amount
of air conditioning costs to be charged to the Title V
program. Instead, the majority of the state air quality
agencies interviewed relied on the direct labor per-
centage calculation described above in order to allo-
cate their indirect non-labor costs. The remaining
states grouped these indirect noil-labor costs into an
overhead-like category, distributing the costs equally
among all of the air quality programs, Again, all state
agencies contacted rely on their MIS at some level to
allocate, record, and post these costs to the proper air
program budgets.
Lessons Learned by Air Quality Agencies
Although the Title V program is relatively new
and state and local agencies are just now beginning to
implement the accounting procedures necessary to
manage the program, a few lessons* have been learned
that can provide insight for local air quality agencies
as they develop their own programs.
Chapter 1: Time Keeping and Cost Allocation JS
-------
; A {location Methods
I
| Generally speaking, the methods used by various
j air quality ageucies to allocate costs among Title V
; and non-Title V programs have been in use for many
i yean,. The use of time sheets and the practice of in-
j dexing indirect labor and indirect non-labor costs to
i direct labor hours has a long history in both public
| and private sectors. However, most of the agencies
! contacted expressed the desire for a more exact or de-
= tailed approach to indirect cost allocation. While these
' agencies. for the most part, were unable to offer any
: suggestions toward efficient improvements, a few of
: the agencies were in the process of refining their MIS
to allow for greater control over indirect cost alloca-
I tion. using indices in place of or in addition 10 direct
i labor hours.
Some air quality agencies also raised concerns
over direct non-labor cost allocation practices. While
mosl charges are easily categorized and recorded as
Title V, Section 105, etc., some direct charges, espe-
1 cially those shared among programs, are more diffi-
i cull lo allocate. For example, an air quality engineer
I incurs travel expenses for a trip to visit a Title V per-
| mi tree. However, on the same trip, that engineer also
1 performs a site visit under the Section 105 program.
1 To which program should the engineer charge the (di-
| reel) travel costs? Indirect costs would be allocated
[ based on direct labor hours, but travel expenses are
| direct costs and must be charged directly to a specific
j program. In some states, the answer lies in the engi-
I neer's own judgement regarding the extent to which
16 Chapter I: Time Keeping and Cost Allocation
-------
the trip was primarily to conduct one activity or an-
other. Most states have informal policies or practices
in place that result in equal sharing of costs between
air program budget centers such as the Title V pro-
gram and the Section 105 grant program. Regardless
of the process that stales have devised, it is important
to point out that these procedures should be formally
documented and communicated to EPA Regional Air
contacts. Documentation of the piactices will help to
minimize any misunderstandings regarding cost shar-
ing approaches.
.. \ccowuiChargc C odv\
Many air quality agencies expressed difficulty in
implementing the time sheet system with respect to
account/charge codes. Interviews with agency ac-
counting personnel indicated that some time sheet sys-
tems contain too man}1- codes, sub-codes, sub-sub-
codes. etc. for charging tasks under Title V. or non-
Title V programs. In these cases, air quality program
personnel are sometimes inconsistent with respect to
charging time to identical tasks. This problem is ag-
gravated by the fact that few accounting staff persons
are required to understand the subtle differences be-
tween these often technical tasks and are unable to
correct the MIS-coding singlehandedly,
Conversely, about the same number of agencies
claim the account/charge codes are not detailed
enough, with a few air quality agencies using only
one account/charge code for all Title-V'-related tasks.
This weakness leaves air program managers without
Chapter 1; Time Keeping and Cos! Allocation 17
-------
I adequate information concerning the specific tasks
I with which their employees are involved,
! Several agencies indicated that they have, already
j modified their activity code lists to facilitate use and
achieve more accurate recording of time and expense
charges, ft should be expected thai, agencies wilt con-
tinue to modify their activity codes as they gain more
experience with the Title V program and identify
ways of improving the process,
i MJS/Timc Sheet System
...
i Many of the individuals interviewed in air quality
| agencies are currently working to enhance their man-
! agement information systems (MIS) and to expand the
I role of MIS in air quality program management,
i While alt of those interviewed employ MIS to some
! degree, most are moving towards significant system
, enhancements that will present budget comparison re-
; ports, labor distribution reports, and other financial
; comparisons in real time, taking into account ihe most
j up-to-date data in the system. For all of the state air
quality agencies, these enhancements include sophisti-
cated interfaces between the .MIS accounting/finance
i modules and the agency's time sheet system, allowing
; up-to-date information on labor cost allocation among
\ Title V and other air quality programs.
Report R econciliationlRcvie. w
J
! Finally, most of the air quality agencies expressed
I the need for a more thorough review process with
IS Chapter 1: Time Keeping and Cost Allocation
-------
respect to the time sheet system and cost allocation
procedures. Specifically, air quality agency accounting
personnel believe periodic interaction is required be-
tween accounting staff and air program staff" to ensure |
that direct and indirect labor and non-labor charges j
are being allocated and recorded correctly. Because
most accounting personnel are not familiar with the
technical nuances among programs and tasks, the rc- j
view of time and com allocation procedures should in- I
elude air program managers io ensure thai those |
allocations closely mirror actual program aciivities, i
!¦
Conclusion
All of the state air quality agencies referenced in !
this section have been quite successful in implement- j
ing procedures to monitor time and track indirect and
direct costs associated with administering the Title V
program in concen with other non-Title V programs.
Most agencies are relying on methods of cost alloca-
tion that have been in use for many years and yield
j
acceptable results, while other states are working to
improve the procedures further. The fiscal manage-
ment of the Title V program will continue to be re- j
fined by state air quality agencies as program ami j
accounting staff continue to share knowledge and j
expanding management information systems take on
greater roles.
Chapter 1; Time Seeping and Cost Allocation 19
-------
Chapter 2: Accounting
Frameworks for Title V
Programs
Government accounting and financial reporting
practices differ considerably from those found in the
private, commercial sector. Generally accepted ac-
counting principles (GAAP) for government provide
strict guidelines concerning the methods used to man-
age the resources provided by taxpayers. While
GAAP standards for business enterprises are designed
to provide information needed by investors and credi-
tors. GAAP standards for government are intended to
ensure legal compliance as well as security for public
resources. In most cases, GAAP standards are aceom- 1
panieel by state accounting rules that must also be fol- [
lowed, resulting in a multi-layered oversight of the I
government accounting process. |
One of the primary differences between govern-
ment accounting and the private sector is the GAAP-
recommended use of fund accounting. According to
the Governmental Accounting Standards Board
(GASP), a fund is defined as:
A fiscal and accounting entity with a a•elf-balanc-
ing set of accounts recording cash anil of fur
financial resources, together will oil related lia-
bilities and residual equities or balances, and
changes therein, which arc segregated for the pur-
pose of carrying on specific activities or attaining |
certain objectives in accordance with special '
Chapter 2: Accounting Fmmewarks for Title V I'roprumn 21
-------
regulations, restrictions, or limitations. (Source;
GASB Codification of Governmental Accounting
and Financial Reporting Standards. Section 1300)
Simply stated, fund accounting is the practice of
separating the record keeping activity of any number
of individual funds. A fund can be viewed as a fiscal
entity with segregated accounting records used to im-
plement a specific program or activity, A federal
grant, for example, might be accounted for in a sepa-
rate fund. Most state and local governments have re-
lied on fund-based accounting systems for many years
in order to administer and manage a variety of differ-
ent programs.
Understanding fund accounting is very important
to the management of Title V permit programs at the
state and local program level. The assignment of a
specific fund type 10 the Title V program by a state/lo-
cal program establishes the expected level of segrega-
tion from other state funds; the degree to which the
fund is meant to be a self-supporting, business-type
enterprise; and the types of reports that will be avail-
able for internal and external reporting.
This section is designed to familiarize state and lo-
cal program managers with fund accounting as it re-
lates to the operation of Title V programs. It provides
an explanation of fund types that are available for use
by states, describes the accounting approach that
states and local programs are now using, and presents
criteria for evaluating the need to modify a state's ac-
counting structure.
22 Chapter 2; Aremtnting Frum? works fnr Title V Pmgramx
-------
Types of Funds
Jn general, governments can choose from generic
types of funds to manage pi og rams. Tlie.se fund types
are generally divided into foui categories: Govern-
ment Funds, Proprietary Funds, Fiduciary Funds and
Account Groups. Each type of" fund has its own char-
acteristics and is used for different government activi-
ties and programs.
Figure 3 provides a graphical summary of the or-
ganization of government funds.
6'Ovvrmm-nt Funds
The largest fund category, governmenl funds
are used to account for all general government op-
erations, such as fire and police protection, public
works, parks, and recreation. There are five iund
types within this category:
1. The General Fund i^ the chief operating
fund of a stale or local government and is
used to account for all program resources
that arc not accounted for in other funds.
The government uses only one general
fund, containing the majority of its finan-
cial transactions.
2. Special Revenue Funds are used to
account for finances thai are legally restric-
ted or earmarked for specific purposes,
such as the state implementation of an
Chapter 2; Accounting Frameworks jar Titk V Programs
-------
environmental mandate. For example, a
federal grant most likely would reside in a
fund of this type,
GASB states that special revenue fund
types may be used;
to account for the proceeds of specific rev-
enue sources that are legally restricted to
expenditure for specific purposes. (Source:
GASB Codification of Governmental .4c-
countmt» and Financial Reporting Stan-
dards, Section 1300.104)
It should be noted that the definition of a special
revenue fund is permissive, not prescriptive, A
special revenue fund nuty be used under govern-
ment program circumstances described above,
but it is not a requirement. Many governments
do not use speci.il revenue funds, choosing in-
stead to report (restricted) activities in their gen-
eral fund. However, the benefits of special
revenue fund accounting over that of the general
fund will be examined later in this document.
3. Capital Projects Funds account for finances
used for major capital development, Govern-
ments usually prefer to account for these re-
sources in funds separate from other
operations,
4. Debt Service Funds are used to account for
the repayment of government long-term
debt, such as major bond issuances,
24 Chapri-r 21 ccou/Uing Frameworks for Title V Program:;
-------
Figure 3:
Fund Organization Chart
SEate
i. Governmental i
Fund Types
Genera!
Fund
2. Special
Revenue
' 3. Capita!
Projects
4. Debt
Service
: 5.Special jji
^ Assessment i
II. Proprietary i
Fund Types
i
1.
Enterprise
2. Internal
Service
III. Fiduciary
Fund Types
1. Trust and
Agency Funds
Agency
Pension
Trust
: Expendable
Trust
^ Nonexpend-
; able Trust
Chapter 2: Accounting Frameworks for Title V Programs 25
-------
5. Special Assessments Funds account for the
funding obtained through special assess-
ments for public improvements. For exam-
ple, after levying a special assessment tax
for a new sidewalk, the funds are account-
ed for lie re.
Proprietary Funds
In general, proprietary funds are used to ac-
count for those government activities and pro-
grams thai are similar to the private commercial
sector, such as a transportation system or water
system that receives direct payment for services.
1. E/iterprise Funds are used to account for
activities that are operated much like pri-
vate sector business enterprises. Govern-
ments need to charge users for a variety of
public services to recover all or a portion
of the costs associated with a particular
program or activity. Public utilities are a
popular example of an entity fiscally man-
aged within this type of fund.
According to GASB, this type of fund may
be used:
to account for operations (a) that are fi-
nanced and operated in a manner similar
to private business enterprises — where
the intent of the governing body is that the
costs (expenses, including depreciation) of
26 Chapter 2: Accounting Frameworks for Ttitv I' Programs
-------
providing goods or ser\>ices m the general
public on a continuing basis he financed
or recovered primarily through user
charges; or (b) where the governing body
has decided that periodic determination or
revenues earned, expenses incurred, and/or
net income is appropriate for capital main-
tenance, public policy:, numagement con-
trol, accountability, or other purposes,
(Source: GASB Codification of
Governmental Accounting and Financial
Reporting Standards, Section 13(H).104)
The benefits of using enterprise funds
to account for the Title V program will be
presented in the next section,
2. Internal Service Funds account for opera-
tions similar to those found in an enterprise
fund, but for entities that provide goods
and services to other government depart-
ments. Government printing and data pro-
cessing are examples of activities
accounted for in these funds.
Fiduciary Funds
Fiduciary funds are used to account for assets
held by the, government as a third-party trustee or
agent. Examples of the funds accounted for in-
clude government pension plans and willed assets.
Chapter 2; Accounting Frameworks for Title V Programs 27
-------
I. Trust and Agency Funds
• Agency Funds are used to account for
non-government assets or assets be-
longing to another government, such as
a county that collects taxes on a coun-
ty-wide basis,
• Pension Trust Funds account for gov-
ernment pension plans
• Expendable Trust Funds account for
government assets that have been pro-
vided to that government via a trust or
other agreement. Under expendable
trusts, interest and principal may be ex-
pended based on the provisions of the
agreement. Assets left to the govern-
ment are often placed in this type of
fund,
The use of expendable trust funds to account
for Title V program resources will be present-
ed in the next section,
• Nonexpendable Trust Funds are similai
to expendable trusts, except that only
interest earnings may be expended,
leaving the original principal intact.
JiV Chapter 2: Acrnuitllng Framcworls for Title I' Programs
-------
< loveniment lumf Accounting Reports
All of the government funds described abo\e are
designed to ensure effective accounting for public
monies. In order to test this objective, governments
rely on financial reports. Stakeholders, which include
tax payers, government accounting departments and
program personnel to name a few. have a vested inter-
est in the statun of fund resources. The creation ol peri-
odic financial reports such as balance sheets, revenue/
expenditure statements, budget vs. actual compar-
isons, etc. pro\ide important information. More spe-
cifically. these reports can be used to verify that
specific programs, such its Title V, are being imple-
mented efficiently and in accordance with government
accounting standards.
As described in the following section, the reports
that can be generated and subsequently used to account
for the resources of a government program vary slight-
ly based on the specific government fund type used.
Aceotmfmy for the Title V Program !
State and local air quality agencies are concerned
with how Title V resources are managed. First ol all.
agency managers need to know that the program is
being managed in such a way that user fees are cover-
ing program costs. They also need to know that Title
V staff time and expenses are being covered using
Title V resources and. conversely, that non-Title V
program expenses are not being recovered through the
Title V program. Not only is this information valuable
Chupivr 2: Accounting Frameworks for Title V Programs 29
-------
to the air quality agencies administering the Title V
program, but also to a number of other stakeholders,
including the Title V permittees, state and local gov-
ernment officials, USEPA, and flic general public,
each of which has an interest in the efficient and ef-
fective operation of the Title V program.
As long as the particular government fund com-
plies with GAAP and state or local requirements,
there are no restrictions as to which accounting fund
encompasses the Title V program, However, while
there are numerous fund types in governmental ac-
counting, only a few can be considered viable for
Title V accounting based on the GASB definition of
the fund types. In the governmental fund type catego-
ry, possible candidates include the general fund and a
special revenue fund, though it is likely that general
fund accounting for a Title V permit program would
be considered inappropriate because of the lack of
earmarked fund segregation (see below). Capital
Title V Program Accounting;
Appropriate Government Fund Types
fund Category
fiinti Type
Governmental Funds
• General Fund
« Special Revenue Fund
• Enterprise Fund
• Expendable Trust
Proprietary Funds
Fiduciary Funds
30 Chapter 2: Acauiniiny; frameworks for Tith¦ V Programs
-------
projects; debt serviea mid!special fassessment, tlMci s
serve puippscs-xiiisiinilar to'those oft the Titib ¥ pro-
grant,JflitheqTfropne,titrj«; iCutdi cat agon1, fiUu \Vc©«{ ait
infemil serriu'eTimcill Inliitr fund cateuwy. »i
start -miahr.'adopt.an ,«\\peuKfeh 1c intstr bincti rha! could
accciintSbr ibfc.Ti!ldv (iiTigriari Jhitnimatey fiiiiriK,
pension;]0.181 f WMk -.aid iiurkecpumdttble trust. ftuids
woufil'iiot'tibmsecl.'.'V sjimnrsn; 'tidhe fund ivpre j -
He irvncconnf'fcij* itie n?tio V pjnemm is shown* M'-va.' ,
General Fnt>ci
The general fund 'is comprised (if a largiemimftw ;
of accounts assoc iated - with the general .sejwwi^ ;r.t-
quiredby aiw state, or municipality. This fluid iiudinfe.
accoiuitsd#f ©lice, and fire protection, parks, jfiilWic
areas. anrf.:.a«y>,ot.tei-government program 01 acrivitA> ;
that is nor accounted for elsewhere in die acc.fninris;g-
system. If the Title V program were to be fiscally
managed from the general fund, ii would be ideniifetf
as an independent account, separate from other gemo:- ,
al fund accounts. All revenue and expenditure aetiivk-y
such as permit fees (receipts) and the costs of open-it- j'
ing the program (staff salaries, for example) would1 ;i
flow in and out of the Title V account within the •*{£•$>-
eral fund. Funds would not flow 10 or from the ITSfe j
account to or from ianv other general fiiod.aecQMBi;
- - 1!
without some soil' of. legislative approval,.
While, il wrmld be oons'idfened.acceptable. itntfer •
GASB to use tha-gtaieral fund toaceoum fot: dti? Tiide- |
V progmm.-it'is* clearly-iroi the best'ahoictf1.. First of [
al], Title V pmgmnprepotf jug! i» »iot as detailed1 Svfeefi \
itfmr 'Title ¥Pmgrmm<\:ilJ
-------
i using the general fund. Under this scenario, i itie V is
: merely one of a large number of accounts, and while
! general in format ion on the program's fiscal activity is
, available through the general fund financial reports.
[ the information is not as robust as it would be under
J
: another government accounting fund type.
| More importantly, most government general funds
! do not restrict the movement of resources among the
J many general fund account groups and accounts,
: Further, it is a common government accounting prac-
' tice to reallocate program resources among general
! fund accounts. Title V resources must be accounted
for separately, without interaction between any other
accounts, This requirement makes the general fund an
| unattractive option tor Title V accounting.
i Of the state air quality agencies interviewed, none
i uses !he government's general fund to account for the
| Title V program, based on the limitations described
; above. Appendix A contains illustrative general fund
| statements that show the types of reports included as
part of the general fund process,
l The types of general fund reports provided as part
! of a comprehensive annual financial report include the
following:
j The statement of revenues, expenditures, and
changes in fund balance. This statement reports
] the financial performance of the entity over the
| annual reporting period. It. is meant to cormnuru-
' cate the sources, uses, and balances of current
32 Chtiptt'f 2: AiXDUitiitig Pratntwarks for Title V Programs
-------
financial resources used to run general govern-
ment operations.
The balance sheet. This report is best viewed J
as u snapshot in time of the entity's financial posi- |
tion. It presents the balance between governmental j
assets and liabilities and fund equity.
Standard accounting formats include presentation
of combining statements that group all sub-funds into
a summitry report as well as separate statements on j
component units. |
Because Title V is a new program specific lllustra- j
tions of financial statements are not yet available. In j
order to illustrate the way the statements will be pre- j
sen ted, illustrative general fund financial statements j
have been included as an appendix to this report.
Special Revenue I unci
The decision to select one particular fund type
over the others has been primarily credited to historic
precedent. Grant-funded programs and activities, such
as the Section 105 program, have been accounted for j
hv state and local governments through special rev-
enue funds as common practice lor many years. While
the Title V program does not involve {fie management
of federal grants, many air quality agencies have
viewed Title V as a "sister program" of sorts to the |
Section 105 program. Subsequently. Title V resources j
have been managed through the same government ac- j
counting fund type — the special revenue fund — as
Chapter 2: Accounting- Frameworks for Title V Programs 33
-------
the Section 105 program. In nearly all state and local
air programs contacted, the Title V program is man-
aged within a special revenue fund.
Special revenue funds are the backbone of govern-
ment accounting structures, as most governments op-
erate numerous special revenue funds to implement a
variety of programs and activities. As stated previous-
ly, special revenue funds account for financial re-
sources, often in the form of federal grants, that are in
some way restricted or ear-marked for a specific gov-
ernment purpose. The permit fees Chat flow into the
state Title V programs are restricted just as a federal
grant would be. even though these funds originate
from private sector permittees and not the federal gov-
ernment. Because Title V revenues may not he used
for any purpose other than the implementation and
management of the Title V program, a special revenue
fund is an appropriate accounting entity. All revenues
and expenditures flowing in and out of the Title V
special revenue account are used solely for that pro-
gram and may not be co-mingled with any other spe-
cial revenue fund without state legislative approval.
Governments may also account for Title V re-
sources using a Title V account within an existing spe-
cial revenue fund. Under the scenario described
above, the Title V program is accounted for through
the management of its own special revenue fund.
Conversely, governments may account for Title V
simply as an account within a special revenue fund
possessing similar restrictions, such as a Clean Air
special revenue fund that accounts for resources for
,?>/ Clioixcr 2; .-1 ccounting Frameworks for Title V Program.*
-------
Title V it nil non-Title V programs. In this situation, j
Title V (account) resources are restricted for use only
within Title V programs and may not he transferred
outside of the fund without state legislative approval.
This structure is often used for agencies in which the
Title V program is not large enough to justify segrega-
tion into a separate fund.
Wilh only one exception, all state air quality agen- j
cich interviewed use the special revenue fund to ac-
count for the Title V program. Most of the agencies
account for Title V by utilizing a separate special rev-
enue fund (Title V only,), while the remaining use a
separate Title V account within an existing j
gram) special revenue fund. Appendix A presents illus-
trations of special revenue fund reports, Because they
are part of the general fund, they are presented both as
a component of the combining statements for the gen- !
eral fund and as individual special revenue funds.
hntvrpriKc / utnl
Enterprise funds are used to account for govern-
mental programs and activities that are similar in
nature to private sector commercial transactions. Ser-
vices that require a cash outlay from the purchaser, as
opposed to those services provided via tax revenues,
are generally accounted for within enterprise funds.
Good examples of these business-like services are
public transportation systems and public utilities.
Although Title V programs could fall into this catego-
ry, no states are currently using an enterprise fund
structure for Title V programs. Pending changes by
Chapter 2; Acvmmting Frame works for Title \r Programs 35
-------
the accounting regulators may, however, change this
in the near future.
The Government Accounting Standards Board
(GASB) is in the process of modifying the require-
ments for the use of enterprise funds. Due out in raid-
J 997, the new requirements will encourage a broader
use of enterprise fluids for self-supporting activities. If
the new requirements are passed by GASB, it is possi-
ble that Title ¥ programs would need to be classified as
enterprise funds by states to be in full compliance with
GAAP. GASB language as now drafted is as follows;
Bitswe,ss~r\pe activities should be reported as pro-
prietary (enterprise) funds. To provide more con-
sistency among governments, the circumstances
under which enterprise accounting may or should
be used are revised as follows;
Any activity thai charges a fee to users for its
services may be reported using enterprise fund
accounting and financial reporting. An activity is
required to be reported using enterprise fund
accounting and reporting if anv one of these
criteria is met:
a. The activity issues debt that is secured
solely by a pledge of the net revenue from
fees and charges of the activity,
h 0f. i()cai Iaws. ()r re(,}(tari0ns require
that the activity recover the costs of pro-
viding services, including capital usv
charges or debt service, with fees and
charges.
36 Chapter 2; Accounting Frameworks for Title V Programs
-------
c. The pricing policies oft In: activity establish
fees and charges designed to recover the
costs of providing services, including capi-
tal use charges or debt service. (Source:
Preliminary Views of the Governmental Ac-
counting Standards Board on Major Issues
Related to Governmental Financial Report-
ing Model; Core Financial Statements.
June, /995)
Bccau.se Title V permittees pay fees directly to the
Title V program's administering air quality agency, as
opposed to paying for the government program via in-
come taxes or other sources, the program acts much
like a commercial enterprise. Thus, an enterprise fund
may ultimately be the structure used lor Title V fee
programs.
Enterprise' fund accounting includes the use of
financial reports that are not found under other gov-
ernment fund accounting scenarios, providing infor-
mation to stakeholders from a more business-like
perspective. Specifically, enterprise fund accounting
features "Statement of Cash Flows" reports dial would
he useful in showing the movement of resources in
and out of the Title V program. Accounting statements
provided as part of an enterprise fund are included as
part of Appendix A,
Chapter 2; Accounting Frameworks for Title V Prngmms 37
-------
Expendable Trust
Expendable trusts are. employed by governments
to account for resources provided to the government
under a trust agreement for implementation of a spe-
cific objective, These resources are often in the form
of gifts or donations to the government, but have also
historically taken the form, of federal grants. As op-
posed to a non-expendable trust, both principal and
interest of expendable trust resources can be expended
in accordance with the trust agreement.
Title V resources can be accounted for under an
expendable trust structure. While the Title V program
does not provide any gifts or direct grants to be en-
trusted to the state governments, the program does re-
sult in revenue generation through permittee fees.
These fees become the resources of the trust and can
be expended only to implement the Title V program.
One of the state air quality agencies interviewed
uses an expendable trust to account for the Title V
program.
Summary: Pros and Cons of Title V Accounting
Struct ore Alternatives
While the four government fund options discussed
may be used for the Title V program, some are clearly
better than others. The table below summarizes the
strengths and weaknesses of each option for use in the
Title V program.
.i.S' Chapter 2; 4rrounUng Yramrvarhs for Tulr \' Pragrums'
-------
Usage by
fides
Fund T) pa
Strengths
\S c,ikm'SM\s
Ki-portJ
Int'.t vimved
General
Easily imple-
Funds can he
Statement of
None
Fund
mented; alt
moved from
revenues, ex-
states have
one account to
penditures
general funds
another with
and change*.
in place.
ease — a vio-
in fund bal-
lation of Title
V guidelines.
ance; balance
sheetf; budget
vs. actual
Special
Funds are seg-
Creates: anoth-
Statement ot
All states hut
Kcv.iuk
regated Gen-
er reporting
revenues, ex-
one (')6 of 17
Fund
erally itcjuircs
entity; many
penditures,
legislative or
states have
and changes
gubernatorial
numerous spe-
in fund bal-
approval to
cial revenue
ance; balance
move lo bc-
funds. Does
sheets; budge!
iwecn funds.
not report on
cash flow.v
vs. actual.
Enterprise
Behaves
Generally not
Statement of
None
Fiinit
much like a
used for small
revenues-, ex-
commercial
programs such
penditures,
business
as Title V.
and changes
enterprise.
in fund bal-
Emphasis is
ance; balance
balancing
sheets; budget
resources with
vs. actual;
expenses.
statement of
Higher im-
cash flows.
plied level of
segregation.
Allows cash
flow reporting.
r.xpcndahle
Funds arc
Not originally
Statement of
Otic agency
Trust
segregated
intended for
revenues, ex-
0 of 17)
Fund
for specific
fee-based pro-
penditures.
purpose. Pro-
grams, histori-
and changes
vides same
cally used for
in fund bal-
reports as en-
federal grants.
ance; balance
terprise fund
sheets; budget
accounting.
vs. actual;
statement of
cash flows.
Chapter 2: Accounting Frameworks for Tale. V Programs 39
-------
Criteria for Evaluating the Need to Modify an
Agency's Title V Accounting Structure
As most state and local air programs are just be-
ginning to work with accounting procedures for the
Title V program, few have had the opportunity to as-
sess whether or not the selected accounting structure
(fund type) is acceptable in terms of meeting the re-
quirements of the program itself and providing ac-
counting staff and Title V program managers with
information needed to accurately monitor costs.
In order to assess the adequacy of the Title V ac-
counting program, air programs should ask the fol-
lowing questions:
• Does the current accounting structure ensure that
Title V resources are being managed and report-
ed on independently of all other non-Title V pro-
grams?
• Do accounting managers within the state or local
agency foresee any possibility that Title V funds
could be transferred to another account for unau-
thorized use? If so, which fund structure within
the agency provides the highest level of protec-
tion from transfers?
• Does the current accounting structure allow for
the creation of reports that are meaningful to air
quality agency managers and other stakeholders
such as permittees and US EPA?
Chapter 2:, ii'cour.d)iz Framrworks for Title 5' Pnniramf
-------
• Ik the current accounting structure flexible
enough to allow changes in reporting procedures
— for example, to correct any inadequacies?
The answers to these questions may indicate that a
change in accounting structures is necessary in order
to manage the Title V program more effectively,
Chapter 2: Accounting Frameworks for Title V Programs 41
-------
Chapter 3: Management
Reporting and Tracking
Introduction
Managerial reporting is one of the most important
activities in both the private and public sectors. The
presentation of current, accurate information to the j
stakeholders of a private business or government
program can literally make the difference between
bankruptcy for the private business or program in-
effectiveness for a government agency,
Many academics and business leaders alike agree !
that information is the most important resource in any
entity, private or public. For example, a manufactur-
ing business needs information on how costs are alio- !
cated among different products, just as Title V
program managers are interested in identifying how
program personnel spend their time among Title V
and non-Tide V programs. These examples reflect the
need for 'internal" reporting — providing information
to those within the organization.
Similarly, information is required by those outside
the organization that have an interest in the success of
the program. A bank is not going to loan a business
millions of dollars without first taking a look at the fi-
nancial position of the operation. Similarly, stakehold-
ers in the Title V program including permittees, the
state legislature, and the federal government need
Chapter 3: Management Reporting and Tracking 43
-------
to know that financial resources are being used as
intended by the U.S. Congress in the Clean Air Act.
These two examples show the necessity of "external"7
reporting — providing information to stakeholders
outside of the organization.
This section represents the third of the three steps
in the natural sequence of financial management and
reporting activities. Internal and external reporting
logically follows the activities that occur in the first
two steps. To recap, the first step involves gathering
the accounting information via tools such as time
sheets and recording the direct and indirect labor and
non-labor costs as they are incurred. The second step
emails introducing the cost information to the particu-
lar government fund put in place to manage the Title
¥ program. Once the information has been gathered
and posted to the fund, it is time to put that informa-
tion to work in the form of financial reports for inter-
nal and external usage.
Step 1: Gather time keeping/cost allocation
information
Step 2: Post information to Title ¥
accounting fund
Step 3: Develop internal and external
financial report;;
internal Reporting
Internal reporting procedures allow important pro-
gram and accounting information concerning the Title
J-4 Chattier 3:
Management Reporting and Tracking
-------
V program to be disseminated throughout the air pro-
gram. This sharing of information accomplishes sev-
eral important objectives, including; (!) it allows
program and accounting personnel to understand the
status ot the Title V program in a timely manner, and
(2! it helps identify those areas of the Title V program
in need of modification or improvement. This second
point is significant as the Title V program is quite new
and its constant improvement will require the sharing
of information throughout the administering agency.
The I 'inancial Reporting System
As described above, financial reporting represents
the third of three main steps to the financial manage-
ment and reporting process. Subsequently, the activity
that occurs in this final step is a function of what hap-
pens in the first two, Most financial reporting systems
are set up to provide a siandaid set of budget and fi-
nancial statement reports for internal users, based on
the type of governmental accounting fund in use. For
example, if the Title V program is accounted lor as a
special revenue fund, the standard reports accessible
via the accounting system include balance sheets,
statements of revenues, expenditures and changes
in fund balance, and budget versus actual reports.
The reports, usually generated monthly, are based on
(1 (the information provided through recordation of
permit fee receipts, time sheet and cost allocation
practices and (2) the type of government fund in use
for Title V accounting, Because of governmental ac-
counting standards, all air programs have the ability to
create these reports through their accounting systems,
showing Title V-specifie information. Some have the
Chapter 3; Mantigrmeiir Report in? ami Tracking 45
-------
[ ability to access the information on line. Appendix A
shows examples of the types of standard reports thai
can are generated through the government financial
reporting system,
Specialized Financial Reporting
The reports described in the previous section are
very important to the air program staff, providing in-
formation concerning Title V fund account balances
and actual expenditures and revenues to date. Inter-
views conducted with air program staff revealed,
however, that reports customized to fit various indi-
vidual needs of the users beyond those offered by a
traditional reporting system can also be extremely
useful. For some agencies, these specialized reports
include:
• Summaries of Title V obligations and
encumbrances
• List of permittees and fee revenues generated
• Account balances by object code
Specialized reports such as these are extremely use-
ful to air program managers as they implement a new
program such as Title V for two main reasons. First, the
nature of a fee-based program involves constant moni-
toring of the balance of revenues and expenditures, ne-
cessitating up-to-date information on permit fee
revenues and labor cost allocation, for example. In or-
der to recognize whether or not the permit fees are ade-
quately offsetting program expenditures, a specialized
level of reporting is needed. Second, specialized reports
46 Chapter J." Management Reporting and Tracking
-------
can be used to monitor internal performance character- (
isties of the Title V program itself. The amount of di-
rect labor spent per Title V permittee, for example, may
be useful information to Title V managers as would a
summary of Tide V indirect cost allocation.
While most of (he agencies interviewed desire
the ability to generate custom reports, few are able to
accomplish this objective with their current manage-
ment information systems (MIS). For many states, j
geneiating customized reports entails bubmitting a for- j
mal request to the accounting or MIS department thai
describes the financial information requested. De-
livery of the report can take up to two weeks in some
cases, often resulting in information that is too dated
to be of much use. A few states, however, have so-
phisticated MIS in place that allow a large variety of
specialized financial reports to be generated on-Jine.
in real time. In these cases, the financial reports re- j
fled the most up-to-date information possible. [
The slate of Wyoming provides a good example of
the usefulness of customized financial reports. Three
diHerein financial reports are generated by Wyoming's
MIS. Each of the reports displays accounting infor-
mation not contained in the standard special revenue
fund reports described in the previous section,
Wyoming's system provides another filter to the data,
subsequently giving Title V program managers de-
tailed information on the status of their fee-based pro-
gram. The first page of the system includes a
Summary of Obligations representing the costs with
the amount expended or encumbered, and the remain-
Chuplvr 3; Management Kiportuif; ami Tracking 47
-------
ing balance. The last line of (lie first page shows the
Title ¥ fees that are available to cover these costs.
This information is crucial to managers of a fee-based
program, as it provides cash flow information. The
last two financial reports present detailed information
on Title V permit program expenditures, again, infor-
mation thai is more detailed and more useful than the
standard special revenue fund reports.
Summary: Inte rnal Reporting
In order to effectively manage resources. Title V
agencies need access to different types of internal re-
ports: those general purpose statements that are avail-
able through the government fund accounting system,
and specialized financial reports that can be created
by Title V managers to provide detailed information
lacking in the general purpose reports. Generating
customized financial reports is best accomplished
through the use of a sophisticated MIS that can pro-
vide the detailed information on-line,
Interviews of air program personnel yielded the
following general information regarding internal re-
porting:
• Most Title V programs are incorporated into
state environmental department-wide general
purpose financial statements (balance sheets,
statements of revenues and expenditures, etc.) on
a regular basis, via their government fund ac-
counting systems. Financial reports specific to
the Title V fund can be requested by state or lo-
cal permit program managers.
48 Chapter 3; Management Reporting and Tracking
-------
• Most Title V agencies expressed the need for
more specialized internal financial reports.
• A few agencies have the ability to generate de-
tailed, specialized financial reports by using .so-
phisticated MIS; the remaining must submit
formal requests for such customized reports and
sometimes must wait weeks to receive them.
As air programs begin to identify areas for im-
proving their implementation of the Title V program,
the v ariety and detail of internal reports will most
likely increase,
KxUtikiI Reporting
External reporting is the practice of providing in-
formation lo entities outside of a business or agency.
For various reasons, stakeholders like to be kepi in-
formed as to the financial status of a public or private
entity. For the Title V program, stakeholders that may
wish to review the administering agency's financial
reports include Title V permittees, state legislatures,
or USKPA.
Title V Kxwrual licpurtin^ Status
In general, external reporting procedures lor the
Title V program have yet lo be developed lor a couple
of reasons. First, as the Title V program is relative!)
new, states have been concentrating on designing and
implementing the program itsell. In order for external
reporting to be meaningful, Title V program adminis-
trators first need to get the program established and
Chupitr 3: Altmagemaii Reporting and Trucking 41
-------
develop measurement criteria that stakeholders will
find useful. Secondly, Title V stakeholders have yet to
place external reporting demands on the air programs.
Stakeholders. Title V permittees in particular, appreci-
ate the fact that the program is still under develop-
ment and agency personnel are concentrating on
implementation for the time being,
(Unrmmcutal Reporting Procedures
Any description of external reporting responsibili-
ties for government agencies would be incomplete
without mentioning the CAFR. The Comprehensive
Annual Financial Report (CAFR) is a detailed report
that encompasses the fiscal activity of every fund and
account group used by the government. The National
Council on Governmental Accounting (MCGA) re-
quires completion of a CAFR each year to provide very
detailed accounting information, to a wide audience. In
addition to the information concerning government ac-
counting activity for the year, the CAFR also presents
other general and statistical information. A key charac-
teristic of the CAFR is that it presents audited financial
statements for the state or local government.
Through the structure of government fund
accounting and management information systems, ac-
counting information on the Tiiie V program is pro-
vided to tipper levels of the governmental entity.
This information is then summarized and becomes
part of the CAFR. In most cases, the Title V-specific
information is not readily identifiable in this report,
even though many Title V programs are accounted for
St) Chapter 3: Management Reporting mid Tracking
-------
in their own special revenue funds. While the CAFR
presents information on all special revenue funds,
most Title V programs are far too small in comparison
to other funds to be listed separately. Subsequently,
the Title V accounting information is buried within
another special revenue fund summary.
External Oversight ComimiUt s
As mentioned above, typical external reporting
techniques have yet to materialize for the Title V pro-
gram. However, many agencies have formed external
(third-party) oversight committees lo help monitor the
fee-based Title V program from a multiple-stakehold-
er perspective. These committees will most likely be
the impetus to the development of external reporting
procedures. A number of the agency personnel inter-
viewed have set up these committees, which are com-
posed of Title V permittees, state legislators, and other
regulatory representatives. The mission of the over-
sight committees is lo help the Title V administering
agency develop a program that addresses the needs of
all stakeholders, one of those needs being the access
to information.
To restate, stakeholders have'yet to put pressure
on Title V agencies for external reporting. As the Title
V program takes shape, stakeholders will become
more, interested in receiving up to dale program infor-
mation such as:
* Current fee levels
• Costs associated with program implementation
Chapter J; Management Reporting and Tracking SJ
-------
• Expenditure and revenue reconciliation
- Various performance indicators
Simply staled, the stakeholders, especially those
that have mobilized into forming oversight commit-
tees, will want to know where their fees are going anu
how efficiently they are being used to administer the
fee-based Title ¥ program.
External Reporting: Measuring Performance
A challenge thai will face Title V agencies as they
develop external reporting procedures is identifying
and measuring program performance criteria. Once
Title V programs ate implemented and underway, it is
safe to assume stakeholders will soon be demanding
financial and performance-based reports. Title V
stakeholders may desire performance-based reports
that answer questions such as:
* How many labor hours does it take to implement
the Title V program foe each permittee?
* How many days does it take to review a Titie V
permit?
* Are Title V-related labor and other costs decreas-
ing or increasing over time compared to work-
load?
The air programs must take great caie when devel-
oping their external reporting program, as the applica-
bility of cost and performance data may vary widely
across the Title V program. For example, a report
showing the relationship between the total number of
52 Chapter J: Management Reporting and Tracking
-------
permittees and tlie annual cost of Tifle V program irn- I
piemen tation may provide misleading information as j
the required amount of labor hours (cost) may vary
among Title V permittees. !
For the most pan, the benefits of performance I
tracking outweigh the potential pitfalls described I
above. States should work hard to develop external re- j
porting processes that provide meaningful measures of
performance, while still meeting the needs of Title V
stakeholders. j
t
External Reporting: Sew York as Examph
The State of New York's Department of Environ- J
mental Conservation develops an annual report for the j
New York State Operating Permit Program (Title V), j
Selected portions are included in Appendix B. The |
New York report is a useful example of external re-
porting in practice. Presented each year to the New
York State Legislature, the Governor and the Office
of the State Comptroller (stakeholders), the report I
summarizes the Title V program's activity and in-
cludes both fiscal and performance-based criteria,
such as the estimated versus actual costs of program j
implementation, the average number of permits issued j
annually, as well as future fiscal year projections.
Summary: External Reporting
i
Most agencies are in the process of implementing
and refining their Title V programs and have not yet
addressed external reporting. How ev er, based on the
Chapter 3: Management Reporting mid Tracking 53
-------
interviews conducted, the- following similarities have-
been identified:
« Stakeholders such as permittees and regulatory
agencies have not. yet demanded external report-
ing from the Title V agencies as the program
continues to he implemented.
8 Governmental fund accounting systems support
externa] reporting to be used for the
Comprehensive Annual Financial Report
iCAFR). However, due to the relatively small
size of the Title- V program, it is rarely identified
in the CA.FR.
* Some agencies have organized oversight com-
mittees to provide feedback to Title V-adminis-
tering agencies. These committees will be the
driving force in the creation of external reports
for stakeholders in those states.
• Agencies will need to begin to develop external
reporting to respond to requests from stakehold-
ers.
$•/ Chapter J; Management Reporting and Tracking
-------
CONCLTSION
The Clean Air Act Title V Operating Permit Program
presents new requirements for state and local air quality
agencies. Most of these requirements are a challenge to
agencies that have historically managed grant-based pro
grams such as Seetion J 05, Fee-bused programs need
special considerations in terms of time keeping, eoxi al-
location. accounting fund type selection, and report ing,
This study found thai .state and local air programs
are making great snides in addressing the many finan-
cial management challenges associated with the Title V
program. However, because the program is beginning
the implementation phase, it is likely that state ami lo-
cal program,s will need to adjust the financial manage-
ment of the program as they gain more experience.
Conditions in the three primar) financial manage-
ment activities identified in the study are as follows:
I. Time Keeping and Cost Allocation
• Air quality agencies must refine procedures
for tracking labor and non-labor costs among
Title V and non-Title V programs. Of those
interviewed, all but one agency utilize time
sheets to record labor costs incurred for Title
V and non-Title V programs, Some of (he.se
systems are very sophisticated and interact
with the management information system
(MIS) to generate detailed reports.
Conclusion J5
-------
* These agencies must also address the manner
in which indirect costs are allocated to these
programs. All individuals interviewed have
procedures in place to record and allocate in-
direct labor and non-labor costs to appropri-
ate Title V and non-Title V program
accounts. State and local programs would
benefit from documenting these procedures if
they have not done so.
Accounting Fund Structures and Controls
•Air quality agencies must review their ac-
counting structures and assess whether the
current procedures are adequate for managing
the resources of a fee-based program or if
new accounting methods are required for pro-
gram efficiency and/or compliance with Title
V requirements,
• All agencies interviewed are currently em-
ploying acceptable methods of accounting for
Title V resources independently of non-Title
¥ programs. All but one of the agencies in-
terviewed rely on special revenue accounts
for Title V program management, while the
remaining agency accounts for Title V via an
expendable trust fund. Agencies should be
aware that government accounting regulators
may impose a fund definition that would ne-
cessitate a change in the Title V fund struc-
ture — changing Tide V to an enterprise
fund, Such a change will result in financial
-------
reports for Title V that more closely reflect
the fact thai the Title V program is user fee
supported.
3. Internal and External Reporting
• Agencies are challenged with identifying the
financial data they require in internal program
reports to manage the program. While the
budget process will provide regular reporting
on encumbrances against account codes, other
detailed information will be available through
the accounting system to evaluate costs and
revenues on a regular basis.
• Many state and local programs have yet to be-
come adept at manipulating the accounting
system to provide management information.
However, where programs are further along in
implementation, it seems that internal track-
ing information is more readily available.
• External reporting is an area that, to a great
extent, has not developed at the state and local
level. As the programs move from the start-up
period to the operation period, interests in pro-
viding external information will increase.
While there are difficulties in overly simplistic
performance measures that do not consider the
normal variability of individual activities, the
development of useful summary performance
information is a worthwhile endeavor that
Title V programs should undertake.
Conclusion 57
-------
I
L
Appendix A
Hxccrptcd from Governmental Accounting, Auditing and Financial j
Reporting (Government Finance Officers Association),
Appendix A 59
-------
General Fund
The general fund is used to account for resources, traditionally
associated with government, which are not required legally or by
sound financial management to be accounted for in another fund.
Namk of Government
General Fund
Comparative Statements of Revenues, Expenditures
and Changes in Fund Balances
For the fiscal years ended December 31,19X4 and 19X3
(amounts expressed in thousands)
T9X4 19X3
Revenues:
Taxes:
Property $14,133 $13,886
Sales 6,642 5,253
Franchise 4,293 4,126
Licenses arid permits 2,041 1,820
Intergovernmental 5,770 4,469
Charges for sen/ices 2,300 2,335
Fines 808 521
Interest 623 476
Contributions 145 —
Payments in lieu of taxes 365 314
Drug forfeitures 75 -
Total revenues 37,195 33,200
Expenditures:
Current:
General government 4,232 3,844
Public safety 13,438 13,150
Highways and streets 3,735 3,389
Sanitation 3,726 3,404
Culture and recreation 5,899 6,167
Debt sen/ice:
Principal 15 -
Bond issuance costs 150 —
Total expenditures 31,195 29,954
Excess of revenues over expenditures: 6,000 3,248
(id Appendix A
-------
19X4 11X3
Other financing sources (uses):
Operating transfer in-electric fund 1,576 —
Operating transfers out
Debt service fund (3,32?) (3,331)
Pipeline construction fund (1,210) —
Component unit (25) —
CDBG revitalization project fund (63) —
Capita! leases 140 —
Sales of general fixed assets 5 —
Total other financing sources (uses) (2,094) (3,S31)
Excess (deficiency) of revenues and other financing
sources over (under) expenditures
and other financing uses 3,096 (85)
Fund balances, January 1 1,807 1,892
Residual equity transfers out-fleet
management fund (45) —
Fund balances, December 31 $4,858 S 1,807
The notes to the financial statements are an integral part of this statement.
Appendix A 61
-------
Namk ok Government
Gf.nkral Funu
Comparative Statements of Revenues, Expenditures and
Changes in Fund Balances - Budget and Actual
For the fiscal years ended December 31, 19X4 and 19X3
(amounts expressed In thousands)
19X4 — -—19X3-
Variance Van i nee
FifortMi Fsvwibte
Budget Actual (unfavorable) Budget Actus! (Unfavorable)
Revenues
Taxes:
Property
114,007
$14,133
S 128
313,844.
$13,886
$42
Sales
5,900
6,642
742
5, OS
5253
55
Franchise
4,312
4,293
(13)
4,124
4,126
2
Licenses end parrwis ..,
1,02?
2,041
214
1,503
1,620
317
Intergovernmental
5,661
5,770
109
5,395
4,469
(926}
Charges for services
2,1 S3
2,300
142
2,085
2,335
240
Floes
810
808
(2)
487
521
34
Interest
555
S3
60
529
476
(44)
Contribullona ,.
_
14S
145
—
_
_
Paymants In lieu of taxes .,
345
365
20
314
314
0
Drug torfsitures
_
75
75
_
_
_
Total revenues
35,575
37,195
«,620
33,450
33,200
(280)
Expwtfilurta:
Current:
Genera! Government
Council
110
92
16
94
113
119)
Commissions
88
84
22
71
63
8
Manager
4S0
505
(151
426
414
12
Attorney
360
387
(7)
218
206
to
Clerk
275
250
25
247
237
10
Personnel
356
304
52
274
249
25
Finance and admin
904
86B
36
648
830
16
Other-unclassified
2,256
1,762
494
1,884
1,732
152
Total general gov'i
4,86?
4,232
626
4,058
3,844
£14
Public safety:
Police
6,513
6,354
159
6,026
8,801
(775)
Fire
6,040
6,031
9
5,521
5,415
106
Inspection
1,092
1,053
3S
970
334
36
Total public safety ,,
13,645
13,438
207
12,517
53,150
(633)
Highways and Streets:
Enoineering
014
796
18
777
762
IS
Maintenance
3.052
2,939
113
2,681
2,627
64
Tola! highways & SB,,..
3,866
3,735
131
3,458
3,389
69
Sanitation
3,848
3,726
122
3,428
3,404
22
Culture & recreation
5,950
5,899
51
5,477
5,167
(690)
f>2 Appendix /t
-------
——-19X4 — —19X3 —
Variance Variance
Favorable Fawrabte
: ¦ ¦ ¦ ¦ ¦¦¦ . Budge! Actual |Unf ¦
Depl se^ite:
Principal
-
.;-5i
—
—
Bond issuance costs
150
Wj
0
—
Tolal deb! service
150
•Br
05)
—
—
Total expenditures
32,316
51 'PS
1.1 ei
2£ 936
£9 95^
11,013}
Excess of revenues
over expenditures .,,
SJ59
s.csri
£,?ji
4 5.14
8.24C'
itmi
Other financing sources (uses);
Ooerat ia transfers (n
1,576
1,576
r»
--
—
Operating iiansletr out:
Debt service (una
(3.400.
7, 1,2101
%
—
Comportfcr' unii
-
i25)
(25»
—
CDBG re'/italizatiori proj, ,
—
,F,S:
i6?i
—
Capita; leases
-
i
-------
Na.vih of Government
Gknkrai. Fund
Comparative Balance Sheets
December 31» 19x4 and 19x3
(amounts expressed in thousands)
19X4 19X3
Assets $3,097 $ 557
Cash and cash equivalents 2,091 1,226
Investments
Receivables (net of allowances for uncollectible®):
(merest 92 48
Taxes:
Property 88 74
Property—interest and penalties 11 4
Liens 25 19
Sates 330 800
Accounts 72 59
Intergovernmental:
Federal — 150
County 215 127
Due from other funds:
Transportation fund ,. — 38
Water and Sewer fund 65 193
Fleet management fund 8 —
Due from componenl unit 12 —
Iriterfund receivables:
Fleet management fund 8 —
Management information systems fund 24 —
Inventories 39 37
Advances to other funds:
Fleet management (unci 32 -
Management information systems fund 46 50
Tolal assets 6,753 3,382
64 Appendix A
-------
19X4 19X3
Liabilities and fund balances
Liabilities:
Accounts Payable 88?
Compensated absences 225
Contracts payable 67
Due to other funds:
Pipeline construction fund 335
Water and sewer fond 37
Fleet management fund 47
Management information systems tad 57
Deferred revenue:
inleresl — 48
Property taxes — 24 75
Interest and penalties-property taxes 10 8
Tax liens 25 19
Federal government 181 85
Tots! liabilities 1,895 1,575
Fund balances:
Reserved for encumbrances 320 211
Reserved for senior recreation program 145 —
Reserved for drug enforcement 75 —
Reserved for advances 78 50
Unreserved, undesignated ........ 4,240 1,546
Total fund balances 4,858 1,807
Total liabilities and fund balances 6,753 3,382
The notes to the financial statements are an integral part of this statement.
Appendix A 65
-------
Name of Government
Special Revenue Funds
Combining Statement of Revenues, Expenditures and
Changes in Fund Balances
For the fiscal year ended December 31,19x4
(With comparative totals for the fiscal year ended December 19x3)
{amounts expressed in thousands)
—Totals—
15x4 19x3
Parks CDBS
Trans- Main- Revitali-
portation tenance zatiori
Revenues:
Motor fuel tax; 729 — —
Alcoholic beverage tax 798 — 739
Intergovernmental — 100 — 338
Interest 77 39 —
Donations ..... — 148 —
Total revenue 906 987 338
Expendiiures:
Current
Highways and streets 742 — —
Economic and physical
Development - — 401
Culture and Recreation — 1,001 —
Total expenditures 742 1,001 401
Excess (deficiency) of revenues
over (under) expenditures 184 (14) (63)
Other financing source:
Operating transfer:
General fund — — 63
Excess (deficiency) of revenues and other financing sources
over (under) expenditures and
other financing uses 164 (14) —
Fund balances, January 1 744 480 5
Fund balances, December 31 ..... 900 466 5
The notes to the financial statements are an integral part of this statement.
729
651
438
116
149
2,231
742
401
1,001
2,144
87
83
150
1,229
1,379
355
28
70
239
1,343
28
805
633
710
71
514
1,229
6 ft Appendix A
-------
Special Revenue Funds
Special revenue fund,1, are used to account for specific revenues
that are legally restricted 10 expenditures for particular purposes,
Transportation Fun J — This fund is used to account for the
government's share of motor fuel tax revenues and special state
prants that are legally restricted to the maintenance of state high-
ways within the government's boundaries.
Parts Maintenance Fund •— This fund is used to account for
private donations and alcoholic beverage tax revenues (.approved
by voters ir, J9X3) that are specifically restricted to the mainte-
nance of the government's parks.
CDBG Revitalizaiion Project Fund — This fund is used to ac-
count for the community development block grant that is funding
the revitalization project for substandard housing in the govern-
ment's jurisdiction
Appendix .4 ft?
-------
Name of Government
Special Revenue Funds
Combining Balance Sheet
December 31, 19x4
(with comparative totals for December 31,19x3)
(amounts expressed in thousands)
Parte
CDBG
Trans-
Main-
Revttalt-
—Totals
portation
tenance
Mttlon
11*4
19x3
Assets
Cash and cash equivalents
65
146
211
188
Investments
. 1,174
403
_
1,577
1,144
Interest receivable
1
1
—
2
12
Cash-restricted
_
4
4
Intergovernmental raceivatte
restricted
—
19
19
5
Total assets
1,240
550
23
1,613
1.349
Liabilities and fund balances
Liabilities:
Accounts payable —
332
84
—
416
82
Due to other funds-general fund ,
—
_
_
_
38
liabilities payable from
restricted assets
_
_
18
18
—
Total liabilities
. 332
84
16
434
120
Fund balances:
Reserved for encumbrances
. 353
8
5
366
159
Unreserved, undesignated......
555
458
—
1,013
1.070
Total fund balances
908
466
5
1,379
1,229
Total liabilities and
fund balances
1,240
550
23
1,813
1,349
The notes to the financial statements are an integral pari of this statement.
68 Appendix .4
-------
Enterprise Funds
Enterprise Funds arc used to account for operations that are fi-
ll an mi and operated in a manner similar to private business enter-
prises — where the intent of the government's council is that the
costs of providing £oods or services to the general public on a con-
tinuing basis be financed or recovered primarily through user
charges; or where the government's council has decided that peri-
odic determination of net income is appropriate for accountability
purposes.
Water and Sewer Authority Fund — This fund is used to ac-
count for the activities of the Water and Sewer Authority (a blended
component unit of the mamk of government).
Electric Fund — This fund is used to account for the activities
of the government's electric distribution operations
Appendix A 6<>
-------
Name of Government
Emfrpiusi: Fi;.\n>
Combining Balance Sheet
December 31, 19X4
(With comparative totals for December 31, 19X3)
(amounts expressed in thousands)
Water
and Sewer — Totals —
Authority Electric 19X4 19X3
Assets
Current Assets:
Cash and cash equivalents $ 1,388 $4,253 S 5,619 $ 4,121
Cash with fiscal agenl 123 — 123 —
Investments 14,610 1,735 18,405 8,879
Interest receivable 408 51 ^80 435
Accounls receivable (net of
allowance for uncoltecti'bles) 2,621 1,378 3,999 3,551
Due from other funds;
General fund 37 - 37 39
Reel management fund 2 — 2 —
Inventories 308 637 §45 930
Total current assets 19,476 8,114 27,590 17,955
Restricted assets:
Customer deposits 1.543 188 1.731 1,375
Revenue bond operations
and maintenance account 1,294 — 1,294 1,023
Revenue bond construction account 18,542 — 18,452 —
Revenue bond current debt service account 3,706 — 3,706 1,380
Revenue bond future debt service account 737 — 737 523
Revenue bond renewal and replacement account ... 1,832 — 1,632 1,165
Total restricted assets 27,454 188 27,642 5,466
Defe'red charges 568 — 580 489
Fixed assets:
Land.... 604 451 1,055 1,055
Buildings ana'system 20,928 7,043 27,97! 19,817
Accumulated depreciation-buildings and system ., (2,476) (3,013) (5,489) (4,769)
Improvements other than buildings 1,250 — 1,250 1,250
Accumulated depreciation-
improvements other than buildings (342) — (342) (188)
Machinery and equipment 104,283 1,034 105,377 104,761
70 Appendix A
-------
Water
snd Se*,er
—Totals'—
Authority
Electric
18X4
19X3
Accumulated depreciation-
machinery and equipment
, - (t-,723)
(5585
115.281]
113,429)
Construction in progress
. . 7,11b
—
7,118
~
Fixed assets (net ofaecynUateo depreciation) ,,
.. 116,642
5,017
-21,659
108,407
Total assets
8*64,140
S13,319
177 ,"59
132,337
Liabilities and earn
Current liabilities:
Accounts payable
.. $:,?37
£1,130
$ 2,367
$ 2 261
Compensated absence? psvabte
37*
16
390
378
Relainaae payable
536
_
£36
—
Due to otner funds:
General fund
—
65
193
Fieei management fund
at "*
_
17
—
Management info. sys. (unci
_
5
14
Interoovenmentai payable
-
—
11
Matured boners payable
68
-
68
_
Matured interest payable
55
_
55
--
Accrued interest payable
. 1,045
_
1,045
1,100
General obligation bonds
oavabie-current
1 iftri
_
1,480
1,360
Capital teases payable-current
23
_
23
—
Total current liabilities ,. -
, 4,905
1,146
6,051
5,337
Current liabilities payable from restricted assets:
Customer deposits payable . ...
.
168
1.731
1,375
Revenue bonds payable
- 1,484
1,484
530
Accrued interest payable
, 1,331
-
1.331
448
Total current liabilities payable
from restricted assets
4,356
*86
4,546
2,353
Normurrents liabilities:
General obligation bonds payable
(net of unamortized discounts)
, 30,815
_
30,81 e
25,798
Revenue bonds payable fuel ot
unamortized discounts!
. 31.975
—
31,975
8,580
Capita' teases payable
78
—
76
_
Total noncurrent liabilities
. 62,871
—
62,871
32.378
Total liabiM'Es
72154
1.334
73,^68
40,068
Appendix 4 71
-------
Water
and Sewer -— Totals—-
Authority Electric 19X4 19X3
Equity:
Contributed capital:
Government 4,033 — 4,033
Customers 14,062 — 14,062
Developers,..., ....... 35,241 3,138 38,379
Intergovernmental 5,588 — 5,588
Total contributed capital 58,924 3,138 62,062
803
13,854
34,293
5,588
54.533
- 1,294 1,023
Retained earnings:
Reserved for revenue bond
operations and maintenance ,, ,, 1.294
Reserved for revenue bone!
current debt service 891 — 891 402
Reserved renewal and replacement 1,632 — 1,632 1,165
Unreserved 2335 8,84? 38,112 35,191
Total retained earnings 33,082 8,84? 41,929 37,781
Total equity 92,006 11,985 103,991 92,319
Total liabilities and equity -,,$164,140 $13,319 $177,459 $132,387
The notes to the financial statements are an integral part of this statement
72 Appendix A
-------
Namk or Gfn krnmkm
Em HRPiasi- Fumis
Combining Statement of Revenues, Expenses and Changes in Retained Earnings
for she fiscal year ended December 31, 19X4
(With comparative totals for the fiscal year ended December 31, 19X3}
(amounts expressed in thousands)
Water
and Sewer
Touts —
Authority
Electric
19X4
18X3
Operating revenues:
Charges for sale? and services:
..... 10,22?
Watcsstes
—
S 6,227
$7,588
Sewer charges
—
5,671
4,344
Tap fees
1,52!
—
1,521
1,155
Electric sales
..... —
15,250
15,250
15,110
Total operatic fvewes —
15,250
31,669
28,197
Operating expenses;
Costs 0? sales anci services
6,997
10,772
17,769
16,879
Administration
3,137
1,46?
<3.620
4.342
Deorecialion
2,436
318
2,754
2,597
Total operstina expenses
12,670
12,573
£5,143
23,818
Operating income
. . , 3,W9
2,677
6.526
4,379
Nonopereting revenues {expenses):
IntsraovetnmenJai
.. ... 350
4G
396
172
Interest revenue
1,753
523
2,278
2,357
Interest expense
, ,. {3.4391
—
(3,439)
(2,765)
Boicf issuance costs
(35J
_
.(25)
(10)
Loss on ssles of fixed assets
(10)
—
110}
_
Tota; nonoperating teveiues
(expenses)
.... (1.371}
569
(802)
(246)
Income before operating transfers
. . 2,478
3,246
5.724
4,133
Transfer (to) other funds:
General fund
<1.576)
(1.576)
—
Net income
-... 2,476
1,670
4,140
4.133
Retained eaminos, January 1
,, ., 30,604
7,177
37,781
33,648
Reisined earnings December 31
$33,082 S 8,847 $41,929 S37.781
The notes tc the financial statement? aw an integral pan of this statement
Appendix ,4 73
-------
\.*MF Of GOVI-RNMEN I
Fxn.Rpiri.sr Finds
Combining Statement of Cash Flows
For fiscal year ended December 31, 19X4
(With comparative totals for fiscal year ended December 31, 19X3)
(amounts expressed iri thousands)
Water
and Sewer —Totals ——
Authority Electric 19X4 19X3
Cash flows from operating activities:
Cash received from customers 816,151
Cash paid to suppliers (5,813!
Cash paid lor quasi-extemai transnctions
Cash paid to employees
Net cash provided by operating activities
Cash flows from noncapital financing activities:
Transfer to general fund
Subsidy from federal grant
Net cash provided (used) by
noncapital financing activities
11,202)
(3,117!
S.019
350
350
Cash flows from capital and related financing activities:
Proceeds from general obligation bonds 8,423
Proceeds from revenue bonds 34,150
(11
170)
02)
(2,310)
Principal payments-bonds
Principal payments-capital leases
Interest paid
Proceeds from sales of feed asssis
Purchase of fixed assets —
Capital tease obligation clown payments (6)
Construction (including capitalized
interest costs) ('1,396)
Contributed capital 4,294
Net casts provided (used) by capital and
related financing activities 21,978
Cash flows from investing activities:
Interest received
Net cash provided (used) by
investing activities
St 5,097 $31,248 $27,364
(10,558) (18,371) (18,064)
- (1,202)
(1,903s (5,020) (4.338)
2,636 8,655 6,962
- (1,576) (1,576)
46
396
(1,530) (1,180)
9,423
34,150
(11,1701
(121
(2,310)
S
(494)
(6)
(494)
- (11,396)
- 4.294
(494) 21,484
172
172
(1,885)
(2,887)
(1,637)
6.744
335
, 1,568
2,038
3,606
2,987
. (23,860)
(2,276)
(26,136)
(9.898)
1,347
593
1,940
2,316
. (20.945)
855
(20,590)
(4,593)
74 Appendix /I
-------
Water
and Sewer -— Totals —
Aultiofity Electric 19X4 19X3
Nel increase (decrease) h cash
anil cas>- equivalents — 7,402 907 6,365 2,676
Cash and cash equivalents, January 1
(including $8,611 in restricted accounts) 2.696 3.474 6,17c 3.296
Cash and cash equivalents,
December 31 (including $168
ri restricted accounts) $10,100 S 4,<41 $14.541 3 6,172
Rf'TOM iuation OF Ori:r(,vriNi; Jncomil 10 Nn
Cash Pkovidkd r\ Opkk-viin"*. Aciivmd-n
Water
end Sewer
Totals—
Authority
Electric
18X4
19X3
Ooerating income
$ 3,849
$ 2,677
$6,526
5 4,379
Adjustments to reconcile operating Income
to net cash provided by operating activities;
Depreciation expense
. 2,456
318
2,754
2,507
(Increase^ in accounts receivable
(506)
(153)
(681)
(40)
increase in due 'rom other funds
_
—
—
(11)
(Increase) in allowance for
uncoBecNb.% accounts
213
_
213
110
(Increase) decrease in inventories
i£3
(168)
(15)
(100)
increase in customer Deposits
233
12
245
84
increase (oecreasei in accounts payable
133
(47!
m
(34)
(increase) in awunls payable
related to equipment purchase .
(374)
_
(374)
-
Increase (decrease) in
compensated absences payable
15
(3)
12
(2)
Increase (decrease) in inter-governments-
payables
(11)
—
(11)
4
increase (decrease) in due to other funds ........
(120)
—
(120)
5
Total adjustments ......
2,170
1411
2,129
2,583
Net cash provided by operating activities
$6,019
$ £,636
$ 8,655
$ 6,962
Noncash Investing, Capital and financing Activities
Borrowing under capital lease
101
_
Contributions of feed assets 'rom government
3,230
-
Purchase of equipment on account
374
—
The notes to the financial statements are an integral pari of this statement.
Appendix A 75
-------
Trust and Agency Funds
Trust funds are used to account for assets held by the govern-
ment in a trustee capacity. Agency funds are used to account for
assets held by the government as an agent for individuals, private
organizations, other governments and/or other funds.
Senior Citizens' Transportation Fund — This fund is used to
account for donations that are received pursuant to a trust agree-
ment that restricts the use of those donations to providing subsidies
for senior citizens' transportation to special government sponsored
events,
Perpetual Care Fund — This fund is used to account for princi-
pal trust amounts received and related interest income. The interest
portion of the trust can be used to maintain the community cemetery.
Public Safety Employees Retirements System Fund — This
fund is used to account for the accumulation of resources for pen-
sion benefit payments to qualified public safety employees.
Deferred Compensation Fund — This fund is used to account
for assets held for employees in accordance with the provisions
of Internal Revenue Code Section 457.
76 Appendix A
-------
Name of Government
Trust and Agency Funds
Combining Balance Sheet
December 31, 19X4
(With comparative totals for December 31, 19X3)
(amounts expressed in thousands)
ixpfisJftlt
Ttwt
Senior
CfcMtt'
TrsftsjsMtelioB
Nifl-
EXptndaMt
Twii
Ptrpttoil
Car*
Ptrjion
fruit
Public
Safety
Employ«s
Agency
DrfdfT»8
Conipen-
ittton
18X4
Tolife ——
19X3
Assefi
Cash end casi equivalent ,.
$11
$231
$33
$18
$293
$87
Investments
41
1,752
14,335
1,188
17,327
15,394
Interest receivable
6
82
348
—
434
163
Total assels
$58
$ 2,068
S 14,714
§ 1.216
$ 16,05*
S 15,644
Lis Dili ties and fund balances
Liabilities:
Accounts payable
$ (
11?
$18
—
$30
$36
Deferred compensation
benefits payable
—
—
—
1,216
1,216
900
Total liabilities
1
13
16
1,216
1,254
936
Fund balances:
Reserved for
perpetual care
1,102
—.
—
1,102
1,102
Reserved for employees
retirement system
—
—
IS,802
,—
16,802
14,248
Unreserved,
undesignated
51
9S1
|2,108)
—.
(1,104)
(642)
Total fund balances
51
2,053
14,636
—
16,800
14,708
Total liabilities and
fund balances
8 58
S 2,065
$14,714
$1,216
118,054
S 15,644
The notes to the financial statements are an integral part of Us statement.
Appendix A 77
-------
Name of Government
Senior CrnzKNS' Transportation
Expendable Trust Fund
Comparative Balance sheets
December 31, 19X4 and 19X3
(amounts expressed in thousands)
19X4 19X3
Assets
Cash and cash equivalents $11 $18
Investments 41 33
Interest receivable 8 ?
Total assets $58 $51
Liabilities and fund balances
Liabilities;
Accounts payable $ 7 $ 2
Fund balances:
Unreserved, undesignated — 51 49
Total liabilities and fund balances $ 58 $ 51
The notes to the financial statements m an integral part of this statement.
7H Appi'ndix ,-l
-------
Name of Government
Senior Citizens" Transportation
Expandable Tkijst Fund
Comparative Statements of Revenues, Expenditures
and Changes in Fund Balances for fiscal years ended
December 31, 19X4 and 19X3
(amounts expressed in thousands)
19X4
19X3
Revenues:
Interest
$ 6
$ 2
Donations
82
52
Total revenues
88
54
Expenditures:
Current;
General government
B6
25
Excess of revenues over expenditures —
2
25
Fund balances, January 1
49
24
Fund balances, December 31
$ 51
$49
The notes to the financial statements are an integral part of this statement.
Appendix .4 79
-------
Appendix B
Excerpted from New York State
Operating Permit Program, Annual Report 1996 (pp. 6-13).
Appendix B 81
-------
Nmv York State Operating Permit Program
1995 Annual Report
Contents Page
Introduction ]
Preface I
Background 2
New York State's Operating Permit Program Status 3
New York State's Operating Permit Program Implementation 4
Fiscal Report 6
Operating Permit Program Fee 6
Clean Air Compliance Act Reporting Requirements 7
Recommended Fee Adjustment S
Program Report.............. 12
Slate Fiscal Year 94/95 Details and Projections 12
Other Involved Agencies ...13
Appendices
Appendix A; NYS Department of Economic Department-Clean
Air Act SmallBusiness Ombudsman, Annual Report to the NYS
DEC-Augu&t 1995
Appendix B: NYS Department of Health-Clean Air Compliance
Activities-November 1995
Appendix C; NYS Environmental Facilities Corporation-Small Business
Assistance Program Annual Report to DEC-August 1995
Figures
Figure 1: 1994/95 Operating Permit actual Costs 9
Figure 2; 1995/96 Operating Permit Estimated Costs 10
Figure 3: 1996/97 Operating Permit Estimated Costs 11
Figure 4: Projected Number of Permits Subject to Review
for Title V OPP Implementation 12
Appi ndtx B
-------
Fiscal Report
Optra tint IVnnit Program I-it
Beginning in J 994. Title V facilities were required jo pin tfie tonnage based
OPP fee, pursuant to section 72-0303 oj the ECL, OPP lees collected arc de-
posited in I he OPP Account of the Clean Aw Fond established by Slate Finance
Law, Non-Title V .sources? continue to pay Air Qualm Control Program fees tftat
are deposited to the Environmental Regulatory Account established in 1%'?.
Both lite ledera) Act and the NYSC'ACA requiic fee revenues sufficient to
covet all reasonable direct and indirect costs required to develop, administer and
enforce the Stated Tjtle V peuiw piogram. Once EPA approver the, .State's plan
for delegation ol the Title V program to the State, Title V/OPP fees ciin only be
used1 fo fund Title V permit program activities. Prk« to approval. Title A" activities
can be funded from any souices available to the State Fur fjseal years 1994/95
and 1995/%. the DEC's Title V workload has been funded from lie General Fund,
the Utility Regulatory Account. Federal Funds and the OPP Aecount.
In !994/u5. Title V activities constituted ?5'« of the DEC's air program ef-
fort. however the OPP Account only paid foi 2h'7i of DEC V air program costs. It
is anticipated that as newly authorized positions funded from the OPP Account
ure filled during 1995/96. the amount expended from the OPP Account will ap-
proach lOU'v of tile Title V program cost. Many of the employees who will be
recruited to the new OPP jobs will be transferring from existing positions cm-
renth funded In the Section 105 li-dend grant. Section 105 funds may noi he
used for Title V costs once federal appro\al of the OPP is obtained. Those gran!
funds are expected to be reduced accordingly by the federal government.
The Style legislation sequires that commencing January 1, ] 094 and annual-
ly thereafter, the Department u-\- a formula to calculate the fee per ton of emis-
sions that subject sources arc required to pay and that the calculation and fee he
established a* a rule through publication jn the Environmental Notice Bulletin.
The fee is calculated by dividing the current Stale fiscal year appropriation for
the OPP by the total tons of emissions of regulated air contaminants from
sources subject to the OPP during the prior calendar year, with consideration
given to any .surplus or deficit in the OPP Account of the Clean Ail Fund, any
loan repayment from the Mobile Source Account of the Clean Air Fund and ttje
tatc of collection of bills issued for the fee. The fee is limited to a maximum lee
of $25 per ion, increased by the percentage, if any. by which the Consumer Price
Index iCPl) exceeds' the CP! for the prior year. Based upon this ceiling, the J044
ice was $25.fi9 and the J9C»5 fee was $26,44,
Appendix B S3
-------
( loan Air Compliance Act Repot tiny Requirements
The NYSCACA specific* the fiscal information that this report must con-
tain. These are an follows: the actual direct and indirect costs and revenues re-
ceived in State fiscal year iSPY) 1994/95; SFY 1W5/96 estimates for direct and
indirect costs, revenues and the year end balance of the Clean Air Fluid's OPP
Account; SFY 1996/9? projections for direct and indirect costs and tonnage of
pollutants that will be subject to OPP fees; and finally, a recommendation on an
adjustment to the fees to assure, adequate funding during future fiscal years.
Each of these requirements is addressed under subheadings below
Cost iigures provided in tilth report are actual or projected expenditures be-
tween April 1 and March 51 for a giver) State fiscal year. Expenditure figures
rather than appropriations are used in this report since expenditmes provide
more, accurate reflection of actual program costs. Appropriations only reflect the
level of spending the Legislature has authorized in a particular year, and autho-
rized funds may not be disbursed in that year. A legislative appropriation is usu-
ally based on anticipated revenues. If actual revenues generated by the OPP fees
are less than the appropriation, the full appropriation cannot be spent.
Expenditures may he made against a prior year's appropriations, current year ap-
propriations or a ^appropriation depending on when the liability was incurred.
State Fiscal V.-ar 1994/V5
The actual direct and indirect costs of the OPP in SFY 1W4/95 were
S10,687.7W. This amount includes expenditures by the Departments of Environ-
mental Conservation, Health. Emnomie Development, and the Environmental
Facilities Corporation. A detailed summary is included in Figure i. The sources
of funds for the program were OPP Account $7,413,029 with the balance com-
ing from die General Fund, Federal Funds, and the Utility Regulatory Account,
Total revenues received by the OPP account during SFY 1994-95 were
$11,084,735. Revenues included fees, interest and penalties.
Slate Fiscal Year 1995,%
The estimated direct and indirect costs of the OPP in SFY i '¦¥>5/96 are
$13,653,881. This amount reflects expenditures by the Departments of Environ-
mental Conservation, Health. Economic Development, and the Environmental
Facilities Corporation. A detailed summary is included in Figure 2.
Revenues anticipated lo be received in SFY 19^5-96 total S 10,427,629. This
amount is based on emission tonnage hilling of 453,32(1 tons times a per ton fee
of $26.44 minus a I3'ii uncollectible figure. This revenue estimate does not irt-
84 Appendix ft
-------
dude any additional funds that may he collected from prior year tees, penalties
•and interest.
DEC estimates that the balance in the OPP Account at the end of SF-Y
19Q5/95 will be $4,564,49S. This estimate is based on.
Stale Fiscal Year 19%/()7
'1 he estimated direct and indirect costs ol the OPP in SPY l')9W% are
3>14^!l)(i.658. Th^ amount reflects pi ejected e\|>cnditoies by the Departments of
Environiijcntnl Conservation. Health, Economic Development anil the Environ-
mental Pftciliiies Corporation, A detailed siimman is included in Fienre 3,
Under current legislation, revenues estimated to lie received it) SFY 1 9Wi/y7
total $10,522,530. This amount is based on an emission tonnage billing of
430,000 tons times a pet ion 1ee ol $27.19 minus a 10Ci, uncollectible figure. Tlx
lee uf $2"?.19 it: the maximum allowed by the ceiling current!) prescribed in the
NYSCACA,
Ucconmu mled ) * t Adjustment
The 19%,"J7 appropriations requested he DOC for the OPP represent no fur-
ther enhancement. Rather, the icquest is merely lor the hill annual value of the
program levels authorized on a part-yeai basis in the 1U93M4 and 1444/95 bud-
gets, DfiC is makhip no recommendation lot an adjustment at this time.
Beginning balance
Anticipated revenues...
Projected expenditures
finding balance
.. $7,711,MS
$10,427,624
$13,653,881
. $4.4 85,366
Appendix II R5
-------
Figure 1;
1994-J 995 Oper viw; Pkrmjt Arn ai. Costs,
Category
Personal Fringe Nonpersonal
Servlct Benefits Service Capital
Tetssf
Direct Program Costs
Environmental Conservation
.. 4,234.341
1,253,520
385,050
343,708
Health
«B,886
137,838
116,543
0
Economic Development
222, 649
88,398
441,718
0
Environmental facilities Cora
0
0
556,853
0
8,816,619
703,085
732,763
658,853
Tola! Direct Costs
4,908,676 1,453,754 2,100.162 343JOB 8,809,300
Indirect Program Costs
Environmental Conservation 1,716,141
Health 150.736
Economic Development , 111,622
Environmental Facilities Corp 0
Total indirect costs ..... 1,878,499
Total Operating Permit Program Costs 10,687,799
ASSUMPTIONS:
DEPARTMENT OF ENVIRONMENTAL CONSERVATION:
Direct costs were based on Trine and Activity records including adjustments made by supervisor)' staff. It was
determined that 35% of Air stiff time was devoted to Operating Perm,: Program activities in SFY1994-05. This
percentage was applied to the total Air expenditure in SFY 1394—95. Indirect costs were calculated at 31.6% of
persons! service and fringe benefit costs and reflect costs associated with agency operations, auxiliary support
staff and other stale overhead responsibilities
Departments of Health and Economic Development: Reports containing expenditure information were provided
to DEC by these agendas.
H6 Appendix H
-------
FlGi.'Ki 2:
1995-96 Opi;k u !\c Permit Ksiimaj i n Costs
Personal
Fringe
Nonpersonsi
Category Service
Benefits
Subtotal
Service
Capital
Tote!
Direct Program Costs
Environmental
Conservator 4,476,601
1. £96,835
5,878.434
1,879,786
1,503,000
9,256,222
Health 249,579
78 043
3£7,62£
15,312
0
2*13,334
Economic
Deve'opment ,, . , 403,345
126,126
529,471
613,731
0
1,M3,20£
Environmental
Facilities Corp 0
0
C
1 040,61*1
0
1,040,614
Total Direct Costs 5,125,525
1.604,002
6,753,527
3,549,445
1,500,020
11,782,97!
Indirect Program Costs
Environmental Conservation
, 1,754,116
0
1,754,11)
Health
&7,79£
0
97,79!
Economic Development
18,998
0
18,99!
Environmental Facilities Corp ,. .....
0
0
C
Tot® Inoirect Costs
1,870,909
0
1 ,B70,90S
Total Operating Costs ,, 5,125,525
1,60*5,00;
6732,527
£.420,3=4
l.EQO,OK
13,6S3,»
ASSUMPTIONS:
Environmental Conservation:
Persons! Service expenditures reflect acuta' carry-in from 1994-95 oLs 12 month projected expenditures for 65
pos'Sions carried over from ! 894-95 and 3 trartfh projected expenditures tot 42 direr,t cosiiions tc be filled our-
irtg the current fiscal yeai.
Funding for 11 positions from SFY 1954-95 anfl B positions from SFY 1995-96 that are ass'gneoto (he Divi&on
of Regulatory Services and other support offices is shown unaer the Indirect Program costs heading.
Nonpersuns* service expencfstires reflect acta1 carry-in from 1994—SS projected 12 month disbursements
against 1995—€ appropriations (88% of planned in 12 mwrh sjeraxsj.
Cap'tai expenditures assume 100% of planner! amount.
Environmental Faclliltes Corporation
Nenpefsonal servic? expenditures reflect actual carry-in from 189*1-55 plus projected *2 month tiisoursercents
aga'nst 1995-98 appropriations, i'88% of planned in 12 month period).
Fringe Benefits/Indirect:
Fringe benefits for all agencies art calculates at S1 27% of personal service
Indirect costs for Environments, Conservation ant! Health are calculated t>i 29.65'."!. of personal
service and fringe benefits.
Indirect costs for Economic devetownent Ere 4.71% of personal service.
Appendix B 87
-------
Figure 3:
1996-97 Opkratjnc Permit Estimated Costs
Personal
Fringe
Monpersonai
Category
Service
Benefits
Subtotal
Service
Capital
Total
Direct Program Costs
Environmental
Conservation
5,210,708
1,629,388
6,840,096
1,829,032
1,000,000
0,809,128
Health
248,579
78,043
327,822
75,312
0
402,934
Economic
O«v8topm«nt
399,366
124,882
524,248
558,298
0
1,082,544
Environmental
Facilities Corp
0
0
0
1,000,000
0
1,000,000
Total Direct Costs .. .
5,859,663
1,832,318
7,691,966
3,602,640
1,000,000
12,294,808
Indirect Program Costs
Environmental Conservation
. 2,041,789
0
2,041,769
Health
57,795
0
97,769
Economic Development ,..
, 156,468
0
156,466
Environmental Facilities Corp
0
0
0
Total Indirect Costs
2,298,052
0
2,296,052
Tola! Opirating Costs .., 5,859,653 1,632,313 7,691,966 S,896,682 1,000,000 14,690,658
ASSUMPTIONS'
Planned expenditures for all agencies mllecs projected carry-in amounts against 1995-98 appropriations p!us
99% of requested personal service and 88% of non-personal service appropriations,
Capiial expenditures are estimatad af 1,000,000,
FRINGE BENEFITSMDIRECT.
Fringe benefits for all agsneies are calculated at 31.27% of personal service.
Indirect costs for all agencies are calculated at 29.85% of personal service and fringe benefits.
88 Appendix if
-------
State Fiscal Year 1994/95
Details and Projections
The NYSCACA requites DEC to report the number of Operating Permit ap-
plications on which filial action was talvc.n iti the previous fisenl year with details
on nveiage review time per permit, number of person houi> .spent per permit unci
the number of complete permit applications fried. Since the State did not have a
federally approved OPP in effect in SFY l5, no Title V permits were re-
viewed or issued and actual data on average review time per permit is not avail-
able. However, the Department has projected, to the extent possible, the
minimum number of permit reviews that will be necessary to implement the pro-
gram over the ties! five years. These are reflected in Figure 4.
FiGL'ilL 4:
1'RO.jt:c J F.D \TMBF.R <>]' PERMITS
sntji rr to ur.vni\ okolr to mi'LMii'Xr tjti.i: V
Permits to be reviewed
Average Review
Permit Type
over the next 5 years
Time* (days/permit)
Existing major facilities
876
40
Nox and VOC Reasonable Achievable Technologies'
Cent. (RACT) permit moditoitons
200
15
We V General Permits
150
10
New source review (Tite lj IncludesPSO reviews,
netting/lradinq permit modilifationE
100
60
Known MACT (Section 1121 sources
150"
30
Capping guI of Title V and RACT
9650""
"
* This time represents estimated technics! review time oy Division of Air staff oily. Specific permit appli-
cations coufd take considerably mwe o' less tine depending on the size end complexity of the facility.
Also (tie review lime does not include that required by Division of Regulatory Affairs to process and issue
permiti,
*" The numbers in trie table are estimates. o( the effort required id review permits for si* categories o'
sources tor which MACT standards have been adopted by EPA, Tfie'e are 174 categories for which
MACT standards are utilmately requ'red to be developed, As new MACT standards are promulgated there
wii: be a sipnifitam Increase in bain the number of facilities that requre permits and the effort neeesary to
review those permits
Tnis includes the approximately 8000 New VorN Piy sources ihsi will nuEd tnoitticatons to their permits
in order to cap out of Title V
Appendix B $9
-------
Other involved agencies
The NYSCACA does not specifically require that the activities of other in-
volved agencies be reported. However, the Department of Health, Department of
Economic Development and the Environmental Facilities Corporation were
asked to report so that the direct costs of the fiscal portion of this report could be
determined, Expenditures reported by those agencies have been included in this
report. Their submissions to DEC are included as appendices to this report.
'-(/ Appendix /•'
-------
The Environmental Finance Center is part of the Coastal and Environmental
Policy Program (CEPP) and is hosted by the Maryland Sea Grant College.
About CEPP
The Coastal and Environmental Policy Program is a non-degree granting pro-
gram composed of the University of Maryland Sea Grant Program, the School
of Public Affairs, the College of Agriculture, the School of Law, and the
Center For Environmental and Estuarine Studies. CEPP provides informa-
tional, educational and research policy analysis and technical problem-solving
assistance.
A bout Sea Grant
-The National Sea Grant Program encourages wise stewardship of our marine
resources through research, education, outreach and technology transfer,
Mary land Sea Grain is one of twenty-nine Sea Grant programs across the
country — part of a national partnership supported jointly by state and federal
funds, from the National Oceanic and Atmospheric Administration,
About the HFC
.With support from the U.S. Environmental Protection Agency (EPA) and the
Maryland Sea Grant College Program, the Environmental Finance Center
(EFC) was created to train, provide assistance and act in an advisory capacity
to state- and local governments on issues related to environmental finance.
The Center promotes a comprehensive and integrative look at environmental
finance from a strategic management perspective that suggests that sound
environmental practices encompass a broad spectrum of activities. Activities
such as needs assessments, issue prioritization, identification of relevant envi-
ronmental regulations and compliance issues, development of capital facilities
plans, identification of revenue sources, and community participation are pre-
cursors to securing funding that form part of the EFC's holistic approach.
To find out more about the Environmental Finance Center visit our web
- page: http;//www.mdsg,nmd.edu/MDSG/EFC/index,htjnl
-------
Title V of the Clean Air Act
One of the most important benefits of the new Title V operating permits program of the Clean Air Act is
that the program itself will ensure that adequate resources are available for its administration. By col-
lecting fees from stationary air pollution sources in exchange for permits which regulate levels of emis-
sions, states and localities can achieve a number of desired goals:
• Use revenues generated by those regulated to monitor, enforce, and report on stationary
air emissions
• Create incentives for those sources to reduce emissions by forcing permit holders to internalize
the costs of emitting air pollutants . *
• Begin to track air pollution control requirements" and performance so it becomes easier to man-
age programs across media, such as air, water, and land
* •' * ' ^ «
If revenues generated from a program go to support other state efforts, then not only will the program
suffer from lack of resources, but those paying the permit fees will not receive the level of service that
they are paying for.
This handbook identifies ways a state or local air program agency can collect, segregate, and account for
Title V fees so that they are not commingled with other efforts.
\vEPA SeatSfiuif
Issues in Environmental Finance
Environmental Finance Center ¦ University of Maryland System
-------
Appendix F. 2021 State Review Framework
Page 50 of 51
-------
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION IX
75 Hawthorne Street
San Francisco, CA 94105
Marci Henson, Director
Department of Environment and Sustainability
4701 W. Russell Rd, Suite 200
Las Vegas, Nevada 89118
Dear Director Henson:
Enclosed is the final report presenting the results of the review EPA Region 9 conducted in 2020 of the
Clark County Department of Environment and Sustainability's (DES) Clean Air Act Stationary
Source compliance and enforcement programs. EPA is conducting similar reviews in every state,
implementing Round 4 of the State Review Framework (SRF 4) jointly developed by EPA and the
Environmental Council of the States.
For purposes of this SRF review, EPA evaluated DES's inspection, enforcement, and related data
management activity for federal fiscal year 2019 (augmented with data from FY2018). A preliminary
draft SRF 4 report was provided to you for comment in October 2020. We have revised the draft report
and its recommendations to include your comments. We will now post this final document on EPA's
public SRF website and will check in with DES periodically regarding progress toward meeting the
recommendations included in the reports. These and other SRF reports can be accessed through the
following public link:
http://www2.epa.gov/compliance/state-review-framework-compliance-and-enforcement-performance.
We wish to thank you and your staff and managers who accommodated and assisted us in conducting this
review. We look forward to working with you in the months ahead to implement the recommendations.
Sincerely,
Amy C. Miller-Bowen, Director
Enforcement and Compliance Assurance Division
U.S. Environmental Protection Agency, Region 9
CC: Greg Lovato, NDEP
Enclosure
-------
Appendix G. Clark County DES Record Retention Schedule
Page 51 of 51
-------
Nevada Local Government
Records Retention Schedule
Government: Clark County
Department: DEM - Air Quality
Address: 4701 W Russell Road, Suite 200
City, State Zip: Las Vegas, NV 89118
~ Original Filing 13 Amended Filing
Date: 10/24/2012 Paae 1 of 7
Common and Administrative Records
LRDA No.
RECORD TITLE and Description
TOTAL RETENTION | Media
Vital
REMARKS
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.)
Document financial transactions and accounting functions (including
Accounts Payable and Accounts Receivable).
Audit Clearance
HC
EL
NRS 354.624, NAC 239.165 (1)(2)
Security Destruction, see notes.
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY
Periodic operating. statistical or financial reoorts detailing department
activities.
2 Years
HC
EL
NRS 239C.090, NRS 239C.210,NAC 239.165
(1X2)
2007-1558a
ACTIVITY REPORTS, ANNUAL
Annual ODcratina. statistical or financial reoorts detailing department
activities.
Permanent
HC
EL
NRS 239C.090, NRS 239C.210, NAC 239.165
(1X2)
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2)
Security Destruction, see notes.
ASSOCIATION FILES
Records of employee memberships in professional associations.
SUP
HC
2007-1311
BANKING RECORDS
Bank statements, deposit slips, cancelled checks, bank reconciliations,
and similar records that document a banking relationship.
Audit Clearance
HC
EL
NRS 354.624, NAC 239.165 (1)(2)
2007-0050
BID RECORDS {Department copies. Official record copy at
Purchasing.)
Bids for supplies, equipment and/or services.
AU
HC
EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes.
2007-0003
BUDGET REQUEST, ANNUAL {Department copies. Official
record copy at County Clerk.)
Budget requests presented to Board of County Commissioners.
FY + 5 Years
HC
EL
2007-0053
BUDGET WORKPAPERS
Used to assist in the preparation, review, and decision-making
processes for department budget requests.
Audit Clearance
HC
2007-0052
BUDGET, ADOPTED {Department copies. Official record copy at
Budget Financial Ser\>ices.)
Copies of adopted budgets.
Audit Clearance + 1
Year
HC
EL
CLUB RIDE RECORDS
Program designed to promote carpooling and ride sharing. Includes
Covered Parking Log, Club Ride Registration Form, Club Ride
Carpool Registration Form, etc.
ACT
HC
EL
Retention Abbreviations: ACT-Active, AU-Administratively Useful, CY-Calendar Year end, EXP-Expiration, FY-Fiscal
Year end, LA-Life of Asset, SUP-Until Superseded, TERM-Tennination
Media Abbreviations: EL- Electronic (magnetic/optical/etc.) HC-
Hard Copy (paper/mylar/etc.), Mi-Microform, OT-Other (specify)
-------
Government: Clark County
DEM - Air Quality
Page 2 of 7
LRDA No.
RECORD TITLE and Description
TOTAL RETENTION Media
Vital
REMARKS
2007-0055
COMPLAINTS
Document communications with Public and Regulated Community in
regard to potential violations of Air Quality Regulations.
Disposition + 3 Years
HC
EL
NRS 11.190 (3)(d),NRS 11.190 (4)(e),NAC
239.165 (1)(2)
Security Destruction, see notes.
2007-0054
CONTRACTS & AGREEMENTS (.Department copies)
For products and services administered by an agency, where the
official record copy is maintained elsewhere.
EXP + 1 Year 1 HC
Security Destruction, see notes.
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
EXP + 6 Years
HC
NRS 11.190 (l)(b)
Security Destruction, see notes.
2007-1230
CONVENIENCE COPIES
Board Minutes, Ordinances, Resolutions, Purchase Orders,
Requisitions and other copies where official record is maintained by
another department.
AU
HC
2007-0007
CORRESPONDENCE, ADMINISTRATIVE
Records not duplicated elsewhere that document how Department is
organized, how it functions, and its patterns of action, policies,
procedures, and achievements.
Permanent
HC
EL
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES
Routine communications received or sent, that generally serves
informational purposes.
AU
HC
EL
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. )
Administrative copy of master personnel file. May include FMLA
information.
TERM + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
EQUIPMENT FILES
Manuals, operating instructions, maintenance information, warranties,
etc., for equipment purchased for department use or administered by
department for public use.
LA + 3 Years
HC
2007-0078
KEY AND KEYCARD RECORDS
Documents issuance of keycards to agency staff to enable access to
agency buildings and sites. Records may include but are not
limited to key inventories, key issue forms, key replacement
records, and key disposal records.
ACT + 3 Years
HC
EL
Security Destruction, see notes.
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.)
May include FMLA information.
1 Year
HC
EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2)
Security Destruction, see notes.
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.)
Submissions for inclusion into Board meeting packets.
3 Years
HC
EL
NRS 11.190 (3)(d)
2007-0285
ORGANIZATIONAL CHARTS
Department and organizational unit organization charts.
SUP
HC
EL
2007-0449
PAYROLL INPUT DOCUMENTS
Document and administer entry of employee time and attendance data
into payroll system.
FY + 3 Years
HC
EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d)
Security Destruction, see notes.
Retention Abbreviations: ACT-Active, AU-Administratively Useful, CY-Calendar Yearend, EXP-Expiration, FY-Fiscal
Yearend, LA-Life of Asset, SUP-Until Superseded, TERM-Tennination
Media Abbreviations: EL- Electronic (magnetic/optical/etc.) HC-
Hard Copy (paper/mylar/etc.), Mi-Microform, OT-Other (specify)
-------
Government: Clark County
DEM - Air Quality
Page 3 of 7
LRDA No.
RECORD TITLE and Description
TOTAL RETENTION Media
Vital
REMARKS
2007-0897
PETTY CASH RECORDS
Record and track reimbursements of minor purchases by staff for the
benefit of department.
Audit Clearance
HC
NRS 354.624
2007-1254
REFERENCE FILES
General information regarding products, methods and materials that
may be used by the department. Not specific to any project or activity.
AU
HC
2007-0057
REGULATIONS, POLICIES & PROCEDURES, DEPARTMENT
Document methods for accomplishing functions and activities assigned
to department. May include Compliance information.
EXP + 6 Years, OR
SUP + 6 Years
HC
EL
NRS 11.190 (l)(b)
2007-0846
STAFF MEETING RECORDS
Documents actions and activities taking place at internal staff
meetings, team meetings, managers meetings, and other internal
meetings.
1 Year
HC
EL
2007-0075
SUBJECT FILES
Copies of correspondence where official record copy is filed
elsewhere.
AU
HC
2007-1360
TELECOMMUNICATION SYSTEM MANAGEMENT
RECORDS
Documents creation modification, and disposition of
telecommunications systems. May include equipment records. Federal
Communications Commission records, repair order forms, system
planning records, telecommunications maintenance contracts and
service agreements, service orders, related correspondence, and similar
documents.
EXP + 6 Years
HC
EL
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
Documents hours worked and leave hours accrued or taken by
employees on a daily, weekly, or monthly basis. May include FMLA
information.
FY + 3 Years
HC
EL
29 CFR 516.5, NRS 11.190 (3)(d)
Security Destruction, see notes.
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies. Official
record copy at Human Resources.)
Documentation and verification of individual employee training
activities. May include HIPAA information.
FY + 3 Years
HC
EL
NAC 239.165 (1)(2)
Security Destruction, see notes.
2007-0079
VEHICLE MAINTENANCE & REPAIR RECORDS
Documents maintenance & repairs of owned or leased vehicles.
Records used to provide maintenance & repair history.
LA + 3 Years
HC
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.)
Requests, authorizations, reimbursements, and other records related to
employee travel.
FY + 3 Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2)
Security Destruction, see notes.
Retention Abbreviations: ACT-Active, AU-Administratively Useful, CY-Calendar Yearend, EXP-Expiration, FY-Fiscal
Yearend, LA-Life of Asset, SUP-Until Superseded, TERM-Tennination
Media Abbreviations: EL- Electronic (magnetic/optical/etc.) HC-
Hard Copy (paper/mylar/etc.), MI-Microfonn, OT-Other (specify)
-------
Government: Clark County
DEM - Air Quality
Page 4 of 7
Records w
here Department is Responsible for Official Record Copy
LRDA No.
RECORD TITLE and Description
TOTAL RETENTION
Media
Vital
REMARKS
AQ13-0001
AIR QUALITY AMBIENT MONITORING DATA
Ambient Air Quality Data. Includes Gaseous Data, Particulate Data
PM-10 and PM-2.5, Meteorological Data, Quality Control Check Data.
PERMANENT
HC
EL
AQ13-0002
EMISSION INVENTORY STUDIES AND REPORTS
Reports are designed to support criteria pollutant studies, plans, and/or
state implementation plans authored by Air Quality Planning or Mobile
Sources Section and, in many instances, are geared towards specific
point sources.
PERMANENT
HC
EL
AQ 13-0003
ENFORCEMENT PROGRAM DOCUMENTS
Documents related to the issuance of a Notice of Violation (NOV) and
resolution of enforcement action. Includes Notice of Violation (NOV)
& evidence documents, HO Meeting books, NOV Response Form,
NOV Tracking, Hearing Officer (HO) agendas, NOV Monthly
summary, HO annotated agendas, AQMS Enforcement database, HO
Orders, HO waivers, stipulations, amended NOVs, HO Invoices, NOV
Files, photos, penalty matrices, finals, history, HO Member files, HO
audio or video records, HO Penalty Payment Plans, HO Stipulation
files, NOV Log.
Resolution + 20 Years
See: Note
HC
EL
NOTE: Retain landmark cases permanently.
(Retention based on EPA Records Schedule
207)
2007-0060
GRANT RECORDS
Documents application for and awarding of funds from federal
government, state government, and private organizations, private
benefactors, and similar sources. This series may include application
and supporting documentation, project proposal, project plans and
objectives, award notification grant related contracts and/or
agreements, equipment inventories, statistical reports, monitoring
reports, summary reports, correspondence, and related documents.
Grant Closure + 3
Fiscal Years
OR
Retention period
required by granting
authority, whichever
longer
HC
EL
NRS239.110
Security Destruction, see notes.
2007-1115
LEGAL OPINIONS
Formal opinions rendered by Attorney General's office. District
Attorney's office or other legal counsel. Opinions document rationale
for local government policies and help maintain consistency in related
issues.
PERMANENT
HC
EL
AQ 13-0004
LOG, VEHICLE
Vehicle Check In/Out Log, Vehicle Maintenance Log, Vehicle
Mileage/ Inspection Log, Fuel Pin Log
AU
EL
2007-0846
MEETING RECORDS, DEPARTMENTS AND COMMITTEES
Documents actions and discussion transpiring at department and
committee meetings.
1 Year
HC
EL
Retention Abbreviations: ACT-Active, AU-Administratively Useful, CY-Calendar Yearend, EXP-Expiration, FY-Fiscal
Yearend, LA-Life of Asset, SUP-Until Superseded, TERM-Tennination
Media Abbreviations: EL- Electronic (magnetic/optical/etc.) HC-
Hard Copy (paper/mylar/etc.), Mi-Microform, OT-Other (specify)
-------
Government: Clark County
DEM - Air Quality
Page 5 of 7
LRDA No.
RECORD TITLE and Description
TOTAL RETENTION
Media
Vital
REMARKS
2007-0107
MEETING RECORDS, PM10 AND OZONE WORKING
GROUPS
Official record of proceedings of regularly scheduled, special and
emergency meetings. Includes: Date/time/meeting place. Members
present/absent. Substance of matters proposed, discussed or decided,
votes taken, citizens who appeared, & related records
PERMANENT
See: NOTE
HC
EL
NOTE: Retain permanently, OR retain for 5
Years from date of meeting AND transfer
records to a facility described inNAC 239.850
(1 )(b), for continued public access & archival
preservation
2007-0107
MEETING RECORDS, TECHNICAL ADVISORY
PERMANENT
HC
NOTE: Retain permanently, OR retain for 5
COMMITTEE AND WILDLIFE ADVISORY BOARD
Original minutes of public and closed meetings, agendas, transcripts,
attachments and exhibits, correspondence related to the meetings,
announcements, proof of postings, proof of certified mailings, and
similar materials.
See: NOTE
EL
Years from date of meeting AND transfer
records to a facility described inNAC 239.850
(1 )(b), for continued public access & archival
preservation
AQ13-0005
MODELING DATA - AIR QUALITY PLANNING, STATE
IMPLEMENTATION PLAN (SIP)
Modeling Section Data are designed to support criteria pollutant
studies, plans, and/or state implementation plans authored by Air
Quality Planning or Mobile Sources Section.
SUP + 5 Years
OR
Withdrawn + 5 Years
EL
AQ13-0006
RECORDS, STATIONARY SOURCE PROGRAM
Records pertaining to stationary sites emitting air pollutants. Includes
applications, permits, inspections, enforcement corrective action orders
(CAO), notices of violation (NOV) and compliance hearing records,
performance tests, emission inventories, complaints, compliance
certifications, reports, ownership change records, correspondence, and
other, related records. Stationary source modeling data for air quality
planning. Includes major, minor and Title V sources.
Site Closure + 20 Years
See: Note
HC
EL
NRS445B.500
(Retention based on EPA Records Schedule
207)
NOTE: Retain landmark cases permanently.
AQ 13-0007
RECORDS, FUGITIVE SOURCE PROGRAM
Permit issued to construction company for control of dust emission
during construction cycle. All enforcement, reporting and
correspondence records including application dust mitigation plan,
owner's designee form, site map and permittee request to close, etc.
SUP + 5 Years
OR
Withdrawn + 5 Years
HC
EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
AQ 13-0008
REGULATIONS, AIR QUALITY
Development, implementation, and distribution of Clark County Air
Quality Regulations. Includes Regulation Workshops & support
documents. Ordinances, BCC Agenda items. Proposed regulations, SIP
regulation submittals. Approved regulations. Amended regulations.
Regulation subscriptions list & invoices. Archived regulation database.
PERMANENT
HC
EL
Retention Abbreviations: ACT-Active, AU-Administratively Useful, CY-Calendar Yearend, EXP-Expiration, FY-Fiscal
Yearend, LA-Life of Asset, SUP-Until Superseded, TERM-Tennination
Media Abbreviations: EL- Electronic (magnetic/optical/etc.) HC-
Hard Copy (paper/mylar/etc.), MI-Microfonn, OT-Other (specify)
-------
Government: Clark County
DEM - Air Quality
Page 6 of 7
LRDA No.
RECORD TITLE and Description
TOTAL RETENTION
Media
Vital
REMARKS
AQ13-0009
STATE IMPLEMENTATION PLANS AND SLPPORTLNG
STUDIES
Under the authority granted by the Governor of the State of Nevada,
the Clark County Board of Commissioners is responsible for the
preparation of State Implementation Plans for nonattainment areas
within Clark County to attain NAAQS at the earliest practicable date.
EPA is the final approving authority for SIPs, and once approved, SIPs
are federally enforceable rules. Includes Las Vegas Air Quality
Implementation Plan, Clark County, Nevada, Air Quality
Implementation Plan, Las Vegas Valley, Clark County, Nevada, Air
Quality Implementation Plan, Las Vegas Valley, Clark County,
Nevada, Particulate Matter, Air Quality Implementation Plan, Las
Vegas Valley, SIP for Las Vegas Valley, Providing BACM and BACT
to Improve Air Quality, Moderate Area Air Quality Implementation
Plan and Addendum, Attainment Demonstration Plan, Las Vegas
Valley Nonattainment Area, State Implementation Plan, Milestone
Achievement Report (MAR), and other, similar Plans.
SUP + 5 Years
OR
Withdrawn + 5 Years
11C
EL
Includes air quality planning studies
AQ13-0010
AIR QUALITY MONITORING QUALITY SYSTEM RECORDS
Records unique to Quality System such as annual network plan, annual
data certification, five year network assessment, acceptance testing
documents, quality assurance audits, logbooks, corrective action
request, instrument records, quality control verification and calibration
records, etc.
SUP + Audit Clearance
OR
Withdrawn + Audit
Clearance
HC
EL
Retention Abbreviations: ACT-Active, AU-Administratively Useful, CY-Calendar Yearend, EXP-Expiration, FY-Fiscal
Yearend, LA-Life of Asset, SUP-Until Superseded, TERM-Termination
Media Abbreviations: EL- Electronic (magnetic/optical/etc.) HC-
Hard Copy (paper/mylar/etc.), Mi-Microform, OT-Other (specify)
-------
Government: Clark County
DEM - Air Quality
Page Z of 7
NOTES:
Security Destruction: Records may contain confidential, proprietary, sensitive, restricted or HIPAA information & MUST be destroyed/permanently deleted in a secure manner
that prevents further retrieval, recovery or reconstruction in any way.
Retention Abbreviation Explanations:
ACT - Active. These materials should be retained as long as they are in active use. It is left to the user to make that determination.
AU - Administratively Useful. This record should be retained ONLY as long as the user believes it has value. If a duplicate or copy, it must NEVER be retained longer than the
official record copy.
CY- Calendar Year End. The record should be retained through at least the end of the calendar year end, plus any additional time specified. Example: CE + 2 Years, means the
record must be retained for two years after the end of the current calendar year.
EXP - Expiration. The record should be retained until some triggering event occurs, such as the expiration of a contract. Example: EXP + 6 Years means that the record must be
retained for 6 years after the contract expires, Other examples include treatment is completed, expiration of licenses, etc.
FY - Fiscal Year End. The record should be retained through at least the end of the fiscal year end, plus any additional time specified. Example: FE + 2 Years, means the record
must be retained for two years after the end of the current fiscal year.
LA - Life of Asset. The record should be retained until the asset is no longer present or owned by the county.
SUP - Superseded. The record should be retained until it is replaced by a newer version.
TERM - Termination. The record should be retained until some triggering event occurs, such as the termination of employment, termination of services being provided, etc.
Example: TERM + 6 Years means that the record should be retained for 6 years after the terminating event occurs.
Retention Abbreviations: ACT-Active, AU-Administratively Useful, CY-Calendar Yearend, EXP-Expiration, FY-Fiscal
Yearend, LA-Life of Asset, SUP-Until Superseded, TERM-Termination
Media Abbreviations: EL- Electronic (magnetic/optical/etc.) HC-
Hard Copy (paper/mylar/etc.), Mi-Microform, OT-Other (specify)
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Administrative Services
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Administrative Services
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing derartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Administrative Services
2007-1558a
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Administrative Services
2007-1641
AGENDA NON-PACKET MATERIAL Correspondence and
information used in the preparation of meeting agendas but is NOT
included in the agenda racket
3 Years
Administrative Services
2007-0257
APPLICATIONS & RESUMES FOR APPOINTIVE
POSITIONS, PERSONS NOT APPOINTED Applications and/or
resumes submitted by individuals seeking appointive positions, who
were not appointed and may contain, but is not limited to, name,
address, phone or contact number, social security number, job skills,
employment history, education and similar documents.
3 Years
HC
Security Destruction, see notes.
Administrative Services
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Administrative Services
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Administrative Services
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Administrative Services
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Administrative Services
2007-0136
BITE REPORTS Documents investigations of animal bites. This
series may include case number, information on person bitten,
incident information, treatment given, animal type, results of
investigation, correspondence and similar documents.
2 Years
HC
Security Destruction, see notes.
Administrative Services
2007-1553
BOARD AND COMMISSION VOLUNTEER INTEREST
FORMS Documents requests to be a volunteer on a local
government board or commission. Includes: Name/contact
information, Title of the board or commission, Category of interest,
Conflict of interest statement, Related correspondence, and similar
Applicant interest is
no longer expressed,
OR contact can no
longer be made + 1
Year
HC EL
Security Destruction, see notes.
Administrative Services
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Conntv Commissioners
Fiscal Yearend + 5
Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
1
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Administrative Services
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Administrative Services
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Administrative Services
2007-1243b
COMMITTEE RECORDS, AD HOC (Not a Public Body)
Documents establishment, organization, membership, policies,
activities, and accomplishments of ad hoc (internal, interagency,
advisory, etc.) committees. These types of committees are usually
formed for a specific and often temporary function, usually on an
informal basis. Includes Agendas, Minutes, Reports, Working
3 Years
HC EL
Administrative Services
2007-1243a
COMMITTEE RECORDS, AD HOC (Public Body) Documents
establishment, organization, membership, policies, activities, and
accomplishments of ad hoc (internal, interagency, advisory, etc.)
committees, i.e. - Recorder's Advisory Committee (RAC)
PERMANENT
EL
NRS 241.015(3)
Administrative Services
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Administrative Services
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Administrative Services
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Administrative Services
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr dpnartmpnt
Administratively
Useful
HC
Administrative Services
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Administrative Services
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
2
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Administrative Services
2007-1449
DISASTERS AND EMERGENCIES - FINANCIAL RECORDS
Documents emergency management program expenses related to
disaster or emergency relief. Includes application for assistance,
copy of declaration of emergency or disaster, preliminary damage
assessments, financial status reports, request for advance forms,
detailed cost reports, financial statements, copies of grant
documents, cash transaction reports, reports of expenditures,
reimbursement forms, quarterly reports, final expenditure reports
submitted to Nevada Division of Emergency Management and/or US
Closure + 3 Years
EIC EL
Administrative Services
2007-0295
EMERGENCY PREPAREDNESS DOCUMENTS Plans to
restore & maintain necessary business operations, protect public, &
to safeguard vital records during emergency situations. May include
hazard analysis records, first response procedures, emergency
operations plans, incident response plans, disaster management &
recovery plans, vital record plans, damage assessment plans, post
disaster evaluation procedures, correspondence & related documents.
Until Superseded +
Retain one (1) copy of
superseded documents
permanently for
historical purposes.
EIC EL
Security Destruction, see notes.
Administrative Services
2007-1290
EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES
listings of current errmlovees
Until Superseded
EL
Security Destruction, see notes.
Administrative Services
2007-0058
EMPLOYEE PERSONNEL FILES {Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Administrative Services
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Administrative Services
2007-0926
FACILITY USE SCHEDULES Schedules for use of facilities.
1 Year
EIC EL
Administrative Services
2007-0059
GRANT FISCAL RECORDS Documents the awarding of funds
from federal government, state government, private organizations,
private benefactors, and similar sources. Accounting reports,
expenditure reports, audit reports, monitoring reports, copies of
purchase orders, warrants, warrant registers, vouchers.
Submission of final
expenditure report + 3
Fiscal Years, OR
Granting authority
requirement,
—T— i
EIC EL
Administrative Services
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
Expiration + 3 Fiscal
Years, OR Retention
period required by
grantor, whichever
longer
EIC EL
NRS 239.110 Security Destruction, see notes.
Review for historical value
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
3
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Administrative Services
2007-0300
INCIDENT RECORDS - DISASTERS AND EMERGENCIES
Documents extent and impact of natural or manmade disasters and
emergency incidents and actions taken by local government in
rpsrinnsp tn snir.h inrirlpnts
PERMANENT
HC EL
Administrative Services
2007-0186b
INVESTIGATIONS, CODE VIOLATION - NO VIOLATION
Investigations of suspected property maintenance code violations and
may include but is not limited to photographs, on-site inspection
notes, copies of ordinances, violation notices, orders to appear,
correction notices, proof of correction, correspondence and related
j—™
1 Year
EL
Security Destruction, see notes.
Administrative Services
2007-0186a
INVESTIGATIONS, CODE VIOLATION - VIOLATION
Investigations of suspected property maintenance code violations and
may include but is not limited to photographs, on-site inspection
notes, copies of ordinances, violation notices, orders to appear,
correction notices, proof of correction, correspondence and related
A +„
Closure + 3 Years
EL
Security Destruction, see notes.
Administrative Services
2007-0078
KEY AND KEYCARD RECORDS Documents issuance of
keycards to agency staff to enable access to agency buildings and
sites. Records may include but are not limited to key inventories, key
issue forms, key replacement records, and key disposal records.
Active + 3 Years
HC EL
Security Destruction, see notes.
Administrative Services
2007-0317
LABOR NEGOTIATION RECORDS Article 28 & 31, Hearings
& Arbitrations, Negotiations, General Subject matters,
Unemployment claim forms, discipline removals, Collective
Bargaining Agreements from other jurisdictions, labor team reports,
union bank hours, various unit collective bargaining agreements,
interlocals, MPS & Mplan, testing files, misc negotiations.
Expiration + 5 Years
HC
Security Destruction, see notes.
Administrative Services
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Administrative Services
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
PERMANENT
HC EL
Administrative Services
2007-0034
LEGISLATIVE RELATIONS RECORDS Used to review and/or
plan a local government's position on impacting legislative actions.
This series may include bill review and tracking forms, opinion
requests, bill tracking reports, copies of pending or approved
legislation, notes, memorandum, related correspondence and similar
documentation. Information in this series may also be used in
lobbying efforts and recommending legislative changes.
Administratively
Useful
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
4
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Administrative Services
2007-1659
LOBBYIST FORM Document lobbyist and lobbyist employer
activities. This series may include expenditure reports, registration
statements, supplementary registration statements, termination
records, guidelines, related correspondence and similar documents.
5 Years
HC
Administrative Services
2007-1008
LOG, TELEPHONE Listing or log of telephone calls received on
Department lines & similar telerihone activity reriorts.
90 Days
HC EL
Administrative Services
2007-1557
LOGS, CODE ENFORCEMENT INSPECTIONS Logs kept by
Code Enforcement Officers detailing various inspections of potential
nronertv maintenance code violations
Calendar Yearend + 1
Year
EL
Administrative Services
2007-1452
MEDICAL RECORDS, ANIMAL CONTROL Documents the
medical history of animals in the care of animal control. Includes
Veterinarian bills, Rabies test results, Microchip information,
animal's past medical history, medical treatment records or logs,
vaccination history, lab test notes and results, quarantine
3 Years
HC EL
Security Destruction, see notes.
Administrative Services
2007-0065
MEETING NOTIFICATION LISTS Listings kept of persons
who, within the previous two years, have requested advance
notification of all meetings or meetings with snecific content
Until Superseded
HC EL
Administrative Services
2007-0109
MEETING RECORDINGS Recordings of proceedings of
regularly scheduled, special, and emergency meetings and may also
be used to transcribe, verify and correct minutes of public meetings.
Written minutes may be taken from these recordings, transcribed,
corrected as needed, and presented to meeting body for approval.
Transcription + 1
Year
EL
Administrative Services
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Administrative Services
2007-1533
MEETING RECORDS, BOARDS, COMMISSIONS,
COUNCILS, AND STANDING COMMITTEES Original
minutes of public and closed meetings, Agendas, Transcripts,
Attachments and exhibits, Correspondence related to the meetings,
Announcements, Proof of postings, Proof of certified mailings, and
PERMANENT
HC EL
Administrative Services
2007-0846
MEETING RECORDS, DEPARTMENTS AND
COMMITTEES Documents actions and discussion transpiring at
denartment and committee meetings
1 Year
HC EL
Administrative Services
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Administrative Services
2007-0988
PARKING PERMITS, EMPLOYEE Documents application for
and issuance of emrilovee riarkins nermits.
Expiration
HC EL
Administrative Services
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
5
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Administrative Services
2007-0142
PET IMPOUND RECORDS Administers and documents records
of all animals received by animal control. Includes description of
animal, medical and/or shot records, release information, final
rHsnnQitinn
Closure + 2 Years
EL
Administrative Services
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Administrative Services
2007-0013
PROCLAMATIONS Special recognition of local government
events, activities, and/or riersons.
PERMANENT
HC EL
Administrative Services
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
HC EL
Administrative Services
2007-0039
PROPOSED LEGISLATION RECORDS Records created for
purpose of proposing legislation. May contain, but is not limited to,
research information on proposed legislation, fiscal notes,
summaries, estimated cost reports, impact statements,
correspondence, & other information documenting the proposed
i——
Administratively
Useful
HC EL
Administrative Services
2007-1240
PUBLICATIONS Newsletters, pamphlets, annual or statistical
reports, studies, leaflets and similar material produced by or for
county or any of its departments, subdivisions, or programs for
rHstrihiitinri tn niihlir
See NOTE
HC
NRS 378.150, NRS 378.150 - 378.210,
NOTE: Send 6 copies of each to Nevada State
Library and Archives - State Publications
Administrative Services
2007-1380
RABIES VACCINATION CERTIFICATE RECORDS
Documents certificates of rabies vaccinations performed by
veterinarians. The certificate may include name and address of
owner of animal, a description of animal, including name, age, sex,
breed, color and weight, date vaccination was administered, product
name of vaccine used, the lot number of vaccine, date animal is due
for revaccination based on duration of immunity provided by vaccine
(according to its label), number of the rabies vaccination tags issued,
name, address and license number of veterinarian, signature of
veterinarian who administered vaccine, and related documents.
3 Years
HC EL
Security Destruction, see notes.
Administrative Services
2007-0297
RECORDS AND REPORTS OF SAFETY COMMITTEES
Documents safety committees established to promote a safe work
environment for emnlovees
3 Years
HC EL
Administrative Services
2007-0296
RECORDS OF EMERGENCY TRAINING EXERCISES
Documents emergency training exercises performed on a regular or
special basis by local governments and/or emergency management
Hpnnrtmpnts
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
6
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Administrative Services
2007-0068
RECORDS OF EXTERNAL GROUPS AND AGENCIES
Records provided to local governments for courtesy or informational
purposes from associations, organizations, groups & agencies that
are not part of local government but which have some form of
association or relationship with local government.
Administratively
Useful
HC EL
Administrative Services
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
srierifir to anv rirniert or activity
Administratively
Useful
HC
Administrative Services
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Administrative Services
2007-0145
REPORTS OF DEAD OR INJURED ANIMALS Documents
reports of dead or injured animals picked up and/or treated by animal
control. Includes information on type of animal, owner's name and
address (if known), location, type of injury, location of capture if a
wild animal, action taken, treatment, disposition, associated costs.
2 Years
HC EL
Security Destruction, see notes.
Administrative Services
REQUESTS FOR SERVICES RELATING TO INDIGENT
DEFENSE Requests by contract attorneys providing indigent
defense for services that will require payment by Office of
Appointed Counsel, a newly created office in County Manager's
Office. These contract attorneys provide indigent defense when
Public Defender's Office has a conflict. Examples for requested
services include, social workers, investigators, expert witnesses, and
travel requests. Charges must be approved by Office of Appointed
3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Administrative Services
2007-1242
SPECIAL BOARDS, COMMISSIONS, COUNCILS,
COMMITTEES, OFFICES AND TASK FORCE RECORDS
Document governmental administration, activities, and history of
specially organized committees, boards, councils, offices and task
forces. These entities are usually organized or appointed to address
specific problems or situations, and not intended to carry on activity
beyond a final report or activity. The purpose of these special entities
may involve advising, investigating, planning, recommending,
compiling, summarizing and similar activities.
PERMANENT OR
See NOTE
HC EL
NOTE: Retain records for a minimum period
of 5 calendar years from meeting date AND
transfer to one of the facilities described in
NAC 239.850 (l)(b).
Administrative Services
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Administrative Services
2007-0047
STRATEGIC PLAN FILES Develop and maintain the
department's mission, goals and performance measures. Activity
Renorts Performance Measures
Until Superseded + 3
Years
EL
Security Destruction, see notes. Review for
historical value
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
7
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Administrative Services
2007-1005
STUDIES Studies performed by outside consultants or in-house
staff. Feasibility Studies. Consultant Reports
PERMANENT
HC EL
Administrative Services
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Administrative Services
SUPERVISOR PERFORMANCE ASSESSMENTS Assessments
of supervisors done bv errmlovees.
3 Years
HC EL
NAC 239.165 (1) (2) Security Destruction, see
notes.
Administrative Services
2007-1414
SUPPORTIVE AGENCY FILES Used to keep informed about
activities of other agencies of similar function (other states, national
and international organizations, etc.). The files may contain
correspondence, brochures, pamphlets, announcements, notes,
informational sheets on federal/state / and /or private organizations,
copies of reports, handbooks, guides and similar materials.
Administratively
Useful
HC EL
Administrative Services
2007-0076
SURVEYS, POLLS, AND QUESTIONNAIRES Document
county department opinion on various issues, actions, and concerns.
Snrvevs noils nnestiormaires summaries abstracts
Administratively
Useful
HC
Review for historical value
Administrative Services
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Administrative Services
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Administrative Services
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Administrative Services
2007-0146
VIOLATION NOTICES TO ANIMAL OWNERS Documents
violation notices issued to animal owners for infractions of local
ordinances (not having a license, allowing pet to run at large, no
rabies vaccinations, annoyance, etc.). This series may contain case
number, reason for action, license number, owner's name and
address, violation, ordinance number, date and time, correspondence,
Closure + 2 Years
HC
Security Destruction, see notes.
Air Quality and Environmental
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC & EL
NRS 354.624, NAC 239.165 (l)(2)Security
Destruction, see notes.
Air Quality and Environmental
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC & EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Air Quality and Environmental
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC & EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
8
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Air Quality and Environmental
ADAPTIVE MANAGEMENT PROGRAM RECORDS
Documents related to the subject of AMP. Includes examples of
programs, adaptive management science plan, literature, interview
nntps rirniprts
Administratively
Useful
HC&EL
Air Quality and Environmental
AIR QUALITY MONITORING DATA Ambient Air Quality
Data. Includes Gaseous Data, Particulate Data PM-10 and PM-2.5,
Mptporoloairal Data Oualitv Control Chprk Data
PERMANENT
HC&EL
Air Quality and Environmental
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (l)(2)Security
Destruction, see notes.
Air Quality and Environmental
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Until Superseded
HC
Air Quality and Environmental
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC&EL
NRS 354.624, NAC 239.165 (1)(2)
Air Quality and Environmental
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC&EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Air Quality and Environmental
BLM PROJECT RECORDS Project records involving the federal
Bureau of Land Management. Includes Application for Federal
Assistance Form 424, project activity and reporting records.
Expiration of Project
+ 3 Years
HC&EL
43 CFR 12.82, 43 CFR 1880
Air Quality and Environmental
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board of
C.oimtv Commissioners
Fiscal Yearend + 5
Years
HC&EL
Air Quality and Environmental
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rpnupsts
Audit Clearance
HC
Air Quality and Environmental
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC&EL
Air Quality and Environmental
CARBON MONOXIDE STUDIES - MOBILE SOURCES
SECTION STATE IMPLEMENTATION PLAN (SIP) Includes
Las Vegas Air Quality Implementation Plan, Clark County, Air
Quality Implementation Plan, Clark County, Air Quality
Implementation Plan, Clark County, Carbon Monoxide Air Quality
Implementation Plan, Carbon Monoxide Air Quality Implementation
Plan, CO State Implementation Plan, CO Implementation Plan
Revision, CO Redesignation Request and Maintenance Plan and
Until Superceded + 5
Years OR Withdrawn
+ 5 Years
HC&EL
Air Quality and Environmental
CLUB RIDE RECORDS Program designed to promote carpooling
and ride sharing. Includes Covered Parking Log, Club Ride
Registration Form, Club Ride Carpool Registration Form, etc.
Active
HC&EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
9
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Air Quality and Environmental
2007-0055
COMPLAINTS Document communications with Public and
Regulated Community in regard to potential violations of Air Quality
Regulations
Disposition + 3 Years
HC&EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (l)(2)Security Destruction, see notes.
Air Quality and Environmental
COMPLIANCE RECORDS, ASBESTOS Records related to
notifications of asbestos renovation/demolition projects, inspection
reports, and compliant investigations. Includes Asbestos
Notifications, Site inspections, Corrective Action Orders,
Active + 6 Years
HC&EL
Air Quality and Environmental
CONTRACT/PROJECT PRE-AWARD RECORDS Documents
gathered from agencies before award of contract/project. Can include
certificate of liability insurance, conditions for funding, conflict of
interest forms, contract request form, curriculum vitaes, FD 6, FD 6
approval letter, goal statements, ILA draft, letter from purchasing
requesting agency submittal of insurance (professional services
only), proposal draft for project, resumes, risk management plan,
SNPLMA Financial assistance agreement, scope of work, and work
authorization form.
Termination of Project
or Contract
HC&EL
Air Quality and Environmental
2007-0054
CONTRACTS & AGREEMENTS (Department copies )For
products and services administered by an agency, where the official
remrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Air Quality and Environmental
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Air Quality and Environmental
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Air Quality and Environmental
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC&EL
Air Quality and Environmental
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC&EL
Air Quality and Environmental
EMISSION INVENTORY STUDIES AND REPORTS Reports
are designed to support criteria pollutant studies, plans, and/or state
implementation plans authored by Air Quality Planning or Mobile
Sources Section and, in many instances, are geared towards specific
PERMANENT
HC&EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
10
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Air Quality and Environmental
EMISSION REDUCTION PROGRAM RECORDS LINKED
TO STATE IMPLEMENTATION PLAN (SIP) The Mobile
Sources Section develops programs designed to reduce harmful
emissions from Carbon Monoxide, Ozone, PM10, PM2.5, VOC,
Nitrogen Oxide, Carbon Dioxide, HAPs, etc. The program may be
included in a State Implementation Plan as an emissions reductions
component. The programs include a variety of documents, including
grant requests to federal, state, and regional entities, reports/studies,
Board of County Commissioner's agenda items, etc.
Until Superseded + 5
Years OR Withdrawn
+ 5 Years
HC&EL
Air Quality and Environmental
EMISSION REDUCTION PROGRAM RECORDS, NOT
LINKED TO STATE IMPLEMENTATION PLAN (SIP) The
Mobile Sources Section develops programs designed to reduce
harmful emissions from Carbon Monoxide, Ozone, PM10, PM2.5,
VOC, Nitrogen Oxide, Carbon Dioxide, HAPs, etc. The program
may be included in a State Implementation Plan as an emissions
reductions component. The programs include a variety of documents,
including grant requests to federal, state, and regional entities,
reports/studies, Board of County Commissioner's agenda items, etc.
Expiration of Program
+ 5 Years
HC&EL
Air Quality and Environmental
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Air Quality and Environmental
ENFORCEMENT ACTION NOT RELATED TO PERMITS
Documents related to the issuance of a Notice of Violation (NOV)
and resolution of enforcement action. Includes Notice of Violation
(NOV) & evidence documents, HO Meeting books, NOV Response
Form, NOV Tracking, Hearing Officer (HO) agendas, NOV Monthly
summary, HO annotated agendas, AQMS Enforcement database, HO
Orders, HO waivers, stipulations, amended NOVs, HO Invoices,
NOV Files, photos, penalty matrices, finals, history, HO Member
files, HO audio or video records, HO Penalty Payment Plans, HO
Stipulation files, NOV Log.
Resolution + 20 Years
See NOTE
HC&EL
NOTE: Retain landmark cases
permanently.(Retention based on EPA
Records Schedule 207)
Air Quality and Environmental
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Air Quality and Environmental
GEOGRAPHICAL INFORMATION SYSTEM DATAThis
series includes archive documents, materials and data of issues and
subjects related to department. It may include but not limited to
inventory and archival information located on the Clark County
Until Superseded
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
11
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Air Quality and Environmental
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
Grant Closure + 3
Fiscal Years OR
Retention period
required by granting
authority, whichever
longer
HC&EL
NRS 239.1 lOSecurity Destruction, see notes.
Air Quality and Environmental
2007-0078
KEY AND KEYCARD RECORDS Documents issuance of
keycards to agency staff to enable access to agency buildings and
sites. Records may include but are not limited to key inventories, key
issue forms, key replacement records, and key disposal records.
Active + 3 Years
HC&EL
Security Destruction, see notes.
Air Quality and Environmental
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA information.
1 Year
HC&EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (l)(2)Security Destruction, see notes.
Air Quality and Environmental
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
PERMANENT
HC&EL
Air Quality and Environmental
LOG, VEHICLE Vehicle Check In/Out Log, Vehicle Maintenance
Log, Vehicle Mileage/ Inspection Log, Fuel Pin Log
Administratively
Useful
EL
Air Quality and Environmental
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC&EL
NRS 11.190 (3)(d)
Air Quality and Environmental
2007-0846
MEETING RECORDS, DEPARTMENTS AND
COMMITTEES Documents actions and discussion transpiring at
denartment and committee meetings
1 Year
HC&EL
Air Quality and Environmental
2007-0107
MEETING RECORDS, PM10 AND OZONE WORKING
GROUPS Official record of proceedings of regularly scheduled,
special and emergency meetings. Includes: Date/time/meeting place,
Members present/absent, Substance of matters proposed, discussed
or decided, votes taken, citizens who appeared, & related records
PERMANENT
See NOTE
HC&EL
NOTE: Retain permanently, OR retain for 5
Years from date of meeting AND transfer
records to a facility described in NAC 239.850
(l)(b), for continued public access & archival
preservation
Air Quality and Environmental
2007-0107
MEETING RECORDS, TECHNICAL ADVISORY
COMMITTEE AND WILDLIFE ADVISORY BOARD Original
minutes of public and closed meetings, agendas, transcripts,
attachments and exhibits, correspondence related to the meetings,
announcements, proof of postings, proof of certified mailings, and
PERMANENT
See NOTE
HC&EL
NOTE: Retain permanently, OR retain for 5
Years from date of meeting AND transfer
records to a facility described in NAC 239.850
(l)(b), for continued public access & archival
preservation
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
12
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Air Quality and Environmental
MODELING DATA - AIR QUALITY PLANNING, STATE
IMPLEMENTATION PLAN (SIP) Modeling Section Data are
designed to support criteria pollutant studies, plans, and/or state
implementation plans authored by Air Quality Planning or Mobile
Until Superseded + 5
Years OR Withdrawn
+ 5 Years
EL
Air Quality and Environmental
NATIONAL POLLUTANT DISCHARGE ELIMINATION
SYSTEM (NPDES) STORMWATER PROGRAM RECORDS
Discharge of stormwater into the Las Vegas Wash is regulated by a
National Pollution Discharge Elimination Permit issued by State of
Nevada. The Las Vegas Valley NPDES permit (Permit) authorizes
Clark County, Clark County Regional Flood Control (CCRFCD), the
cities of Henderson, Las Vegas & North Las Vegas (Committee), to
discharge stormwater and urban runoff to the Las Vegas Wash.
Includes MS4 Interlocal Agreement with Co-permitees, Municipal
Separate Storm Sewer System (MS4) Permit, Las Vegas Valley
Expiration +10 Years
HC&EL
40 CFR Part 122, 123(Retention based on
EPA Records Schedule 210)
Air Quality and Environmental
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC&EL
Air Quality and Environmental
OZONE REPORTS AND STUDIES, PM10, AND PM 2.5
Studies and reports in support of SIP and/or programmatic functions
tied to SIP/Maintenance Plan
Until Superseded + 5
Years OR Withdrawn
+ 5 Years
HC&EL
Air Quality and Environmental
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC&EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d)Security
Destruction, see notes.
Air Quality and Environmental
PERMIT FILES, STATIONARY SOURCE Records pertaining to
stationary sites emitting air pollutants. Includes applications, permits,
inspections, enforcement corrective action orders (CAO), notices of
violation (NOV) and compliance hearing records, performance tests,
emission inventories, complaints, compliance certifications, reports,
ownership change records, correspondence, and other, related
records. Stationary source modeling data for air quality planning.
Includes major, minor and Title V sources.
Site Closure + 20
Years
See NOTE
HC&EL
NRS445B.500(Retention based on EPA
Records Schedule 207) NOTE: Retain
landmark cases permanently.
Air Quality and Environmental
PERMIT RECORDS, AIR QUALITY - DUST CONTROL
Permit issued to construction company for control of dust emission
during construction cycle. All enforcement, reporting and
correspondence records including application, dust mitigation plan,
owner's designee form, site map and permittee request to close, etc.
Until Superseded + 5
YearsORWithdrawn +
5 Years
HC&EL
NRS 205.4617, NAC 239.165 (1) (2)Security
Destruction, see notes.
Air Quality and Environmental
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
13
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Air Quality and Environmental
PLANS, CONSERVATION MANAGEMENT This series
includes archive documents and materials of issues and subjects
related to MSHCP permit. It may include Boulder City Conservation
Easement, Muddy River, Meadow Valley Wash, Virgin River, Rare
Plants, Spring Mountains NRS Landscape Assessment, Mesquite
Acacia, and Desert Wildlife Management Areas. Water quality
management plans. Archive documents and materials of issues and
subjects related to MSHCP permit. And all land disturbance records.
Until Superseded + 6
Years OR Withdrawn
+ 6 Years
HC&EL
Air Quality and Environmental
PLANS, WATER QUALITY MANAGEMENT The Federal
Water Pollution Control Act (Clean Water Act) Amendments of
1972 and 1977 required the control of all sources of water pollution
in meeting the goals of the Act. The Clark County Board of County
Commissioners (BCC) was designated as the Area Wide Water
Quality Management Planning organization within Clark County.
The BCC designated Clark County Department of Air Quality and
Environmental Management as the agency to manage and administer
planning. Includes South County Plan and Amendments, Northeast
Plan and Amendments, Las Vegas Valley Plan and Amendment,
Rural Plan [Northwest] and Amendments, Laughlin Plan and
Amendments.
Until Superseded + 6
Years OR Withdrawn
+ 6 Years
HC&EL
Air Quality and Environmental
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nrniprt or activity
Administratively
Useful
HC
Air Quality and Environmental
REGULATIONS, AIR QUALITY Development, implementation,
and distribution of Clark County Air Quality Regulations. Includes
Regulation Workshops & support documents, Ordinances, BCC
Agenda items, Proposed regulations, SIP regulation submittals,
Approved regulations, Amended regulations, Regulation
subscriptions list & invoices, Archived regulation database.
PERMANENT
HC&EL
Air Quality and Environmental
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC&EL
NRS 11.190 (l)(b)
Air Quality and Environmental
SITE INSPECTION RECORDS - INDUSTRIAL FACILITY
STORMWATER NPDES Permit requires several area agencies
including Clark County (collectively called the Stormwater Quality
Management Committee) to monitor and control pollution
discharged into Las Vegas Wash through Best Management
Practices (BMPs). Industrial Facility Inspections are required in
order to meet requirements of the NPDES permit. Archive
documents and materials of issues and subjects related to HCP
NPDES Report issued
+ 7 Years
HC&EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
14
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Air Quality and Environmental
SOUTHERN NEVADA PUBLIC LANDS (SNPLMA)
RECORDS Archive documents and materials of issues and subjects
related to MSHCP permit. It may include financial assistance
agreements, request for reimbursement packets, invoices, proof of
payment, correspondence, quarterly progress reports, spreadsheets,
financial forms, implementing agreement, direct labor tracking,
meeting minutes, and decision documents.
Until Superseded + 6
Years OR Withdrawn
+ 6 Years
HC&EL
Air Quality and Environmental
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC&EL
Air Quality and Environmental
STATE IMPLEMENTATION PLANS (PM10) AND
SUPPORTING STUDIES Under the authority granted by the
Governor of the State of Nevada, the Clark County Board of
Commissioners is responsible for the preparation of State
Implementation Plans for nonattainment areas within Clark County
to attain NAAQS at the earliest practicable date. EPA is the final
approving authority for SIPs, and once approved, SIPs are federally
enforceable rules. Includes Las Vegas Air Quality Implementation
Plan, Clark County, Nevada, Air Quality Implementation Plan, Las
Vegas Valley, Clark County, Nevada, Air Quality Implementation
Plan, Las Vegas Valley, Clark County, Nevada, Particulate Matter,
Air Quality Implementation Plan, Las Vegas Valley, SIP for Las
Vegas Valley, Providing BACM and BACT to Improve Air Quality,
Moderate Area Air Quality Implementation Plan and Addendum,
Attainment Demonstration Plan, Las Vegas Valley Nonattainment
Area, State Implementation Plan, Milestone Achievement Report
("MAT?"* and nthpr similar Plans
Until Superseded + 5
Years OR Withdrawn
+ 5 Years
HC&EL
Includes air quality planning studies
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
15
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Air Quality and Environmental
STATE IMPLEMENTATION PLANS (SIP),
TRANSPORTATION CONFORMITY Purpose of Clark County
Transportation Conformity Plan is to implement Section 176(c) of
the Clean Air Act, regarding conformity of transportation plans,
programs, and projects with state implementation plans. To fall
within the scope of conformity regulation, transportation plans,
programs, and projects must be developed, funded, or approved by
the United States Department of Transportation and the Clark
County Metropolitan Planning Organization. The Clark County
Transportation Conformity Plan is based on Clean Air Act section
176(c)(4)(E), and the transportation conformity regulations at 40
CFR Part 51.390 and Part 93.100-129. The Clark County
Transportation Conformity Plan applies to all EPA designated
nonattainment and maintenance areas for transportation related
criteria pollutants within Clark County, Nevada, now or in the future.
Until Superseded + 5
Years OR Withdrawn
+ 5 Years
FIC & EL
42 U.S.C. 7401, 23 U.S.C. 109(j), 40 CFR
Part 51 Subpart T, and 40 CFR Part 93 23
USC, 49 U.S.C. 1601.
Air Quality and Environmental
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Air Quality and Environmental
2007-1360
TELECOMMUNICATION SYSTEM MANAGEMENT
RECORDS Documents creation, modification, and disposition of
telecommunications systems. May include equipment records,
Federal Communications Commission records, repair order forms,
system planning records, telecommunications maintenance contracts
and service agreements, service orders, related correspondence, and
Expiration + 6 Years
EIC & EL
Air Quality and Environmental
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
EIC & EL
29 CFR 516.5, NRS 11.190 (3)(d)Security
Destruction, see notes.
Air Quality and Environmental
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
EIC & EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Air Quality and Environmental
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
rpmrrk related to pmnlnvm travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (l)(2)Security
Destruction, see notes.
Air Quality and Environmental
VACANT LAND RECORDS Monitoring of vacant lands, unpaved
parking lots and unpaved roadways. Includes inspections,
enforcement records, complaints, and correspondence and other,
rplntprl n'r^rvk rai l:mil n:irn'k
3 Calendar Years
NRS 11.190 (3)(d)
Air Quality and Environmental
2007-0079
VEHICLE MAINTENANCE & REPAIR RECORDS Documents
maintenance & repairs of owned or leased vehicles. Records used to
nrovide maintenance Xr. renair historv
Life of Asset + 3
Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
16
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Assessor
ABATEMENT APPEALS Property tax abatement appeals,
including statements, briefs, & decisions
Settlement + 6 years
HC EL
NRS361.4734, NRS 205.4617, NAC 239.165
(1) (2) Security Destruction, see notes.
Assessor
ABATEMENT APPROVAL LETTERS Correspondence from
Nevada Council on Economic Development, with abatement
annrovals
Expiration + 6 Years
HC
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Assessor
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Assessor
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing derartment activities
Calendar Yearend + 2
Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Assessor
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Assessor
2007-1227
ADDRESS CHANGE FORMS, COMPLETED Forms used to
update mailing address for records on secured and unsecured tax roll.
Includes letters, assessor's address change forms and treasurer's
address change forms
Calendar Yearend + 6
Years
HC EL
Retention comment from Department: "We
frequently have to go back and justify why we
have changed an address on a parcel. If
property is being sold by Treasurer, for special
assessments or in some type of litigation the
majority of these issues take at a minimum 4
to 5 years for sale process to begin." Security
Destruction, see notes.
Assessor
2007-0171
ADDRESSES IN SUBDIVISIONS Lists of site addresses for new
subdivisions provided bv each citv entitv
Until Superseded
EL
Assessor
2007-0756
ANNEXATION RECORDS Annexations of parcels of land. May
include plats, studies, resolutions, legal notices, staff memoranda,
applications, petitions, title reports, ownership reports, consent letters
& protests, related correspondence, & similar documents.
PERMANENT
HC EL
Assessor
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 months from date of
receipt
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Assessor
2007-0082a
APPRAISAL RECORDS, MANUFACTURED HOMES
Discovery runs, ownership documents, personal property sale
paperwork, DRS, titles, manufactured housing documents, bills of
sale, misc transfer documents, Pre-sale research, seizure, pictures,
sale documents, notification of mailings, advertising, &
documentation of conversations. Used to create, update, verify and
bill personal property records for manufactured homes
Until Superseded + 6
Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
17
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Assessor
2007-0082b
APPRAISAL RECORDS, REAL & PERSONAL PROPERTY -
HOTELS All records and documents used to create the aDDraisal
record including building sketch, RAR (residential improvement
records), car (commercial improvement records), RAR/CAR cost
breakdowns, possessor interest worksheet, leasehold interest
worksheet, personal property progress report, residential/commerical
appraisal file, financial information, correspondence, land appraisal
records, value calculations, hotel reports
Until Superseded + 25
Years
HC EL
Security Destruction, see notes.
Assessor
2007-0082a
APPRAISAL RECORDS, REAL & PERSONAL PROPERTY
-OTHER THAN RESORTS/HOTELS All records and documents
used to create appraisal record including building sketch, RAR
(residential improvement records), car (commercial improvement
records), RAR/CAR cost breakdowns, possessor interest worksheet,
leasehold interest worksheet, personal property progress report,
residential/commercial appraisal file, financial information,
correspondence, land appraisal records, value calculations, hotel
Until Superseded + 6
Years
HC EL
Security Destruction, see notes.
Assessor
2007-0083
ASSESSMENT ROLLS AND/OR TAX LISTS Assessment and
Tax rolls information including closed roll values, ownership,
mailing address, site address, legal description, history of ownership
nnrl nprgnrml nrnnprtv vnliiPQ
PERMANENT
HC EL
MI
NRS 361.310
Assessor
2007-0086
ASSESSOR'S MAPS Maps that show size, shape & boundary of
every land narcel in Countv. Also includes all undates.
PERMANENT
HC EL
NRS 361.189
Assessor
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Assessor
AUTOMATED CLEARINGHOUSE (ACH) DOCUMENTS
Review account & routing #, verify signature; review/cancel ACH
requests when property ownership changes & review Bank of
America confirmation. Includes application, voided check, letter,
6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Assessor
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Assessor
2007-0469
BANKRUPTCY RECORDS Maintain history & review of claims
filed with Bankruptcy court(s); maintain a history of collections; &
case tracking information, including claim, tax bill, personal property
declaration, court documents, printout from court, information sheet
Settlement + 6 Years
HC EL
Security Destruction, see notes.
Assessor
BATCH REPORTS Verify that payments posted correctly & audit
end of month, end of year, maintain history for annual audit.
Audit Clearance
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
18
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Assessor
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
FIC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Assessor
2007-0089
BOARD OF EQUALIZATION MEETING & APPEAL
RECORDS (Department Copies, official record copy maintained
by County Clerk) BOE documents and decisions, and internal
5 Years
EIC EL
Security Destruction, see notes.
Assessor
2007-0003
BUDGET REQUEST, ANNUAL {Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.nnntv Commissioners
Fiscal Yearend + 5
Years
EIC EL
Assessor
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Assessor
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
EIC EL
Assessor
BUSINESS NAME CHANGES Used to update property title and
ownership database information, including corporate name changes,
letters notices etc
6 Years
EL
Assessor
2007-1321
BUSINESS PERSONAL PROPERTY STATEMENTS Aircraft
and other business personal property declaration & attachments, list
of inventory from dealers, lists of inventory from leasing companies,
Fiscal Yearend + 6
Fiscal Years
EL
Statements filed in compliance NRS 361.266,
361.265 and 489.711
Assessor
CHECKING & BALANCING RUNS Runs used to check daily
work and balance dailv value adiustments.
6 Months
HC
Assessor
COLLECTION DATABASE Database used to track and generate
documents for collection of riersonal riroriertv taxes
Until Superseded
EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Assessor
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
EIC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Assessor
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Assessor
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Assessor
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Assessor
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
anViipvpmpntQ
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Assessor
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Assessor
COURT ORDERS & AFFIDAVITS, CONFIDENTIAL
TAXPAYER Court order authorizing Assessor's Office to block all
personal information on property belonging to high profile taxpayers.
Includes court order, affidavit for each property, checklists, printouts
of information, any changes to existing information, release
affidavits, removal of confidential information request.
Active + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Assessor
2007-0076
CUSTOMER COMMENT CARDS History of comments from
taxriavers and rmblic.
Administratively
Useful
EL
Assessor
2007-0762
CUSTOMER CREDIT/DEBIT ACCOUNTS Accounts setup by
organizations regularly purchasing information from Assessor's
office. Account balances are debited, and upon hitting preset points
notifications are issued and additional monies are deposited by
Audit Clearance
HC EL
Security Destruction, see notes.
Assessor
DAILY BALANCING REPORTS Report for auditing end of
month and end of year, as well as maintain history for annual audit.
Audit Clearance
EL
Assessor
2007-0244
DOCUMENTATION OF COMPUTER SYSTEM &
PROGRAMS Instructions and documentation related to certain
programs, applications and or systems used by department. Includes
Until Superseded OR
Expiration + 6 Years
EL
Assessor
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Assessor
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Assessor
FLEET PRINTOUTS For auditing end of month, end of year and
maintain history for annual audit. Verify payments posted correctly.
Audit Clearance
HC EL
Assessor
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Assessor
LOG, TREASURER ACKNOWLEDGEMENTS Verify that
taxriaver riavment has been received bv Countv Treasurer
Audit Clearance
HC
Assessor
LOGS, PROPERTY & EQUIPMENT CHECKOUT Phone check
out log, vehicle log. Used to verify checked out items are returned.
1 Year
HC EL
Assessor
MAPPING REQUESTS, ADMINISTRATIVE CHANGE
Request for division, combination, and lease cuts requested by
taxnaver
6 Years
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
20
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Assessor
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Assessor
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Assessor
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Assessor
PERMITS, MANUFACTURED HOME MOVING Issued to
allow owners of manufactured homes to move the home to a new
location
Expiration + 1 Year
HC
Assessor
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor nurchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Assessor
PROBLEM AND COURTESY LETTERS Copies of Assessor
generated letters concerning ownershin and manning nroblems.
1 Year
HC
Assessor
PROPERTY PARCEL TRANSACTION WORKSHEETS
Records used for adding, deleting and changing parcels and
recording other information
Administratively
Useful
EL
Assessor
2007-0517
RECORDED CONVEYANCE DOCUMENTS (Department
Copies, official record copy maintained by County Recorder)
Deeds/Mans/Snrvevs documenting nronertv ownershin
Administratively
Useful
EL
Assessor
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snerifir to arv nroiert or activity
Administratively
Useful
HC
Assessor
2007-0339
REFUNDS Request, check copy, CICS printout to support refund
navments.
Audit Clearance
HC EL
Assessor
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Assessor
RETURN CHECK WORKSHEETS Excel worksheet used to
track returned checks & amount due.
Until Superseded
HC EL
Security Destruction, see notes.
Assessor
SEGREGATION REPORTS Segregation and other official reports
used to provide information as required to State of Nevada
Reported to State + 7
Years
HC EL
NRS 361.390, NAC361.150-152
Assessor
SPECIAL REPORTS AND DATA EXTRACTIONS
Report/extract, written request, notes, payment information used to
provide information as requested by agencies or citizens.
Administratively
Useful
HC EL
Assessor
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year from date of
meeting
HC EL
Assessor
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
21
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Assessor
TAX ABATEMENT CARDS Rental applications, primary owner
applications, denial letters, appeals, audits. Affidavits to qualify for
3% tax abatement as owner occupied or as a qualified rental
nrnnprtv
PERMANENT
HC EL
Assessor
2007-0081
TAX EXEMPTION AFFIDAVITS Information used to determine
whether or not an individual or organization qualifies for a tax
emption. Exemption can be used to reduce real property, personal
property or DMV taxes. Includes affidavits for personal exemptions,
renewal post cards, applications for organizations, renewal
applications for low income, back up documentation, fine art
exemption affidavit, pollution control affidavits.
3 Fiscal Years
HC EL
Security Destruction, see notes.
Assessor
TAX REBATE APPLICATIONS, SENIOR CITIZENS
Applications used for apply for Nevada Senior Tax Rebate/Rental
Assistance program. All required information is gathered and
analyzed before transferring records to State. Previous year records
are often referred to in order to ensure that all necessary
3 Fiscal Years
EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Assessor
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Assessor
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Assessor
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Assessor
2007-1020
WORK ORDERS, VEHICLE One page work order used to verify
monthly billinss.
Completion + 1 Year
HC EL
Assessor
WORK SCHEDULE CHANGE REQUESTS Completed by
emrilovees and sisned bv supervisor.
1 Year
HC
Audit
2007-0046
ACCOUNTING RECORDS {Department Copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Audit
2007-0046
ACCOUNTING RECORDS {Department Copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Audit
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
22
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Audit
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Audit
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Audit
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Audit
2007-1256
AUDITS REPORTS, QUALITY ASSURANCE REVIEWS
Quality control reviews performed by an agency to check
effectiveness of policies & procedures such as office security,
training, safety, personnel, customer relations, emergency & similar
procedures. Internal Audit Reports, Supporting Working Papers,
Correspondence, investigative reports, checklists, copies of
documents involved in review or audit, staff reviews, copies of
policies & procedures, comparison reports, safety manuals, staff
Fiscal Yearend + 3
Years
HC
Security Destruction, see notes.
Audit
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Audit
2007-0050
BID RECORDS (Department Copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Audit
2007-0003
BUDGET REQUEST, ANNUAL (,Department Copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.nnntv Commissioners
Fiscal Yearend + 5
Years
HC EL
Audit
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Audit
2007-0052
BUDGET, ADOPTED (Department Copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Audit
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Audit
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
remrd mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Audit
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Audit
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintnini'il hv annthpr Hpnartmpnt
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
23
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Audit
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Audit
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Audit
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Audit
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Audit
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Audit
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department Copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Audit
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Audit
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Audit
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Audit
2007-0090
RECEIVING RECORDS AND VENDOR INVOICES Payment
of bills for goods & services, including billing statements, receiving
reports, shipping documents, expense reimbursements, computer
generated reports & printouts, payment authorizations, supportive
documentation, related correspondence
Fiscal Yearend + 5
Years
HC
Security Destruction, see notes.
Audit
2007-0069
RECORDS DESTRUCTION CERTIFICATES Documents
destruction of records in accordance with approved retention
srhprliilps
3 Years
HC
Audit
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Audit
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
24
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Audit
2007-0297
SAFETY COMMITTEE RECORDS AND REPORTS Safety
committees established to promote a safe work environment for
employees. Safety plans, safety & health training records, safety
committee meeting records, vulnerability assessments, Inspection
Fiscal Yearend + 3
Years
EL
Audit
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Audit
2007-0047
STRATEGIC PLAN FILES Develop and maintain the
department's mission, goals and performance measures. Activity
Pennrts Performance Measures
Fiscal Yearend + 3
Years
EL
Audit
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Audit
2007-0076
SURVEYS, POLLS, AND QUESTIONNAIRES Document
county department opinion on various issues, actions, and concerns.
Survevs noils nuestionnaires summaries abstracts
Administratively
Useful
HC
Audit
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
{Department Copies. Official record copy at Human Resources. )
Documents hours worked and leave hours accrued or taken by
employees on a daily, weekly, or monthly basis. May include FMLA
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Audit
2007-0330
TRAINING RECORDS, EMPLOYEE (Department Copies.
Official record copy at Human Resources^) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Audit
2007-1258
TRAVEL RECORDS (Department Copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Business License
2007-0046
ACCOUNTING RECORDS (,Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Business License
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Business License
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial renorts detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Business License
2007-1641
AGENDAS, LIQUOR & GAMING LICENSING (Departmental
copies. Official record copy at County Clerk.) Signed Report of
Director's approval and/or denial of Liquor & Gaming Licenses,
temporary licenses, notifications, withdrawals, change of ownerships
3 Years
HC
Security Destruction, see notes.
Business License
APPEAL HEARING RECORDS, BUSINESS LICENSE Records
pertaining to hearings on appeals from business license holders or
annlicants
Resolution + 1 Year
HC
Clark County Code, 6.04.090; NRS 205.4617,
NAC 239.165 (1) (2) Security Destruction,
see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
25
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Business License
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Business License
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Business License
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanldna rplatinnshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Business License
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Business License
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Countv Commissioners
Fiscal Yearend + 5
Years
HC EL
Business License
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rpnupsts
Audit Clearance
HC
Business License
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Business License
2007-0568
BUILDING PLANS & MAPS Locations of service lines in rights-
of-wav
Life of Asset + 1 year
HC
Security Destruction, see notes.
Business License
BUSINESS LICENSE APPLICATIONS, REJECTED/DENIED
Applications for business licenses rejected by County. Includes
Nevada Business Registration Form, Business License Supplement,
DBA - Fictitious Firm Name, Fire Department Permit Survey Form,
Proof of Taxation, Lease, Personal & Financial History,
Documentation for Metro Investigation, Related Correspondence
Decision + 1 year
HC
Clark County Code, 6.04.090; NRS 205.4617,
NAC 239.165 (1) (2) Security Destruction, see
notes.
Business License
BUSINESS LICENSE AUDIT RECORDS Audits undertaken to:
1. Determine whether licensee's activities are licensed in accordance
with County Code. 2. Determine whether licensee is remitting gross
revenue fees/tax in accordance with County Code. 3. Determine
whether Department's permanent record is current and accurately
lists all informational items. Includes Billing Letters, Audit Planning
Documents, Correspondences, Licensee's financial records &
documents, Audit Tax Calculation Templates, Correspondences
Audit Clearance + 7
Years
HC
Clark County Code: 6.08.090, 8.04.240; NRS
205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Business License
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
26
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Business License
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record conv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Business License
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Business License
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Business License
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nrhipvpm frits
PERMANENT
HC EL
Business License
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Business License
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Business License
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Business License
2007-0310
FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS
(Departmental copies. Official record copy at Human Resources.)
Regulate granting and monitoring of family leave under Federal
Family and Medical Leave Act of 1993 and State Parental Leave
Without Pay Bill. Includes leave requests, medical certifications,
j
Fiscal Yearend + 3
years
HC EL
29 CFR 1630.14 HIPAA information requires
Security Destruction, see notes.
Business License
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
Expiration + 3 Fiscal
Years, OR Retention
period required by
grantor, whichever
longer
HC
Security Destruction, see notes. Review for
historical value
Business License
2007-1166b
INSPECTION RECORDS, CHILD CARE FACILITIES
Electronic Record used to conduct inspections on Child Care
Facilities Sanswrite program. Includes inspection module for child
care agents, location, inspection status of location, list of corrective
action needed, citation reports, notice of violation reports,
Expiration + 6 Years
HC
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
27
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Business License
2007-0224
INVESTIGATIONS, BUSINESS LICENSE COMPLIANCE
Report on investigations conducted by Tactical Operations Unit into
licensed businesses to ensure compliance, or with respect to a
compliant. Includes issue view screen and special agent's note,
investigative report, notice of violation issued, citation issued.
Calendar Yearend + 6
Years
HC
Security Destruction, see notes.
Business License
2007-0224
LABOR COMPLIANCE INVESTIGATIONS Maintain all
Department Investigations, and track all outside agency
investigations for EEOC, NERC, ADA, SEIU/CBA Discipline,
Calendar Yearend + 6
Years
HC EL
Security Destruction, see notes.
Business License
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Business License
2007-0229
LICENSE RECORDS, ADULT ENTERTAINMENT, LIQUOR
OR GAMING Adult Entertainment licenses issued & renewed, &
may contain application packet, business license forms, copies of
state forms, list of requirements, license fee information, proof of
payment, related correspondence & similar documents.
Calendar Yearend + 6
years
HC
Security Destruction, see notes.
Business License
2007-0221
LICENSE RECORDS, BUSINESS Business licenses issued &
renewed. May contain application packet, application for change of
business license, business license/registration forms, list of
requirements, copies of completed forms from licensee, license fee
information, proof of payment, audited financial statements, related
correspondence, & similar documents.
1 year
HC
Security Destruction, see notes.
Business License
2007-0231
LICENSES OR PERMITS, TEMPORARY To apply for permit
to serve/sell alcohol at a special event, or charitable function.
Includes liquor caterer business license, alcohol awareness training
exp. date, liquor license number, applicant's name and phone
number, date (s) and time(s) of event, event sponsor, location of
event, description of event, liquor caterer supervisor, name(s of
employees(s), employee work card number.
Expiration + 1 Year
HC
Security Destruction, see notes.
Business License
LOG, MEDIA FILMING PERMIT APPLICATIONS To track
approved/denied/cancelled movie and television filming permit
applications by month. Includes information from film permit
application, hold harmless indemnification agreement, certificate of
Resolution + 1 year
HC
NRS 11.90 (3)(d)
Business License
2007-0107
MEETING RECORDS, ADMINISTRATIVE OVERSIGHT
COMMITTEE Agendas and Minutes
PERMANENT
HC EL
Business License
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rinrkptQ
3 Years
HC EL
NRS 11.190 (3)(d)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
28
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Business License
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
EIC EL
Business License
2007-0227a
OUT OF BUSINESS FILES - HISTORICAL Licensing files for
businesses that have gone out of business or are no longer doing
business in Nevada. May contain out of business reports, copies of
business license applications, copies of renewal forms, license fee
information, audit reports, amendments to licenses (if any), related
correspondence & similar documents for businesses of historical
significance to community.
PERMANENT
HC
Business License
2007-0227b
OUT OF BUSINESS FILES - NOT HISTORICAL Licensing
files for businesses that have gone out of business or are no longer
doing business in Nevada. May contain out of business reports,
copies of business license applications, copies of renewal forms,
license fee information, audit reports, amendments to licenses (if
any), related correspondence & similar documents for businesses
not of historical significance to community.
Expiration + 1 year
HC
NOTE: other out of business files are filed
with business licenses and are retained for
closure of business/expiration of license + 1
Year. Security Destruction, see notes.
Business License
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal yearend + 3
Years
EIC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Business License
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Business License
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
HC
Business License
2007-0325
RECRUITMENT FILES (Departmental copies. Official record
copy at Human Resources.) Notifications, letters, certification lists,
cmnlnvment offer Ipttprs salarv srhprlulps
Active + 3 years
HC EL
Security Destruction, see notes.
Business License
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
Business License
2007-1316
REFUND RECORDS Documents credits or refunds to patients for
overpayment. May include amount of overage, cause of overage,
written request for refund, and related correspondence.
Fiscal Yearend + 3
Years
HC
Security Destruction, see notes.
Business License
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
29
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Business License
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Business License
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Business License
2007-0198
SURETY BOND RECORDS A bond is used as a contractual
promise by licensee to abide by the provisions set by County Code.
In the event that licensee fails to adhere to its promises,
surety /bonding company must pay penal sum indicated on bond
Expiration + 1 Year
HC
Security Destruction, see notes.
Business License
2007-0076
SURVEYS, POLLS, AND QUESTIONNAIRES Document
county department opinion on various issues, actions, and concerns.
Snrvevs noils rmestionnaires summaries abstracts
Administratively
Useful
HC
Review for historical value
Business License
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Business License
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Business License
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Business License
2007-0079
VEHICLE MAINTENANCE & REPAIR RECORDS Documents
maintenance & repairs of owned or leased vehicles. Records used to
rirovide maintenance Rr renair historv
Life of Asset + 3
Years
HC
Business License
WORK CARD APPEALS Reports prepared to approve or deny
liquor, gaming or other license at Board meetings. May contain
location history, ownership information, descriptions of areas of
concerns by Dept of Business License, notifications of various
types, LVMPD reports, density drawing, photos of establishment,
investigative conference, notice of violations issued, citations issued.
Used to document appeals for denial, suspension or revocation of an
LVMPD work card.
Resolution + 1 Year
HC
Clark County Code: 6.10.050, 8.24.050; NRS
205.4617, NAC 239.165 (1) (2)
Citizen Review Board
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record conv at Comntroller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Citizen Review Board
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Citizen Review Board
2007-1558b
ACTIVITY REPORTS. MONTHLY Monthly operating,
statistical or financial reports detailing department activities.
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Citizen Review Board
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
Conies i Official record copy at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
30
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Citizen Review Board
APPOINTMENT BOOKS, CALENDARS Appointment
information in books, calendars, computer calendaring programs or
in Personal Digital Assistants fPDA's"!
Calendar Yearend + 1
Year
HC EL
Citizen Review Board
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Citizen Review Board
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Citizen Review Board
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Citizen Review Board
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Citizen Review Board
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Citizen Review Board
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at Comptroller.
Audit Clearance + 1
Year
HC EL
Citizen Review Board
2007-0055
CITIZEN COMPLAINTS & INVESTIGATIONS Investigations
into complaints by citizens against Metro police officers and may
include complaint, copies of court documents, photographs,
investigation reports and related correspondence.
Resolution + 3 Years
HC
NRS 289.387(10), Clark County Code
2.62.100 (1), NAC 239.165 (1) (2). Security
Destruction, see notes.
Citizen Review Board
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Citizen Review Board
2007-1660
CONTINUING EDUCATION/TRAINING PROGRAM
RECORDS Documents continuing education requires for
professional license renewal, including training course workshop
documentation, accreditation notices, correspondence, etc.
Expiration + 3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
Citizen Review Board
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Citizen Review Board
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTP A A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
31
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Citizen Review Board
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Citizen Review Board
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Citizen Review Board
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Citizen Review Board
2007-0224
CRIMINAL BACKGROUND FILE Criminal background checks
on potential citizen volunteer board members
Calendar Yearend + 6
Years
HC EL
Clark County Code 2.62.040(6)(c), NAC
239.165 (1) (2). Security Destruction, see
notes.
Citizen Review Board
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2) Transfer to Human Resources for
consolidation into official Personnel Record.
Citizen Review Board
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Citizen Review Board
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include FMLA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Citizen Review Board
LEGAL FILES, AGENCY COPY Documents used by agency
director for pending legal action and may include copies of court
documents memos and similar tvnes of documents
Adminstratively
Useful, MAX 6 Years
HC EL
Clark County Code 2.62.100 (1), NAC
239.165 (1) (2). Security Destruction, see
notes.
Citizen Review Board
LOGS, WORK CONTROL Logs used to control or track work
status, including status reports, telephone logs, work index logs,
master worksheet index statistical Ws etc
1 Year
HC EL
Citizen Review Board
MASTER WORKSHEET INDEX
HC EL
Citizen Review Board
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
rwv
3 Years
HC EL
NRS 11.190 (3)(d)
Citizen Review Board
2007-0107
MEETING RECORDS, CITIZEN REVIEW BOARD Minutes of
open/closed meetings, agendas, correspondence related to meetings
and posting material.
PERMANENT
See NOTE
HC EL
NOTE: Retain permanently, OR retain for 5
Years AND transfer records to a facility
described in NAC 239.850 (l)(b), for
continued public access & archival
reservation
Citizen Review Board
MEMBERSHIP APPLICATIONS, CITIZEN REVIEW
BOARD Applications, background checks and related
corresnondence from nersons seeking membershin on the CRB
3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2), Clark
County Code 2.62.040 (6) (c), (g). Security
Destruction, see notes.
Citizen Review Board
NEWSPAPER CLIPPING FILES Newspaper clippings,
pamphlets and similar material and is generally included as "non-
records "
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
32
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Citizen Review Board
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Citizen Review Board
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Citizen Review Board
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor nurchases bv staff for the benefit of denartment.
Audit Clearance
HC
NRS 354.624
Citizen Review Board
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Citizen Review Board
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Citizen Review Board
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Citizen Review Board
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Citizen Review Board
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include FMLA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Citizen Review Board
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities Official record conv at Human Resources
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Citizen Review Board
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
emnlovee travel Official record conv at Comntroller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Clerk
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Clerk
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Clerk
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial renorts detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Clerk
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Clerk
ARTICLES OF INCORPORATION For businesses in Clark
County during years 2000-2002. Includes articles of incorporation
and index cards
10 Years from date of
filing
See NOTE
HC EL
MI
Also on file at NV Secretary of State.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
33
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Clerk
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Clerk
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanldna rplatinnshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Clerk
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Clerk
2007-0394
BONDS AND OATHS OF NOTARY PUBLICS Documents oaths
and bonds of Notaries Public showing names of principals and
sureties amount of bond, date executed and conditions of obligation.
Active
HC EL
Also on file at NV Secretary of State.
Clerk
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Cnunlv Cnmmissinnprs
Fiscal Yearend + 5
Years
HC EL
Clerk
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Clerk
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Clerk
2007-1688a
BUSINESS FICTITIOUS NAME CERTIFICATES -
REGISTER Register of certificates filed with county clerk by a
natural person, an artificial person required to make annual filings
with Secretary of State to retain its good standing, a general
partnership, or a trust who wish to conduct business under an
PERMANENT
HC EL
Also on file at NV Secretary of State.
Clerk
2007-1688b
BUSINESS FICTITIOUS NAME CERTIFICATES Documents
certificates filed with the county clerk by a natural person, an
artificial person required to make annual filings with the Secretary of
State to retain its good standing, a general partnership, or a trust who
wish to conduct business under an assumed or fictitious name.
Expiration + 6 Years
HC EL
MI
Also on file at NV Secretary of State.
Clerk
2007-0396
CERTIFICATES, MINISTERS AUTHORIZED TO
PERFORM MARRIAGES Certificates of permission for ministers
authorized to nerform marriages
Active + 5 Years OR
Revoked + 5 Years
HC EL
Security Destruction, see notes.
Clerk
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
34
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Clerk
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record conv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Clerk
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Clerk
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Clerk
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
EIC EL
Clerk
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
EIC EL
Clerk
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Clerk
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Clerk
2007-0403
FEE BOOK Fees collected by County Clerk's office in accordance
with state law.
PERMANENT
HC EL
MI
Clerk
2007-0404
FILINGS OF ALL RECORDS REQUIRED TO BE FILED
WITH COUNTY CLERK Records required or permitted by law to
be filed with County Clerk not included in other records
classifications. May include tax rolls filed annually by Assessor,
budgets filed by entities other than Clark County and Clark County
Redevelopment Agency, legal documents pertaining to lawsuits
including documents served on board, County, Clerk, etc., lobbyist
registrations including annual registration forms, sign-in logs, and
contact information, air quality regulations including amendments to
regulations, official reports filed monthly by elected officials, copies
of oaths of office for elected officials & original oaths for board
appointments, blanket bonds for public/elected officials filed by Risk
Management, Nevada Administrative Code booklet, miscellaneous
correspondence to County Commission, Board Chair, and/or Clerk
on various issues, claims paid reports filed by County Treasurer
PERMANENT
HC EL
MI
Clerk
2007-0407
FINANCIAL DISCLOSURE LIST Signed statements submitted
annually by each public officer required to file a statement of
financial disclosure.
1 Year
HC EL
NOTE: On or before December 1 of each year
list is submitted electronically by County
Clerk to Commission on Ethics to Secretary of
State.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
35
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Clerk
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Clerk
2007-0383
LEGAL NOTICES Documents compliance with state laws
requiring public notice of governmental activities. May include
affidavits of publication, certificates of mailing, affidavits of posting,
public hearing notices, other required public or legal notices and
PERMANENT
HC EL
Clerk
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
PERMANENT
HC EL
Clerk
LOGS, DAILY OPERATING Date and replacement amendment
logs, log of documents sent to county recorder, log of applicants
denied a marriage license, system backdated log, amendment locator
log, ceremony logs, memos, vault inventory list, archival number
assignment log, tracking and editing log, marriage certificates, mail
2 Years
HC EL
Clerk
2007-0411
MARRIAGE LICENSE RECORDS Marriage Licenses, Marriage
Affidavits, Old Journal Index, Affidavits for Replacement Marriage
Cprtifiratps
PERMANENT
HC EL
MI
Clerk
2007-0109
MEETING RECORDINGS Recordings of proceedings of
regularly scheduled, special, and emergency meetings and may also
be used to transcribe, verify and correct minutes of public meetings.
Written minutes may be taken from these recordings, transcribed,
corrected as needed, and presented to meeting body for approval.
Approval of Minutes
+ 1 Year
EL
Clerk
2007-0412
MEETING RECORDS, ALL BOARDS, COMMISSIONS,
COMMITTEES, AND COUNCILS Record of actions taken by
Board of County Commissioners, also sitting in their various
capacities; and other appointed boards. Includes Minutes of County
Commission meetings, including those in which Board serves in
other capacities such as Zoning Board, Liquor & Gaming Licensing
Board, Board of Trustees for University Medical Center and Clark
County Water Reclamation District, Clark County Redevelopment
Agency, Kyle Canyon Water District, Clark County Sanitation
District, Debt Management Commission, Moapa Valley Fire District,
Air Quality Management, Mt. Charleston Fire Protection District,
and Big Bend Water District. Miscellaneous/obsolete boards include
Airport Committee, Metro Police Fiscal Affairs, Flood Control,
Desert Water District, Clark County Highway Commission, Fire
District, Mesquite Sanitation District, Overton Sanitation District,
and Local Government Annexation Commission. Index books pertair
tn ncrpnrln itpms hpfnrp thp Rnnrrl nf Prmntv rnmmksinnpr« 7nnino
PERMANENT, OR 5
Years & transfer
records to one of
facilities described in
NOTE.
HC EL
MI
NOTE: Retain Permanently, or retain for a
minimum period of 5 calendar years from date
of meeting & transfer records to one of the
facilities described in NAC 239.850 (l)(b)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
36
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Clerk
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Clerk
2007-1680
MEETING RECORDS, BOARD OF EQUALIZATION Records
of the agendas and actions of the Clark County Board of
Equalization. Includes affidavits of mining claims, affidavits of
publication, affidavits of posting, board agendas, logs of audio
recordings of hearings, decision letters to petitioners, notices of
decision from state BOE, transmittal letters to state with certification
of copies, annual notices of BOE hearings, notifications of hearing
date from assessor's office to petitioners and USPS manifest,
petitions for review of assessed valuation and supporting documents
PERMANENT
HC EL
MI
Clerk
2007-1678
ORDINANCES AND REGULATIONS, BOARDS &
COMMISSIONS Ordinances adopted by Board of County
Commissioners, ordinances/regulations adopted by Liquor and
Gaming Licensing Board, working copies of ordinances, affidavits of
publication with transmittal, agenda items, reference documents,
PERMANENT
HC EL
MI
Clerk
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Clerk
PASSPORT TRANSMITTALS Information regarding each
rassriort amplication sent to US Passriort Asencv.
1 Year
HC
Security Destruction, see notes.
Clerk
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Clerk
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of department
Audit Clearance
HC
NRS 354.624
Clerk
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nrniprt or activity
Administratively
Useful
HC
Clerk
2007-1316
REFUND RECORDS Documents credits or refunds for
overpayment. May include amount of overage, cause of overage,
written request for refund, and related correspondence.
Fiscal Yearend + 3
Years
HC EL
Security Destruction, see notes.
Clerk
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Clerk
2007-0421
RESOURCES AND EXPENDITURES, QUARTERLY
REPORT Statement of receipts and expenditures of three months
next preceding, and accounts allowed. May include financial reports,
expenditure summary, copy of newspaper in which report was
Fiscal Yearend + 3
Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
37
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Clerk
2007-0391
REVENUE BOND RECORDS Authorization to finance municipal
improvements through bonded indebtedness and implementation of
government bond issues. "Official Statement, general obligation
(limited tax), includes preliminary bond documents, transcript of
proceedings, miscellaneous retired bonds, agenda items, etc.
Bonds Retired +10
Years
HC EL
Clerk
SPECIAL IMPROVEMENT DISTRICT APPROVALS Record
of various steps of approval concerning special improvement
districts. Includes maps/plans, agenda items and supporting
documents, verbatim transcripts, correspondence, protest/support
letters, petitions, memorandums with attached signature documents.
PERMANENT
HC EL
Clerk
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Clerk
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Clerk
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Clerk
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Clerk
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlnvee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Clerk
2007-1630
ZONING RECORDS Record of applications concerning land use
and supporting documents including maps that are heard by the
County Commissioners at zoning meetings; applications that are
provided by current planning which may not be heard by the board;
and final action notices, includes applications, location maps
attached to agenda items, zone change maps, land use maps/plans,
correspondence, notices of final action, agenda items, and verbatim
transcripts. Applications include those for zone changes, variances,
use permits, extensions of time, design review, vacations and
PERMANENT
HC EL
MI
Comprehensive Planning
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Comprehensive Planning
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
38
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Comprehensive Planning
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Comprehensive Planning
2007-1641
AGENDA NON-PACKET MATERIAL Correspondence and
information used in the preparation of meeting agendas but is NOT
included in the agenda racket
3 Years
Comprehensive Planning
2007-1638
AGENDAS, ANNOTATED Summary document listing all items
discussed during public meetings & action taken on those items.
Calendar Yearend + 1
Year
HC EL
Comprehensive Planning
2007-1639
AGENDAS-OFFICIAL/FINAL Planning Commission meeting
agenda and any backup material submitted prior to or during the
meeting. This series is often included as part of the meeting minutes.
PERMANENT
EL
Comprehensive Planning
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Comprehensive Planning
2007-1272
APPLICATIONS AND RESUMES. NOT HIRED Applications
and/or resumes submitted by individuals seeking employment,
transfer or rirnmntinn who were not hired
Closure + 2 Years
HC
Security Destruction, see notes.
Comprehensive Planning
2007-1292
APPLICATIONS AND RESUMES, UNSOLICITED
Applications or resumes received for which no position has been
announced
6 Months
HC EL
Security Destruction, see notes.
Comprehensive Planning
2007-1207
ARCHITECTURAL DESIGN REVIEW RECORDS
Architectural review of structures. Includes Application, legal
description, justification letters, staff comments, property ownership
documents, disclosure forms, agenda sheet/map, agenda log
amendments, notifications, plans, minutes, notice of final action,
A
PERMANENT
HC EL
Security Destruction, see notes.
Comprehensive Planning
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Comprehensive Planning
2007-0049
AUDIT REPORTS (office copies. Official record copy maintained
by IS - Audit Department.) Audits/studies performed by various
outside parties regarding performance and/or financial viability of
department, includes feasibility studies, audit findings, etc.
Until Superseded + 1
Fiscal Year
HC EL
Comprehensive Planning
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankino relatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Comprehensive Planning
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Comprehensive Planning
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Conntv Commissioners
Fiscal Yearend + 5
Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
39
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Comprehensive Planning
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Comprehensive Planning
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Comprehensive Planning
2007-1237
CENSUS REPORTS Population figures and other demographic
information gathered bv the U.S. Bureau of Census.
Administratively
Useful
EL
Comprehensive Planning
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Comprehensive Planning
COMPREHENSIVE PLAN (Departmental copy. Official record
copy retained permanently by County Clerk.) Comprehensive, long-
term general plans for physical development of county or region as
required by state law. Includes community design, conservation
plans, economic plans, historical properties preservation plans,
housing plans, land use plans, population plans, public buildings
plans, public services and facilities, recreation plans, rural
neighborhood preservation plans, transit plans, transportation plans,
and similar plans and reports which relate to physical development ol
Clark County.
Until Superseded
HC EL
Comprehensive Planning
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Comprehensive Planning
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Comprehensive Planning
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Comprehensive Planning
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Comprehensive Planning
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
40
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Comprehensive Planning
2007-0433
DAILY CASH AND RECEIPTS REPORTS Daily cash
transactions and may contain receipts, cashier's daily reports, cash
balance reports, transmittal reports, and related documents. Includes
QC/PC daily transactions, main cashier deposits, credit card
transmittals, customer svc deposits, batch reports, receipt copies.
Audit Clearance
HC EL
Comprehensive Planning
2007-0307
ELIGIBILITY LISTS, EMPLOYEE Lists and similar records of
eligible applicants for employment positions. These types of lists are
often used to set up applicant interviews as part of the employee
Calendar Yearend + 2
Years
HC EL
Security Destruction, see notes.
Comprehensive Planning
2007-1290
EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES
listings of current errmlovees
Until Superseded
EL
Security Destruction, see notes.
Comprehensive Planning
2007-1276
EMPLOYEE HANDBOOKS Guidelines created to explain the
internal operations, policies, and procedures of the agency to a new
emnlovee
Until Superseded + 6
Years
HC EL
Comprehensive Planning
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Comprehensive Planning
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Comprehensive Planning
2007-0310
FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS
Regulate the granting and monitoring of family leave under the
Federal Family and Medical Leave Act of 1993 and the State
Parental Leave Without Pay Bill. Includes Leave Requests, Medical
Fiscal Yearend + 3
Years
HC EL
29 CFR 1630.14 HIPAA information requires
Security Destruction, see notes.
Comprehensive Planning
2007-0440
FIXED ASSETS AND INVENTORY RECORDS Document and
administer process of updating and reconciling an inventory of fixed
assets in department's possession. May contain fixed asset
inventories, copies of purchase orders and other fiscal records,
monthly or annual property reports, copies of other property records,
memos, correspondence, inventory journals and related documents.
Until Superseded + 5
Years
HC EL
Comprehensive Planning
2007-1520
FUND TRANSFER RECORDS Documents moneys transferred
from one fund to another showing date, amount transferred, name of
fund, purpose, and balance, including Fund Transfer, Back-up
rinnimpritntinri 'MI-
Audit Clearance
HC
Comprehensive Planning
2007-0059
GRANT FISCAL RECORDS Documents the awarding of funds
from federal government, state government, private organizations,
private benefactors, and similar sources. Accounting reports,
expenditure reports, audit reports, monitoring reports, copies of
purchase orders, warrants, warrant registers, vouchers.
Submission of final
expenditure report + 3
Fiscal Years, OR
Granting authority
requirement,
HC EL
Review for Historical Value
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
41
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Comprehensive Planning
2007-0033
HISTORY FILES Records that document history of an agency,
department, division or other governmental body, and is usually used
as an informational source for governmental entity & public.
PERMANENT
HC EL
Comprehensive Planning
2007-1720
INVENTORY RECORDS, IT ASSETS IT inventories that are
created & maintained in accordance with policies, standards &
procedures. Includes general information on hardware and user, user-
defined fields, installed files, file information, asset information,
Until Superseded + 3
Years
EL
Comprehensive Planning
LAND USE APPLICATIONS, ADMINISTRATIVE Application,
legal description, justification letters, staff comments, property
ownership documents, disclosure forms, agenda sheet/map, agenda
log amendments, notifications, plans, minutes, notice of final action,
PERMANENT
HC EL
Title 30, Clark County Unified Development
Code.
Comprehensive Planning
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Comprehensive Planning
2007-0383
LEGAL NOTICES Documents compliance with state laws
requiring public notice of governmental activities. May include, but
is not limited to, Affidavits of Publication, Certificates of Mailing,
Affidavits of Posting, public hearing notices, other required public or
PERMANENT
HC EL
Security Destruction, see notes.
Comprehensive Planning
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
PERMANENT
HC EL
Comprehensive Planning
2007-0034
LEGISLATIVE RELATIONS RECORDS Used to review and/or
plan a local government's position on impacting legislative actions.
This series may include bill review and tracking forms, opinion
requests, bill tracking reports, copies of pending or approved
legislation, notes, memorandum, related correspondence and similar
documentation. Information in this series may also be used in
lobbying efforts and recommending legislative changes.
Administratively
Useful
EL
Comprehensive Planning
2007-0983
MAPS, PLANS, AND DRAWINGS Various maps, aerials, and
drawings which may pertain to zoning, soil, land use, utilities, water
supplies, road and bridge construction and repair, water mains, sewer
lines, sewer line connections, fire hydrants, sewer district
boundaries, valve locations, and similar engineering and construction
PERMANENT
EL
Comprehensive Planning
2007-1215
MAPS, TENTATIVE Tentative maps. May include review files,
inspection reports, copies of surveys, various studies and analysis,
approvals, bond and fee documents, receipts, transmittals, project
rnrrpQrwirlprirp nnrl rplntprl rlnnimpnts
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
42
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Comprehensive Planning
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Comprehensive Planning
2007-1533
MEETING RECORDS, BOARDS, COMMISSIONS,
COUNCILS, AND STANDING COMMITTEES Original
minutes of public and closed meetings, Agendas, Transcripts,
Attachments and exhibits, Correspondence related to the meetings,
Announcements, Proof of postings, Proof of certified mailings, and
PERMANENT
HC EL
Comprehensive Planning
2007-0412
MEETING RECORDS, YUCCA MOUNTAIN ADVISORY
COMMITTEE Official record of proceedings of regularly
scheduled, special and emergency meetings. Includes minutes for
Yucca Mountain Advisory Committee. Can include date, time, and
meeting place, attendance sheets, members present and absent,
correspondence, the substance of all matters proposed, discussed, or
decided, related records, votes taken, names of citizens who
appeared and the substance in brief of their testimony, minutes,
agenda packets, supporting documents, exhibits, audio/video
PERMANENT OR
Time specified by
Nuclear Regulatory
Commission
HC EL
Comprehensive Planning
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Comprehensive Planning
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Comprehensive Planning
2007-1525a
PERMITS, TEMPORARY USE, APPROVED Approvals or
denials of temporary use permits to use land for a specific purpose
not to exceed a specified number of days. May contain, but is not
limited to, justification letters, copy of deeds, site plans, approval or
denial letters, related correspondence, and similar documents.
Expiration + 6 Years
HC EL
Security Destruction, see notes.
Comprehensive Planning
2007-1525b
PERMITS, TEMPORARY USE, DENIED OR REJECTED
Approvals or denials of temporary use permits to use land for a
specific purpose not to exceed a specified number of days. May
contain, but is not limited to, justification letters, copy of deeds, site
plans, approval or denial letters, related correspondence, and similar
Active + 3 Years
HC EL
Security Destruction, see notes.
Comprehensive Planning
2007-1421
PERMITS, USE Conditional or special use permits. May include
application requesting use of land for specific purpose, justification
letter, deed, site plans, elevations, landscape plans, final approval
letter, notice of final action, related correspondence and similar
PERMANENT
HC EL
Comprehensive Planning
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
43
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Comprehensive Planning
2007-1206
PROPERTY ANNEXATION RECORDS Annexations of parcels
of land. Including plats, studies, resolutions, legal notices, memos,
applications, petitions, ownership reports, title reports,
i-nrrpsnnnrlprinp
PERMANENT
HC EL
Comprehensive Planning
2007-1218
PROPERTY VACATION RECORDS Vacation or abandonment
of previously dedicated streets, public rights-of-way, or easements.
Includes notifications, tentative map copies, proof of recording, title,
correspondence, application, legal description, justification letter,
staff comments, property ownership documents, disclosure forms,
agenda sheet/map, agenda log amendments, notifications, plans,
minutes, notice of final action.
PERMANENT
HC EL
Comprehensive Planning
RECRUITMENT FILES (Departmental copies. Official Record
Copy at Human Resources.) Notifications, letters, certification lists.
Fmnlnvmpnt Offer Tetters Salarv schedules
Administratively
Useful
EL
Security Destruction, see notes.
Comprehensive Planning
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Comprehensive Planning
2007-1316
REFUND RECORDS Documents credits or refunds to patients for
overpayment. May include amount of overage, cause of overage,
written request for refund, and related correspondence.
Fiscal Yearend + 3
Years
HC EL
Security Destruction, see notes.
Comprehensive Planning
2007-0942
REGIONAL PLANNING RECORDS Documents the
development, review and/or amendment of regional plans in
accordance with state law
PERMANENT
HC EL
Comprehensive Planning
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Comprehensive Planning
2007-0297
SAFETY COMMITTEE RECORDS AND REPORTS Safety
committees established to promote a safe work environment for
employees. This series may include safety plans, policies and
procedures, safety and health training records, safety committee
meeting records, vulnerability assessments, reports on inspections
conducted by safety officers, staff reports, attendance reports,
3 Years
HC EL
Comprehensive Planning
2007-1280
SIGNATURE AUTHORIZATIONS FILE Used to authorize,
assign authority, and verify approval of various governmental
actions
Expiration + 5 Fiscal
Years
HC
Security Destruction, see notes.
Comprehensive Planning
2007-1245
SOFTWARE LICENSES Licensure & implementation of computer
software applications. May include, but is not limited to, permitted
uses rifht 8z. restrictions warrant
Expiration + 6 Years
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
44
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Comprehensive Planning
2007-1242
SPECIAL BOARDS, COMMISSIONS, COUNCILS,
COMMITTEES, OFFICES AND TASK FORCE RECORDS
Document governmental administration, activities, and history of
specially organized committees, boards, councils, offices and task
forces. These entities are usually organized or appointed to address
specific problems or situations, and not intended to carry on activity
beyond a final report or activity. The purpose of these special entities
may involve advising, investigating, planning, recommending,
compiling, summarizing and similar activities.
PERMANENT OR
See NOTE
HC EL
NOTE: Retain records for a minimum period
of 5 calendar years from meeting date AND
transfer to one of the facilities described in
NAC 239.850 (l)(b).
Comprehensive Planning
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
FIC EL
Comprehensive Planning
2007-0047
STRATEGIC PLAN FILES Develop and maintain the
department's mission, goals and performance measures. Activity
Rerinrts Performance Measures
Until Superseded + 3
Years
EL
Security Destruction, see notes. Review for
historical value
Comprehensive Planning
2007-1213
STREET NAME CHANGE RECORDS Assignment and
alteration of street names, and similar records that provide official
control of the naming and numbering of streets and roads. Includes
Application, legal description, justification letter, staff comments,
property ownership documents, disclosure forms, agenda sheet/map,
agenda log amendments, notifications, plans, minutes, notice of final
application, correspondence
PERMANENT
EIC EL
Comprehensive Planning
2007-1005
STUDIES Studies performed by outside consultants or in-house
staff Feasibility Studies. Consultant Reriorts
PERMANENT
EIC EL
Comprehensive Planning
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Comprehensive Planning
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Comprehensive Planning
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmntir\n
Fiscal Yearend + 3
Years
EIC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Comprehensive Planning
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
45
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Comprehensive Planning
2007-1419
VARIANCE, WAIVER OF CONDITIONS Approval of minor
adjustments (variances/waivers) of more than 10% of code standard.
May include application, justification letter, deed, site plans,
elevation, landscape plans, final approval letter, notice of final
action, blue lines that have obtained approval / denial from a
decision making body, related correspondence and similar
PERMANENT
HC EL
Comprehensive Planning
2007-1309
VENDOR CODE REQUESTS Information used to request vendor
code numbers for vendors not currently listed as providing goods or
services to county. Information may include vendor name, address,
phone number, contact name, assigned vendor number, and related
Until Superseded
HC EL
Security Destruction, see notes.
Comprehensive Planning
2007-1630
ZONING CHANGE RECORDS Zoning, rezoning, classification
changes and similar actions. May include, but are not limited to,
applications, petitions, plans, photographs, letters of intent, change
requests, maps (aerial, parcel, tentative, final) surveys, staff reports,
waivers, amendments, adjustments, restrictions, copies of ordinances
and regulations, policy statements, appeals, final action records,
certified mail receipts, related forms and reports, memorandum,
correspondence, and similar documents.
PERMANENT
HC EL
Constable - Henderson
2007-1712b
ACCIDENT REPORTS NOT RESULTING IN LEGAL
ACTION OR DAMAGE Vehicle accidents involving departmental
personnel while on duty. Reports may contain type of accident,
narrative reports regarding facts and circumstances of accident,
witnesses, property damage, injury reports, copies of medical
treatment reports, vehicle damage reports, photos, notes, police
accidents reports, and other related documents.
3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Henderson
2007-1712a
ACCIDENT REPORTS RESULTING IN LEGAL ACTION OR
DAMAGE Vehicle accidents involving departmental personnel
while on duty. Reports may contain type of accident, narrative
reports regarding facts and circumstances of accident, witnesses,
property damage, injury reports, copies of medical treatment reports,
vehicle damage reports, photos, notes, police accidents reports, and
Settlement + 3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Henderson
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official rprnrrl rnnv at Cnmntrnllpr
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - Henderson
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Constable - Henderson
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
46
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Henderson
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Conies 1 Official record coriv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - Henderson
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Constable - Henderson
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanldna relatinnshiri
Audit Clearance
EIC EL
NRS 354.624, NAC 239.165 (1)(2)
Constable - Henderson
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
EIC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Constable - Henderson
2007-0762
BILLINGS FOR SERVICE Billing and collection of monies for
services provided.
Audit Clearance
EIC EL
Constable - Henderson
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
EIC EL
Constable - Henderson
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Constable - Henderson
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at Comptroller.
Audit Clearance + 1
Year
HC EL
Constable - Henderson
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Constable - Henderson
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Constable - Henderson
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTP A A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Constable - Henderson
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Constable - Henderson
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Constable - Henderson
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
47
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Henderson
2007-0334
DOCKETS Documents individual court cases and may contain
entries on papers files, court actions, judgments, and similar
documents. Includes Judgments, Evictions, Garnishments, Wage
infnrmntinn Suhnnptias PhqVi rlrnwprQ Prnnprtv T ipns
See Supreme Court
Guidelines
EL
Constable - Henderson
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Constable - Henderson
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Constable - Henderson
2007-1247
GARNISHMENTS Documentation of requests and court orders
served on the local government to withhold the wages of employees
for garnishments, tax levies, support payments and other reasons.
Calendar Yearend + 6
Fiscal Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Henderson
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Ppsnurrps
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Constable - Henderson
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
Constable - Henderson
2007-0339
MISTAKES AND REFUNDS Documents credits or refunds for the
overravment of fees
Audit Clearance
EL
Constable - Henderson
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Constable - Henderson
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Constable - Henderson
2007-1230
PERFORMANCE EVALUATIONS, REPORTS, AND
RESPONSE Documents the job performance of classified
employees and may contain, but is not limited to, copy of work
performance standards, performance evaluations, employee response,
appeals or hearing records, correspondence, and related documents
Calendar Yearend + 3
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes. Eric,
this is the wrong LRDA #. These are usually
kept with the Personnel File, so I don't know
if it's really a Dept. copy.
Constable - Henderson
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Constable - Henderson
2007-0336
RECORD OF EVICTIONS Documents eviction proceedings and
may contain execution affidavit, tenant affidavit, order, copies of
court documents, date notice served, summary notice, date of
eviction, related correspondence, and similar documents
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
48
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Henderson
2007-0337
RECORD OF NOTICES OF EVICTIONS Receipt and service or
return of eviction notices. Includes Execution Affidavit, Tenant
Affidavit, Orders, Copies of Court Documents, date notice served,
summary notice, date of eviction, related correspondence.
Execution + 90 Days
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Henderson
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Constable - Henderson
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Constable - Henderson
2007-0456
REVENUE LEDGERS Financial history of source of office's
income.
PERMANENT
HC
Constable - Henderson
2007-0341
REVOCATION FILES Revocation and/or forfeiture of bail and
may include, but is not limited to, legal notices, receipts, related
corresnondence &. similar documents
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Henderson
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and othpr internal mpptinos
1 Year
HC EL
Constable - Henderson
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Constable - Henderson
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Constable - Henderson
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Constable - Henderson
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travpl Official rprnrd rnnv at Comntrollpr
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - Henderson
2007-0342
UNSERVED PAPERS Court related documents which for various
reasons were unable to be served. Includes garnishments, summons,
subnoenas small claims
90 Days
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Las Vegas
2007-1712b
ACCIDENT REPORTS NOT RESULTING IN LEGAL
ACTION OR DAMAGE Vehicle accidents involving departmental
personnel while on duty. Reports may contain type of accident,
narrative reports regarding facts and circumstances of accident,
witnesses, property damage, injury reports, copies of medical
treatment reports, vehicle damage reports, photos, notes, police
accidents reports, and other related documents.
3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
49
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Las Vegas
2007-1712a
ACCIDENT REPORTS RESULTING IN LEGAL ACTION OR
DAMAGE Vehicle accidents involving departmental personnel
while on duty. Reports may contain type of accident, narrative
reports regarding facts and circumstances of accident, witnesses,
property damage, injury reports, copies of medical treatment reports,
vehicle damage reports, photos, notes, police accidents reports, and
Settlement + 3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Las Vegas
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record conv at Comntroller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - Las Vegas
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Constable - Las Vegas
2007-1558
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Constable - Las Vegas
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Conies i Official record copv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - Las Vegas
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Constable - Las Vegas
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankino relatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Constable - Las Vegas
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Constable - Las Vegas
2007-0762
BILLINGS FOR SERVICE Billing and collection of monies for
services provided.
Audit Clearance
HC EL
Constable - Las Vegas
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Constable - Las Vegas
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Constable - Las Vegas
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record copv at Comptroller.
Audit Clearance + 1
Year
HC EL
Constable - Las Vegas
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
50
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Las Vegas
2007-0054
CONTRACTS & AGREEMENTS {Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Constable - Las Vegas
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTPA A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Constable - Las Vegas
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Constable - Las Vegas
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Constable - Las Vegas
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Constable - Las Vegas
2007-0334
DOCKETS Documents individual court cases and may contain
entries on papers files, court actions, judgments, and similar
documents. Includes Judgments, Evictions, Garnishments, Wage
See Supreme Court
Guidelines
EL
Constable - Las Vegas
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Constable - Las Vegas
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Constable - Las Vegas
2007-1247
GARNISHMENTS Documentation of requests and court orders
served on the local government to withhold the wages of employees
for garnishments, tax levies, support payments and other reasons.
Calendar Yearend + 6
Fiscal Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Las Vegas
2007-1241
LEAVE REQUESTS, EMPLOYEE {Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Constable - Las Vegas
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
Constable - Las Vegas
2007-0339
MISTAKES AND REFUNDS Documents credits or refunds for the
overnavment of fees
Audit Clearance
EL
Constable - Las Vegas
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
51
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Las Vegas
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Constable - Las Vegas
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Constable - Las Vegas
2007-0336
RECORD OF EVICTIONS Documents eviction proceedings and
may contain execution affidavit, tenant affidavit, order, copies of
court documents, date notice served, summary notice, date of
eviction, related correspondence, and similar documents
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Las Vegas
2007-0337
RECORD OF NOTICES OF EVICTIONS Receipt and service or
return of eviction notices. Includes Execution Affidavit, Tenant
Affidavit, Orders, Copies of Court Documents, date notice served,
summary notice, date of eviction, related correspondence.
Execution + 90 Days
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Las Vegas
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv rirniert or activity
Administratively
Useful
HC
Constable - Las Vegas
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Constable - Las Vegas
2007-0456
REVENUE LEDGERS Financial history of source of office's
income.
PERMANENT
HC
Constable - Las Vegas
2007-0341
REVOCATION FILES Revocation and/or forfeiture of bail and
may include, but is not limited to, legal notices, receipts, related
rnrresrinnrlenre Rr similar documents
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Las Vegas
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Constable - Las Vegas
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Constable - Las Vegas
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Constable - Las Vegas
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Constable - Las Vegas
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
emnlovee travel Official record conv at Oomntroller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
52
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Las Vegas
2007-0342
UNSERVED PAPERS Court related documents which for various
reasons were unable to be served. Includes garnishments, summons,
snbnoenas small claims
90 Days
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Laughlin
2007-1712b
ACCIDENT REPORTS NOT RESULTING IN LEGAL
ACTION OR DAMAGE Vehicle accidents involving departmental
personnel while on duty. Reports may contain type of accident,
narrative reports regarding facts and circumstances of accident,
witnesses, property damage, injury reports, copies of medical
treatment reports, vehicle damage reports, photos, notes, police
accidents reports, and other related documents.
3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Laughlin
2007-1712a
ACCIDENT REPORTS RESULTING IN LEGAL ACTION OR
DAMAGE Vehicle accidents involving departmental personnel
while on duty. Reports may contain type of accident, narrative
reports regarding facts and circumstances of accident, witnesses,
property damage, injury reports, copies of medical treatment reports,
vehicle damage reports, photos, notes, police accidents reports, and
Settlement + 3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Laughlin
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official rprnrrl rnrw at Cnmntrnllpr
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - Laughlin
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing derailment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Constable - Laughlin
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Constable - Laughlin
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Conies i Official record coriv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - Laughlin
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Constable - Laughlin
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationship
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Constable - Laughlin
2007-0050
BID RECORDS {Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Constable - Laughlin
2007-0762
BILLINGS FOR SERVICE Billing and collection of monies for
services provided.
Audit Clearance
HC EL
Constable - Laughlin
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Constable - Laughlin
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
53
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Laughlin
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at Oorrmtroller.
Audit Clearance + 1
Year
HC EL
Constable - Laughlin
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Constable - Laughlin
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Constable - Laughlin
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTP A A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Constable - Laughlin
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Constable - Laughlin
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Constable - Laughlin
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Constable - Laughlin
2007-0334
DOCKETS Documents individual court cases and may contain
entries on papers files, court actions, judgments, and similar
documents. Includes Judgments, Evictions, Garnishments, Wage
infnrmntinn Suhnnptias PhqVi rlrnwprQ Prnnprtv T ipns
See Supreme Court
Guidelines
EL
Constable - Laughlin
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Constable - Laughlin
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Constable - Laughlin
2007-1247
GARNISHMENTS Documentation of requests and court orders
served on the local government to withhold the wages of employees
for garnishments, tax levies, support payments and other reasons.
Calendar Yearend + 6
Fiscal Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Laughlin
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
54
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Laughlin
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
EIC EL
NRS 11.190 (3)(d)
Constable - Laughlin
2007-0339
MISTAKES AND REFUNDS Documents credits or refunds for the
overravment of fees
Audit Clearance
EL
Constable - Laughlin
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
EIC EL
Constable - Laughlin
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Constable - Laughlin
2007-1230
PERFORMANCE EVALUATIONS, REPORTS, AND
RESPONSE Documents the job performance of classified
employees and may contain, but is not limited to, copy of work
performance standards, performance evaluations, employee response,
appeals or hearing records, correspondence, and related documents
Calendar Yearend + 3
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes. Eric,
this is the wrong LRDA #. These are usually
kept with the Personnel File, so I don't know
if it's really a Dept. copy.
Constable - Laughlin
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Constable - Laughlin
2007-0336
RECORD OF EVICTIONS Documents eviction proceedings and
may contain execution affidavit, tenant affidavit, order, copies of
court documents, date notice served, summary notice, date of
eviction, related correspondence, and similar documents
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Laughlin
2007-0337
RECORD OF NOTICES OF EVICTIONS Receipt and service or
return of eviction notices. Includes Execution Affidavit, Tenant
Affidavit, Orders, Copies of Court Documents, date notice served,
summary notice, date of eviction, related correspondence.
Execution + 90 Days
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Laughlin
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
srierifir to anv rirniert or activity
Administratively
Useful
HC
Constable - Laughlin
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
EIC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Constable - Laughlin
2007-0456
REVENUE LEDGERS Financial history of source of office's
income.
PERMANENT
HC
Constable - Laughlin
2007-0341
REVOCATION FILES Revocation and/or forfeiture of bail and
may include, but is not limited to, legal notices, receipts, related
rnrresrinnrlenre Rr similar documents
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - Laughlin
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
55
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - Laughlin
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Constable - Laughlin
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Constable - Laughlin
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Constable - Laughlin
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travpl Official rprnrrl rnrw at Onmritrnllpr
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - Laughlin
2007-0342
UNSERVED PAPERS Court related documents which for various
reasons were unable to be served. Includes garnishments, summons,
subnnenas small claims
90 Days
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - North Las Vegas
2007-1712b
ACCIDENT REPORTS NOT RESULTING IN LEGAL
ACTION OR DAMAGE Vehicle accidents involving departmental
personnel while on duty. Reports may contain type of accident,
narrative reports regarding facts and circumstances of accident,
witnesses, property damage, injury reports, copies of medical
treatment reports, vehicle damage reports, photos, notes, police
accidents reports, and other related documents.
3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - North Las Vegas
2007-1712a
ACCIDENT REPORTS RESULTING IN LEGAL ACTION OR
DAMAGE Vehicle accidents involving departmental personnel
while on duty. Reports may contain type of accident, narrative
reports regarding facts and circumstances of accident, witnesses,
property damage, injury reports, copies of medical treatment reports,
vehicle damage reports, photos, notes, police accidents reports, and
Settlement + 3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - North Las Vegas
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"! Official rprnrrl rnrw at Onmritrnllpr
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - North Las Vegas
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Constable - North Las Vegas
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Constable - North Las Vegas
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
Copies) Official record copy at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - North Las Vegas
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
56
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - North Las Vegas
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Constable - North Las Vegas
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Constable - North Las Vegas
2007-0762
BILLINGS FOR SERVICE Billing and collection of monies for
services provided.
Audit Clearance
HC EL
Constable - North Las Vegas
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clprk
Fiscal Yearend + 5
Years
HC EL
Constable - North Las Vegas
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Constable - North Las Vegas
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record copy at Comptroller.
Audit Clearance + 1
Year
HC EL
Constable - North Las Vegas
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Constable - North Las Vegas
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Constable - North Las Vegas
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTPA A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Constable - North Las Vegas
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Constable - North Las Vegas
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Constable - North Las Vegas
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Constable - North Las Vegas
2007-0334
DOCKETS Documents individual court cases and may contain
entries on papers files, court actions, judgments, and similar
documents. Includes Judgments, Evictions, Garnishments, Wage
infnrmntinn SuhrviprinQ Pn^Vi rlrnwprQ Prnrwtv T ipris
See Supreme Court
Guidelines
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
57
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - North Las Vegas
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Constable - North Las Vegas
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Constable - North Las Vegas
2007-1247
GARNISHMENTS Documentation of requests and court orders
served on the local government to withhold the wages of employees
for garnishments, tax levies, support payments and other reasons.
Calendar Yearend + 6
Fiscal Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - North Las Vegas
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Constable - North Las Vegas
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
Constable - North Las Vegas
2007-0339
MISTAKES AND REFUNDS Documents credits or refunds for the
overpayment of fees
Audit Clearance
EL
Constable - North Las Vegas
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Constable - North Las Vegas
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Constable - North Las Vegas
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Constable - North Las Vegas
2007-0336
RECORD OF EVICTIONS Documents eviction proceedings and
may contain execution affidavit, tenant affidavit, order, copies of
court documents, date notice served, summary notice, date of
eviction, related correspondence, and similar documents
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - North Las Vegas
2007-0337
RECORD OF NOTICES OF EVICTIONS Receipt and service or
return of eviction notices. Includes Execution Affidavit, Tenant
Affidavit, Orders, Copies of Court Documents, date notice served,
summary notice, date of eviction, related correspondence.
Execution + 90 Days
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - North Las Vegas
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
srierifir to anv nrniert or activity
Administratively
Useful
HC
Constable - North Las Vegas
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Constable - North Las Vegas
2007-0456
REVENUE LEDGERS Financial history of source of office's
income.
PERMANENT
HC
Constable - North Las Vegas
2007-0341
REVOCATION FILES Revocation and/or forfeiture of bail and
may include, but is not limited to, legal notices, receipts, related
correspondence &. similar documents
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Constable - North Las Vegas
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Constable - North Las Vegas
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Constable - North Las Vegas
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Constable - North Las Vegas
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Constable - North Las Vegas
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travel Official record conv at Comritroller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Constable - North Las Vegas
2007-0342
UNSERVED PAPERS Court related documents which for various
reasons were unable to be served. Includes garnishments, summons,
snbnoenas small claims
90 Days
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Coroner
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Coroner
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Coroner
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Coroner
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Coroner
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Coroner
2007-0355
AUTOPSY RECORDS Examination of an individual's remains to
determine cause of death.
PERMANENT
HC MI
Coroner
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationship
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
59
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Coroner
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HCEL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Coroner
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coimtv Commissioners
Fiscal Yearend + 5
Years
HCEL
Coroner
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Coroner
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HCEL
Coroner
2007-0356
CASE FILES Documents investigations into the manner and cause
of an individual's death. May include preliminary report of death,
report of death, identification records, notification of family records,
autopsy authorizations, autopsy waiver requests, reports of field
investigations, body diagrams, copies of police reports, copies of
medical records, copies of fire department or EMS reports, copies of
hospital reports, examination records, consultation reports, accident
reconstruction reports, laboratory requests, laboratory reports and
results, autopsy reports, subpoenas and other material relating to a
proceeding of a court, evidence logs, evidence receipts, photographic
evidence, receipts for personal property, authorizations to release a
body to next of kin or mortuary, worksheets, checklists, certificate of
death, and related correspondence.
PERMANENT
HCEL
MI
Coroner
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HCEL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Coroner
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Coroner
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Coroner
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Coroner
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HCEL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Coroner
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Coroner
2007-0664
DEATH CERTIFICATES Original certificate of death for all
deaths occurring in county.
PERMANENT
HC EL
MI
Record also maintained by both Health
Department Vital Statistics and State of
Nevada Electronic Death Registration System
CEDRS")
Coroner
2007-1485
DECEDENT PERSONAL PROPERTY RECORDS Inventory of
money and/or personal property which may have been found on or
about a deceased individual. Includes receipt log, list of property,
Delivery to County
Treasurer + 3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Coroner
2007-0357
DEPUTIES' APPOINTMENTS AND OATHS Documents the
appointment and oath of office of deputies and doctors appointed by
coroners
Termination
HC
NRS 259.040
Coroner
2007-0295
DISASTER RECOVERY PLAN Plans to maintain necessary
business operations, protect the public, and to safeguard vital records
during emergency situations. Hazard analysis records, first response
procedures, emergency operations plans, incident response plans,
disaster management and recovery plans, vital record plans, damage
assessment plans, post disaster evaluation procedures,
correspondence and related documents.
Until Superseded +
Retain one (1) copy of
superseded plan
permanently for
historical purposes.
HC EL
NRS 239C.250, NAC 239.165 (1)(2) Security
Destruction, see notes.
Coroner
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Coroner
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Coroner
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
Expiration + 3 Fiscal
Years, OR Retention
period required by
grantor, whichever
longer
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes. Review for historical
value
Coroner
2007-0064
HAZARDOUS MATERIAL SAFETY FILE This record series is
used to provide information on hazardous materials stored,
manufactured or used by agency as part of Hazard Communication
Program. This series includes material safety data sheets (MSDS)
and a listing of hazardous material in workplace.
Product no Longer in
Workplace + 30 Years
HC
29CFR 1910.1020, 29CFR 1910.1200
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
61
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Coroner
2007-0033
HISTORY FILES Records that document history of an agency,
department, division or other governmental body, and is usually used
as an informational source for governmental entity & public.
PERMANENT
HC EL
Coroner
2007-0358
INQUESTS Documents inquiries of violent or sudden deaths. This
series may contain reports of facts, report of circumstances, medical
evidence, investigative reports, professional reports (autopsy,
toxicology, x-ray laboratory reports, etc.), consultation reports,
witness statements, subpoenas, hearing testimony, findings, verdict,
recordings, District Attorney correspondence, court documents, jury
notes, forms, reports, other related correspondence, and similar
documents.
PERMANENT
HC EL
Coroner
2007-0078
KEY AND KEYCARD RECORDS Documents issuance of
keycards to agency staff to enable access to agency buildings and
sites. Records may include but are not limited to key inventories, key
issue forms, key replacement records, and key disposal records.
Active + 3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Coroner
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Coroner
2007-0063
MAILING AND DISTRIBUTION LISTS Lists of names and
addresses compiled for various mailings, such as billings,
notifications, community outreach, and other administrative
purposes, media telephone directory (contact information for Media)
Calendar Yearend + 1
Year
HC EL
Coroner
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Coroner
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Coroner
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Coroner
2007-0655
PERMITS, BURIAL TRANSIT Permits issued in accordance
with state law and regulation. Permits indicate name of cemetery,
mausoleum, columbarium or other place of burial where human
Calendar Yearend + 1
Year
HC EL
MI
Coroner
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
62
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Coroner
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
HC
Coroner
2007-0039
PROPOSED LEGISLATION RECORDS Records created by
governmental agencies for purpose of proposing legislation. This
series may contain research information on proposed legislation,
fiscal notes, summaries, estimated cost reports, impact statements,
correspondence, and other information documenting proposed
i—;„w; —
Administratively
Useful
HCEL
Coroner
2007-1240
PUBLICATIONS Newsletters, pamphlets, annual or statistical
reports, studies, leaflets and similar material produced by or for
county or any of its departments, subdivisions, or programs for
See NOTE
HC
NRS 378.150, NRS 378.150 - 378.210,
NOTE: Send 6 copies of each to Nevada State
Library and Archives - State Publications
Coroner
2007-1559a
PUBLICITY FILES AND PRESS RELEASES. HISTORICAL
Publicity files/press releases issued by coroner. This series may
contain originals or copies of press releases, publicity files, audio
and/or video recordings, informational flyers, notes, charts, graphs,
PERMANENT
HCEL
Coroner
2007-1559b
PUBLICITY FILES AND PRESS RELEASES, NOT
HISTORICAL Publicity files/Dress releases issued bv coroner. This
series may contain originals or copies of press releases, publicity
files, audio and/or video recordings, informational flyers, notes,
charts, graphs, correspondence, and related documents.
Administratively
Useful
HCEL
Coroner
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
srierifir to anv rirniert or activity
Administratively
Useful
HC
Coroner
2007-0359
REGISTER OF CASES Register, report, or log of deaths
investigated and/or autonsies performed.
PERMANENT
HCEL
Coroner
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmatinri
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HCEL
NRS 11.190 (l)(b)
Coroner
2007-1280
SIGNATURE AUTHORIZATIONS FILE Used to authorize,
assign authority, and verify approval of various governmental
actions
Expiration + 5 Fiscal
Years
HC
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Coroner
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HCEL
Coroner
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
63
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Coroner
2007-1281
SUMMONS & SUBPOENAS Documents received by individuals
in their official capacity as local government employees, requiring
their appearance at a specified place, date and time. Summons and
subpoenas are issued by agencies granted this power under law. May
include state and federal courts, boards, commissions, offices, etc.
Documents contain a statement of authority for summons or
subpoena, reasons for required appearance, date, time and place.
Documents are signed and dated and may be delivered by mail or by
an officer of summoning institution.
Closure + 1 Year
HC
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Coroner
2007-1414
SUPPORTIVE AGENCY FILES Used to keep informed about
activities of other agencies of similar function (other states, national
and international organizations, etc.). May contain correspondence,
brochures, pamphlets, announcements, notes, informational sheets on
federal/state and /or private organizations, copies of reports,
handbooks, guides and similar materials.
Administratively
Useful
HC EL
Coroner
2007-0076
SURVEYS, POLLS, AND QUESTIONNAIRES Document
county department opinion on various issues, actions, and concerns.
Survevs noils nuestiormaires summaries abstracts
Administratively
Useful
HC
Review for historical value
Coroner
2007-1254
TECHNICAL REFERENCE FILES Non-record copies of
articles, periodicals, reports, studies, vendor catalogs, and similar
materials that are used for reference and information but are not
Administratively
Useful
FIC EL
Coroner
2007-1360
TELECOMMUNICATION SYSTEM MANAGEMENT
RECORDS Documents creation, modification, and disposition of
telecommunications systems. May include equipment records,
Federal Communications Commission records, repair order forms,
system planning records, telecommunications maintenance contracts
and service agreements, service orders, related correspondence, and
Expiration + 6 Years
EIC EL
Coroner
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(.Department copies. Official record copy at Human Resources. )
Documents hours worked and leave hours accrued or taken by
employees on a daily, weekly, or monthly basis. May include FMLA
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Coroner
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
EIC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Coroner
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
64
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Coroner
2007-0079
VEHICLE MAINTENANCE & REPAIR RECORDS Documents
maintenance & repairs of owned or leased vehicles. Records used to
nrovide maintenance &. renair historv
Life of Asset + 3
Years
HC
Development Services
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Development Services
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Development Services
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Development Services
2007-0171
ADDRESS RECORDS Residential and building addresses on subdivided
land, these records relate to street dedications, the assignment and alteration
of street names and house numbers, and similar records that provide official
control of the naming and numbering of streets and roads. Includes: Address
Lists, Address Maps, Certificate of Amendments, Address Changes
Until Superseded
EL
Development Services
2007-1638
AGENDAS, ANNOTATED Summary document listing all the items
discussed during public meetings and the action taken on those items
Calendar Yearend + 1
Year
EL
Development Services
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Development Services
2007-0179
APPLICATIONS FOR TEMPORARY PLACEMENT OF
TRAILER Documents application process for temporary placement of
trailers for use as temporary living quarters during construction of a single
familv (Iw.'llino nr as a contractor's on-site construction nffir.fi
Calendar Yearend + 1
Year
EL
Development Services
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Development Services
2007-1328
AUDIT TRAIL RECORDS Data produced during formation of
database used to validate master file database during a process cycle.
Defines: user that makes change, Date & Time of change, Type of change,
Name of file and nropram Job that nrocessed data
3 Data Backup Cycles
EL
Development Services
2007-0241
BACKUP OF COMPUTER FILES MADE FOR SECURITY
Security backup of files stored on networks within the County & are retained
for file damaged or deleted data. Includes: User Objects, Libraries, files,
programs, journals, and hardware objects, security configuration, etc.
6 Months
EL
Development Services
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanking relatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Development Services
2007-0967
BARRICADE PLANS Approved and denied applications and plans to
install access and traffic barricades.
Denial, Superseded or
Removed + 3 Years
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
65
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Development Services
2007-1553
BOARD AND COMMISSION VOLUNTEER INTEREST
FORMS Documents requests to be a volunteer on a local government board
or commission. Includes: Name/contact information, Title of the board or
commission, Category of interest, Conflict of interest statement, Related
correspondence, and similar information.
Applicant interest is
no longer expressed or
contact can no longer
be made + 1 Year
HC EL
Security Destruction, see notes.
Development Services
2007-0182
BOOKKEEPING RECORDS Documents and administers monetary
transactions within the PAC and Civil Administrative areas. Billings for
services, Revenue received from payment of fees, Revenue from sales of cod(
books, Revenue reports, Invoices, Inspection Receipts, Supportive
documentation, Notes, Correspondence, Related documents, Refund requests
Audit Clearance
HC EL
Security Destruction, see notes.
Development Services
2007-1420
BOUNDARY LINE ADJUSTMENT FILES This records series
supports a process that moves the ownership line, NOT the platted line.
Includes: Application, Right of Way Map, Assessor Parcel Map, Original
Submitted Plan, Beneficiary Statement, Plan, Corporate Information, Revised
Plan, Deed, Legal Description, Letters, Title Report, Survey Document,
PERMANENT
EL
NOTE: All maps are recorded documents in
the County Recorder's office.
Development Services
2007-0003
BUDGET REQUEST, ANNUAL (,Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coiintv Commissioners
Fiscal Yearend + 5
Years
HC EL
Development Services
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rpnupsts
Audit Clearance
HC
Development Services
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Development Services
2007-1576
BUILDING & SAFETY CODE INTERPRETATIONS
Interpretations of Building & Fire Safety Codes approved by Building
Official. May include back-up material clarifying interpretation, fncludes:
Code, Manuals, fCBO Reports, Noise Reduction, FAA, Code Books, fRC
Code Books, Administrative Code Books, NEC Code Books, fBC Code
PERMANENT
HC EL
Development Services
2007-1412
BUILDING INSPECTION RECORDS On-site building or residential
inspections, used to determine compliance of building construction, electrical
plumbing, mechanical and other systems with adopted building codes, and all
other building standards adopted by Clark County. This series may contain
inspection requests, information on owner, location of property, location of
structure, type of construction, copy of applicable codes, statement of
restrictions, daily inspection logs, inspector's notes and remarks, code
violation reports, correction reports, inspectors signature, correspondence and
related documents. This series includes periodic, special, and final
inspections.
Life of Asset
EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
66
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-1329
CATALOGED LIST OF DATA TAPES/DISKS System reports that
show all tapes, and or disks holding data for departments. Including name ant
location of tane or disk.
Until Superseded
EL
Development Services
2007-1237
CENSUS REPORTS This record series contains population figures and
other information gathered by the U.S. Bureau of Census. Includes: Census
Form C-404, Report for Apartments/Condos with 1-2 Units, Report for
Apartments/Condos with 3-4 Units, Report for Apartments/Condos with 5 or
more Units, Summary of Building Permits
18 Months
EL
Development Services
2007-1243
COMMITTEE RECORDS, AD HOC Documents establishment,
organization, membership, policies, activities, and accomplishments of ad hoc
(internal, interagency, advisory, etc.) committees, i.e. - Building Enterprise
Fund Advisorv Committee CBFFACV
PERMANENT
EL
NRS 241.015(3)
Development Services
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Development Services
2007-1350
COMPUTER USAGE FILES Event Logs created to monitor computer
activity. Level, Date and Time, Source, Event ID and Task Category
Administratively
Useful
EL
Development Services
2007-0971
CONSTRUCTION TEST RESULTS Documents results of
construction and construction materials testing.
Completion +12
Years
EL
Development Services
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
remrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Development Services
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital nroducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Development Services
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Development Services
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Development Services
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Development Services
2007-1674
CORRESPONDENCE, PROJECT Correspondence related to a
specific case or project.
Completion + 10
Years
EL
File correspondence in project file.
Development Services
2007-1588
DEMOLITION RECORDS Records relating to demolition and
clearance from property of buildings deemed unfit for occupancy and
condemned.
Completion + 3 Years
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
67
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-0008
DIRECTIVES OF MANAGER Executive orders, Bulletins and
advisories, Directives, Policy statements, Notes on policy and procedures,
Related corresnondence. Similar document;
PERMANENT
HC EL
Development Services
2007-0244
DOCUMENTATION OF COMPUTER SYSTEM &
PROGRAMS Instructions and documentation related to certain programs,
applications and or systems used by department. Includes: Installation and
setun files
Until Superseded OR
Expiration + 6 Years
EL
Development Services
2007-1290
EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES Listings
of current emnlovees
Until Superseded
EL
Security Destruction, see notes.
Development Services
2007-0058
EMPLOYEE PERSONNEL FILES {Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Development Services
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Development Services
2007-0190
FIRE & LIFE SAFETY RECORDS Necessary code requirements &
operational restrictions placed upon a building or structure. Comprised of
building systems intended to alert or protect occupants of fire dangers and
other related perils. These systems help to preserve life and property by
protecting a building or facility against fire hazards. These systems include
smoke control systems, fire alarm detection and notification systems, fire
sprinkler systems, and building construction design to protect occupants in
the event of a fire.
PERMANENT
EL
Development Services
2007-0033
HISTORY FILES Records that document history of an agency,
department, division or other governmental body, and is usually used as an
informational source for povernmental entitv & nublic
PERMANENT
HC EL
Development Services
2007-0192
INSPECTION REPORTS, DAMAGE Inspection reports of
buildings/structures damaged by fire, water and other means & may contain
inspection report, owner/occupier information, related correspondence, &
similar documents
Life of Asset
EL
Development Services
2007-0194
INSPECTION REPORTS, MOBILE HOME PARKS Inspection
reports of mobile home parks and may contain, inspection report,
owner/occupier information, related correspondence, similar documents
2 Years
EL
Development Services
2007-1720
INVENTORY RECORDS, IT ASSETS IT inventories that are created
& maintained in accordance with policies, standards & procedures. Includes
general information on hardware and user, user-defined fields, installed files,
file information, asset information, hardware, installed programs, software
titles
Until Superseded + 3
Years
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
68
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-0186b
INVESTIGATIONS, CODE VIOLATION - NO VIOLATION
Investigations of suspected property maintenance code violations and may
include but is not limited to photographs, on-site inspection notes, copies of
ordinances, violation notices, orders to appear, correction notices, proof of
correction, correspondence and related documents.
1 Year
EL
Security Destruction, see notes.
Development Services
2007-0186a
INVESTIGATIONS, CODE VIOLATION - VIOLATION
Investigations of suspected property maintenance code violations and may
include but is not limited to photographs, on-site inspection notes, copies of
ordinances, violation notices, orders to appear, correction notices, proof of
correction, correspondence and related documents.
Closure + 3 Years
EL
Security Destruction, see notes.
Development Services
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Development Services
2007-1717
LEGAL NOTICES Documents compliance with state laws requiring
tmblic notice of governmental activities
PERMANENT
HC EL
Development Services
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney General's
office, District Attorney's office or other legal counsel. Opinions document
rationale for local government policies and help maintain consistency in
related issues
PERMANENT
HC EL
Development Services
2007-1339
LOG, SOFTWARE MAINTENANCE Summary of program activity
for developing and or maintaining system applications
Calendar Yearend + 1
Year
EL
Development Services
2007-1362
LOGS & REPORTS, COMPUTER HELP DESK Documents
requests for technical assistance & responses from users to requests, as well
as collect information on use of computer equipment for program delivery,
security, or other purposes. Includes: Summary, work order number, type,
category, priority, technician assigned, date assigned, date due, description,
1 Year
EL
Development Services
2007-1557
LOGS, CODE ENFORCEMENT INSPECTIONS Logs kept by
Code Enforcement Officers detailing various inspections of potential property
maintenance code violations.
CY + 1 Year
EL
Development Services
2007-1727
LOGS, COMPUTER ACCESS Information relating to employee name,
date & time of access. Data also indicates employee title and location in
department. Any network connectivity and a journal used when technical
staff accesses comnnter
CY + 3 Years
EL
Security Destruction, see notes.
Development Services
2007-0063
MAILING & DISTRIBUTION LISTS Lists of names and addresses
comniled for various mailines.
Until Superseded
HC EL
Development Services
2007-0983
MAPS, PLANS, AND DRAWINGS Offsite maps, blueprints, &
drawings pertaining to zoning, soil, land use, utilities, water supplies, road &
bridge construction & repair, water mains, sewer lines, sewer line
connections, fire hydrants, sewer district boundaries, valve locations, &
similar finainfifirina Kr r.nnstrnr.tinn related nroierts
PERMANENT
EL
Development Services
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rinrkptQ
3 Years
HC EL
NRS 11.190 (3)(d)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
69
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-0107
MEETING RECORDS, BOARDS, COMMISSIONS,
COMMITTEES AND COUNCILS Official record of proceedings of
regularly scheduled, special and emergency meetings. (BEFAC). Includes:
Date/time/meeting place, Members present/absent, Substance of matters
proposed, discussed or decided, Votes taken, Citizens who appeared, Related
PERMANENT
HC EL
Development Services
2007-1533
MEETING RECORDS, BOARDS, COMMISSIONS,
COUNCILS, AND STANDING COMMITTEES (,Department
Copies, official record copy maintained by County Clerk) Original minutes
of public and closed meetings, Agendas, Transcripts, Attachments and
exhibits, Correspondence related to the meetings, Announcements, Proof of
postings, Proof of certified mailings, and similar material
Administratively
Useful
HC EL
Development Services
2007-0281
MEMBERSHIP LISTS OF BOARDS AND COMMISSIONS
Membership of boards, commissions, councils, and similar organized bodies.
PERMANENT
HC EL
Development Services
2007-1301
MISSION STATEMENT Mission statement of department and its
divisions, sections, offices and branches, listine eoals and objectives
Until Superseded
HC EL
Review for historic value.
Development Services
2007-0197
MOVED BUILDING RECORDS Documents related to buildings
which have been moved, including permit application, related documentation
Calendar Yearend + 2
Years
EL
Development Services
2007-0010
NOTICES OF PUBLIC HEARING The posting of notices of public
hearines.
PERMANENT
HC EL
Development Services
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Development Services
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Development Services
2007-1570
PERMITS - BUILDING, APPLICATIONS Applications from
property owners or contractors to erect new structures or to make alterations
to existing structures. May include: Building Application, Electrical
Application, Plumbing Application, Mechanical Application, Change of
Contractor, Checklist, Ownership Documents, Permits Issued by Other
Entities, Receipts Issued by Other Entities, Tortoise Mitigation Fee,
Permission Letters, Change of Ownership, Request for Refunds,
Transportation Tax Fee, Park Tax
Calendar Yearend + 1
Year
EL
Approved applications become part of permit
file. Security Destruction, see notes.
Development Services
2007-1571
PERMITS - BUILDING, CANCELLED Building permits which
have been cancelled for anv reason
1 Year
EL
Development Services
2007-1587a
PERMITS - BUILDING, COMMERCIAL & PUBLIC,
MASTER Official copy of issued building permit, Certificate of
Occupancy, and all permit related information including but not limited to
name of contractor, location of work, contractor licensing information and
scope of work performed. May also contain permit site plans, subcontractor
information, owner builder exemption statement, related correspondence and
PERMANENT
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
70
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-1587b
PERMITS - BUILDING, RESIDENTIAL STRUCTURES,
MASTER Official copy of issued building permit, Certificate of
Occupancy, and all permit related information including but not limited to
name of contractor, location of work, contractor licensing information and
scope of work performed. May also contain permit site plans, subcontractor
information, owner builder exemption statement, related correspondence and
PERMANENT
EL
Development Services
2007-1572d
PERMITS - DESIGN & CONSTRUCTION FILE,
COMMERCIAL OR PUBLIC. CANCELED Structural files for anv
building not classified as "Group R" in International Building Code & any
structure on or related to subject property. Structural file consists of tests &
calculations directly related to structural integrity or technical components of
structure, may contain code modification requests, field density testing
reports, field submitted structural tests & structural info from inspection, fina
grading reports, finished floor elevation certificates, geotechnical reports,
correspondence from geotechnical engineer, pad certification reports, post
tension stressing certificate, special inspection (QAA) reports, structural
calculations, structural checklist, truss calculations, related correspondence, &
similar documents. May also include: air balance, pad certification,
alternative method, post construction certification, calculations- electrical,
mechanical, structural, energy, quality assurance agreement final reports,
cement mix, quality assurance agreement contract, drainage certificate,
1 Year
EL
Security Destruction, see notes.
Development Services
2007-1572c
PERMITS - DESIGN & CONSTRUCTION FILE,
COMMERCIAL OR PUBLIC. EXPIRED Structural files for anv
building not classified as "Group R" in International Building Code & any
structure on or related to subject property. Structural file consists of tests &
calculations directly related to structural integrity or technical components of
structure, may contain code modification requests, field density testing
reports, field submitted structural tests & structural info from inspection, fina
grading reports, finished floor elevation certificates, geotechnical reports,
correspondence from geotechnical engineer, pad certification reports, post
tension stressing certificate, special inspection (QAA) reports, structural
calculations, structural checklist, truss calculations, related correspondence, &
similar documents. May also include: air balance, pad certification,
alternative method, post construction certification, calculations- electrical,
mechanical, structural, energy, quality assurance agreement final reports,
cement mix, quality assurance agreement contract, drainage certificate,
Expiration + 3 Years
EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
71
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-1572b
PERMITS - DESIGN & CONSTRUCTION FILE,
COMMERCIAL OR PUBLIC. FINAL-DISASTER Structural files
for any building not classified as "Group R" in International Building Code &
any structure on or related to subject property. Structural file consists of tests
& calculations directly related to structural integrity or technical components
of structure, may contain code modification requests, field density testing
reports, field submitted structural tests & structural info from inspection, fina
grading reports, finished floor elevation certificates, geotechnical reports,
correspondence from geotechnical engineer, pad certification reports, post
tension stressing certificate, special inspection (QAA) reports, structural
calculations, structural checklist, truss calculations, related correspondence, &
similar documents. May also include: air balance, pad certification,
alternative method, post construction certification, calculations- electrical,
mechanical, structural, energy, quality assurance agreement final reports,
cement mix, quality assurance agreement contract, drainage certificate, earthc
Disaster + 6 Years
EL
Security Destruction, see notes.
Development Services
2007-1572a
PERMITS - DESIGN & CONSTRUCTION FILE,
COMMERCIAL OR PUBLIC. FINAL-NO DISASTER Structural
files for any building not classified as "Group R" in International Building
Code & any structure on or related to subject property. Structural file consists
of tests & calculations directly related to structural integrity or technical
components of structure, may contain code modification requests, field
density testing reports, field submitted structural tests & structural info from
inspection, final grading reports, finished floor elevation certificates,
geotechnical reports, correspondence from geotechnical engineer, pad
certification reports, post tension stressing certificate, special inspection
(QAA) reports, structural calculations, structural checklist, truss calculations,
related correspondence, & similar documents. May also include: air balance,
pad certification, alternative method, post construction certification,
calculations-electrical, mechanical, structural, energy, quality assurance
agreement final reports, cement mix, quality assurance agreement contract,
LA
EL
Security Destruction, see notes.
Development Services
2007-1573d
PERMITS - DESIGN & CONSTRUCTION FILE,
RESIDENTIAL, CANCELLED_Structural files for any building
classified as "Group R" in International Building Code (not including hotels,
motels, & high-rise structures), & any structure on or related to subject
property. Structural file consists of tests & calculations directly related to
structural integrity or technical components of structure, may contain code
modification requests, field density testing reports, field submitted structural
tests & structural info from inspection, final grading reports, finished floor
elevation certificates, geotechnical reports, correspondence from geotechnica
engineer, pad certification reports, post tension stressing certificate, special
inspection (QAA) reports, structural calculations, structural checklist, truss
calculations, related correspondence, & similar documents. May also include:
alternate methods, post construction certification, structural calculations,
quality assurance agreement final report, cement mix, quality assurance
agreement contract, drainage certification, revisions, earthquake report, geote
1 Year
EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
72
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-1573e
PERMITS - DESIGN & CONSTRUCTION FILE,
RESIDENTIAL, DESTROYED_Stractural files for any building
classified as "Group R" in International Building Code (not including hotels,
motels, & high-rise structures), & any structure on or related to subject
property. Structural file consists of tests & calculations directly related to
structural integrity or technical components of structure, may contain code
modification requests, field density testing reports, field submitted structural
tests & structural info from inspection, final grading reports, finished floor
elevation certificates, geotechnical reports, correspondence from geotechnica
engineer, pad certification reports, post tension stressing certificate, special
inspection (QAA) reports, structural calculations, structural checklist, truss
calculations, related correspondence, & similar documents. May also include:
alternate methods, post construction certification, structural calculations,
quality assurance agreement final report, cement mix, quality assurance
agreement contract, drainage certification, revisions, earthquake report, geote
Life of Asset
EL
Security Destruction, see notes.
Development Services
2007-1573c
PERMITS - DESIGN & CONSTRUCTION FILE,
RESIDENTIAL, EXPIRED_Structural files for any building classified
as "Group R" in International Building Code (not including hotels, motels, &
high-rise structures), & any structure on or related to subject property.
Structural file consists of tests & calculations directly related to structural
integrity or technical components of structure, may contain code modification
requests, field density testing reports, field submitted structural tests &
structural info from inspection, final grading reports, finished floor elevation
certificates, geotechnical reports, correspondence from geotechnical engineer
pad certification reports, post tension stressing certificate, special inspection
(QAA) reports, structural calculations, structural checklist, truss calculations,
related correspondence, & similar documents. May also include: alternate
methods, post construction certification, structural calculations, quality
assurance agreement final report, cement mix, quality assurance agreement
contract, drainage certification, revisions, earthquake report, geotechnical rep
Expiration + 3 Years
EL
Security Destruction, see notes.
Development Services
2007-1573b
PERMITS - DESIGN & CONSTRUCTION FILE,
RESIDENTIAL. FINAL - DISASTER Structural files for anv
building classified as "Group R" in International Building Code (not
including hotels, motels, & high-rise structures), & any structure on or relatec
to subject property. Structural file consists of tests & calculations directly
related to structural integrity or technical components of structure, may
contain code modification requests, field density testing reports, field
submitted structural tests & structural info from inspection, final grading
reports, finished floor elevation certificates, geotechnical reports,
correspondence from geotechnical engineer, pad certification reports, post
tension stressing certificate, special inspection (QAA) reports, structural
calculations, structural checklist, truss calculations, related correspondence, &
similar documents. May also include: alternate methods, post construction
certification, structural calculations, quality assurance agreement final report,
cement mix, quality assurance agreement contract, drainage certification,
LA OR Disaster + 6
Years, whichever
longer
EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
73
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-1573a
PERMITS - DESIGN & CONSTRUCTION FILE,
RESIDENTIAL. FINAL - NO DISASTER Structural files for anv
building classified as "Group R" in International Building Code (not
including hotels, motels, & high-rise structures), & any structure on or relatec
to subject property. Structural file consists of tests & calculations directly
related to structural integrity or technical components of structure, may
contain code modification requests, field density testing reports, field
submitted structural tests & structural info from inspection, final grading
reports, finished floor elevation certificates, geotechnical reports,
correspondence from geotechnical engineer, pad certification reports, post
tension stressing certificate, special inspection (QAA) reports, structural
calculations, structural checklist, truss calculations, related correspondence, &
similar documents. May also include: alternate methods, post construction
certification, structural calculations, quality assurance agreement final report,
cement mix, quality assurance agreement contract, drainage certification,
Life of Asset
EL
Security Destruction, see notes.
Development Services
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Development Services
2007-1589
PHOTOGRAPHS, AERIAL Color and black and white photographs
and negatives documenting topographical and physical features of a specific
area at a specific date and time. Information often includes date, location,
frame sequence numbers, and other descriptive information. This series is
often used for planning and land management purposes.
PERMANENT
EL
Development Services
2007-203
PLANS, CHECKERS, (RECORDS OF PERSONS
REVIEWING PLANS & BLUEPRINTS) Plan review process & may
contain copies of maps, plans, blueprints, specifications, application for
permit, internal forms, related correspondence, & similar documents.
Calendar Yearend + 3
Years
EL
Security Destruction, see notes.
Development Services
2007-205a
PLANS. COMMERCIAL AND PUBLIC - DISASTER Macs,
plans, blueprints, specifications & similar documents submitted with
applications for building & construction permits. Includes plans for any
structure not classified as "Group R" in the International Building Code, &
anv structure on or related to the snhiect nronertv
Disaster + 6 Years
HC EL
Security Destruction, see notes.
Development Services
2007-205b
PLANS. COMMERCIAL AND PUBLIC - NO DISASTER
Maps, plans, blueprints, specifications & similar documents submitted with
applications for building & construction permits. Includes plans for any
structure not classified as "Group R" in the International Building Code, &
any structure on or related to the subject property.
Life of Asset
HC EL
Security Destruction, see notes.
Development Services
2007-206
PLANS, RESIDENTIAL BUILDING Maps, plans, blueprints,
specifications & similar documents submitted with applications for building
& construction permits. Includes plans for any building classified as "Group
R" in the International Building Code (not including hotels, motels, & any
high-rise structure), & any structure on or related to the subject property.
Life of Asset
EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
74
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-207
PLOT PLANS Scale drawings of property that shows the size &
configuration of the property & the size & location of manmade features
which currently exist on the property and is usually used when seeking
nermits to make nhvsical changes to the nronertv
Certificate of
Occupancy Issued +
25 Years
EL
Security Destruction, see notes.
Development Services
2007-0067
PROPERTY AND EQUIPMENT, RECORDS AND
INVENTORIES Copies of purchase orders, Descriptions of items,
Manufacture's model and serial number, Memos/Correspondence, Other
related records
Until Superseded + 1
Year
HC EL
Development Services
2007-0011
PUBLIC HEARING RECORDS Records of hearings conducted as
part of regulatory process and/or hearings on proposed rules and changes, anc
conclusions reached.
PERMANENT
EL
Development Services
2007-0991
PUBLIC WORKS PROJECT FILES Documents Public Works
Projects. Files may contain copies of bid documents, award and endorsement;
records, applications and permits, contractor's bonds, preconstruction
engineering reports, structural design calculations, specifications, plan check
files, lab testing reports, utility and land surveys, notice to proceed, weekly
status reports, inspector memos and reports, evaluations, construction field
meeting reports, progress schedules, change orders/proposals, variances,
easement and rights of-way documents, project orders, copies of plans; maps;
blueprints; profiles; and as-built drawings, requests for information,
guarantees, notice of completion, certificate of occupancy, copies of
accounting records, photographs, memos, various forms and reports, related
correspondence, and similar documents.
PERMANENT
EL
Development Services
2007-1256
QUALITY ASSURANCE REVIEW AUDITS & REPORTS
Quality control reviews performed by an agency to check the effectiveness of
policies and procedures [such as office security, training, safety, personnel,
customer relations, emergency and similar procedures. May include: Non
Technical Review Forms, Technical Review Forms, Random Staff
Planscheck Audits, investigative reports, checklists, copies of documents
involved in, staff reviews, copies of policies & procedures, comparison
reports, copies of safety manuals, copies of staff training documentation,
regular and final reports
Calendar Yearend + 3
Years
EL
Security Destruction, see notes.
Development Services
2007-1470a
REASONABLE ACCOMMODATION RECORDS,
EMPLOYEE HIRED Reauests for "reasonable accommodation" in the
work place. This includes information regarding medical and mental
condition, history and work-related restrictions of an employee or applicant a
permitted by the Americans with Disabilities Act.
Administratively
Useful
HC
Security Destruction, see notes. 29 CFR
1630.14
Development Services
2007-1470b
REASONABLE ACCOMMODATION RECORDS, PERSON
NOT HIRED Reauests for "reasonable accommodation" in the work place.
This includes information regarding medical and mental condition, history
and work-related restrictions of an employee or applicant as permitted by the
Americans with Disabilities Act
Administratively
Useful
HC
Security Destruction, see notes. 29 CFR
1630.14
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
75
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-0109
RECORDINGS OF MEETINGS Recordings of proceedings of
regularly scheduled, special, and emergency meetings and may also be used t
transcribe, verify and correct minutes of public meetings. Written minutes
may be taken from these recordings, transcribed, corrected as needed, and
nresented to meetinp bodv for annroval
1 Year
EL
Development Services
2007-0069
RECORDS DESTRUCTION CERTIFICATES Documentation of
destruction of records in accordance with approved retention schedules.
3 Years
HC
Development Services
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
Development Services
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinri
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Development Services
2007-1344
SCHEDULING RECORDS, COMPUTER RUNS Scheduled
computer runs includes running daily reports, request and other successful
data runs
1 Year
EL
Development Services
2007-1368
SECURITY EVALUATIONS, IT fnformation concerning computer
systems security and protection against unauthorized access, disclosure, or
modification of data & protection against loss of data due to security
breaches
Calendar Yearend + 3
Years
HC EL
Security Destruction, see notes.
Development Services
2007-1349
SECURITY RECORDS, COMPUTER SYSTEMS Records used to
control or monitor security of system and data, fncludes systems event logs,
network monitor management tools, intrusion detection logs, firewall logs,
anditinp lops and other security lops
Until Superseded + 6
Years
EL
Security Destruction, see notes.
Development Services
2007-1280
SIGNATURE AUTHORIZATIONS FILE Used to authorize, assign
authority, and verify approval of various governmental actions
Expiration + 5 Fiscal
Years
HC
Development Services
2007-1245
SOFTWARE LICENSES Licensure & implementation of computer
software applications. May include, but is not limited to, permitted uses, right
& restrictions warrant.
Expiration + 6 Years
EL
Development Services
2007-1347
SOURCE CODE / PROGRAM LISTINGS Instructions from a
computer program code which generates system language used to operate an
automated information system. Users log in to an interface which regenerates
or translates using an automated system to mainframe or operating system.
Until Superseded + 3
Data Backup Cycles
EL
Development Services
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Development Services
2007-1005
STUDIES Studies performed by outside consultants or in-house staff.
These types of studies apply, but are not limited to, hydrology, environmental
impact, flood control, transportation, traffic engineering, feasibility, growth,
neighborhood, studies documenting long range forecasts and projections, and
similar documents. Also includes Traffic Impact Analysis, Traffic Impact
Plans, Queuing Analysis, Pedestrian Analysis, Development Agreement,
Technical Review Letters, Drainage Studies, Drainage Plans, LOMR,
rr nA/rp
PERMANENT
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
76
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Development Services
2007-1006
SUBDIVISION FILES Documents that developers meet accepted
standards for design & construction of Public Works portion of subdivision
development, such as streets, street lights, sidewalks, curbs & gutters,
utilities, storm drainage, & fire protection. May include copies of tentative
maps, review files, inspection reports, applications for deferral of off-site
improvements, copies of surveys, various studies & analysis, off-site data
sheets, bond & fee documents, receipts, copies of documents from planning
commission & governing body, transmittals, final map, project
correspondence, & related documents.
Subdivision
Completion + 5 Years,
OR Bond Released +
5 Years
EL
Security Destruction, see notes.
Development Services
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Development Services
2007-1281
SUMMONS & SUBPOENAS Documents received by individuals in
their official capacity as local government employees, requiring their
appearance at a specified place, date and time. Summons and subpoenas are
issued by agencies granted this power under law. May include state and
federal courts, boards, commissions, offices, etc. Documents contain a
statement of authority for summons or subpoena, reasons for required
appearance, date, time and place. Documents are signed and dated and may
be delivered by mail or by an officer of summoning institution.
Closure + 1 Year
EL
Development Services
2007-0076
SURVEYS, POLLS, & QUESTIONNAIRES Document public and
personnel opinions on various issues, actions, and concerns
Administratively
Useful
HC
Development Services
2007-0174
TEMPORARY POWER SERVICE RECORDS Records
documenting the providing of temporary electric power service. May include
application for service, fee schedule, receipts, related correspondence, similar
documents
Termination + 1 Year
EL
Development Services
2007-0219
TEMPORARY POWER, REQUESTS FOR Requests for temporary
power usually for construction, special event and similar activities.
Calendar Yearend + 1
Year
EL
Requests granted are transferred to Temporary
Power Service Records
Development Services
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Development Services
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Development Services
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
District Attorney
2007-0046
ACCOUNTING RECORDS (,Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Rprpivnhlp"!
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
77
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Attorney
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing derailment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
District Attorney
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
District Attorney
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
District Attorney
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
District Attorney
ATTORNEY BILLINGS, DISCOVERY Billings for copying
criminal discovery records to outside counsel. Invoices created by
DA Finance Staff using the SAP salary records / Excel; SAP invoice
generated; check received by agency and deposited by DA accounts
receivable staff. Includes signed discovery request form, monthly
account billing, payment receipts, associated documentation (late
Audit Clearance + 1
Year
HC EL
District Attorney
BAD CHECK RECORDS Record of bank and other financial
records of Bad Check Unit. Includes bank account records, deposits,
receints
3 Years
HC EL
NRS205.130, NRS 205.4617, NAC 239.165
(1) (2) Security Destruction, see notes.
District Attorney
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanking relatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
District Attorney
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
District Attorney
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.oimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
District Attorney
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
District Attorney
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
78
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Attorney
2007-1393
CASE FILES, CHILD SUPPORT Case files for child support
establishment and enforcement. Files are maintained for each non-
custodial parent - one for each custodial parent associated with that
non-custodial parent and each separate court docket. Includes new
case applications, birth certificates, pleadings, orders, medical
insurance information, letters, motions and responses, attorney/case
manager work product, case history, employment information,
investigative/locate information, affidavits, financial / payment
records/audits, discovery requests, audio / video / DVD/CD
materials, photos, copies of SSN cards/ID information, voluntary
statements, correspondence - in & out, out-of-state case information.
3 Years AFTER
submission of report
to NV Division of
Welfare & Supportive
Services. See NOTE
HC EL
NOTE: Central office of Support
Enforcement, Division of Welfare &
Supportive Services is office of record for this
series. Security Destruction, see notes.
District Attorney
2007-1400
CASE FILES, CIVIL FORFEITURE AND ASSET SEIZURE
(.Department Copies. Official copies of filed documents are
maintained by Court.) Record of cases involving seizure of assets
for civil forfeiture. Includes Police Reports, Attorney Work Product,
Legal Pleadings/Notices, Court documents, Correspondence, Case
History Notes, Descriptions / pictures of seized property and/or cash,
Related documents, SCOPE/NCIC, SSN, Evidence, Criminal
Disposition + 6 Years
HC EL
Security Destruction, see notes.
District Attorney
2007-0155
CASE FILES, CIVIL LITIGATION INVOLVING COUNTY
(.Department Copies. Official copies of filed documents are
maintained by Court.) Cases filed by County Civil Division or Cases
brought against County/ County Agencies/Employees/METRO being
defended by Civil Division. Civil Division represents all County
agencies and Board of County Commissioners, and as otherwise
required by law.
Disposition + 6 Years
HC EL
Security Destruction, see notes.
District Attorney
2007-0156
CASE FILES, CIVIL RIGHTS {Department Copies. Official
copies of filed documents are maintained by District Court. ) Case
files maintained in relation to discrimination complaints made
against County. Records may include complaint, complainant
personal information, reports, exhibits, withdrawal notices, copies of
decisions, hearing & meeting records, correspondence & related
Disposition + 6 Years
HC EL
Security Destruction, see notes.
District Attorney
2007-1391
CASE FILES, CRIMINAL-APPEALED {Department Copies.
Official copies of filed documents are maintained by District Court,
NV Supreme Court or federal court. ) Documents criminal cases on
appeal. Includes Notice of appeal, applicable case file, pleadings,
transcripts, attorney work product, orders, memos, correspondence.
Disposition + 3 Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
79
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Attorney
2007-1389
CASE FILES, CRIMINAL - DENIED Correspondence between
attorney's office & an outside investigative agency (usually police
departments) concerning inability to prosecute cases based on a lack
of evidence. These documents are usually generated in response to
police investigations & consist mainly of correspondence & case
Administratively
Useful
HC EL
Security Destruction, see notes.
District Attorney
2008-1758
CASE FILES, CRIMINAL - DOMESTIC VIOLENCE
(.Department Copies. Official copies of filed documents are
maintained by District Court.) Record of domestic violence felony
cases prosecuted by District Attorney. Includes case submission
packet, police reports, evidence, complaint, other pleadings, attorney
work product, photos, CD / DVD / tapes, subpoena, investigative
records, orders, witness list, SCOPE/NCIC, SSN, correspondence.
Disposition + 7 Years
HC EL
NRS 200.485, NRS 33.018, NRS 11.190
(l)(a), NAC 239.165 (1)(2) Security
Destruction, see notes.
District Attorney
2007-1384
CASE FILES, CRIMINAL - HOMICIDE (AND OTHER
MAJOR CRIMES) (Department Copies. Official copies of filed
documents are maintained by District Court. ) Record of homicide
and other major crimes prosecuted by District Attorney. Includes
Submittal Packet, Police Reports, Complaint, Indictment, Other
Pleadings, Evidence, Attorney Work Product, Investigative Reports,
Photos, CD/DVD/tapes/transcripts, subpoenas, orders, witness lists,
SCOPE/NCIC/other criminal history, SSN, Case History Sheet.
PERMANENT
HC EL
District Attorney
2007-1498
CASE FILES, CRIMINAL GROSS MISDEMEANOR Record of
all gross misdemeanor cases prosecuted by District Attorney's
Office. Includes case submittal, police reports, evidence,
SCOPE/NCIC, SSN, complaints, information, other pleadings,
witness lists, subpoenas, attorney work product, investigation work
riT»frYt7T-»/T
Disposition + 6 Years
HC EL
Security Destruction, see notes.
District Attorney
2008-1757
CASE FILES, FELONY- DRIVING UNDER THE
INFLUENCE (DUI) (Department Copies. Official copies of filed
documents are maintained by District Court. ) Felony driving under
the influence cases prosecuted by District Attorney's office. May
contain information pertaining to case number, defendant's name,
social security number, date of birth, charge, dates of indictment and
arraignment, plea, bond amount, trial date, verdict, and sentence.
May also contain copies of police reports, complaints, investigation
records, offense reports, witness lists, subpoenas, photographs,
attorneys' notes, correspondence, and related documents.
Disposition + 7 Years
HC EL
NRS 484.3792, NRS 11.190 (l)(a), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
80
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Attorney
2008-1753
CASE FILES, FUGITIVES FROM JUSTICE (OTHER
JURISDICTIONS) Information on subjects who have outstanding
warrants in jurisdictions outside Nevada. Case file may include
copies of police reports, copy of warrant, photographs, identification
hearing record, copy of extradition request, correspondence and
Disposition + 30 Days
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
District Attorney
2007-1401
CASE FILES, JUVENILE {Department Copies. Official copies of
filed documents are maintained by District Court. ) Cases in which
District Attorney is a party & may include incident reports, copies ol
law enforcement reports, copies of investigation reports, citations,
complaints, referrals, psychological evaluations, juvenile counselor
case summaries & recommendations, juvenile social histories,
attorney case notes, opinions, court petitions, orders, motions,
affidavits, answers, agreements, stipulations, confessions, witness
statements, criminal records of the accused, copies of court
documents, dispositions, verdicts, correspondence, & other
supporting documents relative to case.
Juvenile reaches age
of 18 + 6 Years
HC EL
Security Destruction, see notes.
District Attorney
2007-1685
CASE FILES, JUVENILE SEX OFFENDER (,Department
Copies. Official copies of filed documents are maintained by
District Court.) Record of juvenile sex offender case files
prosecuted by Juvenile Division. Includes case history, petitions,
motions, orders, other pleadings, criminal history, juvenile history,
juvenile justice services reports, medical & psychological reports,
submittal documents from law enforcement, affidavits, voluntary
statements, transcripts from interviews, child protective services
records, detention intake documents, UNITY documents, family
history information, attorney work product, SCOPE/NCIC
Lifetime of individual
(if known) OR Until
presumed dead at age
100, whichever
sooner, OR 10 Years
after it is known
offender leaves
jurisdiction.
HC EL
Security Destruction, see notes.
District Attorney
2008-1764
CASE FILES, MISDEMEANOR- DRIVING UNDER THE
INFLUENCE (DUI) (Department Copies. Official copies of filed
documents are maintained by District Court. ) Misdemeanor driving
under the influence cases prosecuted by District Attorney's office.
May contain information pertaining to case number, defendant's
name, social security number, date of birth, charge, dates of
indictment and arraignment, plea, bond amount, trial date, verdict,
and sentence. May also contain copies of police reports, complaints,
investigation records, offense reports, witness lists, subpoenas,
photographs, attorneys' notes, correspondence, and related
Disposition + 30 Days
HC EL
NRS 484.3792, NRS 11.190 (l)(a), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
81
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Attorney
2007-1394
CHILD SUPPORT REPORTS Reports generated by NOMADS
processes to administer and monitor Child Support Enforcement
Program, includes case transfer reports, case distribution reports,
statistical reports, warrant (check) reports, financial reports, FIDM
reports, central registry activity reports, obligation/establishment
reports, enforcement reports, health insurance reports
FY + 3 Years OR 3
Years from date report
submitted to NV
Division of Welfare &
Supportive Services.
See Note.
HC EL
NOTE: Review for historical value before
disposal. Security Destruction, see notes.
District Attorney
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
District Attorney
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
District Attorney
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
District Attorney
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
District Attorney
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
District Attorney
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
District Attorney
2007-1387
CRIMINAL CASE FILES - MISDEMEANORS (EXCEPT
DOMESTIC VIOLENCE & DUI) {Department Copies. Official
copies of filed documents are maintained by Justice Court. ) Record
of all misdemeanor cases prosecuted by District Attorney's Office.
Includes case submittal, police reports, evidence, SCOPE / NCIC,
SSN, complaints, information, other pleadings, witness lists,
subpoenas, attorney work product, investigation work product,
Disposition + 3 Years
HC EL
Security Destruction, see notes.
District Attorney
2007-1383
CRIMINAL CASES - FELONIES (EXCEPT DOMESTIC
VIOLENCE & DUI) (Department Copies. Official copies of filed
documents are maintained by District Court. ) Record of felony
cases prosecuted by District Attorney. Includes submittal packet,
police reports, complaint, indictment, other pleadings, evidence,
attorney work product, investigative reports, photos, CD / DVD /
tapes/transcripts, subpoena, orders, witness list, SCOPE / NCIC,
Disposition + 10
Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
82
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Attorney
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
District Attorney
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
District Attorney
2008-1754
FRAUDULENT CHECK DIVERSION PROGRAM FILES
Contracts or agreements between District Attorney's office and
defendants wanting to pay back bad checks. May contain information
pertaining to program contract notes, copy of restitution agreements,
receipts, admission statement, correspondence, and related
No-issue memo
generated + 2 Fiscal
Years
HC EL
NRS 205.130 to 205.134, NRS 239B.030,
NRS 205.4617, NAC 239.165 (1)(2) Security
Destruction, see notes.
District Attorney
2007-1402
GRAND JURY RECORDS Grand Jury Transcripts, Reports,
Investigative Documents, Affidavits, Witness statements,
Evidence/Exhibits, Presentment/Indictment information, Defendant
personal information, True bill/no true bill, minutes, Empanelment
documents, calendar - District Court & Justice Court.
Report Received + 6
Years
HC EL
Security Destruction, see notes.
District Attorney
2007-0059
GRANT FISCAL RECORDS Documents awarding of funds from
federal government, state government, private organizations, private
benefactors, and similar sources. Accounting reports, expenditure
reports, audit reports, monitoring reports, copies of purchase orders,
warrants, warrant registers, vouchers.
Submission of final
expenditure report + 3
Fiscal Years OR
Granting authority
requirement,
—T— i
HC EL
District Attorney
2007-0331
INTERN FILES To provide later requested documentation from
outside agencies & employers for internship verification. Includes
DA Internship form, background waiver, include photo, internship
agreement, 1-9 Form, drivers license, social security card, final
Termination + 3 Years
EL
Security Destruction, see notes.
District Attorney
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
District Attorney
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
PERMANENT
HC EL
District Attorney
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
District Attorney
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
83
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Attorney
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
District Attorney
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
District Attorney
2007-0325
RECRUITMENT FILES (Departmental copies. Official Record
Copy at Human Resources.) Notifications, letters, certification lists.
Fmnlnvmpnt Offer Tetters Salarv schedules
Administratively
Useful
EL
Security Destruction, see notes.
District Attorney
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
District Attorney
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
District Attorney
2007-1403
SEXUAL ASSAULT COMPENSATION BILLING FILES
Compensation for victims of sexual assault for
medical/psychological treatment; record maintained on each victim
who makes application. Includes application, police report, approval
Disposition + 3 Years
HC EL
Security Destruction, see notes.
District Attorney
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
District Attorney
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
District Attorney
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
District Attorney
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
District Attorney
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
District Attorney
WORK FILES FOR CONTRACTS/AGREEMENTS Pre-
execution reviews of contracts/agreements entered into or awarded
by County. Includes Drafts of contracts/agreements, Copies of final
contract/agreements, Notes, Copies of Statutes/Case law.
Administratively
Useful
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
District Court
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Rprpivnhlp"!
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
84
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Court
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing derartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
District Court
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
District Court
ADMINISTRATIVE ORDERS FROM SUPREME COURT
Issued bv Chief Justice
PERMANENT
HC EL
District Court
SCRS-21
ADMINISTRATOR BOND RECORDS Clerk's record of bonds
nosted bv rieorile armointed administrators of estates.
Expiration + 6 Years
NRS 142.020(2)
District Court
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
District Court
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
District Court
SCRS-07
BAIL BOND REGISTER Register containing information on bail
bonds posted with court.
Most recent
exoneration or
forfeiture + 6 Years
NRS 178.542
District Court
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanking relatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
District Court
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
District Court
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Conntv Commissioners
Fiscal Yearend + 5
Years
HC EL
District Court
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
District Court
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
District Court
SCRS-09
CASE FILE INDEXES Index and finding aid to various types of
case files. Usually links names of rarties to case numbers.
PERMANENT
HC EL
District Court
SCRS-01
CASE FILES, CIVIL All paper items filed with District Court
pertaining to a specific case. Folder contains official record of case,
and can include printed minutes, supporting documentation, exhibits,
PERMANENT
HC EL
NRS 239.110
District Court
SCRS-01
CASE FILES, CRIMINAL All paper items filed with District
Court pertaining to a specific case. Folder contains official record of
case, and can include printed minutes, supporting documentation,
exhibits, search warrant, pin register (wiretap), etc.
PERMANENT
HC EL
MI
NRS 239.110
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
85
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Court
SCRS-01
CASE FILES, FAMILY MATTERS All paper items filed with
District Court pertaining to a specific case. Folder contains official
record of case, and can include printed minutes, supporting
rlnrnmentatinri eYhihitQ etr
PERMANENT
HC EL
NRS 239.110
District Court
SCRS-01
CASE FILES, PROBATE All paper items filed with District Court
pertaining to a specific case. Folder contains official record of case,
and can include printed minutes, supporting documentation, exhibits,
PERMANENT
HC EL
NRS 239.110
District Court
2007-0055
COMPLAINTS General complaints regarding Court or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
District Court
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by Court, where the official
remrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
District Court
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital nroducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
District Court
2007-1230
CONVENIENCE COPIES Board minutes, ordinances, resolutions,
purchase orders, requisitions and other copies where official record
k mnintniniwl hv annthpr dpnartmpnt
Administratively
Useful
HC
District Court
SCRS-15
CORONER'S INQUESTS Transcripts of testimony given at
coroner's inauests.
PERMANENT
NRS 259.120
District Court
2007-0055
CORRESPONDENCE Correspondence with court concerning
suggestions or reauesting advice.
Resolution + 3 Years
HC EL
NRS 239.110
District Court
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Court is organized, how it
functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
District Court
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
District Court
SCRS-11
COURT CALENDARS Day by day listing of cases before the
court.
90 Days
NRS 178.592
District Court
SCRS-17
COVER SHEET, CIVIL CASES Information sheet on types of
civil cases filed with court.
Until information
transferred to
Administrative Office
nf PniirtQ
HC EL
MI
NRS 3.275
District Court
SCRS-03
DOCKET, JUDGEMENT Register containing information on
monetary iudgments and judgment creditors and debtors
PERMANENT
HC EL
MI
NRS 17.150
District Court
SCRS-02
DOCKET, REGISTER OF ACTIONS Register listing court
actions and naners filed for court cases.
PERMANENT
HC EL
NRS 3.280
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
86
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Court
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
District Court
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
District Court
2007-0712
EQUIPMENT INSPECTION AND MAINTENANCE
RECORDS Maintenance, service, and repair of
enuinment/instruments used to conduct nrocedures
Life of Asset
HC EL
District Court
SCRS-06
FEE BOOK/REGISTER Clerk's fee book listing fees collected, for
what rmrnose. with dates and amounts listed.
Audit Clearance
HC MI
NRS 19.080
District Court
SCRS-27-29
FINANCE TRUST ACCOUNT RECORDS Documents and
receirits related to transaction to/from Trust Account.
Audit Clearance
HC EL
NRS 354.624
District Court
2007-0440
FIXED ASSETS AND INVENTORY RECORDS Document and
administer process of updating and reconciling an inventory of fixed
assets in department's possession. May contain fixed asset
inventories, copies of purchase orders and other fiscal records,
monthly or annual property reports, copies of other property records,
memos, correspondence, inventory journals and related documents.
Until Superseded + 5
Years
HC EL
NRS 239.110
District Court
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
Expiration + 3 Fiscal
Years, OR Retention
period required by
grantor, whichever
longer
HC EL
NRS 239.110
District Court
SCRS-22
GUARDIANSHIP BONDS Bond posted by a guardian for faithful
performance of the guardianship.
Discharge of
Guardianship + 3
Years
NRS 159.069, NRS 159.071
District Court
SCRS-13
INDEXES Various types of indexes not otherwise listed on this
retention schedule.
Same retention period
as records indexed.
District Court
SCRS-30
JURY LISTS List of persons eligible for jury duty from which juries
are drawn.
Until Superseded
NRS 6.050(2)
District Court
LEAVE REQUESTS, EMPLOYEE {Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
87
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Court
2007-0034
LEGISLATIVE RELATIONS RECORDS Used to review and/or
plan a local government's position on the impact of proposed and
approved legislative enactments. This series may include bill review
and tracking, opinion requests, copies of pending or approved
legislation, notes, memorandum, related correspondence and similar
documentation. Information in this series may also be used in
lobbying efforts and recommending legislative changes.
Administratively
Useful
EL
District Court
2007-1727
LOGS, COMPUTER ACCESS Information relating to employee
name, date & time of access. Data also indicates employee title and
location in department. Any network connectivity and a journal used
when technical staff accesses computer.
Calendar Yearend + 3
Years
EL
Security Destruction, see notes.
District Court
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
District Court
SCRS-
MEETING RECORDS, JUDGES
PERMANENT
District Court
2007-1359
MICROFILM QUALITY CONTROL RECORDS Documents
that microfilm produced by or for governmental entities is in
compliance with applicable specifications. Records may include
microfilmed records lists, microfilm reel indexes, related
PERMANENT
HC
NRS 239.051(2)
District Court
SCRS 12,
14
NATURALIZATION RECORDS Various types of naturalization
records, such as: petitions, applications, declaration of intention,
reports to the Immigration and Naturalization Service, etc. Includes
inrlfY tn nntiirn1i7ntinriQ
PERMANENT
District Court
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
District Court
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
District Court
SCRS-23
PAYROLL RECORDS, CRIMINAL WITNESS Expense
information for travel and time costs of witnesses in criminal cases.
Audit Clearance
NRS 50.225, NRS 354.624
District Court
SCRS-24
PAYROLL RECORDS, JURY Record of money owed to people
for iurv dutv.
Audit Clearance
NRS 60.160, NRS 354.624
District Court
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
District Court
2007-0057
POLICIES & PROCEDURES, COURT Official record of policies
and procedures of court.
Until Superseded + 6
Years, OR Expiration
+ 6 Years
HC EL
NRS 11.190 (l)(b)
District Court
PRESENTATIONS Presentations given by Court personnel.
Administratively
Useful
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
88
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Court
SCRS-25
RECEIPTS Copies of receipts given for fines and fees collected.
Audit Clearance
District Court
SCRS-18a
RECORD OF PROCEEDINGS, CIVIL Sound recording or court
reporter's shorthand record of court proceedings.
Until transcript
prepared; OR Case
closed AND appeal
NRS 34.800 Security Destruction, see notes.
District Court
SCRS-18b
RECORD OF PROCEEDINGS, CRIMINAL Sound recording or
court reporter's shorthand record of court proceedings.
Until transcript
prepared; OR Case
closed + 6 Years
NRS 34.800 Security Destruction, see notes.
District Court
2007-0069
RECORDS DESTRUCTION CERTIFICATES Documentation of
destruction of records after microfilming in accordance with
annroved retention schedules
3 Years
HC
NRS 239.110
District Court
2007-0073
RECORDS RETENTION SCHEDULE Listing of department
records and mandated retention rieriods.
Until Superseded + 6
Years
HC EL
District Court
2007-0325a
RECRUITMENT FILES. HIRED Medical. Dre-emDlovment.
physical exam, backgrounds, medical separation, bilingual testing,
misc dept correspondence, fingerprinting/ criminal correspondence,
advertising correspondence, recruitment archive list, lawsuits for
recruitments, merit personnel updates, contracts expired- union,
training correspondence, division budget information/
correspondence, scopes, special project documentation, disciplinary
actions, applications and resumes, EEO reports, eligibility list,
employee licenses/ certificates, employment examination records,
inactive recruitment files, promotion records, search committee files
Transfer to Employee
Master File
HC
District Court
2007-0325b
RECRUITMENT FILES. NOT HIRED Mav include anv/all of
the following: medical, pre-employment, physical exam,
backgrounds, medical separation, bilingual testing, misc. dept
correspondence, fingerprinting /criminal correspondence, advertising
correspondence, recruitment archive list, lawsuits for recruitments,
merit personnel updates, contracts expired- union, training
correspondence, division budget information/ correspondence,
scopes, special project documentation, disciplinary actions,
applications and resumes, EEO reports, eligibility list, employee
licenses/ certificates, employment examination records, search
Active + 3 Years
HC
Security Destruction, see notes.
District Court
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snerifir to anv nrniert or activity
Administratively
Useful
HC
District Court
SCRS-16
ROLL OF ATTORNEYS List of attorneys and counselors of court.
Until Superseded
HC EL
NV Supreme Court Rule 41
District Court
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
89
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
District Court
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
District Court
2007-0368
SUPPLY ORDER RECORDS May contain supply requests, supply
inventories, packing slips, receiving reports, copies of delivery
receipts, copies of requisitions, requisition log, copies of purchase
orders, inventory control forms, sign-out sheets, correspondence &
Audit Clearance + 1
Year
HC EL
District Court
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
District Court
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
District Court
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
District Court
USJR REPORTS AND STATISTICS Reports and statistics
reauired to be reriorted to Nevada Surireme Court
PERMANENT
HC EL
District Court
SCRS-19,
20
WILLS Last will and testament received by clerk before and after
death of testator.
PERMANENT
HC
NRS 136.050
Elections
2007-0526
ABSENTEE VOTER RECORDS Documents casting &
accounting of absentee ballots. Includes absentee ballot request,
absentee roster, absentee voter information, records date ballot
issued, received, return ballot envelope, precinct, ballot style, party,
Election Close + 22
Months
HC EL
Security Destruction, see notes.
Elections
2007-0542
ABSTRACT OF VOTES CAST Summary report of election results
submitted to the Secretary of State.
PERMANENT
HC EL
Record also on file at Nevada Secretary of
State.
Elections
2007-1712b
ACCIDENT REPORTS NOT RESULTING IN LEGAL
ACTION OR DAMAGE Vehicle accidents involving departmental
personnel while on duty. Reports may contain type of accident,
narrative reports regarding facts and circumstances of accident,
witnesses, property damage, injury reports, copies of medical
treatment reports, vehicle damage reports, photos, notes, police
accidents reports, and other related documents.
3 Years
HC
Security Destruction, see notes.
Elections
2007-1712a
ACCIDENT REPORTS RESULTING IN LEGAL ACTION OR
DAMAGE Vehicle accidents involving departmental personnel
while on duty. Reports may contain type of accident, narrative
reports regarding facts and circumstances of accident, witnesses,
property damage, injury reports, copies of medical treatment reports,
vehicle damage reports, photos, notes, police accidents reports, and
-ii.... ...i_i _i
Settlement + 3 Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
90
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Elections
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including Accounts
Payable and Accounts Receivable). Official record copy at
Pnrrmtrnllpr
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Elections
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Elections
2007-1558
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Elections
2007-1346
APPLICATION DEVELOPMENT PROJECT FILES All system
design, development, implementation and planning documentation
for votinp/election software
Completion + 3 Years
HC EL
Security Destruction, see notes.
Elections
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Conies 1 Official record copv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Elections
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Elections
2007-0529
BALLOTS AND BALLOT RECEIPTS Official list showing all
candidates, ballot issues & ballot questions upon which an eligible
elector is entitled to vote at an election
Election Close + 22
Months
HC
Elections
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanldna relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Elections
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Elections
2007-0762
BILLINGS FOR SERVICE Billing and collection of monies for
services provided.
Audit Clearance
HC EL
Elections
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Elections
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Elections
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record copv at Comptroller.
Audit Clearance + 1
Year
HC EL
Elections
2007-1710
BURGLARY AND/OR VANDALISM, REPORTS OF Burglary
and/or vandalism of local government equipment and/or property &
may contain, but is not limited to, police reports, damage reports,
witness statements, insurance information, related correspondence &
Calendar Yearend + 3
Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
91
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Elections
2007-1329
CATALOGED LIST Computer listings that show all tapes,
cartridges, and/or disks holding data and/or software files for the
agency — including security backup. Information contained on the
list includes the name of the tape, cartridge or disk, what files are on
Administratively
Useful
EL
Elections
2007-0531
CHALLENGE LISTS Form furnished election board officers to be
used in making a record of all challenges.
Election Close + 22
Months
HC
Elections
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Elections
2007-1540
COMPLAINTS, ELECTION Complaints alleging violations of
voting rights in accordance with state & federal law. Includes written
complaint, complaint contact information form (listing the name,
address, phone number of complainant, subject, review notes, copies
of financial documents, copies of medical records, copies of
Election Close + 22
Months
HC
Security Destruction, see notes.
Elections
2007-1701
COMPUTER PROGRAMS, CERTIFIED VOTING SYSTEMS
Certified copies of computer programs submitted to Secretary of
State. Before any election where a mechanical voting system is to be
used county or city clerk prepares a computer program on cards, tape
or other material suitable for use with computer or counting device to
Election Close + 22
Months
HC EL
NRS 293B.130
Elections
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Elections
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTPA A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Elections
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Elections
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Elections
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
92
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Elections
2007-1345
DATA DOCUMENTATION Records created during development
or modification to automated systems, & are necessary to access,
retrieve, manipulate & interpret data. May include, but is not limited
to, information on data element dictionary, file layout, code book or
table, & other records that explain the meaning, purpose, structure,
logical relationships, & origin of data elements (sometimes known as
Life of Asset + 3
Years
HC EL
Elections
2007-0533
DECLARATIONS OF CANDIDACY Candidate's intention to
either run for office or withdraw from an election. May contain, but
is not limited to, date of declaration, name of candidate, candidate
filing forms, fair campaign practices acknowledgement form,
campaign contribution & expense forms, candidate withdrawal
forms, written challenge forms, related correspondence, & similar
Election Close + 22
Months
HC
Elections
2007-1328
ELECTION AUDIT TRAIL FILES Audit logs that are kept for
the WinEDS Tabulation system. Database is created by SQL Server
that records all transactions against election databases
3 Backup Cycles
EL
Elections
2007-1542
ELECTION COST REIMBURSEMENT RECORDS
Reimbursements to counties for costs related to cardstock for ballots
& publication of constitutional amendments & statewide measures.
Election Close + 22
Months
HC
NAC 293.200 & NRS 293B.210, NRS
293.253 &NAC 293.071
Elections
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Elections
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Elections
2007-1531
FREIGHT RECORDS Receipts of miscellaneous equipment and
surmlies received on order bv department.
Fiscal Yearend + 3
Years
HC
Security Destruction, see notes.
Elections
2007-0033
HISTORY FILES Records that document history of an agency,
department, division or other governmental body, and is usually used
as an informational source for governmental entity & public.
PERMANENT
HC EL
Elections
2007-1279
INCIDENT REPORTS Security events.
Calendar Yearend + 5
Years
HC EL
Security Destruction, see notes.
Elections
2007-1720
INVENTORY RECORDS, IT ASSETS IT inventories that are
created & maintained in accordance with policies, standards &
procedures. Includes general information on hardware and user, user-
defined fields, installed files, file information, asset information,
Until Superseded + 3
Years
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
93
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Elections
2007-0078
KEY AND KEYCARD RECORDS Documents issuance of
keycards to agency staff to enable access to agency buildings and
sites. Records may include but are not limited to key inventories, key
issue forms, key replacement records, and key disposal records.
Active + 3 Years
HC EL
Security Destruction, see notes.
Elections
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Elections
2007-0534
LISTS OF OFFICIAL CANDIDATES Lists official candidates for
an election & includes name of candidate, party affiliation (if
annlirahle"! office souoht term of office Rr similar data
PERMANENT
HC EL
Elections
2007-1008
LOG, TELEPHONE Listing or log of telephone calls received on
Derailment Voter lines & similar telephone activity reriorts.
90 Days
HC EL
Elections
2007-1727
LOGS, COMPUTER ACCESS Information relating to employee
name, date & time of access. Data also indicates employee title and
location in department. Any network connectivity and a journal used
when technical staff accesses computer.
Calendar Yearend + 3
Years
EL
Security Destruction, see notes.
Elections
2007-0537
MAPS, PRECINCT Documents the establishment, abolishment,
alteration & consolidation of election nrecincts.
Until Superseded + 4
Years
HC EL
NRS 293.205
Elections
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
rwv
3 Years
HC EL
NRS 11.190 (3)(d)
Elections
2007-1359
MICROFILM QUALITY CONTROL RECORDS Documents
that microfilm produced by or for governmental entities complies
with applicable specifications. Records in may include but are not
limited to microfilmed records lists, microfilm reel indexes, related
PERMANENT
HC
NRS 239.051(2)
Elections
2007-1301
MISSION STATEMENT Mission statement of an agency & its
divisions, sections, offices & branches listing goals & objectives of
aapnrv
Until Superseded
HC EL
Elections
2007-0541
OFFICIAL ELECTION RETURNS Documents total number of
votes cast & vote percentage per candidate (or per proposition or
nuestion"! hv nrecinct/countv
PERMANENT
HC
Elections
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Elections
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Elections
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Elections
2007-1545
PLANS, BALLOT SECURITY Submittal by county & city clerks,
& approval by Secretary of State, of plans for security of ballots.
Election Close + 22
Months
HC EL
NRS 293.3594 & NAC 293B.040 Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
94
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Elections
2007-1370
PLANS, IT CONTINGENCY contingency plan for Tabulation
environment in event of a disaster and/or relocation of election
results nrocessirm off-site
Until Superseded + 3
Years
EIC EL
Security Destruction, see notes.
Elections
2007-1543
PLANS, PROCEDURE FOR ELECTION OBSERVERS
Submittal by county clerks, & approval by Secretary of State, of
plans for accommodation of observers of election proceedings.
Election Close + 22
Months
EIC EL
NRS 293B.354
Elections
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
EIC EL
Elections
2007-0039
PROPOSED LEGISLATION RECORDS Records created for
purpose of proposing legislation. May contain, but is not limited to,
research information on proposed legislation, fiscal notes,
summaries, estimated cost reports, impact statements,
correspondence, & other information documenting the proposed
i—;„w; —
Administratively
Useful
EIC EL
Elections
2007-1240
PUBLICATIONS Newsletters, pamphlets, annual or statistical
reports, studies, leaflets and similar material produced by or for
county or any of its departments, subdivisions, or programs for
See NOTE
HC
NRS 378.150, NRS 378.150 - 378.210,
NOTE: Send 6 copies of each to Nevada State
Library and Archives - State Publications
Elections
2007-155%
PUBLICITY FILES AND PRESS RELEASES, NOT
HISTORICAL Publicity files/Dress releases issued bv coroner. This
series may contain originals or copies of press releases, publicity
files, audio and/or video recordings, informational flyers, notes,
charts, graphs, correspondence, and related documents.
Administratively
Useful
EIC EL
Elections
2007-0297
RECORDS AND REPORTS OF SAFETY COMMITTEES
Safety committees established to promote a safe work environment
for employees. Safety plans, safety & health training records, safety
committee meeting records, vulnerability assessments, Inspection
Reports, staff reports, attendance reports
Fiscal Yearend + 3
Years
EIC EL
Elections
2007-0069
RECORDS DESTRUCTION CERTIFICATES Documentation of
destruction of records in accordance with approved retention
schedules
3 Years
HC
Elections
2007-0544
RECORDS OF ELECTION BOARD OFFICERS Documents
actions of election board officers in accordance with state law &
regulation
Election Close + 22
Months
EL
Elections
2007-0070
RECORDS OF MAILINGS Documentation of mailing dates,
content of mailings, and addressees for mailing sent by local
government for various nurnoses
2 Years
HC
NVRA (National Voter Registration Act of
1993) requires us to keep mailings and records
of mailings for 2 years.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
95
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Elections
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
Elections
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Elections
2007-0547
ROSTERS OF REGISTERED VOTERS AND POLL BOOKS
Lists of eligible registered voters in precinct for a particular election,
& is used to record voting history of voters who vote in election.
Election Close + 22
Months
HC EL
Elections
2007-1544
SAMPLE BALLOTS Sample ballots for primary and general
elections.
Election Close + 22
Months
HC
Elections
2007-1245
SOFTWARE LICENSES Licensure & implementation of computer
software programs by local government. May include permitted uses,
rights & restrictions, warranty information, liability statement, &
Expiration + 6 Years
HC
Elections
2007-004 la
SPECIAL EVENT RECORDS, HISTORICAL EVENT Vendors,
participants, co-sponsors' information and participation records and
activities
PERMANENT
HC EL
Elections
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Elections
2007-0047
STRATEGIC PLAN FILES Develop and maintain the
department's mission, goals and performance measures. Activity
Renorts Performance Measures
Until Superseded + 3
Years
EL
Security Destruction, see notes.
Elections
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Elections
2007-1281
SUMMONS & SUBPOENAS Documents received by individuals
in their official capacity as local government employees, requiring
their appearance at a specified place, date and time. Summons and
subpoenas are issued by agencies granted this power under law. May
include state and federal courts, boards, commissions, offices, etc.
Documents contain a statement of authority for summons or
subpoena, reasons for required appearance, date, time and place.
Documents are signed and dated and may be delivered by mail or by
an officer of summoning institution.
Closure + 1 Year
HC
Security Destruction, see notes.
Elections
2007-1254
TECHNICAL REFERENCE FILES Non-record copies of
articles, periodicals, reports, studies, vendor catalogs, and similar
materials that are used for reference and information but are not
raihlir rprnrrk
Administratively
Useful
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
96
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Elections
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Elections
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Elections
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travel Official record rnrw at Onmritrnller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Elections
2007-0072
UNDELTVERABLE MAILING RECORDS Mailings (excluding
Mail Ballots) sent by local government that were returned as
i m deliverable
1 Year
HC EL
Elections
2007-0079
VEHICLE MAINTENANCE & REPAIR RECORDS Documents
maintenance & repairs of owned or leased vehicles. Records used to
rtrnvide maintenance Rr renair histnrv
Life of Asset + 3
Years
HC
Elections
2007-0528
VOTER REGISTRATION RECORDS Registration or
cancellation of registration of eligible voters. Includes application to
register to vote & cancellations, voter's personal information,
registration affidavits & cancellations, felony notifications,
cancellation notices from county clerk, re-registration records,
voter's history of election voted in and how ballot was cast, voter
history of changes, voter identification number.
Active + 3 Years
HC EL
42 U.S.C. NRS 293.537, NRS 293.5002, NRS
293.530, NRS 293.503, NRS 293.675, NRS
293C.525, NRS 293C.535, NAC 293.165(1)
Security Destruction, see notes.
Elections
2007-0080
WARRANTIES Manufacturer's/vendor's warranties to replace
and/or repair defective eauiriment
Expiration + 1 Year
HC
Family Services
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Family Services
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Family Services
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Family Services
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Family Services
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
97
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
2007-0304
BACKGROUND CHECK RECORDS. CPS PLACEMENT Mav
include fingerprint cards, CANS, SCOPE, CTRACK, LRMS,
NCJIS, NCIC, police reports, court dispositions, emails & similar
documents, fingerprinting/criminal correspondence, CJIS/NCJIS log,
Completion + 3 Years
EL
Security Destruction, see notes.
Family Services
BACKGROUND CHECK RECORDS. LICENSING
(ADOPTION. ICPC. FOSTER CARE. GROUP HOME) Mav
Expiration +16 years
EL
Security Destruction, see notes.
include fingerprint cards, CANS, SCOPE, CTRACK, LRMS,
NCJIS, NCIC, police reports, court dispositions, emails & similar
documents, fingerprinting/criminal correspondence, CJIS/NCJIS log,
TTKTTTV J +„ f—
Family Services
BACKGROUND CHECK RECORDS. OTHER Mav include
fingerprint cards, CANS, SCOPE, CTRACK, LRMS, NCJIS, NCIC,
police reports, court dispositions, emails & similar documents,
fingerprinting/criminal correspondence, CJIS/NCJIS log, UNITY
Completion + 16
Years
EL
Security Destruction, see notes.
Family Services
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankina rplatinnshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Family Services
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Family Services
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Countv Commissioners
Fiscal Yearend + 5
Years
HC EL
Family Services
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rpnupsts
Audit Clearance
HC
Family Services
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Family Services
2007-1195
CASE FILES. ADOPTION Document and administer the
activities concerning child custody cases involving adoption
proceedings. Includes documentation on child protective services,
law enforcement, child welfare services, court proceedings, adoption
After receipt of
adoption decree and
Verification of file
content, transfer to
TSWarla PlPTTQ
HC EL
MI
NRS Chapter 127 and NAC Chapter 127
Family Services
CASE FILES. CIVIL Civil cases to which countv is a Dartv. Mav
contain affidavits / applications, motions, orders / stipulations,
judgments, complaints / confessions, satisfactions, writs, answers,
petition for sealing, memo of cost, attorney fees / notifications,
remands, appeals/appeal bonds, court appearances/hearings,
bankruptcy notifications, transfers, court minutes, counterclaims,
certification in support, various notices/ stipulations. Official copy
maintained by District Attorney
Administratively
Useful
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
98
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
CASE FILES, FAMILY AND YOUTH SUPPORT PROGRAM
Documents administration and care given through family homemakei
and youth support programs. Includes case narrative, homemaker
referral forms, service data and statistics sheets, social services
application copies, case reporting and home visitation forms, notes
and memos, related correspondence and similar documents.
Closure + 3 Years
HC EL
NRS 432B.290, NRS 11.190(3)(d), NAC
239.165 (1)(2). HIPAA information requires
Security Destruction, see notes.
Family Services
2007-1430b
CASE FILES, NEGLECTED OR ABUSED CHILD -
CLINICAL ASSESSMENT - NO SEXUAL ABUSE
Documentation regarding clinical services and/or assessments
provided to abused or neglected children who may receive
counseling services or therapy, or are considered requiring a higher
level of care placement. Includes identifying data on child, source of
referral, reason for referral, family assessment, reporting forms
(including alleged perpetrator and possible witnesses), notification of
parent documents, summaries of contacts, case plan, criteria for
closure and documentation of services provided, psychological,
psychiatric and developmental reports, copies of school records,
copies of mental health treatment records and offense specific
reports, placement request and disclosure, placement movement
form, placement efforts form, and similar documents.
Closure + 5 Years
HC EL
NRS 11.215, NRS 629.051, NRS 432B.280,
NRS 432B.290, NAC 239.165 (1)(2) HIPAA
information requires Security Destruction, see
notes.
Family Services
2007-1430a
CASE FILES, NEGLECTED OR ABUSED CHILD -
CLINICAL ASSESSMENT - SEXUAL ABUSE Documentation
regarding clinical services and/or assessments provided to abused or
neglected children who may receive counseling services or therapy,
or are considered requiring a higher level of care placement. Includes
identifying data on child, source of referral, reason for referral,
family assessment, reporting forms (including alleged perpetrator
and possible witnesses), notification of parent documents, summaries
of contacts, case plan, criteria for closure and documentation of
services provided, psychological, psychiatric and developmental
reports, copies of school records, copies of mental health treatment
records and offense specific reports, placement request and
disclosure, placement movement form, placement efforts form, and
similar documents.
Eighteenth Birthday
of Child + 10 Years
HC EL
NRS 11.215, NRS 629.051, NRS 432B.280,
NRS 432B.290, NAC 239.165 (1)(2) HIPAA
information requires Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
99
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
2007-1716b
CASE FILES, NEGLECTED OR ABUSED CHILD -
MEDICAL ASSESSMENT - NO SEXUAL ABUSE Continous
documentation in providing services for neglected or abused children
residing on the Child Haven Campus in the following cottages:
Agassi, Alchu, Nork, Howard, Bigelow & MGM/Mirage. Includes
initial medical screening, nursing notes, physician's orders, monthly
statistical report, promise to pay letters (pharmacies), information
sheet for hospital records, placement criteria for medically fragile
children, neonatal drug-withdrawal scoring system, daily sick call
record, medical follow up at time of release, medical history for
foster placement, orientation of registered nurse, medical sign off
sheet, staff instructions (special medical issues), infant monitor event
log, SVN breathing treatments, diabetic medical information,
preparation of baby formula, seizure information and activity record
Closure + 5 Years
HC EL
NRS: 11.215, NRS629.051, NRS 432B.280,
NRS 239.165 (1)(2) HIPAA information
requires Security Destruction, see notes.
Family Services
2007-1716a
CASE FILES, NEGLECTED OR ABUSED CHILD -
MEDICAL ASSESSMENT - SEXUAL ABUSE Continous
documentation in providing services for neglected or abused children
residing on the Child Haven Campus in the following cottages:
Agassi, Alchu, Nork, Howard, Bigelow & MGM/Mirage. Includes
initial medical screening, nursing notes, physician's orders, monthly
statistical report, promise to pay letters (pharmacies), information
sheet for hospital records, placement criteria for medically fragile
children, neonatal drug-withdrawal scoring system, daily sick call
record, medical follow up at time of release, medical history for
foster placement, orientation of registered nurse, medical sign off
sheet, staff instructions (special medical issues), infant monitor event
log, SVN breathing treatments, diabetic medical information,
preparation of baby formula, seizure information and activity record
Eighteenth Birthday
of Child + 10 Years
HC EL
NRS: 11.215, NRS629.051, NRS 432B.280,
NRS 239.165 (1)(2) HIPAA information
requires Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
100
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
2007-1636
CASE FILES, NEGLECTED, ABUSED OR DELINQUENT
CHILD - CHILD FATALITY Documents case where a child died.
These files contain documentation in providing services, including
protective custody, for neglected and abused children. Includes
identifying data on child, summaries of contacts, source of referral,
case plan, reason for referral, criteria for closure, social work activity
& family assessment, documentation of services provided, Complain!
& other court documents, Psychological psychiatric & developmental
reports, referral, copies of school records, reporting forms (including
alleged perpetrator & possible witnesses), copies of health care
provider records, copies of court records, copies of mental health
records & offensive specific reports, investigation documents, Files
may also contain a copy of death certificate, notification of parent
documents, other associated documents.
Closure + 50 Years
HC EL
MI
NRS 432B.280 to NRS 432B.290, NAC
239.165 (1)(2)
Family Services
2008-1751
CASE FILES, NEGLECTED, ABUSED OR DELINQUENT
CHILD - FAMILY PRESERVATION. EVIDENCE OF
SEXUAL ABUSE Documentation in providing services for
Closure + 50 years
HC EL
NRS 432B.280 to NRS 432B.290, NRS
11.215, NAC 239.165 (1)(2) HIPAA
information requires Security Destruction, see
notes.
neglected, abused or delinquent children. The files show identifying
data on child, source of referral, reason for referral, social work
activity and family assessment. Includes application for services,
Intake Authorization (Informed Consent, Release, HIPPA Form),
referral, records/evaluations, DFS dispositional reports, data
(NCFAS A-E, NCFAS), chart checklist, progress notes/client
contact, NCFAS Family Assessment, Genogram, Case staffing
forms, optional assessment tools, timeline, sequence, and Ecomap,
treatment plan (NCFAS), discharge Forms/reports, NCFAS
Treatment Summary, client services logs, case closure forms, and
Family Services
2008-1750
CASE FILES, NEGLECTED, ABUSED OR DELINQUENT
CHILD - FAMILY PRESERVATION. NO EVIDENCE OF
SEXUAL ABUSE Documentation in providing services for
Closure + 3 Years
HC EL
NRS 432B.280 to NRS 432B.290, NRS
11.215, NAC 239.165 (1)(2) HIPAA
information requires Security Destruction, see
notes.
neglected, abused or delinquent children. The files show identifying
data on child, source of referral, reason for referral, social work
activity and family assessment. Includes application for services,
Intake Authorization (Informed Consent, Release, HIPPA Form),
referral, records/evaluations, DFS dispositional reports, data
(NCFAS A-E, NCFAS), chart checklist, progress notes/client
contact, NCFAS Family Assessment, Genogram, Case staffing
forms, optional assessment tools, timeline, sequence, and Ecomap,
treatment plan (NCFAS), discharge Forms/reports, NCFAS
Treatment Summary, client services logs, case closure forms, and
similar documents.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
101
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
2007-1431
CASE FILES, NEGLECTED, ABUSED OR DELINQUENT
CHILD - NOT PLACED IN PROTECTIVE CUSTODY AND
NOT SEXUALLY ABUSED Documents and administers case files
which have determined that a waiver of a full investigation is
required (NRS 432B.320; the child is not in need of protection (NRS
432B.370); the child needs protection but is not in immediate danger
(NRS 432B.240); or the child has been placed voluntarily by a parent
or guardian (NRS 432B.360). Includes identifying data on child,
source of referral, reason for referral, social work activity, family
assessment, initial complaint, reporting forms (including alleged
perpetrator and possible witnesses), clinical assessments,
investigation documents, copies of court records, notification of
parent documents, summaries of contacts, case plan, criteria for
closure, documentation of services provided, history files.
Closure + 3 Years
HC EL
NRS 432B.280 to NRS 432B.290, NRS
11.215, NAC 239.165 (1)(2) HIPAA
information requires Security Destruction, see
notes.
Family Services
2007-1433
CASE FILES, NEGLECTED, ABUSED OR DELINQUENT
CHILD - SEXUAL ABUSE CASES AND/OR CASES THAT
HAVE BEEN REFERRED TO A DISTRICT ATTORNEY FOR
Closure + 50 Years
HC EL
HIPAA information requires Security
Destruction, see notes.
CRIMINAL PROSECUTION Case files referred to a District
Attorney for criminal prosecution (NRS 432B.380) or documents
sexual abuse (NRS 11.215). Files contain current & continuous
documentation in providing services, including protective custody,
for neglected & abused children. May include, but is not limited to,
identifying data on child, source of referral, reason for referral, social
work activity, family assessment, initial complaint, referrals,
reporting forms (including alleged perpetrator & possible witnesses),
clinical assessments, temporary Medicaid certificates, investigation
documents, copies of court records, notification of parent documents,
summaries of contacts, case plan, criteria for closure, documentation
of services provided & historv files.
Family Services
2007-1432
CASE RECORD: NEGLECTED, ABUSED OR DELINQUENT
CHILD - PLACED IN PROTECTIVE CUSTODY AND NOT
SEXUALLY ABUSED Case files where child has been placed in
protective custody (NRS 432B.390). These files contain current &
continuous documentation in providing services, including protective
custody, for neglected, abused or delinquent children. May include,
but is not limited to, identifying data on child, source of referral,
reason for referral, social work activity, family assessment., initial
complaint, referrals, reporting forms (including alleged perpetrator &
possible witnesses), clinical assessments, temporary Medicaid
certificates, investigation documents, copies of court records,
notification of parent documents, summaries of contacts, case plan,
criteria for closure, documentation of services provided & history
Closure + 6 Years
HC EL
HIPAA information requires Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
102
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
CHILD FATALITY DATABASE Data collection regarding child
deaths to develop an understanding of causes and incidence of those
deaths, and to track auditing and compliance deadlines.
Until Superseded
EL
Family Services
CLOSED INVESTIGATION SUMMARIES Summary of all
closed allegations regarding subject minor. Document will also
include child's name, DOB, requestor information, address of legal
guardian or requestor information, investigation open and closing
dates, disposition, and caseworker's name. A release form must be
filled out and signed. Release form contains method of release,
address, contact numbers, name of child(ren) in question, AKA,
3 Months
HC
Security Destruction, see notes.
Family Services
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Family Services
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
EL
Security Destruction, see notes.
Family Services
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
EL
Family Services
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Family Services
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Family Services
COURT CALENDARS: PC 72HR, PC REVIEW, AND COURT
DOCKETS Verify, retrieve, and reference court hearing dates,
notes, disposition, and future hearing dates. Court clerks provide a
copy of relevant court calendars so that data may be entered into
UNITY by Records Unit. Official record copies maintained by
90 Days
HC
Family Services
2007-1714
ELIGIBILITY FILES, FOSTER CARE & CHILD CARE
Administers, documents and controls the determination of eligibility
and payment of benefits of Foster Care and Child Care programs.
Includes eligibility documentation and forms, budget worksheets,
approval notices, applications, referrals, related correspondence, and
3 Fiscal Years
HC EL
45 CFR 74.53, NRS 11.190(3)(d), NRS
422.290, NAC 239.165(1)(2) HIPAA
information requires Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
103
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
EMPLOYEE DISCIPLINARY ACTIONS Files are created for
each DFS employee who receives discipline; i.e., documented oral
warning, admonishment, written reprimand, final written warning, to
document disciplinary actions issued. Includes discipline document,
investigative records/findings, employee's reply, witness statements,
Pursuant to SEIU
labor agreement
HC EL
Security Destruction, see notes.
Family Services
2007-0837
EMPLOYEE LICENSES / CERTIFICATES Licenses/certificates
issued to employees by professional, educational, regulatory, or other
agencies. These types of licenses/certificates are normally
occupation specific (EMS, Peace Officer, Firefighter, Social Worker,
Nurses, Engineers & similar professions) & are usually required as a
condition of employment.
Expiration + 3 Years
HC EL
Security Destruction, see notes.
Family Services
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Family Services
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Family Services
2007-0310
FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS
Regulate the granting and monitoring of family leave under the
Federal Family and Medical Leave Act of 1993 and the State
Parental Leave Without Pay Bill. Includes Leave Requests, Medical
Fiscal Yearend + 3
Years
HC EL
29 CFR 1630.14 HIPAA information requires
Security Destruction, see notes.
Family Services
FILE INVENTORY & RECORDS MANAGEMENT
DATABASE Access database used to track files and records
received and/or duplicated by Quality Assurance and Improvement
Unit as a result of litigation and/or child fatality requests for
information and documentation. Information includes, category,
litigation name, UNITY case name and number, identification of
relevant child, file name, file type, source person, source unit, date
file was received, whether a duplicate was requested and by whom,
date duplicate provided, and relevant notes.
Until Superseded
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
104
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
FOSTER CARE RECRUITMENT AND TRAINING
RECORDS Documents recruitment efforts for identifying eligible
foster parents, as well as, data compiled regarding inquiries received,
recruitment fairs and activities in community, and foster care training
activities, materials and information. Includes orientation schedule,
training logs, advertisements and announcements, applicant lists,
inquiry packet, adoption recruitment information, Parenting Project
training schedule and contact information, foster care rates, licensing
clinic information, pre-licensing registration form, foster care and
kinship information, 6 step process, resources, frequently asked
questions, and other relevant documents.
3 Cclandar Years
HC EL
Security Destruction, see notes. HIPAA
information requires Security Destruction, see
notes. NRS 11.190 (3)(d)
Family Services
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
Expiration + 3 Fiscal
Years, OR Retention
period required by
grantor, whichever
longer
HC EL
Security Destruction, see notes. Review for
historical value
Family Services
ICPC ADMINISTRATION FILES Documents the functions of
the ICPC (Interstate Compact on the Placement of Children)
Division Office for placing children from another state into facilities,
foster homes, with relatives or non-offending parents, adoptions both
Public agency and Private agency and independent/specific
adoptions or guardianship in Nevada, or sending Nevada children to
other states as perNRS 127.330. Includes ICPC Form 100A
"Interstate Compact on the Placement of Children Request", ICPC
Form 100B", transmittal sheets, checklist, staffing notes, related
correspondence, log book, and similar documentation
Closure + 1 Year
HC EL
Family Services
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
105
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
LICENSING FILES, FOSTER CARE Administers and
documents individual / families licensed to provide foster care and
provides historical documentation of the performance of licensed
foster parents. Includes license application, home study reports,
proof of training, copies of licenses, case notes, waivers and
approvals, child protective services reports, licensing complaints,
home inspection forms, pet inoculation documentation, references,
forms, child abuse and neglect system checks, health records, TB test
results, arrest and conviction declaration, divorce decrees and
marriage license, auto and home insurance documentation,
correspondence, and other relevant documentation.
Expiration +16 Years
HC EL
Legal citations: NRS Chapter 424, NAC
Chapter 424, NAC 239.165 (1) (2) HIPAA
information requires Security Destruction, see
notes.
Family Services
LICENSING/PLACEMENT DATABASE Access database used
for purposes of documenting and tracking licensed, pending, and
closed foster care facilities. Information includes, but is not limited
to, licenses and placement availability relating to licensed foster
homes, and placement availability and resource lists.
Until Superseded
EL
Family Services
LOG, ADOPTION RETENTION To track adoption cases which
have been sanitized and sent to Nevada DCFS.
Administratively
Useful
EL
Family Services
LOG, ARCHIVED FILES Tracking files processed for archiving
through business centers.
3 years from the
disposition of the
record
EL
Family Services
LOG, BIRTH CERTIFICATES To log and track original birth
certificates and Social Security Cards received. Includes
correspondence, identity documents, immunization records, copies ol
Closure of Case
HC EL
Family Services
LOG, CERTIFIED MAIL To track Certified Mail that has been
sent out on behalf of DFS
3 Years
EL
Family Services
LOG, CLOSED CASES Log closed cases processed by the
business centers.
Until Superseded
EL
Family Services
LOG, INVESTIGATIONS Used for investigations and placements.
Includes Name of subject, Case Number, Requesting Worker, etc.
5 Years
EL
Family Services
LOG, RECORDS REQUESTS Entries showing type of request,
requestor information (Subpoenas-District Attorney, Judge, Law
enforcement, Private Attorney, Public Defender, Private Citizen, Out
of-State, In-House Microfilm, and outside agencies), date on which
information was provided, District Attorney drop off/pick up dates,
person(s) who is subject of information, delivery method to
requestor, additional notes, brief description of
information/documentation provided, and clerical information.
6 Years
HC EL
Security Destruction, see notes.
Family Services
LOG, TASK ASSIGNMENT Log of tasks completed by each
business center surmort staff.
Administratively
Useful
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
106
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
LOG, VEHICLE Log to verify checked out items are returned
Administratively
Useful
EL
Family Services
MEDICAL RECORDS, NEGLECTED OR ABUSED CHILD
Documentation in providing services for neglected or abused
children in out-of-home placement through Department of Family
Services. Includes doctor visits, dental visits, records regarding
hospital admissions for surgery and/or treatment, lab tests performed,
immunizations, physical and occupational therapy, medical
Eighteenth Birthday
of Child + 7 Years
HC EL
NRS 11.215, NRS 629.051, NRS 432B.280,
NRS 432B.290, NAC 239.165 (1)(2) HIPAA
information requires Security Destruction, see
notes.
Family Services
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Family Services
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Family Services
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Family Services
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Family Services
2007-0014
PROPERTY AND EQUIPMENT INVENTORY Documents
process of updating and recording inventory of capital assets owned
or operated by county. Copies of purchase orders, monthly property
reports, descriptions of items, manufacturer's model and serial
number, fiscal reports related to original cost, value reports,
Until Superseded + 5
Years
HC EL
Family Services
2007-1256
QUALITY ASSURANCE REVIEW AUDITS AND REPORTS
Reports run for management, administration and field practice staff
for purposes of administration and practice evaluation and change.
These records include but are not limited to data clean-up, field
performance, licensing, recruitment, retention, county presentations
and case reviews. Annual Reports - Trended data for agency
performance, Board of County Commissioners - Reports on agency
performance, Case Review - Quantitative and Qualitative reviews of
agency performance, Community Development Grants, Data Clean
Up, Hotline Reports, Child Protective Services Management, Foster
Care Management Reports, Requests for Information Database -
Tracking of data requests from agency, State Information
Management Services Reports, Media Requests - Trended data for
purposes of media requests, Information Technology Reports -
specific to suddIv inventory and business svstems
Fiscal Yearend + 3
Years
HC EL
Security Destruction, see notes.
Family Services
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snerifir, to anv nroiect or activity
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
107
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Family Services
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Family Services
2007-1280
SIGNATURE AUTHORIZATIONS FILE Used to authorize,
assign authority, and verify approval of various governmental
actions
Expiraton + 5 Fiscal
Years
HC
Security Destruction, see notes.
Family Services
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Family Services
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Family Services
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Family Services
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual errmlovee training activities
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Family Services
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Family Services
2007-1424
WORKERS' COMPENSATION FILES - AGENCY COPY
Document employee injuries and occupational illnesses. Includes
employee identifying info, accident/incident report, workers comp
claim forms, physician disability statements, notice of acceptance of
claim, payroll documentation. Official record copy at Risk
Management.
State requirement is
Three (3) calendar
years from the closure,
resolution or
cancellation of the
claim or case. Family
Services policy is to
retain until employee
HC
HIPAA information requires Security
Destruction, see notes.
Family Services
WRITS Active writs are sent to DA, court clerks, and caseworker.
Active
HC
Finance - Accounts Payable
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record conv at Comntroller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Accounts Payable
2007-1235
ACCOUNTS PAYABLE FILES Invoices presented from vendors
for services performed or goods received, supporting documentation,
billing statements, related correspondence, expense reimbursements,
copies of checks, original invoices, copies of bids and contracts,
computer generated reports, payment, computer printouts, receipts
Fiscal Yearend + 6
Years
HC EL
Security Destruction, see notes.
Finance - Accounts Payable
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
108
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Accounts Payable
2007-1558a
ACTIVITY REPORTS. MONTHLY Monthly operating,
statistical or financial renorts detailing derailment activities.
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Accounts Payable
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Conies 1 Official record conv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Accounts Payable
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Accounts Payable
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanking relatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Accounts Payable
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Finance - Accounts Payable
2007-0427
BOND PAYABLE RECORDS Bonds issued & redeemed & may
contain, but is not limited to, information on coupon number, amount
of bond, date bond issued, date of bond redemption, purpose of bond
Expiration +10 Years
HC EL
Finance - Accounts Payable
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Finance - Accounts Payable
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Finance - Accounts Payable
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record conv at Budget Office
Audit Clearance + 1
Year
HC EL
Finance - Accounts Payable
2007-0429
CHECK REGISTERS Check registers for accounts payable checks
cut to vendors
Fiscal Yearend + 6
Years
HC EL
Finance - Accounts Payable
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Accounts Payable
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Finance - Accounts Payable
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HIPAA information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Finance - Accounts Payable
2007-1230
CONYENENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintnini'il hv annthpr Hpnartmpnt
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
109
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Accounts Payable
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Finance - Accounts Payable
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Finance - Accounts Payable
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2) Transfer to Human Resources
Department for consolidation into official
Personnel Record.
Finance - Accounts Payable
2007-0450
EMPLOYMENT TAX RECORDS 1099 forms and files for
vendor ravments through Accounts Pavable.
Tax Paid + 4 Years
HC EL
Security Destruction, see notes.
Finance - Accounts Payable
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Finance - Accounts Payable
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Accounts Payable
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Accounts Payable
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - Accounts Payable
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Accounts Payable
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Finance - Accounts Payable
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Finance - Accounts Payable
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Finance - Accounts Payable
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Finance - Accounts Payable
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
110
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Accounts Payable
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
1 Year
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Accounts Payable
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Accounts Payable
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travpl Official rprnrrl rnrw at Cnmritrnllpr
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Accounts Payable
VENDOR CHANGE LOG LISTINGS To track and identify
changes made to vendor master records in SAP Accounts Payable.
Until Superseded + 1
Year
HC EL
Security Destruction, see notes.
Finance - Automotive
2007-1712b
ACCIDENT REPORTS NOT RESULTING IN LEGAL
ACTION OR DAMAGE Vehicle accidents involving departmental
personnel while on duty. Reports may contain type of accident,
narrative reports regarding facts and circumstances of accident,
witnesses, property damage, injury reports, copies of medical
treatment reports, vehicle damage reports, photos, notes, police
accidents reports, and other related documents.
3 Years
HC
Security Destruction, see notes.
Finance - Automotive
2007-1712a
ACCIDENT REPORTS RESULTING IN LEGAL ACTION OR
DAMAGE Vehicle accidents involving departmental personnel
while on duty. Reports may contain type of accident, narrative
reports regarding facts and circumstances of accident, witnesses,
property damage, injury reports, copies of medical treatment reports,
vehicle damage reports, photos, notes, police accidents reports, and
Settlement + 3 Years
HC
Security Destruction, see notes.
Finance - Automotive
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Automotive
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing derailment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Automotive
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial renorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Automotive
2007-1592
ALTERNATIVE FUEL VEHICLE RECORDS Monthly reports
to State Derailment of Conservation & Natural Resources.
3 Fiscal Years
EL
NAC 486A.180
Finance - Automotive
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Automotive
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
111
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Automotive
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Automotive
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Finance - Automotive
2007-0362
BID SPECIFICATIONS Specific terms & conditions of bidding
opportunities for soods or services with the countv.
Fiscal Yearend+ 1
Year
HC EL
Finance - Automotive
2007-0261
BIDS FOR CONTRACTS RFPs, Responses to RFPs, committee
minutes, score sheets, letters of interest, pertaining to goods or
professional services
Cancellation + 7
Years, OR Expiration
+ 7 Years
HC EL
Security Destruction, see notes.
Finance - Automotive
2007-0003
BUDGET REQUEST, ANNUAL (,Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
Finance - Automotive
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rermests
Audit Clearance
HC
Finance - Automotive
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Finance - Automotive
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Automotive
CONTRACT APPEALS (Department Copies. Official record copy
in Purchasing.) Notices of appeal and acknowledgments,
specifications, bid documents, contract copies, change orders and
amendments, exhibits, correspondence, documents received from
Administratively
Useful
HC EL
Finance - Automotive
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Finance - Automotive
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Finance - Automotive
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Automotive
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
112
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Automotive
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Finance - Automotive
2007-1290
EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES
Listings of current errmlovees
Until Superseded
EL
Security Destruction, see notes.
Finance - Automotive
EMPLOYEE PERSONAL IDENTIFICATION NUMBERS
(PINS) List of all employee PIN numbers are filed electronically by
department showing each employee and their assigned PIN number
fnr fnplino miirih; vphirlps/pnnirnnpnt
Termination + 2 Years
EL
Security Destruction, see notes.
Finance - Automotive
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - Automotive
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Finance - Automotive
2007-0310
FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS
Regulate the granting and monitoring of family leave under the
Federal Family and Medical Leave Act of 1993 and the State
Parental Leave Without Pay Bill. Includes leave requests, medical
Fiscal Yearend + 3
Years
HC EL
29 CFR 1630.14 HIPAA information requires
Security Destruction, see notes.
Finance - Automotive
2007-0440
FIXED ASSETS AND INVENTORY RECORDS Document and
administer process of updating and reconciling an inventory of fixed
assets in department's possession. May contain fixed asset
inventories, copies of purchase orders and other fiscal records,
monthly or annual property reports, copies of other property records,
memos, correspondence, inventory journals and related documents.
Until Superseded + 5
Years
HC EL
Finance - Automotive
2007-0246
FORMS, BLANK MASTER COPIES Paper and electronic format
masters for various forms.
Until Superseded
HC EL
Finance - Automotive
2007-1594
FUEL SUMMARY REPORTS Daily, weekly, or monthly fuel
disbursements. Information may include, but are not limited to, type
of fuel dispersed, pump locations, meter or stick readings, gallons
delivered, and total gallons consumed. This series may also indicate
3 Years from the date
of the report.
HC EL
Finance - Automotive
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Automotive
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Automotive
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
113
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Automotive
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Automotive
PERMITS, RED AND AMBER LIGHTS A record of any county
vehicle issued a red light/amber light permit is kept listing the
approval of each permit, the paperwork documentation to DMV for
application for each permit, and the received permits from DMV.
Expiration + 1 Year
HC
NRS 484.579, NRS 484.789
Finance - Automotive
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Finance - Automotive
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
HC EL
Finance - Automotive
2007-0073
RECORDS RETENTION SCHEDULE Listing of all record series
in legal custody of a local government, and retention established to
satisfy administrative, fiscal, legal and historical requirements for
each record series, and has been approved by those necessary within
the organization and NV State Library and Archives Administrator.
Until Superseded + 6
Years
HC EL
Finance - Automotive
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Finance - Automotive
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Finance - Automotive
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Finance - Automotive
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Finance - Automotive
2007-0368
SUPPLY INVENTORY RECORDS Supply inventories and
requests and may contain, but is not limited to, supply requests,
supply inventories, packing slips, receiving reports, copies of
delivery receipts, copies of requisitions, requisition logs, copies of
purchase orders, inventory control forms, sign out sheets,
Audit Clearance + 1
Year
HC EL
Finance - Automotive
2007-1341
SYSTEM ERROR REPORTS Reports produced to detect errors or
potential errors within a system. Files may consist of paper printouts
and/or on-line reports. Reports may run on a regular or specific basis.
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
114
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Automotive
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Automotive
2007-0877
TRAFFIC CITATIONS Citations issued by law enforcement to
drivers of public vehicles. This series usually includes date, time,
location of violation, nature of offense, drivers name, address,
occupation, state licensed, license number, vehicles license number,
state, make of vehicle, violation code, citation number, officers
name, and signature of person receiving citation.
2 Years from the date
of issuance
HC
Finance - Automotive
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Automotive
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Automotive
2007-0361
VEHCILE ASSIGNMENT RECORDS Assignment of purchased
and/or leased vehicles to an agency. May include, but is not limited
to, vehicle description, agency request forms, budget account
information, terms & conditions, correspondence & related
Until Superseded
EL
Finance - Automotive
2007-0079
VEHICLE MAINTENANCE & REPAIR RECORDS Documents
maintenance & repairs of owned or leased vehicles. Records used to
ran vide maintenance Rr renair histnrv
Life of Asset + 3
Years
HC
Finance - Automotive
VEHICLE MASTER FILES Created for every piece of equipment
purchased through automotive for various Clark County departments.
The vehicle/equipment files contain all the paperwork pertaining to
the purchase and ownership of each vehicle/equipment,
vehicle/equipment registration, and all other paperwork pertaining to
each unit right through the auction and disposition paperwork at time
of replacement and disposal.
Life of Asset + 10
Years
HC
Finance - Automotive
VEHICLE WORK ORDER TRACKING RECORDS
Information on work being done to any particular vehicle in
automotive shon
Closure
HC
Finance - Automotive
2007-1309
VENDOR CODE REQUESTS Information used to request vendor
code numbers for vendors not currently listed as providing goods or
services to county. Information may include vendor name, address,
phone number, contact name, assigned vendor number, and related
Until Superseded
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
115
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Automotive
2007-0378
VENDOR/CONTRACTOR FILES Files validating competencies
and TB results and other pertinent health information on vendors
who are present at UMC on a regular basis. Includes Contractor
Application, TB Results, Performance Evaluations, Competencies,
Licensure, Vaccine History, Peer References, Background Check
Info, Drug Screen Results, Resume
Calendar Yearend + 3
Years
HC EL
Security Destruction, see notes.
Finance - Budget Services
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Budget Services
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Budget Services
2007-1558a
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Budget Services
2007-1639
AGENDAS-OFFICIAL/FINAL Planning Commission meeting
agenda and any backup material submitted prior to or during the
meeting. This series is often included as part of the meeting minutes.
PERMANENT
EL
Finance - Budget Services
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Budget Services
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Budget Services
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Budget Services
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Finance - Budget Services
2007-0427
BOND REGISTERS AND RECORDS Listing of bonds issued &
redeemed & may contain, but is not limited to, information on
coupon number, amount of bond, date bond issued, date of bond
redemption, purpose of bond & to whom bond was issued.
Expiration +10 Years
HC EL
Finance - Budget Services
2007-0004
BUDGET REPORTS, ANNUAL Documents the final annual
financial plan for a governmental entity. Includes financial
summaries, spending plans, copy of certified final budget, budget
message, affidavit of proof of publication of notice of public hearing,
PERMANENT
HC EL
Finance - Budget Services
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of Countv Commissioners.
Fiscal Yearend + 5
Years
HC EL
MI
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
116
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Budget Services
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Finance - Budget Services
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Countv Clerk. ) Conies of adonted budgets.
Audit Clearance + 1
Year
HC EL
Finance - Budget Services
2007-0009
CAPITAL IMPROVEMENT PLAN Planning of projects for the
physical improvement or new construction of buildings, parks,
structures, warehouses, communication & utility facilities and
PERMANENT
HC EL
Finance - Budget Services
CAPITAL IMPROVEMENT PLAN REQUESTS Capital
requests by submitted by departments to Budget office to be
considered for funding
Fiscal Yearend + 2
Years
HC EL
Finance - Budget Services
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Budget Services
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record conv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Finance - Budget Services
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Finance - Budget Services
2007-0328
CONTRACTS, UNION Contractual agreements between UMC &
bargaining units, it may also be used for labor relations planning.
May contain union contracts & amendments, tentative agreements,
arbitrator's recommendations, negotiation work notes, management
counter proposals, negotiation updates, newspaper clippings, press
releases, research background material, employee classification
printouts, minutes, sound recordings, exhibits & reports of meetings,
correspondence & related records.
Expiration + 6 Fiscal
Years, OR For
period required by
contract or agreement,
whichever longer
HC
Security Destruction, see notes.
Finance - Budget Services
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Budget Services
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Finance - Budget Services
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
117
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Budget Services
2007-1665
CREDIT CARD TRAVEL PROGRAM RECORDS Documents
payment of money owed to local governmental entity by credit/debit
card or electronic transfers of money. This series may contain
records documenting type of charge, payment amount, credit/debit
card information, copies of bills, bank statements, computer
printouts, receipts, related correspondence and similar documents.
Audit Clearance
HC EL
Finance - Budget Services
2007-0008
DIRECTIVES OF MANAGER Executive orders, Bulletins and
advisories, Directives, Policy statements, Notes on policy and
nrocedures Related corresnondence Similar documents
PERMANENT
HC EL
Finance - Budget Services
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - Budget Services
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Finance - Budget Services
2007-0477
GAMING REVENUE REPORTS Documents gaming and room
tax proceeds distributed to fair and recreation boards and convention
authorities/bureaus to promote convention and tourism business.
Fiscal Yearend + 3
Years
HC EL
Finance - Budget Services
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
Expiration + 3 Fiscal
Years, OR Retention
period required by
grantor, whichever
longer
HC EL
NRS 239.110 Security Destruction, see notes.
Review for historical value
Finance - Budget Services
2007-0443
INDEBTEDNESS REPORT Itemized report submitted to
Department of Taxation documenting outstanding indebtedness of
mnntv
3 Fiscal Years
HC EL
Finance - Budget Services
2007-0012
LABOR NEGOTIATION RECORDS Negotiations between
governing body or governing body's representative & employee
representatives. May include contracts, reports, negotiation notes,
letters of agreement, arbitration findings, cost analyses, minutes,
audio/video recordings, related correspondence & similar records.
PERMANENT
HC EL
Finance - Budget Services
2007-0409
LEASES Leases, subleases, assignments of leases, and memoranda
of leases for property or equipment which county leases. Series
usually shows name and addresses of lesser and lessee, description
of property or equipment, rent or lease cost, purpose for which
property may be used, conditions or terms, renewal documents,
memorandums, supporting documentation, related correspondence,
- .. -1 -1 i-
Expiration + 6 Years,
See NOTE
HC
NOTE: Budget Office was responsible for
County leases. As of July 2006, leases are now
handled by Real Property Management.
Current files were transferred to RPM at that
time. Existing files are closed leases and
correspondence.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
118
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Budget Services
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Budget Services
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
PERMANENT
HC EL
Finance - Budget Services
2007-0034
LEGISLATIVE RELATIONS RECORDS Used to review and/or
plan a local government's position on impacting legislative actions.
This series may include bill review and tracking forms, opinion
requests, bill tracking reports, copies of pending or approved
legislation, notes, memorandum, related correspondence and similar
documentation. Information in this series may also be used in
lobbying efforts and recommending legislative changes.
Administratively
Useful
EL
Finance - Budget Services
2007-1659
LOBBYIST FORM Document lobbyist and lobbyist employer
activities. This series may include expenditure reports, registration
statements, supplementary registration statements, termination
records, guidelines, related correspondence and similar documents.
5 Years
HC
Finance - Budget Services
2007-1008
LOG, TELEPHONE Listing or log of telephone calls received on
Denartment Voter lines & similar telenhone activity renorts.
90 Days
HC EL
Finance - Budget Services
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Budget Services
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - Budget Services
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Budget Services
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor nurchases bv staff for the benefit of denartment.
Audit Clearance
HC
NRS 354.624
Finance - Budget Services
2007-0323
POSITION REPORTS Information on staffing levels, vacancies,
and filled nositions.
2 Years
HC
Finance - Budget Services
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Records of all displays, items for storage, collections, and artifacts.
May include original donation or purchase information, valuation,
histnrv nf itpm
Until Superseded + 5
Fiscal Years
HC EL
Finance - Budget Services
2007-0015
QUARTERLY ECONOMIC SURVEY Statement of receipts and
expenditures of three months next preceding, and accounts allowed.
This series may include financial reports, expenditure summary,
copy of newspaper in which report was published, and related
Fiscal Yearend + 3
Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
119
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Budget Services
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Finance - Budget Services
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superceded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Finance - Budget Services
2007-1514
REVENUE PROJECTION REPORTS Revenue projection from
Nevada Taxation Department for local governments. This record
series documents receipt and administration of revenue sharing
funds. Records may include affidavits of publication, claim reports,
project records, revenue and expenditure summaries, status reports,
audit reports, supporting documentation and related records.
Fiscal Yearend + 6
Years
HC
Finance - Budget Services
2007-004 la
SPECIAL EVENT RECORDS, HISTORICAL EVENT Vendors,
participants, co-sponsors' information and participation records and
activities
PERMANENT
FIC EL
Finance - Budget Services
2007-0041b
SPECIAL EVENT RECORDS, NOT HISTORICAL EVENT
Vendors, participants, co-sponsors' information and participation
records and activities
Fiscal Yearend + 2
Years
EIC EL
Finance - Budget Services
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
Finance - Budget Services
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Finance - Budget Services
2007-0368
SUPPLY MANAGEMENT RECORDS Supply inventories &
requests & may contain supply requests, supply inventories, packing
slips, receiving reports, copies of delivery receipts, copies of
requisitions, requisition log, copies of purchase orders, inventory
control forms, sign-out sheets, correspondence & related documents.
Audit Clearance + 1
Year
HC EL
Finance - Budget Services
2007-0083
TAX RATES Official record of assessments on all properties in
countv.
PERMANENT
HC EL
Finance - Budget Services
2007-1254
TECHNICAL REFERENCE FILES Non-record copies of
articles, periodicals, reports, studies, vendor catalogs, and similar
materials that are used for reference and information but are not
Administratively
Useful
HC EL
Finance - Budget Services
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Budget Services
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A inWmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
120
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Budget Services
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller ) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Budget Services
2007-0047
VOLUNTARY SEPARATION PROGRAM (STRATEGIC
REALIGNMENT PROGRAM) Documents detailed plans
(methods) for accomplishing program goals. Includes department
summaries, departmental requests, spreadsheets, supporting
Until Superseded + 3
Years
HC EL
Finance - Central Services
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Central Services
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Central Services
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial renorts detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Central Services
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Central Services
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Central Services
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Central Services
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Finance - Central Services
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Countv Commissioners
Fiscal Yearend + 5
Years
HC EL
Finance - Central Services
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Finance - Central Services
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Finance - Central Services
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
121
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Central Services
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record conv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Finance - Central Services
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Finance - Central Services
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Central Services
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nrhipvpm frits
PERMANENT
FIC EL
Finance - Central Services
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
EIC EL
Finance - Central Services
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - Central Services
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Finance - Central Services
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Central Services
2001-0036
MAIL DELIVERY CONFIRMATIONS Track and verify
Accountable mail delivery and receirit.
3 Years
EL
Finance - Central Services
MAIL SERVICES REQUEST Track and verify departmental
mailing reauests.
1 Year
HC EL
Finance - Central Services
2004-0283
MAILING STATEMENTS Track and verify mailings from
postage accounts, business reply mail accounts, USPS, UPS and
FedEx
3 Years
HC
Finance - Central Services
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Central Services
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - Central Services
2006-0295
PACKING SLIPS Used to verify receipt of materials ordered from
vendors.
3 Years
HC
Finance - Central Services
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Central Services
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
122
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Central Services
PRINT SERVICES REQUESTS Requests sent from departments
reauesting printing service.
3 Years
HC EL
Finance - Central Services
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
specific to anv proiect or activity
Administratively
Useful
HC
Finance - Central Services
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
FIC EL
NRS 11.190 (l)(b)
Finance - Central Services
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
Finance - Central Services
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Finance - Central Services
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Central Services
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Central Services
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Civil Bureau
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including Accounts
Payable and Accounts Receivable). Official record copy at
Pnmntrnllpr
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Civil Bureau
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Civil Bureau
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing department activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Civil Bureau
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
Conies 1 Official record copv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Civil Bureau
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Civil Bureau
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankino relationship
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Civil Bureau
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
123
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Civil Bureau
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Finance - Civil Bureau
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Finance - Civil Bureau
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at Corrmtroller.
Audit Clearance + 1
Year
HC EL
Finance - Civil Bureau
2007-1403
CASE FILES, VICTIM ASSISTANCE Documentation of
assistance efforts provided to crime victims by governmental
agencies. This series may include duplicates of police reports and
court documents as well as attorneys notes, interview notes,
correspondence, and victim assistance referrals. In addition, file may
contain victim's personal information, hearing notices, victim's
impact statement, restitution statements, copies of medical reports,
crime compensation application, restitution payment records, written
notification requests, copies of protection orders, records
documenting state action, and additional supporting documentation.
Disposition + 3 Years
HC
Security Destruction, see notes.
Finance - Civil Bureau
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Civil Bureau
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Finance - Civil Bureau
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTP A A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Finance - Civil Bureau
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Civil Bureau
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Finance - Civil Bureau
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Finance - Civil Bureau
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
124
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Civil Bureau
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Finance - Civil Bureau
2007-1247
GARNISHMENTS Documentation of requests and court orders
served on the local government to withhold the wages of employees
for garnishments, tax levies, support payments and other reasons.
Closure + 6 Years
HC
Security Destruction, see notes.
Finance - Civil Bureau
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Civil Bureau
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Civil Bureau
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - Civil Bureau
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Civil Bureau
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Finance - Civil Bureau
2007-0852
PROCESSES, CIVIL CASES {Department Copies. Originals are
returned to issuing Court for retention and disposition. ) Documents
writs, orders, notices, and other civil process issued by a court or
other legally authorized agency or individual to be executed, posted,
or published by law enforcement. Includes Summons, Complaints,
Joint Preliminary Injunctions, Declarations, Notices, Motions,
Petitions, Injunctions, Mechanic Liens, Subpoenas, Notice of
Attachment, Notice of Execution, Notice of Hearing, Answers,
Affidavit Claiming Exemption, Letters, Liens, Conditional Lock and
Seal, Affidavit of Small Claims (With Order Waiving Fees), Third
Party Claim.
1 Year
HC
Security Destruction, see notes.
Finance - Civil Bureau
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
Finance - Civil Bureau
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Finance - Civil Bureau
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
125
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Civil Bureau
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Finance - Civil Bureau
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Civil Bureau
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Civil Bureau
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travel Official record ronv at Comritroller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Civil Bureau
2007-0882
WARRANTS (Department Copies. Originals are returned to
issuing Court for retention and disposition. ) Written orders of the
court. This series may include informational documents related to
wanted person, teletypes, subpoena or summons, and other records
relevant to service of warrants. Warrant information usually includes
date, court, judge's name, individual's name and date of birth, charge,
and related information.
Served, executed,
recalled, or cancelled
by court
HC
Security Destruction, see notes.
Finance - Civil Bureau
2007-0169
WRITS Writs issued from a court or other legally authorized agency
or individual. This series may contain, but is not limited to, writs,
notices, orders, and similar documents, proof of service, proof of
publication, proof of execution, date received, date served, by whom
served, how served, date returned, title and number of case, recipient
information, correspondence, and related documents. Includes Writ
of Execution, Writ of Possession, Writ of Restitution, Writ of
Active + 3 Years
HC
Security Destruction, see notes.
Finance - Community
Resources
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Community
Resources
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Community
Resources
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Community
Resources
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Community
Resources
2007-1272
APPLICATIONS AND RESUMES. NOT HIRED Applications
and/or resumes submitted by individuals seeking employment,
transfer or nromotion who were not hired
Closure + 2 Years
HC
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
126
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Community
Resources
2007-1292
APPLICATIONS AND RESUMES, UNSOLICITED
Applications or resumes received for which no position has been
announced
6 Months
EIC EL
Security Destruction, see notes.
Finance - Community
Resources
2007-0303
APPLICATIONS AND RESUMES-HIRED Applications and/or
resumes submitted to agencies by individuals seeking employment,
transfer nmrnmntinn
Transfer to Master
Personnel File
HC
Finance - Community
Resources
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Community
Resources
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
EIC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Community
Resources
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
EIC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Finance - Community
Resources
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.nnntv Commissioners
Fiscal Yearend + 5
Years
EIC EL
Finance - Community
Resources
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Finance - Community
Resources
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
EIC EL
Finance - Community
Resources
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
EIC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Community
Resources
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Finance - Community
Resources
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Finance - Community
Resources
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Community
Resources
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Finance - Community
Resources
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
127
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Community
Resources
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - Community
Resources
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Finance - Community
Resources
2007-0059
GRANT FISCAL RECORDS Documents the awarding of funds
from federal government, state government, private organizations,
private benefactors, and similar sources. Accounting reports,
expenditure reports, audit reports, monitoring reports, copies of
purchase orders, warrants, warrant registers, vouchers.
Submission of final
expenditure report + 3
Fiscal Years, OR
Granting authority
requirement,
—T— i
HC EL
Finance - Community
Resources
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
Expiration + 3 Fiscal
Years, OR Retention
period required by
grantor, whichever
longer
HC EL
Security Destruction, see notes. Review for
historical value
Finance - Community
Resources
2007-0716
GRANT RECORDS, FEDERAL - REAL PROPERTY AND
EQUIPMENT Document real property and equipment purchased
with funds from federal grants. Includes equipment records
(purchase documentation, user manuals, property ID documentation,
etc.), disposition records (sales, transfers or discarding records).
Life of Asset + 3
Fiscal Years OR
Granting authority
requirement,
whichever longer.
HC
Review for historical value
Finance - Community
Resources
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Community
Resources
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
PERMANENT
HC EL
Finance - Community
Resources
2007-0063
MAILING AND DISTRIBUTION LISTS Lists of names and
addresses compiled for various mailings, such as billings,
notifications, community outreach, and other administrative
purposes. Media Telephone Directory (contact information for the
Calendar Yearend + 1
Year
HC EL
Finance - Community
Resources
2007-0109
MEETING RECORDINGS Recordings of proceedings of
regularly scheduled, special, and emergency meetings and may also
be used to transcribe, verify and correct minutes of public meetings.
Written minutes may be taken from these recordings, transcribed,
corrected as needed, and presented to meeting body for approval.
Transcription + 1
Year
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
128
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Community
Resources
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
FIC EL
NRS 11.190 (3)(d)
Finance - Community
Resources
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
EIC EL
Finance - Community
Resources
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Community
Resources
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Finance - Community
Resources
2007-1532
POSTAL TRACKING RECORDS Documents transactions with
US Postal Service, Fedex, etc., concerning letter and parcel post-type
nostal services
Fiscal Yearend + 3
Years
HC
Finance - Community
Resources
2007-014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. May contain copies
of purchase orders, monthly property reports, descriptions of items,
manufacture's model and serial number, fiscal reports related to
original cost, value, commodity codes, memos, correspondence and
Until Superseded + 5
Fiscal Years
EIC EL
Finance - Community
Resources
2007-0070
RECORDS OF MAILINGS Documentation of mailing dates,
content of mailings, and addressees for mailing sent by local
(jovernment for various nnrnoses
1 Year
HC
Finance - Community
Resources
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snerifir to anv nroiert or activity
Administratively
Useful
HC
Finance - Community
Resources
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Finance - Community
Resources
2007-1242
SPECIAL BOARDS, COMMISSIONS, COUNCILS,
COMMITTEES, OFFICES AND TASK FORCE RECORDS
Document governmental administration, activities, and history of
specially organized committees, boards, councils, offices and task
forces. These entities are usually organized or appointed to address
specific problems or situations, and not intended to carry on activity
beyond a final report or activity. The purpose of these special entities
may involve advising, investigating, planning, recommending,
compiling, summarizing and similar activities.
PERMANENT OR
See NOTE
HC EL
NOTE: Retain records for a minimum period
of 5 calendar years from meeting date AND
transfer to one of the facilities described in
NAC 239.850 (l)(b).
Finance - Community
Resources
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
129
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Community
Resources
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Finance - Community
Resources
2007-1254
TECHNICAL REFERENCE FILES Non-record copies of
articles, periodicals, reports, studies, vendor catalogs, and similar
materials that are used for reference and information but are not
Administratively
Useful
HC EL
Finance - Community
Resources
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
FIC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Community
Resources
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
EIC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Community
Resources
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
rpmrrk rplatprl to pmnlnvm travpl
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Community
Resources
2007-0080
WARRANTIES Manufacturer's/vendor's warranties to replace
and/or repair defective equipment.
Expiration + 1 Year
HC
Finance - Comptroller
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Comptroller
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Comptroller
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Comptroller
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Comptroller
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Comptroller
2007-1280
AUTHORIZED SIGNATURE FORMS - FISCAL DIRECTIVE
13 ATTACHMENT A Authorize, assign authority, and verify
approval of various governmental actions. The files contain
authorization date, employee name, employee position, signature
sample, and the signature and name of the person approving
Fiscal Yearend + 5
Years
HC
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
Finance - Comptroller
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Comptroller
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
130
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Comptroller
2007-0427
BOND REGISTERS AND RECORDS Listing of bonds issued &
redeemed & may contain, but is not limited to, information on
coupon number, amount of bond, date bond issued, date of bond
redemption, purpose of bond & to whom bond was issued.
Expiration +10 Years
HC EL
Finance - Comptroller
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Conntv Commissioners
Fiscal Yearend + 5
Years
HC EL
Finance - Comptroller
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Finance - Comptroller
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Finance - Comptroller
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Comptroller
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Finance - Comptroller
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Finance - Comptroller
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Comptroller
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Finance - Comptroller
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mimoses
Administratively
Useful
HC EL
Finance - Comptroller
2007-0058
EMPLOYEE PERSONNEL FILES {Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - Comptroller
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
131
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Comptroller
2007-0016
FINANCIAL REPORTS, ANNUAL Documents annual financial
condition of county. May contain revenue statements, expenditure
statements, statements of proposed expenditures, fund balance
reports, cash balance reports, components of assessed value, debt
schedules, various forms, & other information that the Committee on
Local Government Finance determines to be appropriate for
determining the financial status of a local government.
3 Fiscal Years after
report submitted to
NV Department of
Taxation AND
Summary report
published in general
circulation newspaper
EL
Security Destruction, see notes.
Finance - Comptroller
2007-0442
GENERAL LEDGER Series of financial ledgers providing a final
year to date summary of accounting data and a permanent audit trail
for all fiscal receipts and disbursement transactions affecting local
government funds and accounts, including expenditures and receipts
from all revenue sources, both public and private.
PERMANENT
HC EL
Finance - Comptroller
2007-0059
GRANT FISCAL RECORDS Documents the awarding of funds
from federal government, state government, private organizations,
private benefactors, and similar sources. Accounting reports,
expenditure reports, audit reports, monitoring reports, copies of
purchase orders, warrants, warrant registers, vouchers.
Submission of final
expenditure report + 3
Fiscal Years, OR
Granting authority
requirement,
—T— i
HC EL
Finance - Comptroller
2007-0443
INDEBTEDNESS REPORT, ANNUAL Report submitted to
Department of Taxation documenting outstanding indebtedness of a
governmental entity.
Submission to NV
Department of
Taxation + 3 Fiscal
VpaT«
HC EL
Finance - Comptroller
2007-0446
JOURNAL ENTRIES Detailing accounts to be charged and
credited. Used to make fund transfers, adjustments, and corrections
to accounting records. Includes information on account number,
amount debited, amount credited, account description, and reason for
Fiscal Yearend + 6
Years
HC EL
Finance - Comptroller
JOURNAL ENTRIES. BONDS Detailina accounts to be charaed
and credited. Used to make fund transfers, adjustments, and
corrections to accounting records. Includes information on account
number, amount debited, amount credited, account description, and
Expiration +10 Years
HC EL
Finance - Comptroller
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Comptroller
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Comptroller
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
132
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Comptroller
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
FY + 3 Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Comptroller
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Finance - Comptroller
2007-0014
PROPERTY AND EQUIPMENT INVENTORY Documents
process of updating and recording inventory of capital assets owned
or operated by county. Copies of purchase orders, monthly property
reports, descriptions of items, manufacturer's model and serial
number, fiscal reports related to original cost, value reports,
Until Superseded + 5
Years
HC EL
Finance - Comptroller
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Finance - Comptroller
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Finance - Comptroller
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Finance - Comptroller
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Finance - Comptroller
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Comptroller
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Comptroller
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Comptroller
2007-1318
TRIAL BALANCE REPORTS Detailed listing of accounting
transactions and may be used in balancing the General Ledger.
Includes information on dates, account numbers, names, transaction
codes, fund balances, bank accounts, balance sheets, income
statements, month to date balances, year to date balances, and similar
Audit Clearance
HC EL
Finance - Comptroller
2007-0464
UNCLAIMED PROPERTY RECORDS Documents the reporting
by holders of abandoned accounts in accordance with NRS Chapter
120A. Various completed forms, reports required by State Treasurer,
supportive documentation, associated correspondence
Transfer to NV State
Treasurer + 7 Years
HC EL
NRS 120A.145, NRS 120A. 560, NRS
120S.700 Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
133
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Detention Services
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including Accounts
Payable and Accounts Receivable). Official record copy at
Pnrrmtrnllpr
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Detention Services
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Detention Services
2007-1558
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Detention Services
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Copies) Official record copy at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Detention Services
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Detention Services
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
bankirm relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Detention Services
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Finance - Detention Services
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clprk
Fiscal Yearend + 5
Years
HC EL
Finance - Detention Services
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Finance - Detention Services
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record copy at Comptroller.
Audit Clearance + 1
Year
HC EL
Finance - Detention Services
2007-0568
BUILDING PLANS (Department Copies. Official record copy at
Real Property Management.) Copies of building plans for court
expansion. It may include blueprints, engineering drawings,
specifications, photographs, maps and drawings for related
Administratively
Useful
HC EL
Security Destruction, see notes.
Finance - Detention Services
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Detention Services
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
134
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Detention Services
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTP A A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Finance - Detention Services
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rpcnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Detention Services
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nrhipvprn frits
PERMANENT
HC EL
Finance - Detention Services
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Finance - Detention Services
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - Detention Services
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Finance - Detention Services
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Ppsniirrps
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Detention Services
2007-0648
MAPS AND PLANS OF WATER SYSTEMS Maps, plans,
blueprints, and similar records. This series is useful for locating fire
hydrants, water mains, connections, valve locations and other water
Until Superseded
HC EL
Security Destruction, see notes.
Finance - Detention Services
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Detention Services
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - Detention Services
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Detention Services
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Finance - Detention Services
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
135
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Detention Services
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Finance - Detention Services
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinas and nthpr internal mpptinas
1 Year
HC EL
Finance - Detention Services
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Finance - Detention Services
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Detention Services
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Detention Services
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travpl Official rprnrd rnrw at Cnmntrnllpr
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Finance 3412
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including Accounts
Payable and Accounts Receivable). Official record copy at
Pnrrmtrnllpr
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Finance 3412
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Finance 3412
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Finance 3412
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
Conies i Official record copv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Finance 3412
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Finance 3412
2007-5
AUDIT REPORTS Audits/studies performed by various outside
parties regarding feasibility and/or financial viability of department,
includes fpasihilitv studips audit findings etc.
PERMANENT
HC EL
Finance - Finance 3412
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Finance 3412
2007-0050
BID RECORDS (Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
136
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Finance 3412
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Finance - Finance 3412
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Finance - Finance 3412
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at Corrmtroller.
Audit Clearance + 1
Year
HC EL
Finance - Finance 3412
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Finance 3412
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Finance - Finance 3412
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTP A A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Finance - Finance 3412
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Finance 3412
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Finance - Finance 3412
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mimoses
Administratively
Useful
HC EL
Finance - Finance 3412
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - Finance 3412
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Finance - Finance 3412
2007-0012
LABOR NEGOTIATION RECORDS Negotiations between
governing body or governing body's representative & employee
representatives. May include contracts, reports, negotiation notes,
letters of agreement, arbitration findings, cost analyses, minutes,
audio/video recordings, related correspondence & similar records.
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
137
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Finance 3412
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Finance 3412
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Finance 3412
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - Finance 3412
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Finance 3412
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Finance - Finance 3412
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
HC EL
Finance - Finance 3412
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snerifir to anv rirniert or activity
Administratively
Useful
HC
Finance - Finance 3412
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Finance - Finance 3412
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Finance - Finance 3412
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Finance - Finance 3412
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
{Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Finance 3412
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Finance 3412
2007-1258
TRAVEL RECORDS {Department Copies) Requests,
authorizations, reimbursements, and other records related to
emnlovee travel Official record conv at Comntroller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
138
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Personnel / Payroll
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Personnel / Payroll
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Personnel / Payroll
2007-1558a
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Personnel / Payroll
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Personnel / Payroll
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Personnel / Payroll
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
bankirm relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Personnel / Payroll
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Finance - Personnel / Payroll
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.nnntv Cnmmissinnprs
Fiscal Yearend + 5
Years
HC EL
Finance - Personnel / Payroll
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Finance - Personnel / Payroll
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Finance - Personnel / Payroll
2007-0311
CASE FILES, EMPLOYEE GRIEVANCES Grievances or
complaints filed by current employees, terminated employees,
applicants, or private citizens regarding employment practices. May
include, but is not limited to, complaints, investigation reports,
interview documentation, witness statements, background
information, supporting papers, summary of action taken,
audio/video recordings, related correspondence, & summary of
Settlement + 3 Years
HC EL
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
139
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Personnel / Payroll
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record conv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Finance - Personnel / Payroll
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Personnel / Payroll
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
EIC EL
Finance - Personnel / Payroll
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
EIC EL
Finance - Personnel / Payroll
2007-1259
DIRECT DEPOSIT AUTHORIZATIONS Documents
authorizations to deposit employee payroll earnings into employee
bank accounts through direct deposit.
Termination,
cancellation or change
of authorization + 3
Years
HC
29 CFR 516.5, NRS 11.190 (3)(d), NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Personnel / Payroll
2007-1298
DISCIPLINARY ACTION RECORDS Document employee
disciplinary actions, including any appealed to a hearings officer or
hearings board involving suspension, demotion, termination,
involuntary transfers and/or whistleblower complaints.
Settlement + 3 Years
HC EL
MI
NRS 281.645 Security Destruction, see notes.
Finance - Personnel / Payroll
2007-1296
DONATED LEAVE PROGRAM RECORDS Documents the
receipt and donation of leave for medical emergencies. Includes
leave donation forms, recipient applications, agency approvals or
denials, medical or physician certifications, leave donation records,
leave transfer records, payroll notification records, payroll reports,
copies of time and attendance sheets, leave program termination
records, correspondence and related documents.
Fiscal Yearend + 3
Years
HC EL
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-032 la
EMPLOYEE MASTER PERSONNEL FILES,
DOCUMENTING EMPLOYMENT HISTORY Records which
document employment history, including, but not limited to, salary
ViiQtnrv Rt Innopvitv Hnnimpnts nlnQQifinntinn Rr Qnlnrv rprnrrls ptr
Termination +30
Years
HC MI
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
140
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Personnel / Payroll
2007-0321b
EMPLOYEE MASTER PERSONNEL FILES, OTHER Records
which DO NOT document employment history, including job
applications, credential files, background checks, notice of
appointment documents, personnel transaction records, payroll
withholding information, leave summary records, employee
development documents, employee performance documents, training
documents, disciplinary actions, copies of licenses or certificates,
exit interview records, computer printouts, personnel action forms,
correspondence & similar documents related to an individual's
Termination + 3 Years
HC
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - Personnel / Payroll
2007-0450
EMPLOYMENT TAX RECORDS Report collection, distribution,
deposit, and transmittal of federal income taxes. Records may
include 1099's, W-2's), W-9's, employers' quarterly federal tax
return (941, 941E), tax deposit coupon (8109), & similar completed
Tax year in which
taxes are due + 4
Years, OR date tax
paid + 4 Years,
HC EL
Finance - Personnel / Payroll
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Finance - Personnel / Payroll
2007-0310
FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS
Regulate the granting and monitoring of family leave under the
Federal Family and Medical Leave Act of 1993 and the State
Parental Leave Without Pay Bill. Includes Leave Requests, Medical
Fiscal Yearend + 3
Years
HC EL
29 CFR 1630.14 HIPAA information requires
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-1247
GARNISHMENTS Documentation of requests and court orders
served on local government to withhold wages of employees for
garnishments, tax levies, support payments and other reasons.
Fiscal Yearend + 6
Years
HC
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-0329
1-9 FORMS, COMPLETED Document verification of employment
eligibility in accordance with Immigration Reform and Control Act
of 1986 as found in. May contain US Department of Justice
Immigration and Naturalization form 1-9, passport and/ or other
3 Years, OR
Termination + 1 Year,
whichever later
HC
USC Title 8 section 1324a Security
Destruction, see notes.
Finance - Personnel / Payroll
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Personnel / Payroll
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rinrkptQ
3 Years
HC EL
NRS 11.190 (3)(d)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
141
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Personnel / Payroll
2007-1445
NEVADA UNEMPLOYMENT INSURANCE RECORDS
Documents compliance with Unemployment Compensation Law and
regulations adopted by Employment Security Division of Department
nf Frrmlnvmpnt Trainiricr anrl T?phnhilitntinn
Calendar Yearend + 4
Years
HC EL
NRS Chapter 612 Security Destruction, see
notes.
Finance - Personnel / Payroll
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - Personnel / Payroll
2007-0318
PAY RESOLUTIONS FOR MANAGEMENT AND
CLASSIFIED EMPLOYEES Documents the determination of
compensation for management and classified employees. Includes
salary surveys, job evaluations, compensation schedules,
3 years from the date of
the record.
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Finance - Personnel / Payroll
2007-1686a
PAYROLL DEDUCTION INPUT DOCUMENTS Document and
administer deductions to employee's payroll. Includes all forms used
to input information into system for a payroll deduction, including
authorization forms for deductions, including garnishments, tax
levies, child support orders, education garnishment, bankruptcy
orders, auxiliary deductions, accounts receivable reductions, deferred
compensation loans.
Cancellation, Until
Superseded, or
Termination, as
applicable + 3 Fiscal
Years
HC
29 CFR 516 (c), NRS 239B.030, NRS
205.4617, NRS 11.190 (3)(d), NAC 239.165
(1)(2) Security Destruction, see notes.
Finance - Personnel / Payroll
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Personnel / Payroll
2007-045 lb
PAYROLL REGISTERS OR REPORTS. NON YEAR END
Documents pay and benefits earned by UMC employees, including
Deduction Registers, Payroll Register, Leave Status Reports, Check
Reconciliation Register, Processing Status, Direct Deposit Register,
Fiscal Yearend + 6
Years
HC EL
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-045 la
PAYROLL REGISTERS OR REPORTS. YEAR END
Documents pay and benefits earned by UMC employees, including
Deduction Registers, Payroll Register, Leave Status Reports, Check
Reconciliation Register, Processing Status, Direct Deposit Register,
Calendar Yearend +
60 Years
HC EL
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-0066
PAYROLL REPORTS / PRINTOUTS (OFFICE COPIES)
Documents and verifies staff payroll activities. Includes copies of
internal computer printouts, longevity documents, time and
attendance reports, time sheets, leave forms, ledgers, payroll
deduction forms and related documents, audits, emails, OBRA
1 Fiscal Yearend
HC EL
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-1297b
PERSONNEL FILES, TEMPORARY AND SEASONAL
EMPLOYEES, EMPLOYED LESS THAN 1 YEAR Documents
employment history of temporary and seasonal employees. These
employees are usually hired to perform specific tasks or projects, and
length of employment is usually for a limited duration.
Termination + 3 Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
142
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Personnel / Payroll
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Finance - Personnel / Payroll
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
Finance - Personnel / Payroll
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
FIC EL
NRS 11.190 (l)(b)
Finance - Personnel / Payroll
2007-0455
RETIREMENT AND DEDUCTION REPORTS, PUBLIC
EMPLOYEES RETIREMENT SYSTEM (PERS) Documents
deductions and payments made towards employee retirement benefits
to Public Employees Retirement System (PERS). Includes retirement
contributions reports, employer paid contribution reports, copies of
payroll deduction forms, deduction input documents, employer
subsidiary transaction listings, monthly reports, transmittals, forms,
correspondence, and related documents.
Fiscal Yearend + 6
Years
EIC EL
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-0326
SALARY ACTIONS Documents actions which effect an
individual's pay, grade or classification.
3 Years
EIC EL
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-1280
SIGNATURE AUTHORIZATIONS FILE Used to authorize,
assign authority, and verify approval of various governmental
actions
Expiration + 5 Fiscal
Years
HC
Security Destruction, see notes.
Finance - Personnel / Payroll
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
Finance - Personnel / Payroll
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Finance - Personnel / Payroll
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Personnel / Payroll
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Personnel / Payroll
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Purchasing
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Rprpivnhlp"!
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
143
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Purchasing
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing department activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Purchasing
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Purchasing
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Purchasing
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Purchasing
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanking relationship
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Purchasing
2007-0261
BID RECORDS Publicizing, evaluation, & awarding of quoted
bids to vendors & other individuals or organizations, & provides
recorded evidence of accepted & rejected bids. May include requests
to bid, requests for proposals (RFP), bid exemption documents, bid
specifications, bid estimates, bid & quote lists, notices of bid
opening & award, comparison summaries, spreadsheets, tabulation
worksheets, bid advertising records, tally sheets, bid registers, related
correspondence, & similar records.
Execution of Contract
+ 7 Years
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes.
Finance - Purchasing
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.oimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
Finance - Purchasing
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Finance - Purchasing
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Finance - Purchasing
2007-1521
CERTIFIED PAYROLL REPORTS, CONTRACTOR Reports
from contractors & subcontractors of public works projects
documenting compliance with NV law & regulation. May include
certified payroll reports, compliance statements, investigative
reports, verifications, nonperformance payroll reports, applicable
forms, related correspondence, & similar documents.
Settlement + 3 Years
HC EL
NRS 338.010 to 338.090 & NAC 338.005 to
338.125, NRS 338.070 Security Destruction,
see notes.
Finance - Purchasing
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
144
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Purchasing
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record conv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Finance - Purchasing
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Finance - Purchasing
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Purchasing
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnhipvprnpntQ
PERMANENT
HC EL
Finance - Purchasing
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Finance - Purchasing
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - Purchasing
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Finance - Purchasing
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Purchasing
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Purchasing
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - Purchasing
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Purchasing
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Finance - Purchasing
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
145
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Purchasing
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Finance - Purchasing
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Finance - Purchasing
2007-0371
REQUISITIONS & PURCHASE ORDERS Documents request
and purchase of goods and services. This series may include
requisition forms, supply orders, orders from stock, purchase orders,
purchase order log books, records documenting voided or cancelled
purchase orders, cost specifications, authorizations, vendor
information, shipping instructions, unit of issue, description of
goods/services ordered, unit price, extended price, blanket orders,
running orders, purchasing agent signature, billing and budget
account information, correspondence and related records.
Audit Clearance + 1
Year
FIC EL
Security Destruction, see notes.
Finance - Purchasing
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
Finance - Purchasing
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Finance - Purchasing
2007-0368
SUPPLY MANAGEMENT RECORDS Supply inventories &
requests & may contain supply requests, supply inventories, packing
slips, receiving reports, copies of delivery receipts, copies of
requisitions, requisition log, copies of purchase orders, inventory
control forms, sign-out sheets, correspondence & related documents.
Audit Clearance + 1
Year
EIC EL
Finance - Purchasing
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Purchasing
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
EIC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Purchasing
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Purchasing
2007-0379
VENDOR MASTER LIST Master list of vendors providing goods
and services to County. May include vendor name, address, phone
number, fax number, e-mail address, product and service
information, vendor identification number, tax ID number, contact
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
146
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Purchasing
2007-0378
VENDOR/CONTRACTOR FILES Vendors providing goods &
services to governmental entities. May include, but is not limited to,
name of vendor or company, name of contact or agent, address,
telephone & fax numbers, e-mail & web site address, description of
goods & services provided, vendor and/or tax ID number, vendor
evaluation forms, information on past performance, price lists,
correspondence & similar documents.
Calendar Yearend + 3
Years
HC EL
Security Destruction, see notes.
Finance - Risk Management
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Risk Management
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Risk Management
2007-1558a
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - Risk Management
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - Risk Management
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Finance - Risk Management
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankino relatinnshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - Risk Management
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Finance - Risk Management
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Conntv Commissioners
Fiscal Yearend + 5
Years
HC EL
Finance - Risk Management
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Finance - Risk Management
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Finance - Risk Management
2007-0061
CLAIM FILES, INSURANCE Claims filed against County. These
include personal injury, property damage, motor vehicle accident,
false arrest, and others. Records include reports, photographs,
summaries, reviews, notices, audio and videotapes, transcriptions of
recorded statements, memoranda, correspondence, and related
A
Disposition + 3 Fiscal
Years
HC
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
147
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Risk Management
2007-1424
CLAIM FILES, WORKERS' COMPENSATION - AGENCY
COPY Recording and reporting of occupational injuries and
illnesses. May include employee name, social security number,
employers report of industrial injury or occupational disease,
workers' compensation claim forms, reports from health care
providers, copies of OSHA reports and forms, written
determinations, ratings performed by any physician or chiropractor,
copies of bills and payment vouchers, records of all compensation
paid to injured employee and all payments made to any other person
in connection with claim, copies of payroll documents, legal
correspondence, communication log, review or appeal documents,
and any other forms or correspondence which pertain to claim.
Includes C-l, C-3 & D-2 forms, temporary total disability payments
and logs, permanent total disability payments and logs, medical
payments and logs, medical records, employee leave forms, legal
correspondence, return to work files, Bank of America register,
artirle /9R - fire fiahters vnratinrial rehah Inas rilwdralQ evit
Closure + 3 Years
HC EL
HIPAA information requires Security
Destruction, see notes. NAC 616C.088
Finance - Risk Management
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Risk Management
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
remrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Finance - Risk Management
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Finance - Risk Management
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - Risk Management
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Finance - Risk Management
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Finance - Risk Management
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
148
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Risk Management
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Finance - Risk Management
2007-1469
FITNESS FOR DUTY FILES (Department Copies. Official
record copy at Human Resources.) Document actions taken when an
evaluation is done to determine an employee's ability to perform
essential functions of job due to physical, mental, or emotional
disorders. This may include incident reports, essential functions
forms, certifications from health care providers, copies of medical
records, copies of leave forms, copies of payroll reports, related
correspondence and similar documents.
Closure
HC
HIPAA information requires Security
Destruction, see notes.
Finance - Risk Management
2007-0440
FIXED ASSETS AND INVENTORY RECORDS Document and
administer process of updating and reconciling an inventory of fixed
assets in department's possession. May contain fixed asset
inventories, copies of purchase orders and other fiscal records,
monthly or annual property reports, copies of other property records,
memos, correspondence, inventory journals and related documents.
Until Superseded + 5
Years
HC EL
Finance - Risk Management
2007-0064
HAZARDOUS MATERIAL SAFETY FILE This record series is
used to provide information on hazardous materials stored,
manufacturer or used by agency as part of Hazard Communication
Program. This series includes material safety data sheets (MSDS)
and a listing of hazardous material in workplace.
Product no Longer in
Workplace + 30 Years
HC
29CFR 1910.1020,29CFR 1910.1200
Finance - Risk Management
2007-0062
INSURANCE POLICIES Terms & conditions of insurance policies
between local government & insurers. Types of insurance may
include liability, property, motor vehicle, flood, & others. Records
include policies, endorsements, rate change notices, agent of record,
related correspondence & similar documents.
PERMANENT
HC
Finance - Risk Management
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - Risk Management
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - Risk Management
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - Risk Management
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
FY + 3 Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
149
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - Risk Management
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Finance - Risk Management
2007-0314
PLAN RECORDS, GROUP HEALTH AND LIFE INSURANCE
Documents group insurance policies offered by a local government
as part of the employee benefits program. Includes plan document,
enrollment forms, birth/death certificates, marriage certificates, full-
time student status, change forms, beneficiary forms, court
Plan Expired and
Final Benefits Paid +
6 Years
HC EL
Finance - Risk Management
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv rirniert or activity
Administratively
Useful
HC
Finance - Risk Management
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Finance - Risk Management
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Finance - Risk Management
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Finance - Risk Management
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - Risk Management
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
T-TTPA A infr\rmntir\n
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - Risk Management
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - SAP/ERP
2007-0046
ACCOUNTING RECORDS (,Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Finance - SAP/ERP
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - SAP/ERP
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Finance - SAP/ERP
2007-1346
APPLICATION DEVELOPMENT PROJECT FILES IBM
specifications and documentations related to SAP-ERP Core
Financial and HC.M Svstems
Completion + 3 Years
Finance - SAP/ERP
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
150
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - SAP/ERP
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Finance - SAP/ERP
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanldna relatinnshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Finance - SAP/ERP
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Finance - SAP/ERP
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
Finance - SAP/ERP
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Finance - SAP/ERP
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Finance - SAP/ERP
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - SAP/ERP
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Finance - SAP/ERP
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Finance - SAP/ERP
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Finance - SAP/ERP
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Finance - SAP/ERP
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mimoses
Administratively
Useful
HC EL
Finance - SAP/ERP
2007-0244
DOCUMENTATION OF COMPUTER SYSTEM &
PROGRAMS Instructions and documentation related to certain
programs, applications and or systems used by department. Includes
APPLIX Attachmate records, HCM documentation, SAP Ascendant
records, and SAP support center master catalog of system files.
Until Superseded OR
Expiration + 6 Years
EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
151
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - SAP/ERP
2007-1725
EMPLOYEE IT ACCESS CONTROL AND SECURITY FILES
Authorizations to make user access changes for HR on SAP system
and related database.
Three (3) calendar
years from the end of
the calendar year in
which the form was
modified or the
employees' access
rights were
EL
Security Destruction, see notes.
Finance - SAP/ERP
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Finance - SAP/ERP
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Finance - SAP/ERP
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Finance - SAP/ERP
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Finance - SAP/ERP
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Finance - SAP/ERP
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Finance - SAP/ERP
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Finance - SAP/ERP
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Finance - SAP/ERP
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Finance - SAP/ERP
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Finance - SAP/ERP
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Finance - SAP/ERP
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
152
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Finance - SAP/ERP
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Finance - SAP/ERP
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to pmnlnvm travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Fire Department
2007-054%
ACCIDENT REPORTS, NOT RESULTING IN LEGAL
ACTION OR DAMAGE Vehicle accidents involving departmental
personnel while on duty. Reports may contain type of accident,
narrative reports regarding facts and circumstances of accident,
witnesses, property damage, injury reports, copies of medical
treatment reports, vehicle damage reports, photos, notes, police
accidents reports, and other related documents.
3 Years
HC
Security Destruction, see notes.
Fire Department
2007-0549a
ACCIDENT REPORTS, RESULTING IN LEGAL ACTION
OR DAMAGE Vehicle accidents involving departmental personnel
while on duty. Reports may contain type of accident, narrative
reports regarding facts and circumstances of accident, witnesses,
property damage, injury reports, copies of medical treatment reports,
vehicle damage reports, photos, notes, police accidents reports, and
Settlement + 3 Years
HC
Security Destruction, see notes.
Fire Department
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Fire Department
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Fire Department
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Fire Department
AGAINST MEDICAL ADVICE RECORDS Records
documenting refusal by patient of treatment/transport by EMS and/or
other first resnonders
6 Years from receipt
of the record
HC
NAC 239.165 (1) (2), 45CFR164.501, NRS &
NAC 450B HIPAA information requires
Security Destruction, see notes.
Fire Department
2007-1495
ALARM SYSTEM FILES Documents inspection and testing of
individual fire alarm systems. Includes permits, installation records,
construction documents, diagrams, specifications, certifications,
record of completion, inspection records, site information, building
code reports, instructions, system testing records, system monitoring
records, service agreements, maintenance and service reports,
... . . . -a 1: .i.
Life of Asset
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
153
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Fire Department
2007-0558b
APPARATUS AND EQUIPMENT RECORDS Document and
administer management of apparatus and equipment in possession of
fire department. May contain description of item, make and model,
operating instructions, identification or license numbers,
registrations, owner's manual, location of item, inspection reports,
maintenance schedules, maintenance and repair reports, repair
history, copies of work orders, test records (ladder, hose, air packs),
test result reports, cost summaries, data sheets, inventory control
records, accounting documents, control logs or lists, vendor
information, photographs, correspondence and related documents.
Life of Asset + 3
Years
HC
Fire Department
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Fire Department
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Fire Department
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Fire Department
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Fire Department
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Cnunlv Cnmmissinnprs
Fiscal Yearend + 5
Years
HC EL
Fire Department
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Fire Department
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Fire Department
2007-0567a
BUILDING CONSTRUCTION INSPECTION RECORDS
Documents inspection of commercial buildings, public buildings,
structures, child care facilities, long-term care facilities, warehouses,
parks, & similar facilities by fire departmental personnel for fire
hazards, conformity with fire codes & regulations, & for other
reasons permitted by state law/regulation or local policy. May
include inspection reports, cumulative inspection history, violation
notices, citations, documents verifying that violation has been
corrected, re-inspection forms & reports, notes, memos, photos,
correspondence & related documents.
12 Years from date of
inspection
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
154
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Fire Department
2007-1588
BUILDING DEMOLITION RECORDS Records relating to
demolition and clearance of buildings deemed unfit for occupancy
and condemned, and may include demolition orders, inspection
reports, notices to property owners, correspondence, and any related
3 Calendar Years
from date of
demolition
EL
Fire Department
2007-0567b
BUILDING FIRE CODE INSPECTION RECORDS, ANNUAL
Documents inspection of commercial buildings, public buildings,
structures, child care facilities, long-term care facilities, warehouses,
parks, & similar facilities by fire departmental personnel for fire
hazards, conformity with fire codes & regulations, & for other
reasons permitted by state law/regulation or local policy. May
include inspection reports, cumulative inspection history, violation
notices, citations, documents verifying that violation has been
corrected, re-inspection forms & reports, notes, memos, photos,
correspondence & related documents.
State requirement is
five (5) calendar years
from the date of the
inspection.
Department policy is
to retain records for
Life of Asset
HC
Fire Department
2007-0568
BUILDING PLANS, COMMERCIAL STRUCTURES Copies of
building plans for public and/or commercial buildings and structures.
Includes blueprints, engineering drawings, as built drawings,
specifications, grounds (landscape) drawings, photographs.
Life of Asset
EL
NRS 239C.090 (Homeland Security Act),
NAC 239.165 (1)(2) Security Destruction, see
notes.
Fire Department
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Fire Department
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Fire Department
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Fire Department
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Fire Department
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Fire Department
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Fire Department
2007-0571b
DISPATCH RECORDINGS, RESULTING IN LEGAL
ACTION Audio recordings of incoming emergency calls, fire and
emerpencv disnatches radio activity and 911 calls
Disposition
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
155
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Fire Department
2007-0571a
DISPATCH RECORDINGS, RESULTING IN NO LEGAL
ACTION Audio recordings of incoming emergency calls, fire and
emerpencv Hi snatches radio activity and 911 calls
60 Days
EL
Fire Department
2007-0555
EMERGENCY INCIDENT RECORDS Documents services
provided by fire or emergency medical services (EMS) personnel to
sick or iniurpd nmnle
Calendar Yearend + 6
Years
EL
HIPAA information requires Security
Destruction, see notes.
Fire Department
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Fire Department
2007-0555
EMS RUNS, RURAL MEDICAL Reports of medical runs that
took rilace in rural locations.
Calendar Yearend + 6
Years
HC EL
Security Destruction, see notes.
Fire Department
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Fire Department
2007-1233
EXPOSURE REPORTS Reports completed when a fire fighter is
exposed to toxic fumes, smoke, or chemicals during performance of
duty. It is used to verify exposure in case of illness. May include
employee's name, position, station, address where injury occurred,
name and type of occupancy, date and time of exposure, incident
number, description of exposure, duration of exposure, symptoms
present, copies of medical reports, date and signature of employee,
and date and signature of supervisor.
Termination +30
Years
HC
HIPAA information requires Security
Destruction, see notes.
Fire Department
2007-1467
FALSE ALARM REPORTS Information pertaining to false
alarms, outcries, or reports of fire. These reports may include date
and time of report, location, any identifying characteristics of caller,
number of responding units, and time it was identified as a false
2 Years
HC EL
Fire Department
2007-0190
FIRE AND LIFE SAFETY FILES Records which document all
necessary code requirements and operational restrictions placed upon
a huildirm or structure
PERMANENT
HC EL
Fire Department
2007-0583
FIRE CODES Documents fire codes and supplements to such
codes, adopted by ordinance for local government.
PERMANENT
See NOTE
HC EL
NOTE: Fire codes are used to inspect
buildings; department needs access to all code;
indefinitely, as a building is inspected to the
code in effect at the time of its construction.
Fire Department
2007-0586a
FIRE HYDRANT RECORDS, FLOW CARDS Documents
location, installation, inspection, maintenance, repair, & replacement
of fire hydrants. May include fire flow rate, main size, water
nvnilnhlp Rr rplntprl Hnnimprls
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
156
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Fire Department
2007-0586b
FIRE HYDRANT RECORDS, OTHER THAN FLOW CARDS
Documents location, installation, inspection, maintenance, repair, &
replacement of fire hydrants. May include installation records,
location, hydrant number, type (2 way, 3 way), lateral size, height
from ground, inspection reports, condition, maintenance & repair
records, pressure test results, damage reports, removal &
replacement records, notes & remarks, & related documents.
Life of Asset + 2
Years
HC EL
Fire Department
2007-0597b
FIRE INVESTIGATION RECORDS, CRIMINAL ACTION
Documents investigations conducted by fire department personnel to
determine cause, origin, and circumstances of fires or fire related
incidents.May contain investigation notes and reports, lab reports,
casualty reports, damage reports, run reports, interviews, witness
statements, transcripts, copies of police reports, suspect information,
copy of arrest report, evidence log, court documents, insurance
reports, vehicle records, photographs, audio-visual tapes, newspaper
clippings, findings, determinations, disposition, final or summary
report, correspondence, and similar records.
Disposition of Case +
6 Years
HC EL
Security Destruction, see notes.
Fire Department
2007-0597a
FIRE INVESTIGATION RECORDS, NO CRIMINAL
ACTION Documents investigations conducted by fire department
personnel to determine cause, origin, and circumstances of fires or
fire related incidents. May contain investigation notes and reports,
lab reports, casualty reports, damage reports, run reports, interviews,
witness statements, transcripts, copies of police reports, suspect
information, copy of arrest report, evidence log, court documents,
insurance reports, vehicle records, photographs, audio-visual tapes,
newspaper clippings, findings, determinations, disposition, final or
summary report, correspondence, and similar records.
Closure + 6 Years
HC EL
Security Destruction, see notes.
Fire Department
2007-1475
FIRE PREVENTION EDUCATION PROGRAMS Documents
and administers fire prevention education programs and similar
outreach programs provided to public by fire departments. Includes
program descriptions, instructional materials, enrollment and
attendance records, reports, speeches, handouts, brochures, video,
Expiration + 1 Year
HC EL
Fire Department
2007-1480b
INCIDENT REPORTS, HAZARDOUS MATERIALS
INVESTIGATIONS Investigation of hazardous material accidents
or incidents including releases. Includes incident reports, reports of
personnel involved, cause reports, emergency response reports, clean
up operations reports, decontamination reports.
Termination +30
Years
HC
29CFR1910.1020, NAC 239.165 (1) (2),
45CFR164.501, 45CFR164.528 HIPAA
information requires Security Destruction, see
notes.
Fire Department
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
157
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Fire Department
2007-1557
LOG, DAILY CODE ENFORCEMENT INSPECTIONS Logs
kept by Code Enforcement Officers detailing various inspections of
notential nronertv maintenance code violations
Calendar Yearend + 1
Year
EL
Fire Department
2007-1555
LOGS, DAILY BUILDING INSPECTORS Logs kept by
inspectors of information relating to daily building code inspections.
Calendar Yearend + 1
Year
HC EL
Fire Department
2007-1479
LOGS, DISPATCH Logs maintained by emergency dispatch units.
Log usually contains name of dispatcher, date and time call received,
type of call (phone, radio, in-person) complainant name, address /
phone number, nature of call, units dispatched, time dispatched,
1 Year
EL
Fire Department
2007-0648
MAPS AND PLANS, WATER SYSTEMS Maps, plans,
blueprints, & similar records. Useful for locating fire hydrants, water
mains, connections, valve locations & other water supplies used
Until Superseded
EL
Security Destruction, see notes
Fire Department
2007-1466
MEDICAL FILES, FIREFIGHTER Individual firefighter's work
related medical history. Includes name, personal information,
medical and/or physical examination records (pre-employment, pre-
assignment, required tests, X-rays, records of significant health or
disability limitations related to job assignments, documentation of
work related injuries or illnesses, hearing test records, hazard
exposure records, injury reports, first aid incident records, physical
examination statements, medical release authorizations, signed
consent forms.
Death + 6 Years
EL
45 CFR 164.530 (j)(2), NRS 616C.052, NRS
617.135, NRS 617.454 to 617.457, NRS
617.485, NRS 616A.400, NAC Chapter 617,
NAC 239.165 (1)(2) Note: Hazard exposure
records document exposure to hazardous
conditions such as chemicals, toxic substances
blood-borne pathogens, biological agents,
bacteria, virus, fungus, radiation, noise, dust,
heat, cold, vibration, repetitive motion, or
other dangerous conditions. HIPAA
information requires Security Destruction, see
notes.
Fire Department
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Fire Department
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Fire Department
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Fire Department
2007-0554
PERMITS, AMBULANCE OPERATING Documents application
for and receipt or denial of operating permits in accordance with
state law and regulation
Expiration + 2 Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
158
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Fire Department
2007-1572
PERMITS, DESIGN AND CONSTRUCTION, COMMERCIAL
OR PUBLIC STRUCTURES Structural files for any building not
classified as "Group R" in International Building Code, and any
structure on, or related to, subject property. Structural file consists of
tests and calculations directly related to structural integrity or
technical components of structure. Includes code modification
requests, field density testing reports, field submitted structural tests
and structural info from inspection, final grading reports, finished
floor elevation certificates, geotechnical reports, pad certification
reports, post tension stressing certificate, special inspection (QAA)
reports, structural calculations, structural checklist, truss calculations
Life of Asset
HC EL
Security Destruction, see notes.
Fire Department
2007-1468
PERMITS, EXPLOSIVES STORAGE AND USE Documents
issuance of permits authorizing manufacture, possession, storage,
sale, display, use, or disposal of explosives for construction and
demolition projects, fireworks, theatrical pyrotechnics, and other
applications. Information includes name and address of permitted,
license information (if applicable), location of use, amount and type
of explosives used, conditions, emergency response procedures, and
related information.
Expiration + 5 Years
EL
Fire Department
2007-0728
PERMITS, NARCOTICS Include permits for usage, storage,
inventory for all narcotics handled bv fire department
Expiration
HC
Security Destruction, see notes.
Fire Department
PERMITS, SPECIAL USE OR EVENT Documents operational,
construction, and special event /use permits issued by fire
departments. Includes permit application, site review reports, plan
review reports, copies of inspection reports, code reviews, special
requirement reports, copy of applicable certificates, copy of permit,
fee payment records. These permits are often for recurring events
such as CES where program layouts and permits are different every
year; therefore, there is no significant carryover of information from
Expiration + 60 Days
HC EL
Security Destruction, see notes.
Fire Department
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Fire Department
2007-0205b
PLANS FOR COMMERCIAL AND PUBLIC STRUCTURES,
DISASTER Maps, plans, blueprints, specifications and similar
documents submitted with applications for building and construction
permits. This series includes plans for any structure not classified as
"Group R" in International Building Code, and any structure on or
Disaster + 6 Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
159
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Fire Department
2007-0205a
PLANS FOR COMMERCIAL AND PUBLIC STRUCTURES,
NO DISASTER Mans, plans, blueprints, specifications and similar
documents submitted with applications for building and construction
permits. This series includes plans for any structure not classified as
"Group R" in International Building Code, and any structure on or
Life of Asset
HC EL
Security Destruction, see notes.
Fire Department
2007-0203
PLANS, CHECKERS, RECORDS OF PERSONS REVIEWING
PLANS AND BLUEPRINTS Documents the plan review process.
Includes copies of maps, plans, blueprints, specifications, application
fnrnprmit intprnnl fnrms
Calendar Yearend + 3
Years
EL
Security Destruction, see notes.
Fire Department
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Fire Department
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Fire Department
2007-1491
REPORTS OF DRILLS Documents results of drills performed to
instruct individuals in appropriate procedures to be followed in event
of an emerpencv
2 Years
HC EL
Security Destruction, see notes.
Fire Department
2007-0734
REPORTS TO DRUG ENFORCEMENT ADMINISTRATION
RE: THEFT / LOSS OF CONTROLLED SUBSTANCES
Reports to Drug Enforcement Administration (DEA) of any theft or
sicmifirant Inss nf rnntrnllprl suhstanrps
2 Years
HC EL
Security Destruction, see notes.
Fire Department
2007-0643
SCHOOL MASTER FILES School plans and may contain plans,
blueprints, as built drawings, schematics, calculations and
specifications, photographs, associated correspondence, and related
flnnimpnts
Life of Asset
EL
Security Destruction, see notes.
Fire Department
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and othpr internal mpptinos
1 Year
HC EL
Fire Department
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Fire Department
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
160
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Fire Department
2007-0629
TRAINING FILES, INDIVIDUAL EMPLOYEE Documents and
administers employee development and training. This series may
contain employee name, badge or ID number, training bulletins,
request for training forms, training plans, training exercises, test
scores, training certificates, training history, documentation of
continuing education, records documenting completion of mandatory
training requirements, fire academy reports and records, course
outlines, courses taken, copies of course material, attendance
records, proficiency tests, certificates, training evaluations, reports
detailing training needs, records authorizing and administering the
granting of educational leave, training summaries, logs, lists, reports,
photos, forms, related correspondence and similar records.
Termination + 5 Years
HC EL
A copy of employee's development & training
information should be sent to employee & new
agency upon transfer. Security Destruction,
see notes.
Fire Department
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Fire Department
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
rpmrrk rplatprl to pmnlnvm travpl
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Human Resources
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Human Resources
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Human Resources
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Human Resources
2007-0302b
ALCOHOL AND DRUG TESTING RECORDS. NEGATIVE
RESULTS Employee Assistance Program Case files(Required),
correspondence documents-including faxes and notes, Employee
Assistance Program Case Files (Voluntary), Lab reports, Assessment
Instruments, Actual Written Assessments, Follow up evaluations,
Testing Schedules, Return to duty forms, Release of information
forms, Employee Intake forms. This is mandated documentation by
DOT, compliance with standards of Employee Assistance
Professionals Association, also with Substance Abuse Prevention
and Treatment Agency (SAPTA) and the State of Nevada.
1 Year
HC
Although may contain "protected health
information" as defined by HIPAA (Health
Insurance Portability & Accountability Act, 42
U.S.C. § 1320d et seq.), these records are
considered to be "employment records" under
45 CFR 164.501 definition of "protected
health information" #2 (iii), & are exempt
from HIPAA access & retention requirements.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
161
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Human Resources
2007-0302a
ALCOHOL AND DRUG TESTING RECORDS. POSITIVE
RESULTS Employee Assistance Program Case files (Required),
correspondence documents-including faxes and notes, Employee
Assistance Program Case Files (Voluntary), Last Chance
Agreements, Lab reports, Assessment Instruments, Actual Written
Assessments, Follow up evaluations, Testing Schedules, Return to
duty forms, Disciplinary Documents, Release of information forms,
Employee Intake forms. This is mandated documentation by DOT,
compliance with standards of Employee Assistance Professionals
Association, also with Substance Abuse Prevention and Treatment
Agency (SAPTA) and the State of Nevada.
5 Years
HC
Although may contain "protected health
information" as defined by HIPAA (Health
Insurance Portability & Accountability Act, 42
U.S.C. § 1320d et seq.), these records are
considered to be "employment records" under
45 CFR 164.501 definition of "protected
health information" #2 (iii), & are exempt
from HIPAA access & retention requirements.
Security Destruction, see notes.
Human Resources
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Human Resources
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Human Resources
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Human Resources
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Human Resources
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Cnuntv Commissioners
Fiscal Yearend + 5
Years
HC EL
Human Resources
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Human Resources
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Human Resources
2007-0155
CASE FILES, CIVIL LITIGATION INVOLVING COUNTY
(Department Copies. Official copies of filed documents are
maintained by Court.) Cases filed by County Civil Division or Cases
brought against County/ County Agencies/Employees/METRO being
defended by Civil Division. Civil Division represents all County
agencies and Board of County Commissioners, and as otherwise
required by law.
Disposition + 6 Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
162
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Human Resources
2007-0311
CASE FILES, EMPLOYEE GRIEVANCES Grievances or
complaints filed by current employees, terminated employees,
applicants, or private citizens regarding employment practices. May
include, but is not limited to, complaints, investigation reports,
interview documentation, witness statements, background
information, supporting papers, summary of action taken,
audio/video recordings, related correspondence, & summary of
Settlement + 3 Years
EIC EL
Security Destruction, see notes.
Human Resources
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
EIC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Human Resources
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Human Resources
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital nroducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Human Resources
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Human Resources
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Human Resources
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Human Resources
2007-1375
EMPLOYEE DEVELOPMENT & TRAINING RECORDS
attendance validation, class rosters, evaluations, and related records
Five (5) calendar
years from the
transfer, separation,
retirement, or
termination of an
HC
Security Destruction, see notes.
Human Resources
2007-032 la
EMPLOYEE MASTER PERSONNEL FILES,
DOCUMENTING EMPLOYMENT HISTORY Records which
document employment history, including, but not limited to, salary
hiQtnrv Rt Inriaevitv rlnnimpnk nlnQQifinntinn Rr Qalarv rernrrk etr
Termination +30
Years
HC
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
163
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Human Resources
2007-0321b
EMPLOYEE MASTER PERSONNEL FILES, OTHER Records
which DO NOT document employment history, including job
applications, credential files, background checks, notice of
appointment documents, personnel transaction records, payroll
withholding information, leave summary records, employee
development documents, employee performance documents, training
documents, disciplinary actions, copies of licenses or certificates,
exit interview records, computer printouts, personnel action forms,
correspondence & similar documents related to an individual's
Termination + 3 Years
HC
Security Destruction, see notes.
Human Resources
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Human Resources
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Human Resources
2007-0310
FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS
Regulate the granting and monitoring of family leave under the
Federal Family and Medical Leave Act of 1993 and the State
Parental Leave Without Pay Bill. Includes Leave Requests, Medical
Fiscal Yearend + 3
Years
HC EL
29 CFR 1630.14 HIPAA information requires
Security Destruction, see notes.
Human Resources
2007-0317
LABOR NEGOTIATION RECORDS Article 28 & 31, SEIU
Hearings & Arbitrations, Parks Negotiations, IAFF Hearings &
Arbitrations, General Subject matters, Unemployment claim forms,
discipline removals, Collective Bargaining Agreements from other
jurisdictions, Prosecutor's negotiations, sheriff civil negotiations,
labor team reports, union bank hours, various unit Collective
Bargaining Agreements, interlocals, MPS & Mplan, DAIA
negotiations, SA Testing Files, Misc Negotiations.
Expiration + 5 Years
HC
Security Destruction, see notes.
Human Resources
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Human Resources
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Human Resources
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Human Resources
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Human Resources
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
164
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Human Resources
2007-0325a
RECRUITMENT FILES, HIRED Medical, Pre-employment,
Physical exam, Backgrounds, Medical Separation, Bilingual Testing,
Misc dept correspondence, Fingerprinting/ Criminal
Correspondence, Advertising correspondence, Recruitment archive
list, lawsuits for recruitments, merit personnel updates, contracts
expired- union, Training Correspondence, division budget
information/ correspondence, Scopes, special project documentation,
Disciplinary Actions, Applications and Resumes-Hired & Not
Hired, EEO reports, Eligibility List, Employee Licenses/ Certificates,
Employment Examination Records, Inactive recruitment files,
promotion records, search committee files
Transfer to Employee
Master File
HC
Human Resources
2007-0325b
RECRUITMENT FILES, NOT HIRED Medical, Pre-
employment, Physical exam, Backgrounds, Medical Separation,
Bilingual Testing, Misc dept correspondence, Fingerprinting/
Criminal Correspondence, Advertising correspondence, Recruitment
archive list, lawsuits for recruitments, merit personnel updates,
contracts expired- union, Training Correspondence, division budget
information/ correspondence, Scopes, special project documentation,
Disciplinary Actions, Applications and Resumes-Hired & Not
Hired, EEO reports, Eligibility List, Employee Licenses/ Certificates,
Employment Examination Records, Inactive recruitment files,
promotion records, search committee files
Active + 3 Years
HC
Security Destruction, see notes.
Human Resources
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
Human Resources
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Human Resources
2007-1382
SALARY AND WAGE SCHEDULES Salary Surveys, Union
contracts, Reclassifications, Certification pay, Incentive time hours,
Salary structures, SOP-standard operating procedures, Job Audits &
PlnQQifinntinnQ
Until Superseded + 6
Years
HC EL
Review for historical value
Human Resources
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and othpr internal mpptinos
1 Year
HC EL
Human Resources
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
165
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Human Resources
2007-1294
SUBSTANCE ABUSE CASE RECORDS. MANDATORY
Evaluations & treatment of employees who must complete
rehabilitation program recommended by evaluation as a condition of
continued employment. Records include appointment records,
agreements, employee/family personal information, release of
information forms, assessment records, counseling & consultation
records, referral information, treatment plans, problem solving plans,
plan implementation records, supervisory documentation, treatment
disposition records, correspondence, & related documents.
Completion of
Program + 6 Years
HC EL
Security Destruction, see notes.
Human Resources
2007-1295
SUBSTANCE ABUSE CASE RECORDS. VOLUNTARY
Voluntary referral & treatment of employees and/or employee family
members in agency sponsored assistance programs. Records include,
appointment records, employee family member personal information,
release of information forms, assessment records, informational
materials, counseling & consultation records, referral information,
treatment plans, supervisory documentation, problem solving plans,
plan implementation records, correspondence, & related documents.
Expiration + 6 Years
HC EL
Security Destruction, see notes.
Human Resources
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Information Technology
2007-1728
ACCESS CONTROL REVIEWS AND AUDIT TRAILS Audits
of policies & procedures created to control access to system
applications and/or data by an agency. Includes security & access
control logs, firewall traffic log, reviews of security & access control
logs, logging procedures reviews, lists of user access rights & user
ID's, computer log reviews, security audit/review reports with
Audit Clearance + 3
Years
EL
NRS 239C.210, NRS 11.190 (l)(b) Security
Destruction, see notes.
Information Technology
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Information Technology
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Information Technology
2007-1558a
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Information Technology
2007-1722
ADMINISTRATIVE DATABASES Databases that support
administrative or housekeeping functions such as those used for
purposes of filing, keeping track of equipment and/or supplies,
calendaring & similar non-programmatic activities for Oracle, Main
Administratively
Useful
EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
166
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Information Technology
2007-1346
APPLICATION DEVELOPMENT PROJECT FILES All system
design, development, implementation and planning documentation
for votinp/election software
Completion + 3 Years
HC EL
Security Destruction, see notes.
Information Technology
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Information Technology
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Information Technology
2007-1337
AUDIT REPORTS, DATABASE RESTRUCTURE Computer
printouts created when files are being restructured. This record series
is used to verifv successful comnletion of the nrocess
Administratively
Useful
HC EL
Information Technology
2007-1328
AUDIT TRAIL RECORDS Data produced during formation of
database used to validate master file database during a process cycle.
Defines: user that makes change, Date & Time of change, Type of
change, Name of file and program, Job that processed data.
3 Data Backup Cycles
EL
Information Technology
2007-0241
BACKUP OF COMPUTER FILES MADE FOR SECURITY
Security backup of files stored on networks within the County & are
retained for file damaged or deleted data. Includes: User Objects,
Libraries, files, programs, journals, and hardware objects, security
6 Months
EL
Information Technology
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankino relationshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Information Technology
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Information Technology
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Countv Commissioners
Fiscal Yearend + 5
Years
HC EL
Information Technology
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rermests
Audit Clearance
HC
Information Technology
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Information Technology
2007-1329
CATALOGED LIST OF DATA TAPES/DISKS System reports
that show all tapes, and or disks holding data for departments.
Inclndina name and location of tane or disk
Until Superseded
EL
Information Technology
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
167
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Information Technology
2007-1350
COMPUTER USAGE FILES Event Logs created to monitor
computer activity. Level, Date and Time, Source, Event ID and Task
Category
Administratively
Useful
EL
Information Technology
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
remrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Information Technology
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital nroducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Information Technology
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Information Technology
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Information Technology
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Information Technology
2007-1345
DATA DOCUMENTATION Records created during development
or modification to automated systems, & are necessary to access,
retrieve, manipulate & interpret data. May include, but is not limited
to, information on data element dictionary, file layout, code book or
table, & other records that explain the meaning, purpose, structure,
logical relationships, & origin of data elements (sometimes known as
Life of Asset + 3
Years
EL
Information Technology
2007-1330
DATABASE STATISTICS Computer listings that show utilization
of disk files, & overall disk space utilization which provides index
information on number of files/tables. (Capacity compared with used
Administratively
Useful
EL
Information Technology
2007-0244
DOCUMENTATION OF COMPUTER SYSTEM &
PROGRAMS Instructions and documentation related to certain
programs, applications and or systems used by department. Includes:
Until Superseded + 6
Years OR Expiration
+ 6 Years
EL
Security Destruction, see notes.
Information Technology
2007-1725
EMPLOYEE IT ACCESS CONTROL AND SECURITY FILES
Authorizations to make user access changes for HR on SAP system
Calendar Yearend + 3
Years
EL
Security Destruction, see notes.
Information Technology
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Information Technology
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
168
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Information Technology
2007-1341
ERROR REPORTS Reports produced to detect errors or potential
errors within computer systems. Files may consist of paper printouts
and/or on-line reports. Reports may be run on a regular or special
hnsis
Until Superseded
HC EL
Information Technology
2007-1331
INDEXES AND FINDING AIDS Indexes, lists, registers, & other
finding aids usually used to provide access to master files.
Administratively
Useful
HC EL
Information Technology
2007-1363
INVENTORIES OF CIRCUITS Automated or paper records
containing information on network circuits used by the local
government including circuit number, vendor, cost per month, type
of connection, terminal series, software, contact person, and other
Expiration + 3 Years
EL
NRS 11.190 (3)(d)
Information Technology
2007-1335
JOB LIBRARIES Computer listings which show the complete
current contents of the obiect rirosram librarv.
Administratively
Useful
EL
Information Technology
LEAVE REQUESTS, EMPLOYEE {Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Information Technology
2007-1729
LOG, PRODUCTION JOB SUBMITTAL Used as a history of
non-automated batch job requirements. The record lists programs
and/or hardware that will be affected by running of requested job.
Used to check on what order jobs are run on system.
30 Days
HC EL
Information Technology
2007-1339
LOG, SOFTWARE MAINTENANCE Summary of program
activity for develoriins and or maintaining svstem amplications.
Calendar Yearend + 1
Year
EL
Information Technology
2007-1362
LOGS & REPORTS, COMPUTER HELP DESK Documents
requests for technical assistance & responses from users to requests,
as well as collect information on use of computer equipment for
program delivery, security, or other purposes. Includes: Summary,
work order number, type, category, priority, technician assigned,
Date assigned, date due, description, resolution and attachments.
1 Year
EL
Information Technology
2007-1365
LOGS, INTERNET SERVICES Electronic files or automated logs
created to monitor access and use of services provided via Internet.
Information in this series may also be used to document system
audits, system security audits, create summary reports, and other
Audit Clearance
EL
Information Technology
2007-0246
MASTER COPIES OF FORMS Documents current paper and
electronic format masters for various forms. Includes sample forms,
drafts, revisions, form logs or listings, proposals, authorizations,
Until Superseded
EL
Information Technology
2007-1333
MASTER FILES Electronic records that replace in whole or in part,
hard copy records that have been scheduled through approved
records retention schedule and contain same information as
Qrhprliilprl rprnrrlQ
Expiration+ of
minimum retention
period for hard copy
nf flip
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
169
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Information Technology
2007-1334
MASTER FILES, SUMMARIES Electronic records that replace in
whole or in part, hard copy records that have been scheduled through
approved records retention schedule and contain same information as
Expiration of
minimum retention
period for hard copy
nf filp
EL
Information Technology
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
EIC EL
NRS 11.190 (3)(d)
Information Technology
2007-1364
NETWORK OR CIRCUIT INSTALLATION AND SERVICE
FILES Requests to service provider for data communication service,
installation, or repair & response to request. Includes work orders,
Completion + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NRS
239C.120, NAC 239.165 (1)(2) Security
Destruction, see notes.
Information Technology
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Information Technology
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Information Technology
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Information Technology
2007-1370
PLANS, IT CONTINGENCY Contingency plan for Tabulation
environment in event of a disaster and/or relocation of election
results nrocessirm off-site
Until Superseded + 3
Years
HC EL
Security Destruction, see notes.
Information Technology
2007-1723
PLANS, IT SECURITY Evaluations on security of computer
systems concerning protection against unauthorized access,
disclosure, or modification of data & protection against loss of data
due to security breaches & /or sabotage. Includes initial security
evaluation, periodic evaluations, special evaluations, system upgrade
& modification documents, security logs & reports.
Until Superseded + 6
Years
HC EL
NRS 239C.210, NRS 11.190 (l)(b) Security
Destruction, see notes.
Information Technology
2007-1361
PLANS, OPERATING SYSTEM AND HARDWARE
CONVERSION Replacement of equipment or computer operating
systems due to hardware / software obsolescence or maintenance, &
should be part of regular migration or conversion schedule built into
3 Years
HC EL
Information Technology
2007-1356
PRINTOUTS, PRINT FILES, OR MASTER FILE EXTRACTS
Files containing only information extracted from a master file or
database when original information remains on master file or
rlntnhnQP
Administratively
Useful
HC EL
Information Technology
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecifir, to anv nroiect or activitv
Administratively
Useful
HC
Information Technology
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
170
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Information Technology
2007-1726
REVIEWS, REPORTS AND LOGS, IT SECURITY Audits of
policies & procedures created to control physical access to IT
systems, controls over environmental functions within computer
facilities, reports of security breaches & suspicious activities.
Includes authorized visitor log, physical security reviews,
environmental controls reviews, Annual Internal Compliance
Reviews, Security Breech Reports, Reports of Suspicious Activities,
Reports of Suspected Violations, checklists, reports to management.
Audit Clearance + 3
Years
HC EL
NRS 239C.210, NRS 11.190 (l)(b) Security
Destruction, see notes.
Information Technology
2007-1344
SCHEDULING RECORDS, COMPUTER RUNS Scheduled
computer runs includes running daily reports, request and other
successful data runs
1 Year
EL
Information Technology
2007-1368
SECURITY EVALUATIONS, IT Information concerning
computer systems security and protection against unauthorized
access, disclosure, or modification of data & protection against loss
Calendar Yearend + 3
Years
HC EL
Security Destruction, see notes.
Information Technology
2007-1349
SECURITY RECORDS, COMPUTER SYSTEMS Records used
to control or monitor security of system and data. Includes systems
event logs, network monitor management tools, intrusion detection
logs, firewall logs, auditing logs and other security logs.
Until Superseded + 6
Years
EL
Security Destruction, see notes.
Information Technology
2007-1245
SOFTWARE LICENSES Licensure & implementation of computer
software programs by local government. May include permitted uses,
rights & restrictions, warranty information, liability statement, &
Expiration + 6 Years
HC EL
Information Technology
2007-1351
SOFTWARE REVIEW FILES Review & recommendation of
software for local government use. Includes vendor information,
manuals software reviews
Expiration + 3 Years
HC EL
Information Technology
2007-1347
SOURCE CODE / PROGRAM LISTINGS Instructions from a
computer program code which generates system language used to
operate an automated information system. Users log in to an
interface which regenerates or translates using an automated system
Until Superseded + 3
Data Backup Cycles
EL
Information Technology
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Information Technology
2007-0249
STANDARDS FOR USERS OF COMPUTER EQUIPMENT
Standards for use of computer equipment & may include but is not
limited to documentation on defined computer policies & guidelines,
user handbooks, e-mail policies, & related documents.
Until Superseded
HC EL
Information Technology
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
171
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Information Technology
2007-1369
SYSTEM USER MASTER LIST, IT Creation, maintenance &
management of IT system user access rights. The master list usually
consists of an on-line electronic file containing user names, user ID
codes, access rights & privileges (to data, applications,
communications & other system devices) & similar documents.
Until Superseded
EL
Security Destruction, see notes.
Information Technology
2007-1332
TEST FILES Temporary electronic records created to test system
performance. Files may be on line, disk, or computer magnetic tape
and includes related documentation
Administratively
Useful
HC EL
Information Technology
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Information Technology
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmatir\n
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Information Technology
2007-1336
TRANSACTION FILES Records used to create or update master
files. Files may be online, disk, or computer magnetic tape, and the
record series includes related documentation
Administratively
Useful
HC EL
Information Technology
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Information Technology
2007-1721
VOLATILE SOFTWARE MODIFICATIONS File copy of
original system software modules that have been modified. It is kept
as a backup to newly modified systems in case problems arise after
mndifiratinri
Administratively
Useful
HC EL
NRS 239C.210, NRS 239B.040 Security
Destruction, see notes.
Information Technology
2007-1353
WORK OR INTERMEDIATE FILES Records used to facilitate
processing of a specific job or run, or used to create, update, modify,
transfer, manipulate, or sort data within an automated system when
all transactions are captured in a master file, valid transaction file or
database, in cases where file is not required to provide an audit trail.
Expiration
HC EL
Justice Court - Henderson
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record conv at C.omntroller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - Henderson
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Justice Court - Henderson
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Justice Court - Henderson
ADMINISTRATIVE ORDERS FROM SUPREME COURT
Issued bv Chief Justice
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
172
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Henderson
SCRS-28
AFFIDAVIT, PROBABLE CAUSE Affidavit filed for
preliminary examination. May have arrest report attached. Includes
Probable cause affidavit, Arrest report, Temporary custody record,
2 Years OR Affidavit
filed with District
Court
HC EL
Supreme Court Retention Schedule (SCRS),
item #28. NRS 205.4617, NAC 239.165 (1)
(2). Security Destruction, see notes.
Justice Court - Henderson
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Conies i Official record coriv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - Henderson
2007-0303
APPLICATIONS AND RESUMES, HIRED Applications and/or
resumes submitted to agencies by individuals seeking employment,
transfer or nrnmntinn
Transfer to master
personnel file
HC
Security Destruction, see notes.
Justice Court - Henderson
2007-1273
APPLICATIONS AND RESUMES, NOT HIRED Applications
and/or resumes submitted to agencies by individuals seeking
emnlovment transfer or nromotion who were not hired
Closure + 2 Years
HC
Security Destruction, see notes.
Justice Court - Henderson
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Justice Court - Henderson
2007-0790
BAIL BOND REGISTER Register containing information on bail
bonds posted with court (Qualifying Powers of Agents and Bond
Co.) Bail Bond Register summarizes data that is also found on actual
bail bond which is kept in case file. Some information will also
appear on receipt that is generated for transaction.
Exoneration or
Forfeiture + 6 Years
EL
NRS 178.544
Justice Court - Henderson
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankina relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Justice Court - Henderson
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Justice Court - Henderson
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Justice Court - Henderson
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Justice Court - Henderson
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at Comptroller.
Audit Clearance + 1
Year
HC EL
Justice Court - Henderson
2007-0568
BUILDING PLANS (Department Copies) Official record copy at
Real Property Management. Copies of building plans for court
expansion. It may include blueprints, engineering drawings,
specifications, photographs, maps and drawings for related
Administratively
Useful
HC EL
Justice Court - Henderson
SCRS-14
CALENDARS/AGENDAS, JUSTICE COURT Day by day listing
of cases to be heard, sriecifvins department.
90 Days
HC
SCRS, item #14 NRS 178.592
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
173
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Henderson
2007-0155
CASE FILES, CIVIL May contain affidavits / applications,
motions, orders / stipulations, judgments, complaints / confessions,
satisfactions, writs, answers, petition for sealing, memo of cost,
attorney fees / notifications, remands, appeals/appeal bonds, court
appearances/hearings, bankruptcy notifications, transfers, court
minutes, counterclaims, certification in support, various notices/
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Henderson
SCRS-33
CASE FILES, COMMUNITY SERVICE Documentation on
persons doing community service in lieu of serving time in jail or
navinp a fine Includes referrals and comnletion renorts
Completion + 2 Years
HC EL
SCRS, item #33 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Henderson
2007-1387
CASE FILES, CRIMINAL MISDEMEANOR Misdemeanor
cases rirosecuted bv District Attorney's office.
Disposition + 6 Years
HC
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Henderson
2007-1499
CASE FILES, DRIVING UNDER THE INFLUENCE Case file
for DUI cases. May contain citation, blood alcohol test results, plea,
judgment, dockets, receipts, community service referrals, completion
records, arrest reports, temporary custody reports, bench warrants,
admonishment of rights, motions, citation / complaint, bail bonds,
custody release, o/r paperwork, orders, minutes, serve slips
Disposition + 7 Years
HC EL
NRS 48 4.3792, NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Henderson
2007-1383
CASE FILES, FELONY Felony cases filed & prosecuted by
District Attorney's office. May contain complaint / citation,
admonishment of rights, motion, orders, payment receipt, bail bonds,
custody release, o/r paperwork, toxicology reports, plea, judgment,
docket, blood alcohol test results, completion records, community
service referrals, arrest reports, temporary custody records, minutes,
Disposition + 10
Years
HC EL
Retain cases determined by District Attorney
to be of historical significance permanently.
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Henderson
2007-1498
CASE FILES, GROSS MISDEMEANOR Case files document
gross misdemeanor cases filed & prosecuted by District Attorney's
office. May contain case number, defendant's name, social security
number, date of birth, charge, indictment & arraignment dates, plea,
bond amount, trial date, verdict, & sentence. May also contain copies
of police reports, complaints, investigation records, DUI documents,
citations, offense reports, motions, witness lists, subpoenas, FBI
reports, photographs, exhibits, attorneys' notes, correspondence, &
related documents.
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Henderson
SCRS-09
CASE FILES, SMALL CLAIMS Case file of small claims actions.
May contain affidavit and order, return of service, motions,
judgments, etc. includes complaints, motions, writs / garnishments,
orders / stipulations, formal objections, certified mail receipt,
answers, bankruptcy notification, bench warrants, appeals, court
appearance dates, security cost bonds / receipts / nsf, judgments,
court minutes, evidence, affidavits, correspondence, counterclaim
Disposition + 6 Years
HC EL
SCRS, item #9 NRS 205.4617, NAC 239.165
(1) (2). Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
174
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Henderson
2007-0877
CASE FILES, TRAFFIC Case file for traffic cases. May contain
citations, motions, orders, judgments, receipts, docket, minutes,
referrals, payment receipts, bail bonds, blood alcohol test results,
plea, completion records, arrest warrants, bench warrants, custody
release, temporary custody records, admonishment of rights, o/r
„i;„„
Disposition + 6 Years
EIC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Henderson
SCRS-42
CASE HISTORY & CASE PROCEEDINGS RECORDS,
MISCELLANEOUS Various types of records (usually on an
electronic data base) used to keep track of individual court case
histrirv nrtivitv :mil ilwivwitmn fmimitp
Disposition + 6 Years
EL
SCRS, item #42 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Henderson
SCRS-17
CITATIONS, UNABLE TO LOCATE Citations that were issued
but defendant could not be located.
5 Years
EIC EL
SCRS, item #17 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Henderson
SCRS-04
CITATIONS, UNCONTESTED Citations issued for misdemeanor
and traffic offenses where there was no court action other than initial
annearanre. and disnosition
Closure + 2 Years
EIC EL
SCRS, item #4 NRS 205.4617, NAC 239.165
(1) (2). Security Destruction, see notes.
Justice Court - Henderson
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
EIC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Justice Court - Henderson
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Justice Court - Henderson
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTP A A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Justice Court - Henderson
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Justice Court - Henderson
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Justice Court - Henderson
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Justice Court - Henderson
COURT ADMINISTRATIVE ORDERS
PERMANENT
HC EL
Justice Court - Henderson
CRIMINAL WITNESS PAYROLL
Audit Clearance
HC EL
Security Destruction, see notes.
Justice Court - Henderson
2007-1389
DENIALS/NO CHARGES FILED File on persons arrested or
cited, but against whom the D.A. declines to file charges. Also letter
from D A asserting such
3 Years
HC EL
SCRS, item #34 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
175
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Henderson
2007-1298
DISCIPLINARY ACTIONS {Department Copies) Official record
coriv at Human Resources.
Termination + 1 Year
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Henderson
2007-0334
DOCKETS, CIVIL, CRIMINAL, SMALL CLAIMS,
MISCELLANEOUS Docket containing entries on papers filed,
court actions, judgments, etc. in cases. Includes judgments, party
information, judgment amounts / balance, attorney fees / name, court
costs, affidavits, judgments for and/or against, filing fees,
applications filed, court dates / hearings, claim amount, memo of
cost, case status, presiding judge, case number
10 Years
HC EL
Dockets created before 1940 can be disposed
of only with advice and consent of Division of
Archives and Records. NRS 4.230, NRS
178.606, JCRCP 84
Justice Court - Henderson
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Justice Court - Henderson
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Justice Court - Henderson
SCRS-23a
EVICTIONS SUMMARY, UNCONTESTED Landlord's
affidavit, order to remove tenant. Includes Evictions Notices /
Corrmlaint Orders
Issuance of Order + 2
Years
HC EL
SCRS, item #23a
Justice Court - Henderson
SCRS-24
EXECUTIONS, JUDGMENT Attachment of assets or wages as a
result of a judgment. Includes writ / garnishment.
Disposition + 6 Years
HC EL
SCRS, item #24 NRS 70.010, NRS 205.4617,
NAC 239.165 (1) (2). Security Destruction,
see notes.
Justice Court - Henderson
SCRS-29
EXTRADITIONS Documentation on extradition proceedings. May
contain complaint for warrant, probable cause affidavit, warrant, and
consent and waiver. Includes Complaint for warrant, Probable cause
affidavit, Warrant, Consent, Waiver, Jail paperwork (fugitive).
Completion + 6 Years
HC EL
SCRS, item #29 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Henderson
FEE BOOKS Contains entries that detail title of matter, proceeding
or action, and fees charged therein.
Audit Clearance
HC EL
NRS 4.090
Justice Court - Henderson
2007-1039
FEES, REQUESTS FOR PAYMENT Payment requests & may
include overdue notices, requests for payment, receipts, related
corresnondence &. similar documents
Settlement + 1 Fiscal
Year
HC EL
Justice Court - Henderson
SCRS-18,
20. 22
INDEXES TO CASE FILES, DOCKETS & MISCELLANEOUS
Indexes to case files, citations, dockets, and miscellaneous.
Until Superseded
EL
SCRS, item #18,20,22 NRS 4.250
Justice Court - Henderson
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Justice Court - Henderson
LOG, CITATIONS
Audit Clearance
EL
Justice Court - Henderson
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
rwv
3 Years
HC EL
NRS 11.190 (3)(d)
Justice Court - Henderson
MEETING RECORDS, JUDGES
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
176
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Henderson
SCRS-26
NOTICE OF INTENT TO ISSUE WARRANT Letter sent to
warn defendants who have failed to appear or pay fines that an arrest
warrant will he issued
90 Days
EL
SCRS, item #26 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Henderson
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Justice Court - Henderson
SCRS-27
OWN RECOGNIZANCE RECORDS Documentation on
defendants released from jail on their own recognizance or whose
hail has heen modified
Disposition
HC
SCRS, item #27 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Henderson
2007-1461
PARKING CITATIONS Citations for infractions of parking code.
Disposition + 2 Years
HC EL
Justice Court - Henderson
SCRS-30
PARTIAL/INSTALLMENT PAYMENT RECORDS
Documentation on fines, fees, and other debts owed to court and
being naid in installments
Completion of
Payment + 2 Years
HC EL
SCRS, item #30 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Henderson
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Justice Court - Henderson
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Justice Court - Henderson
2007-0067
PROPERTY EQUIPMENT, RECORDS AND INVENTORIES
Documents property and equipment records and inventories. Includes
PO copies, property reports, description of items, inventory listings.
Life of Asset + 1 Year
HC EL
Justice Court - Henderson
PUBLICATIONS, ISSUED BY OTHER DEPARTMENTS OR
ORGANIZATIONS Newsletters, magazines, pamphlets, statistical
renorts
Administratively
Useful
HC
Justice Court - Henderson
SCRS-40
RECEIPTS DEPOSITED WITH TREASURER Deposit receipt
for monies deriosited with Countv Treasurer.
Audit Clearance
HC
SCRS, item #40 NRS 354.624
Justice Court - Henderson
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
Justice Court - Henderson
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Justice Court - Henderson
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Justice Court - Henderson
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Justice Court - Henderson
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
177
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Henderson
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Justice Court - Henderson
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travel Official record conv at Comritroller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - Henderson
USJR REPORTS AND STATISTICS Reports and statistics
reauired to be reported to Nevada Supreme Court
PERMANENT
EIC EL
Justice Court - Las Vegas
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record conv at Comntroller
Audit Clearance
EIC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - Las Vegas
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
EIC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Justice Court - Las Vegas
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
EIC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Justice Court - Las Vegas
SCRS-28
AFFIDAVIT, PROBABLE CAUSE Affidavit filed for
preliminary examination. May have arrest report attached. Includes
Probable cause affidavit, Arrest report, Temporary custody record,
2 Years OR Affidavit
filed with District
Court
EIC EL
Supreme Court Retention Schedule (SCRS),
item #28. NRS 205.4617, NAC 239.165 (1)
(2). Security Destruction, see notes.
Justice Court - Las Vegas
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
Conies i Official record copv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - Las Vegas
2007-0303
APPLICATIONS AND RESUMES, HIRED Applications and/or
resumes submitted to agencies by individuals seeking employment,
transfer or riromotion
Transfer to master
personnel file
HC
Security Destruction, see notes.
Justice Court - Las Vegas
2007-1273
APPLICATIONS AND RESUMES, NOT HIRED Applications
and/or resumes submitted to agencies by individuals seeking
emnlovment transfer or nromotion who were not hired
Closure + 2 Years
HC
Security Destruction, see notes.
Justice Court - Las Vegas
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Justice Court - Las Vegas
2007-0790
BAIL BOND REGISTER Register containing information on bail
bonds posted with court (Qualifying Powers of Agents and Bond
Co.) Bail Bond Register summarizes data that is also found on actual
bail bond which is kept in case file. Some information will also
appear on receipt that is generated for transaction.
Exoneration or
Forfeiture + 6 Years
EL
NRS 178.544
Justice Court - Las Vegas
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankina relationshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Justice Court - Las Vegas
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
178
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Las Vegas
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Justice Court - Las Vegas
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rermests
Audit Clearance
HC
Justice Court - Las Vegas
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at Corrmtroller.
Audit Clearance + 1
Year
HC EL
Justice Court - Las Vegas
2007-0568
BUILDING PLANS (Department Copies) Official record copy at
Real Property Management. Copies of building plans for court
expansion. It may include blueprints, engineering drawings,
specifications, photographs, maps and drawings for related
Administratively
Useful
EIC EL
Justice Court - Las Vegas
SCRS-14
CALENDARS/AGENDAS, JUSTICE COURT Day by day listing
of cases to be heard, sriecifvins derailment.
90 Days
HC
SCRS, item #14 NRS 178.592
Justice Court - Las Vegas
2007-0155
CASE FILES, CIVIL May contain affidavits / applications,
motions, orders / stipulations, judgments, complaints / confessions,
satisfactions, writs, answers, petition for sealing, memo of cost,
attorney fees / notifications, remands, appeals/appeal bonds, court
appearances/hearings, bankruptcy notifications, transfers, court
minutes, counterclaims, certification in support, various notices/
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Las Vegas
SCRS-33
CASE FILES, COMMUNITY SERVICE Documentation on
persons doing community service in lieu of serving time in jail or
ravinff a fine Includes referrals and comnletion renorts
Completion + 2 Years
HC EL
SCRS, item #33 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
2007-1387
CASE FILES, CRIMINAL MISDEMEANOR Misdemeanor
cases rirosecuted bv District Attorney's office.
Disposition + 6 Years
HC
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Las Vegas
2007-1499
CASE FILES, DRIVING UNDER THE INFLUENCE Case file
for DUI cases. May contain citation, blood alcohol test results, plea,
judgment, dockets, receipts, community service referrals, completion
records, arrest reports, temporary custody reports, bench warrants,
admonishment of rights, motions, citation / complaint, bail bonds,
custody release, o/r paperwork, orders, minutes, serve slips
Disposition + 7 Years
HC EL
NRS 48 4.3792, NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
2007-1383
CASE FILES, FELONY Felony cases filed & prosecuted by
District Attorney's office. May contain complaint / citation,
admonishment of rights, motion, orders, payment receipt, bail bonds,
custody release, o/r paperwork, toxicology reports, plea, judgment,
docket, blood alcohol test results, completion records, community
service referrals, arrest reports, temporary custody records, minutes,
- - ' ¦ - -
Disposition + 10
Years
HC EL
Retain cases determined by District Attorney
to be of historical significance permanently.
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
179
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Las Vegas
2007-1498
CASE FILES, GROSS MISDEMEANOR Case files document
gross misdemeanor cases filed & prosecuted by District Attorney's
office. May contain case number, defendant's name, social security
number, date of birth, charge, indictment & arraignment dates, plea,
bond amount, trial date, verdict, & sentence. May also contain copies
of police reports, complaints, investigation records, DUI documents,
citations, offense reports, motions, witness lists, subpoenas, FBI
reports, photographs, exhibits, attorneys' notes, correspondence, &
related documents.
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Las Vegas
SCRS-09
CASE FILES, SMALL CLAIMS Case file of small claims actions.
May contain affidavit and order, return of service, motions,
judgments, etc. includes complaints, motions, writs / garnishments,
orders / stipulations, formal objections, certified mail receipt,
answers, bankruptcy notification, bench warrants, appeals, court
appearance dates, security cost bonds / receipts / nsf, judgments,
court minutes, evidence, affidavits, correspondence, counterclaim
Disposition + 6 Years
HC EL
SCRS, item #9 NRS 205.4617, NAC 239.165
(1) (2). Security Destruction, see notes.
Justice Court - Las Vegas
2007-0877
CASE FILES, TRAFFIC Case file for traffic cases. May contain
citations, motions, orders, judgments, receipts, docket, minutes,
referrals, payment receipts, bail bonds, blood alcohol test results,
plea, completion records, arrest warrants, bench warrants, custody
release, temporary custody records, admonishment of rights, o/r
„i;„„
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Las Vegas
SCRS-42
CASE HISTORY & CASE PROCEEDINGS RECORDS,
MISCELLANEOUS Various types of records (usually on an
electronic data base) used to keep track of individual court case
histrirv nrtivitv :mil ilwivwitmn fmimitp
Disposition + 6 Years
EL
SCRS, item #42 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
SCRS-17
CITATIONS, UNABLE TO LOCATE Citations that were issued
but defendant could not be located.
5 Years
HC EL
SCRS, item #17 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
SCRS-04
CITATIONS, UNCONTESTED Citations issued for misdemeanor
and traffic offenses where there was no court action other than initial
annearanre. and disnosition
Closure + 2 Years
HC EL
SCRS, item #4 NRS 205.4617, NAC 239.165
(1) (2). Security Destruction, see notes.
Justice Court - Las Vegas
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Justice Court - Las Vegas
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
180
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Las Vegas
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTP A A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Justice Court - Las Vegas
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rpcnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Justice Court - Las Vegas
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nrhipvpm frits
PERMANENT
HC EL
Justice Court - Las Vegas
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Justice Court - Las Vegas
COURT ADMINISTRATIVE ORDERS
PERMANENT
HC EL
Justice Court - Las Vegas
CRIMINAL WITNESS PAYROLL
Audit Clearance
HC EL
Security Destruction, see notes.
Justice Court - Las Vegas
2007-1389
DENIALS/NO CHARGES FILED File on persons arrested or
cited, but against whom the D.A. declines to file charges. Also letter
from D A asserting such
3 Years
HC EL
SCRS, item #34 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
2007-1298
DISCIPLINARY ACTIONS {Department Copies) Official record
coriv at. Human Resources.
Termination + 1 Year
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Las Vegas
2007-0334
DOCKETS, CIVIL, CRIMINAL, SMALL CLAIMS,
MISCELLANEOUS Docket containing entries on papers filed,
court actions, judgments, etc. in cases. Includes judgments, party
information, judgment amounts / balance, attorney fees / name, court
costs, affidavits, judgments for and/or against, filing fees,
applications filed, court dates / hearings, claim amount, memo of
cost, case status, presiding judge, case number
10 Years
HC EL
Dockets created before 1940 can be disposed
of only with advice and consent of Division of
Archives and Records. NRS 4.230, NRS
178.606, JCRCP 84
Justice Court - Las Vegas
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Justice Court - Las Vegas
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Justice Court - Las Vegas
SCRS-23a
EVICTIONS SUMMARY, UNCONTESTED Landlord's
affidavit, order to remove tenant. Includes Evictions Notices /
Comnlaint Orders
Issuance of Order + 2
Years
HC EL
SCRS, item #23a
Justice Court - Las Vegas
SCRS-24
EXECUTIONS, JUDGMENT Attachment of assets or wages as a
result of a judgment. Includes writ / garnishment.
Disposition + 6 Years
HC EL
SCRS, item #24 NRS 70.010, NRS 205.4617,
NAC 239.165 (1) (2). Security Destruction,
see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
181
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Las Vegas
SCRS-29
EXTRADITIONS Documentation on extradition proceedings. May
contain complaint for warrant, probable cause affidavit, warrant, and
consent and waiver. Includes Complaint for warrant, Probable cause
affidavit, Warrant, Consent, Waiver, Jail paperwork (fugitive).
Completion + 6 Years
HC EL
SCRS, item #29 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
FEE BOOKS Contains entries that detail title of matter, proceeding
or action, and fees charged therein.
Audit Clearance
HC EL
NRS 4.090
Justice Court - Las Vegas
2007-1039
FEES, REQUESTS FOR PAYMENT Payment requests & may
include overdue notices, requests for payment, receipts, related
corresnondence &. similar documents
Settlement + 1 Fiscal
Year
HC EL
Justice Court - Las Vegas
SCRS-18,
20. 22
INDEXES TO CASE FILES, DOCKETS & MISCELLANEOUS
Indexes to case files, citations, dockets, and miscellaneous.
Until Superseded
EL
SCRS, item #18,20,22 NRS 4.250
Justice Court - Las Vegas
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Justice Court - Las Vegas
LOG, CITATIONS
Audit Clearance
EL
Justice Court - Las Vegas
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
rwv
3 Years
HC EL
NRS 11.190 (3)(d)
Justice Court - Las Vegas
MEETING RECORDS, JUDGES
PERMANENT
HC EL
Justice Court - Las Vegas
SCRS-26
NOTICE OF INTENT TO ISSUE WARRANT Letter sent to
warn defendants who have failed to appear or pay fines that an arrest
warrant will hp issued
90 Days
EL
SCRS, item #26 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Justice Court - Las Vegas
SCRS-27
OWN RECOGNIZANCE RECORDS Documentation on
defendants released from jail on their own recognizance or whose
hail has been modified
Disposition
HC
SCRS, item #27 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
2007-1461
PARKING CITATIONS Citations for infractions of parking code.
Disposition + 2 Years
HC EL
Justice Court - Las Vegas
SCRS-30
PARTIAL/INSTALLMENT PAYMENT RECORDS
Documentation on fines, fees, and other debts owed to court and
heinci raid in installments
Completion of
Payment + 2 Years
HC EL
SCRS, item #30 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Justice Court - Las Vegas
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Justice Court - Las Vegas
2007-0067
PROPERTY EQUIPMENT, RECORDS AND INVENTORIES
Documents property and equipment records and inventories. Includes
PO copies, property reports, description of items, inventory listings.
Life of Asset + 1 Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
182
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Las Vegas
PUBLICATIONS, ISSUED BY OTHER DEPARTMENTS OR
ORGANIZATIONS Newsletters, magazines, pamphlets, statistical
renorts
Administratively
Useful
HC
Justice Court - Las Vegas
SCRS-40
RECEIPTS DEPOSITED WITH TREASURER Deposit receipt
for monies deposited with Countv Treasurer.
Audit Clearance
HC
SCRS, item #40 NRS 354.624
Justice Court - Las Vegas
2007-0165
RECEIPTS FOR CRIMINAL REPORTS Payment & cost of
rmrchasins conies of criminal renorts.
Audit Clearance
HC EL
NRS 354.624
Justice Court - Las Vegas
SCRS-36
RECEIPTS, DAILY Copy of receipts issued for payments.
Audit Clearance
HC EL
SCRS, item #36
Justice Court - Las Vegas
2007-0336
RECORD OF EVICTIONS Eviction proceedings & may contain
execution affidavit, tenant affidavit, order, copies of court
documents, date notice served, summary notice, date of eviction,
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Las Vegas
SCRS-07
RECORD OF PROCEEDINGS Written documents, sound
recordings or court reporter's shorthand record of court proceedings.
30 days after appeal
period, OR 30 days
after final disposition
in district court.
HC
SCRS, item #7
Justice Court - Las Vegas
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nroiprt or activity
Administratively
Useful
HC
Justice Court - Las Vegas
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Justice Court - Las Vegas
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and othpr internal mpptinos
1 Year
HC EL
Justice Court - Las Vegas
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Justice Court - Las Vegas
SCRS-31
TEMPORARY PROTECTIVE ORDERS (TPO) Stalking/Harm
to Minors/Workplace Harassment Protective Orders issued in cases.
Includes Application, Orders, Confidential Sheet, Motions,
Correspondence, Court Minutes, Appeals, Receipts (criminal).
Disposition + 2 Years
HC EL
SCRS, item #31 NRS 33.020, NRS 205.4617,
NAC 239.165 (1) (2). Security Destruction,
see notes.
Justice Court - Las Vegas
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Justice Court - Las Vegas
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Human RpoinrrpQ
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
183
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Las Vegas
SCRS-06
TRANSCRIPTS, PRELIMINARY HEARING Transcripts of
preliminary examination for cases to be bound over to district court.
2 Years, OR
Transcript filed with
District Court
HC EL
SCRS, item #6 NRS 171.198, NRS 205.4617,
NAC 239.165 (1) (2). Security Destruction,
see notes.
Justice Court - Las Vegas
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travel Official record rnrw at Cnmritrnller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - Las Vegas
USJR REPORTS AND STATISTICS Reports and statistics
reauired to be reriorted to Nevada Surireme Court
PERMANENT
HC EL
Justice Court - Las Vegas
SCRS-16
WARRANTS, ARREST - SERVED
3 years after arrest
HC EL
SCRS, item #16. Security Destruction, see
notes.
Justice Court - Las Vegas
SCRS-15
WARRANTS, ARREST - UNSERVED Warrants that were issued
but were never served.
5 Years
HC EL
SCRS, item #15. NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Las Vegas
SCRS-18
WARRANTS, SEARCH Issued by court.
Expiration + 2 Years
HC
SCRS, item #18
Justice Court - North Las
Vegas
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record rnrw at Cnmritrnller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - North Las
Vegas
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Justice Court - North Las
Vegas
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Justice Court - North Las
Vegas
SCRS-28
AFFIDAVIT, PROBABLE CAUSE Affidavit filed for
preliminary examination. May have arrest report attached. Includes
Probable cause affidavit, Arrest report, Temporary custody record,
2 Years OR Affidavit
filed with District
Court
HC EL
Supreme Court Retention Schedule (SCRS),
item #28. NRS 205.4617, NAC 239.165 (1)
(2). Security Destruction, see notes.
Justice Court - North Las
Vegas
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Copies) Official record copy at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - North Las
Vegas
2007-0303
APPLICATIONS AND RESUMES, HIRED Applications and/or
resumes submitted to agencies by individuals seeking employment,
transfer ornromotion
Transfer to master
personnel file
HC
Security Destruction, see notes.
Justice Court - North Las
Vegas
2007-1273
APPLICATIONS AND RESUMES, NOT HIRED Applications
and/or resumes submitted to agencies by individuals seeking
emrilnvment transfer or rirnmntinn who were not hired
Closure + 2 Years
HC
Security Destruction, see notes.
Justice Court - North Las
Vegas
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Justice Court - North Las
Vegas
2007-0790
BAIL BOND REGISTER Register containing information on bail
bonds posted with court (Qualifying Powers of Agents and Bond
Co.) Bail Bond Register summarizes data that is also found on actual
bail bond which is kept in case file. Some information will also
appear on receipt that is generated for transaction.
Exoneration or
Forfeiture + 6 Years
EL
NRS 178.544
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
184
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - North Las
Vegas
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Justice Court - North Las
Vegas
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Justice Court - North Las
Vegas
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clprk
Fiscal Yearend + 5
Years
HC EL
Justice Court - North Las
Vegas
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Justice Court - North Las
Vegas
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record copy at Comptroller.
Audit Clearance + 1
Year
HC EL
Justice Court - North Las
Vegas
2007-0568
BUILDING PLANS (Department Copies) Official record copy at
Real Property Management. Copies of building plans for court
expansion. It may include blueprints, engineering drawings,
specifications, photographs, maps and drawings for related
Administratively
Useful
HC EL
Justice Court - North Las
Vegas
SCRS-14
CALENDARS/AGENDAS, JUSTICE COURT Day by day listing
of cases to be heard, specifying department.
90 Days
HC
SCRS, item #14 NRS 178.592
Justice Court - North Las
Vegas
2007-0155
CASE FILES, CIVIL May contain affidavits / applications,
motions, orders / stipulations, judgments, complaints / confessions,
satisfactions, writs, answers, petition for sealing, memo of cost,
attorney fees / notifications, remands, appeals/appeal bonds, court
appearances/hearings, bankruptcy notifications, transfers, court
minutes, counterclaims, certification in support, various notices/
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - North Las
Vegas
SCRS-33
CASE FILES, COMMUNITY SERVICE Documentation on
persons doing community service in lieu of serving time in jail or
rtavino a finp Tnrlurlps referrals and rnrrmlptinn rpnnrts
Completion + 2 Years
HC EL
SCRS, item #33 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - North Las
Vegas
2007-1387
CASE FILES, CRIMINAL MISDEMEANOR Misdemeanor
cases prosecuted by District Attorney's office.
Disposition + 6 Years
HC
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - North Las
Vegas
2007-1499
CASE FILES, DRIVING UNDER THE INFLUENCE Case file
for DUI cases. May contain citation, blood alcohol test results, plea,
judgment, dockets, receipts, community service referrals, completion
records, arrest reports, temporary custody reports, bench warrants,
admonishment of rights, motions, citation / complaint, bail bonds,
custody release, o/r paperwork, orders, minutes, serve slips
Disposition + 7 Years
HC EL
NRS 48 4.3792, NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
185
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - North Las
Vegas
2007-1383
CASE FILES, FELONY Felony cases filed & prosecuted by
District Attorney's office. May contain complaint / citation,
admonishment of rights, motion, orders, payment receipt, bail bonds,
custody release, o/r paperwork, toxicology reports, plea, judgment,
docket, blood alcohol test results, completion records, community
service referrals, arrest reports, temporary custody records, minutes,
Disposition + 10
Years
HC EL
Retain cases determined by District Attorney
to be of historical significance permanently.
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - North Las
Vegas
2007-1498
CASE FILES, GROSS MISDEMEANOR Case files document
gross misdemeanor cases filed & prosecuted by District Attorney's
office. May contain case number, defendant's name, social security
number, date of birth, charge, indictment & arraignment dates, plea,
bond amount, trial date, verdict, & sentence. May also contain copies
of police reports, complaints, investigation records, DUI documents,
citations, offense reports, motions, witness lists, subpoenas, FBI
reports, photographs, exhibits, attorneys' notes, correspondence, &
related documents.
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - North Las
Vegas
SCRS-09
CASE FILES, SMALL CLAIMS Case file of small claims actions.
May contain affidavit and order, return of service, motions,
judgments, etc. includes complaints, motions, writs / garnishments,
orders / stipulations, formal objections, certified mail receipt,
answers, bankruptcy notification, bench warrants, appeals, court
appearance dates, security cost bonds / receipts / nsf, judgments,
court minutes, evidence, affidavits, correspondence, counterclaim
Disposition + 6 Years
EIC EL
SCRS, item #9 NRS 205.4617, NAC 239.165
(1) (2). Security Destruction, see notes.
Justice Court - North Las
Vegas
2007-0877
CASE FILES, TRAFFIC Case file for traffic cases. May contain
citations, motions, orders, judgments, receipts, docket, minutes,
referrals, payment receipts, bail bonds, blood alcohol test results,
plea, completion records, arrest warrants, bench warrants, custody
release, temporary custody records, admonishment of rights, o/r
„i;„„
Disposition + 6 Years
EIC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - North Las
Vegas
SCRS-42
CASE HISTORY & CASE PROCEEDINGS RECORDS,
MISCELLANEOUS Various types of records (usually on an
electronic data base) used to keep track of individual court case
histrirv nrtivitv :mil ilwivwitmn fmimitp
Disposition + 6 Years
EL
SCRS, item #42 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - North Las
Vegas
SCRS-17
CITATIONS, UNABLE TO LOCATE Citations that were issued
but defendant could not be located.
5 Years
EIC EL
SCRS, item #17 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - North Las
Vegas
SCRS-04
CITATIONS, UNCONTESTED Citations issued for misdemeanor
and traffic offenses where there was no court action other than initial
annearanre and disnosition
Closure + 2 Years
EIC EL
SCRS, item #4 NRS 205.4617, NAC 239.165
(1) (2). Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
186
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - North Las
Vegas
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Justice Court - North Las
Vegas
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Justice Court - North Las
Vegas
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTPA A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Justice Court - North Las
Vegas
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Justice Court - North Las
Vegas
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Justice Court - North Las
Vegas
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Justice Court - North Las
Vegas
COURT ADMINISTRATIVE ORDERS
PERMANENT
HC EL
Justice Court - North Las
Vegas
CRIMINAL WITNESS PAYROLL
Audit Clearance
HC EL
Security Destruction, see notes.
Justice Court - North Las
Vegas
2007-1389
DENIALS/NO CHARGES FILED File on persons arrested or
cited, but against whom the D.A. declines to file charges. Also letter
from D A asserting such
3 Years
HC EL
SCRS, item #34 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - North Las
Vegas
2007-1298
DISCIPLINARY ACTIONS {Department Copies) Official record
copy at Human Resources.
Termination + 1 Year
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - North Las
Vegas
2007-0334
DOCKETS, CIVIL, CRIMINAL, SMALL CLAIMS,
MISCELLANEOUS Docket containing entries on papers filed,
court actions, judgments, etc. in cases. Includes judgments, party
information, judgment amounts / balance, attorney fees / name, court
costs, affidavits, judgments for and/or against, filing fees,
applications filed, court dates / hearings, claim amount, memo of
cost, case status, presiding judge, case number
10 Years
HC EL
Dockets created before 1940 can be disposed
of only with advice and consent of Division of
Archives and Records. NRS 4.230, NRS
178.606, JCRCP 84
Justice Court - North Las
Vegas
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
187
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - North Las
Vegas
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Justice Court - North Las
Vegas
SCRS-23a
EVICTIONS SUMMARY, UNCONTESTED Landlord's
affidavit, order to remove tenant. Includes Evictions Notices /
C.nrrmlaint Orders
Issuance of Order + 2
Years
HC EL
SCRS, item #23a
Justice Court - North Las
Vegas
SCRS-24
EXECUTIONS, JUDGMENT Attachment of assets or wages as a
result of a judgment. Includes writ / garnishment.
Disposition + 6 Years
HC EL
SCRS, item #24 NRS 70.010, NRS 205.4617,
NAC 239.165 (1) (2). Security Destruction,
see notes.
Justice Court - North Las
Vegas
SCRS-29
EXTRADITIONS Documentation on extradition proceedings. May
contain complaint for warrant, probable cause affidavit, warrant, and
consent and waiver. Includes Complaint for warrant, Probable cause
affidavit, Warrant, Consent, Waiver, Jail paperwork (fugitive).
Completion + 6 Years
HC EL
SCRS, item #29 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - North Las
Vegas
FEE BOOKS Contains entries that detail title of matter, proceeding
or action, and fees charged therein.
Audit Clearance
HC EL
NRS 4.090
Justice Court - North Las
Vegas
2007-1039
FEES, REQUESTS FOR PAYMENT Payment requests & may
include overdue notices, requests for payment, receipts, related
corresnondence &. similar documents
Settlement + 1 Fiscal
Year
HC EL
Justice Court - North Las
Vegas
SCRS-18,
20,22
INDEXES TO CASE FILES, DOCKETS & MISCELLANEOUS
Indexes to case files, citations, dockets, and miscellaneous.
Until Superseded
EL
SCRS, item #18,20,22 NRS 4.250
Justice Court - North Las
Vegas
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Justice Court - North Las
Vegas
LOG, CITATIONS
Audit Clearance
EL
Justice Court - North Las
Vegas
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
rwv
3 Years
HC EL
NRS 11.190 (3)(d)
Justice Court - North Las
Vegas
MEETING RECORDS, JUDGES
PERMANENT
HC EL
Justice Court - North Las
Vegas
SCRS-26
NOTICE OF INTENT TO ISSUE WARRANT Letter sent to
warn defendants who have failed to appear or pay fines that an arrest
warrant will hp issued
90 Days
EL
SCRS, item #26 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - North Las
Vegas
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Justice Court - North Las
Vegas
SCRS-27
OWN RECOGNIZANCE RECORDS Documentation on
defendants released from jail on their own recognizance or whose
bail has been modified
Disposition
HC
SCRS, item #27 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - North Las
Vegas
2007-1461
PARKING CITATIONS Citations for infractions of parking code.
Disposition + 2 Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
188
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - North Las
Vegas
SCRS-30
PARTIAL/INSTALLMENT PAYMENT RECORDS
Documentation on fines, fees, and other debts owed to court and
heinff raid in installments
Completion of
Payment + 2 Years
HC EL
SCRS, item #30 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - North Las
Vegas
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Justice Court - North Las
Vegas
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Justice Court - North Las
Vegas
2007-0067
PROPERTY EQUIPMENT, RECORDS AND INVENTORIES
Documents property and equipment records and inventories. Includes
PO copies, property reports, description of items, inventory listings.
Life of Asset + 1 Year
HC EL
Justice Court - North Las
Vegas
PUBLICATIONS, ISSUED BY OTHER DEPARTMENTS OR
ORGANIZATIONS Newsletters, magazines, pamphlets, statistical
renorts
Administratively
Useful
HC
Justice Court - North Las
Vegas
SCRS-40
RECEIPTS DEPOSITED WITH TREASURER Deposit receipt
for monies deposited with County Treasurer.
Audit Clearance
HC
SCRS, item #40 NRS 354.624
Justice Court - North Las
Vegas
2007-0165
RECEIPTS FOR CRIMINAL REPORTS Payment & cost of
purchasing copies of criminal reports.
Audit Clearance
HC EL
NRS 354.624
Justice Court - North Las
Vegas
SCRS-36
RECEIPTS, DAILY Copy of receipts issued for payments.
Audit Clearance
HC EL
SCRS, item #36
Justice Court - North Las
Vegas
2007-0336
RECORD OF EVICTIONS Eviction proceedings & may contain
execution affidavit, tenant affidavit, order, copies of court
documents, date notice served, summary notice, date of eviction,
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - North Las
Vegas
SCRS-07
RECORD OF PROCEEDINGS Written documents, sound
recordings or court reporter's shorthand record of court proceedings.
30 days after appeal
period, OR 30 days
after final disposition
in district court.
HC
SCRS, item #7
Justice Court - North Las
Vegas
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nrniprt or activity
Administratively
Useful
HC
Justice Court - North Las
Vegas
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmatinri
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Justice Court - North Las
Vegas
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and nthpr internal mpptinos
1 Year
HC EL
Justice Court - North Las
Vegas
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
189
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - North Las
Vegas
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Justice Court - North Las
Vegas
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Justice Court - North Las
Vegas
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travel Official record conv at Oomritroller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - Outlying
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"! Official record conv at Oomntroller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - Outlying
2007-1558a
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Justice Court - Outlying
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Justice Court - Outlying
SCRS-28
AFFIDAVIT, PROBABLE CAUSE Affidavit filed for
preliminary examination. May have arrest report attached. Includes
Probable cause affidavit, Arrest report, Temporary custody record,
2 Years OR Affidavit
filed with District
Court
HC EL
Supreme Court Retention Schedule (SCRS),
item #28. NRS 205.4617, NAC 239.165 (1)
(2). Security Destruction, see notes.
Justice Court - Outlying
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
Conies i Official record copv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Justice Court - Outlying
2007-0303
APPLICATIONS AND RESUMES, HIRED Applications and/or
resumes submitted to agencies by individuals seeking employment,
transfer or riromotion
Transfer to master
personnel file
HC
Security Destruction, see notes.
Justice Court - Outlying
2007-1273
APPLICATIONS AND RESUMES, NOT HIRED Applications
and/or resumes submitted to agencies by individuals seeking
emnlovment transfer or nromotion who were not hired
Closure + 2 Years
HC
Security Destruction, see notes.
Justice Court - Outlying
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Justice Court - Outlying
2007-0790
BAIL BOND REGISTER Register containing information on bail
bonds posted with court (Qualifying Powers of Agents and Bond
Co.) Bail Bond Register summarizes data that is also found on actual
bail bond which is kept in case file. Some information will also
appear on receipt that is generated for transaction.
Exoneration or
Forfeiture + 6 Years
EL
NRS 178.544
Justice Court - Outlying
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
190
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Outlying
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Justice Court - Outlying
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
Justice Court - Outlying
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rermests
Audit Clearance
HC
Justice Court - Outlying
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at Corrmtroller.
Audit Clearance + 1
Year
HC EL
Justice Court - Outlying
2007-0568
BUILDING PLANS (Department Copies) Official record copy at
Real Property Management. Copies of building plans for court
expansion. It may include blueprints, engineering drawings,
specifications, photographs, maps and drawings for related
Administratively
Useful
HC EL
Justice Court - Outlying
SCRS-14
CALENDARS/AGENDAS, JUSTICE COURT Day by day listing
of cases to be heard, sriecifvins derailment.
90 Days
HC
SCRS, item #14 NRS 178.592
Justice Court - Outlying
2007-0155
CASE FILES, CIVIL May contain affidavits / applications,
motions, orders / stipulations, judgments, complaints / confessions,
satisfactions, writs, answers, petition for sealing, memo of cost,
attorney fees / notifications, remands, appeals/appeal bonds, court
appearances/hearings, bankruptcy notifications, transfers, court
minutes, counterclaims, certification in support, various notices/
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Outlying
SCRS-33
CASE FILES, COMMUNITY SERVICE Documentation on
persons doing community service in lieu of serving time in jail or
ravinff a fine Includes referrals and comnletion renorts
Completion + 2 Years
HC EL
SCRS, item #33 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Outlying
2007-1387
CASE FILES, CRIMINAL MISDEMEANOR Misdemeanor
cases rirosecuted bv District Attorney's office.
Disposition + 6 Years
HC
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Outlying
2007-1499
CASE FILES, DRIVING UNDER THE INFLUENCE Case file
for DUI cases. May contain citation, blood alcohol test results, plea,
judgment, dockets, receipts, community service referrals, completion
records, arrest reports, temporary custody reports, bench warrants,
admonishment of rights, motions, citation / complaint, bail bonds,
custody release, o/r paperwork, orders, minutes, serve slips
Disposition + 7 Years
HC EL
NRS 48 4.3792, NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Outlying
2007-1383
CASE FILES, FELONY Felony cases filed & prosecuted by
District Attorney's office. May contain complaint / citation,
admonishment of rights, motion, orders, payment receipt, bail bonds,
custody release, o/r paperwork, toxicology reports, plea, judgment,
docket, blood alcohol test results, completion records, community
service referrals, arrest reports, temporary custody records, minutes,
- - ' ¦ - -
Disposition + 10
Years
HC EL
Retain cases determined by District Attorney
to be of historical significance permanently.
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
191
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Outlying
2007-1498
CASE FILES, GROSS MISDEMEANOR Case files document
gross misdemeanor cases filed & prosecuted by District Attorney's
office. May contain case number, defendant's name, social security
number, date of birth, charge, indictment & arraignment dates, plea,
bond amount, trial date, verdict, & sentence. May also contain copies
of police reports, complaints, investigation records, DUI documents,
citations, offense reports, motions, witness lists, subpoenas, FBI
reports, photographs, exhibits, attorneys' notes, correspondence, &
related documents.
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Outlying
SCRS-09
CASE FILES, SMALL CLAIMS Case file of small claims actions.
May contain affidavit and order, return of service, motions,
judgments, etc. includes complaints, motions, writs / garnishments,
orders / stipulations, formal objections, certified mail receipt,
answers, bankruptcy notification, bench warrants, appeals, court
appearance dates, security cost bonds / receipts / nsf, judgments,
court minutes, evidence, affidavits, correspondence, counterclaim
Disposition + 6 Years
HC EL
SCRS, item #9 NRS 205.4617, NAC 239.165
(1) (2). Security Destruction, see notes.
Justice Court - Outlying
2007-0877
CASE FILES, TRAFFIC Case file for traffic cases. May contain
citations, motions, orders, judgments, receipts, docket, minutes,
referrals, payment receipts, bail bonds, blood alcohol test results,
plea, completion records, arrest warrants, bench warrants, custody
release, temporary custody records, admonishment of rights, o/r
„i;„„
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Outlying
SCRS-42
CASE HISTORY & CASE PROCEEDINGS RECORDS,
MISCELLANEOUS Various types of records (usually on an
electronic data base) used to keep track of individual court case
histrirv nrtivitv :mil ilwivwitmn fmimitp
Disposition + 6 Years
EL
SCRS, item #42 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Outlying
SCRS-17
CITATIONS, UNABLE TO LOCATE Citations that were issued
but defendant could not be located.
5 Years
HC EL
SCRS, item #17 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Outlying
SCRS-04
CITATIONS, UNCONTESTED Citations issued for misdemeanor
and traffic offenses where there was no court action other than initial
annearanre. and disnosition
Closure + 2 Years
HC EL
SCRS, item #4 NRS 205.4617, NAC 239.165
(1) (2). Security Destruction, see notes.
Justice Court - Outlying
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Justice Court - Outlying
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
192
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Outlying
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTP A A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Justice Court - Outlying
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rpcnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Justice Court - Outlying
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nrhipvpm frits
PERMANENT
HC EL
Justice Court - Outlying
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Justice Court - Outlying
COURT ADMINISTRATIVE ORDERS
PERMANENT
HC EL
Justice Court - Outlying
CRIMINAL WITNESS PAYROLL
Audit Clearance
HC EL
Security Destruction, see notes.
Justice Court - Outlying
2007-1389
DENIALS/NO CHARGES FILED File on persons arrested or
cited, but against whom the D.A. declines to file charges. Also letter
from D A asserting such
3 Years
HC EL
SCRS, item #34 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Outlying
2007-1298
DISCIPLINARY ACTIONS {Department Copies) Official record
coriv at. Human Resources.
Termination + 1 Year
HC EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Outlying
2007-0334
DOCKETS, CIVIL, CRIMINAL, SMALL CLAIMS,
MISCELLANEOUS Docket containing entries on papers filed,
court actions, judgments, etc. in cases. Includes judgments, party
information, judgment amounts / balance, attorney fees / name, court
costs, affidavits, judgments for and/or against, filing fees,
applications filed, court dates / hearings, claim amount, memo of
cost, case status, presiding judge, case number
10 Years
HC EL
Dockets created before 1940 can be disposed
of only with advice and consent of Division of
Archives and Records. NRS 4.230, NRS
178.606, JCRCP 84
Justice Court - Outlying
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
Justice Court - Outlying
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Justice Court - Outlying
SCRS-23a
EVICTIONS SUMMARY, UNCONTESTED Landlord's
affidavit, order to remove tenant. Includes Evictions Notices /
Comnlaint Orders
Issuance of Order + 2
Years
HC EL
SCRS, item #23a
Justice Court - Outlying
SCRS-24
EXECUTIONS, JUDGMENT Attachment of assets or wages as a
result of a judgment. Includes writ / garnishment.
Disposition + 6 Years
HC EL
SCRS, item #24 NRS 70.010, NRS 205.4617,
NAC 239.165 (1) (2). Security Destruction,
see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
193
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Outlying
SCRS-29
EXTRADITIONS Documentation on extradition proceedings. May
contain complaint for warrant, probable cause affidavit, warrant, and
consent and waiver. Includes Complaint for warrant, Probable cause
affidavit, Warrant, Consent, Waiver, Jail paperwork (fugitive).
Completion + 6 Years
HC EL
SCRS, item #29 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Outlying
FEE BOOKS Contains entries that detail title of matter, proceeding
or action, and fees charged therein.
Audit Clearance
HC EL
NRS 4.090
Justice Court - Outlying
2007-1039
FEES, REQUESTS FOR PAYMENT Payment requests & may
include overdue notices, requests for payment, receipts, related
corresnondence &. similar documents
Settlement + 1 Fiscal
Year
HC EL
Justice Court - Outlying
SCRS-18,
20. 22
INDEXES TO CASE FILES, DOCKETS & MISCELLANEOUS
Indexes to case files, citations, dockets, and miscellaneous.
Until Superseded
EL
SCRS, item #18,20,22 NRS 4.250
Justice Court - Outlying
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Justice Court - Outlying
LOG, CITATIONS
Audit Clearance
EL
Justice Court - Outlying
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
rwv
3 Years
HC EL
NRS 11.190 (3)(d)
Justice Court - Outlying
MEETING RECORDS, JUDGES
PERMANENT
HC EL
Justice Court - Outlying
SCRS-26
NOTICE OF INTENT TO ISSUE WARRANT Letter sent to
warn defendants who have failed to appear or pay fines that an arrest
warrant will hp issued
90 Days
EL
SCRS, item #26 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Outlying
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Justice Court - Outlying
SCRS-27
OWN RECOGNIZANCE RECORDS Documentation on
defendants released from jail on their own recognizance or whose
hail has been modified
Disposition
HC
SCRS, item #27 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Outlying
2007-1461
PARKING CITATIONS Citations for infractions of parking code.
Disposition + 2 Years
HC EL
Justice Court - Outlying
SCRS-30
PARTIAL/INSTALLMENT PAYMENT RECORDS
Documentation on fines, fees, and other debts owed to court and
heinci raid in installments
Completion of
Payment + 2 Years
HC EL
SCRS, item #30 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
Justice Court - Outlying
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Justice Court - Outlying
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Justice Court - Outlying
2007-0067
PROPERTY EQUIPMENT, RECORDS AND INVENTORIES
Documents property and equipment records and inventories. Includes
PO copies, property reports, description of items, inventory listings.
Life of Asset + 1 Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
194
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Justice Court - Outlying
PUBLICATIONS, ISSUED BY OTHER DEPARTMENTS OR
ORGANIZATIONS Newsletters, magazines, pamphlets, statistical
renorts
Administratively
Useful
HC
Justice Court - Outlying
SCRS-40
RECEIPTS DEPOSITED WITH TREASURER Deposit receipt
for monies deposited with Countv Treasurer.
Audit Clearance
HC
SCRS, item #40 NRS 354.624
Justice Court - Outlying
2007-0165
RECEIPTS FOR CRIMINAL REPORTS Payment & cost of
rmrchasins conies of criminal renorts.
Audit Clearance
HC EL
NRS 354.624
Justice Court - Outlying
SCRS-36
RECEIPTS, DAILY Copy of receipts issued for payments.
Audit Clearance
HC EL
SCRS, item #36
Justice Court - Outlying
2007-0336
RECORD OF EVICTIONS Eviction proceedings & may contain
execution affidavit, tenant affidavit, order, copies of court
documents, date notice served, summary notice, date of eviction,
Calendar Yearend + 6
Years
EL
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
Justice Court - Outlying
SCRS-07
RECORD OF PROCEEDINGS Written documents, sound
recordings or court reporter's shorthand record of court proceedings.
30 days after appeal
period, OR 30 days
after final disposition
in district court.
HC
SCRS, item #7
Justice Court - Outlying
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nroiprt or activity
Administratively
Useful
HC
Justice Court - Outlying
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Justice Court - Outlying
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and othpr internal mpptinos
1 Year
HC EL
Justice Court - Outlying
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Justice Court - Outlying
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Justice Court - Outlying
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Justice Court - Outlying
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travpl Official rw.nrrl rnnv at Comntrollpr
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Juvenile Justice
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Rprpivahlp"!
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
195
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Juvenile Justice
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing derartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Juvenile Justice
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Juvenile Justice
AGING REPORTS To keep track of youth in detention. Includes
vouth names, court status.
Until Superseded
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
ALTERNATIVE LIVING FILES Placement information for
juveniles. Includes Court order, court minutes, Medicaid application,
Financial statement, placement verification, release of information.
Termination
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Juvenile Justice
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Juvenile Justice
AUTHORIZATIONS FOR EMERGENCY PLACEMENT Back
ur> paperwork for emergency placement
Termination
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
2007-0304
BACKGROUND CHECK RECORDS May include fingerprint
cards, CANS, SCOPE, CTRACK, NCJIS, NCIC, police reports,
court dispositions, emails & similar documents,
fingerprinting/criminal correspondence, CJIS/NCJIS log, UNITY
Completion + 3 Years
HC EL
Security Destruction, see notes.
Juvenile Justice
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankino relatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Juvenile Justice
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Juvenile Justice
BIRTH/DEATH CERTIFICATES (copies) Hard copy requests
for birth/death certificates by Juvenile Probation officers for official
purposes. Includes email request from JPO, subject information,
application, cover letter, copy of driver's license / identification
badge, copy of court order, authorization to mail, copy of check for
fee, copy of birth/death certificate, log of certificates received/picked
3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
Juvenile Justice
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Juvenile Justice
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
196
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Juvenile Justice
2007-0153
CALENDAR OF CASES, JUVENILE Day by day listing of cases
to be heard, sriecifvins department
30 Days
HC
NRS 178.592
Juvenile Justice
2007-1401
CASE FILES, JUVENILE Cases in which Department is a party &
may include incident reports, copies of law enforcement reports,
copies of investigation reports, citations, complaints, referrals,
psychological evaluations, juvenile counselor case summaries &
recommendations, juvenile social histories, attorney case notes,
opinions, court petitions, orders, motions, affidavits, answers,
agreements, stipulations, confessions, witness statements, criminal
records of the accused, copies of court documents, dispositions,
verdicts, correspondence, & other supporting documents relative to
State requirement =
Age of Majority + 6
Years
Department policy is
PERMANENT
HC EL
Security Destruction, see notes.
Juvenile Justice
CASE PLANS Information pertaining to conditions / requirements
for probation and client demographics. Includes client name,
address, phone, terms of probation, requirements, parental
infnrmtitinii
Case Closed
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
CASES FILES, HOLD OPEN Return agreement, receive
summary, citation or arrest affidavit, case id, open date, incident
report, parent form, picture ID, SAARP form, priority response,
Case Closed
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
CLIENT PLACEMENT LIST Juvenile personal information,
placement date, expected release date, actual release date, unit,
officer, Medicaid info, placement - in/out of state, funding source,
Until Superseded
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
COMMUNITY/SCHOOL NOTIFICATION FILES Comply with
State Laws in notifying community and schools. Includes copy of
community notification, law enforcement info, copy of school
Case Closed + 3
Years
HC EL
NRS 179D.475, NRS 62F.220, NRS11.190
(3)(a), 45CFR164.501, NRS 205.4617,
NAC 239.165 (1) (2) Security Destruction,
see notes.
Juvenile Justice
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Juvenile Justice
CONFERENCE AND TRAINING ROOM RESERVATION
RECORDS Record of requests/confirmations of reservations for
Conference and training rooms
1 Year
HC EL
Juvenile Justice
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Juvenile Justice
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Juvenile Justice
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official record is maintained liv another denartment
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
197
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Juvenile Justice
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Juvenile Justice
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Juvenile Justice
2007-0433
DAILY CASH AND RECEIPTS REPORTS Daily cash
transactions and may contain receipts, cashier's daily reports, cash
balance reports, transmittal reports, and related documents. Includes
QC/PC daily transactions, Main Cashier deposits, Credit Card
transmittals, Customer Svc Deposits, Batch reports, Receipt copies.
Audit Clearance
HC EL
Juvenile Justice
2007-1298
DISCIPLINARY ACTION RECORDS Files are created for each
DJJS employee who receives discipline; i.e., documented oral
warning, admonishment, writtten reprimand, final written warning, to
Settlement + 3 Years
HC EL
NRS 281.645 Security Destruction, see notes.
Juvenile Justice
EMERGENCY CONTACT INFORMATION Information
regarding contacts for DJJS personnel and outside agencies contact
nersons
Until Superseded
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Juvenile Justice
2007-0332
EMPLOYEE RECOGNITION PROGRAM RECORDS
Document Employee of the Quarter and Year nominees and
recinients
2 Years
HC
Juvenile Justice
2007-1238
EMPLOYEE SUGGESTION FORMS Documents "employee
suggestions", "good ideas", "action needed" and similar agency
nroprams
Administratively
Useful
HC EL
Juvenile Justice
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Juvenile Justice
ERC YOUTH REFERRAL LIST Staff uses this referral sheet as
an information resource for youth to determine youth's needs via
nrohation and contact information
1 Year
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
FACILITY INSPECTION RECORDS Health Department
Tnsriection Records.
1 Year
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
198
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Juvenile Justice
2007-1469
FITNESS FOR DUTY FILES {Department Copies. Official
record copy at Human Resources.) Document actions taken when an
evaluation is done to determine an employee's ability to perform
essential functions of job due to physical, mental, or emotional
disorders. This may include incident reports, essential functions
forms, certifications from health care providers, copies of medical
records, copies of leave forms, copies of payroll reports, related
correspondence and similar documents.
Closure
HC
HIPAA information requires Security
Destruction, see notes.
Juvenile Justice
FOOD SERVICE COUNT SHEETS Tracking daily meal counts
for staff and vouth
3 Years
HC EL
Juvenile Justice
2007-1568
GIFT AND DONATION RECORDS Gifts & donations to DJJS.
May contain donor information, copies of wills, bequest documents,
endowment documents, trust documents, acknowledgement letters,
award guidelines, records documenting conditions or restraints of
gift or contribution, letters & agreements of gift, copy of gift
disclosure, donation forms, donation lists, deeds, related
correspondence & similar documents.
PERMANENT
HC EL
Juvenile Justice
2007-0059
GRANT FISCAL RECORDS Documents the awarding of funds
from federal government, state government, private organizations,
private benefactors, and similar sources. Accounting reports,
expenditure reports, audit reports, monitoring reports, copies of
purchase orders, warrants, warrant registers, vouchers.
Submission of final
expenditure report + 3
Fiscal Years, OR
Granting authority
requirement,
—T— i
HC EL
Juvenile Justice
2007-1649
GRANT RECORDS - PROPOSALS, REPORTS, & RESULTS
Grants applied for and received from federal and state governments,
private organizations, private benefactors, and other sources;
includes correspondence, application and supporting documentation,
project proposal, project plans, award notification, grant related
contracts and/or agreements, equipment inventories, statistical
reports, monitoring reports, summary reports and similar records.
Closure + 3 Years,
OR Retention period
required by grantor,
whichever longer
HC EL
Review for historical value
Juvenile Justice
INTERNAL REPORTING FINANCIAL WORKSHEETS Track
expenditures, revenue requested, revenue received, revenue due and
shortages. Includes Salary savings, monthly food expenditures by
site, total food expenditures by vendor, total food/non-food costs.
Audit Clearance
HC EL
Juvenile Justice
INTERSTATE COMPACT FILES (ICOJ) Documentation
tracking interstate transfer of juveniles, including case information,
renorts court orders nrnpress renorts
Case Closed
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
JUVENILE DETENTION ALTERNATIVE INITIATIVE
(JDAD FTLES Includes survev. strateaies. aranhs. renorts. charts.
3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
199
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Juvenile Justice
JUVENILE DETENTION STATISTICAL REPORTS Statistical
information relating to the detention of youth, including Admissions
Logs, bed sheets, faith based forms, incident reports, kitchen shift
InoQ rwprrirlpQ unit shift InoQ
3 Years
HC EL
Juvenile Justice
JUVENILE SEX OFFENDER TIER ASSESSMENTS To assign
tier level to juvenile sex offenders as required by law. Includes
asspssmpnt wnrkshppt misr rlnriimpnts
Termination of
Supervision + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
197D.475, NRS 11.190 (l)(a) Security
Destruction, see notes.
Juvenile Justice
2007-0836
LIABILITY RELEASE FORMS Liability release forms required
for participation in various programs offered by local governmental
departments. Usually consists of event specific liability forms,
participant information, contact information, signature of participant
or parent/legal guardian, emergency contact information, & similar
2 Years
HC EL
Security Destruction, see notes.
Juvenile Justice
LIST OF INSTRUCTORS AND BIOGRAPHICAL
INFORMATION Information on instructors for the department
including instructor biography, test/answer keys, inventory, forms,
instructor resumes, contact numbers, interoffice presentation.
Until Superseded
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
LISTS OF COMMUINIT Y PROVIDERS List of referrals,
placements and treatment providers
Until Superseded
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
LOG, DISCARDED MEDICATIONS Tracking disposal of
medications
5 Years
HC
NRS 205.4617, NAC 239.165 (1) (2) NAC
639.050 Security Destruction, see notes.
Juvenile Justice
LOG, DISTRICT ATTORNEY DENIAL Statistics and casework
in which D.A. denies filing a formal petition with court. D.A. uses a
rating system and they do not meet criteria. However, other services
5 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
LOG, ERC DAILY Record details youth's name, probation officer
assigned, court date, etc. File is used to keep an accurate record of
youth's information on a day to day basis while at E.R.C.
Termination of
Supervision
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
LOG, MAYSI SCREENING Record of youth who have completed
May si screening.
3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.501 Security Destruction, see
notes.
Juvenile Justice
LOG, PROBATION FILES TRACKING Sign out book used for
tracking files and reference materials
3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
LOG, RETURN AGREEMENT Records of youth being taken out
of detention or interviewed bv detectives.
3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
LOG, SCOPE Used to obtain information on adult records or
outstanding juvenile warrants. Includes Name/DOB of subjects,
criminal historv arrests/warrants
3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
200
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Juvenile Justice
2007-1362
LOGS & REPORTS, COMPUTER HELP DESK Documents
requests for technical assistance & responses from users to requests,
as well as collect information on use of computer equipment for
program delivery, security, or other purposes. Includes: Summary,
work order number, type, category, priority, technician assigned,
Date assigned, date due, description, resolution and attachments.
1 Year
EL
Juvenile Justice
LOGS, ADMISSION Information on booking/admitting youth.
1 Year
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes
Juvenile Justice
LOGS, SHIFT Maintain unit/staffing information
1 Year
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes
Juvenile Justice
LOGS, VISITATION Records of youth visits
2 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes
Juvenile Justice
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Juvenile Justice
2007-0846
MEETING RECORDS, DORM Documents actions and discussion
transriiring at derailment and committee meetings.
1 Year
HC EL
Juvenile Justice
MENU RECORDS Record of menus of meals served to youth.
1 Year
HC EL
Juvenile Justice
MUGSHOT PHOTOGRAPHS Photo of youth at time of booking.
Often used for rihoto lineuris to identify youth.
Juvenile reaches age
of 21
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
NARC SLIPS Document used to provide notice and/or reset a court
date. Internal use onlv.
Administratively
Useful
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
NATIONAL SCHOOL LUNCH PROGRAM CLAIMS Monthly
school breakfast/lunch program claims for federal reimbursement.
Includes Daily total youth population, Detention daily popluation
report, Detention meal record, SMYC meal record, Mealsum, NEP-
Ricci Monthly claim, Revenue worksheet.
Submission of final
expenditure report + 3
Fiscal Years, OR
Granting authority
requirement,
—T— i
HC EL
Juvenile Justice
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Juvenile Justice
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Juvenile Justice
PERFORMANCE BASED STANDARDS REPORTS
Records/correspondence for PBS reporting months. Program
monitors goals, outcome measures, expected practices and policies ol
fnrilitips wnrlHwiHp
2 Years
HC EL
Juvenile Justice
PERMITS, EQUIPMENT Permits for various types of equipment
including boilers, health district, radio station license, septic tanks,
water underground storage fishing
Life of Asset
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
201
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Juvenile Justice
2007-1297b
PERSONNEL FILES, TEMPORARY AND SEASONAL
EMPLOYEES, EMPLOYED LESS THAN 1 YEAR Documents
employment history of temporary and seasonal employees. These
employees are usually hired to perform specific tasks or projects, and
length of employment is usually for a limited duration.
Termination + 3 Years
HC EL
Security Destruction, see notes.
Juvenile Justice
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Juvenile Justice
2007-0323
POSITION REPORTS Information on staffing levels, vacancies,
and filled positions.
2 Years
HC
Juvenile Justice
PROBATION FIELD BOOKS Used for tracking cases while
traveling. Includes vouth information, caserilans. case notes.
Termination of
Siroervision
HC
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
PROGRAM ATTENDANCE/COMPLETION RECORDS
Records of vouth's attendina and comDletina Droaram services.
1 Year
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
PROGRAM RECORDS, SMYC FORESTRY This is a yearly
agenda for SMYC Summer Forestry program and agreements
between USFS and Nevada Partners. Includes orientation letter,
overnighter proposal, justification, staff training, parent meeting,
youth safety school, exams, permission slips, equipment logs,
Expiration + 4 Years
HC EL
Juvenile Justice
PROJECT FILES For construction and other projects involving
D.T.TS facilities and rirorierties.
Completion + 10
Years
HC EL
Juvenile Justice
2007-0067
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Records of all displays, items for storage, collections, and artifacts.
May include original donation or purchase information, valuation,
histnrv nf itpm
Until Superseded + 1
Fiscal Yearend
HC EL
Juvenile Justice
2007-0090
RECEIVING RECORDS AND VENDOR INVOICES Payment
of bills for goods & services, including billing statements, receiving
reports, shipping documents, expense reimbursements, computer
generated reports & printouts, payment authorizations, supportive
documentation, related correspondence
Fiscal Yearend + 5
Years
HC
Security Destruction, see notes.
Juvenile Justice
2007-0068
RECORDS OF EXTERNAL GROUPS AND AGENCIES
Records provided to local governments for courtesy or informational
purposes from associations, organizations, groups & agencies that
are not part of local government but which have some form of
association or relationship with local government.
Administratively
Useful
HC EL
Juvenile Justice
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nrniprt or artivilv
Administratively
Useful
HC
Juvenile Justice
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
202
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Juvenile Justice
SCOPE REPORTS, DEPARTMENT COPY (OfficialRecord
copy at Las Vegas Metro Police Department) Report of all entries,
deletions and innniries made on SCOPE svstem
3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
SHIFT BID INFORMATION Records pertaining to which
locations and shifts that classified errmlovees bid on.
Expiration of Contract
HC EL
Juvenile Justice
SPECIAL LEAVE REQUESTS, YOUTHS IN CUSTODY
Maintain documentation of leave requests for youth. Includes special
leave renuests annroval/denial weekend violations
3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
Juvenile Justice
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Juvenile Justice
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Juvenile Justice
SUBSTANCE ABUSE ASSESSMENT REFERRAL
PROGRAM RECORDS Youth referral forms, stat reports, training
materials misc documents
6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
62E.620, NRS 11.190 (l)(a) Security
Destruction, see notes.
Juvenile Justice
SUICIDE MONTORING FORMS For temporary use as needed
when Guard One svstem is down.
3 Months
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Juvenile Justice
TEMPERATURE MONITORING RECORDS Track temperature
of buildinss. freezers and refrigerators.
1 Year
HC EL
Juvenile Justice
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Juvenile Justice
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
FTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Juvenile Justice
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Juvenile Justice
TRUANCY COURT RECORDS Record for truancy court case,
including truancy citation, truancy petition, parent form, return
agreement, attendance monitoring sheets, community service log,
Case Closed
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Juvenile Justice
USD A FOOD PRODUCT RECALL RECORDS Recall notices
Administratively
Useful
HC EL
Juvenile Justice
USD A ORDERS Monthly food ordering from USDA.
Audit Clearance
HC EL
Juvenile Justice
2007-0880
VEHICLE MAINTENANCE AND REPAIR RECORDS
Maintenance and repair history of vehicles used by department.
Life of Asset + 3
Years
HC
Juvenile Justice
WORK SCHEDULE RECORDS Track and maintain shift
scheduling for staff
1 Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
203
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Juvenile Justice
YOUTH COUNSELING RECORDS Information and attendance
of youth's attending counseling sessions. Includes informational
sheet referral forms attendance rosters
Termination
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Juvenile Justice
YOUTH GRIEVANCE RECORDS Documentation of youth
grievances.
Disposition + 3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Law Library
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Law Library
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Law Library
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Law Library
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Law Library
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Law Library
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationship
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Law Library
2007-0050
BID RECORDS {Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Law Library
2007-0003
BUDGET REQUEST, ANNUAL {Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Conntv Commissioners
Fiscal Yearend + 5
Years
HC EL
Law Library
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Law Library
2007-0052
BUDGET, ADOPTED {Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Law Library
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Law Library
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record conv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Law Library
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
204
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Law Library
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Law Library
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Law Library
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Law Library
2007-1311
DEPOSITS Record of incoming revenue from fines and other
sources.
Audit Clearance
HC EL
Law Library
2007-0058
EMPLOYEE PERSONNEL FILES {Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Law Library
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Law Library
2007-1279
INCIDENT REPORTS Security events.
Cclandar Yearend + 5
Years
HC EL
Security Destruction, see notes.
Law Library
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Law Library
2007-0893
LIBRARY CATALOG Records identifying & describing books &
other materials in library collection.
Until Superseded
EL
Law Library
2007-1586a
LIBRARY REPORTS, ANNUAL Statistical & narrative reports
documenting collection, registration, circulation, lost books, & other
library activities. May include, but is not limited to, various reports
such as circulation statistics by category, books reserved,
photocopies made, overdue notices mailed, borrowers registered,
copies of budget status reports, expenditure reports, attendance
reports, reports documenting new activities & services, related
correspondence, & similar information.
PERMANENT
EL
Security Destruction, see notes.
Law Library
2007-1586b
LIBRARY REPORTS, NOT ANNUAL Statistical & narrative
reports documenting collection, registration, circulation, lost books,
& other library activities. May include, but is not limited to, various
reports such as circulation statistics by category, books reserved,
photocopies made, overdue notices mailed, borrowers registered,
copies of budget status reports, expenditure reports, attendance
reports, reports documenting new activities & services, related
correspondence, & similar information.
2 Years
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
205
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Law Library
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Law Library
2007-1558
OPERATING STATISTICAL RECORDS NON-ANNUAL
Performance measurement and reriortins.
Calendar Yearend + 2
Years
FIC EL
Law Library
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
EIC EL
Law Library
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Law Library
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Law Library
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Law Library
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Law Library
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Law Library
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Law Library
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Law Library
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Law Library
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Office of Diversity
2007-0046
ACCOUNTING RECORDS (Department Copies ) Document financial
transactions and accounting functions (including A/P and A/R). Official
record cow at Comntroller.
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Office of Diversity
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial renorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Office of Diversity
2007-1558a
ACTIVITY REPORTS. MONTHLY Monthlv ooeratine. statistical or
financial renorts detailins derailment activities.
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Office of Diversity
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
Covies) Official record codv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
206
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Office of Diversity
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Office of Diversity
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled checks,
bank reconciliations, and similar records that document a banking
relation shin.
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Office of Diversity
2007-0050
BID RECORDS (Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Office of Diversity
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to Board
of County Commissioners. Official record copy at County Clerk.
Fiscal Yearend + 5
Years
HC EL
Office of Diversity
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation, review,
and decision-making processes for department budget requests.
Audit Clearance
HC
Office of Diversity
2007-0052
BUDGET, ADOPTED (.Department Copies ) Copies of adopted budgets.
Official record copy at Comptroller.
Audit Clearance + 1
Year
HC EL
Office of Diversity
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
207
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Office of Diversity
2007-1323
COMPLAINTS, EMPLOYMENT DISCRIMINATION,
SEXUAL HARASSMENT Investigations into alleged discrimination
and/or sexual harassment. Contains copies of discrimination and sexual
harassment policies and acknowledgement forms, discrimination or sexual
harassment complaint/intake forms, investigation questions, plans of action
for investigations, investigation documents, witness statements, personnel
records, form letters / correspondence inclusive of determination letters,
subpoenas, litigation documents, and analytical reports/findings.
5 Calendar Years
from the end of the
calendar year in which
the investigation was
closed. If the
governmental entity is
notified of a pending
claim at either the
Nevada Equal Rights
Commission, the
Equal Employment
Opportunity
Commission, or that
an action is pending in
court, the case files
involved must be
retained until the final
disposition of the
charge or action or for
the 5 Calendar Year
period, whichever is
longer.
HC EL
NRS 233.160, Title VII of the Civil Rights
Act of 1964 as Amended, Age Discrimination
in Employment Act, Americans With
Disabilities Act of 1990, and Pregnancy Act of
1967 Security Destruction, see notes.
Office of Diversity
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For products
and services administered by an agency, where the official record copy is
maintained elsewhere. May include HIPAA information.
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Office of Diversity
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements forNon-Capital products and services. May include
HTPAA information.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Office of Diversity
2007-1230
CONVENENCE COPIES Board Minutes, Ordinances, Resolutions,
Purchase Orders, Requisitions and other copies where official record is
maintained bv another denartment.
Administratively
Useful
HC
Office of Diversity
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not duplicated
elsewhere that document how agency is organized, how it functions, and its
patterns of action, policies, procedures, and achievements.
PERMANENT
HC EL
Office of Diversity
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses.
Administratively
Useful
HC EL
Office of Diversity
2007-1690
EEO REPORTS Reports required by the State Nevada Equal Rights
Commission [NERC} and the Federal Equal Employment Opportunity
Commission [EEOC], in accordance with NRS 233.160 and 29 CFR 1602,
respectively. EEO-4 Summary Sheet, Agency Function List, Staff
Demooranhirs
3 Years
HC MI
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
208
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Office of Diversity
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2) Transfer to Human Resources
Department for consolidation into official
Personnel Record.
Office of Diversity
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Office of Diversity
LEAVE REQUESTS, EMPLOYEE (Department Copies) May
include HIPAA information. Official record copy at Human Resources.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Office of Diversity
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies ) Submissions for inclusion
into Board meeting packets. Official record copy at County Clerk.
3 Years
HC EL
NRS 11.190 (3)(d)
Office of Diversity
2007-0285
ORGANIZATIONAL CHARTS Department and organizational unit
oreanization charts.
Until Superseded
HC EL
Office of Diversity
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer entry of
employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Office of Diversity
2007-0897
PETTY CASH RECORDS Record and track reimbursements of minor
purchases bv staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Office of Diversity
2007-1470
REASONABLE ACCOMMODATION RECORDS Requests for
"reasonable accommodation" in the work place. This includes information
regarding the medical and mental condition, history and work-related
restrictions of an employee or applicant as permitted by the Americans with
Disabilities Act. Self-evaluations, copies of medical records, certifications
from health care providers, documents relating to work related
accommodations, including formal requests for accommodations, responses,
and related supportive documentation, related correspondence, similar
Termination + 4 Years
HC EL
Security Destruction, see notes.
Office of Diversity
2007-1254
REFERENCE FILES General information regarding products, methods
and materials that may be used by the department. Not specific to any project
or activity.
Administratively
Useful
HC
Office of Diversity
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions and
activities assigned to department. May include HIPAA information.
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Office of Diversity
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers meetings,
and other internal meetines.
1 Year
HC EL
Office of Diversity
2007-0075
SUBJECT FILES Copies of correspondence where official record copy
is filed elsewhere.
Administratively
Useful
HC
Office of Diversity
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE (Department
Copies) Documents hours worked and leave hours accrued or taken by
employees on a daily, weekly, or monthly basis. May include HIPAA
information. Official record conv at Human Resources.
1 Year
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
209
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Office of Diversity
2007-0330
TRAINING RECORDS, EMPLOYEE (Department Copies)
Documentation and verification of individual employee training activities.
May include HIPAA information. Official record copy at Human Resources.
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Office of Diversity
2007-1258
TRAVEL RECORDS (Department Copies ) Requests, authorizations,
reimbursements, and other records related to employee travel. Official record
conv at Oomntroller.
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Parks and Recreation
2007-0920a
ACCIDENTS REPORTS, RESULTING IN PERSONAL
INJURY OR DEATH, LEGAL ACTION Accident reports that
result in an injury for customers registered in programs or hurt on
rniitih; nrnnprh/ nr iliirino miirih; nrnoram nr pvpnt
Disposition + 6 Years
FIC EL
HIPAA information requires Security
Destruction, see notes.
Parks and Recreation
2007-0920b
ACCIDENTS REPORTS, RESULTING IN PERSONAL
INJURY OR DEATH, NO LEGAL ACTION Accident reports
that result in an injury for customers registered in programs or hurt
nn rnnritv nrnnprtv nr iliirino rnnritv nrnoram nr pvpnt
Calendar Yearend + 3
Years
EIC EL
HIPAA information requires Security
Destruction, see notes.
Parks and Recreation
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
EIC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Parks and Recreation
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
EIC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Parks and Recreation
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
EIC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Parks and Recreation
2007-0903
APPLICATION TO BECOME PARK COMMISSIONER
Application from individual to become a PRAC member
Active + 2 Years
HC
Security Destruction, see notes.
Parks and Recreation
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Parks and Recreation
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Parks and Recreation
2007-0049
AUDIT REPORTS (office copies) Audits/studies performed by
various outside parties regarding feasibility and/or financial viability
of department, includes feasibility studies, audit findings, etc.
Until Superseded + 1
Fiscal Year
HC EL
Parks and Recreation
2007-1280
AUTHORIZATION AND SECURITY FORMS Used to
authorize, assign authority, and verify approval of various
(jovernmental actions
Expiration + 5 Fiscal
Years
HC
Security Destruction, see notes.
Parks and Recreation
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanldno rplatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Parks and Recreation
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
210
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Parks and Recreation
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.ountv Commissioners
Fiscal Yearend + 5
Years
HC EL
Parks and Recreation
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Parks and Recreation
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Parks and Recreation
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Parks and Recreation
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Parks and Recreation
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Parks and Recreation
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Parks and Recreation
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Parks and Recreation
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Parks and Recreation
2007-0224
CRIMINAL BACKGROUND FILE Criminal background checks
on potential citizen volunteer board members
Calendar Yearend + 6
Years
HC EL
Security Destruction, see notes.
Parks and Recreation
2007-1298
DISCIPLINARY ACTIONS {Department Copies) Official record
coriv at. Human Resources.
Termination + 1 Year
HC EL
Security Destruction, see notes.
Parks and Recreation
2007-0837
EMPLOYEE LICENSES / CERTIFICATES Licenses/certificates
issued to employees by professional, educational, regulatory, or other
agencies. These types of licenses/certificates are normally
occupation specific (EMS, Peace Officer, Firefighter, Social Worker,
Nurses, Engineers & similar professions) & are usually required as a
condition of employment.
Expiration + 3 Years
HC EL
Security Destruction, see notes.
Parks and Recreation
2007-0058
EMPLOYEE PERSONNEL FILES {Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
211
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Parks and Recreation
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Parks and Recreation
2007-0906
FACILITY CONSTRUCTION/PLANNING PROPOSED OR
COMPLETED New construction or modifications either planned or
performed to new or existing park locations or areas. May contain
artist rendering, blueprints, maps, as built, design files, projects.
Includes maps, plans, project overview, RPM estimate, RPM project
Termination + 6 Years
HC EL
Security Destruction, see notes.
Parks and Recreation
2007-0922
FACILITY SIGN IN SHEETS Documentation for open gym,
Rectrek. Includes Sisn In Sheets. Attendance loss.
Expiration + 1 Year
HC
Parks and Recreation
2007-0926
Facility Use Schedules Schedules for use of Park facilities.
lYear
HC EL
Parks and Recreation
2007-0310
FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS
Regulate the granting and monitoring of family leave under the
Federal Family and Medical Leave Act of 1993 and the State
Parental Leave Without Pay Bill. Includes Leave Requests, Medical
Fiscal Yearend + 3
Years
HC EL
29 CFR 1630.14 Security Destruction, see
notes.
Parks and Recreation
2007- 1649
GRANT RECORDS - PROPOSALS, REPORTS, & RESULTS
Grants applied for and received from federal and state governments,
private organizations, private benefactors, and other sources;
includes correspondence, application and supporting documentation,
project proposal, project plans, award notification, grant related
contracts and/or agreements, equipment inventories, statistical
reports, monitoring reports, summary reports and similar records.
Closure + 3 Years,
OR Retention period
required by grantor,
whichever longer.
See NOTE
NOTE: Review for historical value.
Parks and Recreation
2007-1279
INCIDENT REPORTS Security events.
Calendar Yearend + 5
Years
HC EL
Security Destruction, see notes.
Parks and Recreation
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Parks and Recreation
2007-0361
LOG, VEHICLE Check out of pooled vehicles information - miles
in. miles out.
Until Superseded
HC
Parks and Recreation
MAINTENANCE WORK ORDERS Work order form with input
from worker as to resolution, materials used hours of staff time.
Closure + 1 Year
HC EL
Parks and Recreation
2007-0109
MEETING RECORDINGS Recordings of proceedings of
regularly scheduled, special, and emergency meetings and may also
be used to transcribe, verify and correct minutes of public meetings.
Written minutes may be taken from these recordings, transcribed,
corrected as needed, and presented to meeting body for approval.
1 Year
EL
Recordines must be transcribed into written
minutes. NRS 241.035, NRS 241.030
Parks and Recreation
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rinrkptQ
3 Years
HC EL
NRS 11.190 (3)(d)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
212
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Parks and Recreation
MUSEUM PROPERTY AND EQUIPMENT INVENTORY
RECORDS Records of all displays, items for storage, collections,
and artifacts. May include original donation or purchase information,
valuation lii^lnn ^1' ih'm
PERMANENT
EIC EL
Parks and Recreation
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
EIC EL
Parks and Recreation
2007-0923
PAYMENT RECORD, PROGRAM PARTICIPANTS
Documentation concerning payment by individuals or groups for
various nroprams classes events for nark events
Audit Clearance
EIC EL
Security Destruction, see notes.
Parks and Recreation
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Parks and Recreation
2007-0919
PERMITS, PARK OR FACILITY USE Permits needed to put on
event or rental of park facilities. Can include letter of permission
from Director, health permit, fire dept. business license and any other
Audit Clearance + 1
Fiscal Year
EIC EL
Parks and Recreation
2007-0897
PETTY CASH RECORDS Petty cash activity for agency. May
include requests & authorizations to establish petty cash funds, logs
or ledgers, statements, requests for disbursements, copies of receipts
^ immirps Xr similar rlnnimpnts
Audit Clearance
HC
Parks and Recreation
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Parks and Recreation
2007-0786b
PROGRAM ACTIVITY REPORTS, NOT ANNUAL Both pre
and riost activity reriorts for various rirosrams at centers.
Calendar Yearend + 2
Years
EIC EL
Parks and Recreation
2007-0921
PROGRAM DESCRIPTIONS Listing of available programs with
times sessions and fees. Also list requirements of program
participants. May have lesson information, instructor, handouts,
Expiration
EIC EL
Parks and Recreation
2007-0925
PROGRAM ENROLLMENT & ATTENDANCE RECORDS
Records of program offerings attendance, sign in sheets, revenues,
expenses, enrollment materials, insurance, and possibly birth
rprtifiratps
Completion + 5 Years
EIC EL
Security Destruction, see notes.
Parks and Recreation
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
EIC EL
Parks and Recreation
2007-1240
PUBLICATIONS Newsletters, pamphlets, annual or statistical
reports, studies, leaflets and similar material produced by or for
county or any of its departments, subdivisions, or programs for
Histrihntinn tn raihlir
See NOTE
HC
NRS 378.150, NRS 378.150 - 378.210,
NOTE: Send 6 copies of each to Nevada State
Library and Archives - State Publications
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
213
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Parks and Recreation
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Parks and Recreation
2007-1316
REFUND RECORDS Documents credits or refunds to patients for
overpayment. May include amount of overage, cause of overage,
written request for refund, and related correspondence.
Fiscal Yearend + 3
Years
HC EL
Security Destruction, see notes.
Parks and Recreation
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
FIC EL
NRS 11.190 (l)(b)
Parks and Recreation
2007-0904
RENTAL RECORDS, PARK FACILITY OR EQUIPMENT
Client information to rent Parks facility or eauinment.
Audit Clearance
EL
Parks and Recreation
SCHOLARSHIP APPLICATIONS Applications for client
discount on class fees.
2 Years
HC
Parks and Recreation
2007-004 la
SPECIAL EVENT RECORDS, HISTORICAL EVENT Vendors,
participants, co-sponsors' information and participation records and
activities
PERMANENT
EIC EL
Parks and Recreation
2007-0041b
SPECIAL EVENT RECORDS, NOT HISTORICAL EVENT
Vendors, participants, co-sponsors' information and participation
records and activities
Fiscal Yearend + 2
Years
EIC EL
Parks and Recreation
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
Parks and Recreation
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Parks and Recreation
2007-0076
SURVEYS, POLLS, AND QUESTIONNAIRES Document
county department opinion on various issues, actions, and concerns.
Snrvevs noils nnestionnaires summaries abstracts
Administratively
Useful
HC
Parks and Recreation
2007-1673a
SWIMMING POOL FINANCIAL RECORDS Records regarding
swimmins riool financial operations.
Audit Clearance
HC EL
Parks and Recreation
2007-1673b
SWIMMING POOL OPERATING RECORDS Documents
operation of local government operated swimming pools. May
include but is not limited water quality test & analysis reports,
incident reports, inspection & maintenance requests & reports,
Calendar Yearend + 3
Years
HC EL
Parks and Recreation
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Parks and Recreation
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A inWmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
214
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Parks and Recreation
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller ) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Parks and Recreation
2007-0331
VOLUNTEER SERVICE RECORDS Documents work performed
by citizens without compensation for their services. Includes
applications, job descriptions, training documents, orientation
records, workman's compensation records, volunteer processing
check list, time records, monitoring records, & letters of
—
Termination + 3 Years
HC EL
Security Destruction, see notes.
Parks and Recreation
2007-0927
WAIVERS OF LIABILITY Signed by users of park facilities.
2 Years
HC EL
Security Destruction, see notes.
Parks and Recreation
2007-1424
WORKER'S COMPENSATION FILES Document employees
injuries, occupational illnesses and structured return to work
conditions and OSHA reporting. Employer's report of injury,
compensation form, legal correspondence, reports from health
Closure + 3 Years
HC EL
Security Destruction, see notes.
Public Administrator
ACCESS CODE RECORDS Codes to facilities and systems used
by employees. Includes building alarm codes, Mission system access
codes
Until Superseded + 3
Years
HC
NRS 11.190 (3)(d)
Public Administrator
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Administrator
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Public Administrator
2007-1558a
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Public Administrator
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Administrator
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Public Administrator
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankina relationshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Public Administrator
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Public Administrator
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Conntv Commissioners
Fiscal Yearend + 5
Years
HC EL
Public Administrator
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rermests
Audit Clearance
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
215
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Administrator
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Public Administrator
COLLECTED FEE RECORDS Fees collected from decedent
estates paid to Public Administrator. Fees are remitted to County
Trrasurpr
Fiscal Yearend + 3
Years
HC EL
Public Administrator
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Public Administrator
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Public Administrator
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Public Administrator
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Public Administrator
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Public Administrator
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Public Administrator
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Public Administrator
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Public Administrator
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Public Administrator
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Public Administrator
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
216
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Administrator
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Public Administrator
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Public Administrator
2007-0946
PROBATE CASE FILES Case files for decedents consisting of
personal, financial and legal documents required to Probate estates
of individuals. Investigator Reports, Legal documents, Inventory
forms, correspondence, death certificates, wills/trusts, bank
statements, vehicle documents, real property information,
Final Settlement + 6
Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
Public Administrator
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Public Administrator
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Public Administrator
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Public Administrator
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Public Administrator
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Public Administrator
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Public Administrator
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Communications
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Communications
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing derartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Public Communications
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
217
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Communications
2007-1638
AGENDAS, ANNOTATED Summary document listing all items
discussed during public meetings & action taken on those items. Is
not the official/final apenda.
Calendar Yearend + 1
Year
HCEL
Public Communications
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Communications
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Public Communications
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HCEL
NRS 354.624, NAC 239.165 (1)(2)
Public Communications
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HCEL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Public Communications
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.nnntv Cnmmissinnprs
Fiscal Yearend + 5
Years
HCEL
Public Communications
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Public Communications
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HCEL
Public Communications
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HCEL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Public Communications
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Public Communications
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital nroducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Public Communications
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Public Communications
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HCEL
Public Communications
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HCEL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
218
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Communications
2007-0295
DISASTER RECOVERY PLAN Plans to maintain necessary
business operations, protect the public, and to safeguard vital records
during emergency situations. Hazard analysis records, first response
procedures, emergency operations plans, incident response plans,
disaster management and recovery plans, vital record plans, damage
assessment plans, post disaster evaluation procedures,
correspondence and related documents.
Until Superseded
See NOTE
HC EL
NOTE: Retain one copy of superseded
plan permanently for historical purposes
Public Communications
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Public Communications
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Public Communications
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Public Communications
2007-0063
MAILING AND DISTRIBUTION LISTS Lists of names and
addresses compiled for various mailings, such as billings,
notifications, community outreach, and other administrative
purposes. Media Telephone Directory (contact information for the
Calendar Yearend + 1
Year
HC EL
Public Communications
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Public Communications
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Public Communications
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Public Communications
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Public Communications
2007-0440
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
219
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Communications
2007-1559a
PUBLICITY FILES AND PRESS RELEASES. HISTORICAL
This series consists of non-routine or historically significant publicity
files/press releases issued by department. This series may contain
originals or copies of press releases, publicity files, audio and/or
video recordings, public access television channel content, website
content, informational flyers, notes, charts, graphs, correspondence,
PERMANENT
HC EL
Public Communications
2007-155%
PUBLICITY FILES AND PRESS RELEASES, NOT
HISTORICAL Publicity files/Dress releases issued bv department.
This series may contain originals or copies of press releases,
publicity files, audio and/or video recordings, informational flyers,
notes, charts, graphs, correspondence, and related documents.
Administratively
Useful
HC EL
Public Communications
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nrniprt or activity
Administratively
Useful
HC
Public Communications
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Public Communications
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and nthpr internal mpptinos
1 Year
HC EL
Public Communications
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Public Communications
2007-1008
TELEPHONE LOGS Listing or log of telephone calls made and
similar telephone activity reports.
90 Days
HC EL
State requirement is 90 days. Department
policy is to retain for 2 years as a
reference tool due to nature of
rlpnartmpnt
Public Communications
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Public Communications
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmntir\n
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Public Communications
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
rpmrrk rplatprl to pmnlnvm travpl
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Defender
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
TJpnpivahlp"!
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
220
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Defender
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing department activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Public Defender
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Public Defender
2007-1722
ADMINISTRATIVE DATABASES Databases that support
administrative or housekeeping functions such as those used for
purposes of filing, keeping track of equipment and/or supplies,
Administratively
Useful
EL
Security Destruction, see notes.
Public Defender
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Defender
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Public Defender
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanking relatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Public Defender
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Public Defender
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.oimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
Public Defender
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Public Defender
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Public Defender
2007-0153
CALENDARS/AGENDAS, COURT Day by day listing of cases to
be heard, specifying department.
30 Days
HC
NRS 178.592
Public Defender
CASE FILES, ADULT CRIMINAL (Where Life in Prison or
Death Penalty is a Potential Sentence) Category A felony cases
where death sentence or life in prison is a potential sentence under
statutes and capital cases.
Life of Defendant
HC EL
Required for potential post conviction
litigation, as has been previously experienced
by Clark County Public Defender's Office.
Security Destruction, see notes.
Public Defender
2007-0948
CASE FILES, ADULT CRIMINAL Records and documents
collected from outside sources to be used to defend clients charged
with a criminal case. Includes pleadings, transcripts, case history,
witness statements, police reports, correspondence, attorney notes,
Resolution + 7 Years,
See NOTE
HC EL
NOTE: For cases where Public Defender
withdrew or other legal counsel was
appointed: Transfer all related records to
appointed legal counsel. A HC and EL
remain with the CCPD.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
221
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Defender
CASE FILES, ADULT DRUG, DUI, EARLY RELEASE AND
MENTAL HEALTH COURT (SPECIALTY COURTS) Drug
court and mental health case are created from Public defender and
private attorney criminal cases. Includes Court reports from Choices
Inc., case history sheets, court petition/order, jail sanctions, scope,
attorney work product, guilty plea agreements, negotiations, court
notes, e-mails, affidavits, medical reports, police reports, witness
Disposition + 2 Years
Security Destruction, see notes.
Public Defender
2007-1406
CASE FILES, CRIMINAL APPEALS Record is created from trial
files to be used to proceed to Nevada Supreme Court from District
Court upon judgement of conviction. Includes pleadings, record on
appeal, correspondence, research, attorney notes/memos.
Disposition + 7 Years
HC EL
Files are kept until new attorney is appointed;
then everything turned over to new attorney.
We retain original of work products. If a
capital case, we keep a convenience copy of
everything except pleadings and transcripts.
Security Destruction, see notes.
Public Defender
2007-1401
CASE FILES, JUVENILE DELINQUENCY Case files are
summarized and duplicated by district attorney and forwarded to
Public Defender for defense purposes. Social workers and
investigators keep separate work files within their area. Includes
pleadings, request for prosecution, juvenile history, case history,
motions and responses, orders, pre-sentence reports.
Juvenile reaches age
of 18 + 6 Years
HC EL
Security Destruction, see notes.
Public Defender
CASE FILES, MERGE RECORDS REQUEST Requests to
merge name and case records, when client has more than one entry in
Justware system. Includes E-mails requesting merge, generated IT
InoQ nnrl Qimnnrtino rlnnnmpntntinn
1 Year
HC EL
Security Destruction, see notes.
Public Defender
2007-0860
CASE FILES, RECORD SEALED BY COURT
Orders/Documents for cases sealed by a court of record in
accordance with state and federal laws. This series contains petition
notice, affidavits, copy of criminal history, copies of court
documents, signed order of court sealing the records, computer
Same retention period
as equivalent non-
sealed record, unless
directed otherwise by
court
HC EL
Security Destruction, see notes.
Public Defender
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Public Defender
2007-1660
CONTINUING EDUCATION/TRAINING PROGRAM
RECORDS Documents continuing education requirements for
professional license renewal, including training course workshop
documentation, accreditation notices, correspondence, etc.
Expiration + 3 Years
HC EL
Security Destruction, see notes.
Public Defender
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
222
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Defender
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-Canital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Public Defender
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rpcnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Public Defender
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Public Defender
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Public Defender
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Public Defender
2007-0332
EMPLOYEE RECOGNITION PROGRAM RECORDS
Document Employee of the Quarter and Year nominees and
recinients
2 Years
HC
Public Defender
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Public Defender
2007-1341
ERROR REPORTS Reports produced to detect errors or potential
errors within computer systems. Files may consist of paper printouts
and/or on-line reports. Reports may be run on a regular or special
Until Superseded
HC EL
Public Defender
2007-0062
INSURANCE POLICIES Terms & conditions of insurance policies
between local government & insurers. Types of insurance may
include liability, property, motor vehicle, flood, & others. Records
include policies, endorsements, rate change notices, agent of record,
related correspondence & similar documents.
Expiration + 6 Years
HC
Public Defender
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Public Defender
2007-1659
LOBBYIST FORM Document lobbyist and lobbyist employer
activities. This series may include expenditure reports, registration
statements, supplementary registration statements, termination
records, guidelines, related correspondence and similar documents.
5 Years
HC
Public Defender
LOG, DAILY WORKLOAD STATISTICS Statistics for
employees daily work product. Determine daily, monthly and yearly
statistic on office workload
1 Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
223
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Defender
LOG, OFFSITE RECORDS STORAGE ACTIVITY Track files
requested and delivered from RMS storage; clerks, attorneys,
secretaries, runners, investigators, social workers. Log contains; case
number/name, time/date requested, requested/delivered person and
1 Year
HC EL
Public Defender
2007-0859
LOG, PAROLE/PROBATION DISSEMINATION The
documents/reports disseminate information of an individual's
criminal history. This log contains an entry reflecting day Public
Defenders office received pre-sentence report. Includes date
information was provided; person who is subject of information; and
Calendar Yearend + 1
Year
HC EL
Security Destruction, see notes.
Public Defender
2007-1727
LOGS, COMPUTER ACCESS Information relating to employee
name, date & time of access. Data also indicates employee title and
location in department. Any network connectivity and a journal used
when technical staff accesses computer.
Calendar Yearend + 3
Years
EL
Security Destruction, see notes.
Public Defender
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Public Defender
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Public Defender
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 5f 6.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Public Defender
2007-1297b
PERSONNEL FILES, TEMPORARY AND SEASONAL
EMPLOYEES, EMPLOYED LESS THAN 1 YEAR Documents
employment history of temporary and seasonal employees. These
employees are usually hired to perform specific tasks or projects, and
length of employment is usually for a limited duration.
Termination + 3 Years
HC EL
Security Destruction, see notes.
Public Defender
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Public Defender
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Records of all displays, items for storage, collections, and artifacts.
May include original donation or purchase information, valuation,
histnrv nf itpm
Until Superseded + 5
Fiscal Years
HC EL
Public Defender
2007-1559a
PUBLICITY FILES AND PRESS RELEASES. HISTORICAL
Publicity files/press releases issued by coroner. This series may
contain originals or copies of press releases, publicity files, audio
and/or video recordings, informational flyers, notes, charts, graphs,
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
224
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Defender
2007-155%
PUBLICITY FILES AND PRESS RELEASES, NOT
HISTORICAL Publicity files/Dress releases issued bv coroner. This
series may contain originals or copies of press releases, publicity
files, audio and/or video recordings, informational flyers, notes,
charts, graphs, correspondence, and related documents.
Administratively
Useful
HC EL
Public Defender
2007-0070
RECORDS OF MAILINGS Documentation of mailing dates,
content of mailings, and addressees for mailing sent by local
onvpmmpnt for various nnrnnsps
Calendar Yearend + 1
Year
HC
Public Defender
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
Public Defender
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmatinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Public Defender
SOCIAL WORK FILES (Department Copies) Documents social
work referral on legal cases. Includes referral by attorney, release of
information, medical, psychiatric, school, work, substance abuse,
CPS, jail, and criminal records, substance abuse, psychiatric and any
Disposition + 7 Years
HC EL
NOTE: Doctors offices and other agencies
have official records. Evaluations and records
are summarized in JustWare.
Public Defender
2007-1245
SOFTWARE LICENSES Licensure & implementation of computer
software programs by local government. May include permitted uses,
rights & restrictions, warranty information, liability statement, &
laws onviTiiino ntYvlnrl
Expiration + 6 Years
HC
Public Defender
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Public Defender
2007-0047
STRATEGIC PLAN FILES Develop and maintain the
department's mission, goals and performance measures. Activity
renorts nerformance measures
Until Superseded + 3
Years
EL
Security Destruction, see notes. Review for
historical value
Public Defender
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Public Defender
2007-1414
SUPPORTIVE AGENCY FILES Used to keep informed about
activities of other agencies of similar function (other states, national
and international organizations, etc.). Files may contain
correspondence, brochures, pamphlets, announcements, notes,
information sheets on federal/state/and/or private organizations,
copies of reports, handbooks, guides and similar materials.
Administratively
Useful
HC EL
Public Defender
2007-1254
TECHNICAL REFERENCE FILES Non-record copies of
articles, periodicals, reports, studies, vendor catalogs, and similar
materials that are used for reference and information but are not
raihlir rprnrrk
Administratively
Useful
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
225
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Defender
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Public Defender
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Public Defender
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Defender
2007-0072
UNDELTVERABLE MAILING RECORDS Mailings sent by
countv that were returned as undeliverable.
Calendar Yearend + 1
Year
HC
Public Guardian
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Guardian
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Public Guardian
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial renorts detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Public Guardian
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Guardian
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Public Guardian
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Public Guardian
2007-0050
BID RECORDS {Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Public Guardian
2007-0003
BUDGET REQUEST, ANNUAL {Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Countv Commissioners
Fiscal Yearend + 5
Years
HC EL
Public Guardian
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Public Guardian
2007-0052
BUDGET, ADOPTED {Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Public Guardian
BUILDING CONSTRUCTION RECORDS {Department Copies.
Official record copy at Real Property Management Department.)
Architectural design and construction records
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
226
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Guardian
CLIENT FINANCIAL RECORDS Financial records for clients
and/or wards of Public Guardian's and Public Administrator's
Offices. Records include check requests, invoices, statements, check
registers, balance sheets, cancelled checks, stop pay forms, stale date
check reports, representative payee reports, and positive pay reports,
impound forms and burial forms, Account receivable records
including but not limited to, daily deposit reports, ACH reports,
check reconciliation reports, burial and impound account forms,
monthly bank and investment statements, interest apportionment
report, monthly bank reconciliation reports, administrative records
including daily exception reports, fraudulent check files,
investment/checking fund transfer files, and IRS 4804-interest filing
Transaction Date + 7
Years
HC
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.179. Security Destruction, see notes.
Public Guardian
CLIENT/WARD CASE FILES, PUBLIC GUARDIAN &
REPRESENTATIVE PAYEE Case Management records for
clients and wards consisting of personal, financial, medical, legal
documents required to manage the individual and/or individual's
property. Referral information, correspondence, case documentation
including but not limited to; financial, medical, personal information,
court documents, case activity fee information, case notes, copies of
medical records., Originals of wills, birth/marriage certificates, car
titles, life insurance policies, receipts, medical insurance cards, ID
cards and wage stubs.
Closure + 7 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2),
NRS159.179. Security Destruction, see notes
Public Guardian
CLIENT/WARD FEES PAID Public Guardian fees paid to
County Treasurer. Fee records include reports and request for refund
forms relating to fees remitted to Treasurer's Office
Transaction Date + 7
Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
Public Guardian
CLIENT/WARD PROPERTY INVENTORY RECORDS
Inventories of client/ward property managed by Public Guardian and
Public Administrators' offices, including personal property
inventories, vehicle inventories, work orders and inventory sheets.
Transaction Date + 7
Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
159.085. Security Destruction, see notes.
Public Guardian
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Public Guardian
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Public Guardian
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
227
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Guardian
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Public Guardian
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Public Guardian
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Public Guardian
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Public Guardian
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Public Guardian
2007-1648
GRANT FISCAL RECORDS Documentation for State of Nevada,
DAS, including application, budget, notification of award, agenda
item, grant appropriation form, correspondence, timesheets,
spreadsheets, salary/benefit reports, request for funds, financial
reports, client information, and service reports.
Grant Closure + 3
Fiscal Years, OR
retention period
required by granting
authority, whichever
i
HC EL
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
Public Guardian
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Public Guardian
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
Public Guardian
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Public Guardian
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Public Guardian
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
Public Guardian
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Public Guardian
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
228
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Guardian
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Public Guardian
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Public Guardian
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Public Guardian
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Public Guardian
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Guardian
WARD/CLIENT PERSONAL PROPERTY LIQUIDATION
RECORDS Documentation of the inventory, sales and proceeds of
ward's personal property liquidated on E-bay and at public auction.
Transaction Date + 7
Years
HC
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
Public Works
2007-1591
ACCEPTANCE LETTERS Letters from local government entities
to external agencies and developers accepting responsibilities for
future maintenance and mgmt of public infrastructure. Includes
traffic management, construction management, administration,
maintenance mgmt, maps and blue prints.
PERMANENT
HC EL
Public Works
2007-1712b
ACCIDENT REPORTS NOT RESULTING IN LEGAL
ACTION OR DAMAGE Vehicle accidents involving departmental
personnel while on duty. Reports may contain type of accident,
narrative reports regarding facts and circumstances of accident,
witnesses, property damage, injury reports, copies of medical
treatment reports, vehicle damage reports, photos, notes, police
accidents reports, and other related documents.
3 Years
HC
Security Destruction, see notes.
Public Works
2007-1712a
ACCIDENT REPORTS RESULTING IN LEGAL ACTION OR
DAMAGE Vehicle accidents involving departmental personnel
while on duty. Reports may contain type of accident, narrative
reports regarding facts and circumstances of accident, witnesses,
property damage, injury reports, copies of medical treatment reports,
vehicle damage reports, photos, notes, police accidents reports, and
Settlement + 3 Years
HC
Security Destruction, see notes.
Public Works
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Rprpivnhlp"!
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
229
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing department activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Public Works
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Public Works
2007-1722
ADMINISTRATIVE DATABASES Databases that support
administrative or housekeeping functions such as those used for
purposes of filing, keeping track of equipment and/or supplies,
Administratively
Useful
EL
Security Destruction, see notes.
Public Works
2007-1589
AERIAL PHOTOGRAPHS Photographs documenting
topographical & physical features of a specific area at a specific date
and time. Used for planning and other documentation needs.
PERMANENT
HC EL
Public Works
2007-1639
AGENDAS - OFFICIAL/FINAL Meeting agenda & any backup
material submitted prior to or during meeting is often included as
part of meeting minutes. Includes agenda items, respective back-up
PERMANENT
HC EL
Public Works
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Works
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Public Works
2007-0049
AUDIT REPORTS (Department copies. Official record copy at
Auditor's Office.) Audits/studies performed by various outside
parties regarding performance and/or financial viability of
Until Superseded + 1
Fiscal Year
HC EL
Public Works
2007-1328
AUDIT TRAIL RECORDS Data produced during formation of
database used to validate master file database during a process cycle.
Defines: user that makes change, Date & Time of change, Type of
change, Name of file and program, Job that processed data.
3 Data Backup Cycles
EL
Public Works
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationship
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Public Works
2007-0967
BARRICADE PLANS Approved and denied applications and plans
to install access and traffic barricades.
Denial, Superseded or
Removed + 3 Years
EL
Public Works
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Public Works
2007-0427
BOND REGISTERS AND RECORDS Listing of bonds issued &
redeemed & may contain, but is not limited to, information on
coupon number, amount of bond, date bond issued, date of bond
redemption, purpose of bond & to whom bond was issued.
Expiration +10 Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
230
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-1590
BRIDGE AND CULVERT FILES Documents relating to
construction and repair of bridges as well as culverts. Records may
include plans, drawings, blueprints of substructure and,
superstructure, project specifications for materials, types of
PERMANENT
HCEL
Public Works
2007-0003
BUDGET REQUEST, ANNUAL (,Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Countv Commissioners
Fiscal Yearend + 5
Years
HC EL
Public Works
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rpnupsts
Audit Clearance
HC
Public Works
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HCEL
Public Works
2007-0311
CASE FILES, EMPLOYEE GRIEVANCES Grievances or
complaints filed by current employees, terminated employees,
applicants, or private citizens regarding employment practices. May
include, but is not limited to, complaints, investigation reports,
interview documentation, witness statements, background
information, supporting papers, summary of action taken,
audio/video recordings, related correspondence, & summary of
Settlement + 3 Years
HCEL
Security Destruction, see notes.
Public Works
2007-1521
CERTIFIED PAYROLL REPORTS, CONTRACTOR Reports
from contractors & subcontractors of public works projects
documenting compliance with NV law & regulation. May include
certified payroll reports, compliance statements, investigative
reports, verifications, nonperformance payroll reports, applicable
forms, related correspondence, & similar documents.
Settlement + 3 Years
HCEL
NRS 338.010 to 338.090 & NAC 338.005 to
338.125, NRS 338.070 Security Destruction,
see notes.
Public Works
2007-0061
CLAIM FILES, INSURANCE Claims filed against County. These
include personal injury, property damage, motor vehicle accident,
false arrest, and others. Records include reports, photographs,
summaries, reviews, notices, audio and videotapes, transcriptions of
recorded statements, memoranda, correspondence, and related
j—™
Disposition + 3 Fiscal
Years
HC
Security Destruction, see notes.
Public Works
2007-0431
CLAIMS AGAINST COUNTY Claims on a governmental entity
for soods & services rirovided.
Settlement + 3 Years
HCEL
Security Destruction, see notes.
Public Works
2007-1547
CLAIMS AGAINST OTHERS This record series documents
claims by county against public and insurance companies for
recovery of costs for damage to governmental property. Includes
repair estimates, police reports, statements, correspondence, work
orders, memos, insurance info letters, invoices, dunning notice,
Settlement + 6 Years
OR 1 Fiscal Year after
written off as
uncollectible
HCEL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
231
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-0030
COMMUNITY HISTORIES Narrative histories of the community
prepared for special events, reference & other informational
nurnoses
PERMANENT
HC
Public Works
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Public Works
2007-1323
COMPLAINTS, EMPLOYMENT DISCRIMINATION,
SEXUAL HARASSMENT Investigations into alleged
discrimination and/or sexual harassment. Contains copies of
discrimination and sexual harassment policies and acknowledgement
forms, discrimination or sexual harassment complaint/intake forms,
investigation questions, plans of action for investigations,
investigation documents, witness statements, personnel records, form
letters / correspondence inclusive of determination letters,
subpoenas, litigation documents, and analytical reports/findings.
5 Calendar Years
from the end of the
calendar year in which
the investigation was
closed. If the
governmental entity is
notified of a pending
claim at either the
Nevada Equal Rights
Commission, the
Equal Employment
Opportunity
Commission, or that
an action is pending in
court, the case files
involved must be
retained until the final
disposition of the
charge or action or for
the 5 Calendar Year
period, whichever is
longer.
HC EL
NRS 233.160, Title VII of the Civil Rights
Act of 1964 as Amended, Age Discrimination
in Employment Act, Americans With
Disabilities Act of 1990, and Pregnancy Act ot
1967 Security Destruction, see notes.
Public Works
2007-0971
CONSTRUCTION TEST RESULTS Documents results of
construction and construction materials testing.
Completion +12
Years
EL
Public Works
2007-1660
CONTINUING EDUCATION/TRAINING PROGRAM
RECORDS Documents continuing education requires for
professional license renewal, including training course workshop
documentation, accreditation notices, correspondence, etc.
Expiration + 3 Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
232
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-1249
CONTRACTS & AGREEMENTS - CAPITAL
IMPROVEMENT PROJECTS Records may include official
contract, lease or agreement, amendments, exhibits, addenda, legal
records, contract review records, specifications, bids awarded, copies
of payments, receipts, supporting documents used in managing the
contract, correspondence and re-platted documents.
Expiration +12 Fiscal
Years
EIC EL
Security Destruction, see notes.
Public Works
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Public Works
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Public Works
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Public Works
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Public Works
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Public Works
2007-1674
CORRESPONDENCE, PROJECT Correspondence related to a
sriecific case ornroiect.
Completion + 10
Years
EL
File correspondence in project file.
Public Works
2007-0768
COVENANTS, RESTRICTIONS AND AMENDMENTS Copies
of covenants, conditions, & restrictions & any amendments to them.
PERMANENT
HC EL
Public Works
2007-0433
DAILY CASH AND RECEIPTS REPORTS Daily cash
transactions and may contain receipts, cashier's daily reports, cash
balance reports, transmittal reports, and related documents. Includes
QC/PC daily transactions, Main Cashier deposits, Credit Card
transmittals, Customer Svc Deposits, Batch reports, Receipt copies.
Audit Clearance
HC EL
Public Works
2007-1345
DATA DOCUMENTATION Records created during development
or modification to automated systems, & are necessary to access,
retrieve, manipulate & interpret data. May include information on
data element dictionary, file layout, code book or table, & other
records that explain the meaning, purpose, structure, logical
relationships, & origin of data elements (sometimes known as
Life of Asset + 3
Years
HC EL
Public Works
2007-0008
DIRECTIVES OF MANAGER Executive orders, Bulletins and
advisories, Directives, Policy statements, Notes on policy and
nrocednres Related corresnondence Similar documents
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
233
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-0974
DISASTER/DAMAGE REPORT Metro accident field
investigations documenting extent & impact of natural or manmade
disasters & emergency incidents & actions taken by public works
PERMANENT
HC EL
Public Works
2007-1308
DISBURSEMENT RECORDS Disbursement of office supplies,
commodities, narts. & other consumable materials.
Audit Clearance + 1
Year
HC
Public Works
2007-0709
DRAINS, LOCATIONS & MAINTENANCE Documents
locations of storm and similar types of drains used for flood control.
PERMANENT
HC EL
Public Works
2007-0773
EASEMENTS Copies of legal instruments allowing right-of-way to
make limited use of ririvate riroriertv
PERMANENT
HC EL
Public Works
2007-1290
EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES
l.istinss of current errmlovees
Until Superseded
EL
Security Destruction, see notes.
Public Works
2007-1276
EMPLOYEE HANDBOOKS Guidelines created to explain the
internal operations, policies, and procedures of the agency to a new
emnlovee
Until Superseded + 6
Years
HC EL
Public Works
2007-0837
EMPLOYEE LICENSES / CERTIFICATES Licenses/certificates
issued to employees by professional, educational, regulatory, or other
agencies. These types of licenses/certificates are normally
occupation specific (EMS, peace officer, firefighter, social worker,
nurses, engineers & similar professions) & are usually required as a
condition of employment.
Expiration + 3 Years
HC EL
Security Destruction, see notes.
Public Works
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Public Works
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Public Works
2007-1234
EXCESS, LOST AND STOLEN PROPERTY FILES Property in
custody of county which has been lost, stolen, exchanged, or
declared excess
Calendar Yearend + 3
Years
HC
Public Works
2007-0716
FEDERAL GRANT RECORDS, REAL PROPERTY AND
EQUIPMENT Document real property & equipment purchased with
funds from federal grants.
Life of Asset + 3
Fiscal Years OR
Retention period
required by grantor,
HC EL
Review for historical value
Public Works
2007-1039
FEES, REQUESTS FOR PAYMENT Payment requests & may
include overdue notices, requests for payment, receipts, related
corresriondenre Rr similar documents
Settlement + 1 Fiscal
Year
HC EL
Public Works
FIELD BOOKS Record of history of activities done by survey field
crews pertaining to civil projects, land boundaries, horizontal and
vertical controls
PERMANENT
HC MI
NRS 255.110(d)3
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
234
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-0976
FIELD REPORTS, ON-SITE INSPECTIONS: COMMERCIAL
& PUBLIC Commercial/public building or structure inspections &
is used to determine compliance of building construction, electrical,
plumbing, mechanical & other systems with UBC & other building
Completion + 6 Years
HC
Security Destruction, see notes.
Public Works
2007-1325
FIRST AID RECORDS Single treatment & any follow up visit for
purpose of observation of minor scratches, cuts, burns, splinters &
other injuries which do not ordinarily require medical care. Such
treatment & any follow up visit for purpose of observation are
considered first aid, even if treatment or visit is provided by a health
J,-
Calendar Yearend + 1
Year
HC EL
NAC 618.5506
Public Works
2007-1531
FREIGHT RECORDS Receipts of miscellaneous equipment and
surmlies received on order bv derailment
Fiscal Yearend + 3
Years
HC
Security Destruction, see notes.
Public Works
2007-0064
HAZARDOUS MATERIAL SAFETY FILE This record series is
used to provide information on hazardous materials stored,
manufactured or used by the agency as part of the Hazard
Communication Program. This series includes material safety data
sheets (MSDS) and a listing of hazardous material in the workplace.
30 Years
HC
Public Works
2007-0980
HIGHWAY/ROAD MAINTENANCE SCHEDULES
Highway/road maintenance schedules which document starting date
& projected date of completion for routine maintenance & repair,
pavement marking, snow & ice removal, & similar maintenance or
Until Superseded + 1
Year
HC
Public Works
2007-0033
HISTORY FILES Records that document history of an agency,
department, division or other governmental body, and is usually used
as an informational source for governmental entity & public.
PERMANENT
HC EL
Public Works
2007-1331
INDEXES AND FINDING AIDS Indexes, lists, registers, & other
finding aids usually used to provide access to master files.
Administratively
Useful
HC EL
Public Works
2007-1355
INPUT DOCUMENTS Documents created solely for computer
inrmt
Active
HC EL
Public Works
INSURANCE POLICIES, CONTRACTOR Copies of insurance
coverage provided by contractors required as condition of contract.
Expiration
HC
Public Works
2007-0078
KEY AND KEYCARD RECORDS Documents issuance of
keycards to agency staff to enable access to agency buildings and
sites. Records may include but are not limited to key inventories, key
issue forms, key replacement records, and key disposal records.
Active + 3 Years
HC EL
Security Destruction, see notes.
Public Works
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
235
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-0383
LEGAL NOTICES Documents compliance with state laws
requiring public notice of governmental activities. May include
affidavits of publication, certificates of mailing, affidavits of posting,
public hearing notices, other required public or legal notices and
PERMANENT
HC EL
Public Works
2007-1008
LOG, TELEPHONE Listing or log of telephone calls received on
Derailment Voter lines & similar telephone activity reriorts.
6 Months
HC EL
Public Works
2007-0063
MAILING AND DISTRIBUTION LISTS Lists of names and
addresses compiled for various mailings, such as billings,
notifications, community outreach, and other administrative
purposes, media telephone directory (contact information for Media)
Calendar Yearend + 1
Year
HC EL
Public Works
2007-0770
MAPS Depicting locations of lots & blocks, annexations, easements,
property lines, zoning boundaries, & similar classifications.
PERMANENT
HC EL
Public Works
2007-0983
MAPS, PLANS, AND DRAWINGS Offsite maps, blueprints, &
drawings pertaining to zoning, soil, land use, utilities, water supplies,
road & bridge construction & repair, water mains, sewer lines, sewer
line connections, fire hydrants, sewer district boundaries, valve
locations, & similar engineering & construction related projects.
PERMANENT
HC EL
Public Works
2007-0984
MASTER PLAN & AMENDMENTS Present & projected needs
of local government for water, sewer, storm drainage, flood control,
streets, utilities, bikeways & other systems. Records may include but
are not limited to reports, evaluations, cost analyses, plans, maps and
drawings, correspondence and related documents.
PERMANENT
HC
Public Works
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Public Works
MEETING RECORDS, BOARDS, COMMISSIONS,
COUNCILS, AND STANDING COMMITTEES {Department
Copies, official record copy maintained by County Clerk) Original
minutes of public and closed meetings, Agendas, Transcripts,
Attachments and exhibits, Correspondence related to the meetings,
Announcements, Proof of postings, Proof of certified mailings, and
Administratively
Useful
HC EL
Public Works
2007-0010
NOTICES OF PUBLIC HEARING Posted notices of public
hearings.
PERMANENT
HC EL
Public Works
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Public Works
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
236
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-1004
PERMIT, STRUCTURE HAS BEEN MOVED Records related to
structures which have been moved.
2 Years
HC EL
Public Works
2007-0989
PERMITS, INDUSTRIAL WASTE Logbooks, registers, or
comparable documents providing a record of industrial waste
discharge permits issued by a local government or any of its
HpnartmpntQ nr ciitvUvicinnc
PERMANENT
HC
Public Works
2007-1700
PERSONAL PROTECTIVE EQUIPMENT (PPE) RECORDS
Acquisition of specialized safety devices & clothing for employees
working in hazardous situations
Life of Asset + 3
Years
HC EL
Public Works
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Public Works
2007-1532
POSTAL TRACKING RECORDS Documents transactions with
US Postal Service, FedEx, etc., concerning letter and parcel post-
tvne nostal services
Fiscal Yearend + 3
Years
HC
Public Works
2007-1346
PROJECT FILES, APPLICATION DEVELOPMENT Records
created & used in development, redesign, or modification of an
automated svstem or annliration
Life of Asset + 3
Years
HC EL
Public Works
2007-0995
PROJECT FILES, EXTERNAL AGENCY/DEVELOPER
Projects initiated & administered by external agencies/developers
such as NDOT, Army Corps of Engineers, NV Division of EPA &
similar agencies. Files may contain requests for comment, responses,
records documenting project need, letters of support, copies of plans,
blueprints & drawings, related correspondence & similar documents.
Completion + 10
Years
HC
Security Destruction, see notes.
Public Works
2007-0991
PROJECT FILES, PUBLIC WORKS Documents public works
projects. Files may contain copies of bid documents, award and
endorsements records, applications and permits, contractor's bonds,
preconstruction engineering reports, structural design calculations,
specifications, plan check files, lab testing reports, utility and land
surveys, notice to proceed, weekly status reports, inspector memos
and reports, evaluations, construction field meeting reports, progress
schedules, change orders/proposals, variances, easement and rights
of-way documents, project orders, copies of plans; maps; blueprints;
profiles; and as-built drawings, requests for information, guarantees,
notice of completion, certificate of occupancy, copies of accounting
records, photographs, memos, various forms and reports, related
correspondence, and similar documents.
PERMANENT
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
237
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-0453
PROJECT LEDGERS Documents financial transactions and
accounting functions related to capital improvements and permanent
assets of county. These types of ledgers may include information on
financial receipts and expenditures for design, engineering,
construction, repair and/or major maintenance of local government
owned or operated buildings, facilities, roadways, utilities, public
works and other infrastructure.
PERMANENT
EL
Public Works
2007-0011
PUBLIC HEARING RECORDS Records of hearings conducted as
part of regulatory process and/or hearings on proposed rules and
changes and conclusions reached
PERMANENT
EL
Public Works
2007-1240
PUBLICATIONS Newsletters, pamphlets, annual or statistical
reports, studies, leaflets and similar material produced by or for
county or any of its departments, subdivisions, or programs for
See Note
HC
NRS 378.150, NRS 378.150 - 378.210,
NOTE: Send 6 copies of each to Nevada State
Library and Archives - State Publications
Public Works
2007-1559a
PUBLICITY FILES AND PRESS RELEASES. HISTORICAL
Publicity files/press releases issued by coroner. This series may
contain originals or copies of press releases, publicity files, audio
and/or video recordings, informational flyers, notes, charts, graphs,
PERMANENT
HC EL
Public Works
2007-155%
PUBLICITY FILES AND PRESS RELEASES, NOT
HISTORICAL Publicity files/Dress releases issued bv coroner. This
series may contain originals or copies of press releases, publicity
files, audio and/or video recordings, informational flyers, notes,
charts, graphs, correspondence, and related documents.
Administratively
Useful
HC EL
Public Works
2007-0777
REAPPORTIONMENTS Documents changes in boundaries of
improvement districts due to merger, consolidation, dissolution and
similar actions
PERMANENT
HC EL
Public Works
2007-0070
RECORDS OF MAILINGS Documentation of mailing dates,
content of mailings, and addressees for mailing sent by local
(jovernment for various nnrnoses
1 Year
HC
Public Works
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snerifir to anv nroiert or activity
Administratively
Useful
HC
Public Works
2007-1316
REFUND RECORDS Documents credits or refunds for
overpayment. May include amount of overage, cause of overage,
written request for refund, and related correspondence.
Fiscal Yearend + 3
Years
HC EL
Security Destruction, see notes.
Public Works
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
238
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-1522
SIGN AND ROAD MARKING RECORDS Planning, installation,
and scheduled as well as unscheduled maintenance and repair of
signs and other road or street markings.
Life of Asset + 3
Years
EL
Public Works
2007-1347
SOURCE CODE / PROGRAM LISTINGS Instructions from a
computer program code which generates system language used to
operate an automated information system. Users log in to an
interface which regenerates or translates using an automated system
Until Superseded + 3
Data Backup Cycles
EL
Public Works
2007-0999
SPECIFICATIONS For structures and equipment that public works
departments are responsible for constructing, maintaining or
rpnairmo
PERMANENT
HC EL
Public Works
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Public Works
2007-1000b
STREETLIGHT MAINTENANCE & REPAIR RECORDS
Planning, installation, scheduled & unscheduled maintenance &
repair of streetlights. May include planning reports, installation
reports, schematics & drawings, maintenance & repair reports,
3 Years
HC EL
Public Works
2007-1000a
STREETLIGHT PLANNING & INSTALLATION RECORDS
Planning, installation, scheduled & unscheduled maintenance &
repair of street lights & may include planning reports, installation
reports, schematics & drawings, maintenance & repair reports,
Life of Asset
HC EL
Public Works
2007-1005
STUDIES Studies performed by outside consultants or in-house
staff. Feasibility Studies. Consultant Reriorts
PERMANENT
HC EL
Public Works
2007-1006
SUBDIVISION FILES Documents that developers meet accepted
standards for design & construction of Public Works portion of
subdivision development, such as streets, street lights, sidewalks,
curbs & gutters, utilities, storm drainage, & fire protection. May
include copies of tentative maps, review files, inspection reports,
applications for deferral of off-site improvements, copies of surveys,
various studies & analysis, off-site data sheets, bond & fee
documents, receipts, copies of documents from planning commission
& governing body, transmittals, final map, project correspondence,
& related documents.
Subdivision
Completion + 5 Years,
OR Bond Released +
5 Years
EL
Security Destruction, see notes.
Public Works
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Public Works
2007-0377
SURPLUS GOODS DISPOSITION RECORDS May include
check, invoice, record of sale, inventory, list, of items sold.
Fiscal Yearend + 3
Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
239
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Public Works
2007-1009
TENTATIVE SUBDIVISION FILES Documents tentative or
proposed subdivisions & may include maps, review files, inspection
reports, copies of surveys, various studies & analysis, bond & fee
documents, receipts, copies of documents, receipts, governing body,
transmittals, project correspondence & related documents.
Closure + 5 Years
HC EL
Public Works
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Public Works
2007-1524
TRAFFIC SIGNAL RECORDS Documents planning and
installation of county traffic signals. May include, but is not limited
to construction schematics and drawings as well as construction
Life of Asset
EL
Public Works
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Public Works
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Public Works
2007-1429
TREE AND PLANT FILES Documents planting, trimming,
inspection & removal of trees & shrubs along public streets, roads,
sidewalks Rr other nuhlir areas
Completion + 2 Years
HC EL
Public Works
2007-0464
UNCLAIMED PROPERTY REPORT Documents the reporting
by holders of abandoned accounts in accordance with NRS Chapter
120A. Various completed forms, reports required by State Treasurer,
supportive documentation, associated correspondence
Abandoned property
report is filed with NV
State Treasurer + 7
Calendar Years
HC EL
Public Works
2007-0072
UNDELTVERABLE MAILING RECORDS Mailings sent by
countv that were returned as undeliverable.
1 Year
HC EL
Public Works
2007-1019
WATER RIGHTS RECORDS Documents water rights and may
contain maps, construction documents, certificates of appropriation,
deeds of conveyance, notices of application, court documents, related
correspondence and, similar documents.
PERMANENT
HC EL
Real Property Management -
Administration
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Administration
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Real Property Management -
Administration
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
240
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Administration
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Administration
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Real Property Management -
Administration
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
bankirm relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Real Property Management -
Administration
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Real Property Management -
Administration
2007-0762
BILLINGS FOR SERVICE Billing and collection of monies for
services provided.
Audit Clearance
HC EL
Security Destruction, see notes.
Real Property Management -
Administration
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Cnunlv Commissioners
Administratively
Useful
HC EL
Real Property Management -
Administration
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Real Property Management -
Administration
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Real Property Management -
Administration
2007-1300
CASE FILES, VENDOR PERFORMANCE Documents problems
or special cases involving purchasing of commodities or services.
Records may include documentation of vendors and contractors who
have failed to meet terms and specifications of purchasing contracts
or who have failed to deliver commodities or services in a timely
Closure + 3 Years
HC EL
Security Destruction, see notes.
Real Property Management -
Administration
2007-1243b
COMMITTEE RECORDS, AD HOC (Not a Public Body)
Documents establishment, organization, membership, policies,
activities, and accomplishments of ad hoc (internal, interagency,
advisory, etc.) committees. These types of committees are usually
formed for a specific and often temporary function, usually on an
informal basis. Includes Agendas, Minutes, Reports, Working
3 Years
HC EL
Real Property Management -
Administration
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Real Property Management -
Administration
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
241
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Administration
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Real Property Management -
Administration
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rpcnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Real Property Management -
Administration
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Real Property Management -
Administration
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Real Property Management -
Administration
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Real Property Management -
Administration
2007-0332
EMPLOYEE RECOGNITION PROGRAM RECORDS
Document Employee of the Quarter and Year nominees and
recinients
2 Years
HC
Real Property Management -
Administration
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Real Property Management -
Administration
2007-1039
FEES, REQUESTS FOR PAYMENT Payment requests & may
include overdue notices, requests for payment, receipts, related
rnrrpsnnnrlpnrp Rr similar Hnrumpnts
Settlement + 1 Fiscal
Year
HC EL
Real Property Management -
Administration
2007-0440
FIXED ASSET AND INVENTORY RECORDS Document and
administer process of updating and reconciling an inventory of fixed
assets in department's possession. May contain fixed asset
inventories, copies of purchase orders and other fiscal records,
monthly or annual property reports, copies of other property records,
memos, correspondence, inventory journals and related documents.
Until Superseded + 5
Years
HC EL
NRS 239.110
Real Property Management -
Administration
2007-1331
INDEXES AND FINDING AIDS Indexes, lists, registers, & other
finding aids usually used to provide access to master files.
Administratively
Useful
HC EL
Real Property Management -
Administration
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Real Property Management -
Administration
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
Administratively
Useful
HC EL
NRS 11.190 (3)(d)
Real Property Management -
Administration
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
242
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Administration
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Administration
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Real Property Management -
Administration
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain, but is not limited to, copies of purchase orders, monthly
property reports, descriptions of items, manufacture's model and
serial number, fiscal reports related to original cost, value,
commodity codes, memos, correspondence and other related records.
Until Superseded + 5
Fiscal Years
FIC EL
Real Property Management -
Administration
2007-0297
RECORDS AND REPORTS OF SAFETY COMMITTEES
Safety committees established to promote a safe work environment
for employees. Safety plans, safety & health training records, safety
committee meeting records, vulnerability assessments, Inspection
Reports, staff reports, attendance reports
Fiscal Yearend + 3
Years
EL
Real Property Management -
Administration
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Real Property Management -
Administration
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
EIC EL
NRS 11.190 (l)(b)
Real Property Management -
Administration
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
Real Property Management -
Administration
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Real Property Management -
Administration
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Administration
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Real Property Management -
Administration
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
243
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Administration
2007-0378
VENDOR/CONTRACTOR FILES Vendors providing goods &
services to governmental entities. May include, but is not limited to,
name of vendor or company, name of contact or agent, address,
telephone & fax numbers, e-mail & web site address, description of
goods & services provided, vendor and/or tax ID number, vendor
evaluation forms, information on past performance, price lists,
correspondence & similar documents.
Calendar Yearend + 3
Years
HC EL
Security Destruction, see notes.
Real Property Management -
Administration
2007-1424
WORKER'S COMPENSATION FILES, DEPARTMENT
COPY Document employees' injuries, occupational illnesses and
structured return to work conditions and OSHA reporting.
Employer's report of injury, compensation form, legal
correspondence, reports from health providers, return to work
Closure + 3 Years
HC EL
HIPAA information requires Security
Destruction, see notes.
Real Property Management -
Design & Construction
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Design & Construction
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Real Property Management -
Design & Construction
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Real Property Management -
Design & Construction
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Design & Construction
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Real Property Management -
Design & Construction
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankina relatinnshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Real Property Management -
Design & Construction
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Real Property Management -
Design & Construction
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Countv Commissioners
Administratively
Useful
HC EL
Real Property Management -
Design & Construction
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Real Property Management -
Design & Construction
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
244
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Design & Construction
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HCEL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Real Property Management -
Design & Construction
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Real Property Management -
Design & Construction
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Real Property Management -
Design & Construction
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Real Property Management -
Design & Construction
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HCEL
Real Property Management -
Design & Construction
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HCEL
Real Property Management -
Design & Construction
2007-0991
DESIGN AND CONSTRUCTION PROJECT FILES Documents
Design & Construction Projects. Files contain copies of bid
documents, award and endorsements records, applications and
permits, contractor's bonds, preconstruction engineering reports,
structural design calculations, specifications, plan check files, lab
testing reports, utility and land surveys, notice to proceed, weekly
status reports, inspector memos and reports, evaluations, construction
field meeting reports, progress schedules, change orders/proposals,
variances, easement and rights of-way documents, project orders,
copies of plans; maps; blueprints; profiles; and as-built drawings,
requests for information, guarantees, notice of completion, certificate
of occupancy, copies of accounting records, photographs, memos,
various forms and reports, related correspondence, and similar
documents.
PERMANENT
EL
Real Property Management -
Design & Construction
2007-0837
EMPLOYEE LICENSES / CERTIFICATES Licenses/certificates
issued to employees by professional, educational, regulatory, or other
agencies. These types of licenses/certificates are normally
occupation specific (EMS, Peace Officer, Firefighter, Social Worker,
Nurses, Engineers & similar professions) & are usually required as a
condition of employment.
Expiration + 3 Years
OR Termination of
Employment
HCEL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
245
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Design & Construction
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Real Property Management -
Design & Construction
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Real Property Management -
Design & Construction
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.f 65 (1)(2) Security Destruction, see notes.
Real Property Management -
Design & Construction
2007-0983
MAPS, PLANS, AND DRAWINGS Offsite maps, blueprints, &
drawings pertaining to zoning, soil, land use, utilities, water supplies,
road & bridge construction & repair, water mains, sewer lines, sewer
line connections, fire hydrants, sewer district boundaries, valve
locations, & similar engineering & construction related projects.
PERMANENT
HC EL
MF
Real Property Management -
Design & Construction
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Real Property Management -
Design & Construction
2007-1609
OPERATION AND MAINTENANCE MANUALS Operation and
maintenance manuals for public buildings, park structures,
communication towers, road and paving improvements and other
Life of Asset
HC EL
Real Property Management -
Design & Construction
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Real Property Management -
Design & Construction
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Design & Construction
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Real Property Management -
Design & Construction
PLANNING RECORDS, FACILITY Request from various
departments to modify or construct an area in its location. Includes
space planning request form, floor plans, estimates, drawings,
nVintnQ nnrl mirmtpQ
Closure + 3 Years
HC EL
Real Property Management -
Design & Construction
PLANNING RECORDS, FINANCIAL IMPACT Committee
represented by Assistant County Managers and Finance who assess
fiscal impact of county projects before they are presented to BCC.
Documents presented to committee sustain differential of project
budget amount. Includes maps, drawings, cost estimates,
correspondence, cost projection, and work orders.
Expiration of Project
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
246
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Design & Construction
2007-1240
PUBLICATIONS Newsletters, pamphlets, annual or statistical
reports, studies, leaflets and similar material produced by or for
county or any of its departments, subdivisions, or programs for
distrihutinri tn niihlir
See NOTE
HC
NRS 378.150, NRS 378.150 - 378.210,
NOTE: Send 6 copies of each to Nevada State
Library and Archives - State Publications
Real Property Management -
Design & Construction
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
srierifir to anv rirniert or activity
Administratively
Useful
HC
Real Property Management -
Design & Construction
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
FIC EL
NRS 11.190 (l)(b)
Real Property Management -
Design & Construction
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
Real Property Management -
Design & Construction
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Real Property Management -
Design & Construction
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Design & Construction
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmntir\n
Fiscal Yearend + 3
Years
EIC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Real Property Management -
Design & Construction
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Design & Construction
2007-1020
WORK ORDERS Service Request from various departments to
modify space or construction of County building.
Completion of Project
HC EL
Real Property Management -
Facilities
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Facilities
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Real Property Management -
Facilities
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Real Property Management -
Facilities
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Facilities
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
247
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Facilities
2007-1606
BACKFLOW TEST RECORDS Record of tests performed on
backflow preventers protecting potable water systems.
Calendar Yearend +
10 Years
HC EL
Real Property Management -
Facilities
2007-0304
BACKGROUND CHECK RECORDS May include badging
application forms, fingerprint cards, CANS, SCOPE, CTRACK,
NCJIS, NCIC, police reports, court dispositions, emails & similar
documents, fingerprinting/criminal correspondence, CJIS/NCJIS log,
Completion + 3 Years
HC EL
Security Destruction, see notes.
Real Property Management -
Facilities
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Real Property Management -
Facilities
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Real Property Management -
Facilities
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Cniintv Commissioners
Fiscal Yearend + 5
Years
HC EL
Real Property Management -
Facilities
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Real Property Management -
Facilities
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Real Property Management -
Facilities
2007-0934
BUILDING EMERGENCY EQUIPMENT RECORDS
Document building equipment location, type, emergency shut off,
blue prints, etc. Includes photos, floor plans, equipment lists,
hnilrlina / fnrilitv Wntinn
Life of Asset
HC EL
Security Destruction, see notes.
Real Property Management -
Facilities
2007-1710
BURGLARY AND/OR VANDALISM, REPORTS OF Burglary
and/or vandalism of local government equipment and/or property &
may contain, but is not limited to, police reports, damage reports,
witness statements, insurance information, related correspondence &
Calendar Yearend + 3
Years
HC EL
Security Destruction, see notes.
Real Property Management -
Facilities
CHILLED WATER, HEATING WATER AND COOLING
TOWER WATER TESTS Monthly test of Chilled Water, Heating
Water and Coolirm Tower Water Test
6 Years
HC EL
Real Property Management -
Facilities
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Real Property Management -
Facilities
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
248
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Facilities
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Real Property Management -
Facilities
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rpcnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Real Property Management -
Facilities
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Real Property Management -
Facilities
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Real Property Management -
Facilities
2007-0256
EMPLOYEE CELL PHONE & RADIO DATABASE Track and
maintain employee issued phones / radios. Staff uses data to
download lispr information into individual pmnlnvm nhonps
Until Superseded
EL
Security Destruction, see notes.
Real Property Management -
Facilities
2007-1290
EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES
Division call back lists for emergency repairs after hours.
Until Superseded
EL
Security Destruction, see notes.
Real Property Management -
Facilities
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Real Property Management -
Facilities
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Real Property Management -
Facilities
2007-1579
FACILITY INSPECTION RECORDS Documents periodic
inspections of facilities to check for damage & recommend repairs &
maintenance. Records often include inspection worksheets or
checklists, maintenance request forms, photos, maintenance & repair
reports, correspondence & related documents.
6 Years
HC EL
Real Property Management -
Facilities
FACILITY PERMITS, OSHA REQUIRED Nevada Department
of Business and Industry, OSHA Division requires that equipment
such as boilers / pressure vessels are inspected and certified bi-
annually; elevators are inspected and certified annually.
Life of Asset
HC EL
Real Property Management -
Facilities
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Real Property Management -
Facilities
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
riarkptQ
3 Years
HC EL
NRS 11.190 (3)(d)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
249
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Facilities
2007-0846
MEETING RECORDS, DEPARTMENTS AND
COMMITTEES Documents actions and discussion at department
and committee meetings
1 Year
HC EL
Real Property Management -
Facilities
METALLURGIST ANNUAL REPORT Evaluate structure
integrity of poles in County buildings and facilities
3 Years
HC EL
Real Property Management -
Facilities
2007-1609
OPERATION AND MAINTENANCE MANUALS Operation and
maintenance manuals for public buildings, park structures,
communication towers, road and paving improvements and other
Life of Asset
HC EL
Real Property Management -
Facilities
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Real Property Management -
Facilities
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Facilities
2007-1613
PERMIT, GROUND WATER DISCHARGE Required by
Nevada EPA to operate Spring Mountain Youth Camp Sewage
Treatment Plant. Includes Ground Water Discharge Permit, Affluent
Expiration + 6 Years
HC EL
Real Property Management -
Facilities
PERMITS, HOT WORK To prevent fires during welding and other
related 'hot work' in enclosed spaces.
1 Year
HC EL
Real Property Management -
Facilities
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Real Property Management -
Facilities
2007-1054
POTABLE WATER WELL TEST RECORDS Water samples
taken from potable water sources for bacteriological tests.
Information includes location, collection date, person taking samples,
sample type, analysis date, laboratory name, person performing
analysis, analytical method used, & results of analysis.
5 Years
HC EL
Real Property Management -
Facilities
2007-0014
PROPERTY AND EQUIPMENT INVENTORY RECORDS
Property and equipment records and inventories. This series may
contain copies of purchase orders, monthly property reports,
descriptions of items, manufacture's model and serial number, fiscal
reports related to original cost, value, commodity codes, memos,
Until Superseded + 5
Fiscal Years
HC EL
Real Property Management -
Facilities
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Real Property Management -
Facilities
2007-1425
REFRIGERANT COMPLIANCE RECORDS To maintain a
record of refrigerant use, storage, and disposal. Includes refrigerant
service record, refrigerant audit form, HVAC equipment inventory
form, refrigerant purchase form, contractor refrigerant certification,
vendor generated annual audit for refrigerant compliance program
3 Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
250
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Facilities
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
FIC EL
NRS 11.190 (l)(b)
Real Property Management -
Facilities
2007-0975
SAP - MAINTENANCE MANAGEMENT MODULE Contains
building equipment inventory, work order, maintenance schedules,
and rerinrts
Life of Asset
EL
Real Property Management -
Facilities
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
Real Property Management -
Facilities
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Real Property Management -
Facilities
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Facilities
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmntir\n
Fiscal Yearend + 3
Years
EIC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Real Property Management -
Facilities
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlnvee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Facilities
2007-1424
WORKERS' COMPENSATION FILES, DEPARTMENT
COPY Document employees' injuries, occupational illnesses and
structured return to work conditions and OSHA reporting.
Employer's report of injury, compensation form, legal
correspondence, reports from health providers, return to work
Closure + 3 Years
HC EL
HIPAA information requires Security
Destruction, see notes.
Real Property Management -
Housekeeping
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Housekeeping
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Real Property Management -
Housekeeping
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Real Property Management -
Housekeeping
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Housekeeping
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
251
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Housekeeping
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Real Property Management -
Housekeeping
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Real Property Management -
Housekeeping
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.nnntv Cnmmissinnprs
Administratively
Useful
HC EL
Real Property Management -
Housekeeping
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Real Property Management -
Housekeeping
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Real Property Management -
Housekeeping
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Real Property Management -
Housekeeping
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Real Property Management -
Housekeeping
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Real Property Management -
Housekeeping
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Real Property Management -
Housekeeping
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Real Property Management -
Housekeeping
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Real Property Management -
Housekeeping
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Real Property Management -
Housekeeping
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
252
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Housekeeping
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Real Property Management -
Housekeeping
2007-1008
LOG, TELEPHONE Listing or log of telephone calls received on
Department lines & similar telephone activity reports.
30 Days
HC EL
Real Property Management -
Housekeeping
MATERIAL SAFETY DATA SHEETS {Department copies.
Official record copy is at IS - Finance - Automotive. ) Includes
material safety data sheets (MSDS) and a listing of hazardous
Active
HC
Real Property Management -
Housekeeping
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
Administratively
Useful
HC EL
NRS 11.190 (3)(d)
Real Property Management -
Housekeeping
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Real Property Management -
Housekeeping
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Housekeeping
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Real Property Management -
Housekeeping
2007-0297
RECORDS AND REPORTS OF SAFETY COMMITTEES
Safety committees established to promote a safe work environment
for employees. Safety plans, safety & health training records, safety
committee meeting records, vulnerability assessments, Inspection
Reports, staff reports, attendance reports
Fiscal Yearend + 3
Years
EL
Real Property Management -
Housekeeping
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nrniprt or activity
Administratively
Useful
HC
Real Property Management -
Housekeeping
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Real Property Management -
Housekeeping
2007-0721
SELF-INSPECTION PROGRAM RECORDS Daily and/or
monthly inspections that show conditions found, and all corrective
actions taken. Includes Emails, memos, letters, spreadsheets,
inspection forms, compliance reports, logbooks, complaint forms.
1 Year
HC EL
Real Property Management -
Housekeeping
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and nthpr internal mpptinos
1 Year
HC EL
Real Property Management -
Housekeeping
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
253
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Housekeeping
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Housekeeping
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Real Property Management -
Housekeeping
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Property Acquisition
2007-0046
ACCOUNTING RECORDS (,Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Property Acquisition
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Real Property Management -
Property Acquisition
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Real Property Management -
Property Acquisition
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Property Acquisition
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Real Property Management -
Property Acquisition
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankina relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Real Property Management -
Property Acquisition
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Real Property Management -
Property Acquisition
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Couritv Commissioners
Administratively
Useful
HC EL
Real Property Management -
Property Acquisition
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Real Property Management -
Property Acquisition
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
254
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Property Acquisition
BUREAU OF LAND MANAGEMENT (BLM)
LEASE/RESERVATION REQUESTS Land development requests
to develop park, metro/fire stations, etc. Initiate request to BLM to
lease land for a number of years. Once development has been
completed, BLM may grant a patent. Includes Legal Description,
Dedications, Right of Ways, BLM Application, Grant.
Expiration of
Lease/Patent granted
by BLM + 6 Years
HC EL
Review for historical value
Real Property Management -
Property Acquisition
2007-1722
COMBINED AIRPORT LOG - DATABASE Databases that
support administrative or housekeeping functions such as those used
for purposes of filing, keeping track of equipment and/or supplies,
calendaring & similar non-programmatic activities for Oracle, Main
Frame, IBM, Unix, Windows, Web Applications. In this instance
used to keep all incoming assignments logged, assigned, accounted
for, maintain deadlines and to close out completed assignments
Administratively
Useful
EL
Security Destruction, see notes.
Real Property Management -
Property Acquisition
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Real Property Management -
Property Acquisition
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Real Property Management -
Property Acquisition
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Real Property Management -
Property Acquisition
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Real Property Management -
Property Acquisition
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Real Property Management -
Property Acquisition
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Real Property Management -
Property Acquisition
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Real Property Management -
Property Acquisition
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
255
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Property Acquisition
2007-0084
ESCROW CONFIRMATION REPORT (aka CLOSING
PACKAGE) Reports to document changes of property ownership to
title and/or mortgage companies. Includes copy of recorded
documents, preliminary title report, copy of escrow instructions, cop)
of any agreements, copy of IRS forms etc, and closing statement.
1 Fiscal Year
HC EL
Real Property Management -
Property Acquisition
2007-0409
LEASE AGREEMENTS Leases, subleases, assignments of leases,
and memoranda of leases for property or equipment which county
leases. Series usually shows name and addresses of lessor and lessee,
description of property or equipment, rent or lease cost, purpose for
which property may be used, conditions or terms, renewal
documents, memorandums, supporting documentation, related
correspondence, and similar documents.
Expiration + 6 Years
HC
Real Property Management -
Property Acquisition
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Real Property Management -
Property Acquisition
2007-0383
LEGAL NOTICES Documents compliance with state laws
requiring public notice of governmental activities. May include
affidavits of publication, certificates of mailing, affidavits of posting,
public hearing notices, other required public or legal notices and
PERMANENT
HC EL
Real Property Management -
Property Acquisition
2007-0063
MAILING AND DISTRIBUTION LISTS Lists of names and
addresses compiled for various mailings, such as billings,
notifications, community outreach, and other administrative
Calendar Yearend + 1
Year
HC EL
Real Property Management -
Property Acquisition
2007-0770
MAPS Depicting locations of lots & blocks, annexations, easements,
property lines, zoning boundaries, & similar classifications.
PERMANENT
HC EL
Real Property Management -
Property Acquisition
2007-0246
MASTER COPIES OF FORMS Documents current paper and
electronic format masters for various forms. Includes sample forms,
drafts, revisions, form logs or listings, proposals, authorizations,
illustrations
Until Superseded
HC EL
Real Property Management -
Property Acquisition
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
Administratively
Useful
HC EL
NRS 11.190 (3)(d)
Real Property Management -
Property Acquisition
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Real Property Management -
Property Acquisition
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Property Acquisition
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
256
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Real Property Management -
Property Acquisition
2007-0970
PROPERTY ACQUISITION RECORDS Property appraisals,
property acquisition negotiations, property acquisition agreements,
copies of right of way acquisition, copy of deed,
correspondence/reports, legal descriptions/exhibits, title reports,
escrow documents, aerial maps, owner information, resolution of
intent to sell at public auction, agenda, posting of publications,
PERMANENT
HCEL
Real Property Management -
Property Acquisition
2007-1240
PUBLICATIONS Newsletters, pamphlets, annual or statistical
reports, studies, leaflets and similar material produced by or for
county or any departments, subdivisions, or programs for distribution
tn rnihlir
See NOTE
HC
NRS 378.150, NRS 378.150 - 378.210,
NOTE: Send 6 copies of each to Nevada State
Library and Archives - State Publications
Real Property Management -
Property Acquisition
2007-0070
RECORDS OF MAILINGS Documentation of mailing dates,
content of mailings, and addressees for mailing sent by local
onvpmmpnt for various nnrnnsps
Calendar Yearend + 1
Year
HC
Real Property Management -
Property Acquisition
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
Real Property Management -
Property Acquisition
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmatinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HCEL
NRS 11.190 (l)(b)
Real Property Management -
Property Acquisition
2007-0944
RESOLUTIONS Formal statement of a decision. Document created
for BCC to approve terms for a specific project. Includes maps of
area and Wal descrintions
PERMANENT
HCEL
Real Property Management -
Property Acquisition
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HCEL
Real Property Management -
Property Acquisition
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
Real Property Management -
Property Acquisition
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HCEL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Real Property Management -
Property Acquisition
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmntir\n
Fiscal Yearend + 3
Years
HCEL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Real Property Management -
Property Acquisition
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Real Property Management -
Property Acquisition
2007-0072
UNDELTVERABLE MAILING RECORDS Mailings sent by
county that were returned as undeliverable.
Calendar Yearend + 1
Year
HCEL
Real Property Management -
Property Acquisition
2007-1020
WORK ORDERS Service Request from various departments to
modify space or construction of County building.
Closeout+ 1 Year
HCEL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
257
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Recorder
2007-0046
ACCOUNTING RECORDS {Department Copies ) Document financial
transactions and accounting functions (including A/P and A/R). Official
record cow at Comtrtroller.
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Recorder
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial renorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Recorder
2007-1558a
ACTIVITY REPORTS. MONTHLY Monthly ot>eratine. statistical or
financial renorts detailins derailment activities.
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Recorder
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Covies) Official record codv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Recorder
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Recorder
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled checks,
bank reconciliations, and similar records that document a banking
relation shin.
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Recorder
2007-0050
BID RECORDS {Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Recorder
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to Board
of County Commissioners. Official record copy at County Clerk.
Fiscal Yearend + 5
Years
HC EL
Recorder
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation, review,
and decision-making processes for department budget requests.
Audit Clearance
HC
Recorder
2007-0052
BUDGET, ADOPTED {Department Copies ) Copies of adopted budgets.
Official record copy at Comptroller.
Audit Clearance + 1
Year
HC EL
Recorder
2007-1243a
COMMITTEE RECORDS, AD HOC (Public Body) Documents
establishment, organization, membership, policies, activities, and
accomplishments of ad hoc (internal, interagency, advisory, etc.) committees,
i e - Recorder's Advisorv Committee CRAC
PERMANENT
EL
Recorder
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Recorder
2007-0054
CONTRACTS & AGREEMENTS {Department Copies) For products
and services administered by an agency, where the official record copy is
maintained elsewhere. May include HIPAA information.
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Recorder
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements forNon-Capital products and services. May include
HTPAA information.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Recorder
2007-1230
CONVENENCE COPIES Board Minutes, Ordinances, Resolutions,
Purchase Orders, Requisitions and other copies where official record is
maintained bv another denartment.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
258
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Recorder
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not duplicated
elsewhere that document how agency is organized, how it functions, and its
patterns of action, policies, procedures, and achievements.
PERMANENT
HC EL
Recorder
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses.
Administratively
Useful
HC EL
Recorder
2007-0076
CUSTOMER COMMENT CARD Comment Cards, Response Letters.
Maintain historv of comments from customers
1 Year
HC
Recorder
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2) Transfer to Human Resources
Department for consolidation into official
Personnel Record.
Recorder
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Recorder
2007-0497
GENERAL RECEIVING/FEE RECORDS Documents the collection
of real property transfer taxes. Audit files w / supporting documentation,
Revenue reports, Correction documents for RPTT and non-RPTT, Finance
and payroll records, Escheatment account bank statements and
reconciliations, Audit reports of exempt recordings & valuation recordings,
RPTT case files of audits with pending hearings, RPTT case files of audits
with hearing determination, Hearing case files with position statements,
Supporting documentation, RPTT Refund Ledger, Copies of recorded
document, Refund requests
PERMANENT
HC EL
MF
Recorder
LEAVE REQUESTS, EMPLOYEE (Department Copies) May
include HIPAA information. Official record copy at Human Resources.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Recorder
2007-1115
LEGAL OPINIONS Formal opinions rendered by Office of the Attorney
General, District Attorney's office, or other legal counsel. Opinions documeffi
rationale for local government policies & help maintain consistency in relatec
issues. Information usually includes date, department requesting opinion, &
text of the oninion
PERMANENT
HC
Recorder
2007-0983
MAPS Original copy of recorded Mining Maps, Parcel Maps, Plat Maps,
Land, Local Government & Miscellaneous Maps, Survey Maps, etc.
PERMANENT
HC EL
MF
Maps are scanned. Digital copies maintained
in DTS TrakRecord, Kovis System and on
microfilm.
Recorder
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies ) Submissions for inclusion
into Board meeting packets. Official record copy at County Clerk.
3 Years
HC EL
NRS 11.190 (3)(d)
Recorder
2007-0285
ORGANIZATIONAL CHARTS Department and organizational unit
oreanization charts.
Until Superseded
HC EL
Recorder
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer entry of
employee time and attendance data into payroll systems.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
259
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Recorder
2007-0897
PETTY CASH RECORDS Record and track reimbursements of minor
purchases bv staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Recorder
2007-0016
RECONCILIATION SHEETS Documents daily, monthly, quarterly
and end of year reconciliation process. DTS - Employee Balancing Reports,
Monthly Commissioners Report, Excel Spreadsheet, Supporting
Documentation, Imprest Accounts Records, Month End Batch Report, Daily
Balancing Rennrt
3 Fiscal Years, see
remark
HC EL
3 Fiscal Years AFTER report submitted to
Nevada Department of Taxation, AND
summary report published in a general
circulation newspaper in county in which local
eovernment is situated.
Recorder
2007-0517
RECORDED DOCUMENTS Official record copy of all documents
recorded in County Recorder's Office, including Deeds, Trust Deeds,
Mortgages, Certificates of Marriage, Mining Records, Military Discharge
Papers, Mining Maps, Parcel Maps, Plat Maps, Land, Local Government &
Misc. Mans Snrvpv Mans fitr.
PERMANENT
FIC EL
MF
Except for maps, original documents returned
to owner and do not remain in the custody of
Recorder.
Recorder
2007-1254
REFERENCE FILES General information regarding products, methods
and materials that may be used by the department. Not specific to any project
or activity.
Administratively
Useful
HC
Recorder
2007-1316
REFUND RECORDS Documents credits or refunds to taxpayers for
overpayment of real property transfer taxes or recording fees, including,
account name and number, property location, tax ID number, amount of
overage, cause of overage, written request for refund, and related
nnrrfisnnnrlfinr.fi
Fiscal Yearend + 3
Years
Security Destruction, see notes.
Recorder
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions and
activities assigned to department. May include HIPAA information.
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
EIC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Recorder
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers meetings,
and other internal meetings.
1 Year
EIC EL
Recorder
2007-0075
SUBJECT FILES Copies of correspondence where official record copy
is filed elsewhere.
Administratively
Useful
HC
Recorder
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE {Department
Copies) Documents hours worked and leave hours accrued or taken by
employees on a daily, weekly, or monthly basis. May include HIPAA
information. Official record conv at Human Resources.
1 Year
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Recorder
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies )
Documentation and verification of individual employee training activities.
May include HIPAA information. Official record copy at Human Resources.
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Recorder
2007-1258
TRAVEL RECORDS {Department Copies ) Requests, authorizations,
reimbursements, and other records related to employee travel. Official record
codv at Comptroller.
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Redevelopment Agency
2007-0046
ACCOUNTING RECORDS {Department Copies ) Document financial
transactions and accounting functions (including A/P and A/R). Official
record conv at Comptroller.
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Redevelopment Agency
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Redevelopment Agency
2007-1558a
ACTIVITY REPORTS. MONTHLY Monthlv operatine. statistical or
financial reports detailins department activities.
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
260
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Redevelopment Agency
2007-1641
AGENDA NON-PACKET MATERIAL Correspondence and
information used in the preparation of meeting agendas but is NOT included
in the asenda racket.
3 Years
Redevelopment Agency
2007-1639
AGENDAS-OFFICIAL/FINAL Planning Commission meeting agenda
and any backup material submitted prior to or during the meeting. This series
is often included as nart of the meetinp minutes
PERMANENT
Redevelopment Agency
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Covies) Official record codv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Redevelopment Agency
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Redevelopment Agency
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled checks,
bank reconciliations, and similar records that document a banking
relation shin.
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Redevelopment Agency
2007-0050
BID RECORDS (Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Redevelopment Agency
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to Board
of County Commissioners. Official record copy at County Clerk.
Fiscal Yearend + 5
Years
HC EL
Redevelopment Agency
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation, review,
and decision-making processes for department budget requests.
Audit Clearance
HC
Redevelopment Agency
2007-0052
BUDGET, ADOPTED (.Department Copies ) Copies of adopted budgets.
Official record copy at Comptroller.
Audit Clearance + 1
Year
HC EL
Redevelopment Agency
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Redevelopment Agency
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For products
and services administered by an agency, where the official record copy is
maintained elsewhere. May include HIPAA information.
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
Redevelopment Agency
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements forNon-Capital products and services. May include
HTPAA information.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Redevelopment Agency
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances, Resolutions,
Purchase Orders, Requisitions and other copies where official record is
maintained bv another denartment.
Administratively
Useful
HC
Redevelopment Agency
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not duplicated
elsewhere that document how agency is organized, how it functions, and its
patterns of action, policies, procedures, and achievements.
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
261
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Redevelopment Agency
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
Durnoses.
Administratively
Useful
HC EL
Redevelopment Agency
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies )
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2) Transfer to Human Resources for
consolidation into official Personnel Record.
Redevelopment Agency
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Redevelopment Agency
2007- 1649
GRANT RECORDS - PROPOSALS, REPORTS, & RESULTS
Grants applied for and received from federal and state governments, private
organizations, private benefactors, and other sources; includes
correspondence, application and supporting documentation, project proposal,
project plans, award notification, grant related contracts and/or agreements,
equipment inventories, statistical reports, monitoring reports, summary
Closure + 3 Years,
OR Retention period
required by granting
authority, whichever
longer
Redevelopment Agency
LEAVE REQUESTS, EMPLOYEE (Department Copies) May
include HIPAA information. Official record copy at Human Resources.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Redevelopment Agency
2007-755
LEGAL NOTICES Public notice of governmental activities, including
affidavits of publication, certificates of mailing, affidavits of posting, public
hearing notices, other required public or legal notices and similar documents.
PERMANENT
Redevelopment Agency
2007-1115
LEGAL OPINIONS Formal opinions rendered by an attorney's office for
various departments or the governing body. Documents rationale for policy
decisions and maintains consistency in related issues.
PERMANENT
Redevelopment Agency
2007-0770
MAPS Maps of property for redevelopment, depicting lots and blocks,
annexations, easements, property lines, zoning boundaries, and similar
classifications.
PERMANENT
NOTE: Per department, these maps are
used for reference purposes and are
frermentlv undated
Redevelopment Agency
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies ) Submissions for inclusion
into Board meeting packets. Official record copy at County Clerk.
3 Years
HC EL
NRS 11.190 (3)(d)
Redevelopment Agency
2007-0285
ORGANIZATIONAL CHARTS Department and organizational unit
oreanization charts.
Until Superseded
HC EL
Redevelopment Agency
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer entry of
employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Redevelopment Agency
2007-0897
PETTY CASH RECORDS Record and track reimbursements of minor
purchases bv staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
262
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Redevelopment Agency
2007-0082
REAL PROPERTY APPRAISAL RECORDS Appraisal and
assessment records for real property under control of Redevelopment Agency
Includes taxpayers' names, property address, lot number, legal description,
acreage, assessed valuations for land & improvements, and factoring
worksheets
Until Superseded + 6
Years
Security Destruction, see notes.
Redevelopment Agency
2007-1254
REFERENCE FILES General information regarding products, methods
and materials that may be used by the department. Not specific to any project
or activity.
Administratively
Useful
HC
Redevelopment Agency
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions and
activities assigned to department. May include HIPAA information.
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
Redevelopment Agency
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers meetings,
and other internal meetings.
1 Year
EIC EL
Redevelopment Agency
2007-1005
STUDIES Studies performed by outside consultants or in-house staff,
including hydrology, environmental impact, flood control, transportation,
traffic engineering, feasibility, growth, neighborhood, studies documenting
long range forecasts and projections and similar documents.
PERMANENT
Security Destruction, see notes.
Redevelopment Agency
2007-0075
SUBJECT FILES Copies of correspondence where official record copy
is filed elsewhere.
Administratively
Useful
HC
Redevelopment Agency
2007-1254
TECHNICAL REFERENCE FILES Non-record copies of articles,
periodicals, reports, studies, vendor catalogs, and similar materials that are
used for reference and information but are not nublic records
Administratively
Useful
Redevelopment Agency
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE {Department
Copies) Documents hours worked and leave hours accrued or taken by
employees on a daily, weekly, or monthly basis. May include HIPAA
information. Official record conv at Human Resources.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Redevelopment Agency
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies )
Documentation and verification of individual employee training activities.
May include HIPAA information. Official record copy at Human Resources.
Fiscal Yearend + 3
Years
EIC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Redevelopment Agency
2007-1258
TRAVEL RECORDS {Department Copies ) Requests, authorizations,
reimbursements, and other records related to employee travel. Official record
codv at Comtrtroller.
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Social Services
ACCIDENT REPORTS (Department copies. Official record copy
at Finance Department, Automotive Division) Vehicle accidents
involving departmental personnel while on duty. Reports may
contain type of accident, narrative reports regarding facts and
circumstances of accident, witnesses, property damage, injury
reports, copies of medical treatment reports, vehicle damage reports,
photos, notes, police accidents reports, and other related documents.
Settlement
HC
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
263
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Social Services
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Social Services
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Social Services
2007-1558a
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Social Services
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Social Services
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Social Services
2007-1256
AUDIT REPORTS, QUALITY ASSURANCE REVIEW Quality
control reviews performed by an agency to check effectiveness of
policies and procedures [such as office security, training, safety,
personnel, customer relations, emergency and similar procedures].
State Department Licensure Surveys/Findings, State Department
Calendar Yearend + 3
Years
HC EL
Social Services
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Social Services
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Social Services
2007-0426
BILLS FOR CARE OF INDIGENT PERSONS Documents cost
of services provided to indigent persons, including bills for hospital
charges, hospital charges, type of care provided, bill payment info,
Final Payment + 3
Fiscal Years
HC EL
Security Destruction, see notes.
Social Services
2007-0003
BUDGET REQUEST, ANNUAL (,Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.oimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
Social Services
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Social Services
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Social Services
2007-1645
CASE FILES, ADULT PROTECTIVE SERVICES Reports of
adult abuse, neglect, or exploitation, including intake info,
social/health assessments, case findings, case worker assigned,
disrviQitirm mrrpsnnrrlptir-p vintim rlntn
Closure + 3 Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
264
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Social Services
2007-1164
CASE FILES, CLIENT Case files for clients applying for and/or
receiving assistance from CCSS. Services often include assessment
of client's needs, evaluation of client's ability to meet his/her needs,
crisis intervention, home evaluations, follow-up services, and
referrals to other programs and community resources. This series
may include applications for assistance or services, eligibility forms,
requests for information, client personal information, interview
reports, case histories, family histories, court orders, disclosure of
information forms, copies of medical reports, certifications,
authorizations, referrals, dispositions, case worker logs or registers,
summary reports, related forms, notes, memorandums,
correspondence, and similar documents.
Last Service + 6 Years
EL
Security Destruction, see notes.
Social Services
2007-0027
CEMETERY RECORDS Administration information on county
owned crypts for cremations and burial, including names, grave
location and client information
PERMANENT
HC
Social Services
2007-0029
CITIZEN AWARDS Awards given to citizens in honor of
contribution.
2 Years
HC
Social Services
2007-1642
CLIENT FILES, HOMEMAKER PROGRAM Administration
and care given through Homemaker Programs. Files may contain
case narrative, homemaker service agreements, homemaker service
assignment reports, service data sheets, social services notice of
decision, social services application, authorizations, case reporting
forms, social/health assessments, liability releases, adult protective
services reports, income verifications, payment authorization
requests, notes and memos, related correspondence and similar
documents.
Closure + 3 Years
EL
Security Destruction, see notes.
Social Services
CLIENT FILES, PROJECT REACH Track and maintain
information on clients who accessed services for utility assistance
program. Used for intake and determining client eligibility, including
client's personal information, copy of driver's license, proof of
income, award letter, pay stubs, bank statements.
Last Service + 3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Social Services
CLIENT REFERRAL RECORDS, HOMEMAKER
PROGRAM Track clients that have been referred for service and
their current status, including client identifying info, when request
was made for service, referring agency, case worker assigned, pay
Active
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Social Services
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
265
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Social Services
2007-1286
CONTINUATION OF BENEFITS (COBRA) RECORDS Cobra
registration and payment for client's COBRA coverage, including bill
payment info, client identifying info, correspondence, invoices.
Last Service + 6 Years
EL
Social Services
2007-1660
CONTINUING EDUCATION/TRAINING PROGRAM
RECORDS Documents continuing education requires for
professional license renewal, including training course workshop
documentation, accreditation notices, correspondence, etc.
Expiration + 3 Years
HC EL
Security Destruction, see notes.
Social Services
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintains! pkpwhprp
Expiration + 1 Year
HC
Security Destruction, see notes.
Social Services
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Social Services
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Social Services
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Social Services
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Social Services
2007-0837
EMPLOYEE LICENSES / CERTIFICATES Licenses/certificates
issued to employees by professional, educational, regulatory, or other
agencies. These types of licenses/certificates are normally
occupation specific (EMS, Peace Officer, Firefighter, Social Worker,
Nurses, Engineers & similar professions) & are usually required as a
condition of employment.
Expiration + 3 Years
HC EL
Security Destruction, see notes.
Social Services
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Social Services
2007-0332
EMPLOYEE RECOGNITION PROGRAM RECORDS
Document Employee of the Quarter and Year nominees and
recinients
2 Years
HC
Social Services
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
266
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Social Services
2007-0440
FIXED ASSET AND INVENTORY RECORDS Document and
administer process of updating and reconciling an inventory of fixed
assets in department's possession. May contain fixed asset
inventories, copies of purchase orders and other fiscal records,
monthly or annual property reports, copies of other property records,
memos, correspondence, inventory journals and related documents.
Until Superseded + 5
Years
HC EL
NRS 239.110
Social Services
2007-0059
GRANT FISCAL RECORDS Documents the awarding of funds
from federal government, state government, private organizations,
private benefactors, and similar sources. Accounting reports,
expenditure reports, audit reports, monitoring reports, copies of
purchase orders, warrants, warrant registers, vouchers.
Submission of final
expenditure report + 3
Fiscal Years OR
Granting authority
requirement,
—T— i
HC EL
Social Services
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
EXP + 3 Fiscal Years
OR Retention period
required by grantor,
whichever longer
HC EL
NRS 239.110 Security Destruction, see notes.
Review for historical value
Social Services
2007-1178
HOSPITAL BILLS - ACCEPTED FOR PAYMENT Documents
cost for services provided to indigent or low income individuals, and
may contain types of care provided, individual receiving service,
bills for various charges relating to medical care during hospital stay,
bill payment info and other related correspondence. Includes
T7 a
Last Service + 3 Years
EL
Security Destruction, see notes.
Social Services
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Social Services
LEGAL OPINIONS (Department copies. Official record copy at
District Attorney's Office) Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
maintain consistency in related issues.
Administratively
Useful
HC EL
Social Services
2007-0034
LEGISLATIVE RELATIONS RECORDS Used to review and/or
plan a local government's position on impacting legislative actions.
This series may include bill review and tracking forms, opinion
requests, bill tracking reports, copies of pending or approved
legislation, notes, memorandum, related correspondence and similar
documentation. Information in this series may also be used in
lobbying efforts and recommending legislative changes.
Administratively
Useful
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
267
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Social Services
2007-0063
MAILING AND DISTRIBUTION LISTS Lists of names and
addresses compiled for various mailings, such as billings,
notifications, community outreach, and other administrative
purposes. Media Telephone Directory (contact information for the
Calendar Yearend + 1
Year
HC EL
Social Services
2007-0109
MEETING RECORDINGS Recordings of proceedings of
regularly scheduled, special, and emergency meetings and may also
be used to transcribe, verify and correct minutes of public meetings.
Written minutes may be taken from these recordings, transcribed,
corrected as needed, and presented to meeting body for approval.
Transcription + 1
Year
EL
Social Services
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Social Services
2007-0107
MEETING RECORDS, BOARDS, COMMISSIONS,
COMMITTEES AND COUNCILS Official record of proceedings
of regularly scheduled, special and emergency meetings. (BEFAC).
Includes: Date/time/meeting place, Members present/absent,
Substance of matters proposed, discussed or decided, Votes taken,
Citizens who appeared, Related records
PERMANENT
HC EL
Social Services
NOTICES OF PUBLIC HEARING (Department copies. Official
record copy at County Clerk.) Posted notices of public hearings.
Administratively
Useful
HC EL
Social Services
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Social Services
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Social Services
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Social Services
2007-0323
POSITION REPORTS Information on staffing levels, vacancies,
and filled positions.
2 Years
HC
Social Services
PUBLIC HEARING RECORDS {Department copies. Official
record copy at County Clerk.) Records of hearings conducted as part
of regulatory process and/or hearings on proposed rules and changes,
nnrl nnnnlndnnQ rpnnViprl
Administratively
Useful
EL
Social Services
2007-0073
RECORDS RETENTION SCHEDULE Listing of department
records and mandated retention rieriods.
Until Superseded + 6
Years
HC
Social Services
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snerifir, to anv nroiect or activity
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
268
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Social Services
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
FIC EL
NRS 11.190 (l)(b)
Social Services
2007-1279
SECURITY RECORDS Security program information for Clark
County Social Service- includes incident reports and contract
security cmard information
Calendar Yearend + 5
Years
EIC EL
Security Destruction, see notes.
Social Services
SIGNATURE AUTHORIZATIONS FILE (,Department copies.
Official record copy at Finance Department) Used to authorize,
assign authority, and verify approval of various governmental
nntinnQ
Expiration
HC
Security Destruction, see notes.
Social Services
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
Social Services
2007-0047
STRATEGIC PLAN FILES Develop and maintain the
department's mission, goals and performance measures. Activity
Renorts Performance Measures
Until Superseded + 3
Years
EL
Security Destruction, see notes. Review for
historical value
Social Services
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Social Services
2007-0076
SURVEYS, ANNUAL HHHA/AHC Annual quality assurance
surveys for clients receiving homemaker services, home health aide
agencies whim whom CCSS contracts, and home health aides
PtnnlnvpH bv PrSS
Administratively
Useful
HC
Review for historical value
Social Services
2007-0076
SURVEYS, POLLS, AND QUESTIONNAIRES Document
county department opinion on various issues, actions, and concerns.
Survevs noils nuestionnaires summaries abstracts
Administratively
Useful
HC
Review for historical value
Social Services
TELECOMMUNICATION SYSTEM MANAGEMENT
RECORDS (Department copies. Official record copy at IT)
Documents creation, modification, and disposition of
telecommunications systems. May include equipment records,
Federal Communications Commission records, repair order forms,
system planning records, telecommunications maintenance contracts
and service agreements, service orders, related correspondence, and
Administratively
Useful
HC EL
Social Services
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Social Services
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmntir\n
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Social Services
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
269
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Social Services
VEHICLE MAINTENANCE & REPAIR RECORDS
(.Department copies. Official record copy at Finance Department,
Automotive Division) Documents maintenance & repairs of owned
or leased vehicles. Records used to provide maintenance & repair
Life of Asset
HC
Social Services
2007-0331
VOLUNTEER SERVICE RECORDS Documents work performed
by citizens without compensation for their services. Includes
applications, job descriptions, training documents, orientation
records, workman's compensation records, volunteer processing
check list, time records, monitoring records, & letters of
Termination + 3 Years
HC EL
Security Destruction, see notes.
Special Public Defender
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Special Public Defender
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing department activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Special Public Defender
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Special Public Defender
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Special Public Defender
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Special Public Defender
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationship
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Special Public Defender
2007-0050
BID RECORDS {Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Special Public Defender
2007-0003
BUDGET REQUEST, ANNUAL {Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Cniintv Commissioners
Fiscal Yearend + 5
Years
HC EL
Special Public Defender
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Special Public Defender
2007-0052
BUDGET, ADOPTED {Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
270
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Special Public Defender
2007-1406
CASE FILES, CIVIL FAMILY APPEALS Record is created from
abuse/neglect file and termination of parental rights file combined on one
record transmitted to Nevada Supreme Court upon termination of parental
rights. Includes: Pleadings filed in abuse/neglect case, Pleadings filed in
termination of parental rights file, Research, Client case plan compliance
documents, DFS Case notes, Expert evaluations, Transcripts. This record is
created from existing case files to create a record to be transmitted to Nevada
Supreme Court and to all parties to the action. When case is decided by
Nevada Supreme Court, the record is sent back to District Court Clerk.
Termination + 7 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Special Public Defender
2007-0155
CASE FILES, CIVIL FAMILY Record created from various state
agencies, District Court and client to be used to represent indigent parents
charged with abuse/neglect or if state is seeking to terminate parental rights.
Includes client intake document, release of information,
pleadings/motions/court filings, DFS case notes, attorney notes / memos,
correspondence, case history, case minutes, case plan compliance documents,
medical records, police reports, school records, collateral domestic case
filings. Pleadings and transcripts are maintained by District Court Clerk; DFS
Case notes and discovery are kept by District Attorney; Police Reports are
kept by Metro. Notes, Correspondence, psychological reports, reports of
investigation, client intakes, attorney notes and memos are all original
Settlement +7 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Special Public Defender
2007-1406a
CASE FILES, CRIMINAL CASES - Non CAPITAL Record is
created from trial files to be used to proceed to Nevada Supreme Court from
District Court upon judgment of conviction. Includes: pleadings, record on
appeal, correspondence, research, attorney notes/memos.
Termination + 7 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes. Files are kept until new
attorney is appointed; then everything turned
over to new attorney. We retain original of
work products. If capital case, we keep a
convenience copy of everything except
pleadings and transcripts.
Special Public Defender
2007-1406b
CASE FILES, CRIMINALCASES - CAPITAL Record is created
from trial files to be used to proceed to Nevada Supreme Court from District
Court upon judgment of conviction. Includes: pleadings, record on appeal,
correspondence, research, attorney notes/memos.
TERM of
IMPRISONMENT
OR Death of Client
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes. Files are kept until new
attorney is appointed; then everything turned
over to new attorney. We retain original of
work products. If capital case, we keep a
convenience copy of everything except
pleadings and transcripts.
Special Public Defender
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Special Public Defender
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
271
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Special Public Defender
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-Canital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Special Public Defender
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrd is maintained hv another denartment
Administratively
Useful
HC
Special Public Defender
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Special Public Defender
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
Special Public Defender
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Special Public Defender
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Special Public Defender
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Special Public Defender
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Special Public Defender
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Special Public Defender
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Special Public Defender
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Special Public Defender
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nrniprt or activity
Administratively
Useful
HC
Special Public Defender
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Special Public Defender
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and nthpr internal mpptinos
1 Year
HC EL
Special Public Defender
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
272
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Special Public Defender
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Special Public Defender
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Special Public Defender
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Treasurer
2007-0046
ACCOUNTING RECORDS (,Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Treasurer
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Treasurer
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial renorts detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Treasurer
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Treasurer
2007-0468
ASSESSORS RECORDS/FILE MAINTENANCE Adjustment to
real property assessed values which directly affects real property tax
amounts. Information is used to recalculate new tax amounts.
Fiscal Yearend + 6
Fiscal Years
HC EL
Security Destruction, see notes.
Treasurer
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Treasurer
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Treasurer
2007-0469
BANKRUPTCY RECORDS Maintain history & review claims
filed with the Bankruptcy court(s); maintain a history of collections;
& maintain current and history of case tracking information,
including claim, tax bill, personal property declaration, court
documents, print out from court, info sheet from bankruptcy
Settlement + 6 Years
HC EL
Security Destruction, see notes.
Treasurer
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Treasurer
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.ountv Commissioners
Fiscal Yearend + 5
Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
273
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Treasurer
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
Treasurer
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Treasurer
2007-0431
CLAIMS AGAINST COUNTY Claims against county for goods &
services rirovided.
Settlement + 3 Years
HC EL
Security Destruction, see notes.
Treasurer
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Treasurer
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
remrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Treasurer
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Treasurer
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
Treasurer
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
Treasurer
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
Treasurer
2007-0433
DAILY CASH AND RECEIPTS REPORTS Daily cash
transactions and may contain receipts, cashier's daily reports, cash
balance reports, transmittal reports, and related documents. Includes
daily transactions, main cashier deposits, credit card transmittals,
customer svc deposits, batch reports, receipt copies.
Audit Clearance
HC EL
Treasurer
2007-0058
EMPLOYEE PERSONNEL FILES {Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Treasurer
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
274
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Treasurer
2007-0444
INVESTMENT RECORDS Documents and administers
investment accounts. Documentation to support the daily investment
activity for various accounts. May include daily cash investment
activity, investment filing backup, Lotus investment ledger, Simpro
investment ledger/investment register, internal disbursement &
invest report, custodian statements, etc.
Fiscal Yearend + 6
Fiscal Years
HC
Treasurer
2007-0446
JOURNAL ENTRIES Detailing accounts to be charged and
credited. Used to make fund transfers, adjustments, and corrections
to accounting records. Includes information on account number,
amount debited, amount credited, account description, and reason for
Fiscal Yearend + 6
Fiscal Years
HC EL
Treasurer
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Treasurer
2007-1666a
LIENS AND RELEASES - TAX Documents liens filed for non-
payment of taxes in accordance with state/federal law. May contain
notice of lien, refilling form, certificate of release, certificate of
subordination, correction notices, certificate of non-attachment,
certificate of revocation & reinstatement, certificate of withdrawal,
copies of court documents, related correspondence & similar
Filing +10 Years
HC EL
Treasurer
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Treasurer
2007-1533
MEETING RECORDS, BOARDS, COMMISSIONS,
COUNCILS, AND STANDING COMMITTEES Original
minutes of public and closed meetings, agendas, transcripts,
attachments and exhibits, correspondence related to the meetings,
announcements, proof of postings, proof of certified mailings, and
PERMANENT
HC EL
Treasurer
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Treasurer
2007-0449
PAYROLL FILES Document and administer payroll of employees.
Time records, direct deposit reports, payroll registers, payroll
corrections
Fiscal Yearend + 3
Fiscal Years
HC
Security Destruction, see notes.
Treasurer
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Treasurer
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Treasurer
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
275
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Treasurer
2007-1316
REFUND RECORDS Documents credits or refunds for
overpayment. May include amount of overage, cause of overage,
written request for refund, and related correspondence.
Fiscal Yearend + 3
Years
HC EL
Security Destruction, see notes.
Treasurer
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Treasurer
2007-0521
RETURNED CHECKS Checks received in payment of various
government matters (taxes, SID's, invoices) and has been returned
unpaid by a financial institution. This record series documents
attempts to collect monies for non-negotiable (usually insufficient
funds) checks received for payment to agency accounts.
Written off or Deemed
Uncollectable + 3
Fiscal Years
HC EL
Security Destruction, see notes.
Treasurer
2007-0998
SPECIAL ASSESSMENT DISTRICT RECORDS Files on public
works projects related to redevelopment projects requiring
extraordinary maintenance, repair and improvement. Includes billing
registers, file maintenance, notice of parcel split & conformed
copies, assessment no longer billed, end of month and year reports,
detail list of 60-120 day letters, AMG collection report, specials to be
Fiscal Yearend + 5
Fiscal Years
HC EL
Security Destruction, see notes.
Treasurer
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Treasurer
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Treasurer
2007-0457
TAX BILLS Individual tax bills mailed yearly to each property
owner or property mortgage holder, seeking payment of property
taxes. Documentation for real property tax parcel sent annually to
homeowner or mortgage company. Includes assessment no longer
being billed, special assessment billing register.
Fiscal Yearend + 3
Fiscal Years
HC EL
Security Destruction, see notes.
Treasurer
2007-0458
TAX NOTICES Informational notices published in newspapers or
posted in public places, specifying dates property taxes are due, &
nenalties for delinnuenrv
Administratively
Useful
See NOTE
HC
NOTE: It is recommended these records
not be retained longer than three years.
Treasurer
2007-1319
TAX PROTEST LETTERS Notification from tax payer protesting
payment of real property tax. This record series documents taxes paid
under nrotest hv a taxnaver
Settlement + 6 Years
HC EL
Treasurer
2007-0461
TAX REDEMPTION CERTIFICATES Certificates document
property description, amount of delinquent taxes due, year of
assessment, name of property owner or taxpayer, various taxes,
penalties, interest, & other costs added to property, & a statement
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
276
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Treasurer
2007-0459
TAX ROLLS Documents official record of assessments, tax levied,
and changes to the tax roll on properties. Includes Tax Roll Fiche
End of Year-Current, 1st, 2nd, end of month tax roll current year.
PERMANENT
HC EL
MI
Treasurer
2007-0462
TAX SALES REPORTS Documents filed to confirm that
delinquent real property tax notification was sent. May include
applications, applicable forms, supporting documentation and related
correspondence. Also used in event of a dispute regarding delinquent
notification process. These reports document the sale of property for
delinquent taxes. Includes affidavits, tax delinquent letters,
delinquent rolls, trustee tax roll, certified mailings, reconveyence
packets, reconveyence receipts, and trustee sale folders.
PERMANENT
HC EL
Treasurer
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Treasurer
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Treasurer
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Treasurer
2007-0464
UNCLAIMED PROPERTY REPORTS Documents reporting by
holders of abandoned accounts in accordance with NRS Chapter
120A. This record series may contain various completed forms and
reports as required by State Treasurer (Administrator of Unclaimed
Property), supporting documentation, associated correspondence, and
similar material.
Seven (7) calendar
years from the date
the abandoned
property report is filed
with the State
Treasurer.
HC EL
Security Destruction, see notes. NRS
120A.700, NRS 120A.145, NRS 120A.560,
NAC 239.165 (1)(2)
UMC - Administration
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record ronv at Comntroller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Administration
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Administration
2007-1558a
ACTIVITY REPORTS. MONTHLY Monthly operating,
statistical or financial reports detailing department activities.
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Administration
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
Conies i Official record copv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Administration
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
277
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Administration
2007-0049
AUDIT REPORTS, EXTERNAL (office copies) Audits/studies
performed by various outside parties regarding feasibility and/or
financial viability of Hospital, includes feasibility studies, audit
finHinoQ ptr
Until Superseded + 1
Fiscal Year
HC EL
UMC - Administration
2007-1256
AUDIT REPORTS, QUALITY ASSURANCE REVIEW Quality
control reviews performed by an agency to check effectiveness of
policies and procedures [such as office security, training, safety,
personnel, customer relations, emergency and similar procedures],
JCAHO Survey Findings, JCAHO Survey Responses, State
Department Licensure Surveys/Findings, State Department
Calendar Yearend + 3
Years
HC EL
UMC - Administration
2007-0094
AUDIT REPORTS, SPECIAL Special, not annual, reports
prepared by external auditors examining and verifying UMC's
financial activities or the financial activities of a fund, department or
other component of UMC. Includes OIG Audits & Responses, CMS
Fiscal Yearend + 3
Years
HC EL
UMC - Administration
2007-0005
AUDIT, ANNUAL FINANCIAL Documents the annual financial
condition of a local governmental entity; includes audited fmancials,
auditor comments & findings.
PERMANENT
HC
Official record copy may be included in Board
of County Commissioners' meeting minutes. I:
so, UMC copy need not be retained
Dermanentlv.
UMC - Administration
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hnnkina rplatinnshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Administration
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Administration
2007-0261
BIDS FOR CONTRACTS RFPs, Responses to RFPs, Committee
Minutes, Score Sheets, Letters of Interest, pertaining to professional
(physician) patient services.
Cancellation + 7
Years, OR Expiration
+ 7 Years
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Administration
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
UMC - Administration
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rpnupsts
Audit Clearance
HC
UMC - Administration
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at. Corrmtroller.
Audit Clearance + 1
Year
HC EL
UMC - Administration
2007-1243
COMMITTEE RECORDS, AD HOC Documents establishment,
organization, membership, policies, activities, and accomplishments
of ad hoc (internal, interagency, advisory, etc.) committees. These
types of committees are usually formed for a specific and often
temporary function, usually on an informal basis. Includes Agendas,
Minutes, Reports, Working Papers, Correspondence.
3 Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
278
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Administration
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Administration
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
UMC - Administration
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTPA A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
UMC - Administration
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Administration
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
UMC - Administration
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
UMC - Administration
2007-0008
DIRECTIVES OF MANAGER Executive orders, Bulletins and
advisories, Directives, Policy statements, Notes on policy and
nrocedures Related corresnondence Similar documents
PERMANENT
HC EL
UMC - Administration
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Administration
2007-1238
EMPLOYEE SUGGESTION FORMS Documents "employee
suggestions", "good ideas", "action needed" and similar agency
ririwrams
Administratively
Useful
HC EL
UMC - Administration
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
UMC - Administration
2007-0033
HISTORY FILES Records that document history of an agency,
department, division or other governmental body, and is usually used
as an informational source for governmental entity & public.
PERMANENT
HC EL
UMC - Administration
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
279
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Administration
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
PERMANENT
EIC EL
May contain HIPAA information. Security
Destruction, see notes.
UMC - Administration
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
EIC EL
NRS 11.190 (3)(d)
UMC - Administration
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
EIC EL
UMC - Administration
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Administration
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment.
Audit Clearance
HC
NRS 354.624
UMC - Administration
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv rirniert or activity
Administratively
Useful
HC
UMC - Administration
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
EIC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
UMC - Administration
2007-0391
REVENUE BOND RECORDS Authorization to finance municipal
improvements through bonded indebtedness and implementation of
government bond issues. "Official Statement, General Obligation
(limited Tax) Hospital Improvement and Refunding Bonds
(Additionally Secured With Pledged Gross Revenues."
Bonds Retired +10
Years
EIC EL
UMC - Administration
2007-1280
SIGNATURE AUTHORIZATIONS FILE Used to authorize,
assign authority, and verify approval of various governmental
actions
Expiration + 5 Fiscal
Years
HC
UMC - Administration
2007-1242
SPECIAL BOARDS, COMMISSIONS, COUNCILS,
COMMITTEES, OFFICES AND TASK FORCE RECORDS
Document governmental administration, activities, and history of
specially organized committees, boards, councils, offices and task
forces. These entities are usually organized or appointed to address
specific problems or situations, and not intended to carry on activity
beyond a final report or activity. The purpose of these special entities
may involve advising, investigating, planning, recommending,
compiling, summarizing and similar activities.
Permanent OR
See Note
HC EL
NOTE: Retain records for a minimum period
of 5 calendar years from meeting date AND
transfer to one of the facilities described in
NAC 239.850 (l)(b).
UMC - Administration
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
280
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Administration
2007-0047
STRATEGIC PLAN FILES Develop and maintain the
department's mission, goals and performance measures. Activity
Renorts Performance Measures
Fiscal Yearend + 3
Years
EL
UMC - Administration
2007-1005
STUDIES Studies performed by outside consultants or in-house
staff Feasibility Studies. Consultant Reriorts
PERMANENT
HC EL
UMC - Administration
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
UMC - Administration
2007-1281
SUMMONS & SUBPOENAS Documents received by individuals
in their official capacity as local government employees, requiring
their appearance at a specified place, date and time. Summons and
subpoenas are issued by agencies granted this power under law. May
include state and federal courts, boards, commissions, offices, etc.
Documents contain a statement of authority for summons or
subpoena, reasons for required appearance, date, time and place.
Documents are signed and dated and may be delivered by mail or by
an officer of summoning institution.
Closure + 1 Year
HC
UMC - Administration
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
{Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Administration
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Administration
2007-1258
TRAVEL RECORDS {Department Copies) Requests,
authorizations, reimbursements, and other records related to
emnlovee travel Official record conv at Oomntroller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Budget & Financial
Planning
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Budget & Financial
Planning
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Budget & Financial
Planning
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Budget & Financial
Planning
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Budget & Financial
Planning
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
281
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Budget & Financial
Planning
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HCEL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Budget & Financial
Planning
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HCEL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Budget & Financial
Planning
2007-0004
BUDGET - FINAL ANNUAL Final annual financial plan for University
Medical Center. Final FTE Worksheet, Final Operating Worksheet, Capital
Equipment Worksheet, F-l & F-2, Departmental Budgets
PERMANENT
HCEL
UMC - Budget & Financial
Planning
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.oimtv Commissioners
Fiscal Yearend + 5
Years
HCEL
UMC - Budget & Financial
Planning
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Budget & Financial
Planning
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HCEL
UMC - Budget & Financial
Planning
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HCEL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Budget & Financial
Planning
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Budget & Financial
Planning
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Budget & Financial
Planning
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Budget & Financial
Planning
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
arliipvpmmtg
PERMANENT
HCEL
UMC - Budget & Financial
Planning
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HCEL
UMC - Budget & Financial
Planning
2007-1725
EMPLOYEE IT ACCESS CONTROL AND SECURITY FILES
Authorizations to make user access changes for HR on SAP system
Calendar Yearend + 3
Years
EL
NRS 239C.210, NAC 239.165 (1) (2).
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
282
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Budget & Financial
Planning
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Budget & Financial
Planning
2007-0450
EMPLOYMENT TAX RECORDS Report collection, distribution,
deposit, and transmittal of federal income taxes. Records may include 1099's.
W-2's), W-9's, employers' quarterly federal tax return (941, 941E), tax
deposit coupon (8109), & similar completed forms.
Tax year in which
taxes are due + 4
Years, OR date tax
paid + 4 Years,
HC EL
UMC - Budget & Financial
Planning
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Budget & Financial
Planning
2007-1520
FUND TRANSFER RECORDS Documents moneys transferred from
one fund to another showing date, amount transferred, name of fund, purpose
and balance, including Fund Transfer, Back-up Documentation, etc.
Audit Clearance
HC
UMC - Budget & Financial
Planning
LEAVE REQUESTS, EMPLOYEE May include FMLA
information.
Fiscal Yearend + 3
Years
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Budget & Financial
Planning
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Budget & Financial
Planning
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Budget & Financial
Planning
2007-0452
PAYROLL ADMINISTRATIVE REPORTS Reports, statistical
studies, and other records designed and used for budget preparation,
projections, workload and personnel management, research, and general
reference, including Payroll Registers, Payroll Deduction Reports, Employee
TimfiRfinnrts TaxRenorts PFRS
Fiscal Yearend + 3
Years
HC EL
MF
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
UMC - Budget & Financial
Planning
2007-1686
PAYROLL DEDUCTION INPUT DOCUMENTS Document and
administer deductions to employee's payroll. Includes all forms used to input
information into system for a payroll deduction, including authorization
forms for deductions, including Garnishments, Tax Levies, Child Support
Orders, Education Garnishment, Bankruptcy Orders, Auxiliary Deductions,
Accounts Receivable Reductions, Deferred Compensation Loans
Cancellation, Until
Superseded, or
Termination, as
applicable + 3 Fiscal
Years
HC
UMC - Budget & Financial
Planning
2007-0449
PAYROLL FILES Document and administer payroll of UMC employees.
Time Records, Direct Deposit Reports, Payroll Registers, Payroll Corrections
Fiscal Yearend + 3
Years
29CFR516.5, 29CFR516.6
UMC - Budget & Financial
Planning
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
283
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Budget & Financial
Planning
2007-045 lb
PAYROLL REGISTERS OR REPORTS. NON YEAR END
Documents pay and benefits earned by UMC employees, including Deductioi
Registers, Payroll Register, Leave Status Reports, Check Reconciliation
Register, Processing Status, Direct Deposit Register, PERS Reports
Fiscal Yearend + 6
Years
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
UMC - Budget & Financial
Planning
2007-045 la
PAYROLL REGISTERS OR REPORTS. YEAR END Documents
pay and benefits earned by UMC employees, including Deduction Registers,
Payroll Register, Leave Status Reports, Check Reconciliation Register,
Processing Status, Direct Deposit Register, PERS Reports
Calendar Yearend +
60 Years
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
UMC - Budget & Financial
Planning
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Budget & Financial
Planning
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
UMC - Budget & Financial
Planning
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinri
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Budget & Financial
Planning
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Budget & Financial
Planning
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - Budget & Financial
Planning
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Budget & Financial
Planning
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Budget & Financial
Planning
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Compliance & HIPAA
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record conv at Comntroller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Compliance & HIPAA
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Compliance & HIPAA
2007-1558a
ACTIVITY REPORTS. MONTHLY Monthlv ODeratina.
statistical or financial reports detailing department activities.
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Compliance & HIPAA
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
Copies) Official record copy at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
284
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Compliance & HIPAA
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Compliance & HIPAA
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Compliance & HIPAA
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Compliance & HIPAA
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
UMC - Compliance & HIPAA
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
UMC - Compliance & HIPAA
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record copy at Comptroller.
Audit Clearance + 1
Year
HC EL
UMC - Compliance & HIPAA
2007-0055
COMPLAINTS, GENERAL General complaints about/against
department or its employees. May include complainant name,
address, & phone number, description of complaint, name of person
responding to complaint, resolution of complaint, correspondence &
Resolution + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Compliance & HIPAA
COMPLIANCE AUDIT RECORDS Document investigations and
outcomes based on complaints and audits. Document education
related to Compliance and HIPAA. Includes Database of complaints,
Memos and reports, Policies and procedures, HIPAA ESC
presentations and minutes, Articles and newsletters, Annual
mandatory training programs, Compliance handbook, Compliance
manual, Hybrid entity decision memos, OIG Correspondence, Copies
of documents involved in investigations and audits
7 Years
HC EL
45CFR.306, 45CFR310 (a), 45CFR 164.530
(j) (2), NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
UMC - Compliance & HIPAA
COMPLIANCE AUDIT WORKPAPERS Workpapers, internal
agency reports, spreadsheets, copies of accounting records, related
corresnondence &. similar records
7 Years
HC EL
Used to review and prepare follow on audits.
NRS 205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
UMC - Compliance & HIPAA
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
remrd mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Compliance & HIPAA
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services, and
Business Associate Agreements
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
UMC - Compliance & HIPAA
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official record is maintained liv another denartment
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
285
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Compliance & HIPAA
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
UMC - Compliance & HIPAA
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
UMC - Compliance & HIPAA
2007-0058
EMPLOYEE PERSONNEL FILES {Department Copies)
Administrative copy of master personnel file. May include FMLA
information. Official record copy at Human Resources.
Termination + 1 Year
See NOTE
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). NOTE: Transfer to Human Resources
for consolidation into official Personnel
Record.
UMC - Compliance & HIPAA
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
UMC - Compliance & HIPAA
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include FMLA information. Official record copy at Human
Ppsnurrps
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Compliance & HIPAA
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Compliance & HIPAA
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded + 7
Years
HC EL
7 Year period to meet compliance
requirements
UMC - Compliance & HIPAA
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Compliance & HIPAA
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Compliance & HIPAA
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
UMC - Compliance & HIPAA
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
UMC - Compliance & HIPAA
SELF-MONITORING & EXTERNAL AUDIT RECORDS,
COMPLIANCE Document self-monitoring activities and outcomes
conducted for compliance. Document education content and
attendance related to Compliance and HIPAA. Documents external
Until Superseded + 7
Years
HC EL
45CFR.306, 45CFR310 (a), 45CFR 164.530
Q (2), NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
UMC - Compliance & HIPAA
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings, and other internal meetings.
1 Year
See NOTE
HC EL
NOTE: See LRDA 2007-0330 if meeting
content is related to training or inservice
education for corporate compliance or
HTPA A
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
286
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Compliance & HIPAA
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - Compliance & HIPAA
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Compliance & HIPAA
2007-0330
TRAINING RECORDS, EMPLOYEE - GENERAL
Documentation and verification of individual employee training
activities
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Compliance & HIPAA
TRAINING RECORDS, EMPLOYEE - HIPAA OR
CORPORATE COMPLIANCE EVIDENCE Documentation and
verification of individual employee training activities. Program
Fiscal Yearend + 6
Years
HC EL
OIG Compliance Guidance Security
Destruction, see notes.
UMC - Compliance & HIPAA
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travel Official record rnnv at Cnmritrnller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-0046
ACCOUNTING RECORDS (Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record conv at C.omntroller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Fiscal Services -
Eligibility Financial Services
2007-1558a
ACTIVITY REPORTS. MONTHLY Monthlv ODeratina.
statistical or financial reports detailing department activities.
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Fiscal Services -
Eligibility Financial Services
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
Copies) Official record copy at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
APPLICATIONS FOR UNDOCUMENTED ALIENS Original
Application, Identification, copy, I.N.S. Documents
6 Years
HC
45CFR160.103, 45CFR106.501 (1) (i),
45CFR164.528 (a), NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
UMC - Fiscal Services -
Eligibility Financial Services
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Fiscal Services -
Eligibility Financial Services
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankina relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Fiscal Services -
Eligibility Financial Services
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Fiscal Services -
Eligibility Financial Services
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clerk
Fiscal Yearend + 5
Years
HC EL
UMC - Fiscal Services -
Eligibility Financial Services
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rermests
Audit Clearance
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
287
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Fiscal Services -
Eligibility Financial Services
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record copy at Comptroller.
Audit Clearance + 1
Year
HC EL
UMC - Fiscal Services -
Eligibility Financial Services
CHARGE OFF RECORDS Records used to determine whether to
charge off unpaid patient charges. Includes patient demographics,
credit report (copy), property assessment (copy), management
annrnva 1 QicmntiirpQ ptr
6 Years
HC
NRS 205.4617, NAC 239.165 (1) (2).
Security Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
infnrmtitinii
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTPA A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Fiscal Services -
Eligibility Financial Services
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
UMC - Fiscal Services -
Eligibility Financial Services
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
UMC - Fiscal Services -
Eligibility Financial Services
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Fiscal Services -
Eligibility Financial Services
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
288
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Fiscal Services -
Eligibility Financial Services
FINANCIAL ASSISTANCE PACKETS Clark County social
service application, certified birth certificate, welfare application,
certified death certificate, public guardian application, bank
statements, length of disability, pay stubs, legal/trust document
(copy), drivers license copy, nursing home notes, credit reports,
discharge notes, police reports, copy, agency requests for
information, insurance documentation, notice of decisions, medical
record(s), H&P copy
6 Years
45CFR160.103, 45CFR164.528 (a), NRS
205.4617, NAC 239.165 (1) (2). Security
Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Resources
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Fiscal Services -
Eligibility Financial Services
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Fiscal Services -
Eligibility Financial Services
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Fiscal Services -
Eligibility Financial Services
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
UMC - Fiscal Services -
Eligibility Financial Services
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmtitinii
EXP + 6 Years, OR
SUP + 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Fiscal Services -
Eligibility Financial Services
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - Fiscal Services -
Eligibility Financial Services
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Fiscal Services -
Eligibility Financial Services
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Human RpoinrrpQ
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
289
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Fiscal Services -
Eligibility Financial Services
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
emnlovee travel Official record conv at C.omntroller
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - General Accounting &
Accounts Payable
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - General Accounting &
Accounts Payable
2007-0090
ACCOUNTS PAYABLE Payment of bills for goods & services,
including billing statements, receiving reports, shipping documents,
expense reimbursements, computer generated reports & printouts,
payment authorizations, supportive documentation, related
Fiscal Yearend + 6
Years
HC
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.528, 45CFR164.501 May contain
HIPAA information. Security Destruction, see
notes.
UMC - General Accounting &
Accounts Payable
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - General Accounting &
Accounts Payable
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - General Accounting &
Accounts Payable
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - General Accounting &
Accounts Payable
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - General Accounting &
Accounts Payable
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanldna relatinnshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - General Accounting &
Accounts Payable
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - General Accounting &
Accounts Payable
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.ountv Commissioners
Fiscal Yearend + 5
Years
HC EL
UMC - General Accounting &
Accounts Payable
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - General Accounting &
Accounts Payable
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
UMC - General Accounting &
Accounts Payable
CHAMPUS PASS THROUGH REIMBURSEMENT
REQUESTS Official report for requesting reimbursement
passthrough from CHAMPUS. Includes copy of official report and
wnrkrarws
10 Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
290
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - General Accounting &
Accounts Payable
COLLECTION AGENCY PAYMENTS Records of collection
agency payments including the patient payment and the amount of
the collection agency fees. Includes remittance advices,
reconciliations, copies of agency checks, agency monthly summaries
7 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2),
44CFR164.501 May contain HIPAA
information. Security Destruction, see notes.
UMC - General Accounting &
Accounts Payable
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - General Accounting &
Accounts Payable
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - General Accounting &
Accounts Payable
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - General Accounting &
Accounts Payable
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - General Accounting &
Accounts Payable
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
UMC - General Accounting &
Accounts Payable
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
UMC - General Accounting &
Accounts Payable
2007-0433
DAILY CASH AND RECEIPTS REPORTS Daily cash
transactions and may contain receipts, cashier's daily reports, cash
balance reports, transmittal reports, and related documents. Includes
QC/PC daily transactions, Main Cashier deposits, Credit Card
transmittals, Customer Svc Deposits, Batch reports, Receipt copies.
Audit Clearance + 3
Years
HC EL
User feels a longer time is advisable - at least
audit + 3 years. They have previously had to
refer to these records to research theft
allegations.
UMC - General Accounting &
Accounts Payable
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - General Accounting &
Accounts Payable
2007-0450
EMPLOYMENT TAX RECORDS Report collection, distribution,
deposit, and transmittal of federal income taxes. Records may
include 1099's, W-2's), W-9's, employers' quarterly federal tax
return (941, 941E), tax deposit coupon (8109), & similar completed
Tax year in which
taxes are due + 4
Years, OR date tax
paid + 4 Years,
HC EL
UMC - General Accounting &
Accounts Payable
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
291
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - General Accounting &
Accounts Payable
2007-0060
GRANT RECORDS Documents application for and awarding of
funds from federal government, state government, and private
organizations, private benefactors, and similar sources. This series
may include application and supporting documentation, project
proposal, project plans and objectives, award notification, grant
related contracts and/or agreements, equipment inventories,
statistical reports, monitoring reports, summary reports,
Expiration + 3 Fiscal
Years, OR Retention
period required by
grantor, whichever
longer
HC EL
NRS 239.110 Security Destruction, see notes.
Review for historical value
UMC - General Accounting &
Accounts Payable
2007-0446
JOURNAL ENTRIES Detailing accounts to be charged and
credited. Used to make fund transfers, adjustments, and corrections
to accounting records. Includes information on account number,
amount debited, amount credited, account description, and reason for
Fiscal Yearend + 6
Years
HC EL
UMC - General Accounting &
Accounts Payable
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - General Accounting &
Accounts Payable
MEDICARE APPEALS AND REOPENING FILES Support
claims for reimbursement under dispute. Includes position papers,
letters and surwirtina documents
Resolution + 2 Years
HC
UMC - General Accounting &
Accounts Payable
MEDICARE COST REPORTS Report is filed annually reports
costs and revenues for hospital. Information from report used to set
reimbursement rates for Hosnital and Region
15 Years
HC EL
UMC - General Accounting &
Accounts Payable
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - General Accounting &
Accounts Payable
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - General Accounting &
Accounts Payable
PATIENT REFUNDS Credits or refunds to clients for overpayment
of services. Information may include account name and number, tax
ID number, amount of overage, cause of overage, written request for
credit or refund, copy of receipts, related correspondence, and
Fiscal Yearend + 6
Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.528, 48CFR164.501 May contain
HIPAA information. Security Destruction, see
notes.
UMC - General Accounting &
Accounts Payable
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - General Accounting &
Accounts Payable
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - General Accounting &
Accounts Payable
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
srierifir to anv rirniert or activity
Administratively
Useful
HC
UMC - General Accounting &
Accounts Payable
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Superseded + 6
Years
HC EL
NRS 11.190 (l)(b)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
292
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - General Accounting &
Accounts Payable
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - General Accounting &
Accounts Payable
STUDIES, UNCOMPENSATED MEDICAID COST Required
by State Medicaid - used to calculate DISH payments. Includes
worknaners svstem renorts and natient detail
5 Years
EL
UMC - General Accounting &
Accounts Payable
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - General Accounting &
Accounts Payable
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - General Accounting &
Accounts Payable
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - General Accounting &
Accounts Payable
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Health Information
Management
2007-0046
ACCOUNTING RECORDS (,Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Health Information
Management
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Health Information
Management
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Health Information
Management
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Health Information
Management
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Health Information
Management
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankino relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Health Information
Management
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Health Information
Management
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.ountv Commissioners
Fiscal Yearend + 5
Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
293
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Health Information
Management
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Health Information
Management
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
UMC - Health Information
Management
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Health Information
Management
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Health Information
Management
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Health Information
Management
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Health Information
Management
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
UMC - Health Information
Management
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
UMC - Health Information
Management
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Health Information
Management
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Health Information
Management
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Health Information
Management
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Health Information
Management
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
294
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Health Information
Management
2007-0725
PATIENT CHARTS, INPATIENT AND OUTPATIENT Records
of patient treatment in all areas of hospital. Includes fetal strips, obstetrical
care, emergency care, inpatient, ambulatory and observation treatment, etc.
State requirement is
date of receipt or
production of record +
6 Calendar Years.
UMC policy is
Termination of service +
HC EL
MI
NOTE: UMC is a research hospital and, as a
result, is requesting a retention period of
Termination of service + 25 Years.
45CFR164.501, NRS 205.4617, NAC 239.165
(1) (2) HIPAA information requires Security
Destruction, see notes.
UMC - Health Information
Management
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
FIC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Health Information
Management
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Health Information
Management
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
srierifir to anv rirniert or activity
Administratively
Useful
HC
UMC - Health Information
Management
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmatinri
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Health Information
Management
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings arid other internal meetings
1 Year
HC EL
UMC - Health Information
Management
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - Health Information
Management
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Health Information
Management
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmatir\n
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Health Information
Management
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Human Resources
2007-0046
ACCOUNTING RECORDS (,Department Copies) Document
financial transactions and accounting functions (including A/P and
A/R"l Official record ronv at Oomritroller
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Human Resources
2007-1558
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Human Resources
2007-1558a
ACTIVITY REPORTS. MONTHLY Monthly operating,
statistical or financial reports detailing department activities.
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
295
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Human Resources
2007-1691
AMERICANS WITH DISABILITIES COMPLIANCE
RECORDS This record series is used to administer Affirmative
Action Plans. Includes Requests for accommodation, self
evaluations, essential function forms, copies of medical records,
certifications from health care providers, Related correspondence
Calendar Yearend + 3
Years
HC EL
29CFR 1608 and NRS 613.310 to 613.435
Security Destruction, see notes.
UMC - Human Resources
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
Conies i Official record coriv at Human Resources.
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Human Resources
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
UMC - Human Resources
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationship
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Human Resources
2007-0050
BID RECORDS (,Department Copies) Bids for supplies, equipment
and/or services. Official record copy at Purchasing.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Human Resources
2007-0003
BUDGET REQUEST, ANNUAL Budget requests presented to
Board of County Commissioners. Official record copy at County
Clprk
Fiscal Yearend + 5
Years
HC EL
UMC - Human Resources
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rennests
Audit Clearance
HC
UMC - Human Resources
2007-0052
BUDGET, ADOPTED (Department Copies) Copies of adopted
budgets. Official record coriv at Comptroller.
Audit Clearance + 1
Year
HC EL
UMC - Human Resources
2007-0311
CASE FILES, EMPLOYEE GRIEVANCES Grievances or
complaints filed by current employees, terminated employees,
applicants, or private citizens regarding employment practices. May
include, but is not limited to, complaints, investigation reports,
interview documentation, witness statements, background
information, supporting papers, summary of action taken,
audio/video recordings, related correspondence, & summary of
Settlement + 3 Years
HC EL
Security Destruction, see notes.
UMC - Human Resources
2007-1661
CASE FILES, EMPLOYEE GRIEVANCES, RECORD ON
JUDICIAL REVIEW Grievance files or appeals of disciplinary
actions where court action has been initiated. May contain, but is not
limited to, copies of documents found in the grievance file, copies of
documents within the appeals file, copies of hearing files, court
documents, correspondence & related documents.
Settlement + 6 Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
296
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Human Resources
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Human Resources
2007-0054
CONTRACTS & AGREEMENTS (Department Copies) For
products and services administered by an agency, where the official
record copy is maintained elsewhere. May include HIPAA
Expiration + 1 Year
HC
HIPAA information requires Security
Destruction, see notes.
UMC - Human Resources
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services. May
include HTPA A information
Expiration + 6 Years
HC
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
UMC - Human Resources
2007-0328
CONTRACTS, UNION Contractual agreements between UMC &
bargaining units, it may also be used for labor relations planning.
May contain union contracts & amendments, tentative agreements,
arbitrator's recommendations, negotiation work notes, management
counter proposals, negotiation updates, newspaper clippings, press
releases, research background material, employee classification
printouts, minutes, sound recordings, exhibits & reports of meetings,
correspondence & related records.
Expiration + 6 Fiscal
Years, OR For
period required by
contract or agreement,
whichever longer
HC
Security Destruction, see notes.
UMC - Human Resources
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Human Resources
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how agency is organized, how it
functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
UMC - Human Resources
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
UMC - Human Resources
2007-1295
EMPLOYEE ASSISTANCE PROGRAM RECORDS To provide
assistance to UMC employees and their families with personal and
work-related problems that may affect job performance. Includes
Confidentiality Record, General patient information record.
Completion + 6 Years
HC
Security Destruction, see notes.
UMC - Human Resources
2007-032 la
EMPLOYEE MASTER PERSONNEL FILES,
DOCUMENTING EMPLOYMENT HISTORY Records which
Termination +30
Years
HC
Security Destruction, see notes.
document employment history, including, but not limited to, salary
histnrv Rr Innapvitv Hnrnmpnts rlnssifirntinn Rr snlnrv rpr.nrrk fir
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
297
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Human Resources
2007-0321b
EMPLOYEE MASTER PERSONNEL FILES. OTHER Records
which DO NOT document employment history, including job
applications, credential files, background checks, notice of
appointment documents, personnel transaction records, payroll
withholding information, leave summary records, employee
development documents, employee performance documents, training
documents, disciplinary actions, copies of licenses or certificates,
exit interview records, computer printouts, personnel action forms,
correspondence & similar documents related to an individual's
Termination + 3 Years
HC
Security Destruction, see notes.
UMC - Human Resources
2007-1236b
EMPLOYEE MEDICAL RECORDS. EMPLOYED LESS
THAN ONE YEAR To insure a safe environment for patients,
employees and visitors. Includes Health Records, Lab Results,
Physical Fit Testing document, Chest X-Rays, Risk Assessment for
Blood/Air Pathogens, Return To Work Notes, Needlestick/Body
Fluid Exposure forms and follow up, Modified/Light Duty
documents, Physician Orders, Vaccinations
Termination
See NOTE
HC EL
NOTE: Records are to be offered to employee
upon termination. Security Destruction, see
notes.
UMC - Human Resources
2007-1236a
EMPLOYEE MEDICAL RECORDS. EMPLOYED OVER
ONE YEAR To insure a safe environment for patients, employees
and visitors. Includes Health Records, Lab Results, Physical Fit
Testing document, Chest X-Rays, Risk Assessment for Blood/Air
Pathogens, Return To Work Notes, Needlestick/Body Fluid
Exposure forms and follow up, Modified/Light Duty documents,
Physician Orders, Vaccinations
Calendar Yearend + 6
Years
HC EL
Security Destruction, see notes.
UMC - Human Resources
2007-1289
EMPLOYEE MEDICAL RECORDS, HAZARD EXPOSURE
RECORDS Exposure to hazardous conditions such as chemicals,
toxic substances, blood-borne pathogens, biological agents, bacteria,
virus, fungus, radiation, noise, dust, heat, cold, vibration, repetitive
motion, or other dangerous work related conditions. Records may
include hearing test records, radiation measurement records, blood
test or other laboratory results, incident reports, first-aid records, X-
rays, work station air sampling reports, biological monitoring results,
correspondence & similar documents.
Termination +30
Years
HC EL
Security Destruction, see notes.
UMC - Human Resources
2007-0058
EMPLOYEE PERSONNEL FILES (Department Copies)
Administrative copy of master personnel file. May include HIPAA
information. Official record copy at Human Resources.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Human Resources
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
298
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Human Resources
2007-0310
FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS
Regulate the granting and monitoring of family leave under the
Federal Family and Medical Leave Act of 1993 and the State
Parental Leave Without Pay Bill. Includes Leave Requests, Medical
Fiscal Yearend + 3
Years
HC EL
29 CFR 1630.14 Security Destruction, see
notes.
UMC - Human Resources
2007-329
1-9 FORMS, COMPLETED Document verification of employment
eligibility in accordance with Immigration Reform and Control Act
of 1986 as found in. May contain US Department of Justice
Immigration and Naturalization form 1-9, passport and/ or other
3 Years, OR
Termination + 1 Year,
whichever later
HC EL
USC Title 8 section 1324a Security
Destruction, see notes.
UMC - Human Resources
2007-0317
LABOR NEGOTIATION RECORDS SEIU Hearings &
Arbitrations, General Subject matters, Unemployment claim forms,
discipline removals, Collective Bargaining Agreements from other
jurisdictions, labor team reports, union bank hours, various unit
Collective Bargaining Agreements, interlocals, MPS & Mplan.
Expiration + 5 Years
HC
Security Destruction, see notes.
UMC - Human Resources
LEAVE REQUESTS, EMPLOYEE (Department Copies ) May
include HIPAA information. Official record copy at Human
Ppsnurrps
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Human Resources
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department Copies) Submissions for
inclusion into Board meeting packets. Official record copy at County
Plprt
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Human Resources
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Human Resources
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Human Resources
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
UMC - Human Resources
2007-0314
PLAN RECORDS, GROUP HEALTH AND LIFE INSURANCE
Documents group insurance policies offered by a local government
as part of the employee benefits program. Includes plan document,
enrollment forms, birth/death certificates, marriage certificates, full-
time student status, change forms, beneficiary forms, court
Termination + 6 Years
HC EL
Security Destruction, see notes.
UMC - Human Resources
2007-1381
RECLASSIFICATION AND COMPENSATION RECORDS
Studies and surveys conducted to gather comparative salary
information for employment positions in comparable organizations oi
review specific individual daily work assignments and or
classification group to ascertain they are working within parameters
of their classification range in salary and duties, creation of new or
¦ ' • ' -i • •• —
Calendar Yearend + 2
Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
299
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Human Resources
2007-0325a
RECRUITMENT FILES. HIRED Medical, Pre-employment.
Physical exam, Backgrounds, Medical Separation, Bilingual Testing,
Misc dept correspondence, Fingerprinting/ Criminal
Correspondence, Advertising correspondence, Recruitment archive
list, lawsuits for recruitments, merit personnel updates, contracts
expired- union, Training Correspondence, division budget
information/ correspondence, Scopes, special project documentation,
Disciplinary Actions, Applications and Resumes-Hired & Not
Hired, EEO reports, Eligibility List, Employee Licenses/ Certificates,
Employment Examination Records, Inactive recruitment files,
promotion records, search committee files
Transfer to Employee
Master File
HC
UMC - Human Resources
2007-0325b
RECRUITMENT FILES. NOT HIRED Medical. Pre-
employment, Physical exam, Backgrounds, Medical Separation,
Bilingual Testing, Misc dept correspondence, Fingerprinting/
Criminal Correspondence, Advertising correspondence, Recruitment
archive list, lawsuits for recruitments, merit personnel updates,
contracts expired- union, Training Correspondence, division budget
information/ correspondence, Scopes, special project documentation,
Disciplinary Actions, Applications and Resumes-Hired & Not
Hired, EEO reports, Eligibility List, Employee Licenses/ Certificates,
Employment Examination Records, Inactive recruitment files,
promotion records, search committee files
Active + 3 Years
HC
Security Destruction, see notes.
UMC - Human Resources
2007-1471
RECRUITMENT FILES, PRE-EMPLOYMENT MEDICAL
SCREENINGS Pre-employment medical inquiries in accordance
with 29 CFR 1630.14 (ADA). The files may contain, but are not
limited to, medical questionnaire (medical history) forms, medical
release authorizations, signed consent forms, physical fitness exams
& reports, blood work results, results of medical exams by a health
care provider, copy of the essential functions form, copies of job
description, related correspondence & similar documents.
Closure + 3 Years
HC EL
Security Destruction, see notes.
UMC - Human Resources
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
srierifir to anv rirniert or activity
Administratively
Useful
HC
UMC - Human Resources
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include HIPAA
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b) HIPAA information
requires Security Destruction, see notes.
UMC - Human Resources
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Human Resources
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
300
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Human Resources
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(,Department Copies) Documents hours worked and leave hours
accrued or taken by employees on a daily, weekly, or monthly basis.
May include HIPAA information. Official record copy at Human
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Human Resources
2007-0330
TRAINING RECORDS, EMPLOYEE {Department Copies)
Documentation and verification of individual employee training
activities. May include HIPAA information. Official record copy at
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Human Resources
2007-1258
TRAVEL RECORDS (Department Copies) Requests,
authorizations, reimbursements, and other records related to
pmnlnvm travpl Official rprnrrl rnrw at Onmritrnllpr
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Human Resources
2007-378
VENDOR/CONTRACTOR FILES Files validating competencies
and TB results and other pertinent health information on vendors
who are present at UMC on a regular basis. Includes Contractor
Application, TB Results, Performance Evaluations, Competencies,
Licensure, Vaccine History, Peer References, Background Check
Info, Drug Screen Results, Resume
Calendar Yearend + 3
Years
HC EL
Security Destruction, see notes.
UMC - Human Resources
2007-0331
VOLUNTEER SERVICE RECORDS Documents work performed
by citizens without compensation for their services. Includes
applications, job descriptions, training documents, orientation
records, workman's compensation records, volunteer processing
check list, time records, monitoring records, letters of
—
Termination + 3 Years
HC EL
Security Destruction, see notes.
UMC - Human Resources
2007-1424
WORKER'S COMPENSATION FILES Document employees
injuries, occupational illnesses and structured return to work
conditions and OSHA reporting. Employer's report of injury,
compensation form, legal correspondence, reports from health
Closure + 3 Years
HC EL
Security Destruction, see notes.
UMC - Infection Control
2007-0046
ACCOUNTING RECORDS (,Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Infection Control
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Infection Control
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Infection Control
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Infection Control
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
301
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Infection Control
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HCEL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Infection Control
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HCEL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Infection Control
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Cnunlv Cnmmissinnprs
Fiscal Yearend + 5
Years
HCEL
UMC - Infection Control
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Infection Control
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HCEL
UMC - Infection Control
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HCEL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Infection Control
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Infection Control
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital riroducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Infection Control
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Infection Control
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HCEL
UMC - Infection Control
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HCEL
UMC - Infection Control
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Infection Control
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
302
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Infection Control
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Infection Control
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Infection Control
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Infection Control
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Infection Control
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Infection Control
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
srierifir to anv rirniert or activity
Administratively
Useful
HC
UMC - Infection Control
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Infection Control
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Infection Control
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
UMC - Infection Control
SURVEILLANCE, EXTRACTED DATA Data extracted from
surveillance records, used for trend analysis and other purposes.
Calendar Yearend + 6
Years
EL
45CFR164.530 Contains HIPAA information.
Security Destruction, see notes.
UMC - Infection Control
2007-1578
SURVEILLANCE, RECORDS Documents that identify selected
infection types and follow them for a period of time. Includes:
MRSA, MDR, SSI, VAPS, CLRI, UDRI, Outbreaks, Clusters,
Antibiotic Stewardship, EBLS pneumonia, Hand Hygiene,
Calendar Yearend + 6
Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
45CFR164.530, 45CFR164.528 Contains
HIPAA information. Security Destruction, see
notes.
UMC - Infection Control
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Infection Control
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmatir\n
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Infection Control
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
303
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Information Systems
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Information Systems
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Information Systems
2007-1558a
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Information Systems
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Information Systems
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Information Systems
2007-0241
BACKUP OF COMPUTER FILES MADE FOR SECURITY
Security backup of files stored on networks within the County & are
retained for file damaged or deleted data. Includes: User Objects,
Libraries, files, programs, journals, and hardware objects, security
6 Months
EL
UMC - Information Systems
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankino relationshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Information Systems
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Information Systems
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
UMC - Information Systems
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rermests
Audit Clearance
HC
UMC - Information Systems
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
UMC - Information Systems
2007-1329
CATALOGED LIST OF DATA TAPES/DISKS System reports
that show all tapes, and or disks holding data for departments.
Tnrliidincr name and location of tane or disk
Until Superseded
EL
UMC - Information Systems
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
304
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Information Systems
2007-1350
COMPUTER USAGE FILES Event Logs created to monitor
computer activity. Level, Date and Time, Source, Event ID and Task
Category
Administratively
Useful
EL
UMC - Information Systems
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
remrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Information Systems
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Information Systems
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Information Systems
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
UMC - Information Systems
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
UMC - Information Systems
2007-1330
DATABASE STATISTICS Computer listings that show utilization
of disk files, & overall disk space utilization which provides index
information on number of files/tables. (Capacity compared with used
Administratively
Useful
EL
UMC - Information Systems
2007-0244
DOCUMENTATION OF COMPUTER SYSTEM &
PROGRAMS Instructions and documentation related to certain
programs, applications and or systems used by department. Includes:
Until Superseded OR
Expiration + 6 Years
EL
Security Destruction, see notes.
UMC - Information Systems
2007-1290
EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES
Listings of current errmlovees
Until Superseded
EL
Security Destruction, see notes.
UMC - Information Systems
2007-0058
EMPLOYEE PERSONNEL FILES {Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Information Systems
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Information Systems
2007-1341
ERROR REPORTS, SYSTEM Reports produced to detect errors
or potential errors within computer systems. Files may consist of
paper printouts and/or on-line reports. Reports may be run on a
Until Superseded
HC EL
UMC - Information Systems
2007-1720
INVENTORY RECORDS, IT ASSETS IT inventories that are
created & maintained in accordance with policies, standards &
procedures. Includes general information on hardware and user, user-
defined fields, installed files, file information, asset information,
Until Superseded + 3
Years
EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
305
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Information Systems
IT EMPLOYEE ACCESS CONTROL AND SECURITY
AWARENESS FILES Information Security Agreements signed by
all users of TTMC. information ter.hnolopv resources
Expiration + 6 Years
HC
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
UMC - Information Systems
IT PROJECT MANAGEMENT RECORDS Records may include
contracts, proposals, statement of work, amendments, exhibits,
addenda items, legal records, contract review records, specifications,
bids awarded, purchasing documents, packing lists, supporting
documents used in managing project, correspondence and related
j—™
Completion + 2 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
Security Destruction, see notes.
UMC - Information Systems
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Information Systems
2007-1729
LOG, PRODUCTION JOB SUBMITTAL Used as a history of
non-automated batch job requirements. The record lists programs
and/or hardware that will be affected by running of requested job.
Used to check on what order jobs are run on system.
30 Days
HC EL
UMC - Information Systems
2007-1362
LOGS & REPORTS, COMPUTER HELP DESK Documents
requests for technical assistance & responses from users to requests,
as well as collect information on use of computer equipment for
program delivery, security, or other purposes. Includes: Summary,
work order number, type, category, priority, technician assigned,
Date assigned, date due, description, resolution and attachments.
1 Year
EL
UMC - Information Systems
2007-1365
LOGS, INTERNET SERVICES Electronic files or automated logs
created to monitor access and use of services provided via Internet.
Information in this series may also be used to document system
audits, system security audits, create summary reports, and other
Audit Clearance
EL
UMC - Information Systems
LOGS, INVENTORY Records to track inventory of
telecommunications equipment. Reporting of each device, usage, and
user allocation. Includes Cellular Report, Pager Report, Pay phone
Administratively
Useful
HC
UMC - Information Systems
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Information Systems
2007-1364
NETWORK OR CIRCUIT INSTALLATION AND SERVICE
FILES Requests to service provider for data communication service,
installation, or repair & response to request. Includes work orders,
wnrV QrhprliilpQ hnilrliria nr rirrnitrv rlinarnmQ
Completion + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NRS
239C.120, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Information Systems
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
306
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Information Systems
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Information Systems
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
UMC - Information Systems
2007-1723
PLANS, IT SECURITY Evaluations on security of computer
systems concerning protection against unauthorized access,
disclosure, or modification of data & protection against loss of data
due to security breaches & /or sabotage. Includes initial security
evaluation, periodic evaluations, special evaluations, system upgrade
& modification documents, security logs & reports.
Until Superseded + 6
Years
HC EL
NRS 239C.210, NRS 11.190 (l)(b) Security
Destruction, see notes.
UMC - Information Systems
2007-1361
PLANS, OPERATING SYSTEM AND HARDWARE
CONVERSION Replacement of equipment or computer operating
systems due to hardware / software obsolescence or maintenance, &
should be part of regular migration or conversion schedule built into
3 Years
HC EL
UMC - Information Systems
2007-1356
PRINTOUTS, PRINT FILES, OR MASTER FILE EXTRACTS
Files containing only information extracted from a master file or
database when original information remains on master file or
rlntnhnQP
Administratively
Useful
HC EL
UMC - Information Systems
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
UMC - Information Systems
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Information Systems
2007-1726
REVIEWS, REPORTS AND LOGS, IT SECURITY Audits of
policies & procedures created to control physical access to IT
systems, controls over environmental functions within computer
facilities, reports of security breaches & suspicious activities.
Includes authorized visitor log, physical security reviews,
environmental controls reviews, Annual Internal Compliance
Reviews, Security Breech Reports, Reports of Suspicious Activities,
Reports of Suspected Violations, checklists, reports to management.
HC EL
NRS 239C.210, NRS 11.190 (l)(b) Security
Destruction, see notes.
UMC - Information Systems
2007-1344
SCHEDULING RECORDS, COMPUTER RUNS Scheduled
computer runs includes running daily reports, request and other
successful data runs
1 Year
EL
UMC - Information Systems
2007-1349
SECURITY RECORDS, COMPUTER SYSTEMS Records used
to control or monitor security of system and data. Includes systems
event logs, network monitor management tools, intrusion detection
logs, firewall logs, auditing logs and other security logs.
Until Superseded + 6
Years
EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
307
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Information Systems
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Information Systems
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
UMC - Information Systems
TELEPHONE REPORTS Documents call activity, revenues, long
distance authorizations, audits, traffic and rate table analysis.
Administratively
Useful
HC
UMC - Information Systems
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Information Systems
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Information Systems
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Materials Management
& Contracts
2007-0046
ACCOUNTING RECORDS (,Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Materials Management
& Contracts
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Materials Management
& Contracts
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Materials Management
& Contracts
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Materials Management
& Contracts
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Materials Management
& Contracts
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankina relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Materials Management
& Contracts
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Materials Management
& Contracts
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.oimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
UMC - Materials Management
& Contracts
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rermests
Audit Clearance
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
308
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Materials Management
& Contracts
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
UMC - Materials Management
& Contracts
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Materials Management
& Contracts
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Materials Management
& Contracts
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Materials Management
& Contracts
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Materials Management
& Contracts
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
UMC - Materials Management
& Contracts
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
UMC - Materials Management
& Contracts
2007-0058
EMPLOYEE PERSONNEL FILES {Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1)(2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Materials Management
& Contracts
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
UMC - Materials Management
& Contracts
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Materials Management
& Contracts
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rmntftQ
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Materials Management
& Contracts
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Materials Management
& Contracts
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
309
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Materials Management
& Contracts
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Materials Management
& Contracts
2007-0371
PURCHASE ORDERS/REQUISITIONS, NON SURGICAL
IMPLANT ITEMS Purchase orders, purchase requisitions, vendor
invoices for goods and services, not including for devices surgically
imnlflntfiH into natients
Audit Clearance + 1
Year
HC
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Materials Management
& Contracts
PURCHASE ORDERS/REQUISITIONS, SURGICAL
IMPLANT ITEMS Purchase orders, purchase requisitions, vendor
invoices for devices surgically implanted into patients.
10 Years
HC
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.530 Contains HIPAA information.
Security Destruction, see notes.
UMC - Materials Management
& Contracts
2007-1302
RECEIVING RECORDS Packing slips, manifests outbound shipping
records and other records documenting receipt of goods & services. Used for
back un information for Received Purchase Orders.
Audit Clearance + 1
Year
HC
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Materials Management
& Contracts
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nrniprt or ar.tivitv
Administratively
Useful
HC
UMC - Materials Management
& Contracts
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinri
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Materials Management
& Contracts
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
mpptinos and nthpr internal mpptinos
1 Year
HC EL
UMC - Materials Management
& Contracts
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - Materials Management
& Contracts
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE
(.Department copies. Official record copy at Human Resources. )
Documents hours worked and leave hours accrued or taken by
employees on a daily, weekly, or monthly basis. May include FMLA
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Materials Management
& Contracts
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Materials Management
& Contracts
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
rpmrrk rplatprl to pmnlnvm travpl
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Materials Management
& Contracts
2007-0079
VEHICLE MAINTENANCE & REPAIR RECORDS Documents
maintenance & repairs of owned or leased vehicles. Records used to provide
maintenance & renair historv.
Life of Asset + 3
Years
HC
UMC - Medical Staff
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Rprpivnhlp"!
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
310
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Medical Staff
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Medical Staff
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing derailment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Medical Staff
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Medical Staff
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Medical Staff
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Medical Staff
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Medical Staff
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
UMC - Medical Staff
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Medical Staff
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
UMC - Medical Staff
CASE FILES, PHYSICIAN PRIVILEGES Notes and dictations
required for physicians to obtain or maintain privileges. Some
documentation nrovided is from other hosnitals
Expiration of
Privileges + 5 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
45CFR164.501 Security Destruction, see
notes.
UMC - Medical Staff
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Medical Staff
2007-0701
CONSTITUTION AND BYLAWS Bylaws, Rules and
Regulations, Credentials Manual, Fair Hearing Plan, Officers &
Orgs Manual and Allied Health Manual
PERMANENT
HC EL
UMC - Medical Staff
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record conv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Medical Staff
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Medical Staff
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintnini'il hv annthpr Hpnartmpnt
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
311
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Medical Staff
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Board of Trustees
memos that include all credentialing actions and bylaws revisions.
PERMANENT
HC EL
UMC - Medical Staff
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
UMC - Medical Staff
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nurnoses
Administratively
Useful
HC EL
UMC - Medical Staff
CREDENTIALING RECORDS - PHYSICIANS, ALLIED
HEALTH PROVIDERS, AND OBSERVERS Credentialing
paperwork for all physicians and allied health staff; includes
verifications, databank, OIG, license verification, peer references,
PERMANENT
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
45CFR164.501, 45CFR164.528 Security
Destruction, see notes.
UMC - Medical Staff
2007-0008
DIRECTIVES OF MANAGER Executive orders, Bulletins and
advisories, Directives, Policy statements, Notes on policy and
rirnrerliires Related rnrresrinnrlenre Similar documents
PERMANENT
HC EL
UMC - Medical Staff
ELECTION RECORDS, DEPARTMENT Election materials for
department elections, Chief of Staff, Vice-Chief of Staff,
Secretary /Treasurer and Member at T arpe nositions
2 Years
HC EL
UMC - Medical Staff
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Medical Staff
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Medical Staff
2007-0312
FAIR HEARING RECORDS, PHYSICIANS Hearing materials,
transcripts, correspondence related to Fair Hearings requested by
nhvsicians
PERMANENT
HC EL
NRS 205.4617, NAC 239.165 (1) (2)
45CFR164.501, 45CFR164.528 Security
Destruction, see notes.
UMC - Medical Staff
HIP A A ACKNOWLEDGEMENTS BY HEALTH CARE
PROVIDERS Signed acknowledgements by physicians to ensure
HTPAA mmnliance
Termination + 6 Years
HC EL
NAC 239.165 (1) (2), 45CFR164.316,
45CFR164.501 Security Destruction, see
notes.
UMC - Medical Staff
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Medical Staff
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rinrkptQ
3 Years
HC EL
NRS 11.190 (3)(d)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
312
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Medical Staff
2007-1243
MEETING RECORDS, DEPARTMENTS AND
COMMITTEES Documents actions and discussion transpiring at
department and committee meetings. Allied Health Practice,
Ambulatory Care, Anesthesia, Burn Care, Cancer Control,
Credentials Committee, Emergency Department, Family Practice,
General Staff, Hand Department, Medical Staff Meetings, Medicine,
Neurosurgery, Ob/Gyn, Orthopaedic Department, Pathology,
Pediatrics, Surgery, Radiology
Permanent qr
Retain for 5 Calendar
Years from date of
meeting and transfer
records to a facility
described in NAC
239.850 (l)(b) for
continued public
access and archival
HC EL
The determination on whether an ad hoc
committee is a "Public Body" and subject to
the open meeting law should be made by your
agency legal counsel.
UMC - Medical Staff
2007-0107
MEETING RECORDS, INSTITUTIONAL REVIEW BOARD
IRB Meetina Minutes. IRB Protocols
PERMANENT
HC EL
UMC - Medical Staff
2007-0107
MEETING RECORDS, MEDICAL EXECUTIVE
COMMITTEE MEC minutes, agendas, other departmental minutes,
and correspondence related to the Medical Executive Committee
mpptinoc
PERMANENT
HC EL
UMC - Medical Staff
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Medical Staff
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Medical Staff
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
UMC - Medical Staff
PHYSICIAN ON-CALL SCHEDULES Lists physicians on call
for the hospital for each specialty: Surgery Department, Burn Care,
Emergency Department, Hand Department, Neonatal/Nursery,
Medicine Department, Neurosurgery Department, Orthopaedic
10 Years
HC EL
NAC 239.165 (1) (2) Security Destruction, see
notes.
UMC - Medical Staff
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
UMC - Medical Staff
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Medical Staff
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Medical Staff
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
UMC - Medical Staff
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
313
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Medical Staff
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Medical Staff
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
rpmrrk rplatprl to pmnlnvm travpl
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Pathology / Laboratory
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
EIC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Pathology / Laboratory
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
EIC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Pathology / Laboratory
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
EIC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Pathology / Laboratory
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Pathology / Laboratory
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Pathology / Laboratory
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
bankirm relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Pathology / Laboratory
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Pathology / Laboratory
2007-0692
BLOOD BANK RECORDS Donor information, processing
records, storage and distribution records, compatibility testing
reports, quality control records, transfusion reaction reports and
complaints, and general records.
6 Years, OR 6
Months after
expiration date for
individual product,
whichever longer. See
NOTE.
EL
NRS 205.4617, NAC 239.165 (1) (2), NRS
460.030, 45CFR164.528, 48CFR164.501
NOTE: When no expiration date exists,
records must be retained Permanently.
Contains HIPAA information. Security
Destruction, see notes.
UMC - Pathology / Laboratory
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.nnntv Cnmmissinnprs
Fiscal Yearend + 5
Years
HC EL
UMC - Pathology / Laboratory
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Pathology / Laboratory
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
314
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Pathology / Laboratory
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Pathology / Laboratory
2007-0244
COMPUTER VALIDATIONS To test a new program and validate
that it functions appropriately and fits the needs of the laboratory.
Includes departmental screen prints of software validation, Printed
patient charts, lab orders and results, billing audits, Medical device
interface, Foreign system interface validations
Life of Asset + 6
Years
HC
45CFR164.310, NRS 205.4617, NAC 239.165
(1) (2), 45CFR164.528, 48CFR164.501
Contains HIPAA information. Security
Destruction, see notes.
UMC - Pathology / Laboratory
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Pathology / Laboratory
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Pathology / Laboratory
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Pathology / Laboratory
CORONER'S DISCLOSURE SHEET Document to request
deceased patient's lab specimens and/or results.
2 Years
HC
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.528, 45CFR164.501,
45CFR164.512(g) Security Destruction, see
notes.
UMC - Pathology / Laboratory
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
UMC - Pathology / Laboratory
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
UMC - Pathology / Laboratory
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Pathology / Laboratory
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Pathology / Laboratory
2007-0064
HAZARDOUS MATERIAL SAFETY FILE This record series is
used to provide information on hazardous materials stored,
manufactured or used by the agency as part of the Hazard
Communication Program. This series includes material safety data
sheets (MSDS) and a listing of hazardous material in the workplace.
30 Years
HC
29CFR1910 .1020
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
315
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Pathology / Laboratory
2007-1667
HEALTH INFORMATION DISCLOSURE FILES Document
disclosure and/or denial of access to patient medical records in
custody of local government owned or operated hospitals or medical
facilities in accordance with state and federal law. Includes Patient
request for laboratory confidential information, federal and state
forms, release of information forms, requests for confidential
information, requests to amend records, denials, appeals, copies of
medical records, investigative reports, determinations
6 Years
HC
45CFR160.103, 45CFR165.310(d),
45CFR164.530(c) Contains HIPAA
information Security Destruction, see notes.
UMC - Pathology / Laboratory
LAB TEST ORDER REQUISITIONS Allows physicians to order
laboratory tests.
2 Years
HC EL
42CFR493.1105 NRS 205.4617, NAC
239.165 (1) (2). Security Destruction, see
notes.
UMC - Pathology / Laboratory
2007-1484
LABORATORY EQUIPMENT REPAIR AND
MAINTENANCE RECORDS Maintenance, service, and repair of
equipment/instruments used to conduct toxicology, histology, and
similar nrnrprhirpQ
Life of Asset + 3
Years
HC EL
42CFR493.1105
UMC - Pathology / Laboratory
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Pathology / Laboratory
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Pathology / Laboratory
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Pathology / Laboratory
PATIENT LABORATORY TEST RECORDS. ANATOMIC
PATHOLOGY To inform the Dhvsician and other health care
providers of a patient's laboratory results for diagnostic purposes.
10 Years after date of
reporting
HC EL
42CFR493.1105 NRS 205.4617, NAC
239.165 (1) (2). 45CFR164.528,
45CFR164.501 Contains HIPAA information.
Security Destruction, see notes.
UMC - Pathology / Laboratory
PATIENT LABORATORY TEST RECORDS. OTHER To
inform the physician and other health care providers of a patient's
laboratory results for diagnostic purposes.
6 Years after date of
reporting
HC EL
42CFR493.1105 NRS 205.4617, NAC
239.165 (1) (2). 45CFR164.528,
45CFR164.501 Contains HIPAA information.
Security Destruction, see notes.
UMC - Pathology / Laboratory
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Pathology / Laboratory
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Pathology / Laboratory
QUALITY CONTROL DOCUMENTATION To record the
Quality Control activities performed by the lab to insure laboratory
testing is accurate and precise. Includes temperature logs, QC of
Hpnartmpnt Inh tpsts
2 Years
HC EL
42CFR493.1105
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
316
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Pathology / Laboratory
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
UMC - Pathology / Laboratory
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Pathology / Laboratory
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
FIC EL
UMC - Pathology / Laboratory
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - Pathology / Laboratory
2007-1281
SUMMONS & SUBPOENAS Documents received by individuals
in their official capacity as local government employees, requiring
their appearance at a specified place, date and time. To request
patient information and actual specimens for legal purposes.
Attorney letter of request for tissue blocks, Attorney request for
slides, Attorney request for patient results, subpoena for patient
Closure + 1 Year
HC
UMC - Pathology / Laboratory
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Pathology / Laboratory
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Pathology / Laboratory
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Patient Accounting
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Patient Accounting
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Patient Accounting
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Patient Accounting
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Patient Accounting
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
317
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Patient Accounting
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HCEL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Patient Accounting
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HCEL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Patient Accounting
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Cnunlv Cnmmissinnprs
Fiscal Yearend + 5
Years
HCEL
UMC - Patient Accounting
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Patient Accounting
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HCEL
UMC - Patient Accounting
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HCEL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Patient Accounting
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Patient Accounting
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Canital riroducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Patient Accounting
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Patient Accounting
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HCEL
UMC - Patient Accounting
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HCEL
UMC - Patient Accounting
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Patient Accounting
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
318
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Patient Accounting
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Patient Accounting
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Patient Accounting
MONTHLY PATIENT ACCOUNTING FINANCIAL
REPORTS These reports are used intra-departmentally for analysis,
fiscal reporting, trend tracking, identification of appropriate payment
from payors, identification of over/underpayment on accounts,
assignment of special projects, discrepancy tracking, appropriate
action/billing from vendors, and other job functions relating to
monitoring of accounts.
Audit Clearance
HC EL
NRS 205.4617, NAC 239.165 (1) (2),
48CFR164.501 Security Destruction, see notes
UMC - Patient Accounting
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Patient Accounting
2007-0722
PATIENT ACCOUNT BILLING RECORDS Submission of
claims to appropriate payors such as, but not limited to Commercial,
Managed Care, Clark County Social Services, Victims of Crime,
Medicare, Medicaid (in-state & out of state) Worker's Comp, Tri-
Care, Veterans Administration, Indian Health Service, Champva,
Indigent Accident Fund, Women's Health Connection & Other for
services rendered. EOB's and R/A's are used to show how a claim
was processed and how payment is received.
Settlement + 6 Fiscal
Years OR Written off
+ 6 Fiscal Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.528, 48CFR164.501 Contains
HIPAA information. Security Destruction, see
notes.
UMC - Patient Accounting
2007-0722
PATIENT ACCOUNT DISPUTE RECORDS All correspondence
used as a form of communication for account resolution, between
UMC the patient, vendor, insurance company, agency, attorneys,
physicians and staff. Includes Incoming Mail (Patient, Insurance,
Vendor), Outgoing Mail (Patient, Insurance, Vendor), Appeals,
Written Correspondence, Settlement Letters, Notice of Default,
Batch Cover Sheet, Fax Cover Sheet, Emails, Green Cards, Certified
Mail, Balance Inquires, Faxes, Legal Correspondence, Patient
Complaints, etc.
Settlement + 6 Fiscal
Years OR Written off
+ 6 Fiscal Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.528, 48CFR164.501 Contains
HIPAA information. Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
319
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Patient Accounting
2007-0722
PATIENT ACCOUNT LEGAL FILES Records used to resolve
patient account balances where there is an alternate pay source other
than a health insurance carrier. All records are subject to production
of documents in discovery process in event litigation arises. Includes
bankruptcy files, custodian of records, pleadings, subpoenas,
depositions & notice of depositions, memorandums - D.A.,
interpleader actions, liability liens, lien/special lien releases, logs,
property liens, collection notices, notice of intent to lien real
property, probate, creditors' claims, foreclosure notices, release &
satisfactions, filing fee check requests, reduction requests, checks,
title company / attorney demands
Settlement + 6 Fiscal
Years OR Written off
+ 6 Fiscal Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.528, 48CFR164.501 Contains
HIPAA information. Security Destruction, see
notes.
UMC - Patient Accounting
2007-1316
PATIENT REFUND RECORDS Documents credits or refunds to
patients for overpayment. May include amount of overage, cause of
overage, written request for refund, and related correspondence.
Fiscal Yearend + 6
Years
FIC EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.528, 48CFR164.501 May contain
HIPAA information. Security Destruction, see
notes. General Accounting -A/P also contains
this record, so the retention periods need to
match.
UMC - Patient Accounting
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Patient Accounting
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
UMC - Patient Accounting
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
UMC - Patient Accounting
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Patient Accounting
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Patient Accounting
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
UMC - Patient Accounting
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Patient Accounting
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A inWmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
320
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Patient Accounting
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller ) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Pharmacy
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Pharmacy
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Pharmacy
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial renorts detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Pharmacy
2007-0732
ANNUAL INSPECTION RECORDS - NEVADA STATE
BOARD OF PHARMACY Results of annual insDections.
2 Years after the date
of issue.
HC
NAC639.025 Official copy on file at Nevada
State Board of Pharmacy.
UMC - Pharmacy
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Pharmacy
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Pharmacy
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Pharmacy
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Pharmacy
2007-0722
BILLING RECORDS, PATIENT ACCOUNTS Submission of
claims to appropriate payors such as, but not limited to Commercial,
Managed Care, Clark County Social Services, Victims of Crime,
Medicare, Medicaid (in-state & out of state) Worker's Comp, Tri-
Care, Veterans Administration, Indian Health Service, Champva,
Indigent Accident Fund, Women's Health Connection & Other for
services rendered. EOB's and R/A's are used to show how a claim
was processed and how payment is received.
Settlement + 6 Fiscal
Years OR Written off
+ 6 Fiscal Years
EL
NRS 205.4617, NAC 239.165 (1) (2)
45CFR164.501, 45CFR164.528 Contains
HIPAA information. Security Destruction, see
notes.
UMC - Pharmacy
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
UMC - Pharmacy
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Pharmacy
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
321
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Pharmacy
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Pharmacy
COMPLIANCE REPORTING Pharmacy tracking of corporate
compliance pertaining to department.
2 years
EL
NRS 205.4617, NAC 239.165 (1) (2)
45CFR164.501, NAC 639.505 Security
Destruction, see notes.
UMC - Pharmacy
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
rpmrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Pharmacy
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Pharmacy
2007-0730
CONTROLLED SUBSTANCES TRACKING RECORDS
Tracking of controlled substances through Pyxis and CII safe. CSAR
sheets for downtime procedures. Reconciliation reports for
anesthesia. Includes delivery sign sheets, Pyxis vs CII safe
reconciliations, CSAR sheets, PCA documentation of administration,
all station events for controlled substances, discrepancy resolution
2 Years
HC EL
21CFR1304.04, 21CFR1304.il,
21CFR1304.21, NRS 205.4617, NAC 239.165
(1) (2), 45CFR164.501, 45CFR164.528
Security Destruction, see notes.
UMC - Pharmacy
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Pharmacy
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
UMC - Pharmacy
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
UMC - Pharmacy
DAILY STATISTICAL AND REVENUE REPORTS Monitors
daily statistics and revenue sent from Mediware WORx to Siemens
svstem
Administratively
Useful
HC EL
UMC - Pharmacy
2007-0295
EMERGENCY PREPAREDNESS DOCUMENTS Plans to
restore & maintain necessary business operations, protect public, &
to safeguard vital records during emergency situations. May include
hazard analysis records, first response procedures, emergency
operations plans, incident response plans, disaster management &
recovery plans, vital record plans, damage assessment plans, post
disaster evaluation procedures, correspondence & related documents.
Until Superseded
See NOTE
HC EL
NRS239C.250, NAC 239.165 (1) (2) NOTE:
Retain one copy of superseded plans
permanently for historical purposes. Security
Destruction, see notes.
UMC - Pharmacy
2007-1290
EMPLOYEE DIRECTORIES, ROSTERS OR INDEXES
Listings of current errmlovees
Until Superseded
EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
322
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Pharmacy
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Pharmacy
EMPLOYEE WORK SCHEDULES
2 Years
HC
UMC - Pharmacy
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Pharmacy
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Pharmacy
2007-0837
LICENSES / CERTIFICATES, EMPLOYEE
Licenses/certificates issued to employees by professional,
educational, regulatory, or other agencies. These types of
licenses/certificates are normally occupation specific (EMS, Peace
Officer, Firefighter, Social Worker, Nurses, Engineers & similar
professions) & are usually required as a condition of employment.
Expiration + 3 Years
HC
NRS 205.4617, NAC 239.165 (1) (2)
NRS639.180 Security Destruction, see notes.
UMC - Pharmacy
LICENSES, DEA AND PHARMACY Current licenses granted to
pharmacy from state and federal regulatory agencies.
Expiration
HC
NRS 205.4617, NAC 239.165 (1) (2),
NRS639.180, NRS639.233 Security
Destruction, see notes.
UMC - Pharmacy
LOGS, REFRIGERATOR Logs monitoring of refrigerator
terrmeratures for medication storage.
3 Years
HC EL
UMC - Pharmacy
2007-0733
LOGS, REPACKAGING OF MEDICATIONS Log documenting
repackaging of controlled substance or dangerous drugs by
nharmarv
2 Years
EL
NAC 239.165 (1) (2) Security Destruction, see
notes.
UMC - Pharmacy
MEDICATION RECEIPT AND DISTRIBUTION RECORDS
FOR INVESTIGATIONAL STUDIES Records of patients on
investigational studies. Includes Patient medications, Patient lab
rpQiiltQ ptr
Duration of Study
HC EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.501, 45CFR164.528 May contain
HIPAA information. Security Destruction, see
notes.
UMC - Pharmacy
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Pharmacy
2007-0731
NARCOTICS DESTRUCTION FORMS Destruction of controlled
substances in accordance with state & federal law & may contain
forms, reports, proof of destruction statements, correspondence, &
rplntprl rlnnimpnts
2 Years
HC
NAC 239.165 (1) (2), 21CFR1304.33 Security
Destruction, see notes.
UMC - Pharmacy
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Pharmacy
PARENTERAL NUTRITION RECORDS List of medications for
both in-patient and ambulatory patients, and records of patient's
parenteral nutrition.
2 years
EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.501, 45CFR164.528,
NAC639.682, NRS 639.236, NRS 2358 May
contain HIPAA information. Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
323
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Pharmacy
PATIENT MEDICATION PROFILES, INPATIENT List of
medications for in-patients.
2 Years
EL
NOTE: hard copy maintained 25 years by
HIM as part of patient chart. NRS 205.4617,
NAC 239.165 (1) (2), 45CFR164.501,
45CFR164.528, NAC639.682, NRS 639.2358,
NRS 639.236 May contain HIPAA
information. Security Destruction, see notes.
UMC - Pharmacy
PATIENT MEDICATION PROFILES, OUTPATIENT List of
medications for out-patients.
3 Years
EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.501, 45CFR164.528, NAC639.682
May contain HIPAA information. Security
Destruction, see notes.
UMC - Pharmacy
PATIENT ORDERS In Pyxis Connect system.
3 Months
See NOTE
EL
NOTE: hard copy maintained 25 years by
HIM as part of patient chart. NRS 205.4617,
NAC 239.165 (1) (2), 45CFR164.501,
45CFR164.528 Contains HIPAA information.
Security Destruction, see notes.
UMC - Pharmacy
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Pharmacy
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of department
Audit Clearance
HC
NRS 354.624
UMC - Pharmacy
PRESCRIPTIONS For patient medications.
Last Refill + 2 Years
HC EL
NRS639.236, NRS639.238, NAC 239.165 (1)
(2) Security Destruction, see notes.
UMC - Pharmacy
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv rirniert or activity
Administratively
Useful
HC
UMC - Pharmacy
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Pharmacy
2007-0734
REPORTS TO DRUG ENFORCEMENT ADMINISTRATION
(DEA) RE: THEFT / LOSS OF CONTROLLED SUBSTANCES
Reports to Drug Enforcement Administration (DEA) of any theft or
sicmifirant Inss nf rnntrnllprl suhstanrps
2 Years
HC
NAC 239.165 (1) (2) Security Destruction, see
notes.
UMC - Pharmacy
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Pharmacy
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
UMC - Pharmacy
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
324
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Pharmacy
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Pharmacy
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
rpmrrk rplatprl to pmnlnvm travpl
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Pharmacy
USP 797 DOCUMENTATION Documentation of compliance with
USP 797 standards. Includes laminar flow hood certification,
employee sterile technique testing, environment testing, terminal
nlpnnino
2 Years
EL
UMC - Public Safety -
Environmental
2007-0920
ACCIDENT REPORTS Accidents involving persons on hospital
property; may or may not result in injury or death.
Calendar Yearend + 3
Years
HC
Security Destruction, see notes.
UMC - Public Safety -
Environmental
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Public Safety -
Environmental
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Public Safety -
Environmental
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Public Safety -
Environmental
2007-0651
AIR POLLUTION - INVENTORY OF EMISSIONS This series
is a comprehensive listing, by source, of air pollutant emissions
associated with a specific geographic area for a specific time
PERMANENT
HC
UMC - Public Safety -
Environmental
2007-0677
AIR QUALITY COMPLIANCE REPORTING Documents
compliance with federal and state law to monitor and collect ambient
air quality data for pollutants deemed to be harmful by US
Environmental Protection Agency. Includes Statistical reports
PERMANENT
HC
UMC - Public Safety -
Environmental
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Public Safety -
Environmental
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Public Safety -
Environmental
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
bankirm relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Public Safety -
Environmental
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
325
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety -
Environmental
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.ountv Commissioners
Fiscal Yearend + 5
Years
HC EL
UMC - Public Safety -
Environmental
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Public Safety -
Environmental
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
UMC - Public Safety -
Environmental
2007-1243b
COMMITTEE RECORDS, AD HOC (Not a Public Body)
Documents establishment, organization, membership, policies,
activities, and accomplishments of ad hoc (internal, interagency,
advisory, etc.) committees. These types of committees are usually
formed for a specific and often temporary function, usually on an
informal basis. Includes Agendas, Minutes, Reports, Working
3 Years
HC EL
NOTE: The determination on whether an ad
hoc committee is a "Public Body" & subject to
open meeting law should be made by agency
legal counsel.
UMC - Public Safety -
Environmental
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Public Safety -
Environmental
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Public Safety -
Environmental
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Public Safety -
Environmental
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr dpnartmpnt
Administratively
Useful
HC
UMC - Public Safety -
Environmental
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
UMC - Public Safety -
Environmental
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
UMC - Public Safety -
Environmental
2007-1233
EMPLOYEE EXPOSURE REPORTS Reports completed when an
employee is exposed to any hazardous materials.
Termination +30
Years
HC
45CFR164.501, 45CFR164.528, NAC
239.165 (1) (2) Security Destruction, see
notes.
UMC - Public Safety -
Environmental
2007-0058
EMPLOYEE PERSONNEL FILES {Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
326
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety -
Environmental
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Public Safety -
Environmental
2007-1703
EXPOSURE CONTROL RECORDS Documents exposure control
activities designed to eliminate or minimize employee exposure to
blood or other potentially infections materials in accordance with
OSHA standards.
Calendar Yearend + 3
Years
HC
NOTE: In accordance with 29 CFR 1910.1030
(c)(C)(iv) Exposure Control Plans must be
reviewed & updated annually & whenever
necessary to reflect new or modified tasks &
procedures which affect occupational exposure
& to reflect new or revised employee positions
with occupational exposure. NAC 239.165 (1)
(2), 45CFR164.501 HIPAA information
requires Security Destruction, see notes.
UMC - Public Safety -
Environmental
2007-1475
FIRE PREVENTION EDUCATION PROGRAMS Documents
and administers fire prevention education programs and similar
nutrrarh rirnorams nrnvirlprl to pmnlnvpps
Expiration + 1 Year
HC
UMC - Public Safety -
Environmental
2007-0600b
FIRE REPORTS, NOT ARSON/MINOR Reports and other
records documenting fires and fire related incidents.
6 Years
HC
UMC - Public Safety -
Environmental
2007-0581
HAZARDOUS MATERIAL REFERENCE GUIDE Reference
guide developed by State Fire Marshal in cooperation with local fire
departments for use by state and local personnel responding to
accidents and incidents involving hazardous materials.
Until Superseded
HC
UMC - Public Safety -
Environmental
2007-1480b
INCIDENT REPORTS, HAZARDOUS MATERIALS
Investigation of hazardous material accidents or incidents including
releases. May include incident reports, reports of personnel involved,
cause reports, emergency response reports, clean-up operations
reports, decontamination reports, follow-up reports, name & address
of responsible party, correspondence, & related documentation.
30 years
HC
UMC - Public Safety -
Environmental
2007-0669
INSPECTION REPORTS, PUBLIC HEALTH Demonstrate
compliance with public health laws in accordance with state law and
regulation
Calendar Yearend + 6
Years
HC
UMC - Public Safety -
Environmental
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Public Safety -
Environmental
2007-0064
MATERIAL SAFETY DATA SHEETS For products and
materials in use at the hospital.
30 Years
HC
29CFR1910.1200
UMC - Public Safety -
Environmental
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rinrkptQ
3 Years
HC EL
NRS 11.190 (3)(d)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
327
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety -
Environmental
2007-0671
NOTICES OF VIOLATION Citations and notices of violation
issued by health departments.
5 Years
HC
UMC - Public Safety -
Environmental
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
FIC EL
UMC - Public Safety -
Environmental
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
EIC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Public Safety -
Environmental
2007-1482
PERMITS, HAZARDOUS MATERIAL STORAGE Permits for
storage of hazardous materials and hazardous materials issued in
accordance with state law/local ordinance
Expiration + 5 Years
HC
UMC - Public Safety -
Environmental
2007-1444
PERMITS, SOLID WASTE - Denied, Incomplete or Withdrawn
Applications never finalized for facilities that store, treat and/or
dispose of solid materials in accordance with federal and state law
anrl rpcmlatinn
Calendar Yearend + 3
Years
HC
UMC - Public Safety -
Environmental
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Public Safety -
Environmental
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
sriecific to anv rirniect or activity
Administratively
Useful
HC
UMC - Public Safety -
Environmental
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmatinri
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Public Safety -
Environmental
2007-1491
REPORTS OF DRILLS Results of drills performed to instruct
individuals in appropriate procedures to be followed in the event of
an pmmctir.v
2 Years
HC
UMC - Public Safety -
Environmental
2007-0721
SECURITY AND SAFETY INSPECTION RECORDS
Inspection of hospital property for security, damage, preventive
maintenance and other nurnoses
Until Superseded + 1
Year
HC
UMC - Public Safety -
Environmental
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Public Safety -
Environmental
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - Public Safety -
Environmental
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Public Safety -
Environmental
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
tTTPAA information
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
328
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety -
Environmental
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller ) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-0046
ACCOUNTING RECORDS {Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Public Safety - Security
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Public Safety - Security
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Public Safety - Security
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Public Safety - Security
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hankina relatinnshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Public Safety - Security
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Public Safety - Security
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Countv Commissioners
Fiscal Yearend + 5
Years
HC EL
UMC - Public Safety - Security
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Public Safety - Security
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
329
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety - Security
2007-1243
COMMITTEE RECORDS, AD HOC Documents establishment,
organization, membership, policies, activities, and accomplishments
of ad hoc (internal, interagency, advisory, etc.) committees, i.e. -
Building Enterprise Fund Advisory Committee (BEFAC);
If the ad hoc
committee falls under
the definition of a
"Public Body" as
described in NRS
241.015 (3) retain this
series Permanently; or
retain for a minimum
period of five (5)
calendar years from
the date of the
meeting and transfer
the records to one of
the facilities described
inNAC 239.850
(l)(b), for continued
public access and
archival preservation.
If the ad hoc
committee does not
fall under the
definition of a "Public
Body" retain this
series for three (3)
calendar years from
the date of the record.
EL
The determination on whether a ad hoc
committee is a "Public Body" and subject to
the open meeting law should be made by your
agency legal counsel.
UMC - Public Safety - Security
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Public Safety - Security
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Public Safety - Security
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Public Safety - Security
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official record is maintained liv another denartment
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
330
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety - Security
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
UMC - Public Safety - Security
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
UMC - Public Safety - Security
2007-0786b
DEPARTMENT OFFICER & SHIFT REPORTS, NOT
ANNUAL Documents individual officer, shift, and other activity
reports usually filed on a daily, weekly, or monthly basis. This series
applies to various duties such as dispatch, confinement,
Calendar Yearend + 2
Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-1635
DISPATCH RECORDS Printouts or transmission logs maintained
by emergency dispatch units. This series usually contains name of
dispatcher, date and time call received, type of call (phone, radio, in-
person) complainant name, address, phone number, nature of call,
units dispatched, time dispatched, action taken, and related data.
1 Year
EL
UMC - Public Safety - Security
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Public Safety - Security
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Public Safety - Security
2007-0817
FIREARMS QUALIFICATION RECORDS Firearm proficiency
and qualification by individual law enforcement officers.
3 Years
EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-0816
FIREARMS REGISTRATION AND INVENTORY RECORDS
Registration and inventory of firearms and weapons of law
enforcement agencies
Life of Asset + 3
Years
EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-1731
INCIDENT REPORTS Information from investigation of an
incident through to an arrest (if one made). May include
investigation files, case narrative, investigative notes, arrest
information, copy of coroner's report, copy of autopsy report, victim
information, witness statements, fingerprint cards, exhibits &
evidence, crime lab requests & results, photos, recordings, diagrams,
complaint reports, field notes, officer notes, background material,
contact information, NCIC reports, suspect information, suspect
statement, criminal history information, search warrants, line-ups,
arrest & booking records, subpoenas & prosecution reports, copies of
court documents, bulletins, teletypes, news releases, disposition,
correspondence & related records.
Closure + 85 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
331
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety - Security
2007-0835
INCIDENT REPORTS, JUVENILE Information from
investigation of an incident through to an arrest (if one made). May
include investigation files, case narrative, investigative notes, arrest
information, copy of coroner's report, copy of autopsy report, victim
information, witness statements, fingerprint cards, exhibits &
evidence, crime lab requests & results, photos, recordings, diagrams,
complaint reports, field notes, officer notes, background material,
contact information, NCIC reports, suspect information, suspect
statement, criminal history information, search warrants, line-ups,
arrest & booking records, subpoenas & prosecution reports, copies of
court documents, bulletins, teletypes, news releases, disposition,
correspondence & related records.
PERMANENT
HC EL
NOTE: Record sealed at age 24 or prior by
court order.
UMC - Public Safety - Security
2007-1385
INSPECTION REPORT, EVIDENCE VAULT Inspection and
inventory of evidence vaults, and includes spot checks and
insnections
Until Superseded + 3
Years
HC EL
UMC - Public Safety - Security
2007-0788
INTERNAL AFFAIRS INVESTIGATION RECORDS
Administrative investigations of peace officers. Includes complaint,
cause statements, hearing records, transcript of interviews, officer's
reply, audio and/or visual recordings, polygraph records, findings
Resolution + 3 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-1457
INTERROGATION REPORTS Reports written by peace officer
related to individuals (including gangs), events, or vehicles for which
the officer does not have probable cause for enforcement.
Information usually includes name and address of person contacted,
physical description of person or vehicle, officer's name, location of
contact, date and time, witnesses, reason for contact, correspondence,
and related data.
1 Year
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-1454
LAW ENFORCEMENT BULLETINS Bulletins, circulars and
similar records received from federal, state, and local law
enforcement agencies, containing descriptions and photographs of
wanted individuals, missing persons, or stolen property.
Administratively
Useful
HC EL
Reference copies received from law
enforcement agencies. NRS 205.4617, NAC
239.165 (1) (2) Security Destruction, see
notes.
UMC - Public Safety - Security
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Public Safety - Security
2007-0796
LOG BOOK, CASE ASSIGNMENTS Documents case
assignments to investigators
Calendar Yearend + 3
Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-0747
LOGS, SECURITY Logs or reports which document activities of
hospital security guards and/or security systems.
1 Year
HC EL
NAC 239.165 (1) (2) Security Destruction, see
notes.
UMC - Public Safety - Security
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
rinrkptQ
3 Years
HC EL
NRS 11.190 (3)(d)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
332
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety - Security
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Public Safety - Security
2007-1461
PARKING CITATIONS ISSUED Tickets issued for meter
violations and other parking infractions. Information may include
date, time, license of vehicle, make and model year of vehicle,
officer's name, place of violation, type of violation, ticket number,
2 Years
EL
NAC 239.165 (1) (2) Security Destruction, see
notes.
UMC - Public Safety - Security
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Public Safety - Security
2007-1506
PHOTOGRAPHS, LAW ENFORCEMENT Photographic images
(stills, prints, negatives, slides, etc.) of crime scenes, accidents,
domestic violence, property damage, property & similar photographs
Same period as
applicable incident /
crime report
HC EL
NAC 239.165 (1) (2) Security Destruction, see
notes.
UMC - Public Safety - Security
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
UMC - Public Safety - Security
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Public Safety - Security
2007-1459
SPECIAL WATCH RECORDS Special and vacation watches
performed by law enforcement at request of residents, business
owners and nublic
Cancellation of the
watch.
HC EL
Security Destruction, see notes.
UMC - Public Safety - Security
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Public Safety - Security
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - Public Safety - Security
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmatir\n
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Public Safety - Security
2007-0871
TRAINING RECORDS, LAW ENFORCEMENT Documents
law enforcement employee development and training.
Termination + 5 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Public Safety - Security
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
333
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety - Security
2007-0880
VEHICLE MAINTENANCE AND REPAIR RECORDS
Maintenance and repair history of vehicles used by law enforcement.
Life of Asset + 3
Years
HC
UMC - Public Safety - Security
2007-0883
WEAPON DISCHARGE REPORTS Documents investigation of
weapon discharges by law enforcement officers while in line of duty.
For reports resulting
in disciplinary action-
three (3) calendar
years and add
summary report to
personnel file. For
reports not resulting in
disciplinary action
three (3) calendar
years from the date of
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes. These records may be
destroyed earlier upon the order of a court of
record, upon order of the law enforcement
agency or through a labor agreement.
UMC - Public Safety -
Transportation
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Public Safety -
Transportation
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Public Safety -
Transportation
2007-1558a
ACTIVITY REPORTS. ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Public Safety -
Transportation
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
copies. Official record copy at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Public Safety -
Transportation
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Public Safety -
Transportation
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
bankirm relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Public Safety -
Transportation
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Public Safety -
Transportation
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.nnntv Cnmrrnssinnprs
Fiscal Yearend + 5
Years
HC EL
UMC - Public Safety -
Transportation
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Public Safety -
Transportation
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
334
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety -
Transportation
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Public Safety -
Transportation
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
remrrl mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Public Safety -
Transportation
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/agreements for Non-Capital products and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Public Safety -
Transportation
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Public Safety -
Transportation
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
PERMANENT
HC EL
UMC - Public Safety -
Transportation
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
UMC - Public Safety -
Transportation
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Public Safety -
Transportation
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset
HC
UMC - Public Safety -
Transportation
2007-1241
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Public Safety -
Transportation
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Public Safety -
Transportation
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Public Safety -
Transportation
PATIENT TRANSPORT SYSTEM RECORDS Data compiled to
track all movement of patients, visitors, equipment, blood and
snecimens done hv Central Transnortation
3 Years
EL
NRS 205.4617, NAC 239.165 (1) (2),
45CFR164.501, Security Destruction, see
notes.
UMC - Public Safety -
Transportation
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
335
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Public Safety -
Transportation
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases by staff for the benefit of department.
Audit Clearance
HC
NRS 354.624
UMC - Public Safety -
Transportation
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activitv
Administratively
Useful
HC
UMC - Public Safety -
Transportation
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
UMC - Public Safety -
Transportation
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
FIC EL
UMC - Public Safety -
Transportation
2007-0075
SUBJECT FILES Copies of correspondence where official record
copy is filed elsewhere.
Administratively
Useful
HC
UMC - Public Safety -
Transportation
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Public Safety -
Transportation
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Public Safety -
Transportation
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Radiology Services
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Radiology Services
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic operating, statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Radiology Services
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing department activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Radiology Services
2007-0687
ANNUAL REPORTS TO HOSPITAL BOARD Reports,
documenting various hospital program activities & accomplishments
for previous year & may include statistics, narratives, graphs,
diagrams, tabulations, correspondence & similar documents
PERMANENT
HC EL
UMC - Radiology Services
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED (,Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Radiology Services
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
336
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Radiology Services
2007-1256
AUDITS, PATIENT Reports documenting exams done on patients
with reports and list of changes. Data may contain confidential,
sensitive PHT
6 Years
HCEL
NAC 239.165 (1) (2), 45CFR164.501,
45CFR164.528 HIPAA information requires
Security Destruction, see notes.
UMC - Radiology Services
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanldna relatinnshiri
Audit Clearance
HCEL
NRS 354.624, NAC 239.165 (1)(2)
UMC - Radiology Services
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HCEL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Radiology Services
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coimtv Commissioners
Fiscal Yearend + 5
Years
HCEL
UMC - Radiology Services
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
rermests
Audit Clearance
HC
UMC - Radiology Services
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HCEL
UMC - Radiology Services
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HCEL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Radiology Services
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Radiology Services
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Radiology Services
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Radiology Services
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
arhipvpm frits
PERMANENT
HCEL
UMC - Radiology Services
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mimoses
Administratively
Useful
HCEL
UMC - Radiology Services
2007-0705a
DEPARTMENTAL REPORTS, ANNUAL Document various
hospital department activities & accomplishments for the previous
year & may include statistics, narratives, graphs, diagrams,
tabulations mrrpsmtiilpnr-p A similar rlnnimpnts
PERMANENT
HCEL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
337
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Radiology Services
2007-0705b
DEPARTMENTAL REPORTS, NOT ANNUAL Reports
document various hospital department activities & accomplishments
& may include statistics, narratives, graphs, diagrams, tabulations,
nnrrpQrinnrlpnnp Xr similar rlnnimpnts
Audit Clearance
HC EL
UMC - Radiology Services
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Radiology Services
2007-1484
EQUIPMENT CALIBRATION AND TESTING RECORDS
Reports, communications, documentation, compliance reports, work
practice controls, supporting documentation & related
i-nrrpsnnnrlprinp
Life of Asset + 3
Years
HC EL
NAC459.712
UMC - Radiology Services
2007-0711
EQUIPMENT DEPRECIATION RECORDS Depreciation of
hospital equipment. Includes cost reports, depreciation reports, etc.
Life of Asset + 3
Fiscal Years
HC
UMC - Radiology Services
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Radiology Services
2007-0712
EQUIPMENT INSPECTION AND MAINTENANCE
RECORDS Maintenance, service, and repair of
eniiinment/instrnments used to conduct nrocednres
Life of Asset
HC EL
UMC - Radiology Services
2007-0713
EQUIPMENT INVENTORIES Inventories of hospital equipment
Until Superseded
HC
UMC - Radiology Services
2007-0714
EQUIPMENT LOCATION RECORDS Documents physical
location of hosriital eauiriment
Until Superseded
HC EL
UMC - Radiology Services
2007-1703
EXPOSURE CONTROL RECORDS Activities designed to
eliminate or minimize employee exposure to blood or other
potentially infectious materials in accordance with OSHA standards.
Files may contain, exposure control plans, exposure determination
documentation, communication of hazards documentation, employee
exposure training records, compliance reports, work practice
controls, housekeeping records, informational reports, supporting
documentation & related correspondence.
Calendar Yearend + 3
Years, See NOTE
HC EL
NOTE: In accordance with 29 CFR 1910.1030
(c) (C)(iv) Exposure Control Plans must be
reviewed & updated annually & whenever
necessary to reflect new or modified tasks &
procedures which affect occupational
exposure. NAC 239.165 (1) (2),
45CFR164.501 HIPAA information requires
Security Destruction, see notes.
UMC - Radiology Services
2007-1667
HEALTH INFORMATION DISCLOSURE RECORDS
Disclosure and /or denial of access to patient medical records in the
custody of local government owned or operated hospitals or medical
facilities in accordance with state and Federal law. Includes amended
records, denials, appeals, copies of medical records, investigative
Calendar Yearend + 6
Years
HC EL
45CFR164.501, 45CFR164.524,
5CFR164.528, NAC 239.165 (1) (2) HIPAA
information requires Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
338
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Radiology Services
HIPAA SAFE RECORDS Personal information is handled securely
and confidentially. Access to personal information is limited to only
those who need to know that information to provide support services
to our patients. These persons are trained on importance of
safeguarding this information and must comply with our procedures
and applicable laws. Strict physical, electronic and procedural
security standards are employed to protect personal information. This
system is used to document who has requested health information.
6 Years
HC EL
45CFR164.316, 45CFR164.308,
5CFR164.501, 45CFR164.528,
45CFR164.530, NAC 239.165 (1) (2) HIPAA
information requires Security Destruction, see
notes.
UMC - Radiology Services
2007-1578
INFECTION CONTROL RECORDS Reports used in identifying,
investigating & controlling infections & communicable diseases of
riatipnts Rr hnsriital rwsnrmpl
Calendar Yearend + 6
Years
HC EL
45CFR164.501, 45CFR164.528, NAC
239.165 (1) (2) HIPAA information requires
Security Destruction, see notes.
UMC - Radiology Services
LEAD APRON EXAMINATION RECORDS All lead aprons in
the Hospital sent to Imaging Services Department to be examined
and tested to assure that they provide proper protection to employees,
nlwdriariQ anrl nntipntQ
Life of Asset + 4
Years
EL
NRS41A.097
UMC - Radiology Services
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Radiology Services
LOGS, DAILY PATIENT Written record of all patients done daily
with exams and the rihvsician that has ordered the test.
2 Years
HC
UMC - Radiology Services
2007-0740
MAMMOGRAMS AND RELATED DOCUMENTS May include
but is not limited to patient information, x-ray film, provider care
information, radiologist's interpretation of film, & summary of
rpQiiltQ
Until Superseded + 5
Years OR 10 Years,
IF no subsequent
mammnaram
HC EL
45CFR164.501, 45CFR164.528, NAC
239.165 (1) (2) HIPAA information requires
Security Destruction, see notes.
UMC - Radiology Services
2007-0718
MEDICAL INFORMATION INDEXES Multiple indexes:
physician's index, master patient index, operative index, dialogistic
rlispasp inrlpx Rr similar inrlpxps
Calendar Yearend + 6
Years
HC EL
45CFR164.501, 45CFR164.528, NAC
239.165 (1) (2) HIPAA information requires
Security Destruction, see notes.
UMC - Radiology Services
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
nantptQ
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Radiology Services
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Radiology Services
2007-0722
PATIENT ACCOUNTING RECORDS Patient account for
Radiology & may include but is not limited to insurance information,
payment information, correspondence & similar documents.
Settlement + 6 FY
OR Written off + 6
Fiscal Years
HC EL
45CFR164.501, 45CFR164.528, NAC
239.165 (1) (2) HIPAA information requires
Security Destruction, see notes.
UMC - Radiology Services
2007-0686
PATIENT APPOINTMENT SCHEDULES Scheduling of patient
appointments for various treatments.
Calendar Yearend + 1
Year
EL
45CFR164.501, NAC 239.165 (1) (2) HIPAA
information requires Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
339
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Radiology Services
2007-0725
PATIENT MEDICAL RECORDS, INPATIENT AND
OUTPATIENT Records of patient treatment in all areas of the
hospital. Includes fetal strips, obstetrical care, emergency care,
inpatient treatment, etc.
Termination + 25
Years
HC EL
MI
NOTE: UMC is a research hospital and, as a
result, is requesting a retention period of
Termination of service + 25 Years.
45CFR164.501, 45CFR164.528, NAC
239.165 (1) (2) Security Destruction, see
notes
UMC - Radiology Services
PATIENT TREATMENT SCHEDULE, ORDERS SYSTEM
Systems used to get information to the departments to get procedures
done on patients. Patient information in transmitted from department
to department through orders; reports and images can be sent by
computer. Includes Special procedures, Diagnostic x-ray, ultrasound,
nuclear medicine, MRI, Cat Scan, mammography. Novious, AS-400,
SpeechQ, Rtas, & PACS are systems used to assist with patient care.
6 Years
HC EL
45CFR164.501, 45CFR164.528, NAC
239.165 (1) (2) HIPAA information requires
Security Destruction, see notes.
UMC - Radiology Services
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Radiology Services
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
UMC - Radiology Services
2007-0737
RADIOISOTOPES - RECEIPT, TRANSFER, USE, STORAGE,
DELIVERY, DISPOSAL & OVEREXPOSURE REPORTS
Track radioisotones from receint through disnosal
Transfer / Disposal +
3 Years
HC
UMC - Radiology Services
RADIOLOGICAL EXPOSURE CONTROL FILM BADGES
Monitor exposure to radiation. Each Technician, Radiologist, Tech
Aid, nursing staff is provided film badges to wear. These are
collected monthly, shipped for examination and an exposure report is
Termination +30
Years
HC EL
29CFR1910.1020, 45CFR164.501,
45CFR164.528, NAC 239.165 (1) (2) HIPAA
information requires Security Destruction, see
notes.
UMC - Radiology Services
RADIOLOGICAL HEALTH CERTIFICATES Certificates are
retained in a file with in Imaging Service Department as well as
displayed on portable imaging equipment & in each of the Imaging
SprvirpQ Tmnoino rnnm< in parh mnrlnlitv
Expiration + 2 Years
HC EL
In accordance with requirements of
Radiological Health Administrative code 450,
State of Nevada
UMC - Radiology Services
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snw.ifir. to anv nrniprt or activity
Administratively
Useful
HC
UMC - Radiology Services
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmntinn
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HC EL
NRS 11.190 (l)(b)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
340
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Radiology Services
SHARPS INJURY SHEET Documents injuries from contaminated
"sharps". Sheet contains information on how incident took place,
what instrument was used and all who were involved & other related
information.
State requirement is to
retain for Five (5)
calendar years from
the end of the calendar
years to which the
record pertains.
Department policy is
to retain for
Termination + 6 Years
HC
29 CFR 1904.8, 45CFR164.501,
45CFR164.528, NAC 239.165 (1) (2) HIPAA
information requires Security Destruction, see
notes.
UMC - Radiology Services
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HC EL
UMC - Radiology Services
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
UMC - Radiology Services
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Radiology Services
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infnrmntinn
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Radiology Services
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to errmlnvee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Risk Management
2007-0046
ACCOUNTING RECORDS (Department copies. Official record
copy at UMC Financial Services - Accounting & Accounts
Payable.) Document financial transactions and accounting functions
(including Accounts Payable and Accounts Receivable).
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Risk Management
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Risk Management
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reriorts detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
UMC - Risk Management
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
UMC - Risk Management
ASSOCIATION FILES Records of employee memberships in
government and professional associations.
Administratively
Useful
HC
UMC - Risk Management
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
banking relationshin
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
341
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Risk Management
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
UMC - Risk Management
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of C.oimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
UMC - Risk Management
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
UMC - Risk Management
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
UMC - Risk Management
2007-0061
CLAIMS & INQUIRIES INVOLVING UMC Claims brought
against UMC/Care Centers/Employees prior to formal litigation,
being handled and/or managed by Risk Management. May involve
patients, family members, visitors, government agency, or regulation
bodies. These claims and/or inquiries may be denied or accepted and
settled pre-litigation. Includes: attorney work product, research,
correspondence - outgoing and incoming, E-mail, memos, invoices,
billings, photos, witness statements, incident reports.
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Risk Management
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Disposition + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Risk Management
CONTRACT & AGREEMENT REVIEW FILES Department
periodically reviews proposed and current contracts / agreements /
memoranda of understanding entered into by UMC. Includes
contract / agreement drafts and final, memorandum of understanding
drafts and final, related correspondence, E-mails, and notes,
Active
HC EL
NAC 239.165 (1) (2) Security Destruction, see
notes.
UMC - Risk Management
2007-0054
CONTRACTS & AGREEMENTS {Department copies) For
products and services administered by an agency, where the official
record mnv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
UMC - Risk Management
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
UMC - Risk Management
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official rprnrrl k mnintniniwl hv annthpr Hpnartmpnt
Administratively
Useful
HC
UMC - Risk Management
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
342
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Risk Management
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
nnrnoses
Administratively
Useful
HC EL
UMC - Risk Management
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
UMC - Risk Management
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
UMC - Risk Management
2007-0062
INSURANCE POLICIES Records evidencing coverage of auto,
property, EPLI, and flood insurance for UMC's Main Campus and/or
Care Centers
Expiration + 6 Years
HC EL
UMC - Risk Management
2007-0331
INTERN/EXTERN FILES Risk Management intern/extern
qualifications and/or evaluations. Includes: resumes, evaluations,
statements of interest
Termination + 3 Years
EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Risk Management
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
UMC - Risk Management
2007-0155
LITIGATION FILES Civil Lawsuits Involving UMC, Care
Centers, and/or Employees. Cases filed in district and federal court
against UMC/Care Centers / Employees being defended or managed
by UMC Risk Management Department. Includes: pleadings,
audio/video materials, attorney work product, research, related
correspondence and emails - incoming and outgoing, memos,
invoices/billings, witness statements, motions, responses, and
exhibits, depositions, discovery requests and responses, trial
memoranda and statements, hearing transcripts,
Disposition + 6 Years
HC EL
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Risk Management
2007-1391
LITIGATION FILES, APPEALS State district or federal cases on
appeal, including pleadings, applicable case file, notice of appeal,
order of appellate court, related correspondence, memos, email,
Disposition + 3 Years
HC EL
Original documents may be filed with the
court or provided to other parties to the appeal
NRS 205.4617, NAC 239.165 (1) (2) Security
Destruction, see notes.
UMC - Risk Management
LOSS RUNS Loss Runs are provided to auditor yearly, folded into
other data provided by Controller, and used by auditors to prepare
TTMC's annual audit
Fiscal Yearend + 3
Years
UMC - Risk Management
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS {Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
UMC - Risk Management
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
UMC - Risk Management
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
343
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
UMC - Risk Management
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor purchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
UMC - Risk Management
PRODUCT RECALL RECORDS Manufacturer recall notices and
response forms for products purchased and used bv UMC.
6 Years
HC EL
UMC - Risk Management
2007-1254
REFERENCE FILES Periodic reports used solely for reference
and information; these documents are not considered to be part of the
office records
Administratively
Useful
UMC - Risk Management
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snerifir to anv nroiert or activity
Administratively
Useful
HC
UMC - Risk Management
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
FIC EL
NRS 11.190 (l)(b)
UMC - Risk Management
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
EIC EL
UMC - Risk Management
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere
Administratively
Useful
HC
UMC - Risk Management
2007-0155
THIRD PARTY SUBPOENAS AND NOTICES OF
DEPOSITION These are for non-UMC litigated matters. These
matters involve situations where UMC/the deponent is not a party to
the action. They do not incur expenses or involve creation of a claim
Closure + 1 Year
HC EL
UMC - Risk Management
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
UMC - Risk Management
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A infr\rmntir\n
Fiscal Yearend + 3
Years
HC EL
NAC 239.165 (1)(2) Security Destruction, see
notes.
UMC - Risk Management
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller.) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Water Reclamation
2007-0046
ACCOUNTING RECORDS (,Department copies. Official record
copy at Comptroller.) Document financial transactions and
accounting functions (including Accounts Payable and Accounts
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2) Security
Destruction, see notes.
Water Reclamation
2007-1558b
ACTIVITY AND OPERATING REPORTS, WEEKLY /
MONTHLY Periodic ODeratina. statistical or financial reports
detailing denartment activities
2 Years
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Water Reclamation
2007-1558a
ACTIVITY REPORTS, ANNUAL Annual operating, statistical or
financial reports detailing denartment activities.
PERMANENT
HC EL
NRS 239C.090, NRS 239C.210, NAC
239.165 (1)(2)
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
344
-------
Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Water Reclamation
2007-1592
ALTERNATE FUEL VEHICLE RECORDS Monthly reports to
State Derailment of Conservation & Natural Resources.
3 Fiscal Years
HC EL
NAC 486A.180
Water Reclamation
ANALYST IDC Certificates of competence for analyst, required for
a Lab nermit
PERMANENT
EIC EL
Water Reclamation
2007-1654
ANNUAL STATEMENT TO STATE CONTROLLER Annual
statement submitted to State Controller showing indebtedness of the
agency, the amount of cash in agency, a careful estimate of value of
all property owned by agency, aggregate value of real & personal
5 Fiscal Years
EIC EL
Water Reclamation
ANNUAL/QUARTERLY REPORTS (COPIES) Synopsis of both
POTW and Industrial Users. Original reports go to State of Nevada
Dept. of Environmental Health. Copies also sent to USEPA Region
Q
5 Years
EIC EL
NAC 445A.256
Water Reclamation
2007-1292
APPLICATIONS & RESUMES, UNSOLICITED {Department
conies. Official record conv at Human Resources.)
6 Months
HC
NRS 239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Water Reclamation
ASSOCIATION FILES Records of employee memberships in
aovernment and professional associations.
Administratively
Useful
HC
Water Reclamation
2007-1318
BALANCE SHEETS Report shows the assets, liabilities and fund
balance of each fund. Printed monthly and at fiscal year end.
Audit Clearance
HC EL
Water Reclamation
2007-1311
BANKING RECORDS Bank statements, deposit slips, cancelled
checks, bank reconciliations, and similar records that document a
hanldna relatinnshiri
Audit Clearance
HC EL
NRS 354.624, NAC 239.165 (1)(2)
Water Reclamation
2007-0050
BID RECORDS (Department copies. Official record copy at
Purchasing.) Bids for supplies, equipment and/or services.
Administratively
Useful
HC EL
17 USC sec.501 or trade secret 15 USC sec
5308 laws. NRS 332.061 defines the
confidentiality of these types of records.
Security Destruction, see notes
Water Reclamation
2007-0003
BUDGET REQUEST, ANNUAL (Department copies. Official
record copy at County Clerk.) Budget requests presented to Board
of Coimtv Commissioners
Fiscal Yearend + 5
Years
HC EL
Water Reclamation
2007-0053
BUDGET WORKPAPERS Used to assist in the preparation,
review, and decision-making processes for department budget
renuests
Audit Clearance
HC
Water Reclamation
2007-0052
BUDGET, ADOPTED (Department copies. Official record copy
at Budget Financial Services.) Copies of adopted budgets.
Audit Clearance + 1
Year
HC EL
Water Reclamation
2007-0155
CASE FILES, CIVIL LITIGATION INVOLVING DISTRICT
{Department Copies. Official copies of filed documents are
maintained by Court.) Cases filed by County Civil Division or Cases
brought against County/ County Agencies/Employees/METRO being
defended by Civil Division. Civil Division represents all County
agencies and Board of County Commissioners, and as otherwise
required by law.
Disposition + 6 Years
HC EL
Security Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
345
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Water Reclamation
CERTIFICATES OF INSURANCE Insurance information
received from any vendors that are coming on site for maintenance oi
service agreements
Expiration + 1 year
HC EL
Water Reclamation
2007-1617
CHAIN OF CUSTODY RECORD Records tracing samples from
collection through analysis.
5 Years
HC EL
Water Reclamation
2007-0061
CLAIM FILES, INSURANCE Claims filed against County. These
include personal injury, property damage, motor vehicle accident,
false arrest, and others. Records include reports, photographs,
summaries, reviews, notices, audio and videotapes, transcriptions of
recorded statements, memoranda, correspondence, and related
j—™
Disposition + 3 Fiscal
Years
HC
Security Destruction, see notes.
Water Reclamation
2007-1547
CLAIMS AGAINST OTHERS This record series documents
claims by county against public and insurance companies for
recovery of costs for damage to governmental property. Includes
repair estimates, police reports, statements, correspondence, work
orders, memos, insurance info letters, invoices, dunning notice,
Settlement + 6 Years
OR 1 Fiscal Year after
written off as
uncollectible
HC EL
Security Destruction, see notes.
Water Reclamation
2007-1243b
COMMITTEE RECORDS, AD HOC (Not a Public Body)
Documents establishment, organization, membership, policies,
activities, and accomplishments of ad hoc (internal, interagency,
advisory, etc.) committees. These types of committees are usually
formed for a specific and often temporary function, usually on an
informal basis. Includes Agendas, Minutes, Reports, Working
3 Years
HC EL
Water Reclamation
2007-1243a
COMMITTEE RECORDS, AD HOC (Public Body) Documents
establishment, organization, membership, policies, activities, and
accomplishments of ad hoc (internal, interagency, advisory, etc.)
committees, i.e. - Recorder's Advisory Committee.
PERMANENT
EL
NRS 241.015(3)
Water Reclamation
2007-0055
COMPLAINTS General complaints regarding department or its
employees. May include name, address, & phone number of
complainant, description of complaint, name of person responding to
complaint, resolution of complaint, correspondence & related
records. Includes electronic mail that communicates above.
Settlement + 3 Years
HC EL
NRS 11.190 (3)(d), NRS 11.190 (4)(e), NAC
239.165 (1)(2) Security Destruction, see notes.
Water Reclamation
2007-0054
CONTRACTS & AGREEMENTS (Department copies) For
products and services administered by an agency, where the official
record conv is maintained elsewhere
Expiration + 1 Year
HC
Security Destruction, see notes.
Water Reclamation
2007-0474
CONTRACTS & AGREEMENTS (Official Record Copies)
Contracts/aareements for Non-CaDital Droducts and services.
Expiration + 6 Years
HC
NRS 11.190 (l)(b) Security Destruction, see
notes.
Water Reclamation
2007-1230
CONVENIENCE COPIES Board Minutes, Ordinances,
Resolutions, Purchase Orders, Requisitions and other copies where
official record is maintained hv another denartment
Administratively
Useful
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
346
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Water Reclamation
2007-0007
CORRESPONDENCE, ADMINISTRATIVE Records not
duplicated elsewhere that document how Department is organized,
how it functions, and its patterns of action, policies, procedures, and
nnViipvpmpntQ
PERMANENT
HC EL
Water Reclamation
2007-0056
CORRESPONDENCE, GENERAL & INQUIRIES Routine
communications received or sent, that generally serves informational
mirnnsps
Administratively
Useful
HC EL
Water Reclamation
2007-1036
COSTS OF CONSTRUCTION, ESTIMATED Documents
estimated construction costs of riroriosed sanitation riroiects.
Termination + 3 Years
HC EL
Water Reclamation
CUSTOMER TICKETS (CALL BEFORE YOU DIG) Tickets
faxes and field marked.
6 Years
HC EL
NRS 455.110, NRS 455.115
Water Reclamation
2007-0433
DAILY CASH AND RECEIPTS REPORTS Daily cash
transactions and may contain receipts, cashier's daily reports, cash
balance reports, transmittal reports, and related documents. Includes
QC/PC daily transactions, Main Cashier deposits, Credit Card
transmittals, Customer Svc Deposits, Batch reports, Receipt copies.
Audit Clearance
HC EL
Water Reclamation
2007-0433
DAILY CASH AND RECEIPTS REPORTS Daily cash
transactions and may contain receipts, cashier's daily reports, cash
balance reports, transmittal reports, and related documents. Includes
QC/PC daily transactions, Main Cashier deposits, Credit Card
transmittals, Customer Svc Deposits, Batch reports, Receipt copies.
Audit Clearance
HC EL
Water Reclamation
2007-0712
DAILY INSPECTION, PHASE I & II FUEL Storage Forms,
mandatory dailv inspection records
Life of Asset
HC EL
Water Reclamation
2007-0991
DESIGN AND CONSTRUCTION PROJECT FILES Documents
design & construction projects. Files may contain copies of bid
documents, award and endorsements records, applications and
permits, contractor's bonds, preconstruction engineering reports,
structural design calculations, specifications, plan check files, lab
testing reports, utility and land surveys, notice to proceed, weekly
status reports, inspector memos and reports, evaluations, construction
field meeting reports, progress schedules, change orders/proposals,
variances, easement and rights of-way documents, project orders,
copies of plans; maps; blueprints; profiles; and as-built drawings,
requests for information, guarantees, notice of completion, certificate
of occupancy, copies of accounting records, photographs, memos,
various forms and reports, related correspondence, and similar
documents.
PERMANENT
EL
Water Reclamation
2007-1018
DISCHARGE MONITORING REPORTS (DMR) A federally
mandated form to renort NPDF.S data to state.
12 Years
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
347
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Water Reclamation
2007-1038
DRAWINGS / BLUEPRINTS / MAPS / MYLARS /
SPECIFICATIONS OF DISTRICT FACILITIES Plant system
plans, drawings, blueprints, maps, mylars, and specification books.
PERMANENT
HC EL
Water Reclamation
2007-0773
EASEMENTS Copies of legal instruments allowing right-of-way to
make limited use of nrivate r>ror>ertv
PERMANENT
HC EL
Water Reclamation
ELEVATOR PERMITS Permits for elevators.
Expiration + 6 Years
HC
NRS 455C.100, NAC 455C.140
Water Reclamation
2007-0058
EMPLOYEE PERSONNEL FILES (Department copies. Official
record copy at Human Resources. ) Administrative copy of master
personnel file. May include FMLA information.
Termination + 1 Year
HC
NRS 239B.030, NRS 205.4617, NAC 239.165
(1) (2). Transfer to Human Resources for
consolidation into official Personnel Record.
Water Reclamation
2007-0450
EMPLOYMENT TAX RECORDS Report collection, distribution,
deposit, and transmittal of federal income taxes. Records may
include 1099's, W-2's), W-9's, employers' quarterly federal tax
return (941, 941E), tax deposit coupon (8109), & similar completed
Tax year in which
taxes are due + 4
Years, OR date tax
paid + 4 Years,
HC EL
Water Reclamation
EQUIPMENT FILES Manuals, operating instructions,
maintenance information, warranties, etc., for equipment purchased
for department use or administered by department for public use.
Life of Asset + 3
Years
HC
Water Reclamation
2007-1234
EXCESS, LOST AND STOLEN PROPERTY FILES Property in
custody of county which has been lost, stolen, exchanged, or
declared pyp.pss
Calendar Yearend + 3
Years
HC
Water Reclamation
FINANCING FILES Bond registers and records including short-
term financing.
PERMANENT
HC EL
Water Reclamation
2007-0261
FORMAL BID/RFP FILE Includes all documents need for a
formal bid, i.e., bid, proposal, bids received etc.
Cancellation + 7
Years OR Expiration
+ 7 Years
HC EL
Water Reclamation
FUEL PUMP LEAK TEST Annual mandatory test record
3 Years
HC EL
Water Reclamation
2007-0442
GENERAL LEDGER Report run monthly and at year-end showing
- fund, account number and description, reference number,
transaction source and description and amounts (debit/credit/net).
PERMANENT
HC EL
Water Reclamation
2007-0064
HAZARDOUS MATERIAL SAFETY FILE This record series is
used to provide information on hazardous materials stored,
manufactured or used by agency as part of Hazard Communication
Program. This series includes material safety data sheets (MSDS)
and a listing of hazardous material in workplace.
30 Years
HC
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
348
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Water Reclamation
2007-0669
INSPECTION REPORTS Used to review plans for compliance
with public health laws in accordance with state law & regulation.
Files may include blueprints, plans, maps, public notices, letters of
approval or denial, complaints & investigation reports, copies of
construction & occupancy permits, equipment standards, fee
documents, hearing documentation, related correspondence & similai
6 Years
HC EL
Water Reclamation
2007-1040
INSPECTION REQUESTS, CONTRACTOR Requests from
contractors for scheduled inspections
Completion + 3 Years
HC EL
Water Reclamation
2007-0314
INSURANCE PLANS/PREMIUM FILES Insurance plan
documents of benefits and nremiums raid bv errmlovee.
Termination + 6 Years
HC EL
Water Reclamation
2007-0062
INSURANCE POLICIES Terms & conditions of insurance policies
between local government & insurers. Types of insurance may
include liability, property, motor vehicle, flood, & others. Records
include policies, endorsements, rate change notices, agent of record,
related correspondence & similar documents.
Expiration + 6 Years
HC
Water Reclamation
2007-0091
INVOICES - ACCOUNTS RECEIVABLE Invoices generated by
Water Reclamation District business centers. Includes back-up
billina information
Calendar Yearend + 5
Years
HC EL
Water Reclamation
2007-0446
JOURNAL ENTRIES Internal forms used to post items to general
ledser.
Fiscal Yearend + 6
Fiscal Years
HC EL
Water Reclamation
LABORATORY BENCHSHEETS Original signed source
document for bench work.
10 Years
HC EL
40CFR141.33
Water Reclamation
2007-1615
LABORATORY CERTIFICATION RECORDS Laboratory
assessments & certification program reviews & may contain
checklists, corrective action reports, final reports, certificates,
proficiency testing (PT) study results, correspondence & related
6 Years OR Until
next certificate data
audit is complete,
whichever longer
HC EL
Water Reclamation
2007-1484
LABORATORY EQUIPMENT REPAIR AND
MAINTENANCE RECORDS Maintenance, service, and repair of
equipment/instruments used to conduct toxicology, histology, and
similar rirnrprhirpQ
Life of Asset + 3
Years
HC EL
Water Reclamation
LATERALS Original copy of tie-in to District sewer system
PERMANENT
HC EL
Water Reclamation
LEAVE REQUESTS, EMPLOYEE (Department copies. Official
record copy at Human Resources.) May include FMLA
information.
1 Year
HC EL
NRS 11.190 (3)(d), NRS 239B.030, NAC
239.165 (1)(2) Security Destruction, see notes.
Water Reclamation
2007-0383
LEGAL NOTICES Documents compliance with state laws
requiring public notice of governmental activities. May include
affidavits of publication, certificates of mailing, affidavits of posting,
public hearing notices, other required public or legal notices and
PERMANENT
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
349
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Water Reclamation
2007-1115
LEGAL OPINIONS Formal opinions rendered by Attorney
General's office, District Attorney's office or other legal counsel.
Opinions document rationale for local government policies and help
PERMANENT
HC EL
Water Reclamation
2007-1666b
LIENS AND RELEASES - MERCHANDISE OR SERVICES
(COPIES) Documents liens filed for non-payment of taxes, services
or merchandise in accordance with state/federal law. May contain
notice of lien, refilling form, certificate of release, certificate of
subordination, correction notices, certificate of non-attachment,
certificate of revocation & reinstatement, certificate of withdrawal,
copies of court documents, related correspondence & similar
Final Payment or
Action + 6 Years
HC EL
Water Reclamation
LOGS, DAILY OPERATING Daily operator logs with entries of
operation. rirocess and eauiriment failures and renairs.
2 Years
HC EL
Water Reclamation
2007-1042
MAINTENANCE RECORDS (PLANT) Record of preventative
and corrective maintenance work orders (CMMSY
Life of Asset + 3
Years
HC EL
Water Reclamation
2007-1641
MEETING RECORDS, BOARD OF COUNTY
COMMISSIONERS (Department copies. Official record copy at
County Clerk.) Submissions for inclusion into Board meeting
3 Years
HC EL
NRS 11.190 (3)(d)
Water Reclamation
2007-1533
MEETING RECORDS, BOARDS, COMMISSIONS,
COUNCILS, AND STANDING COMMITTEES Original
minutes of public and closed meetings, agendas, resolutions
transcripts, attachments and exhibits, correspondence related to the
meetings, announcements, proof of postings, proof of certified
PERMANENT
HC EL
Water Reclamation
NOTICES OF VIOLATION (NOV's) Correspondence notifying
of a discharge violation.
Settlement + 6 Years
HC EL
Water Reclamation
2007-1620
NPDES ANNUAL REPORT A report to NDEP consisting of
several reauirements listed in NPDES nermit.
Expiration + 5 Years
HC EL
Water Reclamation
ODOR CONTROL Studies, memos and/or reports pertaining to
odor control.
5 Years
HC EL
Water Reclamation
2007-1609
OPERATION AND MAINTENANCE MANUALS Operation and
maintenance manuals for public buildings, park structures,
communication towers, road and paving improvements and other
Life of Asset
HC EL
Water Reclamation
2007-0285
ORGANIZATIONAL CHARTS Department and organizational
unit organization charts.
Until Superseded
HC EL
Water Reclamation
OVERSIZE DEVELOPER REIMBURSEMENT FILE District
reimbursements to develoriers for oversizing sewer lines.
Completion + 10
Years
HC EL
Water Reclamation
2007-0449
PAYROLL INPUT DOCUMENTS Document and administer
entry of employee time and attendance data into payroll system.
Fiscal Yearend + 3
Years
HC EL
29 CFR 516.5(a), 29 CFR 516.6(a), NRS
608.115, NRS 11.190 (3)(d) Security
Destruction, see notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
350
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Water Reclamation
2007-1620
PERMIT, NATIONAL POLLUTION DISCHARGE
ELIMINATION SYSTEM (NPDES) Application & Permits under
Clean Water Act allowing discharge of specific pollutants under
controlled conditions. May contain, but is not limited to,
applications, permits, modifications, compliance reports, influent &
effluent reports, chemical analysis reports, water flow records, test &
recording reports, compliance schedules, inspection reports, related
correspondence & similar documents.
Expiration + 5 Years
HC EL
Water Reclamation
2007-1613
PERMITS Permits issued by Nevada Division of Environmental
Protection and/or other regulatory body to discharge effluent.
Duration of nermit is fixed Rr Hops not exceed 5 vears
Expiration + 6 Years
HC EL
Water Reclamation
PERMITS, SDA Permits issued to allow connection to sewer
svstem
Expiration + 6 Years
HC EL
NAC 444.784
Water Reclamation
2007-0897
PETTY CASH RECORDS Record and track reimbursements of
minor rmrchases bv staff for the benefit of derailment
Audit Clearance
HC
NRS 354.624
Water Reclamation
PRE TREATMENT QUARTERLY PRIORITY Pollutant
Sampling Results. NPDES required testing that is contracted to
nrivate labs
3 Years
HC EL
NAC 445A.251
Water Reclamation
2007-0995
PROJECT FILES, EXTERNAL AGENCY/DEVELOPER
Projects initiated & administered by external agencies/developers
such as NDOT, Army Corps of Engineers, NV Division of EPA &
similar agencies. Files may contain requests for comment, responses,
records documenting project need, letters of support, copies of plans,
blueprints & drawings, related correspondence & similar documents.
Completion + 10
Years
HC
Security Destruction, see notes.
Water Reclamation
2007-1696
PROJECT REPORTS (PLANNING/DESIGN) Studies and Pre-
Desisn Reriorts rirerared bv consultants
PERMANENT
HC EL
Water Reclamation
PURCHASE ORDER POSTING AUDIT TRAIL Report shows
vendor ID, invoice date, due date, invoice description, amount and
account number. Used to balance purchase orders. Printed daily.
Audit Clearance
HC EL
Water Reclamation
2007-1256
QUALITY ASSURANCE REVIEW AUDITS AND REPORTS
Quality control reviews performed by an agency to check
effectiveness of policies & procedures such as office security,
training, safety, personnel, customer relations, emergency & similar
procedures. Internal audit reports, supporting working papers,
correspondence, investigative reports, checklists, copies of
documents involved in review or audit, staff reviews, copies of
policies & procedures, comparison reports, safety manuals, staff
Fiscal Yearend + 3
Years
HC
Security Destruction, see notes.
Water Reclamation
2007-0069
RECORDS DESTRUCTION CERTIFICATES Documentation of
destruction of records in accordance with approved retention
schedules
3 Years
HC
NRS239.110
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
351
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Water Reclamation
2007-0073
RECORDS RETENTION SCHEDULE Listing of department
records and mandated retention rieriods.
Until Superseded + 6
Years
HC
Water Reclamation
2007-1254
REFERENCE FILES General information regarding products,
methods and materials that may be used by the department. Not
snecific to anv nroiect or activity
Administratively
Useful
HC
Water Reclamation
2007-1425
REFRIGERANT MANAGEMENT Records specified by federal
government of changes to refrigerant components (hazardous
materials"!
3 Years
HCEL
Water Reclamation
2007-0057
REGULATIONS, POLICIES & PROCEDURES,
DEPARTMENT Document methods for accomplishing functions
and activities assigned to department. May include Compliance
infnrmtitinii
Expiration + 6 Years,
OR Until Superseded
+ 6 Years
HCEL
NRS 11.190 (l)(b)
Water Reclamation
2007-1620
REPORTS (FLOW AND EFFLUENT) Influent flow, effluent
flow, and effluent laboratory data used for discharge permit
rpnortino
Expiration + 5 Years
HCEL
Water Reclamation
REQUESTS FOR QUOTATIONS (RFQ's) Quotes received for
commodities.
7 Years
HCEL
Water Reclamation
REVENUE/EXPENDITURE FINANCIAL STATEMENTS,
ANNUAL Report showing revenues and expenditures along
with budget and encumbrances for all funds. Printed at
fiscal year end.
PERMANENT
HCEL
Water Reclamation
2007-0080
ROOF WARRANTIES Warranty information on roofs.
Expiration + 1 Year
HCEL
Water Reclamation
2007-1617
SAMPLE TAGS Original tags initialed by sampler.
5 Years
HCEL
Water Reclamation
SAMPLING DATA (DISCHARGERS) Documents performance
of industrial users.
5 Years
HCEL
Water Reclamation
SAMPLING DATA (POTW) Documents performance of POTW.
PERMANENT
HCEL
Water Reclamation
SDA'S AND APPLICATIONS Applications for connection to
sewer svstem
PERMANENT
HCEL
NAC 444.784
Water Reclamation
2007-0846
STAFF MEETING RECORDS Documents actions and activities
taking place at internal staff meetings, team meetings, managers
meetings and other internal meetings
1 Year
HCEL
Water Reclamation
2007-1005
STUDIES Studies performed by outside consultants or in-house
staff Feasibility Studies. Consultant Reriorts
PERMANENT
HCEL
Water Reclamation
2007-0075
SUBJECT FILES Copies of correspondence where official record
conv is filed elsewhere.
Administratively
Useful
HC
Water Reclamation
2007-0048
TIME & ATTENDANCE RECORDS, EMPLOYEE Documents
hours worked and leave hours accrued or taken by employees on a
daily, weekly, or monthly basis. May include FMLA information.
Fiscal Yearend + 3
Years
HCEL
29 CFR 516.5, NRS 11.190 (3)(d) Security
Destruction, see notes.
Water Reclamation
2007-0330
TRAINING RECORDS, EMPLOYEE (Department copies.
Official record copy at Human Resources.) Documentation and
verification of individual employee training activities. May include
TTTPA A inWmntinn
Fiscal Yearend + 3
Years
HCEL
NAC 239.165 (1)(2) Security Destruction, see
notes.
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
352
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Clark County Records Retention Schedules
March 2009
Department
LRDA
Record Title & Description
Total Retention
Media
Vital
Remarks
Water Reclamation
TRANSMITTAL TO RETURN SHOP DRAWINGS District
construction shori drawings for develorier collection lines.
Administratively
Useful
HC EL
Water Reclamation
2007-1258
TRAVEL RECORDS (Department copies. Official record copy at
Comptroller ) Requests, authorizations, reimbursements, and other
records related to emnlovee travel
Fiscal Yearend + 3
Years
HC
NRS 11.190 (3)(d), NRS 354.624, NRS
239B.030, NAC 239.165 (1)(2) Security
Destruction, see notes.
Water Reclamation
2007-0079
VEHICLE MAINTENANCE HISTORY Detailed records of
usase and service.
Life of Asset
HC EL
Water Reclamation
VEHICLE TITLE AND REGISTRATION RECORDS
Titles to district vehicles and vehicle registration information.
Life of Asset + 6
Years
HC EL
Water Reclamation
2007-0294
VENDOR FILE LISTING Report printed at fiscal yearend shows
vendor ID/name/address/phone number along with tax
ID number and comments.
Until Superseded
HC EL
Water Reclamation
2007-0379
VENDOR MASTER LIST Master list of vendors providing goods
and services to County. May include vendor name, address, phone
number, fax number, e-mail address, product and service
information, vendor identification number, tax ID number, contact
Until Superseded
HC EL
Water Reclamation
2007-0433
VENDOR PAYMENTS REPORT Report printed quarterly
shows vendor id/name, payment description (i.e. invoice),
check/ eft number, payment date and amount.
Audit Clearance
HC EL
Water Reclamation
WATER QUALITY STANDARDS Water quality standards for
I,as Vesas Wash and Lake Mead.
PERMANENT
HC EL
Water Reclamation
2007-1620
WHOLE EFFLUENT TOXICITY TESTING Reports from
contractors for chronic and acute toxicity testing.
Expiration + 5 Years
HC EL
Water Reclamation
YEAR END WORKPAPERS Year end workpapers prepared in
order to close books for fiscal year. Some schedules are
also used by outside auditors.
Audit Clearance
HC EL
Media Abbreviations: EL-Eiectronic (magnetic/optical/etc.); HC-Hard Copy (paper/mylar/etc.); Ml-Microform; OT-Other (specify)
353
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