20070626_NF_UserGuide_v.3.0.doc

Federal Election Commission User Guide

Non Filer (AA) Revision Date: 06/29/2007 Version 3.0

Contents of This Guide

1Conventions Used in This Guide

2Introduction

3Logging onto the Non Filer Application

6Using the Ballot Verification Report

9Using the Non Filer Search

14Using the Non Filer Report

14NF Roll-Up

15Non Filer Report List

16Non Filer Publishable Report Process

21Adding a Committee

24Adding a Committee to a 12-Day or 30-Day Publishable NF Report

29Removing a Committee

31Exporting to DeskMail

36Generating the Publication List

44Removing a Publication List Record

45Adding a Publication List Record

48NF Track Reports

49Authorized Current

50Authorized Not Current

51Unauthorized Under $50,000

52Unauthorized Over $50,000

54Non Filer Non-Publishable Report Process

57Adding a Committee

58Adding a Committee to a 12-Day or 30-Day Non-Publishable NF Report

59Removing a Committee

60Exporting to DeskMail

61NF Track Reports

62NF Stats

64Data Verification Reports

65Disavowal Report

67RQ-5 Report

69Candidate Status Update Report

71Unlinked Candidate/Committee Report

75Candidate Status Report

78Filing Frequency Alert Report

80MS-M with No MS-O Report

81Exempted Committees

83Exempted Candidates

List of Figures

3Figure 1. Federal Election Commission Logon Page

4Figure 2. Welcome Page

5Figure 3. Non Filer Home Page

7Figure 4. Ballot Verification Report List Page

8Figure 5. Ballot Verification Report Page

9Figure 6. Non Filer Search Page

13Figure 7. Search Results Page

15Figure 8. Non Filer Report List Page

16Figure 9. Non Filer Report List Page

17Figure 10. Non Filer Report Page

18Figure 11. Non Filer Report Dropdown Menu

19Figure 12. Generate Senate E-mail Page

20Figure 13. Non Filer Report Page

21Figure 14. Add Committee to Non Filer Report Page

21Figure 15. Add Committee Search Results Page

22Figure 16. Add Committee to Non Filer Report Page

23Figure 17. Calendar Window

24Figure 18. Non Filer Report Page

25Figure 19. Non Filer Report Dropdown Menu

25Figure 20. Add Committee to Non Filer Report Page

26Figure 21. Add Committee to Non Filer Report Page

27Figure 22. Add Committee to Non Filer Report Page

28Figure 23. Non Filer Report Page

29Figure 24. Non Filer Report Page

30Figure 25. Confirm Removal from Non Filer Report Page

31Figure 26. File Download Window

32Figure 27. Save As Window

33Figure 28. Download Complete Window

33Figure 29. MS Excel – Export to DeskMail Window

34Figure 30. Non Filer Report Page

35Figure 31. Non Filer Report Page

36Figure 32. Non Filer Report Page

37Figure 33. Publication List Page

37Figure 34. File Download Window

38Figure 35. Save As Window

39Figure 36. Download Complete Window

39Figure 37. MS Excel File – Publication List Window

41Figure 38. Generate Senate E-mail

42Figure 39. Publication List Page

43Figure 40. Non Filer Report Page

44Figure 41. Publication List Page

44Figure 42. Confirm Removal from Publication List Page

45Figure 43. Publication List Page

46Figure 44. Non Filer Report Page

47Figure 45. Non Filer Report Page

48Figure 46. NF Track Reports Page

49Figure 47. NF Track Authorized Committees – Current Page

50Figure 48. NF Track Authorized Committees – Not Current Page

51Figure 49. NF Track Unauthorized Committees – Under $50,000 Page

52Figure 50. NF Track Unauthorized Committees – Over $50,000 Page

53Figure 51. Non Filer Report Page

54Figure 52. Non Filer Report List Page

55Figure 53. Non Filer Report Page

56Figure 54. Non Filer Report Dropdown Menu

56Figure 55. Non Filer Report – Research (Add/Del) Page

62Figure 56. NF Stats Page

64Figure 57. Non Filer Data Verification Reports Page

65Figure 58. Disavowal Report Page

66Figure 59. Confirm Exemption from Future Disavowal Reports Page

67Figure 60. RQ-5 Report Page

68Figure 61. Confirm Exemption from Future RQ-5 Reports Page

69Figure 62. Candidate Status Update Report Page

70Figure 63. Confirm Exemption From Future Candidate Status Update Reports Page

71Figure 64. Potential Link Report Page

72Figure 65. Unlinked Candidate Report Page

72Figure 66. Confirm Exemption from Future Unlinked Candidate Reports Page

73Figure 67. Unlinked Committee Report Page

73Figure 68. Confirm Exemption from Future Unlinked Committee Reports Page

75Figure 69. Candidate Status Search Page

77Figure 70. Candidate Status Report Page

78Figure 71. Filing Frequency Alert Report Page

79Figure 72. Confirm Exemption from Future Filing Frequency Alert Reports Page

80Figure 73. MS-M with No MS-O Report Page

81Figure 74. Exempted Committees Page

82Figure 75. Warning Message Window

83Figure 76. Exempted Candidates Page

84Figure 77. Warning Message Window

List of Tables 1Table 1. User Guide Conventions

Conventions Used in This Guide

This document uses figures to illustrate the results of the steps performed. The pages and windows shown in the figures are examples only.

The pages and windows that you see on your computer should resemble the figures, but the data that you enter in the fields may differ from the examples.

This user guides uses the following conventions, explained in Table 1.

Table 1. User Guide Conventions

Notes

While Notes do not describe critical information, we suggest that you stop and read them. Notes can deepen your understanding of a software feature and can also provide shortcuts that will help improve your productivity.

Warnings

Warnings provide information designed to prevent critical errors from occurring. If you see a warning, stop and read it before continuing.

Stop Messages

Think of Stop messages as severe warnings. If you see a Stop message, do not proceed to the next step until you have read and understood the content of the Stop message. Failure to heed the warning could result in loss of data or application failure.

Introduction

This application is used to track and notify candidates that have not filed properly.

Using ballot lists, it identifies the candidates listed as running but which have not filed the correct forms with the FEC.

The Non Filer application is made up of five main functions, available from the Non Filer Home Page.

· Ballot Verification Report: enables you to verify the status of candidates on the ballot lists before running the Non Filer Report.

· Non Filer Search: enables you to search for missing filings.

· Non Filer Report: provides a list of the recent Non Filer Reports that have been generated.

· NF Stats: provides statistics related to the number of committees required to file the report and the number that actually filed.

· Non Filer Data Verification Reports: verifies the validity and completeness of Candidate and Committee information prior to running the Non Filer Report.

The Non Filer pages that incorporate navigation links display navigation links at both the top and bottom of the pages. This minimizes the need to scroll in order to see the links.

Logging onto the Non Filer Application

This section explains how to logon onto the Non Filer application.

1. From the Federal Election Commission logon page, in the Username field, enter your assigned username.

2. In the Password field, enter your assigned password.

3. Click Log In, shown in Figure 1.

Figure 1. Federal Election Commission Logon Page

The Welcome Page opens, shown in Figure 2.

Figure 2. Welcome Page

4. Click the Non Filers link.

LISTNUM \l 1 \s 0 The Non Filer Home Page opens, shown in Figure 3.

Figure 3. Non Filer Home Page

Using the Ballot Verification Report The Ballot Verification Report displays and verifies all the candidates listed on the ballot for the selected election in the Track Committees for Filing Requirements application prior to running the Non Filer Report. In addition to the candidate information, the report lists each candidate’s authorized committees along with their total receipts, disbursements, and debts.

The report calculates the totals for the 24 and 48 Hour Notices. It includes notices filed by committees before a general election where the general election year is equal to the current year. The following rules are used to determine how far back the application must go when searching for 24 and 48 Hour Notices:

Most Recent General Election Occurred in Current Calendar Year

When the year of the most recent general election is the same as the current year (obtained from the system date), the application retrieves 24 and 48 Hour Notices received during the election cycle leading up to the most recent general election (i.e. notices received after the next to last general election).

Most Recent General Election Occurred in Previous Calendar Year

When the year of the most recent general election is less than the current year (obtained from the system date), the application retrieves 24 and 48 Hour Notices received in the current election cycle (i.e. since the most recent general election).

5. From Non Filer Home Page, click the Ballot Verification Report link.

The Ballot Verification Report List page opens, shown in Figure 4.

You can select a alternate calendar year by clicking the Election Year dropdown. Select the year for which you want to view and then click Go. You can also use the Previous and Next Year links to view other years available.

Figure 4. Ballot Verification Report List Page

6. Click the Election Date link to review the specific details.

The Ballot Verification Report page opens, shown in Figure 5.

Figure 5. Ballot Verification Report Page

7. Click the Return to Ballot Verification Report List link.

You return to the Ballot Verification Report List page.

8. Click the Return to Home Page link.

The Non Filer Home Page opens.

LISTNUM \l 1 \s 0 Using the Non Filer Search

The Non Filer Search page searches for missing filings using any combination of fields. This search page enables you to search for specific committees and candidates using detailed information.

9. From the Non Filer Home Page, click the Non Filer Search link.

The Non Filer Search page opens, shown in Figure 6.

Figure 6. Non Filer Search Page

10. Enter your search criteria into the appropriate search fields.

11. You can search on any of the following fields:

· Committee Type Set

The Committee Type Set is a group of codes developed by RAD for reporting purposes.

Status Type

Status Definition All All codes H House I Independent Expenditure (Form 5)

NQ

Qualified/Non-Qualified Non-Party (PACS) P

Presidential

S

Senate

XY

Party Qualified/Non-Qualified (Parties)

· Committee ID

· Committee Name

· Treasurer Name

· Candidate ID

· Candidate Name

· Candidate Status

The Candidate Status field indicates the status of a candidate.

Status Definition

All All Codes

A [1032 - Obsolete Code]

C

Statutory Candidate (Current) F

Statutory Candidate for Future Election

P

Statutory Candidate in Prior Cycle M

[1032 - Obsolete Code]

N

New Statutory Candidate

Q

[1032- Obsolete Code]

T

[1032 - Obsolete Code]

W

[1032 - Obsolete Code]

· Candidate State

· RQ-7 Mail Date

· Report Type

Report Type

Report Definition

YE

Year End (Jan 31)

Q3

3rd Quarter (Oct 15)

Q2

2nd Quarter (July 15)

Q1

1st Quarter (April 15)

Ter Termination Report

MY

Mid Year (July 31) M12

Month 12 (Dec 20) M11

Month 11 (Nov 20) M10

Month 10 (Oct 20)

M9

Month 9 (Sept 20)

M8

Month 8 (Aug 20)

M7

Month 7 (July 30)

M6

Month 6 (June 20) M5

Month 5 (May 20) M4

Month 4 (April 20) M3

Month 3 (March 20)

M2

Month 2 (Feb 20)

M1

Month 1 (Jan 20) [1032 Obsolete Code]

48H

48 Hours 30S

30-day Post-Election Special

30R

30-day Runoff 30P

30-day Primary [1032 Obsolete Code] 30G

30-day General

12R

12-day Pre-Election Runoff

12P

12-day Primary

12S

12-day Special

12G

12-day General

12C

12-day Convention

· Due Date

· Coverage Date

12. Click Search.

The Non Filer Search Results page displays your matching results, shown in Figure 7.

Figure 7. Search Results Page

13. Click the Return to Non Filer Search link.

The Non Filer Search page opens. Repeat the steps above to search for a different Committee/Candidate.

LISTNUM \l 1 \s 0 Using the Non Filer Report

The NF Report List displays a listing of Non Filer reports that were generated for the specified year. The page also identifies whether a report is Publishable or Non-Publishable. The page provides the following information about each report:

· Report Year

· Report

· Committee Type Set

· Publishable

· Due Date

· Number of Non Filers – Current

· Number of Non Filers – When Report Was Frozen

· Status

NF Roll-Up

The NF Roll-Up process relates to all 12-Day and 30-Day reports. The 12-Day reports that are due on the same date are combined into one report. Similarly, the 30-Day reports that are due on the same date are combined into one report. The application enables you to export these reports to MS Excel.

The committees are combined using the following rules:

· All Publishable 12-Day Reports due on a given date are combined into a single run.

· All Non-Publishable 12-Day Reports due on a given date are combined into a single run.

· All Publishable 30-Day Reports due on a given date are combined into a single run.

· All Non-Publishable 30-Day Reports due on a given date are combined into a single run.

The Committee Type Set column is blank for combined reports (i.e. 12- and 30-Day Reports).

Non Filer Report List

The Non Filer Report page displays information about Non Filer activities related to the selected report type and year. The page header displays the Report Type, Filing Year, and Due Date of the committee report as well as information about committees that failed to file the report. Election information no longer appears in the header.

The Generate First Senate E-mail is only visible on NF reports that have Senate Committees. When generating the senate e-mail for rolled up reports, the application only includes Senate candidates in the body of the e-mail. The Export to DeskMail function creates the necessary file for exporting committee information to an Excel file.

Figure 8. Non Filer Report List Page

Non Filer Publishable Report Process

The Non Filer Publishable report process includes the following:

· Initialized

· Frozen

· 1st E-mail Sent

· Research (Add/Del)

· Exported to DeskMail

· Mailgrams Sent

· PubList Research

· 2nd E-mail Sent

· PubList Final

· NF Track

· Audit Points Assigned

14. From the Non Filer Home Page, click the Non Filer Report link.

The Non Filer Report List opens, shown in Figure 9.

Figure 9. Non Filer Report List Page

15. Select an Initialized report (for example that displays H, S, or P in the Committee Type Set column and displays Y in the Publishable column). Each report is created two days prior to the Due Date. While the report is in the Initialized state, you may access and view the report an indefinite amount of times without affecting the status.

16. Click the Report Year link.

The Non Filer Report page opens, shown in Figure 10.

Figure 10. Non Filer Report Page

17. Click the Freeze Report for Research link.

The status changes from Initialized to Frozen. A dropdown menu becomes available. The menu choices change depending on the report type selected. Once the report status is changed from Initialized to Frozen, the application ceases to update the report automatically. You must add and remove committees manually.

Figure 11. Non Filer Report Dropdown Menu

18. Click the Generate First Senate E-mail link.

The link generates a message that contains all the Senate Committees that are classified as Non Filers. You send the e-mail to the designated sender.

The Senate e-mail is generated to notify the Secretary of the Senate which Senate committees have not filed a particular report. The link to generate the Senate e-mail appears on the Non Filer Report page as Generate First Senate E-mail. A similar link also appears on the Publication List page as Generate Second Senate E-mail.

Figure 12. Generate Senate E-mail Page

19. Review the content and edit as needed and then click Send.

The e-mail is sent to the designated recipients. You return to the Non Filer Report page.

20. From the dropdown menu, select 1st E-mail Sent and click Save Status. When you click the Save Status button, the menu options change depending on the selection made.

The status changes from Frozen to 1st E-mail Sent.

21. To start the Research process, change the status in the dropdown menu. Select Research (Add/Del) and click Save Status. When you click the Save Status button, the menu options change depending on the selection made.

The status changes from 1st E-mail Sent to Research (Add/Del), shown in Figure 13.

Figure 13. Non Filer Report Page

During the Research (Add/Del) process you can add or remove committees from the report.

Adding a Committee

The Add Committee option enables you to manually add a committee to the Non Filer Report run.

You can only add a committee to the Non Filer Report if it is the same type. For example, House committees can only be added to a House report.

22. Click the Add Committee link.

The Add Committee to Non Filer Report page opens, shown in Figure 14.

Figure 14. Add Committee to Non Filer Report Page

23. Enter either a Committee ID or Committee Name into the appropriate fields and click Search.

The page reloads displaying the search results, shown in Figure 15.

Figure 15. Add Committee Search Results Page

24. Click the Select link for the Committee you want to add to the report.

The Add Committee to Non Filer Report page opens, shown in Figure 16.

Figure 16. Add Committee to Non Filer Report Page

The application uses previous committee filings to determine the Coverage Start and End Dates. If the provided dates are incorrect, follow the next two steps to enter the correct coverage dates.

25. In the Coverage Start Date field, enter a date. Make sure the date is the MM/DD/YYYY format. You can also click the Calendar icon and select a date, shown in Figure 17.

26. In the Coverage End Date field, enter a date. Make sure the date is the MM/DD/YYYY format. You can also click the Calendar icon and select a date, shown in Figure 17.

Figure 17. Calendar Window

27. In the Basis for Non Filer Status section, select the radio button for one of the following:

· Incorrect Coverage Dates

· Not Filed

28. Click Add.

The Committee is added to your report.

LISTNUM \l 1 \s 0 Adding a Committee to a 12-Day or 30-Day Publishable NF Report

The Add Committee option enables you to add a committee to a Non Filer report. The page does not display any election information (i.e. state, district, and party) since all the elections with the same due date are now combined.

For the combined 12-Day and 30-Day reports, the application searches for the individual NF report in which the committee needs to be added to. If a match is found, the corresponding report is highlighted in the Report List dropdown. Otherwise, none of the reports are highlighted and you select a report from the dropdown list.

29. From the Non Filer Report List page, click the Report Year link for a 12G Publishable report.

The Non Filer Report page opens, shown in Figure 18.

Figure 18. Non Filer Report Page

30. Click the Freeze Report for Research link.

The status changes from Initialized to Frozen. A dropdown menu becomes available. The menu choices change depending on the report type selected.

31. From the dropdown menu, shown in Figure 19, select Research (Add/Del) and click Save Status. When you click the Save Status button, the menu options change depending on the selection made.

The status changes from Frozen to Research (Add/Del).

Figure 19. Non Filer Report Dropdown Menu

32. Click the Add Committee link.

33. The Add Committee to Non Filer Report page opens, shown in Figure 20.

Figure 20. Add Committee to Non Filer Report Page

34. Enter either a Committee ID or Committee Name in the appropriate fields and click Search.

The page reloads displaying the search results, shown in Figure 21.

Figure 21. Add Committee to Non Filer Report Page

35. Click the Select link for the Committee you want to add to the report.

The Add Committee to Non Filer Report page opens, shown in Figure 22.

Figure 22. Add Committee to Non Filer Report Page

36. The application use previous committee filings to determine the Coverage Start and End Dates. If the provided dates are incorrect, follow the next two steps to enter the correct coverage dates.

37. In the Coverage Start Date field, enter a date. Make sure the date is the MM/DD/YYYY format. You can also click the Calendar icon and select a date.

38. In Coverage End Date field, enter a date. Make sure the date is the MM/DD/YYYY format. You can also click the Calendar icon and select a date.

39. In the Basis for Non Filer Status section, select the radio button for one of the following:

· Incorrect Coverage Dates

· Not Filed

40. Depending on the text, select the report from the Report List dropdown and then click Add.

LISTNUM \l 1 \s 0 Since this is a combined report, you are presented with one or more of the following options:

· The selected committee matches one of the reports included in this run. To add the committee to a different report, select a different report from the report dropdown list.

· The selected committee does not match any of the reports included in this run. Select the correct report from the report dropdown list.

The committee is added to the Non Filer Report. The Non Filer Report page opens, shown in Figure 23.

Figure 23. Non Filer Report Page

Removing a Committee

The Remove Committee option enables you to manually remove a record from the selected Non Filer Report run.

41. From the Non Filer Report, check the box to select the committee to be removed, shown in Figure 24.

Figure 24. Non Filer Report Page

42. Click the Remove Selected Committees link.

The Confirm Removal from Non Filer Report page opens, displaying the selected committees you are deleting, shown in Figure 25.

Figure 25. Confirm Removal from Non Filer Report Page

43. Click the Remove link.

The Committees selected are removed and you return to the Non Filer Report page.

Exporting to DeskMail

The Export to DeskMail option creates the necessary file for exporting committee information. This is performed after the analyst has verified all the Non Filer committees.

44. From the Non Filer report, click the Export to DeskMail link.

45. The File Download window opens, shown in Figure 26.

Figure 26. File Download Window

46. You can either open the file or save it locally on your PC. If you click Save, the Save As window opens, shown in Figure 27.

Figure 27. Save As Window

47. In the File name field, enter a name for the file you are saving. You can use the default file name already specified or you can modify it as needed.

48. Click Save.

The Download Complete window opens, shown in Figure 28.

Remember the file name and the folder location. The file is saved in the desired location under the specified name.

Figure 28. Download Complete Window

49. Click Open.

MS Excel launches, opening the file, shown in Figure 29.

Figure 29. MS Excel – Export to DeskMail Window

50. Review the file and close MS Excel.

MS Excel closes and you return to the Non Filer application.

51. Select the Exported to DeskMail option from the dropdown list and click Save Status. When you click the Save Status button, the menu options change depending on the selection made.

The status changes from Research (Add/Del) to Exported to DeskMail, shown in Figure 30.

Figure 30. Non Filer Report Page

52. Import the exported file to verify the format and content of the file.

53. From the dropdown menu, select Mailgrams Sent to indicate that the mailgrams were sent and click Save Status. When you click the Save Status button, the menu options change depending on the selection made.

The status changes from Exported DeskMail to Mailgrams Sent, shown in Figure 31.

Figure 31. Non Filer Report Page

Generating the Publication List

The Publication List contains all the committees that did not file a particular report after the RQ-7 was sent to them. This page no longer displays election information for the 12-Day and 30-Day rolled up reports. The Generate Second Senate E-mail is only visible on NF reports that have Senate candidates. When generating the senate e-mail on rolled up reports, the application only includes Senate candidates in the body of the e-mail.

54. From the dropdown menu, select PubList Research and click Save Status. When you click the Save Status button, the menu options change depending on the selection made.

The status changes from Mailgrams Sent to PubList Research, shown in Figure 32.

Figure 32. Non Filer Report Page

55. Click the Publication List link.

The Publication List page opens, shown in Figure 33.

Figure 33. Publication List Page

56. Click the Export Publication List link.

The File Download window opens, shown in Figure 34.

Figure 34. File Download Window

57. You can either open the file or save it locally on your PC. If you click Save, the Save As window opens, shown in Figure 35.

Figure 35. Save As Window

58. In the File name field, enter a name for the file you are saving. You can use the default file name already specified or you can modify if as needed.

59. Click Save.

Remember the file name and the folder location. The file is saved in the desired location under the specified name.

The Download Complete window opens, shown in Figure 36.

Figure 36. Download Complete Window

60. Click Open.

MS Excel launches, opening the file, shown in Figure 37.

Figure 37. MS Excel File – Publication List Window

The Export Publication List link creates a downloadable Excel file that includes the following columns:

· Committee ID

· Committee Name

· Committee Treasurer

· Committee Address

· Committee City

· Committee State

· Committee Zip

· Candidate ID

· Candidate Name

· Candidate Party

· Candidate State

· Candidate District

61. Review the file and close MS Excel.

You return to the Non Filer application.

62. Click the Generate Second Senate E-mail link.

The Generate Second Senate E-mail is only visible on NF reports that have Senate candidates. When generating the senate e-mail on rolled up reports, the application only includes Senate candidates in the body of the e-mail.

The link generates a message that contains all the Senate Committees that are classified as Non Filers. You send the e-mail to the designated sender, shown in Figure 38.

Figure 38. Generate Senate E-mail

63. Review the content and edit as needed and then click Send.

The e-mail is sent to the designated recipients. You return to the Publication List, shown in Figure 39.

Figure 39. Publication List Page

64. Click the Return to Non Filer Report link.

You return to the Non Filer Report page.

65. From the dropdown menu, select 2nd E-mail Sent to indicate that the second e-mail was sent and click Save Status. When you click the Save Status button, the menu options change depending on the selection made. The status changes from PubList Research to 2nd E-mail Sent, shown in Figure 40.

Figure 40. Non Filer Report Page

Removing a Publication List Record

The Remove Publication Record option enables you to manually remove a publication record from the Publication List page.

66. From the Publication List page, select the committees you would like to remove by placing a checkmark in the Select box, shown in Figure 41.

Figure 41. Publication List Page

67. Click the Remove Selected Committees link.

The Confirm Removal from Publication List page opens, shown in Figure 42.

Figure 42. Confirm Removal from Publication List Page

68. Click the Remove link.

The committees selected have been removed from the list. You return to the Publication List.

Adding a Publication List Record

The Add Publication Record option enables you to manually add a committee to the Publication List page. Only committees that appear on the Non Filer Report and are not currently on the Publication List will be available for you to add.

69. From the Publication List, click the Add Committee link.

The Publication List page opens, shown in Figure 43.

Figure 43. Publication List Page

70. The Publication List page displays any committees that are not currently on the Publication List. Click the Select link next to the committee you want to add.

The committee is added to the Publication List. Repeat the steps above for each committee you would like to add.

Once you have added all the committees, the following message is displayed:

All non filers for this report are already on the publication list.

71. From the dropdown menu, select PubList Final and click Save Status. When you click the Save Status button, the menu options change depending on the selection made. The status changes from 2nd-E-mail Sent to PubList Final, shown in Figure 44.

Figure 44. Non Filer Report Page

72. From the dropdown menu, select NF Track and click Save Status. When you click the Save Status button, the menu options change depending on the selection made.

The status changes from PubList Final to NF Track, shown in Figure 45.

Figure 45. Non Filer Report Page

NF Track Reports

These reports contain information about the Failure to File notices (also known as RQ 7) that were mailed for a particular report (for example, Q3 2004, Q2 2005, M10 2004, YE 2004) grouped by Authorized and Unauthorized Committees. The Unauthorized category is divided into two subcategories: less than $50,000 in total receipts or disbursements, and greater than $50,000 in total receipts or disbursements. The Authorized category is also divided into two subcategories: Current and Not Current.

73. Click the NF Track Reports link.

The NF Track Reports page opens, shown in Figure 46.

Figure 46. NF Track Reports Page

Authorized Current

The Authorized Current report displays all committees that have a status of Current and were sent a Failure to File notice (also known as RQ 7) for a particular report.

74. From the NF Track Reports page, click the Authorized Current link.

The NF Track Authorized Committees – Current page opens, shown in Figure 47.

Figure 47. NF Track Authorized Committees – Current Page

75. Review the information for the NF Track Authorized Committees – Current page.

76. Click the Return to NF Track Reports link.

You return to the NF Track Reports page.

LISTNUM \l 1 \s 0 Authorized Not Current

The Authorized Not Current report displays all committees that have a status of Not Current and were sent a Failure to File notice for a particular report.

77. From the NF Track Reports page, click the Authorized Not Current link.

The NF Track Authorized Committees – Not Current page opens, shown in Figure 48.

Figure 48. NF Track Authorized Committees – Not Current Page

78. Review the information for the NF Track Authorized Committees – Not Current page.

79. Click the Return to the NF Track Reports link.

You return to the NF Track Reports page.

LISTNUM \l 1 \s 0 Unauthorized Under $50,000

The Unauthorized under $50,000 report displays all unauthorized committees that have not exceeded $50,000 in either total receipts or total disbursements plus debts in the current election cycle and were sent a Failure to File notice for a particular report.

80. From the NF Track Reports page, click the Unauthorized under $50,000 link.

The NF Track Unauthorized Committees – Under $50,000 page opens, shown in Figure 49.

Figure 49. NF Track Unauthorized Committees – Under $50,000 Page

81. Review the information for the NF Track Unauthorized Committees – Under $50,000.

82. Click the Return to the NF Track Reports link.

You return to the NF Track Reports page.

LISTNUM \l 1 \s 0 Unauthorized Over $50,000

The Unauthorized over $50,000 report displays all unauthorized committees that have exceeded $50,000 in either total receipts or total disbursements plus debts in the current election cycle and were sent a Failure to File notice for a particular report.

83. From the NF Track Reports page, click the Unauthorized over $50,000 link.

The NF Track Unauthorized Committees – Over $50,000 page opens, shown in Figure 50.

Figure 50. NF Track Unauthorized Committees – Over $50,000 Page

84. Review the information for the NF Track Unauthorized Committees – Over $50,000.

85. Click the Return to the NF Track Reports link.

You return to the NF Track Reports page.

86. Click the Return to Non Filer Report link.

The NF Track page closes and you return to the Non Filer Report

87. From the dropdown menu, select Audit Points Assigned and click Save Status. When you click the Save Status button, the menu options change depending on the selection made.

The status changes from NF Track to Audit Points Assigned, shown in Figure 51.

Once a report displays a status of Audit Points Assigned, you can no longer add or delete committees from the Non Filer report.

Figure 51. Non Filer Report Page

Non Filer Non-Publishable Report Process The Non Filer Non-Publishable report process includes the following statuses:

· Initialized

· Frozen

· Research (Add/Del)

· Exported to DeskMail

· Mailgrams Sent

· NF Track

· Audit Points Assigned

88. From the Non Filer Home Page, click the Non Filer Report link.

The Non Filer Report List opens, shown in Figure 52.

Figure 52. Non Filer Report List Page

89. Locate an Initialized report (for example that displays H, S, or P in the Committee Type Set column and displays N in the Publishable column). Each report is created two days prior to the Due Date. While the report is in the Initialized state, you may access and view the report an indefinite amount of times without affecting the status.

90. Click the Report Year link.

The Non Filer Report page opens, shown in Figure 53.

Figure 53. Non Filer Report Page

91. Click the Freeze Report for Research link.

The status changes from Initialized to Frozen. A dropdown menu becomes available. The menu choices change depending on the report type selected. Once the report status is changed from Initialized to Frozen, the application ceases to update the report automatically. You must add and remove committees manually.

92. From the dropdown menu, shown in Figure 54, select Research (Add/Del) and click Save Status. When you click the Save Status button, the menu options change depending on the selection made.

The status changes from Frozen to Research (Add/Del).

Figure 54. Non Filer Report Dropdown Menu

During the Research (Add/Del) process, you can add or delete committees to and from the Non Filer report, shown in Figure 55.

Figure 55. Non Filer Report – Research (Add/Del) Page

Adding a Committee

The Add Committee option enables you to add a committee to a Non Filer report.

For more information on how to Add a Committee to your Non Filer Report, refer to Adding a Committee on page 21.

Adding a Committee to a 12-Day or 30-Day Non-Publishable NF Report

The Add Committee option enables you to add a committee to a Non Filer report. The page does not display any election information (i.e. state, district, and party) since all the elections with the same due date are now combined.

For the combined 12-Day and 30-Day reports, the application searches for the individual NF report in which the committee needs to be added to. If a match is found, the corresponding report is highlighted in the Report List dropdown. Otherwise, none of the reports are highlighted and you select a report from the dropdown list.

For more information on how to Add a Committee to your Non Filer Report, refer to Adding a Committee to a 12-Day or 30-Day Publishable NF Report on page 24.

Removing a Committee

The Remove Committee option enables you to manually remove a record from the selected Non Filer Report run.

For more information on how to Remove a Committee from your Non Filer Report, refer to Removing a Committee on page 29.

Exporting to DeskMail

The Export to DeskMail option creates the necessary file for exporting committee information. This is performed after the analyst has verified all the Non Filer committees.

For more information on how to Export to Deskmail, refer to Exporting to DeskMail on page 31.

NF Track Reports The NF-Track Reports page includes reports containing information about the Failure to File notices (also known as RQ 7) that were mailed for a particular report (for example, Q3 2004, Q2 2005, M10 2004, YE 2004). The reports are grouped by Authorized and Unauthorized Committees. The Unauthorized category is divided into two subcategories: less than $50,000 in total receipts or disbursements, and greater than $50,000 in total receipts or disbursements. The Authorized category is also divided into two subcategories: Current and Not Current.

For more information on how to view the NF Track Reports, refer to NF Track Reports on page 48.

NF Stats

NF Stats are used to review statistics related to Non Filer report runs. The statistics include the following:

· Number of committees required to file the report

· Number of reports filed

· Number of committees found to be Non Filers by the application

· Number of committees verified to be Non Filers

· Number of committees manually removed from the Non Filer Report

· Average dollar activity of committees verified as Non Filers

93. From the Non Filer Home Page, click the NF Stats link.

The NF Stats page opens, shown in Figure 56.

Figure 56. NF Stats Page

94. To export the report to Excel, click the Export to Excel link.

95. You can print, save, and/or modify the exported results in Excel.

96. Close MS Excel. You return to the NF Stats page.

97. Click the Return to Home Page link.

LISTNUM \l 1 \s 0 Data Verification Reports

This page is a collection of reports designed to identify anomalies or gaps in the data before a Non Filer Report is run. These reports identify candidates that do not have PCCs, committees that are not linked to candidates, and campaigns (new, future, and prior) that have $5000 or more in total receipts, disbursements, and/or debts.

In addition, this collection of reports identifies candidates whose status must be changed from C to F and vice versa, committees that have filed a report which differs from their filing frequencies, and committees that have filed to change their filing frequencies. Authorized users are able to run these reports at any time.

The Non Filer Non Filer Data Verification Reports page lists the available reports, shown in Figure 57. Five of the seven reports enable you to exempt records from appearing on reports despite meeting the report criteria. The RQ-5 Report enables you to exempt a committee from appearing on future reports until a new Form 2 is received from the committee’s candidate.

Figure 57. Non Filer Data Verification Reports Page

Disavowal Report

This report lists all committees that have filed a report and crossed the $5K threshold and the candidates of these committees have not filed a Form 2 for the current election cycle.

98. From the Non Filer Data Verification Reports page, click the Disavowal Report link.

The Disavowal Report opens, shown in Figure 58.

Figure 58. Disavowal Report Page

99. To exempt a Candidate, click the Exempt link.

The Confirm Exemption from Future Disavowal Reports page opens, shown in Figure 59.

Figure 59. Confirm Exemption from Future Disavowal Reports Page

100. In the Reason for Exemption text box, type a reason for the exemption.

101. Click Exempt.

The Candidate is exempted. You return to the Disavowal Report page.

102. Click the Return to the Data Verification Reports link.

You return to the Non Filer Data Verification Reports page.

LISTNUM \l 1 \s 0 RQ-5 Report

This report lists all committees, including ones with filing frequencies of ‘A’ or ‘T,’ with a Candidate Status of N, C, P, or F and have filed a new or amended Form 2.

103. From the Non Filer Data Verification Reports page, click the RQ-5 Report link.

The RQ-5 Report page opens, shown in Figure 60.

Figure 60. RQ-5 Report Page

104. To exempt a Committee, click the Exempt link.

The Confirm Exemption from Future RQ-5 Reports page opens, shown in Figure 61.

Figure 61. Confirm Exemption from Future RQ-5 Reports Page

105. In the Reason for Exemption text box, type the reason for the exemption.

106. Click Exempt.

The Candidate is exempted. You return to the RQ-5 Report page.

107. Click the Return to Data Verification Reports link.

You return to the Non Filer Data Verification Reports page.

LISTNUM \l 1 \s 0 Candidate Status Update Report

This report lists all candidates that have a status of N and P, have crossed the $5K threshold, and have filed a new or amended Form 2. The Candidate Status Update report enables you to exempt a candidate from appearing on future reports until a new Form 2 is received from the candidate.

108. From the Non Filer Data Verifications Reports page, click the Candidate Status Update Report link.

The Candidate Status Update Report opens, shown in Figure 62.

Figure 62. Candidate Status Update Report Page

109. To exempt a Candidate, click the Exempt link.

110. The Confirm Exemption from Future Candidate Status Update Reports page opens, shown in Figure 63.

Figure 63. Confirm Exemption From Future Candidate Status Update Reports Page

111. In the Reason for Exemption box, type a reason for the exemption.

112. Click Exempt.

The Candidate is exempted from the Candidate Status Update report.

You return to the Candidate Status Update report.

113. Click the Return to Data Verification Reports link.

You return to the Non Filer Non Filer Data Verification Reports page.

LISTNUM \l 1 \s 0 Unlinked Candidate/Committee Report

The Unlinked Candidate Report displays newly received Form 2s. It identifies all candidates that have not been linked to any committee. This report searches all new, future, prior, and current candidate records. The Unlinked Candidate Report enables you to exempt a candidate from appearing on future reports until a new Form 2 is received from the candidate.

The Unlinked Committee Report displays newly received Form 1s. It identifies all Authorized Committees that do not have a candidate. The Unlinked Committee Report enables you to exempt a committee from appearing on future reports until a new Form 1 is received from the committee.

The Potential Link Report displays the possible matches between candidates and committees.

114. From the Non Filer Non Filer Data Verification Reports page, click the Unlinked Candidate/Committee Report link.

The Potential Link Report page opens, shown in Figure 64.

Figure 64. Potential Link Report Page

115. To view the Unlinked Candidates report, click the View Unlinked Candidates Report link located at the top of the page.

The Unlinked Candidate Report page opens, shown in Figure 65.

Figure 65. Unlinked Candidate Report Page

116. To exempt a Candidate, click the Exempt link for the Candidate that you want to exempt.

The Confirm Exemption from Future Unlinked Candidate Reports page opens, shown in Figure 66.

Figure 66. Confirm Exemption from Future Unlinked Candidate Reports Page

117. In the Reason for Exemption field, type a reason for the exemption.

118. Click Exempt.

The Candidate is exempted. You return to the Unlinked Candidate Report

119. To view the Unlinked Committee Report, click the View Unlinked Committees Report link located at the top of the page.

The Unlinked Committee Report page opens, shown in Figure 67.

Figure 67. Unlinked Committee Report Page

120. To exempt a Committee, click the Exempt link for the Committee you want to exempt.

The Confirm Exemption from Future Unlinked Committee Reports page opens, shown in Figure 68.

Figure 68. Confirm Exemption from Future Unlinked Committee Reports Page

121. In the Reason for Exemption field, type a reason for the exemption.

122. Click Exempt.

The Committee is exempted and you return to the Unlinked Committee Report

123. Click the Return to Data Verification Reports link.

You return to the Non Filer Non Filer Data Verification Reports page.

LISTNUM \l 1 \s 0 Candidate Status Report

This report provides the ability to search for candidates using a combination of criteria for the candidate. If you enter a Candidate ID, the remaining fields below are grayed out, preventing you from entering criteria into them. If you elect to not enter a Candidate ID, you must enter criteria into Candidate Name, Election Year. Candidate Status, Candidate State, and Office Sought.

124. From the Non Filer Non Filer Data Verification Reports page, click the Candidate Status Report link.

The Candidate Status Search page opens, shown in Figure 69.

Figure 69. Candidate Status Search Page

125. Enter the Candidate ID.

When the Candidate ID is blank, you must enter criteria into the following fields: Candidate Status, Candidate State, and Office Sought. Otherwise, an error message is displayed.

126. You can also enter information into the following fields:

· Candidate Name

· Election Year

· Candidate Status

· Candidate State

· Office Sought

The Candidate Status field indicates the status of a candidate.

Status Definition

A [1032 - Obsolete Code]

C

Statutory Candidate (Current)

F

Statutory Candidate for Future Election

P

Statutory Candidate in Prior Cycle

M

[1032 - Obsolete Code]

N

New Statutory Candidate

Q

[1032- Obsolete Code]

T

[1032 - Obsolete Code]

W

[1032 - Obsolete Code]

127. Click Search.

The Candidate Status Report opens, displaying your search results, shown in Figure 70.

Figure 70. Candidate Status Report Page

128. Click the Return to Candidate Status Search link.

You return to the Candidate Status Search page. Repeat the steps above to search for other candidates.

The application remembers the criteria previously entered; click Clear to empty the fields.

129. To return to the Non Filer Data Verification Reports page, click Cancel.

Filing Frequency Alert Report

This report lists the reports that have been filed in a manner that is not in accordance with the Committees’ Filing Frequencies. The reports listed are grouped by Non-Party Quarterly Filers, Non-Party Monthly Filers, Authorized Quarterly Filers, and Authorized Monthly Filers. The Filing Frequency Alert Report enables you to exempt a committee from appearing on future reports until a new Form 1 is received from the candidate.

130. From the Non Filer Data Verification Reports page, click the Filing Frequency Alert Report link.

The Filing Frequency Alert Report opens, shown in Figure 71.

Figure 71. Filing Frequency Alert Report Page

131. To exempt a Committee, click the Exempt link.

The Confirm Exemption from Future Filing Frequency Alert Reports page opens, shown in Figure 72.

Figure 72. Confirm Exemption from Future Filing Frequency Alert Reports Page

132. In the Reason for Exemption box, type a reason for the exemption.

133. Click Exempt. The Committee is exempted for the report.

You return to the Filing Frequency Alert Report page.

134. Click the Return to Data Verification Reports link.

You return to the Non Filer Data Verification Reports page.

LISTNUM \l 1 \s 0 MS-M with No MS-O Report

This report lists all Miscellaneous documents of type M (MS-M), Filing Frequency Change Notice, that do not have a corresponding MS-O, Acknowledgement of Filing Frequency Change.

135. From the Non Filer Data Verification Reports page, click the MS-M with No MS-O Report link.

The MS-M with No MS-O Report opens, shown in Figure 73.

Figure 73. MS-M with No MS-O Report Page

136. Review the information on the report.

137. Click the Return to Data Verification Reports link.

You return to the Non Filer Data Verification Reports page.

LISTNUM \l 1 \s 0 Exempted Committees

During the process of exempting candidates and committees, if you discover the need to remove an exemption, the application enables you to remove an exemption for any of the Non Filer Data Verification Reports. Exempted Committees enables you to remove a specific committee exemption.

138. From the Non Filer Data Verification Reports page, click the Exempted Committees link.

The Exempted Committees page opens, shown in Figure 74.

Figure 74. Exempted Committees Page

139. Find the Committee for which you want to remove the exemption from.

140. Click the Remove Exemption link.

A warning message window appears, "Are you sure you want to remove the exemption for [Committee ID]?” shown in Figure 75.

Figure 75. Warning Message Window

141. Click OK if you want to proceed with removing the exemption. Otherwise, click Cancel.

The exemption is removed. You return to the Exempted Committees page

142. Click the Return to Data Verification Reports link.

You return to the Non Filer Data Verification Reports page.

LISTNUM \l 1 \s 0 Exempted Candidates

During the process of exempting candidates and committees, if you discover the need to remove an exemption, the application enables you to remove an exemption for any of the Non Filer Data Verification Reports. Exempted Candidates enables you to remove a specific candidate exemption.

143. From the Non Filer Data Verification Reports page, click the Exempted Candidates link.

The Exempted Candidates page opens, shown in Figure 76.

Figure 76. Exempted Candidates Page

144. Find the Candidate for which you want to remove the exemption from.

145. Click the Remove Exemption link.

A warning message window appears, "Are you sure you want to remove the exemption for [Candidate ID]?” shown in Figure 77.

Figure 77. Warning Message Window

146. Click OK if you want to proceed with removing the exemption. Otherwise, click Cancel.

The exemption is removed. You return to the Exempted Candidates page.

147. Click the Return to Data Verification Reports link.

You return to the Non Filer Data Verification Reports page.

LISTNUM \l 1 \s 0

UNITED STATES MINT

Office of the Chief Information Officer Office of Enterprise Information Services