Document Id: CAL errata 2.01 Date: 10/26/2001 CAL Errata Release/Revision 2.00.02 modifications Page 1 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 2.00.02 and CAL format 2.01 These changes reflect changes made to the F450 1. Page 1 [HDR] Changed the CAL_Ver number to 2.01 2. Page 18 [SPLT] Added "F450P5" as one of the valid values for Pform_Type. 3. Page 20 - Added the SPLT information to the Electronic Filing Components of the F450. 4. Page 25 [CVR] Changed the usage of fields 42 "Flag1_YN" through 44 "Flag3_YN" to be used by F450. The new Small Contributor Committee is reported in field 43 "Flag3_YN". Differences between CAL format 2.00.01 and CAL format 2.00.02 These changes reflect changes made to the F460 5. Page 11 [Entity Codes] Two values were added to the list of entity codes. "PTY" - Political Party, and "SCC" - Small Contributor Committee. 6. Page 12 [Office Codes] Three new codes were added. "SPM" - Supreme Court Justice was added to the Statewide Offices list, "PER" - Public Employees Retirement System and "APP" - State Appellate Court Justice were added to the State District Office list. 7. Page 13 [Expense Codes] Three new expense codes are added. "FIL" Candidate Filing/Ballot Fees, "LEG" - Legal Defense, and "MBR" - Member Communications. The following note was update: (Note: For Schedule D Type Of Payment, codes "MON", "IKD" and "IND" are the only valid codes. IKD & IND require an explanation.) 8. Page 14 [AMENDMENTS] A section to explain the Amendment process was added. This process explains how to amend previous filings. The new amendment process will require filers to enter the Filing Id assigned to the original form filed. 9. Page 17 [Back-Referencing] the schedules listed were updated with all new proper schedule names. 10. Page 18 [SPLT] The Split Transaction "Child" Record was added in order to handle the Per Election to Date information required on Schedules A, B1, C, D, and H. Please view the Cal Format Document for the layout of this record. Page 2 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Page 3 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 11. Page 20 [Filing Components] Deleted F405, RCPT A-1, LOAN B3, LOAN H2, and LOAN H3 from the list of records filed with the F460 from the list. Changed LOAN B2's description to reflect the new usage of Schedule B Part 2. This record is now used to disclose the Loan Guarantors information. Added the SPLT child records used with the RCPT parent record. 12. Page 24 [CVR] Added note: Fields 42 through 45 are not used when Cmtte_Type = P. 13. Page 25 [CVR] fields 42, 43, 44 & 45, changed the names of the flags to be able to use them for more than one purpose. Names changed from: 42 Control_YN to Flag1_YN 43 Sponsor_YN to Flag2_YN 43 PrimFrm_YN to Flag3_YN 44 BrdBase_YN to Flag4_YN The new way of using these flags can be found on Page 27 of the Format Document. This change affects F460 only. 14. Page 28 [CVR] added the note: Additional Cover Page information is found in the CVR2 and CVR3 records. Please refer to these records for additional instructions. 15. Page 28 [CVR] Moved the CVR2 record information from this page to page 31 of the CVR2 record. 16. Pages 31 [CVR2] updated the instructions for usage of the CVR2 record to disclose information for Assistant Treasurer, Officeholder/Candidate, Related Committees, Ballot Measure information, Officeholder/Candidate/Proponent info, and Name/Addr info for Candidate/Officeholder. Note: Part 4 of the old F460 is now Part 5, Part 5 is now Part 6, Part 6 is now Part 7, and Part 7 is now Part 4. New Part 5b now displays 2 occurrence, and Part 7 displays 4 occurrences. Additional occurrences will display in an attached form. Please view new copy of the Form 460 (June/01) version for visual clarification. 17. Layout for F405 was deleted from this document. This is not a valid Electronic Form. 18. Page 35 [SMRY] added the usage of Field 04 "Amount_A" as the field used to disclose the "Total to Date" amount required in the new section (22. Cumulative Expenditures Made) Summary Page layout. Used for this purpose when Line_item = "22A" through "22Z". Page 4 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Amount_C is now disabled for F460 (No longer used). Added a field 07 "Elec_Dt". This field is used to display the date of election in section 22 of the Summary Page. Added "Please leave ExpLimt_Line and Elec_Dt null when not applicable (trailing commas are not required)" to the note at the bottom of Page 35. Note: Even though the form states mm/dd/yy, we require the century to be Y2K compliant. 19. Page 36 [SMRY Examples] updated the samples on how to use the SMRY record for F460. 20. Page 37 [RCPT] Field 04 "Entity_Cd" PTY - Political Party, and SCC - Small Contributor Committee were added as values. 21. Page 38 [RCPT] Field 17 "Tran_Type, added two new values: I = Intermediary, and X = Transfer. Note: When using "I" or "X" as a value, Fields 34 through 45 and 66 "Intermediary/Transfer Information" is required. 22. Page 38 [RCPT] Fields 18 "Trans_Date" & 19 "Contr_Date" are required when Tran_Type = "X". All other Tran_Types use these two fields as "Rcpt_Date" and "Date_Thru". 23. Page 39 [RCPT] Field 22 "Hold_Amount" amount replaces "Cum_Oth" amount. The Cum_Oth amount is no longer required in the F460 and this field is not used at this time. Page 41 [RCPT] Added the Notes: To disclose the Per Election to Date information, please refer to the "SPLT" record found in this document. 24. Page 42 [EXPN] Field 17 "Hold_Amount" amount replaces "Cum_Oth" amount. The Cum_Oth amount is no longer required in the F460 and this field is not used at this time. 25. Page 43 [EXPN] Field 20 "Expn_Dscr" was increased from 90 bytes to 400 bytes. 26. Pages 44 [EXPN] added the note: To disclose the Per Election to Date information, please refer to the "SPLT" record found in this document. 27. Page 45 [DEBT] Field 19 "Expn_Dscr" was increased from 90 bytes to 400 bytes. Page 5 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 28. Page 47 [LOAN] field 02 "Form_Type". The values changed because Schedule B was reduced to two parts, and schedule H was reduced from three parts, to one part. The new values are as follows: B1 = Sched B Part 1/ Loans Received B2 = Sched B Part 2/ Loan Guarantors H = Sched H, / Loans Made 29. Page 47 [LOAN] Field 04 "Loan_TYPE". This field is not used at this time and was disabled. 30. Page 47 [LOAN] Field 05 "Entity_Cd" PTY - Political Party, and SCC - Small Contributor Committee were added as values. 31. Pages 47-48 [LOAN] Fields 15 through 21 were remapped according to the schedule being used. The new mapping is as follows: Schedule B Part 1 (B1) -------------------------------15 Loan_Date1 8 Date Loan Incurred (Original Date) 16 Loan_Date2 8 Date Due (Date Loaned Due) 17 Loan_Amt1 12 Loan Amount (Amount Received this Period) 18 Loan_Amt2 12 Outstanding Balance 19 Loan_Amt3 12 Cumulative Cont. to date(Calendar Year) 20 Loan_Amt4 12 Outstanding Balance Beg. this Period 21 Loan_Rate 30 Interest Rate Paid This Period (Remaining Loan Amounts found in fields 49 through 54 of this Schedule) Schedule B Part 2 (B2) ------------------------------15 Loan_Date1 8 Date of Loan 16 Loan_Date2 8 N/A (Not Used) 17 Loan_Amt1 12 Amount Guaranteed this Period 18 Loan_Amt2 12 Balance Outstanding to Date 19 Loan_Amt3 12 Cumulative To Date (Calendar Year Amount) 20 Loan_Amt4 12 N/A (Not used) 21 Loan_Rate 30 N/A (Not used) (Remaining Loan Amounts found in fields 49 through 54 of this Schedule) Schedule H; definitions (H) -------------------------------15 Loan_Date1 16 Loan_Date2 17 Loan_Amt1 8 8 12 Date Loan Made (Original Date) Date Loan Due Amount Loaned This Period Page 6 of 32 Document Id: CAL errata 2.01 18 19 20 21 Date: 10/26/2001 Loan_Amt2 12 Outstanding Balance at Close of this Period Loan_Amt3 12 Cumulative Loans to Date (Calendar Year) Loan_Amt4 12 Outstanding Balance Beginning this Period Loan_Rate 30 Interest Rate Received (Remaining loan amounts found in fields 49 through 54 of this Schedule) 32. Page 48 [LOAN] fields 22 "Loan_EMP", field 23 "Loan_OCC", and field 24 "Loan_Self are now used on Schedule H, as well as Schedule B1. 33. Page 49 [LOAN] field 35 "Intr_NamL" is used as "Lender_Name" for the lender name required on Schedule B Part 2. 34. Page 50 [LOAN] fields 49 - 52 are new fields required for Schedule B Part 1, Shedule B Part 2, and Schedule H. The new fields are: Note: Fields 49, 50, 51 and 52 are not used in (B2) Schedule B Part 1 (B1) & Part 2 (B2) -------------------------------49 50 51 52 Loan_Amt5 Loan_Amt6 Loan_Amt7 Loan_Amt8 12 12 12 12 Amount Paid this Period (B1 only) Amount Forgiven this Period (B1 only) Amount of Interest Paid this Period (B1 only) Original Amount of Loan (B1 only) Schedule H -------------------------------49 50 51 52 Loan_Amt5 Loan_Amt6 Loan_Amt7 Loan_Amt8 12 12 12 12 Amount Paid this Period Amount Forgiven this Period Amount of Interest Received this Period Original Amount of Loan 35. Page 50 [LOAN] Added the note: To disclose the Per Election to Date information, please refer to the "SPLT" record found in this document. 36. Page 92 [INDEX] Added a index table at the back of the document. Page 7 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 1.05.02 and CAL format 2.00.01 These apply to changes made to F410, F496, and F497 Page 2 Table of Contents was expanded. Page 6 [HDR], HDR.04.CAL_Ver changed value to "2.00". Any filing with a prior version will be rejected. Page 12 [Entity Codes] Two values were added to the list of entity codes. "PTY" - Political Party, and "SCC" - Small Contributor Committee. Page 21 [RCPT] A RCPT "F496P3" schedule was added to the records reported in for the F496 report. HDR CAL "CAL" Header record CVR F496 Cover Page; Late Independent Expenditure Report S496 F496 Independent Expenditures Made RCPT F496P3 Contributions of $100 or More Received Page 25 [CVR] Fields 46, 47 & 48 are now required for F496, and F497 when Report_Num is greater than "000". Page 37 [RCPT] Field 02 "Form_Type" is increased to a 6 byte field, and the value" "F496P3" is added to the list of values for F496 Part 3. (Contributions of $100 or more received). Page 38 [RCPT] Field 04 "Entity_Cd" PTY - Political Party, and SCC - Small Contributor Committee were added as values for F496 only. Page 40 [RCPT] Field 65 "Int_Rate was added to handle the Loan Interest Rate Field used in F496P3 (Form 496 Part 3) only. Page 53 [S497] Field 04 "Entity_Cd" PTY - Political Party, and SCC - Small Contributor Committee were added as values. Page 60 [CVR] For F410 Fields 52 & 53 "Acct_OpenDt" and "SurplusDsp" are disabled and are not required in the new F410 Layout. These fields have been renamed to: 52 "Reservd_Dt" & 53 "Reservd_Commt". Page 60 [CVR] For F410 Field 59 "SmCont_QualDt" (Small Contributor Committee Date Qualified) was added. The display of this field replaces the Broad Based Committee display. Page 62 [CVR2] for F410 Fields 10 through 14, the name was changed from: 10 Mail_Adr1 to Cvr2_Adr1 Page 8 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 11 Mail_Adr2 to Cvr2_Adr2 12 Mail_City to Cvr2_City 13 Mail_ST to Cvr2_ST 14 Mail_ZIP4 to Cvr2_ZIP4 Differences between CAL format 1.05.02 and CAL format 1.05.01 Pages 53-54 [CVR], CVR.15.Firm_ID and CVR.16.Firm_Name are currently described as required on 615, 625 and 635 filings. These two fields only apply (and are required) on F615 filings. Therefore, they map to the F690 only when it is associated with a 615 amendment. Page 58 [F690], In CAL version 1.05.01 fields 06.Chg_Parts and 07.Chg_Sects are coded Rx (required, reject if null). A particular part or section may or may not be changed and to complete the form correctly the block on the form may be empty. These fields should be coded as optional. Page 60 [SMRY], Remove "SMRY,S640,TOT,Amt_A" from both the F635 & F645 list of summary records by filing. The "total" from the itemized portion of the 640 is carried in SMRY,S640,4,Amt_A (Item 4 of the 640). Page 61 [LEXP], Remove 'F625P3B' from list of OK values for LEXP.02.Form_Type. Page 62 [LPAY], re-evaluate the {R}equiredness of some fields: LPAY.15.Lby_Actvty N/A to 635/Part 3B - Required only for 625/Part 2 LPAY.16.Fees_Amt Only one Amount out of three is Required. LPAY.17.Reimb_Amt " " " " LPAY.18.Advan_Amt " " " " LPAY.19.Advan_Dscr This is only required IF LPAY.18.Advan_Amt is nonzero. Page 63 [LOTH], In the LOTH record, first name field (Field 12) is listed as required (and it appears the validator may be requiring fields 13 and 14 as well). Since there is no Entity_Cd for Subj_Nam* fields 11-14, only field Page 9 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 LOTH.11.Subj_NamL can be required, Fields 12-14 are all optional. Page 65 [LATT], describing LATT the Entity_Cd list should read like this: (IND & OTH are added. List of forms to which values apply is modified.) 04 R Entity_Cd 3 Entity Code of the Payment Recipient/Payee Values: FRM - Lobbying Firm; (S635-C S640) LEM - Lobbying Employer; (S635-C S640) LCO - Lobbying Coalition; (S630 S635-C) LBY - Lobbyist (a person); (S635-C) IND - Individual; (S635-C S640) OTH - Other (Bus,Org,etc.) (S635-C S640) Page 46 [CVR], CVR.06.Filer_NamF is Optional. Page 62 [LPAY], LPAY.06.Emplr_NamF is Optional (in truth, it's never used). Page 64 [LCCM], LCCM.06.Recip_NamF & LCCM.16.Ctrib_NamF are both Optional. Page 68 [CVR], CVR.Filer_NamF is only Required if CVR.05.Entity_Cd='LBY'. Page 72 [CVR2], CVR2.07.Enty_NamF is NOT Required if CVR2.04.Entity_Cd='SCL'. (...the entity may be a business or other entity that does not have a first name. This field should be coded as optional.) Page 73 [CVR2], CVR2.07.Enty_NamF is only Required if CVR2.04.Entity_Cd='EMP'. Page 74 [F605], F605.21.A_LE_NamF & F605.27.D_LE_NamF are both Optional. Page 75 [LEMP], LEMP.06.Cli_NamF is Optional. Page 65 [LATT], LATT.17.CumBeg_Dt not used. It is marked as optional in the document. (Cumulative Begin date is carried instead on the cover page as field CVR.14.Cum_Beg_Dt.) Page 5, rewrite description about how Dollar Amount fields are coded... AMOUNTS Page 10 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 ------Monetary amounts are stored with an "explicit" decimal point, which when coded, must be followed by 1 or 2 (but no more than 2) decimal positions. Embedded commas are not allowed and cause a filing to be rejected. Negative amounts can be represented with a leading hyphen (-) character. Examples: 123.45 - represents an amount of $123.45 345 - represents an amount of $345.00 -567.8 - represents a negative amount of $567.80 $1,234.00 - invalid & will be rejected (commas & other symbols not allowed) 1234.00- - invalid & will be rejected (no trailing '-' signs allowed) Page 69, [CVR], CVR.31.Sig_Loc should be marked optional. It does not appear on any current FPPC Lobbyist Registration forms. Page 70, Fields 55 and 57 are exclusive. A filer is either described with an industry or a business code. The way Cal is currently written, a filer has to select both and industry and a business code. The requirement should be that they must select an industry or a business code. -- CVR.55.Ind_Class is now "optional". If Ind_Class is blank, Bus_Class is required. CVR.57.Bus_Class is therefore "Conditionally Required" whenever Ind_Class is not given. Page 68, CVR.14.Qual_Date is [O]ptional rather than [C]onditionally required. This date is only required when a 601/603/604 filing is an initial registration and there isn't a field by which this can be tested programmatically. Page 66. The form 605 is not a valid record type with 602 filings, yet the note indicates it is included within "601, 602, and 603 filings". Form 605 is included with 601 and 603 Registration Statement filings only. The note on page 66 not refers to 601 and 603 (but not 602) filings. * * * Page 53, CVR.05.Entity_Cd has an additional value of OTH - Other which can be used as a value for F645 filings when 'IND' isn't appropriate. Pages 55 & 56 descriptions for CVR.40.Ctrib_N_CB and CVR.41.Ctrib_Y_CB Page 11 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 clarified: Ctrib_N_CB "No Campaign Contributions Made" Check-box Ctrib_Y_CB "Part [IV III] Completed and Attached" check-box Page 9, the following note of explanation about describing Lobbying Acitivity is included in the Overview. (References are made from the CVR.42.Lby_Actvty fields on Pages 55 and 56 and LPAY.15.Lby_Actvty on Page 62.) "If additional space is needed to describe this activity, attach a text memo record describing the activity to the filing. When reporting lobbying activity, the preferred format to identify bills is the type of bill followed by the bill number. Each bill is separated by a space character or comma. Putting a white space between the bill type and bill number is optional. Formatting the information in this manner provides the public with better access to bill information. The following variations comply with this definition." "AB26 AB30, SB300, SB 285 AB 325,SB203, AB 25" "The codes recognized by the system are AB, AC, ACA, ACR, AJR, HR, SB, SCA, SCR, SJR, and SR. In addition, any of these codes followed by an X and a single digit (for example ABx7 or ABx 7) will be recognized." Page 62, LPAY.20.Emplr_Phon only applies to 625/Part 2 and does not apply to the 635/Part 3B. Employer Phone is changed to [C]onditionally Required and a notation indicates it applies only to 625/Part 2. Page 64, LCCM.04.Entity_Cd uses only one value: COM - (Recipient) Committee. Also on page 64, LCCM.14.Recip_ID is always required. Page 68, CVR.01.Rec_Type value will always be 'CVR'. Notation that said values could also be "{F604; F606 if embedded within F601; F603}" is removed. ?? Page 30, Intermidiary information (Fields RCPT.34.Intr_Naml through RCPT.45.Intr_Self) does not apply to Schedule F401A of 401 filings. ?? Page 70, clarify instructions for when fields should be coded: Page 12 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 ------ One and only one of the following 4 check-boxes should be checked -----41 C Ind_CB 1 Individual check-box 42 C Bus_CB 1 Business check-box 43 C Trade_CB 1 Industry/Trade/Professional check-box 44 C Oth_CB 1 Other check-box ?? Page 71, clarify instructions for when fields should be coded: ------ Only ONE of the next three fields (check-boxes/Date) should be coded --42 C NewCert_CB 1 Will take a New Cert check-box "check-circle" #1 43 C RenCert_CB 1 Will take a Renewal Cert check-box "check-circle" #2 44 C Complet_Dt 8 Ethics Orient Course Completion (Req if NewCert_CB and RenCert_CB are both blank) ------ Only ONE of the following 2 check-boxes should be checked -------------45 C Lby_Reg_CB 1 Lobby agcy in 601/603 Reg Stmt check-box #1 46 C Lby_604_CB 1 Lobby agcy in this 604 Stmt check-box #2 47 C St_Leg_YN 1 Will Lobby State Legislature? Y/N (Req if Lby_604_CB=X) 48 C St_Agency 100 List of Identified State Agencies (Req if Lby_604_CB=X) Page 13 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 1.05.01 and CAL format 1.05.00 Note: No fields have been added or removed from any layouts in this release. Modifications consist of additional notes & comments to clarify use. On page 51, the SMRY record type is listed as applicable to the 615. On page 59 the document says that SMRY records are not applicable to the 615. I believe page 59 is correct. (Delete SMRY,F615 reference from page 51.) On page 53, Field 14 Cum_Beg_Dt should indicate which form the field applies to. Believe this is the 635 and 645 On page 53, Guidance needs to be provided on how to fill out the filer name box if the filer is a firm. E.g. They must fill out both field 06 and field 16 if the filer is a firm. On page 54, Field 28 Mail_Phon is not used and should be listed as an unused field. On page 54, fields 35-39 are listed as only applying to the 625 and 635, They also are needed for the 645 and the 690. Page 54, Signer's Name (printed) and Title applies to 645 reports also. On page 55, An ID for the major donor (field 46 or 43) was not added. If we have to make a change requiring a programming change to the format, I would like this optional field added. On page 55, An ID for the major donor (field 43) was not added. If we have to make a change requiring a programming change to the format, I would like this optional field added. On page 61, (& 62) Field 05 Entity_Cd, Who does this field apply to? The payee? Would the payee ever be a Committee? Further guidance is needed. Add a text description of the field before the values. I.e. Entity code of the payee Values: Ind - Individual; Oth - Other such as a business. On page 64, Field 04 Entity_Cd, Who does this field apply to? The Recipient? Page 14 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Add a text description of the field before the values. On page 64, Are fields 09-13 required on the form 645/Part B3. There is no provision for these to print. (These are not used on any LCCM forms.) On page 64, Identify which schedules/forms that fields 15-19 apply to. (F615P2) On page 65, Would field 04 ever apply to a committee? Add a description of the field including who it applies to. (I believe it would?) Pages 66-67, Remove F604 & F606 as embedded filings from the F601 & F603 Pages 69, Individual/Business Address Lines are 'C' & 'O'. Pages 74-75 (& 63), Name Title & Suffix are [O]ptional], not [R]equired. Pages 51 & 66, Remove notes about order of filing Pages 51 - 75 Entity_ID's are [C]onditionally required (not [O]ptional) Pages 53 & 68 Note that Sender_ID (like a Filer_ID) is the ID# assigned to a Lobbyist Entity by the SOS. Sender_ID contains the ID# of the entity that is physically submitting an electronic filing. It is not necessarily the same entity that is the subject of a filing (as in the case of a Form filing a 604 on behalf of a Lobbyist). Page 15 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 1.05.00 and CAL format 1.04.00 The following record layouts have additional fields inserted: CVR layout (Section 3, Page 53) used for 615, 625, 635 & 645 filings; CVR2 layout (Section 3, Page 57) used for 625 & 635 filings; CVR layout (Section 4, Page 68) used for 601 - 607 filings; CVR2 layout (Section 4, Pages72-73) used for 601 & 603 filings; LEMP layout (Section 4, Page 75) used for 601 filings 1. Page 4 [HDR] - HDR.04.CAL_Ver is 1.05. 2. Page 16 now shows that CVR2 records may be included within F425 filings. They are used to carry the Assistant Treasurer from Part 1 of the newly revised 425 form. Also, pages 21 (CVR) and 23-24 (CVR2) have notations showing that CVR2 records are used with F425 filings to carry any Assistant Treasurer(s) (ATR). Note: these changes are exactly the same as CAL 1.04.00 #21 changes made for reporting Assistant Treasurer on the revised 450 forms. Page 8 also revised to indicate that Entity Code value "ATR" is used on 425 & 450 reports in addition to 410 & 460 reports. 3. Page 18 - CVR.12.Late_RptNo renamed and redefined so that it also supports need of F465 filings to have a Report Identifier Number. In addition, although the new 498 form does not show a "Report Number" as the 496 & 497 forms do, this field is now required on F498 filings. The previous CAL 1.04.00 definition was: 12 Cx Late_RptNo 30 Rpt# of a Late Ctrib/Payment Rpt (Req. on F496,497) This is the user assigned number that is placed in either (or both) the Report No. & Amended Report No. fields on the 496 & 497 forms. The new CAL 1.05.00 definition now reads: 12 Cx Rpt_ID_Num 30 Identifying Report Number on a Late Ctrib/Payment Rpt or an Ind Exp Report (Req. on F465, F496, F497 & F498). (This user assigned value is printed in the Report No. Page 16 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 and Amended Report No. fields on 496 & 497 forms and is printed on electronic versions of 465 & 498 forms.) 4. Page 19 - CVR.41.Cmtte_Type is required on F450 reports. Valid values for Cmtte_Type for a 450 report are: P = Cand/Officeholder Primarily Formed Cmtte; B = Ballot Measure Committee; G = General Purpose Committee. Note that the value "C = Candidate/Officeholder Controlled Committee" DOES NOT apply to F450 filings. 5. Page 19 - CVR.21.Filer_Phon did not have a field description - now it does. 6. Pages 20 & 21 document notations changed to correctly state that F498 filings DO NOT use the "variable" part of the CVR layout. 7. Page 63 - LOTH.13.Subj_NamT and LOTH.14.Subj_NamS (Lobbyist Other / Subject Name; Title & Suffix) fields are 10 characters long. (Not 45 characters as defined in previous CAL documents.) 8. Lobbyist Statements described on pages 51 - 75 revised: ------------------------------------------------------8.a. Sender_ID added to CVR layouts so that a link is established between a Lobbying Firm that is filing a report on bahalf of another Lobbying Entity. The Sender_ID is the Lobbying Entity that is SUBMITTING the electronic filing, whereas the Filer_ID is the Lobbying Entity that is the SUBJECT of the filing. 8.b. CVR.15.Firm_ID is added to the CVR used for 615 - 635 reports. Please note that CVR.15.Firm_ID and CVR.16.Firm_Name are not used with 645 reports. 8.c. Mailing address (see page 54) only applies to 615 & 625 reports. Page 17 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 8.d. Entity_ID has been added to CVR2 records (see pages 57 & 72-73) to identify Lobbying Entities that are required to file other related reports (such as 615 and 604 reports). 8.e. LEMP.04.Client_ID and LEMP.19.SubFirm_ID are added to the LEMP layout (see page 75). These two new fields identify Lobbying Entities that must file 602 reports. Page 18 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 1.04.00 and CAL format 1.03.01 1a. Page 8 - Added two new Entity Code values for use on CVR2 records used along with F602 filings. SCL - Subcontracted Client (used for F602 Cover Page - side 1) MBR - Member of Associaton (used for F602 Cover Page - side 2) 1b. Page 65 clarifies that CVR2 records in a F602 filing are used to carry both the names of Names of Subcontracted Clients (side 1) and the names of Association Members (side 2). HDR CAL "CAL" Header record CVR F602 Cover Page; Lobbying Firm Activity Authorization CVR2 F602 Cover Page; side 1: Names of Subcontracted Clients side 2: Names "50 or less" Assoc members 1c. Page 70 specifies that CVR2.04.Entity_Cd is now Required on F602 filings. Entity_Cd Values: SCL - Subcontracted Client (F602, Cover/side1) MBR - Association member (F602, Cover/side2) Null - Entity_Cd not required on Form 601 !! Note: This is a programming change for programs doing F602 filings. 2. Page 43 - Added Employer/Occupation fields to S498 layout definition for F498 filings. There was no place to store Employer/Occupation that is requested in the "Late Payment Received From" upper left on Form 498. These fields apply to Form_Type='F498-R' (Received) records. 15 O Employer 200 Employer 16 O Occupation 60 Occupation 17 O SelfEmp_CB 1 Check Box: Self Employed? !! Note: This is a programming change for programs doing F498 filings. 3. Page 24 - CVR2 Entity Name fields #7-#10 now refer to "Entity" rather than to just "Candidate". These fields are used for more than just Candidate names. (This is a document change only.) Page 19 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 - Page 10 - 4. Page 27 - SMRY record is not used for Schedule G. Schedule G subtotals are grouped by Agent Name and multiple summary totals are calcualted by the CLAIMS print engine on the fly. Programs should not create SMRY records (SMRY,G,,Amt_A) any more. !! Note: This is a programming change for any programs currently producing F460 filiings that use Schedule G. 5. Pages 27 & 28 - SMRY: To remain consistent with the requirement that SMRY.03.Line_Item is a Rx Required field, a 0 (zero) should be coded in position #3 of all F460 B3 and H3 SMRY records and F401B-1 SMRY records. SMRY,B3,0,Amt_A SMRY,H3,0,Amt_A SMRY,401B-1,0,Amt_A Also on pages 58-59 - SMRY record examples for Lobyist F625, F635 & F645: SMRY,F625P2,0,Amt_A (Code 0 on these SMRY records even though the SMRY,F625P3B,0,Amt_A form itself has no any identifying line #.) SMRY,F635P3B,0,Amt_A SMRY,F635P3C,0,Amt_A SMRY,F635P3E,0,Amt_A SMRY,F645P2A,0,Amt_A SMRY,F645P2C,0,Amt_A !! Note: This is a programming change for any programs currently producing F460 filings that create B3 and H3 schedules, and/or F401 and/or Lobbyist (F625, F635, F645) filings. 6. Page 29, Cum_YTD and Cum_Oth are no longer "Required" fields on Schedule C since a common filing practice is to carry Cumulative Totals on Schedule A. (Note: if the filer leaves Cum_YTD & Cum_Oth null, blank, or zero, then a Memo stating "See Schedule A for cumulative" should coded on a TEXT record. Also, there should indeed be an entry on Schedule A for the contributing entity that carries the Cum_YTD &/or Cum_Oth aggregates.) Page 20 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 7. Pages 36-37, LOAN B2 and H2, Fields LOAN.17.Loan_Amt1 (Repaid/Forgiven Amt) and LOAN.19.Loan_Amt3 (Interest Paid) - at least one of the fields is required, but not necessarily both. (Previously, document stated that both amount fields were always required for B2 and H2 schedules.) 8. Use of Cmte_ID and/or Treasurer Name/Address info clarified on RCPT, EXPN, DEBT & LOAN schedules. Cmte_ID is required when the entity is a 'COM' or 'RCP' (codes for Recipient Committee) - EXCEPT for EXPN F460 Schedule D, and F460 LOAN Schedules other than B1; WHERE Cmte_ID is NOT required. In keeping with the older forms, Treasurer Name/Address will be accepted in lieu of a Cmte_ID number. 9. Revisions are being made to F450, F461 and F465. F450 Part IV is now F450 Part 5. F461 Part V is now F461 Part 5. F465 Part IV is now F465 Part 3. Accordingly, Form_Type for F450P4 is changed to F450P5 and F465P4 is changed to F465P3. F461P5 remains the same. References to these Form_types are found on Pages 16-17 and 31-32 of the CAL format document. !! Note: This change has a significant impact on programming for the F450 & F465 reports, because Form_Type values have changed. 10 Page 40 - S496 Renumbered fields from 1-3 & 5-9 to be 1-8. 11. Page 46 - Removed "CAO - Candidate/Office-holder" from list of acceptable Entity_Cd values of a F410 CVR (Cover Page) because F410 Statement of Organization are for Recipient Committees only. The Entity can never be a Candidate/Officeholder. 12. Page 49 - CVR2 layout for forms F400 & F410 didn't have a place to store Page 21 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 "Other Principal Officer" Title/Position. Inserted field CVR2.20.POF_Title to carry this information. !! Note: This 'inserted' field will require modifications to any programming already done to create/use CAL filings for the F400 & F410 reports. 13. Entity_Cd 'LBY' (Lobbyist) is used on F606 reports as well as F607 reports. Document corrected on pages 8 and 67 to reflect this fact. 14. CVR.40.Firm_Name (page 69) in Section 4 Lobbyist Statements is used on F606 as well as F607 reports. Documentation corrected to show this. 15. Page 4 [HDR] - HDR.04.CAL_Ver is 1.04. 16. SMRY record descriptions on pages 27-28 & 58-59: Summary total (SMRY) records are only necessary when there is a non-zero dollar total to be reported. SMRY records may be coded with a value of '0' or '0.00' or with a null amount which is understood to be zero. SMRY records are not required for each line of a Summary Page as was implied by prior releases of the CAL format. 17. Page 47 - CVR.56.GPC_Descr used for F410 "Provide Brief Description of Acitvity" (of a "General Purpose Committee") was defined as having a Max Length of 90 characters. This is increased to 300 characters. This more closely approximates the size of the white space available for use on printed the F410 Cover Page 2. 18. Page 65 of Section 4 - footnote stating that 604, 605 & 606 are not "stand-alone" filings corrected to state that only the 605 Amendment to Registration is not filed as a stand-alone filing. 19. Added text to Overview page 5 stating: "Each kind of record must be coded with the exact number of field delimiters necessary to define the number of fields as specified by this document. The number of fields required on CVR and CVR2 records depends on the Form_Type. Page 22 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 All other records have field counts which vary with the value of Rec_Type." 20. Page 19 - Fields CVR.42.Contorl_YN and CVR.43.Sponsor_YN are not used on the new F465 form. (Controlled/Sponsored Committee boxes now only appear on the F450 and F460 filings.) 21. Page 16 now shows that CVR2 records may be included within F450 filings. They are used to carry the Assistant Treasurer from Part 3 of the newly revised 450 form. Also, pages 21 (CVR) and 23-24 (CVR2) have notations showing that CVR2 records are used with F450 filings to carry any Assistant Treasurer(s) (ATR). 22. Page 28 now indicates correctly that there are 15 SMRY records for 450 filings (using the new FPPC form) rather than the old 450's 14 SMRY recs. !! Note: The new 450 form's 15 Summary Page totals have different meanings and are calcualted differently than the old 450's 14 Summary Page totals. 23. Page 48 - add "ATR - Assistant Treasurer" value to CVR2.04.Entity_Cd so there is a value that corresponds when CVR2.09.Item_Cd='ATR' is coded on F410 filings. 24. Page 49 - Clarified when Candiate information and when Ballot Measure information is conditionally required on CVR2 records that are used to carry F410 "Primarily Formed Committee" information. Previous CAL documents were ambiguous about fact that EITHER Candidate OR Ballot Measure are conditonally required, (but not both at the same time). 25. Page 40 - add a Date_Thru to the S496 layout so that a date range can be specified. This is similar to the capability that already exists for expressing a date range on the S497 layout. !! Note: This 'inserted' field will require modifications to any programming already done to create/use CAL filings for the F496 reprts. Page 23 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 1.03.01 and CAL format 1.03.00 1. Page 24 [CVR2] - CVR2.04.Entity_Cd has an additional value for ATR - Assistant Treasurer. 2. Page 25 [CVR3] - CVR3.04.Entity_Cd has an additional value for ATR - Assistant Treasurer. 3. Page 29 [RCPT] - RCPT.24.Cmte_ID is Conditionally Required (C) {changed from R}. Page 32 [EXPN] - EXPN.25.Cmte_ID is Conditionally Required (C) {changed from Rx}. Page 34 [DEBT] - DEBT.20.Cmte_ID is Conditionally Required (C) {changed from Rx}. Page 38 [LOAN] - LOAN.25.Cmte_ID is Conditionally Required (C) {changed from O}. Page 43 [S498] - S498.05.Cmte_ID is Conditionally Required (C) {changed from O}. 4. Page 4 [HDR] - HDR.04.CAL_Ver is 1.03 (not 1.01 as previously) (also field HDR.07.HDRcomment is now marked as an Optional field) Page 24 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 1.03.00 and CAL format 1.02.00 1. 1st paragraph of page 12 Amendment Processing changed to read: "... If a given itemization appears in more than one schedule (e.g. a forgiven loan is reported on both Schedule A and Schedule B) then the Tran_ID associated with that itemization can either have the same value or different values for that single item among the various schedules." 2. Renumber (correctly) page 44 [S498] #32.Memo_Code and #33.Memo_RefNo. 3. CVR3.06.Sig_Loc (on page 25) is an (O)ptional field - no longer (R)equired. (The FPPC is in the process of removing all city & state fields from the Verification sections of all 4xx "cover page" forms.) 4. Intermidiary name & address fields are added to the LOAN layout (page 38) following LOAN.34.Tres_ZIP4 field. These are similar to the fields already defined on the RCPT layout (page 30) RCPT.34.Intr_NamL through RCPT.42.Intr_ZIP4. They provide a place for coding a 3rd party intermidiary who pays back all or part of a loan. 5. Revisions on pages 8 [Entity Codes], 21 [CVR], and 24 [CVR2]. Extensive modification to layout of CVR2 for the 460 report to allow coding of F460 Part 4a (top) and Part 4b (bottom) and F460 Parts 5a (top) and Part 5b (bottom). CVR2 layout for the 460 report includes a new field called CVR2.05.F460_Part that is used to relate the CVR2 information back to the appropriate location on the printed 460 form. Also added CVR2.30.Bal_Name, CVR2.31.Bal_Num & CVR2.32.Bal_Juris to carry additional Part 5a Ballot Measure information. Page 25 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 1.02.00 and CAL format 1.01.00 1. The Maximum Length of TEXT.04.Text4000 field is 4000 characters. (This is reduced from 4096 because of a limitation of the Oracle database used by the CLAIMS system. 2. Maximum lengths of #02.Form_Type on six (6) various record layout descriptions is increased to a Max Len of 7. S401.02.Form_Type Maximum Length is 7 (seven) - see page 39. LEXP.02.Form_Type Maximum Length is 7 (seven) - see page 60. LPAY.02.Form_Type Maximum Length is 7 (seven) - see page 61. LOTH.02.Form_Type Maximum Length is 7 (seven) - see page 62. LCCM.02.Form_Type Maximum Length is 7 (seven) - see page 63. LEMP.02.Form_Type Maximum Length is 7 (seven) - see page 72. 3. Expense Codes on page 12 revised: MON is defined as specifically meaning Monetary IKD is defined as specifically meaning Non-monetary/In-kind 4. Page 12 for Amendments has been revised. Usage of Tran_ID explained. RptNo_Made & RptNo_Void fields are removed from all schedules. Tran_ID added to definitions for CVR2 and CVR3 layouts. 5. Moved 3 text fields for Amendment Explanation to the fixed portion of the CVR layout from the F460's variable portion. 46 C AmendExp_1 100 Amendment Explanation line 1 (Req if Report_Num>000) 47 O AmendExp_2 100 Amendment Explanation line 2 48 O AmendExp_3 100 Amendment Explanation line 3 6. XRef_SchNm and XRef_Match fields added to RCPT, EXPN, DEBT, LOAN layouts. 7. Page 14 added to describe BakRefTID. Schedules that can have child records Page 26 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 have a new BakRef_TID field are: Disclosure Report Report/Schedule --------------------------- ------------------------------------------------401 Slate Mailer Camp Stmt: 401/B 460 Campaign Statement: 460/A; 460/B1; 460/B2; 460/C; 460/E; 460/F; 460/G Lobbyist Activity Expenses: 615/P1; 625/P3-A; 635/P3-C; 645/P2 Lobbyist Payments Received: 625/P2 Lobbyist Payments Made: 635/P3-B Lobbyist Pol Contribs Made: 615/P2; 625/P4-B; 635/P4-B; 645/P3-B Disclosure Report CAL Record Type --------------------------- ---------------------401 Slate Mailer Camp Stmt: S401 460 Campaign Statement: RCPT; EXPN; DEBT; LOAN Lobbyist Activity Expenses: LEXP Lobbyist Payments Received: LPAY Lobbyist Payments Made: LPAY Lobbyist Pol Contribs Made: LCCM CAL Record Types to which BakRefTID has been added -------------------------------------------------RCPT (page 30), EXPN (page 32), DEBT (page 34), LOAN (page 38), S401 (page 39), LEXP (page 60), LPAY (page 61), LCCM (page 63) 8. EXPN.23.On_G_YN renamed and moved to EXPN.54.G_From_E_F. This field is used for Schedule G Sub-vendor "child" records to indicate whether the "parent" record is located on Schedul E or Schedule F. Page 27 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 1.01.00 and CAL format 1.00 1. Document naming convention includes both a format release number (now 1.01) and a document revision number for that release (now 1.01.00). At this stage of development, it is likely that the document will be revised with corrections, clarifications, etc. while the format itself will remain unchanged. (However, there are minor format revisions between Release 1.00 and this release 1.01 this time. Sorry.) 2. Pageing characters put back into text document. 3. Spelling & typo on Page 18 corrected: Disclosure & F450 are now correct. (They were Diclosure & 4F50 in the previous document). 4. Comment on page 32 [EXPN] clarifies that fields #38-51 are used on the F460/Sched-D, the F450/Part-4, and on the F461/Part-5. 5. CAL files no longer need a pre-pended Header ... End Header section. A Check-Sum routine will provide the necessary verification that the entire content of the electronic filing is received. Header Record Tallys are not needed. 6. Entity Codes have been defined (and refined) for the Lobbyist reports. LBY - Lobbyist (an individual) (F607, F615, F645) FRM - Lobbying Firm (F601, F602, F603, F625, F645) LEM - Lobbying Employer (F601, F602, F603, F635, F645) LCO - Lobbying Coalition (F601, F602, F603, F635, F645) IND - Person (spending > $5000) (F645) Please note that references to BUS entity have been changed to FRM to more aptly refer to Lobbing Firm. Entity Codes are now required for the Lobbyist reports. 7. Added note to description of CVR.12.Late_RptNo on page 18 indicating that it is a user assigned number in either (or both) Report No. & Page 28 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Amended Report No. fields on 496 & 497 forms. Amendments to F496 & F497 filings are not assigned new CVR.12.Late_RptNo, but like all other CLAIMS reports, CVR.09.Report_Num is incremented for each amending report. 8. Added Candidate Name fields to the S497 layout described on page 41. Fields following Cand_Nam* fields are renumbered. 24 C 25 C 26 O 27 O Cand_NamL 200 Candidate's Last name Cand_NamF 45 Candidate's First name Cand_NamT 10 Candidate's Prefix or Title Cand_NamS 10 Candidate's Suffix 9. S496.07.Exp_Date added to S496 layout on page 40. This field replaces S496.07.Aggregate which is not used on the 496 form. 10. Added a note to clarify that "Only one F498-R {Late Payment(s) Received} record is used per F498 filing. (see S498 layout on page 43) 11. The "Influence State Legislature" Yes/No, check-boxs on the F603, Part II are not associated with the individually listed state agencies. The CVR2.08.Influen_YN field (see page 70) is removed from the CVR2 layout and placed in the CVR layout as CVR.59.Influen_YN (see page 69). 12. Cvr.40.Firm_Name is added to the F607 variable area. It is the same definition as used in the F604 variable area (see page 69). 13. Added 3 text fields for Amendment Explanation to the CVR for the 460 form. 63 C AmendExp_1 100 Amendment Explanation line 1 (Req if Report_Num>000) 64 O AmendExp_2 100 Amendment Explanation line 2 65 O AmendExp_3 100 Amendment Explanation line 3 14. Added 5 Mailing Address fields to the F460's variable portion of the CVR layout description found on page 19. Renumbered fields that follow. These Mailing Address fields are for the new Committee Information portion of Page 29 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 the 460 Cover page. 24 O 25 O 26 C 27 C 28 C Mail_Adr1 55 Mailing Address of Filer (if different) Mail_Adr2 55 " " " " Mail_City 30 " " " " Mail_ST 2 " " " " Mail_ZIP4 10 " " " " 15. Added Year of Election (in CCYY format) for revised 410 form. This field is added as #30 to the CVR2 layout for the F410 described on page 49. 30 C Year_Elect 4 Year of Election (format ccyy) (if Item_Cd = CTL) Page 30 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 Differences between CAL format 1.00 and CA_ERF6 1. Monikers are placed in the First Name field and are identified with surrounding single-quote (') characters. Note: embedded double-quote characters are not allowed in CAL text fields. 2. Filer_ID is expanded from 7 to 9 characters. 3. Field #2 of the CVR3 layout (Form_Type) now correctly indicates that the CVR3 record type can be used with F425 and F465 filings (in addition to those that were already listed in CA_ERF6). 4. Revisions throughout CAL_r100 made to change former references to F419, F420, and F490 now changed to refer to F460. These revisions result in changes to the "Rules" for SMRY records and substantial change in layout to the CVR2 layout for the F460 and F410. 5. Revisions made throughout CAL_r100 to accommodate X.12 EDI implementation. 6. Statement Type on the new 460: the Amendment box should stand alone. An amendment is not a type of statement, but is a complete report that amends an original 'PE', 'QT', 'SA', 'SY', 'TS' and 'SE' report. This should be noted in the CAL_r100. 7. New 3-character expense codes defined for the Expn_Code on EXPN layout. 8. COM is added as an Entity_Cd option on committee disclosure schedules (along with the original RCP, IND, & OTH codes). 9. F497P1 = F497-P1 / Late Contrib Rcvd F497P2 = F497-P2 / Late Contrib Made removed from Form_Types that are coded using the RCPT record type. They are handled BY the S497 record type. F496 = F496 / Independent Expenditures Made removed from Form_Type that is coded using the EXPN record type. It is handled by the S496 record type. 10. F460's schedule F is more like FEC's Schedule D. A new DEBT layout is cloned from the EXPN layout. Page 31 of 32 Document Id: CAL errata 2.01 Date: 10/26/2001 11. Removed F461 Schedules (Parts VI and VII) because FPPC removed those sections from the new 461 form. Delete: LOAN F461P6 "Loan Received (Forgiven & Guaranteed) (like a B1)" Delete: LOAN F461P7 "Loan - Repayment Received (something like an H2)" 12. Added CVR.#12.Late_RptNo defined as "Rpt# of a Late Ctrib/Payment Rpt" for use on F496, F497 & F498 Late Contrib/Expense/Payment reports. This is an identifying sequence number assigned by the filer/user & is not the same as the Report/Amendment number CVR.#09.Report_Num. 13. Deleted #26.Prom_Amt from RCVD record layout because Schedule D Promises Received is no longer in the 460 filing. 14. New TEXT record type allows for 4096 byte memos to be associated with filing cover pages, schedules and with individual itemizations within schedules. 15. Tran_ID maximum length is 20 characters. 16. Aggregate, Cum_Amt1, and Cum_Amt2 are consolidated into CumAmt_YTD and CumAmt_Oth. 17. Descriptive Text fields for Jurisdiction and Office are now standardized at 40 characters. 18. City is standardized throughout document at 30 characters maximum. 19. Street address lines are increased from 45 characters to a maximum of 55 characters. Page 32 of 32