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Home My WebLink AboutFPPC Re-Certification of Electronic Filing System - Vendor 2910 F 1. 32 -7 At FAIR POLITICAL PRACTICES COMMISSION CITY OF " F 1102 Q Street - Suite 3000 - Sacramento, CA 95811 TINGTON `''ij, (916) 322-5660 - Fax (916) 322-0886 February 7, 2018 Robin Estanislau City of Huntington 200OMain Street Huntington Beach, CA92648 Re: Re-Certification of Electronic Filing System for Statements of Economic Interests System Dear Ms. Estanislau: Congratulations! We are pleased to inform you that your agency's system for electronic filing of the Statements of Economic Interests (Form 700) has been re-certified. Effective January 1, 2018, for Form 700 statements that are filed electronically and required to be forwarded to the FPPC, your agency's systems are required to allow electronic data exchange with the FPPC electronic system. As a reminder,pursuant to Regulation 18756,each agency is required to update its system annually to conform with Commission-approved changes to the Form 700. In addition, if a significant change of product or system architecture takes place or five years have passed since the initial or most recent Commission certification, an agency must request re-certification. Please note that if your agency's program includes the conflict of interest disclosure categories, the Commission does not approve the accuracy of such information. The conflict of interest code categories and the assignments are the sole responsibility of the agency. If you have any questions, please feel free to contact us at 916-322-566o. Sincerely, 4,1efa on Larry Crabtree Lo s mi A stration &Technology Div. Chief Information Officer City Of Huntington Beach 2000 Main Street ® Huntington Beach, CA 92648 (714) 536-5227 ® www.huntingtonbeachca.gov FFBS17,rz1909.P0 Office of the City Clerk ® Robin Estanislau, City Clerk February 5, 2018 Fair Political Practices Commission 1102 Q Street, Ste. 3000 Sacramento CA 95811 Re: Re-Certification of Electronic Filing System for Statements of Economic Interests To Whom It May Concern, The City of Huntington Beach wishes to continue with our pre-approved electronic filing vendor, NetFile. Per your request, please find attached for review an Application to Obtain Certification of Electronic Filing System for Processing a Statement of Interests, Form 700, and Agency E-Filing Information form. I would like to request that you update your records to reflect my name as City Clerk, as I was elected to the position in November 2016. If you require additional information, please contact me directly. Sincerely, Robin Estanislau, CIVIC City Clerk Att. (2) Sister Cities: Anjo, Japan ® Waitakere, New Zealand STATE OF CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION 1102 Q Street•Suite 3000•Sacramento,CA 95811 (916)322-5660•Fax(916)322-0886 Application to Obtain Certification of Electronic Filing System for Processing a Statement of Interests, Form 700 o 0 0 0 ; Name of Agency: City of Huntington Beach Check if this is your initial request for certification or if this is for re-certification ❑ Initial ❑✓ Re-Certification Agency (Check One) ❑ State ❑ County ❑✓ City ❑ Special District ❑ Other Business Street Address City 2000 Main Street I Huntington Beach State Zip Code E-Mail Telephone Number CA 92648 Robin.Estanislau@surfcity-hb.org 714-536-5405 Name (Last, First) Title Robin Estanislau City Clerk E-Mail Telephone Number Q ^ Robin Estanislau@surfcity-hb.org 714-536-5405 Vendor Name Contact Name (Last, First) Title NetFile, Inc. Diebert, Tom Vice President E-Mail Telephone Number diebert@netfile.com (209) 742-4100 a.) Has the vendor or service provider been previously approved by the FPPC? Yes ❑✓ No ❑ (If response is (No), please complete section 4) If response was yes, has the vendor or service provider system been modified which changes the previously approved system specifications or network diagram? Yes ❑ No ❑✓ (If response Is (Yes), please complete section 4) The agency seeking approval and certification of an electronic filing system for statements of economic interests shall submit the following to the Commission: a. A description of the electronic filing system that the agency proposes to use with documentation showing compliance with the technical requirements of Section 87500.2, and this regulation will include the following: i. system overview ii. Specifications iii. network diagrams These documents shall be submitted as attachments to this application. An agency's proposed electronic filing system agrees to meet the following requirements: 1) The statement of economic interests filed electronically shall include an electronic transmission that is submitted under penalty of perjury and that conforms to Yes ❑✓ No❑ subdivision (b) of Section 1633.11 of the Civil Code. 1 FPPC System Submission Form(Jan/2018) FPPC Advice:systemsubmissions@fppc.ca.gov(866/275-3772) www.fppc.ca.gov STATE OF CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION 1102 Q Street•Suite 3000•Sacramento,CA 95811 (916)322-5660•Fax(916)322-0886 2) The agency's filing officer shall issue to a person who electronically files his or her statement of economic interests or amendment an electronic confirmation that notifies the filer that his or her statement of economic interests or amendment was received. Yes ✓❑ No ❑ The confirmation shall include the date and the time that the statement of economic interests or amendment was received by the filing officer and the method by which the filer may view and print the data received by the filing officer. 3) A copy retained by the filer of a statement of economic interests or amendment that was electronically filed and the confirmation issued pursuant to subparagraph (A) that shows that the filer timely filed his or her statement of economic interests or Yes❑✓ No ❑ amendment shall create a rebuttable presumption that the filer timely filed his or her statement of economic interests or amendment. 4) The agency shall utilize an electronic filing system that includes layered security to ensure data integrity. Yes❑✓ No ❑ 5) The system shall have the capability to uniquely identify a filer electronically when he Yes No ❑ or she accesses the electronic filing system. 6) The operational process for the system shall include industry best practices to ensure that the security and integrity of the data and information contained in the statement of Yes ✓❑ No ❑ economic interests are not jeopardized or compromised. 7) The agency shall provide the public with a copy of an official's statement of economic interests upon request, in accordance with Section 81008. The copy of the electronically filed statement of economic interests shall be identical to the statement Yes ❑✓ No ❑ of economic interests published by the Commission and shall include the date that the statement was filed. 8) The agency shall have the ability to redact information on a statement of economic interests prior to posting the statement of economic interests on the Internet. a. 18313.6. Online Posting: Redacting Personal Information. (a)At the request of an elected officer, Commission Staff shall redact the following information from the official's statement of economic interest for purposes of the online posting under Regulation 18313.5(b) if the elected officer has a reasonable privacy concern related to an individual's address, or a family member's name or other personally identifiable information: i. The address of the individual. Yes ✓❑ No ❑ ii. The name of the family member. iii. The address of an entity at which the family member is employed. iv. The name of any entity if the name of the entity would reveal the name of the family member or the address at which the family member lives or is employed. 2 FPPC System Submission Form(Jan/2018) FPPC Advice:systemsubmissions@fppc.ca.gov(866/275-3772) www.fppc.ca.gov STATE OF CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION 1102 Q Street•Suite 3000•Sacramento,CA 95811 (916)322-5660•Fax(916)322-0886 9) The agency agrees to audits of the approved and certified electronic filing system to evaluate its performance and compliance with the requirements of this section. Yes No ❑ 10) To permit compatibility among systems, an agency's electronic filing system for statements of economic interests under Section 87500.2 shall accept a filing using a system that permits data to be exported to a common file format such as comma Yes❑✓ No ❑ separated values (CSV) or Extensible Markup Language (XML), allowing the data to be easily retrieved on a variety of spreadsheet and database applications. 11) In addition to the requirements set forth in Section 87500.2, an agency's electronic filing system for statements of economic interests shall include the necessary industry best practices to ensure that the integrity of the data and information is not jeopardized or compromised by using technology such as: a. secured authentication b. complex password requirements c. secure sockets layer (SSL) d. Web encryption e. enterprise-level network firewalls Yes ❑✓ No ❑ f. database encryption g. password encryption h. system hardening procedures i. backup and restore process j. disaster recovery capability k. the capability to completely redact or omit information from an Internet posting of the form. The Fair Political Practices Commission is the only agency with authority under the Political Reform Act to adopt the statement of economic interests and its accompanying instructions. Therefore, the agency identified above agrees that it will not make any changes, edits, or redactions to the Form 700 and informational materials approved by the FPPC. The agency understands that any relevant supplemental information or training the agency will provide the filers will be subject to FPPC review. The agency agrees that any additional reporting required pursuant to the agency's rules or regulations will be in a clearly identified separate document of form. Failure to comply may result in revocation of the electronic filing system. Initials of signator The undersigned agency head or designated agent certifies that he/she has read the conditions for certification and agrees to follow all applicable procedures. The submission conditions and FPPC Regulation 18756 are available on the FPPC website at www.fppc.ca.gov. Robin Estanislau Signature rinted Name Signed on (month,day,year) 3 FPPC System Submission Form (Jan/2018) FPPC Advice:systemsubmissions@fppc.ca.gov(866/275-3772) www.fppc.ca.gov STATE OF CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION 1102 Q Street•Suite 3000•Sacramento,CA 95811 (916)322-5660 9 Fax(916)322-0886 - o • A certification fee of$1,000 payable to the Emergency filings— In the event that the Fair Political Practices Commission. electronic system becomes inoperable and unable to receive electronic filings, the agency • The Commission may at its discretion, shall, within 24 hours, contact the FPPC. charge a $1,000 re-certification fee The FPPC will provide an emergency plan depending on the complexity of the system that provides for the most timely filing of review. statements. The emergency plan may require paper submissions or other fi ling options in order to meet the Act's requirements. • The agency's contact person identified on The agency is required to maintain adherence the application on will be the FPPC's point of to FPPC requirements following certification contact for any issues relating to the Form 700 and must notify the FPPC of any proposed and accompanying instructions. The vendor's changes to the system that would impact contact person will be the FPPC's point of criteria outlined in the legislation or regulation. contact for information on technology questions. • These terms and conditions Following system approval all agencies will be are subject to change. responsible for ensuring all electronic SEI submissions must have an electronic date stamp and the System Acceptance Number (SAN) displayed at the top of the first page of the Form 700. The SAN will be provided to the agency at the time of system approval and will be in the following format: (000000000-AAA-0000) • All agencies must comply with Government Any additional pages or forms Code Section 87500.2 and that are not part of the standard FPPC Regulation 18756. Form 700 generated by the FPPC will be clearly identified as not being part of the form 700. • An agency shall not use the electronic An agency that submits a re-certification program until certification is approved. request must provide information related to any changes since the last FPPC approval. Important Note: Effective January 1, 2018, for Form 700 statements that are filed electronically and required to be forwarded to the FPPC, your agency's systems are required to allow electronic data transfer with the FPPC electronic system as part of this approval requirement. 4 FPPC System Submission Form (Jan/2018) FPPC Advice:systemsubmissions@fppc.ca.gov(866/275-3772) www.fppc.ca.gov STATE OF CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION 1102 Q Street - Suite 3000 - Sacramento, CA 95811 (916) 322-566o - Fax (916) 322-o886 Agency E-Filing Information Agency Name: City of Huntington Beach Date: February 5, 2018 General Information Type of contract— Monthly or annual? Annual Annual/monthly cost $20,000 For the approved agency above, how # Comments many Filing officials 2 City Clerk Filing Official; Asst. City Clerk filer contact Employees 986 FTE headcount obtained from FY 2017/2018 budget Form 700 filers 239 17-87200 Filers; 222-Designated Code Filers Please specify type of X Code Filers x 87200 filers who will use Agency ❑ Judges/Court Commissioners system (Courts only) E-Filing Information Yes No Comments Is e-filing required? x We will accept paper filings if circumstances keep designated filer from using NetFile app Does your agency post 700s to its website? ❑ x Council preference Is filing officer training NetFile documentation for app navigation; provided? X ❑ FPPC training opportunities and online notification of legislative updates Is filer training provided? x ❑ NetFile Online Tutorials; staff assistance; NetFile tech support E-Filing Information How do you terminate a filer in your system If unsuccessful in obtaining a Leaving Office without a leaving office statement? Statement, City Clerk database record documents attempts to obtain, and NetFile account terminated How is the conflict of interest code presented Link to .pdf document on filer landing/home with the e-filing system? page Revised 1/24/2018 is � F.rN pt m 0 FAIR POLITICAL PRACTICES COMMISSION 1102 Q Street • Suite 3000 - Sacramento, CA 95811 (916) 322-5660 • Fax (916) 322-0886 January 30, 2018 Joan Flynn City Clerk, City of Huntington Beach 200o Main Street Huntington Beach, CA 92648 Re: Re-Certification of Electronic Filing System for Statements of Economic Interests Dear Ms. Flynn: It has been five (5) years since your agency has been approved for electronic filing of the Statements of Economic Interests (Form 700). If you chose to continue with your pre-approved vendor electronic filing,please re-submit the "Application to Obtain Certification of Electronic Filing System for Processing a Statement of Interests, Form 700" and an updated Agency Form within 3o days. The Commission may at its discretion, charge a $1000, re-certification fee depending on the complexity of the system review. If you have any questions, please feel free to contact us at 916-322-5660. jSSincerly, Ho Larry Crabtree dm nistr tion &Technology Div. Chief Information Officer AGENCY E-FILING INFORMATION QUESTIONNAIRE Agency E-Filing Information Questionnaire The FPPC requires the agency to complete a questionnaire. Most of the questionnaire is self- explanatory except for the following questions: • Filing officials - These are members of the clerk's staff. • Employees - Total number of employees/members of your organization. • Form 700 filers - The number of employees/members who are required to file the Form 700. • Employees that work with Form 700 (note whether part time or full time) - These are department-level filing officers (liaisons, coordinators) who are not directly employed by the clerk's office. • Does your agency post 700s to its website - NetFile provides your agency with a Public Portal for displaying redacted Form 700 forms. • Is filing officer training provided? - Yes, NetFile provides filing officer training. • Is filer training provided? - Yes, NetFile provides filer training. • Terminating a filer in your system without a leaving office statement - NetFile's SEI system provides the ability to manually terminate a filer via the termination control on their Filer Dashboard in the Admin system. • How is the conflict of interest code presented with the e-filing system? - When the filer logs in to the system, a link to download the COI code document appears on the home page of the filer application along with the categories that the filer is assigned to. The FPPC assigns a System Acceptance Number (SAN) and a-mails the agency an approval letter once they approve the system. The FPPC usually copies NetFile on the approval letter e-mail. If not, the agency should forward the e-mail to NetFile ASAP as we need to add the SAN number to their SEI system. Once the SAN number has been added NetFile will create a fake account in their live system and generate a sample 700 that includes their SAN number and the date stamp (per the request from the FPPC that comes with the approval letter) and NetFile will send that 700 to the FPPC and copy the agency on it. NetFile will delete the fake filing and account. PAGE - 1