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HomeMy WebLinkAboutAGMT - NetFile/Tom Diebert (SEI 700 & Campaign Statements - Electronic Filing)2707-A Aurora Ct NetFile Mariposa, CA 95338 `�� Phone (209) 742-4100 SERVICE AGREEMENT USERNAME USERNAME-BILLTO City of Seal Beach SAME ADDRESS ADDRESS ' 211 Eighth Street $5,000/year ongoing OTY STATE ZIP CITY STATE ZIP . Seal Beach CA 90740 -Filer application for filers to create and file filings - Includes Ethics & Sexual Harassment Training Tracking -Public viewing portal • PRIMARYCONTACT MINE 11 APCONTACT Pop Gloria Harper (562) 431-2527 EMAIL FAX APEMAIL AP PHONE # gharper@sealbeachca.gov System Cost per System, Form 700 E -Filing & Admin System (hosted) and City can choose to have quarterly billing of $1,250/qtr Campaign E -Filing & Admin System (hosted) or one annual bill Total for both Systems $5,000/year ongoing Pricing covers 100 active Form 700 filers Cost above is guarantee for up to 5 years features of NetFile Systems -Hosted platform provided by NetFile _ 0G,( - Kiosk mode to view unredacted filings in User's office -24/7/365 access for filers and public to use - Unlimited support and training to User -Admin application to manage filers and filings - E-mail based support to filers -Filer application for filers to create and file filings - Includes Ethics & Sexual Harassment Training Tracking -Public viewing portal - NetFile pays for initial FPPC Paperless application fee. 0 USER AGREES TO PAY NETFILE FOR SERVICES IDENTIFIED IN ACCORDANCE WITH THE TERMS AND CONDITIONS OF THIS AGREEMENT. AGREEMENT TERM IS STARTING ONTHE DATE IDENTIFIED ABOVE. YOU ACKNOWLEDGE RECEIPT AND AGREE TO THE TERMS AND CON DIT IO NS OF THIS A G R E E M E N T AND ACKNOWLEDGE THAT THE AGREEMENT IS NOT BINDING ON NETFILE UNTIL SIGNED BY BOTH PARTIES. COC" Y NetFile, Inc. AUTHORIZED N R AUTHORIZEDSIGNAIRE 0/1k D • PRINT PRINTNAME 0G,( Tom Diebert TTTU eTnu Vice President & C00 DATE DATE 11/15/2022 Service Agreement Terms and Conditions 1. This Agreement provides to User a hosted electronic filing and administration system developed and maintained by NetFile. The system permits filers authorized by User to electronically file their respective FPPC forms. The FPPC forms that are electronically filed are dependent upon which system(s) that User agrees to pay for. If the User agrees to pay for the Form 700 E -Filing and Administration System, their filers will be able to create and electronically file FPPC Form 700 statements. If the User agrees to pay for the Campaign E -Filing and Administration System, their filers will be able to create and electronically file their Campaign Statements. Both systems are covered by NetFlWs unlimited support and training policy. All NetFile systems come with a public viewing portal that automatically displays filings online in redacted form. The Form 700 E -filing system meets the requirements of AB 2062 for paperless filing in CA. The Campaign E -Filing system meets the requirements of A62452 for paperless filing in CA. Both systems allow for paper filed documents to be stored as an unredacted document and uploaded (when redacted by User) to view on the public portal. NetFile pays for User's FPPC application fees. 2. It is the responsibility of NetFile to securely store User data and maintain backups using industry best practices. All data created by User or User's filers is the property of the User. All applications and their source code are the property of NetFile. It is the responsibility of NetFile to provide secure and safe system access for both User and the User's filers using industry best practices. NetFile s systems are guaranteed to have 99% uptime. Any planned maintenance of NetFile systems will be communicated at least a week in advance of the maintenance occurring. 3. NetFile warrants and represents that it is the owner of or has acquired the rights to use (including derivative rights) the software, technology or otherwise that is required to provide all related materials and services set forth in this Service Agreement, without violating any rights of any third party, and there is currently no actual or threatened suit by any such third party based on an alleged violation of such third -party rights by NetFile. 4. NetFile further warrants that (1) the NetFile servers will be free of any Harmful Code (as defined below), and (ii) NetFile will not interfere with or disrupt User or the User's filers use of the. System. The term "Harmful Code" means any software code with the ability to damage, interfere with, or adversely affect computer programs, data files, or hardware without the consent or intent of the computer user.. This definition includes, but is not limited to, self -replacing and self -propagating programming instructions commonly called "viruses, "Trojan horses" and "worms." NetFile agrees to implement reasonable procedures adequate to prevent any software, link or code provided to User hereunder from being contaminated with Harmful Code. If NetFile learns of or suspects the existence of any Harmful Code, NetFile will immediately notify User and make every effort to remove the Harmful Code. S. NetFile shall not discriminate on the basis of race, gender, religion, national origin, ethnicity, sexual orientation, age or disability in the solicitation, selection, hiring, or treatment of subcontractors, vendors or suppliers. NetFile shall provide equal opportunity for subcontractors to participate in subcontracting opportunities. NetFile understands and agrees that violation of this clause shall be considered a material breach of the Service Agreement and may result in Service Agreement termination. 6. Subject to the limitations set forth in Section 7 below, NetFile agrees to indemnify, protect, defend, and hold harmless the User, and its employees and filers from and against any claim, injury, liability, loss, cost, and/or expense or damage, including all costs rand reasonable attorney's fees in providing a defense to any claim, arising from NetFile's negligent, reckless or wrongful acts, errors, or omissions with respect to or in any way connected with the performance of the Services by NetFile, its agents, subcontractors and/or assigns under this Service Agreement. 7. The maximum liability to the User by NetFile and its licensors, if any, under this Service Agreement, or arising out of any claim by the User related to NetFile's services, products, equipment or software for direct damages, whether in contract, tort or otherwise, shall be limited to the total amount of fees received during the last 12 months by NetFile from the User hereunder up to the time the cause of action giving rise to such liability occurred. In no event shall NetFile or its licensors be liable to the User for any indirect, incidental, consequential, or special damages related to the use of NetFile's services, products, equipment or software or NetFile's failure to perform its obligations under this agreement, even if advised of the possibility of such damages, regardless of whether NetFile or its licensors are negligent. Provided, however, that for any peril or exposure insured against under the insurance required, the limits of liability to the User by NetFile shall not be less than the amount of applicable, valid, and collectible insurance set forth in this Agreement. B. During the term of this Service Agreement, NetFile shall purchase and maintain 'in full force and effect, at no cost to User insurance policies with respect to employees assigned to the performance of services under this Service Agreement with coverage amounts as follows: Commercial General Liability Insurance of $2,000,000 each occurrence, $4,000,000 general aggregate, $1,000,000 personal injury, Workers' Compensation Insurance of ($1,000,000) policy limit Illness/Injury by disease, and ($1,000,000) for each Accident/Bodily Injury. 9. NetFile and its employees, agents and representatives will not, without the prior written consent of User in each instance, use in advertising, publicity or otherwise the name of User or any affiliate of User, or any officer or employee of User, nor any trade name, trademark, trade device, service mark, symbol or any abbreviation, agreement or simulation thereof owned by User or its affiliates, nor represent, directly or indirectly, that any product or service provided by NetFile has been approved or endorsed by User, nor refer to the existence of this Service Agreement in press releases, advertising or materials distributed to prospective customers. Notwithstanding the foregoing, NetFile may acknowledge, when asked, that the User is a NetFile client. 10. Either User or NetFile may terminate this Service Agreement without cause by giving the other Party written notice ("Notice of Termination") which clearly expresses that Party's intent to terminate the Agreement. Notice of Termination shall become effective no less than thirty (30) calendar days after a Party receives such notice. After either Party terminates the Agreement, NetFile shall discontinue further services as of the effective date of termination, and User shall pay NetFile for all Services satisfactorily performed up to such date. Upon termination, NetFile will provide a copy of all data created by User within 10 working days of effective termination date. 11. User accepts any and all liability resulting from the placement of documents scanned by the User that are made available on the Internet for public viewing through the services of NetFile. In no event does NetFile accept liability created by any document scanned into the system by the User. 12. Except as otherwise indicated herein, this Agreement will commence on the start date and remain in effect throughout the Term as stated on the signature page. Upon expiration, this Agreement will automatically renew on a quarterly or annual basis unless User provides NetFile with written notice of its intent to cancel. Any extension will be billed in the same manner as set forth herein. 13. This Agreement shall be governed in accordance with the laws of the State of California, and the Parties submit to the jurisdiction of said state. This Agreement contains the entire agreement and understanding of the parties with respect to Service, Maintenance and Support. There are no representations, inducements, promises or agreements, oral or otherwise, not embodied herein or also embodied in any attached agreement. Any and all prior discussions, negotiations, commitments and understandings relatingto Service, Maintenance or Support are merged herein. FAIR POLITICAL PRACTICES COMMISSION 1102 Q Street • Suite 3000 • Sacramento, CA 95811 (916) 322-5660 • Fax (916) 322-0886 December 1, 2022 Gloria Harper City of Seal Beach 211 8th Street Seal Beach, CA 90740 Re: Certification of Electronic Filing System for Statements of Economic Interests System Acceptance Number (SAN): 112200456-NFH-0456 Dear Gloria Harper: 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 approved. We are excited to see agencies moving toward electronic filing systems, which have been shown to provide several benefits — time and cost savings for the agency, easier filing and time savings for filers. As a condition of your approval, within 14 days, please provide to us via e-mail a sample Form 700 that includes the required electronic date stamp and the System Acceptance Number (SAN), as assigned above, displayed at the top of the first page of the Form 700. Please continue to use this number on the cover page of all future electronically filed statements. The sample can be e- mailed to Cyndi Glaser at calaser(cD_fppc.cagov. Effective January 9, 2098, 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 no later than five days after the filing deadline or five days after receipt in the case of a late -filed statement and the amendment. 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 Cyndi Glaser at 916-327-5966. Sincerely, Jue Wan JeHidal o Wang 9 Admin. Division Manager Chief Information Officer j STATE OF CALIFORNIA i 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 1. This application is . following Name of Agency City of Seal Beach Check if this is your initial request for certification or if this is for re -certification 0 Initial ❑ Re -Certification Agency (Check One) ❑ State ❑ County 0 City ❑ Special District ❑ Other Business Street Address City 211 8th Street Seal Beach State Zip Code Email Telephone Number CA 90740 gharper@sealbeachca.gov 562-431-2527 x1305 contact2. The agency • questions •certification: Name (Last, First) Title Harper, Gloria D City Clerk Email Telephone Number gharper@sealbeachca.gov 562-431-2527 x1305 Vendor3. or service provider: Vendor Name Contact Name (Last, First) Title Net File Diebert, Tom �Vp&coo Email Telephone Number deibert@netf)le.com 559-250-4847 a) Has the vendor or service provider been previously approved by the FPPC? (If response is (No), please complete section 4) Yes ❑ No If response was yes, has the vendor or service provider system been modified which changes the previously approved system specifications or network Yes No El Yes E diagram? (If response is (Yes), please complete section 4) 4. New vendor or service provider requirements: 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 1 FPPC System Submission Form (Aug/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 FPPC System Submission Form (Aug/2018) FPPC Advice: systemsubmissions@fppc.ca.gov (866/275-3772) www.fppc.ca.gov 1) The statement of economic interests filed electronically shall include an electronic transmission that is submitted under penalty of perjury and that conforms to El Yes ❑ No subdivision (b) of Section 1633.11 of the Civil Code. 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 [D Yes ❑ No received. 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 0 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 21 Yes ❑ No ensure data integrity. 5) The system shall have the capability to uniquely identify a filer electronically when El Yes El No he 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 El Yes ❑ No statement of 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 0 Yes ❑ No statement 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 Q Yes F-1 No personally identifiable information: L The address of the individual. 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 (Aug/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. 21 Yes E] 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 fling using a system that permits data to be exported to a common file format such as comma 0 Yes E]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 El 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. 6. Verification 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 GDH 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. Signature Lwj�Printed Name Gloria D. Harper Signed on 11/10/2022 (month, day, year) 3 FPPC System Submission Form (Aug/2018) FPPC Advice: systemsubmissions@fppc.ca.gov (866/275-3772) www.fppc.ca.gov STATE OF CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION r 1102 Q Street • Suite 3000 • Sacramento, CA 95811 (916) 322-5660 • Fax (916) 322-0886 - • Conditions A certification fee of $1,000 payable to the Fair Emergency filings — In the event that the Political Practices Commission. electronic system becomes inoperable and unable to receive electronic filings, the agency, The Commission may at its discretion, charge shall, within 24 hours, contact the FPPC. The FPPC a $1,000 re -certification fee depending on the will provide an emergency plan that provides complexity of the system review. for the most timely filing of statements. The emergency plan may require paper submissions or other filing options in order to meet the Act's requirements. The agency's contact person identified on the The agency is required to maintain adherence application on will be the FPPC's point of contact to FPPC requirements following certification and for any issues relating to the Form 700 and must notify the FPPC of any proposed changes to accompanying instructions. The vendor's contact the system that would impact criteria outlined in person will be the FPPC's point of contact for the legislation or regulation. information on technology questions. These terms and conditions are subject to Following system approval all agencies will change. be responsible for ensuring all electronic SEI submissions must have an electronic data 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 Code Any additional pages or forms that are not part Section 87500.2 and FPPC Regulation 18756. of the standard 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 program An agency that submits a re -certification request until certification is approved. 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 (Aug/2018) FPPC Advice: systemsubmissions@fppc.ca.gov (866/275-3772) www.fppc.ca.gov eAA I N\ k � tFile FPPC Form 700 System Certification Submission for Local Agencies Last Revised April 2022 Version 3.0 OVERVIEW Since its ground -breaking launch in 2006, NetFile's FPPC Form 700 e -filing system has received and processed several thousands of electronic Form 700 filings. It is currently being used by hundreds of agencies in California today. The NetFile system complies with all aspects of Regulation 18756 for Form 700 Electronic Filing as well as the technical requirements of Section 87500.2. The NetFile FPPC Form 700 application ("SEI") is a shared, hosted, cloud -based system comprised of three major architectural components: Admin: Provides features for local agency staff to create, track and correspond with filers Filer: Allows individuals to create, review, print, and a -file their Form 700 documents Public: Displays filed documents to the public on the web using FPPC guidelines SUBMISSION REQUIREMENT #1— Network Topology NetFile Logical Network Diagram 1 Oakland Co -location Facility Fire all E o o. Hardware -balanced Web Servers 00 1 0 1 �o o iio Software -balanced Application Servers o � o Local Log Shipping Target Primary Database Server Local Backup Target VPN over dedicated T1 Disaster Recovery Co -Location U 0 Log Shipping Target Backup Target Amazon Web Services �I Log Shipping Target Backup Target �i Backup VM Images Target Amazon Web Services will be replaced in calendar year 2022 with tape backup at the Disaster Recovery co -location facility. An updated version of this document will be sent to the FPPC when that happens. SUBMISSION REQUIREMENT #2 - COI Form 700 Application Development I All development/maintenance for the SEI application is performed using the latest supported Microsoft development environments. All application code is written in ASP.NET and C# against a .NET runtime under active support. The web application pages use code behind files that talk to data access libraries to retrieve and store data. Code integrity is maintained using the Git source control system. Production The deployed web application suite runs on Windows servers hosting web applications and SQL databases. All servers and databases are running versions under active long-term support. SUBMISSION REQUIREMENT #3 — Website The website runs on Windows servers using Microsoft IIS. Two web sites are configured, one for public access and the other for internal services. ASP.NET web applications are stored under virtual directories. The applications run under IIS app pools designed to maximize simultaneous users. The app pools will also auto restart on any detected issues to maximize uptime. Database caching is enabled up to 1GB on reads. Web services are used internally to communicate between the admin and filer components of the system. These web services endpoints are not exposed to the public internet and require ASP.NET authentication. Secure web browsing is available using SSL certification from Entrust, Inc. The SSL encryption uses SHA2 and 2048 -bit keys. System logging is extensive, and all messages are routed to a central logging database. Alerts are triggered on system errors or service outages and sent to NetFile support staff via email and text messages. SUBMISSION REQURIEMENT #4 —Secured Authentication Filers are uniquely identified by their unique e-mail address, stored in the NetFile SEI database along with an internal identifier which is also unique. Filer account creation is controlled via the Admin application, which is administered by the Agency Officer or Official. Passwords can be generated by the system utilizing a mix of combined words randomly selected from a 59,000 -word dictionary scrubbed to remove potentially offensive words. Alternatively, the filer can custom create their own secure password using a combination of upper and lower case alpha characters combined with a special character as well as a number. These passwords are distributed by e-mail pointing the filer to a secure website where the password is exposed. Filers may request a new password at any time through the Filer application. SUBMISSION REQUIREMENT #5 — Security (network, system, application) While NetFile does use Amazon Web Services for additional off-site storage of backup files, all other IT assets of the SEI system are owned and managed by NetFile. The SEI system is located at a top tier data center. This ensures the highest level of facility -related support, such as power, cooling, and networking infrastructure for NetFile's servers. The facility is secure, with 24-hour security on site. Primary network security for NetFile's co -location is provided by redundant Firewalls. These units act as the network firewall and intrusion detection system. All communication between the co -location facility and NetFile IT staff is done through secure VPN connections using two factor authentication. SUBMISSION REQUIREMENT #6 — Security Operations (Industry Best Practices) NetFile has been providing online e -filing and disclosure systems since 1998, before most of the rest of the world believed online disclosure was a real possibility. All our software is carefully reviewed with security in mind — protecting us against popular attack vectors such as SQL injection, buffer overflows, and server misconfigu rations. NetFile utilizes external and internal vulnerability scanning services. All software in the co -location network is updated on a continuous basis, to ensure all the latest security patches are deployed. SUBMISSION REQUIREMENT #7 — Backup and Restore SQL Server Data All transactional data and filing document data is stored in our primary SQL databases. Log shipping is utilized to maintain a hot standby database server, located in our Disaster Recovery co -location facility. Full backups of the SQL data are performed nightly with two copies of the backup files maintained at the Oakland facility. Copies of the full backups are sent nightly to the DR co -location facility and monthly to Amazon S3 storage. Backups stored in S3 are encrypted. A minimum often days of complete backups are maintained. Machine Images and Configuration Data Backup VM images and configuration data files (such as firewall and load balancer configurations) are made before configuration changes to the affected VM/device. These backups are stored in Oakland, our DR site, and Amazon S3. Source Code All NetFile source code related to the SEI system is hosted in Git. Afull backup of the Git data is made nightly and copied to the Oakland and Disaster Recovery facilities. SUBMISSION REQUIREMENT #8 — Business Continuity and Planning / Disaster Recovery The NetFile SEI system is designed to provide a significant amount of fail -over redundancy without creating exorbitant costs for our clients. Designing the system to provide a reasonable level of planned fault -tolerance includes: • Redundant Firewall's • Redundant Switches • Redundant Load -balancers • Redundant Web Servers • Redundant Internet Service Providers • Redundant Application/Processing servers If there was an extensive disaster, such as a major earthquake destroying the city of Oakland, the SEI system could be running again within 12 hours or less from our DR facility. SUBMISSION REQUIREMENT #9 — System Access NetFile staff will contact staff to provide appropriate user credentials. REQUIRED SYSTEM FEATURE CHECKLIST 1. E-mail notification of filing YES. All e -filing submissions to NetFile's SEI system receive an e-mail indicating success or failure of the submission. 2. Electronic confirmation number YES. All e -filings accepted by NetFile's SEI system are issued a unique filing ID. This ID is listed on the Public portal and rendered onto the PDF representation of the e -filing. 3. Electronic signature (date/time stamp) YES. All e -filings accepted by NetFile's SEI system are time -stamped and can be related back to an individual's private e -filing credentials. 4. Extractable COI data in a common file format YES. All e -filings generated or accepted by NetFile's SEI system are XML data documents, which pass through a PDF rendering process for presentation and printing purposes. 5. Auto -populate filer information YES. Previous year e -filings auto -populate the following year form. Additionally, changes to a filer's departments or positions during the year are available for easy selection into the new form, along with the previous year's departments and positions. 5. Previous year filings YES. A filer can review, reprint or amend any previous filing they have created using the SEI system. Z Public website available 24x7x355 YES. NetFile's web portals into the SEI system are always available. 8. FPPC Pamphlet Online YES. FPPC-provided manuals and instructions are readily available to all filers while using the system. 9. System assistance hotline YES. Local cities and counties using the NetFile SEI system provide telephone help desk support to their filers. 10. Online password management YES. Filers or agency administrators may reset their passwords at any time. 11. Account registration process YES. NetFile provides local agencies with helpful documentation and procedures along with training seminars that have worked well for other jurisdictions to achieve a high percentage of initial e -filing adoption by their filers. Additionally, NetFile imports filer database records to initially populate the Admin system. 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: Seal Beach Date: 11/14/2022 General Information Type of contract — Monthly or annual? Annual Annual/monthly cost $2,500/year For the approved Yes No agency above, how # Comments many Not currently but possibly in the future Does your agency post 700s to its website? Filing officials FX� Not currently but possibly in the future Employees ❑ ❑ Form 700 filers 100 Approximately Please specify type of ❑Code Filers E]87200 ❑Judges/Court Commissioners filers Employees that work with Form 700 (note whether part time or full time) E -Filing Information Yes No Comments Is e -filing required? ❑ ® Not currently but possibly in the future Does your agency post 700s to its website? ❑ FX� Not currently but possibly in the future Is filing officer training provided? ❑ ❑ Is filer training provided? ❑ ❑ E-FilingInformation How do you terminate a filer in your system Filer can be terminated manually in the system given the without a leaving office statement? proper circumstances. How is the conflict of interest code presented When filer logs in, the filer can see their conflict of interest with the e -filing system? code. Revised 1/10/2018 �f16 FORM 700 DEPARTMENT AND FILER UPLOAD TEMPLATES Form 700 Department and Filer Upload Templates Please read and follow the information presented below before you enter information on the Department and Filer upload templates. General Information NETFILE CONTACT Stacy Muster or Dana Marcell (209) 742-4100 or musterCnetfile.com or marcell@netfile.com DUPLICATE FILERS Each filer should be listed on the Filer Upload Spreadsheet only once. Do not duplicate filers! This causes the system to create multiple accounts for the same person. If a filer has multiple positions, all the positions must be listed in the same row. See "Multiple Departments, Positions, Filer Categories" on page 4 for information about including multiple departments, positions and Filer Categories. SPREADSHEET HEADINGS AND COLUMNS Please do not change the heading text for any column. Also, do not move or delete any columns from the spreadsheets even if you do not enter data into a column. Changing a column heading, moving or deleting a column will cause the upload to fail. TEXT CASE If you enter your data in all caps then your data will appear in our system as all caps. Please enter the data in upper/lower case if that is how you want your data to appear in our system. Filer Upload Spreadsheet , OPTIONAL INFORMATION The following columns MAY contain filer information: • Parent • Most agencies do not use parent departments. Consult NetFile support if you aren't sure you need a parent department. MODIFIED: Februry 4, 2020 PAGE = 1 FORM 700 DEPARTMENT AND FILER UPLOAD TEMPLATES Filer Upload Spreadsheet REQUIRED INFORMATION The following columns must contain filer information: • Department • Departments cannot have a comma in their name. This causes the upload to fail. • Commissions, Fire Districts, Water Districts etc. are considered by our system to be Departments. if you are entering Filers attached to entities such as those, please also enter on the Department spreadsheet. • If a department is listed on the filer spreadsheet then the department needs to be listed on the department spreadsheet if one was provided to you (only one entry per department on the department spreadsheet). Please make sure that the name of the department on the department spreadsheet is EXACTLY the same as on the filer spreadsheet. For example, "Health and Safety" is not the same department in the system as "Health Et Safety". • See "Multiple Departments, Positions, Filer Categories" on pale 4 for information about adding more than one department for a filer. • Position - Each filer must have a position. See "Multiple Departments, Positions, Filer Categories" on pale 4 for information about adding more than one position for a filer. • FirstName - Each filer must have a first name. • MiddleName - A middle name or initial is optional. • LastName - Each filer must have a last name. • Prefix - A prefix is optional (e.g., Dr., Mr.) • Suffix - A suffix is optional unless your have father/son with the same name, then enter Jr. or Sr. as appropriate to distinguish between the two. • Filer Type - Select a filer type for each filer: • _700 - This is a non -87200 (or 87300) filer. These individuals must file the Form 700. • _87200 - These individuals are covered by the state's 87200 (or 87300) section of government code, not your agencies conflict of interest code. • GeneralFiler - If you are using either, or both, of our Ethics Training Tracking or Sexual Harassment Training Tracking systems, a GeneralFiler is an individual is not required to file the Form 700, but does need to take Ethics and/or Sexual Harassment training. • WorkPhone - Each work phone number needs to be 10 digits (so include area code). Do NOT enter extensions - this will cause the upload to fail. Using a general number for all filers is fine. The filers can change the phone number on their Form 700. FILER UPLOAD SPREADSHEET PAGE - 2 �� FORM 700 DEPARTMENT AND FILER UPLOAD TEMPLATES • MailingAddress1 - This is the address that will appear on the Form 700 cover page unless changed by the filer, so we encourage clients to use the business address. Do not enter suite, floor, apartment, etc. numbers/letters on this line. Use the MailingAddress2 instead. • MailingAddress2 - Not required, but you may use this line to add suite, floor, apartment, etc. numbers/ letters. • MailingCity - Enter the name of the city. • MailingState - Enter two -characters state abbreviations (e.g., CA)., • MailingPostalCode - Enter the 5 digit postal code. • Email - Each Form 700 filer must have a unique a -mail address. If you do not have an e-mail address for an individual, you may use a bogus e-mail address that must include our special domain of " @bogus.zzz". For example, a bogus a -mail address for John Doe would be John.Doe@bogus.zzz. We can update the e-mail address in the system at a later date. • Filer Category - These are the disclosure categories assigned to each position as part of your Conflict of Interest Code. If attaching multiple filer categories to a filer with one position please enter them in the format 1,2,3 etc. (no spaces). For filers with multiple positions, see "Multiple Departments, Positions, Filer Categories" on page 4. Note: For 87200 or 87300 filers who are not covered by your agency's conflict of interest code, you may use a Filer Category of "87200" or "State Law". State agencies may use "87300" or "State Law". • Emp ID# - If your agency uses Employee IDs, enter the IDs if you want this information to be included and displayed for each filer. This field is not required unless you require an Employee ID. • Assuming Office - This column is to indicate that the filer needs to be added with an Assuming Office requirement. If that is true then enter the assuming date in this column for that filer. If this is not true for the filer leave the field blank. This is especially critical if the filer has an assuming office date in the last quarter of the year. In this case the system will exclude the filer from the next annual requirement. This is also true if we are uploading your filers in the first quarter of the year and the filers) assumed in the first quarter. • Alternate Name - The alternate name for the position. This field is not required. • Position Number - If your agency uses position numbers, enter the position number. This field is not required. • Is Ethics Filer - Select No, unless your agency is using our Ethics Training Tracking system. Contact Dana Marcell at (209) 742-4100 for further information. • Last Ethics Filing Date - Enter the last Ethics Training date only if your agency is using our Ethics Training Tracking system. Contact Dana Marcell at (209) 742-4100 for further information. • Is Sexual Harassment Filer - Select No, unless your agency is using our Sexual Harassment Training Tracking system. Contact Dana Marcell at (209) 742-4100 for further information. FILER UPLOAD SPREADSHEET FORM 700 DEPARTMENT AND FILER UPLOAD TEMPLATES • Last SH Filing Date - Enter the last Ethics Training date only if your agency is using our Ethics Training Tracking system. Contact Dana Marcell at (209) 742-4100 for further information. • Columns AA and AB - Please do not delete the information in these columns. It is required for the selection lists. --—————————--———————————————————————- Note: You don't have to use the selection list for every cell requiring you to make a selection. You can copy/paste the option. For example, if your agency does not use the Ethics tracking system, select No for the first filer in the Is Ethics Filer column, copy the cell and then paste to all other filer cells in the Is Ethics Filer column. --————————————————————————————— — — — — —- MULTIPLE DEPARTMENTS, POSITIONS, FILER CATEGORIES A filer can be attached to more than one department, position and Filer Categories. If you need to attach multiple departments/positions/categories to a filer: • List each department in the Department column using a tilde (-) between the department names with no spaces between. For example, Finance--Administration-City Manager. • List each position in the Position column using a tilde (-) between the position names with no spaces between. For example, Finance Manager -interim City Clerk -City Manager. • List each Filer Category, or set of Filer Categories, in the Filer Category column using a tilde (--) between the category or category set with no spaces between. For example, 1,2,3-1-1. The examples above translate to: • The filer holds the position of Finance Manager in the Finance department and this position must file for Filer Categories 1, 2 and 3. • The filer holds a second position of Interim City Clerk in the City Clerk department and this position must file for Filer Category 1. • The filer also holds a third position of City Manager in the City Manager department and this position must file for Filer Category 1. FILER UPLOAD SPREADSHEET PAGE - 4 a eaetFile , Gloria Harper, City Clerk City of Seal Beach Office of the City Clerk 211 Eighth Street Seal Beach, CA 90740 Dear Gloria: NetFile 2707 Aurora Road Mariposa CA 95338 TeL (2095742-4100 Fax (209)391-2200 March 2, 2020 Thank you for the e-mail today regarding both our e -filing systems. As promised, here is some background information as well as a proposal for our e -filing and administration systems for both the Campaign Disclosure filings as well as the Form 700 SEI filings. How NetFile Works NetFile is a hosted solution that provides you with an extremely affordable solution that will enable you to electronically file Campaign Statements and/or Form 700 filings. No IT involvement is required. You don't have to waste time or effort or risk a breach of your own servers by hosting yourselves. Who Uses NetFile? NetFile is being used by 170 local government agencies in CA today. For Cities, NetFile dominates the market. Over 70% of Cities in CA use NetFile for their Form 700 filing system and over 95% of Cities use NetFile for their Campaign Disclosure filing system. We have a huge presence in Orange County. The County ROV Neal Kelley uses our Campaign Disclosure system for all their County files and well as 9 other Cities in Orange County use either one or both systems. In Southern CA alone our clients include the Cities of Adelanto, Agoura Hills, Anaheim, Azusa, Burbank, Carlsbad, Chula Vista, Coronado, Covina, Desert Hot Springs, Downey, Eastvale, Escondido, Glendale, Glendora, Hesperia, Huntington Beach, Indio, Irvine, Laguna Niguel, Lake Forest, Lancaster, Manhattan Beach, Menifee, Monrovia, Murrieta, Newport Beach, Oceanside, Palmdale, Palm Springs, Pasadena, Perris, Rancho Cucamonga, Redondo Beach, Rialto, San Bernardino, San Diego, San Dimas, San Gabriel, San Luis Obispo, Santa Ana, Santa Barbara, Santa Maria, Santa Monica, Shafter, South Pasadena, Temecula, Torrance, Victorville, West Hollywood, Westminster, and Wildomar. Our County clients in Southern CA include your County of Orange as well as the Counties of Kern, San Bernardino, San Luis Obispo, Riverside, and Ventura as well. An entire client list is available upon request. Cost Information NetFile does not charge any costs upfront: No setup fees to worry about. Our ongoing fee includes everything (unlimited training, support, maintenance). All form changes and system updates are included as -well. Don't be fooled with false economics showing software you own is less expensive. If you buy software and want to compare with our service, you need to add all the hidden costs you have for IT labor, hardware to run the software, bandwidth to host the product online, and all the extra IT time to apply security updates and patches. The cost for both systems for you would be as follows: Form 700 SEI System: Regular price $625/quarter*** ongoing for approximately 100 filers and i. NetFile pays your initial $1,000 FPPC agency application fee for paperless filing. Campaign System: Regular price $1,250/quarter*** ongoing. ***If you contract with us for both systems at the same time, we can discount your pricing by $625/quarter. The resulting cost would be: Both Form 700 & Campaign System: $1,250/quarter ongoing. You can pay this on an annual basis if you prefer. All of our contracts offer 30 day out clauses for any reason so if you don't want to use it you don't have to. This gives you peace of mind. Main System Features - Hosted platform means you don't need to load any software on your servers or apply any updates or security patches - Includes your setup, unlimited support, maintenance, and unlimited training - Allows filers to cross jurisdictionally file Form 700s to the 150 other NetFile Form 700 agencies - Automated correspondence and generate filing status reports on the fly - Filer portal (where the filer creates and electronically files their documents) - Industry exclusive Form 700 mobile device filer platform - Your 87200 filers can paperless file directly to the FPPC through the NetFile system - Industry exclusive advanced public viewing portal that automatically shows the redacted filing online without you having to scan or upload documents - Private viewing portal - we can lock down any number of computers you wish in your office that you can point the public to search unredacted documents - NetFile pays for your initial FPPC $1,000 Form 700 paperless application fee - Exclusive Campaign Filer training program that includes free telephone training by NetFile - NetFile clients have the option to schedule live Campaign filer trainings in their office with NetFile staff providing the training - Free public viewing portal to display your FPPC 800 series form included FPPC 87200 Compliant NetFile is fully compliant with the paperless filing system of the FPPC. That means your 87200 filers can use NetFile instead of the FPPC's system. They can also add other, outside state and local agencies to file an expanded statement filing which they cannot do in the FPPC system. Ethics Training and Sexual Harassment Training Tracking & 800 Series Form Public Site The NetFile Form 700 system also includes the ability to track all your Ethics Training and Sexual Harassment Training filers and their filings. The system also comes with a free public viewing portal to display your FPPC 800 series forms. How Long Does it Take to Setup? Currently our lead time is 2 days to set up a new agency. This is subject to change. To become a paperless filing agency for Campaign Disclosure requires an ordinance change. We can send you ordinances from other Cities to review. For Form 700 the FPPC has to approve you to become paperless and this takes approximately 2 weeks. _NetFile Social Responsibility Program Because City Clerks compromise our largest customer market segment, several years ago we developed a program geared towards giving back to the community of Clerks. In 2019 we spent over $50k just on the CCAC! This included providing free Workshops for Cities all over CA. We had 135 Cities attend our Workshop in Ontario and 93 attend our Workshop in Mountain View in July 2019. The workshop was a full day and Albert Mensah provided the training on last year's 2 topics — Work/Life Balance and Public Speaking. Attendees earned 4 full points that day towards their CMC or MMC credentials and the training was entirely free to attendees! We are in the planning stage to do this again in 2020. The NetFile Difference NetFile agencies have been electronically filing Campaign Statements since 2003. In 2012 legislation passed allowing these filings to be paperless. The City of San Diego made history with our Campaign system having the first ever paperless campaign statement filed on January 22, 2013. Changing your ordinance is all you have to do. As mentioned above, I can send you samples of other agencies ordinances so you don't have to reinvent the wheel for your ordinance. The California Political Treasurers Association endorsed NetFile as the preferred system for local government clients. Attached is a press release about this. For Statements of Economic Interests, NetFile leads the way. Starting the end of 2006 for the County of San Bernardino as well as the Cities of Anaheim and San Diego, NetFile beat the competition to the market by 2 years. NetFile has industry exclusive features for the SEI system as well (no other company gives you an advanced public viewing portal that automatically shows redacted filings plus no other company has mobile apps for filers to use). One of the most important advantages with NetFile is all your revenue spent with NetFile stays in the USA. Additionally, the philosophy at NetFile is that we are a Service Company not a Software Company. We feel our most important strength is the support we provide our clients. This starts at the top and percolates through every level of our organization. Last but not' least, we are the only vendor in this market space that has never been acquired by another organization dating back to our original agency client in 2002. If you need any additional information, just let me know. Best regards, v'" 1 9�-Z Tom Diebert Vice President, NetFile Attachments California Politi Tom Diebert Vice President & COO NetFile, Inc. 2707-A Aurora Road Mariposa, CA 95338 Dear Tom: 's Association 1127-11' Street, Suite 210 Sacramento, CA 95814 January 1, 2020 One of the goals of the California Political Treasurer's Association (CPTA) is to promote the concept of paperless electronic filing for Campaign Disclosure statements in California at all levels. As such, we would like to acknowledge NetFile, Inc. and their contributions over the years to the local Agency filing community, specifically County and City Agencies in California. Our members have worked with several of these Agencies and applaud NetFile's efforts in making their Agency system work within the confines of Assembly Bill 2452 which allows local governments to electronically file Campaign Statements in California in a true paperless fashion. We know the first ever paperless filing in CA took place on January 22, 2013 through a CPTA treasurer filing to a NetFile Agency system. Since then we have seen NetFile being adopted by several local government Agencies in CA today. As such, we recommend that all local government Agencies in CA go to a paperless filing system for their Campaign Disclosure filings. From the prospective of the CPTA, we recommend those Agencies use NetFile as their preferred solution. NetFile's background in Campaign Disclosure gives them the unique advantage of having expertise nowhere else available for the local government filing community. The fact that NetFile accounts for over 70% of all filings made to the Secretary of State of CA gives them a distinctive advantage in Campaign Disclosure expertise not found anywhere else. All of the treasurers agree that any filings made to local governments that use the NetFile system, makes the process easy and results in the ultimate level of transparency.\ We applaud NetFile's efforts in promoting paperless electronic filing in CA and endorse them as the solution of choice for California local government Agencies. Sincerely, �"JJ044)4� Laura Ann Stephen Vice President, Legislative Affairs ti, A, A<t6R h®CERTIFICATE OF LIABILITY INSURANCE DATE 03/23/2023� THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(les) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER State Farm Insurance 835 E Mariposa St. o Altadena, CA 91001 CONTACT JOHN DIEHL NAME: AHCNNo Ell:626-791-9915 FAA/3CNo): 626-791-9918 E-MAIL ADDRESS: JOHN JDIEHL.COM PRODUCER OD75608 CUST MER D#: INSURERS AFFORDING COVERAGE NAIC # INSURED NETFILE PO BOX 70 AHWAHNEE CA 93601-0070 INSURER A: State Farm General Insurance Company 25151 INSURER B: State Farm Fire and Casualty Company 25143 INSURERC: INSURERD: INSURER E : INSURER F: COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR LTR TYPE OF INSURANCE ADDL NS SUBR WVD POLICYNUMBER POLICY EFF MMIDDIYYYY POLICY EXP MM/DD/WYY LIMITS A GENERAL LIABILITY EACH OCCURRENCE $ 2,000,000 PREMISES Ea occurrence S 300,000 X COMMERCIAL GENERAL LIABILITY92-XV-7702-4 CLAIMS -MADE � OCCUR 03/01/2023 03/01/2024 FY -1 ElMED EXP (Any one person) $ 5,000 PERSONAL&ADV INJURY $ 2,000,000 GENERAL AGGREGATE S 4,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP/OP AGG $ 4,000,000 X POLICY 7 PRO -n LOC JECT S AUTOMOBILE LIABILITY ANY AUTO ❑ ❑ COMBINED SINGLE LIMIT (Eaaccident) $ BODILY INJURY(Perperson) S ALL OWNED AUTOS BODILY INJURY (Per accident) $ SCHEDULED AUTOS HIRED AUTOS PROPERTY DAMAGE $ (Per accident) S NON -OWNED AUTOS S A X UMBRELLA LIAB X OCCUR 92 -EO -Y230-0 03/01/2023 03/01/2024 EACH OCCURRENCE S 2,000,000 AGGREGATE $ 2,000,000 EXCESS LIAB CLAIMS -MADE E FY -1 DEDUCTIBLE $ RETENTION S $ B WORKERS COMPENSATION AND EMPLOYERS' LIABILITY ANY PROPRIETORIPARTNERIEXECUTIVE YIN OFFICERIMEMBER EXCLUDED? ❑Y (Mandatory in NH) N / A 92-MW-F722-4 03/01/2023 03/01/2024 X TNRY LIMIT OER E.L. EACH ACCIDENT $ 1,000,000 E.L. DISEASE - EA EMPLOYEES 1,000,000 E.L. DISEASE - POLICY LIMIT $ 1,000,000 f yes, describe Under B TECHNOLOGY ERRORS&OMISSIONS 342018 02/11/2023 02/11/2024 32,000,000 -EACH WRONGFUL ACT $2,000,000 - TOTAL LIMIT OF LIABILITY DESCRIPTION OF OPERATIONS/ LOCATIONS /VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space is required) DATA AND INFORMATION STORAGE CANCELLATION NOTICE: IF ANY POLICIES ARE CANCELED BEFORE THE EXPIRATION DATE, STATE FARM WILL TRY TO MAIL A WRITTEN NOTICE TO THE CERTIFICATE HOLDER 30 DAYS BEFORE CANCELLATION. CERT1F!CATE H01 r1FR CANCELLATION The City of Seal Beach SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE 211 Eighth Street POLICY PROVISIONS. Seal Beach, CA 90740 AUTHORIZED REPRESENTATIVE VICTORIA MARTINEZ U 1936- ZUU9 AGUKU GUKt'UKA 1 JUN. All rignis reserveo. ACORD 25 (2009109) The ACORD name and logo are registered marks of ACORD 1001486 132849.4 02-11-2010