FPPCRequestfor Information

May30,2013

SEIForm700ElectronicFilingSolution

FairPoliticalPracticesCommission FinalVersion

TableofContents
1. Introduction BusinessNeed CurrentPractices 2. BusinessNeed 3. OverviewofRequirements Technical Business 4. Response ResponseFormat RequirementsMatrix Page|2

IMPORTANTINFORMATIONPLEASEREADBEFORERESPONDINGTOTHISRFI TheFairPoliticalPracticesCommission(FPPC)willnotreimbursevendorsforanycostsassociated withrespondingtothisRFI.TheFPPChasnoobligationtobuyorissuesolicitationtoanyvendor asaresultofthisRFI.InformationprovidedinresponsetothisRFIwillnotbeconsideredwhen evaluatingbiddersrespondingtoanyfutureprocurement.

RFIINFORMATION
Postingdate06/24/2013. Responseduedate07/11/2013. Responseaddress: CarolBollard 428JStreet,Suite620 Sacramento,CA95814 Emailquestionsto: TonyMolina:tmolina@fppc.ca.gov

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INTRODUCTION
TheFairPoliticalPracticesCommission(FPPC)wascreatedbythePoliticalReformActof1974(Act),as anindependentnonpartisanagencywhoseobjectiveistopreventcorruptionofpublicofficialsinthe governmentaldecisionmakingprocess.TheFPPCregulatesandenforcesactionsperformedby governmentalofficialsandagenciesandrequiresextensivedisclosurereportssothatthepublichas accesstogovernmentprocesses. TheActrequires,atnocost,toprescribereportingontheForm700,StatementofEconomicInterests, ofpublicofficialspersonalfinancialinterests,andtomaketheformsavailabletothepublic.The purposeoftheForm700istwofold: 1. Itprovidesnecessaryinformationtothepublicaboutapublicofficialspersonalfinancial interestssothereisassurancethatofficialsaremakingdecisionsthatdonotenhancetheir personalfinances; and, 2. Itservesasaremindertothepublicofficialofpotentialconflictsofinterestssotheofficialcan recusefrommakingorparticipatingingovernmentaldecisionsthataredeemedconflicts.In short,theForm700providestransparencytoensureaccountability. TheFPPCistheagencychargedwithadministrationandenforcementoftheForm700reporting requirementsforallstateandlocalagenciesandfilers.PursuanttoSection87500.2whichtookeffecton September24,2012,theFPPCistheagencymandatedtoapproveandcertifyelectronicfilingsystems proposedbyagencies.Todate,theFPPChascertified23stateandlocalagenciestoutilizeelectronic filingsystems.ThisprovisionalsorequirestheFPPCtoacceptelectroniccopiesofForm700sforwarded byagenciesthathavereceivedelectronicallyfiledstatements.Thereisacrucialneedforaconsistent anduniformelectronicfilingsystemtoreceivetheseelectronicallyfiledstatements.BecausetheFPPC hasnosysteminplacetoreceivethestatements,theelectronicallyfiledForm700shavetobemanually processedunderourcurrentpaperfilingsystem. Inaddition,Form700sarepostedontheFPPCswebsiteforalllegislators,judges,countyboardsof supervisors,mayorsandcitycouncilmembers.Priortopostingonourwebsite,theformshavetobe manuallyscanned,andcertaininformation(suchasaddressesandsignatures)hastobemanually redactedfromtheforms.Itisaverylaborintensiveandcostlyprogram.

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ThenumberofrequestsbythepublictoviewforForm700filingscontinuestoescalateeachyear.The FPPCismandatedtoprovideaccesstoForm700snolaterthanthesecondbusinessdayafterreceiving theforms.Movingtoanelectronicfilingsystemwouldprovideoptimalbenefitstothepublicandthe pressinpromotingtransparencyandeasieraccessForm700s.Today,whentheFPPCreceivesarequest forForm700s,staffmustmanuallyretrievetheformsfromourfileroom,makecopiesandeither providehardcopiesoremailthecopiestotherequestor.

BusinessNeed
TheFPPCrequiresaturnkeysolutionthatallowsittoprovidecurrentandfuturefilerstheabilityto electronicallyfiletheSEIform700.Ideallythesolutionwillbeopensourcesoastoallowinterested partiestotakepartinfuturedevelopmentandexpansion.Thesolutionselectedwillmeetthefollowing broadprovisions; Replacesthecurrentantiquatedpaperreportingandfilingsystem. Addsanupdatedsearchcomponentthatbettermeetsthepublicneedandcentralizes informationallowingimmediatedataretrievalforbothofficialsandthepublic. Replacesandimprovesthecurrentdatamanagementsystemthathasbeeninplacesince2000. Allowsfilerstohaveeasieraccesstorulesregardingfiling,abilitytostoremultiyeardatainself populatingfields,andflaggingofcommonerrorsbeforefiling TheFPPChasbeenunabletoverifythenumberofForm700sfiledthroughoutthestatebecausemost statementsarefiledwithlocalagencies.However,theFPPCreceivesandprocessesapproximately 25,000statementseachyearandstaffestimatesthat500,000statementscouldbefiledthroughoutthe stateeachyear. Anelectronicfilingsolutionshouldprovideasignificantcostsavingstothestatebyeliminatingthe currentpersonnelhoursspentmanuallydataenteringSEIinformationintoadatabaseforeach employeethatfilesaForm700,andprovidingpublicaccesstopaperfilings.Itshouldalsopractically eliminatethesendingofcorrespondenceandenforcementreferralsforinadvertenterrorsona statement,savingsubstantialpersonnelhours.Thesystemproposedwillalsoeliminateduplicative processesatotheragenciesresultinginfurthercostsavings.Itisalsohopedthatthesystemwillgivethe agencythefuturecapabilitytotrackfinesrelatedpaymentsmadedirectlytothegeneralfund,FPPC)or throughecommerce. Byeliminatingthecurrentlaborintensivedecentralizedreportingsystemandimplementinga centralizedwebbasedsystem,stateandlocalagencieswillexperiencecostreductions;thepublicwill Page|5

haveaneasierandamoremeaningfulwaytoanalyzedatainrealtime;andcompliancewiththeActwill improve.

CurrentPractices
Section87500requiresthefollowinghighlevelstateandlocalpublicofficialstofiletheForm700with theFPPC:constitutionalofficers,legislators,CalPERSandCalSTRSboardmembers,BoardofEqualization members,FairPoliticalPracticesCommissioners,CoastalCommissioners,PublicUtilityCommissioners, EnergyCommissioners,HighSpeedRailCommissioners,JudgesandCourtCommissioners,County BoardsofSupervisors,CountyCounsels,DistrictAttorneys,Mayors,CityCouncilmembers,Countyand CityTreasurers,andCountyandCityPlanningCommissionersallfileForm700swiththeFPPC.In addition,theFPPCreceivesstatementsforallstateagencyheadsandboardsandcommissions, legislativestaffmembers,aswellasstatementsfromcertainmulticountyagencies.Yearly,over20,000 individualsfileForm700swiththeFPPCandsuchindividualsconstantlychangeasnewpersonsassume officeintohighlevelmanagementpositionsinstateandlocalgovernment. Inaddition,Section87500requiresfilingofficerstoforwardcopiesofForm700sfiledforallstate boards,commissionsandsimilarmultimemberbodiestotheFPPCunlesstheconflictofinterestcode fortheagencyalreadyrequiresforwardingtheoriginalstatementstoFPPC.Mostagenciesscanthe formsintoPDFdocuments,andemailthemtoaspecialFPPCmailboxsetuptoreceivestatements. However,itisaduplicativeprocessasagenciesmustcomplywiththeirinternalprocessingrequirements andremembertoforwardstatementstoFPPCwithinfivedaysoftheduedateordatefiled.TheFPPC mustthenlogthestatementsandensuretheyareorganizedandavailableforpublicaccess.Wereceive over1,500copiesofForm700sforstateboardsandcommissionsforwardedunderthisprovisioneach year.Oftenwereceivescannedandhardcopiesofthesamefiling. Section81010requiresspecificdutiesfortheFPPCtocarryoutinadministeringtheformsfiled.The FPPCcurrentlyhasonefulltimeStaffServicesManager,sixbudgetedfulltimeStaffServicesAnalysts fullydedicatedtoperformingtherequiredmanagementduties.Form700statementprocessingincludes thefollowing: Manuallyopeningmail,sortinganddatestampingstatements Themajorityofthe25,000statementstheFPPCreceivesareduringthepeakannualfilingperiodof FebruarythroughtheendofApril.Moststatementsarereceivedthroughthemailwhichrequires manuallyopeningthemail,datestampingforms,andsortingforms. Page|6

Notallformsarereceivedinthemail.Startingin2013,officialsinagencieswithapprovedelectronic filingprogramswhichhavefilersthatarerequiredtofileForm700swiththeFPPCaresimplyemailing FPPCcopiesofPDFforms.However,wemustcontinuetomanuallyprocessthemintoourcurrent databaseastheFPPChasnomethodtostoreandtrackForm700ssentthroughemail.Insome instances,theagenciesarealsoforwardingasecondhardcopywhichresultsinstaffprocessingtwo formsratherthanoneformperfiler. Organizingandloggingstatements Inordertoefficientlyprovideaccesstostatements,theyhavetobeorganizedbyvariablessuchas classification,agencyname,filerandposition. Thecurrentdatabaserequiresmanualdataentry.EachfilerandeachForm700hasspecificdatathatis entered.Thedatabasealsomustkeepcurrentwithagencycontactinformation.Andasnotedbelow,the databaseisprogrammedtogenerateanumberofreportsthatensurecompliancewiththelaw.Keeping thedatabasecurrentwiththeproperfilersandfilingsandfilingofficialsisachallengeinapaperdriven model.Oneexampleisthatoftenemployeesdonotcompletefieldsrelatingtotheirspecificagencyand FPPCstaffmustperformqueriestoensurethatthestatementisassociatedwiththecorrectindividual onthelist. Managingnonfilers ThelawrequiresthattheFPPCensurethatallrequiredForm700sarefiledontime.Onceallannual statementsarelogged,staffgeneratesreportstodeterminethenamesofthosewhohavenotfiled. Significanttimeisspentmanuallyresearchingtheaccuracyofthereportsasthereisahighdegreeof potentialsystemerrors,andstaffdoesnotwanttosendanerroneousrequestforastatement.Staff makesaseriesofcontacts:twowrittennotices,oneortwotelephonecalls,andemail,ifavailable,to requestthestatement.ThisprocesswasreviewedandapprovedbythefivememberFPPCCommission andistheguidingprocedureforallagencies. Reviewingstatements ThelawrequiresFPPCtoperformasimplereviewonallstatementsandadetailedreviewon20percent ofstatementsfiled,andonalllatestatements.Thefacialreviewconsistsofmakingsurethestatement containsanoriginalsignature(exceptforefiledstatements),andthatallschedulesindicatedasattached totheForm700onthecoversheetareincludedwiththefiling.Anelectronicsystemwilleliminatethis requirementbystaffasastatementcannotbefiledwithoutthebasiccompletedfields. FPPCmustperformadetailedreviewonallassumingofficestatementsandonalllatestatementswhere weaudittheactualschedulesandnotifyfilersiftherearediscrepancies.Forexample,ifafilerreports Page|7

aninvestment,butdoesnotindicatethefairmarketvalue,orifthefilerreportsdisposalofreal property,butdoesnotreportincome,wemustgeneratealettertothefilerrequestinganamendment. Thetimetoprocessanamendmentlettervariesbytheinformationthatmustberequestedbutitissafe tosaythatalettertakesatleast20minutesofstafftimeto3045minutesifthestatementhasmultiple issuestobeaddressed.

Assessinglatefilingpenalties TheFPPCisresponsibleforenforcingandassessingfinesonlatestatements.Filersmayprovidea writtenexplanationforlatefilingsandrequestawaiverofthelatefilingpenalties.Generallythisprocess requiresFPPCstafftosendoneortwolettersoremailsandthefilertodothesamebeforeafinemay beassessedandclosed.Thedateandamountoffinespaidarelogged,andstaffalsocomparesthe checksreceivedtotheAdministrationDivisionlogtoensuretherearechecksandbalancesinour accountingsystem. FTBReferralProgram Ifthefinesarenotcollectedviathepapernotification,wereferindividualstotheFranchiseTaxBoard forcollectionoffinesthroughtheTaxInterceptProgram.Ifanindividualhastaxrefundsorlottery winningsavailable,thosefundsareinterceptedandtransferredtotheFPPCthenFPPCstaffmakes necessarydocumentationandforwardsthepaymenttotheStategeneralfundtopaythefinesowed. FPPCstaffmustcompleteformsandmonitortheFTBreferralprogram.Onceafineisintercepted,the paymentisloggedintothedatabase. Enforcementreferrals Whenafilerdoesnotfile,wearemandatedbytheActtorefertheindividualtoourEnforcement Division.Underourcurrentsystem,aformismanuallycompletedwithalloftheapplicablecontact informationforboththefilerandthefilingofficial,andapaperfileismanuallycreatedthatincludes copiesofallcorrespondence,phoneandemailrecords,priorfilinghistory,andacopyofthelast statementfiled.ManualmonitoringisperformeduntilthestatementisfiledoruntilEnforcementtakes anotheraction. FilingForm700s AllpaperformsareretainedonsiteintheFPPCsoffice.Aftertheformsareloggedandreviewed,they arefiledalphabeticallyinspecifiedareasofthefileroombyclassification(constitutionalofficers, legislature,legislativecandidates,legislativestaff,state,court,county,city,andmulticounty),by agencyname,andbystatementyear.Whenafilerfilesanamendmenttoastatementthathasalready
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beenfiled,thestatementhastobemanuallyretrievedfromthefileroom,andtheamendmentis attachedtothefilingandrescannedandredacted,ifapplicable.

Formsretention ThePRArequiresstatementsforconstitutionalofficerstoberetainedforever,andallotherstatements toberetainedforsevenyears.Aftertheretentionperiodselapse,theformsarerecycled.Eachfall,staff mustmanuallygothroughthefilefolders,pulleachfilersForm700toensureitisoversevenyearsold, andrecyclethepaperfilings.Thisprocessisverylaborintensiveandtakesmanyhourstocomplete. Form700access AbasicpremiseoftheActistoprovideunfetteredpublicaccesstoForm700stomaximizetransparency forallofCaliforniaofficialsForm700disclosurestatements.Specifically,Section81008statesthatno conditionswhatsoevermaybeplacedonpersonsdesiringtoinspectorreproducereports,norshallany informationoridentificationbyrequiredfromthesepersons.Form700smustbeavailablenolaterthan thesecondbusinessdayaftertheyarereceived.Ifcopiesarerequested,agenciescannotchargemore than10centsperpage,andmaychargea$5retrievalfee,perrequest,forstatementsfiveormore yearsold.Becauseofthisstatutoryprovision,Form700sarenotsubjecttothePublicRecordsRequest requirements. DespiteourongoingeffortstoeducatestateandlocalagenciesaboutthepublicaccessrulesinSection 81008,everyyearwemustanswerasignificantnumberofcallsfrommembersofthepublicandpress statingthattheywereaskedtoidentifythemselves,giveareasonforaccess,orcompleteaformasa conditionforaccesstostatements.Insomeinstances,theyaretoldthereisawaitingperiodfor managementapprovaltogainaccesstotheforms.Inthesecases,staffcontactstheagency(oftentaking acoupleofphonecalls)toeducatetheagencystaffandensurethattheformsaremadeavailabletothe public. SinceinceptionoftheActin1974,theFPPChasalwaysdedicatedsignificantstaffresourcestowards educationaleffortstoensurethatthiscomponentofthelawisupheld,andasthefilingofficerformore than25,000statementsfiledperyearandlocatedinouroffices,wealwaysensurethatForm700s requestsreceivethehighestpriorityinhandling.Forthepastseveralyears,wehaveseenamarked increaseintheamountofformsrequested.Forexample,acomparisonofrequestsforstatements duringthe2010and2012electionyearsrevealeda25percentincreaseinthenumberofpagescopied despitethepostingofmorestatementsonourwebsite.

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Publicportal TheCommissionapprovedawebsitepostingpolicyin2010(Regulation18313.5),requiringPDFversions ofForm700sforelectedofficialstobeavailableontheCommissionswebsite.Theaddressand signaturesmustberedactedfromtheForm700CoverPageandonamendmentschedules.Becauseof limitedstaffresources,aphasedpostingapproachwasimplemented:In2010,2009annualForm700s forconstitutionalofficers,BoardofEqualizationmembers,legislatorsandcountyboardsofsupervisors wereposted;in2011postingswereaddedforFPPCCommissioners,citycouncilmembersandmayors; andin2012postingsforjudgeswereadded. In2012,theCommissionapprovedRegulation18313.6whichrequirestheFPPCtoredactadditional informationrequestedbyanofficial.AbenefitofthePDFformsisthepubliccansearchforinformation reportedontheforms,buttheredactionprocessisextremelylaborintensiveasdescribedbelow. CurrentlyanyviewermayaccesstheFPPCwebpageandviewaPDFversionoftheForm700ofthe selectedofficialsidentifiedabove.Inaddition,alimitedsearchfunctionisalsoavailable.Thereisnodata mappingorgraphicillustrationsavailabletothepublic. FPPCForm700PostingProcess TheFPPCpostsPDFcopiesofForm700sforconstitutionalofficers,legislators,judges,membersofthe boardofsupervisors,mayors,andcitycouncilmembersonitswebsite.Thesignatureandaddresson theCoverPageoftheForm700andonamendmentsisalwaysredacted,andthefilermayrequest additionalredactionofaddressesandnamesreportedonactualschedulestoprotectprivacyinterests. Priortoposting,theFPPCmustscanthepaperformsoneatatimeintoPDFdocuments,namethe documents,redactinformation,applyopticalcharacterrecognition(OCR)softwaretoformstomake themsearchable,andsavethemtoanelectronicfolder.Ininstanceswherefilersrequestaddressor otherinformationtoberedactedduetoprivacyconcerns,thisinformationmustbemanuallyredacted fromForm700schedulesanddoublecheckedbythefilerandFPPCstaffbeforetheformsareposted. Note:Manualredactionrequestscantaketriplethetimetoprocessbecausethepreviouslypostedform mustbecomparedwiththerequestforredaction;manualredactionmustbeappliedandsaved;andthe redactedstatementmustbecheckedtoensureaccuracybeforeposting.Weexpecttoreceive additionalredactionrequestsinthefutureasmorestatementsareavailableelectronically.

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PreparationofFilerstoStatementforPosting

AnExcelspreadsheetmustbepreparedandmaintainedwhichliststhenamesofthefilersand thePDFfilenamesothatthePDFformsareproperlylabeledandpostedonourwebsite.The spreadsheetmustcontinuetobemaintainedtoreflectupdatedinformationbecauseofficials leaveandassumeofficeonanongoingbasis. Essentially,everystatementthatispostedmustbemanuallyenteredintoaspreadsheet.Insubsequent

years,eachfilerisreviewedtoensurethattheindividualisholdingofficeandtheFPPCmustpostthe statement. TheFPPCITDivisionmustcodethedocumentsandpostthemtoatestsite.TechnicalAssistance DivisionstaffthenchecksthePDFlinkstomakesuretheydisplayproperlypriortothelivepostingsof theForm700sonourwebsite.ThisisacrucialstepbecauseifnamingthePDFdocumentandthe spreadsheetinformationareoffbyonlyonecharacter,thePDFdocumentwillnotpostandabrokenlink errorwilldisplaywhichrequiresbacktrackingtofigureoutandcorrecttheerror.In2012andprior years,theFPPChashiredstudentinternstoperformthescanningandredactionduties.In2013,the FPPCiscontractingwithanoutsidevendortoperformtheseservices.

Form700PaperCopyRequests TheActrequiresFPPCtoprovideaccesstoallForm700snolaterthanthesecondbusinessdayafter theyarereceivedduringourregularbusinesshours.MostForm700sarerequestedviaphoneoremail, andcopiesareeithermailedorscannedandemailedtorequestors.However,wedoreceivesome requestsfromwalkinsatourpubliccounter.Unlesswereceiveanextremelylargerequest,most requestsarecompletedeitherthatsamedayorwithin24hours.Torespondtoarequest,wemustpull thehardcopyoftheForm700fromthefileroom,removeanycorrespondence,andeithermakeacopy forrequestors,orscantheformforemailingtotherequestor,andrefiletheoriginalstatementinthe fileroom. MostrequestorsdonotrequestasinglecopyofaForm700.Whenrequestsaremade,asignificant percentageofrequestorsaskformorethanonestatementperfiler(i.e.allstatementswehaveonfile forJohnDoewhichcouldbeuptosevenyearsofstatements),ortheyaskforallstatementsforagroup offilers(i.e.annualstatementsforallplanningcommissionersinaparticularcounty).Eachyear,itis commonforfilerstocontacteithertheFPPCortheirfilingofficialforacopyoftheirprioryearformasa referenceforcompletingthecurrentForm700. During2012,wereceivedrequestsforover5,500copiesForm700s.Inaddition,during2013,wehave receivedanincreaseofrequestsforstatementsfromstateandlocalfilingofficialswhoforgottoretain
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copiesfortheirrecords.Thelawrequiresfilingofficialstoretaincopiessotheycanmakestatements availableforpublicaccesspurposesintheiroffices.

Filingofficialeducation Exceptforstatementsfiledbyretiredjudgesandlegislativestaffmembers,theFPPCrelieson intermediaryfilingliaisons(filingofficials)tonotifyfilersandgatherformsforForm700filersfromstate andlocalgovernmentagenciesandprovideupdatestoFPPConfilerswhoassumeandleaveoffice. Significanttimeisspentineducatingtheseliaisonsontheirduties,andfollowinguponthestatusof statementsviaemailandtelephonecontacts.Eachyear,everyagencyisrequiredtoreviewaFPPC generatedlistofactiveofficials,andnotifyFPPCofchangestothislist.Itiscommonforthefilingofficial toforgettoobtainstatementsduringtheyearfromofficialswhohaveleftofficeorarenewlyhired. Frequently,thereishighturnoverinwhichindividualsperformthesedutiesfromyeartoyearwhich requiressignificanttrainingeffortsastowhichformsareforwardedtotheFPPC;whohasassumedand leftoffice;thestatusofforwardingstatementstotheFPPC;andtherulesconcerningtheduedateson forms.TheFPPCworkswithover1,500filingofficials. Form700updates TheForm700isrevisedandapprovedbytheFPPCCommissionerseachyeartocomplywithlegislative andregulatorychanges.FPPCstaffmustreviewallinstructions,FAQs,examples,theReference Pamphletandtheformstoensureaccuracy.Thisalsomustbedoneinaveryshorttimeperiod,tohave theForm700andrelatedmaterialsreadytopostbyJanuary1ofthenextyear.Inaddition,electronic filingvendorsneedtherevisedformsandrelatedmaterialssotheyhavetimetoupdatesystemsfor theircustomers.Vendorscontinuingaskforthechangesearlierbutlegislativechangesareusuallynot knownuntillateOctoberandmustbeincorporatedbymidNovembertomeetpublicmeetingnotice requirements.TheCommissionmusthaveallthechangesincorporatedandreadyforusebyJanuary1 ofeachyear. Form700filingprocess Currently,filersmustfilepaperForm700swiththeiragenciesunlesstheyarefilingunderanapproved electronicfilingsystem.ThefilingofficialmakesandretainsacopyandmailsoriginalsofForm700s specifiedabovetotheFPPC.TheActrequiresfilingofficialstoretainthesecopiesforfouryearsto ensurepublicaccess. AdesignatedfilingofficialforeachagencyprovideseitherahardcopyoftheForm700oralinktothe interactiveForm700ontheFPPCswebsiteforfilerstomanuallycompletetheform,unlesstheyare usinganapprovingelectronicfilingsystem.ManyfilersdonotsavetheirForm700seachyearasthey
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musthavethehigherlevelAdobesoftwareavailableinordertosavetheforms.Onlystatementsfiledby legislativestaffersandretiredjudgesarenotfiledwithafilingofficial. Forthelastseveralyears,theFPPChasmadeanExcelversionoftheForm700schedulesavailable, whichisveryhelpfulforsomefilersastheycaneasilysaveinformationsuchasthestocksreported. Becauseofthenatureoftheform,theExcelversionisnotalwaysuserfriendly,andcanbedifficultto readwhenprinted. Anelectronicfilingsystemwilleliminatetheneedforseparateversionsoftheformsandthisduplicative procedure.Currently,theFPPCreceivesover600statementsfromofficialsthatfilewithoneofthe twentythreeagenciesthathaveanapprovedelectronicprogram.

RequirementsOverview
TheStatementofEconomicInterests(Form700)isthedisclosureformprescribedbytheFPPCforpublic officialstoreporttheirpersonalfinancialinterests(investments,realproperty,income(includinggifts, loansandtravelpayments)andbusinesspositions).TheFPPCcurrentlyreceives25,000statementsper year.Staffestimatestherecouldbeover500,000Form700filersinstateandlocalgovernment agencies.TheForm700isfileduponassumingoffice,annually,anduponleavingoffice.Candidatesfor electedpositionsalsomustfileForm700s.TheFPPCseekstoissuethisRFItosolicitvendorsfor solutionsontransitioningfromapaperfilingsystemtoanelectronicsystemforfilingForm700s, providingpublicaccesstoForm700sthroughapublicportal,andadatamanagementsystemto administertheformsforbothFPPCstaffandthefilingofficialforeachagency.Thescopeofworkforany offeredsolutionwillmeetalloftherequirementsinthissection.

Technical
TheendresultofthiseffortistobeanelectronicfilingsystemthatcanbeutilizedbytheFPPCfor currentfilerswiththescalabilitytoaccommodateadditionalfilersinfutureyearsastheFPPCexpands itsonlinefilingprogramwiththeeventualgoalofbeingabletoofferitsusetoallCaliforniaForm700 filers.Althoughnotrequiredthereisastrongpreferenceforsolutionstobeopensourcetoallowother agenciestobenefitfrom,andaddto,thesuccessofthissystem. SecurityRequirements PerGC87500.2thesolutionshallutilizeanelectronicfilingsystemthatincludeslayeredsecurityto ensuredataintegrity.Thesystemshallhavethecapabilitytouniquelyidentifyafilerelectronicallywhen Page|13

heorsheaccessestheelectronicfilingsystem.Theoperationalprocessforthesystemshallinclude industrybestpracticestoensurethatthesecurityandintegrityofthedataandinformationcontainedin thestatementofeconomicinterestsarenotjeopardizedorcompromised. PerRegulation18756(b)InadditiontotherequirementssetforthinSection87500.2,anagency's electronicfilingsystemforstatementsofeconomicinterestsshallincludethenecessaryindustrybest practicestoensurethattheintegrityofthedataandinformationisnotjeopardizedorcompromisedby usingtechnologysuchassecuredauthentication,complexpasswordrequirements,securesocketslayer (SSL),Webencryption,enterpriselevelnetworkfirewalls,databaseencryption,passwordencryption, systemhardeningprocedures,abackupandrestoreprocess,disasterrecoverycapability,andthe capabilitytocompletelyredactoromitinformationfromanInternetpostingoftheform.

RecordsRetention SEIsforpurposesofretentionfallintotwocategories;Statementsthatmustberetainedforeverand Statementsthatmustbedeletedin7years(amountoftimesubjecttochangebutwillremainuniform throughoutthecategory).Theretentioncategoryofthestatementisdeterminedbythepositionofthe filer.Thenumberofpositionsthatrequirepermanentretentionissignificantlysmaller. Redaction Althoughthesystemwillbedealingwithpublicdocumentsthereisarequirementforelectronically postedformstohaveredactionoptionsavailableforfilers.Redactedinformationcannotbedisplayedon thepublicfacingelementsofthesystem.Accesstothecompleteunredactedinformationmustbe availableontheinternalfacingelementsofthesystem.Solutionwillincludeamechanismforfilersto requestagivenfieldberedacted. ProfessionalServices TrainingforFPPCtechnicalandprogramstaffmustbeincludedinthesolution,aswellasaplanfor ongoingprofessionalservicesrequiredtomaintainandupdatethesystemonceitisreleasedto production.Trainingresources,suchasinstructionalvideosand/ormanualsforfilersandtheagency filingofficialswillberequired. Migration Amigrationplanforthecurrentfilerinformationisnotrequired;howeversomemethodforFPPCstaff toeithermanuallyenterorimportfilerswillbeneeded.
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PasswordManagement Proposedsystemswillberequiredtohavesecureautomatedpasswordrecoverytoolsaccessibleto filers. ApplicationCompatibility ProposedsystemswillberequiredtohaveaplantoallowuserstoimportCSVfilesgeneratedbythe FPPCGiftTrackingapplication.Thisfeatureshouldbeauserinitiatedupload. OpenSource

Althoughnotrequiredthereisastrongpreferenceforsolutionstobeopensourcetoallowother agenciestobenefitfrom,andaddto,thesuccessofthissystem

FilerSupport
Proposedsystemshouldincludeamechanismtorejectentriesthatdonotcomplywithestablished parameters,andideallyaprompttoeducateonfilingrulesandsourcesrelatedtoeachrequiredentry field.Additionally,informationshouldberetainedinthesystemsothefilerdoesnothavetoreenter identicaldatathesubsequentfilingyear.

DisasterRecovery Proposedsystemswillincludeamechanismofrecoverythatwillallowthesystemtobeupanaccessible withintwohoursofanonISPrelatedoutage.

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Business

Thefollowingrequirementsareonlyasummaryofthemajordesignandstructurecomponentsrequired forafullyautomatedsystem.Becausethelawsetsdifferentdeadlinesanddifferentfilingrulesamong stateandlocalofficials,thedatabasemustbeprogrammedtoaddressallthevariousrequirementsand rulesrelatedtothefilingsaswellastobeflexibleenoughtomakechangesduetofuturestatutory revisions.Itrequiresextensiveprogrammingtoensurethatstatementsareproperlyassociatedtoan officialandhis/heragencyoragencies;correspondencecanbesentefficiently;finespaid;enforcement processesmet;andpublicaccessandredactionproceduresareinplace. SEIForm700 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. AutopopulationofdatafrompreviousfilingFPPCwillprovidesetfieldstoautopopulate. FPPCinstructionsmustbeprovidedalongwithhelpaidesinarollover/hoverenvironment. FilermustbeabletoprinttheForm700forpersonalusewithoutinstructions. FilermustbeabletosavetheForm700beforesubmission. Thesubmissionformtemplatemusthavemandatoryfieldsandvalidations. FilermaynotfileaForm700untilthefilingofficialhasaddedthefilertothedatabase. AutopopulatethefirstForm700filedbythefilerwiththeassumingofficedateorelection yearalongwithfilersname,agencyandposition. Autopopulatetheleavingofficedatethatisenteredbythefilingofficial. Reviseinstructionseachyear. Revisefieldheadings,addfields,ordeletefieldseachyear. Makemajorrevisions,suchasaddinganewschedulewithnewfields.

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DatabaseManagement 1. Thedatabasemustidentifyafilerwithcertaindatafields. 2. Eachfilermustbeidentifiedwithanagency. 3. Eachfilerisidentifiedthroughastructuredtable(e.g.class,agency,position). 4. Eachfilerisidentifiedwithasingleuniqueidentificationnumber. 5. Certainnotificationsarerecordedinthefilerhistory. 6. Fineinformationfieldsarerecordedinthefilerhistory. 7. Enforcementfieldsarerecordedinthefilerhistory. 8. AccesstoeachForm700filedandrelevantdate,typeofstatement. 9. DatabaseisstructuredsothatitdistinguishesbetweenfilersthatarecurrentlyfilingSEIs andfilersthatnolongerfileForm700s. 10. Databaseisstructuredsothatafilercanbeassociatedwithmorethanoneagency (expandedstatements). 11. Thedatabasemustprogramcertainflagsandbusinessrulestoensurecompliancewith statutoryprovisionsrelatedtothefilingofaForm700.Datesmustbeprogrammedto determinewhenaForm700isdueandlate.Duedatesvarybyagency,filerandposition, statementtypeandthefilingofanassumingofficestatement.(Forexample:Filerswho assumeofficebetweenOctober1andDecember31donothavetofileanannualstatement untilthefollowingyear.FilerswholeaveofficebetweenJanuary1andtheduedateforthe annualfilingmaycombinetheirannualandleavingofficefilingssolongastheyfilebythe earliestduedate.Candidatestatementduedatesaretiedtoelectiondocumentfilings.) Reports TheFPPCwillneedtobeabletogeneratestandardreportsbasedonanumberofcriteria.Sample reportscanbeprovideduponrequest.

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FilingOfficials 1. Over1,500differentagenciessubmitForm700sforfilingwiththeFPPC.Eachofthese agencieswillhaveoneortwofilingofficialsthatmustbeabletoaccessthedatabasefor theiruniquefilerstoadd,updateanddeleteinformation.Inaddition,countyelections officialsmusthaveaccesstothedatabasetoenterthecandidatesseekingstateoffice. 2. Filercannotbeaddedtothedatabasewithoutanassumingofficedateorelectionyear. 3. FPPCandfilingofficialmaynotdeletefilerifaForm700hasbeenfiledbythefiler.Ifafiler hasfiledanFPPCformduetoanerroronthepartofafilingofficial,theformcannotbe deletedbutsavedinamannerthatisdifferentthanthosefilerswhoarerequiredtofilewith theFPPC.Forexample,ifafilingofficerentersnamesofpeoplewhoshouldnotfile,butthe individualsdofile,arecordofthefilingmustbemaintained.ThelawrequiresthattheFPPC cannotdeleteafiling,sohowmissfiledstatementsarehandledneedstobeaddressed. 4. Specificrightswillbeoutlinedforfilingofficials,theFPPCandusers.Forexample,certain notificationscanbesentbytheflingofficialsandFPPCwhileothernotificationsmayonlybe sentbyFPPC.

Notifications 1.Provisionforblastemailstofilingofficials(example:reminderthatfilersmustbenotifiedof upcomingfilingdeadlines.) 2.Provisionforblastemailstocertainclassesoffilers(example:notificationtoallcityattorneys aboutnewlawchanges.) 3.Nonfiler,fineandamendmentrequestletterstofilers.Theseletterswouldeitherbecanned letterswithcertaininformation(suchasduedates)autopopulatedorcustomizedletters. Mailingsystemsforelectronicandpostaldeliveryisrequired. FineManagement

1.Trackingandloggingsystemforfinesowed,duedates,dateandamountreceivedinfiler history,ThiswillincludefunctionalitythatallowstheFPPCorFillingofficerstoaddnotesinan easilyidentifiablesection 2.TrackingsystemforFranchiseTaxBoardfinereferralsincludesdatereferredandamount anddateinterceptistransferredtotheStateGeneralFund.Theinterceptdateandamountalso recordedinthefilerhistoryindicatingpaymentmade. Page|18

EnforcementReferralManagement 1.EmailreferralformtemplatetoEnforcementthatautopopulateswithfilerinformation,filing history,filingofficialcontactinformation,andtypeofreferral(nonfiler,giftviolation). 2.Trackingsystemforstatusofenforcementreferrals(datereferralmadeanddatecaseclosed recordedinfilerhistory. AccessibilityRequirements Proposedsystemsmustmeetallstateandfederalaccessibilityrequirementsforimpairedusersas detailedinsection508oftheRehabilitationActandTitleIIoftheAmericanswithDisabilitiesActand CaliforniaGovernmentCode11135. PublicReportingandSearchFunctionality Thepublicportalmustcontainfunctionalitythatallowsthepublictoaccesstheinformationusingboth cannedandadhocsearches.Additionallythepublicwillneedtobeabletodownloadthedata containedinthepostedSEIstatementsinausableformat(i.e..csv).Allinformationavailabletothe publicmustmaintainthesameredactionasthepostedmaterial. Response
If you are interested in responding to this request for information, please send responses to CarolBollardby5:00PMPST,July11,2013viastandardmail:428JSt,Suite620,Sacramento,CA 95814

ResponseFormat
BelowisalistofmandatoryrequirementsfortheSEIform700electronicfilingsystem.Pleasecheck eitheryesornotoindicateyoursolutionmeetseachrequirement.FPPCmaynotconsideranyproduct orsolutionthatdoesnotmeetallofthelistedrequirements.Additionalnarrativeanddocumentationto explainhowyoursolutionmeetstheserequirementsshouldbeincludedintheresponse.Wealso requestthatyouprovideanyproductspecifications,literature,oranyotherdocumentationthat substantiatesthatyourproductmeetstheserequirements.Responsesshouldbepreparedinamanner thatdeliversaclear,concisedelineationofcapabilitiesthatshowthesolutionsabilitytomeetthe requirementslistedinthisRFI.AllsubmittalsandaccompanyingdocumentsbecomepropertyoftheFair PoliticalPracticesCommission.

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ResponseFormat
Responseswillgivetotalcostofthesolution;costscanbebasedonthecurrentamountofFPPCfilers (25,000)andshouldincludetheformulafordeterminingcostsforgrowth.Allcoststobeincurredbythe FPPCwillbesummarizedinthefollowingcategories. 1. OneTimeCosts 2. RecurringCostsandtheunit(s)percost(i.e.perfiler,perprocessor,etc.) 3. OtherCosts 4. OngoingService/MaintenanceCosts 5. Totalcostofownership(5yearperiod)

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RequirementsMatrix
Security Yes

No

MeetsLayeredNetworkSecurityguidelines UsesSecuredAuthentication UsesComplexPasswords HasautomatedPasswordRecoverysystem

SEIForm700 Yes

No

AutopopulationofdatafrompreviousfilingFPPCwillprovidesetfieldstoautopopulate. FPPCinstructionsmustbeprovidedalongwithhelpaidesinarollover/hoverenvironment. FilermustbeabletoprinttheForm700forpersonalusewithoutinstructions. FilermustbeabletosavetheForm700beforesubmission. Thesubmissionformtemplatemusthavemandatoryfieldsandvalidations. FilermaynotfileaForm700untilthefilingofficialhasaddedthefilertothedatabase. AutopopulatethefirstForm700filedbythefilerwiththeassumingofficedateorelection yearalongwithfilersname,agencyandposition. Autopopulatetheleavingofficedatethatisenteredbythefilingofficial. Reviseinstructionseachyear. Revisefieldheadings,addfields,ordeletefieldseachyear. Makemajorrevisions,suchasaddinganewschedulewithnewfields.

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DatabaseManagement Yes No
Thedatabasemustidentifyafilerwithcertaindatafields. Eachfilermustbeidentifiedwithanagency. Eachfilerisidentifiedthroughastructuredtable(e.g.class,agency,position). Eachfilerisidentifiedwithasingleuniqueidentificationnumber. Certainnotificationsarerecordedinthefilerhistory. Fineinformationfieldsarerecordedinthefilerhistory. Enforcementfieldsarerecordedinthefilerhistory. AccesstoeachForm700filedandrelevantdate,typeofstatement. DatabaseisstructuredsothatitdistinguishesbetweenfilersthatarecurrentlyfilingSEIsand filersthatnolongerfileForm700s. Databaseisstructuredsothatafilercanbeassociatedwithmorethanoneagency(expanded statements). Thedatabasemustprogramcertainflagsandbusinessrulestoensurecompliancewith statutoryprovisionsrelatedtothefilingofaForm700.Datesmustbeprogrammedto determinewhenaForm700isdueandlate.Duedatesvarybyagency,filerandposition, statementtypeandthefilingofanassumingofficestatement.

Reports Yes

No

AbilityforFPPCtorunpremadereports AbilityforFPPCpersonneltogeneratenewreportstypes

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FilingOfficialFunctionality Yes

No

Over1,500differentagenciessubmitForm700sforfilingwiththeFPPC.Eachofthese agencieswillhaveoneortwofilingofficialsthatmustbeabletoaccessthedatabasefortheir uniquefilerstoadd,updateanddeleteinformation.Inaddition,countyelectionsofficials musthaveaccesstothedatabasetoenterthecandidatesseekingstateoffice. Filercannotbeaddedtothedatabasewithoutanassumingofficedateorelectionyear. FPPCandfilingofficialmaynotdeletefilerifaForm700hasbeenfiledbythefiler.Ifafiler hasfiledanFPPCformduetoanerroronthepartofafilingofficial,theformcannotbe deletedbutsavedinamannerthatisdifferentthanthosefilerswhoarerequiredtofilewith theFPPC.Forexample,ifafilingofficerentersnamesofpeoplewhoshouldnotfile,butthe individualsdofile,arecordofthefilingmustbemaintained.ThelawrequiresthattheFPPC cannotdeleteafiling,sohowmissfiledstatementsarehandledneedstobeaddressed. Specificrightswillbeoutlinedforfilingofficials,theFPPCandusers.Forexample,certain notificationscanbesentbytheflingofficialsandFPPCwhileothernotificationsmayonlybe sentbyFPPC.

Notifications Yes No
Provisionforblastemailstofilingofficials(example:reminderthatfilersmustbenotifiedof upcomingfilingdeadlines.) Provisionforblastemailstocertainclassesoffilers(example:notificationtoallcityattorneys aboutnewlawchanges.) Nonfiler,fineandamendmentrequestletterstofilers.Theseletterswouldeitherbecanned letterswithcertaininformation(suchasduedates)autopopulatedorcustomizedletters.

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FineManagement Yes No
Trackingandloggingsystemforfinesowed,duedates,dateandamountreceivedinfiler history,ThiswillincludefunctionalitythatallowstheFPPCorFillingofficerstoaddnotesinan easilyidentifiablesection. TrackingsystemforFranchiseTaxBoardfinereferralsincludesdatereferredandamountand dateinterceptistransferredtotheStateGeneralFund.Theinterceptdateandamountalso recordedinthefilerhistoryindicatingpaymentmade.

EnforcementReferralManagement Yes

No

EmailreferralformtemplatetoEnforcementthatautopopulateswithfilerinformation,filing history,filingofficialcontactinformation,andtypeofreferral(nonfiler,giftviolation). Trackingsystemforstatusofenforcementreferrals(datereferralmadeanddatecaseclosed recordedinfilerhistory.

PublicReportingandSearchFunctionality Yes

No

Allowspublictorunpreconfiguredcannedreports Allowspublictoperformadhocsearches Restrictsallredactedinformation

RecordsRetention Yes

No

Retentionandautodeletioncapabilityforformswitharbitrarydeletiondate(currently7 years) Permanentretentioncapabilityforrecordsthatrequirepermanentretention

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ProfessionalServices Yes

No

Programstafftraininganddocumentation ITTraining,documentationandhandoff Planforrevisionofformsandinstructionsifnobuiltinrevisionfunctionality

DisasterRecovery Yes

No

Fullrecoverywithin2hoursofnonISPrelatedoutage Backupsacrossthewiretooffsitelocation

ApplicationCompatibility Yes

No

ProposedsystemswillberequiredtohaveaplantoallowuserstoimportCSVfilesgenerated bytheFPPCGiftTrackingapplication.Thisfeatureshouldbeauserinitiatedupload.

Redaction Yes

No

Requirementforelectronicallypostedformstohaveredactionoptionsavailableforfilers.

Migration Yes

No

Methodforaddingorimportingusers

AccessibilityRequirements
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Yes

No

Proposedsystemsmustmeetallstateandfederalaccessibilityrequirementsforimpaired usersasdetailedinsection508oftheRehabilitationActandTitleIIoftheAmericanswith DisabilitiesActandCaliforniaGovernmentCode11135.

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