278 SLC Quick Start



2009 FDM 278 Senior Legal Counsel(SLC)/

SLC Ethics Counselor (EC) Quick Start

Purpose: This Quick Start highlights the most likely FDM features and resources you will need in your SLC Role. Please share this information with assistants (e.g., SLC ECs, Assistants) you appoint.

Introduction:

The Financial Disclosure Management (FDM) software program, , helps Filers accurately prepare and electronically file a Financial Disclosure Report (either the Standard Form (SF) 278, Public Financial Disclosure Report, or the Office of Government Ethics (OGE) Form 450, Confidential Financial Disclosure Report). FDM is a secure, online application that simplifies financial disclosure report preparation and review saving time and eliminating common errors. FDM is role-based and access to information depends on what role(s) a user has. Consult your legal supervisor if you need access to FDM as an SLC.

OGE-approved, FDM supports the DoD transformation of enterprise management and a specific DoD priority: “Improve Effectiveness and Efficiency Across the Board.” In January 2009, the Deputy Secretary of Defense designated Army as the Executive Agent to operate FDM for DoD. DoD Designated Agency Ethics Officials (DAEOs) are now planning for FDM implementation. The Office of Government Ethics, Veterans Affairs Department, and the Department of Homeland Security use FDM.

The purpose of the SF 278 is to help employees avoid conflicts between their official government duties and their private financial interests or affiliations. It also helps them avoid conflicts that result from the financial interests and affiliations of their spouses and dependent children.

Agency review of the SF 278 helps employees avoid conflicts of interests. It also protects the agency by giving the agency a chance to deal with conflicts of interest internally instead of publicly. The review also provides an in-depth, methodical review process to identify conflicts (or potential ones) that employees may overlook and to take appropriate preventive or corrective action.

SLCs have very important responsibilities in the processing of the SF 278, Public Financial Disclosure Reports, for your organization. Deputy DAEOs (DDAEOs) usually appoint the senior legal counsel/advisor at an activity, organization, or installation, as an FDM SLC. In FDM the SLC is the local legal advisor to the 278 Filer or the Supervisor of that Filer. SLCs may appoint one or more ECs to assist. Any SLC EC appointed (on the My Info | My ECs tab) will see the same reports that you see as FDM is role-based and access to information depends on what role(s) a user has. SLCs manage any appointed ECs (add/remove upon arrival/departure) on the My Info | My ECs tab.

SLCs & FDM 450: SLCs usually appoint an EC as FDM 450 Certifier to approve OGE 450s in FDM 450 (Admin | 450 Certifier tab). If you have both an SLC and 450 Certifier role see the 450 Certifier Quick Start for FDM 450 guidance (FDM Resources page: ).

Getting Started in FDM:

1. Take the 4-minute FDM website tour: . Then browse the FDM website, , especially the Learning Center and the Help & Support | Resources tabs. The FDM Learning Center, , includes short video tutorials () (e.g., Filing an SF 278), and topical Quick Reference Cards (QRCs) () that are often two to six pages of screen shots and step-by-step explanations of select FDM features including:

|Filing an SF 278 |Assigning a Report to File |

|Reviewing an SF 278 |Remind Filers |

|My Filers (including how to add Filers) |Management Reports |

2. Next, you may find it helpful to view one or more of these FDM 278 presentations:

Using FDM 278 in 2009

–Narrated:

–Slides:

FDM 278 Filer Demo:

–Narrated:

–Slides:

FDM 278 Reviewer Demo:

–Narrated:

–Slides:

3. Scan the FDM 278 SOP and the FDM 278 SLC User Guide (check the FDM Resources page, , for the latest versions). The FDM 278 SLC User Guide will be updated in April 2009 (after Release 5.4).

4. Login to FDM: FDM is like TurboTax with menu tabs and a report wizard. The first time a new FDM user logs in a partially completed Contact Info screen appears. Pay particular attention to the e-mail address as this e-mail address is what FDM uses to communicate information or notifications to you. Complete any missing information and Save to proceed to the standard FDM navigation tabs.

Returning FDM SLCs land on the My Reviews | Review Reports tab:

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Change the Search box filters, set your role as SLC (or SLC EC) and set the form type to SF 278, year: 2009 (unless looking for reports for an earlier year), then click Search to see any reports awaiting your action (e.g., End Review or eSign).

Note: if you are also an FDM Filer you will have a “My Reports” tab to the left of the My Info tab.

Click on Admin to move to FDM’s administrative area where you may add other FDM users:

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The Admin tab, sub-tabs Filers, POCs, Supervisors, 450 Certifiers, and Org Units are the locations where you register new FDM 278 Filers in the org unit that corresponds to the Filer’s supervisor, register org unit POCs (who assist/manage their Filer lists), register Supervisors (Delete old/Assign new Supervisors who leave/arrive at the Org Unit), register FDM 450 Certifiers to approve OGE 450s, and create new org units (or edit the existing org unit name/description). IMPORTANT: if the Filer is also a Supervisor of other Filers assign the Filer as Supervisor before registering or moving the Filer to the org unit of his/her Supervisor.

The Admin | Users tab is an online directory of all registered FDM users and their profile (roles) in FDM. This is very useful when seeking a user’s FDM org unit location, an email address, or phone number.

a. Assigned Reports: FDM 278 was initialized so that nearly all SF 278 Filers already registered in FDM 278 on 31 December were assigned an Incumbent SF 278 report (due 15 May). The FDM 2009 report covers calendar year (CY) 2008.

See currently assigned Incumbent SF 278 reports: start on the My Reviews | Review Reports tab:

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Click on “Org Unit View Mode” on the right, near the Common Questions. On the resulting screen use these settings to see SF 278 Filers where you are the SLC (“Show My Filer’s Reports).

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Clicking Search will display a table like this one where you should see all 278 Filers where you are the SLC:

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The table displays any assigned reports for your 278 Filers. If you do not see one of your Filers contact the FDM Webmaster for assistance. The “Remove Assignment” action button will remove the presumptive assigned report. (Consider doing this if there is a report assigned for 2008 or earlier that your Filer has not started in FDM.) FDM 278 Filers who start a report that is not assigned will have an “Assign” action button. [SF 278 Filers who retire or depart the covered position before 15 May 2009 file a Termination report (unless going to another covered position within 30 days). SF 278 Filers who will retire or depart the covered position on/after 16 May and before 13 August 2009 may obtain an extension and file a combination Incumbent/Termination instead of filing a separate Incumbent report (due 15 May) and a Termination report (due NLT 30 days after retirement or departure from the covered position).] Use the Admin | Filers tab to Assign these reports.

Note: when registering SF 278 Filers after 1 January be sure to “assign” the report (either New Entrant, Incumbent, Termination, or Incumbent/Termination) or if such a report is already assigned move the assigned report when moving the Filer to a different FDM org unit that corresponds to the Filer’s new Supervisor. The FDM Learning Center, , has a QRC on Assigning Reports: .

Annually, the Army (and other agencies) report disclosure statistics to the Office of Government Ethics. FDM’s Assigned Report feature will provide the SF 278 (and OGE 450) Filer numbers so you will not have to count or separately report them beginning in January 2010 since FDM is used Army-wide.

Filer Departed? If your list of 278 Filers (Admin | Filers tab) shows a 278 Filer who departed your AOR notify the FDM Webmaster or Help Desk to move the Filer to another FDM location or remove the Filer’s role by clicking the check box to the left of the Filer’s name and then clicking the “Remove SF 278 Filer Role” action button.

b. Adding SF 278 Filers: Most Army 278 Filers are already registered in FDM in an “Org Unit” that has one or more Filers, a Supervisor, an SLC, and a Deputy DAEO (278 certifying authority). Contact the FDM Webmaster or your DDAEO’s FDM POC to register newly promoted Brigadier Generals and new SES employees. When doing so, provide the Supervisor’s name. (SLCs/SLC ECs may register Filers in FDM on the Admin | Filers tab in an existing Org Unit associated with the Filer’s Supervisor (or, add a new org unit if needed).) A short video tutorial, Managing FDM Filers, and a Quick Reference Card (QRC), QRC My Filers, explain the Filer registration process.

Filer Assistant: Many SLCs/SLC ECs serve as Filer Assistants to the 278 Filer and draft the report for the Filer. Some 278 Filers also appoint an Aide or Executive Assistant as a Filer Assistant (My Info | My Assistants tab). The FDM Webmaster or the DDAEO FDM POC may add a Filer Assistant.

Extensions: See the Quick Reference: QRC Managing Extensions. DDAEOs have authority to grant extensions. Some DDAEOs further delegated this authority to subordinate Ethics Counselors (i.e., FDM SLCs). FDM allows recording of any extension granted to a 278 Filer until the DDAEO completes the report. Extension requests are still processed outside FDM, but may be added as an attachment (Attachment tab in a Report). Since April 2009 DAEOs, DAEO ECs, SLCs, and SLC ECs may record the extension in FDM. Record extensions on the Review Status screen inside a report by clicking on the “View/Edit Due Date & Extensions” action button on the right side of the Review Status screen.

c. Notify SF 278s Filers to eFile: Use the Notify feature on either the Admin | Filers tab or the

My Reviews | Filers tab to notify your SF 278 Filers to eFile in FDM. The FDM 278 SLC User Guide includes a sample notice you may edit. You may want to mention the tutorial and/or Quick Reference on Filing an SF 278:

You may find the short Quick Reference Card, Filing an SF 278, , useful as an introduction to FDM or a quick refresher if you haven’t used FDM recently. SF 278 Filers with prior reports in FDM may prepopulate the next report using information from the last one to save time. A chart summarizing what to report is at .

d. Updating FDM 278 Supervisors: If an existing FDM org unit should have a new Supervisor go to the Admin | Supervisor tab and select next level down until you reach the level where you want to replace the Supervisor. There, use Delete, then Assign the successor.

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Note: click on the Show Acting button in the table to see any FDM org units where there is a Supervisor vacancy and the next higher level org unit Supervisor is acting.

5. Reviewing an SF 278 in FDM: The FDM Learning Center | Documentation includes a Quick Reference, QRC Reviewing a SF 278, that covers the FDM mechanics for moving through a report (either in Report Wizard view, section-by-section, or the View/Print method (displays the 278 in printable PDF)). The FDM 278 SOP has a detailed checklist for reviewing an SF 278 substantively.

On the My Reviews | Review Reports tab, set your role as SLC (or SLC EC) and set the form type to SF 278, year: 2009 (unless looking for reports for an earlier year), then click Search to see any reports awaiting your action (e.g., End Review or eSign)

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A table of available reports will display where you will have several options: View, End Review, eSign, & Submit to DAEO. Many SLCs who appoint SLC ECs have the SLC EC use “End Review” to indicate the report is ready for the SLC’s eSign.

When finished checking the report contents and you are ready to End Review or eSign go to Wrap Up and follow the on-screen instructions.

After the Filer’s SLC and Supervisor have eSigned the report it is ready to “Submit to DAEO” so the DAEO (certifying authority) may complete the report. Any reviewer, including the DAEO’s FDM POC may advance a report to that status. While in Submitted to DAEO status the Filer may not amend the report.

Helping Supervisors Find SF 278 Reports to Review: Supervisors needing to review SF 278s do so on the My Reviews | Review Reports – Worklist view, using the settings shown below:

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In the Search filter box, use the Last Name and First Name fields to find a specific 2009 report to review or search for all such reports at once.

Click Search once the search options are set. Supervisors may search for both Form Types (use ALL).

Note: when a Filer submits (eSigns) his/her SF 278 (s)he has the option of notifying the SLC and/or Supervisor. Check the FDM 278 Supervisor Review 278 Quick Start, .

6. Record Ethics Training. Release 5.4 (April 2009) enabled ethics officials to record Filer ethics training using the new “Ethics Training” tab:

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SLCs, SLC ECs, 450 Certifiers, SLC Assistants, & 450 Certifier Assistants all have access to the new Ethics Training tab for recording ethics training of their SF 278 and OGE 450 Filers. The training information recorded in FDM will be compiled in the annual Army Ethics Report to OGE since all Army Filers are using FDM. See the Quick Reference, Managing Ethics Training, in the Quick Reference section of FDM, .

7. Using FDM Successfully: Here are a few suggestions for best FDM use.

a. When changing screens in FDM watch the upper right corner of your Internet Explorer Window for the “flying Windows flag icon” [pic] or the status bar at the bottom of the screen for an indication

[pic] that FDM is accomplishing your action. If both “stop” completely or “Done” appears in the status bar you may need to click on the action again.

b. Check the FDM Resources tab, , in the SF 278 area for the latest FDM 278 resources.

c. Check the FDM Learning Center | Tutorials tab, , for short videos on specific subjects. Each will self-play or use the Playback controls:

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d. FDM includes a [pic] symbol for more information on a particular task. These link to the corresponding Quick Reference.

e. Most FDM screens include Common Questions and Answers tailored to that particular area of a report or on FDM use. See the entire set of FDM 278 Common Questions & Answers: .

f. FDM’s Glossary: .

g. FDM Known Issues: all software has bugs or defects that may affect it. Check FDM’s Known Issues area, , to see any reported known issues and suggested workarounds.

h. FDM Management Report: FDM includes a Management Reports tab where SLCs may see report progress for all their Filers and Filers in subordinate org units. See the Quick Reference, QRC Management Reports, , for details.

8. Here is a suggested FDM 278 SLC Resource Binder Table of Contents to help you organize the FDM 278 resources (if you opt to print them).

FDM 278 Resource Table of Contents

|SLC Certifier Quick Start, link: |A |

| | |

|Using FDM 278, link: ; |B |

|Narrated: | |

|FDM Glossary, link: |C |

|278 User Guide for Senior Legal Counsel (SLC), Ethics Counselors (ECs), &, link: | |

| |D |

|FDM 278 Legal Office Standing Operating Procedure (SOP) for Electronically Filing (Efiling) & Managing SF 278s, link: | |

| |E |

|FDM’s 278 Common Questions & Answers, link : |F |

| | |

|Quick Reference – My Filers |G |

|FDM 278 Financial Disclosure Report Process Overview diagram, link: |H |

|Quick Reference – Reviewing an SF 278, link: |I |

| | |

|OGE’s SF 278 Review Guide, link: |J |

|FDM 278 Examples (new 2009) |K |

|FDM web site Resources page, link: |L |

FDM Help Desk: (732) 532-5566, DSN 992-5566. This office is staffed from 7:00 AM to 5:00 PM Eastern Time. Voice mail available for other times. The email is: CELCMCFDMSupport@mail1.monmouth.army.mil.

Contact the FDM Webmaster by email at FDM Webmaster or by phone at 703.696.5512/5506. Send comments or suggestions for improvements to the FDM Webmaster.

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