1. Financial Disclosure Management (FDM)
Status Reports
Slides:
Gilbert Carlson & George Hancock Office of the General Counsel Ethics & Fiscal
Presenters: George Hancock; Gilbert Carlson and contact information
The Financial Disclosure Management (FDM) software program helps Filers accurately prepare and electronically file a Financial Disclosure Report (either the OGE 278, Public Financial Disclosure Report, or OGE Form 450, Confidential Financial Disclosure Report). FDM is a secure, online application accessed at the address shown in the slide footer. FDM simplifies financial disclosure report preparation and review, saving time and eliminating common errors.
This presentation focuses on key items for SJAs (the FDM SLC role) and OGE 450 Certifiers to use to monitor report processing and tools to complete reports.
You may want to pause this presentation to download the slides at the link shown. The Speaker’s Notes view includes a narrative.
Deputy Director, FDM
Director, FDM
1777 N. Kent Street, Suite Arlington, VA 22209

2. Online Presentation Controls
The presentation will open once the link is clicked and it will self-run. Turn speakers on to hear narration.
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Before I cover the substance of this presentation here is a slide on how to use the play back controls and to enlarge the slides in a separate window.
Along the left you see several play back controls as labeled.

3. Topics Management Reports – Seeing Report Status/Progress
Overdue OGE 450s
Actions - Remind Filers, Supervisors tools to move reports along
In particular, we will highlight FDM features that help you see report processing and FDM’s tools & views to manage FDR processing in your office

4. Review Reports
Use Search filter settings to narrow/change what Search displays.
Either as an SLC or 450 Certifier you recognize the My Reviews | Review Reports tab is your main work area for displaying reports ready for your review.
You are already familiar with this FDM starting point.
This “Action Required” search setting will not show you reports that are in Draft or where the Filer has not yet started. If you change the Search box “filter” settings you can display those and other reports (e.g., those already completed).
FDM also has a “Management Reports” tab that displays report progress toward completion.
Quick Reference:

5. Management Reports Disclosure Registered Filers Details
Filers with no reports
Administration (Supervisors)
Currently Overdue (OGE 450 only)
“SLC-220 Worksheet”
The Management Reports tab has preset reports to help you watch report progress. Views of both 278s and OGE 450s are available.
As with most FDM features, the blue ellipse in the upper right signifies a “Quick Reference” explaining this feature is also available.
Quick Reference:

6. Management Reports - Disclosures
There are 3 specific report types shown here for the Disclosure sub tab. Option 1, Registered Filers Summary is just that.

7. Registered Filers Goal is get these numbers to “0” by filing deadline
Here you see an FDM user in a DAEO role who runs the Registered OGE 450 Filer Summary for the entire Army showing the results in the table at the bottom.
In your case, you (or your 450 Certifier) could run this report using the settings shown on the next slide.
Goal is get these numbers to “0” by filing deadline

8. Registered Filers SLC or 450 Certifier Change the year as necessary
Here you see an FDM user in an SLC role who runs the Registered OGE 450 Filer Summary for those OGE 450 filers in org units where this user is the SLC. Your 450 Certifier could run this report using the settings shown. Goal: 0 not yet assigned, 0 in not started, assigned, 0 draft.

9. Disclosure Detail
Here you see an explanation of the differences in the Show for, Show My and Include filter settings.
Most of the time, you want to see “your filers” so select “Show My” as your choice. If you only wanted to see for a single FDM org unit then you select Show for that org unit.
MACOM SJAs may want to see across the entire MACOM and would select Show My and Include to expand beyond those where the SJA had the SLC role.

10. Disclosure Detail
Here you see an SLC ran Disclosure Report Detail (choice 2 on the Management Reports – Disclosure tab.
The SLC has selected Show My filers – those in org units where this user is the SLC.
Since Filers have assigned reports, the SJA may prompt the 450 Certifier or Ethics Paralegal to remind those filers. That person would go on the My Reviews | Remind Filers tab to remind these filers to submit. Next slide.

11. My Reviews | Remind OGE 450 Filers
Four types of OGE 450 Filers to “remind” –
Filers assigned who need an initial notice to file
Those who still haven’t started
Those who started a Draft, but haven’t submitted
Those who missed the due date (or extended due date)
There are 4 “Find” choices as shown.
Quick Reference Card:

12. My Reviews | Remind OGE 450 Filers
For example, here the 450 Certifier decided to do a first notice to file. FDM found all those filers where this user was the 450 Certifier (show my) and displayed the info below. The FDM user can uncheck one or more of the names to prevent FDM from including them. When satisfied with the list, the user clicks on Notify at the bottom right to display this screen.
The My Reviews | Remind OGE 450 Filers tab to remind these filers to submit.

13. My Reviews | Remind OGE 450 Filers
This screen displays the standard notice content and the optional additional area for information to the filers. Notice at the bottom there is an option to include an notice to the org unit POCs and (not shown) a similar optional notice to include Supervisors of the selected filers. The FDM user clicks Send to send the notice. Filers are notified.
Similar optional notice to include Supervisors of the selected filers

14. My Reviews | Remind OGE 450 Filers
This screen displays a summary of the action at the bottom

15. My Reviews | Remind OGE 450 Filers
Four types of OGE 450 Filers to “remind” –
Filers assigned who need an initial notice to file
Those who still haven’t started
Those who started a Draft, but haven’t submitted
Those who missed the due date (or extended due date)
The 450 Certifier, EC, Assistant, and POCs may repeat using this tool throughout the year as necessary.
Repeat as often as necessary during/after the filing season using the other “Find” options

16. Management Reports - Disclosures
Now, let’s look at another report, Option 3, Filers without disclosures.

17. Disclosure Detail
The 3rd standard Disclosure report view is of those registered OGE 450 Filers who have not started a report as of a particular date you run the report. Here, again, you see that the SLC takes a snapshot of OGE 450 filers in org units where this user is the SLC. Show My Filers is checked. Set the Year.
The table at the bottom shows 6 filers registered. 5 are assigned an Annual report. One Filer is not assigned a report so it is unclear if that filer still needs to file or not. The filers with Assigned reports can be notified using the My Reviews | Remind Filers tab as explained earlier.

18. Remind Supervisors My Reviews | Remind Supervisors tab
FDM also has a tool to help 450 Certifiers remind Supervisors to review reports. Here, on the My Reviews | Remind Supervisors tab, the 450 Certifier is searching for any/all Supervisors of OGE 450 filers with open reports awaiting the supervisor review/esign in FDM. This is a great result – no Supervisors are delaying the report processing. If any supervisors were identified there would be an shell opened similar to the one for recalcitrant filers.

19. Currently Overdue OGE 450s
Maybe run monthly starting 1 March?
In late Feb, and monthly thereafter during the year, you probably want to run the Currently overdue OGE 450s. It will display Filer’s name, responsible 450 Certifier, current due date/extension info.
Goal is to have nothing showing when you run this report.
Quick Reference:

20. “Success Score” On the Management Report | Review Metrics tab
Measures how well 450 Certifier does against the OGE 60-day review rule
A score of 1,000 indicates the Ethics Official has initially reviewed or completed all eligible reports within 60 days of the Filer’s submission (thus meeting the OGE review rule)
A management report, Success Score for 450 Certifiers, shows 450 Certifiers how they are doing in reviewing reports within the Office of Government Ethics 60-day review rule. FDM displays for 450 Certifiers a summary table and a Success Score. The Report Progress Summary is available under Management Report | Review Metrics.
. A score of 1,000 indicates the Ethics Official has initially reviewed or completed all reports within 60 days of Filer’s submission (eSign date).

21. “Success Score”
Here’s a sample. Ask your 450 Certifier to print and provide to you or report the results as part of his/her performance evaluation.

22. Summary Management Reports – Seeing Report Status/Progress
Overdue OGE 450s
Actions - Remind Filers, Supervisors tools to move reports along
This short presentation highlighted several FDM management reports to help you see how your filing season is going. Some other features, the Remind Filers, Remind Supervisors help your 450 Certifiers and their staff “ping” those who need prompting during the filing season to move reports along.
Contact us if you need more information or assistance.
Deputy Director, FDM
Director, FDM
1777 N. Kent Street, Suite Arlington, VA 22209