COMDTINST 5370.9B
the financial interests of covered personnel. These reports assist the Coast Guard in administering
its ethics program and providing counseling to its personnel.
5. APPLICABILITY. This Instruction applies to all Coast Guard personnel who are required to file or
review a PFDR or CFDR.
6. PROGRAM OVERSIGHT. The Judge Advocate General of the Coast Guard, Commandant (G-L),
is responsible for the formulation of policy and procedures for the financial disclosure reporting
system, and is the final authority in the Coast Guard for resolving any conflicts of interest identified
through the financial disclosure reporting system.
7. PUBLIC FINANCIAL DISCLOSURE REPORTS (PFDR).
a. Personnel Required to File.
(1) Every Senior Executive Service (SES) employee;
(2) Every Coast Guard and Public Health Service officer whose pay grade (not frocked grade) is
0-7 or higher;
(3) Every Administrative Law Judge (ALJ) appointed under 5 U.S.C. 3105; and,
(4) Every Coast Guard and Public Health Service officer who is nominated for any pay grade,
0-7 or higher, or any position requiring Senate confirmation.
b. Filing Requirements.
(1) Nominee PFDR. Officers nominated for grades O-7 through 0-10 (or for certain statutory
positions) must file a Nominee PFDR with Commandant (G-ICA) by the date established by
G-ICA. This requirement is in addition to any Incumbent PFDR that the officer may be
required to file associated with their position when nominated.
(2) New Entrant PFDR. Any employee assuming an SES or ALJ position must file a New
Entrant PFDR with Commandant (G-L) within 30 days of assuming that position. Exception:
If the employee moves from one covered PFDR position to another within 30 days, he or she
is not required to file a New Entrant PFDR. However, the employee is required to submit a
copy of his or her most recent Incumbent PFDR to Commandant (G-L) within 30 days of
assuming the new position.
(3) Incumbent PFDR. Any person who performs duties in a PFDR position in excess of 60 days
during a calendar year must file an Incumbent PFDR with Commandant (G-L) between
1 January and 15 May of the following year, except that the Judge Advocate General will file
with the Department of Homeland Security (DHS), Office of General Counsel (OGC).
(4) Termination PFDR. All PFDR Incumbents retiring/leaving the Coast Guard must file a
Termination PFDR with Commandant (G-L) (except for the Judge Advocate General who
files with the DHS OGC) during the 30 day period immediately following retirement or
termination of service. However, if the filer is retiring within 45 days of 15 May, the filer
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