CHECKLISTS FOR FINANCIAL AND OTHER CONFLICTS OF INTEREST ‘The Code of Conduct for United States Judges requires judges to disqualify them- selves in proceedings in which they (or a spouse or resident minor child) have finan- Gal interests." Judges also are required to recuse themselves when they are disquali- fied for other reasons, such as personal knowledge of disputed facts, prior service as. an attorney or material witness in the matter, and involvement of relatives as parties, attorneys, or witnesses? ‘The wwo attached checklists can help you identify potential conflicts of interest re- quiring recusal. The checklists reflect potential conflicts of interest explicitly mentioned in the Code of Conduct, but you should also avoid other situations in which you may be disqualified because your impartiality might reasonably be questioned To avoid conflicts, judges should: * Be informed. Know about your own financial interests and stay informed about the personal financial interests of a spouse and minor children living with you. Canon 3C(2). You are not required to investigate the interests or activities of other relatives, but if you know of information called for by the checklist, you should include it. "Code of Conduct for United States Judges, Canon 30(1)(c); 28 U.S.C. § 455(0)(4). * List conflicts. List disqualifying interests using the two attached checklists. Financial conflicts. List the following, financial interests: (1) an ownership interest, such as common stock, pre- ferred stock, conver le stock, stock options, or a partnership share (but not bonds or government securities)? and (2) a relationship as a director, advisor, or other active participant in the affairs of an entity. In compiling the list, itis helpful to review your annual financial disclosure report, but please note that the two lists are not coextensive. Your conflicts list should include currently held assets whereas your disclosure report reflects assets held at year end. In addition, the financial conflicts list should include stock of any value but not bonds, whereas the financial disclosure report lists both stocks and bonds but only if their value exceeds $1000. Other conflicts. Using the second checklist, list cases, attomeys, or law firms that warrant your disqualifica- tion, When making the list, review the cases you handled in other jobs or that were handled by lawyers with *Code of Conduct for United States Judges, Canton 30(1)(a) to (e); 28 U.S.C. § 485(b)(1) to (5). Shares in mutual funds do not constitute a financial interest in the companies whose stock is held by the mutual fund, Unless the judge participates in managoment ofthe fund. However, shares in some mutual funds may convey an ‘ownership interest inthe mutual fund management company (in which case that company should be included an the confics list).whom you practiced law and list any that might be filed in your court. Update the information on your list as needed. This will help you avoid han- dling cases with conflicts and minimize unnecessary disqualifications. Lists should be dated. Compare the list to the docket on a regular basis. This will help you identify situations in which you are required to recuse. The comparison may be done man- ually or electronically, in chambers or in the clerk's office; conflicts screening soft- ware is available to help with this task. At your discretion, copies of the list may be provided to counsel or the parties for their help in identifying potential conflicts. + Watch for other sources of disqualifica- tion. These checklists should help you identify most conflicts. However, you also may be disqualified in the follow- ing circumstances, which cannot readily be identified in advance or recorded on your list: (1) you have a personal bias or prejudice concerning a party; (2) you have personal knowledge of disputed evidentiary facts concerning the proceeding; (3) you know that you, your spouse, your third degree relatives,* or their spouses have an interest that could be affected sub- stantially by the outcome of the proceeding; or (4) your impartiality ‘might reasonably be questioned on any other basis (for example, presiding over cases handled by close friends). ‘Parent, child, grandparent, grandchild, great grandparent, great grandchili, sister, brother, aunt, uncle, nisce, and nephew. 1-22-40:300 (9199) Checklist for Financial Conflicts ‘This checklist should assist judges in developing a lst of all nterosts that may give rise toa financial conflict of interest. Judges should list each company or organization in which they or the relatives described below have a financial interest or connection. Do not lst the amount of any financial interest or identity to whom the interest belongs. These conflicts of interest may not be waived. Does the judge: 1. personally own stock, shares, of some other financial interest in a company? 2. have an equitable interest (2.g., as a vested beneficiary) in an estate or trust that has a financial interest in a company? 8. serve as an officer, director, advisor, trustee, ‘or active participant in the affairs of an ‘organization? 4, serve as a fiduciary of an estate or trust that has a financial interest in a company? Does the judge's spouse: 1. personally own stock, shares, or some other financial interest in a company? 2. have an equitable interest (e.g., as a vested beneficiary) in an estate or trust that has a financial interest in a company? 8, serve as an officer, director, advisor, trustee, or active participant in the affairs of an organization? Does the judge's resident minor child: 1. personally own stock, shares, or some other financial interest in a company? 2. have an equitable interest (e.9.,a8 vested beneficiary) in an estate or trust that has a financial interest in a company? 3. serve as an officer, director, advisor, trustee, fr active participant in the affairs of an ‘organization? Does the judge's third degree relative,’ the judge’s spouse's third degree relative, or the spouse of any of these relatives 1. serve as an officer, director, or trustee of an organization? "Parent, child, grandparent, grandchild, reat grandparent noO no no no no no noO no no no no ves ves yes ves ves ves yesO yes yes yes ° 0 Yess > list name of company list name of company list name of organization list name of company list name of company list name of company list name of organization list name of company list name of company list name of organization list name of organization rat grande, sister, brother, aunt, unto, lee, and nephew. 1230.201 (199) Checklist for Other Conflicts This checklist should assist judges in developing a list of certain matters that may give rise to a contlct of interest other than a financial conflict. This checklist does not include all matters that may require recusal but only those that can reasonably be identified in advance and recorded on a list to compare to the court's docket. Judges should include on their lists matters arising from their own activities, the activities of relatives, or the activities of certain attorneys. These conflcts of interest may not be waived. A judge may not preside over the cases described below. Is the judge, the judge's spouse, the judge's third degree relative,’ the judge's spouse's third degree relative, or the spouse of any of these relatives: list ll such cases that are > 1. aparty ina case? no yes likely t-come before the court 2. likely to be a material witness in > list all such cases that are (cickigemcusiey esse] NoCT Yes = Theito come betore the court 8. an attorney who is likely to come before No — yesO) © istname of attorney the court? 4. an equity partner in alaw firm thatis ikely NOCD. YES] © listname of law frm to come before the court? Did the judge: ee en > _listall such cases that are : deen Adit no vesO likely to come before the court 2. participate in government employment as no Yes (] = listall such cases that are ‘counsel, advisor, or material witness eee ‘concerning a matter? Did an attorney with whom the judge practiced law: fistall such cases that are 1. serve as an attorney in amatterduringhisor NOC] —YesC] => [stallsuche her association with the judge? est fe comme Uerote ve cout yesC] => listall such cases that are 2, serve asa material winess inamatterduring NOC ae his or her association with the judge? "Parent, chil, grandparent, grandchild, great grandparent great grandchild, soe, bother, sunt uncle, nce, and nephew, 125‘40-302 (9799) Conflicts List List here all companies or organizations in which the judge or relative has a financial interest (from the Checklist for Financial Conflicts, form AO-300): List here all matters in which the judge has a disqualifying nonfinancial interest (trom the Checkiist for Other Conflicts, form A0-01): List here all attorneys and/or law firms related to the judge (from the Checklist for Other Conflicts, form ‘A0-301) or whose appearance in a matter will otherwise cause the judge to recuse: Date: 127