JUDICIAL ETHICS OPINION 2024 v. << (2024)

¶1. FACTS

The question is presented by a sittings Associate District Judge who volunteers with his local Rotary Club each December participating in a Christmas auction where people appear on camera (streamed online) and the Judge serves as an auctioneer discussing the items for sale and encouraging bids. This is an annual fundraiser by a nonprofit civic organization in which 100% of the donations go to purchasing bicycles, clothing and other Christmas gifts for local needy children. This Judge has participated in a volunteer role as one of the auctioneers before and wishes to continue doing so. He describes the process as one where the bidders have screen names, so the auctioneer does not know the identity of the bidder. The auctioneer does not deal in any way with handling any of the bid proceeds and volunteers purely to act as an auctioneer encouraging bids.

¶2. QUESTION

May a sitting Associate District Judge volunteer in this capacity?

¶3. ANSWER

No.

¶4. AUTHORITIES

All citations are from the Code of Judicial Conduct, Title 5, Oklahoma Statutes, Chapter 1, App. 4 or prior Opinions of the Advisory Panel.

Canon 3: A Judge shall conduct the Judge's personal and extrajudicial activities to minimize the risks of conflict with the obligations of judicial office.

RULE 3.1 Extrajudicial Activities in General

A judge may engage in extrajudicial activities, except as prohibited by law or this Code. However, when engaging in extrajudicial activities, a judge shall not:

(A) participate in activities that will interfere with the proper performance of the judge's judicial duties;

(B) participate in activities that will lead to frequent disqualification of the judge;

(C) participate in activities that would appear to a reasonable person to undermine the judge's independence, integrity, or impartiality;

(D) engage in conduct that would appear to a reasonable person to be coercive; or

(E) make use of court premises, staff, stationary, equipment, or other resources, except for incidental use for activities that concern the law, the legal system, or the administration of justice, or unless such additional use is permitted by law. This Rule is also subject to the exceptions provided for in Rule 4.1A(10) and 4.1C.

[1] To the extent that time permits, and judicial independence and impartiality are not compromised, judges are encouraged to engage in appropriate extrajudicial activities that concern the law, the legal system, and the administration of justice, such as by speaking, writing, teaching, or participating in scholarly research projects. In addition, judges are permitted and encouraged to engage in educational, religious, charitable, fraternal or civic extrajudicial activities not conducted for profit, even when the activities do not involve the law. See Rule 3.7.

[2] Participation in both law-related and other extrajudicial activities helps integrate judges into their communities, and further public understanding of the respect for courts and the judicial system.

[3] omitted

[4] omitted

(Bold content for emphasis only)

RULE 3.7 Participating in Educational, Religious, Charitable, Fraternal, or Civic Organizations and Activities

(A) Subject to the requirements of Rule 3.1, a judge may participate in activities sponsored by organizations or governmental entities concerned with the law, the legal system, or the administration on justice, and those sponsored by or on behalf of educational, religious, charitable, fraternal, or civic organizations not conducted for profit, including but not limited to the following activities:

(1) assisting such an organization or entity in planning related to fund-raising, and participating in the management and investment of the organization's or entity's funds,

(2) soliciting contributions for such an organization or entity, but only from members of the judge's family, members of the judge's household or from judges over whom the judge does not exercise supervisory or appellate authority;

(3) soliciting membership for such and organization or entity, even though the membership dues or fees generated may be used to support the objectives of the organization or entity, but only if the organization or entity is concerned with the law, the legal system, or the administration of justice;

(4) appearing or speaking at, receiving an award or other recognition at, being featured on the program of, and permitting his or her title to be used in connection with an event of such an organization or entity, but if the event serves a fundraising purpose, the judge may participate only if the event concerns the law, the legal system, or the administration of justice;

(5) making recommendations to such a public or private fund-grating organization or entity in connection with its programs and activities, but only if the organization or entity is concerned with the law, the legal system, or the administration of justice; and

(6) serving as an officer, director, trustee, or nonlegal advisor of such an organization or entity, unless it is likely that the organization or entity:

(a) will be engaged in proceedings that would ordinarily come before the judge; or

(b) will frequently be engaged in adversary proceedings in the court of which the judge is a member, or in any court subject to the appellate jurisdiction of the court of which the judge is a member.

COMMENT

[1] The activities permitted by paragraph (A) generally include those sponsored by or undertaken on behalf of public or private not-for-profit educational institutions, and other not-for-profit organizations, including law-related, charitable, and other organizations.

[2] Even for law-related organizations, a judge should consider whether the membership and purposes of the organization, or the nature of the judge's participation in or association with the organization, would conflict with the judge's obligation to refrain from activities that reflect adversely upon a judge's independence, integrity, and impartiality.

[3] Mere attendance at an event, whether or not the event serves a fund-raising purpose, does not constitute a violation of paragraph 4(A). It is also generally permissible for a judge to serve as an usher or a food server or preparer, or to perform similar functions, at fund-raising events sponsored by educational, religious, charitable, fraternal, or civic organizations. Such activities are not solicitation and do not present an element of coercion or abuse the prestige of judicial office.

[4] Identification of a judge's position in educational, religious, charitable, fraternal, or civic organizations on letterhead used for fund-raising or membership solicitation does not violate this Rule. The letterhead may list the judge's title or judicial office if comparable designations are used for other persons.

(Bold content for emphasis only)

¶5. DISCUSSION

First, the Code of Judicial Conduct (Rule 3.1) expressly encourages members of the Judiciary to participate in community organizations, to include “those sponsored by or on behalf of educational, religious, charitable, fraternal, or civic organizations not conducted for profit,” (hereinafter referred to as “Community Organizations”). While Rule 3.7 allows for participation in Community Organizations there are certain limitations imposed, as to fundraising activities, to wit:

Rule 3.7 (A)(1) allows for assistant with “planning related to fund-raising...”

The judge's involvement herein exceeds “planning” the event.

Rule 3.7 (4)(A) provides: “but if the event serves a fund-raising purpose, the judge may participate only if the event concerns the law, the legal system, or the administration of justice”.

The judge acknowledges the fund-raising event is “purchasing bicycles, clothing and other Christmas gifts for local needy children.” Although a worthy cause, it does not concern the law, the legal system, or the administration of justice.

Comment [3] provides: “Mere attendance at an event, whether or not the event serves a fund-raising event, does not constitute a violation of paragraph 4(A). It is also generally permissible for a judge to serve as an usher or a food preparer, or to perform similar functions at fund-raising events sponsored by educational, religious, charitable, fraternal, or civic organizations. Such activities are not solicitation and do not present an element of coercion or abuse of prestige of office.”

The Judge herein is not merely attending the event but is featured as the online auctioneer. He further acknowledges the purpose of the auctioneer is to encourage bids. Being featured as the online auctioneer whose purpose is to encourage bids is not a “similar function” to serving as an usher, food preparer or server. Such activity can be perceived as solicitation, and does present an element of coercion and abuse of prestige of the office.

Comment [4] provides a Community Organization's letterhead which is being used for “fund-raising or membership solicitation can list the judge's position as long as comparable designations are used for other persons.”

This comment is not analogous to this situation where the Judge is the “online auctioneer encouraging bids”.

In our opinion we find serving as an auctioneer under the circumstances described by the inquiring Judge is prohibited by Rule 3.7.

Citationizer© Summary of Documents Citing This Document

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Honorable William C. Hetherington, Chair Honorable Glenn D. Adams Honorable Allen McCall Honorable Patricia G. Parrish Honorable April Sellers White ALL PANEL MEMBERS CONCUR