CJEO Oral Advice Summary No. 2014-009 — Prohibition on Fundraising While a Subordinate Judicial Officer

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CALIFORNIA SUPREME COURT
COMMITTEE ON JUDICIAL ETHICS OPINIONS
350 McAllister Street, Room 1144A
San Francisco, CA 94102
(855) 854-5366
www.JudicialEthicsOpinions.ca.gov
CJEO Oral Advice Summary No. 2014-009
[Posted November 24, 2014]
PROHIBITION ON FUNDRASING WHILE A SUBORDINATE JUDICIAL
OFFICER
I. Question:
Does the California Code of Judicial Ethics prohibit a subordinate judicial officer
in the state judicial branch from engaging in fundraising activities as the Chief Justice of
her sovereign nation’s tribal court and judicial system? 1
II. Oral Advice Provided:
The California Code of Judicial Ethics prohibits a state judicial officer from
personally engaging in the solicitation of funds or other fundraising activities on behalf of
a governmental, civic, or charitable organization (Cal. Code Jud. Ethics, canon
4C(3)(d)(i).) The purpose of the canon is to prevent “… the danger that the person
1 Limited identifying information is included in this oral advice summary because
confidentiality has been waived by the requesting party (Cal. Rules of Court, rule
9.80(h)(3); CJEO rules, rule 5(e)).

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solicited will feel obligated to respond favorably if the solicitor is in a position of
influence or control.” (Advisory Com. Com., foll. canon 4C(3)(d)(i).) The canon is not
limited in application or purpose to fundraising on behalf of charitable organizations or to
activities that advance a private interest. The canon does not contain an exception for
worthwhile causes or extraordinary needs. (Rothman, Cal. Judicial Conduct Handbook
(3d ed. 2007) § 10.42, p. 556.)
The requesting state court commissioner analogizes her fundraising activities on
behalf of her tribal court to the California Chief Justice and Judicial Council’s budget
management activities before the executive and legislative branches, which are
authorized by state law and are not solicitation of funds that are prohibited by the Code of
Judicial Ethics. (Cal. Rules of Court, rule 10.101(b)(3), (c)(1)(B).) The requesting
state court commissioner’s direct solicitation of donations from groups and individuals is
dissimilar from these state law authorized administrative duties and is fundraising that is
prohibited by canon 4C(3)(d)(i).
The Code of Judicial Ethics does not prohibit the Chief Justice of a sovereign
tribal nation from performing judicial responsibilities authorized by tribal law, including
personal solicitation of funds necessary for her tribal court. The Code does, however,
prohibit a state court commissioner from fundraising while holding state judicial office.
The requesting commissioner is in a position of influence, as a state court judicial
officer, over those she solicits for funds on behalf of her tribal court, even if she does so
without the use of state court judicial title. (Rothman, supra, § 10.44, p. 559) The
requesting commissioner is prohibited from fundraising for her tribal court and tribal
justice system while she is employed as a state court subordinate judicial officer.

This oral advice summary is advisory only (Cal. Rules of Court, rule 9.80(a), (e);
Cal. Com. Jud. Ethics Opns., Internal Operating Rules & Proc. (CJEO) rule 1(a), (b)). It

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is based on facts and issues, or topics of interest, presented to the California Supreme
Court Committee on Judicial Ethics Opinions in a request for an opinion (Cal. Rules of
Court, rule 9.80(i)(3); CJEO rules 2(f), 6(c)), or on subjects deemed appropriate by the
committee (Cal. Rules of Court, rule 9.80(i)(1); CJEO rule 6(a)).