Opinion 09-170

September 10, 2009

Digest:         A part-time judge may serve on the board of directors of a local not-for-profit organization that awards scholarships to aspiring seminarians, as long as the judge does not personally participate in the solicitation of funds. The judge and his/her spouse may purchase tickets to and attend the organization’s fund-raising events, but may not solicit others to attend. Finally, the judge’s name may appear in the organization’s newsletter, and his/her judicial designation (i.e., “Honorable”) may be included if comparable designations are used for other persons on the letterhead .

Rules:          22 NYCRR 100.2; 100.2[A]; 100.4(A); 100.4(C)(3); 100.4(C)(3)(a)(i); 100.4(C)(3)(b)(i), (ii), (iv); Opinions 09-28; 08-193; 07-172; 07-161; 05-146; 02-106; 99-109 (Vol. XVIII).

Opinion:

         A part-time City Court judge asks whether he/she may serve on the board of a local not-for-profit organization that awards scholarships to aspiring seminarians. The judge notes that although “there is a fund raising component,” the board also is responsible for overseeing “an endowment fund that needs stewardship, ... policies and procedures which need to be handled, and ... a scholarship review process.” As a board member, the judge would not participate in the solicitation of funds. The judge also asks whether the judge and his/her spouse may attend the organization’s annual fund-raising dinner and golf outing, if they purchase their own tickets for these activities and do not solicit others to attend. Finally, the judge asks whether he/she may be identified by name as a member of the organization’s board of directors in the organization’s newsletters.

         A judge must avoid impropriety and the appearance of impropriety in all the judge’s activities (see 22 NYCRR 100.2) and must act at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary (see 22 NYCRR 100.2[A]). A judge may be a member of or serve as an officer, director, trustee or non-legal advisor of an educational, religious, charitable, cultural, fraternal or civic organization not conducted for profit, so long as the organization will not be engaged in proceedings that ordinarily would come before the judge (see 22 NYCRR 100.4[C][3]; [C][3][a][i]). In addition, a judge may not personally participate in the solicitation of funds or other fund-raising activities, although he/she “may assist” the organization in “planning fund-raising” (see 22 NYCRR 100.4[C][3][b][i]). Also, a judge must not use or permit the use of the prestige of judicial office for fund-raising or membership solicitation (see 22 NYCRR 100.4[C][3][b][iv]). Nevertheless, a judge may be listed as an officer, director or trustee of an organization on the organization’s regular letterhead, even if the organization uses its regular letterhead for fund-raising or membership solicitation (id.; Opinions 05-146; 02-106). The judge’s name and office or other position in the organization may be listed on the letterhead and, if comparable designations are listed for other persons, also the judge’s judicial designation (see 22 NYCRR 100.4[C][3][b][iv]).

         The Committee previously has determined that a part-time judge may serve as a member of the board of directors of a religious and/or charitable not-for-profit organization that awards scholarships, provided that doing so does not conflict with the judge’s judicial duties; the organization is not likely to be engaged in proceedings that would regularly come before the judge; and the judge does not participate in the solicitation of funds or use his or her office for that purpose (see 22 NYCRR 100.4[A]; 100.4[C][3][a][i]; Opinions 08-193; 07-172). To the extent that the organization’s scholarship is supported through fund-raising, the judge should make clear to the board that he/she is prohibited from “personally participat[ing] in the solicitation of funds or other fund-raising activities” (22 NYCRR 100.4[C][3][b][i]) and that the board cannot use the judge’s name or judicial office for fund-raising purposes (see id.; Opinion 08-193).

         A judge is not prohibited from purchasing tickets to and attending an organization’s fund-raising events (see 22 NYCRR 100.4[C][3][b][ii]; Opinions 09-28; 07-161), and may be listed as a director of the organization in a newsletter (see 22 NYCRR 100.4[C][3][b][iv]; Opinions 05-146; 99-109 [Vol. XVIII]). And, his/her judicial designation (i.e., “Honorable”) may be included if comparable designations are used for other persons on the letterhead (see 22 NYCRR 100.4[C][3][b][iv]; Opinion 99-109 [Vol. XVIII] [noting that the honorific “Honorable” may be used before the judge’s name as long as other members of the board are similarly designated, but the specific judicial office should not be listed]).