When can a judge form a campaign committee, and can it spend retained funds or recruit volunteers outside the fundraising window?

Plain-English summary

The Board answered three questions about judicial campaign committees under the former Ohio Code of Judicial Conduct. On formation, it noted that a judicial candidate personally may not solicit or receive funds (Canon 7(C)(2)(a)) and may act only through a committee, and that the Canon 7(C)(4) "120-day rule" governs when the committee may solicit and receive contributions. No rule sets a deadline for forming the committee, so an incumbent judge may form one before the fundraising window. By doing so, the judge becomes a "judicial candidate" under Canon 7(A)(1) and is bound by Canon 7's restrictions.

On expenditures, the Board read Canon 7(C)(6)(a), which caps "expenditures made in the fund raising period allowed by division (C)(4)," as implying that expenditures may occur outside that period, since Canon 7(C)(4) restricts only soliciting and receiving funds. It concluded that the committee may expend retained funds outside the window, but the expenditure must not be used to solicit funds, and solicitation or receipt of funds outside the window remains prohibited.

On recruiting volunteers, the Board concluded that a letter asking attorneys to serve on the committee does not violate Canon 7(C)(4) unless it contains a solicitation of campaign funds.

Currency note

The Ohio Board flags this opinion as a "Former CJC Opinion" interpreting the former Ohio Code of Judicial Conduct, which was superseded by the current Ohio Code of Judicial Conduct effective March 1, 2009.

This opinion issued in 1997, before that change. Subsequent rule amendments or later opinions may have changed the analysis, and the campaign-finance timing rules have been revised. Treat this page as historical context, not current guidance. Verify against the current Ohio Code of Judicial Conduct before relying on any specific rule, deadline, or window mentioned here.

Common questions

Q: Could a judge set up a campaign committee before the fundraising window opened?

A: Yes. The opinion concluded that no rule barred early formation, but that forming the committee made the judge a "judicial candidate" subject to Canon 7's restrictions.

Q: Could the committee spend money it already had before the window opened?

A: Yes, with a limit. The opinion concluded that the committee could expend retained funds outside the Canon 7(C)(4) window, but the spending could not be used to solicit funds, and no soliciting or receiving of funds was allowed outside the window.

Q: Could the committee recruit attorneys to serve before the window?

A: Yes. The opinion concluded that letters asking attorneys to serve on the committee were permissible outside the window as long as they did not solicit campaign funds.

Background and rules framework

The opinion interprets the former Ohio Code of Judicial Conduct Canon 7: the definition of "judicial candidate" (Canon 7(A)(1)), the bar on personal solicitation (Canon 7(C)(2)(a)), the fundraising-window "120-day rule" (Canon 7(C)(4)), and the expenditure limits keyed to that period (Canon 7(C)(6)), together with related campaign-committee filing statutes.

Citations and references

Rules of Professional Conduct:

• Former Ohio Code of Judicial Conduct Canon 7(A)(1), Canon 7(C)(2)(a), Canon 7(C)(4), Canon 7(C)(6)

Statutes:

• Ohio Rev. Code §§ 3517.10, 3517.081

See also

• Ohio BPC Op. 1996-007: Judicial Campaign Funds and Tickets to Another Candidate's Fund Raiser
• Ohio BPC Op. 1996-008: Magistrate Title and Robe in Judicial Campaign Ads
• Ohio BPC Op. 1995-005: Judge Writing Letters of Recommendation

Source

• Landing page: https://ohioadvop.org/advisory-opinion-index/
• Original PDF: https://www.ohioadvop.org/wp-content/uploads/2017/04/Op-97-006.pdf

Original opinion text

Reproduced from the official source for research purposes. The linked source is authoritative.

The Supreme Court of Ohio
BOARD OF COMMISSIONERS ON GRIEVANCES AND DISCIPLINE
41 SOUTH HIGH STREET-SUITE 3370, COLUMBUS, OH 43215-6105
(614) 644-5800 FAX: (614) 644-5804

                                       OFFICE OF SECRETARY


                                     OPINION 97-6
                                 Issued October 10, 1997

[Former CJC Opinion-provides advice under the former Ohio Code of Judicial Conduct which is
superseded by the Ohio Code of Judicial Conduct, eff. 3/1/2009.]

SYLLABUS: An incumbent judge who anticipates a future judicial candidacy may form
a judicial campaign committee prior to the Canon 7(C)(4) time period for soliciting and
receiving funds. By forming such committee, the incumbent judge becomes a “judicial
candidate” subject to any restrictions placed on “judicial candidates” under Canon 7 of
the Ohio Code of Judicial Conduct. The judge’s judicial campaign committee cannot
solicit or receive campaign funds outside the time period allowed in Canon 7(C)(4).

Because there is no express prohibition in Canon 7, an incumbent judge’s judicial
campaign committee may expend retained campaign funds outside the Canon 7(C)(4)
time period for soliciting and receiving campaign funds. The expenditure must not be
used to solicit campaign funds. Solicitation or receipt of campaign funds is not permitted
outside the Canon 7(C)(4) time period.

An incumbent judge’s judicial campaign committee may mail letters to the legal
community outside the time period in Canon 7(C)(4) asking attorneys to serve on the
campaign committee, but the letter must not include a solicitation of campaign funds.

OPINION: This opinion addresses questions regarding the formation of a judicial
campaign committee and the expenditure of campaign funds.

   1. Is it proper for an incumbent judge who anticipates a future judicial
      candidacy to form a judicial campaign committee prior to the start of
      the time period for soliciting and receiving funds in Canon 7(C)(4)?

   2. Is it proper for an incumbent judge’s judicial campaign committee to
      expend retained campaign funds outside the time period for soliciting
      and receiving funds in Canon 7(C)(4)?

   3. Is it proper for an incumbent judge’s judicial campaign committee to
      mail letters to the legal community outside the time period in Canon
      7(C)(4) asking attorneys to serve on the campaign committee?

Question One

   Is it proper for an incumbent judge who anticipates a future judicial
   candidacy to form a judicial campaign committee prior to the start of the
   time period for soliciting and receiving funds in Canon 7(C)(4)?

The formation of a judicial campaign committee is of great importance to a judicial
candidate, for it is only through such committee that campaign funds may be solicited and
received. A judicial candidate is not permitted to personally perform this function. This
is prohibited under Canon 7(C)(2)(a) of the Ohio Code of Judicial Conduct: “A judicial
candidate personally shall not solicit or receive campaign funds. A judicial candidate
may establish a committee to secure and manage the expenditure of funds for his or her
campaign and to obtain statements of support for his or her candidacy.”

The time period during which a judicial campaign committee may solicit or receive
campaign funds is set forth in Canon 7(C)(4). The rule is commonly referred to as the
“120 day rule.” Under Canon 7(C)(4),

   [t]he campaign committee of a judicial candidate may begin soliciting and
   receiving contributions no earlier than one hundred twenty days before the
   first Tuesday after the first Monday in May of the year in which the
   general election is held. If the general election is held in 1996 or any
   fourth year thereafter, the campaign committee of a judicial candidate may
   begin soliciting and receiving contributions no earlier than one hundred
   twenty days before the third Tuesday in March of the year in which the
   general election is held. The solicitation and receipt of contributions may
   continue until one hundred twenty days after the general election, unless
   the candidate is defeated prior to the general election, in which case the
   solicitation and receipt of contributions may continue until one hundred
   twenty days after the date of the election at which the defeat occurred. In
   the case of the death or withdrawal of a judicial candidate, the solicitation
   and receipt of contributions may continue until such time as the
   contributions solicited are sufficient to pay the campaign debts and
   obligations of the judicial candidate incurred on or before the date of death
   or withdrawal, plus the costs of solicitation incurred after the date of death
   or withdrawal, but in no event shall the solicitation or receipt of
   contributions continue beyond one hundred twenty days after the date of
   death or withdrawal.

There is no rule requiring that a judicial campaign committee be formed within a specific
time period. There is a statutory requirement that a candidate have only one campaign
committee at any given time. See Ohio Rev. Code Ann. § 3517.10(J) (Baldwin Supp.
1997), § 3517.081 (Baldwin 1995).

By forming a judicial campaign committee the judge becomes a “judicial candidate”
under Canon 7. As defined in Canon 7(A)(1), “‘[j]udicial candidate’ means a person who
has made a public announcement of candidacy for judicial office, declared or filed as a
candidate for judicial office with the election authority, or authorized the solicitation or
receipt of contributions or support for judicial office, whichever occurred first.” Once a
judicial campaign committee is formed there is a subsequent public filing of the
designation of the appointment of a treasurer. See Ohio Rev. Code Ann. § 3517.10(D)(1)
(Baldwin Supp. 1997), § 3517.081 (Baldwin 1995). These activities constitute a “public
announcement of candidacy for judicial office” under Canon 7.

In answer to Question One, the Board advises that an incumbent judge who anticipates a
future judicial candidacy may form a judicial campaign committee prior to the Canon
7(C)(4) time period for soliciting and receiving funds. By forming such committee, the
incumbent judge becomes a “judicial candidate” subject to any restrictions placed on
“judicial candidates” under Canon 7 of the Ohio Code of Judicial Conduct.

Question Two

   Is it proper for an incumbent judge’s judicial campaign committee to
   expend retained campaign funds outside the time period for soliciting and
   receiving funds in Canon 7(C)(4)?

The expenditure limits in Canon 7(C)(6) are set in reference to the Canon 7(C)(4) time
period. Canon 7(C)(6)(a) states that “[e]xcept as provided in division (C)(6)(b)
[expenditure limits during primary election period] of this canon, the total amount of
expenditures made in the fund raising period allowed by division (C)(4) of this canon by
the campaign committee of a judicial candidate shall not exceed the following: [(i)
through (vii) omitted].

The Canon 7(C)(6)(a) reference to “expenditures made in the fund raising period allowed
by division (C)(4)” implies that there may be expenditures outside that time period. This
interpretation is supported by the language of Canon 7(C)(4) clearly delineating the time
period for soliciting and receiving campaign funds without similarly restricting
expenditures.

In answer to Question Two, the Board advises that because there is no express prohibition
in Canon 7, an incumbent judge’s judicial campaign committee may expend retained
campaign funds outside the Canon 7(C)(4) time period for soliciting and receiving
campaign funds. The expenditure must not be used to solicit campaign funds.
Solicitation or receipt of campaign funds is not permitted outside the Canon 7(C)(4) time
period.

Question Three

   Is it proper for an incumbent judge’s judicial campaign committee to mail
   letters to the legal community outside the time period in Canon 7(C)(4)
   asking attorneys to serve on the campaign committee?

Canon 7(C)(4) restricts the time period within which a campaign committee may solicit
and receive funds, but does not otherwise restrict the committee. A letter written for the
purpose of asking attorneys to serve on a campaign committee would not violate this rule
unless the letter contained a solicitation of campaign funds.

In answer to Question Three, the Board advises that an incumbent judge’s judicial
campaign committee may mail letters to the legal community outside the time period in
Canon 7(C)(4) asking attorneys to serve on the campaign committee, but the letter must
not include a solicitation of campaign funds.

Advisory Opinions of the Board of Commissioners on Grievances and Discipline are
informal, nonbinding opinions in response to prospective or hypothetical questions
regarding the application of the Supreme Court Rules for the Government of the
Bar of Ohio, the Supreme Court Rules for the Government of the Judiciary, the
Code of Professional Responsibility, the Code of Judicial Conduct, and the
Attorney’s Oath of Office.