Can a juvenile court judge accept travel expenses or a meal paid for by a private placement facility that gets court placements?

Plain-English summary

The Board addressed three questions about a juvenile court judge (and court staff) and a private placement facility that receives or seeks juvenile placements from the court. The opinion interprets the Ohio Code of Judicial Conduct as amended effective March 1, 2009, together with Ohio Ethics Law, and expressly does not reach travel reimbursement built into a public contract or a vendor's sponsorship of a conference meal.

On the first question, the Board concluded it is improper for the judge or court staff to accept payment or reimbursement of travel, meals, and lodging from the facility's owners for travel to the facility for an informational tour or to assess a placed juvenile. The travel itself is a permitted, duty-related activity, but the Board concluded the source of the funds is improper: under Rule 3.14 the source gives the appearance of influencing the judge and would appear to a reasonable person to undermine the judge's independence, integrity, or impartiality, and under R.C. 102.03(I) the funds are a thing of value (more than de minimis, so a substantial influence) from a person interested in matters before or doing business with the court (an improper influence). The Board concluded this does not depend on whether the facility is in-state or out-of-state.

On the second question, the Board concluded it is improper to accept a gratuitous non-conference meal paid for by such a facility while attending a conference. The Board distinguished a conference meal (generally acceptable) from a non-conference meal, and concluded the latter was neither "ordinary social hospitality" under Rule 3.13(A)(3) (because strings are attached) nor an acceptable "other thing of value" under Rule 3.13(A)(12) (because the donor is interested in the court's placement orders), and was an improper influence under R.C. 102.03(I). On the third question, the Board concluded that reporting the gift on the annual financial disclosure statement required by Rule 3.15 and R.C. 102.02 fulfills the reporting duty but does not resolve the impropriety of accepting the gift in the first place.

In practice

The opinion holds that, under the Ohio Code of Judicial Conduct as amended effective March 1, 2009, and Ohio Ethics Law, a juvenile court judge or court staff may not accept travel expenses or a gratuitous non-conference meal from a private placement facility that receives or seeks juvenile placements from the court, because the source of the funds is improper even though the underlying travel is duty-related. Per the opinion, a conference meal open to attendees is treated differently from a non-conference meal paid by an interested donor, and the location of the facility (in-state or out-of-state) does not change the analysis. The opinion is explicit that disclosing the gift on the annual financial disclosure statement under Rule 3.15 and R.C. 102.02 satisfies the reporting obligation but does not make accepting the gift proper.

Common questions

Q: Can a juvenile judge let a placement facility pay for a trip to tour the facility?

A: No. The opinion concluded the travel is a permitted duty-related activity, but the facility is an improper source because paying the judge's travel gives the appearance of influencing placement decisions.

Q: What about a dinner the facility's owner buys at a conference?

A: The opinion concluded a gratuitous non-conference meal from such a facility is improper, because it is not "ordinary social hospitality" and the donor is interested in the court's placement orders.

Q: Does it matter if the facility is out of state?

A: No. The opinion concluded the impropriety does not depend on whether the facility is in-state or out-of-state.

Q: If the judge reports the gift on the annual disclosure form, is that enough?

A: No. The opinion concluded that reporting fulfills the disclosure requirement under Rule 3.15 and R.C. 102.02 but does not cure the impropriety of accepting the gift.

Background and rules framework

The opinion interprets the Ohio Code of Judicial Conduct as amended effective March 1, 2009, principally Rule 3.14 (reimbursement of expenses for travel, food, and lodging), Rule 3.13 (acceptance and reporting of gifts and other things of value, including the social-hospitality and "other thing of value" categories of Rule 3.13(A)(3) and (A)(12)), and Rule 3.15 (reporting). It applies these alongside Ohio Ethics Law, principally R.C. 102.03(I) (acceptance of travel and meals) and R.C. 102.02 (financial disclosure).

Citations and references

Rules of the Code of Judicial Conduct:

• Ohio Jud. Cond. R. 3.14 (travel/food/lodging reimbursement); R. 3.13(A)(3), (A)(11), (A)(12), (B) (gifts and things of value); R. 3.15 (reporting)

Statutes:

• Ohio Rev. Code 102.03(I) (acceptance of travel and meals); R.C. 102.02(A)(8), (A)(9) (financial-disclosure reporting); R.C. 102.01

Other opinions cited:

• Ohio BPC Op. 2005-2 (improper source of a thing of value)
• Ohio BPC Op. 92-14; Ohio Ethics Commission Op. 87-007 (matters the opinion expressly does not reach)

See also

• Ohio BPC Op. 2009-001: Magistrate Outside Employment as an Independent Contractor
• Ohio BPC Op. 1989-003: Judge on a College Board of Trustees
• Ohio BPC Op. 1987-003: Judge Foundation Board Membership

Source

• Landing page: https://ohioadvop.org/advisory-opinion-index/
• Original PDF: https://www.ohioadvop.org/wp-content/uploads/2017/04/Op_09-002.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
65 SOUTH FRONT STREET, 5TH FLOOR, COLUMBUS, OH 43215-3431
(614) 387-9370 (888) 664-8345 FAX: (614) 387-9379
www.sconet.state.oh.us

                                    OFFICE OF SECRETARY




                               OPINION 2009-2
                           Issued February 13, 2009

SYLLABUS: It is improper for a juvenile court judge (or court staff) to accept
travel expenses (payment or reimbursement of travel, meals, and lodging) from
the owners of a private placement facility that receives or seeks to receive
placements of juveniles by the court, for travel to the facility for an informational
tour or to assess a juvenile placed there by the court.

It is improper for a juvenile court judge (or court staff) while attending a
conference to accept a gratuitous non-conference meal paid for by a private
placement facility that receives or seeks to receive placement of juveniles by the
court.

A juvenile judge’s (or court staff’s) reporting on an annual financial disclosure
statement does not resolve all of the impropriety in accepting travel expenses
(payment or reimbursement of travel, meals, and lodging) or a gratuitous non-
conference meal from an improper source such as a private placement facility
that receives or seeks to receive placements of juveniles from the court, but
fulfills ethical and legal reporting requirements as to the annual financial
disclosure statement under the Ohio Code of Judicial Conduct and Ohio Ethics
Law.

OPINION: References within this opinion to the Ohio Code of Judicial Conduct
are to the Ohio Code of Judicial Conduct, as amended effective March 1, 2009,
which supersedes the former Ohio Code of Judicial Conduct in effect through
February 28, 2009.

This opinion addresses questions regarding the proper conduct of juvenile court
judges and court staff when a private placement facility for juveniles offers
payment or reimbursement of travel expenses to the facility or extends gratuitous
dinner invitations.

This opinion does not address questions regarding payment or reimbursement of
travel expenses of a judge or court staff when included in bid specifications and
in a public contract. See e.g., Ohio Ethics Commission, Op. 87-007 (1987).
Op. 2009-2 2

This opinion does not address questions regarding a vendor’s sponsorship of a
conference meal, reception, open house, or other similar activity at an
association’s educational conference. See Ohio SupCt, Bd of Comm’rs on
Grievances & Discipline, Op. 2005-2 (2005), Op. 92-14 (1992).

1. Is it proper for a juvenile court judge (or court staff) to accept travel
   expenses (payment or reimbursement of travel, meals, and lodging)
   from the owners of a private placement facility that receives or
   seeks to receive placements of juveniles by the court, for travel to
   the facility for an informational tour or to assess a juvenile placed
   there by the court?

2. Is it proper for a juvenile court judge (or court staff) while attending
   a national conference to accept a gratuitous non-conference meal
   paid for by the owners of a private placement facility that receives
   or seeks to receive placements of juveniles by the court?

3. Does a judge’s (or court staff’s) reporting on an annual financial
   disclosure statement resolve all of the impropriety in accepting
   payment or reimbursement of travel expenses (travel, meals, and
   lodging) or a gratuitous non-conference meal paid for by a private
   placement facility that receives or seeks to receive placements of
   juveniles from the court?

Introduction

Juvenile court judges who preside over juvenile delinquency cases sometimes
find it necessary in disposition or sentencing to order juveniles into private
placement facilities located within or outside the state. Information about
placement facilities, programs offered, results obtained, and costs involved help
a judge make placement decisions that will benefit juveniles.

Naturally, the owner of a private placement facility may be eager to provide
information about a facility and its programs to a juvenile judge who orders
placement of juveniles and to the court staff who assist the judge. But, enticing
offers of payments or reimbursements of travel expenses or gratuitous dinners
from owners of a private placement interested in placements from the court
should sound ethical alerts for judges and court staff.

Ohio Code of Judicial Conduct and Ohio Ethics Law

The questions presented must be considered under both the Ohio Code of
Judicial Conduct and Ohio Ethics Law. Judges and magistrates are governed by
the Ohio Code of Judicial Conduct and Ohio Ethics Law. Judicial employees are
Op. 2009-2 3

subject to Ohio Ethics Law. Judicial employees are also subject to administrative
policies of the judge and the employing court.

The Board of Commissioners on Grievances and Discipline provides advice to
judges as to the application of the Ohio Code of Judicial Conduct and is the
appropriate ethics advisory body for judges and judicial employees as to Ohio
Ethics Law. Gov.Bar R. V(2)(C), Ohio Rev. Code Ann. §§ 102.01(F)(2) (West
Supp. 2008), 102.08 (West 2002). Under Ohio Ethics Law, a judicial officer or
judicial employee is a “public official or employee” and a court is a “public
agency.” Ohio Rev. Code Ann. § 102.01(B), (C) (West Supp. 2008).

Question 1

   Is it proper for a juvenile court judge (or court staff) to accept travel
   expenses (payment or reimbursement of travel, meals, and lodging)
   from the owners of a private placement facility that receives or
   seeks to receive placements of juveniles by the court, for travel to
   the facility for an informational tour or to assess a juvenile placed
   there by the court?

As set forth in Rule 3.14 of the Ohio Code of Judicial Conduct, a judge is
permitted to “accept reimbursement of necessary and reasonable expenses for
travel, food, lodging, or other incidental expenses, or a waiver or partial waiver of
fees or charges for registration, tuition, and similar items if both of the following
apply: (1) The expenses or charges are associated with the judge’s participation
in activities permitted by this code; (2) The source of the reimbursement or
waiver does not give the appearance of influencing the judge in his or her judicial
duties or otherwise appear to a reasonable person to undermine the judge’s
independence, integrity, or impartiality.”

As set forth in Ohio Ethics Law, R.C 102.03(I) of the Ohio Revised Code, a judge
is permitted to “accept travel, meals, and lodging or expenses or reimbursement
of expenses for travel, meals, and lodging in connection with conferences,
seminars, and similar events related to official duties if the travel, meals, and
lodging expenses, or reimbursement is not of such a character as to manifest a
substantial and improper influence upon the public official or employee with
respect to that person’s duties.” Ohio Rev. Code Ann. § 102.03(I) (West Supp.
2008).

The proposed payment or reimbursement of travel expenses to the judge (or
court staff) by the private placement facility does not satisfy the requirements of
the ethics rule (Rule 3.14) or the ethics law (R.C. 102.03(I)). The proposed travel
is proper, but the source of payment or reimbursement of the travel expenses is
improper.
Op. 2009-2 4

Travel to a private placement facility to tour and obtain information or to assess a
juvenile placed at the facility by the court is considered both an activity permitted
by the Code of Judicial Conduct and an event related to official duties under Ohio
Ethics Law. Understandably, a judge or court staff may need information about a
facility and its programs in order to make effective placements or may need to
assess a juvenile in placement at a facility.

But, payment or reimbursement of travel expenses from an owner of a private
placement facility that receives or seeks to receive placement of juveniles by the
court is considered to be an improper source of travel expense. Under the Ohio
Code of Judicial Conduct, the source of the travel expenses gives the
appearance of influencing the judge in his or her judicial duties and would
otherwise appear to a reasonable person to undermine the judge’s
independence, integrity, or impartiality. Under Ohio Ethics Law, the source of the
travel expenses is improper because it comes from someone who receives or
seeks to receive placements of juveniles ordered by the court or who does
business or wants to do business with the court. Travel, meals, and lodging are
a thing of value. A thing of value that is more than nominal or deminimis is
considered a substantial influence. A thing of value that is from a person
interested in matters before, regulated by, or doing or seeking to do business
with a court is considered an improper influence. See e.g., Ohio SupCt, Bd of
Comm’rs on Grievances & Discipline, Op. 2005-2 (2005).

The propriety of accepting travel expenses does not hinge on whether the travel
is to an in-state facility or an out-of-state facility. A private placement facility, in-
state or out-of-state, seeking to receive or already receiving placement of
juveniles is an improper source for travel, meals, and lodging to a juvenile judge
whose official duties involve placement of juveniles as part of a disposition or
sentencing. A reasonable person would question whether influence was wielded
and whether partiality was exercised in the placement of a juvenile in a facility
that pays or reimburses the travel, meals, and lodging expenses of the judge or
court staff.

Thus, in answer to Question One, the Board advises as follows: It is improper for
a juvenile court judge or court staff to accept travel expenses (payment or
reimbursement of travel, meals, and lodging) from the owner of a private
placement facility that receives or seeks to receive placements of juveniles by the
court, for travel to the facility for an informational tour or to assess a juvenile
placed there by the court.

Question 2

   Is it proper for a juvenile court judge (or court staff) attending a
   national conference to accept a gratuitous nonconference meal
   paid for by a private placement facility that receives or seeks to
   receive placement of juveniles by the court?

Op. 2009-2 5

A “conference meal” for purposes of this opinion is a meal provided to attendees
or speakers by the conference organizers as part of a conference event.
Generally, a conference meal opened to all attendees or speakers and paid for
by either the registration fees or by a conference sponsor does not pose an
ethical problem for a judge or judicial employee under either the Code of Judicial
Conduct or Ohio Ethics Law.

Under the Ohio Code of Judicial Conduct a judge may properly accept a
conference meal. Pursuant to Rule 3.13(A)(11) a judge is permitted to accept
“[a]n invitation to the judge and the judge’s spouse, domestic partner, or guest to
attend without charge either of the following: (a) An event associated with a bar-
related function or other activity related to the law, the legal system, or the
administration of justice; (b) An event associated with any of the judge’s
educational, religious, charitable, fraternal, or civic activities permitted by this
code, if the same invitation is offered to nonjudges who are engaged in similar
ways in the activity as is the judge.” Such invitations would reasonably include
meals associated with the event.

Under Ohio Ethics Law a judge and judicial employees may properly accept a
conference meal. Pursuant to R.C. 102.03(I), a judge or judicial employee is
permitted to accept meals in connection with a conference, seminar, or similar
event related to official duties if the meal is not of such a character as to manifest
a substantial and improper influence upon the judge or judicial employee with
respect to their duties. Ohio Rev. Code Ann. § 102.03(I) (West Supp. 2008). In
most circumstances, a conference meal offered to all attendees or speakers
would not pose substantial and improper influence upon an individual judge or
judicial employee with respect to their duties.

The proposed offer by the private placement facility is not for a conference meal.
The proposed offer is for a nonconference meal.

A “non-conference meal,” for purposes of this opinion, is a meal that is not
provided by the conference organizers as part of a conference event. A non-
conference meal requires different scrutiny than a conference meal.

Under the Ohio Code of Judicial Conduct, a gratuitous non-conference meal will
be viewed categorically as either “ordinary social hospitality” under Rule
3.13(A)(3) or as “any other thing of value” under Rule 3.13(A)(12).

Rule 3.13(A)(3) permits a judge to accept ordinary social hospitality. Social
hospitality is not defined in the Code of Judicial Conduct, but it is the Board’s
view that the concept applies to a “no strings attached” situation, like a dinner at
the home of a close friend who is not interested in matters before the judge and
who is not doing or seeking to do business with the court on which the judge
serves.
Op. 2009-2 6

The proposed offer by a placement facility is not “social hospitality.” A gratuitous
invitation to a judge or court staff for dinner paid for by a private placement facility
that receives or seeks to receive placements of juveniles is not social
hospitality—strings are attached. The offer is from someone who is seeking the
good graces of a court whose judge’s duties include ordering the placement of
juveniles into a placement facility.

Rule 3.13(A)(12) permits a judge to accept “[a]ny other thing of value, if the donor
is neither of the following: (a) A party or other person who has come or is likely
to come or whose interest have come or are likely to come before the judge; (b)
A person who is doing or seeking to do business with the court.

The proposed offer by a placement facility is “any other thing of value” from
someone who receives or wants to receive placement of juveniles who are under
court order to enter a private placement facility. Thus, by application of Rule
3.13(A)(12) the gratuitous non-conference meal paid for by the owner private
placement facility should not be accepted because the owner is interested in the
court’s orders to place juveniles in private facilities.

As to Ohio Ethics Law, R.C. 102.03(I) permits a judge or judicial employee to
accept a meal incurred in connection with official duties, but not if it is of such a
character as to manifest a substantial and improper influence upon them with
respect to their duties. Ohio Rev. Code Ann. § 102.03(I) (West Supp. 2008). A
gratuitous non-conference meal paid for by a private placement facility that
receives placements of juvenile ordered by the court is of such a character as to
manifest a substantial and improper influence upon the judge or judicial
employee with respect to their duties. A meal is an improper influence when the
source of the meal is a person interested in matters before, regulated by, or
doing or seeking to do business with the court. A meal is a substantial influence
when the meal is more than deminimis. Thus, by application of R.C. 102.03(I)
the gratuitous non-conference meal paid for by the private placement facility
should not be accepted.

Thus, in answer to Question 2, the Board advises as follows: It is improper for a
juvenile court judge (or court staff) attending a conference to accept a gratuitous
non-conference meal paid for by a private placement facility that receives or
seeks to receive placement of juveniles by the court.

Question 3

   Does a judge’s (or court staff’s) reporting on an annual financial
   disclosure statement resolve all of the impropriety in accepting
   travel expenses (payment or reimbursement of travel, meals, and
   lodging) or a gratuitous non-conference meal from a private

Op. 2009-2 7

   placement facility that receives or seeks to receive placements of
   juveniles from the court?

The answer to the Question 3 is no. A judge’s disclosure on an annual financial
disclosure statement does not resolve all impropriety in accepting travel
expenses (payment or reimbursement of travel, meals, and lodging) or a
gratuitous non-conference meal from a private placement facility that receives or
seeks to receive placements of juveniles from the court, but fulfills the ethical and
legal reporting requirements of disclosure as to the annual financial disclosure
statement under the Ohio Code of Judicial Conduct and Ohio Ethics Law.

A judge is required by Rule 3.15 to file with the Board of Commissioners on
Grievances and Discipline the annual financial disclosure statement required by
R.C. 102.02. Some court staff may also be required to file annual financial
disclosure statements. See 1(A) in the Application section of the Ohio Code of
Judicial Conduct stating “[t]his code applies to all fulltime judges.”] and 1(B)
stating “[a] judge . . . is a lawyer who is authorized to perform judicial functions
within a court, including an officer such as a magistrate, court commissioner, or
special master.”

Rule 3.14(C) specifically requires that the acceptance of reimbursement of
expenses for travel, food, or lodging (and other things mentioned in the rule such
as incidental expenses, or waiver or partial waiver of fees or charges for
registration, tuition, and similar items) be reported as required by Rule 3.15.
Rule 3.13(B) specifically requires the reporting of “any gift, loan, bequest, benefit,
or other thing of value as required by Rule 3.15.” [Comment [2] to Rule 3.12
explains that compensation from extrajudicial activities is also subject to public
reporting as required by Rule 3.15.]

As to travel, a judge is required by R.C. 102.02(A)(8) to disclose “the source and
amount of every payment [or reimbursement] of expenses incurred for travel to
destinations inside or outside this state that is received by the person in the
person’s own name or by any other person for the person’s use or benefit and
that is incurred in connection with the person’s official duties, except for
expenses for travel to meetings or conventions of a national or state organization
to which any state agency [the court], . . . pays membership dues.” Ohio Rev.
Code Ann. § 102.02(A)(8) (West Supp. 2008).

Thus, if a judge receives travel expenses incurred in connection with official
duties, the source and amount of payment or reimbursement must be reported
pursuant to R.C. 102.02(A)(8) with one exception: the judge need not report
travel expenses to meetings or conventions of a national or state organization to
which the court pays membership dues.

As to meals, food, or beverages, a judge is required by R.C. 102.02(A)(9), to
disclose “the source of payment [or reimbursement] of expenses for meals and
Op. 2009-2 8

other food and beverages, other than for meals and other food and beverages
provided at a meeting at which the person participated in a panel, seminar, or
speaking engagement, or at a meeting or convention of a national or state
organization to which any state agency [the court], . . . pays membership dues,
that are incurred in connection with the person’s official duties and that exceed
one hundred dollars aggregated per calendar year.” Ohio Rev. Code Ann. §
102.02(A)(9) (West Supp. 2009).

Thus, if a judge receives meals and other food and beverage expenses incurred
in connection with the person’s official duties and which exceed one hundred
dollars aggregated per calendar year, the source and amount of payment or
reimbursement must be reported pursuant to R.C. 102.02(A)(9) with two
exceptions: 1) a judge need not disclose meals provided at a meeting in which
the judge participated as a speaker; and 2) a judge need not disclose meals
provided at a meeting of a national or state organization to which the court pays
membership dues.

Applying these reporting requirements to the first two questions raised in this
opinion, a juvenile court judge is required to disclose improperly accepted travel
expenses (payment or reimbursement of travel, meals, and lodging) incurred in
connection with official duties from the owners of a private placement facility that
receives or seeks to receive placements of juveniles by the court, for travel to the
facility for an informational tour or to assess a juvenile placed there by the court.
A juvenile court judge attending a conference is required to report an improperly
accepted gratuitous non-conference meal incurred in connection with official
duties from the owners of a private placement facility that receives or seeks to
receive placement of juveniles if the meal exceeds one hundred dollars
aggregated in the calendar year.

Summary of Conclusions to Questions One, Two, and Three

The Board advises as follows. It is improper for a juvenile court judge (or court
staff) accept travel expenses (payment or reimbursement of travel, meals, and
lodging) from the owners of a private placement facility that receives or seeks to
receive placements of juveniles by the court, for travel to the facility for an
informational tour or to assess a juvenile placed there by the court.

It is improper for a juvenile court judge (or court staff) while attending a
conference to accept a gratuitous non-conference meal paid for by a private
placement facility that receives or seeks to receive placement of juveniles by the
court.

A juvenile judge’s (or court staff’s) reporting on an annual financial disclosure
statement does not resolve all of the impropriety in accepting travel expenses
(payment or reimbursement of travel, meals, and lodging) or a gratuitous non-
conference meal from an improper source such as a private placement facility
Op. 2009-2 9

that receives or seeks to receive placements of juveniles from the court, but
fulfills ethical and legal reporting requirements as to annual financial disclosure
statement under the Ohio Code of Judicial Conduct and Ohio Ethics Law.

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 Ohio Rules of Professional Conduct,
the Ohio Code of Judicial Conduct, and the Attorney’s Oath of Office.
Pursuant to Section 102.08 of the Ohio Revised Code, the requester of the
opinion may reasonably rely on the opinion as it applies to Ohio Ethics Law
and related statutes.