HomeMy WebLinkAbout1110 SaxtonIn Re: Joseph Saxton
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
File Docket:
X -ref:
Date Decided:
Date Mailed:
97- 076 -C2
Order No. 1.110
12/15/98
12/29/98
Before: Daneen E. Reese, Chair
Austin M. Lee, Vice Chair
Julius Uehlein
Louis W. Fryman
John J. Bolger
Frank M. Brown
Susan Mosites Bicket
This is a final adjudication of the State Ethics Commission.
Procedurally, the Investigative Division of the State Ethics Commission
conducted an investigation regarding a possible violation of the Public Official and
Employee Ethics Law, Act 9 of 1989, P.L. 26, 65 P.S. §401 et seg., by the above -
named Respondent. At the commencement of its investigation, the Investigative
Division served upon Respondent written notice of the specific allegation(s). Upon
completion of its investigation, the Investigative Division issued and served upon
Respondent a Findings Report identified as an "Investigative Complaint." An Answer
was filed and a hearing was waived. The record is complete. A Consent Agreement
was submitted by the parties to the Commission for consideration which was
subsequently approved.
Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by
Chapter 11, Act 93 of 1998, which essentially repeats Act 9 of 1989 and provides
for the completion of pending matters under Act 93 of 1998.
This adjudication of the State Ethics Commission is issued under Act 93 of
1998 and will be made available as a public document thirty days after the mailing
date noted above. However, reconsideration may be requested. Any reconsideration
request must be received at this Commission within thirty days of the mailing date and
must include a detailed explanation of the reasons as to why reconsideration should
be granted in conformity with 51 Pa. Code §21.29(b). A request for reconsideration
will not affect the finality of this adjudication but will defer its public release pending
action on the request by the Commission.
The files in this case will remain confidential in accordance with Chapter 11 of
Act 93 of 1998. Any person who violates confidentiality of the Ethics Act is guilty of
a misdemeanor subject to a fine of not more than $ 1,000 or imprisonment for not
more than one year. Confidentiality does not preclude discussing this case with an
attorney at law.
Saxton, 97- 076 -C2
December 24, 1998
Page 2
1. A LEGATION: That Saxton, a public official in his capacity as a Council
Member for Bristol Borough, Bucks County, violated Section 4(a) of the State Ethics
Law (Act 9 of 1989) when he failed to file Statements of Financial Interests with the
governing authority of the political subdivision by which he is employed or within
which he is appointed no later than May 1st of each year that he holds such position
by failing to file Statements of Financial Interests for the 1993 and 1994 calendar
years by May 1 of 1994 and 1995, and when he backdated Statements of Financial
Interests for the 1993 and 1994 calendar years.
11. FINDINGS:
1. Joseph Saxton was appointed Vice- President of Borough Council from
1994 through 1997.
a. Saxton was appointed Vice- President of Borough Council from
1994 through 1997.
Statements of Financial Interests compliance reviews were conducted in
Bristol Borough on September 5, 1997, and December 19, 1997, for
calendar years 1 992 through 1996.
a. Borough officials including Joseph Saxton were identified as filing
Statements of Financial Interests.
3. The Statements of Financial Interests filed by Saxton listed his signature
and the date when he filed the form.
a. The Statement of Financial Interests for calendar year 1993 was
dated February 5, 1994.
b. The Statement of Financial Interests for calendar year 1994 was
dated February 20, 1995.
Saxton filed the Statements of Financial Interests for the 1993 and 1994
calendar years on SEC Revised Forms 1/96 and 1/97.
a. SEC Revised Form 1/96 was not available for distribution until
January, 1996 and SEC Revised Form 1/97 was not available for
distribution until January, 1997.
5. Statements of Financial Interests filed by . Saxton for 1993 and 1994
were not filed with the borough by May 1st of the following year.
6. Saxton filed the Statements of Financial Interests for calendar years
1993 and. 1 sometime. after January, 1997.
7. Saxton filed the Statements of Financial Interests after being contacted
by Bristol Borough Secretary Marie Fields.
a. Fields contacted borough officials in August 1997 following a
review of Statements of Financial Interests by a reporter which
disclosed that the forms were not on file.
A review of the forms filed by Saxton for Bristol Borough indicates on
their face that they were filed timely.
Saxton, 97- 076 -C2
December 24, 1998
Page 3
9. Saxton admitted the Statements of Financial Interests for calendar years
1993 and 1994 were not filed with Bristol Borough on the dates listed
on the forms.
10. Saxton picked out dates for each of the two Statements of Financial
Interests he filed for calendar years 1993 and 1994.
11. Saxton filed Statements of Financial Interests with the borough as
follows::
HI. DISCUSSION:
Calendar Year Date Filed
1997 02/09/98
1996 02/26/97
At all times relevant to this matter, the Respondent, Joseph Saxton, hereinafter
Saxton, has been a public official /employee subject to the provisions of the Public
Official and Employee Ethics Act ( "Ethics Act "),. Act 9 of 1989, Pamphlet Law 26, 65
P.S. §401, et seq. /Act 93 of 1998, Chapter 11.
The issue is whether Saxton, as a Council Member for Bristol Borough, Bucks
County, violated Section 1104(a) of the State Ethics Act by backdating and failing to
timely file Statements of Financial Interests (SFI's) for the 1993 and 1994 . calendar
years.
Section 1104. Statement of financial interests required to
be filed.
(a) Public official or public employee. - -Each public
official of the Commonwealth shall file a statement of
financial interests for the preceding calendar year with the
commission no later than May 1 of each year that he holds
such a position and of the year after he leaves such a
position. Each public employee and public official of the
Commonwealth shall file a statement of financial interests
for the preceding calendar year with the department,
agency, body or bureau in which he is employed or to which
he is appointed or elected no later than May 1 of each year
that he holds such a position and of the year after he leaves
such a position. Any other public employee or public official
shall, file a statement of financial interests with the
governing authority of the political subdivision by which he
is employed or within which he is appointed or elected no
later than. May 1 of each year that he holds such a position
and of the year after he leaves such a position. Persons
who are full -time or part-time solicitors for political
subdivisions are required to file under this section.
Act 93 of 1998, Chapter 11, § 1104(a).
Section 1104(a) of the Ethics Act requires that each public official /public
employee must file a Statement of Financial Interests for the preceding calendar year,
each year that he holds the position and the year after he leaves it.
Saxton, 97- 076 -C2
December 24, 1998
Page 4
Having noted the issues and applicable law, we shall now summarize the
relevant facts.
1997.
Saxton served as Vice - President of Bristol Borough Council from 1994 through
The 1993 and 1994 calendar year SFI's filed by Saxton included his signature
and ostensibly the dates when the forms were filed, that is, February 5, 1994 and
February 20, 1995, respectively. Saxton filed the 1993 and 1994 calendar year SFI's
on State Ethics Commission forms which were not available for distribution until
January, 1996 and January, 1997. The SFI's filed by Saxton for 1993 and 1994 were
not filed by May 1 of the following respective years, but were in fact filed after
January, 1997.
Saxton filed the SFI's after being contacted by the Bristol Borough Secretary,
Marie Fields. Borough officials were contacted by Fields after a review of SFI's by a
reporter confirmed that the forms were not on file. Saxton's SFI's were not filed with
Bristol Borough on the dates listed on the forms. The dates listed by Saxton were
chosen as filing dates.
Having summarized the above relevant facts, we must now determine whether
the actions of Saxton violated Section 1104(a) of the Ethics Act.
As noted above, Section 1104(a) of the Ethics Act specifically requires that a
public official file an SFI with the governing authority of the political subdivision no
later than May 1 of each year in which he /she holds such position and the year after .
he /she leaves such position. The record in this case conclusively establishes that the
SFI's filed by Saxton were filed after the annual May 1 deadlines. Accordingly,
violations of Section 1104(a) of the Ethics Act occurred when Saxton failed to timely
file SFI's as required by the Ethics Act and backdated the SFI's for those years. Saxton
is reminded that public office is a public trust and that as part of his duties as a public
official, he is required to comply with the SFI filing requirement imposed by the Ethics
Act.
The parties have entered into a Consent Agreement for: Section 1104(a)
violations; a payment by Saxton in the amount of $250 through this Commission to
the Commonwealth of Pennsylvania within 30 days of the date of issuance of this
Commission Order; and a filing of an amended SFI's within 30 days of the mailing date
of this Order for the 1993 and 1994 calendar years with. Bristol Borough, with one
copy of each forwarded to this Commission for compliance verification. The SFI's must
contain accurate current filing dates, together with the appropriate financial
information for the 1993 and 1994 calendar years. Upon review, we accept the
Consent Agreement and enter the Order below as per the terms agreed upon by the
parties. Compliance with the foregoing will result in the closing of this case with no
further action. Noncompliance will result in the institution of an order enforcement
action.
Lastly, as noted, the parties have filed a Stipulation of Findings and Consent
Agreement which sets forth a proposed resolution of the allegations. We believe that
the Consent Agreement is the proper disposition for this case based upon our review
as reflected in the above analysis and the totality of the facts and circumstances.
Saxton, 97- 076 -C2
December 24, 1998
Page 5
IV. CONCLUSIONS OF LAW:
1. Saxton, as a Council Member for Bristol Borough, Bucks County, was a
public official subject to the provisions of Act 9 of 1989.
2. Saxton violated Section 1 104(a) of the Ethics Act when he back -dated
and failed to timely file Statements of Financial Interests (SFI's) for
calendar years 1993 and 1994.
In Re: Joseph Saxton
ORDER NO. 1110
File Docket: 97- 076 -C2
Date Decided: 12/15/98
Date Mailed: 12/29/98
1. Joseph Saxton, as a Council Member for Bristol Borough, Bucks County,
violated Section 1104(a) of the Ethics Act when he back - dated and failed to
timely file Statements of Financial Interests (SFI's) for calendar years 1993 and
1994.
2. Saxton is directed within 30 days of the mailing date of this Order to file
amended SFI's for the 1993 and 1994 calendar years. with Bristol Borough, with
one copy of each forwarded to this Commission for compliance verification. The
SFI's must contain accurate current filing dates, together with the appropriate
financial information for the 1993 and 1994 calendar years.
3. As per the Consent Agreement of the parties, Saxton is directed to make
payment in the amount of $250 through this Commission to the Commonwealth
of Pennsylvania within 30 days of the mailing date of this Order.
4. Compliance with paragraphs 2 and 3 above will result in the closing of this case
with no further action; failure to comply with the above will result in the
institution of an order enforcement action.
BY THE COMMISSION,
uni e I. diL
DANEEN E. REESE, CHAIR