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In Re: Brian Sees,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
2414
File Docket:
X-ref.
Date Decided:
Date Mailed:
FACSIMILE: 717-787-0806
WEBSITE: .ethics. a.
20-010
Order No. 1788
6/23/21
6/28/21
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
This is a final adjudication of the State Ethics Commission.
Procedurally, the Investigative Division of the State Ethics Commission conducted an
investigation regarding possible violation(s) of the Public Official and Employee Ethics Act
("Ethics Act"), 65 Pa,C.S. § 1101 et �eq., by the above -named Respondent. At the commencement
of its investigation, the Investigative Division served upon Respondent written notice of the
specific allegations. Upon completion of its investigation, the Investigative Division issued and
served upon Respondent a Findings Report identified as an "Investigative Complaint," An Answer
was not filed, and a hearing was deemed waived. A Stipulation of Findings and a Consent
Agreement were subsequently submitted by the parties to the Commission for consideration. The
Stipulated Findings are set forth as the Findings in this Order. The Consent Agreement has been
approved.
1. ALLEGATIONS:
That Brian Sees, a public official/public employee in his capacity as a Board Member of
the Mount Jewett Regional Sewer Authority, violated Sections 1103(a), 1104(a), 1105(b)(1),
1105(b)(2), 1105(b)(3), 1105(b)(4), 1105(b)(5), 1105(b)(6), 1105(b)(7), 1105(b)(8), 1105(b)(9),
and 1105(b)(10) of the State Ethics Act (Act 93 of 1998) when he utilized the authority Of his
public position for the private pecuniary benefit of himself and/or a business with which he is
associated, by participating in actions and decisions of the Sewer Authority Board of Directors to
initiate sewer projects, including identifying and contacting potential contractors/vendors, at a time
when he possessed a reasonable expectation that he and/or a business with which he is associated
would be utilized to provide materials necessary for completion of the project(s); and when as a
Board Member, he failed to file annual Statements of Financial Interests with the Authority for
calendar years 2015, 2016, 2017, and 2018, and filed a deficient Statement of Financial Interests
Sees, 20-010
Page 2
for calendar year 2019 by identifying only his name, signature and signature date, thereby failing
to make any and all disclosure(s) as required.
II. FINDINGS:
1. Brian Sees ("Sees") has served as a Member of the Board of Directors ("Board") of the
Mount Jewett Regional Sewer Authority ("Authority"), McKean County, from August 3,
2015, through the present.
a. Sees has served as the Vice Chairman of the Authority Board since at least March
13, 2018.
2. The Authority was created by Mount Jewett Borough, McKean County, pursuant to the
provisions of the Municipality Authorities Act of 1945.
a. The Authority's Articles of Incorporation were filed with the Pennsylvania
Department of State on February 9, 1998.
b. The Authority was assigned entity number 2799212.
C. The Authority services Mount Jewett Borough and parts of Sergeant Township and
Hamlin Township.
3. The Authority is currently governed by a five -Member Board.
a. The Authority Board convenes for legislative meetings once per month on the
second Tuesday of each month.
b. Special meetings are called as needed.
C. Authority Board Members receive no compensation for their service on the
Authority Board.
d. The Authority was previously governed by a six -Member Board from at least April
21, 2008, until May 16, 2019.
4. Voting at legislative meetings is conducted by group voice vote.
a. The legislative meeting minutes identify any [Authority Board Member who casts
an opposing vote or abstains].
b. The Authority's legislative meeting minutes are approved for accuracy by the
Authority Board at the following legislative meeting.
5. The Authority Board receives a meeting packet and any supporting documentation prior to
each legislative meeting.
Sees, 20-010
Page 3
a. Each packet contains, at a minimum, an agenda, the previous legislative meeting
minutes, a maintenance report, flow meter reports, Treasurer's report, Secretary's
report, delinquency report, the financial report, and any old/new business
documents.
6. An individual motion and vote occur at each legislative meeting to approve payment of all
bills received and/or paid since the day after the last invoice report through the "as of ' date
identified on the current invoice report.
a. The motion and vote regarding approval of the payment of bills occurs as a single,
all -encompassing vote.
b. The vote includes approval of pending bills and retroactive approval of bills that
have already been paid.
7. Checks are signed throughout the month both prior to and after receiving approval at each
legislative meeting.
a. Checks are prepared and generated by the Authority Secretary/Treasurer.
b. Authority checks are issued immediately after being signed by authorized
signatories.
8. Signature authority over all Authority accounts is maintained by the Chairman, Vice
Chairman, and Authority Secretary/Treasurer.
a. Authority checks issued require the live signatures of any two of the authorized
signatories.
1. Facsimile stamps are not utilized by the Authority.
b. Sees has been an authorized signatory on Authority accounts since at least
December 1, 2016.
THE FOLLOWING FINDINGS RELATE TO AUTHORITY PROJECTS PERFORMED
BY CONTRACTORS UTILIZING MATERIALS PURCHASED FROM A BUSINESS
WITH WHICH SEES IS ASSOCIATED.
9. Sees is the sole owner and operator of Kushequa Development Corporation ("KDC"), a
business which primarily operates rental properties.
a. KDC's Articles of Incorporation were filed with the Pennsylvania Department of
State ("Department of State") on May 6, 2005.
1. The business was previously named/known as Kushequa Properties, Inc.
2. Articles of Amendment were subsequently filed with the Department of
Sees, 20-010
Page 4
State on June 18, 2005, changing the name to KDC.
b, KDC was assigned Entity No. 3304583.
C. KDC's registered business address is 11 West Main Street, Box B, Mount Jewett,
Pennsylvania 16740.
10. In addition to KDC, Sees owns and operates two noncoal surface mines (aka quarries)
known locally/collectively as the "Snowdome" located on Snowdome Road in Mount
Jewett, Pennsylvania.
a. The Snowdome is located within the geographic area of Parcel No. 13-000-105.
1. Sees purchased Parcel No. 13-000-105 on August 7, 1996.
b. Sees maintains two 5-acre noncoal surface mine permits for Parcel No. 13-000-105.
1. Permit No. 42002802 is located at: 41' 43' 12.00" N, 78' 37' 36.00" W.
2. Permit No. 42172801 is located at: 41 ° 43' 11.63" N, 78' 37' 28.42" W.
11. Contractors independently mine all materials from the Snowdome using their own
resources (e.g. equipment, machinery, vehicles, etc.).
a. Sees does not provide any services or assistance in relation to mining materials
from the Snowdome.
b. The minerals/materials mined at the Snowdome are primarily sandstone (aka "pit
stone") and topsoil.
12. Sees charges contractors $53.00 [$50.00 plus 6% sales tax] per triaxle load of pit stone
taken from the Snowdome.
a. Materials mined/excavated are not weighed or otherwise measured in any way by
Sees prior to transport from the Snowdome.
1. Material taken from the Snowdome is billed based on an honor system.
b. A triaxle load of pit stone is approximately 20 to 22 tons of material.
13. Contractors report the number of triaxle loads of material taken from the Snowdome to
Sees when issuing payment (i.e., check) to Sees for the materials.
a. Contractors are subsequently issued an invoice by Sees' accountant documenting
the purchase.
Sees, 20-010
Page 5
14. Other quarries in the area servicing Mount Jewett, Pennsylvania, include the following:
a. Steve Dyne operates a quarry in Kane, Pennsylvania, approximately It. 6 miles (17
minutes) from Mount Jewett, Pennsylvania.
b. Rick Powell operates a quarry in Kane, Pennsylvania, approximately 11.6 miles (17
minutes) from Mount Jewett, Pennsylvania.
C. Glenn O. Hawbaker, Inc. operates a quarry in Turtlepoint, Pennsylvania,
approximately 22.3 miles (32 minutes) from Mount Jewett, Pennsylvania.
d. Duffy, Inc. operates a quarry in Port Alleghany, Pennsylvania, approximately 24.1
miles (32 minutes) from Mount Jewett, Pennsylvania.
15. Kevin Sluga Excavating ("KSE") and Warner Brook Excavating ("WBE") are local
contractors in the Mount Jewett, Pennsylvania area.
a. KSE is owned and operated by Kevin Sluga ("Sluga")
b. WBE is owned and operated by Dave Okerlund ("Okerlund").
16. KSE and WBE have historically used/purchased pit stone from the Snowdome during the
regular course of their business operations.
a. KSE presently uses/purchases pit stone from the Snowdome.
b. WBE discontinued using/purchasing pit stone from the Snowdome in or around
October 2019.
17. KSE and WBE's consistent use of the Snowdome as a source for materials is/was common
knowledge in the Mount Jewett, Pennsylvania area.
a. Sees, as the owner of the Snowdome, had direct knowledge of KSE and WBE's
historical/frequent use of material from the Snowdome for their work projects.
KSE and WBE left machinery used to mine material at the Snowdome.
aa. Sees listed Sluga as the Equipment Operator and an emergency
contact on his (Sees') noncoal surface mine permit applications with
the Pennsylvania Department of Environmental Protection.
2. Sees is required to maintain a site logbook of all material taken from the
small noncoal surface mines per the Pennsylvania Department of
Environmental Protection's monitoring and reporting requirements.
aa. Sees' engineer reports the number of tons of material taken from the
Sees, 20-010
Page 6
two noncoal surface mines to the Pennsylvania Department of
Environmental Protection based on the number of triaxles recorded
by Sees' accountant per payment received from individual
contractors.
18. The Authority used both KSE and WBE to perform various Authority projects which fall
below the threshold requiring public bidding and/or written/telephonic quotes.
a. Sees was the primary Authority Board Member involved in identifying and
determining Authority projects to be completed.
19. Sees and/or then -Authority Board Member/Chairman Michael Wennerstrom
("Wennerstrom") routinely contacted KSE and/or WBE for verbal quotes in relation to
Authority projects.
a. Sees and Wennerstrom kept each other informed of their discussions with KSE
and/or WBE.
1. Sees had direct/indirect knowledge of all small-scale Authority projects to
be completed.
b. The Authority Board did not consistently discuss and/or formally approve the
Authority projects and/or the hiring of KSE or WBE.
20. WBE was hired to complete an Authority project in 2017 without any prior public
discussion and/or any official action taken by the Authority Board during any legislative
or special meeting.
a. Authority meeting minutes spanning from at least April 12, 2016, through April 11,
2017, document no discussion among the Authority Board or any official action to
engage WBE to complete any Authority projects.
b. Sees had knowledge of all Authority projects and contractors to be used as a result
of Sees contacting the contractors directly and/or via communication from
Wennerstrom.
21. WBE submitted Invoice No. 199, dated April 12, 2017, to the Authority in the amount of
$3,085.00 for services provided, as detailed below:
Description
Quantity
Rate
Amount
13 loads of stone per quote
13
$150.00
$1,950.00
2 — 12" pipes
2
$125.00
$250.00
Dozer spreading stone on pad and
road
8
$95.00
$760.00
Mobilize to sewer treatment plant
1
$125.00
$125.00
TOTAL
$3,085.00
Sees, 2 0-0 10
Page 7
a. Invoice No. 199 documented the use of 13 triaxle loads of pit stone for the project.
I. The stone documented on the invoice was purchased from Sees/the
Snowdome.
b. Invoice No. 199 was included on the Invoice Report as of May 3, 2017, under the
section "BILLS APPROVED FROM PRIOR MEETING AND THOSE PAID TO
MEET DUE DATE."
1. Invoice No. 199 was included on "BILLS APPROVED FROM PRIOR
MEETING AND THOSE PAID TO MEET DUE DATE" section presented
to the Authority Board during the May 10, 2017, legislative meeting.
aa. During the May 10, 2017, legislative meeting, the Authority Board
motioned and approved to pay the bills pending unanimously via 5-
0 vote.
bb. Sees was present and voted in favor to pay the bills pending.
CC. Authority Board Member Myers was absent from the May 10, 2017,
legislative meeting.
c. Sees participated in actions of the Authority Board to approve the payment of
Invoice No. 199 which included 13 triaxle loads of pit stone taken from the
Snowdome.
d. Check No. 4160 was dated April 19, 2017, and payable to WBE in the amount of
$3,085.00.
I . Sees and Wennerstrom signed Check No. 4160.
22. On or around May 19, 2017, Sees received at least $689.00 from WBE for payment for 13
triaxle loads of pit stone used in relation to Invoice No. 199 [13 triaxle loads x $53.00 =
$689.00].
a. KDC Invoice No. 6010 dated May 19, 2017, documented payment totaling
$1,696.00 from WBE for a total of 32 triaxle loads of pit stone.
1. At least 13 of the 32 triaxle loads purchased were utilized for an Authority
proj ect.
23. During the August 14, 2018, meeting the Authority Board discussed, and Sees
subsequently motioned, to obtain prices from Sluga and Okerlund for stone to be spread at
the Authority sewer ponds and roads, as well as Hacker Street, and to hire whoever was
cheaper and could get the project completed quicker.
Sees, 20-010
Page 8
a. The Authority Board and former Plant Operator John Hayduk discussed cleaning
the road to prepare for future work to be completed by the Authority.
1. Wennerstrom reported the road "was decent but needed low brush cut out
of the way."
2. Sees told the Authority Board that he (Sees) had previously spoken with
Okerlund, and Okerlund indicated he would get the work done for the
Authority.
3. Sees also expressed to the Authority Board the need to obtain a quote from
Sluga.
b. The motion to obtain prices from Sluga and Okerlund, and to hire the cheaper and
quicker of the two, carried unanimously via 5-0 vote without any further public
discussion.
Sees was present and motioned and voted to obtain prices from Sluga and
Okerlund, and to hire either KSE or WBE to complete the work for the
Authority.
2. Authority Board Member Gary Geer was absent from the August 14, 2018,
legislative meeting.
24. The motion to obtain prices and subsequently hire Sluga or Okerlund resulted in both Sluga
and Okerlund being hired to complete Authority projects.
a. WBE submitted Invoice No. 368, dated September 20, 2018, to the Authority in the
amount of $1,952.50, as detailed below:
Description
Quantity
Rate
Amount
Meet John at sewer plant go over project mobilize dozer to
sewer ponds and haul 4 loads of stone mobilize dozer to
hacker st and haul 2 loads of stone
8.5
$85.00
$722.50
Dozerspreading stone at ponds and hacker st
7
$90.00
$630.00
Stone from snowdome loaded on truck with 315 excavator
1 6
$100.00
$600.00
TOTAL
1 $1,952.50
Invoice No. 368 documented the use of 6 triaxle loads of pit stone from the
Snowdome.
b. KSE submitted Invoice No. 713327, dated August 10, 2018, to the Authority in the
amount of $7,202.50, as detailed below:
Work Date
Description
Unit Price
Amount
08/20/18 — 08/31/18
20 Triaxle loads pit stone
$225.00
$4,500.00
40'-12 inch plastic pipe
-
$422.50
20'-8 inch plastic pipe
-
$150.00
Backhoe — set pipe, clean ditches 3 hrs.
$80.00
$240.00
Sees, 20-010
Page 9
Dozer service, clean ditches, widen road,
push brush off R.O.W. set pipes 21 hrs.
_
$1,890.00
TOTAL
$7,202.50
1. Invoice No. 713327 documented the use of 20 triaxle loads of pit stone from
the Snowdome.
2. Sees initialed Invoice No. 713327, documenting his review/approval of said
invoice.
25. During the September 11, 2018, Authority meeting, the Authority Board discussed laying
a stone base on a sewer pond road and subsequently voted to have Sluga install a road for
Insight Pipe, a full -service underground utility contractor.
a. Sluga called the Authority and spoke to Wennerstrom while the Authority Board
was actively discussing the matter.
l . Sees told Wennerstrorn to see if Sluga was available.
2. Sluga stated he could do the work over the weekend per his telephone
conversation with Wennerstrom.
b. Sees was present and motioned and voted in favor of Sluga installing the road.
I . The motion passed unanimously via a vote of 4-0.
aa. Authority Board Member Jim Trussell was absent from the
September 11, 2018, legislative meeting.
26. KSE submitted Invoice No. 713331, dated October 1, 2018, to the Authority in the amount
of $1,250.00, as detailed below:
Work Date
Description
Unit Price
Amount
09/14/2018
4 T.A, loads pit stone
$200.00
$800.00
Dozer work — 5 hrs.
$90,00/hr
$450.00
TOTAL
$1,250.00
a. Invoice No. 713331 documented the use of 4 triaxle loads of pit stone from the
Snowdome.
b. Sees initialed Invoice No. 713331, documenting his review/approval of said
invoice.
27. KSE Invoice No. 713327, in the amount of $7,202.50; KSE Invoice No. 713331, in the
amount of $1,250.00; and WBE Invoice No. 368, in the amount of $1,952.50, were
included on the Invoice Report as of October 5, 2018.
Sees, 20-010
Page 10
a. During the October 9, 2018, Authority meeting, the Authority Board unanimously
approved via 4-0 vote to pay the bills pending.
I. Sees was present and motioned and voted to pay the bills pending.
2. Authority Board Member Jeff Wolfe was absent from the October 9, 2018,
legislative meeting.
28. Sees participated in actions of the Authority Board to retroactively approve the payment of
KSE Invoice No. 313327 and Invoice No. 713331 as well as WBE Invoice No. 368 which
included a total of 30 triaxle loads of pit stone taken from the Snowdome.
a. The Authority issued a total of three checks to KSE and WBE in relation to said
invoices, as detailed below:
Date
Check No.
Payable To
Amount
Signatures
09/13/2018
4519
KSE
$7,202.50
Diana Rankin
Brian Sees
Diana Rankin
09/24/2018
4529
WBE
$1,952.50
Brian Sees
Diana Rankin
t 0/03/2018
4537
KSE
$1,250.00
Brian Sees
1. Sees, as an authorized signatory on the Authority accounts, signed the three
checks issued to KSE and WBE which included payment for the pit stone
taken from the Snowdome.
29. Sees received a total of three checks from KSE and WBE, totaling $1,590.00, for payment
for materials taken from the Snowdome for Authority -related projects, as detailed below:
Date
Clteck No.
From
Payable To
Amount
Triaxles Used
for Authority
Amount Included on
Authority Project
09/10/2018
4987
KSE
KDC
$1,812.60
20
$1,060.00
11/23/2018
5021
KSE
KDC
$466.40
4
$212,00
10/29/2018
Unknown*
WBE
Unknown*
$1,431.00
6
$318.00
TOTAL
1 $1,590.00
*The invoice provided to WBE from KDC documented KDC's receipt of payment via a "Paid" stamp affixed to the invoice.
a. Sees received payment for the material KSE and WBE utilized to complete the
Authority projects.
THE FOLLOWING FINDINGS RELATE TO ALLEGATIONS THAT SEES FAILED TO
FILE STATEMENTS OF FINANCIAL INTERESTS FOR CALENDAR YEARS 2015
THROUGH 2O18 AND THAT SEES FAILED TO DISCLOSE REQUSITE
INFORMATION ON HIS STATEMENT OF FINANCIAL INTERESTS FILED FOR
CALENDAR YEAR 2019.
30. Statement of Financial Interests ("SFI") filing requirements for public officials and public
employees are mandated by Section 1104 of the State Ethics Act.
Sees, 20-010
Page 11
a. Section 1104(a) mandates, in part, the following:
"...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."
Sees was required to file SFIs by May I" annually in his position as a
Member of the Authority Board.
31. information to be disclosed on SFIs filed by public officials and public employees is
mandated by Section. 1105 of the State Ethics Act.
a. Section 1105(b), Subsections (1) - (10) identify specific information to be disclosed
as detailed, in part, below:
Subsection # Reauired Information
(1)
Name, address, and public position.
(2)
Occupation or profession.
(3)
Direct or indirect interest in any real estate sold or leased to,
purchased or leased from, or which was the subject of any
condemnation proceedings by the Commonwealth, its agencies,
or political subdivisions.
(4)
The name and address of each creditor to whom is awed in excess
of $6,500.00 and the interest rate thereon.
(5)
The name and address of any direct or indirect source of income
totaling in the aggregate $1,300 or more.
(6)
The name and address of the source and the amount of any gift
of gifts valued in the aggregate at $250 or more and the
circumstances of each gift.
(7)
The name and address of the source and the amount of any
payment for or reimbursement of actual expenses for
transportation and lodging or hospitality received in connection
with public office or employment where such actual expenses for
transportation and lodging or hospitality exceed $650 in an
aggregate amount per year.
(8)
Any office, directorship or employment of any nature whatsoever
in any business entity.
(9)
Any financial interest in any legal entity engaged in business for
profit.
(10)
The identity of any financial interest in a business with which the
reporting person is or has been associated in the preceding
calendar year which has been transferred to a member of the
reporting person's immediate family.
Sees, 20-010
Page 12
32. On or about April 3, 2020, a request was made by State Ethics Commission Investigators
to the Authority for SFIs filed by Sees for calendar years 2015 through 2019 in his capacity
as a Member of the Authority Board.
a. Sees' 2019 calendar year SFI was received by the Investigative Division on or about
,Tune 15, 2020.
b. Sees had no SFIs on file at the Authority office for calendar years 2015 through
2018.
33, Sees' SFI filed for calendar year 2019 was grossly deficient in relation to information
required under Section 1 I05(b) of the State Ethics Act.
a. Sees' SFI for calendar year 2019 contained only Sees' name, signature, and a date
of January 23, 2020.
b. Sees' SFI for calendar year 2019 documented the following on the bottom of the
form:
"THIS FORM IS CONSIDERED DEFICIENT IF ANY BLOCK ABOVE IS NOT
COMPLETED. MAKE A COPY FOR YOUR RECORDS."
III. DISCUSSION:
As a Member of the Board of Directors (`Board") of the Mount Jewett Regional Sewer
Authority ("Authority"), McKean County, Pennsylvania, from August 3, 2015, through the
present, Respondent Brian Sees, also referred to herein as "Respondent," "Respondent Sees," and
"Sees," has been a public official subject to the provisions of the Public Official and Employee
Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et seq.
The allegations are that Sees violated Sections 1103(a), 1104(a), 1105(b)(1), 1105(b)(2),
1105(b)(3), 1105(b)(4), 1105(b)(5), 1105(b)(6), 1105(b)(7), 1105(b)(8), 1105(b)(9), and
1105(b)(10) of the Ethics Act: (1) when he utilized the authority of his public position for the
private pecuniary benefit of himself and/or a business with which he is associated, by participating
in actions and decisions of the Authority Board to initiate sewer projects, including identifying and
contacting potential contractors/vendors, at a time when he possessed a reasonable expectation
that he and/or a business with which he is associated would be utilized to provide materials
necessary for completion of the project(s); (2) when he failed to file annual Statements of Financial
Interests ("SFIs") with the Authority for calendar years 2015, 2016, 2017, and 2018; and (3) when
he filed a deficient SFI for calendar year 2019 by identifying only his name, signature and signature
date, thereby failing to make any and all disclosure(s) as required.
Per the Consent Agreement of the parties, the Investigative Division has exercised its
prosecutorial discretion to nolle pros the Section 1105(b) allegations regarding Sees' SFI for
calendar year 2019. We therefore need not address those particular allegations.
Sees, 20-010
Page 13
Pursuant to Section 1103(a) of the Ethics Act, a public official/public employee is
prohibited from engaging in conduct that constitutes a conflict of interest:
§ 1103. Restricted activities
(a) Conflict of interest. --No public official or public
employee shall engage in conduct that constitutes a conflict of
interest.
65 Pa.C.S. § 1103(a).
The term "conflict of interest" is defined in the Ethics Act as follows:
§ 1102. Definitions
"Conflict" or "conflict of interest." Use by a public
official or public employee of the authority of his office or
employment or any confidential information received through his
holding public office or employment for the private pecuniary
benefit of himself, a member of his immediate family or a business
with which he or a member of his immediate family is associated.
The term does not include an action having a de minimis economic
impact or which affects to the same degree a class consisting of the
general public or a subclass consisting of an industry, occupation or
other group which includes the public official or public employee, a
member of his immediate family or a business with which he or a
member of his immediate family is associated.
65 Pa.C.S. § 1102.
Subject to the statutory exclusions to the Ethics Act's definition of the term "conflict" or
"conflict of interest," 65 Pa.C.S. § 1102, pursuant to Section 1103(a) of the Ethics Act, a public
official/public employee is prohibited from using the authority of public office/employment or
confidential information received by holding such a public position for the private pecuniary
benefit of the public official/public employee himself, any member of his immediate family, or a
business with which he or a member of his immediate family is associated.
Section 1104(a) of the Ethics Act provides that each public official/public employee must
file an SFl for the preceding calendar year, each year that he holds the position and the year after
he leaves it.
As noted above, the parties have submitted a Consent Agreement and Stipulation of
Findings. The parties' Stipulated Findings are set forth above as the Findings of this Commission.
We shall now summarize the relevant facts as contained therein.
Sees, 20-010
Page 14
The Authority was created by Mount Jewett Borough. The Authority services Mount
Jewett Borough and parts of Sergeant Township and Hamlin Township. The Authority is currently
governed by a five -Member Board. From at least April 21, 2008, until May 16, 2019, the Authority
was governed by a six -Member Board.
Sees has served as a Member of the Authority Board from August 3, 2015, through the
present. Sees has served as Vice Chairman of the Authority Board since at least March 13, 2018.
Sees has been an authorized signatory on Authority accounts since at least December 1, 2016.
Sees owns and operates two noncoal surface mines which are located on Snowdome Road
in Mount Jewett, Pennsylvania. The two noncoal surface mines are locally and collectively known
as the "Snowdome." Contractors independently mine pit stone and other materials from the
Snowdome using their own equipment, machinery, vehicles, and other resources. Sees does not
provide any services or assistance in relation to mining materials fiom the Snowdome.
Sees charges contractors $53.00 for each triaxle load of pit stone taken from the
Snowdome. A triaxle load of pit stone is approximately 20 to 22 tons of material. Billing for
material mined from the Snowdome is done on an honor system. A contractor reports the number
of triaxle loads of material taken from the Snowdome to Sees when the contractor issues payment
to Sees for the material. Sees' accountant subsequently issues an invoice documenting the
purchase to the contractor.
Kevin Sluga Excavating ("KSE") and Warner Brook Excavating ("WBE") are local
contractors in the Mount Jewett, Pennsylvania area. KSE is owned and operated by Kevin Sluga
("Sluga"), and WBE is owned and operated by Dave Okerlund ("Okerlund"). KSE and WBE
historically used pit stone from the Snowdome during the regular course of their business
operations, and they left machinery at the Snowdome to mine material. Sees, as the owner of the
Snowdome, had direct knowledge that KSE and WBE frequently used material from the
Snowdome for their projects.
The Authority used KSE and WBE to complete various Authority projects which did not
require public bidding or written/telephonic quotes. Sees was the Authority Board Member who
was primarily involved in identifying small-scale Authority projects to be completed. Sees or
then -Authority Board Chairman Michael Wennerstrom ("Wennerstrom") routinely contacted
KSE or WBE for verbal quotes in relation to Authority projects. The Authority Board did not
consistently discuss or formally approve the Authority projects or the hiring of KSE or WBE to
complete the projects.
WBE was hired to complete an Authority project in 2017 without any public discussion or
official action taken by the Authority Board during a meeting. WBE submitted Invoice No. 199,
dated April 12, 2017, to the Authority for services provided in relation to an Authority project.
Invoice No. 199 totaled $3,085.00 and included a charge for the use of thirteen triaxle loads of
pit stone. The pit stone used for the Authority project was mined from the Snowdome. On May
10, 2017, Sees participated in a unanimous vote of the Authority Board that approved the payment
of the bills pending, including Invoice No. 199. Sees and Wennerstrom signed Authority Check
No. 4160, in the amount of $3,085.00, which was payable to WBE. On or around May 19, 2017,
Sees, 20-010
Page 15
Sees received at least $689.00 from WBE as payment for the thirteen triaxle loads of pit stone
that were used for the Authority project.
During a meeting held on August 14, 2018, the Authority Board discussed obtaining prices
from Sluga and Okerlund for stone to be spread at the Authority sewer ponds and roads. The
Authority Board also discussed cleaning Hacker Street to prepare for future work to be completed
by the Authority. Sees told the Authority Board that he had previously spoken with Okerlund,
who indicated that he would get the work done for the Authority. Sees subsequently made a motion
and participated in a unanimous vote of the Authority Board to obtain prices from Sluga and
Okerlund and hire the business (i.e., KSE or WBE) that could get the work done for the Authority
the fastest and at the least cost.
The motion to obtain prices and hire either Sluga or Okerlund resulted in both Sluga and
Okerlund being hired to complete Authority projects. KSE submitted Invoice No. 713327, dated
August 10, 2018, to the Authority for work that included setting pipe, cleaning ditches, and
widening a road. Invoice No. 713327 totaled $7,202.50 and included a charge for the use of twenty
triaxle loads of pit stone from the Snowdome. KSE paid Sees the amount of $1,060.00 for the pit
stone. WBE submitted Invoice No. 368, dated September 20, 2018, to the Authority for work that
included spreading stone at the Authority sewer ponds and Hacker Street. Invoice No. 368 totaled
$1,952.50 and included a charge for six triaxle loads of pit stone from the Snowdome. WBE paid
Sees the amount of $318.00 for the pit stone.
During a meeting held on September 11, 2018, the Authority Board discussed laying a
stone base on a sewer pond road. While the Authority Board was discussing the matter, Sluga
called the Authority and spoke to Wennerstrom. Sees told. Wennerstrom to see if Sluga was
available, and Sluga stated that he could do the work over the weekend. Sees subsequently made
a motion and participated in a unanimous vote of the Authority Board to have Sluga install a road
for Insight Pipe, a full -service underground utility contractor.
KSE submitted Invoice No. 713331, dated October 1, 2018, to the Authority for work that
KSE performed on September 14, 2018. Invoice No. 713331 totaled $1,250.00 and included a
charge for the use of four triaxle loads of pit stone from the Snowdome. KSE paid Sees the amount
of $212.00 for the pit stone.
On October 9, 2018, Sees made a motion and participated in a unanimous vote of the
Authority Board to pay the bills pending, which included KSE Invoice No. 713327, KSE Invoice
No. 713331, and WBE Invoice No. 368. These invoices for services performed on Authority
projects included charges for the use of a total of 30 triaxle loads of pit stone from the Snowdome.
Sees signed three Authority checks that were issued to pay the invoices.
Between May 2017 and October 2018, KSE and WBE paid Sees a total of $2,279.00 for
pit stone from the Snowdome that was used for Authority projects.
As a Member of the Authority Board, Sees is required to annually file an SFI by May 1
containing information for the prior calendar year. On or about April 3, 2020, State Ethics
Commission Investigators asked the Authority for Sees' SFIs for calendar years 2015 through
2019. Sees had no SFIs for calendar years 2015 through 2018 on file at the Authority office.
Sees, 20-010
Page 16
Having highlighted the Stipulated Findings and issues before us, we shall now apply the
Ethics Act to determine the proper disposition of this case.
The parties' Consent Agreement sets forth a proposed resolution of the allegations as
follows:
3. The Investigative Division will recommend the following in relation
to the above allegations:
a. That a violation of Section 1103(a) of the Public
Official and Employee Ethics Act, 65 Pa.C.S. §
1103(a), occurred in relation to Sees' participation in
actions and decisions of the Mount Jewett Regional
Sewer Authority Board to initiate sewer projects,
including identifying and contacting potential
contractors/vendors, at a time when he possessed a
reasonable expectation that he and/or a business he is
associated with would receive a pecuniary benefit by
providing the materials necessary for completion of
the project(s).
b. That a violation of Section 1104(a) of the Public
Official and Employee Ethics Act, 65 Pa.C.S. §
1104(a), occurred in relation to Sees' failure to file
annual Statements of Financial Interests with the
Authority for calendar years 2015, 2016, 2017, and
2018.
C. The Investigative Division will recommend no
further action on the remaining allegations.
4. Sees agrees to make payment in the amount of $3,000.00 in
settlement of this matter.
a. Sees agrees to make a payment of $2,500.00 payable to the
Commonwealth of Pennsylvania and forwarded to the
Pennsylvania State Ethics Commission within thirty (30)
days of the issuance of the final adjudication in this matter.
This payment represents violations found within paragraphs
3(a) ($1,500.00) and 3(b) ($1,000.00) above.
b. Sees agrees to make a payment of $500.00 payable to the
Pennsylvania State Ethics Commission, forwarded to the
same within thirty (30) days of the issuance of the final
adjudication in this matter. This payment represents a
Sees, 20-010
Page 17
portion of the expenses and costs incurred by the State Ethics
Commission in the investigation and administrative
prosecution of the instant matter.
5. To the extent that he has not already done so, Sees agrees to file
complete and accurate amended Statements of Financial Interests
with the Mount Jewett Regional Sewer Authority, through the
Pennsylvania State Ethics Commission, for calendar years 2015,
2016, 2017, 2018, and 2019 within thirty (30) days of the issuance
of the final adjudication in this matter.
6. Sees agrees to not accept any reimbursement, compensation or other
payment from the Mount Jewett Regional Sewer Authority
representing a full or partial reimbursement of the amount paid in
settlement of this matter.
7. The Investigative Division will recommend that the State Ethics
Commission take no further action in this matter; and make no
specific recommendations to any law enforcement or other authority
to take action in this matter. Such, however, does not prohibit the
Commission from initiating appropriate enforcement actions in the
event of Respondent's failure to comply with this agreement or the
Commission's order or cooperating with any other authority who
may so choose to review this matter further.
Consent Agreement, at 2-3.
We accept the recommendation of the parties for a finding that a violation of Section
I I03(a) of the Ethics Act occurred in relation to Sees' participation in actions and decisions of the
Authority Board to initiate sewer projects, including identifying and contacting potential
contractors/vendors, at a time when he possessed a reasonable expectation that he and/or a business
with which he is associated would receive a pecuniary benefit by providing the materials necessary
for completion of the projects.
In his private capacity, Sees owns and operates the Snowdome, from which contractors
independently mine pit stone and other materials. Sees had direct knowledge that two local
contractors, KSE and WBE, frequently used the Snowdome as a source of materials for their
projects. Sees used the authority of his public position as an Authority Board Member in matters
involving Authority projects and KSE or WBE: (1) when he routinely contacted KSE or WBE for
verbal quotes for Authority projects; (2) when, on August 14, 2018, he made a motion and voted
to obtain prices from KSE and WBE for work involving the Authority sewer ponds and roads and
to hire the business that could get the work done the fastest and at the least cost; and (3) when, on
September 11, 2018, he made a motion and voted to have a road installed by KSE. Between May
2017 and October 2018, KSE and WBE paid Sees a total of $2,279.00 for pit stone from the
Snowdome that was used for Authority projects.
Sees, 20-010
Page 18
Based upon the Stipulated Findings and Consent Agreement, we hold that Sees violated
Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), in relation to his participation in actions
and decisions of the Authority Board to initiate sewer projects, including identifying and
contacting potential contractors/vendors, at a time when he possessed a reasonable expectation
that he and/or a business with which he is associated would receive a pecuniary benefit by
providing the materials necessary for completion of the projects.
We agree with the parties, and we hold, that a violation of Section 1104(a) of the Ethics
Act, 65 Pa.C.S. § 1104(a), occurred in relation to Sees' failure to file SFIs with the Authority for
calendar years 2015, 2016, 2017, and 2018.
As part of the Consent Agreement, Sees has agreed to make payment in the amount of
$2,500.00 payable to the Commonwealth of Pennsylvania and forwarded to this Commission
within thirty (30) days of the issuance of the final adjudication in this matter.
Sees has further agreed to make payment in the amount of $500.00 payable to this
Commission, representing a portion of the expenses and costs incurred by this Commission in the
investigation and administrative prosecution of the instant matter, with such payment to be
forwarded to this Commission within thirty (30) days of the issuance of the final adjudication in
this matter.
Sees agrees to not accept any reimbursement, compensation or other payment from the
Authority representing a full or partial reimbursement of the amount paid in settlement of this
matter.
To the extent he has not already done so, Sees has agreed to file complete and accurate
SFIs/amended SFIs for calendar years 2015, 2016, 2017, 2018, and 2019 with the Authority,
through this Commission, within thirty (30) days of the issuance of the final adjudication in this
matter.
We agree that the aforesaid recommendations are appropriate, including the
recommendation that Sees file complete and accurate SFIs/amended SFIs for calendar years 2015,
2016, 2017, 2018, and 2019, notwithstanding the nolle pros as to the allegations regarding Sees'
SFI for calendar year 2019.
Accordingly, per the Consent Agreement of the parties, Sees is directed to make payment
in the amount of $2,500.00 payable to the Commonwealth of Pennsylvania and forwarded to this
Commission by no later than the thirtieth (301h) day after the mailing date of this adjudication and
Order.
Per the Consent Agreement of the parties, Sees is further directed to make payment in the
amount of $500.00 payable to the Pennsylvania State Ethics Commission, representing a portion
of the expenses and costs incurred by this Commission in the investigation and administrative
prosecution of the instant matter, with such payment forwarded to this Commission by no later
than the thirtieth (30fh) day after the mailing date of this adjudication and Order.
Sees, 20-010
Page 19
Sees is directed to not accept any reimbursement, compensation or other payment from the
Authority representing a full or partial reimbursement of the amount paid in settlement of this
matter.
To the extent he has not already done so, Sees is directed to file complete and accurate
SFIs/amended SFIs for calendar years 2015, 2016, 2017, 2018, and 2019 with the Authority,
through this Commission, by no later than the thirtieth (30") day after the mailing date of this
adjudication and Order.
Compliance with the foregoing will result in the closing of this case with no further action
by this Commission. Noncompliance will result in the institution of an order enforcement action.
IV. CONCLUSIONS OF LAW:
1. As a Member of the Board of Directors ("Board") of the Mount Jewett Regional Sewer
Authority ("Authority"), McKean County, Pennsylvania, from August 3, 2015, through the
present, Respondent Brian Sees ("Sees") has been a public official subject to the provisions
of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et M.
2. Sees violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), in relation to his
participation in actions and decisions of the Authority Board to initiate sewer projects,
including identifying and contacting potential contractors/vendors, at a time when he
possessed a reasonable expectation that he and/or a business with which he is associated
would receive a pecuniary benefit by providing the materials necessary for completion of
the projects.
3. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred in relation
to Sees' failure to file Statements of Financial Interests with the Authority for calendar
years 2015, 2016, 2017, and 2018.
In Re: Brian Sees, File Docket: 20-010
Respondent Date Decided: 6/23/21
Date Mailed: 6/28/21
Brian Sees ("Sees"), as a Member of the Board of Directors ("Board") of the Mount Jewett
Regional Sewer Authority ("Authority"), McKean County, Pennsylvania, violated Section
1103(a) of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. §
1103(a), in relation to his participation in actions and decisions of the Authority Board to
initiate sewer projects, including identifying and contacting potential contractors/vendors,
at a time when he possessed a reasonable expectation that he and/or a business with which
he is associated would receive a pecuniary benefit by providing the materials necessary for
completion of the projects.
2. A violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § I I04(a), occurred in relation
to Sees' failure to file Statements of Financial Interests ("SFIs") with the Authority for
calendar years 2015, 2016, 2017, and 2018.
3. Per the Consent Agreement of the parties, Sees is directed to make payment in the amount
of $2,500.00 payable to the Commonwealth of Pennsylvania and forwarded to the
Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the
mailing date of this Order.
4. Per the Consent Agreement of the parties, Sees is further directed to make payment in the
amount of $500.00 payable to the Pennsylvania State Ethics Commission, representing a
portion of the expenses and costs incurred by this Commission in the investigation and
administrative prosecution of the instant matter, with such payment forwarded to the
Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the
mailing date of this Order.
5. Sees is directed to not accept any reimbursement, compensation or other payment from the
Authority representing a full or partial reimbursement of the amount paid in settlement of
this matter.
6. To the extent he has not already done so, Sees is directed to file complete and accurate
SFIs/amended SFIs for calendar years 2015, 2016, 2017, 2018, and 2019 with the
Authority, through this Commission, by no later than the thirtieth (301h) day after the
mailing date of this Order.
7. Compliance with Paragraphs 3, 4, 5, and 6 of this Order will result in the closing of this
case with no further action by this Commission.
Sees, 20-010
Page 21
a. Non-compliance will result in the institution of an order enforcement action.
BY THE COMMISSION,
Nicholas A. Colafella, air