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HomeMy WebLinkAbout1779 BundyPHONE: 717-783-1610 TOLL FREE; 1-800-932-0936 In Re: Nellie M. Bundy, Respondent STATE ETHICS COMMISSION FINANCE BUILDING I-VIN11141, W—MI NIFIAM"Rit""JUNI UMV11111WAIM File Docket: X-ref: Date Decided: Date Mailed: FACSIMILE: 717-787-0806 WEBSITE: www,etWcs.pa.aov 20-018 Order No. 1779 3/29/21 4/1/21 Before: Nicholas A. Colafella, Chair Marl-, 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 �Leq., 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." 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. I. ALLEGATIONS: That Nellie Bundy, a public official/public employee in her capacity as a Member of the Huston Township Board of Supervisors, Clearfield County, violated Sections 1103(a), 1104(a), I I 04(d), and I 105(a) of the State Ethics Act (Act 93 of 1998) when she used the authority of her public position for a private pecuniary benefit by participating in Township action, including but not limited to casting an affirmative vote, resulting in her appointment as a compensated Member of the Huston Township Municipal Authority; when she failed to file calendar years 2015 and 2016 Statements of Financial Interests with Huston Township; and when she backdated her 2017 and 2018 calendar year Statements of Financial Interests to give the impression that same were timely filed. Bundy, 20-018 Page 2 II. FINDINGS: 1. Nellie Bundy ("Bundy") has served as a Member of the Huston Township ("Township"), Clearfield County, Board of Supervisors ("Board of Supervisors") from January 6, 2014, to the present. a. Bundy has served as the Chairman of the Board of Supervisors from January 4, 2016, to the present. 2. Bundy has served as a Member of the Board of Directors ("Board") of the Huston Township Municipal Authority ("Municipal Authority") from at least December 7, 2015, to the present. 3. The Township is a Second Class Township governed by a three -Member Board of Supervisors. a. The Board of Supervisors holds a regular meeting the first Tuesday of the month at 6:00 p.m, at the Township Building. 1. The exception to this schedule is the first regular meeting of the year, which is held on the first Monday of the year. aa. On the first Monday in January, the Board of Supervisors holds its annual reorganizational meeting and regular meeting consecutively. b. The Board of Supervisors holds a monthly workshop meeting the Saturday before the regular meeting at 9:00 a.m. at the Township Building. C. The Board of Supervisors hold special meetings as needed. 4. Supervisors are eligible to receive compensation in the amount of $150.00 for attendance at each regular monthly meeting. a. Supervisors receive their Supervisor compensation from the Township's General Fund every month via Township check. 1. Supervisors only receive their monthly stipend if they attend the monthly meeting. aa. As a Supervisor, Bundy received $150.00 for every regular meeting she attended. 2. The stipend checks are signed at the end of each regular meeting and given to the Supervisors attending the meeting that night. b. Wage and Tax Statements (W-2) issued by the Township to Bundy for Supervisor pay identified the following: Bundy, 20-018 Page 3 2017 2018 $1,87SA0 $1,718.75 S. Voting at the regular meetings occurs via group voice vote. a. If a motion carries unanimously, the meeting minutes do not identify each Supervisor's vote. b. If a Supervisor casts an opposing vote or abstains, the meeting minutes identify each Supervisor's vote. I. Supervisors do not provide an explanation or file an abstention memo with the Township relative to their abstention. &. Minutes of each regular Township meeting are reviewed for accuracy at the next workshop meeting. a. The Supervisors receive a copy of the prior month's regular meeting minutes just prior to, or at, the workshop meeting. b. The Supei visors review the minutes as a whole and identify any errors or mistakes. 1. If the Supervisors identify any errors or mistakes, the Supervisors vote at the next regular meeting to accept the minutes with corrections. 2. At the following regular meeting the Supervisors vote to approve the corrected minutes. 7. The Supervisors receive a meeting folder at the workshop meeting. a. The workshop meeting folder generally consists of the prior month's regular meeting minutes, requests from residents, mail and correspondence received at the Township office since the last workshop meeting, and the Treasurer's report. 8. The Supervisors receive a meeting folder for review prior to, or at, each regular Township meeting. a. The folders are prepared by the Township Secretary and are either in the Supervisor's Township mailbox or at the Supervisor's chair the night of the meeting. b. The folders are prepared and available for the Supervisors no later than the night of the regular meeting. 9. The regular meeting folder generally consists of the upcoming meeting agenda, the prior month's meeting minutes, the Treasurer's report, the maintenance/road report, applicable Bundy, 20-01 s Page 4 correspondence, requests from residents, applications for any open Township positions, and bills received by the Township since the last meeting which have not yet been paid. a. Checks to be issued to vendors are held until payment of the bills is approved at the regular meeting. b. Recurring bills such as utilities and payroll are paid prior to approval at the regular monthly meeting. I. The vote at the regular meeting to approve the payment of bills includes retroactive approval of any checks issued prior to the regular meeting date. 10. Signature authority over Township accounts is maintained by the Supervisors and the Township Treasurer. a. Township checks require the live signature of three authorized signatories. 1. The Supervisors routinely sign as the three required signatories on Township checks. 2. The Township Treasurer signs as one of the required signatories in the absence of one of the Supervisors. b. The Township's depository account is located at First Commonwealth Bank. 11. The Township Secretary is responsible for generating the Township checks. a. The majority of the Township checks issued are signed by the authorized Township signatories at the conclusion of the regular Township meeting. b. Checks issued during the month for recurring bills are signed as needed. C. A limited number of bills are paid online. THE FOLLOWING INFORMATION RELATES TO THE HUSTON TOWNSHIP WATER AUTHORITY AND ITS SUBSEQUENT CONSOLIDATION WITH THE HUSTON TOWNSHIP MUNICIPAL AUTHORITY. 12. The Huston Township Water Authority ("Water Authority") and the Huston Township Sewer Authority ("Sewer Authority") were each formed under the Municipality Authorities Act of 1945. a. The original Articles of Incorporation for the Water Authority were approved and filed with the Pennsylvania Department of State on March 22, 1972. b. The original Articles of Incorporation for the Sewer Authority were approved and filed with the Pennsylvania Department of State on June 10, 1994. 13. On February 3, 2014, the Water Authority Board and the Sewer Authority Board signified their intent and desire to combine and adopt a plan of consolidation. Bundy, 20-018 Page 5 a. Each entity enacted a resolution under Resolution No. 2014-01 memorializing the intent to consolidate into a single entity. b. Each entity enacted a resolution on October 5, 2014, under Resolution No. 2014- 02, formally adopting a consolidation plan. The adopted plan of consolidation provided for the renaming of the Water Authority and the Sewer Authority to the "Huston Township Municipal Authority." 14. On October 7, 2014, the Board of Supervisors approved Resolution 2014-03, which enacted and resolved an amendment of the Articles of the Huston Township Water Authority to adopt a new name and change its name to the Huston Township Municipal Authority in connection with the consolidation of the Water Authority and the Sewer Authority. a. Articles of Amendment to change the name of the Water Authority to the "Huston Township Municipal Authority" were filed with. the Pennsylvania Department of State on December 15, 2014. b. The Supervisors signified and confirmed their approval of termination of the Sewer Authority via Resolution No. 2015-02, dated March 3, 2015. 1. The Sewer Authority Statement of Termination was filed with the Pennsylvania Department of State on February 29, 2016. THE FOLLOWING FINDINGS RELATE TO BUNDY'S PARTICIPATION IN ACTIONS OF THE BOARD OF SUPERVISORS RESULTING IN HER APPOINTMENT TO THE MUNICIPAL AUTHORITY BOARD AND HER SUBSEQUENT COMPENSATION AS AN AUTHORITY BOARD MEMBER. 15. The Municipal Authority is governed by a five -Member Board. a. Municipal Authority Board Members are appointed to a five-year term by the Board of Supervisors. 16. The Municipal Authority Board holds a regular monthly meeting on the first Monday of the month at 6:00 p.m. in the Township Building. The Municipal Authority Board holds a workshop meeting the last Monday of the month at 6:00 p.m. in the Township Building. b. The Municipal Authority Board holds special meetings as needed. 17. Municipal Authority Board Members are eligible to receive compensation in the amount of $50.00 for attendance at each regular monthly meeting, except for the final meeting in December. a. Municipal Authority Board Members receive checks from the Municipal Authority's General Fund every other month, beginning in February each year. Bundy, 20-018 Page 6 1. The Municipal Authority Board Members receive the $50.00 monthly stipend only if they attend the monthly meeting. 2. As a Municipal Authority Board Member, Bundy received $50.00 for every regular meeting she attended. b. If a Municipal Authority Board Member attended all twelve regular monthly meetings, the Member was eligible to receive only $49.00 for attending the last (December) meeting. 1. In order to avoid issuance of an IRS Form 1099 Miscellaneous Income Form, the Municipal Authority Board Members could only receive a stipend of up to $599.00 for attending all twelve regular monthly Municipal Authority Board meetings. 18. Voting at Municipal Authority Board meetings occurs via group voice vote. a. If a motion carries unanimously, the meeting minutes do not identify each Municipal Authority Board Member's vote. b. If a Municipal Authority Board Member casts an opposing vote or abstains, the meeting minutes identify each Municipal Authority Board Member's vote. 1. Municipal Authority Board Members do not provide an explanation or file an abstention memo with the Municipal Authority relative to their abstention. 19. Minutes of each regular Municipal Authority meeting are approved for accuracy at the next regular meeting. a. Municipal Authority Board Members receive a copy of the prior month's meeting minutes at their regular monthly meeting. 1. Municipal Authority Board Members review the minutes as a whole and identify any errors or mistakes. 2. Identification of any errors or corrections results in the Municipal Authority Board Members voting at the next regular meeting to accept the minutes with corrections. b. At the following regular meeting the Municipal Authority Board Members vote to approve the corrected minutes. 20. Municipal Authority Board Members receive a meeting packet at the workshop meeting. a. The workshop meeting packet consists of those items/issues requiring discussion/action since the last meeting. Bundy, 20-018 Page 7 b. The meeting packet routinely includes correspondence received, the Treasurer's report, identification of Municipal Authority infrastructure that needs to be replaced/repaired, etc. 21. Municipal Authority Board Members receive a meeting packet at each regular Municipal Authority meeting. a. The meeting packets are prepared by the Municipal Authority Secretary and are at the Municipal Authority Board Members' chairs the night of the meeting. 1. Usually the Municipal Authority Board Members leave their workshop meeting packets for the Municipal Authority Secretary to add theta to the regular meeting packet. b. The meeting packets are prepared and available for the Municipal Authority Board Members no later than the night of the regular meeting. 22. The regular meeting packet generally consists of the upcoming meeting agenda, the prior month's meeting minutes, the Treasurer's report, applicable correspondence, requests from residents, and a listing of bills paid by the Municipal Authority since the last meeting, and those to be paid by the end of the month. a. Checks to be issued to vendors are held until payment of the bills are approved at the regular meeting. b. Recurring bills such as utilities and payroll are paid prior to approval at the regular monthly meeting. C. The vote taken at the regular meeting to approve the bills includes retroactive approval of any checks issued prior to the regular meeting date. 23. At each regular meeting, the Municipal Authority Board approves the payment of bills in one, all -encompassing vote. a. At the end of the meeting, the checks are signed to pay the bills. b. In the even numbered months, included in the checks signed at the end of the meeting are the stipend checks payable to the Municipal Authority Board Members. 24. Signature authority over Municipal Authority accounts is maintained by all five Municipal Authority Board Members and the Municipal Authority Treasurer. a. Municipal Authority checks require the live signatures of three authorized signers. 1. The Municipal Authority Board Members routinely sign as the three required signers on the checks. b. The Municipal Authority Treasurer signs as one of the required signatories if a third Municipal Authority Board Member is not available. 25. The Municipal Authority Secretary is responsible for generating Municipal Authority checks. Bundy, 20-018 Page 8 a. QuickBooks software is used to generate checks from the General Fund. b. The majority of the Municipal Authority checks issued are signed by the authorized Municipal Authority signatories at the conclusion of the regular meeting. 1. Checks issued during the month for recurring bills are signed as needed. C. A limited number of bills are paid via electronic transfer. d. The Municipal Authority's General Fund account is located at S&T Bank. 1. The Municipal Authority also has a loan account at Municipal Savings and at Municipal PennVest. 26. Bundy was appointed by a two -to -one vote to fill a vacant position on the Water Authority Board during the January 7, 2013, Board of Supervisors meeting. a. Bundy was appointed to a five-year term set to expire on December 31, 2017. b. Bundy was not a Member of the Board of Supervisors at the time of this appointment. 1. Bundy began service as a Supervisor on January 6, 2014. 27. At the February 6, 2018, regular Board of Supervisors meeting, Vice Chairman Doug Kalgren II, motioned and Supervisor Marleen Meraglia seconded the motion to appoint Bundy to the Municipal Authority Board for 2018 and 2019. a. The motion was unanimously approved 3-0. b. Bundy was present and voted in favor of her appointment to the Municipal Authority Board. 1. The meeting minutes do not show any abstentions from the vote. 2. The February 6, 2018, Board of Supervisors meeting minutes were unanimously approved for accuracy at the March 6, 2018, Board of Supervisors meeting. 3. No errors were identified at the March 3, 2018, workshop meeting. 28. Bundy was reappointed to the Municipal Authority Board at the January 6, 2020, Board of Supervisors reorganizational meeting. a. The motion was made by Supervisor John Bundy and seconded by Supervisor Charles Rio. 1. John Bundy is the brother of Bundy. b. The motion carried via 2-0-1 vote with Bundy abstaining. Bundy, 20-018 Page 9 C. The vote to reappoint Bundy was not memorialized in the minutes of the January 6, 2020, Board of Supervisors meeting. 29. Bundy's participation in the Board of Supervisors' February 6, 2018, vote to appoint herself to the Municipal Authority Board resulted in a private pecuniary benefit. 30. As a Municipal Authority Board Member, Bundy received compensation from the Municipal Authority totaling $1,198.00 for 2018 and 2019. a. Bundy was present for all twelve regular monthly meetings and voted in favor of approving the Municipal Authority's invoices for payment, which included compensation to her as a Municipal Authority Board Member. b. Bundy, in her capacity as an authorized Municipal Authority signatory, signed four of the twelve checks issued to herself as a Municipal Authority Board Member. 31. Bundy, in her capacity as a Township Supervisor, realized a pecuniary benefit of no less than $1,198.00 when she utilized the authority of her office to appoint herself to a compensated position on the Municipal Authority Board for 2018 and 2019. THE FOLLOWING FINDINGS RELATE TO BUNDY FILING DEFICIENT STATEMENTS OF FINANCIAL INTERESTS FOR CALENDAR YEARS 2015, 2016, 2017, 2018, AND 2019; AND THE FILING OF BACKDATED STATEMENTS OF FINANCIAL INTERESTS FOR CALENDAR YEARS 2017 AND 2018 TO GIVE THE IMPRESSION THAT THEY WERE TIMELY FILED. 32. Statement of Financial Interests forms are required to be annually filed by public officials/public employees. a. Statement of Financial Interests forms are required to be filed by no later than May 1st of each year that a public official/public employee holds public office/employment. b. Statement of Financial Interests forms require filers to disclose financial information pertaining to the preceding calendar year. 33. Information to be disclosed on Statement of Financial Interests forms filed by public officials and public employees is mandated by 65 Pa.C.S. § 1105. a. Sections 1105(b)(1) through 1105(b)(10) identify specific information to be disclosed as well as exceptions to disclosure requirements when applicable. 1. Section 1105(b)(1) directs the disclosure on Statements of Financial Interests of the "Name, address and public position." 2. Section 1105(b)(5) directs the disclosure of the name and address of any direct or indirect source of income totaling in the aggregate $1,300 or more. Bundy, 20-018 Page 10 3. Section 1105(b)(8) directs the disclosure on Statements of Financial Interests of "Any office, directorship or employment of any nature whatsoever in any business entity." 4. Section 1105(b)(9) directs the disclosure on Statements of Financial Interests of "Any financial interest in any legal entity engaged in business in for profit." 34. Bundy, as a Member of both the Board of Supervisors and the Municipal Authority Board, is annually required to file a Statement of Financial Interests with each entity. 35. A Statement of Financial Interests compliance review was completed for the Township and the Municipal Authority. a. On April 24 and 30, 2020, the Township Secretary located and provided copies of Statement of Financial Interests forms filed by Bundy for calendar years 2017 and 2018. 1. Forms for Bundy for calendar years 2015 and 2016 were not on file. 36. Between June 9, 2020, and September 29, 2020, Bundy's Statement of Financial Interests forms were obtained from the Municipal Authority. a. The Municipal Authority Secretary provided copies of Bundy's calendar year 2015, 2016, 2017, 2018, and 2019 Statement of Financial Interests forms. 37. Bundy's Statement of Financial Interests forms for calendar years 2015, 2016, 2017, 2018, and 2019 were identified as being filed as follows: Filed with the Township Filed with the Municipal Authority Calendar Calendar Year Date Filed Year Date Filed 2015 Not on File 2015 01/05/2016 2016 Not on File 2016 01/30/2017 2017 01/10/2018 2017 Undated 2018 01/07/2019 2018 01/17/2019 2018 01/15/2019 2019 Not on File 2019 01/14/2020 38. Statements of Financial Interests filed by Bundy as a Supervisor, and as a Municipal Authority Board Member, contained deficiencies as detailed in the chart below: Calendar Year Huston Township Huston Township Municipal Authority 2015 None on File Block No. 4 (Public Position or Public Office): Did not include Huston Township Municipal Authority Supervisor or Huston Township Supervisor Block No. 5 Governmental Entity): Did not include Bundy, 20-018 Page 11 Huston Township Municipal Authority or Huston Township Board of Supervisors Block No. 6 (Occupation or Profession): Did not include farmer Block No. 10 (Direct or Indirect Sources of Income): Did not include Bundy Fauns or Huston Township Block No. 13 (Office Directorship or Employment in any Business): Did not include Bundy Farms or Partner Block No. 14 (Financial Interest in any Legal Entity in Business for Profit): Did not include Bundy Farms or 50% ownership 2016 None on file Block No. 4 (Public Position or Public Office): Did not include Huston Township Supervisor Block No. 5 (Governmental Entity): Dad not include Huston Township Municipal Authority or Huston Township Board of Supervisors Block No. 6 (Occupation or Profession): Did not include farmer Block No. 10 (Direct or Indirect Sources of Income): Did not include Bundy Farm or Huston Township Block No. 13 (Office Directorship or Employment in any Business): Did not include Bundy Farms or Partner Block No. 14 (Financial Interest in any Legal Entity in Business for Profit): Did not include Bundy Farms or 50% ownership 2017 BACKDATED FORM Block No. 4 (Public Position or Public Office): Did not Form dated 01/10/2018 SFI Form Rev 1-2020 include Huston Township Supervisor Block No. 4 (Public Position or Public Office): Block No. 5 (Governmental Entity): Did not include Did not include Huston Township Municipal Huston Township Board of Supervisors Authority Board member Block No. 6 (Occupation or Profession): Left blank Block No. 5 (Governmental Entity): Did not include Huston Township Municipal Authority Block No. 8 (Real Estate Interests): Left blank Board Block No. 10 (Direct or Indirect Sources of Income): Did Block No. 6 (Occupation or Profession): Did not include Bundy Farms or Huston Township not include fanner Block No. 13 (Office Directorship or Employment in any Block No. 10 (Direct or Indirect Sources of Business): Did not include Bundy Farms or partner Income): Did not include Bundy Fauns or Huston Township Block No. 14 (Financial Interest in any Legal Entity in Business for Profit): Did not include Bundy Farms or Block No. 13 (Office Directorship or 50% ownership in farm Form not dated Bundy, 20-018 Page 12 Employment in any Business): Did not include Bundy Farms or partner Block No. 14 (Financial Interest in any Legal Entity in Business for Profit): Did not include 50% financial interest in Bundy Farms 2018 Block No. 6 (Occupation or Profession): Did Block No. 2 (Address): Incomplete address not include farmer Block No. 10 (Direct or Indirect Sources of Income): Did Block No. 10 (Direct or Indirect Sources of not include Bundy Farms or Huston Township Income): Did not include farm income or Huston Township Block No. 14 (Financial Interest in any Legal Entity in Business for Profit): Did not identify business name just Block No. 14 (Financial Interest in any Legal % ownership Entity in Business for Profit): Did not include business name (Bundy Farms included in Block No. 13) Form dated 01/07/2019 2019 BACKDATED FORM Block No. 2 (Address): Left blank Form dated 01/15/2019 SFI Form Rev 1-2020 Block No. 4 (Public Position or Public Office): Did not Block No. 4 (Public Position or Public Office): include Board member (Huston Township Municipal Did not include Huston Township Municipal Authority) Authority Board Member Block No. 5 (Governmental Entity): Did not include Block No. 5 (Governmental Entity): Did not Huston Township Board of Supervisors include Huston Township Municipal Authority Board Block No. 6 (Occupation or Profession): Left blank Block No. 6 (Occupation or Profession): Did Block No. 10 (Direct or Indirect Sources of Income): Did not include farmer not include Bundy Farms or Huston Township Block No. 10 (Direct or Indirect Sources of Block No. 13 (Office Directorship or Employment in any Income): Did not include farm income or Business): Did not include Bundy Farms or partner Huston Township Block No. 14 (Financial Interest in any Legal Entity in Block No. 13 (Office Directorship or Business for Profit): Did not include Bundy Farms or Employment in any Business): Did not include 50% ownership Bundy Farms or partner Block No. 14 (Financial Interest in any Legal Entity in Business for Profit): Did not include Bundy Farms or 50% interest 39. A review by Commission staff of the 2017 and 2018 calendar year Statement of Financial Interests forms provided on April 30, 2020, as Bled by Bundy in her capacity as a Member of the Board of Supervisors, confirmed Bundy's forms were backdated as indicated below: Bundy, 20-018 Page 13 Calendar Year Purported Date of Completion SEC Form Used 2017 01/10/2018 SEC-1 REV.01/20 2018 01/15/2019 SEC-1 REV. 01/20 a. Bundy's 2017 and 2018 Statement of Financial Interests forms contained dates of execution/completion, which were factually impossible, as SEC-1 REV. 01/20 was not printed/distributed to the Township until January 2, 2020. b. It was impossible for Bundy to have completed these forms on the dates purported (as signed) as the forms had not yet been distributed. Bundy backdated the Statement of Financial Interests forms for the 2017 and 2018 calendar years to give the impression that the forms were timely filed. III. DISCUSSION: As a Member of the Board of Supervisors of Huston Township ("Township"), Clearfield County, Pennsylvania, from January 6, 2014, to the present, Respondent Nellie M. Bundy, also referred to herein as "Respondent," "Respondent Bundy," and `Bundy," 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 sec . The allegations are that Bundy violated Sections 1103(a), 1104(a), 1104(d), and 1105(a) of the Ethics Act when she used the authority of her public position for a private pecuniary benefit by participating in Township action, including but not limited to casting an affirmative vote, resulting in her appointment as a compensated Member of the Board of Directors of the Huston Township Municipal Authority; when she failed to file calendar year 2015 and 2016 Statements of Financial Interests ("SFIs") with the Township; and when she backdated her calendar year 2017 and 2018 SFIs to give the impression that same were timely filed. 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 Bundy, 20-018 Page 14 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 off ce/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 SFT for the preceding calendar year, each year that he holds the position and the year after he leaves office. Section 1104(d) of the Ethics Act provides that no public official shall be allowed to take the oath of office, or enter or continue upon his duties, nor shall he receive compensation from public funds, unless he has filed an Sli 1 as required by the Ethics Act. Section 1105(a) of the Ethics Act provides that the SH shall be filed on the form prescribed by this Commission; that all information requested on the form shall be provided to the best knowledge, information and belief of the filer; and that the form shall be signed under oath or equivalent affirmation. 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. Bundy has served as a Member of the Township Board of Supervisors ("Board of Supervisors") from January 6, 2014, to the present. Bundy has served as the Chair of the Board of Supervisors from January 4, 2016, to the present. The Township is governed by a three -Member Board of Supervisors, which holds regular monthly meetings. At the end of a regular monthly meeting, each Supervisor who attended the meeting receives compensation in the amount of $150.00 for attending the meeting. Bundy, 20-018 Page 15 Approximately one year before Bundy began serving as a Supervisor, the Board of Supervisors appointed her to a five-year term on the Board of the Huston Township Water Authority ("Water Authority"). Bundy's term on the Water Authority Board was set to expire on December 31, 2017. After Bundy was appointed to the Water Authority Board, the Water Authority and the Huston Township Sewer Authority consolidated into a single entity named the "Huston Township Municipal Authority" (the "Municipal Authority"). The Municipal Authority is governed by a five -Member Board of Directors ("Board"). The Members of the Municipal Authority Board are appointed by the Board of Supervisors, and they serve five-year terms. The Municipal Authority Board holds regular monthly meetings. A Municipal Authority Board Member who attends all twelve regular monthly meetings is eligible to receive compensation totaling $599.00 for the year. On February 6, 2018, Bundy participated in a unanimous vote of the Board of Supervisors to appoint herself as a Member of the Municipal Authority Board for 2018 and 2019. Bundy received compensation totaling $1,198.00 from the Municipal Authority for attending all regular monthly meetings of the Municipal Authority Board in 2018 and 2019. On January 6, 2020, Bundy abstained from a vote of the Board of Supervisors that reappointed her to the Municipal Authority Board. As a Supervisor, Bundy is annually required to file an SFI with the Township by May 1. In response to an SFI compliance review that was conducted for the Township, the Township Secretary provided copies of SFI forms that Bundy had filed for calendar years 2017 and 2018. There were no SFI forms on file for Bundy for calendar years 2015 and 2016. Bundy's SFIs for calendar years 2017 and 2018 were signed with purported dates of completion of 01/10/2018 and 01/15/2019, respectively. The SFIs for calendar years 2017 and 2018 were completed using forms with the revision number of "SEC-1 REV. 01/20." It was impossible for Bundy to have completed the SFI forms for calendar years 2017 and 2018 on the dates purported because the SEC- 1 REV. 01 /20 form was not printed and distributed until January 2, 2020. Bundy backdated her SFI forms for calendar years 2017 and 2018 to give the impression that the forms were timely filed. (We note that although the Stipulated Findings provide that there were numerous deficiencies in the SFI forms that Bundy filed with the Board of Supervisors for calendar years 2017 and 2018 and with the Municipal Authority Board for calendar years 2015 through 2019, such deficiencies are not encompassed within the allegations in this matter.) 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: Bendy, 20-018 Page 16 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 Bundy's participation and vote resulting in her appointment as a compensated Member of the Huston Township Municipal Authority. b. That two violations of Section I I04(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a), occurred when Bundy failed to timely file Statement of Financial Interests forms for the 2015 and 2016 calendar years with Huston Township. C. That two violations of Section 1105(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1105(a), occurred when Bundy failed to timely file Statement of Financial Interests forms for the 2017 and 2018 calendar years and subsequently backdated those filings to give the impression that the forms were timely filed. d. The Investigative Division does not seek any disgorgement of compensation from public funds pursuant to 65 Pa.C.S. § 1104(d). 4. Bundy agrees to make payment in the amount of $500.00 in settlement of this matter 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. 5. To the extent that she has not already done so, Bundy agrees to file complete and accurate amended Statements of Financial Interests with Huston Township through the Pennsylvania State Ethics Commission, for calendar years 2015, 2016, 2017 and 2018 within thirty (30) days of the issuance of the final adjudication in this matter. 6. Bundy agrees to not accept any reimbursement, compensation or other payment from Huston Township 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 Bundy, 20-018 Page 17 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 1-2. In considering the Consent Agreement, we agree with the parties that a violation of Section 1103(a) of the Ethics Act occurred in relation to Bundy's participation and vote resulting in her appointment as a compensated Member of the Municipal Authority Board. Bundy used the authority of her office as a Supervisor when, on February 6, 2018, she participated in a unanimous vote of the Board of Supervisors to appoint herself as a Member of the Municipal Authority Board for 2018 and 2019. Bundy received compensation totaling $1,198.00 from the Municipal Authority for attending all regular monthly meetings of the Municipal Authority Board in 2018 and 2019. Based upon the Stipulated Findings and Consent Agreement, we hold that Bundy violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), in relation to her participation and vote resulting in her appointment as a compensated Member of the Municipal Authority Board. We agree with the parties, and we hold, that: (1) two violations of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred when Bundy failed to timely file SFl forms for the 2015 and 2016 calendar years with the Township; and (2) two violations of Section 1105(a) of the Ethics Act, 65 Pa.C.S. § 1105(a), occurred when Bundy failed to timely file SFI forms for the 2017 and 2018 calendar years and subsequently backdated those filings to give the impression that the forms were timely filed. We note that the Investigative Division is not seeking any disgorgement of Bundy's Supervisor compensation pursuant to Section 1104(d) of the Ethics Act. As part of the Consent Agreement, Bundy has agreed to make payment in the amount of $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. Bundy has agreed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. Additionally, to the extent she has not already done so, Bundy has agreed to file complete and accurate SFis/amended SFIs with the Township, through this Commission, for calendar years 2015, 2016, 2017, and 2018 within thirty (30) days of the issuance of the final adjudication in this matter. We determine that the Consent Agreement submitted by the parties sets forth a proper disposition for this case, based upon our review as reflected in the above analysis and the totality of the facts and circumstances. Accordingly, per the Consent Agreement of the parties, Bundy is directed to make payment in the amount of $500.00 payable to the Commonwealth of Pennsylvania and forwarded to this Commission by no later than the thirtieth (30"') day after the mailing date of this adjudication and Order. Bundy, 20-018 Page 18 Per the Consent Agreement of the parties, Bundy is directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. To the extent she has not already done so, Bundy is directed to file complete and accurate SFIslamended SFIs for calendar years 2015, 2016, 2017, and 2018 with the Township, through this Commission, by no later than the thirtieth (30t") 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: As a Member of the Board of Supervisors of Huston Township ("Township"), Clearfield County, Pennsylvania, from January 6, 2014, to the present, Respondent Nellie M. Bundy (`Bundy") 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. 2. Bundy violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), in relation to her participation and vote resulting in her appointment as a compensated Member of the Huston Township Municipal Authority Board of Directors. 3. Two violations of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred when Bundy failed to timely file Statement of Financial Interests forms for the 2015 and 2016 calendar years with the Township. 4. Two violations of Section 1105(a) of the Ethics Act, 65 Pa.C.S. § 1105(a), occurred when Bundy failed to timely file Statement of Financial Interests forms for the 2017 and 2018 calendar years and subsequently backdated those filings to give the impression that the forms were timely filed. In Re: Nellie M. Bundy, File Docket: 20-018 Respondent Date Decided: 3/29/21 Date Mailed: 4/1/21 ORDER NO. 1779 Nellie M. Bundy ("Bundy"), as a Member of the Board of Supervisors of Huston Township ("Township"), Clearfield 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 her participation and vote resulting in her appointment as a compensated Member of the Huston Township Municipal Authority Board of Directors. 2. Two violations of Section I I04(a) of the Ethics Act, 65 Pa.C.S. § 1 I04(a), occurred when Bundy failed to timely file Statement of Financial Interests forms for the 2015 and 2016 calendar years with the Township. 3. Two violations of Section 1105(a) of the Ethics Act, 65 Pa.C.S. § I I05(a), occurred when Bundy failed to timely file Statement of Financial Interests forms for the 2017 and 2018 calendar years and subsequently backdated those filings to give the impression that the forms were timely filed. 4. Per the Consent Agreement of the parties, Bundy is directed to make payment in the amount of $500.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30'h) day after the mailing date of this Order. 5. Per the Consent Agreement of the parties, Bundy is directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. 6. To the extent she has not already done so, Bundy is directed to file complete and accurate Statements of Financial Interests/amended Statements of Financial Interests for calendar years 2015, 2016, 2017, and 2018 with the Township, through the Pennsylvania State Ethics Commission, by no later than the thirtieth (30'h) day after the mailing date of this Order. 7. Compliance with paragraphs 4, 5, and 6 of this Order will result in the closing of this case with no further action by this Commission. a. Non-compliance will result in the institution of an order enforcement action. BY THE COMMISSION, Nicholas A. Colafell hair