Statement of Economic Interests

*****CHANGE IN PROCESS BEGINNING IN 2020*****

Statements of Economic Interests forms are required to be completed annually by employees meeting certain criteria as mandated in the Illinois Governmental Ethics Act (5 ILCS 420). Starting in 2020, the Office of the Secretary of State will only mail a Statement of Economic Interests notification letter (no form will be mailed this year) to your home address. This letter will contain a URL, an access number and a password with instructions on how to log into the system maintained by the Secretary of State.  Please do not misplace your letter.  The Secretary of State will not provide the access number and password through the electronic system, by phone or e-mail.  The Secretary of State will not mail a second letter until approximately April 14, 2020.  The SIU Ethics Office does not have the ability to see your access number or password provided by the Secretary of State.

Additionally, Executive Order 15-09 also requires completion of the Supplemental Statement of Economic Interests form.  This form is filed with the Executive Ethics Commission and you will receive an e-mail to your official university email account around March 24, 2020. The e-mail from the Executive Ethics Commission will contain your unique PIN and a link to complete your Supplemental Statement online. This form is different from the Statement of Economic Interests that is required to be filed with the Secretary of State.  If you cannot locate your PIN, please contact the SIU Ethics Office at 618-536-3461 or ethics1@siu.edu.

A select population (see below) of SIU employees is required to submit these forms by May 1 annually (this date has been extended to May 8, 2020).  BOTH FORMS MUST BE COMPLETED.  However, please note, an internal deadline of April 27, 2020 has been established. 

LINKS TO COMPLETE BOTH ONLINE FORMS:

Statement of Economic Interests 
  • Then, select “File a Statement of Economic Interests” (at bottom of page)

Supplemental Statement of Economic Interests


Please see below for frequently asked questions:

1. Why am I being asked to complete these forms?

The Illinois Governmental Ethics Act (5 ILCS 420) sets forth the criteria used to determine who must complete the Statement of Economic Interests and the Supplemental Statement of Economic Interests.  You have been identified as an employee meeting one or more of the following:

    • Persons who serve as a member of the Board of Trustees;
    • Persons who are or who function as the head of a department or other administrative unit;
    • Those who have supervisory authority over, or direct responsibility for the formulation, negotiation, issuance or execution of contracts entered into by the State in the amount of $5,000 or more;
    • Those who have supervisory responsibility for 20 or more employees;
    • Those individuals who are a Principal Investigator (PI) or Co-PI on a grant; or
    • Those who have responsibility for the procurement of goods and services.

 

2. Who should I contact if I have questions regarding my name being submitted to complete these forms?

Questions regarding the certification of names should be directed to the following Human Resource employee:

      • School of Medicine
        Human Resources: Kim Beckey 217-545-8064
      • Edwardsville Campus
        Human Resources: Tony Martin 618-650-2190

3. How do I answer the questions on the forms?

A. Statement of Economic Interests (Required by the Secretary of State)

The question numbers listed below relate to the question numbers on the Statement of Economic Interests form and provide "helpful hints" for completing those sections of the form.  The questions should be answered as it relates to your activity in the prior calendar year.  For example, if you receive this form in 2018, your answers should be related to calendar year 2017. 

Please remember while completing your form, that all blanks must have an answer.  If the question does not apply you should put an "N/A" in response to the question.

 "IF IN DOUBT, LIST IT"

Question #1: List the name and instrument of ownership in any entity doing business in the State of Illinois, in which the ownership interest held by the person at the date of filing is in excess of $5,000 fair market value or from which dividends in excess of $1,200 were derived during the preceding calendar year. (In the case of real estate, location thereof shall be listed by street address, or if none, then by legal description.) No time or demand deposit in a financial institution, nor any debt instrument need be listed.

 What does "Business Entity" mean?

      • Single blocks of stock
      • Real Estate (other than personal residence)
      • Rental Property (address)
      • Farmland (brief description and County)
      • Trust Funds
      • Mutual Funds (if not in a retirement account - you do not need to list individual funds, more the group you have invested with: i.e., Fidelity Investments, Merrill Lynch, etc.)
      • NO Savings Accounts, CD's, Tax Exempt Bonds, Bank Accounts, etc.

What is an "Instrument of Ownership"?

      • Partner
      • Sole Owner
      • Stock Holder
      • Trustee
      • Joint-ownership by spouse or immediate family member
      • Spouse or immediate family member owns

Question #2: List the name, address and type of practice of any professional organization in which the person making the statement was an officer, director, associate, partner or proprietor or served in any advisory capacity, from which income in excess of $1,200 was derived during the preceding calendar year.

What types of professions need to be listed?

      • Attorneys
      • Physicians
      • Accountants
      • Bankers
      • Engineers
      • Architects
      • Dentists
      • Clinical Psychologists

Question #3: List the nature of professional services rendered (other than to the State of Illinois) of each entity from which income exceeding $5,000 was received for professional services rendered during the preceding calendar year by the person making the statement.

What are some examples of professional services?

      • Consulting
      • Contracting

Question #4: List the identity (including the address or legal description of real estate) of any capital asset from which a capital gain of $5,000 or more was realized during the preceding calendar year.

What do you consider a capital asset?

      • Sale of land, house, etc.
      • Single blocks of stock
      • NO CARS
      • Only the name of stock and/or address of property need to be listed (NO dollar amounts)
      • The capital gain is before taxes or re-investment.

NOTE: CAPITAL LOSSES DO NOT NEED TO BE REPORTED

Question #5: List the identity of any compensated lobbyist with whom the person making the statement maintains a close economic association, including the name of the lobbyist and specifying the legislative matter or matters that are the object of the lobbying activity, and describing the general type of economic activity of the client or principal on whose behalf that person is lobbying.

      • Lobbyist "extras"

If your spouse is a lobbyist, it must be indicated on the Statement
This question commonly has a "N/A" response.

Question #6: List the name of any entity doing business in the State of Illinois from which income in excess of $1,200 was derived during the preceding calendar year other than for professional services and the title or description of any position held in that entity. (In the case of real estate, location thereof shall be listed by street address, or if none, then by legal description.)

      • Most of the time people can use the terms (same as number 1 or see number 1) to complete this section
      • Most business, rental property, etc., will gross a $1,200.00 per year income
      • No time or demand deposit in a financial institution nor any debt instrument need be listed.

Question #7: List the name of any unit of government that employed the person making the statement during the preceding calendar year other than the unit or units of government in relation to which the person is required to file.

What are examples of being employed by another "unit of government"?

      • If the individual making the statement teaches at another school part-time, or is on a Park Board, School Board, Zoning Board or County Board, etc.
      • If the individual making the statement previously held a position in another State Department
      • If the individual making the statement is a member of the Army Guard, Air Guard, etc.
      • If the individual making the statement has a consulting contract with other State agencies
      • Rule of thumb, "If controlling tax dollars or being paid from tax dollars, it should be listed"

Question #8: List the name of any entity from which a gift or gifts, or honorarium or honoraria, valued singly or in the aggregate in excess of $500, was received during the preceding calendar year.

      • List the name of the person from which a gift was received if the value exceeds $500. The actual amount is not necessary. Inheritance must be listed here. Examples: Inheritance from the Estate of John Doe. The amount of the inheritance is not required to be listed.

B. Supplemental Statement of Economic Interest

4. I received an e-mail about completing the Supplemental Statement of Economic Interests and I also received a notification letter at home with different login information.  Am I required to complete both?

Yes, you are required to complete both.  The Statement of Economic Interests is now completed online beginning in 2020 (formally in paper format). The Supplemental Statement of Economic Interests is completed online via a portal administered by the Executive Ethics Commission.  The questions on each form are different and are filed with two different agencies. 

5. What are the filing procedures?

A. Statement of Economic Interests

    • The names and home addresses of employees whose responsibilities may be expected to include one or more of the criteria are certified to the Office of the Secretary of State by the Ethics Office, after consultation with the respective campus Human Resources office.
    • In March, the Office of the Secretary of State will send notification letters (not the actual form) to Southern Illinois University employees who are required to file Statements under the Illinois Governmental Ethics Act.

    • You will be able to access the electronic system through the website provided in your notification letter that will be sent in March. The letter will have an access number and a password as well as instructions on how to log in to the system. The instructions and FAQs will also be on The Secretary of State’s website to assist with any questions or problems. Any person who files for more than one agency, board or commission will file on the electronic system once for all entities.
    • You will have two options to complete your submission: (1) read all the questions and at the bottom of the screen, choose to verify that you have read all questions and opt to reply “N/A” to all; OR (2) go through each screen and type in any response you have to each question. After the questions have been completed, you can upload an attachment if necessary. Attachments can be uploaded as a PDF or JPEG. The final screen is the review and submittal screen. The review screen has an edit option that can be used to change any answers. After you have reviewed your statements, you must check the verify box and submit the filing.
    •  REMINDER - “In order to protect personally identifying and confidential information, do not include on the statement any account numbers, Social Security numbers or other confidential information. This statement will be published on the Secretary of State’s website in a publicly searchable database. In the event that a residential address is requested, use only the name of the street to identify the property at issue.”

    • Once you have submitted your statement into the system, on or prior to the May 1 deadline, the Secretary of State has indicated that you will not incur any late fee/penalties, even if the review and release by the ethics officer is pending beyond the deadline. Once the statement has been submitted, you will be able to be print out a receipt for your records and you will receive email receipts of both your submittal and review by the ethics officer. 

B. Supplemental Statement of Economic Interests

    • Your official university e-mail address will be provided to the Executive Ethics Commission (EEC).
    • In March, the EEC will send an e-mail with your unique PIN and link to complete the form. 

6. What is the deadline?

The internal deadline is April 27, 2020.

7. What happens if I do not meet the May 8 deadline?

Late filing penalties are as follows:

    • $15 for any form not filed by the May 8 statutory deadline.
    • $100 per day from May 16 until the date the signed original form is received and filed with the Office of the Secretary of State.
    • Failure to file by May 31 may result in forfeiture of the position of employment by the employee.

8. I cannot locate the notification letter I received in the mail at home from the Secretary of State. Can I obtain another copy?

    • The Illinois Secretary of State's office will not provide the access number and password through the electronic system, by phone or by email. If the March 2020 letter can not be located, you may file using the paper version.  You may download a blank copy of the Statement of Economic Interests from the following link: http://www.cyberdriveillinois.com/publications/pdf_publications/i188.pdf
    • If you use the blank form, please include your name, HOME mailing address and on the line “List each office…” depending on your campus include either Southern Illinois University- Carbondale, Southern Illinois University-Edwardsville, Southern Illinois University-Medicine.  If this information is not included, the form may not be accepted by the Secretary of State. The form MUST include your original signature in ink (preferably blue ink).  Additionally, the Secretary of State will NOT accept any fax copies or photo copies of the Statement of Economic Interests.  Any unsigned forms are considered incomplete.
      • DO NOT MAIL YOUR FORMS TO THE SECRETARY OF STATE’S OFFICE.  Section 20-23(2) of the State Officials and Employee Ethics Act passed in 2003 requires the Ethics Office to review all Statements for University employees PRIOR to them being forwarded to the Office of the Secretary of State for review and filing. To ensure compliance with the legislation and avoid having your form returned, please mail your completed and signed Statements to:

        Michelle Taylor
        Office of Internal Audit, Compliance and Ethics
        900 S. Normal Ave., MC 6810
        Woody Hall, Rm. 491
        Carbondale, IL 62901

      • All Statements should be received by the Ethics Office prior to April 27, to provide adequate time for an appropriate review and forwarding to the Office of the Secretary of State. The Ethics Office will forward all forms received prior to April 27 to the Office of the Secretary of State by the May 8 deadline.

      • Statements are filed with original signatures ONLY. Any unsigned forms are considered incomplete and will be returned for a signature. If a Statement is returned and received back at the Office of the Secretary of State after the deadline, a late fee and/or penalty will be charged.

      • The University Ethics Office will send an e-mail confirmation of receipt of your Statement, then it will be forwarded to the Office of the Secretary of State.

        •  

9. What should I do if I work for more than one agency, board or commission?

    • Any person who files for more than one agency, board or commission will file on the electronic system once for all entities.

10. If I meet the criteria, but was hired in April, am I required to complete a Statement?

Yes. Employees hired in the month of April have until May 31 to file statements.

11. If I am out of the country and cannot meet the deadline, what should I do?

Per the Office of the Secretary of State, a letter should be written describing the circumstances and requesting an extension. This letter must be sent before the deadline to submit completed forms for filing.  Please contact the Ethics Office for more information.

12. I did not receive a Statement of Economic Interests notification letter in the mail or an e-mail regarding the Supplemental Statement of Economic Interests. I have completed the form(s) in previous years and am concerned since there are penalties for not filing on time. Who do I need to contact to verify whether or not I need to complete the form?

    • Contact the Ethics Office to verify if you are on the master list sent to the Office of the Secretary of State at: 618-536-3461 or via e-mail at: ethics1@siu.edu.
    • If you are on the list, verify your mailing address with the Ethics Office if you have moved within the last year. The form may have been sent to the wrong address.
    • If you are not on the list but meet the criteria listed above, request your name be added.
    • If you are not on the list and do not meet the criteria listed above, you are not required to complete the Statement.
    • You can download a blank copy of the Statement of Economic Interests from the following link: http://www.cyberdriveillinois.com/publications/pdf_publications/i188.pdf (see above for detailed instructions on completing a paper form).

If you still have questions, please contact the University Ethics Office, at ethics1@siu.edu or 618-536-3461.