Ethics

Statement of Economic Interests

Statement 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). The Office of the Secretary of State will mail a Statement of Economic Interests notification letter (no form will be mailed) to your home address around mid- March.

• For first time filers, 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.
• For returning filers, your letter will contain a URL and contain only the email address you verified last year. Employees should use the access number and password from last year. If you do not remember your access number or password, please use the "Retrieve Access Number and Password" feature, enter in the email address used last filing, and the Secretary of State’s system will send an email with your access number and password. Please note, the email address must be entered exactly as it was entered previously in the Secretary of State’s system.  (Capital letters, lower case, etc.)
  
  The Secretary of State will not provide the access number and password through the electronic system, by phone or email. The Secretary of State will mail a second letter mid-April. The SIU Ethics Office does not have the ability to see your 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 email to your official university email account in mid-March. The email 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.  BOTH FORMS MUST BE COMPLETED. 

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 in the amount of $5,000 or more; 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:

• Carbondale Campus
  SIU Ethics Office: 618-536-3461
  
• 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 2024, your answers should be related to calendar year 2023. 

Please remember while completing your form, that all blanks must have an answer.  If the question does not apply you should put “none” or an "N/A" in response to the question.

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 city and state.

"IF IN DOUBT, LIST IT"

Question #1:  If you have any single asset that was worth more than $10,000 as of the end of the preceding calendar year and is held in, or payable to, your name, held jointly by, or payable to, you with your spouse, or held jointly by, or payable to, you with your minor child, list such assets below. In the case of investment real estate, list the city and state where the investment real estate is located. If you do not have any such assets, list "none" below.

• Assets include (but not limited to):

• • • Any single block of stock, public bonds, sector mutual funds, sector exchange traded funds, or commodity futures (No amounts need to be listed).
      
      
    • Investment real estate, including farmland or rental property (this does not include any personal residence).  Only city and state need to be listed.
      
      
    • Business interests, partnership interests or beneficial interests in trusts.

• Spouse means a party to a marriage, a party to a civil union, or a registered domestic partner.

You do not need to include personal residences, personal vehicles, savings or checking accounts; bonds, notes or securities issued by a branch of federal, state or local government; Medicare benefits; inheritances or bequests, other than beneficial interests in trusts; diversified funds; annuities; pensions (including government pensions); retirement accounts; college savings plans that are qualified tuition plans; qualified tax-advantaged savings programs that allow individuals to save for disability-related expenses; or tangible personal property.

Question #2:  Excluding the position for which you are required to file this form, list the source of any income in excess of $7,500 required to be reported during the preceding calendar year. If you sold an asset that produced more than $7,500 in capital gains in the preceding calendar year, list the name of the asset and the transaction date on which the sale or transfer took place. If you had no such sources of income or assets, list "none" below.

• Include any income or capital gain (over $7,500) required to be reported on your federal income tax return (i.e. compensation received for services rendered as required to be reported on any IRS form such as W-2, 1099 or K-1). If income is from a private practice or from consulting work, list the name of the practice.
  
  
• Revenue from leases and rentals, royalties, prizes, awards, or barter; forgiveness of debt; and earnings derived from annuities or trusts other than testamentary trusts should also be reported.
  
  
• Your University position need not be listed.
  
  
• If the “Date Sold” field is not applicable to your response, please enter 00-00-0000 in the “Date Sold” field.”

Question #3:  Excluding debts incurred on terms available to the general public, such as mortgages, student loans and credit card debts, if you owed any single debt in the preceding calendar year exceeding $10,000, list the creditor of the debt below. If you had no such debts, list "none" below.

List the creditor for all applicable debts owed by you, owed jointly by you with your spouse, or owed jointly by you with your minor child.  In addition to the types of debts listed above, you do not need to report any debts to or from financial institutions or government agencies, such as debts secured by automobiles, household furniture or appliances, as long as the debt was made on terms available to the general public, debts to members of your family, or debts to or from a political committee registered with the Illinois State Board of Elections or any political committee, principal campaign committee, or authorized committee registered with the Federal Election Commission.

• Debt owed by you, your spouse, or jointly by you with your minor child, in excess of $10,000 should be noted by listing the name of the creditor. See the following definitions:
  
  
• Creditor - an individual, organization, or other business entity to whom money or its equivalent is owed, no matter whether that obligation is secured or unsecured, except that if a filer makes a loan to members of his or her family, then that filer does not, by making such a loan, become a creditor of that individual.
  
  
• Debt - any money or monetary obligation owed at any time during the preceding calendar year to an individual, company, or other organization, other than a loan that is from a financial institution, government agency, or business entity and that is granted on terms made available to the general public.
  
  
  • "Debt" includes, but is not limited to: personal loans from friends or business associates, business loans made outside the lender's regular course of business, and loans made at below market rates.
    
    
  • "Debt" does NOT include: debts to or from financial institutions or government entities, such as mortgages, student loans, credit card debts, or loans secured by automobiles, household furniture, or appliances, as long as those loans were made on terms available to the general public and do not exceed the purchase price of the items securing them.
    
    
• Family - a filer's spouse, children, step-children, parents, step-parents, siblings, step-siblings, half-siblings, sons-in-law, daughters-in-law, grandparents, and grandchildren, as well as the parents and grandparents of the filer's spouse, and any person living with the filer.

Question #4:  List the name of each unit of government of which you or your spouse were an employee, contractor, or office holder during the preceding calendar year other than the unit or units of government in relation to which the person is required to file and the title of the position or nature of the contractual services.

• Spouse means a party to a marriage, a party to a civil union, or a registered domestic partner.
  
  
• Examples include, but not limited to:
  • 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 with another State agency or University.
  • 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.
• Your current University position at SIU need not be included here.

Question #5:  If you maintain an economic relationship with a lobbyist or if a member of your family is known to you to be a lobbyist registered
with any unit of government in the State of Illinois, list the name of the lobbyist below and identify the nature of your relationship with the lobbyist. If you do not have an economic relationship with a lobbyist or a family member known to you to be a lobbyist registered with any unit of government in the State of Illinois, list "none" below.

• List any and all lobbyists in which you have an economic relationship with. If a member of your family is a lobbyist, this must also be disclosed.  Family is defined as follows:

Family - a filer's spouse, children, step-children, parents, step-parents, siblings, step-siblings, half-siblings, sons-in-law, daughters-in-law, grandparents, and grandchildren, as well as the parents and grandparents of the filer's spouse, and any person living with the filer.

Question #6:  List the name of each person, organization or entity that was the source of a gift or gifts, or honorarium or honoraria, valued singly or in the aggregate in excess of $500 received during the preceding calendar year and the type of gift or gifts, or honorarium or honoraria, excluding any gift or gifts from a member of your family that was not known to be a lobbyist registered with any unit of government in the State of Illinois. If you had no such gifts, list "none" below.

• List the name of the person from which a gift was received if the value exceeds $500, either singly or in aggregate. Listing the actual amount is not necessary.  Gifts from family members need not be listed unless they are known to be a lobbyist. 

Question #7: List the name of any spouse or immediate family member living with the person making this statement employed by a public utility in this State and the name of the public utility that employs the relative.

• Spouse - a party to a marriage, a party to a civil union, or a registered domestic partner.
  
  
• Family - a filer's spouse, children, step-children, parents, step-parents, siblings, step-siblings, half-siblings, sons-in-law, daughters-in-law, grandparents, and grandchildren, as well as the parents and grandparents of the filer's spouse, and any person living with the filer.

      B. Supplemental Statement of Economic Interests (Required by the Executive Ethics Commission)

• Link to complete the online Supplemental Form: https://cmsapps.illinois.gov/SuppEconomic
  
• How to answer the questions:https://eec.illinois.gov/content/dam/soi/en/web/eec/executive-order/documents/cy24-ssei-faq.pdf
  
  4. What are the filing procedures?I received an email about completing the Supplemental Statement of Economic Interests from the Executive Ethics Commission and I also received a notification letter from the Secretary of State 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 completed via a portal administered by the Secretary of State. 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 either an access number and a password or a previously verified email address, as well as instructions on how to log in to the system. 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 city and state 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 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 email address will be provided to the Executive Ethics Commission (EEC).
• In March, the EEC will send an email with your unique PIN and link to complete the form.

 6. What happens if I do not meet the May 1 deadline?

• Late filing penalties, assessed by the Secretary of State, are as follows:
• $15 for any form not filed by the May 1 statutory deadline.
• $100 per day for anyone who fails to file by May 15. The penalty is $100 for each day from May 16 to the date of filing, which shall be in addition to the $15 late filing fee specified above.
• Failure to file by May 31 may result in forfeiture of the position of employment by the employee.

 7.  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 2024 letter cannot 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: https://www.ilsos.gov/publications/pdf_publications/i256.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, or 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.

• 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.

8. 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.

9. 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.

10. 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.

11. I did not receive a Statement of Economic Interests notification letter in the mail or an email 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 letter may have been mailed 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:
  https://www.ilsos.gov/publications/pdf_publications/i256.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.