Statement of Economic Interests
General Questions regarding the filing of the
Statement of Economic Interests Form
1. What criteria are used to determine who must complete
a Statement of Economic Interests form?
- 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
2. Who should I contact if I have questions regarding the
certification of names to the Secretary of State?
Questions regarding the certification of names should be directed
to the following Human Resource staff members:
- Carbondale Campus
Human Resources: Tara Moore 618-453-6604
- School of Medicine
Human Resources: Donna Hall 217-545-3964
- Edwardsville Campus
Human Resources: Cheryl Haegele 618-650-2190
3. What are the filing procedures?
- The names and home addresses of employees whose responsibilities
may be expected to include one or more of the above criteria are
certified to the Office of the Secretary of State by the Ethics
Office, after consultation with the campus Human Resources offices.
- In March, the Office of the Secretary of State will send notification
letters and forms to Southern Illinois University employees who
are required to file Statements under the Illinois Governmental
- All completed Statements must be submitted to the Southern Illinois
University Ethics Officer, who will forward them to the Office of
the Secretary of State.
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:
Thalman Hall, 1202 Douglas Dr. East,
Carbondale, IL 62901
- All Statements should be received by the Ethics Office
by April 15, 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 by April 15 to the
Office of the Secretary of State by the May 1 deadline.
The Secretary of State's Office requires that the name, home address,
and organization of the person submitting a Statement be hand printed
or typed on the first page of this form. If this information is
not provided, the form will not be accepted for filing.
The Office of the Secretary of State will not accept any
fax copies or copies of Statement of Economic Interests
forms. 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, which will then be forwarded to the
Office of the Secretary of State.
- A written confirmation will be sent via US mail upon receipt
of your Statement by the Office of the Secretary of State.
4. What happens if I do not meet the May 1 deadline?
Late filing penalties are as follows:
- $15 for any form not filed by the May 1 statutory deadline
- $100 per day from May 16th 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
5. What should I do if I work for more than one agency, board
Individuals required to file Illinois Statement of Economic Interest
forms for more than one agency, board, or commission are only
mandated to complete one statement; however, copies
should be forwarded to each agency, board or commission with
which they hold a position.
6. 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
7. If a University employee is out of the country and cannot
meet the deadline, what should they do?
Per the Office of the Secretary of State, a letter should be written
describing the circumstances and requesting a temporary removal from
the list for the current year with a reinstatement for the next year.
This letter should be sent along with the form to the Ethics Officer
for review and forwarding to the Office of the Secretary of State. This
letter must be sent before the deadline to submit completed forms for
8. I did not receive a Statement of Economic Interests form
in the mail, and I know it is the time of the year to complete it. I
have completed the form 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:
- 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:
If you still have questions, please contact the Michelle Taylor,
Ethics Officer, at firstname.lastname@example.org