University of Illinois

University Ethics Office

General Details

The Office of the Secretary of State does not accept any faxes or copies of Statements of Economic Interests (Statements). Only original signatures will be filed.

Any unsigned Statements will be returned for a signature and will not be considered filed until completed and returned.

A fine will be imposed by the Secretary of State for any Statements received after the deadline to file.

On or before April 20, 2012 all Statements should be mailed to the University Ethics Office.

After April 20, 2012 Statements should be sent directly to the Office of the Secretary of State (at the address listed on the bottom of the second page of the form) to meet the May 1st deadline and avoid late penalties.

General Questions and Criteria for Completion

1. What criteria determine who must complete a Statement?

The criteria applicable to University of Illinois employees can be found in the Illinois Governmental Ethics Act 5 ILCS 420/4A-101(f):

    • 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 are a Principal Investigator (PI) or Co-PI on a grant;
    • Those who have supervisory responsibility for 20 or more employees; or
    • Those who have responsibility for the procurement of goods and services (University P-Card, i-buy).

The above criteria are coded as position descriptors in BANNER, with the exception of the PI's and Co-PI's who are identified through Grants and Contracts. In addition, a list of employees coded in BANNER as meeting the criteria is distributed to Unit Human Resources Contacts for review prior to being submitted to the Office of the Secretary of State.

Please note: Employees of University Related Organizations (i.e. University of Illinois Foundation and Alumni Association) are not required to file a Statement of Economic Interests.

2. Who should I contact if I received a Statement and don't feel I meet one of the above criteria?

You should contact the University Ethics Office via the toll-free Ethics Help Line at: 866-758-2146 or via e-mail at: ethicsofficer@uillinois.edu. You will need to provide your full name and University Identification Number (the violet digits on your i-card that begin with either a 65, 66, or 67) to assist the Ethics Office in identifying you on their list.

You can also review the Statements of Economic Interests portion of this web site.

3. Who should I contact with questions on how to complete my Statement?

You should contact the University Ethics Office at 866-758-2146 or ethicsofficer@uillinois.edu or review the Form-Specific Questions segment of this site.

4. Who should I call with questions about the Illinois Governmental Ethics Act?

Questions related to the law should be directed to the Office of the Secretary of State at: 217-524-0309.

Please note the only individuals who can change laws are the State Legislators.

5. What are the filing procedures?

1. The University Ethics Office will compile a list of individuals required to file, based on position descriptor coding, BANNER reports, and reports provided by Grants and Contracts. The list will include home addresses for employees and will be provided to the Office of the Secretary of State.

2. In March, the Office of the Secretary of State will send notification letters and forms to the University of Illinois employees who have been identified as needing to file a Statement under the Illinois Governmental Ethics Act.

3. Employees will complete their Statements and submit them to the University Ethics Office, as required by law, by no later than April 20, 2012. The Ethics Office is located at:

University Ethics Office
Human Resources Building, Room 20
One University Plaza, HRB 20
Springfield, IL 62703-5407

Please note that after April 20, 2012, Statements should be sent directly to the Office of the Secretary of State and a copy should be sent (COPY noted on the photocopy) to the University Ethics Office. The address for the Office of the Secretary of State is listed at the bottom of the second page of the form.

4. The University Ethics Office will send an e-mail confirmation upon receipt of your ORIGINAL completed Statement. The Statement will then be forwarded to the Office of the Secretary of State for review and filing.

5. The Office of the Secretary of State will send written confirmation in the mail that your Statement has been filed.

6. What happens if I do not file my Statement by the May 1st deadline?

Penalties are assessed by the Office of the Secretary of State to the late filer as follows:

  • $15 for any form not filed by May 1st - the statutory deadline
  • $100 per day (in addition to the $15 fee) from May 16th until the date the signed original form is received and filed at the Office of the Secretary of State.
  • Failure to file by May 31st will result in the employee's name being turned over to the Attorney General and may result in forfeiture of the position of employment.

7. What should I do if I work for two separate state entities? Do I need to file more than one form?

If you work for more than one agency, board, or commission - you are only mandated to complete one Statement. However, you need to make copies of the Statement and place an original signature on each of the copies for the respective agency. For example, if you work for the Illinois Department of Revenue and the University of Illinois, you only complete one Statement. You then make a photocopy of it, sign it (preferably in blue or red ink), and send it back to your University Ethics Office on or before the April 20, 2012 deadline.

8. I was hired at the University of Illinois in April, 2012. Do I need to complete a Statement?

Yes. Employees hired in April have until May 31st to file their Statement with the Office of the Secretary of State. Although it is not required, it is a good idea to note this on your Statement.

9. What will happen if I send a photocopy or an unsigned Statement to the Office of the Secretary of State?

The Office of the Secretary of State only accepts original signatures on Statements. As such, if you send a copy or forget to sign your Statement, it will be returned to your home address with a letter explaining the problem. Please note that if the Statement is not back at the Office of the Secretary of State corrected and completed by the May 1st deadline, a late fee will be assessed by the Secretary of State.

10. If a University employee is out of the country (i.e., sabbatical) 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 temporary removal from the list for the current year with reinstatement for the next year. The letter should be sent, along with the form to the University Ethics Office for review and forwarding to the Office of the Secretary of State. This letter must be sent before the May 1st deadline. Please send an e-mail to the University Ethics Office at: ethicsofficer@uillinois.edu to discuss your particular situation in further detail.

11. I have always completed a Statement in the past, but did not receive one in the mail this year. I know it is the time of year when the Statement should be completed and do not want to receive a fine. What should I do, or who should I contact?

Please contact the University Ethics Office at: 866-758-2146 or via e-mail at: ethicsofficer@uillinois.edu to determine whether or not you need to file this year.

12. I did not receive a Business Reply Envelope with this year's mailing. Where should I mail my Statement?

Beginning in 2009, the University Ethics Office stopped mailing Business Reply Envelopes to employees' homes. Instead, employees should place their documents in US Mail or have their department mail the form for them. As long as it is before April 20, 2012 please mail your form to the University Ethics Office at:

University Ethics Office
Human Resources Building, Room 20
One University Plaza, HRB 20
Springfield, IL 62703-5407

After April 20, 2012, please mail it directly to the Office of the Secretary of State at the address listed on the bottom of the back side of your Statement.

13. The first paragraph under the title General Directions on the Statement of Economic Interests form states, "The interest (if constructively controlled by the person making the statement) of a spouse or any other party, shall be considered to be the same as the interest of the person making the statement."  Could you clarify what is meant by "constructively controlled":

The following is an example from University Legal Counsel's interpretation of "constructively controlled."

An employee has an investment account in which the account is listed in the name of the brokerage firm or broker, rather than in the employee's name.  If the employee is the one who makes decisions regarding the investments of that account (even if those decisions are based on the broker's input or advice), then the employee "constructively controls" the interests in that account.  The interests from that account that are above the threshold set forth in the Statement of Economic Interests must be included.

If an investment account is held in the name of an employee's spouse, rather than in the name of both the employee and his/her spouse, then the employee does not "constructively control" the interests in that account.  None of the interests would have to be included in the Statement of Economic Interests .

 

Still have questions? Please contact the University Ethics Office:

Toll-free Ethics Help Line: 866-758-2146

E-mail: ethicsofficer@uillinois.edu

 

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