Administrative Services

Statements of Economic Interest

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 24, 2014, all Statements should be mailed to:

Danette Phelps
Western Illinois University
VPAS Office
Sherman Hall 200
Macomb IL 61455

General Questions and Criteria for Completion

  1. What criteria determine who must complete a Statement?

    The criteria applicable to Western Illinois University 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 have received grant funding on behalf of WIU;
    • Those who have a supervisory responsibility for 20 or more employees; or
    • Those who have responsibility for the procurement of goods and services (University P-Card; fiscal agent).
  2. Who should I contact with questions on how to complete my Statement:

    You should contact the Vice President for Administrative Services office at 309-298-1800 or via e-mail at
    vpas@wiu.edu.
  3. 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.
  4. What are the filing procedures?
    1. A list of individuals required to file will be compiled based on position at WIU, and reports provided by the Business Office of listed fiscal agents; Purchasing Office of listed P-Card holders; and Sponsored Projects of those individuals who have received grants on behalf of WIU. 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 Western Illinois University 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 no later than April 24, 2014 to:
      Danette Phelps
      Western Illinois University
      VPAS Office
      Sherman Hall 200
      Macomb IL 6145
    4. WIU’s Ethics Officer, Matthew Kwacala, will review each statement and indicate such by signing and dating. The Statement will then be mailed via FedEx to the Office of the Secretary of State for review and filing.
    5. The Office of the Secretary of State will send written confirmation to you in the mail that your Statement has been filed.
  5. 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.
    • $100 per day (in addition to the $15 fee) from May 15th 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.
  6. 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 WIU, 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 Ms. Phelps on or before the April 24, 2014 deadline.
  7. I was hired at WIU in April 2014. 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.
  8. 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 3rd deadline, a late fee will be assessed by the Secretary of State.
  9. 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 Ms. Phelps for review by Mr. Kwacala and it will then be forwarded to the Office of the Secretary of State. This letter must be sent before the May 1st deadline. Please contact the Vice President for Administrative Services office at 309-298-1800 or via e-mail at vpas@wiu.edu to discuss your particular situation in further detail.

Deadlines

Original signed forms are due to the Office of the Secretary of State no later than May 1st.

On or before April 24, 2014:

- All forms should be mailed to:

Danette Phelps
Western Illinois University
VPAS Office
Sherman 200
Macomb IL 61455

WIU cannot be responsible for ensuring the Office of the Secretary of State receives your Statement by May 1st if you do not submit it to Ms. Phelps by April 24, 2014. If you miss the May 1st filing deadline with the Office of the Secretary of State, you will be penalized. See the General Questions and Criteria for Completion section of this site for specific details.

Blank "Statement of Economic Interests" Form

A blank form can be printed from the CyberDrive Illinois Website

If you print a form from the above site, please be sure to document the following information in the blank space at the top of the page.

  • Name: First and Last
  • Home Mailing Address: This information will be used by the Office of the Secretary of State to mail you a confirmation of receipt.
  • Western Illinois University: You must document that you are from Western Illinois University to ensure the Office of the Secretary of State can identify you as a filer.

Don’t forget to sign and date your form and keep a photocopy for yourself.

All forms submitted on or before April 24, 2014 should be returned to:

Danette Phelps
Western Illinois University
VPAS Office
Sherman Hall 200
Macomb IL 61455

Form-Specific Questions

The numbers listed below relate directly to the corresponding numbers on the form. If you have additional questions, please contact the Vice President for Administrative Services office at 309-298-1800 or via e-mail at vpas@wiu.edu.

Please remember to place “N/A” in the blank if the question is not applicable to you.

  1. For question #1 –
    Items typically listed under business entity include:
    • any single block of stock worth $5,000 or more in one company (name only – NOT THE AMOUNT)
    • rental property (list the address)
    • farm land (provide a brief description and the name of the county where it is located)
    • mutual funds (you do not need to list individual funds, just the group you have invested with: i.e. Merrill Lynch, Fidelity, etc. Also, you would have to have at least $1,200 in dividends from a single company, which is not typically the case with diversified investments – AMOUNT IS NOT NECESSARY)
    • YOU DO NOT NEED TO LIST savings accounts, CD’s, tax exempt bonds, retirement accounts, or bank accounts.
    Items typically listed as the corresponding instrument of ownership include:
    • partner
    • sole owner
    • stock holder/shareholder
    • trustee
    • joint-ownership by spouse or immediate family member
    • ownership by spouse or immediate family member
  2. For question #2 –
    The types of professions that would typically be listed, but are not limited to:
    • attorneys
    • physicians
    • accountants
    • bankers
    • engineers
    • architects
    • dentists
    • clinical psychologists
  3. For question #3 –
    The most common answer here would relate to consulting work. You do not have to list your clients – you just need to document the name of the consulting company or practice.
  4. For question #4 –
    Capital gains are before taxes or re-investment. Examples include:
    • sale of land, home, or other property (only the address must be listed – NOT THE AMOUNT)
    • sale of single blocks of stock (only the name of the stock must be listed – NOT THE AMOUNT)
    • car sales DO NOT need to be listed
  5. For question #5 –
    This question basically asks whether or not the individual knows or has connections to a lobbyist. For example, if your spouse is a lobbyist, this must be listed.
  6. For question #6 –
    Often times, you can respond ”see number 1“ for this question if you have completed #1 on the previous page. Here you need to list instruments of ownership that gross over $1,200 per year in income. Examples include businesses, rental properties, book royalties, and stock dividends.
  7. For question #7 –
    Here, you need to list any other government employment you hold, such as:
    • School Board (IF PAID)
    • Zoning Board (IF PAID)
    • County Board (IF PAID)
    • Park Board (IF PAID)
    • Army Guard
    • Air Guard
    • employment by other state agencies or state Universities
    • previously held positions with other state agencies
    If it is paid from or controlled by tax dollars, it should be listed.
  8. For question #8 –
    For this question, you must list any gift received where the value was greater than $500. You do not need to list the amount, just the name of the giver. Inheritances must be listed (example: Inheritance from the Estate of John Doe), but not their amounts. Personal gifts must also be listed here.

Any student, faculty, or staff member who believes they have witnessed a violation of the State Officials and Employees Ethics Act should report the violation immediately to:

Matthew Kwacala
Ethics Officer/Legal Counsel
mkwacala@macomblawoffice.com
Phone: 309-837-5000