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Economic Interest

The Illinois Governmental Ethics Act requires certain public officers and employees of NIU to file a Statement of Economic Interests by May 1 of each year. P.A. 90-737 requires these disclosures be submitted to the university ethics officer for review before they are filed with the Secretary of State.

The forms are mailed in mid-March to employee home addresses.

The form must be:

  1. Fully answered with all questions answered (or indicate "not applicable" if appropriate)
  2. Personally signed, and
  3. Without delay delivered to the Human Resource Services Lobby for required review by the University Ethics Officer - James Guagliardo.
  4. Following the required review, the completed forms will be forwarded to the Index Division of the Illinois Secretary of State's Office, and a stamped receipt for the filing will be mailed to the employee.

Important Special Note: Completed forms should not be sent directly to the Secretary of State's Office. Failure to transmit the forms through the Ethics Officer may result in filing delays and possible late-filing penalties for employees.

Who Is required to file?

Members of the Board of Trustees of Northern Illinois University are required to file.

The criteria that apply to compensated Northern Illinois University employees are described in Section 4A-101(f) of Public Act 88-187 as amended in August 1993. The applicable criteria include:

  • Persons who are, or who function as, the head of a university department or other administrative unit.
  • Persons who have supervisory authority over, or direct responsibility for the formulation, negotiation, issuance or execution of contracts entered into by the University in the amount of $5,000 or more.
  • Persons who have authority for the issuance or promulgation of formal administrative rules and regulations within the university.
  • Persons who adjudicate, arbitrate or decide any judicial or administrative proceeding, or review the adjudication, arbitration or decision of any judicial or administrative proceeding within the authority of the university.
  • Persons who have supervisory responsibility for 20 or more University employees.

In January of each year, the names of employees whose responsibilities are expected to include one or more of the above criteria are certified to the Office of the Secretary of State by the University President in consultation with Human Resource Services and the University Ethics Officer.

Accuracy and Completeness Required

The law states that any person required to file a statement of economic interests who willfully files a false or incomplete statement shall be guilty of a Class A misdemeanor.

Penalties for Late Filing/Failure to File

Employees required to comply with this Act should note there are personal penalties imposed through the Secretary of State's Office for failure to timely file an original, fully completed Statement of Economic Interests.

These include:

  • A late filing fee of $15 if filed after May 1 and on or before May 15
  • A penalty of $100 for each day from May 16 to the date of filing in addition to the $15 late filing fee

Failure to file by May 31 will result in ineligibility for, or forfeiture of, office or position of employment.

Assistance is Available

Questions regarding this Act or filing requirements should be directed to the University Ethics Officer James Guagliardo at 815-753-9517, or e-mailed to him at: NIUEthicsOfficer@niu.edu.

Forms

Material

Ethics Office Administration

Ethics Officer
James Guagliardo

Legal Counsel
Greg Brady

Records Officer
Celeste Latham

Ethics Training
Karen Smith

Procurement
Michele Danza