exclamationDeadline to File
All UA employees who are required to file a Statement of Economic Interests for the last calendar year must do so by April 30. What’s the penalty for late filing? The Alabama Ethics Commission is imposing and enforcing fines of $10 per day past the April 30 deadline up to $1,000, along with potential misdemeanor charges for non-compliance.
For matters of the public trust, the State of Alabama Ethics Commission determines that certain individuals should be required to file a Statement of Economic Interests form, disclosing potential conflicts of interest. The Commission has an annual filing requirement for the SEI form for those required to file.
What You Need to Know
SEI Filing Requirements
As a public institution, UA employees who meet certain criteria are required to complete an annual Statement of Economic Interests. The UA Office of Human Resources provides the Alabama Ethics Commission with a list of employees who meet one or more of the filing criteria. If you met one or more of the filing criteria below based on your job information during the last calendar year (2023), you are required to file a Statement of Economic Interests:
- Employees whose annual base pay salary totaled $97,000 or more for the last calendar year.
- Employees who were in a position with purchasing or procurement authority to make purchases on UA’s behalf.
- Employees who served in a job role with supervisory responsibility during the last calendar year.
For more information, review Code of Alabama, Section 36-25-14: Who must file a Statement of Economic Interests Form? (PDF)
Ways to File
You can file the Statement of Economic Interests two ways:
- Online by going to https://seiform.alabama.gov/ and selecting Create Account. You will receive an email confirmation.
- Direct mail by printing and completing the Statement of Economic Interests and mailing it on or before April 30 to:
Alabama Ethics Commission
100 N. Union Street
Suite 104 (RSA Union)
PO Box 302300
Montgomery, AL 36130-2300
Requirements of UA
The State of Alabama Ethics Commission requires employees of The University of Alabama to complete an annual Statement of Economic Interests (SEI) form if they met at least one of the criteria listed below during the 2023 calendar year:
- Persons whose base rate of pay at any time during calendar year 2023 was $97,000 or more
- Persons whose job included purchasing or procurement authority (i.e., p-card holders)
- Persons who served as a supervisor (UA will identify these individuals in the Banner system based on those listed as a supervisor for another employee during the 2023 calendar year.)
As required by law, the UA Office of Human Resources will be providing a list of current and previous employees who met one or more of the above criteria during the 2023 calendar year to the Ethics Commission.
In the coming weeks communication will be sent individually to those identified as meeting the requirement to inform them of their obligation to submit an SEI to the Alabama Ethics Commission. If you do not meet the above criteria, you may disregard this email.
To help individuals complete the form quickly and conveniently, the Ethics Commission provides the form and instructions on their website, seiform.alabama.gov. While you may still choose to print a copy of the form, complete it, and return it directly to the Ethics Commission, we encourage you to take advantage of the quick and cost-effective online filing option. When filing online, you will receive a confirmation email from the Ethics Commission providing you with a code that confirms your form has been filed. Please keep this confirmation code for your reference and as your proof of having filed.
You may also access this material and frequently asked questions on the UA HR website, hr.ua.edu/alabama-ethics-requirement . If completed online, the form must be completed and the confirmation code received by the state mandated deadline of April 30, 2024. If mailing directly, forms must be postmarked no later than April 30, 2024. Failure to file will result in a fine of up to $1,000 and/or a misdemeanor charge imposed by the Ethics Commission for non-compliance.
For a full description of the requirements regarding the Ethics Commission’s efforts to ensure compliance with state conflict of interest laws and proper handling of taxpayer dollars, please visit their website at ethics.alabama.gov.
In summary, if you meet at least one of the above criteria while working for UA at some time during the 2023 calendar year, you are required to complete the Statement of Economic Interest form.
Please note: HR submits employee names of UA SEI Filers as they are documented in Banner. If the SEI Form is submitted under a different name, a mismatch will occur. Please submit the form based on your name as it appears in Banner. HR is unable to update your filing status. Any communication regarding filing or confirmation codes after you have filed should be directed to the Alabama Ethics Commission at sei@ethics.alabama.gov.
If you have questions or need additional information regarding this filing requirement, please contact the HR Service Center at (205) 348-7732 or hr@ua.edu. Thank you for your cooperation.
Susan Norton, MS, SPHR
Senior Associate Vice President &
Chief Human Resources Officer
Frequently Asked Questions
I was forward the ethics requirement email by my coworker/supervisor. Do I need to file?
If you received a direct email informing you that you were identified as being subject to the requirement, you are required to file the form. If the email was forwarded to you, please inquire at hr@ua.edu regarding your need to file. An email will be sent to all employees of UA to inform of the potential requirement.
I read the "Who Must File" document and I'm not sure if I should file or not. How do I know whether I am required to file or not
If you received a direct email informing you that you were identified as being subject to the requirement, you are required to file the form. If the email was forwarded to you, please inquire at hr@ua.edu regarding your need to file. Additional filing requirement questions may be directed to the Alabama Ethics Commission.
Alabama Ethics Commission
P.O. Box 4840
Montgomery, AL 36103-4840
Phone: 334-242-2997
Fax: 334-242-0248
Email: sei@ethics.alabama.gov
Why do I need to file? How does the process work?
In summary, the requirements as they apply to UA are:
- Individuals who served as a supervisor (UA has chosen to identify these individuals in the Banner system, by determining all of those listed as a supervisor for another employee during the 2023 calendar year.)
- Persons whose base rate of pay at any time during calendar year 2023 was $97,000 or mor
- Persons whose job included purchasing or procurement authority (i.e., p-card holders)
I think I filed this form already. Can you check to see if I have?
To check filing status, go to ethics.alabama.gov click on the “Public Records” tab and select “View Filings Here.” From the drop-down menu, select “SOEI Forms/Additional Filings” and search for your name. Any questions regarding the report submission should be directed to:
Alabama Ethics Commission
P.O. Box 4840
Montgomery, AL 36103-4840
Phone: 334-242-2997
Fax: 334-242-0248
Email: sei@ethics.alabama.gov
How can I find my user ID and password to complete the form?
In following the link to the website, ethics.alabama.gov, no login credentials are required. On the Alabama Ethics Commission website select the “Statement of Economic Interest” button in the upper-right corner. On the next page, in the “SEI Forms” section, select the “Online SEI Form” link and the form will open to be completed.
I'm having problems with the electronic form. Who should I contact?
Any problems or errors with the Ethics Commission website should be directed to the Alabama Ethics Commission. Visit ethics.alabama.gov for links to contact someone directly, or contact the Commission at:
Alabama Ethics Commission
P.O. Box 4840
Montgomery, AL 36103-4840
Phone: 334-242-2997
Fax: 334-242-0248
Email: sei@ethics.alabama.gov
I received a confirmation code after I completed the filing process. Am I finished?
An email with a confirmation code completes the filing process. Retain the code for future reference.
I don't think I should be required to file. What do I need to do?
If you believe you have been misclassified regarding the filing requirements, HR will need a removal request from your supervisor and VP/Dean stating the reason you should be removed from the filing list. Please send all removal requests to hris@ua.edu
More Information
For a full description of the requirements regarding the Alabama Ethics Commission’s efforts to ensure compliance with state conflict of interests laws and proper handling of taxpayer dollars, go to ethics.alabama.gov. There you will find a link to the “Statement of Economic Interests” and “FAQs,” which contain all of the necessary information for completing the form online or on paper.