Text: SR00004 Text: SR00006 Text: SR00000 - SR00099 Text: SR Index Bills and Amendments: General Index Bill History: General Index
PAG LIN 1 1 SENATE RESOLUTION NO. ___ 1 2 BY COMMITTEE ON ETHICS 1 3 (SUCCESSOR TO SSB 47) 1 4 A Resolution to provide for the Senate Code of Ethics. 1 5 BE IT RESOLVED BY THE SENATE, That the Senate Code 1 6 of Ethics for theSeventy-fifthSeventy-sixth General 1 7 Assembly shall be as follows: 1 8 SENATE CODE OF ETHICS 1 9 PREAMBLE. Every legislator owes a duty to uphold 1 10 the integrity and honor of the general assembly, to 1 11 encourage respect for the law and for the general 1 12 assembly and the members thereof, and to observe the 1 13 legislative code of ethics. 1 14 In doing so,each membermembers of the senatehas1 15 have a duty to conductoneselfthemselves so as to 1 16 reflect credit on the general assembly, and to inspire 1 17 the confidence, respect, and trust of the public, and 1 18 to strive to avoid both unethical and illegal conduct 1 19 and the appearance of unethical and illegal conduct. 1 20 Recognizing that service in the Iowa general 1 21 assembly is a part-time endeavor and that members of 1 22 the general assembly are honorable individuals who are 1 23 active in the affairs of their localities and 1 24 elsewhere and that it is necessary that they maintain 1 25 a livelihood and source of income apart from their 1 26 legislative compensation, the following rules are 1 27 adopted pursuant to section 68B.31, to assist the 1 28 members in the conduct of their legislative affairs. 1 29 1. ECONOMIC INTEREST OF SENATOR. Taking into 1 30 account that legislative service is part-time, a 2 1 senator shall not accept economic or investment 2 2 opportunity, under circumstances where the senator 2 3 knows, or should know, that there is a reasonable 2 4 possibility that the opportunity is being afforded the 2 5 senator with intent to influence the senator's conduct 2 6 in the performance of official duties. 2 7 2. DIVESTITURE. Where a senator learns that an 2 8 economic or investment opportunity previously accepted 2 9 was offered with the intent of influencing the 2 10 senator's conduct in the performance of official 2 11 duties, the senator shall take steps to divest that 2 12 senator of that investment or economic opportunity, 2 13 and shall report the facts of the situation to the 2 14 senate ethics committee. 2 15 3. CHARGES FOR SERVICES. A senator shall not 2 16 charge to or accept from a person, corporation, 2 17 partnership, or association known to have a 2 18 legislative interest a price, fee, compensation, or 2 19 other consideration for the sale or lease of any 2 20 property or the furnishing of services which is in 2 21 excess of that which the senator would charge another. 2 22 4. USE OF CONFIDENTIAL INFORMATION. A senator in 2 23 order to further the senator's own economic or other 2 24 interests, or those of any other person, shall not 2 25 disclose or use confidential information acquired in 2 26 the course of official duties. 2 27 5. HONORARIA. A senator shall not accept an 2 28 honorarium from a restricted donor for a speech, 2 29 writing for publication, or other similar activity, 2 30 except as otherwise provided in section 68B.23. 3 1 6. EMPLOYMENT. A senator shall not accept 3 2 employment, either directly or indirectly, from a 3 3 political action committee. A senator may accept 3 4 employment from a political party, but shall disclose 3 5 the employment relationship in writing to the 3 6 secretary of the senate within ten days after the 3 7 beginning of each legislative session. If a senator 3 8 accepts employment from a political party during a 3 9 legislative session, the senator shall disclose the 3 10 employment relationship within ten days after 3 11 acceptance of the employment. 3 12 For the purpose of this rule, a political action 3 13 committee means a committee, but not a candidate's 3 14 committee, which accepts contributions, makes 3 15 expenditures, or incurs indebtedness in the aggregate 3 16 of more than two hundred fifty dollars in any one 3 17 calendar year for the purpose of supporting or 3 18 opposing a candidate for public office or ballot issue 3 19 or influencing legislative action, or an association, 3 20 lodge, society, cooperative, union, fraternity, 3 21 sorority, educational institution, civic organization, 3 22 labor organization, religious organization, or 3 23 professional organization which makes contributions in 3 24 the aggregate of more than two hundred fifty dollars 3 25 in any one calendar year for the purpose of supporting 3 26 or opposing a candidate for public office or ballot 3 27 issue or influencing legislative action. 3 28 7. ECONOMIC INTERESTS OF LOBBYIST. With the 3 29 exception of exercising unfettered discretion in 3 30 supporting or refusing to support proposed 4 1 legislation, a senator shall not take action intended 4 2 to affect the economic interests of a lobbyist or 4 3 citizen supporting or opposing proposed legislation. 4 4 8. APPEARANCE BEFORE GOVERNMENTAL AGENCY. A 4 5 senator may appear before a governmental agency or 4 6 board in any representation case, except that the 4 7 senator shall not act as a lobbyist. Whenever a 4 8 senator appears before a governmental agency or board, 4 9 the senator shall carefully avoid all conduct which 4 10 might in any way lead members of the general public to 4 11 conclude that the senator is using the senator's 4 12 official position to further the senator's 4 13 professional success or personal financial interest. 4 14 9. CONFLICTS OF INTERESTS. In order to permit the 4 15 general assembly to function effectively, a senator 4 16 will sometimes be required to vote on bills and 4 17 participate in committee work which will affect the 4 18 senator's employment and other monetary interests. In 4 19 making a decision relative to the senator's activity 4 20 on given bills or committee work which are subject to 4 21 the code, the following factors shall be considered: 4 22 a. Whether a substantial threat to the senator's 4 23 independence of judgment has been created by the 4 24 conflict situation. 4 25 b. The effect of the senator's participation on 4 26 public confidence in the integrity of the legislature. 4 27 c. The need for the senator's particular 4 28 contribution, such as special knowledge of the subject 4 29 matter, to the effective functioning of the 4 30 legislature. 5 1 A senator with a conflict of interest may 5 2 participate in floor debate if prior to debate the 5 3 senator indicates the conflict of interest. 5 4 10. GIFTS. Except as otherwise provided in 5 5 section 68B.22, a senator, or that person's immediate 5 6 family member, shall not, directly or indirectly, 5 7 accept or receive any gift or series of gifts from a 5 8 restricted donor. 5 9 11. DISCLOSURE REQUIRED. Each senator shall file 5 10 with the secretary of the senate within ten days after 5 11 the adoption of the code of ethics by the senate, and 5 12 within ten days after the convening of the second 5 13 session of the general assembly, a statement under 5 14 section 68B.35 on forms provided by the secretary of 5 15 the senate setting forth the following information: 5 16 The nature of each business in which the senator is 5 17 engaged and the nature of the business of each company 5 18 in which the senator has a financial interest. A 5 19 senator shall not be required to file a report or be 5 20 assumed to have a financial interest if the annual 5 21 income derived from the investment in stocks, bonds, 5 22 bills, notes, mortgages, or other securities offered 5 23 for sale through recognized financial brokers is less 5 24 than one thousand dollars. 5 25 Disclosures required under this rule shall be as of 5 26 the date filed unless provided to the contrary, and 5 27 shall be amended to include interests and changes 5 28 encompassed by this rule that occur while the general 5 29 assembly is in session. All filings under this rule 5 30 shall be open to public inspection in the office of 6 1 the secretary of the senate at all reasonable times. 6 2 The secretary of the senate shall inform the ethics 6 3 committee of the statements which are filed and shall 6 4 report to the ethics committee the names of any 6 5 senators who appear not to have filed complete 6 6 statements. The chairperson of the ethics committee 6 7 shall request in writing that a senator who has failed 6 8 to complete the report or appears to have filed an 6 9 incomplete report do so within five days, and, upon 6 10 the failure of the senator to comply, the ethics 6 11 committee shall require the senator to appear before 6 12 the committee. 6 13 12. STATUTORY VIOLATIONS. Members of the general 6 14 assembly are urged to familiarize themselves with 6 15 chapters 68B, 721, and 722. 6 16 13. CHARGE ACCOUNTS. Senators shall not charge 6 17 any amount or item to any charge account to be paid 6 18 for by any lobbyist or any client the lobbyist 6 19 represents. 6 20 14. TRAVEL EXPENSES. A senator shall not charge 6 21 to the state of Iowa amounts for travel and expenses 6 22 unless the senator actually has incurred those mileage 6 23 and expense costs. Senators shall not file the 6 24 vouchers for weekly mileage reimbursement required by 6 25 section 2.10, subsection 1, unless the travel was 6 26 actually incurred at commensurate expense to the 6 27 senator. 6 28 15. COMPLAINTS. Complaints or charges against any 6 29 senator or any lobbyist shall be in writing, made 6 30 under oath, and filed with the secretary of the senate 7 1 or the chairperson of the ethics committee. If filed 7 2 with the secretary of the senate, the secretary shall 7 3 immediately advise the chairperson of the ethics 7 4 committee of the receipt of the complaint. 7 5 Complaint forms shall be available from the 7 6 secretary of the senate, or the chairperson of the 7 7 ethics committee, but a complaint shall not be 7 8 rejected for failure to use an approved form if the 7 9 complaint substantially complies with senate 7 10 requirements. 7 11 A complainant may submit exhibits and affidavits 7 12 attached to the complaint. 7 13 16. FILING OF COMPLAINTS. 7 14 a. Persons entitled. Complaints may be filed by 7 15 any person believing that a senator or lobbyist has 7 16 violated the senate ethics code, the senate rules 7 17 governing lobbyists, or chapter 68B of the Iowa Code. 7 18 A violation of the criminal law may be considered to 7 19 be a violation of this code of ethics if the violation 7 20 constitutes a serious misdemeanor or greater, or a 7 21 repetitive and flagrant violation of the law. 7 22 b. Committee complaint. The ethics committee may, 7 23 upon its own motion, initiate a complaint, 7 24 investigation, or disciplinary action. 7 25 c. Timeliness of filing. A complaint will be 7 26 considered to be timely filed if it is filed within 7 27 three years of the occurrence of the alleged violation 7 28 of the ethics code. 7 29 17. PERMANENT RECORD. The secretary of the senate 7 30 shall maintain a permanent record of all complaints 8 1 filed, evidence received by the committee, and any 8 2 transcripts or other recordings made of committee 8 3 proceedings, including a separate card file containing 8 4 the date filed, name and address of the complainant, 8 5 name and address of the respondent, a brief statement 8 6 of the charges made, and ultimate disposition of the 8 7 complaint. The secretary shall keep each such 8 8 complaint confidential until public disclosure is made 8 9 by the ethics committee. 8 10 18. PREHEARING PROCEDURE. 8 11 a. Defective complaint. Upon receipt of a 8 12 complaint, the chairperson and ranking member of the 8 13 ethics committee shall determine whether the complaint 8 14 substantially complies with the requirements of this 8 15 code of ethics and section 68B.31, subsection 6. If 8 16 the complaint does not substantially comply with the 8 17 requirements for formal sufficiency under the code of 8 18 ethics, the complaint may be returned to the 8 19 complainant with a statement that the complaint is not 8 20 in compliance with the code and a copy of the code. 8 21 If the complainant fails to amend the complaint to 8 22 comply with the code within a reasonable time, the 8 23 chair and ranking member may dismiss the complaint 8 24 with prejudice for failure to prosecute. 8 25 b. Service of complaint on respondent. Upon 8 26 receipt of any complaint substantially complying with 8 27 the requirements of this code of ethics, the 8 28 chairperson of the ethics committee shall cause a copy 8 29 of the complaint and any supporting information to be 8 30 delivered promptly to the respondent, requesting a 9 1 written response to be filed within ten days. The 9 2 response may do any of the following: 9 3 (1) Admit or deny the allegation or allegations. 9 4 (2) Object that the allegation fails to allege a 9 5 violation of chapter 68B or the code of ethics. 9 6 (3) Object to the jurisdiction of the committee. 9 7 (4) Request a more specific statement of the 9 8 allegation or allegations. 9 9 c. Objection to member. In addition to the items 9 10 which may be included in a response pursuant to 9 11 paragraph "b", the response may also include an 9 12 objection to the participation of any member of the 9 13 committee in the consideration of the allegation or 9 14 allegations on the grounds that the member cannot 9 15 render an impartial and unbiased decision. 9 16 d. Extension of time. At the request of the 9 17 respondent and upon a showing of good cause, the 9 18 committee, or the chairperson and ranking member, may 9 19 extend the time for response, not to exceed ten 9 20 additional days. 9 21 e. Confidentiality. If a complaint is not 9 22 otherwise made public, the members of the committee 9 23 shall treat the complaint and all supporting 9 24 information as confidential until the written response 9 25 is received from the respondent. 9 26 f. Scheduling hearing. Upon receipt of the 9 27 response, the committee shall schedule a public 9 28 meeting to review the complaint and available 9 29 information, and shall: 9 30 (1) Notify the complainant that no further action 10 1 will be taken, unless further substantiating 10 2 information is produced, or 10 3 (2) Dismiss the complaint for failure to meet the 10 4 statutory and code of ethics requirements for valid 10 5 complaints, or 10 6 (3) Request that the chief justice of the supreme 10 7 court appoint an independent special counsel to 10 8 conduct an investigation of the complaint and 10 9 supporting information, to make a determination of 10 10 probable cause, and to report the findings to the 10 11 committee, which shall be received within a reasonable 10 12 time, or 10 13(4) Cause the complaint to be scheduled for a10 14public hearing upon receipt of the report of the10 15independent special counsel, or10 16(5) Dismiss the complaint upon receipt of a report10 17by independent special counsel that insufficient10 18evidence exists to support a finding of probable10 19cause.10 20 g. Public hearing. If independent special counsel 10 21 is appointed, upon receipt of the report of 10 22 independent special counsel's findings, the committee 10 23 shall schedule a public meeting to review the report 10 24 and shall either: 10 25 (1) Cause the complaint to be scheduled for a 10 26 public hearing. 10 27 (2) Dismiss the complaint based upon a 10 28 determination by independent special counsel and the 10 29 committee that insufficient evidence exists to support 10 30 a finding of probable cause. 11 1 19. HEARING PROCEDURE. 11 2 a. Notice of hearing. If the committee causes a 11 3 complaint to be scheduled for a public hearing, notice 11 4 of the hearing date and time shall be given to the 11 5 complainant and respondent in writing, and of the 11 6 respondent's right to appear in person, be represented 11 7 by legal counsel, present statements and evidence, and 11 8 examine and cross-examine witnesses. The committee 11 9 shall not be bound by formal rules of evidence, but 11 10 shall receive relevant evidence, subject to 11 11 limitations on repetitiveness. Any evidence taken 11 12 shall be under oath. 11 13 b. Subpoena power. The committee may require, by 11 14 subpoena or otherwise, the attendance and testimony of 11 15 witnesses and the production of such books, records, 11 16 correspondence, memoranda, papers, documents, and any 11 17 other things it deems necessary to the conduct of the 11 18 inquiry. 11 19 c. Ex post facto. An investigation shall not be 11 20 undertaken by the committee of a violation of a law, 11 21 rule, or standard of conduct that is not in effect at 11 22 the time of violation. 11 23 d. Disqualification of member. Members of the 11 24 committee may disqualify themselves from participating 11 25 in any investigation of the conduct of another person 11 26 upon submission of a written statement that the member 11 27 cannot render an impartial and unbiased decision in a 11 28 case. A member may also be disqualified by a 11 29 unanimous vote of the remaining eligible members of 11 30 the committee. 12 1 A member of the committee is ineligible to 12 2 participate in committee meetings, as a member of the 12 3 committee, in any proceeding relating to the member's 12 4 own official conduct. 12 5 If a member of the committee is disqualified or 12 6 ineligible to act, the majority or minority leader who 12 7 appointed the member shall appoint a replacement 12 8 member to serve as a member of the committee during 12 9 the period of disqualification or ineligibility. 12 10 e. Hearing. At the hearing, the chairperson shall 12 11 open the hearing by stating the charges, the purpose 12 12 of the hearing, and its scope. The burden of proof 12 13 rests upon the complainant to establish the facts as 12 14 alleged, by clear and convincing evidence. However, 12 15 questioning of witnesses shall be conducted by the 12 16 members of the committee, by independent special 12 17 counselappointed by the committee, or by a senator. 12 18 The chairperson shall also permit questioning by legal 12 19 counsel representing the complainant or respondent. 12 20 The chairperson or other member of the committee 12 21 presiding at a hearing shall rule upon procedural 12 22 questions or any question of admissibility of evidence 12 23 presented to the committee. Rulings may be reversed 12 24 by a majority vote of the committee members present. 12 25 The committee may continue the hearing to a future 12 26 date if necessary for appropriate reasons or purposes. 12 27 f. Committee action. Upon receipt of all relevant 12 28 evidence and arguments, the committee shall consider 12 29 the same and recommend to the senate: 12 30 (1) That the complaint be dismissed, or 13 1 (2) That the senator or lobbyist be censured or 13 2 reprimanded, and recommend the appropriate form of 13 3 censure or reprimand, or 13 4 (3) Any other appropriate sanction, including 13 5 suspension or expulsion from membership in the senate, 13 6 or suspension of lobbying privileges. 13 7 g. Disposition resolution. By appropriate 13 8 resolution, the senate may amend, adopt, or reject the 13 9 report of the ethics committee, including the 13 10 committee's recommendations regarding disciplinary 13 11 action. 13 12 20. COMMITTEE AUTHORIZED TO MEET. The senate 13 13 ethics committee is authorized to meet at the 13 14 discretion of the chairperson to conduct hearings and 13 15 other business that properly may come before it. If 13 16 the committee submits a report seeking senate action 13 17 against a senator or lobbyist after the second regular 13 18 session of a general assembly has adjourned sine die, 13 19 the report shall be submitted to and considered by the 13 20 subsequent general assembly. However, the report may 13 21 be submitted to and considered during any special 13 22 session which may take place after the second regular 13 23 session of a general assembly has adjourned sine die, 13 24 but before the convening of the next general assembly. 13 25 21. COMPLAINT FILING FORM. The following form 13 26 shall be used to file a complaint under these rules: 13 27 THE SENATE 13 28 Ethics Complaint Form 13 29 Re: ______________________________ (Senator/Lobbyist), 13 30 of _____________________, Iowa. 14 1 I, ________________________ (Complainant), residing 14 2 at ____________________, in the City of ______________, 14 3 State of ________________________, hereby complain that 14 4 _____________________________ (Senator/Lobbyist), whose 14 5 address is ___________________________________________, 14 6 has violated the SenateRuleCode of Ethics or Senate 14 7 Rules Governing Lobbyists in that: 14 8 (Explain the basis for the complaint here. Use addi- 14 9 tional pages, if necessary). 14 10 Under penalty of perjury, I certify that the above 14 11 complaint is true and correct as I verily believe. 14 12 ___________________________ 14 13 Signature of Complainant 14 14 SUBSCRIBED AND AFFIRMED to before me this __________ 14 15 day of ________________________, 19_______. 14 16 ___________________________________ 14 17 Notary Public in and for the 14 18 State of __________________________ 14 19 22. COMPLAINT NOTICE FORM. The following form 14 20 shall be used for notice of a complaint under these 14 21 rules: 14 22 STATE OF IOWA 14 23 THE SENATE 14 24 COMMITTEE ON ETHICS ) 14 25 IOWA STATE SENATE ) 14 26 ) 14 27 On The Complaint Of ) NOTICE OF COMPLAINT 14 28 ) 14 29 _____________________________ ) 14 30 ) 15 1 And Involving ) 15 2 ) 15 3 _____________________________ ) 15 4 ) 15 5 TO __________________________________, 15 6 Senator or Lobbyist named above: 15 7 You are hereby notified that there is now on file 15 8 with the Secretary of the Senate, State Capitol, Des 15 9 Moines, Iowa, a complaint which alleges that you have 15 10 committed a violation of the Senate'sEthicsCode of 15 11 Ethics or Senate Rules Governing Lobbyists. 15 12 A copy of the complaint and the Senate rules for 15 13 processing the same are attached hereto and made a 15 14 part of this notice. 15 15 You are further notified and requested to file your 15 16 written answer to the complaint within ten days of the 15 17 date upon which the notice was caused to be delivered 15 18 to you, ______________________, 19___. Your answer is 15 19 to be filed with the Secretary of the Senate, State 15 20 Capitol, Des Moines, Iowa. 15 21 Dated this ________ day of ________________, 19___. 15 22 ___________________________________ 15 23 Chair, Senate Ethics Committee, 15 24 or Secretary of the Senate 15 25 23. HEARING NOTICE FORM. The following form 15 26 shall be used for notice of a hearing under these 15 27 rules: 15 28 STATE OF IOWA 15 29 THE SENATE 15 30 COMMITTEE ON ETHICS ) 16 1 IOWA STATE SENATE ) 16 2 ) 16 3 On The Complaint Of ) NOTICE OF HEARING 16 4 ) 16 5 __________________________ ) 16 6 ) 16 7 And Involving ) 16 8 ) 16 9 __________________________ ) 16 10 ) 16 11 TO __________________________________, 16 12 Senator or Lobbyist named above: 16 13 You are hereby notified that there is now on file 16 14 with the Secretary of the Senate, State Capitol, Des 16 15 Moines, Iowa, a complaint which alleges that you have 16 16 committed a violation of the Senate'sEthicsCode of 16 17 Ethics or Senate Rules Governing Lobbyists. 16 18 A copy of the complaint and the Senate rules for 16 19 processing the same are attached hereto and made a 16 20 part of this notice. 16 21 You are further notified that, after preliminary 16 22 review, the committee has caused a public hearing to 16 23 be scheduled on 16 24 (date)___________________, 19___, at (hour) ___________ 16 25 (a.m.) (p.m.), in Room ____, State Capitol, Des Moines, 16 26 Iowa. 16 27 At the hearing, you will have the right to appear 16 28 in person, be represented by legal counsel at your own 16 29 expense, present statements and evidence, and examine 16 30 and cross-examine witnesses. The committee shall not 17 1 be bound by formal rules of evidence, but shall 17 2 receive relevant evidence, subject to limitations on 17 3 repetitiveness. Any evidence taken shall be under 17 4 oath. 17 5 The committee may continue the hearing to a future 17 6 date if necessary for appropriate reasons or purposes. 17 7 You are further notified that the committee will 17 8 receive such evidence and take such action as 17 9 warranted by the evidence. 17 10 Dated this _____ day of ________________, 19___. 17 11 _________________________________ 17 12 Chair, Senate Ethics Committee, 17 13 or Secretary of the Senate 17 14 24. PERSONAL FINANCIAL DISCLOSURE FORM. The following form 17 15 shall be used for disclosure of economic interests 17 16 under these rules and section 68B.35: 17 17 STATEMENT OF ECONOMIC INTERESTS 17 18 Name: ________________________________________________ 17 19 (Last) (First) (Middle Initial) 17 20 Address: _____________________________________________ 17 21 (Street Address, Apt.# - P.O. Box) 17 22 ________________________________________________ 17 23 (City) (State) (Zip) 17 24 Phone:(Home) ___-___-_____ (Business) ___-___-_____ 17 25 ****************************************************** 17 26 a. Please list each business, occupation, or 17 27 profession in which you are engaged. In listing the 17 28 business, occupation, or profession, it is not 17 29 necessary that your employer or the name of the 17 30 business be listed, although all businesses, 18 1 occupations, or professions must be listed, regardless 18 2 of the amount of income derived or time spent 18 3 participating in the activity. (Examples of types of 18 4 businesses, occupations, or professions that may be 18 5 listed: teacher, lawyer, legislator, real estate 18 6 agent, insurance adjuster, salesperson....) 18 7 (1) __________________________________________________ 18 8 (2) __________________________________________________ 18 9 (3) __________________________________________________ 18 10 (4) __________________________________________________ 18 11 (5) __________________________________________________ 18 122.b. Please list the nature of each of the 18 13 businesses, occupations, or professions which you 18 14 listed in paragraph "a", above, unless the nature of 18 15 the business, occupation, or profession is already 18 16 apparent from the information indicated above. The 18 17 descriptions in this paragraph should correspond by 18 18letternumber to thelettersnumbers for each of the 18 19 businesses, occupations, or professions listed in 18 20 paragraph "a". (Examples: If you indicated, for 18 21 example, that you were a salesperson in subparagraph 18 22 (1) of paragraph "a", you should list in subparagraph 18 23 (1) of this paragraph the types of goods or services 18 24 sold in this item. If you indicated that you were a 18 25 teacher in subparagraph (2) of paragraph "a", you 18 26 should indicate in subparagraph (2) of this paragraph 18 27 the type of school or institution in which you provide 18 28 instruction or whether the instruction is provided on 18 29 a private basis. If you indicated that you were a 18 30 lawyer in subparagraph (3) of paragraph "a", you 19 1 should indicate your areas of practice and whether you 19 2 are in private, corporate, or government practice in 19 3 subparagraph (3) of this paragraph. If you indicated 19 4 in subparagraph (4) of paragraph "a" that you were a 19 5 consultant, in subparagraph (4) of this paragraph you 19 6 should indicate the kind of services provided and 19 7 types of clients served.) 19 8 (1) __________________________________________________ 19 9 (2) __________________________________________________ 19 10 (3) __________________________________________________ 19 11 (4) __________________________________________________ 19 12 (5) __________________________________________________ 19 13 c. Please list each source, by general 19 14 description, from which you receive, or which 19 15 generates, more than one thousand dollars in gross 19 16 annual income in the categories listed below. For 19 17 purposes of this item, a source produces gross annual 19 18 income if the revenue produced by the source is 19 19 subject to federal or state income taxes. In 19 20 completing this item, it is not necessary to list the 19 21 name of the company, business, financial institution, 19 22 corporation, partnership, or other entity which 19 23 constitutes the source of the income and the amount or 19 24 value of the holding should not be listed. 19 25 (1) Securities (Here for example, you need not 19 26 state that you own X number of shares of any specific 19 27 company by brand or corporate name, or that the stock 19 28 is of a certain value, but may instead state that you 19 29 possess stock in a company and indicate the nature of 19 30 the company's business.): 20 1 _____________________________________________________ 20 2 _____________________________________________________ 20 3 _____________________________________________________ 20 4 _____________________________________________________ 20 5 _____________________________________________________ 20 6 (2) Instruments of Financial Institutions (You 20 7 need not indicate, for example, in which institutions 20 8 you hold certificates of deposit that produce annual 20 9 income over the one thousand dollar threshold, but 20 10 simply listing the nature of the institution will 20 11 suffice, e.g., bank, credit union, or savings and loan 20 12 association.): 20 13 _____________________________________________________ 20 14 _____________________________________________________ 20 15 _____________________________________________________ 20 16 _____________________________________________________ 20 17 _____________________________________________________ 20 18 (3) Trusts (The name of the particular trust need 20 19 not be listed. However, if the income is received 20 20 from a charitable trust/foundation, such as the Pugh 20 21 Charitable Trust, in the form of a grant, the fact 20 22 that the trust is a charitable trust should be noted 20 23 here.): 20 24 _____________________________________________________ 20 25 _____________________________________________________ 20 26 _____________________________________________________ 20 27 _____________________________________________________ 20 28 _____________________________________________________ 20 29 (4) Real Estate (When listing real estate, it is 20 30 not necessary to list the location of the property, 21 1 but the general nature of the real estate interest 21 2 should be indicated, e.g. residential leasehold 21 3 interest or farm leasehold interest.): 21 4 _____________________________________________________ 21 5 _____________________________________________________ 21 6 _____________________________________________________ 21 7 _____________________________________________________ 21 8 _____________________________________________________ 21 9 (5) Retirement Systems (When listing retirement 21 10 benefits, it is not necessary to list the name of the 21 11 particular pension system or company, but rather the 21 12 type of benefit should be listed, e.g., health 21 13 benefits, life insurance benefits, private pension, or 21 14 government pension.): 21 15 _____________________________________________________ 21 16 _____________________________________________________ 21 17 _____________________________________________________ 21 18 _____________________________________________________ 21 19 _____________________________________________________ 21 20 (6) Other Income Categories Specified in State or 21 21 Federal Income Tax Regulations (List description of 21 22 other sources of income producing over one thousand 21 23 dollars in annual income not previously reported 21 24 above, but which must be reported for income tax 21 25 purposes.): 21 26 _____________________________________________________ 21 27 _____________________________________________________ 21 28 _____________________________________________________ 21 29 _____________________________________________________ 21 30 _____________________________________________________ 22 1 _____________________________________________________ 22 2 ______________________________ ____________________ 22 3 (Signature of filer) (Date) 22 4 SR 5 22 5 lh/cc/26
Text: SR00004 Text: SR00006 Text: SR00000 - SR00099 Text: SR Index Bills and Amendments: General Index Bill History: General Index
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