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House Study Bill 116

Bill Text

PAG LIN
  1  1                      HOUSE RESOLUTION    
  1  2          BY  (PROPOSED COMMITTEE ON ETHICS RESOLUTION
  1  3                      BY CHAIRPERSON GREIG)
  1  4 A Resolution to amend the House code of ethics.
  1  5    BE IT RESOLVED BY THE HOUSE OF REPRESENTATIVES, That the
  1  6 House code of ethics be amended to read as follows:  
  1  7                      HOUSE CODE OF ETHICS
  1  8    PREAMBLE.  Every legislator and legislative employee has a
  1  9 duty to uphold the integrity and honor of the general
  1 10 assembly, to encourage respect for the law and for the general
  1 11 assembly, and to observe the house code of ethics.  The
  1 12 members and employees of the house have a responsibility to
  1 13 conduct themselves so as to reflect credit on the general
  1 14 assembly, and to inspire the confidence, respect, and trust of
  1 15 the public.  The following rules are adopted pursuant to
  1 16 chapter 68B of the Code, to assist the members and employees
  1 17 in the conduct of their activities:
  1 18    1.  DEFINITIONS.  The definitions of terms provided in
  1 19 chapter 68B of the Code apply to the use of those terms in
  1 20 these rules.
  1 21    2.  ECONOMIC INTEREST OF MEMBER OR EMPLOYEE OF HOUSE.
  1 22    a.  Economic or investment opportunity.  A member or
  1 23 employee of the house shall not solicit or accept economic or
  1 24 investment opportunity under circumstances where the member or
  1 25 employee knows, or should know, that the opportunity is being
  1 26 afforded with the intent to influence the member's or
  1 27 employee's conduct in the performance of official duties.  If
  1 28 a member or employee of the house learns that an economic or
  1 29 investment opportunity previously accepted was offered with
  1 30 the intent of influencing the member's or employee's conduct
  1 31 in the performance of the official duties, the member or
  1 32 employee shall take steps to divest that member or employee of
  1 33 that investment or economic opportunity, and shall report the
  1 34 matter in writing to the chairperson of the house ethics
  1 35 committee.
  2  1    b.  Excessive charges for services, goods, or property
  2  2 interests.  A member or employee of the house shall not charge
  2  3 to or accept from a person known to have a legislative
  2  4 interest, a price, fee, compensation, or other consideration
  2  5 for the sale or lease of any property or the furnishing of
  2  6 services which is in excess of that which the member or
  2  7 employee would ordinarily charge another person.
  2  8    c.  Use of confidential information.  A member or employee
  2  9 of the house, in order to further the member's or employee's
  2 10 own economic interests, or those of any other person, shall
  2 11 not disclose or use confidential information acquired in the
  2 12 course of the member's or employee's official duties.  For the
  2 13 purpose of this rule, information disclosed in open session at
  2 14 a public meeting under chapter 21 of the Code and information
  2 15 that is a public record under chapter 22 of the Code is not
  2 16 confidential information.
  2 17    d.  Employment.  A member or employee of the house shall
  2 18 not accept employment, either directly or indirectly, from a
  2 19 political action committee.  A member of the house shall not
  2 20 act as a paid lobbyist for any organization.  However, this
  2 21 paragraph shall not prohibit a member or employee of the house
  2 22 from working for a candidate's committee, a political party's
  2 23 action committee, or a political action committee which does
  2 24 not support or oppose a candidate for public office in this
  2 25 state or a ballot issue in this state and which is not
  2 26 interested in issues before the general assembly.
  2 27    For the purpose of this rule, a political action committee
  2 28 means a committee, but not a candidate's committee, which
  2 29 accepts contributions, makes expenditures, or incurs
  2 30 indebtedness in the aggregate of more than two five hundred
  2 31 fifty dollars in any one calendar year for the purpose of
  2 32 supporting or opposing a candidate for public office or a
  2 33 ballot issue or for the purpose of influencing legislative
  2 34 action.
  2 35    e.  A member or employee of the house shall not solicit
  3  1 employment on behalf of the member or employee, or on behalf
  3  2 of another legislator or employee, as a lobbyist while the
  3  3 general assembly is in session.
  3  4    f.  Certain goods or services.  A member or employee of the
  3  5 house shall not solicit or obtain goods or services from
  3  6 another person under circumstances where the member or
  3  7 employee knows or should know that the goods or services are
  3  8 being offered or sold with the intent to influence the
  3  9 member's or employee's conduct in the performance of official
  3 10 duties.  If a member or employee of the house is afforded
  3 11 goods or services by another person at a price that is not
  3 12 available to other members or classes of members of the
  3 13 general public or is afforded goods or services that are not
  3 14 available to other members or classes of members of the
  3 15 general public by another person where the member or employee
  3 16 knows or should know that the other person intends to
  3 17 influence the member's or employee's official conduct, the
  3 18 member or employee shall not take or purchase the goods or
  3 19 services.
  3 20    3.  APPEARANCE BEFORE STATE AGENCY.  A member or employee
  3 21 of the house may appear before a state agency in any
  3 22 representation case but shall not act as a lobbyist with
  3 23 respect to the passage, defeat, approval, veto, or
  3 24 modification of any legislation, rule, or executive order.
  3 25 Whenever a member or employee of the house appears before a
  3 26 state agency, the member or employee shall carefully avoid all
  3 27 conduct which might in any way lead members of the general
  3 28 public to conclude that the member or employee is using the
  3 29 member's or employee's official position to further the
  3 30 member's or employee's professional success or personal
  3 31 financial interest.
  3 32    4.  CONFLICTS OF INTEREST.  In order for the general
  3 33 assembly to function effectively, members of the house may be
  3 34 required to vote on bills and participate in committee work
  3 35 which will affect their employment and other areas in which
  4  1 they may have a monetary interest.  Action on bills and
  4  2 committee work which furthers a member's specific employment,
  4  3 specific investment, or other specific interest, as opposed to
  4  4 the interests of the public in general or the interests of a
  4  5 profession, trade, business, or other class of persons, shall
  4  6 be avoided.  In making a decision relative to a member's
  4  7 activity on particular bills or in committee work, the
  4  8 following factors should be considered:
  4  9    a.  Whether a substantial threat to the member's
  4 10 independence of judgment has been created by the conflict
  4 11 situation.
  4 12    b.  The effect of the member's participation on public
  4 13 confidence in the integrity of the general assembly.
  4 14    c.  Whether the member's participation is likely to have
  4 15 any significant effect on the disposition of the matter.
  4 16    d.  The need for the member's particular contribution, such
  4 17 as special knowledge of the subject matter, to the effective
  4 18 functioning of the general assembly.
  4 19    If a member decides not to participate in committee work or
  4 20 to abstain from voting because of a possible conflict of
  4 21 interest, the member should disclose this fact to the
  4 22 legislative body.  The member shall not vote on any question
  4 23 in which the member has an economic interest that is
  4 24 distinguishable from the interests of the general public or a
  4 25 substantial class of persons.
  4 26    5.  STATUTORY REQUIREMENTS.  Members and employees of the
  4 27 house shall comply with the requirements contained in chapters
  4 28 68B (Conflicts of Interest of Public Officers and Employees),
  4 29 721 (Official Misconduct), and 722 (Bribery and Corruption),
  4 30 and sections 2.18 (Contempt) and 711.4 (Extortion) of the
  4 31 Code.
  4 32    6.  CHARGE ACCOUNTS.  Members and employees of the house
  4 33 shall not charge any amount or item to a charge account to be
  4 34 paid for by a lobbyist or any client of a lobbyist.
  4 35    7.  TRAVEL EXPENSES.  A member or employee of the house
  5  1 shall not charge to the state of Iowa amounts for travel and
  5  2 expenses unless the member or employee actually has incurred
  5  3 those mileage and expense costs.  Members or employees shall
  5  4 not file the vouchers for weekly mileage reimbursement
  5  5 required by section 2.10, subsection 1 of the Code, unless the
  5  6 travel expense was actually incurred.
  5  7    A member or employee of the house shall not file a claim
  5  8 for per diem compensation for a meeting of an interim study
  5  9 committee or a visitation committee unless the member or
  5 10 employee attended the meeting.  However, the speaker may waive
  5 11 this provision and allow a claim to be filed if the member or
  5 12 employee attempted to attend the meeting but was unable to do
  5 13 so because of circumstances beyond the member's or employee's
  5 14 control.
  5 15    8.  GIFTS ACCEPTED OR RECEIVED.  Members and employees of
  5 16 the house shall comply with the restrictions relating to the
  5 17 receipt or acceptance of gifts contained in section 68B.22 of
  5 18 the Code.
  5 19    9.  HONORARIA RESTRICTIONS.  Members and employees of the
  5 20 house shall comply with the restrictions relating to the
  5 21 receipt of honoraria contained in section 68B.23 of the Code.
  5 22    10.  DISCLOSURE REQUIRED.  Each member of the house and the
  5 23 chief clerk of the house shall file the personal financial
  5 24 disclosure statements required under section 68B.35 of the
  5 25 Code by February 15 of each year for the prior calendar year.
  5 26    11.  SEXUAL HARASSMENT.  Members and employees of the house
  5 27 shall not engage in conduct which constitutes sexual
  5 28 harassment as defined in section 19B.12 of the Code or
  5 29 pursuant to the sexual harassment policy adopted by the house
  5 30 committee on administration and rules.
  5 31    12.  COMPLAINTS.
  5 32    a.  Filing of complaint.  Complaints may be filed by any
  5 33 person believing that a member or employee of the house, a
  5 34 lobbyist, or a client of a lobbyist is guilty of a violation
  5 35 of the house code of ethics, the house rules governing
  6  1 lobbyists, or chapter 68B of the Code.
  6  2    b.  Complaints by committee.  The ethics committee may
  6  3 initiate a complaint on its own motion.  Committee complaints
  6  4 may be initiated by the committee as a result of a committee
  6  5 investigation or as a result of receipt of any complaint or
  6  6 other information that does not meet the requirements of these
  6  7 rules regarding the form of a complaint but that contains
  6  8 allegations that would form the basis for a valid complaint.
  6  9    c.  Form and contents of complaint.  A complaint shall be
  6 10 in writing.
  6 11    Complaint forms shall be available from the chief clerk of
  6 12 the house, but a complaint shall not be rejected for failure
  6 13 to use the approved form if it complies with the requirements
  6 14 of these rules.  The complaint shall contain a certification
  6 15 made by the complainant, under penalty of perjury, that the
  6 16 facts stated in the complaint are true to the best of the
  6 17 complainant's knowledge.
  6 18    To be valid, a complaint shall allege all of the following:
  6 19    (1)  Facts, including the approximate date and location of
  6 20 any event, incident, or transaction that, if true, establish a
  6 21 violation of a provision of chapter 68B of the Code, the house
  6 22 code of ethics, or house rules governing lobbyists for which
  6 23 penalties or other remedies are provided.
  6 24    (2)  That the conduct providing the basis for the complaint
  6 25 occurred within three years of the filing of the complaint.
  6 26    (3)  That the party charged with a violation is a member or
  6 27 employee of the house, a lobbyist, or a client of a lobbyist.
  6 28    d.  Confidentiality of complaint.  The filing of the
  6 29 complaint and the contents of the complaint shall be
  6 30 confidential until the time that the committee meets to
  6 31 determine whether the complaint is valid, unless either the
  6 32 complainant or the party charged in the complaint makes the
  6 33 existence of, or the information contained in, the complaint
  6 34 public.  However, if either the complainant or party alleged
  6 35 to have committed the violation requests that the meeting to
  7  1 determine whether the complaint is valid be a closed meeting
  7  2 and the filing of the complaint or the contents of the
  7  3 complaint have not been disclosed, the meeting shall be
  7  4 closed.
  7  5    e.  Notice of complaint.  Upon receipt of the complaint,
  7  6 the chief clerk of the house shall promptly notify the
  7  7 chairperson and ranking member of the ethics committee that a
  7  8 complaint has been filed and provide both the chairperson and
  7  9 the ranking member with copies of the complaint and any
  7 10 supporting information.  Within two working days, the chief
  7 11 clerk shall send notice, either by personal delivery or by
  7 12 certified mail, return receipt requested, to the person or
  7 13 persons alleged to have committed the violation, along with a
  7 14 copy of the complaint and any supporting information.  The
  7 15 notice to the accused person shall contain a request that the
  7 16 person submit a written response to the complaint within ten
  7 17 working days of the date that the notice was sent by the chief
  7 18 clerk.  At the request of the accused person, the committee
  7 19 may extend the time for the response, not to exceed ten
  7 20 additional calendar days.
  7 21    f.  Hearing regarding validity of complaint.  The committee
  7 22 chairperson and the ranking member shall review the complaint
  7 23 and supporting information to determine whether the complaint
  7 24 meets the requirements as to form.  If the complaint is
  7 25 deficient as to form, the complaint shall be returned to the
  7 26 complainant with instructions indicating the deficiency unless
  7 27 the committee decides to proceed on its own motion.  If the
  7 28 complaint is in writing and contains the appropriate
  7 29 certification, as soon as practicable, the chairperson shall
  7 30 call a meeting of the committee to review the complaint to
  7 31 determine whether the complaint meets the requirements for
  7 32 validity and whether the committee should request that the
  7 33 chief justice of the supreme court appoint an independent
  7 34 special counsel to conduct an investigation to determine
  7 35 whether probable cause exists to believe that a violation of
  8  1 the house code of ethics, house rules governing lobbyists, or
  8  2 chapter 68B of the Code, has occurred.
  8  3    If the committee finds that a complaint does not meet the
  8  4 content requirements for a valid complaint, the committee
  8  5 shall dismiss the complaint and notify both the complainant
  8  6 and the party alleged to have committed the violation of the
  8  7 dismissal and the reasons for dismissal.  A dismissal for
  8  8 failure to meet the formal requirements for the filing of a
  8  9 complaint shall be without prejudice and the complainant may
  8 10 refile the complaint at any time within three years of the
  8 11 date that the alleged violation took place.  If the dismissal
  8 12 is based upon a failure to allege facts and circumstances
  8 13 necessary for a valid complaint, the dismissal shall be with
  8 14 prejudice and the party shall not be permitted to file a
  8 15 complaint based upon the same facts and circumstances.
  8 16    g.  Request for appointment of independent special counsel.
  8 17 If, after review of the complaint and any response made by the
  8 18 party alleged to have committed the violation, the committee
  8 19 determines that the complaint meets the requirements for form
  8 20 and content, the committee shall request that the chief
  8 21 justice of the supreme court appoint independent special
  8 22 counsel to investigate the matter and determine whether
  8 23 probable cause exists to believe that a violation of chapter
  8 24 68B of the Code, the house code of ethics, or the house rules
  8 25 governing lobbyists has occurred.
  8 26    h.  Receipt of report of independent special counsel.  The
  8 27 report from independent special counsel regarding probable
  8 28 cause to proceed on a complaint shall be filed with the chief
  8 29 clerk of the house.  Upon receipt of the report of the
  8 30 independent special counsel, the chief clerk shall notify the
  8 31 chairperson of the filing of the report and shall send copies
  8 32 of the report to the members of the ethics committee.  As soon
  8 33 as practicable after the filing of the report, the chairperson
  8 34 shall schedule a public meeting for review of the report.  The
  8 35 purpose of the public meeting shall be to determine whether
  9  1 the complaint should be dismissed, whether a formal hearing
  9  2 should be held on the complaint, or whether other committee
  9  3 action is appropriate.  The complainant and the person alleged
  9  4 to have committed the violation shall be given notice of the
  9  5 public meeting, shall have the right to be present at the
  9  6 public meeting, and may, at the discretion of the committee,
  9  7 present testimony in support of or against the recommendations
  9  8 contained in the report.
  9  9    If the committee determines that the matter should be
  9 10 dismissed, the committee shall cause an order to be entered
  9 11 dismissing the matter and notice of the dismissal shall be
  9 12 given to the complainant and the party alleged to have
  9 13 committed the violation.  If the committee determines that the
  9 14 complaint should be scheduled for formal hearing, the
  9 15 committee shall issue a charging statement which contains the
  9 16 charges and supporting facts that are to be set for formal
  9 17 hearing and notice shall be sent to the complainant and the
  9 18 accused person.
  9 19    The notice shall include a statement of the nature of the
  9 20 charge or charges, a statement of the time and place of
  9 21 hearing, a short and plain statement of the facts asserted,
  9 22 and a statement of the rights of the accused person at the
  9 23 hearing.
  9 24    i.  Formal hearing.  Formal hearings shall be public and
  9 25 conducted in the manner provided in section 68B.31, subsection
  9 26 8 of the Code.  At a formal hearing the accused shall have the
  9 27 right to be present and to be heard in person and by counsel,
  9 28 to cross-examine witnesses, and to present evidence.  Members
  9 29 of the committee shall also have the right to question
  9 30 witnesses.
  9 31    Evidence at the formal hearing shall be received in
  9 32 accordance with rules and procedures applicable to contested
  9 33 cases under chapter 17A of the Code.
  9 34    The committee chairperson, or the vice chairperson or
  9 35 ranking member in the absence of the chairperson, shall
 10  1 preside at the formal hearing and shall rule on the
 10  2 admissibility of any evidence received.  The ruling of the
 10  3 chairperson may be overturned by a majority vote of the
 10  4 committee.  Independent special counsel shall present the
 10  5 evidence in support of the charge or charges.  The burden
 10  6 shall be on the independent special counsel to prove the
 10  7 charge or charges by a preponderance of clear and convincing
 10  8 evidence.  Upon completion of the formal hearing, the
 10  9 committee shall adopt written findings of fact and conclusions
 10 10 concerning the merits of the charges and make its report and
 10 11 recommendation to the house.
 10 12    j.  Recommendations by the committee.  The committee shall
 10 13 recommend to the house that the complaint be dismissed, or
 10 14 that one or more of the following be imposed:
 10 15    (1)  That the member or employee of the house or lobbyist
 10 16 be censured or reprimanded, and the recommended appropriate
 10 17 form of censure or reprimand be used.
 10 18    (2)  That the member of the house be suspended or expelled
 10 19 from membership in the house and required to forfeit the
 10 20 member's salary for that period, the employee of the house be
 10 21 suspended or dismissed from employment, or that the lobbyist's
 10 22 or lobbyist's client's lobbying privileges be suspended.
 10 23    13.  COMMUNICATIONS WITH ETHICS COMMITTEE.  After a
 10 24 complaint has been filed or an investigation has been
 10 25 initiated, a party to the complaint or investigation shall not
 10 26 communicate, or cause another to communicate, as to the merits
 10 27 of the complaint or investigation with a member of the
 10 28 committee, except under the following circumstances:
 10 29    a.  During the course of any meetings or other official
 10 30 proceedings of the committee regarding the complaint or
 10 31 investigation.
 10 32    b.  In writing, if a copy of the writing is delivered to
 10 33 the adverse party or the designated representative for the
 10 34 adverse party.
 10 35    c.  Orally, if adequate prior notice of the communication
 11  1 is given to the adverse party or the designated representative
 11  2 for the adverse party.
 11  3    d.  As otherwise authorized by statute, the house code of
 11  4 ethics, house rules governing lobbyists, or vote of the
 11  5 committee.
 11  6    14.  PERMANENT RECORD.  The chief clerk of the house shall
 11  7 maintain a permanent record of all complaints filed and any
 11  8 corresponding committee action.  The permanent record shall be
 11  9 prepared by the ethics committee and shall contain the date
 11 10 the complaint was filed, name and address of the complainant,
 11 11 name and address of the accused person, a brief statement of
 11 12 the charges made, any evidence received by the committee, any
 11 13 transcripts or recordings of committee action, and ultimate
 11 14 disposition of the complaint.  The chief clerk shall keep each
 11 15 complaint confidential until public disclosure is made by the
 11 16 ethics committee.
 11 17    15.  MEETING AUTHORIZATION.  The house ethics committee is
 11 18 authorized to meet at the discretion of the committee
 11 19 chairperson in order to conduct hearings and other business
 11 20 that properly may come before it.  If the committee submits a
 11 21 report seeking house action against a member or employee of
 11 22 the house or lobbyist after the second regular session of a
 11 23 general assembly has adjourned sine die, the report shall be
 11 24 submitted to and considered by the subsequent general
 11 25 assembly.
 11 26    16.  ADVISORY OPINIONS.
 11 27    a.  Requests for formal opinions.  A request for a formal
 11 28 advisory opinion may be filed by any person who is subject to
 11 29 the authority of the ethics committee.  The ethics committee
 11 30 may also issue a formal advisory opinion on its own motion,
 11 31 without having previously received a formal request for an
 11 32 opinion, on any issue that is within the jurisdiction of the
 11 33 committee.  Requests shall be filed with either the chief
 11 34 clerk of the house or the chairperson of the ethics committee.
 11 35    b.  Form and contents of requests.  A request for a formal
 12  1 advisory opinion shall be in writing and may pertain to any
 12  2 subject matter that is related to application of the house
 12  3 code of ethics, the house rules governing lobbyists, or
 12  4 chapter 68B of the Code to any person who is subject to the
 12  5 authority of the ethics committee.  Requests shall contain one
 12  6 or more specific questions and shall relate either to future
 12  7 conduct or be stated in the hypothetical.  A request for an
 12  8 advisory opinion shall not specifically name any individual or
 12  9 contain any other specific identifying information, unless the
 12 10 request relates to the requester's own conduct.  However, any
 12 11 request may contain information which identifies the kind of
 12 12 individual who may be affected by the subject matter of the
 12 13 request.  Examples of this latter kind of identifying
 12 14 information may include references to conduct of a category of
 12 15 individuals, such as but not limited to conduct of
 12 16 legislators, legislative staff, or lobbyists.
 12 17    c.  Confidentiality of formal requests and opinions.
 12 18 Requests for formal opinions are not confidential and any
 12 19 deliberations of the committee regarding a request for a
 12 20 formal opinion shall be public.  Opinions issued in response
 12 21 to requests for formal opinions are not confidential, shall be
 12 22 in writing, and shall be placed on file in the office of the
 12 23 chief clerk of the house.  Persons requesting formal opinions
 12 24 shall personally receive a copy of the written formal opinion
 12 25 that is issued in response to the request.
 12 26    17.  PERSONAL FINANCIAL DISCLOSURE FORM.  The following
 12 27 form shall be used for disclosure of economic interests under
 12 28 these rules and section 68B.35 of the Code:  
 12 29                 STATEMENT OF ECONOMIC INTERESTS
 12 30 Name:__________________________________________________
 12 31      (Last)          (First)           (Middle Initial)
 12 32 Address:_______________________________________________
 12 33         (Street Address, Apt.#/P.O. Box)
 12 34         _______________________________________________
 12 35         (City)           (State)                  (Zip)
 13  1 Phone:(Home)_____/___-_____(Business)_____/___-________
 13  2 *******************************************************
 13  3    This form is due each year on or before February 15.  The
 13  4 reporting period is the most recently completed calendar year.
 13  5    In completing Division III of this form, if your percentage
 13  6 of ownership of an asset is less than 100 percent, multiply
 13  7 your percentage of ownership by the total revenue produced to
 13  8 determine if you have reached the $1,000 threshold.
 13  9    Do not report income received by your spouse or other
 13 10 family members.
 13 11    In completing this form, if insufficient space is provided
 13 12 for your answer, you may attach additional information/answers
 13 13 on full-size sheets of paper.  
 13 14 Division I.  Business, Occupation, Profession.
 13 15    List each business, occupation, or profession in which you
 13 16 are engaged, the nature of the business if not evident, and
 13 17 your position or job title.  No income threshold or time
 13 18 requirement applies.
 13 19    Examples:
 13 20    If you are employed by an individual, state the name of the
 13 21 individual employer, the nature of the business, and your
 13 22 position.
 13 23    If you are self-employed and are not incorporated or are
 13 24 not doing business under a particular business name, state
 13 25 that you are self-employed, the nature of the business, and
 13 26 your position.
 13 27    If you own your own corporation, are employed by a
 13 28 corporation, or are doing business under a particular business
 13 29 name, state the name and nature of the business or corporation
 13 30 and your position.  
 13 31 1_____________________________________________________
 13 32 2_____________________________________________________
 13 33 3_____________________________________________________
 13 34 4_____________________________________________________
 13 35 5_____________________________________________________
 14  1 6_____________________________________________________
 14  2 Division II.  Commissions from Sales of Goods or Services to
 14  3 Political Subdivisions.
 14  4    This part is to be completed only by Legislators.  If you
 14  5 received income in the form of a commission from the sale of
 14  6 goods or services to a political subdivision, state the name
 14  7 of the purchasing political subdivision.  The amount of
 14  8 commission earned is not required to be listed.  
 14  9 1_____________________________________________________
 14 10 2_____________________________________________________
 14 11 3_____________________________________________________
 14 12 4_____________________________________________________
 14 13 5_____________________________________________________
 14 14 6_____________________________________________________
 14 15 Division III.  Sources of Gross Income.
 14 16    In each one of the following categories list each source
 14 17 which produces more than $1,000 in annual gross income, if the
 14 18 revenue produced by the source was subject to federal or state
 14 19 income taxes last year.  List the nature or type of each
 14 20 company, business, financial institution, corporation,
 14 21 partnership, or other entity which produces more than $1,000
 14 22 of annual gross income.  Neither the amount of income produced
 14 23 nor value of the holding is required to be listed in any of
 14 24 the items.  
 14 25 A.  Securities:  State the nature of the business of any
 14 26 company in which you hold stock, bonds, or other pecuniary
 14 27 interests that generate more than $1,000 in annual gross
 14 28 income.  Income generated by multiple holdings in a single
 14 29 company are deemed received from a single source.  
 14 30 ______________________________________________________
 14 31 ______________________________________________________
 14 32 ______________________________________________________
 14 33 ______________________________________________________
 14 34 ______________________________________________________
 14 35 ______________________________________________________
 15  1 B.  Instruments of Financial Institutions:  State the types of
 15  2 institutions in which you hold financial instruments, such as
 15  3 certificates of deposit, savings accounts, etc., that produce
 15  4 annual gross income in excess of $1,000, e.g., banks, savings
 15  5 and loans, or credit unions.  
 15  6 ______________________________________________________
 15  7 ______________________________________________________
 15  8 ______________________________________________________
 15  9 ______________________________________________________
 15 10 ______________________________________________________
 15 11 ______________________________________________________
 15 12 C.  Trusts:  State the nature or type of any trust from which
 15 13 you receive more than $1,000 of gross income annually.  
 15 14 ______________________________________________________
 15 15 ______________________________________________________
 15 16 ______________________________________________________
 15 17 ______________________________________________________
 15 18 ______________________________________________________
 15 19 ______________________________________________________
 15 20 D.  Real Estate:  State the general nature of real estate
 15 21 interests that generate more than $1,000 of gross income
 15 22 annually, e.g., residential leasehold interest or farm
 15 23 leasehold interest.  The size or location of the property
 15 24 interest is not required to be listed.  
 15 25 ______________________________________________________
 15 26 ______________________________________________________
 15 27 ______________________________________________________
 15 28 ______________________________________________________
 15 29 ______________________________________________________
 15 30 ______________________________________________________
 15 31 E.  Retirement Systems:  State the name of each pension plan
 15 32 or other corporation or company that pays you more than $1,000
 15 33 annually in retirement benefits.  
 15 34 ______________________________________________________
 15 35 ______________________________________________________
 16  1 ______________________________________________________
 16  2 ______________________________________________________
 16  3 ______________________________________________________
 16  4 ______________________________________________________
 16  5 F.  Other Income Categories Specified in State and Federal
 16  6 Income Tax Regulations.  
 16  7 ______________________________________________________
 16  8 ______________________________________________________
 16  9 ______________________________________________________
 16 10 ______________________________________________________
 16 11 ______________________________________________________
 16 12 ______________________________________________________
 16 13 ______________________________________   _____________
 16 14 (Signature of Filer)                        (Date)
 16 15 LSB 1860HC 77
 16 16 lh/sc/14
     

Text: HSB00115                          Text: HSB00117
Text: HSB00100 - HSB00199               Text: HSB Index
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