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PAG LIN 1 1 SENATE RESOLUTION NO. ___ 1 2 BY COMMITTEE ON ETHICS 1 3 (SUCCESSOR TO SSB 1010) 1 4 A Resolution relating to the Senate Code of Ethics 1 5 governing the conduct of members of the Senate in 1 6 relation to their senatorial duties during the 1 7 Seventy-ninth General Assembly. 1 8 BE IT RESOLVED BY THE SENATE, That the Senate Code 1 9 of Ethics for theSeventy-eighthSeventy-ninth General 1 10 Assembly shall be amended to read as follows: 1 11 SENATE CODE OF ETHICS 1 12 PREAMBLE. Every legislator owes a duty to uphold 1 13 the integrity and honor of the general assembly, to 1 14 encourage respect for the law and for the general 1 15 assembly and the members thereof, and to observe the 1 16 legislative code of ethics. 1 17 In doing so, members of the senate have a duty to 1 18 conduct themselves so as to reflect credit on the 1 19 general assembly, and to inspire the confidence, 1 20 respect, and trust of the public, and to strive to 1 21 avoid both unethical and illegal conduct and the 1 22 appearance of unethical and illegal conduct. 1 23 Recognizing that service in the Iowa general 1 24 assembly is a part-time endeavor and that members of 1 25 the general assembly are honorable individuals who are 1 26 active in the affairs of their localities and 1 27 elsewhere and that it is necessary that they maintain 1 28 a livelihood and source of income apart from their 1 29 legislative compensation, the following rules are 1 30 adopted pursuant to section 68B.31, to assist the 2 1 members in the conduct of their legislative affairs. 2 2 1. ECONOMIC INTEREST OF SENATOR. Taking into 2 3 account that legislative service is part-time, a 2 4 senator shall not accept economic or investment 2 5 opportunity, under circumstances where the senator 2 6 knows, or should know, that there is a reasonable 2 7 possibility that the opportunity is being afforded the 2 8 senator with intent to influence the senator's conduct 2 9 in the performance of official duties. 2 10 2. DIVESTITURE. Where a senator learns that an 2 11 economic or investment opportunity previously accepted 2 12 was offered with the intent of influencing the 2 13 senator's conduct in the performance of official 2 14 duties, the senator shall take steps to divest that 2 15 senator of that investment or economic opportunity, 2 16 and shall report the facts of the situation to the 2 17 senate ethics committee. 2 18 3. CHARGES FOR SERVICES. A senator shall not 2 19 charge to or accept from a person, corporation, 2 20 partnership, or association known to have a 2 21 legislative interest a price, fee, compensation, or 2 22 other consideration for the sale or lease of any 2 23 property or the furnishing of services which is in 2 24 excess of that which the senator would charge another. 2 25 4. USE OF CONFIDENTIAL INFORMATION. A senator in 2 26 order to further the senator's own economic or other 2 27 interests, or those of any other person, shall not 2 28 disclose or use confidential information acquired in 2 29 the course of official duties. 2 30 5. HONORARIA. A senator shall not accept an 3 1 honorarium from a restricted donor for a speech, 3 2 writing for publication, or other similar activity, 3 3 except as otherwise provided in section 68B.23. 3 4 6. EMPLOYMENT. A senator shall not accept 3 5 employment, either directly or indirectly, from a 3 6 political action committee. A senator may accept 3 7 employment from a political party, but shall disclose 3 8 the employment relationship in writing to the 3 9 secretary of the senate within ten days after the 3 10 beginning of each legislative session. If a senator 3 11 accepts employment from a political party during a 3 12 legislative session, the senator shall disclose the 3 13 employment relationship within ten days after 3 14 acceptance of the employment. 3 15 For the purpose of this rule, a political action 3 16 committee means a committee, but not a candidate's 3 17 committee, which accepts contributions, makes 3 18 expenditures, or incurs indebtedness in the aggregate 3 19 of more than five hundred dollars in any one calendar 3 20 yearfor the purpose of supporting or opposingto 3 21 expressly advocate the nomination, election, or defeat 3 22 of a candidate for public office or to expressly 3 23 advocate the passage or defeat of a ballot issue or 3 24 influencing legislative action, or an association, 3 25 lodge, society, cooperative, union, fraternity, 3 26 sorority, educational institution, civic organization, 3 27 labor organization, religious organization, or 3 28 professional organization which makes contributions in 3 29 the aggregate of more than five hundred dollars in any 3 30 one calendar yearfor the purpose of supporting or4 1opposingto expressly advocate the nomination, 4 2 election, or defeat of a candidate for public office 4 3 or ballot issue or influencing legislative action. 4 4 7. ECONOMIC INTERESTS OF LOBBYIST. With the 4 5 exception of exercising unfettered discretion in 4 6 supporting or refusing to support proposed 4 7 legislation, a senator shall not take action intended 4 8 to affect the economic interests of a lobbyist or 4 9 citizen supporting or opposing proposed legislation. 4 10 8. APPEARANCE BEFORE GOVERNMENTAL AGENCY. A 4 11 senator may appear before a governmental agency or 4 12 board in any representation case, except that the 4 13 senator shall not act as a lobbyist. Whenever a 4 14 senator appears before a governmental agency or board, 4 15 the senator shall carefully avoid all conduct which 4 16 might in any way lead members of the general public to 4 17 conclude that the senator is using the senator's 4 18 official position to further the senator's 4 19 professional success or personal financial interest. 4 20 9. CONFLICTS OF INTERESTS. In order to permit the 4 21 general assembly to function effectively, a senator 4 22 will sometimes be required to vote on bills and 4 23 participate in committee work which will affect the 4 24 senator's employment and other monetary interests. In 4 25 making a decision relative to the senator's activity 4 26 on given bills or committee work which are subject to 4 27 the code, the following factors shall be considered: 4 28 a. Whether a substantial threat to the senator's 4 29 independence of judgment has been created by the 4 30 conflict situation. 5 1 b. The effect of the senator's participation on 5 2 public confidence in the integrity of the legislature. 5 3 c. The need for the senator's particular 5 4 contribution, such as special knowledge of the subject 5 5 matter, to the effective functioning of the 5 6 legislature. 5 7 A senator with a conflict of interest may 5 8 participate in floor debate if prior to debate the 5 9 senator indicates the conflict of interest. 5 10 10. GIFTS. Except as otherwise provided in 5 11 section 68B.22, a senator, or that person's immediate 5 12 family member, shall not, directly or indirectly, 5 13 accept or receive any gift or series of gifts from a 5 14 restricted donor. 5 15 11. DISCLOSURE REQUIRED. Each senator shall file 5 16 with the secretary of the senate within ten days after 5 17 the adoption of the code of ethics by the senate, and 5 18 within ten days after the convening of the second 5 19 session of the general assembly, a statement under 5 20 section 68B.35 on forms provided by the secretary of 5 21 the senate setting forth the following information: 5 22 The nature of each business in which the senator is 5 23 engaged and the nature of the business of each company 5 24 in which the senator has a financial interest. A 5 25 senator shall not be required to file a report or be 5 26 assumed to have a financial interest if the annual 5 27 income derived from the investment in stocks, bonds, 5 28 bills, notes, mortgages, or other securities offered 5 29 for sale through recognized financial brokers is less 5 30 than one thousand dollars. 6 1 Disclosures required under this rule shall be as of 6 2 the date filed unless provided to the contrary, and 6 3 shall be amended to include interests and changes 6 4 encompassed by this rule that occur while the general 6 5 assembly is in session. All filings under this rule 6 6 shall be open to public inspection in the office of 6 7 the secretary of the senate at all reasonable times. 6 8 The secretary of the senate shall inform the ethics 6 9 committee of the statements which are filed and shall 6 10 report to the ethics committee the names of any 6 11 senators who appear not to have filed complete 6 12 statements. The chairperson of the ethics committee 6 13 shall request in writing that a senator who has failed 6 14 to complete the report or appears to have filed an 6 15 incomplete report do so within five days, and, upon 6 16 the failure of the senator to comply, the ethics 6 17 committee shall require the senator to appear before 6 18 the committee. 6 19 12. STATUTORY VIOLATIONS. Members of the general 6 20 assembly are urged to familiarize themselves with 6 21 chapters 68B, 721, and 722. 6 22 13. CHARGE ACCOUNTS. Senators shall not charge 6 23 any amount or item to any charge account to be paid 6 24 for by any lobbyist or any client the lobbyist 6 25 represents. 6 26 14. TRAVEL EXPENSES. A senator shall not charge 6 27 to the state of Iowa amounts for travel and expenses 6 28 unless the senator actually has incurred those mileage 6 29 and expense costs. Senators shall not file the 6 30 vouchers for weekly mileage reimbursement required by 7 1 section 2.10, subsection 1, unless the travel was 7 2 actually incurred at commensurate expense to the 7 3 senator. 7 4 15. COMPLAINTS. Complaints or charges against any 7 5 senator or any lobbyist shall be in writing, made 7 6 under oath, and filed with the secretary of the senate 7 7 or the chairperson of the ethics committee. If filed 7 8 with the secretary of the senate, the secretary shall 7 9 immediately advise the chairperson of the ethics 7 10 committee of the receipt of the complaint. 7 11 Complaint forms shall be available from the 7 12 secretary of the senate, or the chairperson of the 7 13 ethics committee, but a complaint shall not be 7 14 rejected for failure to use an approved form if the 7 15 complaint substantially complies with senate 7 16 requirements. 7 17 A complainant may submit exhibits and affidavits 7 18 attached to the complaint. 7 19 16. FILING OF COMPLAINTS. 7 20 a. Persons entitled. Complaints may be filed by 7 21 any person believing that a senator or lobbyist has 7 22 violated the senate ethics code, the senate rules 7 23 governing lobbyists, or chapter 68B of the Iowa Code. 7 24 A violation of the criminal law may be considered to 7 25 be a violation of this code of ethics if the violation 7 26 constitutes a serious misdemeanor or greater, or a 7 27 repetitive and flagrant violation of the law. 7 28 b. Committee complaint. The ethics committee may, 7 29 upon its own motion, initiate a complaint, 7 30 investigation, or disciplinary action. 8 1 c. Timeliness of filing. A complaint will be 8 2 considered to be timely filed if it is filed within 8 3 three years of the occurrence of the alleged violation 8 4 of the ethics code. 8 5 17. PERMANENT RECORD. The secretary of the senate 8 6 shall maintain a permanent record of all complaints 8 7 filed, evidence received by the committee, and any 8 8 transcripts or other recordings made of committee 8 9 proceedings, including a separate card file containing 8 10 the date filed, name and address of the complainant, 8 11 name and address of the respondent, a brief statement 8 12 of the charges made, and ultimate disposition of the 8 13 complaint. The secretary shall keep each such 8 14 complaint confidential until public disclosure is made 8 15 by the ethics committee. 8 16 18. PREHEARING PROCEDURE. 8 17 a. Defective complaint. Upon receipt of a 8 18 complaint, the chairperson and ranking member of the 8 19 ethics committee shall determine whether the complaint 8 20 substantially complies with the requirements of this 8 21 code of ethics and section 68B.31, subsection 6. If 8 22 the complaint does not substantially comply with the 8 23 requirements for formal sufficiency under the code of 8 24 ethics, the complaint may be returned to the 8 25 complainant with a statement that the complaint is not 8 26 in compliance with the code and a copy of the code. 8 27 If the complainant fails to amend the complaint to 8 28 comply with the code within a reasonable time, the 8 29 chair and ranking member may dismiss the complaint 8 30 with prejudice for failure to prosecute. 9 1 b. Service of complaint on respondent. Upon 9 2 receipt of any complaint substantially complying with 9 3 the requirements of this code of ethics, the 9 4 chairperson of the ethics committee shall cause a copy 9 5 of the complaint and any supporting information to be 9 6 delivered promptly to the respondent, requesting a 9 7 written response to be filed within ten days. The 9 8 response may do any of the following: 9 9 (1) Admit or deny the allegation or allegations. 9 10 (2) Object that the allegation fails to allege a 9 11 violation of chapter 68B or the code of ethics. 9 12 (3) Object to the jurisdiction of the committee. 9 13 (4) Request a more specific statement of the 9 14 allegation or allegations. 9 15 c. Objection to member. In addition to the items 9 16 which may be included in a response pursuant to 9 17 paragraph "b", the response may also include an 9 18 objection to the participation of any member of the 9 19 committee in the consideration of the allegation or 9 20 allegations on the grounds that the member cannot 9 21 render an impartial and unbiased decision. 9 22 d. Extension of time. At the request of the 9 23 respondent and upon a showing of good cause, the 9 24 committee, or the chairperson and ranking member, may 9 25 extend the time for response, not to exceed ten 9 26 additional days. 9 27 e. Confidentiality. If a complaint is not 9 28 otherwise made public, the members of the committee 9 29 shall treat the complaint and all supporting 9 30 information as confidential until the written response 10 1 is received from the respondent. 10 2 f. Communications with ethics committee. After a 10 3 complaint has been filed or an investigation has been 10 4 initiated, a party to the complaint or investigation 10 5 shall not communicate, or cause another to 10 6 communicate, as to the merits of the complaint or 10 7 investigation with a member of the committee, except 10 8 under the following circumstances: 10 9 (1) During the course of any meetings or other 10 10 official proceedings of the committee regarding the 10 11 complaint or investigation. 10 12 (2) In writing, if a copy of the writing is 10 13 delivered to the adverse party or the designated 10 14 representative for the adverse party. 10 15 (3) Orally, if adequate prior notice of the 10 16 communication is given to the adverse party or the 10 17 designated representative for the adverse party. 10 18 (4) As otherwise authorized by statute, the senate 10 19 code of ethics, the senate rules governing lobbyists, 10 20 or vote of the committee. 10 21 g. Scheduling hearing. Upon receipt of the 10 22 response, the committee shall schedule a public 10 23 meeting to review the complaint and available 10 24 information, and shall: 10 25 (1) Notify the complainant that no further action 10 26 will be taken, unless further substantiating 10 27 information is produced, or 10 28 (2) Dismiss the complaint for failure to meet the 10 29 statutory and code of ethics requirements for valid 10 30 complaints, or 11 1 (3) Request that the chief justice of the supreme 11 2 court appoint an independent special counsel to 11 3 conduct an investigation of the complaint and 11 4 supporting information, to make a determination of 11 5 probable cause, and to report the findings to the 11 6 committee, which shall be received within a reasonable 11 7 time. 11 8 h. Public hearing. If independent special counsel 11 9 is appointed, upon receipt of the report of 11 10 independent special counsel's findings, the committee 11 11 shall schedule a public meeting to review the report 11 12 and shall do either of the following: 11 13 (1) Cause the complaint to be scheduled for a 11 14 public hearing. 11 15 (2) Dismiss the complaint based upon a 11 16 determination by independent special counsel and the 11 17 committee that insufficient evidence exists to support 11 18 a finding of probable cause. 11 19 19. HEARING PROCEDURE. 11 20 a. Notice of hearing. If the committee causes a 11 21 complaint to be scheduled for a public hearing, notice 11 22 of the hearing date and time shall be given to the 11 23 complainant and respondent in writing, and of the 11 24 respondent's right to appear in person, be represented 11 25 by legal counsel, present statements and evidence, and 11 26 examine and cross-examine witnesses. The committee 11 27 shall not be bound by formal rules of evidence, but 11 28 shall receive relevant evidence, subject to 11 29 limitations on repetitiveness. Any evidence taken 11 30 shall be under oath. 12 1 b. Subpoena power. The committee may require, by 12 2 subpoena or otherwise, the attendance and testimony of 12 3 witnesses and the production of such books, records, 12 4 correspondence, memoranda, papers, documents, and any 12 5 other things it deems necessary to the conduct of the 12 6 inquiry. 12 7 c. Ex post facto. An investigation shall not be 12 8 undertaken by the committee of a violation of a law, 12 9 rule, or standard of conduct that is not in effect at 12 10 the time of violation. 12 11 d. Disqualification of member. Members of the 12 12 committee may disqualify themselves from participating 12 13 in any investigation of the conduct of another person 12 14 upon submission of a written statement that the member 12 15 cannot render an impartial and unbiased decision in a 12 16 case. A member may also be disqualified by a 12 17 unanimous vote of the remaining eligible members of 12 18 the committee. 12 19 A member of the committee is ineligible to 12 20 participate in committee meetings, as a member of the 12 21 committee, in any proceeding relating to the member's 12 22 own official conduct. 12 23 If a member of the committee is disqualified or 12 24 ineligible to act, the majority or minority leader who 12 25 appointed the member shall appoint a replacement 12 26 member to serve as a member of the committee during 12 27 the period of disqualification or ineligibility. 12 28 e. Hearing. At the hearing, the chairperson shall 12 29 open the hearing by stating the charges, the purpose 12 30 of the hearing, and its scope. The burden of proof 13 1 rests upon the complainant to establish the facts as 13 2 alleged, by clear and convincing evidence. However, 13 3 questioning of witnesses shall be conducted by the 13 4 members of the committee, by independent special 13 5 counsel, or by a senator. The chairperson shall also 13 6 permit questioning by legal counsel representing the 13 7 complainant or respondent. 13 8 The chairperson or other member of the committee 13 9 presiding at a hearing shall rule upon procedural 13 10 questions or any question of admissibility of evidence 13 11 presented to the committee. Rulings may be reversed 13 12 by a majority vote of the committee members present. 13 13 The committee may continue the hearing to a future 13 14 date if necessary for appropriate reasons or purposes. 13 15 f. Committee action. Upon receipt of all relevant 13 16 evidence and arguments, the committee shall consider 13 17 the same and recommend to the senate: 13 18 (1) That the complaint be dismissed, or 13 19 (2) That the senator or lobbyist be censured or 13 20 reprimanded, and recommend the appropriate form of 13 21 censure or reprimand, or 13 22 (3) Any other appropriate sanction, including 13 23 suspension or expulsion from membership in the senate, 13 24 or suspension of lobbying privileges. 13 25 g. Disposition resolution. By appropriate 13 26 resolution, the senate may amend, adopt, or reject the 13 27 report of the ethics committee, including the 13 28 committee's recommendations regarding disciplinary 13 29 action. 13 30 20. COMMITTEE AUTHORIZED TO MEET. The senate 14 1 ethics committee is authorized to meet at the 14 2 discretion of the chairperson to conduct hearings and 14 3 other business that properly may come before it. If 14 4 the committee submits a report seeking senate action 14 5 against a senator or lobbyist after the second regular 14 6 session of a general assembly has adjourned sine die, 14 7 the report shall be submitted to and considered by the 14 8 subsequent general assembly. However, the report may 14 9 be submitted to and considered during any special 14 10 session which may take place after the second regular 14 11 session of a general assembly has adjourned sine die, 14 12 but before the convening of the next general assembly. 14 13 20A. ADVISORY OPINIONS. 14 14 a. Requests for formal opinions. A request for a 14 15 formal advisory opinion may be filed by any person who 14 16 is subject to the authority of the ethics committee. 14 17 The ethics committee may also issue a formal advisory 14 18 opinion on its own motion, without having previously 14 19 received a formal request for an opinion, on any issue 14 20 that is within the jurisdiction of the committee. 14 21 Requests shall be filed with either the secretary of 14 22 the senate or the chairperson of the ethics committee. 14 23 b. Form and contents of requests. A request for a 14 24 formal advisory opinion shall be in writing and may 14 25 pertain to any subject matter that is related to the 14 26 application of the senate code of ethics, the senate 14 27 rules governing lobbyists, or chapter 68B of the Code 14 28 to any person who is subject to the authority of the 14 29 ethics committee. Requests shall contain one or more 14 30 specific questions and shall relate either to future 15 1 conduct or be stated in the hypothetical. A request 15 2 for an advisory opinion shall not specifically name 15 3 any individual or contain any other specific 15 4 identifying information, unless the request relates to 15 5 the requester's own conduct. However, any request may 15 6 contain information which identifies the kind of 15 7 individual who may be affected by the subject matter 15 8 of the request. Examples of this latter kind of 15 9 identifying information may include references to 15 10 conduct of a category of individuals, such as but not 15 11 limited to conduct of legislators, legislative staff, 15 12 or lobbyists. 15 13 c. Confidentiality of formal requests and 15 14 opinions. Requests for formal opinions are not 15 15 confidential and any deliberations of the committee 15 16 regarding a request for a formal opinion shall be 15 17 public. Opinions issued in response to requests for 15 18 formal opinions are not confidential, shall be in 15 19 writing, and shall be placed on file in the office of 15 20 the secretary of the senate. Persons requesting 15 21 formal opinions shall personally receive a copy of the 15 22 written formal opinion that is issued in response to 15 23 the request. 15 24 20B. CALCULATION OF TIME – DAYS. For purposes of 15 25 these rules, unless the context otherwise requires, 15 26 the word "day" or "days" shall mean a calendar day 15 27 except that if the day is the last day of a specific 15 28 time period and falls upon a Saturday, Sunday, or 15 29 legal holiday, the time prescribed shall be extended 15 30 so as to include the whole of the next day in which 16 1 the offices of the senate and the general assembly are 16 2 open for official business. 16 3 21. COMPLAINT FILING FORM. The following form 16 4 shall be used to file a complaint under these rules: 16 5 THE SENATE 16 6 Ethics Complaint Form 16 7 Re: ______________________________ (Senator/Lobbyist), 16 8 of _____________________, Iowa. 16 9 I, ________________________ (Complainant), residing 16 10 at ____________________, in the City of ______________, 16 11 State of ________________________, hereby complain that 16 12 _____________________________ (Senator/Lobbyist), whose 16 13 address is ___________________________________________, 16 14 has violated the Senate Code of Ethics or Senate 16 15 Rules Governing Lobbyists in that: 16 16 (Explain the basis for the complaint here. Use addi- 16 17 tional pages, if necessary.) 16 18 Under penalty of perjury, I certify that the above 16 19 complaint is true and correct as I verily believe. 16 20 ___________________________ 16 21 Signature of Complainant 16 22 SUBSCRIBED AND AFFIRMED to before me this __________ 16 23 day of ________________________, _______. 16 24 ________________________________ 16 25 Notary Public in and for the 16 26 State of _______________________ 16 27 22. COMPLAINT NOTICE FORM. The following form 16 28 shall be used for notice of a complaint under these 16 29 rules: 16 30 STATE OF IOWA 17 1 THE SENATE 17 2 COMMITTEE ON ETHICS ) 17 3 IOWA STATE SENATE ) 17 4 ) 17 5 On The Complaint Of ) NOTICE OF COMPLAINT 17 6 ) 17 7 _____________________________ ) 17 8 ) 17 9 And Involving ) 17 10 ) 17 11 _____________________________ ) 17 12 ) 17 13 TO __________________________________, 17 14 Senator or Lobbyist named above: 17 15 You are hereby notified that there is now on file 17 16 with the Secretary of the Senate, State Capitol, Des 17 17 Moines, Iowa, a complaint which alleges that you have 17 18 committed a violation of the Senate's Code of Ethics 17 19 or Senate Rules Governing Lobbyists. 17 20 A copy of the complaint and the Senate rules for 17 21 processing the same are attached hereto and made a 17 22 part of this notice. 17 23 You are further notified and requested to file your 17 24 written answer to the complaint within ten days of the 17 25 date upon which the notice was caused to be delivered 17 26 to you, (date) ________________________, ________. Your 17 27 answer is to be filed with the Secretary of the Senate, 17 28 State Capitol, Des Moines, Iowa. 17 29 Dated this ________ day of ________________, ________. 17 30 ________________________________ 18 1 Chair, Senate Ethics Committee, 18 2 or Secretary of the Senate 18 3 23. HEARING NOTICE FORM. The following form shall 18 4 be used for notice of a hearing under these rules: 18 5 STATE OF IOWA 18 6 THE SENATE 18 7 COMMITTEE ON ETHICS ) 18 8 IOWA STATE SENATE ) 18 9 ) 18 10 On The Complaint Of ) NOTICE OF HEARING 18 11 ) 18 12 __________________________ ) 18 13 ) 18 14 And Involving ) 18 15 ) 18 16 __________________________ ) 18 17 ) 18 18 TO __________________________________, 18 19 Senator or Lobbyist named above: 18 20 You are hereby notified that there is now on file 18 21 with the Secretary of the Senate, State Capitol, Des 18 22 Moines, Iowa, a complaint which alleges that you have 18 23 committed a violation of the Senate's Code of Ethics 18 24 or Senate Rules Governing Lobbyists. 18 25 A copy of the complaint and the Senate rules for 18 26 processing the same are attached hereto and made a 18 27 part of this notice. 18 28 You are further notified that, after preliminary 18 29 review, the committee has caused a public hearing to 18 30 be scheduled on (date)___________________, 19 1 ________, at (hour) ___________ (a.m.) (p.m.), 19 2 in Room ____, State Capitol, Des Moines, Iowa. 19 3 At the hearing, you will have the right to appear 19 4 in person, be represented by legal counsel at your own 19 5 expense, present statements and evidence, and examine 19 6 and cross-examine witnesses. The committee shall not 19 7 be bound by formal rules of evidence, but shall 19 8 receive relevant evidence, subject to limitations on 19 9 repetitiveness. Any evidence taken shall be under 19 10 oath. 19 11 The committee may continue the hearing to a future 19 12 date if necessary for appropriate reasons or purposes. 19 13 You are further notified that the committee will 19 14 receive such evidence and take such action as 19 15 warranted by the evidence. 19 16 Dated this _____ day of ________________, ________. 19 17 _________________________________ 19 18 Chair, Senate Ethics Committee, 19 19 or Secretary of the Senate 19 20 24. PERSONAL FINANCIAL DISCLOSURE FORM. The 19 21 following form shall be used for disclosure of 19 22 economic interests under these rules and section 19 23 68B.35: 19 24 STATEMENT OF ECONOMIC INTERESTS 19 25 Name: ________________________________________________ 19 26 (Last) (First) (Middle Initial) 19 27 Address: _____________________________________________ 19 28 (Street Address, Apt.# - P.O. Box) 19 29 ________________________________________________ 19 30 (City) (State) (Zip) 20 1 Phone:(Home) ___-___-_____ (Business) ___-___-_____ 20 2 ****************************************************** 20 3 a. Please list each business, occupation, or 20 4 profession in which you are engaged. In listing the 20 5 business, occupation, or profession, it is not 20 6 necessary that your employer or the name of the 20 7 business be listed, although all businesses, 20 8 occupations, or professions must be listed, regardless 20 9 of the amount of income derived or time spent 20 10 participating in the activity. (Examples of types of 20 11 businesses, occupations, or professions that may be 20 12 listed: teacher, lawyer, legislator, real estate 20 13 agent, insurance adjuster, salesperson....) 20 14 (1) __________________________________________________ 20 15 (2) __________________________________________________ 20 16 (3) __________________________________________________ 20 17 (4) __________________________________________________ 20 18 (5) __________________________________________________ 20 19 b. Please list the nature of each of the 20 20 businesses, occupations, or professions which you 20 21 listed in paragraph "a", above, unless the nature of 20 22 the business, occupation, or profession is already 20 23 apparent from the information indicated above. The 20 24 descriptions in this paragraph should correspond by 20 25 number to the numbers for each of the businesses, 20 26 occupations, or professions listed in paragraph "a". 20 27 (Examples: If you indicated, for example, that you 20 28 were a salesperson in subparagraph (1) of paragraph 20 29 "a", you should list in subparagraph (1) of this 20 30 paragraph the types of goods or services sold in this 21 1 item. If you indicated that you were a teacher in 21 2 subparagraph (2) of paragraph "a", you should indicate 21 3 in subparagraph (2) of this paragraph the type of 21 4 school or institution in which you provide instruction 21 5 or whether the instruction is provided on a private 21 6 basis. If you indicated that you were a lawyer in 21 7 subparagraph (3) of paragraph "a", you should indicate 21 8 your areas of practice and whether you are in private, 21 9 corporate, or government practice in subparagraph (3) 21 10 of this paragraph. If you indicated in subparagraph 21 11 (4) of paragraph "a" that you were a consultant, in 21 12 subparagraph (4) of this paragraph you should indicate 21 13 the kind of services provided and types of clients 21 14 served.) 21 15 (1) __________________________________________________ 21 16 (2) __________________________________________________ 21 17 (3) __________________________________________________ 21 18 (4) __________________________________________________ 21 19 (5) __________________________________________________ 21 20 c. Please list each source, by general 21 21 description, from which you receive, or which 21 22 generates, more than one thousand dollars in gross 21 23 annual income in the categories listed below. For 21 24 purposes of this item, a source produces gross annual 21 25 income if the revenue produced by the source is 21 26 subject to federal or state income taxes. In 21 27 completing this item, it is not necessary to list the 21 28 name of the company, business, financial institution, 21 29 corporation, partnership, or other entity which 21 30 constitutes the source of the income and the amount or 22 1 value of the holding should not be listed. 22 2 (1) Securities (Here for example, you need not 22 3 state that you own X number of shares of any specific 22 4 company by brand or corporate name, or that the stock 22 5 is of a certain value, but may instead state that you 22 6 possess stock in a company and indicate the nature of 22 7 the company's business.): 22 8 _____________________________________________________ 22 9 _____________________________________________________ 22 10 _____________________________________________________ 22 11 _____________________________________________________ 22 12 _____________________________________________________ 22 13 (2) Instruments of Financial Institutions (You 22 14 need not indicate, for example, in which institutions 22 15 you hold certificates of deposit that produce annual 22 16 income over the one thousand dollar threshold, but 22 17 simply listing the nature of the institution will 22 18 suffice, e.g., bank, credit union, or savings and loan 22 19 association.): 22 20 _____________________________________________________ 22 21 _____________________________________________________ 22 22 _____________________________________________________ 22 23 _____________________________________________________ 22 24 _____________________________________________________ 22 25 (3) Trusts (The name of the particular trust need 22 26 not be listed. However, if the income is received 22 27 from a charitable trust/foundation, such as the Pugh 22 28 Charitable Trust, in the form of a grant, the fact 22 29 that the trust is a charitable trust should be noted 22 30 here.): 23 1 _____________________________________________________ 23 2 _____________________________________________________ 23 3 _____________________________________________________ 23 4 _____________________________________________________ 23 5 _____________________________________________________ 23 6 (4) Real Estate (When listing real estate, it is 23 7 not necessary to list the location of the property, 23 8 but the general nature of the real estate interest 23 9 should be indicated, e.g. residential leasehold 23 10 interest or farm leasehold interest.): 23 11 _____________________________________________________ 23 12 _____________________________________________________ 23 13 _____________________________________________________ 23 14 _____________________________________________________ 23 15 _____________________________________________________ 23 16 (5) Retirement Systems (When listing retirement 23 17 benefits, it is not necessary to list the name of the 23 18 particular pension system or company, but rather the 23 19 type of benefit should be listed, e.g., health 23 20 benefits, life insurance benefits, private pension, or 23 21 government pension.): 23 22 _____________________________________________________ 23 23 _____________________________________________________ 23 24 _____________________________________________________ 23 25 _____________________________________________________ 23 26 _____________________________________________________ 23 27 (6) Other Income Categories Specified in State or 23 28 Federal Income Tax Regulations (List description of 23 29 other sources of income producing over one thousand 23 30 dollars in annual income not previously reported 24 1 above, but which must be reported for income tax 24 2 purposes.): 24 3 _____________________________________________________ 24 4 _____________________________________________________ 24 5 _____________________________________________________ 24 6 _____________________________________________________ 24 7 _____________________________________________________ 24 8 _____________________________________________________ 24 9 ______________________________ ____________________ 24 10 (Signature of filer) (Date) 24 11 LSB 1812SV 79 24 12 tm/pj/5
Text: SR00003 Text: SR00005 Text: SR00000 - SR00099 Text: SR Index Bills and Amendments: General Index Bill History: General Index
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