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PAG LIN 1 1 SENATE RESOLUTION NO. ___ 1 2 BY (PROPOSED COMMITTEE ON ETHICS 1 3 RESOLUTION BY CHAIRPERSON DRAKE) 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 of 1 9 Ethics for theSeventy-eighthSeventy-ninth General Assembly 1 10 shall be amended to read as follows: 1 11 SENATE CODE OF ETHICS 1 12 PREAMBLE. Every legislator owes a duty to uphold the 1 13 integrity and honor of the general assembly, to encourage 1 14 respect for the law and for the general assembly and the 1 15 members thereof, and to observe the legislative code of 1 16 ethics. 1 17 In doing so, members of the senate have a duty to conduct 1 18 themselves so as to reflect credit on the general assembly, 1 19 and to inspire the confidence, respect, and trust of the 1 20 public, and to strive to avoid both unethical and illegal 1 21 conduct and the appearance of unethical and illegal conduct. 1 22 Recognizing that service in the Iowa general assembly is a 1 23 part-time endeavor and that members of the general assembly 1 24 are honorable individuals who are active in the affairs of 1 25 their localities and elsewhere and that it is necessary that 1 26 they maintain a livelihood and source of income apart from 1 27 their legislative compensation, the following rules are 1 28 adopted pursuant to section 68B.31, to assist the members in 1 29 the conduct of their legislative affairs. 1 30 1. ECONOMIC INTEREST OF SENATOR. Taking into account that 1 31 legislative service is part-time, a senator shall not accept 1 32 economic or investment opportunity, under circumstances where 1 33 the senator knows, or should know, that there is a reasonable 1 34 possibility that the opportunity is being afforded the senator 1 35 with intent to influence the senator's conduct in the 2 1 performance of official duties. 2 2 2. DIVESTITURE. Where a senator learns that an economic 2 3 or investment opportunity previously accepted was offered with 2 4 the intent of influencing the senator's conduct in the 2 5 performance of official duties, the senator shall take steps 2 6 to divest that senator of that investment or economic 2 7 opportunity, and shall report the facts of the situation to 2 8 the senate ethics committee. 2 9 3. CHARGES FOR SERVICES. A senator shall not charge to or 2 10 accept from a person, corporation, partnership, or association 2 11 known to have a legislative interest a price, fee, 2 12 compensation, or other consideration for the sale or lease of 2 13 any property or the furnishing of services which is in excess 2 14 of that which the senator would charge another. 2 15 4. USE OF CONFIDENTIAL INFORMATION. A senator in order to 2 16 further the senator's own economic or other interests, or 2 17 those of any other person, shall not disclose or use 2 18 confidential information acquired in the course of official 2 19 duties. 2 20 5. HONORARIA. A senator shall not accept an honorarium 2 21 from a restricted donor for a speech, writing for publication, 2 22 or other similar activity, except as otherwise provided in 2 23 section 68B.23. 2 24 6. EMPLOYMENT. A senator shall not accept employment, 2 25 either directly or indirectly, from a political action 2 26 committee. A senator may accept employment from a political 2 27 party, but shall disclose the employment relationship in 2 28 writing to the secretary of the senate within ten days after 2 29 the beginning of each legislative session. If a senator 2 30 accepts employment from a political party during a legislative 2 31 session, the senator shall disclose the employment 2 32 relationship within ten days after acceptance of the 2 33 employment. 2 34 For the purpose of this rule, a political action committee 2 35 means a committee, but not a candidate's committee, which 3 1 accepts contributions, makes expenditures, or incurs 3 2 indebtedness in the aggregate of more than five hundred 3 3 dollars in any one calendar yearfor the purpose of supporting3 4or opposingto expressly advocate the nomination, election, or 3 5 defeat of a candidate for public office or to expressly 3 6 advocate the passage or defeat of a ballot issue or 3 7 influencing legislative action, or an association, lodge, 3 8 society, cooperative, union, fraternity, sorority, educational 3 9 institution, civic organization, labor organization, religious 3 10 organization, or professional organization which makes 3 11 contributions in the aggregate of more than five hundred 3 12 dollars in any one calendar yearfor the purpose of supporting3 13or opposingto expressly advocate the nomination, election, or 3 14 defeat of a candidate for public office or ballot issue or 3 15 influencing legislative action. 3 16 7. ECONOMIC INTERESTS OF LOBBYIST. With the exception of 3 17 exercising unfettered discretion in supporting or refusing to 3 18 support proposed legislation, a senator shall not take action 3 19 intended to affect the economic interests of a lobbyist or 3 20 citizen supporting or opposing proposed legislation. 3 21 8. APPEARANCE BEFORE GOVERNMENTAL AGENCY. A senator may 3 22 appear before a governmental agency or board in any 3 23 representation case, except that the senator shall not act as 3 24 a lobbyist. Whenever a senator appears before a governmental 3 25 agency or board, the senator shall carefully avoid all conduct 3 26 which might in any way lead members of the general public to 3 27 conclude that the senator is using the senator's official 3 28 position to further the senator's professional success or 3 29 personal financial interest. 3 30 9. CONFLICTS OF INTERESTS. In order to permit the general 3 31 assembly to function effectively, a senator will sometimes be 3 32 required to vote on bills and participate in committee work 3 33 which will affect the senator's employment and other monetary 3 34 interests. In making a decision relative to the senator's 3 35 activity on given bills or committee work which are subject to 4 1 the code, the following factors shall be considered: 4 2 a. Whether a substantial threat to the senator's 4 3 independence of judgment has been created by the conflict 4 4 situation. 4 5 b. The effect of the senator's participation on public 4 6 confidence in the integrity of the legislature. 4 7 c. The need for the senator's particular contribution, 4 8 such as special knowledge of the subject matter, to the 4 9 effective functioning of the legislature. 4 10 A senator with a conflict of interest may participate in 4 11 floor debate if prior to debate the senator indicates the 4 12 conflict of interest. 4 13 10. GIFTS. Except as otherwise provided in section 4 14 68B.22, a senator, or that person's immediate family member, 4 15 shall not, directly or indirectly, accept or receive any gift 4 16 or series of gifts from a restricted donor. 4 17 11. DISCLOSURE REQUIRED. Each senator shall file with the 4 18 secretary of the senate within ten days after the adoption of 4 19 the code of ethics by the senate, and within ten days after 4 20 the convening of the second session of the general assembly, a 4 21 statement under section 68B.35 on forms provided by the 4 22 secretary of the senate setting forth the following 4 23 information: 4 24 The nature of each business in which the senator is engaged 4 25 and the nature of the business of each company in which the 4 26 senator has a financial interest. A senator shall not be 4 27 required to file a report or be assumed to have a financial 4 28 interest if the annual income derived from the investment in 4 29 stocks, bonds, bills, notes, mortgages, or other securities 4 30 offered for sale through recognized financial brokers is less 4 31 than one thousand dollars. 4 32 Disclosures required under this rule shall be as of the 4 33 date filed unless provided to the contrary, and shall be 4 34 amended to include interests and changes encompassed by this 4 35 rule that occur while the general assembly is in session. All 5 1 filings under this rule shall be open to public inspection in 5 2 the office of the secretary of the senate at all reasonable 5 3 times. 5 4 The secretary of the senate shall inform the ethics 5 5 committee of the statements which are filed and shall report 5 6 to the ethics committee the names of any senators who appear 5 7 not to have filed complete statements. The chairperson of the 5 8 ethics committee shall request in writing that a senator who 5 9 has failed to complete the report or appears to have filed an 5 10 incomplete report do so within five days, and, upon the 5 11 failure of the senator to comply, the ethics committee shall 5 12 require the senator to appear before the committee. 5 13 12. STATUTORY VIOLATIONS. Members of the general assembly 5 14 are urged to familiarize themselves with chapters 68B, 721, 5 15 and 722. 5 16 13. CHARGE ACCOUNTS. Senators shall not charge any amount 5 17 or item to any charge account to be paid for by any lobbyist 5 18 or any client the lobbyist represents. 5 19 14. TRAVEL EXPENSES. A senator shall not charge to the 5 20 state of Iowa amounts for travel and expenses unless the 5 21 senator actually has incurred those mileage and expense costs. 5 22 Senators shall not file the vouchers for weekly mileage 5 23 reimbursement required by section 2.10, subsection 1, unless 5 24 the travel was actually incurred at commensurate expense to 5 25 the senator. 5 26 15. COMPLAINTS. Complaints or charges against any senator 5 27 or any lobbyist shall be in writing, made under oath, and 5 28 filed with the secretary of the senate or the chairperson of 5 29 the ethics committee. If filed with the secretary of the 5 30 senate, the secretary shall immediately advise the chairperson 5 31 of the ethics committee of the receipt of the complaint. 5 32 Complaint forms shall be available from the secretary of 5 33 the senate, or the chairperson of the ethics committee, but a 5 34 complaint shall not be rejected for failure to use an approved 5 35 form if the complaint substantially complies with senate 6 1 requirements. 6 2 A complainant may submit exhibits and affidavits attached 6 3 to the complaint. 6 4 16. FILING OF COMPLAINTS. 6 5 a. Persons entitled. Complaints may be filed by any 6 6 person believing that a senator or lobbyist has violated the 6 7 senate ethics code, the senate rules governing lobbyists, or 6 8 chapter 68B of the Iowa Code. A violation of the criminal law 6 9 may be considered to be a violation of this code of ethics if 6 10 the violation constitutes a serious misdemeanor or greater, or 6 11 a repetitive and flagrant violation of the law. 6 12 b. Committee complaint. The ethics committee may, upon 6 13 its own motion, initiate a complaint, investigation, or 6 14 disciplinary action. 6 15 c. Timeliness of filing. A complaint will be considered 6 16 to be timely filed if it is filed within three years of the 6 17 occurrence of the alleged violation of the ethics code. 6 18 17. PERMANENT RECORD. The secretary of the senate shall 6 19 maintain a permanent record of all complaints filed, evidence 6 20 received by the committee, and any transcripts or other 6 21 recordings made of committee proceedings, including a separate 6 22 card file containing the date filed, name and address of the 6 23 complainant, name and address of the respondent, a brief 6 24 statement of the charges made, and ultimate disposition of the 6 25 complaint. The secretary shall keep each such complaint 6 26 confidential until public disclosure is made by the ethics 6 27 committee. 6 28 18. PREHEARING PROCEDURE. 6 29 a. Defective complaint. Upon receipt of a complaint, the 6 30 chairperson and ranking member of the ethics committee shall 6 31 determine whether the complaint substantially complies with 6 32 the requirements of this code of ethics and section 68B.31, 6 33 subsection 6. If the complaint does not substantially comply 6 34 with the requirements for formal sufficiency under the code of 6 35 ethics, the complaint may be returned to the complainant with 7 1 a statement that the complaint is not in compliance with the 7 2 code and a copy of the code. If the complainant fails to 7 3 amend the complaint to comply with the code within a 7 4 reasonable time, the chair and ranking member may dismiss the 7 5 complaint with prejudice for failure to prosecute. 7 6 b. Service of complaint on respondent. Upon receipt of 7 7 any complaint substantially complying with the requirements of 7 8 this code of ethics, the chairperson of the ethics committee 7 9 shall cause a copy of the complaint and any supporting 7 10 information to be delivered promptly to the respondent, 7 11 requesting a written response to be filed within ten days. 7 12 The response may do any of the following: 7 13 (1) Admit or deny the allegation or allegations. 7 14 (2) Object that the allegation fails to allege a violation 7 15 of chapter 68B or the code of ethics. 7 16 (3) Object to the jurisdiction of the committee. 7 17 (4) Request a more specific statement of the allegation or 7 18 allegations. 7 19 c. Objection to member. In addition to the items which 7 20 may be included in a response pursuant to paragraph "b", the 7 21 response may also include an objection to the participation of 7 22 any member of the committee in the consideration of the 7 23 allegation or allegations on the grounds that the member 7 24 cannot render an impartial and unbiased decision. 7 25 d. Extension of time. At the request of the respondent 7 26 and upon a showing of good cause, the committee, or the 7 27 chairperson and ranking member, may extend the time for 7 28 response, not to exceed ten additional days. 7 29 e. Confidentiality. If a complaint is not otherwise made 7 30 public, the members of the committee shall treat the complaint 7 31 and all supporting information as confidential until the 7 32 written response is received from the respondent. 7 33 f. Communications with ethics committee. After a 7 34 complaint has been filed or an investigation has been 7 35 initiated, a party to the complaint or investigation shall not 8 1 communicate, or cause another to communicate, as to the merits 8 2 of the complaint or investigation with a member of the 8 3 committee, except under the following circumstances: 8 4 (1) During the course of any meetings or other official 8 5 proceedings of the committee regarding the complaint or 8 6 investigation. 8 7 (2) In writing, if a copy of the writing is delivered to 8 8 the adverse party or the designated representative for the 8 9 adverse party. 8 10 (3) Orally, if adequate prior notice of the communication 8 11 is given to the adverse party or the designated representative 8 12 for the adverse party. 8 13 (4) As otherwise authorized by statute, the senate code of 8 14 ethics, the senate rules governing lobbyists, or vote of the 8 15 committee. 8 16 g. Scheduling hearing. Upon receipt of the response, the 8 17 committee shall schedule a public meeting to review the 8 18 complaint and available information, and shall: 8 19 (1) Notify the complainant that no further action will be 8 20 taken, unless further substantiating information is produced, 8 21 or 8 22 (2) Dismiss the complaint for failure to meet the 8 23 statutory and code of ethics requirements for valid 8 24 complaints, or 8 25 (3) Request that the chief justice of the supreme court 8 26 appoint an independent special counsel to conduct an 8 27 investigation of the complaint and supporting information, to 8 28 make a determination of probable cause, and to report the 8 29 findings to the committee, which shall be received within a 8 30 reasonable time. 8 31 h. Public hearing. If independent special counsel is 8 32 appointed, upon receipt of the report of independent special 8 33 counsel's findings, the committee shall schedule a public 8 34 meeting to review the report and shall do either of the 8 35 following: 9 1 (1) Cause the complaint to be scheduled for a public 9 2 hearing. 9 3 (2) Dismiss the complaint based upon a determination by 9 4 independent special counsel and the committee that 9 5 insufficient evidence exists to support a finding of probable 9 6 cause. 9 7 19. HEARING PROCEDURE. 9 8 a. Notice of hearing. If the committee causes a complaint 9 9 to be scheduled for a public hearing, notice of the hearing 9 10 date and time shall be given to the complainant and respondent 9 11 in writing, and of the respondent's right to appear in person, 9 12 be represented by legal counsel, present statements and 9 13 evidence, and examine and cross-examine witnesses. The 9 14 committee shall not be bound by formal rules of evidence, but 9 15 shall receive relevant evidence, subject to limitations on 9 16 repetitiveness. Any evidence taken shall be under oath. 9 17 b. Subpoena power. The committee may require, by subpoena 9 18 or otherwise, the attendance and testimony of witnesses and 9 19 the production of such books, records, correspondence, 9 20 memoranda, papers, documents, and any other things it deems 9 21 necessary to the conduct of the inquiry. 9 22 c. Ex post facto. An investigation shall not be 9 23 undertaken by the committee of a violation of a law, rule, or 9 24 standard of conduct that is not in effect at the time of 9 25 violation. 9 26 d. Disqualification of member. Members of the committee 9 27 may disqualify themselves from participating in any 9 28 investigation of the conduct of another person upon submission 9 29 of a written statement that the member cannot render an 9 30 impartial and unbiased decision in a case. A member may also 9 31 be disqualified by a unanimous vote of the remaining eligible 9 32 members of the committee. 9 33 A member of the committee is ineligible to participate in 9 34 committee meetings, as a member of the committee, in any 9 35 proceeding relating to the member's own official conduct. 10 1 If a member of the committee is disqualified or ineligible 10 2 to act, the majority or minority leader who appointed the 10 3 member shall appoint a replacement member to serve as a member 10 4 of the committee during the period of disqualification or 10 5 ineligibility. 10 6 e. Hearing. At the hearing, the chairperson shall open 10 7 the hearing by stating the charges, the purpose of the 10 8 hearing, and its scope. The burden of proof rests upon the 10 9 complainant to establish the facts as alleged, by clear and 10 10 convincing evidence. However, questioning of witnesses shall 10 11 be conducted by the members of the committee, by independent 10 12 special counsel, or by a senator. The chairperson shall also 10 13 permit questioning by legal counsel representing the 10 14 complainant or respondent. 10 15 The chairperson or other member of the committee presiding 10 16 at a hearing shall rule upon procedural questions or any 10 17 question of admissibility of evidence presented to the 10 18 committee. Rulings may be reversed by a majority vote of the 10 19 committee members present. 10 20 The committee may continue the hearing to a future date if 10 21 necessary for appropriate reasons or purposes. 10 22 f. Committee action. Upon receipt of all relevant 10 23 evidence and arguments, the committee shall consider the same 10 24 and recommend to the senate: 10 25 (1) That the complaint be dismissed, or 10 26 (2) That the senator or lobbyist be censured or 10 27 reprimanded, and recommend the appropriate form of censure or 10 28 reprimand, or 10 29 (3) Any other appropriate sanction, including suspension 10 30 or expulsion from membership in the senate, or suspension of 10 31 lobbying privileges. 10 32 g. Disposition resolution. By appropriate resolution, the 10 33 senate may amend, adopt, or reject the report of the ethics 10 34 committee, including the committee's recommendations regarding 10 35 disciplinary action. 11 1 20. COMMITTEE AUTHORIZED TO MEET. The senate ethics 11 2 committee is authorized to meet at the discretion of the 11 3 chairperson to conduct hearings and other business that 11 4 properly may come before it. If the committee submits a 11 5 report seeking senate action against a senator or lobbyist 11 6 after the second regular session of a general assembly has 11 7 adjourned sine die, the report shall be submitted to and 11 8 considered by the subsequent general assembly. However, the 11 9 report may be submitted to and considered during any special 11 10 session which may take place after the second regular session 11 11 of a general assembly has adjourned sine die, but before the 11 12 convening of the next general assembly. 11 13 20A. ADVISORY OPINIONS. 11 14 a. Requests for formal opinions. A request for a formal 11 15 advisory opinion may be filed by any person who is subject to 11 16 the authority of the ethics committee. The ethics committee 11 17 may also issue a formal advisory opinion on its own motion, 11 18 without having previously received a formal request for an 11 19 opinion, on any issue that is within the jurisdiction of the 11 20 committee. Requests shall be filed with either the secretary 11 21 of the senate or the chairperson of the ethics committee. 11 22 b. Form and contents of requests. A request for a formal 11 23 advisory opinion shall be in writing and may pertain to any 11 24 subject matter that is related to the application of the 11 25 senate code of ethics, the senate rules governing lobbyists, 11 26 or chapter 68B of the Code to any person who is subject to the 11 27 authority of the ethics committee. Requests shall contain one 11 28 or more specific questions and shall relate either to future 11 29 conduct or be stated in the hypothetical. A request for an 11 30 advisory opinion shall not specifically name any individual or 11 31 contain any other specific identifying information, unless the 11 32 request relates to the requester's own conduct. However, any 11 33 request may contain information which identifies the kind of 11 34 individual who may be affected by the subject matter of the 11 35 request. Examples of this latter kind of identifying 12 1 information may include references to conduct of a category of 12 2 individuals, such as but not limited to conduct of 12 3 legislators, legislative staff, or lobbyists. 12 4 c. Confidentiality of formal requests and opinions. 12 5 Requests for formal opinions are not confidential and any 12 6 deliberations of the committee regarding a request for a 12 7 formal opinion shall be public. Opinions issued in response 12 8 to requests for formal opinions are not confidential, shall be 12 9 in writing, and shall be placed on file in the office of the 12 10 secretary of the senate. Persons requesting formal opinions 12 11 shall personally receive a copy of the written formal opinion 12 12 that is issued in response to the request. 12 13 20B. CALCULATION OF TIME – DAYS. 12 14 For purposes of these rules, unless the context otherwise 12 15 requires, the word "day" or "days" shall mean a calendar day 12 16 except that if the day is the last day of a specific time 12 17 period and falls upon a Saturday, Sunday, or legal holiday, 12 18 the time prescribed shall be extended so as to include the 12 19 whole of the next day in which the offices of the senate and 12 20 the general assembly are open for official business. 12 21 21. COMPLAINT FILING FORM. The following form shall be 12 22 used to file a complaint under these rules: 12 23 THE SENATE 12 24 Ethics Complaint Form 12 25 Re: ______________________________ (Senator/Lobbyist), 12 26 of _____________________, Iowa. 12 27 I, ________________________ (Complainant), residing 12 28 at ____________________, in the City of ______________, 12 29 State of ________________________, hereby complain that 12 30 _____________________________ (Senator/Lobbyist), whose 12 31 address is ___________________________________________, 12 32 has violated the Senate Code of Ethics or Senate 12 33 Rules Governing Lobbyists in that: 12 34 (Explain the basis for the complaint here. Use addi- 12 35 tional pages, if necessary.) 13 1 Under penalty of perjury, I certify that the above 13 2 complaint is true and correct as I verily believe. 13 3 ___________________________ 13 4 Signature of Complainant 13 5 SUBSCRIBED AND AFFIRMED to before me this __________ 13 6 day of ________________________, _______. 13 7 ________________________________ 13 8 Notary Public in and for the 13 9 State of _______________________ 13 10 22. COMPLAINT NOTICE FORM. The following form shall be 13 11 used for notice of a complaint under these rules: 13 12 STATE OF IOWA 13 13 THE SENATE 13 14 COMMITTEE ON ETHICS ) 13 15 IOWA STATE SENATE ) 13 16 ) 13 17 On The Complaint Of ) NOTICE OF COMPLAINT 13 18 ) 13 19 _____________________________ ) 13 20 ) 13 21 And Involving ) 13 22 ) 13 23 _____________________________ ) 13 24 ) 13 25 TO __________________________________, 13 26 Senator or Lobbyist named above: 13 27 You are hereby notified that there is now on file with the 13 28 Secretary of the Senate, State Capitol, Des Moines, Iowa, a 13 29 complaint which alleges that you have committed a violation of 13 30 the Senate's Code of Ethics or Senate Rules Governing 13 31 Lobbyists. 13 32 A copy of the complaint and the Senate rules for processing 13 33 the same are attached hereto and made a part of this notice. 13 34 You are further notified and requested to file your 13 35 written answer to the complaint within ten days of the 14 1 date upon which the notice was caused to be delivered 14 2 to you, (date) ________________________, ________. Your 14 3 answer is to be filed with the Secretary of the Senate, 14 4 State Capitol, Des Moines, Iowa. 14 5 Dated this ________ day of ________________, ________. 14 6 ________________________________ 14 7 Chair, Senate Ethics Committee, 14 8 or Secretary of the Senate 14 9 23. HEARING NOTICE FORM. The following form shall be used 14 10 for notice of a hearing under these rules: 14 11 STATE OF IOWA 14 12 THE SENATE 14 13 COMMITTEE ON ETHICS ) 14 14 IOWA STATE SENATE ) 14 15 ) 14 16 On The Complaint Of ) NOTICE OF HEARING 14 17 ) 14 18 __________________________ ) 14 19 ) 14 20 And Involving ) 14 21 ) 14 22 __________________________ ) 14 23 ) 14 24 TO __________________________________, 14 25 Senator or Lobbyist named above: 14 26 You are hereby notified that there is now on file with the 14 27 Secretary of the Senate, State Capitol, Des Moines, Iowa, a 14 28 complaint which alleges that you have committed a violation of 14 29 the Senate's Code of Ethics or Senate Rules Governing 14 30 Lobbyists. 14 31 A copy of the complaint and the Senate rules for processing 14 32 the same are attached hereto and made a part of this notice. 14 33 You are further notified that, after preliminary review, 14 34 the committee has caused a public hearing to be scheduled on 14 35 (date)___________________, ________, at (hour) ___________ 15 1 (a.m.) (p.m.), in Room ____, State Capitol, Des Moines, 15 2 Iowa. 15 3 At the hearing, you will have the right to appear in 15 4 person, be represented by legal counsel at your own expense, 15 5 present statements and evidence, and examine and cross-examine 15 6 witnesses. The committee shall not be bound by formal rules 15 7 of evidence, but shall receive relevant evidence, subject to 15 8 limitations on repetitiveness. Any evidence taken shall be 15 9 under oath. 15 10 The committee may continue the hearing to a future date if 15 11 necessary for appropriate reasons or purposes. 15 12 You are further notified that the committee will receive 15 13 such evidence and take such action as warranted by the 15 14 evidence. 15 15 Dated this _____ day of ________________, ________. 15 16 _________________________________ 15 17 Chair, Senate Ethics Committee, 15 18 or Secretary of the Senate 15 19 24. PERSONAL FINANCIAL DISCLOSURE FORM. The following 15 20 form shall be used for disclosure of economic interests under 15 21 these rules and section 68B.35: 15 22 STATEMENT OF ECONOMIC INTERESTS 15 23 Name: ________________________________________________ 15 24 (Last) (First) (Middle Initial) 15 25 Address: _____________________________________________ 15 26 (Street Address, Apt.# - P.O. Box) 15 27 ________________________________________________ 15 28 (City) (State) (Zip) 15 29 Phone:(Home) ___-___-_____ (Business) ___-___-_____ 15 30 ****************************************************** 15 31 a. Please list each business, occupation, or profession in 15 32 which you are engaged. In listing the business, occupation, 15 33 or profession, it is not necessary that your employer or the 15 34 name of the business be listed, although all businesses, 15 35 occupations, or professions must be listed, regardless of the 16 1 amount of income derived or time spent participating in the 16 2 activity. (Examples of types of businesses, occupations, or 16 3 professions that may be listed: teacher, lawyer, legislator, 16 4 real estate agent, insurance adjuster, salesperson....) 16 5 (1) __________________________________________________ 16 6 (2) __________________________________________________ 16 7 (3) __________________________________________________ 16 8 (4) __________________________________________________ 16 9 (5) __________________________________________________ 16 10 b. Please list the nature of each of the businesses, 16 11 occupations, or professions which you listed in paragraph "a", 16 12 above, unless the nature of the business, occupation, or 16 13 profession is already apparent from the information indicated 16 14 above. The descriptions in this paragraph should correspond 16 15 by number to the numbers for each of the businesses, 16 16 occupations, or professions listed in paragraph "a". 16 17 (Examples: If you indicated, for example, that you were a 16 18 salesperson in subparagraph (1) of paragraph "a", you should 16 19 list in subparagraph (1) of this paragraph the types of goods 16 20 or services sold in this item. If you indicated that you were 16 21 a teacher in subparagraph (2) of paragraph "a", you should 16 22 indicate in subparagraph (2) of this paragraph the type of 16 23 school or institution in which you provide instruction or 16 24 whether the instruction is provided on a private basis. If 16 25 you indicated that you were a lawyer in subparagraph (3) of 16 26 paragraph "a", you should indicate your areas of practice and 16 27 whether you are in private, corporate, or government practice 16 28 in subparagraph (3) of this paragraph. If you indicated in 16 29 subparagraph (4) of paragraph "a" that you were a consultant, 16 30 in subparagraph (4) of this paragraph you should indicate the 16 31 kind of services provided and types of clients served.) 16 32 (1) __________________________________________________ 16 33 (2) __________________________________________________ 16 34 (3) __________________________________________________ 16 35 (4) __________________________________________________ 17 1 (5) __________________________________________________ 17 2 c. Please list each source, by general description, from 17 3 which you receive, or which generates, more than one thousand 17 4 dollars in gross annual income in the categories listed below. 17 5 For purposes of this item, a source produces gross annual 17 6 income if the revenue produced by the source is subject to 17 7 federal or state income taxes. In completing this item, it is 17 8 not necessary to list the name of the company, business, 17 9 financial institution, corporation, partnership, or other 17 10 entity which constitutes the source of the income and the 17 11 amount or value of the holding should not be listed. 17 12 (1) Securities (Here for example, you need not state that 17 13 you own X number of shares of any specific company by brand or 17 14 corporate name, or that the stock is of a certain value, but 17 15 may instead state that you possess stock in a company and 17 16 indicate the nature of the company's business.): 17 17 _____________________________________________________ 17 18 _____________________________________________________ 17 19 _____________________________________________________ 17 20 _____________________________________________________ 17 21 _____________________________________________________ 17 22 (2) Instruments of Financial Institutions (You need not 17 23 indicate, for example, in which institutions you hold 17 24 certificates of deposit that produce annual income over the 17 25 one thousand dollar threshold, but simply listing the nature 17 26 of the institution will suffice, e.g., bank, credit union, or 17 27 savings and loan association.): 17 28 _____________________________________________________ 17 29 _____________________________________________________ 17 30 _____________________________________________________ 17 31 _____________________________________________________ 17 32 _____________________________________________________ 17 33 (3) Trusts (The name of the particular trust need not be 17 34 listed. However, if the income is received from a charitable 17 35 trust/foundation, such as the Pugh Charitable Trust, in the 18 1 form of a grant, the fact that the trust is a charitable trust 18 2 should be noted here.): 18 3 _____________________________________________________ 18 4 _____________________________________________________ 18 5 _____________________________________________________ 18 6 _____________________________________________________ 18 7 _____________________________________________________ 18 8 (4) Real Estate (When listing real estate, it is not 18 9 necessary to list the location of the property, but the 18 10 general nature of the real estate interest should be 18 11 indicated, e.g. residential leasehold interest or farm 18 12 leasehold interest.): 18 13 _____________________________________________________ 18 14 _____________________________________________________ 18 15 _____________________________________________________ 18 16 _____________________________________________________ 18 17 _____________________________________________________ 18 18 (5) Retirement Systems (When listing retirement benefits, 18 19 it is not necessary to list the name of the particular pension 18 20 system or company, but rather the type of benefit should be 18 21 listed, e.g., health benefits, life insurance benefits, 18 22 private pension, or government pension.): 18 23 _____________________________________________________ 18 24 _____________________________________________________ 18 25 _____________________________________________________ 18 26 _____________________________________________________ 18 27 _____________________________________________________ 18 28 (6) Other Income Categories Specified in State or Federal 18 29 Income Tax Regulations (List description of other sources of 18 30 income producing over one thousand dollars in annual income 18 31 not previously reported above, but which must be reported for 18 32 income tax purposes.): 18 33 _____________________________________________________ 18 34 _____________________________________________________ 18 35 _____________________________________________________ 19 1 _____________________________________________________ 19 2 _____________________________________________________ 19 3 _____________________________________________________ 19 4 ______________________________ ____________________ 19 5 (Signature of filer) (Date) 19 6 LSB 1812SC 79 19 7 tm/pj/5
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