Senate Study Bill 1002 - Introduced SENATE RESOLUTION NO. _____ BY (PROPOSED COMMITTEE ON ETHICS RESOLUTION BY CHAIRPERSON KIBBIE) A Resolution relating to the Senate Code of Ethics 1 governing the conduct of members of the Senate in 2 relation to their senatorial duties during the 3 Eighty-fourth General Assembly. 4 BE IT RESOLVED BY THE SENATE, That the Senate Code 5 of Ethics for the Eighty-third Eighty-fourth General 6 Assembly shall be amended to read as follows: 7 SENATE CODE OF ETHICS 8 PREAMBLE. Every legislator owes a duty to uphold 9 the integrity and honor of the general assembly, to 10 encourage respect for the law and for the general 11 assembly and the members thereof, and to observe the 12 legislative code of ethics. 13 In doing so, members of the senate have a duty 14 to conduct themselves so as to reflect credit on 15 the general assembly, and to inspire the confidence, 16 respect, and trust of the public, and to strive to 17 avoid both unethical and illegal conduct and the 18 appearance of unethical and illegal conduct. 19 Recognizing that service in the Iowa general 20 assembly is a part-time endeavor and that members of 21 the general assembly are honorable individuals who 22 are active in the affairs of their localities and 23 elsewhere and that it is necessary that they maintain 24 a livelihood and source of income apart from their 25 legislative compensation, the following rules are 26 adopted pursuant to section 68B.31, to assist the 27 -1- LSB 1354SC (9) 84 tm/rj 1/ 24

S.R. _____ members in the conduct of their legislative affairs. 1 1. ECONOMIC INTEREST OF SENATOR. Taking into 2 account that legislative service is part-time, a 3 senator shall not accept economic or investment 4 opportunity, under circumstances where the senator 5 knows, or should know, that there is a reasonable 6 possibility that the opportunity is being afforded the 7 senator with intent to influence the senator’s conduct 8 in the performance of official duties. 9 2. DIVESTITURE. Where a senator learns that 10 an economic or investment opportunity previously 11 accepted was offered with the intent of influencing 12 the senator’s conduct in the performance of official 13 duties, the senator shall take steps to divest that 14 senator of that investment or economic opportunity, and 15 shall report the facts of the situation to the senate 16 ethics committee. 17 3. CHARGES FOR SERVICES. A senator shall not 18 charge to or accept from a person, corporation, 19 partnership, or association known to have a legislative 20 interest a price, fee, compensation, or other 21 consideration for the sale or lease of any property or 22 the furnishing of services which is in excess of that 23 which the senator would charge another. 24 4. USE OF CONFIDENTIAL INFORMATION. A senator in 25 order to further the senator’s own economic or other 26 interests, or those of any other person, shall not 27 disclose or use confidential information acquired in 28 the course of official duties. 29 5. HONORARIA. A senator shall not accept an 30 -2- LSB 1354SC (9) 84 tm/rj 2/ 24

S.R. _____ honorarium from a restricted donor for a speech, 1 writing for publication, or other similar activity, 2 except as otherwise provided in section 68B.23. 3 6. EMPLOYMENT. A senator shall not accept 4 employment, either directly or indirectly, from a 5 political action committee. A senator may accept 6 employment from a political party, but shall disclose 7 the employment relationship in writing to the secretary 8 of the senate within ten days after the beginning 9 of each legislative session. If a senator accepts 10 employment from a political party during a legislative 11 session, the senator shall disclose the employment 12 relationship within ten days after acceptance of the 13 employment. 14 For the purpose of this rule, a political action 15 committee means a committee, but not a candidate’s 16 committee, which accepts contributions, makes 17 expenditures, or incurs indebtedness in the aggregate 18 of more than seven hundred fifty dollars in any one 19 calendar year to expressly advocate the nomination, 20 election, or defeat of a candidate for public office 21 or to expressly advocate the passage or defeat of 22 a ballot issue or influencing legislative action, 23 or an association, lodge, society, cooperative, 24 union, fraternity, sorority, educational institution, 25 civic organization, labor organization, religious 26 organization, or professional organization which makes 27 contributions in the aggregate of more than seven 28 hundred fifty dollars in any one calendar year to 29 expressly advocate the nomination, election, or defeat 30 -3- LSB 1354SC (9) 84 tm/rj 3/ 24

S.R. _____ of a candidate for public office or ballot issue or 1 influencing legislative action. 2 7. ECONOMIC INTERESTS OF LOBBYIST. With the 3 exception of exercising unfettered discretion in 4 supporting or refusing to support proposed legislation, 5 a senator shall not take action intended to affect the 6 economic interests of a lobbyist or citizen supporting 7 or opposing proposed legislation. 8 8. APPEARANCE BEFORE GOVERNMENTAL AGENCY. A 9 senator may appear before a governmental agency or 10 board in any representation case, except that the 11 senator shall not act as a lobbyist. Whenever a 12 senator appears before a governmental agency or board, 13 the senator shall carefully avoid all conduct which 14 might in any way lead members of the general public 15 to conclude that the senator is using the senator’s 16 official position to further the senator’s professional 17 success or personal financial interest. 18 9. CONFLICTS OF INTERESTS. In order to permit the 19 general assembly to function effectively, a senator 20 will sometimes be required to vote on bills and 21 participate in committee work which will affect the 22 senator’s employment and other monetary interests. In 23 making a decision relative to the senator’s activity on 24 given bills or committee work which are subject to the 25 code, the following factors shall be considered: 26 a. Whether a substantial threat to the senator’s 27 independence of judgment has been created by the 28 conflict situation. 29 b. The effect of the senator’s participation on 30 -4- LSB 1354SC (9) 84 tm/rj 4/ 24

S.R. _____ public confidence in the integrity of the legislature. 1 c. The need for the senator’s particular 2 contribution, such as special knowledge of the 3 subject matter, to the effective functioning of the 4 legislature. 5 A senator with a conflict of interest may 6 participate in floor debate if prior to debate the 7 senator indicates the conflict of interest. 8 10. GIFTS. Except as otherwise provided in section 9 68B.22, a senator, or that person’s immediate family 10 member, shall not, directly or indirectly, accept or 11 receive any gift or series of gifts from a restricted 12 donor. 13 11. DISCLOSURE REQUIRED. Each senator shall file 14 with the secretary of the senate within ten days after 15 the adoption of the code of ethics by the senate, and 16 within ten days after the convening of the second 17 session of the general assembly, a statement under 18 section 68B.35 on forms provided by the secretary of 19 the senate setting forth the following information: 20 The nature of each business in which the senator 21 is engaged and the nature of the business of each 22 company in which the senator has a financial interest. 23 A senator shall not be required to file a report or 24 be assumed to have a financial interest if the annual 25 income derived from the investment in stocks, bonds, 26 bills, notes, mortgages, or other securities offered 27 for sale through recognized financial brokers is less 28 than one thousand dollars. 29 Disclosures required under this rule shall be as 30 -5- LSB 1354SC (9) 84 tm/rj 5/ 24

S.R. _____ of the date filed unless provided to the contrary, 1 and shall be amended to include interests and changes 2 encompassed by this rule that occur while the general 3 assembly is in session. All filings under this rule 4 shall be open to public inspection in the office of the 5 secretary of the senate at all reasonable times. 6 The secretary of the senate shall inform the 7 ethics committee of the statements which are filed 8 and shall report to the ethics committee the names of 9 any senators who appear not to have filed complete 10 statements. The chairperson of the ethics committee 11 shall request in writing that a senator who has failed 12 to complete the report or appears to have filed an 13 incomplete report do so within five days, and, upon 14 the failure of the senator to comply, the ethics 15 committee shall require the senator to appear before 16 the committee. 17 12. STATUTORY VIOLATIONS. Members of the general 18 assembly are urged to familiarize themselves with 19 chapters 68B, 721, and 722. 20 13. CHARGE ACCOUNTS. Senators shall not charge any 21 amount or item to any charge account to be paid for by 22 any lobbyist or any client the lobbyist represents. 23 14. TRAVEL EXPENSES. A senator shall not charge 24 to the state of Iowa amounts for travel and expenses 25 unless the senator actually has incurred those mileage 26 and expense costs. Senators shall not file the 27 vouchers for weekly mileage reimbursement required 28 by section 2.10, subsection 1, unless the travel 29 was actually incurred at commensurate expense to the 30 -6- LSB 1354SC (9) 84 tm/rj 6/ 24

S.R. _____ senator. 1 15. COMPLAINTS. Complaints or charges against 2 any senator or any lobbyist shall be in writing, 3 made under oath, and filed with the secretary of the 4 senate or the chairperson of the ethics committee. If 5 filed with the secretary of the senate, the secretary 6 shall immediately advise the chairperson of the ethics 7 committee of the receipt of the complaint. 8 Complaint forms shall be available from the 9 secretary of the senate, or the chairperson of the 10 ethics committee, but a complaint shall not be rejected 11 for failure to use an approved form if the complaint 12 substantially complies with senate requirements. 13 A complainant may submit exhibits and affidavits 14 attached to the complaint. 15 16. FILING OF COMPLAINTS. 16 a. Persons entitled. Complaints may be filed by 17 any person believing that a senator or , lobbyist , or 18 client of a lobbyist has violated the senate ethics 19 code, the senate rules governing lobbyists, or chapter 20 68B of the Iowa Code. A violation of the criminal 21 law may be considered to be a violation of this code 22 of ethics if the violation constitutes a serious 23 misdemeanor or greater, or a repetitive and flagrant 24 violation of the law. 25 b. Committee complaint. The ethics committee 26 may, upon its own motion, initiate a complaint, 27 investigation, or disciplinary action. 28 c. Timeliness of filing. A complaint will be 29 considered to be timely filed if it is filed within 30 -7- LSB 1354SC (9) 84 tm/rj 7/ 24

S.R. _____ three years of the occurrence of the alleged violation 1 of the ethics code. 2 17. PERMANENT RECORD. The secretary of the senate 3 shall maintain a permanent record of all complaints 4 filed, evidence received by the committee, and any 5 transcripts or other recordings made of committee 6 proceedings, including a separate card file containing 7 the date filed, name and address of the complainant, 8 name and address of the respondent, a brief statement 9 of the charges made, and ultimate disposition of 10 the complaint. The secretary shall keep each such 11 complaint confidential until public disclosure is made 12 by the ethics committee. 13 18. PREHEARING PROCEDURE. 14 a. Defective complaint. Upon receipt of a 15 complaint, the chairperson and ranking member of the 16 ethics committee shall determine whether the complaint 17 substantially complies with the requirements of this 18 code of ethics and section 68B.31, subsection 6. If 19 the complaint does not substantially comply with 20 the requirements for formal sufficiency under the 21 code of ethics, the complaint may be returned to the 22 complainant with a statement that the complaint is not 23 in compliance with the code and a copy of the code. If 24 the complainant fails to amend the complaint to comply 25 with the code within a reasonable time, the chair and 26 ranking member may dismiss the complaint with prejudice 27 for failure to prosecute. 28 b. Service of complaint on respondent. Upon 29 receipt of any complaint substantially complying 30 -8- LSB 1354SC (9) 84 tm/rj 8/ 24

S.R. _____ with the requirements of this code of ethics, the 1 chairperson of the ethics committee shall cause a copy 2 of the complaint and any supporting information to 3 be delivered promptly to the respondent, requesting 4 a written response to be filed within ten days. The 5 response may do any of the following: 6 (1) Admit or deny the allegation or allegations. 7 (2) Object that the allegation fails to allege a 8 violation of chapter 68B or the code of ethics. 9 (3) Object to the jurisdiction of the committee. 10 (4) Request a more specific statement of the 11 allegation or allegations. 12 c. Objection to member. In addition to the 13 items which may be included in a response pursuant 14 to paragraph “b”, the response may also include an 15 objection to the participation of any member of the 16 committee in the consideration of the allegation or 17 allegations on the grounds that the member cannot 18 render an impartial and unbiased decision. 19 d. Extension of time. At the request of the 20 respondent and upon a showing of good cause, the 21 committee, or the chairperson and ranking member, 22 may extend the time for response, not to exceed ten 23 additional days. 24 e. Confidentiality. If a complaint is not 25 otherwise made public, the members of the committee 26 shall treat the complaint and all supporting 27 information as confidential until the written response 28 is received from the respondent. 29 f. Communications with ethics committee. After a 30 -9- LSB 1354SC (9) 84 tm/rj 9/ 24

S.R. _____ complaint has been filed or an investigation has been 1 initiated, a party to the complaint or investigation 2 shall not communicate, or cause another to communicate, 3 as to the merits of the complaint or investigation with 4 a member of the committee, except under the following 5 circumstances: 6 (1) During the course of any meetings or other 7 official proceedings of the committee regarding the 8 complaint or investigation. 9 (2) In writing, if a copy of the writing is 10 delivered to the adverse party or the designated 11 representative for the adverse party. 12 (3) Orally, if adequate prior notice of the 13 communication is given to the adverse party or the 14 designated representative for the adverse party. 15 (4) As otherwise authorized by statute, the senate 16 code of ethics, the senate rules governing lobbyists, 17 or vote of the committee. 18 g. Scheduling hearing. Upon receipt of the 19 response, the committee shall schedule a public meeting 20 to review the complaint and available information, and 21 shall do one of the following : 22 (1) Notify the complainant that no further 23 action will be taken, unless further substantiating 24 information is produced , or . 25 (2) Dismiss the complaint for failure to meet the 26 statutory and code of ethics requirements for valid 27 complaints , or . 28 (3) Take action on the complaint without requesting 29 the appointment of an independent special counsel 30 -10- LSB 1354SC (9) 84 tm/rj 10/ 24

S.R. _____ if the committee determines the complaint is valid 1 and determines no dispute exists between the parties 2 regarding the material facts that establish a 3 violation. The committee may do any of the following: 4 (a) Issue an admonishment to advise against the 5 conduct that formed the basis for the complaint and to 6 exercise care in the future. 7 (b) Issue an order to cease and desist the conduct 8 that formed the basis for the complaint. 9 (c) Make a recommendation to the senate that 10 the person subject to the complaint be censured or 11 reprimanded. 12 (3) (4) Request that the chief justice of the 13 supreme court appoint an independent special counsel 14 to conduct an investigation of the complaint and 15 supporting information, to make a determination of 16 probable cause, and to report the findings to the 17 committee, which shall be received within a reasonable 18 time. 19 h. Public hearing. If independent special counsel 20 is appointed, upon receipt of the report of independent 21 special counsel’s findings, the committee shall 22 schedule a public meeting to review the report and 23 shall do either of the following: 24 (1) Cause the complaint to be scheduled for a 25 public hearing. 26 (2) Dismiss the complaint based upon a 27 determination by independent special counsel and the 28 committee that insufficient evidence exists to support 29 a finding of probable cause. 30 -11- LSB 1354SC (9) 84 tm/rj 11/ 24

S.R. _____ 19. HEARING PROCEDURE. 1 a. Notice of hearing. If the committee causes 2 a complaint to be scheduled for a public hearing, 3 notice of the hearing date and time shall be given to 4 the complainant and respondent in writing, and of the 5 respondent’s right to appear in person, be represented 6 by legal counsel, present statements and evidence, and 7 examine and cross-examine witnesses. The committee 8 shall not be bound by formal rules of evidence, but 9 shall receive relevant evidence, subject to limitations 10 on repetitiveness. Any evidence taken shall be under 11 oath. 12 b. Subpoena power. The committee may require, by 13 subpoena or otherwise, the attendance and testimony of 14 witnesses and the production of such books, records, 15 correspondence, memoranda, papers, documents, and any 16 other things it deems necessary to the conduct of the 17 inquiry. 18 c. Ex post facto. An investigation shall not be 19 undertaken by the committee of a violation of a law, 20 rule, or standard of conduct that is not in effect at 21 the time of violation. 22 d. Disqualification of member. Members of the 23 committee may disqualify themselves from participating 24 in any investigation of the conduct of another person 25 upon submission of a written statement that the member 26 cannot render an impartial and unbiased decision 27 in a case. A member may also be disqualified by a 28 unanimous vote of the remaining eligible members of the 29 committee. 30 -12- LSB 1354SC (9) 84 tm/rj 12/ 24

S.R. _____ A member of the committee is ineligible to 1 participate in committee meetings, as a member of the 2 committee, in any proceeding relating to the member’s 3 own official conduct. 4 If a member of the committee is disqualified or 5 ineligible to act, the majority or minority leader who 6 appointed the member shall appoint a replacement member 7 to serve as a member of the committee during the period 8 of disqualification or ineligibility. 9 e. Hearing. At the hearing, the chairperson shall 10 open the hearing by stating the charges, the purpose of 11 the hearing, and its scope. The burden of proof rests 12 upon the complainant to establish the facts as alleged, 13 by clear and convincing evidence. However, questioning 14 of witnesses shall be conducted by the members of the 15 committee, by independent special counsel, or by a 16 senator. The chairperson shall also permit questioning 17 by legal counsel representing the complainant or 18 respondent. 19 The chairperson or other member of the committee 20 presiding at a hearing shall rule upon procedural 21 questions or any question of admissibility of evidence 22 presented to the committee. Rulings may be reversed by 23 a majority vote of the committee members present. 24 The committee may continue the hearing to a future 25 date if necessary for appropriate reasons or purposes. 26 f. Committee action. Upon receipt of all relevant 27 evidence and arguments, the committee shall consider 28 the same and recommend to the senate any of the 29 following : 30 -13- LSB 1354SC (9) 84 tm/rj 13/ 24

S.R. _____ (1) That the complaint be dismissed , or . 1 (2) That the senator or lobbyist be censured or 2 reprimanded, and recommend the appropriate form of 3 censure or reprimand , or . 4 (3) Any other appropriate sanction, including 5 suspension or expulsion from membership in the senate, 6 or suspension of lobbying privileges. 7 g. Disposition resolution. By appropriate 8 resolution, the senate may amend, adopt, or reject 9 the report of the ethics committee, including the 10 committee’s recommendations regarding disciplinary 11 action. 12 20. COMMITTEE AUTHORIZED TO MEET. The senate 13 ethics committee is authorized to meet at the 14 discretion of the chairperson to conduct hearings and 15 other business that properly may come before it. If 16 the committee submits a report seeking senate action 17 against a senator or lobbyist after the second regular 18 session of a general assembly has adjourned sine die, 19 the report shall be submitted to and considered by 20 the subsequent general assembly. However, the report 21 may be submitted to and considered during any special 22 session which may take place after the second regular 23 session of a general assembly has adjourned sine die, 24 but before the convening of the next general assembly. 25 21. ADVISORY OPINIONS. 26 a. Requests for formal opinions. A request for a 27 formal advisory opinion may be filed by any person who 28 is subject to the authority of the ethics committee. 29 The ethics committee may also issue a formal advisory 30 -14- LSB 1354SC (9) 84 tm/rj 14/ 24

S.R. _____ opinion on its own motion, without having previously 1 received a formal request for an opinion, on any issue 2 that is within the jurisdiction of the committee. 3 Requests shall be filed with either the secretary of 4 the senate or the chairperson of the ethics committee. 5 b. Form and contents of requests. A request for 6 a formal advisory opinion shall be in writing and 7 may pertain to any subject matter that is related to 8 the application of the senate code of ethics, the 9 senate rules governing lobbyists, or chapter 68B of 10 the Code to any person who is subject to the authority 11 of the ethics committee. Requests shall contain one 12 or more specific questions and shall relate either to 13 future conduct or be stated in the hypothetical. A 14 request for an advisory opinion shall not specifically 15 name any individual or contain any other specific 16 identifying information, unless the request relates 17 to the requester’s own conduct. However, any request 18 may contain information which identifies the kind of 19 individual who may be affected by the subject matter 20 of the request. Examples of this latter kind of 21 identifying information may include references to 22 conduct of a category of individuals, such as but not 23 limited to conduct of legislators, legislative staff, 24 or lobbyists , or clients of lobbyists . 25 c. Confidentiality of formal requests and opinions. 26 Requests for formal opinions are not confidential and 27 any deliberations of the committee regarding a request 28 for a formal opinion shall be public. Opinions issued 29 in response to requests for formal opinions are not 30 -15- LSB 1354SC (9) 84 tm/rj 15/ 24

S.R. _____ confidential, shall be in writing, and shall be placed 1 on file in the office of the secretary of the senate. 2 Persons requesting formal opinions shall personally 3 receive a copy of the written formal opinion that is 4 issued in response to the request. 5 22. CALCULATION OF TIME —— DAYS. For purposes of 6 these rules, unless the context otherwise requires, 7 the word “day” or “days” shall mean a calendar day 8 except that if the day is the last day of a specific 9 time period and falls upon a Saturday, Sunday, or legal 10 holiday, the time prescribed shall be extended so as to 11 include the whole of the next day in which the offices 12 of the senate and the general assembly are open for 13 official business. 14 23. COMPLAINT FILING FORM. The following form 15 shall be used to file a complaint under these rules: 16 THE SENATE 17 Ethics Complaint Form 18 Re: ______________________________ (Senator/Lobbyist), 19 of _____________________, Iowa. 20 I, ________________________ (Complainant), residing 21 at ____________________, in the City of ______________, 22 State of ________________________, hereby complain that 23 _____________________________ (Senator/Lobbyist), whose 24 address is ___________________________________________, 25 has violated the Senate Code of Ethics or Senate Rules 26 Governing Lobbyists in that: 27 (Explain the basis for the complaint here. Use 28 additional pages, if necessary.) 29 Under penalty of perjury, I certify that the above 30 -16- LSB 1354SC (9) 84 tm/rj 16/ 24

S.R. _____ complaint is true and correct as I verily believe. 1 ___________________________ 2 Signature of Complainant 3 SUBSCRIBED AND AFFIRMED to before me this __________ 4 day of ________________________, _______. 5 ________________________________ 6 Notary Public in and for the 7 State of ______________________ 8 24. COMPLAINT NOTICE FORM. The following form 9 shall be used for notice of a complaint under these 10 rules: 11 STATE OF IOWA 12 THE SENATE 13 COMMITTEE ON ETHICS ) 14 IOWA STATE SENATE ) 15 ) 16 On The Complaint Of ) NOTICE OF COMPLAINT 17 ) 18 ___________________________ ) 19 ) 20 And Involving ) 21 ) 22 ___________________________ ) 23 ) 24 TO ________________________________, 25 Senator or Lobbyist named above: 26 You are hereby notified that there is now on file 27 with the Secretary of the Senate, State Capitol, Des 28 Moines, Iowa, a complaint which alleges that you have 29 committed a violation of the Senate’s Code of Ethics or 30 -17- LSB 1354SC (9) 84 tm/rj 17/ 24

S.R. _____ Senate Rules Governing Lobbyists. 1 A copy of the complaint and the Senate rules for 2 processing the same are attached hereto and made a part 3 of this notice. 4 You are further notified and requested to file your 5 written answer to the complaint within ten days of the 6 date upon which the notice was caused to be delivered 7 to you, (date) ________________________, ________. 8 Your answer is to be filed with the Secretary of the 9 Senate, State Capitol, Des Moines, Iowa. 10 Dated this ________ day of ________________, ______. 11 ________________________________ 12 Chair, Senate Ethics Committee, 13 or Secretary of the Senate 14 25. HEARING NOTICE FORM. The following form shall 15 be used for notice of a hearing under these rules: 16 STATE OF IOWA 17 THE SENATE 18 COMMITTEE ON ETHICS ) 19 IOWA STATE SENATE ) 20 ) 21 On The Complaint Of ) NOTICE OF HEARING 22 ) 23 ___________________________ ) 24 ) 25 And Involving ) 26 ) 27 ___________________________ ) 28 ) 29 TO ________________________________, 30 -18- LSB 1354SC (9) 84 tm/rj 18/ 24

S.R. _____ Senator or Lobbyist named above: 1 You are hereby notified that there is now on file 2 with the Secretary of the Senate, State Capitol, Des 3 Moines, Iowa, a complaint which alleges that you have 4 committed a violation of the Senate’s Code of Ethics or 5 Senate Rules Governing Lobbyists. 6 A copy of the complaint and the Senate rules for 7 processing the same are attached hereto and made a part 8 of this notice. 9 You are further notified that, after preliminary 10 review, the committee has caused a public hearing to be 11 scheduled on (date)___________________, ________, at 12 (hour) ___________ (a.m.) (p.m.), in Room ____, State 13 Capitol, Des Moines, Iowa. 14 At the hearing, you will have the right to appear 15 in person, be represented by legal counsel at your own 16 expense, present statements and evidence, and examine 17 and cross-examine witnesses. The committee shall 18 not be bound by formal rules of evidence, but shall 19 receive relevant evidence, subject to limitations on 20 repetitiveness. Any evidence taken shall be under 21 oath. 22 The committee may continue the hearing to a future 23 date if necessary for appropriate reasons or purposes. 24 You are further notified that the committee will 25 receive such evidence and take such action as warranted 26 by the evidence. 27 Dated this _____ day of ________________, ______. 28 ________________________________ 29 Chair, Senate Ethics Committee, 30 -19- LSB 1354SC (9) 84 tm/rj 19/ 24

S.R. _____ or Secretary of the Senate 1 26. PERSONAL FINANCIAL DISCLOSURE FORM. The 2 following form shall be used for disclosure of economic 3 interests under these rules and section 68B.35: 4 STATEMENT OF ECONOMIC INTERESTS 5 Name:________________________________________________ 6 (Last) (First) (Middle Initial) 7 Address:_____________________________________________ 8 (Street Address, Apt.#/P.O. Box) 9 ______________________________________________ 10 (City) (State) (Zip) 11 Phone:(Home) ____/____-_____(Business) ____/____-_____ 12 ****************************************************** 13 a. Please list each business, occupation, or 14 profession in which you are engaged. In listing 15 the business, occupation, or profession, it is 16 not necessary that your employer or the name of 17 the business be listed, although all businesses, 18 occupations, or professions must be listed, regardless 19 of the amount of income derived or time spent 20 participating in the activity. (Examples of types 21 of businesses, occupations, or professions that may 22 be listed: teacher, lawyer, legislator, real estate 23 agent, insurance adjuster, salesperson....) 24 (1) __________________________________________________ 25 (2) __________________________________________________ 26 (3) __________________________________________________ 27 (4) __________________________________________________ 28 (5) __________________________________________________ 29 b. Please list the nature of each of the 30 -20- LSB 1354SC (9) 84 tm/rj 20/ 24

S.R. _____ businesses, occupations, or professions which you 1 listed in paragraph “a”, above, unless the nature of 2 the business, occupation, or profession is already 3 apparent from the information indicated above. The 4 descriptions in this paragraph should correspond by 5 number to the numbers for each of the businesses, 6 occupations, or professions listed in paragraph “a”. 7 (Examples: If you indicated, for example, that you 8 were a salesperson in subparagraph (1) of paragraph 9 “a”, you should list in subparagraph (1) of this 10 paragraph the types of goods or services sold in this 11 item. If you indicated that you were a teacher in 12 subparagraph (2) of paragraph “a”, you should indicate 13 in subparagraph (2) of this paragraph the type of 14 school or institution in which you provide instruction 15 or whether the instruction is provided on a private 16 basis. If you indicated that you were a lawyer in 17 subparagraph (3) of paragraph “a”, you should indicate 18 your areas of practice and whether you are in private, 19 corporate, or government practice in subparagraph (3) 20 of this paragraph. If you indicated in subparagraph 21 (4) of paragraph “a” that you were a consultant, in 22 subparagraph (4) of this paragraph you should indicate 23 the kind of services provided and types of clients 24 served.) 25 (1) __________________________________________________ 26 (2) __________________________________________________ 27 (3) __________________________________________________ 28 (4) __________________________________________________ 29 (5) __________________________________________________ 30 -21- LSB 1354SC (9) 84 tm/rj 21/ 24

S.R. _____ c. Please list each source, by general description, 1 from which you receive, or which generates, more than 2 one thousand dollars in gross annual income in the 3 categories listed below. For purposes of this item, 4 a source produces gross annual income if the revenue 5 produced by the source is subject to federal or state 6 income taxes. In completing this item, it is not 7 necessary to list the name of the company, business, 8 financial institution, corporation, partnership, or 9 other entity which constitutes the source of the income 10 and the amount or value of the holding should not be 11 listed. 12 (1) Securities (Here for example, you need not 13 state that you own X number of shares of any specific 14 company by brand or corporate name, or that the stock 15 is of a certain value, but may instead state that you 16 possess stock in a company and indicate the nature of 17 the company’s business.): 18 ______________________________________________________ 19 ______________________________________________________ 20 ______________________________________________________ 21 ______________________________________________________ 22 ______________________________________________________ 23 (2) Instruments of Financial Institutions (You 24 need not indicate, for example, in which institutions 25 you hold certificates of deposit that produce annual 26 income over the one thousand dollar threshold, but 27 simply listing the nature of the institution will 28 suffice, e.g., bank, credit union, or savings and loan 29 association.): 30 -22- LSB 1354SC (9) 84 tm/rj 22/ 24

S.R. _____ ______________________________________________________ 1 ______________________________________________________ 2 ______________________________________________________ 3 ______________________________________________________ 4 ______________________________________________________ 5 (3) Trusts (The name of the particular trust need 6 not be listed. However, if the income is received 7 from a charitable trust/foundation, such as the Pugh 8 Charitable Trust, in the form of a grant, the fact that 9 the trust is a charitable trust should be noted here.): 10 ______________________________________________________ 11 ______________________________________________________ 12 ______________________________________________________ 13 ______________________________________________________ 14 ______________________________________________________ 15 (4) Real Estate (When listing real estate, it is 16 not necessary to list the location of the property, but 17 the general nature of the real estate interest should 18 be indicated, e.g., residential leasehold interest or 19 farm leasehold interest.): 20 ______________________________________________________ 21 ______________________________________________________ 22 ______________________________________________________ 23 ______________________________________________________ 24 ______________________________________________________ 25 (5) Retirement Systems (When listing retirement 26 benefits, it is not necessary to list the name of 27 the particular pension system or company, but rather 28 the type of benefit should be listed, e.g., health 29 benefits, life insurance benefits, private pension, or 30 -23- LSB 1354SC (9) 84 tm/rj 23/ 24

S.R. _____ government pension.): 1 ______________________________________________________ 2 ______________________________________________________ 3 ______________________________________________________ 4 ______________________________________________________ 5 ______________________________________________________ 6 (6) Other Income Categories Specified in State or 7 Federal Income Tax Regulations (List description of 8 other sources of income producing over one thousand 9 dollars in annual income not previously reported above, 10 but which must be reported for income tax purposes.): 11 ______________________________________________________ 12 ______________________________________________________ 13 ______________________________________________________ 14 ______________________________________________________ 15 ______________________________________________________ 16 ______________________________________________________ 17 _______________________________ ___________________ 18 (Signature of filer) (Date) 19 -24- LSB 1354SC (9) 84 tm/rj 24/ 24