Senate Study Bill 1062 - Introduced SENATE RESOLUTION NO. _____ BY (PROPOSED COMMITTEE ON ETHICS RESOLUTION BY CHAIRPERSON HORN) 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-fifth General Assembly. 4 BE IT RESOLVED BY THE SENATE, That the Senate Code 5 of Ethics for the Eighty-fourth Eighty-fifth 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 to 14 conduct themselves so as to reflect credit on the 15 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 1564SC (2) 85 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 1564SC (2) 85 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 or from an organization 6 exempt from taxation under section 501(c)(4), 7 501(c)(6), or 527 of the Internal Revenue Code that 8 engages in activities related to the nomination, 9 election, or defeat of a candidate for public office. 10 A senator may accept employment from a political 11 party, but shall disclose the employment relationship 12 in writing to the secretary of the senate within ten 13 days after the beginning of each legislative session. 14 If a senator accepts employment from a political 15 party during a legislative session, the senator shall 16 disclose the employment relationship within ten days 17 after acceptance of the employment. 18 For the purpose of this rule, a political action 19 committee means a committee, but not a candidate’s 20 committee, which accepts contributions, makes 21 expenditures, or incurs indebtedness in the aggregate 22 of more than seven hundred fifty dollars in any one 23 calendar year to expressly advocate the nomination, 24 election, or defeat of a candidate for public office 25 or to expressly advocate the passage or defeat of 26 a ballot issue or influencing legislative action, 27 or an association, lodge, society, cooperative, 28 union, fraternity, sorority, educational institution, 29 civic organization, labor organization, religious 30 -3- LSB 1564SC (2) 85 tm/rj 3/ 24

S.R. _____ organization, or professional organization which makes 1 contributions in the aggregate of more than seven 2 hundred fifty dollars in any one calendar year to 3 expressly advocate the nomination, election, or defeat 4 of a candidate for public office or ballot issue or 5 influencing legislative action. 6 7. ECONOMIC INTERESTS OF LOBBYIST. With the 7 exception of exercising unfettered discretion in 8 supporting or refusing to support proposed legislation, 9 a senator shall not take action intended to affect the 10 economic interests of a lobbyist or citizen supporting 11 or opposing proposed legislation. 12 8. APPEARANCE BEFORE GOVERNMENTAL AGENCY. A 13 senator may appear before a governmental agency or 14 board in any representation case, except that the 15 senator shall not act as a lobbyist. Whenever a 16 senator appears before a governmental agency or board, 17 the senator shall carefully avoid all conduct which 18 might in any way lead members of the general public 19 to conclude that the senator is using the senator’s 20 official position to further the senator’s professional 21 success or personal financial interest. 22 9. CONFLICTS OF INTERESTS. In order to permit the 23 general assembly to function effectively, a senator 24 will sometimes be required to vote on bills and 25 participate in committee work which will affect the 26 senator’s employment and other monetary interests. In 27 making a decision relative to the senator’s activity on 28 given bills or committee work which are subject to the 29 code, the following factors shall be considered: 30 -4- LSB 1564SC (2) 85 tm/rj 4/ 24

S.R. _____ a. Whether a substantial threat to the senator’s 1 independence of judgment has been created by the 2 conflict situation. 3 b. The effect of the senator’s participation on 4 public confidence in the integrity of the legislature. 5 c. The need for the senator’s particular 6 contribution, such as special knowledge of the 7 subject matter, to the effective functioning of the 8 legislature. 9 A senator with a conflict of interest may 10 participate in floor debate if prior to debate the 11 senator indicates the conflict of interest. 12 10. GIFTS. Except as otherwise provided in section 13 68B.22, a senator, or that person’s immediate family 14 member, shall not, directly or indirectly, accept or 15 receive any gift or series of gifts from a restricted 16 donor. 17 11. DISCLOSURE REQUIRED. Each senator shall file 18 with the secretary of the senate within ten days after 19 the adoption of the code of ethics by the senate, and 20 within ten days after the convening of the second 21 session of the general assembly, a statement under 22 section 68B.35 on forms provided by the secretary of 23 the senate setting forth the following information: 24 The nature of each business in which the senator 25 is engaged and the nature of the business of each 26 company in which the senator has a financial interest. 27 A senator shall not be required to file a report or 28 be assumed to have a financial interest if the annual 29 income derived from the investment in stocks, bonds, 30 -5- LSB 1564SC (2) 85 tm/rj 5/ 24

S.R. _____ bills, notes, mortgages, or other securities offered 1 for sale through recognized financial brokers is less 2 than one thousand dollars. 3 Disclosures required under this rule shall be as 4 of the date filed unless provided to the contrary, 5 and shall be amended to include interests and changes 6 encompassed by this rule that occur while the general 7 assembly is in session. All filings under this rule 8 shall be open to public inspection in the office of the 9 secretary of the senate at all reasonable times. 10 The secretary of the senate shall inform the 11 ethics committee of the statements which are filed 12 and shall report to the ethics committee the names of 13 any senators who appear not to have filed complete 14 statements. The chairperson of the ethics committee 15 shall request in writing that a senator who has failed 16 to complete the report or appears to have filed an 17 incomplete report do so within five days, and, upon 18 the failure of the senator to comply, the ethics 19 committee shall require the senator to appear before 20 the committee. 21 12. STATUTORY VIOLATIONS. Members of the general 22 assembly are urged to familiarize themselves with 23 chapters 68B, 721, and 722. 24 13. CHARGE ACCOUNTS. Senators shall not charge any 25 amount or item to any charge account to be paid for by 26 any lobbyist or any client the lobbyist represents. 27 14. TRAVEL EXPENSES. A senator shall not charge 28 to the state of Iowa amounts for travel and expenses 29 unless the senator actually has incurred those mileage 30 -6- LSB 1564SC (2) 85 tm/rj 6/ 24

S.R. _____ and expense costs. Senators shall not file the 1 vouchers for weekly mileage reimbursement required 2 by section 2.10, subsection 1, unless the travel 3 was actually incurred at commensurate expense to the 4 senator. 5 15. COMPLAINTS. Complaints or charges against 6 any senator or any lobbyist shall be in writing, made 7 under oath, and filed with the secretary of the senate 8 or the chairperson of the ethics committee. If filed 9 with the secretary of the senate, the secretary shall 10 immediately advise the chairperson of the ethics 11 committee of the receipt of the complaint. 12 Complaint forms shall be available from the 13 secretary of the senate, or the chairperson of the 14 ethics committee, but a complaint shall not be rejected 15 for failure to use an approved form if the complaint 16 substantially complies with senate requirements. 17 A complainant may submit exhibits and affidavits 18 attached to the complaint. 19 16. FILING OF COMPLAINTS. 20 a. Persons entitled. Complaints may be filed by any 21 person believing that a senator, lobbyist, or client 22 of a lobbyist has violated the senate ethics code, the 23 senate joint rules governing lobbyists, or chapter 68B 24 of the Iowa Code. A violation of the criminal law may 25 be considered to be a violation of this code of ethics 26 if the violation constitutes a serious misdemeanor or 27 greater, or a repetitive and flagrant violation of the 28 law. 29 b. Committee complaint. The ethics committee 30 -7- LSB 1564SC (2) 85 tm/rj 7/ 24

S.R. _____ may, upon its own motion, initiate a complaint, 1 investigation, or disciplinary action. 2 c. Timeliness of filing. A complaint will be 3 considered to be timely filed if it is filed within 4 three years of the occurrence of the alleged violation 5 of the ethics code. 6 17. PERMANENT RECORD. The secretary of the senate 7 shall maintain a permanent record of all complaints 8 filed, evidence received by the committee, and any 9 transcripts or other recordings made of committee 10 proceedings, including a separate card file containing 11 the date filed, name and address of the complainant, 12 name and address of the respondent, a brief statement 13 of the charges made, and ultimate disposition of 14 the complaint. The secretary shall keep each such 15 complaint confidential until public disclosure is made 16 by the ethics committee. 17 18. PREHEARING PROCEDURE. 18 a. Defective complaint. Upon receipt of a 19 complaint, the chairperson and ranking member of the 20 ethics committee shall determine whether the complaint 21 substantially complies with the requirements of this 22 code of ethics and section 68B.31, subsection 6. If 23 the complaint does not substantially comply with 24 the requirements for formal sufficiency under the 25 code of ethics, the complaint may be returned to the 26 complainant with a statement that the complaint is not 27 in compliance with the code and a copy of the code. 28 If the complainant fails to amend the complaint to 29 comply with the code within a reasonable time, the 30 -8- LSB 1564SC (2) 85 tm/rj 8/ 24

S.R. _____ chair chairperson and ranking member may dismiss the 1 complaint with prejudice for failure to prosecute. 2 b. Service of complaint on respondent. Upon 3 receipt of any complaint substantially complying 4 with the requirements of this code of ethics, the 5 chairperson of the ethics committee shall cause a copy 6 of the complaint and any supporting information to 7 be delivered promptly to the respondent, requesting 8 a written response to be filed within ten days. The 9 response may do any of the following: 10 (1) Admit or deny the allegation or allegations. 11 (2) Object that the allegation fails to allege a 12 violation of chapter 68B or the code of ethics. 13 (3) Object to the jurisdiction of the committee. 14 (4) Request a more specific statement of the 15 allegation or allegations. 16 c. Objection to member. In addition to the 17 items which may be included in a response pursuant 18 to paragraph “b”, the response may also include an 19 objection to the participation of any member of the 20 committee in the consideration of the allegation or 21 allegations on the grounds that the member cannot 22 render an impartial and unbiased decision. 23 d. Extension of time. At the request of the 24 respondent and upon a showing of good cause, the 25 committee, or the chairperson and ranking member, 26 may extend the time for response, not to exceed ten 27 additional days. 28 e. Confidentiality. If a complaint is not 29 otherwise made public, the members of the committee 30 -9- LSB 1564SC (2) 85 tm/rj 9/ 24

S.R. _____ shall treat the complaint and all supporting 1 information as confidential until the written response 2 is received from the respondent. 3 f. Communications with ethics committee. After a 4 complaint has been filed or an investigation has been 5 initiated, a party to the complaint or investigation 6 shall not communicate, or cause another to communicate, 7 as to the merits of the complaint or investigation with 8 a member of the committee, except under the following 9 circumstances: 10 (1) During the course of any meetings or other 11 official proceedings of the committee regarding the 12 complaint or investigation. 13 (2) In writing, if a copy of the writing is 14 delivered to the adverse party or the designated 15 representative for the adverse party. 16 (3) Orally, if adequate prior notice of the 17 communication is given to the adverse party or the 18 designated representative for the adverse party. 19 (4) As otherwise authorized by statute, the senate 20 code of ethics, the senate joint rules governing 21 lobbyists, or vote of the committee. 22 g. Scheduling hearing. Upon receipt of the 23 response, the committee shall schedule a public meeting 24 to review the complaint and available information, and 25 shall do one of the following: 26 (1) Notify the complainant that no further 27 action will be taken, unless further substantiating 28 information is produced. 29 (2) Dismiss the complaint for failure to meet the 30 -10- LSB 1564SC (2) 85 tm/rj 10/ 24

S.R. _____ statutory and code of ethics requirements for valid 1 complaints. 2 (3) Take action on the complaint without requesting 3 the appointment of an independent special counsel 4 if the committee determines the complaint is valid 5 and determines no dispute exists between the parties 6 regarding the material facts that establish a 7 violation. The committee may do any of the following: 8 (a) Issue an admonishment to advise against the 9 conduct that formed the basis for the complaint and to 10 exercise care in the future. 11 (b) Issue an order to cease and desist the conduct 12 that formed the basis for the complaint. 13 (c) Make a recommendation to the senate that 14 the person subject to the complaint be censured or 15 reprimanded. 16 (4) Request that the chief justice of the supreme 17 court appoint an independent special counsel to conduct 18 an investigation of the complaint and supporting 19 information, to make a determination of probable cause, 20 and to report the findings to the committee, which 21 shall be received within a reasonable time. 22 h. Public hearing. If independent special counsel 23 is appointed, upon receipt of the report of independent 24 special counsel’s findings, the committee shall 25 schedule a public meeting to review the report and 26 shall do either of the following: 27 (1) Cause the complaint to be scheduled for a 28 public hearing. 29 (2) Dismiss the complaint based upon a 30 -11- LSB 1564SC (2) 85 tm/rj 11/ 24

S.R. _____ determination by independent special counsel and the 1 committee that insufficient evidence exists to support 2 a finding of probable cause. 3 19. HEARING PROCEDURE. 4 a. Notice of hearing. If the committee causes a 5 complaint to be scheduled for a public hearing, notice 6 of the hearing date and time shall be given to the 7 complainant and respondent in writing, and of the 8 respondent’s right to appear in person, be represented 9 by legal counsel, present statements and evidence, and 10 examine and cross-examine witnesses. The committee 11 shall not be bound by formal rules of evidence, but 12 shall receive relevant evidence, subject to limitations 13 on repetitiveness. Any evidence taken shall be under 14 oath. 15 b. Subpoena power. The committee may require, by 16 subpoena or otherwise, the attendance and testimony of 17 witnesses and the production of such books, records, 18 correspondence, memoranda, papers, documents, and any 19 other things it deems necessary to the conduct of the 20 inquiry. 21 c. Ex post facto. An investigation shall not be 22 undertaken by the committee of a violation of a law, 23 rule, or standard of conduct that is not in effect at 24 the time of violation. 25 d. Disqualification of member. Members of the 26 committee may disqualify themselves from participating 27 in any investigation of the conduct of another person 28 upon submission of a written statement that the member 29 cannot render an impartial and unbiased decision 30 -12- LSB 1564SC (2) 85 tm/rj 12/ 24

S.R. _____ in a case. A member may also be disqualified by a 1 unanimous vote of the remaining eligible members of the 2 committee. 3 A member of the committee is ineligible to 4 participate in committee meetings, as a member of the 5 committee, in any proceeding relating to the member’s 6 own official conduct. 7 If a member of the committee is disqualified or 8 ineligible to act, the majority or minority leader who 9 appointed the member shall appoint a replacement member 10 to serve as a member of the committee during the period 11 of disqualification or ineligibility. 12 e. Hearing. At the hearing, the chairperson shall 13 open the hearing by stating the charges, the purpose of 14 the hearing, and its scope. The burden of proof rests 15 upon the complainant to establish the facts as alleged, 16 by clear and convincing evidence. However, questioning 17 of witnesses shall be conducted by the members of the 18 committee, by independent special counsel, or by a 19 senator. The chairperson shall also permit questioning 20 by legal counsel representing the complainant or 21 respondent. 22 The chairperson or other member of the committee 23 presiding at a hearing shall rule upon procedural 24 questions or any question of admissibility of evidence 25 presented to the committee. Rulings may be reversed by 26 a majority vote of the committee members present. 27 The committee may continue the hearing to a future 28 date if necessary for appropriate reasons or purposes. 29 f. Committee action. Upon receipt of all relevant 30 -13- LSB 1564SC (2) 85 tm/rj 13/ 24

S.R. _____ evidence and arguments, the committee shall consider 1 the same and recommend to the senate any of the 2 following: 3 (1) That the complaint be dismissed. 4 (2) That the senator, lobbyist, or client of a 5 lobbyist be censured or reprimanded, and recommend the 6 appropriate form of censure or reprimand. 7 (3) Any other appropriate sanction, including 8 suspension or expulsion from membership in the senate, 9 or suspension of lobbying privileges. 10 g. Disposition resolution. By appropriate 11 resolution, the senate may amend, adopt, or reject 12 the report of the ethics committee, including the 13 committee’s recommendations regarding disciplinary 14 action. 15 20. COMMITTEE AUTHORIZED TO MEET. The senate 16 ethics committee is authorized to meet at the 17 discretion of the chairperson to conduct hearings and 18 other business that properly may come before it. If 19 the committee submits a report seeking senate action 20 against a senator, lobbyist, or client of a lobbyist 21 after the second regular session of a general assembly 22 has adjourned sine die, the report shall be submitted 23 to and considered by the subsequent general assembly. 24 However, the report may be submitted to and considered 25 during any special session which may take place after 26 the second regular session of a general assembly has 27 adjourned sine die, but before the convening of the 28 next general assembly. 29 21. ADVISORY OPINIONS. 30 -14- LSB 1564SC (2) 85 tm/rj 14/ 24

S.R. _____ a. Requests for formal opinions. A request for a 1 formal advisory opinion may be filed by any person who 2 is subject to the authority of the ethics committee. 3 The ethics committee may also issue a formal advisory 4 opinion on its own motion, without having previously 5 received a formal request for an opinion, on any issue 6 that is within the jurisdiction of the committee. 7 Requests shall be filed with either the secretary of 8 the senate or the chairperson of the ethics committee. 9 b. Form and contents of requests. A request for 10 a formal advisory opinion shall be in writing and may 11 pertain to any subject matter that is related to the 12 application of the senate code of ethics, the senate 13 joint rules governing lobbyists, or chapter 68B of the 14 Code to any person who is subject to the authority of 15 the ethics committee. Requests shall contain one or 16 more specific questions and shall relate either to 17 future conduct or be stated in the hypothetical. A 18 request for an advisory opinion shall not specifically 19 name any individual or contain any other specific 20 identifying information, unless the request relates 21 to the requester’s own conduct. However, any request 22 may contain information which identifies the kind 23 of individual who may be affected by the subject 24 matter of the request. Examples of this latter kind 25 of identifying information may include references to 26 conduct of a category of individuals, such as but not 27 limited to conduct of legislators, legislative staff, 28 lobbyists, or clients of lobbyists. 29 c. Confidentiality of formal requests and opinions. 30 -15- LSB 1564SC (2) 85 tm/rj 15/ 24

S.R. _____ Requests for formal opinions are not confidential and 1 any deliberations of the committee regarding a request 2 for a formal opinion shall be public. Opinions issued 3 in response to requests for formal opinions are not 4 confidential, shall be in writing, and shall be placed 5 on file in the office of the secretary of the senate. 6 Persons requesting formal opinions shall personally 7 receive a copy of the written formal opinion that is 8 issued in response to the request. 9 22. CALCULATION OF TIME —— DAYS. For purposes of 10 these rules, unless the context otherwise requires, 11 the word “day” or “days” shall mean a calendar day 12 except that if the day is the last day of a specific 13 time period and falls upon a Saturday, Sunday, or legal 14 holiday, the time prescribed shall be extended so as to 15 include the whole of the next day in which the offices 16 of the senate and the general assembly are open for 17 official business. 18 23. COMPLAINT FILING FORM. The following form 19 shall be used to file a complaint under these rules: 20 THE SENATE 21 Ethics Complaint Form 22 Re: ______________________________ 23 (Senator/Lobbyist /Client of Lobbyist ), of 24 _____________________, Iowa. 25 I, ________________________ (Complainant), 26 residing at ____________________, in the City of 27 ______________, State of ________________________, 28 hereby complain that _____________________________ 29 (Senator/Lobbyist /Client of Lobbyist ), whose address 30 -16- LSB 1564SC (2) 85 tm/rj 16/ 24

S.R. _____ is ___________________________________________, has 1 violated the Senate Code of Ethics or Senate Joint 2 Rules Governing Lobbyists in that: 3 (Explain the basis for the complaint here. Use 4 additional pages, if necessary.) 5 Under penalty of perjury, I certify that the above 6 complaint is true and correct as I verily believe. 7 ___________________________ 8 Signature of Complainant 9 SUBSCRIBED AND AFFIRMED to before me this __________ 10 day of ________________________, _______. 11 ________________________________ 12 Notary Public in and for the 13 State of ______________________ 14 24. COMPLAINT NOTICE FORM. The following form 15 shall be used for notice of a complaint under these 16 rules: 17 STATE OF IOWA 18 THE SENATE 19 COMMITTEE ON ETHICS ) 20 IOWA STATE SENATE ) 21 ) 22 On The Complaint Of ) NOTICE OF COMPLAINT 23 ) 24 ___________________________ ) 25 ) 26 And Involving ) 27 ) 28 ___________________________ ) 29 ) 30 -17- LSB 1564SC (2) 85 tm/rj 17/ 24

S.R. _____ TO ________________________________, 1 Senator or Lobbyist or Client of Lobbyist named 2 above: 3 You are hereby notified that there is now on file 4 with the Secretary of the Senate, State Capitol, Des 5 Moines, Iowa, a complaint which alleges that you have 6 committed a violation of the Senate’s Code of Ethics or 7 Senate Joint Rules Governing Lobbyists. 8 A copy of the complaint and the Senate rules for 9 processing the same are attached hereto and made a part 10 of this notice. 11 You are further notified and requested to file your 12 written answer to the complaint within ten days of the 13 date upon which the notice was caused to be delivered 14 to you, (date) ________________________, ________. 15 Your answer is to be filed with the Secretary of the 16 Senate, State Capitol, Des Moines, Iowa. 17 Dated this ________ day of ________________, ______. 18 ________________________________ 19 Chair, Senate Ethics Committee, 20 or Secretary of the Senate 21 25. HEARING NOTICE FORM. The following form shall 22 be used for notice of a hearing under these rules: 23 STATE OF IOWA 24 THE SENATE 25 COMMITTEE ON ETHICS ) 26 IOWA STATE SENATE ) 27 ) 28 On The Complaint Of ) NOTICE OF HEARING 29 ) 30 -18- LSB 1564SC (2) 85 tm/rj 18/ 24

S.R. _____ ___________________________ ) 1 ) 2 And Involving ) 3 ) 4 ___________________________ ) 5 ) 6 TO ________________________________, 7 Senator or Lobbyist or Client of Lobbyist named 8 above: 9 You are hereby notified that there is now on file 10 with the Secretary of the Senate, State Capitol, Des 11 Moines, Iowa, a complaint which alleges that you have 12 committed a violation of the Senate’s Code of Ethics or 13 Senate Joint Rules Governing Lobbyists. 14 A copy of the complaint and the Senate rules for 15 processing the same are attached hereto and made a part 16 of this notice. 17 You are further notified that, after preliminary 18 review, the committee has caused a public hearing to be 19 scheduled on (date)___________________, ________, at 20 (hour) ___________ (a.m.) (p.m.), in Room ____, State 21 Capitol, Des Moines, Iowa. 22 At the hearing, you will have the right to appear 23 in person, be represented by legal counsel at your own 24 expense, present statements and evidence, and examine 25 and cross-examine witnesses. The committee shall 26 not be bound by formal rules of evidence, but shall 27 receive relevant evidence, subject to limitations on 28 repetitiveness. Any evidence taken shall be under 29 oath. 30 -19- LSB 1564SC (2) 85 tm/rj 19/ 24

S.R. _____ The committee may continue the hearing to a future 1 date if necessary for appropriate reasons or purposes. 2 You are further notified that the committee will 3 receive such evidence and take such action as warranted 4 by the evidence. 5 Dated this _____ day of ________________, ______. 6 ________________________________ 7 Chair, Senate Ethics Committee, 8 or Secretary of the Senate 9 26. PERSONAL FINANCIAL DISCLOSURE FORM. The 10 following form shall be used for disclosure of economic 11 interests under these rules and section 68B.35: 12 STATEMENT OF ECONOMIC INTERESTS 13 Name:________________________________________________ 14 (Last) (First) (Middle Initial) 15 Address:_____________________________________________ 16 (Street Address, Apt.#/P.O. Box) 17 ______________________________________________ 18 (City) (State) (Zip) 19 Phone:(Home) ____/____-_____(Business) ____/____-_____ 20 ****************************************************** 21 a. Please list each business, occupation, or 22 profession in which you are engaged. In listing 23 the business, occupation, or profession, it is 24 not necessary that your employer or the name of 25 the business be listed, although all businesses, 26 occupations, or professions must be listed, regardless 27 of the amount of income derived or time spent 28 participating in the activity. (Examples of types 29 of businesses, occupations, or professions that may 30 -20- LSB 1564SC (2) 85 tm/rj 20/ 24

S.R. _____ be listed: teacher, lawyer, legislator, real estate 1 agent, insurance adjuster, salesperson....) 2 (1) __________________________________________________ 3 (2) __________________________________________________ 4 (3) __________________________________________________ 5 (4) __________________________________________________ 6 (5) __________________________________________________ 7 b. Please list the nature of each of the 8 businesses, occupations, or professions which you 9 listed in paragraph “a”, above, unless the nature of 10 the business, occupation, or profession is already 11 apparent from the information indicated above. The 12 descriptions in this paragraph should correspond by 13 number to the numbers for each of the businesses, 14 occupations, or professions listed in paragraph “a”. 15 (Examples: If you indicated, for example, that you 16 were a salesperson in subparagraph (1) of paragraph 17 “a”, you should list in subparagraph (1) of this 18 paragraph the types of goods or services sold in this 19 item. If you indicated that you were a teacher in 20 subparagraph (2) of paragraph “a”, you should indicate 21 in subparagraph (2) of this paragraph the type of 22 school or institution in which you provide instruction 23 or whether the instruction is provided on a private 24 basis. If you indicated that you were a lawyer in 25 subparagraph (3) of paragraph “a”, you should indicate 26 your areas of practice and whether you are in private, 27 corporate, or government practice in subparagraph (3) 28 of this paragraph. If you indicated in subparagraph 29 (4) of paragraph “a” that you were a consultant, in 30 -21- LSB 1564SC (2) 85 tm/rj 21/ 24

S.R. _____ subparagraph (4) of this paragraph you should indicate 1 the kind of services provided and types of clients 2 served.) 3 (1) __________________________________________________ 4 (2) __________________________________________________ 5 (3) __________________________________________________ 6 (4) __________________________________________________ 7 (5) __________________________________________________ 8 c. Please list each source, by general description, 9 from which you receive, or which generates, more than 10 one thousand dollars in gross annual income in the 11 categories listed below. For purposes of this item, 12 a source produces gross annual income if the revenue 13 produced by the source is subject to federal or state 14 income taxes. In completing this item, it is not 15 necessary to list the name of the company, business, 16 financial institution, corporation, partnership, or 17 other entity which constitutes the source of the income 18 and the amount or value of the holding should not be 19 listed. 20 (1) Securities (Here for example, you need not 21 state that you own X number of shares of any specific 22 company by brand or corporate name, or that the stock 23 is of a certain value, but may instead state that you 24 possess stock in a company and indicate the nature of 25 the company’s business.): 26 ______________________________________________________ 27 ______________________________________________________ 28 ______________________________________________________ 29 ______________________________________________________ 30 -22- LSB 1564SC (2) 85 tm/rj 22/ 24

S.R. _____ ______________________________________________________ 1 (2) Instruments of Financial Institutions (You 2 need not indicate, for example, in which institutions 3 you hold certificates of deposit that produce annual 4 income over the one thousand dollar threshold, but 5 simply listing the nature of the institution will 6 suffice, e.g., bank, credit union, or savings and loan 7 association.): 8 ______________________________________________________ 9 ______________________________________________________ 10 ______________________________________________________ 11 ______________________________________________________ 12 ______________________________________________________ 13 (3) Trusts (The name of the particular trust need 14 not be listed. However, if the income is received 15 from a charitable trust/foundation, such as the Pugh 16 Charitable Trust, in the form of a grant, the fact that 17 the trust is a charitable trust should be noted here.): 18 ______________________________________________________ 19 ______________________________________________________ 20 ______________________________________________________ 21 ______________________________________________________ 22 ______________________________________________________ 23 (4) Real Estate (When listing real estate, it is 24 not necessary to list the location of the property, but 25 the general nature of the real estate interest should 26 be indicated, e.g., residential leasehold interest or 27 farm leasehold interest.): 28 ______________________________________________________ 29 ______________________________________________________ 30 -23- LSB 1564SC (2) 85 tm/rj 23/ 24

S.R. _____ ______________________________________________________ 1 ______________________________________________________ 2 ______________________________________________________ 3 (5) Retirement Systems (When listing retirement 4 benefits, it is not necessary to list the name of 5 the particular pension system or company, but rather 6 the type of benefit should be listed, e.g., health 7 benefits, life insurance benefits, private pension, or 8 government pension.): 9 ______________________________________________________ 10 ______________________________________________________ 11 ______________________________________________________ 12 ______________________________________________________ 13 ______________________________________________________ 14 (6) Other Income Categories Specified in State or 15 Federal Income Tax Regulations (List description of 16 other sources of income producing over one thousand 17 dollars in annual income not previously reported above, 18 but which must be reported for income tax purposes.): 19 ______________________________________________________ 20 ______________________________________________________ 21 ______________________________________________________ 22 ______________________________________________________ 23 ______________________________________________________ 24 ______________________________________________________ 25 _______________________________ ___________________ 26 (Signature of filer) (Date) 27 -24- LSB 1564SC (2) 85 tm/rj 24/ 24