Senate Study Bill 1092 - Introduced SENATE RESOLUTION NO. _____ BY (PROPOSED COMMITTEE ON ETHICS RESOLUTION BY CHAIRPERSON COSTELLO) 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-eighth General Assembly. 4 BE IT RESOLVED BY THE SENATE, That the Senate Code 5 of Ethics for the Eighty-seventh Eighty-eighth 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 1432XC (3) 88 jh/tm 1/ 25

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 1432XC (3) 88 jh/tm 2/ 25

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 one thousand dollars in any one calendar 23 year to expressly advocate the nomination, election, or 24 defeat of a candidate for public office or to expressly 25 advocate the passage or defeat of a ballot issue or 26 influencing legislative action, or an association, 27 lodge, society, cooperative, union, fraternity, 28 sorority, educational institution, civic organization, 29 labor organization, religious organization, or 30 -3- LSB 1432XC (3) 88 jh/tm 3/ 25

S.R. _____ professional organization which makes contributions in 1 the aggregate of more than one thousand dollars in any 2 one calendar year to expressly advocate the nomination, 3 election, or defeat of a candidate for public office or 4 ballot issue or influencing legislative action. 5 7. ECONOMIC INTERESTS OF LOBBYIST. With the 6 exception of exercising unfettered discretion in 7 supporting or refusing to support proposed legislation, 8 a senator shall not take action intended to affect the 9 economic interests of a lobbyist or citizen supporting 10 or opposing proposed legislation. 11 8. APPEARANCE BEFORE GOVERNMENTAL AGENCY. A 12 senator may appear before a governmental agency or 13 board in any representation case, except that the 14 senator shall not act as a lobbyist. Whenever a 15 senator appears before a governmental agency or board, 16 the senator shall carefully avoid all conduct which 17 might in any way lead members of the general public 18 to conclude that the senator is using the senator’s 19 official position to further the senator’s professional 20 success or personal financial interest. 21 9. CONFLICTS OF INTERESTS. In order to permit the 22 general assembly to function effectively, a senator 23 will sometimes be required to vote on bills and 24 participate in committee work which will affect the 25 senator’s employment and other monetary interests. In 26 making a decision relative to the senator’s activity on 27 given bills or committee work which are subject to the 28 code, the following factors shall be considered: 29 a. Whether a substantial threat to the senator’s 30 -4- LSB 1432XC (3) 88 jh/tm 4/ 25

S.R. _____ independence of judgment has been created by the 1 conflict situation. 2 b. The effect of the senator’s participation on 3 public confidence in the integrity of the legislature. 4 c. The need for the senator’s particular 5 contribution, such as special knowledge of the 6 subject matter, to the effective functioning of the 7 legislature. 8 A senator with a conflict of interest may 9 participate in floor debate if prior to debate the 10 senator indicates the conflict of interest. 11 10. GIFTS. Except as otherwise provided in section 12 68B.22, a senator, or that person’s immediate family 13 member, shall not, directly or indirectly, accept or 14 receive any gift or series of gifts from a restricted 15 donor. 16 11. DISCLOSURE REQUIRED. Each senator shall file 17 with the secretary of the senate within ten days after 18 the adoption of the code of ethics by the senate, and 19 within ten days after the convening of the second 20 session of the general assembly, a statement under 21 section 68B.35 on forms provided by the secretary of 22 the senate setting forth the following information: 23 The nature of each business in which the senator 24 is engaged and the nature of the business of each 25 company in which the senator has a financial interest. 26 A senator shall not be required to file a report or 27 be assumed to have a financial interest if the annual 28 income derived from the investment in stocks, bonds, 29 bills, notes, mortgages, or other securities offered 30 -5- LSB 1432XC (3) 88 jh/tm 5/ 25

S.R. _____ for sale through recognized financial brokers is less 1 than one thousand dollars. 2 Disclosures required under this rule shall be as 3 of the date filed unless provided to the contrary, 4 and shall be amended to include interests and changes 5 encompassed by this rule that occur while the general 6 assembly is in session. All filings under this rule 7 shall be open to public inspection in the office of the 8 secretary of the senate at all reasonable times. 9 The secretary of the senate shall inform the 10 ethics committee of the statements which are filed 11 and shall report to the ethics committee the names of 12 any senators who appear not to have filed complete 13 statements. The chairperson of the ethics committee 14 shall request in writing that a senator who has failed 15 to complete the report or appears to have filed an 16 incomplete report do so within five days, and, upon 17 the failure of the senator to comply, the ethics 18 committee shall require the senator to appear before 19 the committee. 20 12. STATUTORY VIOLATIONS. Members of the general 21 assembly are urged to familiarize themselves with 22 chapters 68B, 721, and 722. 23 12A. HARASSMENT —— RETALIATION. Senators, 24 lobbyists, and clients of lobbyists shall not engage 25 in conduct that constitutes harassment or retaliation 26 as provided in the personnel guidelines for the Iowa 27 Senate. 28 13. CHARGE ACCOUNTS. Senators shall not charge any 29 amount or item to any charge account to be paid for by 30 -6- LSB 1432XC (3) 88 jh/tm 6/ 25

S.R. _____ any lobbyist or any client the lobbyist represents. 1 14. TRAVEL EXPENSES. A senator shall not charge 2 to the state of Iowa amounts for travel and expenses 3 unless the senator actually has incurred those mileage 4 and expense costs. Senators shall not file the 5 vouchers for weekly mileage reimbursement required 6 by section 2.10, subsection 1, unless the travel 7 was actually incurred at commensurate expense to the 8 senator. 9 15. COMPLAINTS. Complaints or charges against 10 any senator or any lobbyist shall be in writing, made 11 under oath, and filed with the secretary of the senate 12 or the chairperson of the ethics committee. If filed 13 with the secretary of the senate, the secretary shall 14 immediately advise the chairperson of the ethics 15 committee of the receipt of the complaint. 16 Complaint forms shall be available from the 17 secretary of the senate, or the chairperson of the 18 ethics committee, but a complaint shall not be rejected 19 for failure to use an approved form if the complaint 20 substantially complies with senate requirements. 21 A complainant may submit exhibits and affidavits 22 attached to the complaint. 23 16. FILING OF COMPLAINTS. 24 a. Persons entitled. Complaints may be filed by any 25 person believing that a senator, lobbyist, or client 26 of a lobbyist has violated the senate ethics code, 27 the joint rules governing lobbyists, or chapter 68B. 28 A violation of the criminal law may be considered to 29 be a violation of this code of ethics if the violation 30 -7- LSB 1432XC (3) 88 jh/tm 7/ 25

S.R. _____ constitutes a serious misdemeanor or greater, or a 1 repetitive and flagrant violation of the law. 2 b. Committee complaint. The ethics committee 3 may, upon its own motion, initiate a complaint, 4 investigation, or disciplinary action. 5 c. Timeliness of filing. A complaint will be 6 considered to be timely filed if it is filed within 7 three years of the occurrence of the alleged violation 8 of the ethics code. 9 17. PERMANENT RECORD. The secretary of the senate 10 shall maintain a permanent record of all complaints 11 filed, evidence received by the committee, and any 12 transcripts or other recordings made of committee 13 proceedings, including a separate card file containing 14 the date filed, name and address of the complainant, 15 name and address of the respondent, a brief statement 16 of the charges made, and ultimate disposition of 17 the complaint. The secretary shall keep each such 18 complaint confidential until public disclosure is made 19 by the ethics committee. 20 18. PREHEARING PROCEDURE. 21 a. Defective complaint. Upon receipt of a 22 complaint, the chairperson and ranking member of the 23 ethics committee shall determine whether the complaint 24 substantially complies with the requirements of this 25 code of ethics and section 68B.31, subsection 6. If 26 the complaint does not substantially comply with 27 the requirements for formal sufficiency under the 28 code of ethics, the complaint may be returned to the 29 complainant with a statement that the complaint is not 30 -8- LSB 1432XC (3) 88 jh/tm 8/ 25

S.R. _____ in compliance with the code and a copy of the code. If 1 the complainant fails to amend the complaint to comply 2 with the code within a reasonable time, the chairperson 3 and ranking member may dismiss the complaint with 4 prejudice for failure to prosecute. 5 b. Service of complaint on respondent. Upon 6 receipt of any complaint substantially complying 7 with the requirements of this code of ethics, the 8 chairperson of the ethics committee shall cause a copy 9 of the complaint and any supporting information to be 10 delivered promptly to the respondent, requesting a 11 written response to be filed within ten days. At the 12 time delivery is made to the respondent, delivery of 13 copies of the complaint and any supporting information 14 shall be made to legislative staff assigned to the 15 ethics committee. The response may do any of the 16 following: 17 (1) Admit or deny the allegation or allegations. 18 (2) Object that the allegation fails to allege a 19 violation of chapter 68B , the joint rules governing 20 lobbyists, or the code of ethics. 21 (3) Object to the jurisdiction of the committee. 22 (4) Request a more specific statement of the 23 allegation or allegations. 24 c. Objection to member. In addition to the 25 items which may be included in a response pursuant 26 to paragraph “b”, the response may also include an 27 objection to the participation of any member of the 28 committee in the consideration of the allegation or 29 allegations on the grounds that the member cannot 30 -9- LSB 1432XC (3) 88 jh/tm 9/ 25

S.R. _____ render an impartial and unbiased decision. 1 d. Extension of time. At the request of the 2 respondent and upon a showing of good cause, the 3 committee, or the chairperson and ranking member, 4 may extend the time for response, not to exceed ten 5 additional days. 6 e. Confidentiality. If a complaint is not 7 otherwise made public, the members of the committee 8 and legislative staff assigned to the ethics 9 committee shall treat the complaint and all supporting 10 information as confidential until the written response 11 is received from the respondent. 12 f. Communications with ethics committee. After a 13 complaint has been filed or an investigation has been 14 initiated, a party to the complaint or investigation 15 shall not communicate, or cause another to communicate, 16 as to the merits of the complaint or investigation with 17 a member of the committee, except under the following 18 circumstances: 19 (1) During the course of any meetings or other 20 official proceedings of the committee regarding the 21 complaint or investigation. 22 (2) In writing, if a copy of the writing is 23 delivered to the adverse party or the designated 24 representative for the adverse party. 25 (3) Orally, if adequate prior notice of the 26 communication is given to the adverse party or the 27 designated representative for the adverse party. 28 (4) As otherwise authorized by statute, the senate 29 code of ethics, the joint rules governing lobbyists, or 30 -10- LSB 1432XC (3) 88 jh/tm 10/ 25

S.R. _____ vote of the committee. 1 g. Scheduling hearing. Upon receipt of the 2 response, the committee shall schedule a public meeting 3 to review the complaint and available information, and 4 shall do one of the following: 5 (1) Notify the complainant that no further 6 action will be taken, unless further substantiating 7 information is produced. 8 (2) Dismiss the complaint for failure to meet the 9 statutory and code of ethics requirements for valid 10 complaints. 11 (3) Take action on the complaint without requesting 12 the appointment of an independent special counsel 13 if the committee determines the complaint is valid 14 and determines no dispute exists between the parties 15 regarding the material facts that establish a 16 violation. The committee may do any of the following: 17 (a) Issue an admonishment to advise against the 18 conduct that formed the basis for the complaint and to 19 exercise care in the future. 20 (b) Issue an order to cease and desist the conduct 21 that formed the basis for the complaint. 22 (c) Make a recommendation to the senate that 23 the person subject to the complaint be censured or 24 reprimanded. 25 (4) Request that the chief justice of the supreme 26 court appoint an independent special counsel to conduct 27 an investigation of the complaint and supporting 28 information, to make a determination of probable cause, 29 and to report the findings to the committee, which 30 -11- LSB 1432XC (3) 88 jh/tm 11/ 25

S.R. _____ shall be received within a reasonable time. 1 h. Public hearing. If independent special counsel 2 is appointed, upon receipt of the report of independent 3 special counsel’s findings, the committee shall 4 schedule a public meeting to review the report and 5 shall do either of the following: 6 (1) Cause the complaint to be scheduled for a 7 public hearing. 8 (2) Dismiss the complaint based upon a 9 determination by independent special counsel and the 10 committee that insufficient evidence exists to support 11 a finding of probable cause. 12 19. HEARING PROCEDURE. 13 a. Notice of hearing. If the committee causes a 14 complaint to be scheduled for a public hearing, notice 15 of the hearing date and time shall be given to the 16 complainant and respondent in writing, and of the 17 respondent’s right to appear in person, be represented 18 by legal counsel, present statements and evidence, and 19 examine and cross-examine witnesses. The committee 20 shall not be bound by formal rules of evidence, but 21 shall receive relevant evidence, subject to limitations 22 on repetitiveness. Any evidence taken shall be under 23 oath. 24 b. Subpoena power. The committee may require, by 25 subpoena or otherwise, the attendance and testimony of 26 witnesses and the production of such books, records, 27 correspondence, memoranda, papers, documents, and any 28 other things it deems necessary to the conduct of the 29 inquiry. 30 -12- LSB 1432XC (3) 88 jh/tm 12/ 25

S.R. _____ c. Ex post facto. An investigation shall not be 1 undertaken by the committee of a violation of a law, 2 rule, or standard of conduct that is not in effect at 3 the time of violation. 4 d. Disqualification of member. Members of the 5 committee may disqualify themselves from participating 6 in any investigation of the conduct of another person 7 upon submission of a written statement that the member 8 cannot render an impartial and unbiased decision 9 in a case. A member may also be disqualified by a 10 unanimous vote of the remaining eligible members of the 11 committee. 12 A member of the committee is ineligible to 13 participate in committee meetings, as a member of the 14 committee, in any proceeding relating to the member’s 15 own official conduct. 16 If a member of the committee is disqualified or 17 ineligible to act, the majority or minority leader who 18 appointed the member shall appoint a replacement member 19 to serve as a member of the committee during the period 20 of disqualification or ineligibility. 21 e. Hearing. At the hearing, the chairperson shall 22 open the hearing by stating the charges, the purpose of 23 the hearing, and its scope. The burden of proof rests 24 upon the complainant to establish the facts as alleged, 25 by clear and convincing evidence. However, questioning 26 of witnesses shall be conducted by the members of the 27 committee, by independent special counsel, or by a 28 senator. The chairperson shall also permit questioning 29 by legal counsel representing the complainant or 30 -13- LSB 1432XC (3) 88 jh/tm 13/ 25

S.R. _____ respondent. 1 The chairperson or other member of the committee 2 presiding at a hearing shall rule upon procedural 3 questions or any question of admissibility of evidence 4 presented to the committee. Rulings may be reversed by 5 a majority vote of the committee members present. 6 The committee may continue the hearing to a future 7 date if necessary for appropriate reasons or purposes. 8 f. Committee action. Upon receipt of all relevant 9 evidence and arguments, the committee shall consider 10 the same and recommend to the senate any of the 11 following: 12 (1) That the complaint be dismissed. 13 (2) That the senator, lobbyist, or client of a 14 lobbyist be censured or reprimanded, and recommend the 15 appropriate form of censure or reprimand. 16 (3) Any other appropriate sanction, including 17 suspension or expulsion from membership in the senate, 18 or suspension of lobbying privileges. 19 g. Disposition resolution. By appropriate 20 resolution, the senate may amend, adopt, or reject 21 the report of the ethics committee, including the 22 committee’s recommendations regarding disciplinary 23 action. 24 20. COMMITTEE AUTHORIZED TO MEET. The senate 25 ethics committee is authorized to meet at the 26 discretion of the chairperson to conduct hearings and 27 other business that properly may come before it. If 28 the committee submits a report seeking senate action 29 against a senator, lobbyist, or client of a lobbyist 30 -14- LSB 1432XC (3) 88 jh/tm 14/ 25

S.R. _____ after the second regular session of a general assembly 1 has adjourned sine die, the report shall be submitted 2 to and considered by the subsequent general assembly. 3 However, the report may be submitted to and considered 4 during any special session which may take place after 5 the second regular session of a general assembly has 6 adjourned sine die, but before the convening of the 7 next general assembly. 8 21. ADVISORY OPINIONS. 9 a. Requests for formal opinions. A request for a 10 formal advisory opinion may be filed by any person who 11 is subject to the authority of the ethics committee. 12 The ethics committee may also issue a formal advisory 13 opinion on its own motion, without having previously 14 received a formal request for an opinion, on any issue 15 that is within the jurisdiction of the committee. 16 Requests shall be filed with either the secretary of 17 the senate or the chairperson of the ethics committee. 18 b. Form and contents of requests. A request for 19 a formal advisory opinion shall be in writing and 20 may pertain to any subject matter that is related 21 to the application of the senate code of ethics, the 22 joint rules governing lobbyists, or chapter 68B of the 23 Code to any person who is subject to the authority of 24 the ethics committee. Requests shall contain one or 25 more specific questions and shall relate either to 26 future conduct or be stated in the hypothetical. A 27 request for an advisory opinion shall not specifically 28 name any individual or contain any other specific 29 identifying information, unless the request relates 30 -15- LSB 1432XC (3) 88 jh/tm 15/ 25

S.R. _____ to the requester’s own conduct. However, any request 1 may contain information which identifies the kind 2 of individual who may be affected by the subject 3 matter of the request. Examples of this latter kind 4 of identifying information may include references to 5 conduct of a category of individuals, such as but not 6 limited to conduct of legislators, legislative staff, 7 lobbyists, or clients of lobbyists. 8 c. Confidentiality of formal requests and opinions. 9 Requests for formal opinions are not confidential and 10 any deliberations of the committee regarding a request 11 for a formal opinion shall be public. Opinions issued 12 in response to requests for formal opinions are not 13 confidential, shall be in writing, and shall be placed 14 on file in the office of the secretary of the senate. 15 Persons requesting formal opinions shall personally 16 receive a copy of the written formal opinion that is 17 issued in response to the request. 18 22. CALCULATION OF TIME —— DAYS. For purposes of 19 these rules, unless the context otherwise requires, 20 the word “day” or “days” shall mean a calendar day 21 except that if the day is the last day of a specific 22 time period and falls upon a Saturday, Sunday, or legal 23 holiday, the time prescribed shall be extended so as to 24 include the whole of the next day in which the offices 25 of the senate and the general assembly are open for 26 official business. 27 23. COMPLAINT FILING FORM. The following form 28 shall be used to file a complaint under these rules: 29 THE SENATE 30 -16- LSB 1432XC (3) 88 jh/tm 16/ 25

S.R. _____ Ethics Complaint Form 1 Re: ______________________________ 2 (Senator/Lobbyist/Client of Lobbyist), of 3 _____________________, Iowa. 4 I, ________________________ (Complainant), 5 residing at ____________________, in the City of 6 ______________, State of ________________________, 7 hereby complain that _____________________________ 8 (Senator/Lobbyist/Client of Lobbyist), whose address 9 is ___________________________________________, has 10 violated the Senate Code of Ethics , chapter 68B, or 11 Joint Rules Governing Lobbyists in that: 12 (Explain the basis for the complaint here. Use 13 additional pages, if necessary.) 14 Under penalty of perjury, I certify that the above 15 complaint is true and correct as I verily believe. 16 ___________________________ 17 Signature of Complainant 18 SUBSCRIBED AND AFFIRMED to before me this __________ 19 day of ________________________, _______. 20 ________________________________ 21 Notary Public in and for the 22 State of ______________________ 23 24. COMPLAINT NOTICE FORM. The following form 24 shall be used for notice of a complaint under these 25 rules: 26 STATE OF IOWA 27 THE SENATE 28 COMMITTEE ON ETHICS ) 29 IOWA STATE SENATE ) 30 -17- LSB 1432XC (3) 88 jh/tm 17/ 25

S.R. _____ ) 1 On The Complaint Of ) NOTICE OF COMPLAINT 2 ) 3 ___________________________ ) 4 ) 5 And Involving ) 6 ) 7 ___________________________ ) 8 ) 9 TO ________________________________, 10 Senator or Lobbyist or Client of Lobbyist named 11 above: 12 You are hereby notified that there is now on file 13 with the Secretary of the Senate, State Capitol, Des 14 Moines, Iowa, a complaint which alleges that you have 15 committed a violation of the Senate’s Code of Ethics , 16 chapter 68B, or Joint Rules Governing Lobbyists. 17 A copy of the complaint and the Senate rules for 18 processing the same are attached hereto and made a part 19 of this notice. 20 You are further notified and requested to file your 21 written answer to the complaint within ten days of the 22 date upon which the notice was caused to be delivered 23 to you, (date) ________________________, ________. 24 Your answer is to be filed with the Secretary of the 25 Senate, State Capitol, Des Moines, Iowa. 26 Dated this ________ day of ________________, ______. 27 ________________________________ 28 Chairperson, Senate Ethics 29 Committee, 30 -18- LSB 1432XC (3) 88 jh/tm 18/ 25

S.R. _____ or Secretary of the Senate 1 25. HEARING NOTICE FORM. The following form shall 2 be used for notice of a hearing under these rules: 3 STATE OF IOWA 4 THE SENATE 5 COMMITTEE ON ETHICS ) 6 IOWA STATE SENATE ) 7 ) 8 On The Complaint Of ) NOTICE OF HEARING 9 ) 10 ___________________________ ) 11 ) 12 And Involving ) 13 ) 14 ___________________________ ) 15 ) 16 TO ________________________________, 17 Senator or Lobbyist or Client of Lobbyist named 18 above: 19 You are hereby notified that there is now on file 20 with the Secretary of the Senate, State Capitol, Des 21 Moines, Iowa, a complaint which alleges that you have 22 committed a violation of the Senate’s Code of Ethics , 23 chapter 68B, or Joint Rules Governing Lobbyists. 24 A copy of the complaint and the Senate rules for 25 processing the same are attached hereto and made a part 26 of this notice. 27 You are further notified that, after preliminary 28 review, the committee has caused a public hearing to be 29 scheduled on (date)___________________, ________, at 30 -19- LSB 1432XC (3) 88 jh/tm 19/ 25

S.R. _____ (hour) ___________ (a.m.) (p.m.), in Room ____, State 1 Capitol, Des Moines, Iowa. 2 At the hearing, you will have the right to appear 3 in person, be represented by legal counsel at your own 4 expense, present statements and evidence, and examine 5 and cross-examine witnesses. The committee shall 6 not be bound by formal rules of evidence, but shall 7 receive relevant evidence, subject to limitations on 8 repetitiveness. Any evidence taken shall be under 9 oath. 10 The committee may continue the hearing to a future 11 date if necessary for appropriate reasons or purposes. 12 You are further notified that the committee will 13 receive such evidence and take such action as warranted 14 by the evidence. 15 Dated this _____ day of ________________, ______. 16 ________________________________ 17 Chairperson, Senate Ethics 18 Committee, 19 or Secretary of the Senate 20 26. PERSONAL FINANCIAL DISCLOSURE FORM. The 21 following form shall be used for disclosure of economic 22 interests under these rules and section 68B.35: 23 STATEMENT OF ECONOMIC INTERESTS 24 Name:________________________________________________ 25 (Last) (First) (Middle Initial) 26 Address:_____________________________________________ 27 (Street Address, Apt.#/P.O. Box) 28 ______________________________________________ 29 (City) (State) (Zip) 30 -20- LSB 1432XC (3) 88 jh/tm 20/ 25

S.R. _____ Phone:(Home) ____/____-_____(Business) ____/____-_____ 1 ****************************************************** 2 a. Please list each business, occupation, or 3 profession in which you are engaged. In listing 4 the business, occupation, or profession, it is 5 not necessary that your employer or the name of 6 the business be listed, although all businesses, 7 occupations, or professions must be listed, regardless 8 of the amount of income derived or time spent 9 participating in the activity. (Examples of types 10 of businesses, occupations, or professions that may 11 be listed: teacher, lawyer, legislator, real estate 12 agent, insurance adjuster, salesperson....) 13 (1) __________________________________________________ 14 (2) __________________________________________________ 15 (3) __________________________________________________ 16 (4) __________________________________________________ 17 (5) __________________________________________________ 18 b. Please list the nature of each of the 19 businesses, occupations, or professions which you 20 listed in paragraph “a”, above, unless the nature of 21 the business, occupation, or profession is already 22 apparent from the information indicated above. The 23 descriptions in this paragraph should correspond by 24 number to the numbers for each of the businesses, 25 occupations, or professions listed in paragraph “a”. 26 (Examples: If you indicated, for example, that you 27 were a salesperson in subparagraph (1) of paragraph 28 “a”, you should list in subparagraph (1) of this 29 paragraph the types of goods or services sold in this 30 -21- LSB 1432XC (3) 88 jh/tm 21/ 25

S.R. _____ item. If you indicated that you were a teacher in 1 subparagraph (2) of paragraph “a”, you should indicate 2 in subparagraph (2) of this paragraph the type of 3 school or institution in which you provide instruction 4 or whether the instruction is provided on a private 5 basis. If you indicated that you were a lawyer in 6 subparagraph (3) of paragraph “a”, you should indicate 7 your areas of practice and whether you are in private, 8 corporate, or government practice in subparagraph (3) 9 of this paragraph. If you indicated in subparagraph 10 (4) of paragraph “a” that you were a consultant, in 11 subparagraph (4) of this paragraph you should indicate 12 the kind of services provided and types of clients 13 served.) 14 (1) __________________________________________________ 15 (2) __________________________________________________ 16 (3) __________________________________________________ 17 (4) __________________________________________________ 18 (5) __________________________________________________ 19 c. Please list each source, by general description, 20 from which you receive, or which generates, more than 21 one thousand dollars in gross annual income in the 22 categories listed below. For purposes of this item, 23 a source produces gross annual income if the revenue 24 produced by the source is subject to federal or state 25 income taxes. In completing this item, it is not 26 necessary to list the name of the company, business, 27 financial institution, corporation, partnership, or 28 other entity which constitutes the source of the income 29 and the amount or value of the holding should not be 30 -22- LSB 1432XC (3) 88 jh/tm 22/ 25

S.R. _____ listed. 1 (1) Securities (Here for example, you need not 2 state that you own X number of shares of any specific 3 company by brand or corporate name, or that the stock 4 is of a certain value, but may instead state that you 5 possess stock in a company and indicate the nature of 6 the company’s business.): 7 ______________________________________________________ 8 ______________________________________________________ 9 ______________________________________________________ 10 ______________________________________________________ 11 ______________________________________________________ 12 (2) Instruments of Financial Institutions (You 13 need not indicate, for example, in which institutions 14 you hold certificates of deposit that produce annual 15 income over the one thousand dollar threshold, but 16 simply listing the nature of the institution will 17 suffice, e.g., bank, credit union, or savings and loan 18 association.): 19 ______________________________________________________ 20 ______________________________________________________ 21 ______________________________________________________ 22 ______________________________________________________ 23 ______________________________________________________ 24 (3) Trusts (The name of the particular trust need 25 not be listed. However, if the income is received 26 from a charitable trust/foundation, such as the Pugh 27 Charitable Trust, in the form of a grant, the fact that 28 the trust is a charitable trust should be noted here.): 29 ______________________________________________________ 30 -23- LSB 1432XC (3) 88 jh/tm 23/ 25

S.R. _____ ______________________________________________________ 1 ______________________________________________________ 2 ______________________________________________________ 3 ______________________________________________________ 4 (4) Real Estate (When listing real estate, it is 5 not necessary to list the location of the property, but 6 the general nature of the real estate interest should 7 be indicated, e.g., residential leasehold interest or 8 farm leasehold interest.): 9 ______________________________________________________ 10 ______________________________________________________ 11 ______________________________________________________ 12 ______________________________________________________ 13 ______________________________________________________ 14 (5) Retirement Systems (When listing retirement 15 benefits, it is not necessary to list the name of 16 the particular pension system or company, but rather 17 the type of benefit should be listed, e.g., health 18 benefits, life insurance benefits, private pension, or 19 government pension.): 20 ______________________________________________________ 21 ______________________________________________________ 22 ______________________________________________________ 23 ______________________________________________________ 24 ______________________________________________________ 25 (6) Other Income Categories Specified in State or 26 Federal Income Tax Regulations (List description of 27 other sources of income producing over one thousand 28 dollars in annual income not previously reported above, 29 but which must be reported for income tax purposes.): 30 -24- LSB 1432XC (3) 88 jh/tm 24/ 25