Senate Resolution 1 - Introduced SENATE RESOLUTION NO. 1 BY COMMITTEE ON ETHICS (SUCCESSOR TO SSB 1092) 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-ninth General Assembly. 4 BE IT RESOLVED BY THE SENATE, That the Senate Code 5 of Ethics for the Eighty-eighth Eighty-ninth 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 1910SV (1) 89 jh/tm 1/ 24
S.R. 1 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 1910SV (1) 89 jh/tm 2/ 24
S.R. 1 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 1910SV (1) 89 jh/tm 3/ 24
S.R. 1 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 1910SV (1) 89 jh/tm 4/ 24
S.R. 1 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 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 1910SV (1) 89 jh/tm 5/ 24
S.R. 1 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 12A. HARASSMENT —— RETALIATION. Senators, 21 lobbyists, and clients of lobbyists shall not engage 22 in conduct that constitutes harassment or retaliation 23 as provided in the personnel guidelines for the Iowa 24 Senate. 25 12B. DISCRIMINATION —— HARASSMENT —— ABUSE. As 26 provided and defined in the personnel guidelines of the 27 Iowa Senate, a senator shall not engage in any act of 28 discrimination, harassment, or abuse of any person. 29 13. CHARGE ACCOUNTS. Senators shall not charge any 30 -6- LSB 1910SV (1) 89 jh/tm 6/ 24
S.R. 1 amount or item to any charge account to be paid for by 1 any lobbyist or any client the lobbyist represents. 2 14. TRAVEL EXPENSES. A senator shall not charge 3 to the state of Iowa amounts for travel and expenses 4 unless the senator actually has incurred those mileage 5 and expense costs. Senators shall not file the 6 vouchers for weekly mileage reimbursement required 7 by section 2.10, subsection 1, unless the travel 8 was actually incurred at commensurate expense to the 9 senator. 10 15. COMPLAINTS. Complaints or charges against 11 any senator or any lobbyist shall be in writing, made 12 under penalty of perjury, and filed with the secretary 13 of the senate. When filed with the secretary of the 14 senate, the secretary shall immediately advise the 15 chairperson of the ethics committee of the receipt of 16 the complaint. 17 Complaint forms shall be available from the 18 secretary of the senate, or the chairperson of the 19 ethics committee, but a complaint shall not be rejected 20 for failure to use an approved form if the complaint 21 substantially complies with senate requirements. 22 A complainant may submit exhibits and affidavits 23 attached to the complaint. 24 16. FILING OF COMPLAINTS. 25 a. Persons entitled. Complaints may be filed by any 26 person believing that a senator, lobbyist, or client 27 of a lobbyist has violated the senate ethics code, 28 the joint rules governing lobbyists, or chapter 68B. 29 A violation of the criminal law may be considered to 30 -7- LSB 1910SV (1) 89 jh/tm 7/ 24
S.R. 1 be a violation of this code of ethics if the violation 1 constitutes a serious misdemeanor or greater, or a 2 repetitive and flagrant violation of the law. 3 b. Committee complaint. The ethics committee 4 may, upon its own motion, initiate a complaint, 5 investigation, or disciplinary action. 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 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. If 28 the complainant fails to amend the complaint to comply 29 with the code within a reasonable time, the chairperson 30 -8- LSB 1910SV (1) 89 jh/tm 8/ 24
S.R. 1 and ranking member may dismiss the complaint with 1 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 be 7 delivered promptly to the respondent, requesting a 8 written response to be filed within ten days. At the 9 time delivery is made to the respondent, delivery of 10 copies of the complaint and any supporting information 11 shall be made to legislative staff assigned to the 12 ethics committee. The response may do any of the 13 following: 14 (1) Admit or deny the allegation or allegations. 15 (2) Object that the allegation fails to allege a 16 violation of chapter 68B, the joint rules governing 17 lobbyists, or the code of ethics. 18 (3) Object to the jurisdiction of the committee. 19 (4) Request a more specific statement of the 20 allegation or allegations. 21 c. Objection to member. In addition to the 22 items which may be included in a response pursuant 23 to paragraph “b”, the response may also include an 24 objection to the participation of any member of the 25 committee in the consideration of the allegation or 26 allegations on the grounds that the member cannot 27 render an impartial and unbiased decision. 28 d. Extension of time. At the request of the 29 respondent and upon a showing of good cause, the 30 -9- LSB 1910SV (1) 89 jh/tm 9/ 24
S.R. 1 committee, or the chairperson and ranking member, 1 may extend the time for response, not to exceed ten 2 additional days. 3 e. Confidentiality. If a complaint is not 4 otherwise made public by the complainant, the members 5 of the committee and legislative staff assigned to 6 the ethics committee shall treat the complaint and 7 all supporting information as confidential until the 8 written response is received from the respondent. 9 f. Communications with ethics committee. After a 10 complaint has been filed or an investigation has been 11 initiated, a party to the complaint or investigation 12 shall not communicate, or cause another to communicate, 13 as to the merits of the complaint or investigation with 14 a member of the committee, except under the following 15 circumstances: 16 (1) During the course of any meetings or other 17 official proceedings of the committee regarding the 18 complaint or investigation. 19 (2) In writing, if a copy of the writing is 20 delivered to the adverse party or the designated 21 representative for the adverse party. 22 (3) Orally, if adequate prior notice of the 23 communication is given to the adverse party or the 24 designated representative for the adverse party. 25 (4) As otherwise authorized by statute, the senate 26 code of ethics, the joint rules governing lobbyists, or 27 vote of the committee. 28 g. Scheduling hearing. Upon receipt of the 29 response, the committee shall schedule a public meeting 30 -10- LSB 1910SV (1) 89 jh/tm 10/ 24
S.R. 1 to review the complaint and available information, and 1 shall do one of the following: 2 (1) Notify the complainant that no further 3 action will be taken, unless further substantiating 4 information is produced. 5 (2) Dismiss the complaint for failure to meet the 6 statutory and code of ethics requirements for valid 7 complaints. 8 (3) Take action on the complaint without requesting 9 the appointment of an independent special counsel 10 if the committee determines the complaint is valid 11 and determines no dispute exists between the parties 12 regarding the material facts that establish a 13 violation. The committee may do any of the following: 14 (a) Issue an admonishment to advise against the 15 conduct that formed the basis for the complaint and to 16 exercise care in the future. 17 (b) Issue an order to cease and desist the conduct 18 that formed the basis for the complaint. 19 (c) Make a recommendation to the senate that 20 the person subject to the complaint be censured or 21 reprimanded. 22 (4) Request that the chief justice of the supreme 23 court appoint an independent special counsel to conduct 24 an investigation of the complaint and supporting 25 information, to make a determination of probable cause, 26 and to report the findings to the committee, which 27 shall be received within a reasonable time. 28 h. Public hearing. If independent special counsel 29 is appointed, upon receipt of the report of independent 30 -11- LSB 1910SV (1) 89 jh/tm 11/ 24
S.R. 1 special counsel’s findings, the committee shall 1 schedule a public meeting to review the report and 2 shall do either of the following: 3 (1) Cause the complaint to be scheduled for a 4 public hearing. 5 (2) Dismiss the complaint based upon a 6 determination by independent special counsel and the 7 committee that insufficient evidence exists to support 8 a finding of probable cause. 9 19. HEARING PROCEDURE. 10 a. Notice of hearing. If the committee causes a 11 complaint to be scheduled for a public hearing, notice 12 of the hearing date and time shall be given to the 13 complainant and respondent in writing, and of the 14 respondent’s right to appear in person, be represented 15 by legal counsel, present statements and evidence, and 16 examine and cross-examine witnesses. The committee 17 shall not be bound by formal rules of evidence, but 18 shall receive relevant evidence, subject to limitations 19 on repetitiveness. Any evidence taken shall be under 20 oath. 21 b. Subpoena power. The committee may require, by 22 subpoena or otherwise, the attendance and testimony of 23 witnesses and the production of such books, records, 24 correspondence, memoranda, papers, documents, and any 25 other things it deems necessary to the conduct of the 26 inquiry. 27 c. Ex post facto. An investigation shall not be 28 undertaken by the committee of a violation of a law, 29 rule, or standard of conduct that is not in effect at 30 -12- LSB 1910SV (1) 89 jh/tm 12/ 24
S.R. 1 the time of violation. 1 d. Disqualification of member. Members of the 2 committee may disqualify themselves from participating 3 in any investigation of the conduct of another person 4 upon submission of a written statement that the member 5 cannot render an impartial and unbiased decision 6 in a case. A member may also be disqualified by a 7 unanimous vote of the remaining eligible members of the 8 committee. 9 A member of the committee is ineligible to 10 participate in committee meetings, as a member of the 11 committee, in any proceeding relating to the member’s 12 own official conduct. 13 If a member of the committee is disqualified or 14 ineligible to act, the majority or minority leader who 15 appointed the member shall appoint a replacement member 16 to serve as a member of the committee during the period 17 of disqualification or ineligibility. 18 e. Hearing. At the hearing, the chairperson shall 19 open the hearing by stating the charges, the purpose of 20 the hearing, and its scope. The burden of proof rests 21 upon the complainant to establish the facts as alleged, 22 by clear and convincing evidence. However, questioning 23 of witnesses shall be conducted by the members of the 24 committee, by independent special counsel, or by a 25 senator. The chairperson shall also permit questioning 26 by legal counsel representing the complainant or 27 respondent. 28 The chairperson or other member of the committee 29 presiding at a hearing shall rule upon procedural 30 -13- LSB 1910SV (1) 89 jh/tm 13/ 24
S.R. 1 questions or any question of admissibility of evidence 1 presented to the committee. Rulings may be reversed by 2 a majority vote of the committee members present. 3 The committee may continue the hearing to a future 4 date if necessary for appropriate reasons or purposes. 5 f. Committee action. Upon receipt of all relevant 6 evidence and arguments, the committee shall consider 7 the same and recommend to the senate any of the 8 following: 9 (1) That the complaint be dismissed. 10 (2) That the senator, lobbyist, or client of a 11 lobbyist be censured or reprimanded, and recommend the 12 appropriate form of censure or reprimand. 13 (3) Any other appropriate sanction, including 14 suspension or expulsion from membership in the senate, 15 or suspension of lobbying privileges. 16 g. Disposition resolution. By appropriate 17 resolution, the senate may amend, adopt, or reject 18 the report of the ethics committee, including the 19 committee’s recommendations regarding disciplinary 20 action. 21 20. COMMITTEE AUTHORIZED TO MEET. The senate 22 ethics committee is authorized to meet at the 23 discretion of the chairperson to conduct hearings and 24 other business that properly may come before it. If 25 the committee submits a report seeking senate action 26 against a senator, lobbyist, or client of a lobbyist 27 after the second regular session of a general assembly 28 has adjourned sine die, the report shall be submitted 29 to and considered by the subsequent general assembly. 30 -14- LSB 1910SV (1) 89 jh/tm 14/ 24
S.R. 1 However, the report may be submitted to and considered 1 during any special session which may take place after 2 the second regular session of a general assembly has 3 adjourned sine die, but before the convening of the 4 next general assembly. 5 21. ADVISORY OPINIONS. 6 a. Requests for formal opinions. A request for a 7 formal advisory opinion may be filed by any person who 8 is subject to the authority of the ethics committee. 9 The ethics committee may also issue a formal advisory 10 opinion on its own motion, without having previously 11 received a formal request for an opinion, on any issue 12 that is within the jurisdiction of the committee. 13 Requests shall be filed with either the secretary of 14 the senate or the chairperson of the ethics committee. 15 b. Form and contents of requests. A request for 16 a formal advisory opinion shall be in writing and 17 may pertain to any subject matter that is related 18 to the application of the senate code of ethics, the 19 joint rules governing lobbyists, or chapter 68B to 20 any person who is subject to the authority of the 21 ethics committee. Requests shall contain one or 22 more specific questions and shall relate either to 23 future conduct or be stated in the hypothetical. A 24 request for an advisory opinion shall not specifically 25 name any individual or contain any other specific 26 identifying information, unless the request relates 27 to the requester’s own conduct. However, any request 28 may contain information which identifies the kind 29 of individual who may be affected by the subject 30 -15- LSB 1910SV (1) 89 jh/tm 15/ 24
S.R. 1 matter of the request. Examples of this latter kind 1 of identifying information may include references to 2 conduct of a category of individuals, such as but not 3 limited to conduct of legislators, legislative staff, 4 lobbyists, or clients of lobbyists. 5 c. Confidentiality of formal requests and opinions. 6 Requests for formal opinions are not confidential and 7 any deliberations of the committee regarding a request 8 for a formal opinion shall be public. Opinions issued 9 in response to requests for formal opinions are not 10 confidential, shall be in writing, and shall be placed 11 on file in the office of the secretary of the senate. 12 Persons requesting formal opinions shall personally 13 receive a copy of the written formal opinion that is 14 issued in response to the request. 15 22. CALCULATION OF TIME —— DAYS. For purposes of 16 these rules, unless the context otherwise requires, 17 the word “day” or “days” shall mean a calendar day 18 except that if the day is the last day of a specific 19 time period and falls upon a Saturday, Sunday, or legal 20 holiday, the time prescribed shall be extended so as to 21 include the whole of the next day in which the offices 22 of the senate and the general assembly are open for 23 official business. 24 23. COMPLAINT FILING FORM. The following form 25 shall be used to file a complaint under these rules: 26 THE SENATE 27 Ethics Complaint Form 28 Re: ______________________________ 29 (Senator/Lobbyist/Client of Lobbyist), of 30 -16- LSB 1910SV (1) 89 jh/tm 16/ 24
S.R. 1 _____________________, Iowa. 1 I, ________________________ (Complainant), 2 residing at ____________________, in the City of 3 ______________, State of ________________________, 4 hereby complain that _____________________________ 5 (Senator/Lobbyist/Client of Lobbyist), whose address 6 is ___________________________________________, has 7 violated the Senate Code of Ethics, chapter 68B, or 8 Joint Rules Governing Lobbyists in that: 9 (Explain the basis for the complaint here. Use 10 additional pages, if necessary.) 11 Under penalty of perjury, I certify that the above 12 complaint is true and correct as I verily believe. 13 ___________________________ 14 Signature of Complainant 15 SUBSCRIBED AND AFFIRMED to before me this __________ 16 day of ________________________, _______. 17 ________________________________ 18 Notary Public in and for the 19 State of ______________________ 20 24. COMPLAINT NOTICE FORM. The following form 21 shall be used for notice of a complaint under these 22 rules: 23 STATE OF IOWA 24 THE SENATE 25 COMMITTEE ON ETHICS ) 26 IOWA STATE SENATE ) 27 ) 28 On The Complaint Of ) NOTICE OF COMPLAINT 29 ) 30 -17- LSB 1910SV (1) 89 jh/tm 17/ 24
S.R. 1 ___________________________ ) 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, 13 chapter 68B, or 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 and requested to file your 18 written answer to the complaint within ten days of the 19 date upon which the notice was caused to be delivered 20 to you, (date) ________________________, ________. 21 Your answer is to be filed with the Secretary of the 22 Senate, State Capitol, Des Moines, Iowa. 23 Dated this ________ day of ________________, ______. 24 ________________________________ 25 Chairperson, Senate Ethics 26 Committee, 27 or Secretary of the Senate 28 25. HEARING NOTICE FORM. The following form shall 29 be used for notice of a hearing under these rules: 30 -18- LSB 1910SV (1) 89 jh/tm 18/ 24
S.R. 1 STATE OF IOWA 1 THE SENATE 2 COMMITTEE ON ETHICS ) 3 IOWA STATE SENATE ) 4 ) 5 On The Complaint Of ) NOTICE OF HEARING 6 ) 7 ___________________________ ) 8 ) 9 And Involving ) 10 ) 11 ___________________________ ) 12 ) 13 TO ________________________________, 14 Senator or Lobbyist or Client of Lobbyist named 15 above: 16 You are hereby notified that there is now on file 17 with the Secretary of the Senate, State Capitol, Des 18 Moines, Iowa, a complaint which alleges that you have 19 committed a violation of the Senate’s Code of Ethics, 20 chapter 68B, or Joint Rules Governing Lobbyists. 21 A copy of the complaint and the Senate rules for 22 processing the same are attached hereto and made a part 23 of this notice. 24 You are further notified that, after preliminary 25 review, the committee has caused a public hearing to be 26 scheduled on (date)___________________, ________, at 27 (hour) ___________ (a.m.) (p.m.), in Room ____, State 28 Capitol, Des Moines, Iowa. 29 At the hearing, you will have the right to appear 30 -19- LSB 1910SV (1) 89 jh/tm 19/ 24
S.R. 1 in person, be represented by legal counsel at your own 1 expense, present statements and evidence, and examine 2 and cross-examine witnesses. The committee shall 3 not be bound by formal rules of evidence, but shall 4 receive relevant evidence, subject to limitations on 5 repetitiveness. Any evidence taken shall be under 6 oath. 7 The committee may continue the hearing to a future 8 date if necessary for appropriate reasons or purposes. 9 You are further notified that the committee will 10 receive such evidence and take such action as warranted 11 by the evidence. 12 Dated this _____ day of ________________, ______. 13 ________________________________ 14 Chairperson, Senate Ethics 15 Committee, 16 or Secretary of the Senate 17 26. PERSONAL FINANCIAL DISCLOSURE FORM. The 18 following form shall be used for disclosure of economic 19 interests under these rules and section 68B.35: 20 STATEMENT OF ECONOMIC INTERESTS 21 Name:________________________________________________ 22 (Last) (First) (Middle Initial) 23 Address:_____________________________________________ 24 (Street Address, Apt.#/P.O. Box) 25 ______________________________________________ 26 (City) (State) (Zip) 27 Phone:(Home) ____/____-_____(Business) ____/____-_____ 28 ****************************************************** 29 a. Please list each business, occupation, or 30 -20- LSB 1910SV (1) 89 jh/tm 20/ 24
S.R. 1 profession in which you are engaged. In listing 1 the business, occupation, or profession, it is 2 not necessary that your employer or the name of 3 the business be listed, although all businesses, 4 occupations, or professions must be listed, regardless 5 of the amount of income derived or time spent 6 participating in the activity. (Examples of types 7 of businesses, occupations, or professions that may 8 be listed: teacher, lawyer, legislator, real estate 9 agent, insurance adjuster, salesperson....) 10 (1) __________________________________________________ 11 (2) __________________________________________________ 12 (3) __________________________________________________ 13 (4) __________________________________________________ 14 (5) __________________________________________________ 15 b. Please list the nature of each of the 16 businesses, occupations, or professions which you 17 listed in paragraph “a”, above, unless the nature of 18 the business, occupation, or profession is already 19 apparent from the information indicated above. The 20 descriptions in this paragraph should correspond by 21 number to the numbers for each of the businesses, 22 occupations, or professions listed in paragraph “a”. 23 (Examples: If you indicated, for example, that you 24 were a salesperson in subparagraph (1) of paragraph 25 “a”, you should list in subparagraph (1) of this 26 paragraph the types of goods or services sold in this 27 item. If you indicated that you were a teacher in 28 subparagraph (2) of paragraph “a”, you should indicate 29 in subparagraph (2) of this paragraph the type of 30 -21- LSB 1910SV (1) 89 jh/tm 21/ 24
S.R. 1 school or institution in which you provide instruction 1 or whether the instruction is provided on a private 2 basis. If you indicated that you were a lawyer in 3 subparagraph (3) of paragraph “a”, you should indicate 4 your areas of practice and whether you are in private, 5 corporate, or government practice in subparagraph (3) 6 of this paragraph. If you indicated in subparagraph 7 (4) of paragraph “a” that you were a consultant, in 8 subparagraph (4) of this paragraph you should indicate 9 the kind of services provided and types of clients 10 served.) 11 (1) __________________________________________________ 12 (2) __________________________________________________ 13 (3) __________________________________________________ 14 (4) __________________________________________________ 15 (5) __________________________________________________ 16 c. Please list each source, by general description, 17 from which you receive, or which generates, more than 18 one thousand dollars in gross annual income in the 19 categories listed below. For purposes of this item, 20 a source produces gross annual income if the revenue 21 produced by the source is subject to federal or state 22 income taxes. In completing this item, it is not 23 necessary to list the name of the company, business, 24 financial institution, corporation, partnership, or 25 other entity which constitutes the source of the income 26 and the amount or value of the holding should not be 27 listed. 28 (1) Securities (Here for example, you need not 29 state that you own X number of shares of any specific 30 -22- LSB 1910SV (1) 89 jh/tm 22/ 24
S.R. 1 company by brand or corporate name, or that the stock 1 is of a certain value, but may instead state that you 2 possess stock in a company and indicate the nature of 3 the company’s business.): 4 ______________________________________________________ 5 ______________________________________________________ 6 ______________________________________________________ 7 ______________________________________________________ 8 ______________________________________________________ 9 (2) Instruments of Financial Institutions (You 10 need not indicate, for example, in which institutions 11 you hold certificates of deposit that produce annual 12 income over the one thousand dollar threshold, but 13 simply listing the nature of the institution will 14 suffice, e.g., bank, credit union, or savings and loan 15 association.): 16 ______________________________________________________ 17 ______________________________________________________ 18 ______________________________________________________ 19 ______________________________________________________ 20 ______________________________________________________ 21 (3) Trusts (The name of the particular trust need 22 not be listed. However, if the income is received 23 from a charitable trust/foundation, such as the Pugh 24 Charitable Trust, in the form of a grant, the fact that 25 the trust is a charitable trust should be noted here.): 26 ______________________________________________________ 27 ______________________________________________________ 28 ______________________________________________________ 29 ______________________________________________________ 30 -23- LSB 1910SV (1) 89 jh/tm 23/ 24
S.R. 1 ______________________________________________________ 1 (4) Real Estate (When listing real estate, it is 2 not necessary to list the location of the property, but 3 the general nature of the real estate interest should 4 be indicated, e.g., residential leasehold interest or 5 farm leasehold interest.): 6 ______________________________________________________ 7 ______________________________________________________ 8 ______________________________________________________ 9 ______________________________________________________ 10 ______________________________________________________ 11 (5) Retirement Systems (When listing retirement 12 benefits, it is not necessary to list the name of 13 the particular pension system or company, but rather 14 the type of benefit should be listed, e.g., health 15 benefits, life insurance benefits, private pension, or 16 government pension.): 17 ______________________________________________________ 18 ______________________________________________________ 19 ______________________________________________________ 20 ______________________________________________________ 21 ______________________________________________________ 22 (Signature of filer) (Date) 23 -24- LSB 1910SV (1) 89 jh/tm 24/ 24