Senate Resolution 101 - Introduced SENATE RESOLUTION NO. 101 BY COMMITTEE ON ETHICS (SUCCESSOR TO SSB 3038) A Resolution relating to the requirements under the 1 Senate Code of Ethics for filing personal financial 2 disclosure forms by senators and candidates for 3 senate. 4 BE IT RESOLVED BY THE SENATE, That Rule 11 of the 5 Senate Code of Ethics for the Eighty-ninth General 6 Assembly, as adopted during the 2021 Session in Senate 7 Resolution 1, is amended as follows: 8 11. DISCLOSURE REQUIRED BY SENATORS . Each senator 9 shall file with the secretary of the senate within ten 10 days after the adoption of the code of ethics by the 11 senate, and within ten days after the convening of the 12 second session of the general assembly, a financial 13 statement under section 68B.35 on forms provided by 14 the secretary of the senate setting forth the following 15 information: 16 The nature of each business in which the senator 17 is engaged and the nature of the business of each 18 company in which the senator has a financial interest. 19 A senator shall not be required to file a report 20 financial statement or be assumed to have a financial 21 interest if the annual income derived from the 22 investment in stocks, bonds, bills, notes, mortgages, 23 or other securities offered for sale through recognized 24 financial brokers is less than one thousand dollars. 25 Disclosures required under this rule shall be as 26 of the date filed unless provided to the contrary, 27 -1- LSB 5774SV (2) 89 jh/tm 1/ 10

S.R. 101 and shall be amended to include interests and changes 1 encompassed by this rule that occur while the general 2 assembly is in session. All filings under this rule 3 shall be open to public inspection in the office of the 4 secretary of the senate at all reasonable times. 5 The secretary of the senate shall inform the ethics 6 committee of the financial statements which are filed 7 and shall report to the ethics committee the names 8 of any senators who appear not to have filed complete 9 financial statements. The chairperson of the ethics 10 committee shall request in writing that a senator who 11 has failed to complete the report financial statement 12 or appears to have filed an incomplete report financial 13 statement do so within five days, and, upon the failure 14 of the senator to comply, the ethics committee shall 15 require the senator to appear before the committee. 16 BE IT FURTHER RESOLVED, That the Senate Code of 17 Ethics for the Eighty-ninth General Assembly, as 18 adopted during the 2021 Session in Senate Resolution 1, 19 is amended by adding the following new rule: 20 11A. DISCLOSURE REQUIRED BY CANDIDATES FOR SENATE. 21 Each candidate for senate shall file with the secretary 22 of the senate within fourteen days after the deadline 23 for the filing of nomination papers or fourteen days 24 after the nominating convention, as applicable, a 25 financial statement under section 68B.35 on forms 26 provided by the secretary of the senate setting forth 27 the following information: 28 The nature of each business in which the candidate 29 for senate is engaged and the nature of the business 30 -2- LSB 5774SV (2) 89 jh/tm 2/ 10

S.R. 101 of each company in which the candidate for senate has a 1 financial interest. A candidate for senate shall not 2 be required to file a financial statement or be assumed 3 to have a financial interest if the annual income 4 derived from the investment in stocks, bonds, bills, 5 notes, mortgages, or other securities offered for sale 6 through recognized financial brokers is less than one 7 thousand dollars. 8 Disclosures required under this rule shall be for 9 the year preceding the year in which the election is to 10 be held. All filings under this rule shall be open to 11 public inspection in the office of the secretary of the 12 senate at all reasonable times. 13 The secretary of the senate shall provide 14 information to persons interested in becoming 15 candidates for senate of the duty to file financial 16 statements under this rule and the applicable 17 deadlines. 18 A candidate for senate who fails to file a complete 19 financial statement with the secretary of senate by 20 the applicable deadline shall be fined fifty dollars, 21 payable to the Iowa senate for deposit in the general 22 fund. 23 The secretary of the senate may refer a candidate 24 who has failed to file a complete financial statement 25 by the deadlines established under this code of ethics 26 two or more consecutive times to the ethics committee 27 and the committee may require the candidate to appear 28 before the committee. 29 BE IT FURTHER RESOLVED, That Rule 15 of the Senate 30 -3- LSB 5774SV (2) 89 jh/tm 3/ 10

S.R. 101 Code of Ethics for the Eighty-ninth General Assembly, 1 as adopted during the 2021 Session in Senate Resolution 2 1, is amended as follows: 3 15. COMPLAINTS. Complaints or charges against any 4 senator , candidate for senate, lobbyist, or any client 5 of a lobbyist shall be in writing, made under penalty 6 of perjury, and filed with the secretary of the senate. 7 When filed with the secretary of the senate, the 8 secretary shall immediately advise the chairperson of 9 the ethics committee of the receipt of the complaint. 10 Complaint forms shall be available from the 11 secretary of the senate, or the chairperson of the 12 ethics committee, but a complaint shall not be rejected 13 for failure to use an approved form if the complaint 14 substantially complies with senate requirements. 15 A complainant may submit exhibits and affidavits 16 attached to the complaint. 17 BE IT FURTHER RESOLVED, That Rule 16, paragraph 18 “a” of the Senate Code of Ethics for the Eighty-ninth 19 General Assembly, as adopted during the 2021 Session in 20 Senate Resolution 1, is amended as follows: 21 a. Persons entitled. Complaints may be filed by 22 any person believing that a senator, candidate for 23 senate, lobbyist, or client of a lobbyist has violated 24 the senate ethics code, the joint rules governing 25 lobbyists, or chapter 68B , as applicable . A violation 26 of the criminal law may be considered to be a violation 27 of this code of ethics if the violation constitutes a 28 serious misdemeanor or greater, or a repetitive and 29 flagrant violation of the law. 30 -4- LSB 5774SV (2) 89 jh/tm 4/ 10

S.R. 101 BE IT FURTHER RESOLVED, That Rule 19, paragraph 1 “f”, subparagraph (2) of the Senate Code of Ethics for 2 the Eighty-ninth General Assembly, as adopted during 3 the 2021 Session in Senate Resolution 1, is amended as 4 follows: 5 (2) That the senator, candidate for senate, 6 lobbyist, or client of a lobbyist be censured or 7 reprimanded, and recommend the appropriate form of 8 censure or reprimand. 9 BE IT FURTHER RESOLVED, That Rule 20 of the Senate 10 Code of Ethics for the Eighty-ninth General Assembly, 11 as adopted during the 2021 Session in Senate Resolution 12 1, is amended as follows: 13 20. COMMITTEE AUTHORIZED TO MEET. The senate 14 ethics committee is authorized to meet at the 15 discretion of the chairperson to conduct hearings and 16 other business that properly may come before it. If 17 the committee submits a report seeking senate action 18 against a senator, candidate for senate, lobbyist, or 19 client of a lobbyist after the second regular session 20 of a general assembly has adjourned sine die, the 21 report shall be submitted to and considered by the 22 subsequent general assembly. However, the report 23 may be submitted to and considered during any special 24 session which may take place after the second regular 25 session of a general assembly has adjourned sine die, 26 but before the convening of the next general assembly. 27 BE IT FURTHER RESOLVED, That Rule 21, paragraph 28 “b” of the Senate Code of Ethics for the Eighty-ninth 29 General Assembly, as adopted during the 2021 Session in 30 -5- LSB 5774SV (2) 89 jh/tm 5/ 10

S.R. 101 Senate Resolution 1, is amended as follows: 1 b. Form and contents of requests. A request for 2 a formal advisory opinion shall be in writing and 3 may pertain to any subject matter that is related 4 to the application of the senate code of ethics, the 5 joint rules governing lobbyists, or chapter 68B to 6 any person who is subject to the authority of the 7 ethics committee. Requests shall contain one or 8 more specific questions and shall relate either to 9 future conduct or be stated in the hypothetical. A 10 request for an advisory opinion shall not specifically 11 name any individual or contain any other specific 12 identifying information, unless the request relates 13 to the requester’s own conduct. However, any request 14 may contain information which identifies the kind 15 of individual who may be affected by the subject 16 matter of the request. Examples of this latter kind 17 of identifying information may include references 18 to conduct of a category of individuals, such as but 19 not limited to conduct of legislators, legislative 20 staff, candidates for senate, lobbyists, or clients of 21 lobbyists. 22 BE IT FURTHER RESOLVED, That Rules 23, 24, and 25 of 23 the Senate Code of Ethics for the Eighty-ninth General 24 Assembly, as adopted during the 2021 Session in Senate 25 Resolution 1, are amended as follows: 26 23. COMPLAINT FILING FORM. The following form 27 shall be used to file a complaint under these rules: 28 THE SENATE 29 Ethics Complaint Form 30 -6- LSB 5774SV (2) 89 jh/tm 6/ 10

S.R. 101 Re: ______________________________ (Senator/ Candidate 1 for Senate/ Lobbyist/Client of Lobbyist), of 2 _____________________, Iowa. 3 I, ________________________ (Complainant), residing 4 at ____________________, in the City of ______________, 5 State of ________________________, hereby complain 6 that _____________________________ (Senator/ Candidate 7 for Senate/ Lobbyist/Client of Lobbyist), whose address 8 is ___________________________________________, has 9 violated the Senate Code of Ethics, chapter 68B, or 10 Joint Rules Governing Lobbyists in that: 11 (Explain the basis for the complaint here. Use 12 additional pages, if necessary.) 13 Under penalty of perjury, I certify that the above 14 complaint is true and correct as I verily believe. 15 ___________________________ 16 Signature of Complainant 17 SUBSCRIBED AND AFFIRMED to before me this __________ 18 day of ________________________, _______. 19 ________________________________ 20 Notary Public in and for the 21 State of ______________________ 22 24. COMPLAINT NOTICE FORM. The following form 23 shall be used for notice of a complaint under these 24 rules: 25 STATE OF IOWA 26 THE SENATE 27 COMMITTEE ON ETHICS ) 28 IOWA STATE SENATE ) 29 ) 30 -7- LSB 5774SV (2) 89 jh/tm 7/ 10

S.R. 101 On The Complaint Of ) NOTICE OF COMPLAINT 1 ) 2 ___________________________ ) 3 ) 4 And Involving ) 5 ) 6 ___________________________ ) 7 ) 8 TO ________________________________, 9 Senator or Candidate for Senate or Lobbyist or 10 Client of Lobbyist named above: 11 You are hereby notified that there is now on file 12 with the Secretary of the Senate, State Capitol, Des 13 Moines, Iowa, a complaint which alleges that you have 14 committed a violation of the Senate’s Code of Ethics, 15 chapter 68B, or Joint Rules Governing Lobbyists. 16 A copy of the complaint and the Senate rules for 17 processing the same are attached hereto and made a part 18 of this notice. 19 You are further notified and requested to file your 20 written answer to the complaint within ten days of the 21 date upon which the notice was caused to be delivered 22 to you, (date) ________________________, ________. 23 Your answer is to be filed with the Secretary of the 24 Senate, State Capitol, Des Moines, Iowa. 25 Dated this ________ day of ________________, ______. 26 ________________________________ 27 Chairperson, Senate Ethics 28 Committee, 29 or Secretary of the Senate 30 -8- LSB 5774SV (2) 89 jh/tm 8/ 10

S.R. 101 25. HEARING NOTICE FORM. The following form shall 1 be used for notice of a hearing under these rules: 2 STATE OF IOWA 3 THE SENATE 4 COMMITTEE ON ETHICS ) 5 IOWA STATE SENATE ) 6 ) 7 On The Complaint Of ) NOTICE OF HEARING 8 ) 9 ___________________________ ) 10 ) 11 And Involving ) 12 ) 13 ___________________________ ) 14 ) 15 TO ________________________________, 16 Senator or Candidate for Senate or Lobbyist or 17 Client of Lobbyist named above: 18 You are hereby notified that there is now on file 19 with the Secretary of the Senate, State Capitol, Des 20 Moines, Iowa, a complaint which alleges that you have 21 committed a violation of the Senate’s Code of Ethics, 22 chapter 68B, or Joint Rules Governing Lobbyists. 23 A copy of the complaint and the Senate rules for 24 processing the same are attached hereto and made a part 25 of this notice. 26 You are further notified that, after preliminary 27 review, the committee has caused a public hearing to be 28 scheduled on (date)___________________, ________, at 29 (hour) ___________ (a.m.) (p.m.), in Room ____, State 30 -9- LSB 5774SV (2) 89 jh/tm 9/ 10

S.R. 101 Capitol, Des Moines, Iowa. 1 At the hearing, you will have the right to appear 2 in person, be represented by legal counsel at your own 3 expense, present statements and evidence, and examine 4 and cross-examine witnesses. The committee shall 5 not be bound by formal rules of evidence, but shall 6 receive relevant evidence, subject to limitations on 7 repetitiveness. Any evidence taken shall be under 8 oath. 9 The committee may continue the hearing to a future 10 date if necessary for appropriate reasons or purposes. 11 You are further notified that the committee will 12 receive such evidence and take such action as warranted 13 by the evidence. 14 Dated this _____ day of ________________, ______. 15 ________________________________ 16 Chairperson, Senate Ethics 17 Committee, 18 or Secretary of the Senate 19 -10- LSB 5774SV (2) 89 jh/tm 10/ 10