Senate Resolution 1 - Introduced SENATE RESOLUTION NO. 1 BY COMMITTEE ON ETHICS (SUCCESSOR TO SSB 1075) 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 Ninetieth General Assembly. 4 BE IT RESOLVED BY THE SENATE, That the Senate Code 5 of Ethics for the Eighty-ninth Ninetieth 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 1580SV (1) 90 th/jh 1/ 26

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 1580SV (1) 90 th/jh 2/ 26

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 1580SV (1) 90 th/jh 3/ 26

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 1580SV (1) 90 th/jh 4/ 26

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 BY SENATORS. Each senator 14 shall file with the secretary of the senate within ten 15 days after the adoption of the code of ethics by the 16 senate, and within ten days after the convening of the 17 second session of the general assembly, a financial 18 statement under section 68B.35 on forms provided by 19 the secretary of the senate setting forth the following 20 information: 21 The nature of each business in which the senator 22 is engaged and the nature of the business of each 23 company in which the senator has a financial interest. 24 A senator shall not be required to file a financial 25 statement or be assumed to have a financial interest 26 if the annual income derived from the investment 27 in stocks, bonds, bills, notes, mortgages, or other 28 securities offered for sale through recognized 29 financial brokers is less than one thousand dollars. 30 -5- LSB 1580SV (1) 90 th/jh 5/ 26

S.R. 1 Disclosures required under this rule shall be as 1 of the date filed unless provided to the contrary, 2 and shall be amended to include interests and changes 3 encompassed by this rule that occur while the general 4 assembly is in session. All filings under this rule 5 shall be open to public inspection in the office of the 6 secretary of the senate at all reasonable times. 7 The secretary of the senate shall inform the ethics 8 committee of the financial statements which are filed 9 and shall report to the ethics committee the names 10 of any senators who appear not to have filed complete 11 financial statements. The chairperson of the ethics 12 committee shall request in writing that a senator 13 who has failed to complete the financial statement or 14 appears to have filed an incomplete financial statement 15 do so within five days, and, upon the failure of the 16 senator to comply, the ethics committee shall require 17 the senator to appear before the committee. 18 11A. DISCLOSURE REQUIRED BY CANDIDATES FOR SENATE. 19 Each candidate for senate shall file with the secretary 20 of the senate within fourteen days after the deadline 21 for the filing of nomination papers or fourteen days 22 after the nominating convention, as applicable, a 23 financial statement under section 68B.35 on forms 24 provided by the secretary of the senate setting forth 25 the following information: 26 The nature of each business in which the candidate 27 for senate is engaged and the nature of the business 28 of each company in which the candidate for senate has a 29 financial interest. A candidate for senate shall not 30 -6- LSB 1580SV (1) 90 th/jh 6/ 26

S.R. 1 be required to file a financial statement or be assumed 1 to have a financial interest if the annual income 2 derived from the investment in stocks, bonds, bills, 3 notes, mortgages, or other securities offered for sale 4 through recognized financial brokers is less than one 5 thousand dollars. 6 Disclosures required under this rule shall be for 7 the year preceding the year in which the election is to 8 be held. All filings under this rule shall be open to 9 public inspection in the office of the secretary of the 10 senate at all reasonable times. 11 The secretary of the senate shall provide 12 information to persons interested in becoming 13 candidates for senate of the duty to file financial 14 statements under this rule and the applicable 15 deadlines. 16 The secretary of the senate shall inform the ethics 17 committee of the financial statements that are filed 18 and shall report to the ethics committee the names 19 of any candidates for senate who appear not to have 20 filed complete financial statements. The secretary of 21 the senate shall request that a candidate for senate 22 who has failed to complete the financial statement 23 or appears to have filed an incomplete financial 24 report to do so within five days. If a candidate for 25 senate does not file a complete financial statement 26 within five days, the candidate shall be fined fifty 27 dollars, payable to the Iowa senate for deposit in the 28 general fund, and the ethics committee may require the 29 candidate to appear before the committee. 30 -7- LSB 1580SV (1) 90 th/jh 7/ 26

S.R. 1 12. STATUTORY VIOLATIONS. Members of the general 1 assembly are urged to familiarize themselves with 2 chapters 68B, 721, and 722. 3 12A. HARASSMENT —— RETALIATION. Senators, 4 lobbyists, and clients of lobbyists shall not engage 5 in conduct that constitutes harassment or retaliation 6 as provided in the personnel guidelines for the Iowa 7 Senate. 8 12B. DISCRIMINATION —— HARASSMENT —— ABUSE. As 9 provided and defined in the personnel guidelines of the 10 Iowa Senate, a senator shall not engage in any act of 11 discrimination, harassment, or abuse of any person. 12 13. CHARGE ACCOUNTS. Senators shall not charge any 13 amount or item to any charge account to be paid for by 14 any lobbyist or any client the lobbyist represents. 15 14. TRAVEL EXPENSES. A senator shall not charge 16 to the state of Iowa amounts for travel and expenses 17 unless the senator actually has incurred those mileage 18 and expense costs. Senators shall not file the 19 vouchers for weekly mileage reimbursement required 20 by section 2.10, subsection 1, unless the travel 21 was actually incurred at commensurate expense to the 22 senator. 23 15. COMPLAINTS. Complaints or charges against any 24 senator, candidate for senate, lobbyist, or client of 25 a lobbyist shall be in writing, made under penalty of 26 perjury, and filed with the secretary of the senate. 27 When filed with the secretary of the senate, the 28 secretary shall immediately advise the chairperson of 29 the ethics committee of the receipt of the complaint. 30 -8- LSB 1580SV (1) 90 th/jh 8/ 26

S.R. 1 Complaint forms shall be available from the 1 secretary of the senate, or the chairperson of the 2 ethics committee, but a complaint shall not be rejected 3 for failure to use an approved form if the complaint 4 substantially complies with senate requirements. 5 A complainant may submit exhibits and affidavits 6 attached to the complaint. 7 16. FILING OF COMPLAINTS. 8 a. Persons entitled. Complaints may be filed by 9 any person believing that a senator, candidate for 10 senate, lobbyist, or client of a lobbyist has violated 11 the senate ethics code, the joint rules governing 12 lobbyists, or chapter 68B, as applicable. A violation 13 of the criminal law may be considered to be a violation 14 of this code of ethics if the violation constitutes a 15 serious misdemeanor or greater, or a repetitive and 16 flagrant violation of the law. 17 b. Committee complaint. The ethics committee 18 may, upon its own motion, initiate a complaint, 19 investigation, or disciplinary action. 20 17. PERMANENT RECORD. The secretary of the senate 21 shall maintain a permanent record of all complaints 22 filed, evidence received by the committee, and any 23 transcripts or other recordings made of committee 24 proceedings, including a separate file containing 25 the date filed, name and address of the complainant, 26 name and address of the respondent, a brief statement 27 of the charges made, and ultimate disposition of 28 the complaint. The secretary shall keep each such 29 complaint confidential until public disclosure is made 30 -9- LSB 1580SV (1) 90 th/jh 9/ 26

S.R. 1 by the ethics committee. 1 18. PREHEARING PROCEDURE. 2 a. Defective complaint. Upon receipt of a 3 complaint, the chairperson and ranking member of the 4 ethics committee shall determine whether the complaint 5 substantially complies with the requirements of this 6 code of ethics and section 68B.31, subsection 6. If 7 the complaint does not substantially comply with 8 the requirements for formal sufficiency under the 9 code of ethics, the complaint may be returned to the 10 complainant with a statement that the complaint is not 11 in compliance with the code and a copy of the code. If 12 the complainant fails to amend the complaint to comply 13 with the code within a reasonable time, the chairperson 14 and ranking member may dismiss the complaint with 15 prejudice for failure to prosecute. 16 b. Service of complaint on respondent. Upon 17 receipt of any complaint substantially complying 18 with the requirements of this code of ethics, the 19 chairperson of the ethics committee shall cause a copy 20 of the complaint and any supporting information to be 21 delivered promptly to the respondent, requesting a 22 written response to be filed within ten days. At the 23 time delivery is made to the respondent, delivery of 24 copies of the complaint and any supporting information 25 shall be made to legislative staff assigned to the 26 ethics committee. The response may do any of the 27 following: 28 (1) Admit or deny the allegation or allegations. 29 (2) Object that the allegation fails to allege a 30 -10- LSB 1580SV (1) 90 th/jh 10/ 26

S.R. 1 violation of chapter 68B, the joint rules governing 1 lobbyists, or the code of ethics. 2 (3) Object to the jurisdiction of the committee. 3 (4) Request a more specific statement of the 4 allegation or allegations. 5 c. Objection to member. In addition to the 6 items which may be included in a response pursuant 7 to paragraph “b”, the response may also include an 8 objection to the participation of any member of the 9 committee in the consideration of the allegation or 10 allegations on the grounds that the member cannot 11 render an impartial and unbiased decision. 12 d. Extension of time. At the request of the 13 respondent and upon a showing of good cause, the 14 committee, or the chairperson and ranking member, 15 may extend the time for response, not to exceed ten 16 additional days. 17 e. Confidentiality. If a complaint is not 18 otherwise made public by the complainant, the members 19 of the committee and legislative staff assigned to 20 the ethics committee shall treat the complaint and 21 all supporting information as confidential until the 22 written response is received from the respondent. 23 f. Communications with ethics committee. After a 24 complaint has been filed or an investigation has been 25 initiated, a party to the complaint or investigation 26 shall not communicate, or cause another to communicate, 27 as to the merits of the complaint or investigation with 28 a member of the committee, except under the following 29 circumstances: 30 -11- LSB 1580SV (1) 90 th/jh 11/ 26

S.R. 1 (1) During the course of any meetings or other 1 official proceedings of the committee regarding the 2 complaint or investigation. 3 (2) In writing, if a copy of the writing is 4 delivered to the adverse party or the designated 5 representative for the adverse party. 6 (3) Orally, if adequate prior notice of the 7 communication is given to the adverse party or the 8 designated representative for the adverse party. 9 (4) As otherwise authorized by statute, the senate 10 code of ethics, the joint rules governing lobbyists, or 11 vote of the committee. 12 g. Scheduling hearing. Upon receipt of the 13 response, the committee shall schedule a public meeting 14 to review the complaint and available information, and 15 shall do one of the following: 16 (1) Notify the complainant that no further 17 action will be taken, unless further substantiating 18 information is produced. 19 (2) Dismiss the complaint for failure to meet the 20 statutory and code of ethics requirements for valid 21 complaints. 22 (3) Take action on the complaint without requesting 23 the appointment of an independent special counsel 24 if the committee determines the complaint is valid 25 and determines no dispute exists between the parties 26 regarding the material facts that establish a 27 violation. The committee may do any of the following: 28 (a) Issue an admonishment to advise against the 29 conduct that formed the basis for the complaint and to 30 -12- LSB 1580SV (1) 90 th/jh 12/ 26

S.R. 1 exercise care in the future. 1 (b) Issue an order to cease and desist the conduct 2 that formed the basis for the complaint. 3 (c) Make a recommendation to the senate that 4 the person subject to the complaint be censured or 5 reprimanded. 6 (4) Request that the chief justice of the supreme 7 court appoint an independent special counsel to conduct 8 an investigation of the complaint and supporting 9 information, to make a determination of probable cause, 10 and to report the findings to the committee, which 11 shall be received within a reasonable time. 12 h. Public hearing. If independent special counsel 13 is appointed, upon receipt of the report of independent 14 special counsel’s findings, the committee shall 15 schedule a public meeting to review the report and 16 shall do either of the following: 17 (1) Cause the complaint to be scheduled for a 18 public hearing. 19 (2) Dismiss the complaint based upon a 20 determination by independent special counsel and the 21 committee that insufficient evidence exists to support 22 a finding of probable cause. 23 19. HEARING PROCEDURE. 24 a. Notice of hearing. If the committee causes a 25 complaint to be scheduled for a public hearing, notice 26 of the hearing date and time shall be given to the 27 complainant and respondent in writing, and of the 28 respondent’s right to appear in person, be represented 29 by legal counsel, present statements and evidence, and 30 -13- LSB 1580SV (1) 90 th/jh 13/ 26

S.R. 1 examine and cross-examine witnesses. The committee 1 shall not be bound by formal rules of evidence, but 2 shall receive relevant evidence, subject to limitations 3 on repetitiveness. Any evidence taken shall be under 4 oath. 5 b. Subpoena power. The committee may require, by 6 subpoena or otherwise, the attendance and testimony of 7 witnesses and the production of such books, records, 8 correspondence, memoranda, papers, documents, and any 9 other things it deems necessary to the conduct of the 10 inquiry. 11 c. Ex post facto. An investigation shall not be 12 undertaken by the committee of a violation of a law, 13 rule, or standard of conduct that is not in effect at 14 the time of violation. 15 d. Disqualification of member. Members of the 16 committee may disqualify themselves from participating 17 in any investigation of the conduct of another person 18 upon submission of a written statement that the member 19 cannot render an impartial and unbiased decision 20 in a case. A member may also be disqualified by a 21 unanimous vote of the remaining eligible members of the 22 committee. 23 A member of the committee is ineligible to 24 participate in committee meetings, as a member of the 25 committee, in any proceeding relating to the member’s 26 own official conduct. 27 If a member of the committee is disqualified or 28 ineligible to act, the majority or minority leader who 29 appointed the member shall appoint a replacement member 30 -14- LSB 1580SV (1) 90 th/jh 14/ 26

S.R. 1 to serve as a member of the committee during the period 1 of disqualification or ineligibility. 2 e. Hearing. At the hearing, the chairperson shall 3 open the hearing by stating the charges, the purpose of 4 the hearing, and its scope. The burden of proof rests 5 upon the complainant to establish the facts as alleged, 6 by clear and convincing evidence. However, questioning 7 of witnesses shall be conducted by the members of the 8 committee, by independent special counsel, or by a 9 senator. The chairperson shall also permit questioning 10 by legal counsel representing the complainant or 11 respondent. 12 The chairperson or other member of the committee 13 presiding at a hearing shall rule upon procedural 14 questions or any question of admissibility of evidence 15 presented to the committee. Rulings may be reversed by 16 a majority vote of the committee members present. 17 The committee may continue the hearing to a future 18 date if necessary for appropriate reasons or purposes. 19 f. Committee action. Upon receipt of all relevant 20 evidence and arguments, the committee shall consider 21 the same and recommend to the senate any of the 22 following: 23 (1) That the complaint be dismissed. 24 (2) That the senator, candidate for senate, 25 lobbyist, or client of a lobbyist be censured or 26 reprimanded, and recommend the appropriate form of 27 censure or reprimand. 28 (3) Any other appropriate sanction, including 29 suspension or expulsion from membership in the senate, 30 -15- LSB 1580SV (1) 90 th/jh 15/ 26

S.R. 1 or suspension of lobbying privileges. 1 g. Disposition resolution. By appropriate 2 resolution, the senate may amend, adopt, or reject 3 the report of the ethics committee, including the 4 committee’s recommendations regarding disciplinary 5 action. 6 20. COMMITTEE AUTHORIZED TO MEET. The senate 7 ethics committee is authorized to meet at the 8 discretion of the chairperson to conduct hearings and 9 other business that properly may come before it. If 10 the committee submits a report seeking senate action 11 against a senator, candidate for senate, lobbyist, or 12 client of a lobbyist after the second regular session 13 of a general assembly has adjourned sine die, the 14 report shall be submitted to and considered by the 15 subsequent general assembly. However, the report 16 may be submitted to and considered during any special 17 session which may take place after the second regular 18 session of a general assembly has adjourned sine die, 19 but before the convening of the next general assembly. 20 21. ADVISORY OPINIONS. 21 a. Requests for formal opinions. A request for a 22 formal advisory opinion may be filed by any person who 23 is subject to the authority of the ethics committee. 24 The ethics committee may also issue a formal advisory 25 opinion on its own motion, without having previously 26 received a formal request for an opinion, on any issue 27 that is within the jurisdiction of the committee. 28 Requests shall be filed with either the secretary of 29 the senate or the chairperson of the ethics committee. 30 -16- LSB 1580SV (1) 90 th/jh 16/ 26

S.R. 1 b. Form and contents of requests. A request for 1 a formal advisory opinion shall be in writing and 2 may pertain to any subject matter that is related 3 to the application of the senate code of ethics, the 4 joint rules governing lobbyists, or chapter 68B to 5 any person who is subject to the authority of the 6 ethics committee. Requests shall contain one or 7 more specific questions and shall relate either to 8 future conduct or be stated in the hypothetical. A 9 request for an advisory opinion shall not specifically 10 name any individual or contain any other specific 11 identifying information, unless the request relates 12 to the requester’s own conduct. However, any request 13 may contain information which identifies the kind 14 of individual who may be affected by the subject 15 matter of the request. Examples of this latter kind 16 of identifying information may include references 17 to conduct of a category of individuals, such as but 18 not limited to conduct of legislators, legislative 19 staff, candidates for senate, lobbyists, or clients of 20 lobbyists. 21 c. Confidentiality of formal requests and opinions. 22 Requests for formal opinions are not confidential and 23 any deliberations of the committee regarding a request 24 for a formal opinion shall be public. Opinions issued 25 in response to requests for formal opinions are not 26 confidential, shall be in writing, and shall be placed 27 on file in the office of the secretary of the senate. 28 Persons requesting formal opinions shall personally 29 receive a copy of the written formal opinion that is 30 -17- LSB 1580SV (1) 90 th/jh 17/ 26

S.R. 1 issued in response to the request. 1 22. CALCULATION OF TIME —— DAYS. For purposes of 2 these rules, unless the context otherwise requires, 3 the word “day” or “days” shall mean a calendar day 4 except that if the day is the last day of a specific 5 time period and falls upon a Saturday, Sunday, or legal 6 holiday, the time prescribed shall be extended so as to 7 include the whole of the next day in which the offices 8 of the senate and the general assembly are open for 9 official business. 10 23. COMPLAINT FILING FORM. The following form 11 shall be used to file a complaint under these rules: 12 THE SENATE 13 Ethics Complaint Form 14 Re: ______________________________ (Senator/Candidate 15 for Senate/Lobbyist/Client of Lobbyist), of 16 _____________________, Iowa. 17 I, ________________________ (Complainant), residing 18 at ____________________, in the City of ______________, 19 State of ________________________, hereby complain 20 that _____________________________ (Senator/Candidate 21 for Senate/Lobbyist/Client of Lobbyist), whose address 22 is ___________________________________________, has 23 violated the Senate Code of Ethics, chapter 68B, or 24 Joint Rules Governing Lobbyists in that: 25 (Explain the basis for the complaint here. Use 26 additional pages, if necessary.) 27 Under penalty of perjury, I certify that the above 28 complaint is true and correct as I verily believe. 29 ___________________________ 30 -18- LSB 1580SV (1) 90 th/jh 18/ 26

S.R. 1 Signature of Complainant 1 SUBSCRIBED AND AFFIRMED to before me this __________ 2 day of ________________________, _______. 3 ________________________________ 4 Notary Public in and for the 5 State of ______________________ 6 24. COMPLAINT NOTICE FORM. The following form 7 shall be used for notice of a complaint under these 8 rules: 9 STATE OF IOWA 10 THE SENATE 11 COMMITTEE ON ETHICS ) 12 IOWA STATE SENATE ) 13 ) 14 On The Complaint Of ) NOTICE OF COMPLAINT 15 ) 16 ___________________________ ) 17 ) 18 And Involving ) 19 ) 20 ___________________________ ) 21 ) 22 TO ________________________________, 23 Senator or Candidate for Senate or Lobbyist or 24 Client of Lobbyist named above: 25 You are hereby notified that there is now on file 26 with the Secretary of the Senate, State Capitol, Des 27 Moines, Iowa, a complaint which alleges that you have 28 committed a violation of the Senate’s Code of Ethics, 29 chapter 68B, or Joint Rules Governing Lobbyists. 30 -19- LSB 1580SV (1) 90 th/jh 19/ 26

S.R. 1 A copy of the complaint and the Senate rules for 1 processing the same are attached hereto and made a part 2 of this notice. 3 You are further notified and requested to file your 4 written answer to the complaint within ten days of the 5 date upon which the notice was caused to be delivered 6 to you, (date) ________________________, ________. 7 Your answer is to be filed with the Secretary of the 8 Senate, State Capitol, Des Moines, Iowa. 9 Dated this ________ day of ________________, ______. 10 ________________________________ 11 Chairperson, Senate Ethics 12 Committee, 13 or Secretary of the Senate 14 25. HEARING NOTICE FORM. The following form shall 15 be used for notice of a hearing under these rules: 16 STATE OF IOWA 17 THE SENATE 18 COMMITTEE ON ETHICS ) 19 IOWA STATE SENATE ) 20 ) 21 On The Complaint Of ) NOTICE OF HEARING 22 ) 23 ___________________________ ) 24 ) 25 And Involving ) 26 ) 27 ___________________________ ) 28 ) 29 TO ________________________________, 30 -20- LSB 1580SV (1) 90 th/jh 20/ 26

S.R. 1 Senator or Candidate for Senate or Lobbyist or 1 Client of Lobbyist named above: 2 You are hereby notified that there is now on file 3 with the Secretary of the Senate, State Capitol, Des 4 Moines, Iowa, a complaint which alleges that you have 5 committed a violation of the Senate’s Code of Ethics, 6 chapter 68B, or Joint Rules Governing Lobbyists. 7 A copy of the complaint and the Senate rules for 8 processing the same are attached hereto and made a part 9 of this notice. 10 You are further notified that, after preliminary 11 review, the committee has caused a public hearing to be 12 scheduled on (date)___________________, ________, at 13 (hour) ___________ (a.m.) (p.m.), in Room ____, State 14 Capitol, Des Moines, Iowa. 15 At the hearing, you will have the right to appear 16 in person, be represented by legal counsel at your own 17 expense, present statements and evidence, and examine 18 and cross-examine witnesses. The committee shall 19 not be bound by formal rules of evidence, but shall 20 receive relevant evidence, subject to limitations on 21 repetitiveness. Any evidence taken shall be under 22 oath. 23 The committee may continue the hearing to a future 24 date if necessary for appropriate reasons or purposes. 25 You are further notified that the committee will 26 receive such evidence and take such action as warranted 27 by the evidence. 28 Dated this _____ day of ________________, ______. 29 ________________________________ 30 -21- LSB 1580SV (1) 90 th/jh 21/ 26

S.R. 1 Chairperson, Senate Ethics 1 Committee, 2 or Secretary of the Senate 3 26. PERSONAL FINANCIAL DISCLOSURE FORM. The 4 following form shall be used for disclosure of economic 5 interests under these rules and section 68B.35: 6 STATEMENT OF ECONOMIC INTERESTS 7 Name:________________________________________________ 8 (Last) (First) (Middle Initial) 9 Address:_____________________________________________ 10 (Street Address, Apt.#/P.O. Box) 11 ______________________________________________ 12 (City) (State) (Zip) 13 Phone:(Home) ____/____-_____(Business) ____/____-_____ 14 ****************************************************** 15 a. Please list each business, occupation, or 16 profession in which you are engaged. In listing 17 the business, occupation, or profession, it is 18 not necessary that your employer or the name of 19 the business be listed, although all businesses, 20 occupations, or professions must be listed, regardless 21 of the amount of income derived or time spent 22 participating in the activity. (Examples of types 23 of businesses, occupations, or professions that may 24 be listed: teacher, lawyer, legislator, real estate 25 agent, insurance adjuster, salesperson....) 26 (1) __________________________________________________ 27 (2) __________________________________________________ 28 (3) __________________________________________________ 29 (4) __________________________________________________ 30 -22- LSB 1580SV (1) 90 th/jh 22/ 26

S.R. 1 (5) __________________________________________________ 1 b. Please list the nature of each of the 2 businesses, occupations, or professions which you 3 listed in paragraph “a”, above, unless the nature of 4 the business, occupation, or profession is already 5 apparent from the information indicated above. The 6 descriptions in this paragraph should correspond by 7 number to the numbers for each of the businesses, 8 occupations, or professions listed in paragraph “a”. 9 (Examples: If you indicated, for example, that you 10 were a salesperson in subparagraph (1) of paragraph 11 “a”, you should list in subparagraph (1) of this 12 paragraph the types of goods or services sold in this 13 item. If you indicated that you were a teacher in 14 subparagraph (2) of paragraph “a”, you should indicate 15 in subparagraph (2) of this paragraph the type of 16 school or institution in which you provide instruction 17 or whether the instruction is provided on a private 18 basis. If you indicated that you were a lawyer in 19 subparagraph (3) of paragraph “a”, you should indicate 20 your areas of practice and whether you are in private, 21 corporate, or government practice in subparagraph (3) 22 of this paragraph. If you indicated in subparagraph 23 (4) of paragraph “a” that you were a consultant, in 24 subparagraph (4) of this paragraph you should indicate 25 the kind of services provided and types of clients 26 served.) 27 (1) __________________________________________________ 28 (2) __________________________________________________ 29 (3) __________________________________________________ 30 -23- LSB 1580SV (1) 90 th/jh 23/ 26

S.R. 1 (4) __________________________________________________ 1 (5) __________________________________________________ 2 c. Please list each source, by general description, 3 from which you receive, or which generates, more than 4 one thousand dollars in gross annual income in the 5 categories listed below. For purposes of this item, 6 a source produces gross annual income if the revenue 7 produced by the source is subject to federal or state 8 income taxes. In completing this item, it is not 9 necessary to list the name of the company, business, 10 financial institution, corporation, partnership, or 11 other entity which constitutes the source of the income 12 and the amount or value of the holding should not be 13 listed. 14 (1) Securities (Here for example, you need not 15 state that you own X number of shares of any specific 16 company by brand or corporate name, or that the stock 17 is of a certain value, but may instead state that you 18 possess stock in a company and indicate the nature of 19 the company’s business.): 20 ______________________________________________________ 21 ______________________________________________________ 22 ______________________________________________________ 23 ______________________________________________________ 24 ______________________________________________________ 25 (2) Instruments of Financial Institutions (You 26 need not indicate, for example, in which institutions 27 you hold certificates of deposit that produce annual 28 income over the one thousand dollar threshold, but 29 simply listing the nature of the institution will 30 -24- LSB 1580SV (1) 90 th/jh 24/ 26

S.R. 1 suffice, e.g., bank, credit union, or savings and loan 1 association.): 2 ______________________________________________________ 3 ______________________________________________________ 4 ______________________________________________________ 5 ______________________________________________________ 6 ______________________________________________________ 7 (3) Trusts (The name of the particular trust need 8 not be listed. However, if the income is received 9 from a charitable trust/foundation, such as the Pugh 10 Charitable Trust, in the form of a grant, the fact that 11 the trust is a charitable trust should be noted here.): 12 ______________________________________________________ 13 ______________________________________________________ 14 ______________________________________________________ 15 ______________________________________________________ 16 ______________________________________________________ 17 (4) Real Estate (When listing real estate, it is 18 not necessary to list the location of the property, but 19 the general nature of the real estate interest should 20 be indicated, e.g., residential leasehold interest or 21 farm leasehold interest.): 22 ______________________________________________________ 23 ______________________________________________________ 24 ______________________________________________________ 25 ______________________________________________________ 26 ______________________________________________________ 27 (5) Retirement Systems (When listing retirement 28 benefits, it is not necessary to list the name of 29 the particular pension system or company, but rather 30 -25- LSB 1580SV (1) 90 th/jh 25/ 26

S.R. 1 the type of benefit should be listed, e.g., health 1 benefits, life insurance benefits, private pension, or 2 government pension.): 3 ______________________________________________________ 4 ______________________________________________________ 5 ______________________________________________________ 6 ______________________________________________________ 7 ______________________________________________________ 8 (Signature of filer) (Date) 9 -26- LSB 1580SV (1) 90 th/jh 26/ 26