Senate Resolution 2 - Reprinted SENATE RESOLUTION NO. 2 BY COMMITTEE ON ETHICS (SUCCESSOR TO SSB 1092) (As Amended and Passed by the Senate February 13, 2019 ) ______ and [ = New Language by the Senate 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 -1- SR 2 (2) 88 jh/tm/mb 1/ 25

S.R. 2 legislative compensation, the following rules are 1 adopted pursuant to section 68B.31, to assist the 2 members in the conduct of their legislative affairs. 3 1. ECONOMIC INTEREST OF SENATOR. Taking into 4 account that legislative service is part-time, a 5 senator shall not accept economic or investment 6 opportunity, under circumstances where the senator 7 knows, or should know, that there is a reasonable 8 possibility that the opportunity is being afforded the 9 senator with intent to influence the senator’s conduct 10 in the performance of official duties. 11 2. DIVESTITURE. Where a senator learns that 12 an economic or investment opportunity previously 13 accepted was offered with the intent of influencing 14 the senator’s conduct in the performance of official 15 duties, the senator shall take steps to divest that 16 senator of that investment or economic opportunity, and 17 shall report the facts of the situation to the senate 18 ethics committee. 19 3. CHARGES FOR SERVICES. A senator shall not 20 charge to or accept from a person, corporation, 21 partnership, or association known to have a legislative 22 interest a price, fee, compensation, or other 23 consideration for the sale or lease of any property or 24 the furnishing of services which is in excess of that 25 which the senator would charge another. 26 4. USE OF CONFIDENTIAL INFORMATION. A senator in 27 order to further the senator’s own economic or other 28 interests, or those of any other person, shall not 29 disclose or use confidential information acquired in 30 -2- SR 2 (2) 88 jh/tm/mb 2/ 25

S.R. 2 the course of official duties. 1 5. HONORARIA. A senator shall not accept an 2 honorarium from a restricted donor for a speech, 3 writing for publication, or other similar activity, 4 except as otherwise provided in section 68B.23. 5 6. EMPLOYMENT. A senator shall not accept 6 employment, either directly or indirectly, from a 7 political action committee or from an organization 8 exempt from taxation under section 501(c)(4), 9 501(c)(6), or 527 of the Internal Revenue Code that 10 engages in activities related to the nomination, 11 election, or defeat of a candidate for public office. 12 A senator may accept employment from a political 13 party, but shall disclose the employment relationship 14 in writing to the secretary of the senate within ten 15 days after the beginning of each legislative session. 16 If a senator accepts employment from a political 17 party during a legislative session, the senator shall 18 disclose the employment relationship within ten days 19 after acceptance of the employment. 20 For the purpose of this rule, a political action 21 committee means a committee, but not a candidate’s 22 committee, which accepts contributions, makes 23 expenditures, or incurs indebtedness in the aggregate 24 of more than one thousand dollars in any one calendar 25 year to expressly advocate the nomination, election, or 26 defeat of a candidate for public office or to expressly 27 advocate the passage or defeat of a ballot issue or 28 influencing legislative action, or an association, 29 lodge, society, cooperative, union, fraternity, 30 -3- SR 2 (2) 88 jh/tm/mb 3/ 25

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

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

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

S.R. 2 12B. DISCRIMINATION —— HARASSMENT —— ABUSE. As 1 provided and defined in the personnel guidelines of the 2 Iowa Senate, a senator shall not engage in any act of 3 discrimination, harassment, or abuse of any person. 4 13. CHARGE ACCOUNTS. Senators shall not charge any 5 amount or item to any charge account to be paid for by 6 any lobbyist or any client the lobbyist represents. 7 14. TRAVEL EXPENSES. A senator shall not charge 8 to the state of Iowa amounts for travel and expenses 9 unless the senator actually has incurred those mileage 10 and expense costs. Senators shall not file the 11 vouchers for weekly mileage reimbursement required 12 by section 2.10, subsection 1, unless the travel 13 was actually incurred at commensurate expense to the 14 senator. 15 15. COMPLAINTS. Complaints or charges against 16 any senator or any lobbyist shall be in writing, made 17 under oath penalty of perjury , and filed with the 18 secretary of the senate or the chairperson of the 19 ethics committee . If When filed with the secretary of 20 the senate, the secretary shall immediately advise the 21 chairperson of the ethics committee of the receipt of 22 the complaint. 23 Complaint forms shall be available from the 24 secretary of the senate, or the chairperson of the 25 ethics committee, but a complaint shall not be rejected 26 for failure to use an approved form if the complaint 27 substantially complies with senate requirements. 28 A complainant may submit exhibits and affidavits 29 attached to the complaint. 30 -7- SR 2 (2) 88 jh/tm/mb 7/ 25

S.R. 2 16. FILING OF COMPLAINTS. 1 a. Persons entitled. Complaints may be filed by any 2 person believing that a senator, lobbyist, or client 3 of a lobbyist has violated the senate ethics code, 4 the joint rules governing lobbyists, or chapter 68B. 5 A violation of the criminal law may be considered to 6 be a violation of this code of ethics if the violation 7 constitutes a serious misdemeanor or greater, or a 8 repetitive and flagrant violation of the law. 9 b. Committee complaint. The ethics committee 10 may, upon its own motion, initiate a complaint, 11 investigation, or disciplinary action. 12 c. Timeliness of filing. A complaint will be 13 considered to be timely filed if it is filed within 14 three years of the occurrence of the alleged violation 15 of the ethics code. 16 17. PERMANENT RECORD. The secretary of the senate 17 shall maintain a permanent record of all complaints 18 filed, evidence received by the committee, and any 19 transcripts or other recordings made of committee 20 proceedings, including a separate card file containing 21 the date filed, name and address of the complainant, 22 name and address of the respondent, a brief statement 23 of the charges made, and ultimate disposition of 24 the complaint. The secretary shall keep each such 25 complaint confidential until public disclosure is made 26 by the ethics committee. 27 18. PREHEARING PROCEDURE. 28 a. Defective complaint. Upon receipt of a 29 complaint, the chairperson and ranking member of the 30 -8- SR 2 (2) 88 jh/tm/mb 8/ 25

S.R. 2 ethics committee shall determine whether the complaint 1 substantially complies with the requirements of this 2 code of ethics and section 68B.31, subsection 6. If 3 the complaint does not substantially comply with 4 the requirements for formal sufficiency under the 5 code of ethics, the complaint may be returned to the 6 complainant with a statement that the complaint is not 7 in compliance with the code and a copy of the code. If 8 the complainant fails to amend the complaint to comply 9 with the code within a reasonable time, the chairperson 10 and ranking member may dismiss the complaint with 11 prejudice for failure to prosecute. 12 b. Service of complaint on respondent. Upon 13 receipt of any complaint substantially complying 14 with the requirements of this code of ethics, the 15 chairperson of the ethics committee shall cause a copy 16 of the complaint and any supporting information to be 17 delivered promptly to the respondent, requesting a 18 written response to be filed within ten days. At the 19 time delivery is made to the respondent, delivery of 20 copies of the complaint and any supporting information 21 shall be made to legislative staff assigned to the 22 ethics committee. The response may do any of the 23 following: 24 (1) Admit or deny the allegation or allegations. 25 (2) Object that the allegation fails to allege a 26 violation of chapter 68B , the joint rules governing 27 lobbyists, or the code of ethics. 28 (3) Object to the jurisdiction of the committee. 29 (4) Request a more specific statement of the 30 -9- SR 2 (2) 88 jh/tm/mb 9/ 25

S.R. 2 allegation or allegations. 1 c. Objection to member. In addition to the 2 items which may be included in a response pursuant 3 to paragraph “b”, the response may also include an 4 objection to the participation of any member of the 5 committee in the consideration of the allegation or 6 allegations on the grounds that the member cannot 7 render an impartial and unbiased decision. 8 d. Extension of time. At the request of the 9 respondent and upon a showing of good cause, the 10 committee, or the chairperson and ranking member, 11 may extend the time for response, not to exceed ten 12 additional days. 13 e. Confidentiality. If a complaint is not 14 otherwise made public by the complainant , the members 15 of the committee and legislative staff assigned to 16 the ethics committee shall treat the complaint and 17 all supporting information as confidential until the 18 written response is received from the respondent. 19 f. Communications with ethics committee. After a 20 complaint has been filed or an investigation has been 21 initiated, a party to the complaint or investigation 22 shall not communicate, or cause another to communicate, 23 as to the merits of the complaint or investigation with 24 a member of the committee, except under the following 25 circumstances: 26 (1) During the course of any meetings or other 27 official proceedings of the committee regarding the 28 complaint or investigation. 29 (2) In writing, if a copy of the writing is 30 -10- SR 2 (2) 88 jh/tm/mb 10/ 25

S.R. 2 delivered to the adverse party or the designated 1 representative for the adverse party. 2 (3) Orally, if adequate prior notice of the 3 communication is given to the adverse party or the 4 designated representative for the adverse party. 5 (4) As otherwise authorized by statute, the senate 6 code of ethics, the joint rules governing lobbyists, or 7 vote of the committee. 8 g. Scheduling hearing. Upon receipt of the 9 response, the committee shall schedule a public meeting 10 to review the complaint and available information, and 11 shall do one of the following: 12 (1) Notify the complainant that no further 13 action will be taken, unless further substantiating 14 information is produced. 15 (2) Dismiss the complaint for failure to meet the 16 statutory and code of ethics requirements for valid 17 complaints. 18 (3) Take action on the complaint without requesting 19 the appointment of an independent special counsel 20 if the committee determines the complaint is valid 21 and determines no dispute exists between the parties 22 regarding the material facts that establish a 23 violation. The committee may do any of the following: 24 (a) Issue an admonishment to advise against the 25 conduct that formed the basis for the complaint and to 26 exercise care in the future. 27 (b) Issue an order to cease and desist the conduct 28 that formed the basis for the complaint. 29 (c) Make a recommendation to the senate that 30 -11- SR 2 (2) 88 jh/tm/mb 11/ 25

S.R. 2 the person subject to the complaint be censured or 1 reprimanded. 2 (4) Request that the chief justice of the supreme 3 court appoint an independent special counsel to conduct 4 an investigation of the complaint and supporting 5 information, to make a determination of probable cause, 6 and to report the findings to the committee, which 7 shall be received within a reasonable time. 8 h. Public hearing. If independent special counsel 9 is appointed, upon receipt of the report of independent 10 special counsel’s findings, the committee shall 11 schedule a public meeting to review the report and 12 shall do either of the following: 13 (1) Cause the complaint to be scheduled for a 14 public hearing. 15 (2) Dismiss the complaint based upon a 16 determination by independent special counsel and the 17 committee that insufficient evidence exists to support 18 a finding of probable cause. 19 19. HEARING PROCEDURE. 20 a. Notice of hearing. If the committee causes a 21 complaint to be scheduled for a public hearing, notice 22 of the hearing date and time shall be given to the 23 complainant and respondent in writing, and of the 24 respondent’s right to appear in person, be represented 25 by legal counsel, present statements and evidence, and 26 examine and cross-examine witnesses. The committee 27 shall not be bound by formal rules of evidence, but 28 shall receive relevant evidence, subject to limitations 29 on repetitiveness. Any evidence taken shall be under 30 -12- SR 2 (2) 88 jh/tm/mb 12/ 25

S.R. 2 oath. 1 b. Subpoena power. The committee may require, by 2 subpoena or otherwise, the attendance and testimony of 3 witnesses and the production of such books, records, 4 correspondence, memoranda, papers, documents, and any 5 other things it deems necessary to the conduct of the 6 inquiry. 7 c. Ex post facto. An investigation shall not be 8 undertaken by the committee of a violation of a law, 9 rule, or standard of conduct that is not in effect at 10 the time of violation. 11 d. Disqualification of member. Members of the 12 committee may disqualify themselves from participating 13 in any investigation of the conduct of another person 14 upon submission of a written statement that the member 15 cannot render an impartial and unbiased decision 16 in a case. A member may also be disqualified by a 17 unanimous vote of the remaining eligible members of the 18 committee. 19 A member of the committee is ineligible to 20 participate in committee meetings, as a member of the 21 committee, in any proceeding relating to the member’s 22 own official conduct. 23 If a member of the committee is disqualified or 24 ineligible to act, the majority or minority leader who 25 appointed the member shall appoint a replacement member 26 to serve as a member of the committee during the period 27 of disqualification or ineligibility. 28 e. Hearing. At the hearing, the chairperson shall 29 open the hearing by stating the charges, the purpose of 30 -13- SR 2 (2) 88 jh/tm/mb 13/ 25

S.R. 2 the hearing, and its scope. The burden of proof rests 1 upon the complainant to establish the facts as alleged, 2 by clear and convincing evidence. However, questioning 3 of witnesses shall be conducted by the members of the 4 committee, by independent special counsel, or by a 5 senator. The chairperson shall also permit questioning 6 by legal counsel representing the complainant or 7 respondent. 8 The chairperson or other member of the committee 9 presiding at a hearing shall rule upon procedural 10 questions or any question of admissibility of evidence 11 presented to the committee. Rulings may be reversed by 12 a majority vote of the committee members present. 13 The committee may continue the hearing to a future 14 date if necessary for appropriate reasons or purposes. 15 f. Committee action. Upon receipt of all relevant 16 evidence and arguments, the committee shall consider 17 the same and recommend to the senate any of the 18 following: 19 (1) That the complaint be dismissed. 20 (2) That the senator, lobbyist, or client of a 21 lobbyist be censured or reprimanded, and recommend the 22 appropriate form of censure or reprimand. 23 (3) Any other appropriate sanction, including 24 suspension or expulsion from membership in the senate, 25 or suspension of lobbying privileges. 26 g. Disposition resolution. By appropriate 27 resolution, the senate may amend, adopt, or reject 28 the report of the ethics committee, including the 29 committee’s recommendations regarding disciplinary 30 -14- SR 2 (2) 88 jh/tm/mb 14/ 25

S.R. 2 action. 1 20. COMMITTEE AUTHORIZED TO MEET. The senate 2 ethics committee is authorized to meet at the 3 discretion of the chairperson to conduct hearings and 4 other business that properly may come before it. If 5 the committee submits a report seeking senate action 6 against a senator, lobbyist, or client of a lobbyist 7 after the second regular session of a general assembly 8 has adjourned sine die, the report shall be submitted 9 to and considered by the subsequent general assembly. 10 However, the report may be submitted to and considered 11 during any special session which may take place after 12 the second regular session of a general assembly has 13 adjourned sine die, but before the convening of the 14 next general assembly. 15 21. ADVISORY OPINIONS. 16 a. Requests for formal opinions. A request for a 17 formal advisory opinion may be filed by any person who 18 is subject to the authority of the ethics committee. 19 The ethics committee may also issue a formal advisory 20 opinion on its own motion, without having previously 21 received a formal request for an opinion, on any issue 22 that is within the jurisdiction of the committee. 23 Requests shall be filed with either the secretary of 24 the senate or the chairperson of the ethics committee. 25 b. Form and contents of requests. A request for 26 a formal advisory opinion shall be in writing and 27 may pertain to any subject matter that is related 28 to the application of the senate code of ethics, the 29 joint rules governing lobbyists, or chapter 68B of the 30 -15- SR 2 (2) 88 jh/tm/mb 15/ 25

S.R. 2 Code to any person who is subject to the authority of 1 the ethics committee. Requests shall contain one or 2 more specific questions and shall relate either to 3 future conduct or be stated in the hypothetical. A 4 request for an advisory opinion shall not specifically 5 name any individual or contain any other specific 6 identifying information, unless the request relates 7 to the requester’s own conduct. However, any request 8 may contain information which identifies the kind 9 of individual who may be affected by the subject 10 matter of the request. Examples of this latter kind 11 of identifying information may include references to 12 conduct of a category of individuals, such as but not 13 limited to conduct of legislators, legislative staff, 14 lobbyists, or clients of lobbyists. 15 c. Confidentiality of formal requests and opinions. 16 Requests for formal opinions are not confidential and 17 any deliberations of the committee regarding a request 18 for a formal opinion shall be public. Opinions issued 19 in response to requests for formal opinions are not 20 confidential, shall be in writing, and shall be placed 21 on file in the office of the secretary of the senate. 22 Persons requesting formal opinions shall personally 23 receive a copy of the written formal opinion that is 24 issued in response to the request. 25 22. CALCULATION OF TIME —— DAYS. For purposes of 26 these rules, unless the context otherwise requires, 27 the word “day” or “days” shall mean a calendar day 28 except that if the day is the last day of a specific 29 time period and falls upon a Saturday, Sunday, or legal 30 -16- SR 2 (2) 88 jh/tm/mb 16/ 25

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

S.R. 2 24. COMPLAINT NOTICE FORM. The following form 1 shall be used for notice of a complaint under these 2 rules: 3 STATE OF IOWA 4 THE SENATE 5 COMMITTEE ON ETHICS ) 6 IOWA STATE SENATE ) 7 ) 8 On The Complaint Of ) NOTICE OF COMPLAINT 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 and requested to file your 28 written answer to the complaint within ten days of the 29 date upon which the notice was caused to be delivered 30 -18- SR 2 (2) 88 jh/tm/mb 18/ 25

S.R. 2 to you, (date) ________________________, ________. 1 Your answer is to be filed with the Secretary of the 2 Senate, State Capitol, Des Moines, Iowa. 3 Dated this ________ day of ________________, ______. 4 ________________________________ 5 Chairperson, Senate Ethics 6 Committee, 7 or Secretary of the Senate 8 25. HEARING NOTICE FORM. The following form shall 9 be used for notice of a hearing under these rules: 10 STATE OF IOWA 11 THE SENATE 12 COMMITTEE ON ETHICS ) 13 IOWA STATE SENATE ) 14 ) 15 On The Complaint Of ) NOTICE OF HEARING 16 ) 17 ___________________________ ) 18 ) 19 And Involving ) 20 ) 21 ___________________________ ) 22 ) 23 TO ________________________________, 24 Senator or Lobbyist or Client of Lobbyist named 25 above: 26 You are hereby notified that there is now on file 27 with the Secretary of the Senate, State Capitol, Des 28 Moines, Iowa, a complaint which alleges that you have 29 committed a violation of the Senate’s Code of Ethics , 30 -19- SR 2 (2) 88 jh/tm/mb 19/ 25

S.R. 2 chapter 68B, or Joint Rules Governing Lobbyists. 1 A copy of the complaint and the Senate rules for 2 processing the same are attached hereto and made a part 3 of this notice. 4 You are further notified that, after preliminary 5 review, the committee has caused a public hearing to be 6 scheduled on (date)___________________, ________, at 7 (hour) ___________ (a.m.) (p.m.), in Room ____, State 8 Capitol, Des Moines, Iowa. 9 At the hearing, you will have the right to appear 10 in person, be represented by legal counsel at your own 11 expense, present statements and evidence, and examine 12 and cross-examine witnesses. The committee shall 13 not be bound by formal rules of evidence, but shall 14 receive relevant evidence, subject to limitations on 15 repetitiveness. Any evidence taken shall be under 16 oath. 17 The committee may continue the hearing to a future 18 date if necessary for appropriate reasons or purposes. 19 You are further notified that the committee will 20 receive such evidence and take such action as warranted 21 by the evidence. 22 Dated this _____ day of ________________, ______. 23 ________________________________ 24 Chairperson, Senate Ethics 25 Committee, 26 or Secretary of the Senate 27 26. PERSONAL FINANCIAL DISCLOSURE FORM. The 28 following form shall be used for disclosure of economic 29 interests under these rules and section 68B.35: 30 -20- SR 2 (2) 88 jh/tm/mb 20/ 25

S.R. 2 STATEMENT OF ECONOMIC INTERESTS 1 Name:________________________________________________ 2 (Last) (First) (Middle Initial) 3 Address:_____________________________________________ 4 (Street Address, Apt.#/P.O. Box) 5 ______________________________________________ 6 (City) (State) (Zip) 7 Phone:(Home) ____/____-_____(Business) ____/____-_____ 8 ****************************************************** 9 a. Please list each business, occupation, or 10 profession in which you are engaged. In listing 11 the business, occupation, or profession, it is 12 not necessary that your employer or the name of 13 the business be listed, although all businesses, 14 occupations, or professions must be listed, regardless 15 of the amount of income derived or time spent 16 participating in the activity. (Examples of types 17 of businesses, occupations, or professions that may 18 be listed: teacher, lawyer, legislator, real estate 19 agent, insurance adjuster, salesperson....) 20 (1) __________________________________________________ 21 (2) __________________________________________________ 22 (3) __________________________________________________ 23 (4) __________________________________________________ 24 (5) __________________________________________________ 25 b. Please list the nature of each of the 26 businesses, occupations, or professions which you 27 listed in paragraph “a”, above, unless the nature of 28 the business, occupation, or profession is already 29 apparent from the information indicated above. The 30 -21- SR 2 (2) 88 jh/tm/mb 21/ 25

S.R. 2 descriptions in this paragraph should correspond by 1 number to the numbers for each of the businesses, 2 occupations, or professions listed in paragraph “a”. 3 (Examples: If you indicated, for example, that you 4 were a salesperson in subparagraph (1) of paragraph 5 “a”, you should list in subparagraph (1) of this 6 paragraph the types of goods or services sold in this 7 item. If you indicated that you were a teacher in 8 subparagraph (2) of paragraph “a”, you should indicate 9 in subparagraph (2) of this paragraph the type of 10 school or institution in which you provide instruction 11 or whether the instruction is provided on a private 12 basis. If you indicated that you were a lawyer in 13 subparagraph (3) of paragraph “a”, you should indicate 14 your areas of practice and whether you are in private, 15 corporate, or government practice in subparagraph (3) 16 of this paragraph. If you indicated in subparagraph 17 (4) of paragraph “a” that you were a consultant, in 18 subparagraph (4) of this paragraph you should indicate 19 the kind of services provided and types of clients 20 served.) 21 (1) __________________________________________________ 22 (2) __________________________________________________ 23 (3) __________________________________________________ 24 (4) __________________________________________________ 25 (5) __________________________________________________ 26 c. Please list each source, by general description, 27 from which you receive, or which generates, more than 28 one thousand dollars in gross annual income in the 29 categories listed below. For purposes of this item, 30 -22- SR 2 (2) 88 jh/tm/mb 22/ 25

S.R. 2 a source produces gross annual income if the revenue 1 produced by the source is subject to federal or state 2 income taxes. In completing this item, it is not 3 necessary to list the name of the company, business, 4 financial institution, corporation, partnership, or 5 other entity which constitutes the source of the income 6 and the amount or value of the holding should not be 7 listed. 8 (1) Securities (Here for example, you need not 9 state that you own X number of shares of any specific 10 company by brand or corporate name, or that the stock 11 is of a certain value, but may instead state that you 12 possess stock in a company and indicate the nature of 13 the company’s business.): 14 ______________________________________________________ 15 ______________________________________________________ 16 ______________________________________________________ 17 ______________________________________________________ 18 ______________________________________________________ 19 (2) Instruments of Financial Institutions (You 20 need not indicate, for example, in which institutions 21 you hold certificates of deposit that produce annual 22 income over the one thousand dollar threshold, but 23 simply listing the nature of the institution will 24 suffice, e.g., bank, credit union, or savings and loan 25 association.): 26 ______________________________________________________ 27 ______________________________________________________ 28 ______________________________________________________ 29 ______________________________________________________ 30 -23- SR 2 (2) 88 jh/tm/mb 23/ 25

S.R. 2 ______________________________________________________ 1 (3) Trusts (The name of the particular trust need 2 not be listed. However, if the income is received 3 from a charitable trust/foundation, such as the Pugh 4 Charitable Trust, in the form of a grant, the fact that 5 the trust is a charitable trust should be noted here.): 6 ______________________________________________________ 7 ______________________________________________________ 8 ______________________________________________________ 9 ______________________________________________________ 10 ______________________________________________________ 11 (4) Real Estate (When listing real estate, it is 12 not necessary to list the location of the property, but 13 the general nature of the real estate interest should 14 be indicated, e.g., residential leasehold interest or 15 farm leasehold interest.): 16 ______________________________________________________ 17 ______________________________________________________ 18 ______________________________________________________ 19 ______________________________________________________ 20 ______________________________________________________ 21 (5) Retirement Systems (When listing retirement 22 benefits, it is not necessary to list the name of 23 the particular pension system or company, but rather 24 the type of benefit should be listed, e.g., health 25 benefits, life insurance benefits, private pension, or 26 government pension.): 27 ______________________________________________________ 28 ______________________________________________________ 29 ______________________________________________________ 30 -24- SR 2 (2) 88 jh/tm/mb 24/ 25

S.R. 2 ______________________________________________________ 1 ______________________________________________________ 2 (6) Other Income Categories Specified in State or 3 Federal Income Tax Regulations (List description of 4 other sources of income producing over one thousand 5 dollars in annual income not previously reported above, 6 but which must be reported for income tax purposes.): 7 ______________________________________________________ 8 ______________________________________________________ 9 ______________________________________________________ 10 ______________________________________________________ 11 ______________________________________________________ 12 ______________________________________________________ 13 _______________________________ ___________________ 14 (Signature of filer) (Date) 15 -25- SR 2 (2) 88 jh/tm/mb 25/ 25