Senate Resolution 101 - Reprinted SENATE RESOLUTION NO. 101 BY COMMITTEE ON ETHICS (SUCCESSOR TO SSB 3038) (As Amended and Passed by the Senate February 9, 2022 ) 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 -1- SR 101 (3) 89 jh/tm/mb 1/ 10

S.R. 101 of the date filed unless provided to the contrary, 27 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 -2- SR 101 (3) 89 jh/tm/mb 2/ 10

S.R. 101 for senate is engaged and the nature of the business 30 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 The secretary of the senate shall inform the ethics 19 committee of the financial statements that are filed 20 and shall report to the ethics committee the names 21 of any candidates for senate who appear not to have 22 filed complete financial statements. The secretary of 23 the senate shall request that a candidate for senate 24 who has failed to complete the financial statement 25 or appears to have filed an incomplete financial 26 report to do so within five days. If a candidate for 27 senate does not file a complete financial statement 28 within five days, the candidate shall be fined fifty 29 -3- SR 101 (3) 89 jh/tm/mb 3/ 10

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

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

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

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

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

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

S.R. 101 You are further notified that, after preliminary 30 review, the committee has caused a public hearing to be 1 scheduled on (date)___________________, ________, at 2 (hour) ___________ (a.m.) (p.m.), in Room ____, State 3 Capitol, Des Moines, Iowa. 4 At the hearing, you will have the right to appear 5 in person, be represented by legal counsel at your own 6 expense, present statements and evidence, and examine 7 and cross-examine witnesses. The committee shall 8 not be bound by formal rules of evidence, but shall 9 receive relevant evidence, subject to limitations on 10 repetitiveness. Any evidence taken shall be under 11 oath. 12 The committee may continue the hearing to a future 13 date if necessary for appropriate reasons or purposes. 14 You are further notified that the committee will 15 receive such evidence and take such action as warranted 16 by the evidence. 17 Dated this _____ day of ________________, ______. 18 ________________________________ 19 Chairperson, Senate Ethics 20 Committee, 21 or Secretary of the Senate 22 -10- SR 101 (3) 89 jh/tm/mb 10/ 10