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House Study Bill 97 - Introduced
An Act 1relating to the code of ethics of the
2House of Representatives for the Eighty-eighth
3General Assembly.
4BE IT RESOLVED BY THE HOUSE OF REPRESENTATIVES, That
5the House Code of Ethics shall be as follows:
6HOUSE CODE OF ETHICS
7PREAMBLE. Every legislator and legislative employee
8has a duty to uphold the integrity and honor of the
9general assembly, to encourage respect for the law
10and for the general assembly, and to observe the house
11code of ethics. The members and employees of the house
12have a responsibility to conduct themselves so as to
13reflect credit on the general assembly, and to inspire
14the confidence, respect, and trust of the public. The
15following rules are adopted pursuant to chapter 68B of
16the Code, to assist the members and employees in the
17conduct of their activities:
181. DEFINITIONS. The definitions of terms provided
19in chapter 68B of the Code apply to the use of those
20terms in these rules.
212. ECONOMIC INTEREST OF MEMBER OR EMPLOYEE OF
22HOUSE.
23a. Economic or investment opportunity. A member
24or employee of the house shall not solicit or accept
25economic or investment opportunity under circumstances
26where the member or employee knows, or should know,
27that the opportunity is being afforded with the intent
-1-1to influence the member’s or employee’s conduct in
2the performance of official duties. If a member
3or employee of the house learns that an economic
4or investment opportunity previously accepted was
5offered with the intent of influencing the member’s or
6employee’s conduct in the performance of the official
7duties, the member or employee shall take steps to
8divest that member or employee of that investment or
9economic opportunity, and shall report the matter
10in writing to the chairperson of the house ethics
11committee.
12b. Excessive charges for services, goods, or
13property interests. A member or employee of the
14house shall not charge to or accept from a person
15known to have a legislative interest, a price, fee,
16compensation, or other consideration for the sale or
17lease of any property or the furnishing of services
18which is in excess of that which the member or employee
19would ordinarily charge another person.
20c. Use of confidential information. A member or
21employee of the house, in order to further the member’s
22or employee’s own economic interests, or those of any
23other person, shall not disclose or use confidential
24information acquired in the course of the member’s or
25employee’s official duties. For the purpose of this
26rule, information disclosed in open session at a public
27meeting and information that is a public record is not
28confidential information.
29d. Employment. A member or employee of the house
30shall not accept employment, either directly or
-2-1indirectly, from a political action committee. A
2member of the house shall not act as a paid lobbyist
3for any organization. However, this paragraph shall
4not prohibit a member or employee of the house from
5working for a candidate’s committee, a political
6party’s action committee, or a political action
7committee which does not expressly advocate the
8nomination, election, or defeat of a candidate for
9public office in this state or expressly advocate the
10passage or defeat of a ballot issue in this state and
11which is not interested in issues before the general
12assembly.
13For the purpose of this rule, a political action
14committee means a committee, but not a candidate’s
15committee, which accepts contributions, makes
16expenditures, or incurs indebtedness in the aggregate
17of more than one thousand dollars in any one calendar
18year to expressly advocate the nomination, election, or
19defeat of a candidate for public office or to expressly
20advocate the passage or defeat of a ballot issue or for
21the purpose of influencing legislative action.
22e. Solicitation of employment as lobbyist. A member
23or employee of the house shall not solicit employment
24on behalf of the member or employee, or on behalf of
25another legislator or employee, as a lobbyist while the
26general assembly is in session.
27f. Certain goods or services. A member or employee
28of the house shall not solicit or obtain goods or
29services from another person under circumstances where
30the member or employee knows or should know that the
-3-1goods or services are being offered or sold with the
2intent to influence the member’s or employee’s conduct
3in the performance of official duties. If a member
4or employee of the house is afforded goods or services
5by another person at a price that is not available to
6other members or classes of members of the general
7public or is afforded goods or services that are not
8available to other members or classes of members
9of the general public by another person where the
10member or employee knows or should know that the other
11person intends to influence the member’s or employee’s
12official conduct, the member or employee shall not take
13or purchase the goods or services.
143. APPEARANCE BEFORE STATE AGENCY. A member or
15employee of the house may appear before a state agency
16in any representation case but shall not act as a
17lobbyist with respect to the passage, defeat, approval,
18veto, or modification of any legislation, rule, or
19executive order. Whenever a member or employee of
20the house appears before a state agency, the member
21or employee shall carefully avoid all conduct which
22might in any way lead members of the general public
23to conclude that the member or employee is using the
24member’s or employee’s official position to further the
25member’s or employee’s professional success or personal
26financial interest.
274. CONFLICTS OF INTEREST. In order for the general
28assembly to function effectively, members of the house
29may be required to vote on bills and participate in
30committee work which will affect their employment and
-4-1other areas in which they may have a monetary interest.
2Action on bills and committee work which furthers a
3member’s specific employment, specific investment, or
4other specific interest, as opposed to the interests of
5the public in general or the interests of a profession,
6trade, business, or other class of persons, shall be
7avoided. In making a decision relative to a member’s
8activity on particular bills or in committee work, the
9following factors should be considered:
10a. Whether a substantial threat to the member’s
11independence of judgment has been created by the
12conflict situation.
13b. The effect of the member’s participation on
14public confidence in the integrity of the general
15assembly.
16c. Whether the member’s participation is likely to
17have any significant effect on the disposition of the
18matter.
19d. The need for the member’s particular
20contribution, such as special knowledge of the subject
21matter, to the effective functioning of the general
22assembly.
23If a member decides not to participate in committee
24work or to abstain from voting because of a possible
25conflict of interest, the member should disclose
26this fact to the legislative body. The member shall
27not vote on any question in which the member has an
28economic interest that is distinguishable from the
29interests of the general public or a substantial class
30of persons.
-5- 15. STATUTORY REQUIREMENTS. Members and employees
2of the house shall comply with the requirements
3contained in chapters 68B (Government Ethics and
4Lobbying), 721 (Official Misconduct), and 722 (Bribery
5and Corruption), and sections 2.18 (Contempt) and 711.4
6(Extortion) of the Code.
76. CHARGE ACCOUNTS. Members and employees of the
8house shall not charge any amount or item to a charge
9account to be paid for by a lobbyist or any client of a
10lobbyist.
117. TRAVEL EXPENSES. A member or employee of the
12house shall not charge to the state of Iowa amounts
13for travel and expenses unless the member or employee
14actually has incurred those mileage and expense costs.
15Members or employees shall not file the vouchers for
16weekly mileage reimbursement required by section 2.10,
17subsection 1 of the Code, unless the travel expense was
18actually incurred.
19A member or employee of the house shall not file
20a claim for per diem compensation for a meeting of
21an interim study committee or a visitation committee
22unless the member or employee attended the meeting.
23However, the speaker may waive this provision and allow
24a claim to be filed if the member or employee attempted
25to attend the meeting but was unable to do so because
26of circumstances beyond the member’s or employee’s
27control.
288. GIFTS ACCEPTED OR RECEIVED. Members and
29employees of the house shall comply with the
30restrictions relating to the receipt or acceptance
-6-1of gifts contained in section 68B.22 of the Code.
2The sponsor of a function under section 68B.22,
3subsection 4, paragraph “s”, shall electronically
4file a registration with the chief clerk of the house
5five days prior to the function disclosing the name of
6the sponsor, and the date, time, and location of the
7function. The sponsor shall also electronically file a
8report of expenditures as required pursuant to section
968B.22, subsection 4, paragraph “s”.
109. HONORARIA RESTRICTIONS. Members and employees
11of the house shall comply with the restrictions
12relating to the receipt of honoraria contained in
13section 68B.23 of the Code.
1410. DISCLOSURE REQUIRED. Each member of the
15house and the chief clerk of the house shall file the
16personal financial disclosure statements required under
17section 68B.35 of the Code by February 15 of each year
18for the prior calendar year.
1911. SEXUAL HARASSMENT. Members and employees of
20the house shall not engage in conduct which constitutes
21sexual harassment as defined in section 19B.12 of
22the Code or pursuant to the sexual harassment policy
23adopted by the house committee on administration and
24rules.
2512. COMPLAINTS.
26a. Filing of complaint. Complaints may be filed by
27any person believing that a member or employee of the
28house, a lobbyist, or a client of a lobbyist is guilty
29of a violation of the house code of ethics, the joint
30rules governing lobbyists, or chapter 68B of the Code.
-7- 1b. Complaints by committee. The ethics committee
2may initiate a complaint on its own motion. Committee
3complaints may be initiated by the committee as a
4result of a committee investigation or as a result of
5receipt of any complaint or other information that does
6not meet the requirements of these rules regarding the
7form of a complaint but that contains allegations that
8would form the basis for a valid complaint.
9c. Form and contents of complaint. A complaint
10shall be in writing.
11Complaint forms shall be available from the chief
12clerk of the house, but a complaint shall not be
13rejected for failure to use the approved form if it
14complies with the requirements of these rules. The
15complaint shall contain a certification made by the
16complainant, under penalty of perjury, that the facts
17stated in the complaint are true to the best of the
18complainant’s knowledge.
19To be valid, a complaint shall allege all of the
20following:
21(1) Facts, that if true, establish a violation of
22a provision of chapter 68B of the Code, the house code
23of ethics, or joint rules governing lobbyists for which
24penalties or other remedies are provided.
25(2) That the conduct providing the basis for the
26complaint occurred within three years of the filing of
27the complaint.
28(3) That the party charged with a violation is
29a party subject to the jurisdiction of the ethics
30committee.
-8- 1d. Confidentiality of complaint. The identity of
2the parties and the contents of the complaint shall
3be confidential until the time that the committee
4chairperson and ranking member determine under
5paragraph “f” that the complaint is sufficient as
6to form, unless either the complainant or the party
7charged in the complaint makes the identity of the
8parties, or the information contained in the complaint,
9public. The chief clerk of the house and the committee
10chairperson and ranking member may communicate
11confidentially with appropriate legislative staff
12during any stage of the complaint process.
13e. Notice of complaint. Upon receipt of the
14complaint, the chief clerk of the house shall promptly
15notify the chairperson and ranking member of the
16ethics committee that a complaint has been filed and
17provide both the chairperson and the ranking member
18with copies of the complaint and any supporting
19information. Within two working days, the chief clerk
20shall send notice, either by personal delivery or by
21certified mail, return receipt requested, to the person
22or persons alleged to have committed the violation,
23along with a copy of the complaint and any supporting
24information. The notice to the accused person shall
25contain a request that the person submit a written
26response to the complaint within ten working days of
27the date that the notice was sent by the chief clerk.
28At the request of the accused person, the committee may
29extend the time for the response, not to exceed ten
30additional calendar days. A response to a complaint
-9-1shall not be confidential.
2f. Hearing regarding validity of complaint. The
3committee chairperson and the ranking member shall
4review the complaint and supporting information to
5determine whether the complaint meets the requirements
6as to form. If the complaint is deficient as to form,
7the complaint shall be returned to the complainant
8with instructions indicating the deficiency. If the
9complaint is in writing, is sufficient as to form,
10and contains the appropriate certification, as soon
11as practicable, the chairperson shall call a meeting
12of the committee to review the complaint to determine
13whether the complaint meets the requirements for
14validity and whether the committee should take action
15on the complaint pursuant to paragraph “g” or whether
16the committee should request that the chief justice
17of the supreme court appoint an independent special
18counsel to conduct an investigation to determine
19whether probable cause exists to believe that a
20violation of the house code of ethics, joint rules
21governing lobbyists, or chapter 68B of the Code, has
22occurred. The sufficiency as to form determination
23and the valid complaint requirements determination
24shall be based solely upon the original complaint and
25the response to the complaint. Additional documents
26or responses shall not be filed by the parties or
27otherwise considered by the committee prior to a
28validity determination. The committee shall not
29receive or consider oral testimony in support of or
30against a validity determination.
-10- 1If the committee finds that a complaint does not
2meet the content requirements for a valid complaint,
3the committee shall dismiss the complaint and notify
4both the complainant and the party alleged to have
5committed the violation of the dismissal and the
6reasons for dismissal. A dismissal for failure to meet
7the formal requirements for the filing of a complaint
8shall be without prejudice and the complainant may
9refile the complaint at any time within three years
10of the date that the alleged violation took place. If
11the dismissal is based upon a failure to allege facts
12and circumstances necessary for a valid complaint, the
13dismissal shall be with prejudice and the party shall
14not be permitted to file a complaint based upon the
15same facts and circumstances.
16g. Action on undisputed complaint.If the committee
17determines a complaint is valid and determines no
18dispute exists between the parties regarding the
19material facts that establish a violation, the
20committee may take action on the complaint under this
21paragraph without requesting the appointment of an
22independent special counsel.
23The committee may do any of the following:
24(1) Issue an admonishment to advise against the
25conduct that formed the basis for the complaint and to
26exercise care in the future.
27(2) Issue an order to cease and desist the conduct
28that formed the basis for the complaint.
29(3) Make a recommendation to the house that
30the person subject to the complaint be censured or
-11-1reprimanded.
2h. Request for appointment of independent special
3counsel. If, after review of the complaint and any
4response made by the party alleged to have committed
5the violation, the committee determines that the
6complaint meets the requirements for form and content
7and the committee has not taken action under paragraph
8“g”, the committee shall request that the chief justice
9of the supreme court appoint independent special
10counsel to investigate the matter and determine whether
11probable cause exists to believe that a violation of
12chapter 68B of the Code, the house code of ethics, or
13the joint rules governing lobbyists has occurred.
14i. Receipt of report of independent special counsel.
15The report from the independent special counsel
16regarding probable cause to proceed on a complaint
17shall be filed with the chief clerk of the house.
18Upon receipt of the report of the independent special
19counsel, the chief clerk shall notify the chairperson
20of the filing of the report and shall send copies of
21the report to the members of the ethics committee. As
22soon as practicable after the filing of the report, the
23chairperson shall schedule a public meeting for review
24of the report. The purpose of the public meeting
25shall be to determine whether the complaint should be
26dismissed, whether a formal hearing should be held on
27the complaint, or whether other committee action is
28appropriate. The complainant and the person alleged to
29have committed the violation shall be given notice of
30the public meeting, shall have the right to be present
-12-1at the public meeting, and may, at the discretion
2of the committee, present testimony in support of or
3against the recommendations contained in the report.
4If the committee determines that the matter should
5be dismissed, the committee shall cause an order to
6be entered dismissing the matter and notice of the
7dismissal shall be given to the complainant and the
8party alleged to have committed the violation. If
9the committee determines that the complaint should be
10scheduled for formal hearing, the committee shall issue
11a charging statement which contains the charges and
12supporting facts that are to be set for formal hearing
13and notice shall be sent to the complainant and the
14accused person.
15The notice shall include a statement of the nature
16of the charge or charges, a statement of the time and
17place of hearing, a short and plain statement of the
18facts asserted, and a statement of the rights of the
19accused person at the hearing.
20j. Formal hearing. Formal hearings shall be public
21and conducted in the manner provided in section 68B.31,
22subsection 8 of the Code. At a formal hearing the
23accused shall have the right to be present and to
24be heard in person and by counsel, to cross-examine
25witnesses, and to present evidence. Members of
26the committee shall also have the right to question
27witnesses.
28The committee may require, by subpoena or otherwise,
29the attendance and testimony of witnesses and the
30production of such books, records, correspondence,
-13-1memoranda, papers, documents, and any other things it
2deems necessary to the conduct of the inquiry.
3Evidence at the formal hearing shall be received
4in accordance with rules and procedures applicable to
5contested cases under chapter 17A of the Code.
6The committee chairperson, or the vice chairperson
7or ranking member in the absence of the chairperson,
8shall preside at the formal hearing and shall rule on
9the admissibility of any evidence received. The ruling
10of the chairperson may be overturned by a majority
11vote of the committee. Independent special counsel
12shall present the evidence in support of the charge
13or charges. The burden shall be on the independent
14special counsel to prove the charge or charges by
15a preponderance of clear and convincing evidence.
16Upon completion of the formal hearing, the committee
17shall adopt written findings of fact and conclusions
18concerning the merits of the charges and make its
19report and recommendation to the house.
20k. Disqualification of member. Members of the
21committee may disqualify themselves from participating
22in any investigation of the conduct of another person
23upon submission of a written statement that the member
24cannot render an impartial and unbiased decision
25in a case. A member may also be disqualified by a
26unanimous vote of the remaining eligible members of the
27committee.
28A member of the committee is ineligible to
29participate in committee meetings, as a member of the
30committee, in any proceeding relating to the member’s
-14-1own official conduct.
2If a member of the committee is disqualified or
3ineligible to act, the majority or minority leader who
4appointed the member shall appoint a replacement member
5to serve as a member of the committee during the period
6of disqualification or ineligibility.
7l. Recommendations by the committee. The committee
8shall recommend to the house that the complaint be
9dismissed, or that one or more of the following be
10imposed:
11(1) That the member or employee of the house
12or lobbyist or client of a lobbyist be censured or
13reprimanded, and the recommended appropriate form of
14censure or reprimand be used.
15(2) That the member of the house be suspended or
16expelled from membership in the house and required
17to forfeit the member’s salary for that period, the
18employee of the house be suspended or dismissed from
19employment, or that the lobbyist’s or lobbyist’s
20client’s lobbying privileges be suspended.
2113. COMMUNICATIONS WITH ETHICS COMMITTEE. After a
22complaint has been filed or an investigation has been
23initiated, a party to the complaint or investigation
24shall not communicate, or cause another to communicate,
25as to the merits of the complaint or investigation with
26a member of the committee, except under the following
27circumstances:
28a. During the course of any meetings or other
29official proceedings of the committee regarding the
30complaint or investigation.
-15- 1b. In writing, if a copy of the writing is
2delivered to the adverse party or the designated
3representative for the adverse party.
4c. Orally, if adequate prior notice of the
5communication is given to the adverse party or the
6designated representative for the adverse party.
7d. As otherwise authorized by statute, the house
8code of ethics, joint rules governing lobbyists, or
9vote of the committee.
1014. PERMANENT RECORD. The chief clerk of the house
11shall maintain a permanent record of all complaints
12filed and any corresponding committee action. The
13permanent record shall be prepared by the ethics
14committee and shall contain the date the complaint was
15filed, name and address of the complainant, name and
16address of the accused person, a brief statement of the
17charges made, any evidence received by the committee,
18any transcripts or recordings of committee action, and
19ultimate disposition of the complaint. Beginning with
20the 2017 Regular Session of the General Assembly, in In
21 recording the ultimate disposition of a complaint that
22is dismissed, the information shall include whether
23the complaint was dismissed due to formal insufficiency
24or due to a failure to meet the content requirements
25of a valid complaint. Except as provided in rule
2612, paragraph “d”, the chief clerk shall keep each
27complaint confidential until public disclosure is made
28by the ethics committee.
2915. MEETING AUTHORIZATION. The house ethics
30committee is authorized to meet at the discretion of
-16-1the committee chairperson in order to conduct hearings
2and other business that properly may come before it.
3If the committee submits a report seeking house action
4against a member or employee of the house or lobbyist
5after the second regular session of a general assembly
6has adjourned sine die, the report shall be submitted
7to and considered by the subsequent general assembly.
816. ADVISORY OPINIONS.
9a. Requests for formal opinions. A request for a
10formal advisory opinion may be filed by any person who
11is subject to the authority of the ethics committee.
12The ethics committee may also issue a formal advisory
13opinion on its own motion, without having previously
14received a formal request for an opinion, on any issue
15that is within the jurisdiction of the committee.
16Requests shall be filed with either the chief clerk of
17the house or the chairperson of the ethics committee.
18b. Form and contents of requests. A request for
19a formal advisory opinion shall be in writing and
20may pertain to any subject matter that is related to
21application of the house code of ethics, the joint
22rules governing lobbyists, or chapter 68B of the
23Code to any person who is subject to the authority of
24the ethics committee. Requests shall contain one or
25more specific questions and shall relate either to
26future conduct or be stated in the hypothetical. A
27request for an advisory opinion shall not specifically
28name any individual or contain any other specific
29identifying information, unless the request relates
30to the requester’s own conduct. However, any request
-17-1may contain information which identifies the kind
2of individual who may be affected by the subject
3matter of the request. Examples of this latter kind
4of identifying information may include references to
5conduct of a category of individuals, such as but not
6limited to conduct of legislators, legislative staff,
7or lobbyists.
8c. Confidentiality of formal requests and opinions.
9Requests for formal opinions are not confidential and
10any deliberations of the committee regarding a request
11for a formal opinion shall be public. Opinions issued
12in response to requests for formal opinions are not
13confidential, shall be in writing, and shall be placed
14on file in the office of the chief clerk of the house.
15Persons requesting formal opinions shall personally
16receive a copy of the written formal opinion that is
17issued in response to the request.
1817. PERSONAL FINANCIAL DISCLOSURE FORM. The
19following form shall be used for disclosure of economic
20interests under these rules and section 68B.35 of the
21Code:
22STATEMENT OF ECONOMIC INTERESTS
23Name:_________________________________________________
24(Last) (First) (Middle Initial)
25Address:______________________________________________
26(Street Address, Apt.#/P.O. Box)
27______________________________________________
28(City)(State)(Zip)
29Phone:(Home)_____/____-_____(Business)_____/____-_____
30******************************************************
-18- 1This form is due each year on or before February 15.
2The reporting period is the most recently completed
3calendar year. An amended form shall be filed if a
4change in business, occupation, or profession reported
5in Division I of the form has occurred. The amended
6form shall include the date the change took effect and
7must be filed within thirty days of the first day of
8the change in employment or engagement necessitating
9the amended form. If the date of the change occurs
10between January 1 and February 15, the change shall be
11included in the filing due February 15.
12In completing Division III of this form, if your
13percentage of ownership of an asset is less than 100
14percent, multiply your percentage of ownership by the
15total revenue produced to determine if you have reached
16the $1,000 threshold.
17Do not report income received by your spouse or
18other family members.
19In completing this form, if insufficient space is
20provided for your answer, you may attach additional
21information/answers on full-size sheets of paper.
22Division I. Business, Occupation, or Profession.
23List each business, occupation, or profession in
24which you are engaged, the nature of the business if
25not evident, and your position or job title. No income
26threshold or time requirement applies.
27Examples:
28If you are employed by an individual, state the name
29of the individual employer, the nature of the business,
30and your position.
-19- 1If you are self-employed and are not incorporated
2or are not doing business under a particular business
3name, state that you are self-employed, the nature of
4the business, and your position.
5If you own your own corporation, are employed by a
6corporation, or are doing business under a particular
7business name, state the name and nature of the
8business or corporation and your position.
91_____________________________________________________
102_____________________________________________________
113_____________________________________________________
124_____________________________________________________
135_____________________________________________________
146_____________________________________________________
15Division II. Commissions from Sales of Goods or
16Services to Political Subdivisions.
17This part is to be completed only by Legislators.
18If you received income in the form of a commission
19from the sale of goods or services to a political
20subdivision, state the name of the purchasing political
21subdivision. The amount of commission earned is not
22required to be listed.
231_____________________________________________________
242_____________________________________________________
253_____________________________________________________
264_____________________________________________________
275_____________________________________________________
286_____________________________________________________
29Division III. Sources of Gross Income.
30In each one of the following categories list each
-20-1source which produces more than $1,000 in annual gross
2income, if the revenue produced by the source was
3subject to federal or state income taxes last year.
4List the nature or type of each company, business,
5financial institution, corporation, partnership, or
6other entity which produces more than $1,000 of annual
7gross income. Neither the amount of income produced
8nor value of the holding is required to be listed in
9any of the items.
10A. Securities: State the nature of the business of
11any company in which you hold stock, bonds, or other
12pecuniary interests that generate more than $1,000
13in annual gross income. Income generated by multiple
14holdings in a single company are deemed received from a
15single source.
16______________________________________________________
17______________________________________________________
18______________________________________________________
19______________________________________________________
20______________________________________________________
21______________________________________________________
22B. Instruments of Financial Institutions: State
23the types of institutions in which you hold financial
24instruments, such as certificates of deposit, savings
25accounts, etc., that produce annual gross income in
26excess of $1,000, e.g., banks, savings and loans, or
27credit unions.
28______________________________________________________
29______________________________________________________
30______________________________________________________
-21-1______________________________________________________
2______________________________________________________
3______________________________________________________
4C. Trusts: State the nature or type of any trust
5from which you receive more than $1,000 of gross income
6annually.
7______________________________________________________
8______________________________________________________
9______________________________________________________
10______________________________________________________
11______________________________________________________
12______________________________________________________
13D. Real Estate: State the general nature of real
14estate interests that generate more than $1,000 of
15gross income annually, e.g., residential leasehold
16interest or farm leasehold interest. The size or
17location of the property interest is not required to be
18listed.
19______________________________________________________
20______________________________________________________
21______________________________________________________
22______________________________________________________
23______________________________________________________
24______________________________________________________
25E. Retirement Systems: State the name of each
26pension plan or other corporation or company that pays
27you more than $1,000 annually in retirement benefits.
28______________________________________________________
29______________________________________________________
30______________________________________________________
-22-1______________________________________________________
2______________________________________________________
3______________________________________________________
4F. Other Income Categories Specified in State and
5Federal Income Tax Regulations.
6______________________________________________________
7______________________________________________________
8______________________________________________________
9______________________________________________________
10______________________________________________________
11_______________________________________ ___________
12(Signature of Filer) (Date)
-23-jh/tm
An Act 1relating to the code of ethics of the
2House of Representatives for the Eighty-eighth
3General Assembly.
4BE IT RESOLVED BY THE HOUSE OF REPRESENTATIVES, That
5the House Code of Ethics shall be as follows:
6HOUSE CODE OF ETHICS
7PREAMBLE. Every legislator and legislative employee
8has a duty to uphold the integrity and honor of the
9general assembly, to encourage respect for the law
10and for the general assembly, and to observe the house
11code of ethics. The members and employees of the house
12have a responsibility to conduct themselves so as to
13reflect credit on the general assembly, and to inspire
14the confidence, respect, and trust of the public. The
15following rules are adopted pursuant to chapter 68B of
16the Code, to assist the members and employees in the
17conduct of their activities:
181. DEFINITIONS. The definitions of terms provided
19in chapter 68B of the Code apply to the use of those
20terms in these rules.
212. ECONOMIC INTEREST OF MEMBER OR EMPLOYEE OF
22HOUSE.
23a. Economic or investment opportunity. A member
24or employee of the house shall not solicit or accept
25economic or investment opportunity under circumstances
26where the member or employee knows, or should know,
27that the opportunity is being afforded with the intent
-1-1to influence the member’s or employee’s conduct in
2the performance of official duties. If a member
3or employee of the house learns that an economic
4or investment opportunity previously accepted was
5offered with the intent of influencing the member’s or
6employee’s conduct in the performance of the official
7duties, the member or employee shall take steps to
8divest that member or employee of that investment or
9economic opportunity, and shall report the matter
10in writing to the chairperson of the house ethics
11committee.
12b. Excessive charges for services, goods, or
13property interests. A member or employee of the
14house shall not charge to or accept from a person
15known to have a legislative interest, a price, fee,
16compensation, or other consideration for the sale or
17lease of any property or the furnishing of services
18which is in excess of that which the member or employee
19would ordinarily charge another person.
20c. Use of confidential information. A member or
21employee of the house, in order to further the member’s
22or employee’s own economic interests, or those of any
23other person, shall not disclose or use confidential
24information acquired in the course of the member’s or
25employee’s official duties. For the purpose of this
26rule, information disclosed in open session at a public
27meeting and information that is a public record is not
28confidential information.
29d. Employment. A member or employee of the house
30shall not accept employment, either directly or
-2-1indirectly, from a political action committee. A
2member of the house shall not act as a paid lobbyist
3for any organization. However, this paragraph shall
4not prohibit a member or employee of the house from
5working for a candidate’s committee, a political
6party’s action committee, or a political action
7committee which does not expressly advocate the
8nomination, election, or defeat of a candidate for
9public office in this state or expressly advocate the
10passage or defeat of a ballot issue in this state and
11which is not interested in issues before the general
12assembly.
13For the purpose of this rule, a political action
14committee means a committee, but not a candidate’s
15committee, which accepts contributions, makes
16expenditures, or incurs indebtedness in the aggregate
17of more than one thousand dollars in any one calendar
18year to expressly advocate the nomination, election, or
19defeat of a candidate for public office or to expressly
20advocate the passage or defeat of a ballot issue or for
21the purpose of influencing legislative action.
22e. Solicitation of employment as lobbyist. A member
23or employee of the house shall not solicit employment
24on behalf of the member or employee, or on behalf of
25another legislator or employee, as a lobbyist while the
26general assembly is in session.
27f. Certain goods or services. A member or employee
28of the house shall not solicit or obtain goods or
29services from another person under circumstances where
30the member or employee knows or should know that the
-3-1goods or services are being offered or sold with the
2intent to influence the member’s or employee’s conduct
3in the performance of official duties. If a member
4or employee of the house is afforded goods or services
5by another person at a price that is not available to
6other members or classes of members of the general
7public or is afforded goods or services that are not
8available to other members or classes of members
9of the general public by another person where the
10member or employee knows or should know that the other
11person intends to influence the member’s or employee’s
12official conduct, the member or employee shall not take
13or purchase the goods or services.
143. APPEARANCE BEFORE STATE AGENCY. A member or
15employee of the house may appear before a state agency
16in any representation case but shall not act as a
17lobbyist with respect to the passage, defeat, approval,
18veto, or modification of any legislation, rule, or
19executive order. Whenever a member or employee of
20the house appears before a state agency, the member
21or employee shall carefully avoid all conduct which
22might in any way lead members of the general public
23to conclude that the member or employee is using the
24member’s or employee’s official position to further the
25member’s or employee’s professional success or personal
26financial interest.
274. CONFLICTS OF INTEREST. In order for the general
28assembly to function effectively, members of the house
29may be required to vote on bills and participate in
30committee work which will affect their employment and
-4-1other areas in which they may have a monetary interest.
2Action on bills and committee work which furthers a
3member’s specific employment, specific investment, or
4other specific interest, as opposed to the interests of
5the public in general or the interests of a profession,
6trade, business, or other class of persons, shall be
7avoided. In making a decision relative to a member’s
8activity on particular bills or in committee work, the
9following factors should be considered:
10a. Whether a substantial threat to the member’s
11independence of judgment has been created by the
12conflict situation.
13b. The effect of the member’s participation on
14public confidence in the integrity of the general
15assembly.
16c. Whether the member’s participation is likely to
17have any significant effect on the disposition of the
18matter.
19d. The need for the member’s particular
20contribution, such as special knowledge of the subject
21matter, to the effective functioning of the general
22assembly.
23If a member decides not to participate in committee
24work or to abstain from voting because of a possible
25conflict of interest, the member should disclose
26this fact to the legislative body. The member shall
27not vote on any question in which the member has an
28economic interest that is distinguishable from the
29interests of the general public or a substantial class
30of persons.
-5- 15. STATUTORY REQUIREMENTS. Members and employees
2of the house shall comply with the requirements
3contained in chapters 68B (Government Ethics and
4Lobbying), 721 (Official Misconduct), and 722 (Bribery
5and Corruption), and sections 2.18 (Contempt) and 711.4
6(Extortion) of the Code.
76. CHARGE ACCOUNTS. Members and employees of the
8house shall not charge any amount or item to a charge
9account to be paid for by a lobbyist or any client of a
10lobbyist.
117. TRAVEL EXPENSES. A member or employee of the
12house shall not charge to the state of Iowa amounts
13for travel and expenses unless the member or employee
14actually has incurred those mileage and expense costs.
15Members or employees shall not file the vouchers for
16weekly mileage reimbursement required by section 2.10,
17subsection 1 of the Code, unless the travel expense was
18actually incurred.
19A member or employee of the house shall not file
20a claim for per diem compensation for a meeting of
21an interim study committee or a visitation committee
22unless the member or employee attended the meeting.
23However, the speaker may waive this provision and allow
24a claim to be filed if the member or employee attempted
25to attend the meeting but was unable to do so because
26of circumstances beyond the member’s or employee’s
27control.
288. GIFTS ACCEPTED OR RECEIVED. Members and
29employees of the house shall comply with the
30restrictions relating to the receipt or acceptance
-6-1of gifts contained in section 68B.22 of the Code.
2The sponsor of a function under section 68B.22,
3subsection 4, paragraph “s”, shall electronically
4file a registration with the chief clerk of the house
5five days prior to the function disclosing the name of
6the sponsor, and the date, time, and location of the
7function. The sponsor shall also electronically file a
8report of expenditures as required pursuant to section
968B.22, subsection 4, paragraph “s”.
109. HONORARIA RESTRICTIONS. Members and employees
11of the house shall comply with the restrictions
12relating to the receipt of honoraria contained in
13section 68B.23 of the Code.
1410. DISCLOSURE REQUIRED. Each member of the
15house and the chief clerk of the house shall file the
16personal financial disclosure statements required under
17section 68B.35 of the Code by February 15 of each year
18for the prior calendar year.
1911. SEXUAL HARASSMENT. Members and employees of
20the house shall not engage in conduct which constitutes
21sexual harassment as defined in section 19B.12 of
22the Code or pursuant to the sexual harassment policy
23adopted by the house committee on administration and
24rules.
2512. COMPLAINTS.
26a. Filing of complaint. Complaints may be filed by
27any person believing that a member or employee of the
28house, a lobbyist, or a client of a lobbyist is guilty
29of a violation of the house code of ethics, the joint
30rules governing lobbyists, or chapter 68B of the Code.
-7- 1b. Complaints by committee. The ethics committee
2may initiate a complaint on its own motion. Committee
3complaints may be initiated by the committee as a
4result of a committee investigation or as a result of
5receipt of any complaint or other information that does
6not meet the requirements of these rules regarding the
7form of a complaint but that contains allegations that
8would form the basis for a valid complaint.
9c. Form and contents of complaint. A complaint
10shall be in writing.
11Complaint forms shall be available from the chief
12clerk of the house, but a complaint shall not be
13rejected for failure to use the approved form if it
14complies with the requirements of these rules. The
15complaint shall contain a certification made by the
16complainant, under penalty of perjury, that the facts
17stated in the complaint are true to the best of the
18complainant’s knowledge.
19To be valid, a complaint shall allege all of the
20following:
21(1) Facts, that if true, establish a violation of
22a provision of chapter 68B of the Code, the house code
23of ethics, or joint rules governing lobbyists for which
24penalties or other remedies are provided.
25(2) That the conduct providing the basis for the
26complaint occurred within three years of the filing of
27the complaint.
28(3) That the party charged with a violation is
29a party subject to the jurisdiction of the ethics
30committee.
-8- 1d. Confidentiality of complaint. The identity of
2the parties and the contents of the complaint shall
3be confidential until the time that the committee
4chairperson and ranking member determine under
5paragraph “f” that the complaint is sufficient as
6to form, unless either the complainant or the party
7charged in the complaint makes the identity of the
8parties, or the information contained in the complaint,
9public. The chief clerk of the house and the committee
10chairperson and ranking member may communicate
11confidentially with appropriate legislative staff
12during any stage of the complaint process.
13e. Notice of complaint. Upon receipt of the
14complaint, the chief clerk of the house shall promptly
15notify the chairperson and ranking member of the
16ethics committee that a complaint has been filed and
17provide both the chairperson and the ranking member
18with copies of the complaint and any supporting
19information. Within two working days, the chief clerk
20shall send notice, either by personal delivery or by
21certified mail, return receipt requested, to the person
22or persons alleged to have committed the violation,
23along with a copy of the complaint and any supporting
24information. The notice to the accused person shall
25contain a request that the person submit a written
26response to the complaint within ten working days of
27the date that the notice was sent by the chief clerk.
28At the request of the accused person, the committee may
29extend the time for the response, not to exceed ten
30additional calendar days. A response to a complaint
-9-1shall not be confidential.
2f. Hearing regarding validity of complaint. The
3committee chairperson and the ranking member shall
4review the complaint and supporting information to
5determine whether the complaint meets the requirements
6as to form. If the complaint is deficient as to form,
7the complaint shall be returned to the complainant
8with instructions indicating the deficiency. If the
9complaint is in writing, is sufficient as to form,
10and contains the appropriate certification, as soon
11as practicable, the chairperson shall call a meeting
12of the committee to review the complaint to determine
13whether the complaint meets the requirements for
14validity and whether the committee should take action
15on the complaint pursuant to paragraph “g” or whether
16the committee should request that the chief justice
17of the supreme court appoint an independent special
18counsel to conduct an investigation to determine
19whether probable cause exists to believe that a
20violation of the house code of ethics, joint rules
21governing lobbyists, or chapter 68B of the Code, has
22occurred. The sufficiency as to form determination
23and the valid complaint requirements determination
24shall be based solely upon the original complaint and
25the response to the complaint. Additional documents
26or responses shall not be filed by the parties or
27otherwise considered by the committee prior to a
28validity determination. The committee shall not
29receive or consider oral testimony in support of or
30against a validity determination.
-10- 1If the committee finds that a complaint does not
2meet the content requirements for a valid complaint,
3the committee shall dismiss the complaint and notify
4both the complainant and the party alleged to have
5committed the violation of the dismissal and the
6reasons for dismissal. A dismissal for failure to meet
7the formal requirements for the filing of a complaint
8shall be without prejudice and the complainant may
9refile the complaint at any time within three years
10of the date that the alleged violation took place. If
11the dismissal is based upon a failure to allege facts
12and circumstances necessary for a valid complaint, the
13dismissal shall be with prejudice and the party shall
14not be permitted to file a complaint based upon the
15same facts and circumstances.
16g. Action on undisputed complaint.If the committee
17determines a complaint is valid and determines no
18dispute exists between the parties regarding the
19material facts that establish a violation, the
20committee may take action on the complaint under this
21paragraph without requesting the appointment of an
22independent special counsel.
23The committee may do any of the following:
24(1) Issue an admonishment to advise against the
25conduct that formed the basis for the complaint and to
26exercise care in the future.
27(2) Issue an order to cease and desist the conduct
28that formed the basis for the complaint.
29(3) Make a recommendation to the house that
30the person subject to the complaint be censured or
-11-1reprimanded.
2h. Request for appointment of independent special
3counsel. If, after review of the complaint and any
4response made by the party alleged to have committed
5the violation, the committee determines that the
6complaint meets the requirements for form and content
7and the committee has not taken action under paragraph
8“g”, the committee shall request that the chief justice
9of the supreme court appoint independent special
10counsel to investigate the matter and determine whether
11probable cause exists to believe that a violation of
12chapter 68B of the Code, the house code of ethics, or
13the joint rules governing lobbyists has occurred.
14i. Receipt of report of independent special counsel.
15The report from the independent special counsel
16regarding probable cause to proceed on a complaint
17shall be filed with the chief clerk of the house.
18Upon receipt of the report of the independent special
19counsel, the chief clerk shall notify the chairperson
20of the filing of the report and shall send copies of
21the report to the members of the ethics committee. As
22soon as practicable after the filing of the report, the
23chairperson shall schedule a public meeting for review
24of the report. The purpose of the public meeting
25shall be to determine whether the complaint should be
26dismissed, whether a formal hearing should be held on
27the complaint, or whether other committee action is
28appropriate. The complainant and the person alleged to
29have committed the violation shall be given notice of
30the public meeting, shall have the right to be present
-12-1at the public meeting, and may, at the discretion
2of the committee, present testimony in support of or
3against the recommendations contained in the report.
4If the committee determines that the matter should
5be dismissed, the committee shall cause an order to
6be entered dismissing the matter and notice of the
7dismissal shall be given to the complainant and the
8party alleged to have committed the violation. If
9the committee determines that the complaint should be
10scheduled for formal hearing, the committee shall issue
11a charging statement which contains the charges and
12supporting facts that are to be set for formal hearing
13and notice shall be sent to the complainant and the
14accused person.
15The notice shall include a statement of the nature
16of the charge or charges, a statement of the time and
17place of hearing, a short and plain statement of the
18facts asserted, and a statement of the rights of the
19accused person at the hearing.
20j. Formal hearing. Formal hearings shall be public
21and conducted in the manner provided in section 68B.31,
22subsection 8 of the Code. At a formal hearing the
23accused shall have the right to be present and to
24be heard in person and by counsel, to cross-examine
25witnesses, and to present evidence. Members of
26the committee shall also have the right to question
27witnesses.
28The committee may require, by subpoena or otherwise,
29the attendance and testimony of witnesses and the
30production of such books, records, correspondence,
-13-1memoranda, papers, documents, and any other things it
2deems necessary to the conduct of the inquiry.
3Evidence at the formal hearing shall be received
4in accordance with rules and procedures applicable to
5contested cases under chapter 17A of the Code.
6The committee chairperson, or the vice chairperson
7or ranking member in the absence of the chairperson,
8shall preside at the formal hearing and shall rule on
9the admissibility of any evidence received. The ruling
10of the chairperson may be overturned by a majority
11vote of the committee. Independent special counsel
12shall present the evidence in support of the charge
13or charges. The burden shall be on the independent
14special counsel to prove the charge or charges by
15a preponderance of clear and convincing evidence.
16Upon completion of the formal hearing, the committee
17shall adopt written findings of fact and conclusions
18concerning the merits of the charges and make its
19report and recommendation to the house.
20k. Disqualification of member. Members of the
21committee may disqualify themselves from participating
22in any investigation of the conduct of another person
23upon submission of a written statement that the member
24cannot render an impartial and unbiased decision
25in a case. A member may also be disqualified by a
26unanimous vote of the remaining eligible members of the
27committee.
28A member of the committee is ineligible to
29participate in committee meetings, as a member of the
30committee, in any proceeding relating to the member’s
-14-1own official conduct.
2If a member of the committee is disqualified or
3ineligible to act, the majority or minority leader who
4appointed the member shall appoint a replacement member
5to serve as a member of the committee during the period
6of disqualification or ineligibility.
7l. Recommendations by the committee. The committee
8shall recommend to the house that the complaint be
9dismissed, or that one or more of the following be
10imposed:
11(1) That the member or employee of the house
12or lobbyist or client of a lobbyist be censured or
13reprimanded, and the recommended appropriate form of
14censure or reprimand be used.
15(2) That the member of the house be suspended or
16expelled from membership in the house and required
17to forfeit the member’s salary for that period, the
18employee of the house be suspended or dismissed from
19employment, or that the lobbyist’s or lobbyist’s
20client’s lobbying privileges be suspended.
2113. COMMUNICATIONS WITH ETHICS COMMITTEE. After a
22complaint has been filed or an investigation has been
23initiated, a party to the complaint or investigation
24shall not communicate, or cause another to communicate,
25as to the merits of the complaint or investigation with
26a member of the committee, except under the following
27circumstances:
28a. During the course of any meetings or other
29official proceedings of the committee regarding the
30complaint or investigation.
-15- 1b. In writing, if a copy of the writing is
2delivered to the adverse party or the designated
3representative for the adverse party.
4c. Orally, if adequate prior notice of the
5communication is given to the adverse party or the
6designated representative for the adverse party.
7d. As otherwise authorized by statute, the house
8code of ethics, joint rules governing lobbyists, or
9vote of the committee.
1014. PERMANENT RECORD. The chief clerk of the house
11shall maintain a permanent record of all complaints
12filed and any corresponding committee action. The
13permanent record shall be prepared by the ethics
14committee and shall contain the date the complaint was
15filed, name and address of the complainant, name and
16address of the accused person, a brief statement of the
17charges made, any evidence received by the committee,
18any transcripts or recordings of committee action, and
19ultimate disposition of the complaint. Beginning with
20the 2017 Regular Session of the General Assembly, in In
21 recording the ultimate disposition of a complaint that
22is dismissed, the information shall include whether
23the complaint was dismissed due to formal insufficiency
24or due to a failure to meet the content requirements
25of a valid complaint. Except as provided in rule
2612, paragraph “d”, the chief clerk shall keep each
27complaint confidential until public disclosure is made
28by the ethics committee.
2915. MEETING AUTHORIZATION. The house ethics
30committee is authorized to meet at the discretion of
-16-1the committee chairperson in order to conduct hearings
2and other business that properly may come before it.
3If the committee submits a report seeking house action
4against a member or employee of the house or lobbyist
5after the second regular session of a general assembly
6has adjourned sine die, the report shall be submitted
7to and considered by the subsequent general assembly.
816. ADVISORY OPINIONS.
9a. Requests for formal opinions. A request for a
10formal advisory opinion may be filed by any person who
11is subject to the authority of the ethics committee.
12The ethics committee may also issue a formal advisory
13opinion on its own motion, without having previously
14received a formal request for an opinion, on any issue
15that is within the jurisdiction of the committee.
16Requests shall be filed with either the chief clerk of
17the house or the chairperson of the ethics committee.
18b. Form and contents of requests. A request for
19a formal advisory opinion shall be in writing and
20may pertain to any subject matter that is related to
21application of the house code of ethics, the joint
22rules governing lobbyists, or chapter 68B of the
23Code to any person who is subject to the authority of
24the ethics committee. Requests shall contain one or
25more specific questions and shall relate either to
26future conduct or be stated in the hypothetical. A
27request for an advisory opinion shall not specifically
28name any individual or contain any other specific
29identifying information, unless the request relates
30to the requester’s own conduct. However, any request
-17-1may contain information which identifies the kind
2of individual who may be affected by the subject
3matter of the request. Examples of this latter kind
4of identifying information may include references to
5conduct of a category of individuals, such as but not
6limited to conduct of legislators, legislative staff,
7or lobbyists.
8c. Confidentiality of formal requests and opinions.
9Requests for formal opinions are not confidential and
10any deliberations of the committee regarding a request
11for a formal opinion shall be public. Opinions issued
12in response to requests for formal opinions are not
13confidential, shall be in writing, and shall be placed
14on file in the office of the chief clerk of the house.
15Persons requesting formal opinions shall personally
16receive a copy of the written formal opinion that is
17issued in response to the request.
1817. PERSONAL FINANCIAL DISCLOSURE FORM. The
19following form shall be used for disclosure of economic
20interests under these rules and section 68B.35 of the
21Code:
22STATEMENT OF ECONOMIC INTERESTS
23Name:_________________________________________________
24(Last) (First) (Middle Initial)
25Address:______________________________________________
26(Street Address, Apt.#/P.O. Box)
27______________________________________________
28(City)(State)(Zip)
29Phone:(Home)_____/____-_____(Business)_____/____-_____
30******************************************************
-18- 1This form is due each year on or before February 15.
2The reporting period is the most recently completed
3calendar year. An amended form shall be filed if a
4change in business, occupation, or profession reported
5in Division I of the form has occurred. The amended
6form shall include the date the change took effect and
7must be filed within thirty days of the first day of
8the change in employment or engagement necessitating
9the amended form. If the date of the change occurs
10between January 1 and February 15, the change shall be
11included in the filing due February 15.
12In completing Division III of this form, if your
13percentage of ownership of an asset is less than 100
14percent, multiply your percentage of ownership by the
15total revenue produced to determine if you have reached
16the $1,000 threshold.
17Do not report income received by your spouse or
18other family members.
19In completing this form, if insufficient space is
20provided for your answer, you may attach additional
21information/answers on full-size sheets of paper.
22Division I. Business, Occupation, or Profession.
23List each business, occupation, or profession in
24which you are engaged, the nature of the business if
25not evident, and your position or job title. No income
26threshold or time requirement applies.
27Examples:
28If you are employed by an individual, state the name
29of the individual employer, the nature of the business,
30and your position.
-19- 1If you are self-employed and are not incorporated
2or are not doing business under a particular business
3name, state that you are self-employed, the nature of
4the business, and your position.
5If you own your own corporation, are employed by a
6corporation, or are doing business under a particular
7business name, state the name and nature of the
8business or corporation and your position.
91_____________________________________________________
102_____________________________________________________
113_____________________________________________________
124_____________________________________________________
135_____________________________________________________
146_____________________________________________________
15Division II. Commissions from Sales of Goods or
16Services to Political Subdivisions.
17This part is to be completed only by Legislators.
18If you received income in the form of a commission
19from the sale of goods or services to a political
20subdivision, state the name of the purchasing political
21subdivision. The amount of commission earned is not
22required to be listed.
231_____________________________________________________
242_____________________________________________________
253_____________________________________________________
264_____________________________________________________
275_____________________________________________________
286_____________________________________________________
29Division III. Sources of Gross Income.
30In each one of the following categories list each
-20-1source which produces more than $1,000 in annual gross
2income, if the revenue produced by the source was
3subject to federal or state income taxes last year.
4List the nature or type of each company, business,
5financial institution, corporation, partnership, or
6other entity which produces more than $1,000 of annual
7gross income. Neither the amount of income produced
8nor value of the holding is required to be listed in
9any of the items.
10A. Securities: State the nature of the business of
11any company in which you hold stock, bonds, or other
12pecuniary interests that generate more than $1,000
13in annual gross income. Income generated by multiple
14holdings in a single company are deemed received from a
15single source.
16______________________________________________________
17______________________________________________________
18______________________________________________________
19______________________________________________________
20______________________________________________________
21______________________________________________________
22B. Instruments of Financial Institutions: State
23the types of institutions in which you hold financial
24instruments, such as certificates of deposit, savings
25accounts, etc., that produce annual gross income in
26excess of $1,000, e.g., banks, savings and loans, or
27credit unions.
28______________________________________________________
29______________________________________________________
30______________________________________________________
-21-1______________________________________________________
2______________________________________________________
3______________________________________________________
4C. Trusts: State the nature or type of any trust
5from which you receive more than $1,000 of gross income
6annually.
7______________________________________________________
8______________________________________________________
9______________________________________________________
10______________________________________________________
11______________________________________________________
12______________________________________________________
13D. Real Estate: State the general nature of real
14estate interests that generate more than $1,000 of
15gross income annually, e.g., residential leasehold
16interest or farm leasehold interest. The size or
17location of the property interest is not required to be
18listed.
19______________________________________________________
20______________________________________________________
21______________________________________________________
22______________________________________________________
23______________________________________________________
24______________________________________________________
25E. Retirement Systems: State the name of each
26pension plan or other corporation or company that pays
27you more than $1,000 annually in retirement benefits.
28______________________________________________________
29______________________________________________________
30______________________________________________________
-22-1______________________________________________________
2______________________________________________________
3______________________________________________________
4F. Other Income Categories Specified in State and
5Federal Income Tax Regulations.
6______________________________________________________
7______________________________________________________
8______________________________________________________
9______________________________________________________
10______________________________________________________
11_______________________________________ ___________
12(Signature of Filer) (Date)
-23-jh/tm