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Senate Study Bill 3038 - Introduced
An Act 1relating to the requirements under the
2Senate Code of Ethics for filing personal financial
3disclosure forms by senators and candidates for
4senate.
5BE IT RESOLVED BY THE SENATE, That Rule 11 of the
6Senate Code of Ethics for the Eighty-ninth General
7Assembly, as adopted during the 2021 Session in Senate
8Resolution 1, is amended as follows:
911. DISCLOSURE REQUIRED BY SENATORS. Each senator
10shall file with the secretary of the senate within ten
11days after the adoption of the code of ethics by the
12senate, and within ten days after the convening of the
13second session of the general assembly, a financial
14 statement under section 68B.35 on forms provided by
15the secretary of the senate setting forth the following
16information:
17The nature of each business in which the senator
18is engaged and the nature of the business of each
19company in which the senator has a financial interest.
20A senator shall not be required to file a report
21 financial statement or be assumed to have a financial
22interest if the annual income derived from the
23investment in stocks, bonds, bills, notes, mortgages,
24or other securities offered for sale through recognized
25financial brokers is less than one thousand dollars.
26Disclosures required under this rule shall be as
27of the date filed unless provided to the contrary,
-1-1and shall be amended to include interests and changes
2encompassed by this rule that occur while the general
3assembly is in session. All filings under this rule
4shall be open to public inspection in the office of the
5secretary of the senate at all reasonable times.
6The secretary of the senate shall inform the ethics
7committee of the financial statements which are filed
8and shall report to the ethics committee the names
9of any senators who appear not to have filed complete
10financial statements. The chairperson of the ethics
11committee shall request in writing that a senator who
12has failed to complete the report financial statement
13 or appears to have filed an incomplete report financial
14statement do so within five days, and, upon the failure
15of the senator to comply, the ethics committee shall
16require the senator to appear before the committee.
17BE IT FURTHER RESOLVED, That the Senate Code of
18Ethics for the Eighty-ninth General Assembly, as
19adopted during the 2021 Session in Senate Resolution 1,
20is amended by adding the following new rule:
2111A. DISCLOSURE REQUIRED BY CANDIDATES FOR SENATE.
22Each candidate for senate shall file with the secretary
23of the senate within fourteen days after the deadline
24for the filing of nomination papers or fourteen days
25after the nominating convention, as applicable, a
26financial statement under section 68B.35 on forms
27provided by the secretary of the senate setting forth
28the following information:
29The nature of each business in which the senator
30is engaged and the nature of the business of each
-2-1company in which the senator has a financial interest.
2A senator shall not be required to file a financial
3statement or be assumed to have a financial interest
4if the annual income derived from the investment
5in stocks, bonds, bills, notes, mortgages, or other
6securities offered for sale through recognized
7financial brokers is less than one thousand dollars.
8Disclosures required under this rule shall be for
9the year preceding the year in which the election is to
10be held. All filings under this rule shall be open to
11public inspection in the office of the secretary of the
12senate at all reasonable times.
13The secretary of the senate shall provide
14information to persons interested in becoming
15candidates for senate of the duty to file financial
16statements under this rule and the applicable
17deadlines.
18A candidate for senate who fails to file a complete
19financial statement with the secretary of senate by
20the applicable deadline shall be fined fifty dollars,
21payable to the Iowa senate for deposit in the general
22fund.
23The secretary of the senate may refer a candidate
24who has failed to file a complete financial statement
25by the deadlines established under this code of ethics
26two or more consecutive times to the ethics committee
27and the committee may require the candidate to appear
28before the committee.
29BE IT FURTHER RESOLVED, That Rule 15 of the Senate
30Code of Ethics for the Eighty-ninth General Assembly,
-3-1as adopted during the 2021 Session in Senate Resolution
21, is amended as follows:
315. COMPLAINTS. Complaints or charges against any
4senator, candidate for senate, lobbyist, or any client
5of a lobbyist shall be in writing, made under penalty
6of perjury, and filed with the secretary of the senate.
7When filed with the secretary of the senate, the
8secretary shall immediately advise the chairperson of
9the ethics committee of the receipt of the complaint.
10Complaint forms shall be available from the
11secretary of the senate, or the chairperson of the
12ethics committee, but a complaint shall not be rejected
13for failure to use an approved form if the complaint
14substantially complies with senate requirements.
15A complainant may submit exhibits and affidavits
16attached to the complaint.
17BE IT FURTHER RESOLVED, That Rule 16, paragraph
18“a” of the Senate Code of Ethics for the Eighty-ninth
19General Assembly, as adopted during the 2021 Session in
20Senate Resolution 1, is amended as follows:
21a. Persons entitled. Complaints may be filed by
22any person believing that a senator, candidate for
23senate, lobbyist, or client of a lobbyist has violated
24the senate ethics code, the joint rules governing
25lobbyists, or chapter 68B, as applicable. A violation
26of the criminal law may be considered to be a violation
27of this code of ethics if the violation constitutes a
28serious misdemeanor or greater, or a repetitive and
29flagrant violation of the law.
30BE IT FURTHER RESOLVED, That Rule 19, paragraph
-4-1“f”, subparagraph (2) of the Senate Code of Ethics for
2the Eighty-ninth General Assembly, as adopted during
3the 2021 Session in Senate Resolution 1, is amended as
4follows:
5(2) That the senator, candidate for senate,
6 lobbyist, or client of a lobbyist be censured or
7reprimanded, and recommend the appropriate form of
8censure or reprimand.
9BE IT FURTHER RESOLVED, That Rule 20 of the Senate
10Code of Ethics for the Eighty-ninth General Assembly,
11as adopted during the 2021 Session in Senate Resolution
121, is amended as follows:
1320. COMMITTEE AUTHORIZED TO MEET. The senate
14ethics committee is authorized to meet at the
15discretion of the chairperson to conduct hearings and
16other business that properly may come before it. If
17the committee submits a report seeking senate action
18against a senator, candidate for senate, lobbyist, or
19client of a lobbyist after the second regular session
20of a general assembly has adjourned sine die, the
21report shall be submitted to and considered by the
22subsequent general assembly. However, the report
23may be submitted to and considered during any special
24session which may take place after the second regular
25session of a general assembly has adjourned sine die,
26but before the convening of the next general assembly.
27BE IT FURTHER RESOLVED, That Rule 21, paragraph
28“b” of the Senate Code of Ethics for the Eighty-ninth
29General Assembly, as adopted during the 2021 Session in
30Senate Resolution 1, is amended as follows:
-5-1b. Form and contents of requests. A request for
2a formal advisory opinion shall be in writing and
3may pertain to any subject matter that is related
4to the application of the senate code of ethics, the
5joint rules governing lobbyists, or chapter 68B to
6any person who is subject to the authority of the
7ethics committee. Requests shall contain one or
8more specific questions and shall relate either to
9future conduct or be stated in the hypothetical. A
10request for an advisory opinion shall not specifically
11name any individual or contain any other specific
12identifying information, unless the request relates
13to the requester’s own conduct. However, any request
14may contain information which identifies the kind
15of individual who may be affected by the subject
16matter of the request. Examples of this latter kind
17of identifying information may include references
18to conduct of a category of individuals, such as but
19not limited to conduct of legislators, legislative
20staff, candidates for senate, lobbyists, or clients of
21lobbyists.
22BE IT FURTHER RESOLVED, That Rules 23, 24, and 25 of
23the Senate Code of Ethics for the Eighty-ninth General
24Assembly, as adopted during the 2021 Session in Senate
25Resolution 1, are amended as follows:
2623. COMPLAINT FILING FORM. The following form
27shall be used to file a complaint under these rules:
28THE SENATE
29Ethics Complaint Form
30Re: ______________________________ (Senator/Candidate
-6-1for Senate/Lobbyist/Client of Lobbyist), of
2_____________________, Iowa.
3I, ________________________ (Complainant), residing
4at ____________________, in the City of ______________,
5State of ________________________, hereby complain
6that _____________________________ (Senator/Candidate
7for Senate/Lobbyist/Client of Lobbyist), whose address
8is ___________________________________________, has
9violated the Senate Code of Ethics, chapter 68B, or
10Joint Rules Governing Lobbyists in that:
11(Explain the basis for the complaint here. Use
12additional pages, if necessary.)
13Under penalty of perjury, I certify that the above
14complaint is true and correct as I verily believe.
15___________________________
16Signature of Complainant
17SUBSCRIBED AND AFFIRMED to before me this __________
18day of ________________________, _______.
19________________________________
20Notary Public in and for the
21State of ______________________
2224. COMPLAINT NOTICE FORM. The following form
23shall be used for notice of a complaint under these
24rules:
25STATE OF IOWA
26THE SENATE
27COMMITTEE ON ETHICS)
28IOWA STATE SENATE)
29)
30On The Complaint Of)NOTICE OF COMPLAINT
-7-1)
2___________________________)
3)
4And Involving)
5)
6___________________________)
7)
8TO ________________________________,
9Senator or Candidate for Senate or Lobbyist or
10Client of Lobbyist named above:
11You are hereby notified that there is now on file
12with the Secretary of the Senate, State Capitol, Des
13Moines, Iowa, a complaint which alleges that you have
14committed a violation of the Senate’s Code of Ethics,
15chapter 68B, or Joint Rules Governing Lobbyists.
16A copy of the complaint and the Senate rules for
17processing the same are attached hereto and made a part
18of this notice.
19You are further notified and requested to file your
20written answer to the complaint within ten days of the
21date upon which the notice was caused to be delivered
22to you, (date) ________________________, ________.
23Your answer is to be filed with the Secretary of the
24Senate, State Capitol, Des Moines, Iowa.
25Dated this ________ day of ________________, ______.
26________________________________
27Chairperson, Senate Ethics
28Committee,
29or Secretary of the Senate
3025. HEARING NOTICE FORM. The following form shall
-8-1be used for notice of a hearing under these rules:
2STATE OF IOWA
3THE SENATE
4COMMITTEE ON ETHICS)
5IOWA STATE SENATE)
6)
7On The Complaint Of)NOTICE OF HEARING
8)
9___________________________)
10)
11And Involving)
12)
13___________________________)
14)
15TO ________________________________,
16Senator or Candidate for Senate or Lobbyist or
17Client of Lobbyist named above:
18You are hereby notified that there is now on file
19with the Secretary of the Senate, State Capitol, Des
20Moines, Iowa, a complaint which alleges that you have
21committed a violation of the Senate’s Code of Ethics,
22chapter 68B, or Joint Rules Governing Lobbyists.
23A copy of the complaint and the Senate rules for
24processing the same are attached hereto and made a part
25of this notice.
26You are further notified that, after preliminary
27review, the committee has caused a public hearing to be
28scheduled on (date)___________________, ________, at
29(hour) ___________ (a.m.) (p.m.), in Room ____, State
30Capitol, Des Moines, Iowa.
-9-1At the hearing, you will have the right to appear
2in person, be represented by legal counsel at your own
3expense, present statements and evidence, and examine
4and cross-examine witnesses. The committee shall
5not be bound by formal rules of evidence, but shall
6receive relevant evidence, subject to limitations on
7repetitiveness. Any evidence taken shall be under
8oath.
9The committee may continue the hearing to a future
10date if necessary for appropriate reasons or purposes.
11You are further notified that the committee will
12receive such evidence and take such action as warranted
13by the evidence.
14Dated this _____ day of ________________, ______.
15________________________________
16Chairperson, Senate Ethics
17Committee,
18or Secretary of the Senate
-10-jh/tm
An Act 1relating to the requirements under the
2Senate Code of Ethics for filing personal financial
3disclosure forms by senators and candidates for
4senate.
5BE IT RESOLVED BY THE SENATE, That Rule 11 of the
6Senate Code of Ethics for the Eighty-ninth General
7Assembly, as adopted during the 2021 Session in Senate
8Resolution 1, is amended as follows:
911. DISCLOSURE REQUIRED BY SENATORS. Each senator
10shall file with the secretary of the senate within ten
11days after the adoption of the code of ethics by the
12senate, and within ten days after the convening of the
13second session of the general assembly, a financial
14 statement under section 68B.35 on forms provided by
15the secretary of the senate setting forth the following
16information:
17The nature of each business in which the senator
18is engaged and the nature of the business of each
19company in which the senator has a financial interest.
20A senator shall not be required to file a report
21 financial statement or be assumed to have a financial
22interest if the annual income derived from the
23investment in stocks, bonds, bills, notes, mortgages,
24or other securities offered for sale through recognized
25financial brokers is less than one thousand dollars.
26Disclosures required under this rule shall be as
27of the date filed unless provided to the contrary,
-1-1and shall be amended to include interests and changes
2encompassed by this rule that occur while the general
3assembly is in session. All filings under this rule
4shall be open to public inspection in the office of the
5secretary of the senate at all reasonable times.
6The secretary of the senate shall inform the ethics
7committee of the financial statements which are filed
8and shall report to the ethics committee the names
9of any senators who appear not to have filed complete
10financial statements. The chairperson of the ethics
11committee shall request in writing that a senator who
12has failed to complete the report financial statement
13 or appears to have filed an incomplete report financial
14statement do so within five days, and, upon the failure
15of the senator to comply, the ethics committee shall
16require the senator to appear before the committee.
17BE IT FURTHER RESOLVED, That the Senate Code of
18Ethics for the Eighty-ninth General Assembly, as
19adopted during the 2021 Session in Senate Resolution 1,
20is amended by adding the following new rule:
2111A. DISCLOSURE REQUIRED BY CANDIDATES FOR SENATE.
22Each candidate for senate shall file with the secretary
23of the senate within fourteen days after the deadline
24for the filing of nomination papers or fourteen days
25after the nominating convention, as applicable, a
26financial statement under section 68B.35 on forms
27provided by the secretary of the senate setting forth
28the following information:
29The nature of each business in which the senator
30is engaged and the nature of the business of each
-2-1company in which the senator has a financial interest.
2A senator shall not be required to file a financial
3statement or be assumed to have a financial interest
4if the annual income derived from the investment
5in stocks, bonds, bills, notes, mortgages, or other
6securities offered for sale through recognized
7financial brokers is less than one thousand dollars.
8Disclosures required under this rule shall be for
9the year preceding the year in which the election is to
10be held. All filings under this rule shall be open to
11public inspection in the office of the secretary of the
12senate at all reasonable times.
13The secretary of the senate shall provide
14information to persons interested in becoming
15candidates for senate of the duty to file financial
16statements under this rule and the applicable
17deadlines.
18A candidate for senate who fails to file a complete
19financial statement with the secretary of senate by
20the applicable deadline shall be fined fifty dollars,
21payable to the Iowa senate for deposit in the general
22fund.
23The secretary of the senate may refer a candidate
24who has failed to file a complete financial statement
25by the deadlines established under this code of ethics
26two or more consecutive times to the ethics committee
27and the committee may require the candidate to appear
28before the committee.
29BE IT FURTHER RESOLVED, That Rule 15 of the Senate
30Code of Ethics for the Eighty-ninth General Assembly,
-3-1as adopted during the 2021 Session in Senate Resolution
21, is amended as follows:
315. COMPLAINTS. Complaints or charges against any
4senator, candidate for senate, lobbyist, or any client
5of a lobbyist shall be in writing, made under penalty
6of perjury, and filed with the secretary of the senate.
7When filed with the secretary of the senate, the
8secretary shall immediately advise the chairperson of
9the ethics committee of the receipt of the complaint.
10Complaint forms shall be available from the
11secretary of the senate, or the chairperson of the
12ethics committee, but a complaint shall not be rejected
13for failure to use an approved form if the complaint
14substantially complies with senate requirements.
15A complainant may submit exhibits and affidavits
16attached to the complaint.
17BE IT FURTHER RESOLVED, That Rule 16, paragraph
18“a” of the Senate Code of Ethics for the Eighty-ninth
19General Assembly, as adopted during the 2021 Session in
20Senate Resolution 1, is amended as follows:
21a. Persons entitled. Complaints may be filed by
22any person believing that a senator, candidate for
23senate, lobbyist, or client of a lobbyist has violated
24the senate ethics code, the joint rules governing
25lobbyists, or chapter 68B, as applicable. A violation
26of the criminal law may be considered to be a violation
27of this code of ethics if the violation constitutes a
28serious misdemeanor or greater, or a repetitive and
29flagrant violation of the law.
30BE IT FURTHER RESOLVED, That Rule 19, paragraph
-4-1“f”, subparagraph (2) of the Senate Code of Ethics for
2the Eighty-ninth General Assembly, as adopted during
3the 2021 Session in Senate Resolution 1, is amended as
4follows:
5(2) That the senator, candidate for senate,
6 lobbyist, or client of a lobbyist be censured or
7reprimanded, and recommend the appropriate form of
8censure or reprimand.
9BE IT FURTHER RESOLVED, That Rule 20 of the Senate
10Code of Ethics for the Eighty-ninth General Assembly,
11as adopted during the 2021 Session in Senate Resolution
121, is amended as follows:
1320. COMMITTEE AUTHORIZED TO MEET. The senate
14ethics committee is authorized to meet at the
15discretion of the chairperson to conduct hearings and
16other business that properly may come before it. If
17the committee submits a report seeking senate action
18against a senator, candidate for senate, lobbyist, or
19client of a lobbyist after the second regular session
20of a general assembly has adjourned sine die, the
21report shall be submitted to and considered by the
22subsequent general assembly. However, the report
23may be submitted to and considered during any special
24session which may take place after the second regular
25session of a general assembly has adjourned sine die,
26but before the convening of the next general assembly.
27BE IT FURTHER RESOLVED, That Rule 21, paragraph
28“b” of the Senate Code of Ethics for the Eighty-ninth
29General Assembly, as adopted during the 2021 Session in
30Senate Resolution 1, is amended as follows:
-5-1b. Form and contents of requests. A request for
2a formal advisory opinion shall be in writing and
3may pertain to any subject matter that is related
4to the application of the senate code of ethics, the
5joint rules governing lobbyists, or chapter 68B to
6any person who is subject to the authority of the
7ethics committee. Requests shall contain one or
8more specific questions and shall relate either to
9future conduct or be stated in the hypothetical. A
10request for an advisory opinion shall not specifically
11name any individual or contain any other specific
12identifying information, unless the request relates
13to the requester’s own conduct. However, any request
14may contain information which identifies the kind
15of individual who may be affected by the subject
16matter of the request. Examples of this latter kind
17of identifying information may include references
18to conduct of a category of individuals, such as but
19not limited to conduct of legislators, legislative
20staff, candidates for senate, lobbyists, or clients of
21lobbyists.
22BE IT FURTHER RESOLVED, That Rules 23, 24, and 25 of
23the Senate Code of Ethics for the Eighty-ninth General
24Assembly, as adopted during the 2021 Session in Senate
25Resolution 1, are amended as follows:
2623. COMPLAINT FILING FORM. The following form
27shall be used to file a complaint under these rules:
28THE SENATE
29Ethics Complaint Form
30Re: ______________________________ (Senator/Candidate
-6-1for Senate/Lobbyist/Client of Lobbyist), of
2_____________________, Iowa.
3I, ________________________ (Complainant), residing
4at ____________________, in the City of ______________,
5State of ________________________, hereby complain
6that _____________________________ (Senator/Candidate
7for Senate/Lobbyist/Client of Lobbyist), whose address
8is ___________________________________________, has
9violated the Senate Code of Ethics, chapter 68B, or
10Joint Rules Governing Lobbyists in that:
11(Explain the basis for the complaint here. Use
12additional pages, if necessary.)
13Under penalty of perjury, I certify that the above
14complaint is true and correct as I verily believe.
15___________________________
16Signature of Complainant
17SUBSCRIBED AND AFFIRMED to before me this __________
18day of ________________________, _______.
19________________________________
20Notary Public in and for the
21State of ______________________
2224. COMPLAINT NOTICE FORM. The following form
23shall be used for notice of a complaint under these
24rules:
25STATE OF IOWA
26THE SENATE
27COMMITTEE ON ETHICS)
28IOWA STATE SENATE)
29)
30On The Complaint Of)NOTICE OF COMPLAINT
-7-1)
2___________________________)
3)
4And Involving)
5)
6___________________________)
7)
8TO ________________________________,
9Senator or Candidate for Senate or Lobbyist or
10Client of Lobbyist named above:
11You are hereby notified that there is now on file
12with the Secretary of the Senate, State Capitol, Des
13Moines, Iowa, a complaint which alleges that you have
14committed a violation of the Senate’s Code of Ethics,
15chapter 68B, or Joint Rules Governing Lobbyists.
16A copy of the complaint and the Senate rules for
17processing the same are attached hereto and made a part
18of this notice.
19You are further notified and requested to file your
20written answer to the complaint within ten days of the
21date upon which the notice was caused to be delivered
22to you, (date) ________________________, ________.
23Your answer is to be filed with the Secretary of the
24Senate, State Capitol, Des Moines, Iowa.
25Dated this ________ day of ________________, ______.
26________________________________
27Chairperson, Senate Ethics
28Committee,
29or Secretary of the Senate
3025. HEARING NOTICE FORM. The following form shall
-8-1be used for notice of a hearing under these rules:
2STATE OF IOWA
3THE SENATE
4COMMITTEE ON ETHICS)
5IOWA STATE SENATE)
6)
7On The Complaint Of)NOTICE OF HEARING
8)
9___________________________)
10)
11And Involving)
12)
13___________________________)
14)
15TO ________________________________,
16Senator or Candidate for Senate or Lobbyist or
17Client of Lobbyist named above:
18You are hereby notified that there is now on file
19with the Secretary of the Senate, State Capitol, Des
20Moines, Iowa, a complaint which alleges that you have
21committed a violation of the Senate’s Code of Ethics,
22chapter 68B, or Joint Rules Governing Lobbyists.
23A copy of the complaint and the Senate rules for
24processing the same are attached hereto and made a part
25of this notice.
26You are further notified that, after preliminary
27review, the committee has caused a public hearing to be
28scheduled on (date)___________________, ________, at
29(hour) ___________ (a.m.) (p.m.), in Room ____, State
30Capitol, Des Moines, Iowa.
-9-1At the hearing, you will have the right to appear
2in person, be represented by legal counsel at your own
3expense, present statements and evidence, and examine
4and cross-examine witnesses. The committee shall
5not be bound by formal rules of evidence, but shall
6receive relevant evidence, subject to limitations on
7repetitiveness. Any evidence taken shall be under
8oath.
9The committee may continue the hearing to a future
10date if necessary for appropriate reasons or purposes.
11You are further notified that the committee will
12receive such evidence and take such action as warranted
13by the evidence.
14Dated this _____ day of ________________, ______.
15________________________________
16Chairperson, Senate Ethics
17Committee,
18or Secretary of the Senate
-10-jh/tm