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Senate Resolution 101 - Reprinted
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.
22 Each 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 candidate
30for senate is engaged and the nature of the business
-2-1of each company in which the candidate for senate has a
2financial interest. A candidate for senate shall not
3be required to file a financial statement or be assumed
4to have a financial interest if the annual income
5derived from the investment in stocks, bonds, bills,
6notes, mortgages, or other securities offered for sale
7through recognized financial brokers is less than one
8thousand dollars.
9Disclosures required under this rule shall be for
10the year preceding the year in which the election is to
11be held. All filings under this rule shall be open to
12public inspection in the office of the secretary of the
13senate at all reasonable times.
14The secretary of the senate shall provide
15information to persons interested in becoming
16candidates for senate of the duty to file financial
17statements under this rule and the applicable
18deadlines.
19The secretary of the senate shall inform the ethics
20committee of the financial statements that are filed
21and shall report to the ethics committee the names
22of any candidates for senate who appear not to have
23filed complete financial statements. The secretary of
24the senate shall request that a candidate for senate
25who has failed to complete the financial statement
26or appears to have filed an incomplete financial
27report to do so within five days. If a candidate for
28senate does not file a complete financial statement
29within five days, the candidate shall be fined fifty
30dollars, payable to the Iowa senate for deposit in the
-3-1general fund, and the ethics committee may require the
2candidate to appear before the committee.
3BE IT FURTHER RESOLVED, That Rule 15 of the Senate
4Code of Ethics for the Eighty-ninth General Assembly,
5as adopted during the 2021 Session in Senate Resolution
61, is amended as follows:
715. COMPLAINTS. Complaints or charges against any
8senator, candidate for senate, lobbyist, or any client
9of a lobbyist shall be in writing, made under penalty
10of perjury, and filed with the secretary of the senate.
11When filed with the secretary of the senate, the
12secretary shall immediately advise the chairperson of
13the ethics committee of the receipt of the complaint.
14Complaint forms shall be available from the
15secretary of the senate, or the chairperson of the
16ethics committee, but a complaint shall not be rejected
17for failure to use an approved form if the complaint
18substantially complies with senate requirements.
19A complainant may submit exhibits and affidavits
20attached to the complaint.
21BE IT FURTHER RESOLVED, That Rule 16, paragraph
22“a” of the Senate Code of Ethics for the Eighty-ninth
23General Assembly, as adopted during the 2021 Session in
24Senate Resolution 1, is amended as follows:
25a. Persons entitled. Complaints may be filed by
26any person believing that a senator, candidate for
27senate, lobbyist, or client of a lobbyist has violated
28the senate ethics code, the joint rules governing
29lobbyists, or chapter 68B, as applicable. A violation
30of the criminal law may be considered to be a violation
-4-1of this code of ethics if the violation constitutes a
2serious misdemeanor or greater, or a repetitive and
3flagrant violation of the law.
4BE IT FURTHER RESOLVED, That Rule 19, paragraph
5“f”, subparagraph (2) of the Senate Code of Ethics for
6the Eighty-ninth General Assembly, as adopted during
7the 2021 Session in Senate Resolution 1, is amended as
8follows:
9(2) That the senator, candidate for senate,
10 lobbyist, or client of a lobbyist be censured or
11reprimanded, and recommend the appropriate form of
12censure or reprimand.
13BE IT FURTHER RESOLVED, That Rule 20 of the Senate
14Code of Ethics for the Eighty-ninth General Assembly,
15as adopted during the 2021 Session in Senate Resolution
161, is amended as follows:
1720. COMMITTEE AUTHORIZED TO MEET. The senate
18ethics committee is authorized to meet at the
19discretion of the chairperson to conduct hearings and
20other business that properly may come before it. If
21the committee submits a report seeking senate action
22against a senator, candidate for senate, lobbyist, or
23client of a lobbyist after the second regular session
24of a general assembly has adjourned sine die, the
25report shall be submitted to and considered by the
26subsequent general assembly. However, the report
27may be submitted to and considered during any special
28session which may take place after the second regular
29session of a general assembly has adjourned sine die,
30but before the convening of the next general assembly.
-5- 1BE IT FURTHER RESOLVED, That Rule 21, paragraph
2“b” of the Senate Code of Ethics for the Eighty-ninth
3General Assembly, as adopted during the 2021 Session in
4Senate Resolution 1, is amended as follows:
5b. Form and contents of requests. A request for
6a formal advisory opinion shall be in writing and
7may pertain to any subject matter that is related
8to the application of the senate code of ethics, the
9joint rules governing lobbyists, or chapter 68B to
10any person who is subject to the authority of the
11ethics committee. Requests shall contain one or
12more specific questions and shall relate either to
13future conduct or be stated in the hypothetical. A
14request for an advisory opinion shall not specifically
15name any individual or contain any other specific
16identifying information, unless the request relates
17to the requester’s own conduct. However, any request
18may contain information which identifies the kind
19of individual who may be affected by the subject
20matter of the request. Examples of this latter kind
21of identifying information may include references
22to conduct of a category of individuals, such as but
23not limited to conduct of legislators, legislative
24staff, candidates for senate, lobbyists, or clients of
25lobbyists.
26BE IT FURTHER RESOLVED, That Rules 23, 24, and 25 of
27the Senate Code of Ethics for the Eighty-ninth General
28Assembly, as adopted during the 2021 Session in Senate
29Resolution 1, are amended as follows:
3023. COMPLAINT FILING FORM. The following form
-6-1shall be used to file a complaint under these rules:
2THE SENATE
3Ethics Complaint Form
4Re: ______________________________ (Senator/Candidate
5for Senate/Lobbyist/Client of Lobbyist), of
6_____________________, Iowa.
7I, ________________________ (Complainant), residing
8at ____________________, in the City of ______________,
9State of ________________________, hereby complain
10that _____________________________ (Senator/Candidate
11for Senate/Lobbyist/Client of Lobbyist), whose address
12is ___________________________________________, has
13violated the Senate Code of Ethics, chapter 68B, or
14Joint Rules Governing Lobbyists in that:
15(Explain the basis for the complaint here. Use
16additional pages, if necessary.)
17Under penalty of perjury, I certify that the above
18complaint is true and correct as I verily believe.
19___________________________
20Signature of Complainant
21SUBSCRIBED AND AFFIRMED to before me this __________
22day of ________________________, _______.
23________________________________
24Notary Public in and for the
25State of ______________________
2624. COMPLAINT NOTICE FORM. The following form
27shall be used for notice of a complaint under these
28rules:
29STATE OF IOWA
30THE SENATE
-7-1COMMITTEE ON ETHICS)
2IOWA STATE SENATE)
3)
4On The Complaint Of)NOTICE OF COMPLAINT
5)
6___________________________)
7)
8And Involving)
9)
10___________________________)
11)
12TO ________________________________,
13Senator or Candidate for Senate or Lobbyist or
14Client of Lobbyist named above:
15You are hereby notified that there is now on file
16with the Secretary of the Senate, State Capitol, Des
17Moines, Iowa, a complaint which alleges that you have
18committed a violation of the Senate’s Code of Ethics,
19chapter 68B, or Joint Rules Governing Lobbyists.
20A copy of the complaint and the Senate rules for
21processing the same are attached hereto and made a part
22of this notice.
23You are further notified and requested to file your
24written answer to the complaint within ten days of the
25date upon which the notice was caused to be delivered
26to you, (date) ________________________, ________.
27Your answer is to be filed with the Secretary of the
28Senate, State Capitol, Des Moines, Iowa.
29Dated this ________ day of ________________, ______.
30________________________________
-8- 1Chairperson, Senate Ethics
2Committee,
3or Secretary of the Senate
425. HEARING NOTICE FORM. The following form shall
5be used for notice of a hearing under these rules:
6STATE OF IOWA
7THE SENATE
8COMMITTEE ON ETHICS)
9IOWA STATE SENATE)
10)
11On The Complaint Of)NOTICE OF HEARING
12)
13___________________________)
14)
15And Involving)
16)
17___________________________)
18)
19TO ________________________________,
20Senator or Candidate for Senate or Lobbyist or
21Client of Lobbyist named above:
22You are hereby notified that there is now on file
23with the Secretary of the Senate, State Capitol, Des
24Moines, Iowa, a complaint which alleges that you have
25committed a violation of the Senate’s Code of Ethics,
26chapter 68B, or Joint Rules Governing Lobbyists.
27A copy of the complaint and the Senate rules for
28processing the same are attached hereto and made a part
29of this notice.
30You are further notified that, after preliminary
-9-1review, the committee has caused a public hearing to be
2scheduled on (date)___________________, ________, at
3(hour) ___________ (a.m.) (p.m.), in Room ____, State
4Capitol, Des Moines, Iowa.
5At the hearing, you will have the right to appear
6in person, be represented by legal counsel at your own
7expense, present statements and evidence, and examine
8and cross-examine witnesses. The committee shall
9not be bound by formal rules of evidence, but shall
10receive relevant evidence, subject to limitations on
11repetitiveness. Any evidence taken shall be under
12oath.
13The committee may continue the hearing to a future
14date if necessary for appropriate reasons or purposes.
15You are further notified that the committee will
16receive such evidence and take such action as warranted
17by the evidence.
18Dated this _____ day of ________________, ______.
19________________________________
20Chairperson, Senate Ethics
21Committee,
22or Secretary of the Senate
-10-jh/tm/mb
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.
22 Each 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 candidate
30for senate is engaged and the nature of the business
-2-1of each company in which the candidate for senate has a
2financial interest. A candidate for senate shall not
3be required to file a financial statement or be assumed
4to have a financial interest if the annual income
5derived from the investment in stocks, bonds, bills,
6notes, mortgages, or other securities offered for sale
7through recognized financial brokers is less than one
8thousand dollars.
9Disclosures required under this rule shall be for
10the year preceding the year in which the election is to
11be held. All filings under this rule shall be open to
12public inspection in the office of the secretary of the
13senate at all reasonable times.
14The secretary of the senate shall provide
15information to persons interested in becoming
16candidates for senate of the duty to file financial
17statements under this rule and the applicable
18deadlines.
19The secretary of the senate shall inform the ethics
20committee of the financial statements that are filed
21and shall report to the ethics committee the names
22of any candidates for senate who appear not to have
23filed complete financial statements. The secretary of
24the senate shall request that a candidate for senate
25who has failed to complete the financial statement
26or appears to have filed an incomplete financial
27report to do so within five days. If a candidate for
28senate does not file a complete financial statement
29within five days, the candidate shall be fined fifty
30dollars, payable to the Iowa senate for deposit in the
-3-1general fund, and the ethics committee may require the
2candidate to appear before the committee.
3BE IT FURTHER RESOLVED, That Rule 15 of the Senate
4Code of Ethics for the Eighty-ninth General Assembly,
5as adopted during the 2021 Session in Senate Resolution
61, is amended as follows:
715. COMPLAINTS. Complaints or charges against any
8senator, candidate for senate, lobbyist, or any client
9of a lobbyist shall be in writing, made under penalty
10of perjury, and filed with the secretary of the senate.
11When filed with the secretary of the senate, the
12secretary shall immediately advise the chairperson of
13the ethics committee of the receipt of the complaint.
14Complaint forms shall be available from the
15secretary of the senate, or the chairperson of the
16ethics committee, but a complaint shall not be rejected
17for failure to use an approved form if the complaint
18substantially complies with senate requirements.
19A complainant may submit exhibits and affidavits
20attached to the complaint.
21BE IT FURTHER RESOLVED, That Rule 16, paragraph
22“a” of the Senate Code of Ethics for the Eighty-ninth
23General Assembly, as adopted during the 2021 Session in
24Senate Resolution 1, is amended as follows:
25a. Persons entitled. Complaints may be filed by
26any person believing that a senator, candidate for
27senate, lobbyist, or client of a lobbyist has violated
28the senate ethics code, the joint rules governing
29lobbyists, or chapter 68B, as applicable. A violation
30of the criminal law may be considered to be a violation
-4-1of this code of ethics if the violation constitutes a
2serious misdemeanor or greater, or a repetitive and
3flagrant violation of the law.
4BE IT FURTHER RESOLVED, That Rule 19, paragraph
5“f”, subparagraph (2) of the Senate Code of Ethics for
6the Eighty-ninth General Assembly, as adopted during
7the 2021 Session in Senate Resolution 1, is amended as
8follows:
9(2) That the senator, candidate for senate,
10 lobbyist, or client of a lobbyist be censured or
11reprimanded, and recommend the appropriate form of
12censure or reprimand.
13BE IT FURTHER RESOLVED, That Rule 20 of the Senate
14Code of Ethics for the Eighty-ninth General Assembly,
15as adopted during the 2021 Session in Senate Resolution
161, is amended as follows:
1720. COMMITTEE AUTHORIZED TO MEET. The senate
18ethics committee is authorized to meet at the
19discretion of the chairperson to conduct hearings and
20other business that properly may come before it. If
21the committee submits a report seeking senate action
22against a senator, candidate for senate, lobbyist, or
23client of a lobbyist after the second regular session
24of a general assembly has adjourned sine die, the
25report shall be submitted to and considered by the
26subsequent general assembly. However, the report
27may be submitted to and considered during any special
28session which may take place after the second regular
29session of a general assembly has adjourned sine die,
30but before the convening of the next general assembly.
-5- 1BE IT FURTHER RESOLVED, That Rule 21, paragraph
2“b” of the Senate Code of Ethics for the Eighty-ninth
3General Assembly, as adopted during the 2021 Session in
4Senate Resolution 1, is amended as follows:
5b. Form and contents of requests. A request for
6a formal advisory opinion shall be in writing and
7may pertain to any subject matter that is related
8to the application of the senate code of ethics, the
9joint rules governing lobbyists, or chapter 68B to
10any person who is subject to the authority of the
11ethics committee. Requests shall contain one or
12more specific questions and shall relate either to
13future conduct or be stated in the hypothetical. A
14request for an advisory opinion shall not specifically
15name any individual or contain any other specific
16identifying information, unless the request relates
17to the requester’s own conduct. However, any request
18may contain information which identifies the kind
19of individual who may be affected by the subject
20matter of the request. Examples of this latter kind
21of identifying information may include references
22to conduct of a category of individuals, such as but
23not limited to conduct of legislators, legislative
24staff, candidates for senate, lobbyists, or clients of
25lobbyists.
26BE IT FURTHER RESOLVED, That Rules 23, 24, and 25 of
27the Senate Code of Ethics for the Eighty-ninth General
28Assembly, as adopted during the 2021 Session in Senate
29Resolution 1, are amended as follows:
3023. COMPLAINT FILING FORM. The following form
-6-1shall be used to file a complaint under these rules:
2THE SENATE
3Ethics Complaint Form
4Re: ______________________________ (Senator/Candidate
5for Senate/Lobbyist/Client of Lobbyist), of
6_____________________, Iowa.
7I, ________________________ (Complainant), residing
8at ____________________, in the City of ______________,
9State of ________________________, hereby complain
10that _____________________________ (Senator/Candidate
11for Senate/Lobbyist/Client of Lobbyist), whose address
12is ___________________________________________, has
13violated the Senate Code of Ethics, chapter 68B, or
14Joint Rules Governing Lobbyists in that:
15(Explain the basis for the complaint here. Use
16additional pages, if necessary.)
17Under penalty of perjury, I certify that the above
18complaint is true and correct as I verily believe.
19___________________________
20Signature of Complainant
21SUBSCRIBED AND AFFIRMED to before me this __________
22day of ________________________, _______.
23________________________________
24Notary Public in and for the
25State of ______________________
2624. COMPLAINT NOTICE FORM. The following form
27shall be used for notice of a complaint under these
28rules:
29STATE OF IOWA
30THE SENATE
-7-1COMMITTEE ON ETHICS)
2IOWA STATE SENATE)
3)
4On The Complaint Of)NOTICE OF COMPLAINT
5)
6___________________________)
7)
8And Involving)
9)
10___________________________)
11)
12TO ________________________________,
13Senator or Candidate for Senate or Lobbyist or
14Client of Lobbyist named above:
15You are hereby notified that there is now on file
16with the Secretary of the Senate, State Capitol, Des
17Moines, Iowa, a complaint which alleges that you have
18committed a violation of the Senate’s Code of Ethics,
19chapter 68B, or Joint Rules Governing Lobbyists.
20A copy of the complaint and the Senate rules for
21processing the same are attached hereto and made a part
22of this notice.
23You are further notified and requested to file your
24written answer to the complaint within ten days of the
25date upon which the notice was caused to be delivered
26to you, (date) ________________________, ________.
27Your answer is to be filed with the Secretary of the
28Senate, State Capitol, Des Moines, Iowa.
29Dated this ________ day of ________________, ______.
30________________________________
-8- 1Chairperson, Senate Ethics
2Committee,
3or Secretary of the Senate
425. HEARING NOTICE FORM. The following form shall
5be used for notice of a hearing under these rules:
6STATE OF IOWA
7THE SENATE
8COMMITTEE ON ETHICS)
9IOWA STATE SENATE)
10)
11On The Complaint Of)NOTICE OF HEARING
12)
13___________________________)
14)
15And Involving)
16)
17___________________________)
18)
19TO ________________________________,
20Senator or Candidate for Senate or Lobbyist or
21Client of Lobbyist named above:
22You are hereby notified that there is now on file
23with the Secretary of the Senate, State Capitol, Des
24Moines, Iowa, a complaint which alleges that you have
25committed a violation of the Senate’s Code of Ethics,
26chapter 68B, or Joint Rules Governing Lobbyists.
27A copy of the complaint and the Senate rules for
28processing the same are attached hereto and made a part
29of this notice.
30You are further notified that, after preliminary
-9-1review, the committee has caused a public hearing to be
2scheduled on (date)___________________, ________, at
3(hour) ___________ (a.m.) (p.m.), in Room ____, State
4Capitol, Des Moines, Iowa.
5At the hearing, you will have the right to appear
6in person, be represented by legal counsel at your own
7expense, present statements and evidence, and examine
8and cross-examine witnesses. The committee shall
9not be bound by formal rules of evidence, but shall
10receive relevant evidence, subject to limitations on
11repetitiveness. Any evidence taken shall be under
12oath.
13The committee may continue the hearing to a future
14date if necessary for appropriate reasons or purposes.
15You are further notified that the committee will
16receive such evidence and take such action as warranted
17by the evidence.
18Dated this _____ day of ________________, ______.
19________________________________
20Chairperson, Senate Ethics
21Committee,
22or Secretary of the Senate
-10-jh/tm/mb