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House Resolution 4 - Introduced
An Act 1relating to the code of ethics of the
2House of Representatives for the Eighty-seventh
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 seven hundred fifty one thousand dollars
18in any one calendar year to expressly advocate the
19nomination, election, or defeat of a candidate for
20public office or to expressly advocate the passage
21or defeat of a ballot issue or for the purpose of
22influencing legislative action.
23e. Solicitation of employment as lobbyist. A member
24or employee of the house shall not solicit employment
25on behalf of the member or employee, or on behalf of
26another legislator or employee, as a lobbyist while the
27general assembly is in session.
28f. Certain goods or services. A member or employee
29of the house shall not solicit or obtain goods or
30services from another person under circumstances where
-3-1the member or employee knows or should know that the
2goods or services are being offered or sold with the
3intent to influence the member’s or employee’s conduct
4in the performance of official duties. If a member
5or employee of the house is afforded goods or services
6by another person at a price that is not available to
7other members or classes of members of the general
8public or is afforded goods or services that are not
9available to other members or classes of members
10of the general public by another person where the
11member or employee knows or should know that the other
12person intends to influence the member’s or employee’s
13official conduct, the member or employee shall not take
14or purchase the goods or services.
153. APPEARANCE BEFORE STATE AGENCY. A member or
16employee of the house may appear before a state agency
17in any representation case but shall not act as a
18lobbyist with respect to the passage, defeat, approval,
19veto, or modification of any legislation, rule, or
20executive order. Whenever a member or employee of
21the house appears before a state agency, the member
22or employee shall carefully avoid all conduct which
23might in any way lead members of the general public
24to conclude that the member or employee is using the
25member’s or employee’s official position to further the
26member’s or employee’s professional success or personal
27financial interest.
284. CONFLICTS OF INTEREST. In order for the general
29assembly to function effectively, members of the house
30may be required to vote on bills and participate in
-4-1committee work which will affect their employment and
2other areas in which they may have a monetary interest.
3Action on bills and committee work which furthers a
4member’s specific employment, specific investment, or
5other specific interest, as opposed to the interests of
6the public in general or the interests of a profession,
7trade, business, or other class of persons, shall be
8avoided. In making a decision relative to a member’s
9activity on particular bills or in committee work, the
10following factors should be considered:
11a. Whether a substantial threat to the member’s
12independence of judgment has been created by the
13conflict situation.
14b. The effect of the member’s participation on
15public confidence in the integrity of the general
16assembly.
17c. Whether the member’s participation is likely to
18have any significant effect on the disposition of the
19matter.
20d. The need for the member’s particular
21contribution, such as special knowledge of the subject
22matter, to the effective functioning of the general
23assembly.
24If a member decides not to participate in committee
25work or to abstain from voting because of a possible
26conflict of interest, the member should disclose
27this fact to the legislative body. The member shall
28not vote on any question in which the member has an
29economic interest that is distinguishable from the
30interests of the general public or a substantial class
-5-1of persons.
25. STATUTORY REQUIREMENTS. Members and employees
3of the house shall comply with the requirements
4contained in chapters 68B (Government Ethics and
5Lobbying), 721 (Official Misconduct), and 722 (Bribery
6and Corruption), and sections 2.18 (Contempt) and 711.4
7(Extortion) of the Code.
86. CHARGE ACCOUNTS. Members and employees of the
9house shall not charge any amount or item to a charge
10account to be paid for by a lobbyist or any client of a
11lobbyist.
127. TRAVEL EXPENSES. A member or employee of the
13house shall not charge to the state of Iowa amounts
14for travel and expenses unless the member or employee
15actually has incurred those mileage and expense costs.
16Members or employees shall not file the vouchers for
17weekly mileage reimbursement required by section 2.10,
18subsection 1 of the Code, unless the travel expense was
19actually incurred.
20A member or employee of the house shall not file
21a claim for per diem compensation for a meeting of
22an interim study committee or a visitation committee
23unless the member or employee attended the meeting.
24However, the speaker may waive this provision and allow
25a claim to be filed if the member or employee attempted
26to attend the meeting but was unable to do so because
27of circumstances beyond the member’s or employee’s
28control.
298. GIFTS ACCEPTED OR RECEIVED. Members and
30employees of the house shall comply with the
-6-1restrictions relating to the receipt or acceptance
2of gifts contained in section 68B.22 of the Code.
3The sponsor of a function under section 68B.22,
4subsection 4, paragraph “s”, shall electronically
5file a registration with the chief clerk of the house
6five days prior to the function disclosing the name of
7the sponsor, and the date, time, and location of the
8function. The sponsor shall also electronically file a
9report of expenditures as required pursuant to section
1068B.22, subsection 4, paragraph “s”.
119. HONORARIA RESTRICTIONS. Members and employees
12of the house shall comply with the restrictions
13relating to the receipt of honoraria contained in
14section 68B.23 of the Code.
1510. DISCLOSURE REQUIRED. Each member of the
16house and the chief clerk of the house shall file the
17personal financial disclosure statements required under
18section 68B.35 of the Code by February 15 of each year
19for the prior calendar year.
2011. SEXUAL HARASSMENT. Members and employees of
21the house shall not engage in conduct which constitutes
22sexual harassment as defined in section 19B.12 of
23the Code or pursuant to the sexual harassment policy
24adopted by the house committee on administration and
25rules.
2612. COMPLAINTS.
27a. Filing of complaint. Complaints may be filed by
28any person believing that a member or employee of the
29house, a lobbyist, or a client of a lobbyist is guilty
30of a violation of the house code of ethics, the joint
-7-1rules governing lobbyists, or chapter 68B of the Code.
2b. Complaints by committee. The ethics committee
3may initiate a complaint on its own motion. Committee
4complaints may be initiated by the committee as a
5result of a committee investigation or as a result of
6receipt of any complaint or other information that does
7not meet the requirements of these rules regarding the
8form of a complaint but that contains allegations that
9would form the basis for a valid complaint.
10c. Form and contents of complaint. A complaint
11shall be in writing.
12Complaint forms shall be available from the chief
13clerk of the house, but a complaint shall not be
14rejected for failure to use the approved form if it
15complies with the requirements of these rules. The
16complaint shall contain a certification made by the
17complainant, under penalty of perjury, that the facts
18stated in the complaint are true to the best of the
19complainant’s knowledge.
20To be valid, a complaint shall allege all of the
21following:
22(1) Facts, that if true, establish a violation of
23a provision of chapter 68B of the Code, the house code
24of ethics, or joint rules governing lobbyists for which
25penalties or other remedies are provided.
26(2) That the conduct providing the basis for the
27complaint occurred within three years of the filing of
28the complaint.
29(3) That the party charged with a violation is
30a party subject to the jurisdiction of the ethics
-8-1committee.
2d. Confidentiality of complaint. The identity of
3the parties and the contents of the complaint shall
4be confidential until the time that the committee
5chairperson and ranking member determine under
6paragraph “f” that the complaint is sufficient as
7to form, unless either the complainant or the party
8charged in the complaint makes the identity of the
9parties, or the information contained in the complaint,
10public. The chief clerk of the house and the committee
11chairperson and ranking member may communicate
12confidentially with appropriate legislative staff
13during any stage of the complaint process.
14e. Notice of complaint. Upon receipt of the
15complaint, the chief clerk of the house shall promptly
16notify the chairperson and ranking member of the
17ethics committee that a complaint has been filed and
18provide both the chairperson and the ranking member
19with copies of the complaint and any supporting
20information. Within two working days, the chief clerk
21shall send notice, either by personal delivery or by
22certified mail, return receipt requested, to the person
23or persons alleged to have committed the violation,
24along with a copy of the complaint and any supporting
25information. The notice to the accused person shall
26contain a request that the person submit a written
27response to the complaint within ten working days of
28the date that the notice was sent by the chief clerk.
29At the request of the accused person, the committee may
30extend the time for the response, not to exceed ten
-9-1additional calendar days. A response to a complaint
2shall not be confidential.
3f. Hearing regarding validity of complaint. The
4committee chairperson and the ranking member shall
5review the complaint and supporting information to
6determine whether the complaint meets the requirements
7as to form. If the complaint is deficient as to form,
8the complaint shall be returned to the complainant
9with instructions indicating the deficiency. If the
10complaint is in writing, is sufficient as to form,
11and contains the appropriate certification, as soon
12as practicable, the chairperson shall call a meeting
13of the committee to review the complaint to determine
14whether the complaint meets the requirements for
15validity and whether the committee should take action
16on the complaint pursuant to paragraph “g” or whether
17the committee should request that the chief justice
18of the supreme court appoint an independent special
19counsel to conduct an investigation to determine
20whether probable cause exists to believe that a
21violation of the house code of ethics, joint rules
22governing lobbyists, or chapter 68B of the Code, has
23occurred. The sufficiency as to form determination
24and the valid complaint requirements determination
25shall be based solely upon the original complaint and
26the response to the complaint. Additional documents
27or responses shall not be filed by the parties or
28otherwise considered by the committee prior to a
29validity determination. The committee shall not
30receive or consider oral testimony in support of or
-10-1against a validity determination.
2If the committee finds that a complaint does not
3meet the content requirements for a valid complaint,
4the committee shall dismiss the complaint and notify
5both the complainant and the party alleged to have
6committed the violation of the dismissal and the
7reasons for dismissal. A dismissal for failure to meet
8the formal requirements for the filing of a complaint
9shall be without prejudice and the complainant may
10refile the complaint at any time within three years
11of the date that the alleged violation took place. If
12the dismissal is based upon a failure to allege facts
13and circumstances necessary for a valid complaint, the
14dismissal shall be with prejudice and the party shall
15not be permitted to file a complaint based upon the
16same facts and circumstances.
17g. Action on undisputed complaint.If the committee
18determines a complaint is valid and determines no
19dispute exists between the parties regarding the
20material facts that establish a violation, the
21committee may take action on the complaint under this
22paragraph without requesting the appointment of an
23independent special counsel.
24The committee may do any of the following:
25(1) Issue an admonishment to advise against the
26conduct that formed the basis for the complaint and to
27exercise care in the future.
28(2) Issue an order to cease and desist the conduct
29that formed the basis for the complaint.
30(3) Make a recommendation to the house that
-11-1the person subject to the complaint be censured or
2reprimanded.
3h. Request for appointment of independent special
4counsel. If, after review of the complaint and any
5response made by the party alleged to have committed
6the violation, the committee determines that the
7complaint meets the requirements for form and content
8and the committee has not taken action under paragraph
9“g”, the committee shall request that the chief justice
10of the supreme court appoint independent special
11counsel to investigate the matter and determine whether
12probable cause exists to believe that a violation of
13chapter 68B of the Code, the house code of ethics, or
14the joint rules governing lobbyists has occurred.
15i. Receipt of report of independent special counsel.
16The report from the independent special counsel
17regarding probable cause to proceed on a complaint
18shall be filed with the chief clerk of the house.
19Upon receipt of the report of the independent special
20counsel, the chief clerk shall notify the chairperson
21of the filing of the report and shall send copies of
22the report to the members of the ethics committee. As
23soon as practicable after the filing of the report, the
24chairperson shall schedule a public meeting for review
25of the report. The purpose of the public meeting
26shall be to determine whether the complaint should be
27dismissed, whether a formal hearing should be held on
28the complaint, or whether other committee action is
29appropriate. The complainant and the person alleged to
30have committed the violation shall be given notice of
-12-1the public meeting, shall have the right to be present
2at the public meeting, and may, at the discretion
3of the committee, present testimony in support of or
4against the recommendations contained in the report.
5If the committee determines that the matter should
6be dismissed, the committee shall cause an order to
7be entered dismissing the matter and notice of the
8dismissal shall be given to the complainant and the
9party alleged to have committed the violation. If
10the committee determines that the complaint should be
11scheduled for formal hearing, the committee shall issue
12a charging statement which contains the charges and
13supporting facts that are to be set for formal hearing
14and notice shall be sent to the complainant and the
15accused person.
16The notice shall include a statement of the nature
17of the charge or charges, a statement of the time and
18place of hearing, a short and plain statement of the
19facts asserted, and a statement of the rights of the
20accused person at the hearing.
21j. Formal hearing. Formal hearings shall be public
22and conducted in the manner provided in section 68B.31,
23subsection 8 of the Code. At a formal hearing the
24accused shall have the right to be present and to
25be heard in person and by counsel, to cross-examine
26witnesses, and to present evidence. Members of
27the committee shall also have the right to question
28witnesses.
29The committee may require, by subpoena or otherwise,
30the attendance and testimony of witnesses and the
-13-1production of such books, records, correspondence,
2memoranda, papers, documents, and any other things it
3deems necessary to the conduct of the inquiry.
4Evidence at the formal hearing shall be received
5in accordance with rules and procedures applicable to
6contested cases under chapter 17A of the Code.
7The committee chairperson, or the vice chairperson
8or ranking member in the absence of the chairperson,
9shall preside at the formal hearing and shall rule on
10the admissibility of any evidence received. The ruling
11of the chairperson may be overturned by a majority
12vote of the committee. Independent special counsel
13shall present the evidence in support of the charge
14or charges. The burden shall be on the independent
15special counsel to prove the charge or charges by
16a preponderance of clear and convincing evidence.
17Upon completion of the formal hearing, the committee
18shall adopt written findings of fact and conclusions
19concerning the merits of the charges and make its
20report and recommendation to the house.
21k. Disqualification of member. Members of the
22committee may disqualify themselves from participating
23in any investigation of the conduct of another person
24upon submission of a written statement that the member
25cannot render an impartial and unbiased decision
26in a case. A member may also be disqualified by a
27unanimous vote of the remaining eligible members of the
28committee.
29A member of the committee is ineligible to
30participate in committee meetings, as a member of the
-14-1committee, in any proceeding relating to the member’s
2own official conduct.
3If a member of the committee is disqualified or
4ineligible to act, the majority or minority leader who
5appointed the member shall appoint a replacement member
6to serve as a member of the committee during the period
7of disqualification or ineligibility.
8l. Recommendations by the committee. The committee
9shall recommend to the house that the complaint be
10dismissed, or that one or more of the following be
11imposed:
12(1) That the member or employee of the house
13or lobbyist or client of a lobbyist be censured or
14reprimanded, and the recommended appropriate form of
15censure or reprimand be used.
16(2) That the member of the house be suspended or
17expelled from membership in the house and required
18to forfeit the member’s salary for that period, the
19employee of the house be suspended or dismissed from
20employment, or that the lobbyist’s or lobbyist’s
21client’s lobbying privileges be suspended.
2213. COMMUNICATIONS WITH ETHICS COMMITTEE. After a
23complaint has been filed or an investigation has been
24initiated, a party to the complaint or investigation
25shall not communicate, or cause another to communicate,
26as to the merits of the complaint or investigation with
27a member of the committee, except under the following
28circumstances:
29a. During the course of any meetings or other
30official proceedings of the committee regarding the
-15-1complaint or investigation.
2b. In writing, if a copy of the writing is
3delivered to the adverse party or the designated
4representative for the adverse party.
5c. Orally, if adequate prior notice of the
6communication is given to the adverse party or the
7designated representative for the adverse party.
8d. As otherwise authorized by statute, the house
9code of ethics, joint rules governing lobbyists, or
10vote of the committee.
1114. PERMANENT RECORD. The chief clerk of the house
12shall maintain a permanent record of all complaints
13filed and any corresponding committee action. The
14permanent record shall be prepared by the ethics
15committee and shall contain the date the complaint was
16filed, name and address of the complainant, name and
17address of the accused person, a brief statement of the
18charges made, any evidence received by the committee,
19any transcripts or recordings of committee action, and
20ultimate disposition of the complaint. Beginning with
21the 2017 Regular Session of the General Assembly, in
22recording the ultimate disposition of a complaint that
23is dismissed, the information shall include whether
24the complaint was dismissed due to formal insufficiency
25or due to a failure to meet the content requirements
26of a valid complaint. Except as provided in rule
2712, paragraph “d”, the chief clerk shall keep each
28complaint confidential until public disclosure is made
29by the ethics committee.
3015. MEETING AUTHORIZATION. The house ethics
-16-1committee is authorized to meet at the discretion of
2the committee chairperson in order to conduct hearings
3and other business that properly may come before it.
4If the committee submits a report seeking house action
5against a member or employee of the house or lobbyist
6after the second regular session of a general assembly
7has adjourned sine die, the report shall be submitted
8to and considered by the subsequent general assembly.
916. ADVISORY OPINIONS.
10a. Requests for formal opinions. A request for a
11formal advisory opinion may be filed by any person who
12is subject to the authority of the ethics committee.
13The ethics committee may also issue a formal advisory
14opinion on its own motion, without having previously
15received a formal request for an opinion, on any issue
16that is within the jurisdiction of the committee.
17Requests shall be filed with either the chief clerk of
18the house or the chairperson of the ethics committee.
19b. Form and contents of requests. A request for
20a formal advisory opinion shall be in writing and
21may pertain to any subject matter that is related to
22application of the house code of ethics, the joint
23rules governing lobbyists, or chapter 68B of the
24Code to any person who is subject to the authority of
25the ethics committee. Requests shall contain one or
26more specific questions and shall relate either to
27future conduct or be stated in the hypothetical. A
28request for an advisory opinion shall not specifically
29name any individual or contain any other specific
30identifying information, unless the request relates
-17-1to the requester’s own conduct. However, any request
2may contain information which identifies the kind
3of individual who may be affected by the subject
4matter of the request. Examples of this latter kind
5of identifying information may include references to
6conduct of a category of individuals, such as but not
7limited to conduct of legislators, legislative staff,
8or lobbyists.
9c. Confidentiality of formal requests and opinions.
10Requests for formal opinions are not confidential and
11any deliberations of the committee regarding a request
12for a formal opinion shall be public. Opinions issued
13in response to requests for formal opinions are not
14confidential, shall be in writing, and shall be placed
15on file in the office of the chief clerk of the house.
16Persons requesting formal opinions shall personally
17receive a copy of the written formal opinion that is
18issued in response to the request.
1917. PERSONAL FINANCIAL DISCLOSURE FORM. The
20following form shall be used for disclosure of economic
21interests under these rules and section 68B.35 of the
22Code:
23STATEMENT OF ECONOMIC INTERESTS
24Name:_________________________________________________
25(Last) (First) (Middle Initial)
26Address:______________________________________________
27(Street Address, Apt.#/P.O. Box)
28______________________________________________
29(City)(State)(Zip)
30Phone:(Home)_____/____-_____(Business)_____/____-_____
-18-1******************************************************
2This form is due each year on or before February 15.
3The reporting period is the most recently completed
4calendar year. An amended form shall be filed if a
5change in business, occupation, or profession reported
6in Division I of the form has occurred. The amended
7form shall include the date the change took effect and
8must be filed within thirty days of the first day of
9the change in employment or engagement necessitating
10the amended form. If the date of the change occurs
11between January 1 and February 15, the change shall be
12included in the filing due February 15.
13In completing Division III of this form, if your
14percentage of ownership of an asset is less than 100
15percent, multiply your percentage of ownership by the
16total revenue produced to determine if you have reached
17the $1,000 threshold.
18Do not report income received by your spouse or
19other family members.
20In completing this form, if insufficient space is
21provided for your answer, you may attach additional
22information/answers on full-size sheets of paper.
23Division I. Business, Occupation, or Profession.
24List each business, occupation, or profession in
25which you are engaged, the nature of the business if
26not evident, and your position or job title. No income
27threshold or time requirement applies.
28Examples:
29If you are employed by an individual, state the name
30of the individual employer, the nature of the business,
-19-1and your position.
2If you are self-employed and are not incorporated
3or are not doing business under a particular business
4name, state that you are self-employed, the nature of
5the business, and your position.
6If you own your own corporation, are employed by a
7corporation, or are doing business under a particular
8business name, state the name and nature of the
9business or corporation and your position.
101_____________________________________________________
112_____________________________________________________
123_____________________________________________________
134_____________________________________________________
145_____________________________________________________
156_____________________________________________________
16Division II. Commissions from Sales of Goods or
17Services to Political Subdivisions.
18This part is to be completed only by Legislators.
19If you received income in the form of a commission
20from the sale of goods or services to a political
21subdivision, state the name of the purchasing political
22subdivision. The amount of commission earned is not
23required to be listed.
241_____________________________________________________
252_____________________________________________________
263_____________________________________________________
274_____________________________________________________
285_____________________________________________________
296_____________________________________________________
30Division III. Sources of Gross Income.
-20- 1In each one of the following categories list each
2source which produces more than $1,000 in annual gross
3income, if the revenue produced by the source was
4subject to federal or state income taxes last year.
5List the nature or type of each company, business,
6financial institution, corporation, partnership, or
7other entity which produces more than $1,000 of annual
8gross income. Neither the amount of income produced
9nor value of the holding is required to be listed in
10any of the items.
11A. Securities: State the nature of the business of
12any company in which you hold stock, bonds, or other
13pecuniary interests that generate more than $1,000
14in annual gross income. Income generated by multiple
15holdings in a single company are deemed received from a
16single source.
17______________________________________________________
18______________________________________________________
19______________________________________________________
20______________________________________________________
21______________________________________________________
22______________________________________________________
23B. Instruments of Financial Institutions: State
24the types of institutions in which you hold financial
25instruments, such as certificates of deposit, savings
26accounts, etc., that produce annual gross income in
27excess of $1,000, e.g., banks, savings and loans, or
28credit unions.
29______________________________________________________
30______________________________________________________
-21-1______________________________________________________
2______________________________________________________
3______________________________________________________
4______________________________________________________
5C. Trusts: State the nature or type of any trust
6from which you receive more than $1,000 of gross income
7annually.
8______________________________________________________
9______________________________________________________
10______________________________________________________
11______________________________________________________
12______________________________________________________
13______________________________________________________
14D. Real Estate: State the general nature of real
15estate interests that generate more than $1,000 of
16gross income annually, e.g., residential leasehold
17interest or farm leasehold interest. The size or
18location of the property interest is not required to be
19listed.
20______________________________________________________
21______________________________________________________
22______________________________________________________
23______________________________________________________
24______________________________________________________
25______________________________________________________
26E. Retirement Systems: State the name of each
27pension plan or other corporation or company that pays
28you more than $1,000 annually in retirement benefits.
29______________________________________________________
30______________________________________________________
-22-1______________________________________________________
2______________________________________________________
3______________________________________________________
4______________________________________________________
5F. Other Income Categories Specified in State and
6Federal Income Tax Regulations.
7______________________________________________________
8______________________________________________________
9______________________________________________________
10______________________________________________________
11______________________________________________________
12_______________________________________ ___________
13(Signature of Filer) (Date)
-23-tm/rj
An Act 1relating to the code of ethics of the
2House of Representatives for the Eighty-seventh
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 seven hundred fifty one thousand dollars
18in any one calendar year to expressly advocate the
19nomination, election, or defeat of a candidate for
20public office or to expressly advocate the passage
21or defeat of a ballot issue or for the purpose of
22influencing legislative action.
23e. Solicitation of employment as lobbyist. A member
24or employee of the house shall not solicit employment
25on behalf of the member or employee, or on behalf of
26another legislator or employee, as a lobbyist while the
27general assembly is in session.
28f. Certain goods or services. A member or employee
29of the house shall not solicit or obtain goods or
30services from another person under circumstances where
-3-1the member or employee knows or should know that the
2goods or services are being offered or sold with the
3intent to influence the member’s or employee’s conduct
4in the performance of official duties. If a member
5or employee of the house is afforded goods or services
6by another person at a price that is not available to
7other members or classes of members of the general
8public or is afforded goods or services that are not
9available to other members or classes of members
10of the general public by another person where the
11member or employee knows or should know that the other
12person intends to influence the member’s or employee’s
13official conduct, the member or employee shall not take
14or purchase the goods or services.
153. APPEARANCE BEFORE STATE AGENCY. A member or
16employee of the house may appear before a state agency
17in any representation case but shall not act as a
18lobbyist with respect to the passage, defeat, approval,
19veto, or modification of any legislation, rule, or
20executive order. Whenever a member or employee of
21the house appears before a state agency, the member
22or employee shall carefully avoid all conduct which
23might in any way lead members of the general public
24to conclude that the member or employee is using the
25member’s or employee’s official position to further the
26member’s or employee’s professional success or personal
27financial interest.
284. CONFLICTS OF INTEREST. In order for the general
29assembly to function effectively, members of the house
30may be required to vote on bills and participate in
-4-1committee work which will affect their employment and
2other areas in which they may have a monetary interest.
3Action on bills and committee work which furthers a
4member’s specific employment, specific investment, or
5other specific interest, as opposed to the interests of
6the public in general or the interests of a profession,
7trade, business, or other class of persons, shall be
8avoided. In making a decision relative to a member’s
9activity on particular bills or in committee work, the
10following factors should be considered:
11a. Whether a substantial threat to the member’s
12independence of judgment has been created by the
13conflict situation.
14b. The effect of the member’s participation on
15public confidence in the integrity of the general
16assembly.
17c. Whether the member’s participation is likely to
18have any significant effect on the disposition of the
19matter.
20d. The need for the member’s particular
21contribution, such as special knowledge of the subject
22matter, to the effective functioning of the general
23assembly.
24If a member decides not to participate in committee
25work or to abstain from voting because of a possible
26conflict of interest, the member should disclose
27this fact to the legislative body. The member shall
28not vote on any question in which the member has an
29economic interest that is distinguishable from the
30interests of the general public or a substantial class
-5-1of persons.
25. STATUTORY REQUIREMENTS. Members and employees
3of the house shall comply with the requirements
4contained in chapters 68B (Government Ethics and
5Lobbying), 721 (Official Misconduct), and 722 (Bribery
6and Corruption), and sections 2.18 (Contempt) and 711.4
7(Extortion) of the Code.
86. CHARGE ACCOUNTS. Members and employees of the
9house shall not charge any amount or item to a charge
10account to be paid for by a lobbyist or any client of a
11lobbyist.
127. TRAVEL EXPENSES. A member or employee of the
13house shall not charge to the state of Iowa amounts
14for travel and expenses unless the member or employee
15actually has incurred those mileage and expense costs.
16Members or employees shall not file the vouchers for
17weekly mileage reimbursement required by section 2.10,
18subsection 1 of the Code, unless the travel expense was
19actually incurred.
20A member or employee of the house shall not file
21a claim for per diem compensation for a meeting of
22an interim study committee or a visitation committee
23unless the member or employee attended the meeting.
24However, the speaker may waive this provision and allow
25a claim to be filed if the member or employee attempted
26to attend the meeting but was unable to do so because
27of circumstances beyond the member’s or employee’s
28control.
298. GIFTS ACCEPTED OR RECEIVED. Members and
30employees of the house shall comply with the
-6-1restrictions relating to the receipt or acceptance
2of gifts contained in section 68B.22 of the Code.
3The sponsor of a function under section 68B.22,
4subsection 4, paragraph “s”, shall electronically
5file a registration with the chief clerk of the house
6five days prior to the function disclosing the name of
7the sponsor, and the date, time, and location of the
8function. The sponsor shall also electronically file a
9report of expenditures as required pursuant to section
1068B.22, subsection 4, paragraph “s”.
119. HONORARIA RESTRICTIONS. Members and employees
12of the house shall comply with the restrictions
13relating to the receipt of honoraria contained in
14section 68B.23 of the Code.
1510. DISCLOSURE REQUIRED. Each member of the
16house and the chief clerk of the house shall file the
17personal financial disclosure statements required under
18section 68B.35 of the Code by February 15 of each year
19for the prior calendar year.
2011. SEXUAL HARASSMENT. Members and employees of
21the house shall not engage in conduct which constitutes
22sexual harassment as defined in section 19B.12 of
23the Code or pursuant to the sexual harassment policy
24adopted by the house committee on administration and
25rules.
2612. COMPLAINTS.
27a. Filing of complaint. Complaints may be filed by
28any person believing that a member or employee of the
29house, a lobbyist, or a client of a lobbyist is guilty
30of a violation of the house code of ethics, the joint
-7-1rules governing lobbyists, or chapter 68B of the Code.
2b. Complaints by committee. The ethics committee
3may initiate a complaint on its own motion. Committee
4complaints may be initiated by the committee as a
5result of a committee investigation or as a result of
6receipt of any complaint or other information that does
7not meet the requirements of these rules regarding the
8form of a complaint but that contains allegations that
9would form the basis for a valid complaint.
10c. Form and contents of complaint. A complaint
11shall be in writing.
12Complaint forms shall be available from the chief
13clerk of the house, but a complaint shall not be
14rejected for failure to use the approved form if it
15complies with the requirements of these rules. The
16complaint shall contain a certification made by the
17complainant, under penalty of perjury, that the facts
18stated in the complaint are true to the best of the
19complainant’s knowledge.
20To be valid, a complaint shall allege all of the
21following:
22(1) Facts, that if true, establish a violation of
23a provision of chapter 68B of the Code, the house code
24of ethics, or joint rules governing lobbyists for which
25penalties or other remedies are provided.
26(2) That the conduct providing the basis for the
27complaint occurred within three years of the filing of
28the complaint.
29(3) That the party charged with a violation is
30a party subject to the jurisdiction of the ethics
-8-1committee.
2d. Confidentiality of complaint. The identity of
3the parties and the contents of the complaint shall
4be confidential until the time that the committee
5chairperson and ranking member determine under
6paragraph “f” that the complaint is sufficient as
7to form, unless either the complainant or the party
8charged in the complaint makes the identity of the
9parties, or the information contained in the complaint,
10public. The chief clerk of the house and the committee
11chairperson and ranking member may communicate
12confidentially with appropriate legislative staff
13during any stage of the complaint process.
14e. Notice of complaint. Upon receipt of the
15complaint, the chief clerk of the house shall promptly
16notify the chairperson and ranking member of the
17ethics committee that a complaint has been filed and
18provide both the chairperson and the ranking member
19with copies of the complaint and any supporting
20information. Within two working days, the chief clerk
21shall send notice, either by personal delivery or by
22certified mail, return receipt requested, to the person
23or persons alleged to have committed the violation,
24along with a copy of the complaint and any supporting
25information. The notice to the accused person shall
26contain a request that the person submit a written
27response to the complaint within ten working days of
28the date that the notice was sent by the chief clerk.
29At the request of the accused person, the committee may
30extend the time for the response, not to exceed ten
-9-1additional calendar days. A response to a complaint
2shall not be confidential.
3f. Hearing regarding validity of complaint. The
4committee chairperson and the ranking member shall
5review the complaint and supporting information to
6determine whether the complaint meets the requirements
7as to form. If the complaint is deficient as to form,
8the complaint shall be returned to the complainant
9with instructions indicating the deficiency. If the
10complaint is in writing, is sufficient as to form,
11and contains the appropriate certification, as soon
12as practicable, the chairperson shall call a meeting
13of the committee to review the complaint to determine
14whether the complaint meets the requirements for
15validity and whether the committee should take action
16on the complaint pursuant to paragraph “g” or whether
17the committee should request that the chief justice
18of the supreme court appoint an independent special
19counsel to conduct an investigation to determine
20whether probable cause exists to believe that a
21violation of the house code of ethics, joint rules
22governing lobbyists, or chapter 68B of the Code, has
23occurred. The sufficiency as to form determination
24and the valid complaint requirements determination
25shall be based solely upon the original complaint and
26the response to the complaint. Additional documents
27or responses shall not be filed by the parties or
28otherwise considered by the committee prior to a
29validity determination. The committee shall not
30receive or consider oral testimony in support of or
-10-1against a validity determination.
2If the committee finds that a complaint does not
3meet the content requirements for a valid complaint,
4the committee shall dismiss the complaint and notify
5both the complainant and the party alleged to have
6committed the violation of the dismissal and the
7reasons for dismissal. A dismissal for failure to meet
8the formal requirements for the filing of a complaint
9shall be without prejudice and the complainant may
10refile the complaint at any time within three years
11of the date that the alleged violation took place. If
12the dismissal is based upon a failure to allege facts
13and circumstances necessary for a valid complaint, the
14dismissal shall be with prejudice and the party shall
15not be permitted to file a complaint based upon the
16same facts and circumstances.
17g. Action on undisputed complaint.If the committee
18determines a complaint is valid and determines no
19dispute exists between the parties regarding the
20material facts that establish a violation, the
21committee may take action on the complaint under this
22paragraph without requesting the appointment of an
23independent special counsel.
24The committee may do any of the following:
25(1) Issue an admonishment to advise against the
26conduct that formed the basis for the complaint and to
27exercise care in the future.
28(2) Issue an order to cease and desist the conduct
29that formed the basis for the complaint.
30(3) Make a recommendation to the house that
-11-1the person subject to the complaint be censured or
2reprimanded.
3h. Request for appointment of independent special
4counsel. If, after review of the complaint and any
5response made by the party alleged to have committed
6the violation, the committee determines that the
7complaint meets the requirements for form and content
8and the committee has not taken action under paragraph
9“g”, the committee shall request that the chief justice
10of the supreme court appoint independent special
11counsel to investigate the matter and determine whether
12probable cause exists to believe that a violation of
13chapter 68B of the Code, the house code of ethics, or
14the joint rules governing lobbyists has occurred.
15i. Receipt of report of independent special counsel.
16The report from the independent special counsel
17regarding probable cause to proceed on a complaint
18shall be filed with the chief clerk of the house.
19Upon receipt of the report of the independent special
20counsel, the chief clerk shall notify the chairperson
21of the filing of the report and shall send copies of
22the report to the members of the ethics committee. As
23soon as practicable after the filing of the report, the
24chairperson shall schedule a public meeting for review
25of the report. The purpose of the public meeting
26shall be to determine whether the complaint should be
27dismissed, whether a formal hearing should be held on
28the complaint, or whether other committee action is
29appropriate. The complainant and the person alleged to
30have committed the violation shall be given notice of
-12-1the public meeting, shall have the right to be present
2at the public meeting, and may, at the discretion
3of the committee, present testimony in support of or
4against the recommendations contained in the report.
5If the committee determines that the matter should
6be dismissed, the committee shall cause an order to
7be entered dismissing the matter and notice of the
8dismissal shall be given to the complainant and the
9party alleged to have committed the violation. If
10the committee determines that the complaint should be
11scheduled for formal hearing, the committee shall issue
12a charging statement which contains the charges and
13supporting facts that are to be set for formal hearing
14and notice shall be sent to the complainant and the
15accused person.
16The notice shall include a statement of the nature
17of the charge or charges, a statement of the time and
18place of hearing, a short and plain statement of the
19facts asserted, and a statement of the rights of the
20accused person at the hearing.
21j. Formal hearing. Formal hearings shall be public
22and conducted in the manner provided in section 68B.31,
23subsection 8 of the Code. At a formal hearing the
24accused shall have the right to be present and to
25be heard in person and by counsel, to cross-examine
26witnesses, and to present evidence. Members of
27the committee shall also have the right to question
28witnesses.
29The committee may require, by subpoena or otherwise,
30the attendance and testimony of witnesses and the
-13-1production of such books, records, correspondence,
2memoranda, papers, documents, and any other things it
3deems necessary to the conduct of the inquiry.
4Evidence at the formal hearing shall be received
5in accordance with rules and procedures applicable to
6contested cases under chapter 17A of the Code.
7The committee chairperson, or the vice chairperson
8or ranking member in the absence of the chairperson,
9shall preside at the formal hearing and shall rule on
10the admissibility of any evidence received. The ruling
11of the chairperson may be overturned by a majority
12vote of the committee. Independent special counsel
13shall present the evidence in support of the charge
14or charges. The burden shall be on the independent
15special counsel to prove the charge or charges by
16a preponderance of clear and convincing evidence.
17Upon completion of the formal hearing, the committee
18shall adopt written findings of fact and conclusions
19concerning the merits of the charges and make its
20report and recommendation to the house.
21k. Disqualification of member. Members of the
22committee may disqualify themselves from participating
23in any investigation of the conduct of another person
24upon submission of a written statement that the member
25cannot render an impartial and unbiased decision
26in a case. A member may also be disqualified by a
27unanimous vote of the remaining eligible members of the
28committee.
29A member of the committee is ineligible to
30participate in committee meetings, as a member of the
-14-1committee, in any proceeding relating to the member’s
2own official conduct.
3If a member of the committee is disqualified or
4ineligible to act, the majority or minority leader who
5appointed the member shall appoint a replacement member
6to serve as a member of the committee during the period
7of disqualification or ineligibility.
8l. Recommendations by the committee. The committee
9shall recommend to the house that the complaint be
10dismissed, or that one or more of the following be
11imposed:
12(1) That the member or employee of the house
13or lobbyist or client of a lobbyist be censured or
14reprimanded, and the recommended appropriate form of
15censure or reprimand be used.
16(2) That the member of the house be suspended or
17expelled from membership in the house and required
18to forfeit the member’s salary for that period, the
19employee of the house be suspended or dismissed from
20employment, or that the lobbyist’s or lobbyist’s
21client’s lobbying privileges be suspended.
2213. COMMUNICATIONS WITH ETHICS COMMITTEE. After a
23complaint has been filed or an investigation has been
24initiated, a party to the complaint or investigation
25shall not communicate, or cause another to communicate,
26as to the merits of the complaint or investigation with
27a member of the committee, except under the following
28circumstances:
29a. During the course of any meetings or other
30official proceedings of the committee regarding the
-15-1complaint or investigation.
2b. In writing, if a copy of the writing is
3delivered to the adverse party or the designated
4representative for the adverse party.
5c. Orally, if adequate prior notice of the
6communication is given to the adverse party or the
7designated representative for the adverse party.
8d. As otherwise authorized by statute, the house
9code of ethics, joint rules governing lobbyists, or
10vote of the committee.
1114. PERMANENT RECORD. The chief clerk of the house
12shall maintain a permanent record of all complaints
13filed and any corresponding committee action. The
14permanent record shall be prepared by the ethics
15committee and shall contain the date the complaint was
16filed, name and address of the complainant, name and
17address of the accused person, a brief statement of the
18charges made, any evidence received by the committee,
19any transcripts or recordings of committee action, and
20ultimate disposition of the complaint. Beginning with
21the 2017 Regular Session of the General Assembly, in
22recording the ultimate disposition of a complaint that
23is dismissed, the information shall include whether
24the complaint was dismissed due to formal insufficiency
25or due to a failure to meet the content requirements
26of a valid complaint. Except as provided in rule
2712, paragraph “d”, the chief clerk shall keep each
28complaint confidential until public disclosure is made
29by the ethics committee.
3015. MEETING AUTHORIZATION. The house ethics
-16-1committee is authorized to meet at the discretion of
2the committee chairperson in order to conduct hearings
3and other business that properly may come before it.
4If the committee submits a report seeking house action
5against a member or employee of the house or lobbyist
6after the second regular session of a general assembly
7has adjourned sine die, the report shall be submitted
8to and considered by the subsequent general assembly.
916. ADVISORY OPINIONS.
10a. Requests for formal opinions. A request for a
11formal advisory opinion may be filed by any person who
12is subject to the authority of the ethics committee.
13The ethics committee may also issue a formal advisory
14opinion on its own motion, without having previously
15received a formal request for an opinion, on any issue
16that is within the jurisdiction of the committee.
17Requests shall be filed with either the chief clerk of
18the house or the chairperson of the ethics committee.
19b. Form and contents of requests. A request for
20a formal advisory opinion shall be in writing and
21may pertain to any subject matter that is related to
22application of the house code of ethics, the joint
23rules governing lobbyists, or chapter 68B of the
24Code to any person who is subject to the authority of
25the ethics committee. Requests shall contain one or
26more specific questions and shall relate either to
27future conduct or be stated in the hypothetical. A
28request for an advisory opinion shall not specifically
29name any individual or contain any other specific
30identifying information, unless the request relates
-17-1to the requester’s own conduct. However, any request
2may contain information which identifies the kind
3of individual who may be affected by the subject
4matter of the request. Examples of this latter kind
5of identifying information may include references to
6conduct of a category of individuals, such as but not
7limited to conduct of legislators, legislative staff,
8or lobbyists.
9c. Confidentiality of formal requests and opinions.
10Requests for formal opinions are not confidential and
11any deliberations of the committee regarding a request
12for a formal opinion shall be public. Opinions issued
13in response to requests for formal opinions are not
14confidential, shall be in writing, and shall be placed
15on file in the office of the chief clerk of the house.
16Persons requesting formal opinions shall personally
17receive a copy of the written formal opinion that is
18issued in response to the request.
1917. PERSONAL FINANCIAL DISCLOSURE FORM. The
20following form shall be used for disclosure of economic
21interests under these rules and section 68B.35 of the
22Code:
23STATEMENT OF ECONOMIC INTERESTS
24Name:_________________________________________________
25(Last) (First) (Middle Initial)
26Address:______________________________________________
27(Street Address, Apt.#/P.O. Box)
28______________________________________________
29(City)(State)(Zip)
30Phone:(Home)_____/____-_____(Business)_____/____-_____
-18-1******************************************************
2This form is due each year on or before February 15.
3The reporting period is the most recently completed
4calendar year. An amended form shall be filed if a
5change in business, occupation, or profession reported
6in Division I of the form has occurred. The amended
7form shall include the date the change took effect and
8must be filed within thirty days of the first day of
9the change in employment or engagement necessitating
10the amended form. If the date of the change occurs
11between January 1 and February 15, the change shall be
12included in the filing due February 15.
13In completing Division III of this form, if your
14percentage of ownership of an asset is less than 100
15percent, multiply your percentage of ownership by the
16total revenue produced to determine if you have reached
17the $1,000 threshold.
18Do not report income received by your spouse or
19other family members.
20In completing this form, if insufficient space is
21provided for your answer, you may attach additional
22information/answers on full-size sheets of paper.
23Division I. Business, Occupation, or Profession.
24List each business, occupation, or profession in
25which you are engaged, the nature of the business if
26not evident, and your position or job title. No income
27threshold or time requirement applies.
28Examples:
29If you are employed by an individual, state the name
30of the individual employer, the nature of the business,
-19-1and your position.
2If you are self-employed and are not incorporated
3or are not doing business under a particular business
4name, state that you are self-employed, the nature of
5the business, and your position.
6If you own your own corporation, are employed by a
7corporation, or are doing business under a particular
8business name, state the name and nature of the
9business or corporation and your position.
101_____________________________________________________
112_____________________________________________________
123_____________________________________________________
134_____________________________________________________
145_____________________________________________________
156_____________________________________________________
16Division II. Commissions from Sales of Goods or
17Services to Political Subdivisions.
18This part is to be completed only by Legislators.
19If you received income in the form of a commission
20from the sale of goods or services to a political
21subdivision, state the name of the purchasing political
22subdivision. The amount of commission earned is not
23required to be listed.
241_____________________________________________________
252_____________________________________________________
263_____________________________________________________
274_____________________________________________________
285_____________________________________________________
296_____________________________________________________
30Division III. Sources of Gross Income.
-20- 1In each one of the following categories list each
2source which produces more than $1,000 in annual gross
3income, if the revenue produced by the source was
4subject to federal or state income taxes last year.
5List the nature or type of each company, business,
6financial institution, corporation, partnership, or
7other entity which produces more than $1,000 of annual
8gross income. Neither the amount of income produced
9nor value of the holding is required to be listed in
10any of the items.
11A. Securities: State the nature of the business of
12any company in which you hold stock, bonds, or other
13pecuniary interests that generate more than $1,000
14in annual gross income. Income generated by multiple
15holdings in a single company are deemed received from a
16single source.
17______________________________________________________
18______________________________________________________
19______________________________________________________
20______________________________________________________
21______________________________________________________
22______________________________________________________
23B. Instruments of Financial Institutions: State
24the types of institutions in which you hold financial
25instruments, such as certificates of deposit, savings
26accounts, etc., that produce annual gross income in
27excess of $1,000, e.g., banks, savings and loans, or
28credit unions.
29______________________________________________________
30______________________________________________________
-21-1______________________________________________________
2______________________________________________________
3______________________________________________________
4______________________________________________________
5C. Trusts: State the nature or type of any trust
6from which you receive more than $1,000 of gross income
7annually.
8______________________________________________________
9______________________________________________________
10______________________________________________________
11______________________________________________________
12______________________________________________________
13______________________________________________________
14D. Real Estate: State the general nature of real
15estate interests that generate more than $1,000 of
16gross income annually, e.g., residential leasehold
17interest or farm leasehold interest. The size or
18location of the property interest is not required to be
19listed.
20______________________________________________________
21______________________________________________________
22______________________________________________________
23______________________________________________________
24______________________________________________________
25______________________________________________________
26E. Retirement Systems: State the name of each
27pension plan or other corporation or company that pays
28you more than $1,000 annually in retirement benefits.
29______________________________________________________
30______________________________________________________
-22-1______________________________________________________
2______________________________________________________
3______________________________________________________
4______________________________________________________
5F. Other Income Categories Specified in State and
6Federal Income Tax Regulations.
7______________________________________________________
8______________________________________________________
9______________________________________________________
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13(Signature of Filer) (Date)
-23-tm/rj