House Study Bill 94 - Introduced HOUSE RESOLUTION NO. _____ BY (PROPOSED COMMITTEE ON ETHICS RESOLUTION BY CHAIRPERSON GUSTOFF) A Resolution relating to the code of ethics of the 1 House of Representatives for the Ninety-first 2 General Assembly. 3 BE IT RESOLVED BY THE HOUSE OF REPRESENTATIVES, That 4 the House Code of Ethics shall be as follows: 5 HOUSE CODE OF ETHICS 6 PREAMBLE. Every legislator and legislative employee 7 has a duty to uphold the integrity and honor of the 8 general assembly, to encourage respect for the law 9 and for the general assembly, and to observe the house 10 code of ethics. The members and employees of the house 11 have a responsibility to conduct themselves so as to 12 reflect credit on the general assembly, and to inspire 13 the confidence, respect, and trust of the public. The 14 following rules are adopted pursuant to chapter 68B of 15 the Code, to assist the members and employees in the 16 conduct of their activities: 17 1. DEFINITIONS. The definitions of terms provided 18 in chapter 68B of the Code apply to the use of those 19 terms in these rules. 20 2. ECONOMIC INTEREST OF MEMBER OR EMPLOYEE OF 21 HOUSE. 22 a. Economic or investment opportunity. A member 23 or employee of the house shall not solicit or accept 24 economic or investment opportunity under circumstances 25 where the member or employee knows, or should know, 26 that the opportunity is being afforded with the intent 27 -1- LSB 1486YC (4) 91 th/jh 1/ 25
H.R. _____ to influence the members or employees conduct in 1 the performance of official duties. If a member 2 or employee of the house learns that an economic 3 or investment opportunity previously accepted was 4 offered with the intent of influencing the members or 5 employees conduct in the performance of the official 6 duties, the member or employee shall take steps to 7 divest that member or employee of that investment or 8 economic opportunity, and shall report the matter 9 in writing to the chairperson of the house ethics 10 committee. 11 b. Excessive charges for services, goods, or 12 property interests. A member or employee of the 13 house shall not charge to or accept from a person 14 known to have a legislative interest, a price, fee, 15 compensation, or other consideration for the sale or 16 lease of any property or the furnishing of services 17 which is in excess of that which the member or employee 18 would ordinarily charge another person. 19 c. Use of confidential information. A member or 20 employee of the house, in order to further the members 21 or employees own economic interests, or those of any 22 other person, shall not disclose or use confidential 23 information acquired in the course of the members or 24 employees official duties. For the purpose of this 25 rule, information disclosed in open session at a public 26 meeting and information that is a public record is not 27 confidential information. 28 d. Employment. A member or employee of the house 29 shall not accept employment, either directly or 30 -2- LSB 1486YC (4) 91 th/jh 2/ 25
H.R. _____ indirectly, from a political action committee. A 1 member of the house shall not act as a paid lobbyist 2 for any organization. However, this paragraph shall 3 not prohibit a member or employee of the house from 4 working for a candidates committee, a political 5 partys action committee, or a political action 6 committee which does not expressly advocate the 7 nomination, election, or defeat of a candidate for 8 public office in this state or expressly advocate the 9 passage or defeat of a ballot issue in this state and 10 which is not interested in issues before the general 11 assembly. 12 For the purpose of this rule, a political action 13 committee means a committee, but not a candidates 14 committee, which accepts contributions, makes 15 expenditures, or incurs indebtedness in the aggregate 16 of more than one thousand dollars in any one calendar 17 year to expressly advocate the nomination, election, or 18 defeat of a candidate for public office or to expressly 19 advocate the passage or defeat of a ballot issue or for 20 the purpose of influencing legislative action. 21 e. Solicitation of employment as lobbyist. A member 22 or employee of the house shall not solicit employment 23 on behalf of the member or employee, or on behalf of 24 another legislator or employee, as a lobbyist while the 25 general assembly is in session. 26 f. Certain goods or services. A member or employee 27 of the house shall not solicit or obtain goods or 28 services from another person under circumstances where 29 the member or employee knows or should know that the 30 -3- LSB 1486YC (4) 91 th/jh 3/ 25
H.R. _____ goods or services are being offered or sold with the 1 intent to influence the members or employees conduct 2 in the performance of official duties. If a member 3 or employee of the house is afforded goods or services 4 by another person at a price that is not available to 5 other members or classes of members of the general 6 public or is afforded goods or services that are not 7 available to other members or classes of members 8 of the general public by another person where the 9 member or employee knows or should know that the other 10 person intends to influence the members or employees 11 official conduct, the member or employee shall not take 12 or purchase the goods or services. 13 3. APPEARANCE BEFORE STATE AGENCY. A member or 14 employee of the house may appear before a state agency 15 in any representation case but shall not act as a 16 lobbyist with respect to the passage, defeat, approval, 17 veto, or modification of any legislation, rule, or 18 executive order. Whenever a member or employee of 19 the house appears before a state agency, the member 20 or employee shall carefully avoid all conduct which 21 might in any way lead members of the general public 22 to conclude that the member or employee is using the 23 members or employees official position to further the 24 members or employees professional success or personal 25 financial interest. 26 4. CONFLICTS OF INTEREST. In order for the general 27 assembly to function effectively, members of the house 28 may be required to vote on bills and participate in 29 committee work which will affect their employment and 30 -4- LSB 1486YC (4) 91 th/jh 4/ 25
H.R. _____ other areas in which they may have a monetary interest. 1 Action on bills and committee work which furthers a 2 members specific employment, specific investment, or 3 other specific interest, as opposed to the interests of 4 the public in general or the interests of a profession, 5 trade, business, or other class of persons, shall be 6 avoided. In making a decision relative to a members 7 activity on particular bills or in committee work, the 8 following factors should be considered: 9 a. Whether a substantial threat to the members 10 independence of judgment has been created by the 11 conflict situation. 12 b. The effect of the members participation on 13 public confidence in the integrity of the general 14 assembly. 15 c. Whether the members participation is likely to 16 have any significant effect on the disposition of the 17 matter. 18 d. The need for the members particular 19 contribution, such as special knowledge of the subject 20 matter, to the effective functioning of the general 21 assembly. 22 If a member decides not to participate in committee 23 work or to abstain from voting because of a possible 24 conflict of interest, the member should disclose 25 this fact to the legislative body. The member shall 26 not vote on any question in which the member has an 27 economic interest that is distinguishable from the 28 interests of the general public or a substantial class 29 of persons. 30 -5- LSB 1486YC (4) 91 th/jh 5/ 25
H.R. _____ 5. STATUTORY REQUIREMENTS. Members and employees 1 of the house shall comply with the requirements 2 contained in chapters 68B (Government Ethics and 3 Lobbying), 721 (Official Misconduct), and 722 (Bribery 4 and Corruption), and sections 2.18 (Contempt) and 711.4 5 (Extortion) of the Code. 6 6. CHARGE ACCOUNTS. Members and employees of the 7 house shall not charge any amount or item to a charge 8 account to be paid for by a lobbyist or any client of a 9 lobbyist. 10 7. TRAVEL EXPENSES. A member or employee of the 11 house shall not charge to the state of Iowa amounts 12 for travel and expenses unless the member or employee 13 actually has incurred those mileage and expense costs. 14 Members or employees shall not file the vouchers for 15 weekly mileage reimbursement required by section 2.10, 16 subsection 1, of the Code, unless the travel expense 17 was actually incurred. 18 A member or employee of the house shall not file 19 a claim for per diem compensation for a meeting of 20 an interim study committee or a visitation committee 21 unless the member or employee attended the meeting. 22 However, the speaker may waive this provision and allow 23 a claim to be filed if the member or employee attempted 24 to attend the meeting but was unable to do so because 25 of circumstances beyond the members or employees 26 control. 27 8. GIFTS ACCEPTED OR RECEIVED. Members and 28 employees of the house shall comply with the 29 restrictions relating to the receipt or acceptance 30 -6- LSB 1486YC (4) 91 th/jh 6/ 25
H.R. _____ of gifts contained in section 68B.22 of the Code. 1 The sponsor of a function under section 68B.22, 2 subsection 4, paragraph s, shall electronically 3 file a registration with the chief clerk of the house 4 five days prior to the function disclosing the name of 5 the sponsor, and the date, time, and location of the 6 function. The sponsor shall also electronically file a 7 report of expenditures as required pursuant to section 8 68B.22, subsection 4, paragraph s. 9 9. HONORARIA RESTRICTIONS. Members and employees 10 of the house shall comply with the restrictions 11 relating to the receipt of honoraria contained in 12 section 68B.23 of the Code. 13 10. DISCLOSURE BY MEMBERS REQUIRED. Each member of 14 the house and the chief clerk of the house shall file 15 the personal financial disclosure statements required 16 under section 68B.35 of the Code by February 15 of each 17 year for the prior calendar year. 18 10A. DISCLOSURE BY CANDIDATES REQUIRED. A 19 candidate for election to the house shall file a 20 personal financial disclosure statement, as provided 21 in section 68B.35 of the Code, with the chief clerk on 22 forms provided by the chief clerk within fourteen days 23 after the deadline for the filing of nomination papers 24 or fourteen days after the nominating convention, as 25 applicable. Such disclosures shall be made for the 26 year preceding the year in which the election is to 27 be held. A statement filed under this rule shall 28 be open to public inspection in the chief clerks 29 office at all reasonable times. The chief clerk 30 -7- LSB 1486YC (4) 91 th/jh 7/ 25
H.R. _____ shall provide information relating to the duty to 1 file the necessary statement and applicable deadlines 2 to persons interested in becoming a candidate for 3 election to the house. The chief clerk shall inform 4 the ethics committee of the statements that are filed 5 by candidates and shall report to the ethics committee 6 the name of any candidate who appears to have not filed 7 a complete statement. The chief clerk shall notify a 8 candidate who has failed to file a complete statement 9 to file a complete statement within five days. If a 10 candidate does not file a complete statement within 11 five days after receiving notice, the chief clerk shall 12 fine the candidate fifty dollars, payable to the Iowa 13 House of Representatives for deposit in the general 14 fund of the state established pursuant to section 15 444.21 of the Code, and the ethics committee may 16 require the candidate to appear before the committee. 17 11. HARASSMENT SEXUAL HARASSMENT RETALIATION. 18 Members and employees of the house shall not engage in 19 conduct which constitutes harassment, including sexual 20 harassment as defined in section 19B.12 of the Code, or 21 retaliation, or conduct that is prohibited pursuant to 22 any harassment policy adopted by the house committee 23 on administration and rules. Harassment is a form of 24 discrimination based on any protected basis, including 25 race, color, national origin, religion, sex, pregnancy, 26 physical or mental disability, age, marital status, 27 veteran status, gender identity, sexual orientation, 28 or any other characteristic protected by law, including 29 the federal Civil Rights Act of 1964, the federal Age 30 -8- LSB 1486YC (4) 91 th/jh 8/ 25
H.R. _____ Discrimination in Employment Act of 1967, the federal 1 Americans with Disabilities Act of 1990, and chapter 2 216 of the Code. Harassment of an individual based 3 on any protected basis is unlawful if submission to 4 or rejection of such conduct by an individual is made 5 the basis for an employment decision affecting the 6 individual or if such conduct is sufficiently severe 7 or pervasive to create a hostile work environment. 8 Members and employees of the house shall not engage 9 in conduct which constitutes unlawful harassment 10 or discrimination based on any protected basis, or 11 retaliation for reporting harassment or discrimination, 12 threatening to report harassment or discrimination, 13 or participating in a harassment or discrimination 14 investigation. 15 12. COMPLAINTS. 16 a. Filing of complaint. Complaints may be filed by 17 any person believing that a member or employee of the 18 house, a lobbyist, or a client of a lobbyist is guilty 19 of a violation of the house code of ethics, the joint 20 rules governing lobbyists, or chapter 68B of the Code. 21 b. Complaints by committee. The ethics committee 22 may initiate a complaint on its own motion. Committee 23 complaints may be initiated by the committee as a 24 result of a committee investigation or as a result of 25 receipt of any complaint or other information that does 26 not meet the requirements of these rules regarding the 27 form of a complaint but that contains allegations that 28 would form the basis for a valid complaint. 29 c. Form and contents of complaint. A complaint 30 -9- LSB 1486YC (4) 91 th/jh 9/ 25
H.R. _____ shall be in writing. 1 Complaint forms shall be available from the chief 2 clerk of the house, but a complaint shall not be 3 rejected for failure to use the approved form if it 4 complies with the requirements of these rules. The 5 complaint shall contain a certification made by the 6 complainant, under penalty of perjury, that the facts 7 stated in the complaint are true to the best of the 8 complainants knowledge. 9 To be valid, a complaint shall allege all of the 10 following: 11 (1) Facts, that if true, establish a violation of 12 a provision of chapter 68B of the Code, the house code 13 of ethics, or joint rules governing lobbyists for which 14 penalties or other remedies are provided. 15 (2) That the conduct providing the basis for the 16 complaint occurred within three years of the filing of 17 the complaint. 18 (3) That the party charged with a violation is 19 a party subject to the jurisdiction of the ethics 20 committee. 21 d. Confidentiality of complaint. The identity of 22 the parties and the contents of the complaint shall 23 be confidential until the time that the committee 24 chairperson and ranking member determine under 25 paragraph f that the complaint is sufficient as 26 to form, unless either the complainant or the party 27 charged in the complaint makes the identity of the 28 parties, or the information contained in the complaint, 29 public. The chief clerk of the house and the committee 30 -10- LSB 1486YC (4) 91 th/jh 10/ 25
H.R. _____ chairperson and ranking member may communicate 1 confidentially with appropriate legislative staff 2 during any stage of the complaint process. 3 e. Notice of complaint. Upon receipt of the 4 complaint, the chief clerk of the house shall promptly 5 notify the chairperson and ranking member of the 6 ethics committee that a complaint has been filed and 7 provide both the chairperson and the ranking member 8 with copies of the complaint and any supporting 9 information. Within two working days, the chief 10 clerk shall send notice , either by personal delivery 11 or by certified mail, return receipt requested, to 12 the person or persons alleged to have committed the 13 violation, along with a copy of the complaint and any 14 supporting information. The notice to the accused 15 person shall contain a request inform the person that 16 the person has ten working days to submit a written 17 response to the complaint within ten working days of 18 the date that the notice was sent by the chief clerk 19 after the chairperson and ranking member determine the 20 complaint is sufficient as to form . At the request 21 of the accused person, the committee may extend the 22 time for the response, not to exceed ten additional 23 calendar days. A response to a complaint shall not be 24 confidential. 25 f. Hearing regarding Determination of sufficiency 26 as to form of complaint and validity of complaint. The 27 committee chairperson and the ranking member shall 28 review the complaint and supporting information to 29 determine whether the complaint meets the requirements 30 -11- LSB 1486YC (4) 91 th/jh 11/ 25
H.R. _____ as to form. If the complaint is deficient as to form, 1 the complaint shall be returned to the complainant 2 with instructions indicating the deficiency. If 3 the complaint is in writing, is sufficient as to 4 form, and contains the appropriate certification, 5 as soon as practicable, the chairperson and ranking 6 member shall notify the accused person. Without 7 delay, the chairperson shall call a meeting of the 8 committee to review the complaint to determine whether 9 the complaint meets the requirements for validity 10 and whether the committee should take action on the 11 complaint pursuant to paragraph g or whether the 12 committee should request that the chief justice of the 13 supreme court appoint an independent special counsel 14 to conduct an investigation to determine whether 15 probable cause exists to believe that a violation 16 of the house code of ethics, joint rules governing 17 lobbyists, or chapter 68B of the Code, has occurred. 18 The sufficiency as to form determination and the valid 19 complaint requirements determination shall be based 20 solely upon the original complaint and the response to 21 the complaint. Additional documents or responses shall 22 not be filed by the parties or otherwise considered by 23 the committee prior to a validity determination. The 24 committee shall not receive or consider oral testimony 25 in support of or against a validity determination. 26 If the committee finds that a complaint does not 27 meet the content requirements for a valid complaint, 28 the committee shall dismiss the complaint and notify 29 both the complainant and the party alleged to have 30 -12- LSB 1486YC (4) 91 th/jh 12/ 25
H.R. _____ committed the violation of the dismissal and the 1 reasons for dismissal. A dismissal for failure to meet 2 the formal requirements for the filing of a complaint 3 shall be without prejudice and the complainant may 4 refile the complaint at any time within three years 5 of the date that the alleged violation took place. If 6 the dismissal is based upon a failure to allege facts 7 and circumstances necessary for a valid complaint, the 8 dismissal shall be with prejudice and the party shall 9 not be permitted to file a complaint based upon the 10 same facts and circumstances. 11 g. Action on undisputed complaint. If the committee 12 determines a complaint is valid and determines no 13 dispute exists between the parties regarding the 14 material facts that establish a violation, the 15 committee may take action on the complaint under this 16 paragraph without requesting the appointment of an 17 independent special counsel. 18 The committee may do any of the following: 19 (1) Issue an admonishment to advise against the 20 conduct that formed the basis for the complaint and to 21 exercise care in the future. 22 (2) Issue an order to cease and desist the conduct 23 that formed the basis for the complaint. 24 (3) Make a recommendation to the house that 25 the person subject to the complaint be censured or 26 reprimanded. 27 h. Request for appointment of independent special 28 counsel. If, after review of the complaint and any 29 response made by the party alleged to have committed 30 -13- LSB 1486YC (4) 91 th/jh 13/ 25
H.R. _____ the violation, the committee determines that the 1 complaint meets the requirements for form and content 2 and the committee has not taken action under paragraph 3 g, the committee shall request that the chief justice 4 of the supreme court appoint independent special 5 counsel to investigate the matter and determine whether 6 probable cause exists to believe that a violation of 7 chapter 68B of the Code, the house code of ethics, or 8 the joint rules governing lobbyists has occurred. 9 i. Receipt of report of independent special counsel. 10 The report from the independent special counsel 11 regarding probable cause to proceed on a complaint 12 shall be filed with the chief clerk of the house. 13 Upon receipt of the report of the independent special 14 counsel, the chief clerk shall notify the chairperson 15 of the filing of the report and shall send copies of 16 the report to the members of the ethics committee. As 17 soon as practicable after the filing of the report, the 18 chairperson shall schedule a public meeting for review 19 of the report. The purpose of the public meeting 20 shall be to determine whether the complaint should be 21 dismissed, whether a formal hearing should be held on 22 the complaint, or whether other committee action is 23 appropriate. The complainant and the person alleged to 24 have committed the violation shall be given notice of 25 the public meeting, shall have the right to be present 26 at the public meeting, and may, at the discretion 27 of the committee, present testimony in support of or 28 against the recommendations contained in the report. 29 If the committee determines that the matter should 30 -14- LSB 1486YC (4) 91 th/jh 14/ 25
H.R. _____ be dismissed, the committee shall cause an order to 1 be entered dismissing the matter and notice of the 2 dismissal shall be given to the complainant and the 3 party alleged to have committed the violation. If 4 the committee determines that the complaint should be 5 scheduled for formal hearing, the committee shall issue 6 a charging statement which contains the charges and 7 supporting facts that are to be set for formal hearing 8 and notice shall be sent to the complainant and the 9 accused person. 10 The notice shall include a statement of the nature 11 of the charge or charges, a statement of the time and 12 place of hearing, a short and plain statement of the 13 facts asserted, and a statement of the rights of the 14 accused person at the hearing. 15 j. Formal hearing. Formal hearings shall be public 16 and conducted in the manner provided in section 68B.31, 17 subsection 8, of the Code. At a formal hearing the 18 accused shall have the right to be present and to 19 be heard in person and by counsel, to cross-examine 20 witnesses, and to present evidence. Members of 21 the committee shall also have the right to question 22 witnesses. 23 The committee may require, by subpoena or otherwise, 24 the attendance and testimony of witnesses and the 25 production of such books, records, correspondence, 26 memoranda, papers, documents, and any other things it 27 deems necessary to the conduct of the inquiry. 28 Evidence at the formal hearing shall be received 29 in accordance with rules and procedures applicable to 30 -15- LSB 1486YC (4) 91 th/jh 15/ 25
H.R. _____ contested cases under chapter 17A of the Code. 1 The committee chairperson, or the vice chairperson 2 or ranking member in the absence of the chairperson, 3 shall preside at the formal hearing and shall rule on 4 the admissibility of any evidence received. The ruling 5 of the chairperson may be overturned by a majority 6 vote of the committee. Independent special counsel 7 shall present the evidence in support of the charge 8 or charges. The burden shall be on the independent 9 special counsel to prove the charge or charges by clear 10 and convincing evidence. Upon completion of the formal 11 hearing, the committee shall adopt written findings 12 of fact and conclusions concerning the merits of the 13 charges and make its report and recommendation to the 14 house. 15 k. Disqualification of member. Members of the 16 committee may disqualify themselves from participating 17 in any investigation of the conduct of another person 18 upon submission of a written statement that the member 19 cannot render an impartial and unbiased decision 20 in a case. A member may also be disqualified by a 21 unanimous vote of the remaining eligible members of the 22 committee. 23 A member of the committee is ineligible to 24 participate in committee meetings, as a member of the 25 committee, in any proceeding relating to the members 26 own official conduct. 27 If a member of the committee is disqualified or 28 ineligible to act, the majority or minority leader who 29 appointed the member shall appoint a replacement member 30 -16- LSB 1486YC (4) 91 th/jh 16/ 25
H.R. _____ to serve as a member of the committee during the period 1 of disqualification or ineligibility. 2 l. Recommendations by the committee. The committee 3 shall recommend to the house that the complaint be 4 dismissed, or that one or more of the following be 5 imposed: 6 (1) That the member or employee of the house 7 or lobbyist or client of a lobbyist be censured or 8 reprimanded, and the recommended appropriate form of 9 censure or reprimand be used. 10 (2) That the member of the house be suspended or 11 expelled from membership in the house and required 12 to forfeit the members salary for that period, the 13 employee of the house be suspended or dismissed from 14 employment, or that the lobbyists or lobbyists 15 clients lobbying privileges be suspended. 16 13. COMMUNICATIONS WITH ETHICS COMMITTEE. After a 17 complaint has been filed or an investigation has been 18 initiated, a party to the complaint or investigation 19 shall not communicate, or cause another to communicate, 20 as to the merits of the complaint or investigation with 21 a member of the committee, except under the following 22 circumstances: 23 a. During the course of any meetings or other 24 official proceedings of the committee regarding the 25 complaint or investigation. 26 b. In writing, if a copy of the writing is 27 delivered to the adverse party or the designated 28 representative for the adverse party. 29 c. Orally, if adequate prior notice of the 30 -17- LSB 1486YC (4) 91 th/jh 17/ 25
H.R. _____ communication is given to the adverse party or the 1 designated representative for the adverse party. 2 d. As otherwise authorized by statute, the house 3 code of ethics, joint rules governing lobbyists, or 4 vote of the committee. 5 14. PERMANENT RECORD. The chief clerk of the house 6 shall maintain a permanent record of all complaints 7 filed and any corresponding committee action. The 8 permanent record shall be prepared by the ethics 9 committee and shall contain the date the complaint 10 was filed, name and address of the complainant, name 11 and address of the accused person, a brief statement 12 of the charges made, any evidence received by the 13 committee, any transcripts or recordings of committee 14 action, and ultimate disposition of the complaint. In 15 recording the ultimate disposition of a complaint that 16 is dismissed, the information shall include whether 17 the complaint was dismissed due to formal insufficiency 18 or due to a failure to meet the content requirements 19 of a valid complaint. Except as provided in rule 20 12, paragraph d, the chief clerk shall keep each 21 complaint confidential until public disclosure is made 22 by the ethics committee. 23 15. MEETING AUTHORIZATION. The house ethics 24 committee is authorized to meet at the discretion of 25 the committee chairperson in order to conduct hearings 26 and other business that properly may come before it. 27 If the committee submits a report seeking house action 28 against a member or employee of the house or lobbyist 29 after the second regular session of a general assembly 30 -18- LSB 1486YC (4) 91 th/jh 18/ 25
H.R. _____ has adjourned sine die, the report shall be submitted 1 to and considered by the subsequent general assembly. 2 16. ADVISORY OPINIONS. 3 a. Requests for formal opinions. A request for a 4 formal advisory opinion may be filed by any person who 5 is subject to the authority of the ethics committee. 6 The ethics committee may also issue a formal advisory 7 opinion on its own motion, without having previously 8 received a formal request for an opinion, on any issue 9 that is within the jurisdiction of the committee. 10 Requests shall be filed with either the chief clerk of 11 the house or the chairperson of the ethics committee. 12 b. Form and contents of requests. A request for 13 a formal advisory opinion shall be in writing and 14 may pertain to any subject matter that is related to 15 application of the house code of ethics, the joint 16 rules governing lobbyists, or chapter 68B of the 17 Code to any person who is subject to the authority of 18 the ethics committee. Requests shall contain one or 19 more specific questions and shall relate either to 20 future conduct or be stated in the hypothetical. A 21 request for an advisory opinion shall not specifically 22 name any individual or contain any other specific 23 identifying information, unless the request relates 24 to the requesters own conduct. However, any request 25 may contain information which identifies the kind 26 of individual who may be affected by the subject 27 matter of the request. Examples of this latter kind 28 of identifying information may include references to 29 conduct of a category of individuals, such as but not 30 -19- LSB 1486YC (4) 91 th/jh 19/ 25
H.R. _____ limited to conduct of legislators, legislative staff, 1 or lobbyists. 2 c. Confidentiality of formal requests and opinions. 3 Requests for formal opinions are not confidential and 4 any deliberations of the committee regarding a request 5 for a formal opinion shall be public. Opinions issued 6 in response to requests for formal opinions are not 7 confidential, shall be in writing, and shall be placed 8 on file in the office of the chief clerk of the house. 9 Persons requesting formal opinions shall personally 10 receive a copy of the written formal opinion that is 11 issued in response to the request. 12 17. PERSONAL FINANCIAL DISCLOSURE FORM. The 13 following form shall be used for disclosure of economic 14 interests under these rules and section 68B.35 of the 15 Code: 16 STATEMENT OF ECONOMIC INTERESTS 17 Name:_________________________________________________ 18 (Last) (First) (Middle Initial) 19 Address:______________________________________________ 20 (Street Address, Apt.#/P.O. Box) 21 ______________________________________________ 22 (City)(State)(Zip) 23 Phone:(Home)_____/____-_____(Business)_____/____-_____ 24 ****************************************************** 25 This form is due each year on or before February 15. 26 The reporting period is the most recently completed 27 calendar year. An amended form shall be filed if a 28 change in business, occupation, or profession reported 29 in Division I of the form has occurred. The amended 30 -20- LSB 1486YC (4) 91 th/jh 20/ 25
H.R. _____ form shall include the date the change took effect and 1 must be filed within thirty days of the first day of 2 the change in employment or engagement necessitating 3 the amended form. If the date of the change occurs 4 between January 1 and February 15, the change shall be 5 included in the filing due February 15. 6 In completing Division III of this form, if your 7 percentage of ownership of an asset is less than 100 8 percent, multiply your percentage of ownership by the 9 total revenue produced to determine if you have reached 10 the $1,000 threshold. 11 Do not report income received by your spouse or 12 other family members. 13 In completing this form, if insufficient space is 14 provided for your answer, you may attach additional 15 information/answers on full-size sheets of paper. 16 Division I. Business, Occupation, or Profession. 17 List each business, occupation, or profession in 18 which you are engaged, the nature of the business if 19 not evident, and your position or job title. No income 20 threshold or time requirement applies. 21 Examples: 22 If you are employed by an individual, state the name 23 of the individual employer, the nature of the business, 24 and your position. 25 If you are self-employed and are not incorporated 26 or are not doing business under a particular business 27 name, state that you are self-employed, the nature of 28 the business, and your position. 29 If you own your own corporation, are employed by a 30 -21- LSB 1486YC (4) 91 th/jh 21/ 25
H.R. _____ corporation, or are doing business under a particular 1 business name, state the name and nature of the 2 business or corporation and your position. 3 1_____________________________________________________ 4 2_____________________________________________________ 5 3_____________________________________________________ 6 4_____________________________________________________ 7 5_____________________________________________________ 8 6_____________________________________________________ 9 Division II. Commissions from Sales of Goods or 10 Services to Political Subdivisions. 11 This part is to be completed only by Legislators. 12 If you received income in the form of a commission 13 from the sale of goods or services to a political 14 subdivision, state the name of the purchasing political 15 subdivision. The amount of commission earned is not 16 required to be listed. 17 1_____________________________________________________ 18 2_____________________________________________________ 19 3_____________________________________________________ 20 4_____________________________________________________ 21 5_____________________________________________________ 22 6_____________________________________________________ 23 Division III. Sources of Gross Income. 24 In each one of the following categories list each 25 source which produces more than $1,000 in annual gross 26 income, if the revenue produced by the source was 27 subject to federal or state income taxes last year. 28 List the nature or type of each company, business, 29 financial institution, corporation, partnership, or 30 -22- LSB 1486YC (4) 91 th/jh 22/ 25
H.R. _____ other entity which produces more than $1,000 of annual 1 gross income. Neither the amount of income produced 2 nor value of the holding is required to be listed in 3 any of the items. 4 A. Securities: State the nature of the business of 5 any company in which you hold stock, bonds, or other 6 pecuniary interests that generate more than $1,000 7 in annual gross income. Income generated by multiple 8 holdings in a single company are deemed received from a 9 single source. 10 ______________________________________________________ 11 ______________________________________________________ 12 ______________________________________________________ 13 ______________________________________________________ 14 ______________________________________________________ 15 ______________________________________________________ 16 B. Instruments of Financial Institutions: State 17 the types of institutions in which you hold financial 18 instruments, such as certificates of deposit, savings 19 accounts, etc., that produce annual gross income in 20 excess of $1,000, e.g., banks, savings and loans, or 21 credit unions. 22 ______________________________________________________ 23 ______________________________________________________ 24 ______________________________________________________ 25 ______________________________________________________ 26 ______________________________________________________ 27 ______________________________________________________ 28 C. Trusts: State the nature or type of any trust 29 from which you receive more than $1,000 of gross income 30 -23- LSB 1486YC (4) 91 th/jh 23/ 25
H.R. _____ annually. 1 ______________________________________________________ 2 ______________________________________________________ 3 ______________________________________________________ 4 ______________________________________________________ 5 ______________________________________________________ 6 ______________________________________________________ 7 D. Real Estate: State the general nature of real 8 estate interests that generate more than $1,000 of 9 gross income annually, e.g., residential leasehold 10 interest or farm leasehold interest. The size or 11 location of the property interest is not required to be 12 listed. 13 ______________________________________________________ 14 ______________________________________________________ 15 ______________________________________________________ 16 ______________________________________________________ 17 ______________________________________________________ 18 ______________________________________________________ 19 E. Retirement Systems: State the name of each 20 pension plan or other corporation or company that pays 21 you more than $1,000 annually in retirement benefits. 22 ______________________________________________________ 23 ______________________________________________________ 24 ______________________________________________________ 25 ______________________________________________________ 26 ______________________________________________________ 27 ______________________________________________________ 28 F. Other Income Categories Specified in State and 29 Federal Income Tax Regulations. 30 -24- LSB 1486YC (4) 91 th/jh 24/ 25
H.R. _____ ______________________________________________________ 1 ______________________________________________________ 2 ______________________________________________________ 3 ______________________________________________________ 4 ______________________________________________________ 5 _______________________________________ ___________ 6 (Signature of Filer) (Date) 7 -25- LSB 1486YC (4) 91 th/jh 25/ 25