Senate Resolution 1 - Introduced SENATE RESOLUTION NO. 1 BY COMMITTEE ON ETHICS (SUCCESSOR TO SSB 1020) A Resolution relating to the Senate Code of Ethics 1 governing the conduct of members of the Senate in 2 relation to their senatorial duties during the 3 Ninety-first General Assembly. 4 BE IT RESOLVED BY THE SENATE, That the Senate Code 5 of Ethics for the Ninetieth Ninety-first General 6 Assembly shall be amended to read as follows: 7 SENATE CODE OF ETHICS 8 PREAMBLE. Every legislator owes a duty to uphold 9 the integrity and honor of the general assembly, to 10 encourage respect for the law and for the general 11 assembly and the members thereof, and to observe the 12 legislative code of ethics. 13 In doing so, members of the senate have a duty to 14 conduct themselves so as to reflect credit on the 15 general assembly, and to inspire the confidence, 16 respect, and trust of the public, and to strive to 17 avoid both unethical and illegal conduct and the 18 appearance of unethical and illegal conduct. 19 Recognizing that service in the Iowa general 20 assembly is a part-time endeavor and that members of 21 the general assembly are honorable individuals who 22 are active in the affairs of their localities and 23 elsewhere and that it is necessary that they maintain 24 a livelihood and source of income apart from their 25 legislative compensation, the following rules are 26 adopted pursuant to section 68B.31, to assist the 27 -1- LSB 1535SV (2) 91 th/jh 1/ 26
S.R. 1 members in the conduct of their legislative affairs. 1 1. ECONOMIC INTEREST OF SENATOR. Taking into 2 account that legislative service is part-time, a 3 senator shall not accept economic or investment 4 opportunity, under circumstances where the senator 5 knows, or should know, that there is a reasonable 6 possibility that the opportunity is being afforded the 7 senator with intent to influence the senators conduct 8 in the performance of official duties. 9 2. DIVESTITURE. Where a senator learns that 10 an economic or investment opportunity previously 11 accepted was offered with the intent of influencing 12 the senators conduct in the performance of official 13 duties, the senator shall take steps to divest that 14 senator of that investment or economic opportunity, and 15 shall report the facts of the situation to the senate 16 ethics committee. 17 3. CHARGES FOR SERVICES. A senator shall not 18 charge to or accept from a person, corporation, 19 partnership, or association known to have a legislative 20 interest a price, fee, compensation, or other 21 consideration for the sale or lease of any property or 22 the furnishing of services which is in excess of that 23 which the senator would charge another. 24 4. USE OF CONFIDENTIAL INFORMATION. A senator in 25 order to further the senators own economic or other 26 interests, or those of any other person, shall not 27 disclose or use confidential information acquired in 28 the course of official duties. 29 5. HONORARIA. A senator shall not accept an 30 -2- LSB 1535SV (2) 91 th/jh 2/ 26
S.R. 1 honorarium from a restricted donor for a speech, 1 writing for publication, or other similar activity, 2 except as otherwise provided in section 68B.23. 3 6. EMPLOYMENT. A senator shall not accept 4 employment, either directly or indirectly, from a 5 political action committee or from an organization 6 exempt from taxation under section 501(c)(4), 7 501(c)(6), or 527 of the Internal Revenue Code that 8 engages in activities related to the nomination, 9 election, or defeat of a candidate for public office. 10 A senator may accept employment from a political 11 party, but shall disclose the employment relationship 12 in writing to the secretary of the senate within ten 13 days after the beginning of each legislative session. 14 If a senator accepts employment from a political 15 party during a legislative session, the senator shall 16 disclose the employment relationship within ten days 17 after acceptance of the employment. 18 For the purpose of this rule, a political action 19 committee means a committee, but not a candidates 20 committee, which accepts contributions, makes 21 expenditures, or incurs indebtedness in the aggregate 22 of more than one thousand dollars in any one calendar 23 year to expressly advocate the nomination, election, or 24 defeat of a candidate for public office or to expressly 25 advocate the passage or defeat of a ballot issue or 26 influencing legislative action, or an association, 27 lodge, society, cooperative, union, fraternity, 28 sorority, educational institution, civic organization, 29 labor organization, religious organization, or 30 -3- LSB 1535SV (2) 91 th/jh 3/ 26
S.R. 1 professional organization which makes contributions in 1 the aggregate of more than one thousand dollars in any 2 one calendar year to expressly advocate the nomination, 3 election, or defeat of a candidate for public office or 4 ballot issue or influencing legislative action. 5 7. ECONOMIC INTERESTS OF LOBBYIST. With the 6 exception of exercising unfettered discretion in 7 supporting or refusing to support proposed legislation, 8 a senator shall not take action intended to affect the 9 economic interests of a lobbyist or citizen supporting 10 or opposing proposed legislation. 11 8. APPEARANCE BEFORE GOVERNMENTAL AGENCY. A 12 senator may appear before a governmental agency or 13 board in any representation case, except that the 14 senator shall not act as a lobbyist. Whenever a 15 senator appears before a governmental agency or board, 16 the senator shall carefully avoid all conduct which 17 might in any way lead members of the general public 18 to conclude that the senator is using the senators 19 official position to further the senators professional 20 success or personal financial interest. 21 9. CONFLICTS OF INTERESTS. In order to permit the 22 general assembly to function effectively, a senator 23 will sometimes be required to vote on bills and 24 participate in committee work which will affect the 25 senators employment and other monetary interests. In 26 making a decision relative to the senators activity on 27 given bills or committee work which are subject to the 28 code, the following factors shall be considered: 29 a. Whether a substantial threat to the senators 30 -4- LSB 1535SV (2) 91 th/jh 4/ 26
S.R. 1 independence of judgment has been created by the 1 conflict situation. 2 b. The effect of the senators participation on 3 public confidence in the integrity of the legislature. 4 c. The need for the senators particular 5 contribution, such as special knowledge of the 6 subject matter, to the effective functioning of the 7 legislature. 8 10. GIFTS. Except as otherwise provided in section 9 68B.22, a senator, or that persons immediate family 10 member, shall not, directly or indirectly, accept or 11 receive any gift or series of gifts from a restricted 12 donor. 13 11. DISCLOSURE REQUIRED BY SENATORS. Each senator 14 shall file with the secretary of the senate within ten 15 days after the adoption of the code of ethics by the 16 senate, and within ten days after the convening of the 17 second session of the general assembly, a financial 18 statement under section 68B.35 on forms provided by 19 the secretary of the senate setting forth the following 20 information: 21 The nature of each business in which the senator 22 is engaged and the nature of the business of each 23 company in which the senator has a financial interest. 24 A senator shall not be required to file a financial 25 statement or be assumed to have a financial interest 26 if the annual income derived from the investment 27 in stocks, bonds, bills, notes, mortgages, or other 28 securities offered for sale through recognized 29 financial brokers is less than one thousand dollars. 30 -5- LSB 1535SV (2) 91 th/jh 5/ 26
S.R. 1 Disclosures required under this rule shall be as 1 of the date filed unless provided to the contrary, 2 and shall be amended to include interests and changes 3 encompassed by this rule that occur while the general 4 assembly is in session. All filings under this rule 5 shall be open to public inspection in the office of the 6 secretary of the senate at all reasonable times. 7 The secretary of the senate shall inform the ethics 8 committee of the financial statements which are filed 9 and shall report to the ethics committee the names 10 of any senators who appear not to have filed complete 11 financial statements. The chairperson of the ethics 12 committee shall request in writing that a senator 13 who has failed to complete the financial statement or 14 appears to have filed an incomplete financial statement 15 do so within five days, and, upon the failure of the 16 senator to comply, the ethics committee shall require 17 the senator to appear before the committee. 18 11A. DISCLOSURE REQUIRED BY CANDIDATES FOR SENATE. 19 Each candidate for senate shall file with the secretary 20 of the senate within fourteen days after the deadline 21 for the filing of nomination papers or fourteen days 22 after the nominating convention, as applicable, a 23 financial statement under section 68B.35 on forms 24 provided by the secretary of the senate setting forth 25 the following information: 26 The nature of each business in which the candidate 27 for senate is engaged and the nature of the business 28 of each company in which the candidate for senate has a 29 financial interest. A candidate for senate shall not 30 -6- LSB 1535SV (2) 91 th/jh 6/ 26
S.R. 1 be required to file a financial statement or be assumed 1 to have a financial interest if the annual income 2 derived from the investment in stocks, bonds, bills, 3 notes, mortgages, or other securities offered for sale 4 through recognized financial brokers is less than one 5 thousand dollars. 6 Disclosures required under this rule shall be for 7 the year preceding the year in which the election is to 8 be held. All filings under this rule shall be open to 9 public inspection in the office of the secretary of the 10 senate at all reasonable times. 11 The secretary of the senate shall provide 12 information to persons interested in becoming 13 candidates for senate of the duty to file financial 14 statements under this rule and the applicable 15 deadlines. 16 The secretary of the senate shall inform the ethics 17 committee of the financial statements that are filed 18 and shall report to the ethics committee the names 19 of any candidates for senate who appear not to have 20 filed complete financial statements. The secretary of 21 the senate shall request that a candidate for senate 22 who has failed to complete the financial statement 23 or appears to have filed an incomplete financial 24 report to do so within five days. If a candidate for 25 senate does not file a complete financial statement 26 within five days, the candidate shall be fined fifty 27 dollars, payable to the Iowa senate for deposit in the 28 general fund, and the ethics committee may require the 29 candidate to appear before the committee. 30 -7- LSB 1535SV (2) 91 th/jh 7/ 26
S.R. 1 12. STATUTORY VIOLATIONS. Members of the general 1 assembly are urged to familiarize themselves with 2 chapters 68B, 721, and 722. 3 12A. HARASSMENT RETALIATION. Senators, 4 lobbyists, and clients of lobbyists shall not engage 5 in conduct that constitutes harassment or retaliation 6 as provided in the personnel guidelines for the Iowa 7 Senate. 8 12B. DISCRIMINATION HARASSMENT ABUSE. As 9 provided and defined in the personnel guidelines of the 10 Iowa Senate, a senator shall not engage in any act of 11 discrimination, harassment, or abuse of any person. 12 13. CHARGE ACCOUNTS. Senators shall not charge any 13 amount or item to any charge account to be paid for by 14 any lobbyist or any client the lobbyist represents. 15 14. TRAVEL EXPENSES. A senator shall not charge 16 to the state of Iowa amounts for travel and expenses 17 unless the senator actually has incurred those mileage 18 and expense costs. Senators shall not file the 19 vouchers for weekly mileage reimbursement required 20 by section 2.10, subsection 1, unless the travel 21 was actually incurred at commensurate expense to the 22 senator. 23 15. COMPLAINTS. Complaints or charges against 24 any senator, candidate for senate, lobbyist, or 25 client of a lobbyist shall be in writing, made under 26 penalty of perjury, and filed with the secretary of 27 the senate. When filed with the secretary of the 28 senate, the secretary shall immediately advise the 29 chairperson of the ethics committee of the receipt of 30 -8- LSB 1535SV (2) 91 th/jh 8/ 26
S.R. 1 the complaint. The secretary of the senate shall, as 1 soon as practicable, send a copy of the complaint to 2 the ethics committee, legislative staff assigned to the 3 senate ethics committee, and the respondent. 4 Complaint forms shall be available from the 5 secretary of the senate, or the chairperson of the 6 ethics committee, but a complaint shall not be rejected 7 for failure to use an approved form if the complaint 8 substantially complies with senate requirements. 9 A complainant may submit exhibits and affidavits 10 attached to the complaint. 11 16. FILING OF COMPLAINTS. 12 a. Persons entitled. Complaints may be filed by 13 any person believing that a senator, candidate for 14 senate, lobbyist, or client of a lobbyist has violated 15 the senate ethics code, the joint rules governing 16 lobbyists, or chapter 68B, as applicable. A violation 17 of the criminal law may be considered to be a violation 18 of this code of ethics if the violation constitutes a 19 serious misdemeanor or greater, or a repetitive and 20 flagrant violation of the law. 21 b. Committee complaint. The ethics committee 22 may, upon its own motion, initiate a complaint, 23 investigation, or disciplinary action. 24 17. PERMANENT RECORD. The secretary of the senate 25 shall maintain a permanent record of all complaints 26 filed, evidence received by the committee, and any 27 transcripts or other recordings made of committee 28 proceedings, including a separate file containing 29 the date filed, name and address of the complainant, 30 -9- LSB 1535SV (2) 91 th/jh 9/ 26
S.R. 1 name and address of the respondent, a brief statement 1 of the charges made, and ultimate disposition of 2 the complaint. The secretary shall keep each such 3 complaint confidential until public disclosure is made 4 by the ethics committee. 5 18. PREHEARING PROCEDURE. 6 a. Defective complaint. Upon receipt of a 7 complaint, the chairperson and ranking member of the 8 ethics committee shall determine whether the complaint 9 substantially complies with the requirements of this 10 code of ethics and section 68B.31, subsection 6. If 11 the complaint does not substantially comply with 12 the requirements for formal sufficiency under the 13 code of ethics, the complaint may be returned to the 14 complainant with a statement that the complaint is not 15 in compliance with the code and a copy of the code. If 16 the complainant fails to amend the complaint to comply 17 with the code within a reasonable time, the chairperson 18 and ranking member may dismiss the complaint with 19 prejudice for failure to prosecute. 20 b. Service of complaint on respondent Respondents 21 notice to respond . Upon receipt of any complaint 22 substantially complying with the requirements of this 23 code of ethics, the chairperson of the ethics committee 24 shall cause a copy of the complaint and any supporting 25 information to be delivered promptly to the respondent, 26 requesting a written response to be filed within ten 27 days. At the time delivery is made to the respondent, 28 delivery of copies of the complaint and any supporting 29 information shall be made to legislative staff assigned 30 -10- LSB 1535SV (2) 91 th/jh 10/ 26
S.R. 1 to the ethics committee. Upon receipt of a complaint 1 that the chairperson and ranking member of the 2 ethics committee determine substantially complies 3 with the requirements of this code of ethics, the 4 respondent shall be notified of that determination. 5 The respondent shall be requested to file a written 6 response within ten days of the notice. The response 7 may do any of the following: 8 (1) Admit or deny the allegation or allegations. 9 (2) Object that the allegation fails to allege a 10 violation of chapter 68B, the joint rules governing 11 lobbyists, or the code of ethics. 12 (3) Object to the jurisdiction of the committee. 13 (4) Request a more specific statement of the 14 allegation or allegations. 15 c. Objection to member. In addition to the 16 items which may be included in a response pursuant 17 to paragraph b, the response may also include an 18 objection to the participation of any member of the 19 committee in the consideration of the allegation or 20 allegations on the grounds that the member cannot 21 render an impartial and unbiased decision. 22 d. Extension of time. At the request of the 23 respondent and upon a showing of good cause, the 24 committee, or the chairperson and ranking member, 25 may extend the time for response, not to exceed ten 26 additional days. 27 e. Confidentiality. If a complaint is not 28 otherwise made public by the complainant, the members 29 of the committee and legislative staff assigned to 30 -11- LSB 1535SV (2) 91 th/jh 11/ 26
S.R. 1 the ethics committee shall treat the complaint and 1 all supporting information as confidential until the 2 written response is received from the respondent. 3 f. Communications with ethics committee. After a 4 complaint has been filed or an investigation has been 5 initiated, a party to the complaint or investigation 6 shall not communicate, or cause another to communicate, 7 as to the merits of the complaint or investigation with 8 a member of the committee, except under the following 9 circumstances: 10 (1) During the course of any meetings or other 11 official proceedings of the committee regarding the 12 complaint or investigation. 13 (2) In writing, if a copy of the writing is 14 delivered to the adverse party or the designated 15 representative for the adverse party. 16 (3) Orally, if adequate prior notice of the 17 communication is given to the adverse party or the 18 designated representative for the adverse party. 19 (4) As otherwise authorized by statute, the senate 20 code of ethics, the joint rules governing lobbyists, or 21 vote of the committee. 22 g. Scheduling hearing Committee meeting . Upon 23 receipt of the response, the committee shall schedule 24 a public meeting to review the complaint and available 25 information, and shall do one of the following: 26 (1) Notify the complainant that no further 27 action will be taken, and that the complaint will 28 be dismissed without further consideration by the 29 committee unless further substantiating information 30 -12- LSB 1535SV (2) 91 th/jh 12/ 26
S.R. 1 is produced within one hundred twenty days from the 1 date of the public meeting . Any complaint, including 2 every complaint filed prior to the adoption of this 3 resolution, that has been on file with the senate 4 and awaiting further substantiating information for 5 longer than one hundred twenty days from the date of 6 the public meeting shall be dismissed without further 7 consideration by the committee. The secretary of the 8 senate shall send notice of a dismissal for lack of 9 further substantiating information to the complainant. 10 (2) Dismiss the complaint for failure to meet the 11 statutory and code of ethics requirements for valid 12 complaints. 13 (3) Take action on the complaint without requesting 14 the appointment of an independent special counsel 15 if the committee determines the complaint is valid 16 and determines no dispute exists between the parties 17 regarding the material facts that establish a 18 violation. The committee may do any of the following: 19 (a) 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 (b) Issue an order to cease and desist the conduct 23 that formed the basis for the complaint. 24 (c) Make a recommendation to the senate that 25 the person subject to the complaint be censured or 26 reprimanded. 27 (4) Request that the chief justice of the supreme 28 court appoint an independent special counsel to conduct 29 an investigation of the complaint and supporting 30 -13- LSB 1535SV (2) 91 th/jh 13/ 26
S.R. 1 information, to make a determination of probable cause, 1 and to report the findings to the committee, which 2 shall be received within a reasonable time. 3 h. Public hearing. If independent special counsel 4 is appointed, upon receipt of the report of independent 5 special counsels findings, the committee shall 6 schedule a public meeting to review the report and 7 shall do either of the following: 8 (1) Cause the complaint to be scheduled for a 9 public hearing. 10 (2) Dismiss the complaint based upon a 11 determination by independent special counsel and the 12 committee that insufficient evidence exists to support 13 a finding of probable cause. 14 19. HEARING PROCEDURE. 15 a. Notice of hearing. If the committee causes a 16 complaint to be scheduled for a public hearing, notice 17 of the hearing date and time shall be given to the 18 complainant and respondent in writing, and of the 19 respondents right to appear in person, be represented 20 by legal counsel, present statements and evidence, and 21 examine and cross-examine witnesses. The committee 22 shall not be bound by formal rules of evidence, but 23 shall receive relevant evidence, subject to limitations 24 on repetitiveness. Any evidence taken shall be under 25 oath. 26 b. Subpoena power. The committee may require, by 27 subpoena or otherwise, the attendance and testimony of 28 witnesses and the production of such books, records, 29 correspondence, memoranda, papers, documents, and any 30 -14- LSB 1535SV (2) 91 th/jh 14/ 26
S.R. 1 other things it deems necessary to the conduct of the 1 inquiry. 2 c. Ex post facto. An investigation shall not be 3 undertaken by the committee of a violation of a law, 4 rule, or standard of conduct that is not in effect at 5 the time of violation. 6 d. Disqualification of member. Members of the 7 committee may disqualify themselves from participating 8 in any investigation of the conduct of another person 9 upon submission of a written statement that the member 10 cannot render an impartial and unbiased decision 11 in a case. A member may also be disqualified by a 12 unanimous vote of the remaining eligible members of the 13 committee. 14 A member of the committee is ineligible to 15 participate in committee meetings, as a member of the 16 committee, in any proceeding relating to the members 17 own official conduct. 18 If a member of the committee is disqualified or 19 ineligible to act, the majority or minority leader who 20 appointed the member shall appoint a replacement member 21 to serve as a member of the committee during the period 22 of disqualification or ineligibility. 23 e. Hearing. At the hearing, the chairperson shall 24 open the hearing by stating the charges, the purpose of 25 the hearing, and its scope. The burden of proof rests 26 upon the complainant to establish the facts as alleged, 27 by clear and convincing evidence. However, questioning 28 of witnesses shall be conducted by the members of the 29 committee, by independent special counsel, or by a 30 -15- LSB 1535SV (2) 91 th/jh 15/ 26
S.R. 1 senator. The chairperson shall also permit questioning 1 by legal counsel representing the complainant or 2 respondent. 3 The chairperson or other member of the committee 4 presiding at a hearing shall rule upon procedural 5 questions or any question of admissibility of evidence 6 presented to the committee. Rulings may be reversed by 7 a majority vote of the committee members present. 8 The committee may continue the hearing to a future 9 date if necessary for appropriate reasons or purposes. 10 f. Committee action. Upon receipt of all relevant 11 evidence and arguments, the committee shall consider 12 the same and recommend to the senate any of the 13 following: 14 (1) That the complaint be dismissed. 15 (2) That the senator, candidate for senate, 16 lobbyist, or client of a lobbyist be censured or 17 reprimanded, and recommend the appropriate form of 18 censure or reprimand. 19 (3) Any other appropriate sanction, including 20 suspension or expulsion from membership in the senate, 21 or suspension of lobbying privileges. 22 g. Disposition resolution. By appropriate 23 resolution, the senate may amend, adopt, or reject 24 the report of the ethics committee, including the 25 committees recommendations regarding disciplinary 26 action. 27 20. COMMITTEE AUTHORIZED TO MEET. The senate 28 ethics committee is authorized to meet at the 29 discretion of the chairperson to conduct hearings and 30 -16- LSB 1535SV (2) 91 th/jh 16/ 26
S.R. 1 other business that properly may come before it. If 1 the committee submits a report seeking senate action 2 against a senator, candidate for senate, lobbyist, or 3 client of a lobbyist after the second regular session 4 of a general assembly has adjourned sine die, the 5 report shall be submitted to and considered by the 6 subsequent general assembly. However, the report 7 may be submitted to and considered during any special 8 session which may take place after the second regular 9 session of a general assembly has adjourned sine die, 10 but before the convening of the next general assembly. 11 21. ADVISORY OPINIONS. 12 a. Requests for formal opinions. A request for a 13 formal advisory opinion may be filed by any person who 14 is subject to the authority of the ethics committee. 15 The ethics committee may also issue a formal advisory 16 opinion on its own motion, without having previously 17 received a formal request for an opinion, on any issue 18 that is within the jurisdiction of the committee. 19 Requests shall be filed with either the secretary of 20 the senate or the chairperson of the ethics committee. 21 b. Form and contents of requests. A request for 22 a formal advisory opinion shall be in writing and 23 may pertain to any subject matter that is related 24 to the application of the senate code of ethics, the 25 joint rules governing lobbyists, or chapter 68B to 26 any person who is subject to the authority of the 27 ethics committee. Requests shall contain one or 28 more specific questions and shall relate either to 29 future conduct or be stated in the hypothetical. A 30 -17- LSB 1535SV (2) 91 th/jh 17/ 26
S.R. 1 request for an advisory opinion shall not specifically 1 name any individual or contain any other specific 2 identifying information, unless the request relates 3 to the requesters own conduct. However, any request 4 may contain information which identifies the kind 5 of individual who may be affected by the subject 6 matter of the request. Examples of this latter kind 7 of identifying information may include references 8 to conduct of a category of individuals, such as but 9 not limited to conduct of legislators, legislative 10 staff, candidates for senate, lobbyists, or clients of 11 lobbyists. 12 c. Confidentiality of formal requests and opinions. 13 Requests for formal opinions are not confidential and 14 any deliberations of the committee regarding a request 15 for a formal opinion shall be public. Opinions issued 16 in response to requests for formal opinions are not 17 confidential, shall be in writing, and shall be placed 18 on file in the office of the secretary of the senate. 19 Persons requesting formal opinions shall personally 20 receive a copy of the written formal opinion that is 21 issued in response to the request. 22 22. CALCULATION OF TIME DAYS. For purposes of 23 these rules, unless the context otherwise requires, 24 the word day or days shall mean a calendar day 25 except that if the day is the last day of a specific 26 time period and falls upon a Saturday, Sunday, or legal 27 holiday, the time prescribed shall be extended so as to 28 include the whole of the next day in which the offices 29 of the senate and the general assembly are open for 30 -18- LSB 1535SV (2) 91 th/jh 18/ 26
S.R. 1 official business. 1 23. COMPLAINT FILING FORM. The following form 2 shall be used to file a complaint under these rules: 3 THE SENATE 4 Ethics Complaint Form 5 Re: ______________________________ (Senator/Candidate 6 for Senate/Lobbyist/Client of Lobbyist), of 7 _____________________, Iowa. 8 I, ________________________ (Complainant), residing 9 at ____________________, in the City of ______________, 10 State of ________________________, hereby complain 11 that _____________________________ (Senator/Candidate 12 for Senate/Lobbyist/Client of Lobbyist), whose address 13 is ___________________________________________, has 14 violated the Senate Code of Ethics, chapter 68B, or 15 Joint Rules Governing Lobbyists in that: 16 (Explain the basis for the complaint here. Use 17 additional pages, if necessary.) 18 Under penalty of perjury, I certify that the above 19 complaint is true and correct as I verily believe. 20 ___________________________ 21 Signature of Complainant 22 SUBSCRIBED AND AFFIRMED to before me this __________ 23 day of ________________________, _______. 24 ________________________________ 25 Notary Public in and for the 26 State of ______________________ 27 24. COMPLAINT NOTICE FORM. The following form 28 shall be used for notice of a complaint under these 29 rules: 30 -19- LSB 1535SV (2) 91 th/jh 19/ 26
S.R. 1 STATE OF IOWA 1 THE SENATE 2 COMMITTEE ON ETHICS ) 3 IOWA STATE SENATE ) 4 ) 5 On The Complaint Of ) NOTICE OF COMPLAINT 6 ) 7 ___________________________ ) 8 ) 9 And Involving ) 10 ) 11 ___________________________ ) 12 ) 13 TO ________________________________, 14 Senator or Candidate for Senate or Lobbyist or 15 Client of Lobbyist named above: 16 You are hereby notified that there is now on file 17 with the Secretary of the Senate, State Capitol, Des 18 Moines, Iowa, a complaint which alleges that you have 19 committed a violation of the Senates Code of Ethics, 20 chapter 68B, or Joint Rules Governing Lobbyists. 21 A copy of the complaint and the Senate rules for 22 processing the same are attached hereto and made a part 23 of this notice. 24 You are further notified and requested to file your 25 written answer to the complaint within ten days of the 26 date upon which the notice was caused to be delivered 27 to you, (date) ________________________, ________. 28 Your answer is to be filed with the Secretary of the 29 Senate, State Capitol, Des Moines, Iowa. 30 -20- LSB 1535SV (2) 91 th/jh 20/ 26
S.R. 1 Dated this ________ day of ________________, ______. 1 ________________________________ 2 Chairperson, Senate Ethics 3 Committee, 4 or Secretary of the Senate 5 25. HEARING NOTICE FORM. The following form shall 6 be used for notice of a hearing under these rules: 7 STATE OF IOWA 8 THE SENATE 9 COMMITTEE ON ETHICS ) 10 IOWA STATE SENATE ) 11 ) 12 On The Complaint Of ) NOTICE OF HEARING 13 ) 14 ___________________________ ) 15 ) 16 And Involving ) 17 ) 18 ___________________________ ) 19 ) 20 TO ________________________________, 21 Senator or Candidate for Senate or Lobbyist or 22 Client of Lobbyist named above: 23 You are hereby notified that there is now on file 24 with the Secretary of the Senate, State Capitol, Des 25 Moines, Iowa, a complaint which alleges that you have 26 committed a violation of the Senates Code of Ethics, 27 chapter 68B, or Joint Rules Governing Lobbyists. 28 A copy of the complaint and the Senate rules for 29 processing the same are attached hereto and made a part 30 -21- LSB 1535SV (2) 91 th/jh 21/ 26
S.R. 1 of this notice. 1 You are further notified that, after preliminary 2 review, the committee has caused a public hearing to be 3 scheduled on (date)___________________, ________, at 4 (hour) ___________ (a.m.) (p.m.), in Room ____, State 5 Capitol, Des Moines, Iowa. 6 At the hearing, you will have the right to appear 7 in person, be represented by legal counsel at your own 8 expense, present statements and evidence, and examine 9 and cross-examine witnesses. The committee shall 10 not be bound by formal rules of evidence, but shall 11 receive relevant evidence, subject to limitations on 12 repetitiveness. Any evidence taken shall be under 13 oath. 14 The committee may continue the hearing to a future 15 date if necessary for appropriate reasons or purposes. 16 You are further notified that the committee will 17 receive such evidence and take such action as warranted 18 by the evidence. 19 Dated this _____ day of ________________, ______. 20 ________________________________ 21 Chairperson, Senate Ethics 22 Committee, 23 or Secretary of the Senate 24 26. PERSONAL FINANCIAL DISCLOSURE FORM. The 25 following form shall be used for disclosure of economic 26 interests under these rules and section 68B.35: 27 STATEMENT OF ECONOMIC INTERESTS 28 Name:________________________________________________ 29 (Last) (First) (Middle Initial) 30 -22- LSB 1535SV (2) 91 th/jh 22/ 26
S.R. 1 Address:_____________________________________________ 1 (Street Address, Apt.#/P.O. Box) 2 ______________________________________________ 3 (City) (State) (Zip) 4 Phone:(Home) ____/____-_____(Business) ____/____-_____ 5 ****************************************************** 6 a. Please list each business, occupation, or 7 profession in which you are engaged. In listing 8 the business, occupation, or profession, it is 9 not necessary that your employer or the name of 10 the business be listed, although all businesses, 11 occupations, or professions must be listed, regardless 12 of the amount of income derived or time spent 13 participating in the activity. (Examples of types 14 of businesses, occupations, or professions that may 15 be listed: teacher, lawyer, legislator, real estate 16 agent, insurance adjuster, salesperson....) 17 (1) __________________________________________________ 18 (2) __________________________________________________ 19 (3) __________________________________________________ 20 (4) __________________________________________________ 21 (5) __________________________________________________ 22 b. Please list the nature of each of the 23 businesses, occupations, or professions which you 24 listed in paragraph a, above, unless the nature of 25 the business, occupation, or profession is already 26 apparent from the information indicated above. The 27 descriptions in this paragraph should correspond by 28 number to the numbers for each of the businesses, 29 occupations, or professions listed in paragraph a. 30 -23- LSB 1535SV (2) 91 th/jh 23/ 26
S.R. 1 (Examples: If you indicated, for example, that you 1 were a salesperson in subparagraph (1) of paragraph 2 a, you should list in subparagraph (1) of this 3 paragraph the types of goods or services sold in this 4 item. If you indicated that you were a teacher in 5 subparagraph (2) of paragraph a, you should indicate 6 in subparagraph (2) of this paragraph the type of 7 school or institution in which you provide instruction 8 or whether the instruction is provided on a private 9 basis. If you indicated that you were a lawyer in 10 subparagraph (3) of paragraph a, you should indicate 11 your areas of practice and whether you are in private, 12 corporate, or government practice in subparagraph (3) 13 of this paragraph. If you indicated in subparagraph 14 (4) of paragraph a that you were a consultant, in 15 subparagraph (4) of this paragraph you should indicate 16 the kind of services provided and types of clients 17 served.) 18 (1) __________________________________________________ 19 (2) __________________________________________________ 20 (3) __________________________________________________ 21 (4) __________________________________________________ 22 (5) __________________________________________________ 23 c. Please list each source, by general description, 24 from which you receive, or which generates, more than 25 one thousand dollars in gross annual income in the 26 categories listed below. For purposes of this item, 27 a source produces gross annual income if the revenue 28 produced by the source is subject to federal or state 29 income taxes. In completing this item, it is not 30 -24- LSB 1535SV (2) 91 th/jh 24/ 26
S.R. 1 necessary to list the name of the company, business, 1 financial institution, corporation, partnership, or 2 other entity which constitutes the source of the income 3 and the amount or value of the holding should not be 4 listed. 5 (1) Securities (Here for example, you need not 6 state that you own X number of shares of any specific 7 company by brand or corporate name, or that the stock 8 is of a certain value, but may instead state that you 9 possess stock in a company and indicate the nature of 10 the companys business.): 11 ______________________________________________________ 12 ______________________________________________________ 13 ______________________________________________________ 14 ______________________________________________________ 15 ______________________________________________________ 16 (2) Instruments of Financial Institutions (You 17 need not indicate, for example, in which institutions 18 you hold certificates of deposit that produce annual 19 income over the one thousand dollar threshold, but 20 simply listing the nature of the institution will 21 suffice, e.g., bank, credit union, or savings and loan 22 association.): 23 ______________________________________________________ 24 ______________________________________________________ 25 ______________________________________________________ 26 ______________________________________________________ 27 ______________________________________________________ 28 (3) Trusts (The name of the particular trust need 29 not be listed. However, if the income is received 30 -25- LSB 1535SV (2) 91 th/jh 25/ 26
S.R. 1 from a charitable trust/foundation, such as the Pugh 1 Charitable Trust, in the form of a grant, the fact that 2 the trust is a charitable trust should be noted here.): 3 ______________________________________________________ 4 ______________________________________________________ 5 ______________________________________________________ 6 ______________________________________________________ 7 ______________________________________________________ 8 (4) Real Estate (When listing real estate, it is 9 not necessary to list the location of the property, but 10 the general nature of the real estate interest should 11 be indicated, e.g., residential leasehold interest or 12 farm leasehold interest.): 13 ______________________________________________________ 14 ______________________________________________________ 15 ______________________________________________________ 16 ______________________________________________________ 17 ______________________________________________________ 18 (5) Retirement Systems (When listing retirement 19 benefits, it is not necessary to list the name of 20 the particular pension system or company, but rather 21 the type of benefit should be listed, e.g., health 22 benefits, life insurance benefits, private pension, or 23 government pension.): 24 ______________________________________________________ 25 ______________________________________________________ 26 ______________________________________________________ 27 ______________________________________________________ 28 ______________________________________________________ 29 (Signature of filer) (Date) 30 -26- LSB 1535SV (2) 91 th/jh 26/ 26