Bill Text: IA SR101 | 2021-2022 | 89th General Assembly | Amended
Bill Title: A resolution relating to the requirements under the Senate Code of Ethics for filing personal financial disclosure forms by senators and candidates for senate. (Formerly SSB 3038.)
Spectrum: Committee Bill
Status: (Introduced - Dead) 2022-02-09 - Resolution adopted, as amended. S.J. 242. [SR101 Detail]
Download: Iowa-2021-SR101-Amended.html
Senate
Resolution
101
-
Reprinted
SENATE
RESOLUTION
NO.
101
BY
COMMITTEE
ON
ETHICS
(SUCCESSOR
TO
SSB
3038)
(As
Amended
and
Passed
by
the
Senate
February
9,
2022
)
A
Resolution
relating
to
the
requirements
under
the
1
Senate
Code
of
Ethics
for
filing
personal
financial
2
disclosure
forms
by
senators
and
candidates
for
3
senate.
4
BE
IT
RESOLVED
BY
THE
SENATE,
That
Rule
11
of
the
5
Senate
Code
of
Ethics
for
the
Eighty-ninth
General
6
Assembly,
as
adopted
during
the
2021
Session
in
Senate
7
Resolution
1,
is
amended
as
follows:
8
11.
DISCLOSURE
REQUIRED
BY
SENATORS
.
Each
senator
9
shall
file
with
the
secretary
of
the
senate
within
ten
10
days
after
the
adoption
of
the
code
of
ethics
by
the
11
senate,
and
within
ten
days
after
the
convening
of
the
12
second
session
of
the
general
assembly,
a
financial
13
statement
under
section
68B.35
on
forms
provided
by
14
the
secretary
of
the
senate
setting
forth
the
following
15
information:
16
The
nature
of
each
business
in
which
the
senator
17
is
engaged
and
the
nature
of
the
business
of
each
18
company
in
which
the
senator
has
a
financial
interest.
19
A
senator
shall
not
be
required
to
file
a
report
20
financial
statement
or
be
assumed
to
have
a
financial
21
interest
if
the
annual
income
derived
from
the
22
investment
in
stocks,
bonds,
bills,
notes,
mortgages,
23
or
other
securities
offered
for
sale
through
recognized
24
financial
brokers
is
less
than
one
thousand
dollars.
25
Disclosures
required
under
this
rule
shall
be
as
26
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of
the
date
filed
unless
provided
to
the
contrary,
27
and
shall
be
amended
to
include
interests
and
changes
1
encompassed
by
this
rule
that
occur
while
the
general
2
assembly
is
in
session.
All
filings
under
this
rule
3
shall
be
open
to
public
inspection
in
the
office
of
the
4
secretary
of
the
senate
at
all
reasonable
times.
5
The
secretary
of
the
senate
shall
inform
the
ethics
6
committee
of
the
financial
statements
which
are
filed
7
and
shall
report
to
the
ethics
committee
the
names
8
of
any
senators
who
appear
not
to
have
filed
complete
9
financial
statements.
The
chairperson
of
the
ethics
10
committee
shall
request
in
writing
that
a
senator
who
11
has
failed
to
complete
the
report
financial
statement
12
or
appears
to
have
filed
an
incomplete
report
financial
13
statement
do
so
within
five
days,
and,
upon
the
failure
14
of
the
senator
to
comply,
the
ethics
committee
shall
15
require
the
senator
to
appear
before
the
committee.
16
BE
IT
FURTHER
RESOLVED,
That
the
Senate
Code
of
17
Ethics
for
the
Eighty-ninth
General
Assembly,
as
18
adopted
during
the
2021
Session
in
Senate
Resolution
1,
19
is
amended
by
adding
the
following
new
rule:
20
11A.
DISCLOSURE
REQUIRED
BY
CANDIDATES
FOR
SENATE.
21
Each
candidate
for
senate
shall
file
with
the
secretary
22
of
the
senate
within
fourteen
days
after
the
deadline
23
for
the
filing
of
nomination
papers
or
fourteen
days
24
after
the
nominating
convention,
as
applicable,
a
25
financial
statement
under
section
68B.35
on
forms
26
provided
by
the
secretary
of
the
senate
setting
forth
27
the
following
information:
28
The
nature
of
each
business
in
which
the
candidate
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for
senate
is
engaged
and
the
nature
of
the
business
30
of
each
company
in
which
the
candidate
for
senate
has
a
1
financial
interest.
A
candidate
for
senate
shall
not
2
be
required
to
file
a
financial
statement
or
be
assumed
3
to
have
a
financial
interest
if
the
annual
income
4
derived
from
the
investment
in
stocks,
bonds,
bills,
5
notes,
mortgages,
or
other
securities
offered
for
sale
6
through
recognized
financial
brokers
is
less
than
one
7
thousand
dollars.
8
Disclosures
required
under
this
rule
shall
be
for
9
the
year
preceding
the
year
in
which
the
election
is
to
10
be
held.
All
filings
under
this
rule
shall
be
open
to
11
public
inspection
in
the
office
of
the
secretary
of
the
12
senate
at
all
reasonable
times.
13
The
secretary
of
the
senate
shall
provide
14
information
to
persons
interested
in
becoming
15
candidates
for
senate
of
the
duty
to
file
financial
16
statements
under
this
rule
and
the
applicable
17
deadlines.
18
The
secretary
of
the
senate
shall
inform
the
ethics
19
committee
of
the
financial
statements
that
are
filed
20
and
shall
report
to
the
ethics
committee
the
names
21
of
any
candidates
for
senate
who
appear
not
to
have
22
filed
complete
financial
statements.
The
secretary
of
23
the
senate
shall
request
that
a
candidate
for
senate
24
who
has
failed
to
complete
the
financial
statement
25
or
appears
to
have
filed
an
incomplete
financial
26
report
to
do
so
within
five
days.
If
a
candidate
for
27
senate
does
not
file
a
complete
financial
statement
28
within
five
days,
the
candidate
shall
be
fined
fifty
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dollars,
payable
to
the
Iowa
senate
for
deposit
in
the
30
general
fund,
and
the
ethics
committee
may
require
the
1
candidate
to
appear
before
the
committee.
2
BE
IT
FURTHER
RESOLVED,
That
Rule
15
of
the
Senate
3
Code
of
Ethics
for
the
Eighty-ninth
General
Assembly,
4
as
adopted
during
the
2021
Session
in
Senate
Resolution
5
1,
is
amended
as
follows:
6
15.
COMPLAINTS.
Complaints
or
charges
against
any
7
senator
,
candidate
for
senate,
lobbyist,
or
any
client
8
of
a
lobbyist
shall
be
in
writing,
made
under
penalty
9
of
perjury,
and
filed
with
the
secretary
of
the
senate.
10
When
filed
with
the
secretary
of
the
senate,
the
11
secretary
shall
immediately
advise
the
chairperson
of
12
the
ethics
committee
of
the
receipt
of
the
complaint.
13
Complaint
forms
shall
be
available
from
the
14
secretary
of
the
senate,
or
the
chairperson
of
the
15
ethics
committee,
but
a
complaint
shall
not
be
rejected
16
for
failure
to
use
an
approved
form
if
the
complaint
17
substantially
complies
with
senate
requirements.
18
A
complainant
may
submit
exhibits
and
affidavits
19
attached
to
the
complaint.
20
BE
IT
FURTHER
RESOLVED,
That
Rule
16,
paragraph
21
“a”
of
the
Senate
Code
of
Ethics
for
the
Eighty-ninth
22
General
Assembly,
as
adopted
during
the
2021
Session
in
23
Senate
Resolution
1,
is
amended
as
follows:
24
a.
Persons
entitled.
Complaints
may
be
filed
by
25
any
person
believing
that
a
senator,
candidate
for
26
senate,
lobbyist,
or
client
of
a
lobbyist
has
violated
27
the
senate
ethics
code,
the
joint
rules
governing
28
lobbyists,
or
chapter
68B
,
as
applicable
.
A
violation
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of
the
criminal
law
may
be
considered
to
be
a
violation
30
of
this
code
of
ethics
if
the
violation
constitutes
a
1
serious
misdemeanor
or
greater,
or
a
repetitive
and
2
flagrant
violation
of
the
law.
3
BE
IT
FURTHER
RESOLVED,
That
Rule
19,
paragraph
4
“f”,
subparagraph
(2)
of
the
Senate
Code
of
Ethics
for
5
the
Eighty-ninth
General
Assembly,
as
adopted
during
6
the
2021
Session
in
Senate
Resolution
1,
is
amended
as
7
follows:
8
(2)
That
the
senator,
candidate
for
senate,
9
lobbyist,
or
client
of
a
lobbyist
be
censured
or
10
reprimanded,
and
recommend
the
appropriate
form
of
11
censure
or
reprimand.
12
BE
IT
FURTHER
RESOLVED,
That
Rule
20
of
the
Senate
13
Code
of
Ethics
for
the
Eighty-ninth
General
Assembly,
14
as
adopted
during
the
2021
Session
in
Senate
Resolution
15
1,
is
amended
as
follows:
16
20.
COMMITTEE
AUTHORIZED
TO
MEET.
The
senate
17
ethics
committee
is
authorized
to
meet
at
the
18
discretion
of
the
chairperson
to
conduct
hearings
and
19
other
business
that
properly
may
come
before
it.
If
20
the
committee
submits
a
report
seeking
senate
action
21
against
a
senator,
candidate
for
senate,
lobbyist,
or
22
client
of
a
lobbyist
after
the
second
regular
session
23
of
a
general
assembly
has
adjourned
sine
die,
the
24
report
shall
be
submitted
to
and
considered
by
the
25
subsequent
general
assembly.
However,
the
report
26
may
be
submitted
to
and
considered
during
any
special
27
session
which
may
take
place
after
the
second
regular
28
session
of
a
general
assembly
has
adjourned
sine
die,
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but
before
the
convening
of
the
next
general
assembly.
30
BE
IT
FURTHER
RESOLVED,
That
Rule
21,
paragraph
1
“b”
of
the
Senate
Code
of
Ethics
for
the
Eighty-ninth
2
General
Assembly,
as
adopted
during
the
2021
Session
in
3
Senate
Resolution
1,
is
amended
as
follows:
4
b.
Form
and
contents
of
requests.
A
request
for
5
a
formal
advisory
opinion
shall
be
in
writing
and
6
may
pertain
to
any
subject
matter
that
is
related
7
to
the
application
of
the
senate
code
of
ethics,
the
8
joint
rules
governing
lobbyists,
or
chapter
68B
to
9
any
person
who
is
subject
to
the
authority
of
the
10
ethics
committee.
Requests
shall
contain
one
or
11
more
specific
questions
and
shall
relate
either
to
12
future
conduct
or
be
stated
in
the
hypothetical.
A
13
request
for
an
advisory
opinion
shall
not
specifically
14
name
any
individual
or
contain
any
other
specific
15
identifying
information,
unless
the
request
relates
16
to
the
requester’s
own
conduct.
However,
any
request
17
may
contain
information
which
identifies
the
kind
18
of
individual
who
may
be
affected
by
the
subject
19
matter
of
the
request.
Examples
of
this
latter
kind
20
of
identifying
information
may
include
references
21
to
conduct
of
a
category
of
individuals,
such
as
but
22
not
limited
to
conduct
of
legislators,
legislative
23
staff,
candidates
for
senate,
lobbyists,
or
clients
of
24
lobbyists.
25
BE
IT
FURTHER
RESOLVED,
That
Rules
23,
24,
and
25
of
26
the
Senate
Code
of
Ethics
for
the
Eighty-ninth
General
27
Assembly,
as
adopted
during
the
2021
Session
in
Senate
28
Resolution
1,
are
amended
as
follows:
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23.
COMPLAINT
FILING
FORM.
The
following
form
30
shall
be
used
to
file
a
complaint
under
these
rules:
1
THE
SENATE
2
Ethics
Complaint
Form
3
Re:
______________________________
(Senator/
Candidate
4
for
Senate/
Lobbyist/Client
of
Lobbyist),
of
5
_____________________,
Iowa.
6
I,
________________________
(Complainant),
residing
7
at
____________________,
in
the
City
of
______________,
8
State
of
________________________,
hereby
complain
9
that
_____________________________
(Senator/
Candidate
10
for
Senate/
Lobbyist/Client
of
Lobbyist),
whose
address
11
is
___________________________________________,
has
12
violated
the
Senate
Code
of
Ethics,
chapter
68B,
or
13
Joint
Rules
Governing
Lobbyists
in
that:
14
(Explain
the
basis
for
the
complaint
here.
Use
15
additional
pages,
if
necessary.)
16
Under
penalty
of
perjury,
I
certify
that
the
above
17
complaint
is
true
and
correct
as
I
verily
believe.
18
___________________________
19
Signature
of
Complainant
20
SUBSCRIBED
AND
AFFIRMED
to
before
me
this
__________
21
day
of
________________________,
_______.
22
________________________________
23
Notary
Public
in
and
for
the
24
State
of
______________________
25
24.
COMPLAINT
NOTICE
FORM.
The
following
form
26
shall
be
used
for
notice
of
a
complaint
under
these
27
rules:
28
STATE
OF
IOWA
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THE
SENATE
30
COMMITTEE
ON
ETHICS
)
1
IOWA
STATE
SENATE
)
2
)
3
On
The
Complaint
Of
)
NOTICE
OF
COMPLAINT
4
)
5
___________________________
)
6
)
7
And
Involving
)
8
)
9
___________________________
)
10
)
11
TO
________________________________,
12
Senator
or
Candidate
for
Senate
or
Lobbyist
or
13
Client
of
Lobbyist
named
above:
14
You
are
hereby
notified
that
there
is
now
on
file
15
with
the
Secretary
of
the
Senate,
State
Capitol,
Des
16
Moines,
Iowa,
a
complaint
which
alleges
that
you
have
17
committed
a
violation
of
the
Senate’s
Code
of
Ethics,
18
chapter
68B,
or
Joint
Rules
Governing
Lobbyists.
19
A
copy
of
the
complaint
and
the
Senate
rules
for
20
processing
the
same
are
attached
hereto
and
made
a
part
21
of
this
notice.
22
You
are
further
notified
and
requested
to
file
your
23
written
answer
to
the
complaint
within
ten
days
of
the
24
date
upon
which
the
notice
was
caused
to
be
delivered
25
to
you,
(date)
________________________,
________.
26
Your
answer
is
to
be
filed
with
the
Secretary
of
the
27
Senate,
State
Capitol,
Des
Moines,
Iowa.
28
Dated
this
________
day
of
________________,
______.
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________________________________
30
Chairperson,
Senate
Ethics
1
Committee,
2
or
Secretary
of
the
Senate
3
25.
HEARING
NOTICE
FORM.
The
following
form
shall
4
be
used
for
notice
of
a
hearing
under
these
rules:
5
STATE
OF
IOWA
6
THE
SENATE
7
COMMITTEE
ON
ETHICS
)
8
IOWA
STATE
SENATE
)
9
)
10
On
The
Complaint
Of
)
NOTICE
OF
HEARING
11
)
12
___________________________
)
13
)
14
And
Involving
)
15
)
16
___________________________
)
17
)
18
TO
________________________________,
19
Senator
or
Candidate
for
Senate
or
Lobbyist
or
20
Client
of
Lobbyist
named
above:
21
You
are
hereby
notified
that
there
is
now
on
file
22
with
the
Secretary
of
the
Senate,
State
Capitol,
Des
23
Moines,
Iowa,
a
complaint
which
alleges
that
you
have
24
committed
a
violation
of
the
Senate’s
Code
of
Ethics,
25
chapter
68B,
or
Joint
Rules
Governing
Lobbyists.
26
A
copy
of
the
complaint
and
the
Senate
rules
for
27
processing
the
same
are
attached
hereto
and
made
a
part
28
of
this
notice.
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You
are
further
notified
that,
after
preliminary
30
review,
the
committee
has
caused
a
public
hearing
to
be
1
scheduled
on
(date)___________________,
________,
at
2
(hour)
___________
(a.m.)
(p.m.),
in
Room
____,
State
3
Capitol,
Des
Moines,
Iowa.
4
At
the
hearing,
you
will
have
the
right
to
appear
5
in
person,
be
represented
by
legal
counsel
at
your
own
6
expense,
present
statements
and
evidence,
and
examine
7
and
cross-examine
witnesses.
The
committee
shall
8
not
be
bound
by
formal
rules
of
evidence,
but
shall
9
receive
relevant
evidence,
subject
to
limitations
on
10
repetitiveness.
Any
evidence
taken
shall
be
under
11
oath.
12
The
committee
may
continue
the
hearing
to
a
future
13
date
if
necessary
for
appropriate
reasons
or
purposes.
14
You
are
further
notified
that
the
committee
will
15
receive
such
evidence
and
take
such
action
as
warranted
16
by
the
evidence.
17
Dated
this
_____
day
of
________________,
______.
18
________________________________
19
Chairperson,
Senate
Ethics
20
Committee,
21
or
Secretary
of
the
Senate
22
-10-
SR
101
(3)
89
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