Bill Text: IA SR4 | 2015-2016 | 86th General Assembly | Introduced
Bill Title: A resolution relating to the Senate Code of Ethics governing the conduct of members of the Senate in relation to their senatorial duties during the Eighty-sixth General Assembly. (Formerly SSB 1070.)
Spectrum: Committee Bill
Status: (Introduced - Dead) 2015-02-04 - Resolution adopted. S.J. 218. [SR4 Detail]
Download: Iowa-2015-SR4-Introduced.html
Senate Resolution 4 - Introduced PAG LIN SENATE RESOLUTION NO. BY COMMITTEE ON ETHICS 1 1 A Resolution relating to the Senate Code of Ethics 1 2 governing the conduct of members of the Senate in 1 3 relation to their senatorial duties during the 1 4 Eighty=sixth General Assembly. 1 5 BE IT RESOLVED BY THE SENATE, That the Senate Code 1 6 of Ethics for theEighty=fifthEighty=sixth General 1 7 Assembly shall be amended to read as follows: 1 8 SENATE CODE OF ETHICS 1 9 PREAMBLE. Every legislator owes a duty to uphold 1 10 the integrity and honor of the general assembly, to 1 11 encourage respect for the law and for the general 1 12 assembly and the members thereof, and to observe the 1 13 legislative code of ethics. 1 14 In doing so, members of the senate have a duty to 1 15 conduct themselves so as to reflect credit on the 1 16 general assembly, and to inspire the confidence, 1 17 respect, and trust of the public, and to strive to 1 18 avoid both unethical and illegal conduct and the 1 19 appearance of unethical and illegal conduct. 1 20 Recognizing that service in the Iowa general 1 21 assembly is a part=time endeavor and that members of 1 22 the general assembly are honorable individuals who 1 23 are active in the affairs of their localities and 1 24 elsewhere and that it is necessary that they maintain 1 25 a livelihood and source of income apart from their 1 26 legislative compensation, the following rules are 1 27 adopted pursuant to section 68B.31, to assist the 2 1 members in the conduct of their legislative affairs. 2 2 1. ECONOMIC INTEREST OF SENATOR. Taking into 2 3 account that legislative service is part=time, a 2 4 senator shall not accept economic or investment 2 5 opportunity, under circumstances where the senator 2 6 knows, or should know, that there is a reasonable 2 7 possibility that the opportunity is being afforded the 2 8 senator with intent to influence the senator's conduct 2 9 in the performance of official duties. 2 10 2. DIVESTITURE. Where a senator learns that 2 11 an economic or investment opportunity previously 2 12 accepted was offered with the intent of influencing 2 13 the senator's conduct in the performance of official 2 14 duties, the senator shall take steps to divest that 2 15 senator of that investment or economic opportunity, and 2 16 shall report the facts of the situation to the senate 2 17 ethics committee. 2 18 3. CHARGES FOR SERVICES. A senator shall not 2 19 charge to or accept from a person, corporation, 2 20 partnership, or association known to have a legislative 2 21 interest a price, fee, compensation, or other 2 22 consideration for the sale or lease of any property or 2 23 the furnishing of services which is in excess of that 2 24 which the senator would charge another. 2 25 4. USE OF CONFIDENTIAL INFORMATION. A senator in 2 26 order to further the senator's own economic or other 2 27 interests, or those of any other person, shall not 2 28 disclose or use confidential information acquired in 2 29 the course of official duties. 2 30 5. HONORARIA. A senator shall not accept an 3 1 honorarium from a restricted donor for a speech, 3 2 writing for publication, or other similar activity, 3 3 except as otherwise provided in section 68B.23. 3 4 6. EMPLOYMENT. A senator shall not accept 3 5 employment, either directly or indirectly, from a 3 6 political action committee or from an organization 3 7 exempt from taxation under section 501(c)(4), 3 8 501(c)(6), or 527 of the Internal Revenue Code that 3 9 engages in activities related to the nomination, 3 10 election, or defeat of a candidate for public office. 3 11 A senator may accept employment from a political 3 12 party, but shall disclose the employment relationship 3 13 in writing to the secretary of the senate within ten 3 14 days after the beginning of each legislative session. 3 15 If a senator accepts employment from a political 3 16 party during a legislative session, the senator shall 3 17 disclose the employment relationship within ten days 3 18 after acceptance of the employment. 3 19 For the purpose of this rule, a political action 3 20 committee means a committee, but not a candidate's 3 21 committee, which accepts contributions, makes 3 22 expenditures, or incurs indebtedness in the aggregate 3 23 of more than seven hundred fifty dollars in any one 3 24 calendar year to expressly advocate the nomination, 3 25 election, or defeat of a candidate for public office 3 26 or to expressly advocate the passage or defeat of 3 27 a ballot issue or influencing legislative action, 3 28 or an association, lodge, society, cooperative, 3 29 union, fraternity, sorority, educational institution, 3 30 civic organization, labor organization, religious 4 1 organization, or professional organization which makes 4 2 contributions in the aggregate of more than seven 4 3 hundred fifty dollars in any one calendar year to 4 4 expressly advocate the nomination, election, or defeat 4 5 of a candidate for public office or ballot issue or 4 6 influencing legislative action. 4 7 7. ECONOMIC INTERESTS OF LOBBYIST. With the 4 8 exception of exercising unfettered discretion in 4 9 supporting or refusing to support proposed legislation, 4 10 a senator shall not take action intended to affect the 4 11 economic interests of a lobbyist or citizen supporting 4 12 or opposing proposed legislation. 4 13 8. APPEARANCE BEFORE GOVERNMENTAL AGENCY. A 4 14 senator may appear before a governmental agency or 4 15 board in any representation case, except that the 4 16 senator shall not act as a lobbyist. Whenever a 4 17 senator appears before a governmental agency or board, 4 18 the senator shall carefully avoid all conduct which 4 19 might in any way lead members of the general public 4 20 to conclude that the senator is using the senator's 4 21 official position to further the senator's professional 4 22 success or personal financial interest. 4 23 9. CONFLICTS OF INTERESTS. In order to permit the 4 24 general assembly to function effectively, a senator 4 25 will sometimes be required to vote on bills and 4 26 participate in committee work which will affect the 4 27 senator's employment and other monetary interests. In 4 28 making a decision relative to the senator's activity on 4 29 given bills or committee work which are subject to the 4 30 code, the following factors shall be considered: 5 1 a. Whether a substantial threat to the senator's 5 2 independence of judgment has been created by the 5 3 conflict situation. 5 4 b. The effect of the senator's participation on 5 5 public confidence in the integrity of the legislature. 5 6 c. The need for the senator's particular 5 7 contribution, such as special knowledge of the 5 8 subject matter, to the effective functioning of the 5 9 legislature. 5 10 A senator with a conflict of interest may 5 11 participate in floor debate if prior to debate the 5 12 senator indicates the conflict of interest. 5 13 10. GIFTS. Except as otherwise provided in section 5 14 68B.22, a senator, or that person's immediate family 5 15 member, shall not, directly or indirectly, accept or 5 16 receive any gift or series of gifts from a restricted 5 17 donor. 5 18 11. DISCLOSURE REQUIRED. Each senator shall file 5 19 with the secretary of the senate within ten days after 5 20 the adoption of the code of ethics by the senate, and 5 21 within ten days after the convening of the second 5 22 session of the general assembly, a statement under 5 23 section 68B.35 on forms provided by the secretary of 5 24 the senate setting forth the following information: 5 25 The nature of each business in which the senator 5 26 is engaged and the nature of the business of each 5 27 company in which the senator has a financial interest. 5 28 A senator shall not be required to file a report or 5 29 be assumed to have a financial interest if the annual 5 30 income derived from the investment in stocks, bonds, 6 1 bills, notes, mortgages, or other securities offered 6 2 for sale through recognized financial brokers is less 6 3 than one thousand dollars. 6 4 Disclosures required under this rule shall be as 6 5 of the date filed unless provided to the contrary, 6 6 and shall be amended to include interests and changes 6 7 encompassed by this rule that occur while the general 6 8 assembly is in session. All filings under this rule 6 9 shall be open to public inspection in the office of the 6 10 secretary of the senate at all reasonable times. 6 11 The secretary of the senate shall inform the 6 12 ethics committee of the statements which are filed 6 13 and shall report to the ethics committee the names of 6 14 any senators who appear not to have filed complete 6 15 statements. The chairperson of the ethics committee 6 16 shall request in writing that a senator who has failed 6 17 to complete the report or appears to have filed an 6 18 incomplete report do so within five days, and, upon 6 19 the failure of the senator to comply, the ethics 6 20 committee shall require the senator to appear before 6 21 the committee. 6 22 12. STATUTORY VIOLATIONS. Members of the general 6 23 assembly are urged to familiarize themselves with 6 24 chapters 68B, 721, and 722. 6 25 13. CHARGE ACCOUNTS. Senators shall not charge any 6 26 amount or item to any charge account to be paid for by 6 27 any lobbyist or any client the lobbyist represents. 6 28 14. TRAVEL EXPENSES. A senator shall not charge 6 29 to the state of Iowa amounts for travel and expenses 6 30 unless the senator actually has incurred those mileage 7 1 and expense costs. Senators shall not file the 7 2 vouchers for weekly mileage reimbursement required 7 3 by section 2.10, subsection 1, unless the travel 7 4 was actually incurred at commensurate expense to the 7 5 senator. 7 6 15. COMPLAINTS. Complaints or charges against 7 7 any senator or any lobbyist shall be in writing, made 7 8 under oath, and filed with the secretary of the senate 7 9 or the chairperson of the ethics committee. If filed 7 10 with the secretary of the senate, the secretary shall 7 11 immediately advise the chairperson of the ethics 7 12 committee of the receipt of the complaint. 7 13 Complaint forms shall be available from the 7 14 secretary of the senate, or the chairperson of the 7 15 ethics committee, but a complaint shall not be rejected 7 16 for failure to use an approved form if the complaint 7 17 substantially complies with senate requirements. 7 18 A complainant may submit exhibits and affidavits 7 19 attached to the complaint. 7 20 16. FILING OF COMPLAINTS. 7 21 a. Persons entitled. Complaints may be filed by any 7 22 person believing that a senator, lobbyist, or client 7 23 of a lobbyist has violated the senate ethics code, 7 24 the joint rules governing lobbyists, or chapter 68B 7 25 of the Iowa Code. A violation of the criminal law may 7 26 be considered to be a violation of this code of ethics 7 27 if the violation constitutes a serious misdemeanor or 7 28 greater, or a repetitive and flagrant violation of the 7 29 law. 7 30 b. Committee complaint. The ethics committee 8 1 may, upon its own motion, initiate a complaint, 8 2 investigation, or disciplinary action. 8 3 c. Timeliness of filing. A complaint will be 8 4 considered to be timely filed if it is filed within 8 5 three years of the occurrence of the alleged violation 8 6 of the ethics code. 8 7 17. PERMANENT RECORD. The secretary of the senate 8 8 shall maintain a permanent record of all complaints 8 9 filed, evidence received by the committee, and any 8 10 transcripts or other recordings made of committee 8 11 proceedings, including a separate card file containing 8 12 the date filed, name and address of the complainant, 8 13 name and address of the respondent, a brief statement 8 14 of the charges made, and ultimate disposition of 8 15 the complaint. The secretary shall keep each such 8 16 complaint confidential until public disclosure is made 8 17 by the ethics committee. 8 18 18. PREHEARING PROCEDURE. 8 19 a. Defective complaint. Upon receipt of a 8 20 complaint, the chairperson and ranking member of the 8 21 ethics committee shall determine whether the complaint 8 22 substantially complies with the requirements of this 8 23 code of ethics and section 68B.31, subsection 6. If 8 24 the complaint does not substantially comply with 8 25 the requirements for formal sufficiency under the 8 26 code of ethics, the complaint may be returned to the 8 27 complainant with a statement that the complaint is not 8 28 in compliance with the code and a copy of the code. If 8 29 the complainant fails to amend the complaint to comply 8 30 with the code within a reasonable time, the chairperson 9 1 and ranking member may dismiss the complaint with 9 2 prejudice for failure to prosecute. 9 3 b. Service of complaint on respondent. Upon 9 4 receipt of any complaint substantially complying 9 5 with the requirements of this code of ethics, the 9 6 chairperson of the ethics committee shall cause a copy 9 7 of the complaint and any supporting information to be 9 8 delivered promptly to the respondent, requesting a 9 9 written response to be filed within ten days. At the 9 10 time delivery is made to the respondent, delivery of 9 11 copies of the complaint and any supporting information 9 12 shall be made to legislative staff assigned to the 9 13 ethics committee. The response may do any of the 9 14 following: 9 15 (1) Admit or deny the allegation or allegations. 9 16 (2) Object that the allegation fails to allege a 9 17 violation of chapter 68B or the code of ethics. 9 18 (3) Object to the jurisdiction of the committee. 9 19 (4) Request a more specific statement of the 9 20 allegation or allegations. 9 21 c. Objection to member. In addition to the 9 22 items which may be included in a response pursuant 9 23 to paragraph "b", the response may also include an 9 24 objection to the participation of any member of the 9 25 committee in the consideration of the allegation or 9 26 allegations on the grounds that the member cannot 9 27 render an impartial and unbiased decision. 9 28 d. Extension of time. At the request of the 9 29 respondent and upon a showing of good cause, the 9 30 committee, or the chairperson and ranking member, 10 1 may extend the time for response, not to exceed ten 10 2 additional days. 10 3 e. Confidentiality. If a complaint is not 10 4 otherwise made public, the members of the committee 10 5 and legislative staff assigned to the ethics 10 6 committee shall treat the complaint and all supporting 10 7 information as confidential until the written response 10 8 is received from the respondent. 10 9 f. Communications with ethics committee. After a 10 10 complaint has been filed or an investigation has been 10 11 initiated, a party to the complaint or investigation 10 12 shall not communicate, or cause another to communicate, 10 13 as to the merits of the complaint or investigation with 10 14 a member of the committee, except under the following 10 15 circumstances: 10 16 (1) During the course of any meetings or other 10 17 official proceedings of the committee regarding the 10 18 complaint or investigation. 10 19 (2) In writing, if a copy of the writing is 10 20 delivered to the adverse party or the designated 10 21 representative for the adverse party. 10 22 (3) Orally, if adequate prior notice of the 10 23 communication is given to the adverse party or the 10 24 designated representative for the adverse party. 10 25 (4) As otherwise authorized by statute, the senate 10 26 code of ethics, the joint rules governing lobbyists, or 10 27 vote of the committee. 10 28 g. Scheduling hearing. Upon receipt of the 10 29 response, the committee shall schedule a public meeting 10 30 to review the complaint and available information, and 11 1 shall do one of the following: 11 2 (1) Notify the complainant that no further 11 3 action will be taken, unless further substantiating 11 4 information is produced. 11 5 (2) Dismiss the complaint for failure to meet the 11 6 statutory and code of ethics requirements for valid 11 7 complaints. 11 8 (3) Take action on the complaint without requesting 11 9 the appointment of an independent special counsel 11 10 if the committee determines the complaint is valid 11 11 and determines no dispute exists between the parties 11 12 regarding the material facts that establish a 11 13 violation. The committee may do any of the following: 11 14 (a) Issue an admonishment to advise against the 11 15 conduct that formed the basis for the complaint and to 11 16 exercise care in the future. 11 17 (b) Issue an order to cease and desist the conduct 11 18 that formed the basis for the complaint. 11 19 (c) Make a recommendation to the senate that 11 20 the person subject to the complaint be censured or 11 21 reprimanded. 11 22 (4) Request that the chief justice of the supreme 11 23 court appoint an independent special counsel to conduct 11 24 an investigation of the complaint and supporting 11 25 information, to make a determination of probable cause, 11 26 and to report the findings to the committee, which 11 27 shall be received within a reasonable time. 11 28 h. Public hearing. If independent special counsel 11 29 is appointed, upon receipt of the report of independent 11 30 special counsel's findings, the committee shall 12 1 schedule a public meeting to review the report and 12 2 shall do either of the following: 12 3 (1) Cause the complaint to be scheduled for a 12 4 public hearing. 12 5 (2) Dismiss the complaint based upon a 12 6 determination by independent special counsel and the 12 7 committee that insufficient evidence exists to support 12 8 a finding of probable cause. 12 9 19. HEARING PROCEDURE. 12 10 a. Notice of hearing. If the committee causes a 12 11 complaint to be scheduled for a public hearing, notice 12 12 of the hearing date and time shall be given to the 12 13 complainant and respondent in writing, and of the 12 14 respondent's right to appear in person, be represented 12 15 by legal counsel, present statements and evidence, and 12 16 examine and cross=examine witnesses. The committee 12 17 shall not be bound by formal rules of evidence, but 12 18 shall receive relevant evidence, subject to limitations 12 19 on repetitiveness. Any evidence taken shall be under 12 20 oath. 12 21 b. Subpoena power. The committee may require, by 12 22 subpoena or otherwise, the attendance and testimony of 12 23 witnesses and the production of such books, records, 12 24 correspondence, memoranda, papers, documents, and any 12 25 other things it deems necessary to the conduct of the 12 26 inquiry. 12 27 c. Ex post facto. An investigation shall not be 12 28 undertaken by the committee of a violation of a law, 12 29 rule, or standard of conduct that is not in effect at 12 30 the time of violation. 13 1 d. Disqualification of member. Members of the 13 2 committee may disqualify themselves from participating 13 3 in any investigation of the conduct of another person 13 4 upon submission of a written statement that the member 13 5 cannot render an impartial and unbiased decision 13 6 in a case. A member may also be disqualified by a 13 7 unanimous vote of the remaining eligible members of the 13 8 committee. 13 9 A member of the committee is ineligible to 13 10 participate in committee meetings, as a member of the 13 11 committee, in any proceeding relating to the member's 13 12 own official conduct. 13 13 If a member of the committee is disqualified or 13 14 ineligible to act, the majority or minority leader who 13 15 appointed the member shall appoint a replacement member 13 16 to serve as a member of the committee during the period 13 17 of disqualification or ineligibility. 13 18 e. Hearing. At the hearing, the chairperson shall 13 19 open the hearing by stating the charges, the purpose of 13 20 the hearing, and its scope. The burden of proof rests 13 21 upon the complainant to establish the facts as alleged, 13 22 by clear and convincing evidence. However, questioning 13 23 of witnesses shall be conducted by the members of the 13 24 committee, by independent special counsel, or by a 13 25 senator. The chairperson shall also permit questioning 13 26 by legal counsel representing the complainant or 13 27 respondent. 13 28 The chairperson or other member of the committee 13 29 presiding at a hearing shall rule upon procedural 13 30 questions or any question of admissibility of evidence 14 1 presented to the committee. Rulings may be reversed by 14 2 a majority vote of the committee members present. 14 3 The committee may continue the hearing to a future 14 4 date if necessary for appropriate reasons or purposes. 14 5 f. Committee action. Upon receipt of all relevant 14 6 evidence and arguments, the committee shall consider 14 7 the same and recommend to the senate any of the 14 8 following: 14 9 (1) That the complaint be dismissed. 14 10 (2) That the senator, lobbyist, or client of a 14 11 lobbyist be censured or reprimanded, and recommend the 14 12 appropriate form of censure or reprimand. 14 13 (3) Any other appropriate sanction, including 14 14 suspension or expulsion from membership in the senate, 14 15 or suspension of lobbying privileges. 14 16 g. Disposition resolution. By appropriate 14 17 resolution, the senate may amend, adopt, or reject 14 18 the report of the ethics committee, including the 14 19 committee's recommendations regarding disciplinary 14 20 action. 14 21 20. COMMITTEE AUTHORIZED TO MEET. The senate 14 22 ethics committee is authorized to meet at the 14 23 discretion of the chairperson to conduct hearings and 14 24 other business that properly may come before it. If 14 25 the committee submits a report seeking senate action 14 26 against a senator, lobbyist, or client of a lobbyist 14 27 after the second regular session of a general assembly 14 28 has adjourned sine die, the report shall be submitted 14 29 to and considered by the subsequent general assembly. 14 30 However, the report may be submitted to and considered 15 1 during any special session which may take place after 15 2 the second regular session of a general assembly has 15 3 adjourned sine die, but before the convening of the 15 4 next general assembly. 15 5 21. ADVISORY OPINIONS. 15 6 a. Requests for formal opinions. A request for a 15 7 formal advisory opinion may be filed by any person who 15 8 is subject to the authority of the ethics committee. 15 9 The ethics committee may also issue a formal advisory 15 10 opinion on its own motion, without having previously 15 11 received a formal request for an opinion, on any issue 15 12 that is within the jurisdiction of the committee. 15 13 Requests shall be filed with either the secretary of 15 14 the senate or the chairperson of the ethics committee. 15 15 b. Form and contents of requests. A request for 15 16 a formal advisory opinion shall be in writing and 15 17 may pertain to any subject matter that is related 15 18 to the application of the senate code of ethics, the 15 19 joint rules governing lobbyists, or chapter 68B of the 15 20 Code to any person who is subject to the authority of 15 21 the ethics committee. Requests shall contain one or 15 22 more specific questions and shall relate either to 15 23 future conduct or be stated in the hypothetical. A 15 24 request for an advisory opinion shall not specifically 15 25 name any individual or contain any other specific 15 26 identifying information, unless the request relates 15 27 to the requester's own conduct. However, any request 15 28 may contain information which identifies the kind 15 29 of individual who may be affected by the subject 15 30 matter of the request. Examples of this latter kind 16 1 of identifying information may include references to 16 2 conduct of a category of individuals, such as but not 16 3 limited to conduct of legislators, legislative staff, 16 4 lobbyists, or clients of lobbyists. 16 5 c. Confidentiality of formal requests and opinions. 16 6 Requests for formal opinions are not confidential and 16 7 any deliberations of the committee regarding a request 16 8 for a formal opinion shall be public. Opinions issued 16 9 in response to requests for formal opinions are not 16 10 confidential, shall be in writing, and shall be placed 16 11 on file in the office of the secretary of the senate. 16 12 Persons requesting formal opinions shall personally 16 13 receive a copy of the written formal opinion that is 16 14 issued in response to the request. 16 15 22. CALCULATION OF TIME ==== DAYS. For purposes of 16 16 these rules, unless the context otherwise requires, 16 17 the word "day" or "days" shall mean a calendar day 16 18 except that if the day is the last day of a specific 16 19 time period and falls upon a Saturday, Sunday, or legal 16 20 holiday, the time prescribed shall be extended so as to 16 21 include the whole of the next day in which the offices 16 22 of the senate and the general assembly are open for 16 23 official business. 16 24 23. COMPLAINT FILING FORM. The following form 16 25 shall be used to file a complaint under these rules: 16 26 THE SENATE 16 27 Ethics Complaint Form 16 28 Re: ______________________________ 16 29 (Senator/Lobbyist/Client of Lobbyist), of 16 30 _____________________, Iowa. 17 1 I, ________________________ (Complainant), 17 2 residing at ____________________, in the City of 17 3 ______________, State of ________________________, 17 4 hereby complain that _____________________________ 17 5 (Senator/Lobbyist/Client of Lobbyist), whose address 17 6 is ___________________________________________, has 17 7 violated the Senate Code of Ethics or Joint Rules 17 8 Governing Lobbyists in that: 17 9 (Explain the basis for the complaint here. Use 17 10 additional pages, if necessary.) 17 11 Under penalty of perjury, I certify that the above 17 12 complaint is true and correct as I verily believe. 17 13 ___________________________ 17 14 Signature of Complainant 17 15 SUBSCRIBED AND AFFIRMED to before me this __________ 17 16 day of ________________________, _______. 17 17 ________________________________ 17 18 Notary Public in and for the 17 19 State of ______________________ 17 20 24. COMPLAINT NOTICE FORM. The following form 17 21 shall be used for notice of a complaint under these 17 22 rules: 17 23 STATE OF IOWA 17 24 THE SENATE 17 25 COMMITTEE ON ETHICS ) 17 26 IOWA STATE SENATE ) 17 27 ) 17 28 On The Complaint Of ) NOTICE OF COMPLAINT 17 29 ) 17 30 ___________________________ ) 18 1 ) 18 2 And Involving ) 18 3 ) 18 4 ___________________________ ) 18 5 ) 18 6 TO ________________________________, 18 7 Senator or Lobbyist or Client of Lobbyist named 18 8 above: 18 9 You are hereby notified that there is now on file 18 10 with the Secretary of the Senate, State Capitol, Des 18 11 Moines, Iowa, a complaint which alleges that you have 18 12 committed a violation of the Senate's Code of Ethics or 18 13 Joint Rules Governing Lobbyists. 18 14 A copy of the complaint and the Senate rules for 18 15 processing the same are attached hereto and made a part 18 16 of this notice. 18 17 You are further notified and requested to file your 18 18 written answer to the complaint within ten days of the 18 19 date upon which the notice was caused to be delivered 18 20 to you, (date) ________________________, ________. 18 21 Your answer is to be filed with the Secretary of the 18 22 Senate, State Capitol, Des Moines, Iowa. 18 23 Dated this ________ day of ________________, ______. 18 24 ________________________________ 18 25ChairChairperson, Senate Ethics 18 26 Committee, 18 27 or Secretary of the Senate 18 28 25. HEARING NOTICE FORM. The following form shall 18 29 be used for notice of a hearing under these rules: 18 30 STATE OF IOWA 19 1 THE SENATE 19 2 COMMITTEE ON ETHICS ) 19 3 IOWA STATE SENATE ) 19 4 ) 19 5 On The Complaint Of ) NOTICE OF HEARING 19 6 ) 19 7 ___________________________ ) 19 8 ) 19 9 And Involving ) 19 10 ) 19 11 ___________________________ ) 19 12 ) 19 13 TO ________________________________, 19 14 Senator or Lobbyist or Client of Lobbyist named 19 15 above: 19 16 You are hereby notified that there is now on file 19 17 with the Secretary of the Senate, State Capitol, Des 19 18 Moines, Iowa, a complaint which alleges that you have 19 19 committed a violation of the Senate's Code of Ethics or 19 20 Joint Rules Governing Lobbyists. 19 21 A copy of the complaint and the Senate rules for 19 22 processing the same are attached hereto and made a part 19 23 of this notice. 19 24 You are further notified that, after preliminary 19 25 review, the committee has caused a public hearing to be 19 26 scheduled on (date)___________________, ________, at 19 27 (hour) ___________ (a.m.) (p.m.), in Room ____, State 19 28 Capitol, Des Moines, Iowa. 19 29 At the hearing, you will have the right to appear 19 30 in person, be represented by legal counsel at your own 20 1 expense, present statements and evidence, and examine 20 2 and cross=examine witnesses. The committee shall 20 3 not be bound by formal rules of evidence, but shall 20 4 receive relevant evidence, subject to limitations on 20 5 repetitiveness. Any evidence taken shall be under 20 6 oath. 20 7 The committee may continue the hearing to a future 20 8 date if necessary for appropriate reasons or purposes. 20 9 You are further notified that the committee will 20 10 receive such evidence and take such action as warranted 20 11 by the evidence. 20 12 Dated this _____ day of ________________, ______. 20 13 ________________________________ 20 14ChairChairperson, Senate Ethics 20 15 Committee, 20 16 or Secretary of the Senate 20 17 26. PERSONAL FINANCIAL DISCLOSURE FORM. The 20 18 following form shall be used for disclosure of economic 20 19 interests under these rules and section 68B.35: 20 20 STATEMENT OF ECONOMIC INTERESTS 20 21 Name:________________________________________________ 20 22 (Last) (First) (Middle Initial) 20 23 Address:_____________________________________________ 20 24 (Street Address, Apt.#/P.O. Box) 20 25 ______________________________________________ 20 26 (City) (State) (Zip) 20 27 Phone:(Home) ____/____=_____(Business) ____/____=_____ 20 28 ****************************************************** 20 29 a. Please list each business, occupation, or 20 30 profession in which you are engaged. In listing 21 1 the business, occupation, or profession, it is 21 2 not necessary that your employer or the name of 21 3 the business be listed, although all businesses, 21 4 occupations, or professions must be listed, regardless 21 5 of the amount of income derived or time spent 21 6 participating in the activity. (Examples of types 21 7 of businesses, occupations, or professions that may 21 8 be listed: teacher, lawyer, legislator, real estate 21 9 agent, insurance adjuster, salesperson....) 21 10 (1) __________________________________________________ 21 11 (2) __________________________________________________ 21 12 (3) __________________________________________________ 21 13 (4) __________________________________________________ 21 14 (5) __________________________________________________ 21 15 b. Please list the nature of each of the 21 16 businesses, occupations, or professions which you 21 17 listed in paragraph "a", above, unless the nature of 21 18 the business, occupation, or profession is already 21 19 apparent from the information indicated above. The 21 20 descriptions in this paragraph should correspond by 21 21 number to the numbers for each of the businesses, 21 22 occupations, or professions listed in paragraph "a". 21 23 (Examples: If you indicated, for example, that you 21 24 were a salesperson in subparagraph (1) of paragraph 21 25 "a", you should list in subparagraph (1) of this 21 26 paragraph the types of goods or services sold in this 21 27 item. If you indicated that you were a teacher in 21 28 subparagraph (2) of paragraph "a", you should indicate 21 29 in subparagraph (2) of this paragraph the type of 21 30 school or institution in which you provide instruction 22 1 or whether the instruction is provided on a private 22 2 basis. If you indicated that you were a lawyer in 22 3 subparagraph (3) of paragraph "a", you should indicate 22 4 your areas of practice and whether you are in private, 22 5 corporate, or government practice in subparagraph (3) 22 6 of this paragraph. If you indicated in subparagraph 22 7 (4) of paragraph "a" that you were a consultant, in 22 8 subparagraph (4) of this paragraph you should indicate 22 9 the kind of services provided and types of clients 22 10 served.) 22 11 (1) __________________________________________________ 22 12 (2) __________________________________________________ 22 13 (3) __________________________________________________ 22 14 (4) __________________________________________________ 22 15 (5) __________________________________________________ 22 16 c. Please list each source, by general description, 22 17 from which you receive, or which generates, more than 22 18 one thousand dollars in gross annual income in the 22 19 categories listed below. For purposes of this item, 22 20 a source produces gross annual income if the revenue 22 21 produced by the source is subject to federal or state 22 22 income taxes. In completing this item, it is not 22 23 necessary to list the name of the company, business, 22 24 financial institution, corporation, partnership, or 22 25 other entity which constitutes the source of the income 22 26 and the amount or value of the holding should not be 22 27 listed. 22 28 (1) Securities (Here for example, you need not 22 29 state that you own X number of shares of any specific 22 30 company by brand or corporate name, or that the stock 23 1 is of a certain value, but may instead state that you 23 2 possess stock in a company and indicate the nature of 23 3 the company's business.): 23 4 ______________________________________________________ 23 5 ______________________________________________________ 23 6 ______________________________________________________ 23 7 ______________________________________________________ 23 8 ______________________________________________________ 23 9 (2) Instruments of Financial Institutions (You 23 10 need not indicate, for example, in which institutions 23 11 you hold certificates of deposit that produce annual 23 12 income over the one thousand dollar threshold, but 23 13 simply listing the nature of the institution will 23 14 suffice, e.g., bank, credit union, or savings and loan 23 15 association.): 23 16 ______________________________________________________ 23 17 ______________________________________________________ 23 18 ______________________________________________________ 23 19 ______________________________________________________ 23 20 ______________________________________________________ 23 21 (3) Trusts (The name of the particular trust need 23 22 not be listed. However, if the income is received 23 23 from a charitable trust/foundation, such as the Pugh 23 24 Charitable Trust, in the form of a grant, the fact that 23 25 the trust is a charitable trust should be noted here.): 23 26 ______________________________________________________ 23 27 ______________________________________________________ 23 28 ______________________________________________________ 23 29 ______________________________________________________ 23 30 ______________________________________________________ 24 1 (4) Real Estate (When listing real estate, it is 24 2 not necessary to list the location of the property, but 24 3 the general nature of the real estate interest should 24 4 be indicated, e.g., residential leasehold interest or 24 5 farm leasehold interest.): 24 6 ______________________________________________________ 24 7 ______________________________________________________ 24 8 ______________________________________________________ 24 9 ______________________________________________________ 24 10 ______________________________________________________ 24 11 (5) Retirement Systems (When listing retirement 24 12 benefits, it is not necessary to list the name of 24 13 the particular pension system or company, but rather 24 14 the type of benefit should be listed, e.g., health 24 15 benefits, life insurance benefits, private pension, or 24 16 government pension.): 24 17 ______________________________________________________ 24 18 ______________________________________________________ 24 19 ______________________________________________________ 24 20 ______________________________________________________ 24 21 ______________________________________________________ 24 22 (6) Other Income Categories Specified in State or 24 23 Federal Income Tax Regulations (List description of 24 24 other sources of income producing over one thousand 24 25 dollars in annual income not previously reported above, 24 26 but which must be reported for income tax purposes.): 24 27 ______________________________________________________ 24 28 ______________________________________________________ 24 29 ______________________________________________________ 24 30 ______________________________________________________ 25 1 ______________________________________________________ 25 2 ______________________________________________________ 25 3 _______________________________ ___________________ 25 4 (Signature of filer) (Date) LSB 1425SV (2) 86 tm/rj
