Bill Text: IA SR3 | 2011-2012 | 84th General Assembly | Amended
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-fourth General Assembly. (Formerly SSB 1002.)
Spectrum: Committee Bill
Status: (Introduced - Dead) 2011-12-31 - END OF 2011 ACTIONS [SR3 Detail]
Download: Iowa-2011-SR3-Amended.html
Senate
Resolution
3
-
Reprinted
SENATE
RESOLUTION
NO.
3
BY
COMMITTEE
ON
ETHICS
(SUCCESSOR
TO
SSB
1002)
(As
Amended
and
Passed
by
the
Senate
February
3,
2011
)
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
Eighty-fourth
General
Assembly.
4
BE
IT
RESOLVED
BY
THE
SENATE,
That
the
Senate
Code
5
of
Ethics
for
the
Eighty-third
Eighty-fourth
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
14
to
conduct
themselves
so
as
to
reflect
credit
on
15
the
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
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legislative
compensation,
the
following
rules
are
26
adopted
pursuant
to
section
68B.31,
to
assist
the
27
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
senator’s
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
senator’s
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
senator’s
own
economic
or
other
26
interests,
or
those
of
any
other
person,
shall
not
27
disclose
or
use
confidential
information
acquired
in
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the
course
of
official
duties.
29
5.
HONORARIA.
A
senator
shall
not
accept
an
30
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
candidate’s
20
committee,
which
accepts
contributions,
makes
21
expenditures,
or
incurs
indebtedness
in
the
aggregate
22
of
more
than
seven
hundred
fifty
dollars
in
any
one
23
calendar
year
to
expressly
advocate
the
nomination,
24
election,
or
defeat
of
a
candidate
for
public
office
25
or
to
expressly
advocate
the
passage
or
defeat
of
26
a
ballot
issue
or
influencing
legislative
action,
27
or
an
association,
lodge,
society,
cooperative,
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union,
fraternity,
sorority,
educational
institution,
29
civic
organization,
labor
organization,
religious
30
organization,
or
professional
organization
which
makes
1
contributions
in
the
aggregate
of
more
than
seven
2
hundred
fifty
dollars
in
any
one
calendar
year
to
3
expressly
advocate
the
nomination,
election,
or
defeat
4
of
a
candidate
for
public
office
or
ballot
issue
or
5
influencing
legislative
action.
6
7.
ECONOMIC
INTERESTS
OF
LOBBYIST.
With
the
7
exception
of
exercising
unfettered
discretion
in
8
supporting
or
refusing
to
support
proposed
legislation,
9
a
senator
shall
not
take
action
intended
to
affect
the
10
economic
interests
of
a
lobbyist
or
citizen
supporting
11
or
opposing
proposed
legislation.
12
8.
APPEARANCE
BEFORE
GOVERNMENTAL
AGENCY.
A
13
senator
may
appear
before
a
governmental
agency
or
14
board
in
any
representation
case,
except
that
the
15
senator
shall
not
act
as
a
lobbyist.
Whenever
a
16
senator
appears
before
a
governmental
agency
or
board,
17
the
senator
shall
carefully
avoid
all
conduct
which
18
might
in
any
way
lead
members
of
the
general
public
19
to
conclude
that
the
senator
is
using
the
senator’s
20
official
position
to
further
the
senator’s
professional
21
success
or
personal
financial
interest.
22
9.
CONFLICTS
OF
INTERESTS.
In
order
to
permit
the
23
general
assembly
to
function
effectively,
a
senator
24
will
sometimes
be
required
to
vote
on
bills
and
25
participate
in
committee
work
which
will
affect
the
26
senator’s
employment
and
other
monetary
interests.
In
27
making
a
decision
relative
to
the
senator’s
activity
on
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given
bills
or
committee
work
which
are
subject
to
the
29
code,
the
following
factors
shall
be
considered:
30
a.
Whether
a
substantial
threat
to
the
senator’s
1
independence
of
judgment
has
been
created
by
the
2
conflict
situation.
3
b.
The
effect
of
the
senator’s
participation
on
4
public
confidence
in
the
integrity
of
the
legislature.
5
c.
The
need
for
the
senator’s
particular
6
contribution,
such
as
special
knowledge
of
the
7
subject
matter,
to
the
effective
functioning
of
the
8
legislature.
9
A
senator
with
a
conflict
of
interest
may
10
participate
in
floor
debate
if
prior
to
debate
the
11
senator
indicates
the
conflict
of
interest.
12
10.
GIFTS.
Except
as
otherwise
provided
in
section
13
68B.22,
a
senator,
or
that
person’s
immediate
family
14
member,
shall
not,
directly
or
indirectly,
accept
or
15
receive
any
gift
or
series
of
gifts
from
a
restricted
16
donor.
17
11.
DISCLOSURE
REQUIRED.
Each
senator
shall
file
18
with
the
secretary
of
the
senate
within
ten
days
after
19
the
adoption
of
the
code
of
ethics
by
the
senate,
and
20
within
ten
days
after
the
convening
of
the
second
21
session
of
the
general
assembly,
a
statement
under
22
section
68B.35
on
forms
provided
by
the
secretary
of
23
the
senate
setting
forth
the
following
information:
24
The
nature
of
each
business
in
which
the
senator
25
is
engaged
and
the
nature
of
the
business
of
each
26
company
in
which
the
senator
has
a
financial
interest.
27
A
senator
shall
not
be
required
to
file
a
report
or
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be
assumed
to
have
a
financial
interest
if
the
annual
29
income
derived
from
the
investment
in
stocks,
bonds,
30
bills,
notes,
mortgages,
or
other
securities
offered
1
for
sale
through
recognized
financial
brokers
is
less
2
than
one
thousand
dollars.
3
Disclosures
required
under
this
rule
shall
be
as
4
of
the
date
filed
unless
provided
to
the
contrary,
5
and
shall
be
amended
to
include
interests
and
changes
6
encompassed
by
this
rule
that
occur
while
the
general
7
assembly
is
in
session.
All
filings
under
this
rule
8
shall
be
open
to
public
inspection
in
the
office
of
the
9
secretary
of
the
senate
at
all
reasonable
times.
10
The
secretary
of
the
senate
shall
inform
the
11
ethics
committee
of
the
statements
which
are
filed
12
and
shall
report
to
the
ethics
committee
the
names
of
13
any
senators
who
appear
not
to
have
filed
complete
14
statements.
The
chairperson
of
the
ethics
committee
15
shall
request
in
writing
that
a
senator
who
has
failed
16
to
complete
the
report
or
appears
to
have
filed
an
17
incomplete
report
do
so
within
five
days,
and,
upon
18
the
failure
of
the
senator
to
comply,
the
ethics
19
committee
shall
require
the
senator
to
appear
before
20
the
committee.
21
12.
STATUTORY
VIOLATIONS.
Members
of
the
general
22
assembly
are
urged
to
familiarize
themselves
with
23
chapters
68B,
721,
and
722.
24
13.
CHARGE
ACCOUNTS.
Senators
shall
not
charge
any
25
amount
or
item
to
any
charge
account
to
be
paid
for
by
26
any
lobbyist
or
any
client
the
lobbyist
represents.
27
14.
TRAVEL
EXPENSES.
A
senator
shall
not
charge
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to
the
state
of
Iowa
amounts
for
travel
and
expenses
29
unless
the
senator
actually
has
incurred
those
mileage
30
and
expense
costs.
Senators
shall
not
file
the
1
vouchers
for
weekly
mileage
reimbursement
required
2
by
section
2.10,
subsection
1,
unless
the
travel
3
was
actually
incurred
at
commensurate
expense
to
the
4
senator.
5
15.
COMPLAINTS.
Complaints
or
charges
against
6
any
senator
or
any
lobbyist
shall
be
in
writing,
7
made
under
oath,
and
filed
with
the
secretary
of
the
8
senate
or
the
chairperson
of
the
ethics
committee.
If
9
filed
with
the
secretary
of
the
senate,
the
secretary
10
shall
immediately
advise
the
chairperson
of
the
ethics
11
committee
of
the
receipt
of
the
complaint.
12
Complaint
forms
shall
be
available
from
the
13
secretary
of
the
senate,
or
the
chairperson
of
the
14
ethics
committee,
but
a
complaint
shall
not
be
rejected
15
for
failure
to
use
an
approved
form
if
the
complaint
16
substantially
complies
with
senate
requirements.
17
A
complainant
may
submit
exhibits
and
affidavits
18
attached
to
the
complaint.
19
16.
FILING
OF
COMPLAINTS.
20
a.
Persons
entitled.
Complaints
may
be
filed
by
21
any
person
believing
that
a
senator
or
,
lobbyist
,
or
22
client
of
a
lobbyist
has
violated
the
senate
ethics
23
code,
the
senate
rules
governing
lobbyists,
or
chapter
24
68B
of
the
Iowa
Code.
A
violation
of
the
criminal
25
law
may
be
considered
to
be
a
violation
of
this
code
26
of
ethics
if
the
violation
constitutes
a
serious
27
misdemeanor
or
greater,
or
a
repetitive
and
flagrant
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violation
of
the
law.
29
b.
Committee
complaint.
The
ethics
committee
30
may,
upon
its
own
motion,
initiate
a
complaint,
1
investigation,
or
disciplinary
action.
2
c.
Timeliness
of
filing.
A
complaint
will
be
3
considered
to
be
timely
filed
if
it
is
filed
within
4
three
years
of
the
occurrence
of
the
alleged
violation
5
of
the
ethics
code.
6
17.
PERMANENT
RECORD.
The
secretary
of
the
senate
7
shall
maintain
a
permanent
record
of
all
complaints
8
filed,
evidence
received
by
the
committee,
and
any
9
transcripts
or
other
recordings
made
of
committee
10
proceedings,
including
a
separate
card
file
containing
11
the
date
filed,
name
and
address
of
the
complainant,
12
name
and
address
of
the
respondent,
a
brief
statement
13
of
the
charges
made,
and
ultimate
disposition
of
14
the
complaint.
The
secretary
shall
keep
each
such
15
complaint
confidential
until
public
disclosure
is
made
16
by
the
ethics
committee.
17
18.
PREHEARING
PROCEDURE.
18
a.
Defective
complaint.
Upon
receipt
of
a
19
complaint,
the
chairperson
and
ranking
member
of
the
20
ethics
committee
shall
determine
whether
the
complaint
21
substantially
complies
with
the
requirements
of
this
22
code
of
ethics
and
section
68B.31,
subsection
6.
If
23
the
complaint
does
not
substantially
comply
with
24
the
requirements
for
formal
sufficiency
under
the
25
code
of
ethics,
the
complaint
may
be
returned
to
the
26
complainant
with
a
statement
that
the
complaint
is
not
27
in
compliance
with
the
code
and
a
copy
of
the
code.
If
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the
complainant
fails
to
amend
the
complaint
to
comply
29
with
the
code
within
a
reasonable
time,
the
chair
and
30
ranking
member
may
dismiss
the
complaint
with
prejudice
1
for
failure
to
prosecute.
2
b.
Service
of
complaint
on
respondent.
Upon
3
receipt
of
any
complaint
substantially
complying
4
with
the
requirements
of
this
code
of
ethics,
the
5
chairperson
of
the
ethics
committee
shall
cause
a
copy
6
of
the
complaint
and
any
supporting
information
to
7
be
delivered
promptly
to
the
respondent,
requesting
8
a
written
response
to
be
filed
within
ten
days.
The
9
response
may
do
any
of
the
following:
10
(1)
Admit
or
deny
the
allegation
or
allegations.
11
(2)
Object
that
the
allegation
fails
to
allege
a
12
violation
of
chapter
68B
or
the
code
of
ethics.
13
(3)
Object
to
the
jurisdiction
of
the
committee.
14
(4)
Request
a
more
specific
statement
of
the
15
allegation
or
allegations.
16
c.
Objection
to
member.
In
addition
to
the
17
items
which
may
be
included
in
a
response
pursuant
18
to
paragraph
“b”,
the
response
may
also
include
an
19
objection
to
the
participation
of
any
member
of
the
20
committee
in
the
consideration
of
the
allegation
or
21
allegations
on
the
grounds
that
the
member
cannot
22
render
an
impartial
and
unbiased
decision.
23
d.
Extension
of
time.
At
the
request
of
the
24
respondent
and
upon
a
showing
of
good
cause,
the
25
committee,
or
the
chairperson
and
ranking
member,
26
may
extend
the
time
for
response,
not
to
exceed
ten
27
additional
days.
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e.
Confidentiality.
If
a
complaint
is
not
29
otherwise
made
public,
the
members
of
the
committee
30
shall
treat
the
complaint
and
all
supporting
1
information
as
confidential
until
the
written
response
2
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
senate
rules
governing
lobbyists,
21
or
vote
of
the
committee.
22
g.
Scheduling
hearing.
Upon
receipt
of
the
23
response,
the
committee
shall
schedule
a
public
meeting
24
to
review
the
complaint
and
available
information,
and
25
shall
do
one
of
the
following
:
26
(1)
Notify
the
complainant
that
no
further
27
action
will
be
taken,
unless
further
substantiating
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information
is
produced
,
or
.
29
(2)
Dismiss
the
complaint
for
failure
to
meet
the
30
statutory
and
code
of
ethics
requirements
for
valid
1
complaints
,
or
.
2
(3)
Take
action
on
the
complaint
without
requesting
3
the
appointment
of
an
independent
special
counsel
4
if
the
committee
determines
the
complaint
is
valid
5
and
determines
no
dispute
exists
between
the
parties
6
regarding
the
material
facts
that
establish
a
7
violation.
The
committee
may
do
any
of
the
following:
8
(a)
Issue
an
admonishment
to
advise
against
the
9
conduct
that
formed
the
basis
for
the
complaint
and
to
10
exercise
care
in
the
future.
11
(b)
Issue
an
order
to
cease
and
desist
the
conduct
12
that
formed
the
basis
for
the
complaint.
13
(c)
Make
a
recommendation
to
the
senate
that
14
the
person
subject
to
the
complaint
be
censured
or
15
reprimanded.
16
(3)
(4)
Request
that
the
chief
justice
of
the
17
supreme
court
appoint
an
independent
special
counsel
18
to
conduct
an
investigation
of
the
complaint
and
19
supporting
information,
to
make
a
determination
of
20
probable
cause,
and
to
report
the
findings
to
the
21
committee,
which
shall
be
received
within
a
reasonable
22
time.
23
h.
Public
hearing.
If
independent
special
counsel
24
is
appointed,
upon
receipt
of
the
report
of
independent
25
special
counsel’s
findings,
the
committee
shall
26
schedule
a
public
meeting
to
review
the
report
and
27
shall
do
either
of
the
following:
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(1)
Cause
the
complaint
to
be
scheduled
for
a
29
public
hearing.
30
(2)
Dismiss
the
complaint
based
upon
a
1
determination
by
independent
special
counsel
and
the
2
committee
that
insufficient
evidence
exists
to
support
3
a
finding
of
probable
cause.
4
19.
HEARING
PROCEDURE.
5
a.
Notice
of
hearing.
If
the
committee
causes
6
a
complaint
to
be
scheduled
for
a
public
hearing,
7
notice
of
the
hearing
date
and
time
shall
be
given
to
8
the
complainant
and
respondent
in
writing,
and
of
the
9
respondent’s
right
to
appear
in
person,
be
represented
10
by
legal
counsel,
present
statements
and
evidence,
and
11
examine
and
cross-examine
witnesses.
The
committee
12
shall
not
be
bound
by
formal
rules
of
evidence,
but
13
shall
receive
relevant
evidence,
subject
to
limitations
14
on
repetitiveness.
Any
evidence
taken
shall
be
under
15
oath.
16
b.
Subpoena
power.
The
committee
may
require,
by
17
subpoena
or
otherwise,
the
attendance
and
testimony
of
18
witnesses
and
the
production
of
such
books,
records,
19
correspondence,
memoranda,
papers,
documents,
and
any
20
other
things
it
deems
necessary
to
the
conduct
of
the
21
inquiry.
22
c.
Ex
post
facto.
An
investigation
shall
not
be
23
undertaken
by
the
committee
of
a
violation
of
a
law,
24
rule,
or
standard
of
conduct
that
is
not
in
effect
at
25
the
time
of
violation.
26
d.
Disqualification
of
member.
Members
of
the
27
committee
may
disqualify
themselves
from
participating
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in
any
investigation
of
the
conduct
of
another
person
29
upon
submission
of
a
written
statement
that
the
member
30
cannot
render
an
impartial
and
unbiased
decision
1
in
a
case.
A
member
may
also
be
disqualified
by
a
2
unanimous
vote
of
the
remaining
eligible
members
of
the
3
committee.
4
A
member
of
the
committee
is
ineligible
to
5
participate
in
committee
meetings,
as
a
member
of
the
6
committee,
in
any
proceeding
relating
to
the
member’s
7
own
official
conduct.
8
If
a
member
of
the
committee
is
disqualified
or
9
ineligible
to
act,
the
majority
or
minority
leader
who
10
appointed
the
member
shall
appoint
a
replacement
member
11
to
serve
as
a
member
of
the
committee
during
the
period
12
of
disqualification
or
ineligibility.
13
e.
Hearing.
At
the
hearing,
the
chairperson
shall
14
open
the
hearing
by
stating
the
charges,
the
purpose
of
15
the
hearing,
and
its
scope.
The
burden
of
proof
rests
16
upon
the
complainant
to
establish
the
facts
as
alleged,
17
by
clear
and
convincing
evidence.
However,
questioning
18
of
witnesses
shall
be
conducted
by
the
members
of
the
19
committee,
by
independent
special
counsel,
or
by
a
20
senator.
The
chairperson
shall
also
permit
questioning
21
by
legal
counsel
representing
the
complainant
or
22
respondent.
23
The
chairperson
or
other
member
of
the
committee
24
presiding
at
a
hearing
shall
rule
upon
procedural
25
questions
or
any
question
of
admissibility
of
evidence
26
presented
to
the
committee.
Rulings
may
be
reversed
by
27
a
majority
vote
of
the
committee
members
present.
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The
committee
may
continue
the
hearing
to
a
future
29
date
if
necessary
for
appropriate
reasons
or
purposes.
30
f.
Committee
action.
Upon
receipt
of
all
relevant
1
evidence
and
arguments,
the
committee
shall
consider
2
the
same
and
recommend
to
the
senate
any
of
the
3
following
:
4
(1)
That
the
complaint
be
dismissed
,
or
.
5
(2)
That
the
senator
,
or
lobbyist
,
or
client
of
a
6
lobbyist
be
censured
or
reprimanded,
and
recommend
the
7
appropriate
form
of
censure
or
reprimand
,
or
.
8
(3)
Any
other
appropriate
sanction,
including
9
suspension
or
expulsion
from
membership
in
the
senate,
10
or
suspension
of
lobbying
privileges.
11
g.
Disposition
resolution.
By
appropriate
12
resolution,
the
senate
may
amend,
adopt,
or
reject
13
the
report
of
the
ethics
committee,
including
the
14
committee’s
recommendations
regarding
disciplinary
15
action.
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
,
or
lobbyist
,
or
client
of
a
lobbyist
22
after
the
second
regular
session
of
a
general
assembly
23
has
adjourned
sine
die,
the
report
shall
be
submitted
24
to
and
considered
by
the
subsequent
general
assembly.
25
However,
the
report
may
be
submitted
to
and
considered
26
during
any
special
session
which
may
take
place
after
27
the
second
regular
session
of
a
general
assembly
has
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adjourned
sine
die,
but
before
the
convening
of
the
29
next
general
assembly.
30
21.
ADVISORY
OPINIONS.
1
a.
Requests
for
formal
opinions.
A
request
for
a
2
formal
advisory
opinion
may
be
filed
by
any
person
who
3
is
subject
to
the
authority
of
the
ethics
committee.
4
The
ethics
committee
may
also
issue
a
formal
advisory
5
opinion
on
its
own
motion,
without
having
previously
6
received
a
formal
request
for
an
opinion,
on
any
issue
7
that
is
within
the
jurisdiction
of
the
committee.
8
Requests
shall
be
filed
with
either
the
secretary
of
9
the
senate
or
the
chairperson
of
the
ethics
committee.
10
b.
Form
and
contents
of
requests.
A
request
for
11
a
formal
advisory
opinion
shall
be
in
writing
and
12
may
pertain
to
any
subject
matter
that
is
related
to
13
the
application
of
the
senate
code
of
ethics,
the
14
senate
rules
governing
lobbyists,
or
chapter
68B
of
15
the
Code
to
any
person
who
is
subject
to
the
authority
16
of
the
ethics
committee.
Requests
shall
contain
one
17
or
more
specific
questions
and
shall
relate
either
to
18
future
conduct
or
be
stated
in
the
hypothetical.
A
19
request
for
an
advisory
opinion
shall
not
specifically
20
name
any
individual
or
contain
any
other
specific
21
identifying
information,
unless
the
request
relates
22
to
the
requester’s
own
conduct.
However,
any
request
23
may
contain
information
which
identifies
the
kind
of
24
individual
who
may
be
affected
by
the
subject
matter
25
of
the
request.
Examples
of
this
latter
kind
of
26
identifying
information
may
include
references
to
27
conduct
of
a
category
of
individuals,
such
as
but
not
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limited
to
conduct
of
legislators,
legislative
staff,
29
or
lobbyists
,
or
clients
of
lobbyists
.
30
c.
Confidentiality
of
formal
requests
and
opinions.
1
Requests
for
formal
opinions
are
not
confidential
and
2
any
deliberations
of
the
committee
regarding
a
request
3
for
a
formal
opinion
shall
be
public.
Opinions
issued
4
in
response
to
requests
for
formal
opinions
are
not
5
confidential,
shall
be
in
writing,
and
shall
be
placed
6
on
file
in
the
office
of
the
secretary
of
the
senate.
7
Persons
requesting
formal
opinions
shall
personally
8
receive
a
copy
of
the
written
formal
opinion
that
is
9
issued
in
response
to
the
request.
10
22.
CALCULATION
OF
TIME
——
DAYS.
For
purposes
of
11
these
rules,
unless
the
context
otherwise
requires,
12
the
word
“day”
or
“days”
shall
mean
a
calendar
day
13
except
that
if
the
day
is
the
last
day
of
a
specific
14
time
period
and
falls
upon
a
Saturday,
Sunday,
or
legal
15
holiday,
the
time
prescribed
shall
be
extended
so
as
to
16
include
the
whole
of
the
next
day
in
which
the
offices
17
of
the
senate
and
the
general
assembly
are
open
for
18
official
business.
19
23.
COMPLAINT
FILING
FORM.
The
following
form
20
shall
be
used
to
file
a
complaint
under
these
rules:
21
THE
SENATE
22
Ethics
Complaint
Form
23
Re:
______________________________
(Senator/Lobbyist),
24
of
_____________________,
Iowa.
25
I,
________________________
(Complainant),
residing
26
at
____________________,
in
the
City
of
______________,
27
State
of
________________________,
hereby
complain
that
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_____________________________
(Senator/Lobbyist),
whose
29
address
is
___________________________________________,
30
has
violated
the
Senate
Code
of
Ethics
or
Senate
Rules
1
Governing
Lobbyists
in
that:
2
(Explain
the
basis
for
the
complaint
here.
Use
3
additional
pages,
if
necessary.)
4
Under
penalty
of
perjury,
I
certify
that
the
above
5
complaint
is
true
and
correct
as
I
verily
believe.
6
___________________________
7
Signature
of
Complainant
8
SUBSCRIBED
AND
AFFIRMED
to
before
me
this
__________
9
day
of
________________________,
_______.
10
________________________________
11
Notary
Public
in
and
for
the
12
State
of
______________________
13
24.
COMPLAINT
NOTICE
FORM.
The
following
form
14
shall
be
used
for
notice
of
a
complaint
under
these
15
rules:
16
STATE
OF
IOWA
17
THE
SENATE
18
COMMITTEE
ON
ETHICS
)
19
IOWA
STATE
SENATE
)
20
)
21
On
The
Complaint
Of
)
NOTICE
OF
COMPLAINT
22
)
23
___________________________
)
24
)
25
And
Involving
)
26
)
27
___________________________
)
28
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)
29
TO
________________________________,
30
Senator
or
Lobbyist
named
above:
1
You
are
hereby
notified
that
there
is
now
on
file
2
with
the
Secretary
of
the
Senate,
State
Capitol,
Des
3
Moines,
Iowa,
a
complaint
which
alleges
that
you
have
4
committed
a
violation
of
the
Senate’s
Code
of
Ethics
or
5
Senate
Rules
Governing
Lobbyists.
6
A
copy
of
the
complaint
and
the
Senate
rules
for
7
processing
the
same
are
attached
hereto
and
made
a
part
8
of
this
notice.
9
You
are
further
notified
and
requested
to
file
your
10
written
answer
to
the
complaint
within
ten
days
of
the
11
date
upon
which
the
notice
was
caused
to
be
delivered
12
to
you,
(date)
________________________,
________.
13
Your
answer
is
to
be
filed
with
the
Secretary
of
the
14
Senate,
State
Capitol,
Des
Moines,
Iowa.
15
Dated
this
________
day
of
________________,
______.
16
________________________________
17
Chair,
Senate
Ethics
Committee,
18
or
Secretary
of
the
Senate
19
25.
HEARING
NOTICE
FORM.
The
following
form
shall
20
be
used
for
notice
of
a
hearing
under
these
rules:
21
STATE
OF
IOWA
22
THE
SENATE
23
COMMITTEE
ON
ETHICS
)
24
IOWA
STATE
SENATE
)
25
)
26
On
The
Complaint
Of
)
NOTICE
OF
HEARING
27
)
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___________________________
)
29
)
30
And
Involving
)
1
)
2
___________________________
)
3
)
4
TO
________________________________,
5
Senator
or
Lobbyist
named
above:
6
You
are
hereby
notified
that
there
is
now
on
file
7
with
the
Secretary
of
the
Senate,
State
Capitol,
Des
8
Moines,
Iowa,
a
complaint
which
alleges
that
you
have
9
committed
a
violation
of
the
Senate’s
Code
of
Ethics
or
10
Senate
Rules
Governing
Lobbyists.
11
A
copy
of
the
complaint
and
the
Senate
rules
for
12
processing
the
same
are
attached
hereto
and
made
a
part
13
of
this
notice.
14
You
are
further
notified
that,
after
preliminary
15
review,
the
committee
has
caused
a
public
hearing
to
be
16
scheduled
on
(date)___________________,
________,
at
17
(hour)
___________
(a.m.)
(p.m.),
in
Room
____,
State
18
Capitol,
Des
Moines,
Iowa.
19
At
the
hearing,
you
will
have
the
right
to
appear
20
in
person,
be
represented
by
legal
counsel
at
your
own
21
expense,
present
statements
and
evidence,
and
examine
22
and
cross-examine
witnesses.
The
committee
shall
23
not
be
bound
by
formal
rules
of
evidence,
but
shall
24
receive
relevant
evidence,
subject
to
limitations
on
25
repetitiveness.
Any
evidence
taken
shall
be
under
26
oath.
27
The
committee
may
continue
the
hearing
to
a
future
28
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S.R.
3
date
if
necessary
for
appropriate
reasons
or
purposes.
29
You
are
further
notified
that
the
committee
will
30
receive
such
evidence
and
take
such
action
as
warranted
1
by
the
evidence.
2
Dated
this
_____
day
of
________________,
______.
3
________________________________
4
Chair,
Senate
Ethics
Committee,
5
or
Secretary
of
the
Senate
6
26.
PERSONAL
FINANCIAL
DISCLOSURE
FORM.
The
7
following
form
shall
be
used
for
disclosure
of
economic
8
interests
under
these
rules
and
section
68B.35:
9
STATEMENT
OF
ECONOMIC
INTERESTS
10
Name:________________________________________________
11
(Last)
(First)
(Middle
Initial)
12
Address:_____________________________________________
13
(Street
Address,
Apt.#/P.O.
Box)
14
______________________________________________
15
(City)
(State)
(Zip)
16
Phone:(Home)
____/____-_____(Business)
____/____-_____
17
******************************************************
18
a.
Please
list
each
business,
occupation,
or
19
profession
in
which
you
are
engaged.
In
listing
20
the
business,
occupation,
or
profession,
it
is
21
not
necessary
that
your
employer
or
the
name
of
22
the
business
be
listed,
although
all
businesses,
23
occupations,
or
professions
must
be
listed,
regardless
24
of
the
amount
of
income
derived
or
time
spent
25
participating
in
the
activity.
(Examples
of
types
26
of
businesses,
occupations,
or
professions
that
may
27
be
listed:
teacher,
lawyer,
legislator,
real
estate
28
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agent,
insurance
adjuster,
salesperson....)
29
(1)
__________________________________________________
30
(2)
__________________________________________________
1
(3)
__________________________________________________
2
(4)
__________________________________________________
3
(5)
__________________________________________________
4
b.
Please
list
the
nature
of
each
of
the
5
businesses,
occupations,
or
professions
which
you
6
listed
in
paragraph
“a”,
above,
unless
the
nature
of
7
the
business,
occupation,
or
profession
is
already
8
apparent
from
the
information
indicated
above.
The
9
descriptions
in
this
paragraph
should
correspond
by
10
number
to
the
numbers
for
each
of
the
businesses,
11
occupations,
or
professions
listed
in
paragraph
“a”.
12
(Examples:
If
you
indicated,
for
example,
that
you
13
were
a
salesperson
in
subparagraph
(1)
of
paragraph
14
“a”,
you
should
list
in
subparagraph
(1)
of
this
15
paragraph
the
types
of
goods
or
services
sold
in
this
16
item.
If
you
indicated
that
you
were
a
teacher
in
17
subparagraph
(2)
of
paragraph
“a”,
you
should
indicate
18
in
subparagraph
(2)
of
this
paragraph
the
type
of
19
school
or
institution
in
which
you
provide
instruction
20
or
whether
the
instruction
is
provided
on
a
private
21
basis.
If
you
indicated
that
you
were
a
lawyer
in
22
subparagraph
(3)
of
paragraph
“a”,
you
should
indicate
23
your
areas
of
practice
and
whether
you
are
in
private,
24
corporate,
or
government
practice
in
subparagraph
(3)
25
of
this
paragraph.
If
you
indicated
in
subparagraph
26
(4)
of
paragraph
“a”
that
you
were
a
consultant,
in
27
subparagraph
(4)
of
this
paragraph
you
should
indicate
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the
kind
of
services
provided
and
types
of
clients
29
served.)
30
(1)
__________________________________________________
1
(2)
__________________________________________________
2
(3)
__________________________________________________
3
(4)
__________________________________________________
4
(5)
__________________________________________________
5
c.
Please
list
each
source,
by
general
description,
6
from
which
you
receive,
or
which
generates,
more
than
7
one
thousand
dollars
in
gross
annual
income
in
the
8
categories
listed
below.
For
purposes
of
this
item,
9
a
source
produces
gross
annual
income
if
the
revenue
10
produced
by
the
source
is
subject
to
federal
or
state
11
income
taxes.
In
completing
this
item,
it
is
not
12
necessary
to
list
the
name
of
the
company,
business,
13
financial
institution,
corporation,
partnership,
or
14
other
entity
which
constitutes
the
source
of
the
income
15
and
the
amount
or
value
of
the
holding
should
not
be
16
listed.
17
(1)
Securities
(Here
for
example,
you
need
not
18
state
that
you
own
X
number
of
shares
of
any
specific
19
company
by
brand
or
corporate
name,
or
that
the
stock
20
is
of
a
certain
value,
but
may
instead
state
that
you
21
possess
stock
in
a
company
and
indicate
the
nature
of
22
the
company’s
business.):
23
______________________________________________________
24
______________________________________________________
25
______________________________________________________
26
______________________________________________________
27
______________________________________________________
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(2)
Instruments
of
Financial
Institutions
(You
29
need
not
indicate,
for
example,
in
which
institutions
30
you
hold
certificates
of
deposit
that
produce
annual
1
income
over
the
one
thousand
dollar
threshold,
but
2
simply
listing
the
nature
of
the
institution
will
3
suffice,
e.g.,
bank,
credit
union,
or
savings
and
loan
4
association.):
5
______________________________________________________
6
______________________________________________________
7
______________________________________________________
8
______________________________________________________
9
______________________________________________________
10
(3)
Trusts
(The
name
of
the
particular
trust
need
11
not
be
listed.
However,
if
the
income
is
received
12
from
a
charitable
trust/foundation,
such
as
the
Pugh
13
Charitable
Trust,
in
the
form
of
a
grant,
the
fact
that
14
the
trust
is
a
charitable
trust
should
be
noted
here.):
15
______________________________________________________
16
______________________________________________________
17
______________________________________________________
18
______________________________________________________
19
______________________________________________________
20
(4)
Real
Estate
(When
listing
real
estate,
it
is
21
not
necessary
to
list
the
location
of
the
property,
but
22
the
general
nature
of
the
real
estate
interest
should
23
be
indicated,
e.g.,
residential
leasehold
interest
or
24
farm
leasehold
interest.):
25
______________________________________________________
26
______________________________________________________
27
______________________________________________________
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______________________________________________________
29
______________________________________________________
30
(5)
Retirement
Systems
(When
listing
retirement
1
benefits,
it
is
not
necessary
to
list
the
name
of
2
the
particular
pension
system
or
company,
but
rather
3
the
type
of
benefit
should
be
listed,
e.g.,
health
4
benefits,
life
insurance
benefits,
private
pension,
or
5
government
pension.):
6
______________________________________________________
7
______________________________________________________
8
______________________________________________________
9
______________________________________________________
10
______________________________________________________
11
(6)
Other
Income
Categories
Specified
in
State
or
12
Federal
Income
Tax
Regulations
(List
description
of
13
other
sources
of
income
producing
over
one
thousand
14
dollars
in
annual
income
not
previously
reported
above,
15
but
which
must
be
reported
for
income
tax
purposes.):
16
______________________________________________________
17
______________________________________________________
18
______________________________________________________
19
______________________________________________________
20
______________________________________________________
21
______________________________________________________
22
_______________________________
___________________
23
(Signature
of
filer)
(Date)
24
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