Bill Text: IA SSB1075 | 2023-2024 | 90th 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 Ninetieth General Assembly.(See SR 1.)
Spectrum: Committee Bill
Status: (Introduced - Dead) 2023-01-26 - Committee report approving bill, renumbered as SR 1. [SSB1075 Detail]
Download: Iowa-2023-SSB1075-Introduced.html
Senate
Study
Bill
1075
-
Introduced
SENATE
RESOLUTION
NO.
_____
BY
(PROPOSED
COMMITTEE
ON
ETHICS
RESOLUTION
BY
CHAIRPERSON
SHIPLEY)
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
Ninetieth
General
Assembly.
4
BE
IT
RESOLVED
BY
THE
SENATE,
That
the
Senate
Code
5
of
Ethics
for
the
Eighty-ninth
Ninetieth
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
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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
28
the
course
of
official
duties.
29
5.
HONORARIA.
A
senator
shall
not
accept
an
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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
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
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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
senator’s
19
official
position
to
further
the
senator’s
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
senator’s
employment
and
other
monetary
interests.
In
26
making
a
decision
relative
to
the
senator’s
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
senator’s
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independence
of
judgment
has
been
created
by
the
1
conflict
situation.
2
b.
The
effect
of
the
senator’s
participation
on
3
public
confidence
in
the
integrity
of
the
legislature.
4
c.
The
need
for
the
senator’s
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
person’s
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.
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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
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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.
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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
any
24
senator,
candidate
for
senate,
lobbyist,
or
client
of
25
a
lobbyist
shall
be
in
writing,
made
under
penalty
of
26
perjury,
and
filed
with
the
secretary
of
the
senate.
27
When
filed
with
the
secretary
of
the
senate,
the
28
secretary
shall
immediately
advise
the
chairperson
of
29
the
ethics
committee
of
the
receipt
of
the
complaint.
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Complaint
forms
shall
be
available
from
the
1
secretary
of
the
senate,
or
the
chairperson
of
the
2
ethics
committee,
but
a
complaint
shall
not
be
rejected
3
for
failure
to
use
an
approved
form
if
the
complaint
4
substantially
complies
with
senate
requirements.
5
A
complainant
may
submit
exhibits
and
affidavits
6
attached
to
the
complaint.
7
16.
FILING
OF
COMPLAINTS.
8
a.
Persons
entitled.
Complaints
may
be
filed
by
9
any
person
believing
that
a
senator,
candidate
for
10
senate,
lobbyist,
or
client
of
a
lobbyist
has
violated
11
the
senate
ethics
code,
the
joint
rules
governing
12
lobbyists,
or
chapter
68B,
as
applicable.
A
violation
13
of
the
criminal
law
may
be
considered
to
be
a
violation
14
of
this
code
of
ethics
if
the
violation
constitutes
a
15
serious
misdemeanor
or
greater,
or
a
repetitive
and
16
flagrant
violation
of
the
law.
17
b.
Committee
complaint.
The
ethics
committee
18
may,
upon
its
own
motion,
initiate
a
complaint,
19
investigation,
or
disciplinary
action.
20
17.
PERMANENT
RECORD.
The
secretary
of
the
senate
21
shall
maintain
a
permanent
record
of
all
complaints
22
filed,
evidence
received
by
the
committee,
and
any
23
transcripts
or
other
recordings
made
of
committee
24
proceedings,
including
a
separate
file
containing
25
the
date
filed,
name
and
address
of
the
complainant,
26
name
and
address
of
the
respondent,
a
brief
statement
27
of
the
charges
made,
and
ultimate
disposition
of
28
the
complaint.
The
secretary
shall
keep
each
such
29
complaint
confidential
until
public
disclosure
is
made
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by
the
ethics
committee.
1
18.
PREHEARING
PROCEDURE.
2
a.
Defective
complaint.
Upon
receipt
of
a
3
complaint,
the
chairperson
and
ranking
member
of
the
4
ethics
committee
shall
determine
whether
the
complaint
5
substantially
complies
with
the
requirements
of
this
6
code
of
ethics
and
section
68B.31,
subsection
6.
If
7
the
complaint
does
not
substantially
comply
with
8
the
requirements
for
formal
sufficiency
under
the
9
code
of
ethics,
the
complaint
may
be
returned
to
the
10
complainant
with
a
statement
that
the
complaint
is
not
11
in
compliance
with
the
code
and
a
copy
of
the
code.
If
12
the
complainant
fails
to
amend
the
complaint
to
comply
13
with
the
code
within
a
reasonable
time,
the
chairperson
14
and
ranking
member
may
dismiss
the
complaint
with
15
prejudice
for
failure
to
prosecute.
16
b.
Service
of
complaint
on
respondent.
Upon
17
receipt
of
any
complaint
substantially
complying
18
with
the
requirements
of
this
code
of
ethics,
the
19
chairperson
of
the
ethics
committee
shall
cause
a
copy
20
of
the
complaint
and
any
supporting
information
to
be
21
delivered
promptly
to
the
respondent,
requesting
a
22
written
response
to
be
filed
within
ten
days.
At
the
23
time
delivery
is
made
to
the
respondent,
delivery
of
24
copies
of
the
complaint
and
any
supporting
information
25
shall
be
made
to
legislative
staff
assigned
to
the
26
ethics
committee.
The
response
may
do
any
of
the
27
following:
28
(1)
Admit
or
deny
the
allegation
or
allegations.
29
(2)
Object
that
the
allegation
fails
to
allege
a
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violation
of
chapter
68B,
the
joint
rules
governing
1
lobbyists,
or
the
code
of
ethics.
2
(3)
Object
to
the
jurisdiction
of
the
committee.
3
(4)
Request
a
more
specific
statement
of
the
4
allegation
or
allegations.
5
c.
Objection
to
member.
In
addition
to
the
6
items
which
may
be
included
in
a
response
pursuant
7
to
paragraph
“b”,
the
response
may
also
include
an
8
objection
to
the
participation
of
any
member
of
the
9
committee
in
the
consideration
of
the
allegation
or
10
allegations
on
the
grounds
that
the
member
cannot
11
render
an
impartial
and
unbiased
decision.
12
d.
Extension
of
time.
At
the
request
of
the
13
respondent
and
upon
a
showing
of
good
cause,
the
14
committee,
or
the
chairperson
and
ranking
member,
15
may
extend
the
time
for
response,
not
to
exceed
ten
16
additional
days.
17
e.
Confidentiality.
If
a
complaint
is
not
18
otherwise
made
public
by
the
complainant,
the
members
19
of
the
committee
and
legislative
staff
assigned
to
20
the
ethics
committee
shall
treat
the
complaint
and
21
all
supporting
information
as
confidential
until
the
22
written
response
is
received
from
the
respondent.
23
f.
Communications
with
ethics
committee.
After
a
24
complaint
has
been
filed
or
an
investigation
has
been
25
initiated,
a
party
to
the
complaint
or
investigation
26
shall
not
communicate,
or
cause
another
to
communicate,
27
as
to
the
merits
of
the
complaint
or
investigation
with
28
a
member
of
the
committee,
except
under
the
following
29
circumstances:
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(1)
During
the
course
of
any
meetings
or
other
1
official
proceedings
of
the
committee
regarding
the
2
complaint
or
investigation.
3
(2)
In
writing,
if
a
copy
of
the
writing
is
4
delivered
to
the
adverse
party
or
the
designated
5
representative
for
the
adverse
party.
6
(3)
Orally,
if
adequate
prior
notice
of
the
7
communication
is
given
to
the
adverse
party
or
the
8
designated
representative
for
the
adverse
party.
9
(4)
As
otherwise
authorized
by
statute,
the
senate
10
code
of
ethics,
the
joint
rules
governing
lobbyists,
or
11
vote
of
the
committee.
12
g.
Scheduling
hearing.
Upon
receipt
of
the
13
response,
the
committee
shall
schedule
a
public
meeting
14
to
review
the
complaint
and
available
information,
and
15
shall
do
one
of
the
following:
16
(1)
Notify
the
complainant
that
no
further
17
action
will
be
taken,
unless
further
substantiating
18
information
is
produced.
19
(2)
Dismiss
the
complaint
for
failure
to
meet
the
20
statutory
and
code
of
ethics
requirements
for
valid
21
complaints.
22
(3)
Take
action
on
the
complaint
without
requesting
23
the
appointment
of
an
independent
special
counsel
24
if
the
committee
determines
the
complaint
is
valid
25
and
determines
no
dispute
exists
between
the
parties
26
regarding
the
material
facts
that
establish
a
27
violation.
The
committee
may
do
any
of
the
following:
28
(a)
Issue
an
admonishment
to
advise
against
the
29
conduct
that
formed
the
basis
for
the
complaint
and
to
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exercise
care
in
the
future.
1
(b)
Issue
an
order
to
cease
and
desist
the
conduct
2
that
formed
the
basis
for
the
complaint.
3
(c)
Make
a
recommendation
to
the
senate
that
4
the
person
subject
to
the
complaint
be
censured
or
5
reprimanded.
6
(4)
Request
that
the
chief
justice
of
the
supreme
7
court
appoint
an
independent
special
counsel
to
conduct
8
an
investigation
of
the
complaint
and
supporting
9
information,
to
make
a
determination
of
probable
cause,
10
and
to
report
the
findings
to
the
committee,
which
11
shall
be
received
within
a
reasonable
time.
12
h.
Public
hearing.
If
independent
special
counsel
13
is
appointed,
upon
receipt
of
the
report
of
independent
14
special
counsel’s
findings,
the
committee
shall
15
schedule
a
public
meeting
to
review
the
report
and
16
shall
do
either
of
the
following:
17
(1)
Cause
the
complaint
to
be
scheduled
for
a
18
public
hearing.
19
(2)
Dismiss
the
complaint
based
upon
a
20
determination
by
independent
special
counsel
and
the
21
committee
that
insufficient
evidence
exists
to
support
22
a
finding
of
probable
cause.
23
19.
HEARING
PROCEDURE.
24
a.
Notice
of
hearing.
If
the
committee
causes
a
25
complaint
to
be
scheduled
for
a
public
hearing,
notice
26
of
the
hearing
date
and
time
shall
be
given
to
the
27
complainant
and
respondent
in
writing,
and
of
the
28
respondent’s
right
to
appear
in
person,
be
represented
29
by
legal
counsel,
present
statements
and
evidence,
and
30
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examine
and
cross-examine
witnesses.
The
committee
1
shall
not
be
bound
by
formal
rules
of
evidence,
but
2
shall
receive
relevant
evidence,
subject
to
limitations
3
on
repetitiveness.
Any
evidence
taken
shall
be
under
4
oath.
5
b.
Subpoena
power.
The
committee
may
require,
by
6
subpoena
or
otherwise,
the
attendance
and
testimony
of
7
witnesses
and
the
production
of
such
books,
records,
8
correspondence,
memoranda,
papers,
documents,
and
any
9
other
things
it
deems
necessary
to
the
conduct
of
the
10
inquiry.
11
c.
Ex
post
facto.
An
investigation
shall
not
be
12
undertaken
by
the
committee
of
a
violation
of
a
law,
13
rule,
or
standard
of
conduct
that
is
not
in
effect
at
14
the
time
of
violation.
15
d.
Disqualification
of
member.
Members
of
the
16
committee
may
disqualify
themselves
from
participating
17
in
any
investigation
of
the
conduct
of
another
person
18
upon
submission
of
a
written
statement
that
the
member
19
cannot
render
an
impartial
and
unbiased
decision
20
in
a
case.
A
member
may
also
be
disqualified
by
a
21
unanimous
vote
of
the
remaining
eligible
members
of
the
22
committee.
23
A
member
of
the
committee
is
ineligible
to
24
participate
in
committee
meetings,
as
a
member
of
the
25
committee,
in
any
proceeding
relating
to
the
member’s
26
own
official
conduct.
27
If
a
member
of
the
committee
is
disqualified
or
28
ineligible
to
act,
the
majority
or
minority
leader
who
29
appointed
the
member
shall
appoint
a
replacement
member
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to
serve
as
a
member
of
the
committee
during
the
period
1
of
disqualification
or
ineligibility.
2
e.
Hearing.
At
the
hearing,
the
chairperson
shall
3
open
the
hearing
by
stating
the
charges,
the
purpose
of
4
the
hearing,
and
its
scope.
The
burden
of
proof
rests
5
upon
the
complainant
to
establish
the
facts
as
alleged,
6
by
clear
and
convincing
evidence.
However,
questioning
7
of
witnesses
shall
be
conducted
by
the
members
of
the
8
committee,
by
independent
special
counsel,
or
by
a
9
senator.
The
chairperson
shall
also
permit
questioning
10
by
legal
counsel
representing
the
complainant
or
11
respondent.
12
The
chairperson
or
other
member
of
the
committee
13
presiding
at
a
hearing
shall
rule
upon
procedural
14
questions
or
any
question
of
admissibility
of
evidence
15
presented
to
the
committee.
Rulings
may
be
reversed
by
16
a
majority
vote
of
the
committee
members
present.
17
The
committee
may
continue
the
hearing
to
a
future
18
date
if
necessary
for
appropriate
reasons
or
purposes.
19
f.
Committee
action.
Upon
receipt
of
all
relevant
20
evidence
and
arguments,
the
committee
shall
consider
21
the
same
and
recommend
to
the
senate
any
of
the
22
following:
23
(1)
That
the
complaint
be
dismissed.
24
(2)
That
the
senator,
candidate
for
senate,
25
lobbyist,
or
client
of
a
lobbyist
be
censured
or
26
reprimanded,
and
recommend
the
appropriate
form
of
27
censure
or
reprimand.
28
(3)
Any
other
appropriate
sanction,
including
29
suspension
or
expulsion
from
membership
in
the
senate,
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or
suspension
of
lobbying
privileges.
1
g.
Disposition
resolution.
By
appropriate
2
resolution,
the
senate
may
amend,
adopt,
or
reject
3
the
report
of
the
ethics
committee,
including
the
4
committee’s
recommendations
regarding
disciplinary
5
action.
6
20.
COMMITTEE
AUTHORIZED
TO
MEET.
The
senate
7
ethics
committee
is
authorized
to
meet
at
the
8
discretion
of
the
chairperson
to
conduct
hearings
and
9
other
business
that
properly
may
come
before
it.
If
10
the
committee
submits
a
report
seeking
senate
action
11
against
a
senator,
candidate
for
senate,
lobbyist,
or
12
client
of
a
lobbyist
after
the
second
regular
session
13
of
a
general
assembly
has
adjourned
sine
die,
the
14
report
shall
be
submitted
to
and
considered
by
the
15
subsequent
general
assembly.
However,
the
report
16
may
be
submitted
to
and
considered
during
any
special
17
session
which
may
take
place
after
the
second
regular
18
session
of
a
general
assembly
has
adjourned
sine
die,
19
but
before
the
convening
of
the
next
general
assembly.
20
21.
ADVISORY
OPINIONS.
21
a.
Requests
for
formal
opinions.
A
request
for
a
22
formal
advisory
opinion
may
be
filed
by
any
person
who
23
is
subject
to
the
authority
of
the
ethics
committee.
24
The
ethics
committee
may
also
issue
a
formal
advisory
25
opinion
on
its
own
motion,
without
having
previously
26
received
a
formal
request
for
an
opinion,
on
any
issue
27
that
is
within
the
jurisdiction
of
the
committee.
28
Requests
shall
be
filed
with
either
the
secretary
of
29
the
senate
or
the
chairperson
of
the
ethics
committee.
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b.
Form
and
contents
of
requests.
A
request
for
1
a
formal
advisory
opinion
shall
be
in
writing
and
2
may
pertain
to
any
subject
matter
that
is
related
3
to
the
application
of
the
senate
code
of
ethics,
the
4
joint
rules
governing
lobbyists,
or
chapter
68B
to
5
any
person
who
is
subject
to
the
authority
of
the
6
ethics
committee.
Requests
shall
contain
one
or
7
more
specific
questions
and
shall
relate
either
to
8
future
conduct
or
be
stated
in
the
hypothetical.
A
9
request
for
an
advisory
opinion
shall
not
specifically
10
name
any
individual
or
contain
any
other
specific
11
identifying
information,
unless
the
request
relates
12
to
the
requester’s
own
conduct.
However,
any
request
13
may
contain
information
which
identifies
the
kind
14
of
individual
who
may
be
affected
by
the
subject
15
matter
of
the
request.
Examples
of
this
latter
kind
16
of
identifying
information
may
include
references
17
to
conduct
of
a
category
of
individuals,
such
as
but
18
not
limited
to
conduct
of
legislators,
legislative
19
staff,
candidates
for
senate,
lobbyists,
or
clients
of
20
lobbyists.
21
c.
Confidentiality
of
formal
requests
and
opinions.
22
Requests
for
formal
opinions
are
not
confidential
and
23
any
deliberations
of
the
committee
regarding
a
request
24
for
a
formal
opinion
shall
be
public.
Opinions
issued
25
in
response
to
requests
for
formal
opinions
are
not
26
confidential,
shall
be
in
writing,
and
shall
be
placed
27
on
file
in
the
office
of
the
secretary
of
the
senate.
28
Persons
requesting
formal
opinions
shall
personally
29
receive
a
copy
of
the
written
formal
opinion
that
is
30
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issued
in
response
to
the
request.
1
22.
CALCULATION
OF
TIME
——
DAYS.
For
purposes
of
2
these
rules,
unless
the
context
otherwise
requires,
3
the
word
“day”
or
“days”
shall
mean
a
calendar
day
4
except
that
if
the
day
is
the
last
day
of
a
specific
5
time
period
and
falls
upon
a
Saturday,
Sunday,
or
legal
6
holiday,
the
time
prescribed
shall
be
extended
so
as
to
7
include
the
whole
of
the
next
day
in
which
the
offices
8
of
the
senate
and
the
general
assembly
are
open
for
9
official
business.
10
23.
COMPLAINT
FILING
FORM.
The
following
form
11
shall
be
used
to
file
a
complaint
under
these
rules:
12
THE
SENATE
13
Ethics
Complaint
Form
14
Re:
______________________________
(Senator/Candidate
15
for
Senate/Lobbyist/Client
of
Lobbyist),
of
16
_____________________,
Iowa.
17
I,
________________________
(Complainant),
residing
18
at
____________________,
in
the
City
of
______________,
19
State
of
________________________,
hereby
complain
20
that
_____________________________
(Senator/Candidate
21
for
Senate/Lobbyist/Client
of
Lobbyist),
whose
address
22
is
___________________________________________,
has
23
violated
the
Senate
Code
of
Ethics,
chapter
68B,
or
24
Joint
Rules
Governing
Lobbyists
in
that:
25
(Explain
the
basis
for
the
complaint
here.
Use
26
additional
pages,
if
necessary.)
27
Under
penalty
of
perjury,
I
certify
that
the
above
28
complaint
is
true
and
correct
as
I
verily
believe.
29
___________________________
30
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Signature
of
Complainant
1
SUBSCRIBED
AND
AFFIRMED
to
before
me
this
__________
2
day
of
________________________,
_______.
3
________________________________
4
Notary
Public
in
and
for
the
5
State
of
______________________
6
24.
COMPLAINT
NOTICE
FORM.
The
following
form
7
shall
be
used
for
notice
of
a
complaint
under
these
8
rules:
9
STATE
OF
IOWA
10
THE
SENATE
11
COMMITTEE
ON
ETHICS
)
12
IOWA
STATE
SENATE
)
13
)
14
On
The
Complaint
Of
)
NOTICE
OF
COMPLAINT
15
)
16
___________________________
)
17
)
18
And
Involving
)
19
)
20
___________________________
)
21
)
22
TO
________________________________,
23
Senator
or
Candidate
for
Senate
or
Lobbyist
or
24
Client
of
Lobbyist
named
above:
25
You
are
hereby
notified
that
there
is
now
on
file
26
with
the
Secretary
of
the
Senate,
State
Capitol,
Des
27
Moines,
Iowa,
a
complaint
which
alleges
that
you
have
28
committed
a
violation
of
the
Senate’s
Code
of
Ethics,
29
chapter
68B,
or
Joint
Rules
Governing
Lobbyists.
30
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A
copy
of
the
complaint
and
the
Senate
rules
for
1
processing
the
same
are
attached
hereto
and
made
a
part
2
of
this
notice.
3
You
are
further
notified
and
requested
to
file
your
4
written
answer
to
the
complaint
within
ten
days
of
the
5
date
upon
which
the
notice
was
caused
to
be
delivered
6
to
you,
(date)
________________________,
________.
7
Your
answer
is
to
be
filed
with
the
Secretary
of
the
8
Senate,
State
Capitol,
Des
Moines,
Iowa.
9
Dated
this
________
day
of
________________,
______.
10
________________________________
11
Chairperson,
Senate
Ethics
12
Committee,
13
or
Secretary
of
the
Senate
14
25.
HEARING
NOTICE
FORM.
The
following
form
shall
15
be
used
for
notice
of
a
hearing
under
these
rules:
16
STATE
OF
IOWA
17
THE
SENATE
18
COMMITTEE
ON
ETHICS
)
19
IOWA
STATE
SENATE
)
20
)
21
On
The
Complaint
Of
)
NOTICE
OF
HEARING
22
)
23
___________________________
)
24
)
25
And
Involving
)
26
)
27
___________________________
)
28
)
29
TO
________________________________,
30
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Senator
or
Candidate
for
Senate
or
Lobbyist
or
1
Client
of
Lobbyist
named
above:
2
You
are
hereby
notified
that
there
is
now
on
file
3
with
the
Secretary
of
the
Senate,
State
Capitol,
Des
4
Moines,
Iowa,
a
complaint
which
alleges
that
you
have
5
committed
a
violation
of
the
Senate’s
Code
of
Ethics,
6
chapter
68B,
or
Joint
Rules
Governing
Lobbyists.
7
A
copy
of
the
complaint
and
the
Senate
rules
for
8
processing
the
same
are
attached
hereto
and
made
a
part
9
of
this
notice.
10
You
are
further
notified
that,
after
preliminary
11
review,
the
committee
has
caused
a
public
hearing
to
be
12
scheduled
on
(date)___________________,
________,
at
13
(hour)
___________
(a.m.)
(p.m.),
in
Room
____,
State
14
Capitol,
Des
Moines,
Iowa.
15
At
the
hearing,
you
will
have
the
right
to
appear
16
in
person,
be
represented
by
legal
counsel
at
your
own
17
expense,
present
statements
and
evidence,
and
examine
18
and
cross-examine
witnesses.
The
committee
shall
19
not
be
bound
by
formal
rules
of
evidence,
but
shall
20
receive
relevant
evidence,
subject
to
limitations
on
21
repetitiveness.
Any
evidence
taken
shall
be
under
22
oath.
23
The
committee
may
continue
the
hearing
to
a
future
24
date
if
necessary
for
appropriate
reasons
or
purposes.
25
You
are
further
notified
that
the
committee
will
26
receive
such
evidence
and
take
such
action
as
warranted
27
by
the
evidence.
28
Dated
this
_____
day
of
________________,
______.
29
________________________________
30
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Chairperson,
Senate
Ethics
1
Committee,
2
or
Secretary
of
the
Senate
3
26.
PERSONAL
FINANCIAL
DISCLOSURE
FORM.
The
4
following
form
shall
be
used
for
disclosure
of
economic
5
interests
under
these
rules
and
section
68B.35:
6
STATEMENT
OF
ECONOMIC
INTERESTS
7
Name:________________________________________________
8
(Last)
(First)
(Middle
Initial)
9
Address:_____________________________________________
10
(Street
Address,
Apt.#/P.O.
Box)
11
______________________________________________
12
(City)
(State)
(Zip)
13
Phone:(Home)
____/____-_____(Business)
____/____-_____
14
******************************************************
15
a.
Please
list
each
business,
occupation,
or
16
profession
in
which
you
are
engaged.
In
listing
17
the
business,
occupation,
or
profession,
it
is
18
not
necessary
that
your
employer
or
the
name
of
19
the
business
be
listed,
although
all
businesses,
20
occupations,
or
professions
must
be
listed,
regardless
21
of
the
amount
of
income
derived
or
time
spent
22
participating
in
the
activity.
(Examples
of
types
23
of
businesses,
occupations,
or
professions
that
may
24
be
listed:
teacher,
lawyer,
legislator,
real
estate
25
agent,
insurance
adjuster,
salesperson....)
26
(1)
__________________________________________________
27
(2)
__________________________________________________
28
(3)
__________________________________________________
29
(4)
__________________________________________________
30
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(5)
__________________________________________________
1
b.
Please
list
the
nature
of
each
of
the
2
businesses,
occupations,
or
professions
which
you
3
listed
in
paragraph
“a”,
above,
unless
the
nature
of
4
the
business,
occupation,
or
profession
is
already
5
apparent
from
the
information
indicated
above.
The
6
descriptions
in
this
paragraph
should
correspond
by
7
number
to
the
numbers
for
each
of
the
businesses,
8
occupations,
or
professions
listed
in
paragraph
“a”.
9
(Examples:
If
you
indicated,
for
example,
that
you
10
were
a
salesperson
in
subparagraph
(1)
of
paragraph
11
“a”,
you
should
list
in
subparagraph
(1)
of
this
12
paragraph
the
types
of
goods
or
services
sold
in
this
13
item.
If
you
indicated
that
you
were
a
teacher
in
14
subparagraph
(2)
of
paragraph
“a”,
you
should
indicate
15
in
subparagraph
(2)
of
this
paragraph
the
type
of
16
school
or
institution
in
which
you
provide
instruction
17
or
whether
the
instruction
is
provided
on
a
private
18
basis.
If
you
indicated
that
you
were
a
lawyer
in
19
subparagraph
(3)
of
paragraph
“a”,
you
should
indicate
20
your
areas
of
practice
and
whether
you
are
in
private,
21
corporate,
or
government
practice
in
subparagraph
(3)
22
of
this
paragraph.
If
you
indicated
in
subparagraph
23
(4)
of
paragraph
“a”
that
you
were
a
consultant,
in
24
subparagraph
(4)
of
this
paragraph
you
should
indicate
25
the
kind
of
services
provided
and
types
of
clients
26
served.)
27
(1)
__________________________________________________
28
(2)
__________________________________________________
29
(3)
__________________________________________________
30
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(4)
__________________________________________________
1
(5)
__________________________________________________
2
c.
Please
list
each
source,
by
general
description,
3
from
which
you
receive,
or
which
generates,
more
than
4
one
thousand
dollars
in
gross
annual
income
in
the
5
categories
listed
below.
For
purposes
of
this
item,
6
a
source
produces
gross
annual
income
if
the
revenue
7
produced
by
the
source
is
subject
to
federal
or
state
8
income
taxes.
In
completing
this
item,
it
is
not
9
necessary
to
list
the
name
of
the
company,
business,
10
financial
institution,
corporation,
partnership,
or
11
other
entity
which
constitutes
the
source
of
the
income
12
and
the
amount
or
value
of
the
holding
should
not
be
13
listed.
14
(1)
Securities
(Here
for
example,
you
need
not
15
state
that
you
own
X
number
of
shares
of
any
specific
16
company
by
brand
or
corporate
name,
or
that
the
stock
17
is
of
a
certain
value,
but
may
instead
state
that
you
18
possess
stock
in
a
company
and
indicate
the
nature
of
19
the
company’s
business.):
20
______________________________________________________
21
______________________________________________________
22
______________________________________________________
23
______________________________________________________
24
______________________________________________________
25
(2)
Instruments
of
Financial
Institutions
(You
26
need
not
indicate,
for
example,
in
which
institutions
27
you
hold
certificates
of
deposit
that
produce
annual
28
income
over
the
one
thousand
dollar
threshold,
but
29
simply
listing
the
nature
of
the
institution
will
30
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suffice,
e.g.,
bank,
credit
union,
or
savings
and
loan
1
association.):
2
______________________________________________________
3
______________________________________________________
4
______________________________________________________
5
______________________________________________________
6
______________________________________________________
7
(3)
Trusts
(The
name
of
the
particular
trust
need
8
not
be
listed.
However,
if
the
income
is
received
9
from
a
charitable
trust/foundation,
such
as
the
Pugh
10
Charitable
Trust,
in
the
form
of
a
grant,
the
fact
that
11
the
trust
is
a
charitable
trust
should
be
noted
here.):
12
______________________________________________________
13
______________________________________________________
14
______________________________________________________
15
______________________________________________________
16
______________________________________________________
17
(4)
Real
Estate
(When
listing
real
estate,
it
is
18
not
necessary
to
list
the
location
of
the
property,
but
19
the
general
nature
of
the
real
estate
interest
should
20
be
indicated,
e.g.,
residential
leasehold
interest
or
21
farm
leasehold
interest.):
22
______________________________________________________
23
______________________________________________________
24
______________________________________________________
25
______________________________________________________
26
______________________________________________________
27
(5)
Retirement
Systems
(When
listing
retirement
28
benefits,
it
is
not
necessary
to
list
the
name
of
29
the
particular
pension
system
or
company,
but
rather
30
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the
type
of
benefit
should
be
listed,
e.g.,
health
1
benefits,
life
insurance
benefits,
private
pension,
or
2
government
pension.):
3
______________________________________________________
4
______________________________________________________
5
______________________________________________________
6
______________________________________________________
7
______________________________________________________
8
(Signature
of
filer)
(Date)
9
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