Bill Text: IA SSB3097 | 2013-2014 | 85th General Assembly | Introduced


Bill Title: A resolution amending the Senate Code of Ethics relating to employment restrictions for senators.

Spectrum: Unknown

Status: (N/A - Dead) 2014-01-23 - In Ethics [SSB3097 Detail]

Download: Iowa-2013-SSB3097-Introduced.html
Senate Study Bill 3097 - Introduced SENATE RESOLUTION NO. _____ BY (PROPOSED COMMITTEE ON ETHICS RESOLUTION BY CHAIRPERSON HORN) A Resolution amending the Senate Code of Ethics 1 relating to employment restrictions for senators. 2 BE IT RESOLVED BY THE SENATE, That the Senate Code 3 of Ethics, as adopted by the Senate during the 2013 4 Session in Senate Resolution 3, is amended to read as 5 follows: 6 SENATE CODE OF ETHICS 7 PREAMBLE. Every legislator owes a duty to uphold 8 the integrity and honor of the general assembly, to 9 encourage respect for the law and for the general 10 assembly and the members thereof, and to observe the 11 legislative code of ethics. 12 In doing so, members of the senate have a duty to 13 conduct themselves so as to reflect credit on the 14 general assembly, and to inspire the confidence, 15 respect, and trust of the public, and to strive to 16 avoid both unethical and illegal conduct and the 17 appearance of unethical and illegal conduct. 18 Recognizing that service in the Iowa general 19 assembly is a part-time endeavor and that members of 20 the general assembly are honorable individuals who 21 are active in the affairs of their localities and 22 elsewhere and that it is necessary that they maintain 23 a livelihood and source of income apart from their 24 legislative compensation, the following rules are 25 adopted pursuant to section 68B.31, to assist the 26 members in the conduct of their legislative affairs. 27 -1- LSB 5046XC (2) 85 tm/rj 1/ 25
S.R. _____ 1. ECONOMIC INTEREST OF SENATOR. Taking into 1 account that legislative service is part-time, a 2 senator shall not accept economic or investment 3 opportunity, under circumstances where the senator 4 knows, or should know, that there is a reasonable 5 possibility that the opportunity is being afforded the 6 senator with intent to influence the senator’s conduct 7 in the performance of official duties. 8 2. DIVESTITURE. Where a senator learns that 9 an economic or investment opportunity previously 10 accepted was offered with the intent of influencing 11 the senator’s conduct in the performance of official 12 duties, the senator shall take steps to divest that 13 senator of that investment or economic opportunity, and 14 shall report the facts of the situation to the senate 15 ethics committee. 16 3. CHARGES FOR SERVICES. A senator shall not 17 charge to or accept from a person, corporation, 18 partnership, or association known to have a legislative 19 interest a price, fee, compensation, or other 20 consideration for the sale or lease of any property or 21 the furnishing of services which is in excess of that 22 which the senator would charge another. 23 4. USE OF CONFIDENTIAL INFORMATION. A senator in 24 order to further the senator’s own economic or other 25 interests, or those of any other person, shall not 26 disclose or use confidential information acquired in 27 the course of official duties. 28 5. HONORARIA. A senator shall not accept an 29 honorarium from a restricted donor for a speech, 30 -2- LSB 5046XC (2) 85 tm/rj 2/ 25
S.R. _____ writing for publication, or other similar activity, 1 except as otherwise provided in section 68B.23. 2 6. EMPLOYMENT. A senator shall not accept 3 employment, either directly or indirectly, from a 4 political action committee , a candidate committee, 5 or from an organization exempt from taxation under 6 section 501(c)(4), 501(c)(6), or 527 of the Internal 7 Revenue Code that engages in activities related to the 8 nomination, election, or defeat of a candidate for 9 public office. A senator may accept employment from 10 a political party, but shall disclose the employment 11 relationship in writing to the secretary of the senate 12 within ten days after the beginning of each legislative 13 session. If a senator accepts employment from a 14 political party during a legislative session, the 15 senator shall disclose the employment relationship 16 within ten days after acceptance of the employment. 17 For the purpose of this rule, a political action 18 committee means a committee , but not a candidate’s 19 committee, which accepts contributions, makes 20 expenditures, or incurs indebtedness in the aggregate 21 of more than seven hundred fifty dollars in any one 22 calendar year to expressly advocate the nomination, 23 election, or defeat of a candidate for public office 24 or to expressly advocate the passage or defeat of 25 a ballot issue or influencing legislative action, 26 or an association, lodge, society, cooperative, 27 union, fraternity, sorority, educational institution, 28 civic organization, labor organization, religious 29 organization, or professional organization which makes 30 -3- LSB 5046XC (2) 85 tm/rj 3/ 25
S.R. _____ contributions in the aggregate of more than seven 1 hundred fifty dollars in any one calendar year to 2 expressly advocate the nomination, election, or defeat 3 of a candidate for public office or ballot issue or 4 influencing legislative action. 5 For the purpose of this rule, a candidate committee 6 means the committee designated by any candidate for 7 a federal, state, county, city, or school office to 8 receive contributions in excess of seven hundred fifty 9 dollars in the aggregate, expend funds in excess of 10 seven hundred fifty dollars in the aggregate, or incur 11 indebtedness on behalf of the candidate in excess of 12 seven hundred fifty dollars in the aggregate in any 13 calendar year. 14 7. ECONOMIC INTERESTS OF LOBBYIST. With the 15 exception of exercising unfettered discretion in 16 supporting or refusing to support proposed legislation, 17 a senator shall not take action intended to affect the 18 economic interests of a lobbyist or citizen supporting 19 or opposing proposed legislation. 20 8. APPEARANCE BEFORE GOVERNMENTAL AGENCY. A 21 senator may appear before a governmental agency or 22 board in any representation case, except that the 23 senator shall not act as a lobbyist. Whenever a 24 senator appears before a governmental agency or board, 25 the senator shall carefully avoid all conduct which 26 might in any way lead members of the general public 27 to conclude that the senator is using the senator’s 28 official position to further the senator’s professional 29 success or personal financial interest. 30 -4- LSB 5046XC (2) 85 tm/rj 4/ 25
S.R. _____ 9. CONFLICTS OF INTERESTS. In order to permit the 1 general assembly to function effectively, a senator 2 will sometimes be required to vote on bills and 3 participate in committee work which will affect the 4 senator’s employment and other monetary interests. In 5 making a decision relative to the senator’s activity on 6 given bills or committee work which are subject to the 7 code, the following factors shall be considered: 8 a. Whether a substantial threat to the senator’s 9 independence of judgment has been created by the 10 conflict situation. 11 b. The effect of the senator’s participation on 12 public confidence in the integrity of the legislature. 13 c. The need for the senator’s particular 14 contribution, such as special knowledge of the 15 subject matter, to the effective functioning of the 16 legislature. 17 A senator with a conflict of interest may 18 participate in floor debate if prior to debate the 19 senator indicates the conflict of interest. 20 10. GIFTS. Except as otherwise provided in section 21 68B.22, a senator, or that person’s immediate family 22 member, shall not, directly or indirectly, accept or 23 receive any gift or series of gifts from a restricted 24 donor. 25 11. DISCLOSURE REQUIRED. Each senator shall file 26 with the secretary of the senate within ten days after 27 the adoption of the code of ethics by the senate, and 28 within ten days after the convening of the second 29 session of the general assembly, a statement under 30 -5- LSB 5046XC (2) 85 tm/rj 5/ 25
S.R. _____ section 68B.35 on forms provided by the secretary of 1 the senate setting forth the following information: 2 The nature of each business in which the senator 3 is engaged and the nature of the business of each 4 company in which the senator has a financial interest. 5 A senator shall not be required to file a report or 6 be assumed to have a financial interest if the annual 7 income derived from the investment in stocks, bonds, 8 bills, notes, mortgages, or other securities offered 9 for sale through recognized financial brokers is less 10 than one thousand dollars. 11 Disclosures required under this rule shall be as 12 of the date filed unless provided to the contrary, 13 and shall be amended to include interests and changes 14 encompassed by this rule that occur while the general 15 assembly is in session. All filings under this rule 16 shall be open to public inspection in the office of the 17 secretary of the senate at all reasonable times. 18 The secretary of the senate shall inform the 19 ethics committee of the statements which are filed 20 and shall report to the ethics committee the names of 21 any senators who appear not to have filed complete 22 statements. The chairperson of the ethics committee 23 shall request in writing that a senator who has failed 24 to complete the report or appears to have filed an 25 incomplete report do so within five days, and, upon 26 the failure of the senator to comply, the ethics 27 committee shall require the senator to appear before 28 the committee. 29 12. STATUTORY VIOLATIONS. Members of the general 30 -6- LSB 5046XC (2) 85 tm/rj 6/ 25
S.R. _____ assembly are urged to familiarize themselves with 1 chapters 68B, 721, and 722. 2 13. CHARGE ACCOUNTS. Senators shall not charge any 3 amount or item to any charge account to be paid for by 4 any lobbyist or any client the lobbyist represents. 5 14. TRAVEL EXPENSES. A senator shall not charge 6 to the state of Iowa amounts for travel and expenses 7 unless the senator actually has incurred those mileage 8 and expense costs. Senators shall not file the 9 vouchers for weekly mileage reimbursement required 10 by section 2.10, subsection 1, unless the travel 11 was actually incurred at commensurate expense to the 12 senator. 13 15. COMPLAINTS. Complaints or charges against 14 any senator or any lobbyist shall be in writing, made 15 under oath, and filed with the secretary of the senate 16 or the chairperson of the ethics committee. If filed 17 with the secretary of the senate, the secretary shall 18 immediately advise the chairperson of the ethics 19 committee of the receipt of the complaint. 20 Complaint forms shall be available from the 21 secretary of the senate, or the chairperson of the 22 ethics committee, but a complaint shall not be rejected 23 for failure to use an approved form if the complaint 24 substantially complies with senate requirements. 25 A complainant may submit exhibits and affidavits 26 attached to the complaint. 27 16. FILING OF COMPLAINTS. 28 a. Persons entitled. Complaints may be filed by any 29 person believing that a senator, lobbyist, or client 30 -7- LSB 5046XC (2) 85 tm/rj 7/ 25
S.R. _____ of a lobbyist has violated the senate ethics code, 1 the joint rules governing lobbyists, or chapter 68B 2 of the Iowa Code. A violation of the criminal law may 3 be considered to be a violation of this code of ethics 4 if the violation constitutes a serious misdemeanor or 5 greater, or a repetitive and flagrant violation of the 6 law. 7 b. Committee complaint. The ethics committee 8 may, upon its own motion, initiate a complaint, 9 investigation, or disciplinary action. 10 c. Timeliness of filing. A complaint will be 11 considered to be timely filed if it is filed within 12 three years of the occurrence of the alleged violation 13 of the ethics code. 14 17. PERMANENT RECORD. The secretary of the senate 15 shall maintain a permanent record of all complaints 16 filed, evidence received by the committee, and any 17 transcripts or other recordings made of committee 18 proceedings, including a separate card file containing 19 the date filed, name and address of the complainant, 20 name and address of the respondent, a brief statement 21 of the charges made, and ultimate disposition of 22 the complaint. The secretary shall keep each such 23 complaint confidential until public disclosure is made 24 by the ethics committee. 25 18. PREHEARING PROCEDURE. 26 a. Defective complaint. Upon receipt of a 27 complaint, the chairperson and ranking member of the 28 ethics committee shall determine whether the complaint 29 substantially complies with the requirements of this 30 -8- LSB 5046XC (2) 85 tm/rj 8/ 25
S.R. _____ code of ethics and section 68B.31, subsection 6. If 1 the complaint does not substantially comply with 2 the requirements for formal sufficiency under the 3 code of ethics, the complaint may be returned to the 4 complainant with a statement that the complaint is not 5 in compliance with the code and a copy of the code. If 6 the complainant fails to amend the complaint to comply 7 with the code within a reasonable time, the chairperson 8 and ranking member may dismiss the complaint with 9 prejudice for failure to prosecute. 10 b. Service of complaint on respondent. Upon 11 receipt of any complaint substantially complying 12 with the requirements of this code of ethics, the 13 chairperson of the ethics committee shall cause a copy 14 of the complaint and any supporting information to 15 be delivered promptly to the respondent, requesting 16 a written response to be filed within ten days. The 17 response may do any of the following: 18 (1) Admit or deny the allegation or allegations. 19 (2) Object that the allegation fails to allege a 20 violation of chapter 68B or the code of ethics. 21 (3) Object to the jurisdiction of the committee. 22 (4) Request a more specific statement of the 23 allegation or allegations. 24 c. Objection to member. In addition to the 25 items which may be included in a response pursuant 26 to paragraph “b”, the response may also include an 27 objection to the participation of any member of the 28 committee in the consideration of the allegation or 29 allegations on the grounds that the member cannot 30 -9- LSB 5046XC (2) 85 tm/rj 9/ 25
S.R. _____ render an impartial and unbiased decision. 1 d. Extension of time. At the request of the 2 respondent and upon a showing of good cause, the 3 committee, or the chairperson and ranking member, 4 may extend the time for response, not to exceed ten 5 additional days. 6 e. Confidentiality. If a complaint is not 7 otherwise made public, the members of the committee 8 shall treat the complaint and all supporting 9 information as confidential until the written response 10 is received from the respondent. 11 f. Communications with ethics committee. After a 12 complaint has been filed or an investigation has been 13 initiated, a party to the complaint or investigation 14 shall not communicate, or cause another to communicate, 15 as to the merits of the complaint or investigation with 16 a member of the committee, except under the following 17 circumstances: 18 (1) During the course of any meetings or other 19 official proceedings of the committee regarding the 20 complaint or investigation. 21 (2) In writing, if a copy of the writing is 22 delivered to the adverse party or the designated 23 representative for the adverse party. 24 (3) Orally, if adequate prior notice of the 25 communication is given to the adverse party or the 26 designated representative for the adverse party. 27 (4) As otherwise authorized by statute, the senate 28 code of ethics, the joint rules governing lobbyists, or 29 vote of the committee. 30 -10- LSB 5046XC (2) 85 tm/rj 10/ 25
S.R. _____ g. Scheduling hearing. Upon receipt of the 1 response, the committee shall schedule a public meeting 2 to review the complaint and available information, and 3 shall do one of the following: 4 (1) Notify the complainant that no further 5 action will be taken, unless further substantiating 6 information is produced. 7 (2) Dismiss the complaint for failure to meet the 8 statutory and code of ethics requirements for valid 9 complaints. 10 (3) Take action on the complaint without requesting 11 the appointment of an independent special counsel 12 if the committee determines the complaint is valid 13 and determines no dispute exists between the parties 14 regarding the material facts that establish a 15 violation. The committee may do any of the following: 16 (a) Issue an admonishment to advise against the 17 conduct that formed the basis for the complaint and to 18 exercise care in the future. 19 (b) Issue an order to cease and desist the conduct 20 that formed the basis for the complaint. 21 (c) Make a recommendation to the senate that 22 the person subject to the complaint be censured or 23 reprimanded. 24 (4) Request that the chief justice of the supreme 25 court appoint an independent special counsel to conduct 26 an investigation of the complaint and supporting 27 information, to make a determination of probable cause, 28 and to report the findings to the committee, which 29 shall be received within a reasonable time. 30 -11- LSB 5046XC (2) 85 tm/rj 11/ 25
S.R. _____ h. Public hearing. If independent special counsel 1 is appointed, upon receipt of the report of independent 2 special counsel’s findings, the committee shall 3 schedule a public meeting to review the report and 4 shall do either of the following: 5 (1) Cause the complaint to be scheduled for a 6 public hearing. 7 (2) Dismiss the complaint based upon a 8 determination by independent special counsel and the 9 committee that insufficient evidence exists to support 10 a finding of probable cause. 11 19. HEARING PROCEDURE. 12 a. Notice of hearing. If the committee causes a 13 complaint to be scheduled for a public hearing, notice 14 of the hearing date and time shall be given to the 15 complainant and respondent in writing, and of the 16 respondent’s right to appear in person, be represented 17 by legal counsel, present statements and evidence, and 18 examine and cross-examine witnesses. The committee 19 shall not be bound by formal rules of evidence, but 20 shall receive relevant evidence, subject to limitations 21 on repetitiveness. Any evidence taken shall be under 22 oath. 23 b. Subpoena power. The committee may require, by 24 subpoena or otherwise, the attendance and testimony of 25 witnesses and the production of such books, records, 26 correspondence, memoranda, papers, documents, and any 27 other things it deems necessary to the conduct of the 28 inquiry. 29 c. Ex post facto. An investigation shall not be 30 -12- LSB 5046XC (2) 85 tm/rj 12/ 25
S.R. _____ undertaken by the committee of a violation of a law, 1 rule, or standard of conduct that is not in effect at 2 the time of violation. 3 d. Disqualification of member. Members of the 4 committee may disqualify themselves from participating 5 in any investigation of the conduct of another person 6 upon submission of a written statement that the member 7 cannot render an impartial and unbiased decision 8 in a case. A member may also be disqualified by a 9 unanimous vote of the remaining eligible members of the 10 committee. 11 A member of the committee is ineligible to 12 participate in committee meetings, as a member of the 13 committee, in any proceeding relating to the member’s 14 own official conduct. 15 If a member of the committee is disqualified or 16 ineligible to act, the majority or minority leader who 17 appointed the member shall appoint a replacement member 18 to serve as a member of the committee during the period 19 of disqualification or ineligibility. 20 e. Hearing. At the hearing, the chairperson shall 21 open the hearing by stating the charges, the purpose of 22 the hearing, and its scope. The burden of proof rests 23 upon the complainant to establish the facts as alleged, 24 by clear and convincing evidence. However, questioning 25 of witnesses shall be conducted by the members of the 26 committee, by independent special counsel, or by a 27 senator. The chairperson shall also permit questioning 28 by legal counsel representing the complainant or 29 respondent. 30 -13- LSB 5046XC (2) 85 tm/rj 13/ 25
S.R. _____ The chairperson or other member of the committee 1 presiding at a hearing shall rule upon procedural 2 questions or any question of admissibility of evidence 3 presented to the committee. Rulings may be reversed by 4 a majority vote of the committee members present. 5 The committee may continue the hearing to a future 6 date if necessary for appropriate reasons or purposes. 7 f. Committee action. Upon receipt of all relevant 8 evidence and arguments, the committee shall consider 9 the same and recommend to the senate any of the 10 following: 11 (1) That the complaint be dismissed. 12 (2) That the senator, lobbyist, or client of a 13 lobbyist be censured or reprimanded, and recommend the 14 appropriate form of censure or reprimand. 15 (3) Any other appropriate sanction, including 16 suspension or expulsion from membership in the senate, 17 or suspension of lobbying privileges. 18 g. Disposition resolution. By appropriate 19 resolution, the senate may amend, adopt, or reject 20 the report of the ethics committee, including the 21 committee’s recommendations regarding disciplinary 22 action. 23 20. COMMITTEE AUTHORIZED TO MEET. The senate 24 ethics committee is authorized to meet at the 25 discretion of the chairperson to conduct hearings and 26 other business that properly may come before it. If 27 the committee submits a report seeking senate action 28 against a senator, lobbyist, or client of a lobbyist 29 after the second regular session of a general assembly 30 -14- LSB 5046XC (2) 85 tm/rj 14/ 25
S.R. _____ has adjourned sine die, the report shall be submitted 1 to and considered by the subsequent general assembly. 2 However, the report may be submitted to and considered 3 during any special session which may take place after 4 the second regular session of a general assembly has 5 adjourned sine die, but before the convening of the 6 next general assembly. 7 21. ADVISORY OPINIONS. 8 a. Requests for formal opinions. A request for a 9 formal advisory opinion may be filed by any person who 10 is subject to the authority of the ethics committee. 11 The ethics committee may also issue a formal advisory 12 opinion on its own motion, without having previously 13 received a formal request for an opinion, on any issue 14 that is within the jurisdiction of the committee. 15 Requests shall be filed with either the secretary of 16 the senate or the chairperson of the ethics committee. 17 b. Form and contents of requests. A request for 18 a formal advisory opinion shall be in writing and 19 may pertain to any subject matter that is related 20 to the application of the senate code of ethics, the 21 joint rules governing lobbyists, or chapter 68B of the 22 Code to any person who is subject to the authority of 23 the ethics committee. Requests shall contain one or 24 more specific questions and shall relate either to 25 future conduct or be stated in the hypothetical. A 26 request for an advisory opinion shall not specifically 27 name any individual or contain any other specific 28 identifying information, unless the request relates 29 to the requester’s own conduct. However, any request 30 -15- LSB 5046XC (2) 85 tm/rj 15/ 25
S.R. _____ may contain information which identifies the kind 1 of individual who may be affected by the subject 2 matter of the request. Examples of this latter kind 3 of identifying information may include references to 4 conduct of a category of individuals, such as but not 5 limited to conduct of legislators, legislative staff, 6 lobbyists, or clients of lobbyists. 7 c. Confidentiality of formal requests and opinions. 8 Requests for formal opinions are not confidential and 9 any deliberations of the committee regarding a request 10 for a formal opinion shall be public. Opinions issued 11 in response to requests for formal opinions are not 12 confidential, shall be in writing, and shall be placed 13 on file in the office of the secretary of the senate. 14 Persons requesting formal opinions shall personally 15 receive a copy of the written formal opinion that is 16 issued in response to the request. 17 22. CALCULATION OF TIME —— DAYS. For purposes of 18 these rules, unless the context otherwise requires, 19 the word “day” or “days” shall mean a calendar day 20 except that if the day is the last day of a specific 21 time period and falls upon a Saturday, Sunday, or legal 22 holiday, the time prescribed shall be extended so as to 23 include the whole of the next day in which the offices 24 of the senate and the general assembly are open for 25 official business. 26 23. COMPLAINT FILING FORM. The following form 27 shall be used to file a complaint under these rules: 28 THE SENATE 29 Ethics Complaint Form 30 -16- LSB 5046XC (2) 85 tm/rj 16/ 25
S.R. _____ Re: ______________________________ 1 (Senator/Lobbyist/Client of Lobbyist), of 2 _____________________, Iowa. 3 I, ________________________ (Complainant), 4 residing at ____________________, in the City of 5 ______________, State of ________________________, 6 hereby complain that _____________________________ 7 (Senator/Lobbyist/Client of Lobbyist), whose address 8 is ___________________________________________, has 9 violated the Senate Code of Ethics or Joint Rules 10 Governing Lobbyists in that: 11 (Explain the basis for the complaint here. Use 12 additional pages, if necessary.) 13 Under penalty of perjury, I certify that the above 14 complaint is true and correct as I verily believe. 15 ___________________________ 16 Signature of Complainant 17 SUBSCRIBED AND AFFIRMED to before me this __________ 18 day of ________________________, _______. 19 ________________________________ 20 Notary Public in and for the 21 State of ______________________ 22 24. COMPLAINT NOTICE FORM. The following form 23 shall be used for notice of a complaint under these 24 rules: 25 STATE OF IOWA 26 THE SENATE 27 COMMITTEE ON ETHICS ) 28 IOWA STATE SENATE ) 29 ) 30 -17- LSB 5046XC (2) 85 tm/rj 17/ 25
S.R. _____ On The Complaint Of ) NOTICE OF COMPLAINT 1 ) 2 ___________________________ ) 3 ) 4 And Involving ) 5 ) 6 ___________________________ ) 7 ) 8 TO ________________________________, 9 Senator or Lobbyist or Client of Lobbyist named 10 above: 11 You are hereby notified that there is now on file 12 with the Secretary of the Senate, State Capitol, Des 13 Moines, Iowa, a complaint which alleges that you have 14 committed a violation of the Senate’s Code of Ethics or 15 Joint Rules Governing Lobbyists. 16 A copy of the complaint and the Senate rules for 17 processing the same are attached hereto and made a part 18 of this notice. 19 You are further notified and requested to file your 20 written answer to the complaint within ten days of the 21 date upon which the notice was caused to be delivered 22 to you, (date) ________________________, ________. 23 Your answer is to be filed with the Secretary of the 24 Senate, State Capitol, Des Moines, Iowa. 25 Dated this ________ day of ________________, ______. 26 ________________________________ 27 Chair, Senate Ethics Committee, 28 or Secretary of the Senate 29 25. HEARING NOTICE FORM. The following form shall 30 -18- LSB 5046XC (2) 85 tm/rj 18/ 25
S.R. _____ be used for notice of a hearing under these rules: 1 STATE OF IOWA 2 THE SENATE 3 COMMITTEE ON ETHICS ) 4 IOWA STATE SENATE ) 5 ) 6 On The Complaint Of ) NOTICE OF HEARING 7 ) 8 ___________________________ ) 9 ) 10 And Involving ) 11 ) 12 ___________________________ ) 13 ) 14 TO ________________________________, 15 Senator or Lobbyist or Client of Lobbyist named 16 above: 17 You are hereby notified that there is now on file 18 with the Secretary of the Senate, State Capitol, Des 19 Moines, Iowa, a complaint which alleges that you have 20 committed a violation of the Senate’s Code of Ethics or 21 Joint Rules Governing Lobbyists. 22 A copy of the complaint and the Senate rules for 23 processing the same are attached hereto and made a part 24 of this notice. 25 You are further notified that, after preliminary 26 review, the committee has caused a public hearing to be 27 scheduled on (date)___________________, ________, at 28 (hour) ___________ (a.m.) (p.m.), in Room ____, State 29 Capitol, Des Moines, Iowa. 30 -19- LSB 5046XC (2) 85 tm/rj 19/ 25
S.R. _____ At the hearing, you will have the right to appear 1 in person, be represented by legal counsel at your own 2 expense, present statements and evidence, and examine 3 and cross-examine witnesses. The committee shall 4 not be bound by formal rules of evidence, but shall 5 receive relevant evidence, subject to limitations on 6 repetitiveness. Any evidence taken shall be under 7 oath. 8 The committee may continue the hearing to a future 9 date if necessary for appropriate reasons or purposes. 10 You are further notified that the committee will 11 receive such evidence and take such action as warranted 12 by the evidence. 13 Dated this _____ day of ________________, ______. 14 ________________________________ 15 Chair, Senate Ethics Committee, 16 or Secretary of the Senate 17 26. PERSONAL FINANCIAL DISCLOSURE FORM. The 18 following form shall be used for disclosure of economic 19 interests under these rules and section 68B.35: 20 STATEMENT OF ECONOMIC INTERESTS 21 Name:________________________________________________ 22 (Last) (First) (Middle Initial) 23 Address:_____________________________________________ 24 (Street Address, Apt.#/P.O. Box) 25 ______________________________________________ 26 (City) (State) (Zip) 27 Phone:(Home) ____/____-_____(Business) ____/____-_____ 28 ****************************************************** 29 a. Please list each business, occupation, or 30 -20- LSB 5046XC (2) 85 tm/rj 20/ 25
S.R. _____ profession in which you are engaged. In listing 1 the business, occupation, or profession, it is 2 not necessary that your employer or the name of 3 the business be listed, although all businesses, 4 occupations, or professions must be listed, regardless 5 of the amount of income derived or time spent 6 participating in the activity. (Examples of types 7 of businesses, occupations, or professions that may 8 be listed: teacher, lawyer, legislator, real estate 9 agent, insurance adjuster, salesperson....) 10 (1) __________________________________________________ 11 (2) __________________________________________________ 12 (3) __________________________________________________ 13 (4) __________________________________________________ 14 (5) __________________________________________________ 15 b. Please list the nature of each of the 16 businesses, occupations, or professions which you 17 listed in paragraph “a”, above, unless the nature of 18 the business, occupation, or profession is already 19 apparent from the information indicated above. The 20 descriptions in this paragraph should correspond by 21 number to the numbers for each of the businesses, 22 occupations, or professions listed in paragraph “a”. 23 (Examples: If you indicated, for example, that you 24 were a salesperson in subparagraph (1) of paragraph 25 “a”, you should list in subparagraph (1) of this 26 paragraph the types of goods or services sold in this 27 item. If you indicated that you were a teacher in 28 subparagraph (2) of paragraph “a”, you should indicate 29 in subparagraph (2) of this paragraph the type of 30 -21- LSB 5046XC (2) 85 tm/rj 21/ 25
S.R. _____ school or institution in which you provide instruction 1 or whether the instruction is provided on a private 2 basis. If you indicated that you were a lawyer in 3 subparagraph (3) of paragraph “a”, you should indicate 4 your areas of practice and whether you are in private, 5 corporate, or government practice in subparagraph (3) 6 of this paragraph. If you indicated in subparagraph 7 (4) of paragraph “a” that you were a consultant, in 8 subparagraph (4) of this paragraph you should indicate 9 the kind of services provided and types of clients 10 served.) 11 (1) __________________________________________________ 12 (2) __________________________________________________ 13 (3) __________________________________________________ 14 (4) __________________________________________________ 15 (5) __________________________________________________ 16 c. Please list each source, by general description, 17 from which you receive, or which generates, more than 18 one thousand dollars in gross annual income in the 19 categories listed below. For purposes of this item, 20 a source produces gross annual income if the revenue 21 produced by the source is subject to federal or state 22 income taxes. In completing this item, it is not 23 necessary to list the name of the company, business, 24 financial institution, corporation, partnership, or 25 other entity which constitutes the source of the income 26 and the amount or value of the holding should not be 27 listed. 28 (1) Securities (Here for example, you need not 29 state that you own X number of shares of any specific 30 -22- LSB 5046XC (2) 85 tm/rj 22/ 25
S.R. _____ company by brand or corporate name, or that the stock 1 is of a certain value, but may instead state that you 2 possess stock in a company and indicate the nature of 3 the company’s business.): 4 ______________________________________________________ 5 ______________________________________________________ 6 ______________________________________________________ 7 ______________________________________________________ 8 ______________________________________________________ 9 (2) Instruments of Financial Institutions (You 10 need not indicate, for example, in which institutions 11 you hold certificates of deposit that produce annual 12 income over the one thousand dollar threshold, but 13 simply listing the nature of the institution will 14 suffice, e.g., bank, credit union, or savings and loan 15 association.): 16 ______________________________________________________ 17 ______________________________________________________ 18 ______________________________________________________ 19 ______________________________________________________ 20 ______________________________________________________ 21 (3) Trusts (The name of the particular trust need 22 not be listed. However, if the income is received from 23 a charitable trust/foundation, such as the Pugh Pew 24 Charitable Trust, in the form of a grant, the fact that 25 the trust is a charitable trust should be noted here.): 26 ______________________________________________________ 27 ______________________________________________________ 28 ______________________________________________________ 29 ______________________________________________________ 30 -23- LSB 5046XC (2) 85 tm/rj 23/ 25
S.R. _____ ______________________________________________________ 1 (4) Real Estate (When listing real estate, it is 2 not necessary to list the location of the property, but 3 the general nature of the real estate interest should 4 be indicated, e.g., residential leasehold interest or 5 farm leasehold interest.): 6 ______________________________________________________ 7 ______________________________________________________ 8 ______________________________________________________ 9 ______________________________________________________ 10 ______________________________________________________ 11 (5) Retirement Systems (When listing retirement 12 benefits, it is not necessary to list the name of 13 the particular pension system or company, but rather 14 the type of benefit should be listed, e.g., health 15 benefits, life insurance benefits, private pension, or 16 government pension.): 17 ______________________________________________________ 18 ______________________________________________________ 19 ______________________________________________________ 20 ______________________________________________________ 21 ______________________________________________________ 22 (6) Other Income Categories Specified in State or 23 Federal Income Tax Regulations (List description of 24 other sources of income producing over one thousand 25 dollars in annual income not previously reported above, 26 but which must be reported for income tax purposes.): 27 ______________________________________________________ 28 ______________________________________________________ 29 ______________________________________________________ 30 -24- LSB 5046XC (2) 85 tm/rj 24/ 25
S.R. _____ ______________________________________________________ 1 ______________________________________________________ 2 ______________________________________________________ 3 _______________________________ ___________________ 4 (Signature of filer) (Date) 5 -25- LSB 5046XC (2) 85 tm/rj 25/ 25
feedback