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House
Resolution
4
-
Introduced
HOUSE
RESOLUTION
NO.
4
BY
COMMITTEE
ON
ETHICS
(SUCCESSOR
TO
HSB
94)
A
Resolution
relating
to
the
code
of
ethics
of
the
1
House
of
Representatives
for
the
Ninety-first
2
General
Assembly.
3
BE
IT
RESOLVED
BY
THE
HOUSE
OF
REPRESENTATIVES,
That
4
the
House
Code
of
Ethics
shall
be
as
follows:
5
HOUSE
CODE
OF
ETHICS
6
PREAMBLE.
Every
legislator
and
legislative
employee
7
has
a
duty
to
uphold
the
integrity
and
honor
of
the
8
general
assembly,
to
encourage
respect
for
the
law
9
and
for
the
general
assembly,
and
to
observe
the
house
10
code
of
ethics.
The
members
and
employees
of
the
house
11
have
a
responsibility
to
conduct
themselves
so
as
to
12
reflect
credit
on
the
general
assembly,
and
to
inspire
13
the
confidence,
respect,
and
trust
of
the
public.
The
14
following
rules
are
adopted
pursuant
to
chapter
68B
of
15
the
Code,
to
assist
the
members
and
employees
in
the
16
conduct
of
their
activities:
17
1.
DEFINITIONS.
The
definitions
of
terms
provided
18
in
chapter
68B
of
the
Code
apply
to
the
use
of
those
19
terms
in
these
rules.
20
2.
ECONOMIC
INTEREST
OF
MEMBER
OR
EMPLOYEE
OF
21
HOUSE.
22
a.
Economic
or
investment
opportunity.
A
member
23
or
employee
of
the
house
shall
not
solicit
or
accept
24
economic
or
investment
opportunity
under
circumstances
25
where
the
member
or
employee
knows,
or
should
know,
26
that
the
opportunity
is
being
afforded
with
the
intent
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to
influence
the
member’s
or
employee’s
conduct
in
1
the
performance
of
official
duties.
If
a
member
2
or
employee
of
the
house
learns
that
an
economic
3
or
investment
opportunity
previously
accepted
was
4
offered
with
the
intent
of
influencing
the
member’s
or
5
employee’s
conduct
in
the
performance
of
the
official
6
duties,
the
member
or
employee
shall
take
steps
to
7
divest
that
member
or
employee
of
that
investment
or
8
economic
opportunity,
and
shall
report
the
matter
9
in
writing
to
the
chairperson
of
the
house
ethics
10
committee.
11
b.
Excessive
charges
for
services,
goods,
or
12
property
interests.
A
member
or
employee
of
the
13
house
shall
not
charge
to
or
accept
from
a
person
14
known
to
have
a
legislative
interest,
a
price,
fee,
15
compensation,
or
other
consideration
for
the
sale
or
16
lease
of
any
property
or
the
furnishing
of
services
17
which
is
in
excess
of
that
which
the
member
or
employee
18
would
ordinarily
charge
another
person.
19
c.
Use
of
confidential
information.
A
member
or
20
employee
of
the
house,
in
order
to
further
the
member’s
21
or
employee’s
own
economic
interests,
or
those
of
any
22
other
person,
shall
not
disclose
or
use
confidential
23
information
acquired
in
the
course
of
the
member’s
or
24
employee’s
official
duties.
For
the
purpose
of
this
25
rule,
information
disclosed
in
open
session
at
a
public
26
meeting
and
information
that
is
a
public
record
is
not
27
confidential
information.
28
d.
Employment.
A
member
or
employee
of
the
house
29
shall
not
accept
employment,
either
directly
or
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indirectly,
from
a
political
action
committee.
A
1
member
of
the
house
shall
not
act
as
a
paid
lobbyist
2
for
any
organization.
However,
this
paragraph
shall
3
not
prohibit
a
member
or
employee
of
the
house
from
4
working
for
a
candidate’s
committee,
a
political
5
party’s
action
committee,
or
a
political
action
6
committee
which
does
not
expressly
advocate
the
7
nomination,
election,
or
defeat
of
a
candidate
for
8
public
office
in
this
state
or
expressly
advocate
the
9
passage
or
defeat
of
a
ballot
issue
in
this
state
and
10
which
is
not
interested
in
issues
before
the
general
11
assembly.
12
For
the
purpose
of
this
rule,
a
political
action
13
committee
means
a
committee,
but
not
a
candidate’s
14
committee,
which
accepts
contributions,
makes
15
expenditures,
or
incurs
indebtedness
in
the
aggregate
16
of
more
than
one
thousand
dollars
in
any
one
calendar
17
year
to
expressly
advocate
the
nomination,
election,
or
18
defeat
of
a
candidate
for
public
office
or
to
expressly
19
advocate
the
passage
or
defeat
of
a
ballot
issue
or
for
20
the
purpose
of
influencing
legislative
action.
21
e.
Solicitation
of
employment
as
lobbyist.
A
member
22
or
employee
of
the
house
shall
not
solicit
employment
23
on
behalf
of
the
member
or
employee,
or
on
behalf
of
24
another
legislator
or
employee,
as
a
lobbyist
while
the
25
general
assembly
is
in
session.
26
f.
Certain
goods
or
services.
A
member
or
employee
27
of
the
house
shall
not
solicit
or
obtain
goods
or
28
services
from
another
person
under
circumstances
where
29
the
member
or
employee
knows
or
should
know
that
the
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goods
or
services
are
being
offered
or
sold
with
the
1
intent
to
influence
the
member’s
or
employee’s
conduct
2
in
the
performance
of
official
duties.
If
a
member
3
or
employee
of
the
house
is
afforded
goods
or
services
4
by
another
person
at
a
price
that
is
not
available
to
5
other
members
or
classes
of
members
of
the
general
6
public
or
is
afforded
goods
or
services
that
are
not
7
available
to
other
members
or
classes
of
members
8
of
the
general
public
by
another
person
where
the
9
member
or
employee
knows
or
should
know
that
the
other
10
person
intends
to
influence
the
member’s
or
employee’s
11
official
conduct,
the
member
or
employee
shall
not
take
12
or
purchase
the
goods
or
services.
13
3.
APPEARANCE
BEFORE
STATE
AGENCY.
A
member
or
14
employee
of
the
house
may
appear
before
a
state
agency
15
in
any
representation
case
but
shall
not
act
as
a
16
lobbyist
with
respect
to
the
passage,
defeat,
approval,
17
veto,
or
modification
of
any
legislation,
rule,
or
18
executive
order.
Whenever
a
member
or
employee
of
19
the
house
appears
before
a
state
agency,
the
member
20
or
employee
shall
carefully
avoid
all
conduct
which
21
might
in
any
way
lead
members
of
the
general
public
22
to
conclude
that
the
member
or
employee
is
using
the
23
member’s
or
employee’s
official
position
to
further
the
24
member’s
or
employee’s
professional
success
or
personal
25
financial
interest.
26
4.
CONFLICTS
OF
INTEREST.
In
order
for
the
general
27
assembly
to
function
effectively,
members
of
the
house
28
may
be
required
to
vote
on
bills
and
participate
in
29
committee
work
which
will
affect
their
employment
and
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other
areas
in
which
they
may
have
a
monetary
interest.
1
Action
on
bills
and
committee
work
which
furthers
a
2
member’s
specific
employment,
specific
investment,
or
3
other
specific
interest,
as
opposed
to
the
interests
of
4
the
public
in
general
or
the
interests
of
a
profession,
5
trade,
business,
or
other
class
of
persons,
shall
be
6
avoided.
In
making
a
decision
relative
to
a
member’s
7
activity
on
particular
bills
or
in
committee
work,
the
8
following
factors
should
be
considered:
9
a.
Whether
a
substantial
threat
to
the
member’s
10
independence
of
judgment
has
been
created
by
the
11
conflict
situation.
12
b.
The
effect
of
the
member’s
participation
on
13
public
confidence
in
the
integrity
of
the
general
14
assembly.
15
c.
Whether
the
member’s
participation
is
likely
to
16
have
any
significant
effect
on
the
disposition
of
the
17
matter.
18
d.
The
need
for
the
member’s
particular
19
contribution,
such
as
special
knowledge
of
the
subject
20
matter,
to
the
effective
functioning
of
the
general
21
assembly.
22
If
a
member
decides
not
to
participate
in
committee
23
work
or
to
abstain
from
voting
because
of
a
possible
24
conflict
of
interest,
the
member
should
disclose
25
this
fact
to
the
legislative
body.
The
member
shall
26
not
vote
on
any
question
in
which
the
member
has
an
27
economic
interest
that
is
distinguishable
from
the
28
interests
of
the
general
public
or
a
substantial
class
29
of
persons.
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5.
STATUTORY
REQUIREMENTS.
Members
and
employees
1
of
the
house
shall
comply
with
the
requirements
2
contained
in
chapters
68B
(Government
Ethics
and
3
Lobbying),
721
(Official
Misconduct),
and
722
(Bribery
4
and
Corruption),
and
sections
2.18
(Contempt)
and
711.4
5
(Extortion)
of
the
Code.
6
6.
CHARGE
ACCOUNTS.
Members
and
employees
of
the
7
house
shall
not
charge
any
amount
or
item
to
a
charge
8
account
to
be
paid
for
by
a
lobbyist
or
any
client
of
a
9
lobbyist.
10
7.
TRAVEL
EXPENSES.
A
member
or
employee
of
the
11
house
shall
not
charge
to
the
state
of
Iowa
amounts
12
for
travel
and
expenses
unless
the
member
or
employee
13
actually
has
incurred
those
mileage
and
expense
costs.
14
Members
or
employees
shall
not
file
the
vouchers
for
15
weekly
mileage
reimbursement
required
by
section
2.10,
16
subsection
1,
of
the
Code,
unless
the
travel
expense
17
was
actually
incurred.
18
A
member
or
employee
of
the
house
shall
not
file
19
a
claim
for
per
diem
compensation
for
a
meeting
of
20
an
interim
study
committee
or
a
visitation
committee
21
unless
the
member
or
employee
attended
the
meeting.
22
However,
the
speaker
may
waive
this
provision
and
allow
23
a
claim
to
be
filed
if
the
member
or
employee
attempted
24
to
attend
the
meeting
but
was
unable
to
do
so
because
25
of
circumstances
beyond
the
member’s
or
employee’s
26
control.
27
8.
GIFTS
ACCEPTED
OR
RECEIVED.
Members
and
28
employees
of
the
house
shall
comply
with
the
29
restrictions
relating
to
the
receipt
or
acceptance
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of
gifts
contained
in
section
68B.22
of
the
Code.
1
The
sponsor
of
a
function
under
section
68B.22,
2
subsection
4,
paragraph
“s”,
shall
electronically
3
file
a
registration
with
the
chief
clerk
of
the
house
4
five
days
prior
to
the
function
disclosing
the
name
of
5
the
sponsor,
and
the
date,
time,
and
location
of
the
6
function.
The
sponsor
shall
also
electronically
file
a
7
report
of
expenditures
as
required
pursuant
to
section
8
68B.22,
subsection
4,
paragraph
“s”.
9
9.
HONORARIA
RESTRICTIONS.
Members
and
employees
10
of
the
house
shall
comply
with
the
restrictions
11
relating
to
the
receipt
of
honoraria
contained
in
12
section
68B.23
of
the
Code.
13
10.
DISCLOSURE
BY
MEMBERS
REQUIRED.
Each
member
of
14
the
house
and
the
chief
clerk
of
the
house
shall
file
15
the
personal
financial
disclosure
statements
required
16
under
section
68B.35
of
the
Code
by
February
15
of
each
17
year
for
the
prior
calendar
year.
18
10A.
DISCLOSURE
BY
CANDIDATES
REQUIRED.
A
19
candidate
for
election
to
the
house
shall
file
a
20
personal
financial
disclosure
statement,
as
provided
21
in
section
68B.35
of
the
Code,
with
the
chief
clerk
on
22
forms
provided
by
the
chief
clerk
within
fourteen
days
23
after
the
deadline
for
the
filing
of
nomination
papers
24
or
fourteen
days
after
the
nominating
convention,
as
25
applicable.
Such
disclosures
shall
be
made
for
the
26
year
preceding
the
year
in
which
the
election
is
to
27
be
held.
A
statement
filed
under
this
rule
shall
28
be
open
to
public
inspection
in
the
chief
clerk’s
29
office
at
all
reasonable
times.
The
chief
clerk
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shall
provide
information
relating
to
the
duty
to
1
file
the
necessary
statement
and
applicable
deadlines
2
to
persons
interested
in
becoming
a
candidate
for
3
election
to
the
house.
The
chief
clerk
shall
inform
4
the
ethics
committee
of
the
statements
that
are
filed
5
by
candidates
and
shall
report
to
the
ethics
committee
6
the
name
of
any
candidate
who
appears
to
have
not
filed
7
a
complete
statement.
The
chief
clerk
shall
notify
a
8
candidate
who
has
failed
to
file
a
complete
statement
9
to
file
a
complete
statement
within
five
days.
If
a
10
candidate
does
not
file
a
complete
statement
within
11
five
days
after
receiving
notice,
the
chief
clerk
shall
12
fine
the
candidate
fifty
dollars,
payable
to
the
“Iowa
13
House
of
Representatives”
for
deposit
in
the
general
14
fund
of
the
state
established
pursuant
to
section
15
444.21
of
the
Code,
and
the
ethics
committee
may
16
require
the
candidate
to
appear
before
the
committee.
17
11.
HARASSMENT
——
SEXUAL
HARASSMENT
——
RETALIATION.
18
Members
and
employees
of
the
house
shall
not
engage
in
19
conduct
which
constitutes
harassment,
including
sexual
20
harassment
as
defined
in
section
19B.12
of
the
Code,
or
21
retaliation,
or
conduct
that
is
prohibited
pursuant
to
22
any
harassment
policy
adopted
by
the
house
committee
23
on
administration
and
rules.
Harassment
is
a
form
of
24
discrimination
based
on
any
protected
basis,
including
25
race,
color,
national
origin,
religion,
sex,
pregnancy,
26
physical
or
mental
disability,
age,
marital
status,
27
veteran
status,
gender
identity,
sexual
orientation,
28
or
any
other
characteristic
protected
by
law,
including
29
the
federal
Civil
Rights
Act
of
1964,
the
federal
Age
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Discrimination
in
Employment
Act
of
1967,
the
federal
1
Americans
with
Disabilities
Act
of
1990,
and
chapter
2
216
of
the
Code.
Harassment
of
an
individual
based
3
on
any
protected
basis
is
unlawful
if
submission
to
4
or
rejection
of
such
conduct
by
an
individual
is
made
5
the
basis
for
an
employment
decision
affecting
the
6
individual
or
if
such
conduct
is
sufficiently
severe
7
or
pervasive
to
create
a
hostile
work
environment.
8
Members
and
employees
of
the
house
shall
not
engage
9
in
conduct
which
constitutes
unlawful
harassment
10
or
discrimination
based
on
any
protected
basis,
or
11
retaliation
for
reporting
harassment
or
discrimination,
12
threatening
to
report
harassment
or
discrimination,
13
or
participating
in
a
harassment
or
discrimination
14
investigation.
15
12.
COMPLAINTS.
16
a.
Filing
of
complaint.
Complaints
may
be
filed
by
17
any
person
believing
that
a
member
or
employee
of
the
18
house,
a
lobbyist,
or
a
client
of
a
lobbyist
is
guilty
19
of
a
violation
of
the
house
code
of
ethics,
the
joint
20
rules
governing
lobbyists,
or
chapter
68B
of
the
Code.
21
b.
Complaints
by
committee.
The
ethics
committee
22
may
initiate
a
complaint
on
its
own
motion.
Committee
23
complaints
may
be
initiated
by
the
committee
as
a
24
result
of
a
committee
investigation
or
as
a
result
of
25
receipt
of
any
complaint
or
other
information
that
does
26
not
meet
the
requirements
of
these
rules
regarding
the
27
form
of
a
complaint
but
that
contains
allegations
that
28
would
form
the
basis
for
a
valid
complaint.
29
c.
Form
and
contents
of
complaint.
A
complaint
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shall
be
in
writing.
1
Complaint
forms
shall
be
available
from
the
chief
2
clerk
of
the
house,
but
a
complaint
shall
not
be
3
rejected
for
failure
to
use
the
approved
form
if
it
4
complies
with
the
requirements
of
these
rules.
The
5
complaint
shall
contain
a
certification
made
by
the
6
complainant,
under
penalty
of
perjury,
that
the
facts
7
stated
in
the
complaint
are
true
to
the
best
of
the
8
complainant’s
knowledge.
9
To
be
valid,
a
complaint
shall
allege
all
of
the
10
following:
11
(1)
Facts,
that
if
true,
establish
a
violation
of
12
a
provision
of
chapter
68B
of
the
Code,
the
house
code
13
of
ethics,
or
joint
rules
governing
lobbyists
for
which
14
penalties
or
other
remedies
are
provided.
15
(2)
That
the
conduct
providing
the
basis
for
the
16
complaint
occurred
within
three
years
of
the
filing
of
17
the
complaint.
18
(3)
That
the
party
charged
with
a
violation
is
19
a
party
subject
to
the
jurisdiction
of
the
ethics
20
committee.
21
d.
Confidentiality
of
complaint.
The
identity
of
22
the
parties
and
the
contents
of
the
complaint
shall
23
be
confidential
until
the
time
that
the
committee
24
chairperson
and
ranking
member
determine
under
25
paragraph
“f”
that
the
complaint
is
sufficient
as
26
to
form,
unless
either
the
complainant
or
the
party
27
charged
in
the
complaint
makes
the
identity
of
the
28
parties,
or
the
information
contained
in
the
complaint,
29
public.
The
chief
clerk
of
the
house
and
the
committee
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chairperson
and
ranking
member
may
communicate
1
confidentially
with
appropriate
legislative
staff
2
during
any
stage
of
the
complaint
process.
3
e.
Notice
of
complaint.
Upon
receipt
of
the
4
complaint,
the
chief
clerk
of
the
house
shall
promptly
5
notify
the
chairperson
and
ranking
member
of
the
6
ethics
committee
that
a
complaint
has
been
filed
and
7
provide
both
the
chairperson
and
the
ranking
member
8
with
copies
of
the
complaint
and
any
supporting
9
information.
Within
two
working
days,
the
chief
10
clerk
shall
send
notice
,
either
by
personal
delivery
11
or
by
certified
mail,
return
receipt
requested,
to
12
the
person
or
persons
alleged
to
have
committed
the
13
violation,
along
with
a
copy
of
the
complaint
and
any
14
supporting
information.
The
notice
to
the
accused
15
person
shall
contain
a
request
inform
the
person
that
16
the
person
has
ten
working
days
to
submit
a
written
17
response
to
the
complaint
within
ten
working
days
of
18
the
date
that
the
notice
was
sent
by
the
chief
clerk
19
after
the
chairperson
and
ranking
member
determine
the
20
complaint
is
sufficient
as
to
form
.
At
the
request
21
of
the
accused
person,
the
committee
may
extend
the
22
time
for
the
response,
not
to
exceed
ten
additional
23
calendar
days.
A
response
to
a
complaint
shall
not
be
24
confidential.
25
f.
Hearing
regarding
Determination
of
sufficiency
26
as
to
form
of
complaint
and
validity
of
complaint.
The
27
committee
chairperson
and
the
ranking
member
shall
28
review
the
complaint
and
supporting
information
to
29
determine
whether
the
complaint
meets
the
requirements
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as
to
form.
If
the
complaint
is
deficient
as
to
form,
1
the
complaint
shall
be
returned
to
the
complainant
2
with
instructions
indicating
the
deficiency.
If
3
the
complaint
is
in
writing,
is
sufficient
as
to
4
form,
and
contains
the
appropriate
certification,
5
as
soon
as
practicable,
the
chairperson
and
ranking
6
member
shall
notify
the
accused
person.
Without
7
delay,
the
chairperson
shall
call
a
meeting
of
the
8
committee
to
review
the
complaint
to
determine
whether
9
the
complaint
meets
the
requirements
for
validity
10
and
whether
the
committee
should
take
action
on
the
11
complaint
pursuant
to
paragraph
“g”
or
whether
the
12
committee
should
request
that
the
chief
justice
of
the
13
supreme
court
appoint
an
independent
special
counsel
14
to
conduct
an
investigation
to
determine
whether
15
probable
cause
exists
to
believe
that
a
violation
16
of
the
house
code
of
ethics,
joint
rules
governing
17
lobbyists,
or
chapter
68B
of
the
Code,
has
occurred.
18
The
sufficiency
as
to
form
determination
and
the
valid
19
complaint
requirements
determination
shall
be
based
20
solely
upon
the
original
complaint
and
the
response
to
21
the
complaint.
Additional
documents
or
responses
shall
22
not
be
filed
by
the
parties
or
otherwise
considered
by
23
the
committee
prior
to
a
validity
determination.
The
24
committee
shall
not
receive
or
consider
oral
testimony
25
in
support
of
or
against
a
validity
determination.
26
If
the
committee
finds
that
a
complaint
does
not
27
meet
the
content
requirements
for
a
valid
complaint,
28
the
committee
shall
dismiss
the
complaint
and
notify
29
both
the
complainant
and
the
party
alleged
to
have
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committed
the
violation
of
the
dismissal
and
the
1
reasons
for
dismissal.
A
dismissal
for
failure
to
meet
2
the
formal
requirements
for
the
filing
of
a
complaint
3
shall
be
without
prejudice
and
the
complainant
may
4
refile
the
complaint
at
any
time
within
three
years
5
of
the
date
that
the
alleged
violation
took
place.
If
6
the
dismissal
is
based
upon
a
failure
to
allege
facts
7
and
circumstances
necessary
for
a
valid
complaint,
the
8
dismissal
shall
be
with
prejudice
and
the
party
shall
9
not
be
permitted
to
file
a
complaint
based
upon
the
10
same
facts
and
circumstances.
11
g.
Action
on
undisputed
complaint.
If
the
committee
12
determines
a
complaint
is
valid
and
determines
no
13
dispute
exists
between
the
parties
regarding
the
14
material
facts
that
establish
a
violation,
the
15
committee
may
take
action
on
the
complaint
under
this
16
paragraph
without
requesting
the
appointment
of
an
17
independent
special
counsel.
18
The
committee
may
do
any
of
the
following:
19
(1)
Issue
an
admonishment
to
advise
against
the
20
conduct
that
formed
the
basis
for
the
complaint
and
to
21
exercise
care
in
the
future.
22
(2)
Issue
an
order
to
cease
and
desist
the
conduct
23
that
formed
the
basis
for
the
complaint.
24
(3)
Make
a
recommendation
to
the
house
that
25
the
person
subject
to
the
complaint
be
censured
or
26
reprimanded.
27
h.
Request
for
appointment
of
independent
special
28
counsel.
If,
after
review
of
the
complaint
and
any
29
response
made
by
the
party
alleged
to
have
committed
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the
violation,
the
committee
determines
that
the
1
complaint
meets
the
requirements
for
form
and
content
2
and
the
committee
has
not
taken
action
under
paragraph
3
“g”,
the
committee
shall
request
that
the
chief
justice
4
of
the
supreme
court
appoint
independent
special
5
counsel
to
investigate
the
matter
and
determine
whether
6
probable
cause
exists
to
believe
that
a
violation
of
7
chapter
68B
of
the
Code,
the
house
code
of
ethics,
or
8
the
joint
rules
governing
lobbyists
has
occurred.
9
i.
Receipt
of
report
of
independent
special
counsel.
10
The
report
from
the
independent
special
counsel
11
regarding
probable
cause
to
proceed
on
a
complaint
12
shall
be
filed
with
the
chief
clerk
of
the
house.
13
Upon
receipt
of
the
report
of
the
independent
special
14
counsel,
the
chief
clerk
shall
notify
the
chairperson
15
of
the
filing
of
the
report
and
shall
send
copies
of
16
the
report
to
the
members
of
the
ethics
committee.
As
17
soon
as
practicable
after
the
filing
of
the
report,
the
18
chairperson
shall
schedule
a
public
meeting
for
review
19
of
the
report.
The
purpose
of
the
public
meeting
20
shall
be
to
determine
whether
the
complaint
should
be
21
dismissed,
whether
a
formal
hearing
should
be
held
on
22
the
complaint,
or
whether
other
committee
action
is
23
appropriate.
The
complainant
and
the
person
alleged
to
24
have
committed
the
violation
shall
be
given
notice
of
25
the
public
meeting,
shall
have
the
right
to
be
present
26
at
the
public
meeting,
and
may,
at
the
discretion
27
of
the
committee,
present
testimony
in
support
of
or
28
against
the
recommendations
contained
in
the
report.
29
If
the
committee
determines
that
the
matter
should
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be
dismissed,
the
committee
shall
cause
an
order
to
1
be
entered
dismissing
the
matter
and
notice
of
the
2
dismissal
shall
be
given
to
the
complainant
and
the
3
party
alleged
to
have
committed
the
violation.
If
4
the
committee
determines
that
the
complaint
should
be
5
scheduled
for
formal
hearing,
the
committee
shall
issue
6
a
charging
statement
which
contains
the
charges
and
7
supporting
facts
that
are
to
be
set
for
formal
hearing
8
and
notice
shall
be
sent
to
the
complainant
and
the
9
accused
person.
10
The
notice
shall
include
a
statement
of
the
nature
11
of
the
charge
or
charges,
a
statement
of
the
time
and
12
place
of
hearing,
a
short
and
plain
statement
of
the
13
facts
asserted,
and
a
statement
of
the
rights
of
the
14
accused
person
at
the
hearing.
15
j.
Formal
hearing.
Formal
hearings
shall
be
public
16
and
conducted
in
the
manner
provided
in
section
68B.31,
17
subsection
8,
of
the
Code.
At
a
formal
hearing
the
18
accused
shall
have
the
right
to
be
present
and
to
19
be
heard
in
person
and
by
counsel,
to
cross-examine
20
witnesses,
and
to
present
evidence.
Members
of
21
the
committee
shall
also
have
the
right
to
question
22
witnesses.
23
The
committee
may
require,
by
subpoena
or
otherwise,
24
the
attendance
and
testimony
of
witnesses
and
the
25
production
of
such
books,
records,
correspondence,
26
memoranda,
papers,
documents,
and
any
other
things
it
27
deems
necessary
to
the
conduct
of
the
inquiry.
28
Evidence
at
the
formal
hearing
shall
be
received
29
in
accordance
with
rules
and
procedures
applicable
to
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contested
cases
under
chapter
17A
of
the
Code.
1
The
committee
chairperson,
or
the
vice
chairperson
2
or
ranking
member
in
the
absence
of
the
chairperson,
3
shall
preside
at
the
formal
hearing
and
shall
rule
on
4
the
admissibility
of
any
evidence
received.
The
ruling
5
of
the
chairperson
may
be
overturned
by
a
majority
6
vote
of
the
committee.
Independent
special
counsel
7
shall
present
the
evidence
in
support
of
the
charge
8
or
charges.
The
burden
shall
be
on
the
independent
9
special
counsel
to
prove
the
charge
or
charges
by
clear
10
and
convincing
evidence.
Upon
completion
of
the
formal
11
hearing,
the
committee
shall
adopt
written
findings
12
of
fact
and
conclusions
concerning
the
merits
of
the
13
charges
and
make
its
report
and
recommendation
to
the
14
house.
15
k.
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
l.
Recommendations
by
the
committee.
The
committee
3
shall
recommend
to
the
house
that
the
complaint
be
4
dismissed,
or
that
one
or
more
of
the
following
be
5
imposed:
6
(1)
That
the
member
or
employee
of
the
house
7
or
lobbyist
or
client
of
a
lobbyist
be
censured
or
8
reprimanded,
and
the
recommended
appropriate
form
of
9
censure
or
reprimand
be
used.
10
(2)
That
the
member
of
the
house
be
suspended
or
11
expelled
from
membership
in
the
house
and
required
12
to
forfeit
the
member’s
salary
for
that
period,
the
13
employee
of
the
house
be
suspended
or
dismissed
from
14
employment,
or
that
the
lobbyist’s
or
lobbyist’s
15
client’s
lobbying
privileges
be
suspended.
16
13.
COMMUNICATIONS
WITH
ETHICS
COMMITTEE.
After
a
17
complaint
has
been
filed
or
an
investigation
has
been
18
initiated,
a
party
to
the
complaint
or
investigation
19
shall
not
communicate,
or
cause
another
to
communicate,
20
as
to
the
merits
of
the
complaint
or
investigation
with
21
a
member
of
the
committee,
except
under
the
following
22
circumstances:
23
a.
During
the
course
of
any
meetings
or
other
24
official
proceedings
of
the
committee
regarding
the
25
complaint
or
investigation.
26
b.
In
writing,
if
a
copy
of
the
writing
is
27
delivered
to
the
adverse
party
or
the
designated
28
representative
for
the
adverse
party.
29
c.
Orally,
if
adequate
prior
notice
of
the
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communication
is
given
to
the
adverse
party
or
the
1
designated
representative
for
the
adverse
party.
2
d.
As
otherwise
authorized
by
statute,
the
house
3
code
of
ethics,
joint
rules
governing
lobbyists,
or
4
vote
of
the
committee.
5
14.
PERMANENT
RECORD.
The
chief
clerk
of
the
house
6
shall
maintain
a
permanent
record
of
all
complaints
7
filed
and
any
corresponding
committee
action.
The
8
permanent
record
shall
be
prepared
by
the
ethics
9
committee
and
shall
contain
the
date
the
complaint
10
was
filed,
name
and
address
of
the
complainant,
name
11
and
address
of
the
accused
person,
a
brief
statement
12
of
the
charges
made,
any
evidence
received
by
the
13
committee,
any
transcripts
or
recordings
of
committee
14
action,
and
ultimate
disposition
of
the
complaint.
In
15
recording
the
ultimate
disposition
of
a
complaint
that
16
is
dismissed,
the
information
shall
include
whether
17
the
complaint
was
dismissed
due
to
formal
insufficiency
18
or
due
to
a
failure
to
meet
the
content
requirements
19
of
a
valid
complaint.
Except
as
provided
in
rule
20
12,
paragraph
“d”,
the
chief
clerk
shall
keep
each
21
complaint
confidential
until
public
disclosure
is
made
22
by
the
ethics
committee.
23
15.
MEETING
AUTHORIZATION.
The
house
ethics
24
committee
is
authorized
to
meet
at
the
discretion
of
25
the
committee
chairperson
in
order
to
conduct
hearings
26
and
other
business
that
properly
may
come
before
it.
27
If
the
committee
submits
a
report
seeking
house
action
28
against
a
member
or
employee
of
the
house
or
lobbyist
29
after
the
second
regular
session
of
a
general
assembly
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has
adjourned
sine
die,
the
report
shall
be
submitted
1
to
and
considered
by
the
subsequent
general
assembly.
2
16.
ADVISORY
OPINIONS.
3
a.
Requests
for
formal
opinions.
A
request
for
a
4
formal
advisory
opinion
may
be
filed
by
any
person
who
5
is
subject
to
the
authority
of
the
ethics
committee.
6
The
ethics
committee
may
also
issue
a
formal
advisory
7
opinion
on
its
own
motion,
without
having
previously
8
received
a
formal
request
for
an
opinion,
on
any
issue
9
that
is
within
the
jurisdiction
of
the
committee.
10
Requests
shall
be
filed
with
either
the
chief
clerk
of
11
the
house
or
the
chairperson
of
the
ethics
committee.
12
b.
Form
and
contents
of
requests.
A
request
for
13
a
formal
advisory
opinion
shall
be
in
writing
and
14
may
pertain
to
any
subject
matter
that
is
related
to
15
application
of
the
house
code
of
ethics,
the
joint
16
rules
governing
lobbyists,
or
chapter
68B
of
the
17
Code
to
any
person
who
is
subject
to
the
authority
of
18
the
ethics
committee.
Requests
shall
contain
one
or
19
more
specific
questions
and
shall
relate
either
to
20
future
conduct
or
be
stated
in
the
hypothetical.
A
21
request
for
an
advisory
opinion
shall
not
specifically
22
name
any
individual
or
contain
any
other
specific
23
identifying
information,
unless
the
request
relates
24
to
the
requester’s
own
conduct.
However,
any
request
25
may
contain
information
which
identifies
the
kind
26
of
individual
who
may
be
affected
by
the
subject
27
matter
of
the
request.
Examples
of
this
latter
kind
28
of
identifying
information
may
include
references
to
29
conduct
of
a
category
of
individuals,
such
as
but
not
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limited
to
conduct
of
legislators,
legislative
staff,
1
or
lobbyists.
2
c.
Confidentiality
of
formal
requests
and
opinions.
3
Requests
for
formal
opinions
are
not
confidential
and
4
any
deliberations
of
the
committee
regarding
a
request
5
for
a
formal
opinion
shall
be
public.
Opinions
issued
6
in
response
to
requests
for
formal
opinions
are
not
7
confidential,
shall
be
in
writing,
and
shall
be
placed
8
on
file
in
the
office
of
the
chief
clerk
of
the
house.
9
Persons
requesting
formal
opinions
shall
personally
10
receive
a
copy
of
the
written
formal
opinion
that
is
11
issued
in
response
to
the
request.
12
17.
PERSONAL
FINANCIAL
DISCLOSURE
FORM.
The
13
following
form
shall
be
used
for
disclosure
of
economic
14
interests
under
these
rules
and
section
68B.35
of
the
15
Code:
16
STATEMENT
OF
ECONOMIC
INTERESTS
17
Name:_________________________________________________
18
(Last)
(First)
(Middle
Initial)
19
Address:______________________________________________
20
(Street
Address,
Apt.#/P.O.
Box)
21
______________________________________________
22
(City)(State)(Zip)
23
Phone:(Home)_____/____-_____(Business)_____/____-_____
24
******************************************************
25
This
form
is
due
each
year
on
or
before
February
15.
26
The
reporting
period
is
the
most
recently
completed
27
calendar
year.
An
amended
form
shall
be
filed
if
a
28
change
in
business,
occupation,
or
profession
reported
29
in
Division
I
of
the
form
has
occurred.
The
amended
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form
shall
include
the
date
the
change
took
effect
and
1
must
be
filed
within
thirty
days
of
the
first
day
of
2
the
change
in
employment
or
engagement
necessitating
3
the
amended
form.
If
the
date
of
the
change
occurs
4
between
January
1
and
February
15,
the
change
shall
be
5
included
in
the
filing
due
February
15.
6
In
completing
Division
III
of
this
form,
if
your
7
percentage
of
ownership
of
an
asset
is
less
than
100
8
percent,
multiply
your
percentage
of
ownership
by
the
9
total
revenue
produced
to
determine
if
you
have
reached
10
the
$1,000
threshold.
11
Do
not
report
income
received
by
your
spouse
or
12
other
family
members.
13
In
completing
this
form,
if
insufficient
space
is
14
provided
for
your
answer,
you
may
attach
additional
15
information/answers
on
full-size
sheets
of
paper.
16
Division
I.
Business,
Occupation,
or
Profession.
17
List
each
business,
occupation,
or
profession
in
18
which
you
are
engaged,
the
nature
of
the
business
if
19
not
evident,
and
your
position
or
job
title.
No
income
20
threshold
or
time
requirement
applies.
21
Examples:
22
If
you
are
employed
by
an
individual,
state
the
name
23
of
the
individual
employer,
the
nature
of
the
business,
24
and
your
position.
25
If
you
are
self-employed
and
are
not
incorporated
26
or
are
not
doing
business
under
a
particular
business
27
name,
state
that
you
are
self-employed,
the
nature
of
28
the
business,
and
your
position.
29
If
you
own
your
own
corporation,
are
employed
by
a
30
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corporation,
or
are
doing
business
under
a
particular
1
business
name,
state
the
name
and
nature
of
the
2
business
or
corporation
and
your
position.
3
1_____________________________________________________
4
2_____________________________________________________
5
3_____________________________________________________
6
4_____________________________________________________
7
5_____________________________________________________
8
6_____________________________________________________
9
Division
II.
Commissions
from
Sales
of
Goods
or
10
Services
to
Political
Subdivisions.
11
This
part
is
to
be
completed
only
by
Legislators.
12
If
you
received
income
in
the
form
of
a
commission
13
from
the
sale
of
goods
or
services
to
a
political
14
subdivision,
state
the
name
of
the
purchasing
political
15
subdivision.
The
amount
of
commission
earned
is
not
16
required
to
be
listed.
17
1_____________________________________________________
18
2_____________________________________________________
19
3_____________________________________________________
20
4_____________________________________________________
21
5_____________________________________________________
22
6_____________________________________________________
23
Division
III.
Sources
of
Gross
Income.
24
In
each
one
of
the
following
categories
list
each
25
source
which
produces
more
than
$1,000
in
annual
gross
26
income,
if
the
revenue
produced
by
the
source
was
27
subject
to
federal
or
state
income
taxes
last
year.
28
List
the
nature
or
type
of
each
company,
business,
29
financial
institution,
corporation,
partnership,
or
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other
entity
which
produces
more
than
$1,000
of
annual
1
gross
income.
Neither
the
amount
of
income
produced
2
nor
value
of
the
holding
is
required
to
be
listed
in
3
any
of
the
items.
4
A.
Securities:
State
the
nature
of
the
business
of
5
any
company
in
which
you
hold
stock,
bonds,
or
other
6
pecuniary
interests
that
generate
more
than
$1,000
7
in
annual
gross
income.
Income
generated
by
multiple
8
holdings
in
a
single
company
are
deemed
received
from
a
9
single
source.
10
______________________________________________________
11
______________________________________________________
12
______________________________________________________
13
______________________________________________________
14
______________________________________________________
15
______________________________________________________
16
B.
Instruments
of
Financial
Institutions:
State
17
the
types
of
institutions
in
which
you
hold
financial
18
instruments,
such
as
certificates
of
deposit,
savings
19
accounts,
etc.,
that
produce
annual
gross
income
in
20
excess
of
$1,000,
e.g.,
banks,
savings
and
loans,
or
21
credit
unions.
22
______________________________________________________
23
______________________________________________________
24
______________________________________________________
25
______________________________________________________
26
______________________________________________________
27
______________________________________________________
28
C.
Trusts:
State
the
nature
or
type
of
any
trust
29
from
which
you
receive
more
than
$1,000
of
gross
income
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annually.
1
______________________________________________________
2
______________________________________________________
3
______________________________________________________
4
______________________________________________________
5
______________________________________________________
6
______________________________________________________
7
D.
Real
Estate:
State
the
general
nature
of
real
8
estate
interests
that
generate
more
than
$1,000
of
9
gross
income
annually,
e.g.,
residential
leasehold
10
interest
or
farm
leasehold
interest.
The
size
or
11
location
of
the
property
interest
is
not
required
to
be
12
listed.
13
______________________________________________________
14
______________________________________________________
15
______________________________________________________
16
______________________________________________________
17
______________________________________________________
18
______________________________________________________
19
E.
Retirement
Systems:
State
the
name
of
each
20
pension
plan
or
other
corporation
or
company
that
pays
21
you
more
than
$1,000
annually
in
retirement
benefits.
22
______________________________________________________
23
______________________________________________________
24
______________________________________________________
25
______________________________________________________
26
______________________________________________________
27
______________________________________________________
28
F.
Other
Income
Categories
Specified
in
State
and
29
Federal
Income
Tax
Regulations.
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______________________________________________________
1
______________________________________________________
2
______________________________________________________
3
______________________________________________________
4
______________________________________________________
5
_______________________________________
___________
6
(Signature
of
Filer)
(Date)
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