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Senate
Resolution
1
-
Introduced
SENATE
RESOLUTION
NO.
1
BY
COMMITTEE
ON
ETHICS
(SUCCESSOR
TO
SSB
1020)
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
Ninety-first
General
Assembly.
4
BE
IT
RESOLVED
BY
THE
SENATE,
That
the
Senate
Code
5
of
Ethics
for
the
Ninetieth
Ninety-first
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
24
any
senator,
candidate
for
senate,
lobbyist,
or
25
client
of
a
lobbyist
shall
be
in
writing,
made
under
26
penalty
of
perjury,
and
filed
with
the
secretary
of
27
the
senate.
When
filed
with
the
secretary
of
the
28
senate,
the
secretary
shall
immediately
advise
the
29
chairperson
of
the
ethics
committee
of
the
receipt
of
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the
complaint.
The
secretary
of
the
senate
shall,
as
1
soon
as
practicable,
send
a
copy
of
the
complaint
to
2
the
ethics
committee,
legislative
staff
assigned
to
the
3
senate
ethics
committee,
and
the
respondent.
4
Complaint
forms
shall
be
available
from
the
5
secretary
of
the
senate,
or
the
chairperson
of
the
6
ethics
committee,
but
a
complaint
shall
not
be
rejected
7
for
failure
to
use
an
approved
form
if
the
complaint
8
substantially
complies
with
senate
requirements.
9
A
complainant
may
submit
exhibits
and
affidavits
10
attached
to
the
complaint.
11
16.
FILING
OF
COMPLAINTS.
12
a.
Persons
entitled.
Complaints
may
be
filed
by
13
any
person
believing
that
a
senator,
candidate
for
14
senate,
lobbyist,
or
client
of
a
lobbyist
has
violated
15
the
senate
ethics
code,
the
joint
rules
governing
16
lobbyists,
or
chapter
68B,
as
applicable.
A
violation
17
of
the
criminal
law
may
be
considered
to
be
a
violation
18
of
this
code
of
ethics
if
the
violation
constitutes
a
19
serious
misdemeanor
or
greater,
or
a
repetitive
and
20
flagrant
violation
of
the
law.
21
b.
Committee
complaint.
The
ethics
committee
22
may,
upon
its
own
motion,
initiate
a
complaint,
23
investigation,
or
disciplinary
action.
24
17.
PERMANENT
RECORD.
The
secretary
of
the
senate
25
shall
maintain
a
permanent
record
of
all
complaints
26
filed,
evidence
received
by
the
committee,
and
any
27
transcripts
or
other
recordings
made
of
committee
28
proceedings,
including
a
separate
file
containing
29
the
date
filed,
name
and
address
of
the
complainant,
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name
and
address
of
the
respondent,
a
brief
statement
1
of
the
charges
made,
and
ultimate
disposition
of
2
the
complaint.
The
secretary
shall
keep
each
such
3
complaint
confidential
until
public
disclosure
is
made
4
by
the
ethics
committee.
5
18.
PREHEARING
PROCEDURE.
6
a.
Defective
complaint.
Upon
receipt
of
a
7
complaint,
the
chairperson
and
ranking
member
of
the
8
ethics
committee
shall
determine
whether
the
complaint
9
substantially
complies
with
the
requirements
of
this
10
code
of
ethics
and
section
68B.31,
subsection
6.
If
11
the
complaint
does
not
substantially
comply
with
12
the
requirements
for
formal
sufficiency
under
the
13
code
of
ethics,
the
complaint
may
be
returned
to
the
14
complainant
with
a
statement
that
the
complaint
is
not
15
in
compliance
with
the
code
and
a
copy
of
the
code.
If
16
the
complainant
fails
to
amend
the
complaint
to
comply
17
with
the
code
within
a
reasonable
time,
the
chairperson
18
and
ranking
member
may
dismiss
the
complaint
with
19
prejudice
for
failure
to
prosecute.
20
b.
Service
of
complaint
on
respondent
Respondent’s
21
notice
to
respond
.
Upon
receipt
of
any
complaint
22
substantially
complying
with
the
requirements
of
this
23
code
of
ethics,
the
chairperson
of
the
ethics
committee
24
shall
cause
a
copy
of
the
complaint
and
any
supporting
25
information
to
be
delivered
promptly
to
the
respondent,
26
requesting
a
written
response
to
be
filed
within
ten
27
days.
At
the
time
delivery
is
made
to
the
respondent,
28
delivery
of
copies
of
the
complaint
and
any
supporting
29
information
shall
be
made
to
legislative
staff
assigned
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to
the
ethics
committee.
Upon
receipt
of
a
complaint
1
that
the
chairperson
and
ranking
member
of
the
2
ethics
committee
determine
substantially
complies
3
with
the
requirements
of
this
code
of
ethics,
the
4
respondent
shall
be
notified
of
that
determination.
5
The
respondent
shall
be
requested
to
file
a
written
6
response
within
ten
days
of
the
notice.
The
response
7
may
do
any
of
the
following:
8
(1)
Admit
or
deny
the
allegation
or
allegations.
9
(2)
Object
that
the
allegation
fails
to
allege
a
10
violation
of
chapter
68B,
the
joint
rules
governing
11
lobbyists,
or
the
code
of
ethics.
12
(3)
Object
to
the
jurisdiction
of
the
committee.
13
(4)
Request
a
more
specific
statement
of
the
14
allegation
or
allegations.
15
c.
Objection
to
member.
In
addition
to
the
16
items
which
may
be
included
in
a
response
pursuant
17
to
paragraph
“b”,
the
response
may
also
include
an
18
objection
to
the
participation
of
any
member
of
the
19
committee
in
the
consideration
of
the
allegation
or
20
allegations
on
the
grounds
that
the
member
cannot
21
render
an
impartial
and
unbiased
decision.
22
d.
Extension
of
time.
At
the
request
of
the
23
respondent
and
upon
a
showing
of
good
cause,
the
24
committee,
or
the
chairperson
and
ranking
member,
25
may
extend
the
time
for
response,
not
to
exceed
ten
26
additional
days.
27
e.
Confidentiality.
If
a
complaint
is
not
28
otherwise
made
public
by
the
complainant,
the
members
29
of
the
committee
and
legislative
staff
assigned
to
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the
ethics
committee
shall
treat
the
complaint
and
1
all
supporting
information
as
confidential
until
the
2
written
response
is
received
from
the
respondent.
3
f.
Communications
with
ethics
committee.
After
a
4
complaint
has
been
filed
or
an
investigation
has
been
5
initiated,
a
party
to
the
complaint
or
investigation
6
shall
not
communicate,
or
cause
another
to
communicate,
7
as
to
the
merits
of
the
complaint
or
investigation
with
8
a
member
of
the
committee,
except
under
the
following
9
circumstances:
10
(1)
During
the
course
of
any
meetings
or
other
11
official
proceedings
of
the
committee
regarding
the
12
complaint
or
investigation.
13
(2)
In
writing,
if
a
copy
of
the
writing
is
14
delivered
to
the
adverse
party
or
the
designated
15
representative
for
the
adverse
party.
16
(3)
Orally,
if
adequate
prior
notice
of
the
17
communication
is
given
to
the
adverse
party
or
the
18
designated
representative
for
the
adverse
party.
19
(4)
As
otherwise
authorized
by
statute,
the
senate
20
code
of
ethics,
the
joint
rules
governing
lobbyists,
or
21
vote
of
the
committee.
22
g.
Scheduling
hearing
Committee
meeting
.
Upon
23
receipt
of
the
response,
the
committee
shall
schedule
24
a
public
meeting
to
review
the
complaint
and
available
25
information,
and
shall
do
one
of
the
following:
26
(1)
Notify
the
complainant
that
no
further
27
action
will
be
taken,
and
that
the
complaint
will
28
be
dismissed
without
further
consideration
by
the
29
committee
unless
further
substantiating
information
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1
is
produced
within
one
hundred
twenty
days
from
the
1
date
of
the
public
meeting
.
Any
complaint,
including
2
every
complaint
filed
prior
to
the
adoption
of
this
3
resolution,
that
has
been
on
file
with
the
senate
4
and
awaiting
further
substantiating
information
for
5
longer
than
one
hundred
twenty
days
from
the
date
of
6
the
public
meeting
shall
be
dismissed
without
further
7
consideration
by
the
committee.
The
secretary
of
the
8
senate
shall
send
notice
of
a
dismissal
for
lack
of
9
further
substantiating
information
to
the
complainant.
10
(2)
Dismiss
the
complaint
for
failure
to
meet
the
11
statutory
and
code
of
ethics
requirements
for
valid
12
complaints.
13
(3)
Take
action
on
the
complaint
without
requesting
14
the
appointment
of
an
independent
special
counsel
15
if
the
committee
determines
the
complaint
is
valid
16
and
determines
no
dispute
exists
between
the
parties
17
regarding
the
material
facts
that
establish
a
18
violation.
The
committee
may
do
any
of
the
following:
19
(a)
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
(b)
Issue
an
order
to
cease
and
desist
the
conduct
23
that
formed
the
basis
for
the
complaint.
24
(c)
Make
a
recommendation
to
the
senate
that
25
the
person
subject
to
the
complaint
be
censured
or
26
reprimanded.
27
(4)
Request
that
the
chief
justice
of
the
supreme
28
court
appoint
an
independent
special
counsel
to
conduct
29
an
investigation
of
the
complaint
and
supporting
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information,
to
make
a
determination
of
probable
cause,
1
and
to
report
the
findings
to
the
committee,
which
2
shall
be
received
within
a
reasonable
time.
3
h.
Public
hearing.
If
independent
special
counsel
4
is
appointed,
upon
receipt
of
the
report
of
independent
5
special
counsel’s
findings,
the
committee
shall
6
schedule
a
public
meeting
to
review
the
report
and
7
shall
do
either
of
the
following:
8
(1)
Cause
the
complaint
to
be
scheduled
for
a
9
public
hearing.
10
(2)
Dismiss
the
complaint
based
upon
a
11
determination
by
independent
special
counsel
and
the
12
committee
that
insufficient
evidence
exists
to
support
13
a
finding
of
probable
cause.
14
19.
HEARING
PROCEDURE.
15
a.
Notice
of
hearing.
If
the
committee
causes
a
16
complaint
to
be
scheduled
for
a
public
hearing,
notice
17
of
the
hearing
date
and
time
shall
be
given
to
the
18
complainant
and
respondent
in
writing,
and
of
the
19
respondent’s
right
to
appear
in
person,
be
represented
20
by
legal
counsel,
present
statements
and
evidence,
and
21
examine
and
cross-examine
witnesses.
The
committee
22
shall
not
be
bound
by
formal
rules
of
evidence,
but
23
shall
receive
relevant
evidence,
subject
to
limitations
24
on
repetitiveness.
Any
evidence
taken
shall
be
under
25
oath.
26
b.
Subpoena
power.
The
committee
may
require,
by
27
subpoena
or
otherwise,
the
attendance
and
testimony
of
28
witnesses
and
the
production
of
such
books,
records,
29
correspondence,
memoranda,
papers,
documents,
and
any
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1
other
things
it
deems
necessary
to
the
conduct
of
the
1
inquiry.
2
c.
Ex
post
facto.
An
investigation
shall
not
be
3
undertaken
by
the
committee
of
a
violation
of
a
law,
4
rule,
or
standard
of
conduct
that
is
not
in
effect
at
5
the
time
of
violation.
6
d.
Disqualification
of
member.
Members
of
the
7
committee
may
disqualify
themselves
from
participating
8
in
any
investigation
of
the
conduct
of
another
person
9
upon
submission
of
a
written
statement
that
the
member
10
cannot
render
an
impartial
and
unbiased
decision
11
in
a
case.
A
member
may
also
be
disqualified
by
a
12
unanimous
vote
of
the
remaining
eligible
members
of
the
13
committee.
14
A
member
of
the
committee
is
ineligible
to
15
participate
in
committee
meetings,
as
a
member
of
the
16
committee,
in
any
proceeding
relating
to
the
member’s
17
own
official
conduct.
18
If
a
member
of
the
committee
is
disqualified
or
19
ineligible
to
act,
the
majority
or
minority
leader
who
20
appointed
the
member
shall
appoint
a
replacement
member
21
to
serve
as
a
member
of
the
committee
during
the
period
22
of
disqualification
or
ineligibility.
23
e.
Hearing.
At
the
hearing,
the
chairperson
shall
24
open
the
hearing
by
stating
the
charges,
the
purpose
of
25
the
hearing,
and
its
scope.
The
burden
of
proof
rests
26
upon
the
complainant
to
establish
the
facts
as
alleged,
27
by
clear
and
convincing
evidence.
However,
questioning
28
of
witnesses
shall
be
conducted
by
the
members
of
the
29
committee,
by
independent
special
counsel,
or
by
a
30
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senator.
The
chairperson
shall
also
permit
questioning
1
by
legal
counsel
representing
the
complainant
or
2
respondent.
3
The
chairperson
or
other
member
of
the
committee
4
presiding
at
a
hearing
shall
rule
upon
procedural
5
questions
or
any
question
of
admissibility
of
evidence
6
presented
to
the
committee.
Rulings
may
be
reversed
by
7
a
majority
vote
of
the
committee
members
present.
8
The
committee
may
continue
the
hearing
to
a
future
9
date
if
necessary
for
appropriate
reasons
or
purposes.
10
f.
Committee
action.
Upon
receipt
of
all
relevant
11
evidence
and
arguments,
the
committee
shall
consider
12
the
same
and
recommend
to
the
senate
any
of
the
13
following:
14
(1)
That
the
complaint
be
dismissed.
15
(2)
That
the
senator,
candidate
for
senate,
16
lobbyist,
or
client
of
a
lobbyist
be
censured
or
17
reprimanded,
and
recommend
the
appropriate
form
of
18
censure
or
reprimand.
19
(3)
Any
other
appropriate
sanction,
including
20
suspension
or
expulsion
from
membership
in
the
senate,
21
or
suspension
of
lobbying
privileges.
22
g.
Disposition
resolution.
By
appropriate
23
resolution,
the
senate
may
amend,
adopt,
or
reject
24
the
report
of
the
ethics
committee,
including
the
25
committee’s
recommendations
regarding
disciplinary
26
action.
27
20.
COMMITTEE
AUTHORIZED
TO
MEET.
The
senate
28
ethics
committee
is
authorized
to
meet
at
the
29
discretion
of
the
chairperson
to
conduct
hearings
and
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other
business
that
properly
may
come
before
it.
If
1
the
committee
submits
a
report
seeking
senate
action
2
against
a
senator,
candidate
for
senate,
lobbyist,
or
3
client
of
a
lobbyist
after
the
second
regular
session
4
of
a
general
assembly
has
adjourned
sine
die,
the
5
report
shall
be
submitted
to
and
considered
by
the
6
subsequent
general
assembly.
However,
the
report
7
may
be
submitted
to
and
considered
during
any
special
8
session
which
may
take
place
after
the
second
regular
9
session
of
a
general
assembly
has
adjourned
sine
die,
10
but
before
the
convening
of
the
next
general
assembly.
11
21.
ADVISORY
OPINIONS.
12
a.
Requests
for
formal
opinions.
A
request
for
a
13
formal
advisory
opinion
may
be
filed
by
any
person
who
14
is
subject
to
the
authority
of
the
ethics
committee.
15
The
ethics
committee
may
also
issue
a
formal
advisory
16
opinion
on
its
own
motion,
without
having
previously
17
received
a
formal
request
for
an
opinion,
on
any
issue
18
that
is
within
the
jurisdiction
of
the
committee.
19
Requests
shall
be
filed
with
either
the
secretary
of
20
the
senate
or
the
chairperson
of
the
ethics
committee.
21
b.
Form
and
contents
of
requests.
A
request
for
22
a
formal
advisory
opinion
shall
be
in
writing
and
23
may
pertain
to
any
subject
matter
that
is
related
24
to
the
application
of
the
senate
code
of
ethics,
the
25
joint
rules
governing
lobbyists,
or
chapter
68B
to
26
any
person
who
is
subject
to
the
authority
of
the
27
ethics
committee.
Requests
shall
contain
one
or
28
more
specific
questions
and
shall
relate
either
to
29
future
conduct
or
be
stated
in
the
hypothetical.
A
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1
request
for
an
advisory
opinion
shall
not
specifically
1
name
any
individual
or
contain
any
other
specific
2
identifying
information,
unless
the
request
relates
3
to
the
requester’s
own
conduct.
However,
any
request
4
may
contain
information
which
identifies
the
kind
5
of
individual
who
may
be
affected
by
the
subject
6
matter
of
the
request.
Examples
of
this
latter
kind
7
of
identifying
information
may
include
references
8
to
conduct
of
a
category
of
individuals,
such
as
but
9
not
limited
to
conduct
of
legislators,
legislative
10
staff,
candidates
for
senate,
lobbyists,
or
clients
of
11
lobbyists.
12
c.
Confidentiality
of
formal
requests
and
opinions.
13
Requests
for
formal
opinions
are
not
confidential
and
14
any
deliberations
of
the
committee
regarding
a
request
15
for
a
formal
opinion
shall
be
public.
Opinions
issued
16
in
response
to
requests
for
formal
opinions
are
not
17
confidential,
shall
be
in
writing,
and
shall
be
placed
18
on
file
in
the
office
of
the
secretary
of
the
senate.
19
Persons
requesting
formal
opinions
shall
personally
20
receive
a
copy
of
the
written
formal
opinion
that
is
21
issued
in
response
to
the
request.
22
22.
CALCULATION
OF
TIME
——
DAYS.
For
purposes
of
23
these
rules,
unless
the
context
otherwise
requires,
24
the
word
“day”
or
“days”
shall
mean
a
calendar
day
25
except
that
if
the
day
is
the
last
day
of
a
specific
26
time
period
and
falls
upon
a
Saturday,
Sunday,
or
legal
27
holiday,
the
time
prescribed
shall
be
extended
so
as
to
28
include
the
whole
of
the
next
day
in
which
the
offices
29
of
the
senate
and
the
general
assembly
are
open
for
30
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S.R.
1
official
business.
1
23.
COMPLAINT
FILING
FORM.
The
following
form
2
shall
be
used
to
file
a
complaint
under
these
rules:
3
THE
SENATE
4
Ethics
Complaint
Form
5
Re:
______________________________
(Senator/Candidate
6
for
Senate/Lobbyist/Client
of
Lobbyist),
of
7
_____________________,
Iowa.
8
I,
________________________
(Complainant),
residing
9
at
____________________,
in
the
City
of
______________,
10
State
of
________________________,
hereby
complain
11
that
_____________________________
(Senator/Candidate
12
for
Senate/Lobbyist/Client
of
Lobbyist),
whose
address
13
is
___________________________________________,
has
14
violated
the
Senate
Code
of
Ethics,
chapter
68B,
or
15
Joint
Rules
Governing
Lobbyists
in
that:
16
(Explain
the
basis
for
the
complaint
here.
Use
17
additional
pages,
if
necessary.)
18
Under
penalty
of
perjury,
I
certify
that
the
above
19
complaint
is
true
and
correct
as
I
verily
believe.
20
___________________________
21
Signature
of
Complainant
22
SUBSCRIBED
AND
AFFIRMED
to
before
me
this
__________
23
day
of
________________________,
_______.
24
________________________________
25
Notary
Public
in
and
for
the
26
State
of
______________________
27
24.
COMPLAINT
NOTICE
FORM.
The
following
form
28
shall
be
used
for
notice
of
a
complaint
under
these
29
rules:
30
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S.R.
1
STATE
OF
IOWA
1
THE
SENATE
2
COMMITTEE
ON
ETHICS
)
3
IOWA
STATE
SENATE
)
4
)
5
On
The
Complaint
Of
)
NOTICE
OF
COMPLAINT
6
)
7
___________________________
)
8
)
9
And
Involving
)
10
)
11
___________________________
)
12
)
13
TO
________________________________,
14
Senator
or
Candidate
for
Senate
or
Lobbyist
or
15
Client
of
Lobbyist
named
above:
16
You
are
hereby
notified
that
there
is
now
on
file
17
with
the
Secretary
of
the
Senate,
State
Capitol,
Des
18
Moines,
Iowa,
a
complaint
which
alleges
that
you
have
19
committed
a
violation
of
the
Senate’s
Code
of
Ethics,
20
chapter
68B,
or
Joint
Rules
Governing
Lobbyists.
21
A
copy
of
the
complaint
and
the
Senate
rules
for
22
processing
the
same
are
attached
hereto
and
made
a
part
23
of
this
notice.
24
You
are
further
notified
and
requested
to
file
your
25
written
answer
to
the
complaint
within
ten
days
of
the
26
date
upon
which
the
notice
was
caused
to
be
delivered
27
to
you,
(date)
________________________,
________.
28
Your
answer
is
to
be
filed
with
the
Secretary
of
the
29
Senate,
State
Capitol,
Des
Moines,
Iowa.
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S.R.
1
Dated
this
________
day
of
________________,
______.
1
________________________________
2
Chairperson,
Senate
Ethics
3
Committee,
4
or
Secretary
of
the
Senate
5
25.
HEARING
NOTICE
FORM.
The
following
form
shall
6
be
used
for
notice
of
a
hearing
under
these
rules:
7
STATE
OF
IOWA
8
THE
SENATE
9
COMMITTEE
ON
ETHICS
)
10
IOWA
STATE
SENATE
)
11
)
12
On
The
Complaint
Of
)
NOTICE
OF
HEARING
13
)
14
___________________________
)
15
)
16
And
Involving
)
17
)
18
___________________________
)
19
)
20
TO
________________________________,
21
Senator
or
Candidate
for
Senate
or
Lobbyist
or
22
Client
of
Lobbyist
named
above:
23
You
are
hereby
notified
that
there
is
now
on
file
24
with
the
Secretary
of
the
Senate,
State
Capitol,
Des
25
Moines,
Iowa,
a
complaint
which
alleges
that
you
have
26
committed
a
violation
of
the
Senate’s
Code
of
Ethics,
27
chapter
68B,
or
Joint
Rules
Governing
Lobbyists.
28
A
copy
of
the
complaint
and
the
Senate
rules
for
29
processing
the
same
are
attached
hereto
and
made
a
part
30
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26
S.R.
1
of
this
notice.
1
You
are
further
notified
that,
after
preliminary
2
review,
the
committee
has
caused
a
public
hearing
to
be
3
scheduled
on
(date)___________________,
________,
at
4
(hour)
___________
(a.m.)
(p.m.),
in
Room
____,
State
5
Capitol,
Des
Moines,
Iowa.
6
At
the
hearing,
you
will
have
the
right
to
appear
7
in
person,
be
represented
by
legal
counsel
at
your
own
8
expense,
present
statements
and
evidence,
and
examine
9
and
cross-examine
witnesses.
The
committee
shall
10
not
be
bound
by
formal
rules
of
evidence,
but
shall
11
receive
relevant
evidence,
subject
to
limitations
on
12
repetitiveness.
Any
evidence
taken
shall
be
under
13
oath.
14
The
committee
may
continue
the
hearing
to
a
future
15
date
if
necessary
for
appropriate
reasons
or
purposes.
16
You
are
further
notified
that
the
committee
will
17
receive
such
evidence
and
take
such
action
as
warranted
18
by
the
evidence.
19
Dated
this
_____
day
of
________________,
______.
20
________________________________
21
Chairperson,
Senate
Ethics
22
Committee,
23
or
Secretary
of
the
Senate
24
26.
PERSONAL
FINANCIAL
DISCLOSURE
FORM.
The
25
following
form
shall
be
used
for
disclosure
of
economic
26
interests
under
these
rules
and
section
68B.35:
27
STATEMENT
OF
ECONOMIC
INTERESTS
28
Name:________________________________________________
29
(Last)
(First)
(Middle
Initial)
30
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26
S.R.
1
Address:_____________________________________________
1
(Street
Address,
Apt.#/P.O.
Box)
2
______________________________________________
3
(City)
(State)
(Zip)
4
Phone:(Home)
____/____-_____(Business)
____/____-_____
5
******************************************************
6
a.
Please
list
each
business,
occupation,
or
7
profession
in
which
you
are
engaged.
In
listing
8
the
business,
occupation,
or
profession,
it
is
9
not
necessary
that
your
employer
or
the
name
of
10
the
business
be
listed,
although
all
businesses,
11
occupations,
or
professions
must
be
listed,
regardless
12
of
the
amount
of
income
derived
or
time
spent
13
participating
in
the
activity.
(Examples
of
types
14
of
businesses,
occupations,
or
professions
that
may
15
be
listed:
teacher,
lawyer,
legislator,
real
estate
16
agent,
insurance
adjuster,
salesperson....)
17
(1)
__________________________________________________
18
(2)
__________________________________________________
19
(3)
__________________________________________________
20
(4)
__________________________________________________
21
(5)
__________________________________________________
22
b.
Please
list
the
nature
of
each
of
the
23
businesses,
occupations,
or
professions
which
you
24
listed
in
paragraph
“a”,
above,
unless
the
nature
of
25
the
business,
occupation,
or
profession
is
already
26
apparent
from
the
information
indicated
above.
The
27
descriptions
in
this
paragraph
should
correspond
by
28
number
to
the
numbers
for
each
of
the
businesses,
29
occupations,
or
professions
listed
in
paragraph
“a”.
30
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91
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S.R.
1
(Examples:
If
you
indicated,
for
example,
that
you
1
were
a
salesperson
in
subparagraph
(1)
of
paragraph
2
“a”,
you
should
list
in
subparagraph
(1)
of
this
3
paragraph
the
types
of
goods
or
services
sold
in
this
4
item.
If
you
indicated
that
you
were
a
teacher
in
5
subparagraph
(2)
of
paragraph
“a”,
you
should
indicate
6
in
subparagraph
(2)
of
this
paragraph
the
type
of
7
school
or
institution
in
which
you
provide
instruction
8
or
whether
the
instruction
is
provided
on
a
private
9
basis.
If
you
indicated
that
you
were
a
lawyer
in
10
subparagraph
(3)
of
paragraph
“a”,
you
should
indicate
11
your
areas
of
practice
and
whether
you
are
in
private,
12
corporate,
or
government
practice
in
subparagraph
(3)
13
of
this
paragraph.
If
you
indicated
in
subparagraph
14
(4)
of
paragraph
“a”
that
you
were
a
consultant,
in
15
subparagraph
(4)
of
this
paragraph
you
should
indicate
16
the
kind
of
services
provided
and
types
of
clients
17
served.)
18
(1)
__________________________________________________
19
(2)
__________________________________________________
20
(3)
__________________________________________________
21
(4)
__________________________________________________
22
(5)
__________________________________________________
23
c.
Please
list
each
source,
by
general
description,
24
from
which
you
receive,
or
which
generates,
more
than
25
one
thousand
dollars
in
gross
annual
income
in
the
26
categories
listed
below.
For
purposes
of
this
item,
27
a
source
produces
gross
annual
income
if
the
revenue
28
produced
by
the
source
is
subject
to
federal
or
state
29
income
taxes.
In
completing
this
item,
it
is
not
30
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91
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26
S.R.
1
necessary
to
list
the
name
of
the
company,
business,
1
financial
institution,
corporation,
partnership,
or
2
other
entity
which
constitutes
the
source
of
the
income
3
and
the
amount
or
value
of
the
holding
should
not
be
4
listed.
5
(1)
Securities
(Here
for
example,
you
need
not
6
state
that
you
own
X
number
of
shares
of
any
specific
7
company
by
brand
or
corporate
name,
or
that
the
stock
8
is
of
a
certain
value,
but
may
instead
state
that
you
9
possess
stock
in
a
company
and
indicate
the
nature
of
10
the
company’s
business.):
11
______________________________________________________
12
______________________________________________________
13
______________________________________________________
14
______________________________________________________
15
______________________________________________________
16
(2)
Instruments
of
Financial
Institutions
(You
17
need
not
indicate,
for
example,
in
which
institutions
18
you
hold
certificates
of
deposit
that
produce
annual
19
income
over
the
one
thousand
dollar
threshold,
but
20
simply
listing
the
nature
of
the
institution
will
21
suffice,
e.g.,
bank,
credit
union,
or
savings
and
loan
22
association.):
23
______________________________________________________
24
______________________________________________________
25
______________________________________________________
26
______________________________________________________
27
______________________________________________________
28
(3)
Trusts
(The
name
of
the
particular
trust
need
29
not
be
listed.
However,
if
the
income
is
received
30
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91
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26
S.R.
1
from
a
charitable
trust/foundation,
such
as
the
Pugh
1
Charitable
Trust,
in
the
form
of
a
grant,
the
fact
that
2
the
trust
is
a
charitable
trust
should
be
noted
here.):
3
______________________________________________________
4
______________________________________________________
5
______________________________________________________
6
______________________________________________________
7
______________________________________________________
8
(4)
Real
Estate
(When
listing
real
estate,
it
is
9
not
necessary
to
list
the
location
of
the
property,
but
10
the
general
nature
of
the
real
estate
interest
should
11
be
indicated,
e.g.,
residential
leasehold
interest
or
12
farm
leasehold
interest.):
13
______________________________________________________
14
______________________________________________________
15
______________________________________________________
16
______________________________________________________
17
______________________________________________________
18
(5)
Retirement
Systems
(When
listing
retirement
19
benefits,
it
is
not
necessary
to
list
the
name
of
20
the
particular
pension
system
or
company,
but
rather
21
the
type
of
benefit
should
be
listed,
e.g.,
health
22
benefits,
life
insurance
benefits,
private
pension,
or
23
government
pension.):
24
______________________________________________________
25
______________________________________________________
26
______________________________________________________
27
______________________________________________________
28
______________________________________________________
29
(Signature
of
filer)
(Date)
30
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