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Client Semi-Annual Report, Source of Funding and Reportable Business Information

Resources to help you file and navigate the online Lobbying Application
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Client Semi-Annual Report, Source of Funding and Reportable Business Information

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Client Terminations

Coming Soon - Client Terminations

 

Client Terminations have not yet been implemented in LA. Clients who end the lobbying relationship earlier than the original end date are required to notify the Commission within 30 days of the lobbying relationship ending using the process outlined below.

 

Procedure for Client Terminations and Paper Filers

Notification of an early termination must be submitted by an authorized person and provide the required information.  If the Preparer submits the early termination, the Responsible Party must be copied. Refer to the sample termination letters for more information.

An authorized person can be any of the following individuals:

  • Responsible Party
  • Preparer

Commission staff will notify you as soon as your termination has been processed.

 

Notifications should preferably be submitted via email to [email protected] or may be submitted by regular mail to:

NYS Commission on Ethics and Lobbying in Government

Attn: Registration Unit – Client Terminations

540 Broadway

Albany, NY 12207

Client Termination Sample Letter

Filing Due Dates

Filing due dates for Lobbyists, Clients and Public Corporations

Lobbying Application Instructions

Instructions for navigating the Commission's online Lobbying Application.  

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    2019-2020 How to File a Client Semi-Annual Report in LA

    These instructions are intended to assist online Filers when navigating the online Lobbying Application.  Technical 'click-here' instructions include how to file information for both the Client Semi-Annual Report and Reportable Business Relationship information.   

    For the 2019-2020 Biennial ONLY
     

    Download

CSA Filing Instructions

The Lobbying Act requires that any Contractual Client retaining, employing or designating a Lobbyist or Lobbyists - whether or not any such Lobbyist was required to file a Statement of Registration or Bi-monthly Report – who reasonably anticipates that during the year an amount in excess of $5,000 in combined Reportable Compensation and Reportable Expenses for Lobbying will be expended or incurred, is required to submit a Client Semi-Annual Report.

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    Client Semi-Annual Filing Instructions

    The purpose of this document is to provide Filers with further clarification of the information required to be disclosed in Client Semi-Annual Reports and Client Semi-Annual Report Amendments.

    Revised 11/27/24

     
     

    Download
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    Coalition Filing Requirements

    Beginning with the 2021 Biennial Registration Period, the Commission’s regulations have been amended to simplify and clarify how Lobbying Activity by Coalitions should be disclosed. The following guidance will assist a Coalition in determining whether it is required to file Lobbying Reports as a Coalition, or if, instead, its Members are required to disclose their Coalition Contributions in their own Lobbying Reports. Applicable for filing years 2023 through 2021.  

    Revised 11/27/2024
     

    Download
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    How to Properly Disclose Lobbying Activities Information

    Please reference this document PRIOR to disclosing Lobbying Activities in the Lobbyist Statement of Registration, Lobbyist/Public Corporation Bi-Monthly Report, Disbursement of Public Monies Bi-Monthly Report, and the Client Semi-Annual Report.  Applicable for the 2019-2020 and 2021-2022 Biennial.

    Revised 11/28/2022
     

    Download
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    2019-2020 Client Semi-Annual Information

    Information and instructions on what to report on a Client Semi-Annual Report ('CSA') or CSA Amendment. For instructions on using the new LA, refer to "How to File a Client Semi-Annual Report in LA".   

    Only applicable for the 2019-2020 biennial period.

    Revised 7/23/2019
     

    Download

Source of Funding Filing Instructions

Source of Funding (“SoF”) is a requirement for Client Filers, who meet the Expenditure Threshold, to disclose each Source who contributed more than $2,500 to the Client Filer to fund, in whole or in part, the Client Filer’s activities or operations.

Source of Funding disclosure is intended to provide the public with more information regarding the actual entities and individuals that support lobbying campaigns in New York State.

Every Beneficial Client is required to either: (1) Disclose Source(s) of Funding (‘SoF’); or (2) Indicate SoF reporting is not required. The information will be appended to every active CSA and Amended CSA of the affiliated Contractual Client(s) during the specified Reporting Period.  A Beneficial Client may be the same as the Contractual Client.

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    2019 Source of Funding Information

    The purpose of this document is to assist Client Filers (Lobbyists who lobby on their own behalf and Beneficial Clients) with the disclosure of Source of Funding (SoF) information in the Commission's Lobbying Application.

    NOTE:  This document is not intended to assist Client Filers in determining whether they have met the Expenditure Threshold and require reporting to the Commission on Ethics and Lobbying.  
     

    Download
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    EXAMPLE Spreadsheet for Source of Funding Filing

    This spreadsheet is intended as an example to use as a guide while reading "Instructions for Completing the Excel Spreadsheet to Disclose SoF Information". Do not submit this as your Source of Funding disclosure. 

    Please note - this spreadsheet will not immediately appear on your screen; it will download automatically and appear in your 'downloads' folder, or at the bottom of your screen. 
     

    Download
  •  

    BLANK Pre-formatted Excel Spreadsheet for Source of Funding Disclosure

    Please use this pre-formatted Excel Spreadsheet to disclose information on Sources for Source of Funding.  Before completing the pre-formatted Excel Spreadsheet, Paper Filers who need the Source of Funding Summary Statement Form should contact the Lobbying Help Desk at (518) 474-3973 or [email protected] for assistance.

    ONLINE FILERS who meet the Expenditure Threshold and are required to disclose Source of Funding (“SoF”) information must either: utilize the Commission's online Lobbying Application (“LA”) to data-enter each Source individually; or complete and upload the pre-formatted Excel Spreadsheet provided by the Commission on Ethics and Lobbying. 

    Refer to the 'Instructions for Completing the Pre-formatted Excel Spreadsheet to Disclose Source of Funding Information' prior to completing the blank spreadsheet.

    Please note - this spreadsheet will not immediately appear on your screen; it will be automatically download and appear in your 'downloads' folder, or at the bottom of your screen. 
     

    Download

Reportable Business Relationship Filing Instruction and Questionnaire

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    Reportable Business Relationship Questionnaire

    This is for use by a Lobbyist or Client Organization to send to its equity partners, officers, directors or High-Level Individuals, as applicable, to determine whether such persons have Reportable Business Relationships that must be disclosed by the Lobbyist or Client Organization. 

     

    Revised 11/4/2022
     

    Download

PDF Forms for 'Paper Filers'

Refer to the applicable filing instructions prior to completing the form.  Filers seeking a paper/PDF form should contact the Lobbying Help Desk at (518) 474-3973 or [email protected] for assistance.

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    EXAMPLE Spreadsheet for Source of Funding Filing

    This spreadsheet is intended as an example to use as a guide while reading "Instructions for Completing the Excel Spreadsheet to Disclose SoF Information". Do not submit this as your Source of Funding disclosure. 

    Please note - this spreadsheet will not immediately appear on your screen; it will download automatically and appear in your 'downloads' folder, or at the bottom of your screen. 
     

    Download
  •  

    BLANK Pre-formatted Excel Spreadsheet for Source of Funding Disclosure

    Please use this pre-formatted Excel Spreadsheet to disclose information on Sources for Source of Funding.  Before completing the pre-formatted Excel Spreadsheet, Paper Filers who need the Source of Funding Summary Statement Form should contact the Lobbying Help Desk at (518) 474-3973 or [email protected] for assistance.

    ONLINE FILERS who meet the Expenditure Threshold and are required to disclose Source of Funding (“SoF”) information must either: utilize the Commission's online Lobbying Application (“LA”) to data-enter each Source individually; or complete and upload the pre-formatted Excel Spreadsheet provided by the Commission on Ethics and Lobbying. 

    Refer to the 'Instructions for Completing the Pre-formatted Excel Spreadsheet to Disclose Source of Funding Information' prior to completing the blank spreadsheet.

    Please note - this spreadsheet will not immediately appear on your screen; it will be automatically download and appear in your 'downloads' folder, or at the bottom of your screen. 
     

    Download

Contact Lobbying Filings Specialist

For technical assistance, or help with Registrations, Lobbyist Bi-Monthly reports, Client Semi-Annual reports, and other lobbying-related disclosure forms, the Lobbying line is available from 8:30 A.M. to 4:30 P.M. Eastern Time, Monday through Friday, by contacting the main Commission phone number.

 

Contact us by phone:

Hotline - Press '1' to speak to the Lobbying Unit 800-87-Ethics (800-873-8442)

Contact us by email:

Mailing Address:

New York State 

Commission on Ethics and Lobbying in Government

540 Broadway

Albany, New York 12207