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Filing Information and Requirements

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Filing Instructions

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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 11/1/2022
     

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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
     

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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
     

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Filing Options and Forms Overview

How do I obtain forms to register and report?

Electronic Filing:  The Commission encourages all Filers to register and report online using the Lobbying Application ("LA") to register and submit filings.  Electronic filing has several advantages not available to paper filers, as described below. 

Advantages to filing online:

  • 24-hour access.
  • Information will prepopulate to certain sections of your filings for you.
  • Registration and Client Semi-Annual filing fees can be securely paid by credit card.
  • Filing deadlines are extended until midnight, saving a rushed trip to the JCOPE office.
  • Start and finish your Filings at your convenience with the “save” function.
  • Eliminate time-consuming entry of bill numbers by copying/pasting into your Filing.
  • Automatically review Filings for missing information before you submit.
  • Access to all your Filings and their processing statuses.

 

Paper/PDF Filing:  If you are unable to file electronically, but have access to the Internet, you can download and print a paper/PDF version of any required forms from the “ Paper Forms” section of this page.

 

Forms required to be filed and who is responsible for filing them:

 

Name of Form

Filed By

Filing Fee

Lobbyist Statement of Registration

Lobbyists 

If the $5,000 threshold is expected to be exceeded for a Client - $200 Registration fee per Client or $100 prorated for the registering in the second half of a biennial period.  If $5,000 threshold is not expected to be exceeded for the Client, no fee is required.

Lobbyist Bi-monthly Report

Lobbyists who are required to file a Lobbyist Statement of Registration, and whose contract is in effect at any point during the Bi-monthly reporting period.  

No fee required.

Client Semi-Annual Report

Clients 

$50

Lobbyist Reportable Business Relationship Form

Lobbyists and Public Corporations 

No fee required. The Lobbyist Reportable Business Relationship Form is considered a part of the Lobbyist's Statement of Registration.

Client Reportable Business Relationship Form

Clients

No fee required.  The Client Reportable Business Relationship Form is considered a part of the Client’s Semi-Annual Report.

Disbursement of Public Monies

Registered Lobbyists, including Public Corporations, who meet certain additional filing requirements. 

No fee required.

Public Corporation Statement of Registration

Public Corporations 

No fee required.

Public Corporation Bi-monthly Report

Public Corporations who are required to file a Lobbyist Statement of Registration, and whose contract is in effect during the Bi-monthly reporting period. 

No fee required.

Retention Requirements, Filing Due Dates, and Penalties

Retention Requirements for Filings

All Lobbying Act reports and supporting documents should be retained for a period of three years.

 

FILING

FILING DEADLINE

2023 January/February Bi-monthly Reports
(January 1 – last day of February)

March 15, 2023

2023 March/April Bi-monthly Reports
(March 1 – April 30)

May 15, 2023

2023 May/June Bi-monthly Reports
(May 1 – June 30)

July 17, 2023

2023 July/August Bi-monthly Reports
(July 1 – August 31)

September 15, 2023

2023 September/October Bi-monthly Reports
(September 1 – October 31)

November 15, 2023

2023 November/December Bi-monthly Reports
(November 1 – December 31)

January 16, 2024  

 

Penalties for Non-Filers

Failure to timely file a complete and accurate Statement or Report may subject the Filer to a civil penalty not to exceed the greater of $25,000 or three times the amount the person failed to report properly. In addition, a Filer may be guilty of a Class A misdemeanor for a first-time failure and a Class E felony for any subsequent failures in the five years ensuing.

Please note:  Timely reports are those that are received by the Commission's office on or before the due date.  If a report is due on a weekend or a State holiday, the report must be received in the Commission's office on the first business day following the weekend or State holiday.  The Commission does not consider the postmarked date as the date of receipt for lobbying filings.

Registration Form, Agreement Form, Sample Letters and Questionnaire

Paper/PDF forms are also available by calling the Commission's office at (518) 408-3976 from 8:30 a.m. to 4:30 p.m. on regular State business days.  The Commission requires that forms with original signatures be submitted; photocopies and faxes will not be accepted.  Consequently, it is important that you allow sufficient time to obtain and submit original forms prior to the filing due dates.

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    Designation Sample Letter

    This sample letter allows a chief administrative officer of an organization to designate another individual to make and sign statement(s) and/or report(s). A "Designation Letter" is not necessary for filers utilizing the online filing system.

    Please Note - The chief administrative officer may designate another to sign and file the reports, but this designation does not relieve the chief administrative officer of liability due to a failure to file, late filing or false filing of any report(s).

     

    Revised 10/31/2022
     

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    Sample Letter: Explanation Lapse for 2019-2020 Filings

    This sample letter can be used if (1) the Lobbying Agreement was not executed by a Client within 15 days of the date on which the Lobbyist agreed to – or was authorized to – begin Lobbying Activity (the start date); or (2) there is a ‘gap in time’ from the expiration (end date) of a Lobbying Agreement already on file with the Commission, and the start date of a ‘new’ extended agreement.

    Only valid for Filings for the 2019-2020 Biennial Period. 
     

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    Coalition Questionnaire

    This is for use by Coalitions to determine if any members of the Coalition exceed the $5,000 Compensation and Expenses threshold and would need to be listed as Beneficial Clients.  Only applicable for the 2019-2020 Biennial.
     

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Terminations

The process of terminating in the new lobbying application is currently under review and is unavailable to the filer at this time. Therefore, in the event a filer needs to terminate before this feature becomes available or until further instruction is provided, please notify the Commission either by mail, to 540 Broadway, Albany NY 12207 or via email, to [email protected]. Notification of a termination must be submitted by an authorized person (CAO or DA) and must provide the information requested in these sample letters.

Please note - requirements for when a Termination notice needs to be sent have changed in the Comprehensive Lobbying Regulations. Please refer to the regulations, specifically Part 943.10, for more information.    

This termination procedure is temporary and will likely change for future filings once the lobbying application begins processing terminations. Please contact Commission staff should you have any questions regarding compliance so that we can advise you on the best form of action.

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

Bi-Monthly Report Instructions, Forms and Related Materials

The Lobbying Act states that any Lobbyist required to file a Statement of Registration for any Client in a biennial period must also file Bi-monthly Reports, regardless of Compensation, Expenses, or Lobbying Activity. This must be done even if no Compensation or Expenses have been paid or incurred; in those situations the Compensation and/or Expense fields should be completed with zeros for the relevant period. 

NOTE: There is NO minimum activity or expenditure threshold requirement for filing any Bi-monthly Report. Consequently, a Bi-monthly Report is required to be field regardless of whether Compensation and Expenses were incurred, received, or expended, or Lobbying Activity was engaged in during the two months covered by the Bi-monthly Report. If the relationship between the Lobbying and Client has terminated, both parties are required to file all required reports by their statutory due dates, reporting all Lobbying Activity up to the effective date of termination. 

Disbursements of Public Monies

Reportable Business Relationship Forms 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
     

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Client Semi-Annual Report Instructions, Forms, and Related Material

The Lobbying Act states that any 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 Expenses for Lobbying will be expended or incurred, is required to submit a Client Semi-Annual Report.

The amounts of Reportable Compensation and Expenses expended, incurred, or received for Lobbying Activities must be computed cumulatively for all Lobbying Activities when determining whether the threshold has been met.

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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
     

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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
     

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Source of Funding Information and Forms

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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    Source of Funding Summary Statement Form

    This form may be used by Beneficial Clients that are Paper (PDF) Filers. All Beneficial Clients are required to complete this PDF form or submit this statement in the online Lobbying Application.  Completed PDF forms must be mailed to the Commission on Ethics and Lobbying.  Beneficial Clients required to disclose information on Sources must complete and mail this form AND e-mail the pre-formatted Excel Spreadsheet to [email protected].

    Mail completed forms to:

    NYS Commission on Ethics and Lobbying in Government

    540 Broadway

    Albany, New York 12207

     

    Revised 11/1/2022
     

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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. 
     

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    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.  PAPER Filers who meet the Expenditure Threshold and are required to disclose Source of Funding information MUST utilize the pre-formatted Excel Spreadsheet.  The completed, original spreadsheet must be emailed to Commission staff at [email protected]; and should include your contact information and the name of the Beneficial Client to avoid filing delays.

    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
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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.  
     

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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