2018 Filing Information and Requirements
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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. For 2019 filings and later, use the Lobbying Application ("LA") to register and submit filings. For 2018 and prior year filings, use the pre-2019 online filing system.  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.

Guide to Lobbying Reporting

  •  

    JCOPE Guide to Lobbying Reporting - 2018 and Prior Years ONLY

    A comprehensive guide to the reporting obligations outlined in Legislative Law Article 1-A also known as the Lobbying Act. Detailed information is provided for Filers and subject matter areas that may require additional disclosures under the Lobbying Act.  Refer to this Guide for 2018 Filings and prior years.

     

    Download

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.

 
What Filings Are Due When 

FILING

FILING DEADLINE

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

March 15

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

May 15

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

July 15

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

September 15

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

November 15

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

January 15

 

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.

 

JCOPE Lobbying Application Information

All users, whether filing online for the first time in 2019 or filing online as they have before, must enroll in the Lobbying Application. That includes having a personal NY.gov ID account and creating a User Profile. For more information on enrollment, go to JCOPE Lobbying Application Information

For Filers who must submit any filings for 2018 and prior years, continue to utilize the pre-2019 Online Filing System.

 

Pre-2019 Online Filing System Password Reset Letters

Password Reset Sample Letters

DISCLAIMER

The following sample letters, which are only applicable for filings from 2018 and prior years, are provided and intended to aid the lobbying community. They may not cover every possible situation that may occur. If additional assistance is required, Commission staff should be contacted. The content of all correspondence is the responsibility of the sender and is subject to review and final approval by the NYS Joint Commission on Public Ethics.

Letters may be mailed to the following address:

NYS Joint Commission on Public Ethics
540 Broadway
Albany, New York 12207

Filing Due Dates for Lobbyists, Clients and Public Corporations

Late Filings

Late Filing Fee Schedule

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.

First-time Filers may be charged a late filing fee of no more than $10 per day for each day a required Filing is late. All others may be charged a late filing fee of up to $25 per day for each day the required Filing is late. To complete a paper or online waiver form, visit the "Application for Waiver of Late Filing Fee" section of the website.

  • NOTE: Applications for Waiver of Late Filing Fees should not be filed until receipt of a late fee notice from the Commission. Any applications filed prior to a late fee assessment will be disregarded. Waiver Applications cannot be used for civil penalty fines.

 

Reports that are not timely filed will generally be subject to the late fee schedule set forth below:

Days Late                                               Action

  First Time Filer All Other Filers

1 – 7 days

Grace Period/No Late Fee

Grace Period/No Late Fee

8 – 14 days

$75 flat late fee

$150 flat late fee
15-30 days $150 flat late fee $300 flat late fee

31 – 90 days

$300 flat late fee

$500 flat late fee

91 – 180 days

$500 flat late fee

$1,000 flat late fee

181 days and over

$1,000 flat late fee

$2,000 flat late fee

2018 and Prior Year Paper Forms

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.

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 phone number or email address below.

 

Contact us by phone:
Hotline - Press '1' to speak to the Lobbying Unit   800-87-Ethics (873-8442)
  
Mailing Address:

New York State Joint Commission on Public Ethics

540 Broadway

Albany, New York 12207