Filing Information and Requirements
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Filing Options and Forms

How do I obtain forms to register and report?

Electronic Filing:  The Commission encourages all Filers to register and report using its Online Filing System.  Electronic filing has several advantages not available to paper Filers, as described below. 

Advantages to using the Online Filing System:

  • 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.

The Commission also offers the following option for registering and reporting:

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.

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.

 

 

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

 

Name of Form

Filed By

Filing Fee

Lobbyist Statement of Registration

Lobbyists (see Lobbyist Filing Requirements – Chapter 4)

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.  (see Lobbyist Filing Requirements – Chapter 4)

No fee required.

Client Semi-Annual Report

Clients (see Client Filing Requirements – Chapter 5)

$50

Lobbyist Reportable Business Relationship Form

Lobbyists and Public Corporations (see Chapter 6 for more information).

None.  The Lobbyist Reportable Business Relationship Form is considered a part of the Lobbyist’s Statement of Registration.

Client Reportable Business Relationship Form

Clients (see Chapter 6 for more information).

None.  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 (see Chapter 8 for more information).

No fee required.

Public Corporation Statement of Registration

Public Corporations (see reference in Lobbyist Filing Requirements – Chapter 4)

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.  (see Lobbyist Filing Requirements – Chapter 4)

No fee required.

Lobbying Overview Training

On September 20, 2018, the Commission hosted a Lobbying Overview Training session for Lobbyists, Clients of Lobbyists, Public Corporations, and other interested parties regarding the Commission's comprehensive lobbying regulations, which go into effect January 1, 2019.

At this training, members of the lobbying community were given the opportunity to explore and learn more about key elements of the new regulations. For more information, go to the "Lobbying Overview Training' page at https://jcope.ny.gov/lobbying-overview-training, where you will find the PowerPoint presentation. 

JCOPE's Online Lobbying Filing System

If you will be filing online for the first time, you must enroll in the Online Filing System.  This is a one-time process per Type of Filer (Lobbyist, Client, Public Corporation), and there is no fee to enroll.  As part of the enrollment, a Responsible Person is required to agree to a "terms of use agreement" and submit a notarized affidavit. 

Please be aware, if you have previously filed with the Commission using paper/PDF forms, a Profile already exists in the Online Filing System.  To avoid creating a duplicate Profile and to keep all your Filings in one location where you can access them, when enrolling in the Online Filing System, select your name from the drop-down menu, make any necessary changes to the information, and provide your email address in the field provided.  This action will generate the Affidavit to be signed and notarized.  Once the Commission receives this original, signed affidavit, a User ID and password will be generated and sent to the email provided.  You will then be able to utilize JCOPE’s Online Lobbying Filing System.

 

Password Reset Sample Letters

DISCLAIMER

The following sample letters 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

Online Filing System Password Reset Letters

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 Due Dates

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.

 

 

2018 Filing Due Dates for Lobbyists, Clients and Public Corporations

Late Filings

Late Filing Fee Schedule

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

Amount

1 – 2 days (First-time filer)

$10 per day

1 – 7 days

$25 flat late fee

8 – 14 days

$75 flat late fee

15 – 30 days

$150 flat late fee

31 – 90 days

$300 flat late fee

91 – 180 days

$500 flat late fee

181 days and over

$1,000 flat late fee

Paper Forms

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)
  
Contact us by email:
Mailing Address:

New York State Joint Commission on Public Ethics

540 Broadway

Albany, New York 12207