U.S. Department of Housing and Urban Development
                              Washington, D.C.  20410-3000
 
                              October 28, 1993
 
OFFICE OF THE ASSISTANT SECRETARY
FOR ADMINISTRATION                                Ethics Letter  93-1
 
     Special Attention of:
          PRINCIPAL STAFF
          ALL REGIONAL ADMINISTRATORS
          ALL FIELD OFFICE MANAGERS
 
     Subject:  Federal Lobbying Restrictions:  "Byrd Amendment"
 
     A.   PURPOSE.  The purpose of this Letter is to reemphasize the
          responsibilities of Headquarters and Regional Offices
          concerning the Byrd Amendment.  It highlights the
          Amendment's application, significant dates, and the
          importance of prompt and thorough reporting.  (See Ethics
          Letter 91-5 dated December 24, 1991, for guidance
          implementing the Byrd Amendment).
 
          The Byrd Amendment (Section 319 of Public Law 101-121)
          applies government-wide restrictions on lobbying activities
          to applicants requesting Federal assistance which exceeds
          $100,000, and applicants for Federal commitments (to insure
          or guarantee loans) over $150,000.  Section 320 of Public
          Law 101-512, November 5, 1990 amended Section 319 to say
          that insured single family mortgages which do not exceed
          $150,000 or the single family mortgage limit for affected
          programs, whichever is greater, are exempt from the Byrd
          Amendment requirements.
 
     B.   RESPONSIBILITIES
 
          1.   Field.  In addition to Ethics Letter 91-5, refer to
               Handbook 7570.1 dated January 1992 entitled
               Public and Indian Housing Lobbying Handbook and
               Office of Housing Handbook 1060.03 dated
               September 1993 entitled Byrd Amendment
               - Limitations on Payments Made to Influence Certain
               Federal Financial and Contracting Transactions.
               A recap of that guidance follows:
 
               a.   Applications are reviewed to determine if the
                    required Byrd Amendment documents have been
                    submitted.  If an application is incomplete, the
                    Field Office is to advise the applicant that the
                    missing documents must be submitted before
                    assistance may be provided.
___________________________________________________________________________
 
AE: Distribution:  W-1, W-2, W-3, W-3-1, W-4, R-1, R-3-1, R-6, R-7, R-8,
                   R-9, 0-16
_____________________________________________________________________
 
               b.   When a disclosure form (SF-LLL) is submitted
                    by the applicant, the original will be
                    forwarded to the Office of Ethics in
                    Headquarters.  A duplicate copy of the SF-LLL
                    should be retained in the program file.
 
               c.   Certifications/statements are retained in the
                    appropriate file in the Field Office.
 
               d.   Any request from a member of the public for a
                    copy of a disclosure form shall be forwarded to
                    the Office of Ethics for processing.  The Office
                    of Ethics will ensure the request is handled in
                    accordance with the Freedom of Information Act.
 
               e.   Field Offices must respond to the Office of
                    Ethics' memorandum requesting the submission
                    of original SF-LLL forms by April 15 and
                    October 15 of each year.
 
          2.   Office of Ethics.  The Office of Ethics is required
               to prepare semi-annual reports to the Senate and the
               House of Representatives that contain all of the
               SF-LLL forms received during the six month periods
               ending March 31 and September 30 in each year.  The
               former report is due on May 31 and the latter on
               November 30 of each year.
 
               a.   The Office of Ethics will prepare a memorandum
                    to Principal Staff and Regional Administrators
                    - Federal Housing Commissioners reminding them to
                    forward original SF-LLL forms that have not
                    already been submitted to the Office of Ethics.
 
               b.   The Office of Ethics will prepare the final
                    reports for the Secretary's signature by May 1
                    and November 1 of each year.
 
          3.   Program Offices.  Headquarters Program Offices
               that receive assistance applications must adhere to
               the procedures described in the segment under Field
               Responsibilities.
 
     C.   PENALTIES.  A violation of provisions under the Byrd
          Amendment is subject to a penalty of not less than $10,000
          and not more than $100,000 for each violation.
 
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Office of Ethics                 Page 2                  Ethics letter 93-1