Code of Ethics
City of Bangor, Maine
This Maine Municipal Association publication is presented for "Classroom Use Only." Its intended use is to stimulate and aid in discussion and role playing within a classroom setting.
CHAPTER I
*ARTICLE 6 - CODE OF ETHICS
Sec. 1 Declaration of Policy. The proper operation of democratic government requires that City Councilors and their appointees be fair, impartial and responsive to the needs of the people and each other in the performance of their respective functions and duties; that decisions and policy be made in proper channels of the City's governmental structure; that public office not be used for personal gain; and that City Employees, City Councilors and City appointees maintain a standard of conduct that will inspire public confidence in the integrity of the City's government. In recognition of these goals, a Code of Ethics is hereby established for all City Employees, City Councilors, and member and associate members of all City Boards and Commissions now existing or hereafter created.
Sec. 2 Definitions.
**2.1 Board: All statutory and non-statutory boards now existing or hereafter created under the City Charter or by virtue of any ordinance, order or resolve adopted by the Bangor City Council, including without limitation the following:
Banair Corporation Board of Directors
Bangor Recreation District Board of Directors
Board of Appeals
Board of Assessment Review
Board of Ethics
Hersey Fund Board of Trustees
Planning Board
Sophia Kirstein Loan Fund Board of Trustees
Superintending School Committee2.1.1 Board Member: Any person elected to membership or associate membership on a City Board or appointed to such a board by or under the authority of the Bangor City Council.
2.1.2 Business: Any corporation, partnership, individual, sole proprietorship, joint venture, or any other legally recognized entity organized for the purposes of making a profit.
2.2 City Councilor: Member of the Bangor City Council.
2.3 City Employee: Any individual working for, on a permanent or temporary basis, and drawing an hourly wage or salary from the City of Bangor. The term "City Employee" shall not include outside consultants or professional personnel providing services to the City as independent contractors under a written professional services contract or other similar engagement.
2.3.1 Comission: All Committees, Commissions or other public bodies now existing or hereafter created by virtue of any ordinance, order or resolve adopted by the Bangor City Council including, without limitation, the following:
Bangor Housing Authority Commission
Economic Development Advisory Commission
Firearms Discharge Committee
Harbor Committee
Historic Preservation Commission
Nursing Facility Advisory Committee
Parks and Recreation Advisory Committee
Recycling Committee2.3.2 Commission Member: Any person appointed to hip or associate hip on a City Commission or Committee by or under the authority of the Bangor City Council.
2.4 Immediate Family: Spouse, and the following when living in the household of a City Employee, City Councilor, Board Member or Commission Member: children, parents, brothers and sisters.
2.5 Financial Interest: A direct or indirect interest having monetary or pecuniary value, including, but not limited to, the ownership of shares of stock. A City Employee, City Councilor, Board Member or Commission Member or any member of that person's immediate family who holds a financial interest in a disclosed blind trust shall not be deemed to have a conflict of interest with regard to matters pertaining to assets held by the trust.
2.6 Special Interest: A direct or indirect interest having value peculiar to a certain individual or group, whether economic or otherwise, which value nay accrue to such individual or group as a result of the passage or denial of any order, ordinance or resolution or the approval or disapproval thereof, by the City Council, Board or Commission and which interest is not shared by the general public.
2.7 City Council: For purposes of this Code references to the City Council shall be construed to the City Council of the City of Bangor and any of the committees or subcommittees thereof.
Sec. 3 Standards of Conduct: The purpose of this Code is to establish ethical standards of conduct for all City Employees, City Councilors, Board Members and Commission Members by setting forth those acts or actions deemed to be in conflict or incompatible, or to create the appearance of conflict or incompatibility, with the best interests of the City of Bangor.
3.1 Statutory Standards. There are certain provisions of the general statutes of the State of Maine which should, while not set forth herein, be considered an integral part of this Ordinance. Accordingly, the provisions of the following sections of the general statutes of the State of Maine, as may be amended, are hereby incorporated by reference and made a part of this Code of Ethics, and shall apply to all City Employees, City Councilors, Board Members and Commission Members of the City of Bangor whenever applicable as if more fully set forth therein, to wit:
17 MRSA §3104 Conflicts of Interest; Purchases by the State
17-A MRSA § 456 Tampering with Public Records or Information
17-A MRSA § 602 Bribery in Official and Political Matters
17-A MRSA § 603 Improper Influence
17-A MRSA § 604 Improper Compensation for Past Action
17-A MRSA § 605 Improper Gifts to Public Servants
17-A MRSA § 606 Improper Compensation for Services
17-A MRSA § 607 Purchase of Public Office
17-A MRSA § 608 Official Oppression
17-A MRSA § 609 Misuse of Information
17-A MRSA § 903 Misuse of Entrusted Property
21-A MRSA § 504 Persons Ineligible to Serve
30-A MRSA § 2605 Conflicts of Interest
30-A MRSA § 5122 Interest of Public officials, Trustees or Employees3.2 Contracts, Purchases and Employment.
(A) No City Employee, City Councilor, Board Member or Commission Member shall participate directly by of deliberation, approval or disapproval, or recommendation, in the purchase of goods and services for the City, and the award of any contracts with the City, except as permitted under the City's Purchasing Regulations and under the laws of the State of Maine, where to his knowledge there is a financial interest, or special interest other than that possessed by the public generally, in such purchase or award, held by:
(i) that individual or a member of his or her ate family;
(ii) a business in which that individual or a member of his or her immediate family serves as an officer, director, trustee, partner or employee in a supervisory or management position; or
(iii) any other person or business with whom that individual or a member of his or her immediate family are in business, or are negotiating or have an arrangement concerning future employment.
(B) No City Councilor, Board Member or Commission Member shall participate by means of deliberation, approval or disapproval, or recommendation, in the decision to hire, promote, discipline, lay off or to take any other personnel action in respect to any applicant for City employment or City employee, where said applicant or employee is:
(i) a member of the Councilor, Board Member, or Commission Members immediate family; or
(ii) a person with whom either the Councilor, Board Member,
Commission Member or a member of his or her immediate family is in business.
(C) Except as authorized under the City's published Personnel Rules and Regulations, no City Employee shall participate by of deliberation, approval or disapproval, or recommendation, in the decision to hire, promote, discipline, lay off or to take any other personnel action in respect to any applicant for City employment or City Employee, where said applicant or employee is:
(i) a member of the City Employee's immediate family; or
(ii) a person with whom either the City Employee or a of his or her immediate family is in business.
Action by a City Employee shall be deemed authorized under this subsection when such action is permitted under the City's published Personnel Rules and Regulations, or when the City Council has waived those rules so as to allow creation of a supervisory relationship that would otherwise violate the published rules.
3.3 Disclosure of Confidential Information. No City Employee, City Councilor, Board Member or Commission Member shall, without proper legal authorization, disclose confidential information concerning the property, government or affairs of the City; nor shall he or she use such information to advance his or her financial or private interest or the financial or private interest of others. For purposes of this subsection, the term, "confidential information" shall mean any information, oral or written, which comes to the attention of, or is available to, such City Employee, City Councilor, Board Member or Commission Member only because of his or her position with the City, and is not a matter of public record. Information received and discussed during an executive session of the Bangor City Council or any City agency called pursuant to 1 MRSA §§ 405 et seq. shall be considered within the constraints of this section, and shall not be disclosed to any third party unless permitted by affirmative vote of such body.
3.4 Gifts and Favors. No City Employee, City Councilor, Board Member or Commission Member shall accept any gift, favor or thing of value, whether in the form of service, loan, thing or promise, from any person or business which to his or her knowledge is interested directly or indirectly in any manner whatsoever in business dealings with the City; nor shall any City Employee, City Councilor, Board Member or Commission Member: (1) accept any gift, favor or thing of value that tends to influence that individual in the discharge of his or her official duties; or (2) grant in the discharge of his or her official duties any improper favor, service or thing of value. Nothing herein shall prohibit the acceptance of gifts or favors by City Employees, City Councilors, Board Members or Commission Members from members of their immediate families. In determining whether a violation of this subsection has occurred the Board of Ethics, in cases referred to it pursuant to subsection 4.6 of this Ordinance, shall consider the monetary or pecuniary value of the gift, favor or thing received; any special economic value the gift, favor or thing received may have to the recipient; the circumstances under which the gift, favor or thing concerned was received; and whether a public disclosure of the receipt was made by the recipient at the time.
3.5 Use of City Property. No City Employee, City Councilor, Board Member or Commission Member shall use or permit the use of any City-owned property, including but not limited to, motor vehicles, equipment and buildings, for any private purposes. Nothing herein shall prohibit the use of City buildings and equipment at rates and/or on terms as may be established. Nothing herein shall prohibit the use of City equipment or motor vehicles by City Employees in accordance with written policies established by the City Council, City Manager, or City department head concerned, nor shall this Ordinance be deemed to prohibit private use of surplus City property legally disposed of by the City or its departments in compliance with established procedures.
3.6 Representing Third Party Interest Before City Agencies.(A) No City Employee shall appear on behalf of any third party interest before any City agency, or represent a third party interest in any action, proceeding, or litigation in which the City or one of its agencies is a party. Nothing herein shall prohibit any City Employee from appearing as a witness when duly called by a party for the purpose of giving non-privileged testimony before any City agency or in any such action, proceeding or litigation. Nothing herein shall prohibit any City Employee, on behalf of his or her personal interest, from appearing before any City agency. "Personal interest" shall include, for this purpose, any interest of the City Employee concerned as a resident, landowner, or taxpayer affected by the matter under consideration.
(B) No City Councilor shall either appear on behalf of any third party interest before any City agency, or represent a third party interest in any action, proceeding, or litigation in which the city or one of its agencies is a party. Nothing herein shall prohibit a Councilor, on behalf of a constituent in the course of his or her duties as a representative of the electorate, or any Councilor, on behalf of his or her personal interest, from appearing before a City agency.
(C) No Board or Commission Member shall appear on behalf of any third party interest before a City agency of which he or she is a current member. Nothing herein shall prohibit a Board or Commission Member, on behalf of his or her personal interest, from appearing before any City agency including that of which he or she is a current member, but such Board Member or Commission Member shall not deliberate or vote on the item concerned.
3.7 Conflicts of Interest. Bangor City Council Agenda Items.
(A) Deliberation and Vote Prohibited. No City Councilor, Board Memberr or Commission Member shall, in such capacity, participate in the deliberation or vote, or otherwise take part in the decision-making process, on any agenda item before his or her collective body in which he or she or a member of his or her immediate family has a financial or special interest, other than an interest held by the public generally.
(B) Disclosure of Conflict. Any City Councilor, Board Member or Commission Member who believes that he or she or a member of his or her immediate family has a financial or special interest, other than an interest held by the public generally, in any agenda item before his or her collective body, shall disclose the nature and extent of such interest and the City Clerk or his designee shall make a record of such disclosure.
Such disclosure shall be made no later than the date of the first meeting of the City Council, Board, Commission or Committee thereof, at which the agenda item concerned is to be taken up for consideration, recommendation, discussion or vote and at which the City Councilor, Board Member or Commission Member is present. Additionally, any City Councilor, Board Member or Commission Member who believes that any fellow City Councilor, Board Member or Commission Member, or a member of such fellow City Councilor's, Board Member's or Commission Members immidiate family has a financial or special interest, other than an interest held by the public generally, in any agenda item before his or her collective body, shall disclose the nature and extent of such interest, and the City Clerk or his designee shall make a record of such disclosure.
(C) Determination of Conflict. Once the issue of conflict has been raised relative to an individual City Councilor, Committee Member or Commission Member, and disclosure has been made as provided above, such individuals fellow City Councilors, Committee, Board or Commission Members shall review the facts as disclosed to them, and shall vote on whether or not such individual has a financial or special interest with respect to the agenda item concerned. All conflict of interest questions relating to a particular agenda item shall be resolved prior to any consideration of the item concerned, and each City Councilor, Committee, Board Member or Commission Member present shall be entitled to vote on all conflict of interest questions except those questions pertaining to that individual Councilor, Committee Member, Board Member or Commission Member's alleged conflict of interest.
All votes of conflict of interest questions shall be recorded. A majority vote shall determine the question; but a vote by Committee may later be reviewed by the full City Council upon the City Councils consideration of the same agenda item.
Upon determination that a conflict of interest in fact exists, the City Councilor, Committee Member, Board Member or Commission Member concerned shall be excused from participating in discussion, deliberation or vote on the relevant agenda item.
In lieu of the vote required by this subsection, the City Council, upon motion and by majority vote may refer the conflict of interest question to the City Board of Ethics in accordance with section 4.6 of this ordinance, or may table its consideration of the relevant agenda item. In the event a majority of the City Council, Board or Commission concerned, or Committee thereof, shall require disclosure of further information not immediately available, or shall require confirmation of the information disclosed, consideration of the relevant agenda item shall be postponed to an appropriate time.
(D) Avoidance of Appearance of Conflict. To avoid the appearance of a violation of this section, once any individual City Councilor, Board Member or Commission Member is determined to have a conflict of interest in respect to any agenda item, and once all conflict of interest questions relating to the agenda item concerned have been determined as provided in Section 3.7(C) above, said individual shall immediately remove himself or herself from the meeting room or to the area of the room occupied by the general public. He or she shall not return to his or her regular seat as a member of the body until deliberation and action on the item is completed. Nothing herein shall require an individual Councilor, or Board Member or Commission Member to remove himself or herself for any item contained on a "Consent Agenda", on which there is no deliberation, the individuals conflict has been determined by the other members, and the right to abstain from voting on the item has been granted.
(E) Personal Interest. Nothing herein shall be construed to prohibit any City Councilor, Board Member or Commission Member from representing his own personal interest by appearing before his or her collective body on any such agenda item.
3.8 Disclosure Statement. Within fifteen (15) days after each annual municipal election every City Councilor shall file a completed disclosure form with the City Clerk. Within thirty (30) days after his or her appointment, every Board Member and every Commission Member shall file a completed disclosure form with the City Clerk. Such forms shall be under oath and shall contain the following information to the best of the disclosing partys knowledge and belief:
3.8.1 The name of each person or entity, whether incorporated or not, doing business with the City in an amount in excess of $1,000 during the preceding calendar year from which such disclosing party or member of his immediate family has received money or other thing of value in an amount in excess of $1,000 during the preceding calendar year, including, but not limited to, campaign contributions where applicable.
3.8.2 The name of each entity, whether incorporated or not, doing business with the City in an amount in excess of $1,000 for preceding calendar year in which such disclosing party or member of his immediate family has a financial interest in an amount in excess of $1,000, including, but not limited to, the ownership of shares of stock.
3.8.3 The name of each nonprofit and/or for profit entity, whether incorporated or not, for which such disclosing party or member of his immediate family holds a position of officer or member of any board. For each such entity, such disclosing party shall provide the following information:
(i) a brief description of the purpose of each board and/or office;
(ii) a short summary of such disclosing party's or family members duties relative to any such board and/or office;
(iii) the term of service on each such board and/or office; and
(iv) whether or not such disclosing party or family member receives compensation for service on such board and/or office and the extent to which such compensation exceeds $100 in the aggregate annually.
For purposes of this subsection "compensation" shall include, but not be limited to, monetary compensation, gifts, gratuities, perks, fringe benefits, services, and any other thing of value.
3.8.4 Every City Councilor, Board Member and Commission Member shall amend his annual disclosure statement as may be required from time to time to ensure the continued accuracy thereof. Each such amendment shall be made within fifteen (15) days following the occurrence which requires the amendment.
3.8.5 The City Clerk shall deliver a copy of each completed disclosure statement to every fellow member of the City Council, Board or Commission of each disclosing party within thirty (30) days after the expiration of the filing period.
3.8.6 For purposes of this Code, a list prepared by the Finance Director of those persons or entities doing business with the City in an amount in excess of $1,000 for the preceding year shall be determinative for purposes of reporting under this section. Income from, and financial investments in, policies of insurance, and deposits in accounts from commercial or savings banks, savings and loan associations, or credit unions and the ownership of less than 5% of the outstanding shares of stock in a publicly held corporation shall not be considered to be a financial interest within the meaning of this section.
3.9 Political Activities. No City Employee, City Councilor, Board Member or Commission Member shall participate in any political activity which would be in conflict or incompatible with the performance of his or her official functions and duties for the City. In conjunction therewith:
3.9.1 No City Employee, City Councilor, Board Member or Commission Member may use his or her official authority or position for the purposes of influencing or interfering with or affecting the results of any election, nor shall he or she solicit funds or contributions or accept or receive funds or contributions from City Employees for political purposes. No City Councilor, Board Member or Commission Member way distribute pamphlets or handbills while he or she is performing official functions and duties with the City. Nothing herein shall be construed to prohibit any City Employee, City Councilor, Board Member or Commission Member from participating in the political process in their private capacity as candidates for elected office or as private citizens.
3.10 Incompatible Employment or Office. No City Employee, City Councilor, Board Member or Commission Member shall occupy any other office, elected or appointed, an any other governmental entity, when the duties of such office are incompatible with the proper discharge of his or her official duties with the City. For purposes of this Code, the occupancy of any office, elected or appointed, with any other governmental entity by any City Councilor, Board Member or Commission Member is hereby prohibited in the following circumstances:
(i) where the duties of the other office make it a physical impossibility to discharge the duties of the City position; or
(ii) where one office is subordinate of the-other; or
(iii) where one office carries the power of removal of the other; or
(iv) where the occupancy of both offices is prohibited by the City Charter or by other provisions of law.
3.11 Ethics in Contracting. The provisions of this Subsection 3.11 shall apply to all persons doing business with the City of Bangor as vendors, suppliers, or contractors, including potential vendors, suppliers and contractors submitting bids or proposals in response to a City solicitation or advertisement.
3.11.1 Gratuities and Kickbacks.
(A) Gratuities. It shall be a violation of this Code for any person to offer, give or agree to give any City Employee, City Councilor, Board Member or Commission Member a gratuity or an offer of employment in connection with any decision, approval, disapproval, recommendation or award pertaining to a City purchase order, contract, construction contract, or professional services contract, or with respect to any solicitation, advertisement, request for bids, request for proposals, or any bid, proposal, or other response thereto.
(B) Kickbacks. It shall be a violation of this Code for any person to solicit, offer, give, accept, or receive any undisclosed gratuity or offer of employment in connection with the award or potential award of any subcontract or contract modification or change order under a City of Bangor prime contract for construction, procurement, or professional services. To be valid, any disclosure under this paragraph must be made in writing to the City of Bangor Purchasing Agent prior to the date of opening of any proposals or bids on the prime contract concerned. Notwithstanding an otherwise valid written disclosure, it shall be a violation of this Code to solicit, offer, give, accept or receive any such gratuity or offer of employment in violation of applicable State or Federal law.
3.11.2 Prohibition Against Contingent Fees.
It shall be a violation of this Code for a person to be retained, or to retain a person, to solicit or secure a City contract upon an agreement or understanding for a commission, percentage, brokerage, or contingent fee, except for retention of bona fide employees or bona fide established commercial selling agencies for the purpose of securing business.
3.11.3 Recovery of Value Transferred or Received in Breach of Ethical Standards, Other Penalties.
(A) General Provisions. The value of anything transferred or received in breach of the ethical standards of this Code by a City Employee, City Councilor, Board Member or Commission Member or other person my be recovered from both the City Employee, City Councilor, Board Member or Commission member concerned and from the other person concerned.
(B) Recovery of Kickbacks by the City. Upon a showing that a subcontractor made a kickback to a prim contractor or a higher tier subcontractor in connection with the award of a subcontract or modification or change order, it shall be conclusively presumed that the amount thereof was included in the price of the subcontract, modification, or change order and ultimately borne by the City and such amount shall be recoverable hereunder from the recipient. In addition, that amount may also be recovered from the subcontractor making such kickbacks. Recovery from one offending party shall not preclude recovery from other offending parties.
3.11.4 Penalties and Sanctions.
(A) In addition to the recoveries provided in Subsection 3.11.3 above, any violation of this subsection 3.11 shall be a civil violation. Upon conviction, any person, firm or corporation found to be in violation of this subsection shall be fined not less than three times the value of any improper gift or kickback paid, solicited or received, or $500.00, whichever is greater. The penalties provided in this paragraph shall be in addition to the penalties provided in Section 5 of this Ordinance, and shall be in addition to any penalties imposed under State or Federal law.
(B) Upon conviction of a violation of this subsection 3.11, or upon a finding of a violation by the City Purchasing Agent, Board of Ethics, or the City Council following written notice and hearing, the City Council may impose one or more of the following sanctions on the person, firm or corporation convicted or found to be in violation:
(i) written warnings or reprimands;
(ii) termination of contracts; or
(iii) debarment or suspension as provided in the City's published Purchasing Policy (Authority to Debar or Suspend).
Termination of a contract under this paragraph shall also terminate the contractor's right to receive further payment thereunder.
The sanctions provided in this paragraph shall be in addition to the penalties provided in paragraph (A) above.
3.11.5 Incorporation in Certain Contracts.
The provisions of this Subsection 3.11 shall be provided to all interested bidders or proposers, and shall be incorporated by reference as agreed terms in any City of Bangor construction, procurement, or professional services contract with a base bid price in excess of $10,000.00. In the case of a professional services contract, the "base bid price" for this purpose shall be the expected value of services to be billed during the contract term, or on an annual basis if the contract is of indefinite duration.
Sec. 4 Board of Ethics.
4.1 Board of Ethics Established. There is hereby created and established a Board of Ethics consisting of five (5) members and two (2) associate members appointed by the City Council.
4.2 Terms. All members shall be appointed for terms of three (3) each. All associate members shall be appointed for terms of three (3) years each. Each member and associate member shall serve until his successor is appointed and qualified. All members must be residents of the City of Bangor. No member shall serve more than two (2) complete consecutive terms.
4.3 Other Offices Prohibited. No member or associate member of the Board shall hold any other City office or position or be the member of any City agency to which the City Council shall have appointing authority.
4.4 Procedures and Records. The Board shall establish such rules as it may determine to be necessary to govern its procedures. In addition, the Board shall at all times maintain in the office of the City Clerk appropriate records of its opinions and proceedings.
4.5 Duties. The Board shall make findings of fact and render opinions to the City Council concerning application of the provisions of this Code to any particular situation. In the performance of its duties, the Board shall limit its review and fact finding to those issues referred to it by the City Council. The Board shall also make annual recommendations for necessary revisions to this ordinance and shall perform such other duties as my be prescribed from time to time by the City Council.
4.6 Procedure. Any City Councilor, Board Member or Commission Member seeking advice as to whether a particular situation constitutes an actual or potential violation of this Code shall first submit a written statement in the form of a Council Order describing the nature of the matter to the City Council. If the Council feels that an advisory opinion is necessary, it shall adopt the Order, by majority vote, referring the matter to the Board. A tie vote on the Order shall also cause the matter to be referred to the Board. Upon referral of a question, the Board shall have the power to request voluntary statements from all persons concerned, and to review all records on file with the City of Bangor or other public agencies. All Board hearings shall be conducted in accordance with rules of procedure to be adopted by the Board. The Board may conduct any fact finding and deliberations in executive session as provided in 1 M.R.S.A. §405 (6)(A). Upon conclusion of its fact finding finding and deliberations, the Board of Ethics shall issue written findings with respect to each matter and question referred to it. If the Board finds any matter referred to it to have been based upon allegations it determines to have been frivolous, unfounded or with malice, it shall so advise the Council. It is the purpose and intent of this Code to provide a mechanism by which all such matters way be handled in an orderly and impartial fashion in such a manner as to protect the best interests of the citizens of the City of Bangor.
4.6.1 Employee Conflicts.
Upon referral, the Board of Ethics nay render advisory opinions with respect to potential or prospective conflicts of interest involving City Employees. However, allegations of past or present misconduct involving alleged violations of this Code by City Employees shall not be reviewed by the Board, but shall be referred for disposition in accordance with the City's established employee disciplinary procedures.
4.7 All members shall attend an annual orientation meeting to be scheduled during the month of January of each calendar year.
4.8 The Board shall meet at least quarterly and, prior to December 31 of each calendar year, shall prepare and submit to the City Council an annual report outlining its doings during the preceding 12 month period.
Sec. 5 Penalties. Violations of this Code shall be punishable by civil fine as provided in Article 4, Section 4 of this Chapter. In addition to any other penalties or remedies as may be provided by law, violation of this Code shall constitute cause for censure, after notice and hearing conducted by the City Council. A majority of the Bangor City Council shall conduct such proceedings. A violation of this Code by a City Employee shall also constitute proper grounds for dismissal or other disciplinary action as provided in the Citys published Personnel Rules and Regulations.
Sec. 6 Separability. If any section, subsection, sentence, clause or phrase of this Code is for any reason held to be invalid or unconstitutional, such validity or unconstitutionality shall not affect the validity or constitutionality of the remaining portions of this Code.
*Amended 06/12/95 C.O. 95-234
**Amended 01/13/97 C.O. 97-59