United States v. Sawyer

June 24, 1996     United States Court of Appeals
                            United States Court of Appeals
                    For the First Circuit
                                For the First Circuit
                                         

No. 95-1689

                        UNITED STATES,

                          Appellee,

                              v.

                      F. WILLIAM SAWYER,

                    Defendant, Appellant.

                                         

         APPEAL FROM THE UNITED STATES DISTRICT COURT
              FOR THE DISTRICT OF MASSACHUSETTS

       [Hon. Nathaniel M. Gorton, U.S. District Judge]
                                                                 

                                         

                            Before

                    Boudin, Circuit Judge,
                                                     
                Aldrich, Senior Circuit Judge,
                                                         
                  and Stahl, Circuit Judge.
                                                      

                                         

                         ERRATA SHEET
                                     ERRATA SHEET

   The opinion of this Court issued on May 30, 1996, is amended
as follows:  

        Page 35, line 4 - change "is" to "in"


                United States Court of Appeals
                            United States Court of Appeals
                    For the First Circuit
                                For the First Circuit
                                         

No. 95-1689

                        UNITED STATES,

                          Appellee,

                              v.

                      F. WILLIAM SAWYER,

                    Defendant, Appellant.

                                         

         APPEAL FROM THE UNITED STATES DISTRICT COURT
              FOR THE DISTRICT OF MASSACHUSETTS

       [Hon. Nathaniel M. Gorton, U.S. District Judge]
                                                                 

                                         

                            Before

                    Boudin, Circuit Judge,
                                                     
                Aldrich, Senior Circuit Judge,
                                                         
                  and Stahl, Circuit Judge.
                                                      

                                         

Thomas  R.  Kiley,  with  whom  Carl  Valvo,  Steven H.  Goldberg,
                                                                             
Matthew  L. Schemmel, and Cosgrove,  Eisenberg & Kiley,  P.C., were on
                                                                     
brief for appellant.
Timothy W. Jenkins, Gary C. Adler,  and O'Connor & Hannan, L.L.P.,
                                                                             
were on brief for State Government Affairs Council, amicus curiae.
Ralph D. Gants,  Susan Murphy, and Palmer  & Dodge, were on  brief
                                                              
for The  Massachusetts Association  of Professional  Lobbyists, amicus
curiae.
Michael  Kendall,  Assistant United  States  Attorney,  with  whom
                            
Jonathan  Chiel,  Acting  United  States Attorney,  and  Amy  Lederer,
                                                                             
Assistant United States Attorney, were on brief for appellee.

                                         
                         May 30, 1996
                                         


          STAHL, Circuit Judge.  Appellant F. William  Sawyer
                      STAHL, Circuit Judge.
                                          

appeals his  convictions for mail and  wire fraud, interstate

travel  to commit  bribery,  and conspiracy  to commit  those

offenses.   The  district court imposed  a $10,000  fine, and

sentenced him to imprisonment for  twelve months and one day.

In  this appeal, Sawyer claims that  the district court erred

in its jury instructions and in evidentiary rulings, and that

the evidence was insufficient to establish his guilt beyond a

reasonable doubt.  For the reasons that follow, we vacate the

convictions and remand for further proceedings.

                              I.
                                          I.
                                            

                            Facts
                                        Facts
                                             

          Viewing the  record in the light  most favorable to

the verdict, United States  v. Wihbey, 75 F.3d 761,  764 (1st
                                                 

Cir. 1996),  a rational jury  could have found  the following

facts from the trial evidence.

          During the  indictment period, 1986  to March 1993,

the  John Hancock  Mutual Life Insurance  Company ("Hancock")

employed  the defendant-appellant,  F. William  Sawyer,  as a

senior  lobbyist within its  Government Relations Department.

As  the  largest  life insurance  company  in  Massachusetts,

Hancock had a continuing and abiding interest in the  state's

insurance laws.  Sawyer's job  was to lobby the Massachusetts

Legislature  on Hancock's  behalf.   In  particular, his  job

description required him  to: research and  develop Hancock's

                             -2-
                                          2


position  on  pertinent  legislation;   communicate  relevant

information  to representative government  officials in order

to effect  a favorable outcome  and to protect  the Company's

interests;  and establish  and  maintain  relationships  with

legislators as well as with members of industry associations.

          A principal  focus of Sawyer's  lobbying activities

was the Legislature's  Joint Insurance Committee  ("Insurance

Committee"), composed of state representatives  and senators.

The  Insurance  Committee  has  the ability  to  impact  life

insurance  regulations  more   than  any  other   legislative

committee.  To  this end, it reviews approximately  300 bills

per  year, about  fifty of  which affect  the life  insurance

industry.    During  each  year  of  the  indictment  period,

Massachusetts  life insurance  companies actively  sought the

passage   of  about  five  bills,  most   of  which  made  it

successfully through the Insurance Committee "in some form or

another."  Robert J. Smith,  a research analyst and  director

for  the  Committee, testified  that,  during the  indictment

period, Sawyer was one  of three lobbyists who  appeared most

often to  lobby  for  bills  sought  by  the  life  insurance

industry.

          The Insurance Committee  is co-chaired by a  senate

and  house member, each with  equal control over  the fate of

bills assigned to the Committee.  The Chairs have the ability

to schedule  hearings, assign  bills to the  hearing calendar

                             -3-
                                          3


and   subsequent  executive   sessions,  advocate   bills  at

executive  sessions, and  take other  action to  advance them

through  the Committee.   Each  Chair could  "carry" a  bill,

i.e., actively  guide it through the Legislature  as a whole;
                

alternatively, a Chair could send it to the "Study Committee"

which usually shelved it.

          During  the indictment  period, Sawyer  focused his

lobbying  activities on  the house  members of  the Insurance

Committee,  some  of  whom   took  action  that  directly  or

indirectly  affected  Hancock's  interests.    Representative

Francis  H. Woodward  was the  House  Chair of  the Insurance

Committee  from  1986  to   1990.    Research  analyst  Smith

identified Sawyer  as the  lobbyist  he saw  most often  with

Representative  Woodward  during  Woodward's  tenure  as  the

Committee's  House Chair.   During  this time,  the Insurance

Committee  never rejected Woodward's recommendations on bills

affecting the life insurance industry and Woodward  "carried"

most  of the  bills sought  by the industry.   Representative

Frank  Emilio,  a  member  from  1986 to  1990,  sponsored  a

September  1990 bill  on behalf  of Hancock.   Representative

John  F.  Cox  sponsored  bills  that  Hancock  supported  in

November   1990   and   December   1991.       In   addition,

Representatives   Walsh,   Mara,   and   Driscoll   sponsored

legislation sought by the life insurance industry.

                             -4-
                                          4


          "Legislative   Reports"   issued  by   the  Hancock

Government  Relations Department to  senior Hancock officers,

and signed by Sawyer,  outlined specific lobbying efforts and

proceedings  in  the Massachusetts  Legislature  pertinent to

Hancock's interests.  In July 1990, Sawyer wrote a memorandum

to Hancock's Management  Committee summarizing the successful

efforts of Hancock lobbyists, including himself, in excluding

Hancock  from a bill that would have  subjected it to a $100-

million tax liability.  In a September 1990 memorandum to the

Management Committee,  Sawyer referred to a  1990 bill, filed

by Representative Emilio, that  allowed Hancock to assess and

report  its  real estate  advantageously.    A November  1990

letter from  Ralph F. Scott, Hancock's  Assistant Legislative

Counsel,  to Representative  Cox  indicated  that Sawyer  and

Scott planned to work with Cox in obtaining  favorable action

on a specific bill that he had sponsored for Hancock.

          During  the  indictment  period,  Sawyer  paid  for

numerous meals,  rounds of golf, and  other entertainment for

and with Massachusetts legislators, including many members of

the Insurance Committee.   Although Sawyer initially paid for

most  of  these  activities  himself, they  were  treated  as

business  expenses and  reimbursed  by  Hancock  (hereinafter

"expenditures").   In  accordance with  Hancock's procedures,

Sawyer  would complete  monthly  expense vouchers,  attaching

receipts and  a  handwritten  calendar  that  identified  the

                             -5-
                                          5


recipients of the expenses.   Sawyer's supervisor, Raeburn B.

Hathaway,   the  head   of  Hancock's   Government  Relations

Department, reviewed  Sawyer's expense vouchers  and approved

them  for  reimbursement.   Hathaway's  secretary would  then

detach the detailed calendars  from the vouchers, keeping the

calendars  within the  Government  Relations Department,  and

forward the voucher, alone,  to the accounting department for

payment.

          Analysis of Sawyer's expense vouchers and calendars

during  the indictment  period  revealed that  the top  three

recipients of his expenditures were: Representative Woodward,

who received  more than  $8,000 worth of  expenditures during

his  tenure  as  Insurance   Committee  House  Chair;  Robert

Howarth,  an Insurance  Committee  member from  1986 to  1992

(over  $3,000);  and  Representative  Emilio  (over  $2,500).

After these three legislators  left office, Sawyer, on behalf

of Hancock, expended practically nothing on entertaining them

(Woodward, $0; Howarth, $8.33; and Emilio, $85.65).

          Specifically,   Sawyer's   expenditures    included

thousands of  dollars for golf -- in and out of state -- with

various  Massachusetts  legislators including  Representative

Francis   Mara,  Woodward's   1991  successor   as  Insurance

Committee  House  Chair.    Sawyer also  hosted  dinners  for

legislators and  their families.   In September  1992, Sawyer

provided Representative Mara  and his wife tickets for a show

                             -6-
                                          6


in  Hancock's private box at  the Wang Center  and ordered an

accompanying dinner.

          The apparent  catalyst for this  prosecution was  a

December  1992  trip  to  Puerto  Rico  where  Sawyer,  other

lobbyists,   and   a   group   of    legislators,   including

Representative Mara, travelled  for a legislative conference.

The  group did not stay  at the conference  site, but instead

went to a different  resort where Sawyer paid for many of the

legislators'  meals,  transportation,   and  golf.    Hancock

reimbursed Sawyer  for some $4,000  of entertainment expenses

from the Puerto Rican trip.1

          Both  Sawyer  and  his  supervisor,  Hathaway,  had

reason  to  believe  that  these expenditures  could  or  did

violate  certain state  laws.   In  his  office, Sawyer  kept

internal Hancock memoranda,  newspaper articles, and opinions

of the  Massachusetts  Ethics Commission,  all explaining  or

reporting on Massachusetts ethics-in-lobbying.  While some of

the   documents  varied   in   their  interpretations,   they

                    
                                

1.  In   1986,   Sawyer   and   his   wife   travelled   with
Representative Woodward and  his wife to New  Orleans for the
Super Bowl.  Hancock provided the game tickets and reimbursed
Sawyer for the  airfare.  The  district court instructed  the
jury that, because this  trip occurred before the mail  fraud
statute  proscribed  honest  services  fraud,  it  could  not
provide  the sole  basis for  a mail  fraud conviction.   The
court  added, however, that the jury  could consider the trip
as evidence of  Sawyer's state  of mind with  respect to  the
alleged scheme to defraud.

                             -7-
                                          7


nonetheless  advised  on   compliance  with  laws   regarding

gratuities, gifts, and lobbying expenditures.

          In  April 1993,  a reporter  from the  Boston Globe

newspaper queried Richard  Bevilacqua, Hancock's Director  of

Employee   and   Customer   Communications,  about   Sawyer's

entertainment of legislators during the 1992 Puerto Rico trip

and about  Hancock's legislative  agenda during  that period.

Bevilacqua, in turn, asked Sawyer about the  trip, and Sawyer

opined, "it's difficult to take anyone out to lunch or dinner

these  days without  going  over [the]  amount [permitted  by

law]."    This set  of events  prompted  Hancock to  begin an

internal    investigation     into    Sawyer's    legislative

expenditures.2   Bruce A.  Skrine, vice  president, corporate

counsel  and  secretary for  Hancock,  asked  Sawyer for  his

expense records.  Contemporaneous with Sawyer's production of

the  records,  Sawyer  told  Skrine that  the  expenses  were

"consistent with the  way . .  . things  were done on  Beacon

Hill."   Sawyer also told  Skrine that his  reason for making

the  expenditures was "to get to know" the legislators and to

develop "a  certain relationship  so that you  could turn  to

                    
                                

2.  In  the  Spring of  1993,  the  United States  Attorney's
Office for the  District of Massachusetts  ("USAO") commenced
an investigation into Hancock's involvement  in the allegedly
illegal expenditures on legislators.   In March 1994, Hancock
entered into a civil settlement with the USAO whereby it paid
a fine of about $1,000,000 and promised to cooperate with the
USAO.   In return, the  USAO agreed not  to prosecute Hancock
for any matter relating to the investigation.

                             -8-
                                          8


them"; he  further indicated that he  made these expenditures

to  "build  and  maintain  relationships,"  gain  "access  to

legislators," and get  legislators to "return his  calls as a

result of [the expenditures]."

          Sawyer caused  the mailing of items  related to the

expenditures   on   legislators,   including    golf   bills,

reimbursement requests,  and credit card bills.   Sawyer also

caused the  making of  interstate telephone calls  to arrange

for some of the entertainment.

          Following  a nine-day  trial,  the  jury  convicted

Sawyer of fifteen counts  of mail fraud, nine counts  of wire

fraud, eight  counts of interstate travel  to commit bribery,

and  one count of conspiracy.   The jury  acquitted Sawyer of

two additional mail fraud counts.

                             II.
                                         II.
                                            

                  Mail and Wire Fraud Counts
                              Mail and Wire Fraud Counts
                                                        

          The   government  charged   that  Sawyer   and  his

unindicted co-conspirator -- his Hancock supervisor, Hathaway

--  engaged  in  a  scheme  to deprive  the  Commonwealth  of

Massachusetts and  its citizens  of the right  to the  honest

services of their state legislators,3  and used the mails and

                    
                                

3.  According to  the indictment,  the  legislators' duty  of
honest services included the obligation to perform their jobs
as  Massachusetts   lawmakers   free  from   deceit,   fraud,
dishonesty,  favoritism and self-enrichment.   By  consent of
the parties, the district  court struck the word "favoritism"
in this description.   United States v. Sawyer, 878  F. Supp.
                                                          
279, 294 (D. Mass. 1995).   In addition to this general  duty

                             -9-
                                          9


interstate telephone  wires in furtherance of  the scheme, in

violation of 18 U.S.C.    1341, and 1343.4

          Sawyer contends that his  convictions impermissibly

involve the  federal government in setting  standards of good

government for  local and  state officials.   He  argues that

this  case  is  exemplary  of the  "dangers  of  standardless

federal  criminal  enforcement  and  unbridled  prosecutorial

discretion long-recognized under the mail fraud statute."  We

have  already   considered  and  rejected   these  arguments,

                    
                                

of   honest  services,   the   indictment  stated   that  the
legislators had a specific duty to abide by the Massachusetts
laws set forth  in the indictment.  The indictment identified
both the  Commonwealth of Massachusetts and  its citizenry as
the  fraud victims; for simplicity, we will refer only to the
public (or "citizenry") as the victim.
          With  regard   to  the   scheme  to   defraud,  the
indictment  charged,  inter  alia,  that  Sawyer  gave,   and
                                             
legislators accepted, travel, lodging,  golf, meals and other
entertainment  in violation of Massachusetts law; that Sawyer
monitored   the   public   coverage   of   the  Massachusetts
Legislature so that  he could ensure the nondisclosure of his
gratuities;  that  Sawyer was  given  greater  access to  the
Insurance Committee  and its  House Chair than  was available
generally  to  the citizenry;  that  the House  Chair  of the
Insurance  Committee  repeatedly   performed  official   acts
advocated by Sawyer  on behalf of Hancock;  and that Sawyer's
direct  supervisor  approved  of,  and  authorized  Hancock's
reimbursement of Sawyer for, his illegal gratuities.

4.  In relevant part, 18 U.S.C.    1341 and 1343 provide:

          Whoever, having devised  or intending  to
          devise any scheme or artifice to defraud,
          or  for obtaining  money  or property  by
          means of false  or fraudulent  pretenses,
          representations,  or promises . . . [uses
          the mails or wires,  or causes their use]
          for the purpose of executing  such scheme
          or artifice  . . . [shall be punished].

                             -10-
                                          10


however.   See United States v. Silvano, 812 F.2d 754, 758-59
                                                   

(1st Cir. 1987).   Congress may protect the integrity  of the

interstate  mails  and  wires  by  forbidding  their  use  in

furtherance of  schemes to defraud a state  and its citizens,

whether or not it can  forbid the scheme itself.  See  id. at
                                                                      

758  (citing Badders  v.  United States,  240  U.S. 391,  393
                                                   

(1916)); United  States v.  Rendini, 738  F.2d 530, 533  (1st
                                               

Cir. 1984).5

          Sawyer also contends that the government has failed

to  establish that  he committed  "honest services"  mail and

wire fraud  ("honest services  fraud") within the  meaning of

the  statutes.  To explain  our resolution of  this issue, we

provide a brief overview of the law of honest services fraud.

The ultimate issue  is whether or not  the "scheme" presented

at trial actually targeted the Massachusetts' citizens' right

                    
                                

5.  Some have  observed that these  statutes are increasingly
used effectively  to convict  and punish for  the substantive
fraud,  and that the  use of the  mails or wires  is merely a
"jurisdictional  hook"  to  bring  the   conduct  within  the
proscription  of the mail and wire fraud statutes.  See Peter
                                                                   
J. Henning, Maybe It Should Just Be Called Federal Fraud: The
                                                                         
Changing  Nature of the Mail  Fraud Statute, 36  B.C. L. Rev.
                                                       
435  (1995); cf. Schmuck v. United States, 489 U.S. 705, 722-
                                                     
23  (1989)   (Scalia,   J.  dissenting)   (disagreeing   with
majority's   conclusion   that  certain   mailings   were  in
furtherance of the  demonstrated scheme,  and observing  that
"[t]he  law  does  not  establish a  general  federal  remedy
against  fraudulent conduct, with the use of the mails as the
jurisdictional hook . . . . In other words, it is mail fraud,
not  mail  and  fraud,  that  incurs  liability."   (internal
citations, quotations and alterations omitted)).

                             -11-
                                          11


to "honest services"  within the  meaning of  the mail  fraud

statute.

          To prove  mail and wire fraud,  the government must

prove, beyond a reasonable doubt: (1) the defendant's knowing

and willing participation in a  scheme or artifice to defraud

with the specific intent  to defraud, and (2) the use  of the

mails or interstate wire communications in furtherance of the

scheme.6  United States  v. Montminy, 936 F.2d 626,  627 (1st
                                                

Cir. 1991)  (listing mail  fraud elements); United  States v.
                                                                      

Cassiere, 4 F.3d  1006, 1011  (1st Cir.  1993) (listing  wire
                    

fraud elements).   Because the relevant language in  both the

mail and wire  fraud statutes  is the same,  we analyze  both

offenses together  for the  purposes  of this  case and,  for

simplicity, we refer only  to mail fraud.  See  United States
                                                                         

v. Boots, 80 F.3d 580, 586 n.11 (1st Cir. 1996).
                    

          Traditionally,  the  mail  fraud   statute  reached

schemes  that deprived the  fraud victim of  property or some

other item of economic  value.  See generally, United  States
                                                                         

v.  Grandmaison, 77 F.3d 555,  565-66 (1st Cir.  1996).  Some
                           

courts  later expanded the scope of the statutes to encompass

schemes  intended to  defraud citizens  of their  intangible,

                    
                                

6.  The use of the  mails or wires to further  the fraudulent
scheme  need   only  be  "incidental."     United  States  v.
                                                                     
Grandmaison, 77 F.3d 555, 566 (1st Cir. 1996).  Moreover, the
                       
"[d]efendant[] need  not personally use the  [mails or] wires
as long as such use was a reasonably foreseeable part  of the
scheme  in which [he] participated."  United States v. Boots,
                                                                        
80 F.3d 580, 585 n.8 (1st Cir. 1996).

                             -12-
                                          12


non-property  right to  the honest  services of  their public

officials.    See generally,  W.  Robert  Gray, Comment,  The
                                                                         

Intangible-Rights    Doctrine     and    Political-Corruption
                                                                         

Prosecutions Under the Federal Mail Fraud Statute, 47 U. Chi.
                                                              

L.  Rev.  562, 563  (1980) and  cases  cited therein.   Those

courts rationalized that a  public official "acts as `trustee

for the citizens and the State . . . and thus owes the normal

fiduciary duties of a trustee, e.g., honesty  and loyalty' to
                                               

them."   Silvano, 812 F.2d  at 759 (quoting  United States v.
                                                                      

Mandel,  591 F.2d  1347,  1363 (4th Cir.),  aff'd in relevant
                                                                         

part  en banc,  602  F.2d 653,  653  (4th Cir.  1979),  cert.
                                                                         

denied, 445 U.S. 961 (1980)).
                  

          In  1987, the  United  States  Supreme Court  held,

contrary to every  circuit court that had  decided the issue,

that  the mail  fraud  statute did  not  prohibit schemes  to

defraud  citizens of their  intangible, non-property right to

honest and  impartial government.  McNally  v. United States,
                                                                        

483 U.S. 350, 359 (1987); see United States v. Ochs, 842 F.2d
                                                               

515,  521   (1st  Cir.   1988)  (noting  Court's   unexpected

decision),  cert.  denied, 498  U.S.  895  (1990).   Congress
                                     

quickly reacted to the McNally decision by enacting 18 U.S.C.
                                          

  1346, which provides that, for the purposes of, inter alia,
                                                                        

the  mail  and wire  fraud  statutes,  "the term  `scheme  or

artifice to defraud' includes a scheme or artifice to deprive

another of the intangible right of honest services."  We have

                             -13-
                                          13


recognized that    1346 was intended to  overturn McNally and
                                                                     

reinstate the reasoning of  pre-McNally case law holding that
                                                   

the mail fraud statute reached schemes to defraud individuals

of  the intangible  right  to honest  services of  government

officials.  See Grandmaison, 77 F.3d at 565-66.7
                                       

          The  concept of  governmental "honest  services" in

this context  eludes easy  definition.   As Judge Winter  has

aptly noted:

          One searches in vain for even the vaguest
          contours of the legal obligations created
          beyond   the    obligation   to   conduct
          governmental   affairs    "honestly"   or
          "impartially,"  to  ensure one's  "honest
          and faithful participation" in government
          and to obey  "accepted standards of moral
          uprightness,  fundamental  honesty,  fair
          play and right dealing" . . . . (citation
          omitted) [T]he quest for  legal standards
          is not  furthered  by reference  to  "the
          right  to good  government" and  the duty
          "to act in a disinterested manner."

                    
                                

7.  See also 134 Cong. Rec.  H11108-01, 1988 WL 182261  (Oct.
                        
21,  1988) (statement  of Rep.  Conyers) ("This  amendment is
intended merely to overturn  the McNally decision.  No  other
                                                    
change in the  law is intended."); 134  Cong. Rec. S17360-02,
1988 WL 182529 (Nov. 10, 1988), Section Analysis of Judiciary
Committee  Issues in  H.R.  5210, (Statement  of Sen.  Biden)
("[Section  1346] overturns the decision  in McNally .  . . .
                                                                
The  intent is to reinstate  all of the  pre-McNally case law
                                                                
pertaining  to  the  mail  and wire  fraud  statutes  without
change").   But see United  States v. Brumley,  79 F.3d 1430,
                                                         
1440 (5th Cir.  1996) (holding that    1346 does not  clearly
reach  schemes   to  defraud  citizens  of   their  right  to
government officials' honest services).
            Given  the  peculiar  history  and  evolution  of
honest-services mail  fraud, we  review case law  from before
and after the McNally decision for guidance in discerning the
                                 
parameters of this federal crime.

                             -14-
                                          14


United States v.  Margiotta, 688 F.2d  108, 142-143 (2d  Cir.
                                       

1982) (Winter, J., concurring in part and dissenting in part)

(quoting Mandel,  591 F.2d at  1361), cert. denied,  461 U.S.
                                                              

913 (1983).

          The cases  in which a deprivation  of an official's

honest services is found  typically involve either bribery of

the  official  or her  failure  to  disclose  a  conflict  of

interest, resulting  in  personal gain.   In  a leading  case

involving  the bribery  of  a state  governor on  legislative

matters,  the  Fourth Circuit  explained  how  bribery of  an

official can constitute honest services fraud:

          [T]he fraud  involved in the bribery of a
          public official lies in the fact that the
          public  official  is  not exercising  his
          independent   judgment   in  passing   on
          official  matters. .  . .  When a  public
          official has been bribed, he breaches his
          duty    of     honest,    faithful    and
          disinterested  service.  .   .  .   [T]he
          official has been paid for his decisions,
          perhaps  without   even  considering  the
          merits of  the matter.   Thus, the public
          is not  receiving what it expects  and is
          entitled to, the public official's honest
          and faithful service.

Mandel, 591 F.2d at 1362; see  also, Boots, 80 F.3d at 592-94
                                                      

(involving scheme  to bribe Native-American  police chief  in

exercise  of  his border  patrol  duties);  United States  v.
                                                                     

Holzer,  816 F.2d  304,  308 (7th  Cir.) (judge's  systematic
                  

receipt of bribes and "loans" to influence official actions),

vacated,  484 U.S.  807 (1987)  (ordering reconsideration  in
                   

light of  McNally); United States  v. Isaacs, 493  F.2d 1124,
                                                        

                             -15-
                                          15


1149-51 (7th Cir.) (public officials received bribes intended

to  induce  special  favors  and  preferential treatment  for

certain racing interests), cert. denied, 417 U.S. 976 (1974).
                                                   

          A  public  official  has  an  affirmative  duty  to

disclose material  information to  the public employer.   See
                                                                         

Silvano 812 F.2d at 759.  When  an official fails to disclose
                   

a  personal interest in a matter over which she has decision-

making power, the public  is deprived of its right  either to

disinterested decision  making itself or, as the case may be,

to full disclosure as  to the official's potential motivation

behind an  official act.   See id.  (upholding conviction  of
                                              

city fiduciary  who failed  to disclose material  information

about  unnecessary   spending  of   city  money   for  secret

enrichment of fiduciary's friend).  Thus, undisclosed, biased

decision making  for personal  gain, whether or  not tangible

loss to  the public  is shown,  constitutes a deprivation  of

honest services.  See e.g., Grandmaison, 77 F.3d at 567 (city
                                                   

board member  took secret action to influence award of public

contract   to    official's   private   construction-business

interest);  United States v.  Waymer, 55 F.3d  564 (11th Cir.
                                                

1995) (board of education  member received secret commissions

from companies contracting with school system), cert. denied,
                                                                        

No. 95-887, 64 U.S.L.W. 3653, 3656 (U.S. May 20, 1996).

          The broad scope of the mail fraud statute, however,

does not encompass every instance of official misconduct that

                             -16-
                                          16


results in the  official's personal  gain.   For example,  in

United States  v.  McNeive, 536  F.2d  1245, 1246  (8th  Cir.
                                      

1976),   a  city   plumbing  inspector   repeatedly  accepted

unsolicited   gratuities  in   connection   with   his   non-

discretionary, administrative duty to issue plumbing permits.

Although McNeive  may have violated a  city ordinance banning

the  acceptance of  gratuities by  city officials,  the court

found  his conduct beyond the reach of the mail fraud statute

because  there   was   no  evidence   that   the   gratuities

disadvantaged the city in  any respect or that  they deterred

McNeive from otherwise conscientiously performing his duties.

Id. at  1251.  In  short, the "scheme"  was shown  to neither
               

involve nor  contemplate the deprivation of  McNeive's honest

services to the city or public.

          Likewise,  in  United States  v. Rabbitt,  583 F.2d
                                                              

1014,  1026  (8th Cir.  1978),  cert. denied,  439  U.S. 1116
                                                        

(1979),   the  Eighth   Circuit   reversed  the   mail  fraud

convictions of Rabbitt, a  state representative.  Rabbitt had

offered to introduce a friend's architectural firm to certain

public officials responsible for awarding state architectural

contracts, in return for a ten percent commission on any work

awarded.    Id. at  1020.   The  government charged  that his
                           

receipt  of the resulting,  undisclosed commissions defrauded

the citizens of Rabbitt's honest services.  Id. at 1025.  The
                                                           

evidence showed, however, that  the officials who awarded the

                             -17-
                                          17


architectural  contracts did  so on  merit alone  and Rabbitt

played no  role in the selection  of the firm.   Id. at 1026.
                                                                

Because  Rabbitt   did  not  control  the   awarding  of  the

contracts, or otherwise fail  to fulfill his official duties,

his  conduct  did not  deprive  the  citizens of  his  honest

services.   Id.  (noting case's  resemblance to  McNeive, 536
                                                                    

F.2d  at  1251-52).     The  court  also  observed  that  the

government failed to  cite any applicable standard  requiring

Rabbit to disclose his  interest in the contracts, and  thus,

the  citizens  were  not  deprived  of   any  right  to  such

disclosure.  Id. at 1026.
                            

          The  McNeive  and  Rabbitt  cases  illustrate  that
                                                

although  a public  official  might  engage in  reprehensible

misconduct related to an official position, the conviction of

that official for  honest-services fraud  cannot stand  where

the conduct does not actually deprive the public of its right

to her honest  services, and it is  not shown to intend  that

result.   Similarly,  if a non-public-official  is prosecuted

for scheming to  defraud the public  of an official's  honest

services,  the government must  prove that the  target of the

scheme is the deprivation  of the official's honest services.

If the  "scheme" does not, as its  necessary outcome, deprive

the public  of honest services, then  independent evidence of

the  intent to  deprive  another of  those  services must  be

presented.  See United States v. D'Amato, 39 F.3d, 1249, 1257
                                                    

                             -18-
                                          18


(2d  Cir. 1994) ("Where the  scheme does not  cause injury to

the alleged  victim as  its necessary result,  the government

must produce  evidence independent  of the alleged  scheme to

show the defendant's  fraudulent intent."); United  States v.
                                                                      

Von  Barta,  635 F.2d  999,  1005-1006  n.14 (2d  Cir.  1980)
                      

(noting  that "the  prosecution must  prove that  some actual

harm or injury was at least contemplated"), cert. denied, 450
                                                                    

U.S. 998 (1981).  With this background, we consider the facts

of this case.

                             -19-
                                          19


A.  Scheme to Defraud
                                 

          Here,  the government did  not prosecute  Sawyer on

the theory  that he, as a  lobbyist, directly owed a  duty of

honest services to the Commonwealth or its citizens.  Rather,

the government sought to prove that Sawyer engaged in conduct

intended to cause state legislators to violate their  duty to

the  public.  The government  sought to establish this scheme

by  proving  that Sawyer  intentionally  violated,  or caused

members of  the  legislature to  violate,  two  Massachusetts

statutes.

          Briefly,   these    two   Massachusetts   statutes,

discussed  more fully infra, are: (1) Mass. Gen. L. ch. 268B,
                                       

  6 (the "gift" statute), which prohibits -- under threat  of

civil  penalties --  a "legislative  agent" from  offering or

giving to a public official (or an official's  acceptance of)

"gifts" aggregating $100 or more per year; and (2) Mass. Gen.

L. ch. 268A,   3 (the "gratuity" statute), which prohibits --

under threat of civil  and criminal penalties -- anyone  from

giving to a  legislator (or a  legislator from soliciting  or

accepting)  anything  of "substantial  value  .  .  . for  or

because  of any official act performed or to be performed" by

that  person.   Through  the  violation  of these  laws,  the

government contended, Sawyer stole the honest services of the

legislators.

                             -20-
                                          20


          In general, proof of  a state law violation  is not

required  for  conviction  of  honest services  fraud.    See
                                                                         

Silvano, 812 F.2d  at 759.   Indeed, the  incorporation of  a
                   

state  law   violation  in  such  a   prosecution  may  cause

complications.   See  United States  v. Washington,  688 F.2d
                                                              

953,  958 (5th  Cir. 1982)  (reversing mail  fraud conviction

where  jury should  have been  instructed that  the defendant

"should  not be found  guilty of  the federal  offense merely

because he  violated state law").  Here, however, the parties

agree  that the  indictment,  as structured,  required it  to

prove that Sawyer violated at least one state law.  Thus, the

state  laws  in question  had to  be  correctly charged  as a

matter of state law, and the violation of at least one had to

be proven.

          Sawyer appeals various aspects of  the court's jury

instructions  on the  state statutes  and their  role  in the

alleged scheme to defraud.  To determine  whether the court's

instructions adequately  explained the  law  or whether  they

"tended to confuse  or mislead  the jury,"  United States  v.
                                                                     

Alzanki,  54  F.3d  994,   1001  (1st  Cir.  1995)  (internal
                   

quotations and  citation omitted),  cert. denied, 116  S. Ct.
                                                            

909  (1996), we  review the entire  charge pertaining  to the

role  of the  state statutes  in this  honest services  fraud

prosecution:

          In this case  the government has  charged
          Mr.  Sawyer  with  devising a  scheme  or

                             -21-
                                          21


          artifice; that is, a plan, to deprive the
          Commonwealth  of  Massachusetts  and  its
          citizens of  their  right to  the  honest
          services of members of  the Massachusetts
          Legislature  by  giving  or  offering  to
          those legislators gifts  of free  travel,
          lodging,    golf,   meals,    and   other
          entertainment.  I instruct you that under
          the  mail  and  wire  fraud  statutes,  a
          scheme  to  defraud  can  be  a  plan  to
          deprive the  public of  its right  to the
          honest   services   of  members   of  the
          Massachusetts Legislature.
               Elected  public  officials, such  as
          members of the Massachusetts Legislature,
          owe certain duties to the Commonwealth of
          Massachusetts and  to its citizens.   One
          of  those  duties  is  the  duty  to  act
          honestly.  The government charges that by
                                                               
          violating  and   causing  legislators  to
                                                               
          violate   certain  state   statutes,  Mr.
                                                               
          Sawyer deprived the  public of its  right
                                                               
          to the  honest services of members of the
                                                               
          Massachusetts Legislature  and, therefore
                                                               
          devised a scheme to defraud.
                                                 
               In   other  words,   the  government
          alleges   that  the   defendant  violated
                                                               
          federal  laws, mail fraud and wire fraud,
                                                               
          by  intentionally  violating  or  causing
                                                               
          Massachusetts   legislators  to   violate
                                                               
          certain  state  laws.    Accordingly,  in
                                          
          order to  prove the first element  of the
          mail  fraud and/or  wire fraud,  that the
          defendant  devised  a scheme  to defraud,
          the  government  must   prove  beyond   a
          reasonable   doubt  that   the  defendant
          intentionally violated  or caused members
          of   the  Massachusetts   Legislature  to
          violate at least one of the following two
          state laws . . . . (emphasis added).

After describing the two statutes, the court continued:

          If  you find  beyond  a reasonable  doubt
          that  the defendant devised  or created a
          scheme   to   defraud    in   which    he
          intentionally   violated   or  caused   a
          violation  of at  least one  of the  laws
          that  I have just described, then you may
          find that  the government has  proved the

                             -22-
                                          22


          first  element of  mail  fraud  and  wire
          fraud.

          These instructions  permitted the jury to  find the

requisite scheme to defraud  upon proof that Sawyer violated,

or  caused legislators  to violate,  either one of  the state
                                                       

statutes.  In other words, the  jury was allowed to find that

a violation of either  statute, without more, constituted the

deprivation  of honest  services.8   At oral  argument before

this court,  the government affirmed that it  chose the state

law  violations as "the sole  vehicle to prove  the scheme or

artifice to defraud" in order to "narrow the issues of intent

and good faith."   Thus,  we analyze both  state statutes  in

light  of the  law of  honest services,  set forth  above, to

determine  whether  the   court's  instructions   erroneously

permitted a conviction  for conduct not  within the reach  of

the mail fraud statute.

          1.  The Gift Statute
                                          

                    
                                

8.  After the  court instructed  the jury, Sawyer  lodged the
following objection:

          Your  Honor, I  believe that  the Court's
          instruction  failed to  properly instruct
          the jury that, even  if it finds that the
          defendant violated  one of the  two state
          statutes . . . the defendant would not be
          guilty of any federal offense, mail fraud
          and  wire  fraud  offense,   unless  [the
          violation] was  part of a plan to defraud
          the Commonwealth of Massachusetts  or its
          citizens of the duty of honest services.

The court declined any further charge.

                             -23-
                                          23


          The   first  Massachusetts  statute  on  which  the

alleged scheme to  defraud was  based is ch.  268B,   6  (the

"gift statute"), which provides:

          No legislative agent shall  knowingly and
          wilfully  offer  or   give  to  a  public
          official  or public employee  or a member
          of such person's immediate family, and no
          public  official  or  public employee  or
          member of such person's  immediate family
          shall knowingly and  wilfully solicit  or
          accept from any legislative  agent, gifts
          with  an aggregate  value of  one hundred
          dollars or more in a calendar year.

Mass.  Gen. L. ch. 268B,   6.  We discuss Sawyer's challenges

to  the court's  instructions  on  the statutory  definitions

before turning  to the  statute's relation  to the scheme  to

defraud. 

               a.  "Legislative Agent"
                                                  

          The court  instructed  the  jury  that,  under  the

statute,  a  legislative agent  cannot  give  or offer  gifts

aggregating $100 or  more to  a legislator or  member of  the

legislator's   family.     It  further   instructed  that   a

"legislative agent"  is "any person who,  for compensation or

reward,  does  any  act   to  promote,  oppose  or  influence

legislation."  See Mass.  Gen. L. ch. 268B,   1(g).9   Sawyer
                              

                    
                                

9.  The   entire  definition  of   "legislative  agent,"  for
purposes of the gift statute, is:

          any person who for compensation or reward
          does   any  act  to  promote,  oppose  or
          influence legislation  . . . .   The term
          shall include persons who, as any part of
          their  regular  and usual  employment and

                             -24-
                                          24


argues that this instruction  failed to reflect his assertion

that  a person  is a "legislative  agent" only when  he is so

registered  with the  Secretary of  State or  he is  actually

engaging in lobbying activity at the time he gave the alleged

gifts.

          The court  instructed that  a legislative  agent is

one   who  is   paid   to  "promote,   oppose  or   influence

legislation,"  i.e.,  to  lobby,  and that  such  agents  are
                               

forbidden to give or offer certain "gifts."  The instruction,

as  a whole, adequately conveyed the idea that such gifts are

forbidden only  when given by those  who, at the time  of the

gifts, are  paid to actually  lobby.   While there  may be  a

person with the  job title "lobbyist"  who does not  actually

engage in lobbying, there was ample evidence here that Sawyer

lobbied at the time  he gave the alleged "gifts."   Moreover,

the  fact  that he  had an  obligation  to register  with the

Secretary of State, see Mass. Gen. L.  ch. 3,    40, 41, does
                                   

not  alter  the  definition.    No  further  instruction  was

required.

               b.  Shared Meals as "Gifts"
                                                      

                    
                                

          not simply incidental thereto, attempt to
          promote, oppose  or influence legislation
          . . . whether  or not any compensation in
          addition   to   the   salary   for   such
          employment is received for such services.

Mass.  Gen. L. ch. 268B,    1(g); see also  3   39 (identical
                                                      
definition in statutory section on disclosure obligations).

                             -25-
                                          25


          The court instructed  the jury that "gifts,"  under

the    relevant   Massachusetts   law,    are   "a   payment,

entertainment, subscription, advance, services or anything of

value,  unless consideration  of  equal or  greater value  is

received."   See Mass. Gen. L. ch. 268B,   1(g).  Much of the
                            

evidence  offered to  prove Sawyer's  violations of  the gift

statute was  his payment  for shared meals  and entertainment

with the legislators.  Sawyer  contends that his payment  for

"shared hospitality" does not  constitute a "gift" within the

meaning   of  the  statute.    The  issue  turns  out  to  be

potentially  complicated  and  involves  somewhat  convoluted

analysis of  the statutory  history of  a comparable  law set

forth at  Mass. Gen.  L.  ch. 3,    43.   We  have  carefully

reviewed the arguments on both sides, and for the reasons set

forth  in the  district  court's ruling,  see Sawyer,  878 F.
                                                                

Supp.  at  282-84, we  conclude  that  Sawyer's shared  meals

could, if the jury so found, fit within the gift definition's

term  "entertainment" and/or the very broad phrase, "anything

of value."

               c.  Relation to Scheme to Defraud
                                                            

          As   explained  above,   under  the   court's  jury

instructions   regarding  the  scheme  to  defraud,  Sawyer's

intentional  violations of  the gift  statute, by  their very

occurrence (or ipso facto), must deprive the public  of their
                                     

legislators' honest services.   Sawyer challenges  this legal

                             -26-
                                          26


premise,  arguing  that such  violations  do  not necessarily

deprive  the public  of those  services.10   For  the reasons

that follow, we agree.

          The gift statute, which forbids a legislative agent

from "knowingly and wilfully" giving a "public official . . .

gifts with an aggregated value of one hundred dollars or more

in  a calendar  year," Mass.  Gen. L.  ch. 268B,    6, simply

limits, by  a dollar-amount, the gift-giving  by lobbyists to

legislators.   It  is a  prophylactic civil  prohibition that

addresses  appearances of -- but not actual -- corruption.  A

violation  of  the   Massachusetts  gift  statute   does  not

necessarily  entail any  improper  motive  to  influence,  or

otherwise affect,  the official duties of the  recipient.  It
                                                  

is possible for a lobbyist to give a legislator items falling

within  the   statute's  definition  of  "gift,"   or  for  a

                    
                                

10.  The  government claims that  Sawyer has  only challenged
the  evidentiary sufficiency  of his  fraudulent intent,  and
thus has waived  a jury instruction  challenge on the  issue.
We disagree.   While Sawyer ultimately  endeavors to persuade
us  that  the  evidence   was  insufficient  to  support  his
conviction, he squarely challenges the very legal theory upon
which  he  was convicted.    He  particularly challenges  the
government's theory (as accepted by the district court) that,
as a matter of law, the scheme to defraud could be predicated
upon  state  law  violations  alone, without  the  intent  to
deprive the  public  of honest  services.   Sawyer  not  only
lodged  an adequate  objection on this  issue with  the trial
court, see supra note  8, his brief to this  court thoroughly
                            
addresses the  precise legal issues surrounding the interplay
between  the  mail  statute,  the  state  statutes,  and  the
requirement of  fraudulent intent.   The legal  arguments are
sharply  presented and the record is adequate for our review.
Thus, we conclude that the issue is properly before us.

                             -27-
                                          27


legislator  to  accept such  gifts,  without  an accompanying

intent to  cause the  legislator to deviate  from the  honest

performance  of  official duties.    While  such gifts  would

constitute   a   gift-statute  violation,   not   every  such

circumstance would necessarily amount to a deviation from the

official's performance  of honest  services to  the public.11

Thus, unlike the honest services fraud cases, noted above, in

which an official was bribed or took official action based on

a secret conflict of interest, a gift statute violation, even

if intentional, does not in itself  amount to honest services

fraud.

          While  the  Massachusetts' citizenry  expects their

legislators to comply with  laws pertaining to their official

capacity, the  presence of such illegal  conduct, even though

it relates to public office, does not by itself (or,  per se)
                                                                        

establish honest services  fraud.  Cf.  See United States  v.
                                                                     

Dowling, 739  F.2d 1445,  1449-50 (9th Cir.  1984) (rejecting
                   

government's suggestion that "the presence of illegal conduct

alone  may constitute the basis  of the `fraud'  element of a

mail fraud prosecution" and stating that "to hold otherwise .

. . would have  the potential of bringing almost  any illegal

act within the province of the mail fraud statute"), rev'd on
                                                                         

other grounds, 473 U.S. 207 (1985); United States v. Gallant,
                                                                        

                    
                                

11.  We note  that under Massachusetts law,  violation of the
gift  statute is  punishable by  no more  than a  $2000 civil
                                                                         
fine.

                             -28-
                                          28


570  F. Supp. 303, 309  and n.7 (S.D.N.Y.  1983) (noting that

Congress  forbade the use of the mails in furtherance of "any

scheme or artifice to defraud" and not in furtherance of "any

crime").  To allow  every transgression of state governmental

obligations to  amount to  mail fraud would  effectively turn

every such  violation into a  federal felony; this  cannot be

countenanced.

          Because  the court's instructions  allowed the jury

to equate  a gift statute  violation with the  deprivation of

honest  services,  it  also permitted  the  jury  to find  an

"intent to defraud"  from the intent to violate  the statute,

without more.   To  establish the  scheme to  defraud through

these violations, however, it must also have been charged and

shown  that   the  intent  behind  the   violations  was  the
                                     

deprivation of honest services.  See D'Amato, 39 F.3d at 1257
                                                        

(explaining that where  harm is not  the necessary result  of

the  scheme, independent  evidence  of fraudulent  intent  is

required).   Thus, this case required  a separate instruction

that, to prove  the intent to  commit honest services  fraud,

the jury had  to find  that Sawyer intended  to influence  or
                                                                         

otherwise  improperly affect  the  official s performance  of
                                                                         

duties, not  merely that  he  intended to  violate the  state
                  

statute.12   Allowing the jury  to find that  Sawyer intended

                    
                                

12.  This intent  is not  equivalent to, or  subsumed within,
the  intent  to deceive  the  public,  discussed  infra.   In
                                                                   
addition to deceit (the  gravamen of "fraud"), the government
                              

                             -29-
                                          29


to defraud the public  of its right to honest  services based

on  proof  of  gift  statute  violations   alone  constituted

reversible error.  See United States v. Doherty, 867 F.2d 47,
                                                           

57 (1st  Cir.), cert. denied, 492 U.S.  918 (1989) (observing
                                        

that  reversal  of  convictions is  required  if instructions

"could have led the  jury to convict for conduct  outside the

proscription of the mail fraud statute").  

          2.  The Gratuity Statute
                                              

          The  second Massachusetts  statute  upon which  the

convictions for honest-services mail fraud rely, is ch. 268A,

  3 (the "gratuity statute"), which provides, in part:

          (a)  Whoever,  otherwise than as provided
          by  law  for  the  proper   discharge  of
          official  duty,  directly  or  indirectly
          gives,  offers  or  promises anything  of
          substantial  value  to  any   present  or
          former  state . . . employee . . . for or
          because of any  official act performed or
          to be performed by such an employee
          . . . .
          (d)  . . . shall be punished by a fine of
          not  more than three  thousand dollars or
          by  imprisonment  for not  more  than two
          years, or both.

Mass. Gen. L. ch. 268A,   3.

                    
                                

must also show  the intent to harm (in  this case, to deprive
                                              
of  honest  services).   See  McEvoy Travel  Bureau,  Inc. v.
                                                                      
Heritage  Travel,  Inc.,  904  F.2d 786,  791-92  (1st  Cir.)
                                   
(explaining  that  mail  fraud   requires  both  deceit   and
deprivation), cert. denied, 498  U.S. 992 (1990); D'Amato, 39
                                                                     
F.3d at  1257 (explaining that  "the deceit  must be  coupled
with  a  contemplated harm  to  the  victim") (quotation  and
citation omitted).

                             -30-
                                          30


          The  centerpiece  of the  gratuity  statute  is the

giving of an item of "substantial value" (the "gratuity"), to

an official, "for or because of any official act performed or

to be  performed" by  the  official.   Because this  language

entails some connection between  the gift and the performance

of official duties, a gratuity statute violation --  unlike a

gift  statute  violation  --  may  itself  be  sufficient  to

implicate the duty of  honest services in a  given case.   As

with the  gift statute, however,  not every violation  of the

gratuity  statute  automatically  encompasses  an  intent  to

induce the  public  official to  alter  or deviate  from  the

performance of honest and impartial services.  We explain.

          A Massachusetts gratuity offense does not require a

finding of corrupt intent, i.e., improper intent to influence
                                           

official decision  making.   See Commonwealth v.  Dutney, 348
                                                                    

N.E.2d  812,  821 (Mass.  Ct.  App.  1976) (finding  gratuity

offense  to be  a  lesser included  offense of  Massachusetts

bribery  statute, Mass. Gen. L. ch. 268A,   2, which adds the

element  of "corrupt  intent" i.e.,  intent  to influence);13
                                              

                    
                                

13.  The Massachusetts bribery statute,  which did not form a
part of this case, provides, in part:

          Whoever,    directly    or    indirectly,
          corruptly   gives,  offers   or  promises
                               
          anything  of value  to  any state  . .  .
          employee  . .  ., with  intent .  . .  to
                                                               
          influence  any  official act  or  any act
                                                  
          within  the  official  responsibility  of
          such employee [shall be punished].

                             -31-
                                          31


cf. United States v.  Mariano, 983 F.2d 1150, 1159  (1st Cir.
                                         

1993) (observing that gratuity offense, unlike  bribery, does

not involve a  "corrupt purpose").  Rather,  only some lesser

intent  need be  shown.  A  jury might  be charged  to find a

bribery or gratuity offense in the alternative, thus allowing

it to convict for a gratuity offense  if it is convinced that

the defendant gave  something to a public official because of

an  official act, but is not persuaded that the defendant had

a corrupt intent to  influence that act.  See,  e.g., Dutney,
                                                                        

348 N.E.2d at 821.

          As the  word "gratuity"  implies,  the intent  most

often associated with  the offense is the  intent to "reward"

an official for an  act taken in the past  or to be taken  in

the  future.   See Mariano,  983 F.2d  at 1159  (noting that,
                                      

unlike one who bribes, the gratuity offender "gives  the gift

without  attaching any  strings,  intending it  instead as  a

reward for actions the public  official has already taken  or

is  already committed  to  take").   The  official act  might

otherwise  be properly  motivated; and  the  gratuity, though

unlawful, might  not be intended to  influence the official's

mindset  with regard  to  that particular  action.   In  some

cases, such as  a reward for  long-past official action,  the

intent to influence could  not possibly exist.  A  finding of

honest services fraud, however, requires, in connection  with

                    
                                

Mass. Gen. L. ch. 268A,   2(a) (emphasis added).

                             -32-
                                          32


the gratuity, the intent to cause an official to deviate from

the honest performance of services.

          Thus,  as  with  the   gift  statute,  proof  of  a

violation  of the  Massachusetts  gratuity  statute,  without

more, does not establish an  intent to commit honest services

fraud.   The  government  must  prove that  the  conduct  was

accompanied by the  requisite intent.   This intent could  be

shown  in a  number of  ways.   For example,  a bribery-like,

corrupt intent to influence official action necessarily is an

intent  to  deprive  the   public  of  an  official's  honest

services.   A  person might  not,  however, give  an unlawful

gratuity with the intent  to effect a specific quid  pro quo.
                                                                        

Rather,  as  the  government  contends here,  a  person  with

continuing and  long-term interests before an  official might

engage  in  a  pattern  of   repeated,  intentional  gratuity

offenses in  order to coax ongoing  favorable official action

in  derogation of  the public's  right to  impartial official

services.   Such  conduct would  be akin  to (although  not a

classic case of) the conflict of  interest cases noted above.

See,  e.g., Grandmaison, 77 F.3d at 567; Silvano, 812 F.2d at
                                                            

759.  Here, for  example, while Sawyer may not  have provided

the legislators with direct kickbacks  or commissions arising

out of the specific official action, he may have intended the

legislators  generally  to  treat   preferentially  Hancock's

interests,  knowing that  the free meals,  entertainment, and

                             -33-
                                          33


golf would continue so long as  favorable official acts were,

at some point, taken.

          In this case, the district  court did not, in fact,

instruct  the jury on a true "gratuity" offense.  Instead, it

instructed the  jury that,  to establish a  gratuity offense,

the  government must  prove  that Sawyer  "gave something  of

substantial  value  to  a   legislator  with  the  intent  to
                                                                         

influence  an official act  of that legislator."   While this
                                      

instruction erroneously added an  intent-to-influence element

to the gratuity offense,  it also had the effect  of charging

the jury  to find  the requisite intent  for honest  services

fraud.14  

          3.    Conclusion:  Scheme   to  Deprive  of  Honest
                                                                         

Services
                    

          The jury was permitted to find the first element of

mail and wire fraud,  the scheme to defraud, upon  proof that

either the gift statute or the gratuity statute was violated.

The  gift   statute  as  charged,  however,   was  a  legally
                     

insufficient basis upon which to find  the scheme to defraud.

                    
                                

14.  The  court also  instructed the  jury that  it is  not a
defense to a gratuity charge that the official act would have
occurred even if the gratuity had not been given.  See United
                                                                         
States v. Previte,  648 F.2d 73, 82 (1st  Cir. 1981).  Sawyer
                             
assigns error  to this instruction, contending  that the fact
that the  act would  have occurred  without  the gratuity  is
indicative of good faith.   Sawyer fails to explain, however,
how  the fact that an official act would have occurred anyway
could  have  affected  his  state  of  mind  when giving  the
                                      
gratuities.  The court's  instruction was a correct statement
of the law, relevant to this case, and it was not in error.

                             -34-
                                          34


Although  the  gratuity statute  was  properly  instructed in
                                   

terms  of honest services mail  fraud, we cannot  tell if the

convictions were based on  that statute or the insufficiently

charged  gift statute.  When  a jury has  been presented with

several  bases  for  conviction,  one  of  which  is  legally

erroneous, and it is impossible to tell which ground the jury

convicted upon,  the conviction cannot stand.   United States
                                                                         

v. Nieves-Burgos, 62 F.3d 431, 435-36 (1st Cir. 1995).
                            

          The government contends that  if we find error with

respect to the gift statute, we should affirm the convictions

because   the  jury  found  that  Sawyer  committed  gratuity

offenses within  the Travel Act convictions, discussed infra.
                                                                        

We cannot  assume from  the Travel Act  convictions, however,

that  the jury based its  mail and wire  fraud convictions on

the gratuity statute.  The court charged the jury to consider

each  offense as separate bases  for the mail  and wire fraud

charges.   Accordingly,  the  possibility exists  that,  when

convicting  on the  mail  and wire  fraud  charges, the  jury

focused on violations of the gift statute, alone.  See Boots,
                                                                        

80 F.3d at 589  (declining to affirm conviction where  it was

possible  that  the jury  focused  its  verdict on  erroneous

basis).   Thus, for the foregoing reasons,  Sawyer's mail and

wire fraud convictions must be reversed.

          Sawyer contends that  the evidence was insufficient

to  prove an  intent to  influence the  legislators' official

                             -35-
                                          35


acts  and that  therefore his  conviction should  be reversed

without the possibility  of retrial.   We cannot  agree.   At

trial,  there  was  evidence  that  Sawyer  intentionally and

repeatedly   provided  legislators  with  valuable  gifts  of

entertainment for the purpose  of obtaining "greater  access"

to,15  and  of  developing  a  "certain  relationship  with,"

legislators.  A  jury could credit  Sawyer's defense that  he

thought his expenditures were lawful and that they were meant

only for goodwill entertaining.   Taking the evidence in  the

light most favorable to  the prosecution, however, see United
                                                                         

States  v. Olbres, 61 F.3d 967, 970 (1st Cir.), cert. denied,
                                                                        

116  S. Ct. 522 (1995),  a jury could  also rationally infer,

beyond  a  reasonable doubt  that  Sawyer  intended that  his

repeated  gifts and  gratuities would  induce legislators  to

perform   official  acts   to  benefit   Hancock's  interests

regardless of,  or at  the expense  of, the public  interest.

                    
                                

15.  We  do  not think  that the  desire  to gain  access, by
itself,  amounts to  an  intent to  influence improperly  the
legislators'  exercise of  official duties.   The  government
points  to no legislative duty to provide equal access to all
members of the public;  and, from a practical  standpoint, we
doubt one exists.   See Sawyer, 878 F. Supp. at 294 (striking
                                          
phrase  "free  from  favoritism"  from  indictment's list  of
legislators' duties).   True,  Sawyer's very  job description
required him to develop contacts  in the Legislature, and, as
with all lobbyists, his employment  goal was to persuade  and
influence legislators  to benefit  certain  interests.   Such
endeavors, however,  are protected by the  right "to petition
the Government for a redress  of grievance" guaranteed by the
First Amendment of the United States Constitution, see United
                                                                         
States  v. Harriss,  347 U.S.  612, 625  (1954); it  would be
                              
impermissible to rely upon the lobbying position  simpliciter
to establish a corrupt intent to influence.

                             -36-
                                          36


Hence, retrial is not precluded.  See Boots, 80  F.3d at 589-
                                                       

90  (reversing because  of  legal error  in instructions  but

remanding  for  possible  retrial  because  the  evidence was

sufficient for proper conviction); United States v. Ochs, 842
                                                                    

F.2d 515, 529 (1st Cir. 1988) (same).

          In view of the  possibility that the government may

choose to retry  this case, we  think it is  useful to add  a

cautionary word concerning the relationship between state and

federal  law in cases  such as  this one.   Our  comments are

addressed primarily to  the mail fraud  statute but apply  in

some  measure to the  Travel Act charge,  discussed infra, as
                                                                     

well.  Two problems are of specific concern to us.

          First, concerning the theft of honest services jury

instruction, an  overemphasis on  what state law  forbids may

lead the jury to  believe that state rather than  federal law

defines the  crime, or more specifically,  that any violation

of a state law or  regulation concerning lobbying or  related

matters amounts  to honest  services fraud.    Wire and  mail

fraud are  federal offenses;  and while state  violations may
                              

play a  role, the jury should not be allowed to slip into the

misunderstanding  that any  violation of  proliferating state

laws  and regulations  controlling  this  area  automatically

amounts to a federal crime.

          In  a similar vein, we think there exists a risk in

this case -- particularly in view of the prosecutor's closing

                             -37-
                                          37


argument  with  its repeated  emphasis on  permissible dollar

limits in  lobbying --  that the jury  could wrongly  believe

that  any expenditure  in  excess of  that  allowed by  state

statute or  regulation  by  itself  constitutes  the  federal

offense.    The  district  court has  ample  authority  under

Federal  Rule of  Evidence 403  to limit  evidence concerning

state law  requirements where that evidence  is substantially

more  prejudicial than probative.   And, in  all events, jury

instructions need to make  clear that for the federal  honest

services  fraud  to be  proven, the  defendant must  have the

intent to  affect a  legislator's performance of  an official

act  and not merely to make  payments in excess of some state

specified limitations.

B.  Intent to Deceive
                                 

          Whether or not  a new  trial on the  mail and  wire

fraud  counts  is allowable  requires  us  to reach  Sawyer's

additional contention  that the evidence  was insufficient to

establish his intent  to deceive  the public.   To this  end,

Sawyer contends that because the government did not establish

that  he had  a  duty  to  disclose  his  illegal  gifts  and

gratuities to  the public, his  intent to deceive  the public

had to be shown through affirmative acts of deception,  which

he claims are absent here.

          To  establish  mail  fraud  --  in  cases involving

honest  services fraud  and otherwise  -- the  alleged scheme

                             -38-
                                          38


must involve deception in the deprivation of money, property,

or the right to  honest services.  See McEvoy  Travel Bureau,
                                                                         

Inc. v. Heritage Travel,  Inc., 904 F.2d 786, 791  (1st Cir.)
                                          

("[N]ot every use of the mails or wires in furtherance  of an

unlawful scheme  to deprive  another of property  constitutes

mail or wire fraud. . . . Rather, the scheme must be intended

to  deceive   another,  by  means  of   false  or  fraudulent
                       

pretenses,  representations,  promises  or   other  deceptive

conduct.")  (citations omitted), cert.  denied, 498  U.S. 992
                                                          

(1990); see also  Grandmaison, 77 F.3d  at 567 (finding  that
                                         

public  official's conduct of  secretly delivering gratuities

to other  officials for favorable action, "without disclosing

his actions  to other  [officials]," falls within  purview of

honest services  mail fraud) (citing McEvoy  Travel, 904 F.2d
                                                               

at 791);  United States v. Bush, 522  F.2d 641, 648 (7th Cir.
                                           

1975),  cert.  denied,  424  U.S.  977  (1976).16    While  a
                                 

                    
                                

16.  Under 18 U.S.C.   1346, "the term 'scheme or artifice to
defraud' includes a scheme or artifice to deprive another  of
                                                             
the intangible right of  honest services."  (emphasis added).
We do not think the word "deprive" in this section eliminates
the  requirement  of  deceit  in  an  honest  services  fraud
                                        
prosecution.  Nor do  we find that a deprivation  of "honest"
services,  by  definition,  necessarily  includes  the deceit
factor  sufficient  for  mail  fraud.   By  enacting    1346,
Congress  meant to  overturn  McNally, 483  U.S. 350  (1987),
                                                 
which held that  the scheme  to defraud must  be intended  to
deprive another  of money or property.   Grandmaison, 77 F.3d
                                                                
at 566.  And  prior to McNally, courts endorsing  the honest-
                                          
services mail fraud theory  invariably required some  showing
of  deceit  which  is inherent  in  the  term  "fraud."   See
                                                                         
Silvano, 812 F.2d at 759-60; Mandel, 591 F.2d at 1361; United
                                                                         
States  v. Barber,  668 F.2d  778,  784-85 (4th  Cir.), cert.
                                                                         
denied,  459 U.S. 829 (1982).  We find nothing that indicates
                  

                             -39-
                                          39


misrepresentation of  fact is not required  to establish mail

fraud,  McEvoy Travel, 904 F.2d at 791, a demonstrated intent
                                 

to deceive is required.

          When  the  conduct  of  a  government  official  is

involved,   "the  affirmative   duty  to   disclose  material

information   arises  out   of  [the]   official's  fiduciary

relationship to [the public]."  Silvano, 812 F.2d at 758; see
                                                                         

id. at 760 ("Although not  all dishonest or disloyal  conduct
               

by an employee violates the mail fraud statute, an employee's

breach of a fiduciary duty falls within the strictures of the

statute  when it encompasses the breach of a duty to disclose

material information to the employer.").  Thus, an official's

intentional violation  of the  duty to disclose  provides the

requisite "deceit."  See  id. at 760 (noting that  failure to
                                         

disclose "under circumstances  where the non-disclosure could

or does result in harm to the employer is a  violation of the

mail  fraud  statute")  (citation  and   internal  quotations

omitted).

          Here,  although the  issue  has  not  been  clearly

presented  by  the parties,  it  appears  that the  requisite

intent  to  deceive  could  have been  shown  either  through

Sawyer's own acts of deception toward the public with respect

                    
                                

a change in this requirement for establishing honest services
mail or  wire  fraud.   Thus, while  it may  be difficult  to
conceive  of  a scheme  to deprive  someone  of the  right to
honest services without intending to deceive that person, the
intent to deceive must nonetheless be established.

                             -40-
                                          40


to  the  gift/gratuity  statute  violations, or  through  his

efforts to  ensure that  the legislators deceived  the public

with respect to the violations.  The latter requires evidence

only  that   Sawyer  intended   to   cause  the   legislators

intentionally to  fail to disclose material information about

the  violations,17 although  evidence  that  he intended  the

legislators  to affirmatively misrepresent themselves in this

regard would also suffice.   At bottom, the evidence  must be

sufficient to establish Sawyer's intent that, in the end, the

publicbedeceivedwith respecttohisunlawfulgifts andgratuities.

          Therefore,  we  must  determine  if  the admissible

evidence,  viewed  in  light  most favorable  to  the  jury's

verdict,  is  sufficient for  a  rational jury  to  find that

Sawyer  intended that  the public  be deceived.   See  United
                                                                         

States  v. Kaplan, 832 F.2d  676, 679 (1st  Cir. 1987), cert.
                                                                         

denied, 485 U.S. 907 (1988).  The evidence need not compel an
                  

intent-to-deceive finding; rather, it is only required that a

reasonable jury  could  be  persuaded,  beyond  a  reasonable

doubt, that Sawyer  had such  intent.  See  United States  v.
                                                                     

O'Brien,  14 F.3d 703,  706-707 (1st Cir. 1994).   And we are
                   

mindful  that   a  jury  may  choose   among  the  reasonable

alternatives posed by the evidence.  United States v. Olbres,
                                                                        

                    
                                

17.  Although  allegations that Sawyer  caused legislators to
violate their statutory disclosure obligations were withdrawn
by  the  government  at  trial, the  obligation  to  disclose
material  information  inheres  in  the  legislator's general
fiduciary duty to the public.  Silvano, 812 F.2d at 758.
                                                  

                             -41-
                                          41


61 F.3d  967, 973 (1st  Cir. 1995), cert. denied,  116 S. Ct.
                                                            

522 (1995).  Finally,  the specific intent to deceive  may be

proven  (and  usually  is)  by  indirect  and  circumstantial

evidence.   See O'Brien, 14 F.3d at 706 (observing that fraud
                                   

crimes "by their very  nature, often yield little in  the way

of direct proof"); Kaplan,  832 F.2d at 679; see  also United
                                                                         

States  v.  Nivica, 887  F.2d  1110,  1113  (1st  Cir.  1989)
                              

(opining  that "factual  circumstances may  signal fraudulent

intent in  ways as  diverse as  the  manifestations of  fraud

itself"), cert. denied, 494 U.S. 1005 (1990).
                                  

          At first  blush, it  may appear that  bribery of  a

public official necessarily incorporates  a finding that  the

offender  intended to  "trick" or  "deceive" the  public into

thinking that the official  was acting independently when, in

fact,  the  official was  actually  motivated  by the  bribe.

While we have little  doubt that bribes are usually  given in

secrecy, see  Holzer,  816 F.2d  at 309  (observing that  "no
                                

public official  in the United States  takes bribes openly"),

bribery  and gratuity  statutes  generally, as  here, do  not

require  a  separate element  of  deception.   Ostensibly,  a
                   

person  could offer an illegal bribe to a public official and

not  be concerned  with  its  secrecy.   Thus,  the  evidence

presented must permit a finding that Sawyer not only gave the

unlawful  gifts or gratuities with the  intent to deprive the

public  of  honest services,  but  that he  also  intended to

                             -42-
                                          42


deceive the public about that conduct.  See Bush, 522 F.2d at
                                                            

648.

          Here, the government presented evidence that Sawyer

gave the unlawful gifts and gratuities during the seven years

of the indictment  period until the Boston  Globe exposed the

practice in May 1993.  Much of his entertainment of lobbyists

took   place  out-of-state   --  usually   at  industry   and

legislative conferences -- where members of the Massachusetts

citizenry  generally  would   not  observe  the  questionable

activities.   Unlike his acts  of "non-public" entertainment,

Sawyer ensured compliance with  state ethical standards for a

1993  Boston Marathon  brunch,  potentially  a  high  profile

event.    In  his  office,  Sawyer  kept  newspaper  articles

reporting  legislators'  activities  with  lobbyists,  and in

particular, the ethical  ramifications of such relationships.

In one article, Representative  Mara (a recipient of Sawyer's

unlawful gifts or gratuities)  is quoted as saying, "Everyone

picks up their own  tabs at [legislative] conferences. .  . .

These  conferences have  become almost  nonexistent."   These

articles  were   kept  in  notebooks  with   other  materials

regarding lobbying laws.

          A  jury  rationally  could  infer that  Sawyer  was

cognizant of his ethical obligations in lobbying, knew of the

public awareness  of lobbying activity,  and repeatedly  gave

hidden unlawful  gifts and  gratuities until he  was publicly

                             -43-
                                          43


exposed.   While not  overwhelming, the combined  evidence is

sufficient  to permit  a reasonable  jury  to find,  beyond a

reasonable doubt, that Sawyer  intended to deceive the public

about his  unlawful expenditures on legislators.   See United
                                                                         

States  v.  Ortiz,   966  F.2d  707,  711   (1st  Cir.  1992)
                             

(explaining  that "juries  are  not required  to examine  the

evidence in  isolation, for  `individual pieces  of evidence,

insufficient  in   themselves  to  prove  a   point,  may  in

cumulation prove  it.  The sum of an evidentiary presentation

may well  be greater  than its constituent  parts.'" (quoting

Bourjaily  v. United  States, 483  U.S. 171,  179-80 (1987)),
                                        

cert.  denied,  506  U.S.   1063  (1993);  United  States  v.
                                                                     

Montminy, 936 F.2d 626, 627-28 (1st Cir. 1991).18
                    

                    
                                

18.  The  government  also  presented  evidence  that  Sawyer
somehow concealed his  expenditures on  legislators from  his
Hancock superiors  other than Hathaway.   The government does
not  argue that  this evidence  can amount  to the  requisite
deceptive conduct, nor did  it rely on it to prove the intent
to deceive.  In any event, Sawyer's deceptive conduct  toward
Hancock, alone, cannot form the basis of this honest services
fraud conviction.   Rather, the  alleged victims of  the mail
fraud  -- here, the state and the  public -- must be the ones
deceived.  Thus,  in order  for any deception  of Hancock  to
form a part of the scheme to deprive the Commonwealth and her
citizens of  legislators' honest services, some  showing that
such  conduct  was connected  to  the  defrauding of  alleged
victims is required.   See McEvoy Travel,  904 F.2d at 794  &
                                                    
n.13  (rejecting  position  that   a  scheme  to  defraud  is
established if the deception  of one party causes deprivation
to another);  Lifschultz Fast  Freight, Inc. v.  Consolidated
                                                                         
Freightways Corp., 805 F. Supp. 1277 (D.S.C. 1992) (requiring
                             
convergence of  identity of  injured and deceived),  aff'd on
                                                                         
other  grounds, 998  F.2d 1009  (4th  Cir.) (Table),  1993 WL
                          
241742, cert. denied, 114 S. Ct. 553 (1993).
                                

                             -44-
                                          44


          For the foregoing  reasons, Sawyer's mail and  wire

fraud convictions must be vacated and remanded for a possible

new trial.

                             III.
                                         III.
                                             

                      Travel Act Counts
                                  Travel Act Counts
                                                   

          The  government charged  Sawyer with  knowingly and

wilfully  travelling   and  causing   others  to   travel  in

interstate commerce with the intent to promote,  carry on and

facilitate   the  promotion  and   carrying  on  of  unlawful

activity, to  wit, illegal  gratuities in violation  of Mass.

Gen. L. ch. 268A,   3, in  violation of 18 U.S.C.   1952 (the

"Travel  Act").19     The  government  asserted  that  Sawyer

violated  the  Massachusetts gratuity  statute  subsequent to

interstate  travel  to  the  following  destinations:  Tulsa,

Oklahoma;  Orlando,  Florida; Savannah,  Georgia; Scottsdale,

Arizona;  Key Largo,  Florida;  Charleston,  South  Carolina;

Amelia Island, Florida; and Puerto Rico.

                    
                                

19.  The Travel Act proscribes  travel in interstate commerce
"with intent to .  . . promote, manage, establish,  carry on,
or  facilitate the  promotion, management,  establishment, or
carrying on, of any unlawful activity."  18 U.S.C.   1952(a).
"Unlawful activity" is defined as, inter alia, "bribery . . .
                                                         
in violation of the  laws of the State in which  committed or
of  the United  States."   18  U.S.C.    1952(b); see  United
                                                                         
States  v. Arruda, 715  F.2d 671, 681  (1st Cir. 1983).   The
                             
district court instructed  the jury that  a violation of  the
gratuity statute  constituted "unlawful" activity  within the
purview of  the Travel Act, a view with which we agree to the
extent that the court instructed that  something of value was
given in  order to influence  the performance of  an official
act.   Sawyer does not  dispute that a  gratuity violation of
this character is "bribery" for purposes of the Travel Act.

                             -45-
                                          45


          Sawyer argues that his Travel  Act convictions must

be reversed because: (1) the court erroneously instructed the

jury  on   the  gratuity   statute;  (2)  the   evidence  was

insufficient  to  establish the  gratuity  offenses; (3)  the

court  barred him  from  presenting evidence  crucial to  his

defense;  and  (4)  the  court  improperly  admitted  summary

evidence introduced  by the government.   Although we discuss

and  reject each of  these arguments in  turn, we nonetheless

reverse his  conviction on these counts  because the district

court's  instructions on  the meaning  of "bribery,"  for the

purposes of the Travel Act, were fatally flawed.

A.  Gratuity Statute Jury Instructions
                                                  

          Because   the  Travel  Act  convictions  rely  upon

violations  of the  Massachusetts  gratuity  statute, we  now

address  an  additional  state-law  aspect  of  the  gratuity

statute about which the parties disagree.

          The  gratuity statute  requires  that the  item  of

"substantial value"  be given "for or because of any official

act  performed or to be performed."   Mass. Gen. L. ch. 268A,

  3(a).   An "official act"  is defined as:  "any decision or

action  in  a  particular  matter  or  in  the  enactment  of

legislation."    Mass. Gen.  L.  ch. 268A,    1(h).20   Here,

                    
                                

20.  A "particular matter" is further defined as:

          any   judicial   or   other   proceeding,
          application,  submission,  request for  a
          ruling or  other determination, contract,

                             -46-
                                          46


Sawyer  allegedly  bestowed gratuities  upon  legislators who

were  members of the Insurance Committee.  Thus, for purposes

of  this  discussion,  we  proceed on  the  theory  that  the

government had to prove that Sawyer gave the gratuities  "for

or because of . .  . any decision or action in  the enactment

of legislation."  See Mass. Gen. L. ch. 268A,    3(a), 1(h).
                                 

          The  parties'  interpretations   of  the   gratuity

statute differ with respect to the scope and character of the

connection required  between  the gratuity  and the  official

act.  Sawyer contends  that the gratuity must be  linked to a

specific, identifiable official  act.  The  government argues

that  it is sufficient to  prove that the  gratuity would not

have been  given but  for  the legislator's  ability to  take

official action favorable to Sawyer.  In a pretrial ruling on

Sawyer's motions  to dismiss, the district  court agreed with

the government's interpretation, and instructed as such.21

                    
                                

          claim,  controversy, charge,  accusation,
          arrest, decision, determination, finding,
          but   excluding   enactment  of   general
          legislation . . .

Mass. Gen. L. ch. 268A,   1(k).

21.  The  court's jury  instructions  on this  issue were  as
follows:

          I instruct you that the government has to
          prove beyond a  reasonable doubt that the
          defendant   intended  to   influence  the
          action  of the legislator on any official
          matter  which  was  pending   before  the
          legislator or  which  may, by  law,  have
          been  brought  before  the legislator  at

                             -47-
                                          47


          No Massachusetts court decision has yet interpreted

the operative "for  or because of any official  act" language

in ch. 268A,   3(a).   To support their respective positions,

the  parties  present   differing  arguments  regarding   the

statutory language, legislative history, comparable statutes,

and  State  Ethics Commission  rulings.    We consider  these

sources separately.

          1.  Statutory Language
                                            

          The  gratuity  statute   prohibits  the  giving  of

gratuities "for or because  of any official act  performed or

to be  performed."  Mass. Gen. L. ch. 268A,   3.  The statute

does not  read "for or  because of the  official's position."
                    

Rather, it forbids gratuities motivated by "any official act"

                    
                                

          some later time.
               . . . .
               I  further  instruct  you  that  the
          government  need  not   prove  that   the
          alleged gratuity was linked to a specific
          identifiable  act.   In other  words, the
          government  need  not   prove  that   the
          gratuity  was given  as a  quid pro  quo;
          that is, in exchange for any one specific
          act performed or  to be performed by  the
          legislator.  The government does not have
          to  show  that  there  was  an  agreement
          between the defendant and  the legislator
          requiring   the  legislator   to  perform
          certain   acts   in   exchange  for   the
          gratuity.
               The government  must prove, however,
          that  the  defendant  gave   the  alleged
          gratuity   to   a  legislator   with  the
          expectation that the legislator would use
          his influence on official matters in ways
          favorable to the defendant.

                             -48-
                                          48


and  further  defines, rather  meticulously,  "official act."

See Mass. Gen. L. ch. 268A,    1(h) & (k).  Thus, on the face
               

of the statute, it  does not appear that the  unlawfulness of

the  gratuity could  be  established  by  proof that  it  was

motivated solely by the official's position.  In other words,

proof of  the offense requires  something more than  a simple

showing that "but for" the official's authority, the gratuity

would not have been given.22

          This observation,  however,  does not  lead to  the

conclusion that the gratuity must be shown to be motivated by

a  specifically identified official  act.  As  noted supra, a
                                                                      

gratuity  offense is  essentially a  bribery  offense without

proof of  "corrupt intent."  The concern  behind the gratuity

statute,  like   the  bribery   statute,  is   the  potential

undermining  of  official integrity.    A  gratuity does  not

compromise this  integrity because of its  possible effect on

the  official's  "position"; rather,  the  danger  is in  its

ability to affect the official's performance of duties, i.e.,
                                                                        

"official  acts."    It is  not  surprising,  then, that  the

                    
                                

22.  For example, if the parent of a student gives the school
principal  a  gift  of  substantial value  at  the  student's
graduation,  that  alone  would  not  constitute  a  gratuity
offense, even though the parent would not have given the gift
"but for" the  principal's position.   If, however, the  gift
was given under circumstances in which the principal  had the
discretion  to  decide  whether  or  not  the  student  would
graduate, a gratuity offense might be found.

                             -49-
                                          49


statute  proscribes gratuities  motivated by  "official acts"

rather than "official position."

          Thus, the use of the term "official act" appears to

ensure that  the gratuity would be deemed  unlawful only when

the giving of an item of "substantial value" is linked to the

official's performance of duties.  The connection between the

gratuity  and the  performance of  official duties,  however,

does not necessarily require the identification of a specific

official act, and we  find nothing in the statutory  language

to require such a demonstration.

          2.  Legislative History
                                             

          The  gratuity statute  was based,  in part,  upon a

bill drafted  by a  1962 Massachusetts Special  Commission on

Code of Ethics.  See Report of the Special Commission on Code
                                

of Ethics, 1962  House Doc. No.  3650, p.8.   Nothing in  the

Commission's Report,  however,  assists us  in resolving  the

instant question.  It  states only: "It should be  noted that

to  constitute a criminal act, the giving or receiving of the

item  of such `substantial value' must be `for or because of'

an official act."  Id. at 11; see Commonwealth v. Famigletti,
                                                                        

354  N.E.2d  890, 893  (Mass.  Ct.  App. 1976)  (noting  same

language  in the report).  The Report neither parses out what

these terms  mean, nor gives  examples of what  was intended.

From  this we discern only that  the Commission was concerned

                             -50-
                                          50


that "innocent" gifts to officials would  not fall within the

gratuity statute's purview.

          The Commission's  report does tell  us that "[m]uch

of the  language of  the  proposed legislation  is taken  and

adapted from  [a  proposed federal  bribery/gratuity  bill]."

Report of  Special Commission, supra  at 8;  see Dutney,  348
                                                                   

N.E.2d  at  822 n.16.    As  discussed  below,  however,  the

comparable federal gratuity  statute, 18 U.S.C.   201(c),  is

also unhelpful in resolving the question before us.

          3.  Comparable Statutes
                                             

          In support of  its position, the  government relies

on the Massachusetts  Supreme Judicial Court's interpretation

of a  different statute in Commonwealth v.  Lapham, 156 Mass.
                                                              

480,  31  N.E.  638  (Mass.   1892),  and  on  federal  cases

interpreting   the  federal   gratuity  statute,   18  U.S.C.

  201(c).

          Lapham  involved a  milk  dealer who  attempted  to
                            

bribe a city milk inspector and was convicted under a statute

punishing anyone who:

          corruptly  gives,  offers or  promises to
          any  executive,  legislative  .  .  .  or
          judicial  officer   .  .  .any   gift  or
          gratuity   whatever,   with   intent   to
          influence   his   act,   vote,   opinion,
          decision,  or  judgment  on  any  matter,
          question, cause, or proceeding, which may
          be then pending, or may by law come or be
          brought  before  him   in  his   official
          capacity.

                             -51-
                                          51


Mass.  Pub. St. ch. 205,   9  (Ch. 349 Revised May 21, 1891);

see Lapham, 31 N.E. at  638-39.  The milk dealer  argued that
                      

the indictment  was insufficient  because it  did not  aver a

particular  matter  to  be  influenced.    Id.    The Supreme
                                                          

Judicial Court disagreed, reasoning as follows:

          Nor  is  it  necessary in  an  indictment
          under  [ch. 205,    9]  to aver  that the
          corrupt intention to  influence the  act,
          opinion,  decision  or  judgment  of  the
          inspector was in relation to any specific
          and particular matter then pending before
          him,  or which was  then expected to come
          before  him.   It  is  enough  to aver  a
          corrupt  intention so to influence him in
          any matter which may  then be pending, or
          which may  by  law  come  or  be  brought
          before him.  If for example an executive,
          legislative or judicial officer is bribed
          corruptly to favor a particular person in
          any and all matters affecting that person
          which  may  come  before   such  officer,
          without specification or knowledge of the
          particular matters likely to come up, the
          statute is broad enough to include such a
          case.    A  narrower  construction  of  a
          similar  statute  has  been   adopted  in
          Alabama,   but   we  cannot   follow  it.
          Barefield v. State, 14 Ala. 603 [1848].
                                        

Id. at 639.
               

          The  difficulty with  the government's  reliance on

Lapham is, of course, the fact that it involved a differently
                  

worded statute.  The Lapham statute proscribes a corrupt gift
                                       

to  influence an official act "on any  matter . . . which may
                                                                         

be then pending or may  by law come or be brought  before him
                                  

in his  official capacity."  Mass. Pub. St. ch. 205,   9 (Ch.

349  Revised May 21, 1891) (emphasis added).  In holding that

                             -52-
                                          52


an  averment  of a  specific  matter was  not  necessary, the

Lapham  court repeatedly used the word "may."  See, e.g., id.
                                                                         

("It  is enough to aver  a corrupt intention  so to influence

him in any matter which may then be pending, or  which may by
                                                                      

law come or be brought before him.") (emphasis added).

          The  question is  whether the  absence of  the word

"may"  in the present gratuity statute, see Mass. Gen. L. ch.
                                                       

268A,    3,  1(h) & (k), signifies,  by negative implication,

the requirement of a specific official act.  The reasoning in

Lapham does  seem to  indicate some relationship  between the
                  

word  "may" and the absence of a specificity requirement.  We

think, however, that it  does not follow that the  word "may"

is  the  only manner  in  which to  indicate  that particular

official  acts need  not  be shown  to  establish a  gratuity

offense.

          The  present  statute  proscribes  a  gift "for  or

because   of   any   official   act  performed   or   to   be
                              

performed,"23  and  further defines  "official  act" as  "any
                                                                         

                    
                                

23.  The  phrase  "performed  or  to  be  performed"  affords
temporal flexibility  between the gratuity and any motivating
official  act.   Mass. Gen.  L. ch  268A   3(a);  Dutney, 348
                                                                    
N.E.2d at  821  n.14.   This  temporal  flexibility  is  also
present  in the Lapham statute ("may then be pending or which
                                  
may by  law come  or be brought  before him"),  ch. 205,    9
(1891),  as well as the federal gratuity statute ("may at any
time be pending, or  which may by law  be brought before  [an
official]")  noted infra.   18  U.S.C.   201(a)(3).   In  our
                                    
view, and contrary to the district  court, while the language
affording temporal flexibility is consistent with the absence
of  an  official-act  specificity  requirement,  it  does not
compel that result.  See Sawyer, 878 F. Supp. at 287.
                                           

                             -53-
                                          53


decision or action in a particular matter or in the enactment

of legislation."    Mass. Gen.  L.  ch. 268A,     3(a),  1(h)

(emphasis  added).  Use of the broad term "any" is consistent

with  a legislative  intent to  proscribe gifts  motivated by

unidentified  official  acts.   Most  importantly,  given the

reasoning  set  forth  in  Lapham,  we  think  that   if  the
                                             

Massachusetts  Legislature had  wanted to  drastically narrow

the scope  of the gratuity offense  by requiring specifically

identified official  acts, it would have  spoken more clearly

than  it has.    In the  end,  the Lapham  case  supports the
                                                     

conclusion that a gratuity offense may be established without

proof that a specific official act was the motivation for the

gratuity.

          The  government also  relies on  cases interpreting

the  similarly  worded federal  gratuity  statute,  18 U.S.C.

  201(c),24  that  indicate  that  a  conviction  under  that

                    
                                

24.  The   federal  gratuity  statute,  18  U.S.C.    201(c),
provides, in pertinent part:

          Whoever  -- [] otherwise than as provided
          by  law  for   the  proper  discharge  of
          official   duty   --   []   directly   or
          indirectly  gives,  offers,  or  promises
          anything of value  to any public official
          . . . for or because of  any official act
          performed  or to  be  performed  by  such
          public   official   .   .  .   shall   be
          [punished].

          The term  "official act"  is further defined  in 18
U.S.C.   201 (a)(3) as:

                             -54-
                                          54


statute  does  not require  a showing  that the  gratuity was

linked  to a specific official act.  See, e.g., United States
                                                                         

v. Bustamante, 45 F.3d 933, 940 (5th Cir.) ("it is sufficient
                         

for the government to  show that the defendant was  given the

gratuity  simply  because  he  held  public  office"),  cert.
                                                                         

denied, 116 S. Ct. 473 (1995); United States v. Niederberger,
                                                                        

580  F.2d 63,  68-69 (3d  Cir.), cert.  denied, 439  U.S. 980
                                                          

(1978); United States v. Standefer,  610 F.2d 1076, 1080  (3d
                                              

Cir. 1979) (en  banc), aff'd  on other grounds,  447 U.S.  10
                                                          

(1980).    The government  reasons that  because much  of the

Massachusetts  gratuity statute's language was based upon the

federal statute, see  Dutney, 348  N.E. 2d at  822 n.16,  and
                                        

because some  federal cases hold that specific  acts need not

be shown,  a similar interpretation  of the state  law should

obtain.

             Reliance  on those cases, however, is undermined

by  the fact that  the First  Circuit has  expressly reserved

ruling  on   the  question  of  whether  or  not  a  gratuity

prosecution  under the  federal statute  requires proof  of a

"causal  relation  to  any  `specific,   identifiable  act.'"

                    
                                

          any  decision or action  on any question,
          matter,   cause,   suit,  proceeding   or
          controversy,  which may  at  any time  be
          pending, or which may  by law be  brought
          before  any  public  official,   in  such
          official's official capacity, or  in such
          official's place of trust or profit.

                             -55-
                                          55


United States v. Previte, 648 F.2d 73, 82 n.8 (1st Cir. 1981)
                                    

(quoting  Niederberger, 580 F.2d  at 68-69).   Sawyer, on the
                                  

other  hand,  cites  no  federal  gratuity  cases  (or  state

gratuity  cases,  for  that  matter)  squarely  holding  that

specific  acts must be shown; although, he does cite cases in
                               

which  specific official  acts were  shown, see  e.g., United
                                                                         

States v. Biaggi, 853  F.2d 89, 99-100 (2d Cir.  1988), cert.
                                                                         

denied, 489 U.S. 1052 (1989); United States  v. Brewster, 506
                                                                    

F.2d  62, 77-78 (D.C.  Cir. 1974)).   This is  not the proper

case for us to  decide the federal issue.   Thus, we conclude

that it would be inappropriate to take any guidance here from

cases interpreting the federal gratuity statute. 

          4.  State Ethics Commission Pronouncements
                                                                

          The  Massachusetts State  Ethics Commission  is the

primary  civil  enforcement  agency  for  violations  of  the

gratuity  statute.   Mass.  Gen. L.  ch.  268B,   3(i).   The

Ethics  Commission  has the  power  and  duty to  investigate

alleged gratuity offenses, initiate  appropriate adjudicatory

proceedings, and order civil penalties if it concludes that a

violation has occurred.  Id.    4.  Upon the petition of  any
                                        

party,  a final action of the Ethics Commission is subject to

review  by  the  Massachusetts  superior   court,  which  may

enforce, modify or set aside the order.  Id.   4(k).
                                                        

          The  Ethics  Commission has  repeatedly interpreted

the  gratuity statute as forbidding gifts motivated generally

                             -56-
                                          56


by the official's authority  to act favorably for  the donor.

See In  Re  Charles F.  Flaherty,  1990 SEC  59  (Disposition
                                            

Agreement)  ("`All that  is required  to bring  [the gratuity

statute]  into play is a nexus between the motivation for the

gift and the employee's public duties'" (quoting In Re George
                                                                         

A.  Michael, 1981 SEC 59, 68)); SEC Commission Advisory No. 8
                       

"Free Passes"  (May  14,  1985) (noting  that  "even  in  the

absence of any specifically  identifiable matter that was, is

or soon  will be pending  before the official,  [the gratuity

statute] may  apply" (citing United States  v. Standefer, 452
                                                                    

F. Supp. 1178, 1183 (W.D. Pa. 1978)).

          We give the Ethics Commission's interpretation some

deference.   See Olszewski v.  Berube, 3 Mass.  L. Rptr. 297,
                                                 

1995 WL 808889 (Mass.  Super. No. 922666) (Jan. 27,  1995) at

*2 (stating that  although the Ethics Commission's  "decision

on matters within its competence is to be given great weight,

the courts are the  final interpreter" (citing Finkelstein v.
                                                                      

Board  of  Reg.  in Optometry,  349  N.E.2d  346,  348 (Mass.
                                         

1976)).  That deference, however, is tempered not only by the

fact that  no Massachusetts  court has passed  on the  Ethics

Commission's  interpretation,  but  also because  this  is  a

criminal case and the Ethics Commission is charged only  with

civil enforcement.   The Commission may very  well have valid

reasons for adopting a broad, prophylactic interpretation  of

the   statute  in   its  civil  dispositions   of  individual

                             -57-
                                          57


transgressions; its interpretation is easier to prove and the

offender  is more likely to settle with the Commission if she

does not have to admit to more egregious wrongdoing.

          Nonetheless, we note  that the Ethics  Commission's

interpretation  of  the  gratuity   statute  has  been   left

undisturbed  by   the  Massachusetts  Legislature,   and  its

interpretation   is   not    "arbitrary,   unreasonable    or

inconsistent" with  the statute.  Finkelstein,  349 N.E.2d at
                                                         

348.   Thus,  the Ethics  Commission's opinion on  the matter

further supports the conclusion  that a specific official act

need not be identified in a gratuity offense.

          5.  Conclusion: Jury Instructions
                                                       

          The absence  of a  Massachusetts court  decision on

this  issue  is troubling.    We  have carefully  considered,

however,  all  of the  authority  and  arguments on  Sawyer's

behalf,  and none of them is availing.   We also take note of

the  fact that Sawyer does  not cite a  single gratuity case,

either  federal or  state (and  we have found  none), holding

that a specific official  act must be linked to  the unlawful

gratuity.  Thus, we  conclude that the Massachusetts gratuity

statute does  not require  proof that  the offender  gave the

item  of  "substantial  value"  because   of  a  specifically

identified official  act.   Of course, the  identification of

certain official acts in relation to the gratuity  might make

                             -58-
                                          58


a  gratuity offense easier to prove, and we suspect that most

cases will include such proof although it is unnecessary.

B.  Sufficiency of the Evidence
                                           

          In  cases such  as this one,  it becomes  clear why

particular  official acts need not be shown.  The evidence at

trial showed that Sawyer  gave items (that could be  found to

be of  "substantial value") to Massachusetts  legislators who

had the ability to take official action favorable to Hancock,

and that those gifts effectively ceased after the legislators

left  office.  While the government did not detail all of the

legislators'   acts  that  were  favorable  to  Hancock,  the

government  did show  that  Sawyer had  a long-term,  ongoing

interest in the official acts of the legislators, and that he

knew his gratuities  were unlawful.  From  this evidence, the

jury  could  rationally   infer  that  the  gratuities   were

motivated by the legislators' performance of official duties,

i.e.,  that they were given  "for or because  of any official
                

act,"  within  the  meaning  of  the  Massachusetts  gratuity

statute, Mass. Gen. L. ch. 268A,   3.

C.  Evidentiary Issues
                                  

          1.  Exclusion of Skrine Memorandum
                                                        

          Sawyer  contends that  the court  unduly restricted

the  presentation of evidence  that he  entertained lawmakers

solely out  of friendship and  goodwill and he  believed that

                             -59-
                                          59


this did  not violate the gratuity  statute.25  Specifically,

he  appeals the court's  exclusion of a  document, written by

Bruce  Skrine, memorializing  Skrine's interview  with Sawyer

after the  Boston Globe's inquiry into the  Puerto Rico trip.

That  document   reflects   Sawyer's  assertion   that   such

entertainment, while  perhaps excessive in Puerto  Rico, "was

commonly done and that, [the] legislators were all friends of

his  and  that  they  were  not  in anyway  [sic]  discussing

legislation or lobbying."

          At  trial, Sawyer  did  not attempt  to offer  this

document  to  prove his  state of  mind  with respect  to his

expenditures.   In fact, he  indicated to the  court that its

admission was  not necessary because he  had already elicited

the  desired  testimony  from  Skrine.   Later  on,  however,

pointing out  that  the  document  did not  mention  that  he

entertained  to "gain access"  to legislators, Sawyer offered

it to impeach Skrine.  The court did not permit its admission

on  that basis,  but  it did  allow  Sawyer to  cross-examine

Skrine on that very  issue.  Because Sawyer did not offer the

document for the  purpose he  now asserts on  appeal, he  has

                    
                                

25.  Sawyer  also  raises  arguments  as to  his  good  faith
conduct vis  a vis the gift statute, which is not relevant to
                              
the Travel Act counts.  Such contentions would be relevant to
the mail and  wire fraud counts, which we have  reversed.  We
leave  the good  faith  issues surrounding  the gift  statute
(which are  dependent on the  evidence adduced at  trial) for
the  district   court  to  resolve  on   remand,  should  the
government choose to retry those counts.

                             -60-
                                          60


forfeited  this claim.  See United States v. Whiting, 28 F.3d
                                                                

1296,  1302 (1st  Cir.) (explaining  that evidence  must have

been offered for  the purpose asserted on  appeal to preserve

issue) (citing Tate v. Robbins & Myers, Inc., 790 F.2d 10, 12
                                                        

(1st Cir. 1986)), cert. denied, 115 S. Ct. 378, 498, 499, 532
                                          

(1994).  But because the issue may  again arise on remand, we

further  hold  that because  Sawyer  was able  to  obtain the

desired  testimony on the issue he now asserts, we would find

no abuse of discretion  in its exclusion.  See  United States
                                                                         

v.  Newman, 49 F.3d 1, 5-6 (1st Cir. 1995) (reviewing court's
                      

exclusion of evidence for abuse of discretion).26

          2.  Admission of Computer Summaries
                                                         

          Sawyer  assigns  reversible error  to  the district

court's  admission of five charts, Exhibits 1, 1Q, 1R, 1S and

1T,  proffered by the government.  Exhibit 1 was a forty-nine

page   computer   printout   summarizing  612   expenditures,

occurring  between January 1,  1986 and March  31, 1993, that

were  recorded  in  Sawyer's appointment  calendars,  expense

records and other admitted documents.  Exhibits 1Q, 1R and 1S

                    
                                

26.  Sawyer also argues that the court erroneously refused to
instruct  the  jury on  his  defense-theory that  it  was his
belief  that   if  expenditures  were   permitted  under  the
lobbying-disclosure obligations  set forth  in Mass.  Gen. L.
ch.  3,  then those  expenditures  (although they  had  to be
disclosed)  were  also allowed  under  the  gratuity statute.
Upon review of the  record, we agree with the  district court
that this instruction was  unwarranted because Sawyer did not
present any  evidence that, during the  indictment period, he
actually believed that his expenditures were permitted by the
lobbying-disclosure laws.

                             -61-
                                          61


are extracts of Exhibit  1 that isolate the  expenditures for

Representatives Woodward,  Howarth  and Emilio.   Exhibit  1T

contrasts  the amount  spent  on those  three Representatives

while they were  members of the  Legislature with the  amount

spent on them after  they left that office.   Sawyer contends

that these charts were admitted on an insufficient foundation

and that they were misleading, argumentative and prejudicial.

          Federal   Rule  of   Evidence  1006   provides,  in

pertinent part:

          The contents of voluminous writings . . .
          which cannot conveniently be  examined in
          court may  be presented in the  form of a
          chart,  summary,  or  calculation.    The
          originals  or  duplicates  shall be  made
          available for examination or  copying, or
          both, by [the other party].

Before  admitting such  evidentiary presentations,  the court

must first  ensure that each  is grounded upon  a "sufficient

factual basis," i.e., upon independently established evidence
                                

in the record, and that "possible prejudice or confusion does

not  outweigh their  usefulness in clarifying  the evidence."

United  States v.  Drougas, 748  F.2d 8,  25 (1st  Cir. 1984)
                                      

(citing J. Weinstein & M. Berger, Weinstein's Evidence   1006
                                                                  

(1983)); see  United States  v. Nivica,  887 F.2d  1110, 1125
                                                  

(1st Cir.  1989), cert. denied, 494 U.S.  1005 (1990); United
                                                                         

States  v. Sorrentino,  726 F.2d  876, 884  (1st Cir.  1984).
                                 

When a court admits such summaries,

          [c]are  must  be  taken  to  insure  that
          summaries accurately reflect the contents

                             -62-
                                          62


          of  the underlying  documents and  do not
          function  as   pedagogical  devices  that
          unfairly    emphasize    part   of    the
          proponent's    proof   or    create   the
          impression that disputed facts  have been
          conclusively    established    or    that
          inferences have been directly proved.

Drougas, 748  F.2d at 25 (citing  Weinstein's Evidence, supra
                                                                         

  1006).  We review  the admission of summaries  for abuse of

discretion.  Nivica, 887 F.2d at 1126. 
                               

          Sawyer contends that the district  court improperly

admitted the summaries because  they did not include evidence

of his expenditures on legislators before  and after the time

period  covered  in the  summaries,  or  his expenditures  of

personal funds.   He argues  that this was  unduly misleading

because  it created a "false  impression" as to  the date the

alleged  conspiracy  began,  and  falsely  implied  that  the

expenditures ended after the three named representatives left

office.  We disagree.

          The  summaries  were  based  on  evidence  that was

already independently  admitted  and  that  was  relevant  to

Sawyer's  questionable  expenditures  during  the  indictment

period.  Sawyer had the opportunity, on cross-examination, to

place  the  summaries in  context  with  his total  financial

activity.   See Nivica,  887  F.2d at  1125 (concluding  that
                                  

argument that summaries failed to, inter alia, reflect "total
                                                         

financial  activity"   "affect[s]  weight  rather   than  the

admissibility").   On  the  matters to  which Sawyer  assigns

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                                          63


undue prejudice, he had ample opportunity  to explore them on

cross-examination,  which he did.  He also could have offered

his own  contrary evidence, including his  own summary (which

he did not do).  As we stated in Nivica, 887 F.2d at 1126:
                                                   

          So long as the government, exercising due
          diligence, collects  whatever records are
          reasonably  available   and  succeeds  in
          introducing  them,  it  may be  permitted
          (subject,  of  course,  to relevancy  and
          perscrutation under Fed. R. Evid. 403) to
          summarize  the  data  it  has  managed to
          obtain.       If   defendants   possessed
          exculpatory    records    not   in    the
          government's   files,  they   could  have
          offered them at  trial or prepared  their
          own summary.  By the same token, if there
          were gaps in the  charts, the defense . .
          .  had every opportunity to exploit them.
          In the last analysis, completeness of the
          underlying records was for the jury.

We  conclude that  the summaries  were based on  a sufficient

foundation and that the court did not abuse its discretion in

admitting them.

D.  Protective Instruction
                                      

          Having rejected all of Sawyer's arguments, we think

there  is one  flaw in the  proceedings that does  have to be

addressed in the interests of justice and especially in light

of  the possibility of future prosecutions of this kind.  Our

concern arises from  the close relationship  between lobbying

activities  that are  lawful from  the standpoint  of federal

law,  even if  deplorable,  and associated  or slightly  more

extreme versions of such  conduct that can constitute federal

violations.   The problem  is, in  some respects,  novel; the

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                                          64


reason for its novelty  is that it appears  that prosecutions

on facts like these have not generally been brought.

          A review  of pre-McNally theft  of honest  services
                                              

cases and of bribery and gratuity cases under the counterpart

federal  statute,  18 U.S.C.    201,  indicates,  as we  have

already noted, that  most involved straightforward corruption

--  most often, quid pro  quo bribery or  blatant conflict of
                                         

interest.   While  the issue  in  those cases  was  typically

whether or not the conduct actually occurred, in most of them

the  alleged  conduct was  blatantly illegal.   This  case is

distinct   in  that  the  conduct  itself  may  not  be  very

different,  except  possibly  in  degree, from  the  kind  of

routine cultivation of friendship in a lobbying context that,

while arguably very unattractive, is not "bribery" within the

meaning of the Travel Act.

          The practice of using hospitality, including lavish

hospitality, to cultivate business or political relationships

is  longstanding  and pervasive.    The  government does  not

argue,   and   we  do   not   believe,   that  payments   for

entertainment,  lodging, golf,  sports events,  and the  like

would constitute  violations of the  Travel Act (or  the mail

and  wire fraud  statutes) if  the aim  of the  lobbyist were

simply to cultivate a business or political "friendship" with

the legislator.   It may  well be that  all such  hospitality

should  be flatly prohibited by  law, but if  Sawyer had this

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                                          65


limited  intent --  to  cultivate friendship  rather than  to

influence an  official  act   --  the federal  statutes  here

involved would not be violated.27

          The charge to  the jury in  this case followed  the

conventional  formula  for  prosecutions involving  political

corruption.   But  where  the difference  between lawful  and

unlawful turns primarily on intent, and the lawful conduct is

itself  most unattractive, we think the jury needs to be told

specifically that the defendant  has not violated the bribery

component  of the  Travel Act  (or committed  honest services

fraud)  if  his intent  was  limited  to  the cultivation  of

business  or political  friendship.   Only if  instead or  in

addition,  there is an intent to cause the recipient to alter

her  official  acts  may the  jury  find  a  theft of  honest

services  or the bribery predicate of the Travel Act.  Absent

some explicit  explanation  of this  kind,  the  conventional

charge will be slanted in favor of conviction.28

                    
                                

27.  See, e.g.,  United States v.  Arthur, 544 F.2d  730 (4th
                                                     
Cir. 1976); United States v. Brewster, 506 F.2d 62 (D.C. Cir.
                                                 
1974); cf. Dukehart-Hughes Tractor  & Equipment co. v. United
                                                                         
States, 341 F.2d 613 (Ct. Cl. 1965).
                  

28.  It  is not  clear whether  the government  would contend
that  a gratuity  violation involving  only a  reward for  an
official act (even without any intent to influence any future
official act) could constitute  "bribery" for purposes of the
Travel  Act.   We are  extremely doubtful whether  this would
constitute bribery  for these  purposes and  do not  read the
Second  Circuit as ruling on  this point in  United States v.
                                                                      
Biaggi, 853 F.2d 89, 100-02 (2d Cir. 1988), cert. denied, 489
                                                                    
U.S. 1052  (1989).    The  fact  that  a  gratuity  violation
involving an intent to  influence is essentially bribery, see
                                                                         

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                                          66


          In reaching this conclusion, we intend no criticism

of the able  district judge  who was coping  with a  somewhat

novel foray by the government.   But where, as here, the line

between the merely unattractive and actually criminal conduct

is  blurred,  the  court  must  take  pains  to  explain  the

difference  to the jury.   The Second Circuit  took this same

view  in a closely related  context, saying: "When an elected

official who has  received campaign contributions is  charged

with  extortion and  with receiving  bribes, the  charge must

carefully  focus  the  jury's  attention  on  the  difference

between   lawful   political   contributions   and   unlawful

extortionate payments and bribes."   United States v. Biaggi,
                                                                        

909 F.2d 662, 695-96  (2d Cir. 1990), cert. denied,  499 U.S.
                                                              

904 (1991).

          Having concluded that the jury charge was mistaken,

we must consider whether Sawyer should get the benefit of the

error.   This is a  close call.  On the  one hand, Sawyer did

not  explicitly  ask  for  the  sort  of  language  we  think

appropriate.   Ordinarily,  the failure  to make  an explicit

objection requires  the defendant to satisfy  the plain error

test of United States v. Olano, 113 S. Ct. 1770, 1777 (1993).
                                          

On  the  other hand,  a  number of  Sawyer's  objections were

                    
                                

853  F.2d  at   101,  does  not  mean   that  every  possible
application  of a gratuity statute  fits the rubric.   In all
events, if the government  intends to rely upon an  intent to
influence   theory,  our  protective   instruction  would  be
required here.

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                                          67


closely related in that they sought in several different ways

-- which we do not  accept -- to protect one engaged  in good

faith lobbying from prosecution.

          On balance, we think that the Travel Act counts, as

well  as the  mail and  wire fraud  convictions, ought  to be

reversed and retried under proper instructions.  Although the

evidence here would be adequate to infer improper intent, the

issue  is close  and  an explanatory  instruction could  well

affect  the outcome.  Also, the fact that the prosecution was

novel makes us  look more tolerantly  on Sawyer's failure  to

articulate  precisely the  shape of the  necessary protective

instruction.

          Apart from  the expense of retrial,  the government

has very  little to complain about  in this result.   We have

agreed  that  the  Massachusetts  gratuity statute  does  not

require the  government to  link the  gratuity to a  specific

official act.  We  have also found that the evidence  here is

sufficient to  convict (although  we  can imagine  reasonable

people  thinking  otherwise).    And while  we  are  somewhat

concerned about  the lack  of fair warning  of a  prosecution

such  as this one, we  see no legal  basis for precluding the

government from embarking  on what is  in practical terms  an

expansive  reading of  the  federal statutes.   Against  this

backdrop, we think it even more important that Sawyer get the

benefit of the few protections that remain.

                             -68-
                                          68


                             IV.
                                         IV.
                                            

                       Conspiracy Count
                                   Conspiracy Count
                                                   

          Sawyer was  also convicted, under  18 U.S.C.   371,

of one count of conspiracy to commit mail and wire fraud, and

to violate the  Travel Act.   The court  instructed the  jury

that it could find  Sawyer guilty of conspiracy if  it found,

beyond  a  reasonable  doubt,  that  he  conspired  with  his

supervisor, Hathaway, to commit any one of the three objects,

i.e., the  substantive offenses as  charged.  Because  all of
                

the  objects  --  mail and  wire  fraud  and  the Travel  Act

violations  -- were  erroneously charged and  instructed, the

conspiracy convictions must be reversed as well.

          Retrial  is  not  precluded   if  the  evidence  is

sufficient to  prove the existence of  a conspiracy, Sawyer's

knowledge of and voluntary participation in it, and  an overt

act in furtherance of it.   See United States v. Yefsky,  994
                                                                   

F.2d 885, 890 (1st Cir.  1993); see generally, United  States
                                                                         

v.  Frankhauser, 80  F.3d 641,  653   (1st  Cir. 1996).   The
                           

agreement  need  not  be  explicit; a  tacit  agreement  will

suffice.   Direct Sales Co.  v. United States,  319 U.S. 703,
                                                         

712-13 (1943).  To establish Sawyer's voluntary participation

in  the  conspiracy, the  evidence  must  establish both  his

intent  to agree and his  intent to effectuate  the object of

the conspiracy.   Yefsky, 994  F.2d at 890;  see also  United
                                                                         

States  v. Piper,  35 F.3d  611, 615  (1st Cir.  1994), cert.
                                                                         

                             -69-
                                          69


denied,  115 S. Ct. 1118  (1995).  Neither  the agreement nor
                  

Sawyer's  participation  in it  need  be  proven with  direct

evidence.   Glasser v. United States, 315 U.S. 60, 80 (1942);
                                                

see Frankhauser, 80 F.3d at 653.
                           

            Sawyer   contends   that    the   evidence    was

insufficient  to prove  that: (1)  he and  Hathaway knowingly

agreed   to  commit   the   offenses;   (2)  he   voluntarily

participated  in such an  agreement; and  (3) either  of them

performed any overt act in furtherance of the conspiracy.  We

disagree.   The government presented  evidence that  Hathaway

supervised   Sawyer  in   his  lobbying  activities.     From

Hathaway's receipt  of many of  the same legal  memoranda and

Massachusetts Ethics Commission rulings that Sawyer received,

a  jury could  rationally infer  that Hathaway  (an attorney,

like Sawyer)  knew and understood the  ethical obligations in

lobbying.   Some  of these  documents had  both  Sawyer's and

Hathaway's  names  on  them;  thus, a  jury  could  find that

Hathaway  and Sawyer  knew of  each other's knowledge  of the

lobbying   laws.29     Sawyer   turned   to   Hathaway,   his

                    
                                

29.  For  example, one  trial exhibit  was a  memorandum from
Sawyer to Hathaway, enclosing  a 1990 State Ethics Commission
Disposition  Agreement  with  House Majority  Leader  Charles
Flaherty.   That  agreement concerned  the giving  of Celtics
basketball game  tickets  to  Representative  Flaherty  by  a
person with  interests before him, and how that might violate
the Massachusetts  gratuity statute, Mass. Gen.  L. ch. 268A,
  3.  Sawyer and  Hathaway discussed the Flaherty Disposition
during a  meeting with Bruce Skrine  (vice president, counsel
and  secretary  for Hancock)  in  which  Sawyer and  Hathaway
expressed concern  about compliance with state  ethics law in

                             -70-
                                          70


supervisor, for  approval of his expense  vouchers.  Hathaway

performed  this  responsibility  throughout   the  indictment

period,  and  in so  doing was  the  only person  (other than

Sawyer)  to   have  detailed   knowledge   of  the   specific

legislators, often  members of  the Insurance Committee,  who

received the gifts and gratuities.

          Thus, the jury could reasonably infer that Hathaway

and Sawyer both knew that the expenditures were unlawful, and

from this, that the reason for the repeated illegal gifts and

gratuities  to  key  legislators  was  to  secretly influence

legislative  action.   Given  the  evidence  of the  repeated

submission and approval of the expense vouchers, a jury could

rationally  find that  Hathaway and  Sawyer agreed,  at least

tacitly, to  the pattern of  unlawful conduct.   Finally, the

jury  could also infer that Sawyer and Hathaway knew that the

mails and wires would be used to facilitate the entertainment

and/or reimbursement (e.g., the  mailing of bills related to,
                                      

and   the  making   of  telephone   calls  to   arrange,  the

entertainment), and that interstate travel in connection with

the entertainment (e.g., reimbursement of  out-of-state golf)
                                   

would or  had  to  occur.   The  overt acts  charged  in  the

indictment included Sawyer's giving of illegal gratuities and

Hathaway's  approval and authorization  of reimbursement, and

the evidence was sufficient to establish those acts.

                    
                                

planning for the 1993 Boston Marathon brunch.

                             -71-
                                          71


          Thus,  despite  the  underlying  legal  error,  the

evidence  was sufficient to  establish the conspiracy offense

and  a  new  trial on  this  count  is  allowable should  the

government so choose.

                              V.
                                          V.
                                            

                          Conclusion
                                      Conclusion
                                                

          Sawyer raises a number of other issues that we have

reviewed, find  to  be without  merit,  and that  warrant  no

further discussion.

          For  the  foregoing  reasons,  we  vacate  the mail
                                                               

fraud, wire fraud, Travel Act and conspiracy convictions, and

remand for proceedings consistent with this opinion.
                  

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                                          72