Opinion ID: 9003
Heading Depth: 2
Heading Rank: 1

Heading: Selection of a Compromise Guideline

Text: 29 At sentencing, the parties argued extensively about whether U.S.S.G. § 2C1.1 or U.S.S.G. § 2C1.2 was the guideline applicable to the conduct proven. Section 2C1.1 covers the offering, giving, soliciting or receiving of a bribe, and carries a base offense level of 10. Section 2C1.2 covers the offering, giving, soliciting or receiving of a gratuity, and carries a base offense level of 7. The statutory index to the sentencing guidelines provides that both provisions are potentially applicable to convictions under 18 U.S.C. § 666(a)(1)(B). 30 After struggling with the issue at length, the district court compromised by settling upon a base offense level of 8, reasoning that the offense conduct was somewhat more culpable than a mere gratuity, but somewhat less culpable than bribery. Anticipating difficulty with its selection of a base offense level not specified in a published guideline, the district stated in the alternative that it would have departed downward in this case because (1) the defendants inherited a system of corruption that was not of their own devising; (2) the amount of money involved was, relatively speaking, not large; (3) the money collected was not intended for an unlawful purpose; and (4) the personal benefit to the individual defendants was indirect and insignificant. 31 The government contends that the district court was without authority to create a compromise base offense level. We agree. Title 18 U.S.C. § 3553 provides that the district court must impose a sentence within the range established by the Sentencing Commission for the applicable category of offense, unless the court expressly finds aggravating or mitigating factors that are not adequately taken into consideration by the guidelines. When the statutory index lists more than one potentially applicable guideline, the district court is charged with choosing from among the guidelines specified the one that is most appropriate based on the nature of the offense conduct. U.S.S.G. § 1B1.2, comment. n. 1; U.S.S.G. App. A--Statutory Index at 373; see United States v. Beard, 913 F.2d 193, 197 (5th Cir.1990). 32 While we are sympathetic to the district court's dilemma, we cannot sanction the creation of a compromise guideline provision merely because the case presents a difficult factual choice about which guideline should be applied. To do so would seriously erode the determinative nature and purpose of the sentencing guidelines. See generally, U.S.S.G. Pt. A (policy statement on basic approach of guidelines). That premise is particularly true when, as here, the offense conduct is clearly contemplated by both potentially applicable guidelines. 33 Defendants offer no authority or argument in support of the district court's creation of the compromise base offense level. Instead, the defendants argue that the resulting sentence can be justified, either because the district court settled on U.S.S.G. § 2C1.1 (level 10) and departed downward for the articulated reasons, or because the district court settled on U.S.S.G. § 2C1.2 (level 7) and departed upward for reasons not articulated. The government makes an argument premised on the alternative holding as well, asserting that the mitigating factors articulated by the district court were improper, or in the alternative, that the district court's fact findings on those issues were clearly erroneous. 34 We will not consider the district court's alternative holding. The district court's selection of an erroneous base offense level resulted in application of an erroneous guideline range. That error cannot be cured by crafting an alternative holding which posits the operation of a departure on a correctly calculated guideline range. Nor is it clear from the transcript exactly which guideline provision the district court preferred. The court's statement that it would have departed downward, and its articulation of mitigating factors support the proposition that it favored § 2C1.1, the bribery provision. On the other hand, other statements by the district court, and its selection of a base offense level closer to 7, the level provided by § 2C1.2, strongly support the view that the court was leaning more towards the gratuity guideline. Nor will we accept the government's invitation to hold that 18 U.S.C. § 666(a)(1)(B) bribery convictions must be sentenced using U.S.S.G. § 2C1.1. We do not read United States v. Santopietro, 996 F.2d 17, 20-21 (2d Cir.1993), cert. denied, --- U.S. ----, 114 S.Ct. 921, 127 L.Ed.2d 215 (1994) or United States v. Mariano, 983 F.2d 1150, 1158-60 (1st Cir.1993) as establishing any such per se rule, and we decline to establish that rule in our own Circuit. The applicable guideline in any given case is a fact-intensive determination to be made by the district court. 35 The sentencing guidelines charge the district court with the burden of selecting the guideline provision most applicable to the offense of conviction. We decline to substitute our own more detached assessment of the extensive evidence presented by both parties for the judgment of the district court, particularly where to do so would require that we engage in conjecture about the basis of the district court's alternative holding. See 18 U.S.C. § 3553 (requiring that the district court articulate reasons for departing from the applicable guideline range). Remand for resentencing is appropriate. On remand, the district court must select the appropriate guideline from among the potentially applicable published guidelines. Once an applicable guideline range is established, aggravating or mitigating factors can be considered by the district court and the basis for any departure, whether upward or downward, can be articulated in accordance with 18 U.S.C. § 3553. 36