United States v. Warren ( 1999 )


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  •                                                                                                                            Opinions of the United
    1999 Decisions                                                                                                             States Court of Appeals
    for the Third Circuit
    7-21-1999
    USA v. Warren
    Precedential or Non-Precedential:
    Docket 98-6488
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    Recommended Citation
    "USA v. Warren" (1999). 1999 Decisions. Paper 211.
    http://digitalcommons.law.villanova.edu/thirdcircuit_1999/211
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    Filed July 21, 1999
    UNITED STATES COURT OF APPEALS
    FOR THE THIRD CIRCUIT
    No. 98-6488
    UNITED STATES OF AMERICA
    v.
    JOSEPH B. WARREN,
    Appellant
    Appeal from the United States District Court
    for the District of New Jersey
    (Criminal No. 98-cr-00416)
    District Judge: Honorable Alfred J. Lechner, Jr.
    Argued May 19, 1999
    Before: BECKER, Chief Judge, RENDELL, and ROSENN
    Circuit Judges,
    (Filed July 21, 1999)
    John H. Yauch, Esq. (ARGUED)
    Assistant Federal Public Defender
    Office of the Federal Public Defender
    972 Broad Street
    Newark, NJ 07102
    Attorney for Appellant
    Shawna H. Yen, Esq. (ARGUED)
    George S. Leone, Esq.
    Assistant United States Attorneys
    970 Broad Street
    Newark, NJ 07102-2515
    Attorneys for Appellee
    OPINION OF THE COURT
    RENDELL, Circuit Judge.
    In this sentencing appeal, we are presented with the
    dilemma of sentencing a courier who brought a large
    quantity of drugs into the country but who, from the very
    inception of the transaction, was cooperating with the
    authorities, to whom he revealed his plans. The District
    Court rejected Warren's plea for special probation and,
    instead, departed upward to the maximum statutory
    penalty. Warren challenges the adequacy of notice of the
    District Court's upward departure and the sufficiency of the
    evidence supporting the grounds given for the upward
    departure, as well as the imposition of restrictions on his
    travel outside of the United States as a special condition of
    probation.1 We will reverse and remand for resentencing.
    I.
    Factual Background
    Prior to his involvement in this matter, Joseph B. Warren
    had been regularly employed with real estate, investment,
    and computer and internet companies, primarily in Israel,
    since his graduation from Cornell University in 1992. On
    June 30, 1998, Warren telephoned the Drug Enforcement
    Administration ("DEA") in Belgium, identifying himself as
    "Jack." Warren stated that he was in Israel, and that he
    had been propositioned by a drug trafficker, known only as
    "Sammy," to act as a courier to transport ecstasy, an illegal
    "designer drug," from Belgium to New York City and/or
    cocaine from Panama to Europe. Warren claimed he had
    never been involved in this type of activity before but
    "became interested" after he was offered $15,000 for the
    _________________________________________________________________
    1. Warren has raised two issues in a pro se submission: 1) he should be
    allowed to withdraw his plea; 2) his conduct is not a violation of
    criminal
    law. We have examined these arguments and determined that they are
    without merit.
    2
    task. In the course of his initial conversations with the
    DEA, he expressed his desire to cooperate with law
    enforcement officials, and a special agent informed him that
    no plan could be devised until Warren was able to provide
    additional names or until details were confirmed. Warren
    said he would call again once he had more information.
    On July 8, 1998, Warren arrived in Belgium and called
    the special agent, and the two men met. Warren reported to
    the DEA agent in the course of their meeting that he
    needed the money he was to receive as a drug courier
    "because he was several hundred thousand dollars in debt
    as the result of bank frauds and dealings with Israelis
    involved in vehicle thefts." Presentence Report ("PSR") P 9.
    Warren also reported that a flight reservation had been
    made for him on July 9, 1998. He had been told that the
    suitcase he was meant to deliver would be brought to his
    hotel in Brussels on the morning of July 9, 1998.
    After debriefing Warren, the DEA agent called a federal
    customs agent in the United States to arrange for a
    controlled delivery. Customs agreed to assist, provided
    Warren was to arrive in Newark on July 13, and not July
    9. Warren declined to follow this course of action, believing
    that it placed him in danger. The special agent then advised
    Warren to walk away from the situation, warning that a
    "lookout" would be placed on him at United States airports,
    and he would be stopped and searched if he tried to enter
    the United States. Warren stated that he would not
    continue his interactions with the drug traffickers and
    would return to the United States or Israel. On July 9,
    1998, Warren arrived in Newark International Airport and
    approached immigration officials. He stated that he had
    drugs in his possession, and customs inspectors found a
    large quantity of pills in his luggage. The drugs were seized,
    and a lab report indicated that Warren turned over
    21,269.2 tablets of ecstasy. Warren was arrested and
    charged with importation of a controlled substance, but he
    later pled guilty to simple possession of a controlled
    substance.2
    _________________________________________________________________
    2. The rationale for prosecuting a courier who cooperates with the
    authorities from the outset escapes us, but it is not for the federal
    courts
    to second-guess the U.S. Attorney's Office on its prosecutorial decisions.
    See Inmates of Attica Correctional Facility v. Rockefeller, 
    477 F.2d 375
    ,
    380-83 (2d Cir. 1973).
    3
    The PSR noted that where the base offense level under
    2D2.1 applies, a potential ground for an upward departure
    may exist under Application Note 1, on the basis that the
    drugs were not intended for use by that defendant. The PSR
    also noted that the large amount of drugs Warren had
    carried placed his case outside of the "heartland" of the
    Guidelines, and that in such a case, an upward departure
    would be appropriate pursuant to section 5K2.0. Warren
    objected to the PSR in a written submission, but he did not
    object or argue that objection in the course of the
    sentencing hearing itself.
    The PSR paints a picture of Warren as an intelligent
    young man, the product of a supportive environment with
    strong family and religious ties, who had not previously had
    any dealings with the criminal justice system. While
    regretting his conduct and accepting responsibility, Warren
    nonetheless indicated to the probation officer that he had
    not considered the possibility of spending any time in jail
    since he was "not a criminal" and was trying to help the
    police. At sentencing, Warren's attorney asked for special
    probation on the grounds that Warren had no prior
    criminal record, had the potential for a "bright future," had
    accepted responsibility for his actions, and had already
    spent two months in jail during the pendency of the case.
    The District Court viewed the situation differently, and
    departed upward, sentencing Warren to the statutory
    maximum punishment of 5 years probation. The District
    Court's stated basis for its ruling was twofold:first, that the
    drugs were not for personal consumption, and second, that
    Warren had a history of criminal conduct. The crucial
    portion of the sentencing transcript reads as follows:
    Despite warnings to you, clear, unequivocal warnings,
    you chose to board a plane to this country and carry
    6,239 grams of Ecstasy with you, an extraordinary
    amount of drugs. Clearly not for personal
    consumption. As I've said, a one year term of probation
    and expungement of your record is insufficient given
    the circumstances of this case; the warnings that were
    given to you, the entire volitional conduct. The unusual
    circumstances were taken into consideration by the
    Government when affording you this plea. Again,
    4
    although I recognize I have the right to do this, I reject
    it, utterly reject it.
    I'm going to place you on probation, but I'm going to do
    so pursuant to an upward departure that these drugs
    were not for personal consumption, and I make that
    finding in light of the amount, extraordinary amount of
    drugs you carried into this country. The fact that as
    you candidly indicate in the presentence report,
    paragraph nine . . . you needed money because you
    were several hundred thousand dollars in debt as a
    result of bank frauds and dealings with Israel, also
    involved in vehicle thefts. You have a history of
    criminal conduct by your own admission. You need
    supervision. Pursuant to the Sentencing Reform Act of
    1984, and Section 5K2.0, it is my judgment that you
    are placed on probation for a period of five years. . . .
    You are to refrain from applying for a passport and
    restrict your travel to the United States. A. at 76-77.
    Warren had a criminal history category of I, so the
    District Court's decision to depart upward added four
    offense levels to Warren's offense calculation, taking it from
    two to six, to impose the five years of probation. See
    S 5B1.2(a)(1). The government argues that the District
    Court was justified in its upward departure under section
    2D2.1 based on the defendant's intent not to consume the
    drugs personally. Warren argues that the District Court
    improperly departed upward based on section 2D2.1, but
    also based upon uncharged criminal conduct. We conclude
    that both grounds were relied upon by the District Court in
    its departure decision.
    We have jurisdiction pursuant to 28 U.S.C. S 1291 and
    18 U.S.C. S 3742. A District Court's decision to depart
    under the Sentencing Guidelines is reviewed for abuse of
    discretion, and deferential review is accorded to the extent
    of the departure. See United States v. Baird, 
    109 F.3d 856
    ,
    862, 871 (3d Cir. 1997). If no objection was made, review
    is for plain error. See United States v. Paslay, 
    971 F.2d 667
    ,
    674 n.13 (11th Cir. 1992). The imposition of a special
    condition of probation or supervised release is reviewed for
    an abuse of discretion, but absent an objection, review is
    for plain error. See United States v. Crandon, 
    173 F.3d 122
    ,
    5
    127 (3d Cir. 1999), petition for cert. filed , (U.S. June 19,
    1999) (No. 98-9838); United States v. Fabiano , 
    169 F.3d 1299
    , 1307 (10th Cir. 1999), petition for cert.filed, (U.S.
    June 3, 1999) (No. 98-9770); United States v. Voda, 
    994 F.2d 149
    , 153 (5th Cir. 1993).
    II. Discussion
    A. Upward Departure
    Warren challenges the upward departure on a variety of
    grounds. First, he claims that the District Court did not
    articulate reasons for its departure. We disagree. The
    District Court did articulate reasons for its upward
    departure. He also contends that the evidence before the
    District Court did not provide a sufficient basis for either
    ground of the upward departure. As we discuss more fully
    below, we agree with Warren's contentions. He also argues
    that he did not have adequate notice of the grounds for the
    upward departure. We do not need to reach this argument,
    given our agreement with his view that the upward
    departure itself was not supported by the record.
    1. Upward Departure Based on Quantity of Drugs under
    Section 2D2.1 or Section 5K2.0
    In departing upward, the District Court relied in part
    upon Application Note 1 to Section 2D2.1, which states:
    The typical case addressed by this guideline involves
    possession of a controlled substance for the
    defendant's own consumption. Where the
    circumstances establish intended consumption by a
    person other than the defendant, an upward departure
    may be warranted.
    Therefore, a court may consider an upward departure if
    a defendant is charged with possession of a controlled
    substance and the "circumstances establish intended
    consumption by a person other than the defendant." In
    other words, the departure would be appropriate if it is
    shown, or can be inferred, that the defendant intends to do
    something more than merely possess the drugs. Warren
    6
    argues that he was only trying to help the police and did
    not intend that the drugs would be distributed on the
    street. Therefore, he contends, Application Note 1 to Section
    2D2.1 does not apply to him, because that Guideline
    provision is meant to apply to persons who intend to
    distribute or share the drugs they bring into the country.
    Although Warren did not object to the imposition of the
    upward departure at the sentencing hearing, we find that
    he adequately preserved his objections to the upward
    departure under section 2D2.1 via his response to the PSR.
    See United States v. Pardo, 
    25 F.3d 1187
    , 1193 (3d Cir.
    1994). As a result, we will review this departure
    determination for abuse of discretion. See Baird , 109 F.3d
    at 862, 871.
    The government argues that: 1) the Application Note to
    Section 2D2.1 is an encouraged factor under the
    Guidelines, and hence serves an acceptable basis for
    departure under a reading of the circumstances of the case;
    or 2) that the sheer quantity of drugs alone is a sufficient
    ground for an upward departure under Koon, as the
    quantity of drugs possessed takes Warren's case outside of
    the "heartland" of drug possession cases. 3 In so arguing,
    the government relies on prior statements by this court
    indicating that quantity alone can serve as an appropriate
    ground for an upward departure when a defendant has
    been charged with possession of a controlled substance.
    See United States v. Collado, 
    975 F.2d 985
    , 990 n.4* (3d
    Cir. 1992); United States v. Ryan, 
    866 F.2d 604
    , 608-10 (3d
    Cir. 1989). Other courts have also indicated that an upward
    departure based upon drug quantity alone is appropriate in
    drug possession cases. See United States v. Vasquez, 909
    _________________________________________________________________
    3. If a particular factor is not mentioned in the guidelines, that does
    not
    mean that departure on the basis of that factor is precluded. Rather,
    Koon "authorizes district courts to depart in cases that feature
    aggravating or mitigating circumstances of a kind or degree not
    adequately taken into consideration by the commission" in formulating
    guidelines to apply to a "heartland" of cases. Koon v. United States, 
    518 U.S. 81
    , 94 (1996). A sentencing court is free to consider, in an unusual
    case, whether or not the factors that make it unusual are present in
    sufficient kind or degree to warrant a departure. See, e.g., United States
    v. Nolan-Cooper, 
    155 F.3d 221
    , 224 (3d Cir. 1998).
    
    7 F.2d 235
    , 242 (7th Cir. 1990) ("an upward departure from
    the guideline for simple possession of narcotics, which does
    not refer to drug quantity, may be based on drug quantity
    where the amount possessed is atypical"); United States v.
    Crawford, 
    883 F.2d 963
    , 964 (11th Cir. 1989); cf. United
    States v. Correa-Vargas, 
    860 F.2d 35
    , 38 (2d Cir. 1988). As
    such, the government argues that Warren's ultimate
    intention to turn the drugs over to law enforcement does
    not matter, for he also intended to do so on his own terms.
    Although the above cases reflect several courts'
    willingness to look to the quantity of drugs involved when
    departing upward in drug possession cases, these cases
    have neither relied on nor interpreted Application Note 1 of
    Section 2D2.1. In turning to the case at hand, wefirst
    observe the notable absence of case law interpreting
    Application Note 1 of section 2D2.1 since the guidelines
    were amended to include it in 1997. We surmise that this
    lack of discussion is because the language and import of
    this particular note are clear, dictating that in the case of
    a simple possession offense, a district court should also
    look to the circumstances presented by the record before it
    to determine whether an upward departure is warranted.
    This record contains no evidence of "circumstances" that
    establish intended consumption by another within the
    meaning of Application Note 1. Rather, the record evidence
    of intent consists of proof that Warren had no intent to do
    anything with the drugs other than turn them over to law
    enforcement authorities. That he was not compliant with
    the government's preferred modus operandi in terms of
    when and where he was to turn the drugs over does not
    alter the fact that the record is devoid of any evidence that
    would be probative of intent by Warren to distribute or
    share the ecstasy carried in the suitcase. In the face of this
    lack of evidence, and in the face of actual proof of intent to
    turn in the drugs to the government, the quantity of drugs
    lacks significance for purposes of sentencing.
    In so stating, we are not contravening the statements we
    have made in Collado and Ryan regarding drug quantity
    and the propriety of upward departures based on quantity
    of drugs under section 5K2.0. Large quantities of drugs can
    clearly take a routine possession case out of the heartland,
    8
    and thereby justify a departure under section 5K2.0.
    However, the rationale for distinguishing such an offense
    from the "heartland" of possession cases is not dependent
    on quantity per se, but, rather, on what quantity connotes.
    See 
    Ryan, 866 F.2d at 605
    (departure based upon quantity,
    packaging, and purity of drugs). Large quantities of drugs
    are relevant to sentencing determinations in possession
    cases only to the extent that they indicate the high
    probability that the drugs were intended not for mere
    possession, but for distribution to others. However, where
    the sole evidence of intent negates the normal inferences to
    be drawn from the sheer quantity of drugs possessed, the
    inferences that may normally be permissibly drawn from
    quantity are improper. In this case, the record evidence is
    unequivocal that not only did Warren not intend that
    anyone consume the drugs he carried, but also that he
    intended to turn those drugs over to government agents
    and did so. In such a situation, we conclude that the
    District Court abused its discretion in utilizing Application
    Note 1 of Section 2D2.1 or 5K2.0 as a basis for an upward
    departure based on quantity of drugs.
    2. Evidentiary Basis of Criminal Conduct as a Basis for
    the Upward Departure
    Warren also attacks the District Court's reliance on a
    paragraph in the PSR as the evidentiary basis for the other
    ground for upward departure, namely uncharged criminal
    conduct. As he did not object to the upward departure
    based on uncharged criminal conduct, he must
    demonstrate plain error. See United States v. Dozier, 
    119 F.3d 239
    , 244 (3d Cir. 1997). The government argues that
    a court may consider any information concerning the
    background, character, and conduct of the defendant in
    sentencing a defendant, and that the information regarding
    his other criminal activity was properly considered by the
    District Court. U.S.S.G. S 1B1.4; U.S.S.G. Ch. 1, Pt. A, 4(b).
    While we do permit reference to such information in
    sentencing a defendant, a district court should consider
    only reliable information about the defendant and his
    background and character. Although the Federal Rules of
    Evidence do not apply in sentencing proceedings,
    9
    information "used as a basis for sentencing under the
    Guidelines must have `sufficient indicia of reliability to
    support its probable accuracy.' " United States v. Miele, 
    989 F.2d 659
    , 664 (3d Cir. 1993). We have stated that this
    standard should be applied rigorously. See United States v.
    Brothers, 
    75 F.3d 845
    , 848 (3d Cir. 1996). In analyzing an
    upward departure, we must therefore assure ourselves that
    such a departure rests on a reliable evidentiary basis. See
    Gambino v. Morris, 
    134 F.3d 156
    , 162 (3d Cir. 1998), citing
    United States v. Cammisano, 
    917 F.2d 1057
    , 1061 (8th Cir.
    1990); United States v. Cantu-Dominguez, 
    898 F.2d 968
    ,
    970-71 (5th Cir. 1990).
    In sentencing Warren on the basis of uncharged criminal
    conduct, the District Court appears to have relied entirely
    on paragraph nine of the PSR, which stated: "During the
    meeting [with a DEA agent] Warren claimed he was to
    receive $15,000 for acting as a drug courier, and that he
    needed the money because he was several hundred
    thousand dollars in debt as the result of bank frauds and
    dealings with Israelis involved in vehicle thefts." By its own
    terms, the statement is equivocal; it is unclear therefrom
    whether Warren was the perpetrator or the victim of the
    frauds recited. The statement is not attributed or sworn
    and appears to be second-hand hearsay. A district court
    "can give a high level of credence to hearsay statements"
    and can even credit hearsay over sworn testimony
    "especially where there is other evidence to corroborate the
    inconsistent hearsay statement." See Brothers , 75 F.3d at
    848. This statement, however, whatever its import, is too
    ambiguous and attenuated a basis for this particular
    ground for an upward departure. Neither this statement,
    nor the purported conduct, was the subject of any
    discussion or argument at the sentencing hearing itself; it
    was not detailed or corroborated in any manner. Further,
    the PSR paragraph does not contain sufficient detail or
    other indicia of reliability that would provide an adequate
    basis for the District Court to rely upon it in departing
    upward. This is not to say that a district court can never
    rely on facts set forth in a PSR as the basis for an upward
    departure, but a district court cannot, as here, merely
    extrapolate from such ambiguous statements contained in
    a paragraph in the PSR, without more, as a basis for an
    10
    upward departure. There should be some offer of proof or
    evidence to accompany that statement before it may form
    the basis for an upward departure.
    Because the bases for the upward departure did not have
    sufficient evidentiary support, we will vacate the District
    Court's order and remand for resentencing. In so doing, we
    note another aspect of this case that is apparent from the
    District Court's sentencing colloquy and from the tenor of
    the government's argument on appeal. Both cast the
    defendant in a negative light, and unusually so,
    presumably based on his conduct or attitude in this case.
    While we do not condone Warren's actions, we do not view
    them as implicating his credibility in a way that would
    undermine the record regarding his intent. The District
    Court did not voice any criticism directed at his veracity,
    but attacked instead his decision to act on his own,
    contrary to the government's wishes. While Warren's
    position -- that he did not want to walk away from the drug
    dealers, or change his travel date for fear of his own safety
    -- seems plausible, perhaps Warren was playing fast and
    loose with the government, and we do not preclude the
    District Court from permitting further development of the
    record in its discretion, should the argument or questions
    on remand dictate. See United States v. Dickler , 
    64 F.3d 818
    , 831-32 (3d Cir. 1995); see also United States v.
    Walker, 
    149 F.3d 238
    , 243 (3d Cir. 1998).
    B. Travel Restriction as a Special Condition of Probation
    Warren also challenges the District Court's imposition of
    a bar to his travel outside of the United States as a special
    condition of his term of his probation. A court may impose
    a special condition of probation to the extent that any such
    condition is reasonably related to factors set forth in
    Section 3553(a)(1) and (2),4 and to the extent that such
    _________________________________________________________________
    4. Section 3553(a)(1): the nature and circumstances of the offense, and
    the history and characteristics of the defendant;
    Section 3553(a)(2): the need for the sentence imposed (A) to reflect the
    seriousness of the offense, to promote respect for the law, and to provide
    just punishment for the offense; B) to afford adequate deterrence to
    criminal conduct; C) to protect the public from further crimes of the
    defendant; and D) to provide the defendant with needed educational or
    vocational training, medical care, or other correctional treatment in the
    most effective manner.
    11
    conditions involve only such deprivations of liberty and
    property as are reasonably necessary to fulfill the purposes
    of probation. 18 U.S.C. S 3563(b). Standard conditions of
    probation include restrictions on a defendant's right to
    travel. See 18 U.S.C. S 3563(b)(13) & (14) (limiting where a
    defendant may reside, and requiring a defendant to remain
    within the jurisdiction of the court unless granted
    permission to leave by the court or a probation officer).
    Courts have also allowed for particularized travel
    restrictions as special conditions of probation. See, e.g.,
    United States v. Friedberg, 
    78 F.3d 94
    , 97 (2d Cir. 1996);
    United States v. Pugliese, 
    960 F.2d 913
    , 915-16 (10th Cir.
    1992). In determining what constitutes a sufficient record
    to uphold a probation condition, courts have looked to
    whether a court has made any explicit factual findings, or
    to whether the record before the court suggests reasons for
    the restriction that would serve the aims of probation. See
    United States v. Porotsky, 
    105 F.3d 69
    , 71-72 (2d Cir.
    1997); 
    Friedberg, 78 F.3d at 96-97
    ; Voda , 994 F.2d at 153.5
    As noted above, the courts of appeals have consistently
    required district courts to set forth factual findings to
    justify special probation conditions. In Friedberg, a case
    decided under the Federal Probation Act, the defendant Igor
    Porotsky, a Russian emigre, pled guilty to conspiracy and
    attempted tax evasion from a gasoline bootlegging scheme.
    The defendant had been granted permission to travel to
    Russia prior to his guilty plea, but his requests to travel to
    Russia during the term of his probation had been denied
    without explanation by the district court. See 
    id. at 95-96.
    The district court then denied a travel request on the basis
    that the defendant posed an enhanced risk of flight. See 
    id. at 96.
    On appeal, the court found that the district court
    had not considered whether the denial of the travel request
    _________________________________________________________________
    5. Warren argues in passing that he did not receive adequate notice of
    the probation condition. Courts have been reluctant to include
    conditions of supervised release or probation within the disclosure
    requirements of Burns, apart from requiring notice in instances of
    community notification provisions for sex offenders, and we do not see
    a reason to extend the rationale of Burns to cover travel restrictions.
    See,
    e.g., United States v. Coenen, 
    135 F.3d 938
    , 940-45 (5th Cir. 1998);
    United States v. Mills, 
    959 F.2d 516
    , 518-19 (5th Cir. 1992).
    12
    served the aims of probation, and remanded with
    instructions to make appropriate factual findings as to
    whether the denial of the travel request served those aims.
    See 
    id. at 96-97;
    see also 
    Porotsky, 105 F.3d at 72
    (finding
    that mere recitation of twin aims of probation by the
    district court was not a sufficient finding for denial of a
    travel request, and remanding with directions for the
    district court to grant the request). Compare United States
    v. Beech-Nut Nutrition Corp., 
    925 F.2d 604
    , 607-08 (2d Cir.
    1991) (denying defendant permission to travel to Europe to
    pursue job opportunities appropriately satisfied objectives
    of probation).
    At the very least, the record below must contain evidence
    that would support the imposition of a special condition of
    probation, even if the district court fails to set forth its
    findings and justifications. In Voda, the defendant had been
    charged with one count of negligent discharge of a pollutant
    and he challenged the court's condition that he not possess
    a firearm during his probation term. The district court had
    given no reason on the record for imposing the condition,
    nor was there any reason suggested by the PSR or apparent
    in the record before the court. 
    See 994 F.2d at 153
    . The
    court noted that although prohibition of firearm possession
    was a permissible discretionary condition of probation, this
    case did not present circumstances that would support the
    imposition of such a prohibition. See 
    id. The court
    found
    that because the defendant was charged with a nonviolent
    offense, and the PSR did not indicate that he had violent or
    dangerous tendencies, or any past history of aggressive
    behavior, a firearm prohibition was not required to meet the
    purposes of probation. See 
    id. at 153-54.
    These cases indicate that in order to impose a special
    condition of probation, a district court should engage in an
    inquiry which results in findings on the record to justify
    that condition, and to indicate how that condition meets
    the statutory purposes of probation. We will affirm only if
    the district court has made such findings, or we can
    determine from the record a sufficient evidentiary basis for
    the special probation condition. In imposing the special
    condition of probation in this case, the District Court did
    not make findings in support of the travel restriction, nor
    13
    did it indicate how the restriction fit within the statutory
    aims of probation. Further, we cannot, on the record before
    us, ascertain any viable basis for the travel restriction in
    the record before the District Court in order for us to
    proceed to determine, on our own, whether the restriction
    satisfies the aims of probation. Even if we were to assume
    that the probation condition stemmed from Warren's
    alleged prior criminal conduct in Israel, we have found a
    mere reference to this supposed conduct to be an
    insufficient and unreliable basis on which to rest an
    upward departure. The travel restriction in this case suffers
    from a similar insufficiency, as it springs from reasons that
    are not supported in the record below.
    While we share the District Court's impression that it
    would probably be in Warren's best interest that he not
    revisit his old "stomping grounds" in Israel, where his
    troubles began, in view of the inadequacy of the record, we
    cannot let the travel restriction stand. Should the District
    Court decide on resentencing that the travel restriction is
    appropriate to meet the aims of probation, it should set
    forth findings that support that conclusion.
    For the foregoing reasons, we will vacate the sentence
    and remand for proceedings consistent with this opinion.
    A True Copy:
    Teste:
    Clerk of the United States Court of Appeals
    for the Third Circuit
    14
    

Document Info

Docket Number: 98-6488

Filed Date: 7/21/1999

Precedential Status: Precedential

Modified Date: 10/13/2015

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