Lead Opinion
In August 2005, Rebecca Barwig was indicted on one count of harboring and concealing a person wanted on an arrest warrant in violation of 18 U.S.C. § 1071 and § 2 as well as one count of making a false statement to a federal law enforcement officer in violation of § 1001. Pursuant to a plea agreement, she pleaded guilty to the false statement charge, which carries a five-year maximum term of imprisonment. § 1001. In exchange, the concealment charge was dismissed. On February 21, 2006, the district court sentenced Bar-wig to two years of probation subject to customary conditions.
A year later, a probation violation report was prepared notifying the court of violations. At a revocation hearing on June 11, 2007, Barwig admitted to certain violations and pleaded no contest to others. It is the resentencing that occurred thereafter which presents the subject matter of this appeal. In formally pronouncing sentence, the district court declared, “I am sentencing Rebecca Barwig to four months of
In early 2008, a second violation report was filed alleging Barwig had violated the terms of the June 2007 sentence. On February 13, 2008, the district court held another revocation hearing at which Barwig pleaded no contest to each allegation in the violation report. The June 2007 sentence was revoked, and Barwig was sentenced to five years’ imprisonment. Barwig appeals the five-year sentence.
At issue is whether Barwig was sentenced to supervised release or probation at the June 2007 hearing. Barwig argues that the sentence was supervised release, and as such, § 3583(e)(3) did not permit the district court to impose more than two years’ imprisonment when it revoked the June 2007 sentence. In response, the government contends that the June 2007 sentence was to a term of probation, not supervised release, and accordingly § 3565(a)(2) authorized a sentence up to the statutory maximum for the underlying conviction, which in this case is five years’ imprisonment under § 1001(a).
We agree with Barwig. Because the court’s formal oral pronouncement of her sentence at the June 2007 hearing unambiguously imposed a term of supervised release, the sentencing court committed plain error by sentencing Barwig to five years’ imprisonment when it revoked the June 2007 sentence in February 2008. Exercising jurisdiction pursuant to 28 U.S.C. § 1291, we reverse the district court and remand for resentencing.
I
The oral sentence pronounced by the court in June 2007 is determinative of this appeal. At that hearing, after Barwig admitted to various probation violations and pleaded no contest to others, the district court declared, “I intend to find that you violated your supervised release and to revoke that term.” Next, the district court informed Barwig she could receive five years’ imprisonment. Further, the district court stated, “It’s my intention, Ms. Barwig, to sentence you to ten months of confinement in BOP custody.... That will be followed by one year of supervised release.... ” Expanding on that statement, the district court explained, “I do intend to revoke your probation and sentence you to ten months in confinement.... Reimposition of a one-year term of supervised release is authorized.” Barwig then addressed the district court, said that she was “terribly sorry for [her] mistakes,” and asked the district court to “show [her] mercy and allow [her] to return home to get the counseling [she] need[ed].” She told the court that she no longer used drugs and knew she could change her life if permitted to return home.
In response to Barwig’s plea for mercy, the district judge reconsidered his initial inclination to order incarceration: “Ms. Barwig, I’m going to take a chance on you.... I’m going to sentencing [sic] you to four months home confinement and two years of supervised release on the same terms and conditions.” The district court then formally imposed her sentence:
The Court: Okay. Will you stand? I’ll impose your sentence:
Based upon the violation report, the evidence and the previously-stated findings I am determining that Rebecca Barwig has violated the terms of her probation imposed the [sic] February 21, 2006. I’m revoking that term of probation. I am sentencing Rebecca Barwig to four months of home confinement. She then will go on supervised release for a term of two years....
*855 While on supervised release you’re not to commit another Federal, state or local crime....
One week later, on June 18, 2007, the district court issued a written order entitled “Order Revoking and Reinstating Term of Probation.” The order read: “It is, therefore, by the court considered, ordered, adjudged and decreed that the defendant’s term of supervised release be revoked and reinstated, for a 2 year term of supervised release ... with the same conditions as previously imposed.”
On January 23, 2008, a second violation report was filed alleging Barwig had violated the terms of the June 2007 sentence. On February 13, 2008, the district court held another revocation hearing at which Barwig pleaded no contest to each allegation in the report. Barwig had “violated the terms of supervision imposed on June 11th of 2007,” concluded the district court, “and that term of supervision is revoked.” It then imposed the sentence: “It is the judgment of the court that the defendant is sentenced to the custody of the Bureau of Prisons for five years.”
II
Because Barwig did not raise a § 3583 objection before the district court, we review for plain error. See United States v. Ruiz-Terrazas,
A
Our ultimate inquiry is whether the district court erred in imposing the five-year sentence in February 2008. Neither party disputes that if the June 2007 sentence was supervised release, the five-year February 2008 sentence violated § 3583(e). Likewise, neither party contests that if the June 2007 sentence was probation, the district court did not err in imposing the five-year February 2008 sentence.
Our answer is determined in part by the holding that “[t]he sentence orally pronounced from the bench is the sentence.” United States v. Villano,
[t]he imposition of punishment in a criminal case affects the most fundamental human rights: life and liberty. Sentencing should be conducted with the judge and defendant facing one another*856 and not in secret. It is incumbent upon a sentencing judge to choose his words carefully so that the defendant is aware of his sentence when he leaves the courtroom.
Id. at 1452-53. If appellate courts were to comb the record in search of alternative meanings to a clearly pronounced sentence, we would undercut “important principles that underlie the traditional rule [that the orally announced sentence controls]. The legal status of the oral sentence and the right to be present at sentencing would be diluted by an intent-based approach.” Id. at 1451.
In determining whether an oral sentence is ambiguous, we consider only the words used by the sentencing court in formally pronouncing a sentence. Id. at 1450-53 & 1451 n. 3; see also Fed. R.Crim.P. 35(c) (“ ‘[Sentencing’ means the oral announcement of the sentence.”); United States v. Mendoza,
In the instant case, the court’s words in formally imposing Barwig’s sentence at the June 2007 revocation hearing were unambiguous: “I am sentencing Rebecca Bar-wig to four months of home confinement. She then will go on supervised release for a term of two years.... While on supervised release you’re not to commit another Federal, state or local crime.... ” (Emphases added). Because the district court clearly and unmistakably sentenced Bar-wig to a term of supervised release, those words must control, and the subsequent written order is trumped.
B
Despite the clarity of the formal pronouncement of Barwig’s June 2007 sentence, the dissent would search the remainder of the transcript for ambiguity. As noted, toward the beginning of the hearing, the district court told Barwig, “Based upon your admissions and the information that’s contained that’s not been contested in the violation report, I intend to find that you violated your supervised release and to revoke that term,” (emphasis added). As there is no dispute that Barwig was serving probation at the time of the June 2007 hearing, the district court could only have meant: “I intend to find that you violated your [probation] and to revoke that term.” This substitution of “supervised release” for “probation” — in a portion of the hearing addressing the sentence the district court revoked — leads the dissent to perceive ambiguity in the district court’s formal pronouncement of the sentence imposed. Relying on this supposed ambiguity, the dissent endeavors to discern the sentencing judge’s intent by looking to the June 18, 2007, written order.
But the en banc court’s decision in Villano forecloses this approach. As we explained above, our inquiry into whether there was ambiguity in that case ended when we determined that there was no ambiguity in the formal oral imposition of Villano’s sentence.
C
Because the district court imposed supervised release in June 2007, the five-year sentence imposed in February 2008 exceeded the statutory maximum under § 3583(e)(3). A sentence that exceeds the statutory maximum is an illegal sentence, United States v. Gonzalez-Huerta,
Ill
For the reasons stated, we REVERSE Barwig’s five-year sentence and REMAND for resentencing in accordance with this opinion.
Notes
. Barwig's underlying conviction for making a false statement to a federal law enforcement officer is a Class D felony. See 18 U.S.C. §§ 1001, 3559(a)(4). By statute, no more than two years' imprisonment is authorized when a defendant convicted of a Class D felony has her supervised release revoked. § 3583(e)(3). On the other hand, when a court revokes probation, it may resentence the defendant up to the statutory maximum, § 3565(a)(2), which in this case is five years' imprisonment, § 1001(a).
. Our reading of Villano differs from that of the dissent. The dissent contends that the ruling in Villano stems solely from an inconsistency between the formal oral sentence and the subsequent written order. See Dissent at 859-60. It then proceeds to conclude that Villano does not address a situation in which the purported ambiguity arose during the sentencing hearing. Id. at 859-60. We disagree. Because the en banc court reaffirmed the longstanding rule that an unambiguous oral sentence controls over a conflicting written order, Villano,
. Both sides agree that the June 18, 2007, written order is not a correction to Barwig's sentence as contemplated by Fed.R.Crim.P. 35(a), which authorizes a district court to,
. Treating the formal oral pronouncement as the sentence is consistent with the practices in other circuits. See, e.g., United States v. Penson,
The majority of out-of-circuit decisions relied upon by the dissent are not to the contraiy. See Dissent at 860-61 (citing United States v. Marchese,
Similarly, in Osborne, the ambiguity resulted from the formally pronounced oral sentence that was below the then-mandatory Guidelines range.
We acknowledge, however, that the Ninth Circuit appears to take a different approach. See United States v. Brown,
. The dissent speculates that our decision will lead to unintended or unjust results. Dissent at 860. Yet, a clear rule serves the interests of all parties. Villano laid down a clear rule: The formal oral pronouncement of sentence controls. Villano,
Dissenting Opinion
dissenting.
In United States v. Villano, this court held that “[wjhen an orally pronounced
At the conclusion of the portion of the revocation hearing when Barwig admitted the allegations of the probation violation report, the district court stated: “I intend to find that you violated your supervised release and to revoke that term.” (Emphasis added). Because it is undisputed that the underlying sentence was probation, it is clear that when the court used the term “supervised release” it really meant “probation.” The court then proceeded to state the sentence it intended to impose:
I’m finding that revocation of your supervision is mandatory pursuant to statute based on your possession of a controlled substance and your refusal to comply with drug testing.
I do intend to revoke your probation and sentence you to ten months in confinement.
In almost the next breath, after indicating his intent to “revoke [] probation,” the court stated: “Reimposition of a one-year term of supervised release is authorized.” (Emphasis added). In expressly indicating “reimposition,” the district court was necessarily referencing the violated probation, yet it used the term “supervised release.” Thus, the court again ambiguously used the term “supervised release” when it meant “probation.”
After the court heard from Barwig, it stated:
Ms. Barwig, I’m going to take a chance on you, but I want to tell you that there are no more bites at the apple to be had. I’m going to take you at your word as you sit here this afternoon, and I’m going to hold you to what you have told me. I’m going to sentencing [sic] you to four months home confinement and two years of supervised release on the same terms and conditions.
The court indicated it would take a chance on Barwig and allow her a second chance, suggesting that this sentence would be like the first, i.e., probation. Nevertheless, like it had earlier in the hearing, the court again referenced “supervised release” when it meant “probation.”
In its analysis of whether the oral sentence was ambiguous, the majority considers only the district court’s statement “I’m going to sentence] you to ... two years of supervised release.” Maj. Op. at 856. In doing so, the majority simply ignores the district court’s interchangeable, imprecise use of the two terms throughout the revocation hearing, turning a blind eye to all but this one statement. Id. at 856. The majority thereby imposes a rule that this court is limited to consideration of only the words following the district court’s now exclusively important phrase “I sentence you to” and must completely ignore the rest of the oral ruling, no matter its contents, in deciding whether an oral sentence is ambiguous. Id. at 856-57.
The majority contends this limited approach is mandated under Villano because there “[w]e focused exclusively on the moment when the district court formally imposed the sentence and did not comb the remainder of the sentencing transcript in search of ambiguity.” Id. at 856-57.
The rule now created by the majority will lead to illogical, unjust, and unintended results. For example, a district court presented with an advisory Guidelines range of 135-168 months’ imprisonment could state frequently and consistently its intent “to impose a sentence at the bottom of the Guidelines range” but ultimately, in the now singularly significant phrase, state, “I sentence you to 153 months’ imprisonment.” Even if a subsequent written order provided the intended 135-month sentence, the rule created by the majority would allow for no retreat from the unambiguous 153-month sentence.
Although the majority contends its approach is necessary because “[a] defendant must be entitled to rely on a judge’s unambiguous words,” Maj. Op. at 857, a judge’s words certainly are not unambiguous when they directly conflict with earlier statements made in the same hearing. This presumably is the reason why other courts considering this question have looked beyond the words following the phrase “I sentence you” in determining whether a sentencing ambiguity exists.
. While the court noted the defendant’s sentence differed from that of his co-defendants, there was no allegation this constituted an ambiguity. United States v. Villano,
. The majority claims a result like this can be easily avoided by a party identifying the alleged error at the sentencing hearing or by the district court through procedural mechanisms after the hearing. Maj. Op. at 858 n. 5. As is clear from this very case, however, an oral misstatement or slip of tongue by the judge during a sentencing hearing can easily be missed by both the parties and the district court. Moreover, neither the majority nor dissenter had difficulty locating cases where the parties failed to note mistakes or ambiguities in the pronouncement of sentences.
. The majority contends other circuits have adopted its approach, yet the cases it cites do not address whether a court may look beyond the words following the phrase “I sentence you” in determining whether an oral sentence is ambiguous. Maj. Op. at 857-58 n. 4. For example, in United States v. Moyles, the court concluded the words following the phrase ”1 sentence you” were themselves ambiguous and thus had no reason to look beyond these words in determining whether ambiguity existed.
. The majority claims that except for United States v. Brown, No. 97-30365,
The majority asserts the court in United States v. Marchese,
The majority also contends that in United States v. Osborne,
Finally, contrary to the majority’s assertion, in United States v. Pagan,
