Opinion ID: 4310658
Heading Depth: 4
Heading Rank: 2

Heading: “Death Results” Instruction

Text: The defendants next argue that the District Court erred in its construction of the special instruction it gave the jury to determine whether the defendants qualified for the “death of the victim results” sentencing enhancement. 18 U.S.C. § 2261(b)(1). The proper construction of this instruction was an issue of first impression for the District Court and remains one for us. The defendants concede that this instruction should be reviewed for plain error. Matusiewicz Br. 66, 75. The District Court gave the following “death results” instruction as part of its “Special Interrogatory Regarding the Death of Christine Belford — Counts Three and Four” jury instruction: 31 A person’s death “results” from an offense only if that offense caused, or brought about, that death. In determining whether the particular offenses charged in Counts 3 or 4 caused Christine Belford’s death, you must affirmatively answer two questions. First, would Christine Belford’s death have occurred as alleged in the Indictment in the absence of the particular offense? Stated differently, you should decide whether Ms. Belford would have died at the New Castle County Courthouse on February 11, 2013, but for the particular offense. Second, was Christine Belford’s death the result of the particular offense in a real and meaningful way? This includes your consideration of whether her death was a reasonably foreseeable result of the particular offense and whether her death could be expected to follow as a natural consequence of the particular offense. With regard to the special interrogatories for Counts Three and Four, if you found the Defendant guilty of conspiracy under Count One it is not necessary for you to find that a particular defendant’s personal actions resulted in the death of Christine Belford. A defendant may be held accountable for the death of Christine Belford based on the legal rule that each member of a specific conspiracy is responsible for acts committed by the other members, as long as those acts were committed to help further or achieve the objective of the specific conspiracy and were reasonably foreseeable to the defendant 32 as a necessary or natural consequence of the agreement. In other words, under certain circumstances the act of one conspirator may be treated as the act of all. This means that all the conspirators may be held accountable for acts committed by any one or more of them, even though they did not all personally participate in that act themselves. In order for you to answer “yes” to the jury interrogatories for Counts Three or Four based upon this legal rule, you must find that the Government proved beyond a reasonable doubt each of the following four (4) requirements with regard to the charge at issue: First: That the defendant was a member of the conspiracy to commit the particular offense charged in Count One of the Indictment; Second: That while the defendant was still a member of the conspiracy, one or more of the other members of the same conspiracy also committed the offense charged in Count Three or Count Four, by committing each of the elements of that offense as I explained those elements to you in these instructions, and his or her acts therein resulted in the death of Christine Belford according to the instructions I have just given you. 33 However, the other member of the conspiracy need not have been found guilty of (or even charged with) the offense in question, as long as you find that the Government proved beyond a reasonable doubt that the other member committed the offense. Third: That the other member of the conspiracy committed this particular offense within the scope of the unlawful agreement and to help further or achieve the objectives of the specific conspiracy; and Fourth: That Ms. Belford’s death was reasonably foreseeable to or reasonably anticipated by the defendant as a necessary or natural consequence of the unlawful agreement. The Government does not have to prove that the defendant specifically agreed or knew that Ms. Belford’s death would result. However, the Government must prove that Ms. Belford’s death was reasonably foreseeable to the defendant, as a member of the conspiracy, and within the scope of the agreement as the defendant understood it. 34 App. 5871-72. The defendants contend that the District Court erred by giving this instruction. They contend that the instruction should have required that the jury find that there was an agreement among the defendants to cause Belford’s death.9 They also contend that under the instructions the District Court gave, the jury could not have found that the defendants caused Belford’s death. The Government argues that this instruction properly set forth the two possible ways that the jury could find that the defendants’ actions resulted in Belford’s death. These theories of liability are that: (1) Belford’s death resulted from the defendants’ personal actions if the defendants’ personal actions were the actual and proximate cause of Belford’s death, or (2) the defendants are responsible for Belford’s death under co-conspirator liability. The District Court included both theories in its jury instruction and clearly distinguished between them. With respect to the first theory, that the defendants’ personal actions were the actual and proximate cause of Belford’s death, the District Court observed that its instruction held the jury to a higher standard than it believed the law required. See App. 61. Under this theory, the instruction required that the jurors find that each defendant’s conduct was the actual cause of Belford’s death and, in the context of the proximate cause question, that the death was “the result of the particular offense in a real and meaningful way,” including whether it was “reasonably 9 While the defendants contend that the District Court’s instruction was erroneous, they do not articulate clearly a proposed alternative instruction. Instead, much of their argument retreads their sufficiency of the evidence challenge. 35 foreseeable” and “could be expected to follow as a natural consequence of the particular offense.” App. 5871. The District Court observed that it included this language “to increase the government’s burden by highlighting for the jury the need for there to exist a genuine nexus between the Defendants’ conduct and the victim’s death.” App. 61. It explained that it required this heightened burden as to proximate cause, beyond what would be typically required for a proximate cause finding in tort law, as a “necessary safeguard” for the defendants’ rights. App. 61. Because the issue of how to define for the jury the proof required to establish that the defendants’ conduct caused the victim’s death, thus triggering the “death results” enhancement under § 2261(b)(1), is one of first impression, the District Court issued a supplemental opinion explaining its reasoning for fashioning the jury instruction the way it did. See App. 5661. The District Court explained that it looked to the cases defining “death results” language in other statutes, namely Burrage v. United States, 571 U.S. 204 (2014) and Paroline v. United States, 572 U.S. 434 (2014), to form the basis for its causation instruction to the jury. The District Court then explained why it viewed the proximate cause requirement as requiring a heightened standard of proof here compared to that required under general tort law. We hold that the District Court did not err in crafting the jury instruction for the “death results” enhancement. The District Court properly followed Burrage and Paroline. In Burrage, the Supreme Court held that a “death results” sentencing enhancement in the Controlled Substances Act “is an element that must be submitted to the jury and found beyond a reasonable doubt,” because it “increased the minimum and 36 maximum sentences to which [the defendant] was exposed.” Burrage, 571 U.S. at 210. The Court noted that such language meant that “a defendant generally may not be convicted unless his conduct is ‘both (1) the actual cause, and (2) the ‘legal’ cause (often called the ‘proximate cause’) of the result.’” Id. (quoting 1 W. LaFave, Substantive Criminal Law § 6.4(a), 464-66 (2d ed. 2003)). The Court continued on to discuss the “actual cause” standard, determining that it “requires proof ‘that the harm would not have occurred’ in the absence of— that is, but for—the defendant’s conduct.” Id. at 211 (quoting Univ. of Tex. Sw. Med. Ctr. v. Nassar, 570 U.S. 338, 347-48 (2013)). The Court did not discuss the proximate cause requirement, because it held that the actual cause requirement had not been satisfied where there was “no evidence” that the conduct at issue “was an independently sufficient cause of . . . death.” Id. at 190. The Court did address in detail the concept of proximate cause in Paroline. It observed that “a requirement of proximate cause is more restrictive than a requirement of factual cause alone,” and that “proximate cause forecloses liability in situations where the causal link between conduct and result is so attenuated that the so-called consequence is more akin to mere fortuity.” 572 U.S. at 446, 448. The Court struggled to define proximate cause, noting that it “defies easy summary” and “is ‘a flexible concept.’” Id. at 444 (quoting Bridge v. Phoenix Bond & Indem. Co., 553 U.S. 639, 654 (2008)). It determined that “to say that one event was a proximate cause of another means that it was not just any cause, but one with a sufficient connection to the result.” Id. The Court observed that the proximate cause analysis in criminal and tort law “is parallel in many instances.” Id. In its discussion, the Court noted that proximate cause is typically explained “in terms of 37 foreseeability or the scope of the risk created by the predicate conduct.” Id. at 445. We hold that the District Court did not erroneously configure the portion of the “death results” instruction as to the direct theory of liability. The “actual cause” part of the District Court’s instruction appropriately tracks the “but for” causation requirement of Burrage. 571 U.S. at 211. And the District Court’s instruction on proximate cause required even a more stringent finding than that discussed by the Supreme Court in Paroline. Not only did the District Court require that the jury find Belford’s “death was a reasonably foreseeable result of the particular offense,” as is traditionally considered the proximate cause requirement, but also the District Court went further, requiring that the death result from the offense “in a real and meaningful way” and as a “natural consequence.” App. 5871. The defendants have pointed to no authority that such a standard is insufficient to satisfy the proximate cause requirement. Thus, if anything, the District Court’s instruction on proximate cause provided more protection for the defendants’ rights than necessary under Supreme Court precedent. Accordingly, it was certainly not plain error for the District Court to give this instruction. Additionally, the District Court also properly instructed the jury that they could find the defendants liable under an alternative, co-conspirator theory of liability. The District Court’s instruction on when conspirators can be held liable for the actions of their co-conspirators was not plain error as it followed this Court’s model jury instructions and precedent. See Third Circuit’s Model Criminal Jury Instruction § 7.03 “Responsibility For Substantive Offenses Committed By CoConspirators (Pinkerton Liability).” We have held that “a 38 participant in a conspiracy is liable for the reasonably foreseeable acts of his coconspirators in furtherance of the conspiracy.” United States v. Cross, 308 F.3d 308, 311 n.4 (3d Cir. 2002) (citing Pinkerton v. United States, 328 U.S. 640, 647 (1946)). This is known as the Pinkerton theory of liability. This doctrine “permits the government to prove the guilt of one defendant through the acts of another committed within the scope of and in furtherance of a conspiracy of which the defendant was a member, provided the acts are reasonably foreseeable as a necessary or natural consequence of the conspiracy.” United States v. Lopez, 271 F.3d 472, 480 (3d Cir. 2001). Accordingly, we hold that the District Court did not plainly err in following our precedent and model jury instructions when instructing the jury that it could rely on coconspirator liability. C. Substantive Challenges to the Prosecution of the Case 1. First Amendment Gonzalez argues that the indictment should have been dismissed because it violated the First Amendment. She brings an as-applied challenge to the cyberstalking statute. David joins Gonzalez’s First Amendment arguments, but does not provide any separate discussion for an as-applied challenge as to his conduct. We review constitutional claims de novo. Garcia v. Att’y Gen, 665 F.3d 496, 502 (3d Cir. 2011). Gonzalez argues that she cannot be convicted for violating § 2261A(2) because her conduct constituted protected speech under the First Amendment. She argues that her speech — which consisted of, inter alia, sending emails to her codefendants, sending correspondence to Belford and her 39 children, contacting third parties, posting polygraph results and videos with accompanying commentary — was protected because she was expressing her sincerely held belief about Belford. She contends that her speech about Belford constituted an opinion, and as such receives complete protection under the First Amendment.10 The Government 10 Gonzalez also briefly includes a vagueness and overbreadth challenge to the statute as a whole, which she supports with virtually no analysis. These challenges fail. “In the First Amendment context . . . a law may be invalidated as overbroad if ‘a substantial number of its applications are unconstitutional, judged in relation to the statute’s plainly legitimate sweep.’” United States v. Stevens, 559 U.S. 460, 473 (2010) (quoting Wash. State Grange v. Wash. State Republican Party, 552 U.S. 442, 449 n.6 (2008)). The Supreme Court has counseled that an overbreadth challenge is unlikely to “succeed against a law or regulation that is not specifically addressed to speech or to conduct necessarily associated with speech (such as picketing or demonstrating).” Virginia v. Hicks, 539 U.S. 113, 124 (2003). Furthermore, a statute is unconstitutionally vague only if it either (1) “fails to provide people of ordinary intelligence a reasonable opportunity to understand what conduct it prohibits” or (2) “authorizes or even encourages arbitrary and discriminatory enforcement.” Hill v. Colorado, 530 U.S. 703, 732 (2000). To this end, we consider whether a statute’s prohibitions “are set out in terms that the ordinary person exercising ordinary common sense can sufficiently understand and comply with.” U.S. Civil Serv. Comm’n v. Nat’l Ass’n of Letter Carriers, 413 U.S. 548, 579 (1973). Section 2261A is neither overbroad nor unconstitutionally vague. It is not targeted at “speech or to 40 argues that this statute does not violate the First Amendment because it prohibits conduct, and any speech included in its breadth falls into an exception that does not warrant First Amendment protection. The First Amendment “permit[s] restrictions upon the content of speech in a few limited areas.” United States v. Stevens, 559 U.S. 460, 468 (2010) (quoting R.A.V. v. City of St. Paul, 505 U.S. 377, 382-83 (1992)). The Supreme Court has identified certain “well-defined and narrowly limited conduct necessarily associated with speech,” but with harassing and intimidating conduct that is unprotected by the First Amendment. Thus, because “a substantial number of the statute’s applications” are not unconstitutional, it is not overbroad. Wash. State Grange, 552 U.S. at 449 n.6. And, it is not unconstitutionally vague, as it uses readily understandable terms such as “harass” and “intimidate,” and requires that a defendant intend to cause victims serious harm and in fact cause a reasonable fear of death or serious bodily injury. Thus, an “ordinary person exercising ordinary common sense can sufficiently understand and comply with” the terms of this statute. U.S. Civil Serv. Comm’n, 413 U.S. at 579. Every one of our sister Courts of Appeals to consider similar overbreadth and vagueness challenges to § 2261A has rejected them. See United States v. Conlan, 786 F.3d 380, 385-86 (5th Cir. 2015); United States v. Osinger, 753 F.3d 939, 944-45 (9th Cir. 2014); United States v. Sayer, 748 F.3d 425, 436 (1st Cir. 2014); United States v. Petrovic, 701 F.3d 849, 854-56 (8th Cir. 2012); United States v. Shrader, 675 F.3d 300, 310 (4th Cir. 2012); United States v. Bowker, 372 F.3d 365, 379-83 (6th Cir. 2004). The defendants have provided no authority or analysis to the contrary. 41 classes of speech” that can be proscribed without implicating the First Amendment. Id. at 468-69 (quoting Chaplinsky v. New Hampshire, 315 U.S. 568, 571-72 (1942)). Relevant here, these classes of speech include (1) “defamation” and (2) “speech integral to criminal conduct.” Id. at 468. As to the first class of speech, the Supreme Court has held that defamatory statements are not protected by the First Amendment, reasoning that “[r]esort to epithets or personal abuse is not in any proper sense communication of information or opinion safeguarded by the Constitution, and its punishment as a criminal act would raise no question under that instrument.” Beauharnais v. Illinois, 343 U.S. 250, 257 (1952) (quoting Cantwell v. Connecticut, 310 U.S. 296, 309 (1940)). And while statements of personal opinion are protected under the First Amendment, see Gertz v. Robert Welch, Inc., 418 U.S. 323, 339-40 (1974), “there is no constitutional value in false statements of fact,” id. at 340. False statements of fact are not protected because “[n]either the intentional lie nor the careless error materially advances society’s interest in ‘uninhibited, robust, and wide-open’ debate on public issues.” Id. (quoting N.Y. Times Co. v. Sullivan, 376 U.S. 254, 270 (1970)). As to the second class of speech, the Supreme Court has long maintained that speech integral to engaging in criminal conduct does not warrant First Amendment protection. See Giboney v. Empire Storage & Ice Co., 336 U.S. 490, 498 (1949). Thus, “[s]pecific criminal acts are not protected speech even if speech is the means for their commission.” Packingham v. North Carolina, 137 S. Ct. 1730, 1737 (2017). In Giboney, the Court held that enjoining otherwise lawful picketing activities did not violate the First Amendment where the sole purpose of that picketing was to force a company to enter an unlawful 42 agreement in violation of Missouri’s criminal antitrust laws. 336 U.S. at 501-02. The Court reasoned that such a restraint was justified because the otherwise lawful expressive activity was done for “the sole immediate purpose of continuing a violation of law.” Id. at 501. The Court “reject[ed] the contention” that “the constitutional freedom for speech and press extends its immunity to speech or writing used as an integral part of conduct in violation of a valid criminal statute.” Id. at 498. The Court reasoned that “[s]uch an expansive interpretation of the constitutional guaranties of speech and press would make it practically impossible ever to enforce laws against . . . agreements and conspiracies deemed injurious to society.” Id. at 502. We hold that 18 U.S.C. § 2261A does not violate the First Amendment as applied to Gonzalez, because she did not engage in protected speech. Her conduct was both defamatory and speech integral to criminal conduct. The defendants published false information about Belford on the internet and to third parties. Gonzalez, acting along with the other members of her family as a member of the conspiracy, defamed Belford by falsely labeling her as a mentally unfit abuser who sexually molested her own children. In addition, the members of the conspiracy defamed the children by falsely labeling them as victims of their mother’s sexual abuse. There is overwhelming, uncontradicted evidence that the accusations that Belford sexually molested and abused her children were false.11 Falsely accusing Belford of sexual assault is 11 This evidence includes: (1) the testimony of L.M.1, the child who was alleged to be abused, denying any abuse occurred; (2) medical testimony corroborating L.M.1’s denial of abuse; (3) materially inconsistent statements by the 43 unquestionably defamatory and not protected by the First Amendment. See Beauharnais, 343 U.S. at 257 (“[I]t is libelous falsely to charge another with being a rapist.”). That Gonzalez claims to have sincerely held this belief, in light of the overwhelming evidence to the contrary, does not transform such a statement of fact into an opinion. Id. As “there is no constitutional value in false statements of fact,” Gonzalez’s speech on this ground does not warrant First Amendment protection. Gertz, 418 U.S. at 340. Even if it were not defamatory, this speech is still unprotected as it falls squarely into the “speech integral to criminal conduct” exception. The defendants’ speech served no legitimate purpose other than to harass and intimidate Belford, conduct that is illegal under § 2261A. Thus, the speech was that which had a “sole immediate purpose of continuing a violation of law.” Giboney, 366 U.S. at 501. As discussed above, the evidence produced at trial sufficiently demonstrated that the defendants’ conduct was part of a course of conduct targeted at Belford, intended to cause her distress and to obtain custody of her children. Thus, Gonzalez’s internet postings and letters sent to Belford, the children, and third parties were actions that were integral to the course of conduct and the illegal purpose of the criminal cyberstalking conspiracy. As such, this conduct is not protected by the First Amendment. defendants regarding their claims of abuse; (4) the fact that the no claims of abuse were made until well after the kidnapping charges were brought; (5) testimony from Belford’s mental health providers; and (6) the analysis and conclusions found in the order of the Delaware Family Court terminating David’s parental rights and his family’s familial rights. 44 Our decision is in accord with those of our sister Courts of Appeals that have had the opportunity to consider First Amendment challenges to § 2261A. See, e.g., United States v. Conlan, 786 F.3d 380, 386 (5th Cir. 2015); United States v. Osinger, 753 F.3d 939, 947 (9th Cir. 2014); United States v. Sayer, 748 F.3d 425, 434 (1st Cir. 2014); United States v. Petrovic, 701 F.3d 849, 856 (8th Cir. 2012); United States v. Bowker, 372 F.3d 365, 379 (6th Cir. 2004), judgment vacated on other grounds, 543 U.S. 1182 (2005), reinstated in relevant part, 125 Fed. App’x 701 (6th Cir. 2005). In Petrovic, the Court of Appeals for the Eighth Circuit held that the defendant’s conduct, including making highly offensive online communications, “may be proscribed consistent with the First Amendment.” Petrovic, 701 F.3d at 856. There, the defendant had created a website through which he disseminated sexually explicit images and false statements about his ex-wife. Id. at 852. He also sent mailings to third parties who knew the victim, including her family and coworkers, which contained similar information. Id. Based on these facts, the court concluded that these communications “were integral to this criminal conduct as they constituted the means of carrying out his extortionate threats.” Id. at 855. The court reached its conclusion due to the fact that “[s]ection 2261A(2)(A) is directed toward ‘course[s] of conduct,’ not speech, and the conduct it proscribes is not ‘necessarily associated with speech.’” Id. at 856 (citation omitted). This is “[b]ecause the statute requires both malicious intent on the part of the defendant and substantial harm to the victim.” Id. In Sayer, the Court of Appeals for the First Circuit rejected a First Amendment challenge to a conviction under 45 § 2261A(2)(A). 748 F.3d at 435. There, the defendant “creat[ed] false online advertisements and accounts in [the victim’s] name [and] impersonat[ed the victim] on the internet . . . which deceptively enticed men to [the victim’s] home.” Id. at 434. The court concluded that “[t]o the extent his course of conduct targeting [the victim] involved speech at all, his speech is not protected,” because “it served only to implement [his] criminal purpose.” Id. The court went on to observe that by prohibiting “a course of conduct done with ‘intent to kill, injure, harass, or place under surveillance with intent to kill, injure, harass, or intimidate, or cause substantial emotional distress,’” the statute “clearly targets conduct performed with serious criminal intent, not just speech that happens to cause annoyance or insult.” Id. at 435 (quoting 18 U.S.C. § 2261A(2)). In Osinger, the Court of Appeals for the Ninth Circuit reached a similar conclusion. There, the defendant sent “threatening text messages” to the victim and “designed a false Facebook page and sent emails to [her] co-workers containing nude photographs of [her].” 753 F.3d at 947. The court held that “[a]ny expressive aspects of [the defendant’s] speech were not protected under the First Amendment because they were ‘integral to criminal conduct’ in intentionally harassing, intimidating or causing substantial emotional distress to [the victim].” Id. This was because the defendant was engaged in a course of conduct with the intent to harass or intimidate the victim. Id. In Conlan, the Court of Appeals for the Fifth Circuit similarly concluded that “§ 2261A does not criminalize constitutionally protected free expression.” 786 F.3d at 386. There, the defendant conducted a “year-long campaign of 46 escalating sexual innuendo, threats of physical violence, and unwanted contacts with [the victims’] family, friends, and colleagues, culminating in an interstate trip to his victims’ house.” Id. The court concluded that because “one must both intend to cause victims serious harm and in fact cause a reasonable fear of death or serious bodily injury” to violate the statute, it criminalized conduct and not free expression protected by the Constitution. Id. Each of these decisions supports our holding today. Here, what makes the defendants’ conduct violative of § 2261A(2) is not that they simply made statements expressing their beliefs about Belford, but that these statements were sent to Belford, the children, and third parties as part of an extensive, and successful, campaign to threaten, intimidate, and harass Belford. As our sister Courts of Appeals have concluded, it is the intent with which the defendants’ engaged in this conduct, and the effect this conduct had on the victims, that makes what the defendants did a criminal violation. See Conlan, 786 F.3d at 386; Osinger, 753 F.3d at 947; Sayer, 748 F.3d at 435; Petrovic, 701 F.3d at 856. Accordingly, we reject the defendants’ First Amendment challenge, and will affirm the District Court’s decision to decline to dismiss the case on First Amendment grounds. The defendants’ convictions do not violate the First Amendment. 2. Venue in Delaware The defendants also argue that the District Court did not have “jurisdiction” to preside over the case. This argument is based on the defendants’ interpretation of an order from the district court judge first assigned to the case, Judge Gregory M. Sleet, which they claim transferred the case out of the district. 47 The defendants contend that because he then recused himself, Judge Sleet was not permitted to enter a later clarifying order specifying that he did not transfer the case in this earlier order. They also argue that under the law-of-the-case doctrine, Judge McHugh, who took over the case after all of the district judges in the District of Delaware were recused, was bound to transfer the case out of the district. We review a judge’s decision to reconsider his or her predecessor’s ruling for an abuse of discretion. Fagan v. City of Vineland, 22 F.3d 1283, 1290 (3d Cir. 1994). On September 12, 2014, Judge Sleet granted the defendants’ motions for recusal, and recused himself from the case. Gonzalez’s recusal motion was titled “Motion for Transfer and Recusal,” and it requested a transfer of venue in addition to Judge Sleet’s recusal. App. 16-23. The memorandum opinion accompanying Judge Sleet’s order did not mention venue transfer. See id. The defendants argued that in addition to recusing himself, and all of the district judges in the District of Delaware, from the case, this order also transferred venue out of the District of Delaware. The Government disputed that characterization, and the parties then briefed the issue. On December 4, 2014, Judge Sleet issued an amended order that clarified that the Motion for Transfer and Recusal was granted in part, as to recusal only. App. 24. Nonetheless, the defendants filed motions to enforce Judge Sleet’s transfer of venue. On March 10, 2015, Judge McHugh issued an order, ruling on those motions to enforce, and finding that Judge Sleet never granted the venue-transfer portion of the motion to transfer. App. 25-29. The defendants argue that this was an abuse of discretion. We disagree. 48 Judge Sleet’s memorandum opinion clearly did not transfer venue, because venue transfer is not mentioned in the opinion. Because venue transfer was not discussed, Judge Sleet thus also did not identify to what judicial district venue the case was purportedly transferred or the reasons for that transfer. Without such explanations, venue could not properly be transferred. See In re United States, 273 F.3d 380, 387 (3d Cir. 2001) (requiring the district court to provide “a statement of reasons for granting the motion to transfer so that the appellate court has a basis to determine whether the district court soundly exercised its discretion and considered the appropriate factors” that contains “a sufficient explanation of the factors considered, the weight accorded them, and the balancing performed”). That this order did not and was never intended to transfer venue is confirmed by the amended order, which clarified that the prior order granted the motion only as to recusal and not as to venue transfer. We have held that “[t]he law of the case doctrine does not preclude a trial judge from clarifying or correcting an earlier, ambiguous ruling.” Fagan, 22 F.3d at 1290. That is what Judge Sleet did here. Thus, Judge McHugh did not abuse his discretion by failing to transfer venue, because Judge Sleet’s opinions make clear that venue was never transferred. D. Evidentiary Challenges We exercise plenary review over the District Court’s interpretation of the Federal Rules of Evidence. United States v. Duka, 671 F.3d 329, 348 (3d Cir. 2011). We review the District Court’s application of the Rules and its decisions to admit or exclude evidence for abuse of discretion. Id. The District Court abuses its discretion if its analysis and conclusions are “arbitrary or irrational,” or if its “decision 49 ‘rests upon a clearly erroneous finding of fact, an errant conclusion of law or an improper application of law to fact.’” United States v. Schneider, 801 F.3d 186, 198 (3d Cir. 2015) (quoting Newton v. Merrill Lynch, Pierce, Fenner & Smith, Inc., 259 F.3d 154, 165-66 (3d Cir. 2001), and United States v. Universal Rehab. Servs. (PA), Inc., 205 F.3d 657, 665 (3d Cir. 2000) (en banc)). 1. Family Court Opinion The defendants argue that the District Court erred by admitting into evidence the August 18, 2011 TPR Order from the Delaware Family Court. See App. 7827-68 (Gov. Ex. 308). By way of the TPR Order, the Delaware Family Court terminated David’s parental rights, as well as the familial rights of his sister, Gonzalez, and their parents, with respect to David’s children. The defendants argue that the TPR Order should have been excluded pursuant to Federal Rule of Evidence 403 because any probative value that it provided was substantially outweighed by the risk of unfair prejudice. They contend that factual findings as well as the statements about David contained in the TPR Order could have prejudiced the jury, since these statements were made by a judge. Further, they assert that introducing the findings of a judge would prejudice the jury because they would be likely to defer to these findings and not reach an independent verdict. The defendants also argue that the TPR Order constituted improper character evidence because it painted David as a liar and manipulator and was evidence of his prior bad acts which should not have been admissible pursuant to Federal Rule of Evidence 404(b). The defendants filed a motion in limine to have the TPR Order excluded pursuant to Rules 403 and 404(b). The District 50 Court denied the motion, and admitted the TPR Order as relevant to the defendants’ “state of mind and motive in continuing to make allegations against” Belford and as to their motive for engaging in the stalking. App. 51. The court admitted the TPR Order with a cautionary instruction. App. 51. It also further explained its ruling from the bench, after defense counsel again objected to the TPR Order being sent to the jury. App. 5753-54. The District Court made redactions to the TPR Order that were “carefully considered to remove from the jury’s consideration the evidence that would really be prejudicial.” App. 5753. The court also observed that the risk of prejudice was lessened by the fact that most of the witnesses who testified during the TPR hearing also testified at trial, and that the one who did not, Dr. Orlov, was available to be called by the defense, who chose not to do so. The District Court gave multiple cautionary instructions. The first was immediately after the TPR Order was admitted into evidence and discussed by the Government’s witness. See App. 2153-54. The court instructed that the TPR Order, which included the Family Court’s findings that David’s accusations of abuse by the children’s mother were false, “does not definitively conclude that no abuse took place because that issue is in front of the Court here.” App. 2153. The District Court went on to explain that “what you just heard about what the Family Court held might be considered as relevant to potentially a motive for future things that occurred including the stalking that the Government alleges occurred.” App. 2153-54. The court also explained that the findings “are not automatically binding on you” and should be considered in light of all the evidence that the jury hears. App. 2154. 51 The District Court provided a second cautionary instruction during the recitation of jury instructions. It cautioned the jury that [t]hese materials were allowed into evidence to provide you with background for the offenses charged here. You may consider the findings made in Family Court in determining the defendant’s state of mind, including knowledge, intent and motive with respect to the offenses charged in this indictment. You should not, however, conclude simply because the Family Court made certain factual findings that you are bound by those findings. As I’ve told you it is your duty to decide the fact from the evidence you’ve heard and seen in court during this trial. That is your job and yours only. App. 5655. Rule 403 provides that “[t]he court may exclude relevant evidence if its probative value is substantially outweighed by a danger of one or more of the following: unfair prejudice, confusing the issues, misleading the jury, undue delay, wasting time, or needlessly presenting cumulative evidence.” Rule 403 “creates a presumption of admissibility.” United States v. Claxton, 766 F.3d 280, 302 (3d Cir. 2014). In considering a challenge under Rule 403, “the trial court ‘must appraise the genuine need for the challenged evidence and balance that necessity against the risk of prejudice to the defendant.’” Gov’t of V.I. v. Archibald, 987 F.2d 180, 186 (3d 52 Cir. 1993) (internal quotations omitted) (quoting United States v. Blyden, 964 F.2d 1375, 1378 (3d Cir. 1992)). Typically, “we exercise great restraint in reviewing a district court’s ruling on the admissibility of evidence under Rule 403.” Id. However, we do not defer to the district court where “the trial judge fails to perform the required balancing and to explain the grounds for denying a Rule 403 objection.” Id. Where, as here, a district court applies Rule 403 to “determine the admissibility of Rule 404(b) evidence,” the district court “must undertake some analysis, i.e., provide ‘meaningful balancing.’” United States v. Repak, 852 F.3d 230, 246 (3d Cir. 2017) (quoting United States v. Caldwell, 760 F.3d 267, 283 (3d Cir. 2014)). The defendants contend that the admissibility of the TPR Order should be subject to plenary review, because the District Court did not sufficiently explain the reasoning of its Rule 403 ruling. We disagree. The District Court properly engaged in the requisite balancing and “articulate[d] . . . a rational explanation” for its ruling. United States v. Sampson, 980 F.2d 883, 889 (3d Cir. 1992). The District Court in fact issued a written ruling on the admissibility of the TPR Order, which noted the relevance of the evidence and acknowledged that a cautionary instruction was needed to address the concerns raised by the defendants. See App. 51. Additionally, the District Court gave further reasons for its ruling from the bench. App. 5753-54. These explanations warrant deference as they far exceed the “bare recitation of Rule 403” that we have held is insufficient to warrant deference. See, e.g., Repak, 852 F.3d at 246. The District Court explained why the TPR Order was relevant, observed that its prejudicial effect was mitigated by the redactions as well as the fact that the findings 53 in the TPR Order were based on the testimony of witnesses who either testified or were available to testify at trial, and only admitted the TPR order for a limited purpose under Rule 404(b),12 with the appropriate limiting instructions. Accordingly, we will review the Rule 403 ruling for abuse of discretion. The District Court did not abuse its discretion in admitting the TPR Order. The TPR Order was highly relevant and was a key piece of evidence in the case as it was the Government’s argument that the TPR Order was one of the main motivating factors that spurred the killing of Belford. The Government argued that David was particularly angered by the specific language used in the TPR Order. The Government, in fact, introduced a version of the TPR Order annotated with the defendants’ handwritten notes as evidence of the effect that it had on them. See App. 7323. Further, this was used as evidence that the defendants believed the Delaware Family Court had let them down, and the Government argued that the detailed examination and rejection of the defendants’ claims that the children were abused contained in the TPR Order rebuts the defendants’ central defense in this case that they were not intending to harass Belford, but were instead just attempting to raise awareness for their claims of abuse and have them be heard. The District Court did not 12 Rule 404(b) permits otherwise inadmissible character evidence to be admitted if it is used not to show a person’s character, but instead for certain limited other purposes. See Fed. R. Evid. 404(b)(2) (“This evidence may be admissible for another purpose, such as proving motive, opportunity, intent, preparation, plan, knowledge, identity, absence of mistake, or lack of accident.”). 54 abuse its discretion in admitting the TPR Order as highly relevant to the Government’s case. The prejudicial effects about which the defendants complain were mitigated by the cautionary instructions that the District Court gave to the jury. “[W]e presume that the jury will follow a curative instruction unless there is an ‘overwhelming probability’ that the jury will be unable to follow it and a strong likelihood that the effect of the evidence would be ‘devastating’ to the defendant.” United States v. Newby, 11 F.3d 1143, 1147 (3d Cir. 1993) (internal quotation marks and citations omitted) (quoting Greer v. Miller, 483 U.S. 756, 766 n.8 (1987)). We have ruled that the provision of a limiting instruction can alleviate the potential prejudice of evidence admitted over a Rule 403 objection. See, e.g., Repak, 852 F.3d at 247 (“[T]he District Court provided a limiting instruction, mitigating any concern that the jury would have used this evidence to draw a propensity inference.”); United States v. Sriyuth, 98 F.3d 739, 748 (3d Cir. 1996) (“[T]he risk of unfair prejudice was minimized by the district court’s instruction to the jury on the limited use of the sexual assault evidence.”). The District Court gave two thorough curative instructions, in addition to redacting the most prejudicial parts of the TPR Order. The jury was expressly instructed that it was not bound by anything said in TPR Order and that it was to use it in considering the defendants’ state of mind in committing the stalking offenses, and not for other impermissible purposes.13 The curative 13 Any potential prejudice from the TPR Order was further limited by the fact that, during closing arguments, the Government incorporated the cautionary instruction and qualified its arguments to explicitly note that the TPR Order was nonbinding. See App. 5442, 5593. 55 instructions here were sufficient to ameliorate the alleged unfair prejudice of which the defendants complain. Alternatively, the defendants argue that the TPR Order was unduly prejudicial because it was issued by a court and the jury would feel bound to follow the finding of a judge, even with the limiting instruction. They argue that we should follow the Court of Appeals for the Ninth Circuit’s opinion in United States v. Sine, in which that court observed “that factual testimony from a judge unduly can affect a jury” and that “jurors are likely to defer to findings and determinations relevant to credibility made by an authoritative, professional factfinder rather than determine those issues for themselves.” 493 F.3d 1021, 1033 (9th Cir. 2007). However, Sine is distinguishable. There, the government chose to present the factual findings from a prior civil case in which the defendant was involved in lieu of other evidence to prove those same facts at trial, and sought to rely on the fact that these factual findings were found by a judge, as a method of reinforcing the truth of the findings. Id. at 1035. The court held that it was improper for the government to attempt to usurp the jury’s role as a factfinder in this way, and that the admission of these findings in lieu of the direct evidence constituted inadmissible hearsay. Id. at 1033, 1036. As discussed above, none of these concerns are present here, where the Government did not attempt to present the TPR Order for the truth of the factual findings, presented the testimony of the witnesses from the TPR hearing in its case, and itself stressed the Court’s limiting instruction. In sum, in light of the limiting instruction and the redactions, we hold that the District Court did not abuse its discretion in admitting the TPR Order. 56 2. Belford’s Therapy Tapes and Emails The defendants next argue that the District Court abused its discretion in admitting Belford’s statements to her therapist as part of her therapy sessions as well as emails Belford sent to her neighbors and colleagues. The defendants argue that these statements are hearsay, and they were not properly admitted under any hearsay exception, such as Rules 803(3) and 803(4). The defendants also argue that the admission of this evidence violated their rights under the Confrontation Clause. The defendants objected at trial to the admission of this evidence. Therefore, they contend that the abuse of discretion standard should be applied. The Government argues that although this evidence was objected to, the defendants did not raise the same arguments as to its inadmissibility that they now raise, and thus we should review the admissibility of this evidence for plain error. We need not resolve this dispute, because even under the more deferential abuse of discretion standard, the District Court properly admitted this evidence.
The defendants first object to the admission of portions of recordings taken of Belford’s sixteen therapy sessions to treat her anxiety and depression with Dawn Edgar, her therapist. Edgar testified at trial, and these recordings were admitted through her testimony as evidence of Belford’s state of mind. The Government contends that they are admissible under two separate hearsay exceptions: (1) as evidence of the declarant’s state of mind, and (2) as a statement made for purposes of medical diagnosis or treatment. Fed. R. Evid. 57 803(3) & (4). Rule 803(4) provides a hearsay exception for a “Statement Made for Medical Diagnosis or Treatment,” which is defined as follows: “A statement that: (A) is made for—and is reasonably pertinent to—medical diagnosis or treatment; and (B) describes medical history; past or present symptoms or sensations; their inception; or their general cause.” Fed. R. Evid. 803(4). The defendants argue that Belford’s statements to her therapist are not covered by Rule 803(4), because this exception should not apply to statements made to mental health professionals. They contend that statements made to mental health professionals do not exhibit the same indicia of reliability as do statements made to other medical professionals. The defendants claim that these statements are unreliable because the issue of the truth of a patient’s statements regarding his or her mental condition is not as relevant for mental health professionals as it is for physical health doctors. As a result, the defendants argue that the statements were not made for “medical diagnosis or treatment,” and thus do not qualify for the Rule 803(4) exception. We disagree. We have not previously decided whether Rule 803(4) covers statements made to a mental health professional, rather than to a physician. However, the plain text of the Rule does not limit its application to statements made to a physician. Rule 803(4) focuses on the purpose for which the statement is made, not on the identity of the recipient. The advisory committee note to Rule 803(4) makes clear that statements made to a broad category of individuals other than physicians are covered by the exception, such as those made to “hospital attendants, ambulance drivers, or even members of the family.” Fed. R. Evid. 803 advisory committee 58 note to paragraph (4). There is no indication from Rule 803(4) or its accompanying advisory committee notes that it should not extend to statements made to mental health professionals. The defendants have provided no persuasive authority in support of their position. If Rule 803(4) extends to cover statements made to non-medical persons such as family members, it logically also covers statements made to other medical professionals, including those who specialize in mental health. Accordingly, we hold that the exception in Rule 803(4) applies to statements made to therapists and mental health professionals. The decisions of our sister Courts of Appeals support this conclusion, as every Court of Appeals to consider this issue has determined that statements made to a mental health professional for purposes of diagnosis or treatment qualify under the hearsay exception in Rule 803(4). See, e.g., United States v. Kappell, 418 F.3d 550, 556 (6th Cir. 2005); Danaipour v. McLarey, 386 F.3d 289, 297 (1st Cir. 2004); United States v. Yellow, 18 F.3d 1438, 1442 (8th Cir. 1994); Morgan v. Foretich, 846 F.2d 941, 949 n.17 (4th Cir. 1988); United States v. Lechoco, 542 F.2d 84, 89 n.6 (D.C. Cir. 1976), abrogated on other grounds by In re Sealed Case, 352 F.3d 409 (D.C. Cir. 2003). Belford made the statements in question to her therapist, who she was consulting for treatment of her anxiety and depression. Thus, these statements were made for “medical diagnosis or treatment.” Fed. R. Evid. 803(4)(A). These statements concerned Belford’s emotional state, including discussions of her anxiety and depression, as well as their cause. These types of statements are plainly within the confines of Rule 803(4)(B) as they are a description of 59 Belford’s “past or present symptoms or sensations; their inception; or their general cause.” Fed. R. Evid. 803(4)(B). Accordingly, we hold that Belford’s statements to her therapist were admissible pursuant to Rule 803(4).14 14 In the alternative, the Government argues that these recordings are admissible pursuant to Rule 803(3), the state of mind exception. The District Court admitted them because it found that they qualified under Rule 803(3) to show Belford’s emotional state, which was a necessary element of the charges. Rule 803(3) provides that: A statement of the declarant’s then-existing state of mind (such as motive, intent, or plan) or emotional, sensory, or physical condition (such as mental feeling, pain, or bodily health), but not including a statement of memory or belief to prove the fact remembered or believed unless it relates to the validity or terms of the declarant’s will. Belford’s statements to her therapist consist of Belford’s description of her emotional condition. As the District Court correctly observed, the recorded nature of the statements was relevant to showing Belford’s state of mind because the tenor of her voice in the recordings provided strong evidence of her emotional condition at the time. These statements were admitted to show the effect that the defendants’ stalking campaign had on Belford and her resulting emotional state, not for the truth of what she was saying. Belford’s emotional condition and state of mind are directly relevant to the Government’s burden to prove that the defendants’ actions caused her substantial emotional distress. Accordingly, this 60
The second set of hearsay challenges that the defendants bring are to emails that Belford sent to third parties. These emails concerned Belford’s emotional condition. The defendants argue that these emails were inadmissible because they contained more than just a description of Belford’s emotional state, as they also contained explanations of the facts that were the cause of that emotional state. The defendants contend that under the Rule 803(3) hearsay state of mind exception, the hearsay statements cannot encompass the facts that create the relevant state of mind. The Government contends that these emails were not admitted to show the truth of the descriptions of the defendants’ acts contained therein, but to demonstrate that Belford was aware of the acts. The Government also identifies the other admissible evidence at trial that established these acts by the defendants. Thus, it contends, any descriptions of the acts in Belford’s emails would be harmless, because these acts were already before the jury. See Gov. Br. 120 n.66 (identifying the portions of the record where the acts described in the emails were also described by other witnesses). We hold that the District Court properly admitted these emails under the Rule 803(3) state of mind exception. The emails offer Belford’s descriptions of the defendants’ acts in the context of how those acts affected her emotional state, fitting squarely within the state of mind exception. These emails demonstrate that Belford was aware of defendants’ actions and that those actions were causing her emotional distress, which evidence squarely fits within Rule 803(3) and are also admissible under that rule. 61 are both substantive elements of the cyberstalking offense that the Government was required to prove. See 18 U.S.C. § 2261A(2). Accordingly, these emails demonstrated Belford’s “state of mind” and “emotional . . . condition,” Fed. R. Evid. 803(3), and thus do not constitute hearsay. We hold that the District Court did not abuse its discretion in admitting this evidence under Rule 803(3).15
The defendants also challenge the admission of all of Belford’s statements at trial under the Confrontation Clause of the Sixth Amendment. They contend that their rights were violated by the admission of this evidence, which they contend constitutes testimony by Belford, because they were unable to cross-examine Belford at trial. The Confrontation Clause of the Sixth Amendment provides that, “[i]n all criminal prosecutions, the accused shall 15 Additionally, these statements also qualify as nonhearsay under Rule 801(c) because the Government was not offering them for the truth of the matter asserted in those statements. See Fed. R. Evid. 801(c) advisory committee note (“If the significance of an offered statement lies solely in the fact that it was made, no issue is raised as to the truth of anything asserted, and the statement is not hearsay.”); see also United States v. Figueroa, 818 F.2d 1020, 1026 (1st Cir. 1987) (“Statements proffered to show something other than the accuracy of their contents—to show, say, the knowledge or state of mind of the declarant or one in conversation with him—are not considered hearsay.” (citing VI Wigmore on Evidence § 1789 at 235 (3d ed. 1940))). 62 enjoy the right . . . to be confronted with the witnesses against him.” U.S. Const. amend. VI. A “witness” is any individual who bears “testimony” against the defendant, and such “testimony” can be contained in any functional equivalent of a witness’s incourt statements, such as affidavits or “pretrial statements that declarants would reasonably expect to be used prosecutorially.” Crawford v. Washington, 541 U.S. 36, 51 (2004). To fall within the ambit of the Confrontation Clause, proposed evidence must constitute a “statement,” and such a statement must contain testimonial hearsay, meaning that the statement was “a ‘solemn declaration or affirmation made for the purpose of establishing or proving some fact;’ and . . . was made primarily for the purpose of ‘prov[ing] past events potentially relevant to later criminal prosecution.’” United States v. Stimler, 864 F.3d 253, 272 (3d Cir. 2017) (alteration in original) (footnote omitted) (first quoting Melendez-Diaz v. Massachusetts, 557 U.S. 305, 310 (2009); then quoting Michigan v. Bryant, 562 U.S. 344, 361 (2011)). Examples of testimonial statements include “prior testimony” as well as “police interrogations.” Crawford, 541 U.S. at 68. The defendants contend that Belford’s prior statements to her therapist as presented in the recordings were testimonial in nature. They argue that a therapy session “mimic[s]” the format of a law enforcement interview of a crime victim, because both scenarios are a “structured setting” that involves questioning. Gonzalez Br. 66. They also argue that the two are similar because both involve discussions of unlawful conduct. We disagree. Belford’s statements to her therapist are not testimonial in nature. As her therapist testified, the purpose of Belford’s visits were to receive therapy to treat her anxiety 63 and depression. The purpose of a visit to a therapist is not to create a record for a future criminal case. As we discussed previously, these statements were not hearsay because they were made for the purposes of “medical diagnosis or treatment.” Fed. R. Evid. 803(4)(A). Indeed, as the Supreme Court has observed, many of the hearsay exceptions, including Rule 803(4) “rest on the belief that certain statements are, by their nature, made for a purpose other than use in a prosecution and therefore should not be barred by hearsay prohibitions.” Bryant, 562 U.S. at 362 n.9. It is clear from the record that the purpose of Belford’s visits to her therapist was not to create a record for a future prosecution that could be used as a substitute for trial testimony. Accordingly, the admission of Belford’s statements as evidence did not violate the Confrontation Clause.