United States v. Isabella
Opinion
Rande Isabella was convicted under
I. BACKGROUND
A. Factual Background
In September 2013, Mr. Isabella began chatting with S.F., a 14-year-old high school student, through a mobile application called Minus. For the next three months, they communicated via cellular telephone, a messaging application called Kik, and e-mail. Mr. Isabella and S.F. developed a flirtatious relationship and called each other boyfriend and girlfriend. Mr. Isabella used pet names like "baby," "angel," and "princess" when communicating with S.F. They chatted about sex and sent each other pictures, including nude pictures of themselves. During the early period of their communications, they chatted nearly every day. When S.F.'s mother discovered the sexual chats and pictures, she contacted the police, who obtained a search warrant for Mr. Isabella's home. The officers seized Mr. Isabella's phone and extracted messages and images from it. After executing the search, authorities arrested Mr. Isabella.
B. The Indictment
A federal grand jury indicted Mr. Isabella on four counts, two concerning his interactions with S.F. (Counts 1 and 2), and two based on his interactions with an undercover officer posing as a minor (Counts 3 and 4). The charges were:
Count 1: Persuading and attempting to persuade S.F. to engage in sexual activity for which any person can be charged with a criminal offense, in violation of18 U.S.C. § 2422 (b).
Count 2: Attempting to produce child pornography, in violation of18 U.S.C. § 2251 (a) and (e), in his interactions with S.F. 2
Count 3: Persuading and attempting to persuade an undercover officer posing as a minor to engage in sexual activity for which any person can be charged with a criminal offense, in violation of18 U.S.C. § 2422 (b).
Count 4: Attempting to produce child pornography, in violation of18 U.S.C. § 2251 (a) and (e), in his interactions with an undercover officer posing as a minor.
ROA, Vol. I at 13-15.
C. The Trial
Mr. Isabella's trial took 11 days. We detail the relevant evidence from: (1) the *825 Government's case-in-chief; (2) the defense's case, including Mr. Isabella's testimony; and (3) the Government's rebuttal.
1. The Government's Case-in-Chief
The Government called 11 witnesses in its case-in-chief. Most relevant for this appeal was the testimony of S.F., P.F. (S.F.'s mother), and Homeland Security Special Agents Michael Thomas, 3 Paul Anderson, and Vanessa Wright.
a. S.F.'s testimony 4
S.F. testified at trial. She read the chats aloud and explained the nature of her relationship with Mr. Isabella. According to S.F., Mr. Isabella told her that he would send her a phone but she "must keep it hidden away until a designated time we set." ROA, Vol. VIII at 373. He also asked her if she could use Skype, Kik, and a variety of other messaging applications instead of text messages. He said, "We really should text on [Kik]. Safer. And you promise you will always protect me no matter what?"
i. Age discussions
S.F. testified that, early in their communications, she told Mr. Isabella she was 14 years old. Mr. Isabella asked S.F. if she had a boyfriend and if she was okay with a "big older man."
S.F. asked Mr. Isabella how old he was. He responded that he was "nearly 3 times [her] age" and then stated that he was "39 and 11 months."
5
ii. Meeting discussions
Mr. Isabella lived in Ohio. S.F. lived in Colorado. The two never met prior to trial, but they discussed meeting. On one occasion, Mr. Isabella said, "Haha. Come see me and we will party for dayzzz!!"
iii. Sexual discussions
S.F. testified that if she had stayed with Mr. Isabella in the hotel, she thought they would have had sex. At one point, Mr. Isabella informed S.F. that he was aroused and S.F. responded, "U said u wish I could see what u do to me so show me."
*826 iv. Picture discussions and exchanges
When Mr. Isabella sent S.F. the picture of his penis, he did so after stating that he was aroused. He said, "Ask me for a pic. Be specific."
Mr. Isabella also asked S.F. for pictures. He requested pictures of "[her] pretty face," and she sent them.
Eventually, S.F. sent Mr. Isabella sexual photos. Mr. Isabella stated, "And wait a min. I sent you a pic of my manhood. And what have you sent meeeeee? Hehehehh."
Mr. Isabella responded to the picture, "That is youuuuu???" and "Sooooo nice!! Got one with face?"
Id.
at 314. Then, "Reaaaally want a somewhat naughty pic with your face. Hahaaa. You doin homework?"
v. Cross-examination
On cross-examination, S.F. admitted that she lied to investigators about her interactions with Mr. Isabella. She initially told investigators that Mr. Isabella (1) had presented himself to her as a 17-year-old boy named Kyle, (2) had threatened to hurt her sister if she did not send him pictures, and (3) had made her take the photos. At trial, defense counsel asked, "And you had just said that it wasn't true. What part wasn't true?"
*827 b. Special Agent Vanessa Wright's testimony
Vanessa Wright, a special agent with the Department of Homeland Security, investigated Mr. Isabella as an undercover agent ("UCA"). She posed as a 15-year-old girl and initiated internet communications with Mr. Isabella in December 2013. The communications quickly turned sexual. At one point, Mr. Isabella asked her if she would stay in a hotel with him and suggested he could meet the UCA in Florida. He also asked for pictures and video from the UCA on multiple occasions, including a video of her stripping and pictures of her vagina.
c. Special Agent Paul Anderson's testimony
Paul Anderson, a Homeland Security Investigations Special Agent, conducted a forensic search of S.F.'s phone. He explained how the phone's call log works and presented the history of outgoing and incoming calls between S.F.'s phone and Mr. Isabella's phone. He also detailed the emails, pictures, and chats between S.F. and Mr. Isabella that he extracted from the phone. Those communications were entered into evidence.
Special Agent Anderson also conducted a forensic analysis of Mr. Isabella's phone and computer, which were seized during a search of his Ohio home. On direct examination, he explained the chats, emails, and pictures between Mr. Isabella and S.F. that he extracted from the phone. Those communications also were entered into evidence.
2. The Defense's Case
Mr. Isabella testified over the course of three days. His expert, Dr. Mark Mills, was the only other witness who testified for the defense.
a. Mr. Isabella's testimony
Mr. Isabella explained his online dating habits, including his use of websites called "Plenty of Fish" and "O.K. Cupid," which allowed individuals over the age of 18 to meet online. He testified that Plenty of Fish users could only search for other individuals within 100 miles. He explained that users on those dating sites would sometimes pose as people that they were not, a term he called "catfishing." 8 When Mr. Isabella suspected users of catfishing, he testified that he tried to speak to them on the phone or through a live video communication program like Skype to verify their identity.
Mr. Isabella explained that he also used the internet for sexualized fantasies. He stated that he enjoyed the anonymity of the internet: "You can hide behind a handle and say anything you want, be anyone you want to be." ROA, Vol. VIII at 927. He testified about his sexualized fantasies and chats with individuals over the age of 18, some of whom had sent him nude photos. Many of these photos, Mr. Isabella testified, did not show the face of the individual sending them.
When presented at trial with the transcripts of his sexualized conversations with S.F., Mr. Isabella stated that they were consistent with his fantasies he discussed with other adults on dating and other social sites. He stated that he believed S.F. was "an adult, a college-aged person who can get up and move whenever they want."
Mr. Isabella also testified about his interactions with Special Agent Wright, the UCA who found him on Facebook. When they began to chat, the UCA stated she was 15 years old. Mr. Isabella testified that he thought she was "catfishing" him and did not believe her age.
Finally, Mr. Isabella testified about his interactions with M.E., an individual he met on O.K. Cupid. He explained that M.E.'s profile indicated she was 18 years old but that she "seemed to vacillate between 17 and 18 at times."
b. Dr. Mills's testimony
Dr. Mark Mills, an expert psychiatrist, testified after watching Mr. Isabella's testimony and reading the trial transcripts from the Government's case-in-chief. He stated that he also reviewed Mr. Isabella's chats with S.F. and conducted a psychological evaluation of Mr. Isabella. Based on the foregoing, Dr. Mills opined that Mr. Isabella (1) was "not a pedophile" and (2) did not have "the disinhibiting conditions associated with being sexual with a minor."
Dr. Mills further testified about the "internet's effect on sexual fantasies."
3. The Government's Rebuttal Case
The Government called M.E. for the first time in rebuttal. It also recalled Special Agent Paul Anderson.
a. M.E.'s testimony
M.E. testified over Mr. Isabella's objection. In January 2013, nine months before his chats with S.F. and 11 months before his chats with the UCA, Mr. Isabella met M.E., a minor at the time, on the dating site Plenty of Fish. 10 M.E. testified that her dating profile said she was 18 years old, but she informed Mr. Isabella early in their communications that she was 17. Mr. Isabella and M.E. spoke on the phone, text messaged, and video-chatted.
Mr. Isabella and M.E. had sexual conversations. Mr. Isabella sent M.E. pictures of his penis. M.E. sent Mr. Isabella pictures of her breasts and vagina. She testified *829 that Mr. Isabella "specifically asked for that." ROA, Vol. VIII at 1443. When Mr. Isabella and M.E. had sexual discussions, Mr. Isabella instructed M.E. to use Skype because he did not want anyone to find those communications. She said that Mr. Isabella explained they would both get in trouble because M.E. was a minor.
Mr. Isabella suggested that M.E. come with him to Florida in the summer. M.E. explained that she hated Florida in the summer, but she agreed to meet Isabella in person on Valentine's Day in Ohio. M.E. skipped school and drove 90 minutes to meet Mr. Isabella at a coffee shop. M.E. stated that she was wearing her high school uniform at the time. Mr. Isabella drove M.E. to a truck stop and lifted the edge of her skirt. She pushed his hand away. They then drove to an abandoned house where Mr. Isabella tried to put his hand up M.E.'s skirt. M.E. drove home after their interaction. The two continued their communications after that day, though they chatted less frequently.
b. Special Agent Anderson's rebuttal testimony
The Government recalled Special Agent Anderson on rebuttal to speak about internet searches Mr. Isabella completed in September 2013. Special Agent Anderson testified that he had run a forensic analysis on Mr. Isabella's computer. Among other things, he provided evidence of three web pages that Mr. Isabella had visited during the same time frame as his communications with S.F. The web pages reflected that S.F. (1) attended a Colorado middle school and (2) participated in a middle school cross country meet on September 22, 2012. The agent testified that Mr. Isabella also ran a Facebook search for S.F. on September 19, 2013, shortly after Mr. Isabella began chatting with S.F.
D. The Verdict and Sentence
Mr. Isabella was convicted of Counts 1 and 2 for his communications with S.F. and acquitted of Counts 3 and 4 for his communications with the UCA. Specifically, for Count 1, Mr. Isabella was convicted of violating and attempting to violate
Whoever, using the mail or any facility or means of interstate or foreign commerce ... knowingly persuades, induces, entices, or coerces any individual who has not attained the age of 18 years, to engage in prostitution or any sexual activity for which any person can be charged with a criminal offense, or attempts to do so, shall be fined under this title and imprisoned not less than 10 years or for life.
For Count 2, Mr. Isabella was convicted of attempting to violate
(a) Any person who employs, uses, persuades, induces, entices, or coerces any minor to engage in, or who has a minor assist any other person to engage in ... any sexually explicit conduct for the purpose of producing any visual depiction of such conduct or for the purpose of transmitting a live visual depiction of such conduct, shall be punished as provided under subsection (e) ....
(e) Any individual who violates, or attempts or conspires to violate, this section shall be fined under this title and imprisoned not less than 15 years nor more than 30 years ....
The jury filled out a special verdict form that provided two potential bases for a conviction under Count 1: (1) coercion and enticement and (2) attempted coercion and enticement. The jury checked both boxes, indicating it found Mr. Isabella guilty of
*830
both a completed violation and an attempt violation of
As the statute indicates, § 2422(b) requires an underlying act chargeable as a "criminal offense." In addition to the special verdict options described above, the special verdict form also gave the jury two options for the underlying criminal sex act: (1) production of child pornography under federal law and (2) sexual intercourse or oral sex with a minor. For both the completed offense and the attempt offense on Count 1, the jury selected the box for production of child pornography.
The district court sentenced Mr. Isabella to two concurrent sentences of 216 months of incarceration, one for each count. Mr. Isabella timely appealed.
II. DISCUSSION
The following sections address Mr. Isabella's issues on appeal: (A) sufficiency of the evidence for his convictions, (B) evidentiary rulings, and (C) multiple punishments under the Double Jeopardy Clause.
A. Sufficiency of the Evidence
Mr. Isabella was convicted of Count 1 for violating § 2422(b) on two grounds: (1) persuading a minor to produce child pornography and (2) attempting to persuade a minor to produce child pornography. Because we conclude the evidence was sufficient to convict Mr. Isabella on the attempt theory, we do not address whether the evidence also was sufficient to support a completed offense. Mr. Isabella was convicted of Count 2 for attempting to persuade S.F. to produce child pornography, in violation of § 2251(a) and (e). As the Government notes, "the analysis of the [substantial step] evidence supporting the two attempt counts is essentially the same." Aplee. Br. at 24. Accordingly, we address the sufficiency of the evidence for the attempt offenses under Counts 1 and 2 together.
1. Standard of Review
We review de novo
11
whether there was sufficient evidence to support a defendant's convictions,
United States v. Cota-Meza
,
2. Legal Background
a. Federal child pornography offenses
The underlying offense for both of Mr. Isabella's attempt convictions under § 2422(b) and § 2251(a) and (e) was "producing [a] visual depiction" of a minor engaging in "sexually explicit conduct."
Courts have devised a multi-factor test for deciding whether a "visual depiction" constitutes child pornography.
See
United States v. Wolf
,
b. Attempted persuasion or enticement 12
Both § 2422(b) and § 2251(a) and (e) require the defendant to persuade, induce, entice, or coerce, or attempt to do so. Courts have given these terms their ordinary meanings: "To 'persuade' is 'to induce by argument, entreaty, or expostulation into some mental position'; to 'induce' is 'to move and lead (as by persuasion or influence)'; and to 'entice' is 'to draw on by arousing hope or desire.' "
United States v. Goetzke
,
i. Specific intent
Specific intent means more than a general intent to commit the prohibited act.
United States v. Blair
,
While it may be rare for there to be a separation between the intent to persuade and the follow-up intent to perform the act after persuasion, they are two clearly separate and different intents and the Congress has made a clear choice to criminalize persuasion and the attempt to persuade, not the performance of the sexual acts themselves.
*832 ii. Substantial step
To prove attempt, we said in
Faust
that "the government had to show that [the defendant] took a substantial step towards the commission of the ultimate crime, and that such step was more than mere preparation."
The Tenth Circuit has not issued a published case addressing a sufficiency of the evidence challenge to an attempt conviction concerning the production of child pornography under either § 2422(b) or § 2251(a) and (e). 13 Accordingly, as background for our substantial step analysis, we discuss (1) Tenth Circuit § 2422(b) attempt cases addressing sexual activity, (2) out-of-circuit attempt cases addressing "grooming" as a substantial step, and (3) attempt cases concerning the production of child pornography.
1) Tenth Circuit substantial step case law
In assessing substantial steps toward persuasion or enticement to engage in sexual activity, we have drawn a rough line between "harmless banter" and illegal inducement.
United States v. Thomas
,
Also instructive is our "substantial step" analysis in
Munro
.
See
2) Out-of-circuit cases addressing "grooming" as a substantial step
"Sexual abuse of minors can be accomplished by several means and is often carried out through a period of grooming."
United States v. Engle
,
In
Goetzke
, the government established grooming by showing the defendant had a prior relationship with the minor and used letters to persuade him to engage in "a sexual encounter in the event he returned to Montana."
Redolent of the fun they had together riding horses, fishing, and being massaged, the letters were crafted to appeal to [the minor], flatter him, impress him, and encourage him to come back to Montana "maybe this summer" when school was out, by promising the same kind of fun and a motorcycle of [the minor's] own.
Goetzke
,
By contrast, in
United States v. Gladish
,
3) Attempted persuasion to produce child pornography
The cases discussed in the preceding section concern charges under § 2422(b) for attempts to persuade a minor to engage in sexual activity other than producing child pornography. In
United States v. Lee
,
*834
Similarly, in
United States v. Pierson
,
The facts of our unpublished opinion in
United States v. Wales
,
3. Analysis
Because Mr. Isabella was convicted of attempting to persuade S.F. to produce child pornography under both § 2422(b) and § 2251(a) and (e), and because the evidence supporting both counts is identical, our sufficiency of the evidence analysis is the same for Counts 1 and 2. The parties agree.
See
Aplee. Br. at 24 (stating "the analysis of the evidence supporting the two attempt counts is essentially the same"); Aplt. Br. at 16 (analyzing attempt convictions without distinguishing between them);
see also
Hart
,
*835
Mr. Isabella and S.F.'s relationship spanned three months.
See
Lee
,
During their conversations, Mr. Isabella and S.F. spoke explicitly about sex, including conversations about Mr. Isabella's penis. At one point, after Mr. Isabella sent S.F. a picture of his penis, he asked whether she "want[ed] that in [her] mouth now? Tell me." ROA, Vol. VIII at 310. As in
Munro
, their conversations addressed "virginity, sexual experiences, and [ Mr. Isabella's] desire to perform oral sex on" S.F.
See
The trial evidence showed "more than ... explicit sex talk."
Gladish
,
The same is true for Mr. Isabella's requests for pictures of S.F. coming out of the shower: "Pic now!! Haha." ROA, Vol. VIII at 298. He repeated: "Pic now!! (Again). Hahaaa!!"
We agree with our sister circuits that the line between "asking" and "persuading" is imprecise, but a reasonable jury could conclude Mr. Isabella crossed it. See Tykarsky , 446 F.3d at 473. The three-month relationship between S.F. and Mr. Isabella, the sexualization of their communications, the requests for pictures, the exchange of nude pictures, and the encouragement of further explicit pictures provided sufficient circumstantial evidence of a "substantial step" for a reasonable jury to convict Mr. Isabella of attempting to persuade or entice S.F. to produce child pornography.
B. Evidentiary Issues
Mr. Isabella alleges that the district court made evidentiary errors regarding (1) the torso pic, (2) the circumstances surrounding the torso pic, (3) the penis picture Mr. Isabella sent to S.F., (4) M.E.'s testimony, (5) the internet search exhibits, and (6) the grooming testimony.
1. Standard of Review
"We review legal interpretations of the Federal Rules of Evidence de novo."
United States v. Guardia
,
If a defendant did not object at trial, however, or "objected on grounds not now asserted as error, we review [the] issue for plain error."
United States v. Simpson
,
2. Evidentiary Objections
a. The torso pic
i. Additional background
Through forensic analysis, a defense expert determined that the torso pic was produced before S.F. began communicating with Mr. Isabella. The expert report determined that the torso pic was taken as part of a series showing a romantic encounter between S.F. and a male. The series suggested that S.F. engaged in sexual activity with the male in the photos.
*837 The expert opined that the male in the photos, and not S.F., took the torso pic.
After submitting the expert report, Mr. Isabella moved in limine to exclude the introduction of the torso pic, arguing it was not relevant to the attempt offense and its probative value would be substantially outweighed by a danger of unfair prejudice under Federal Rule of Evidence 403. Applying Rule 403, the district court denied the motion.
ii. Legal background
Federal Rule of Evidence 403 states, "The 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." "[U]nfair prejudice" means "an undue tendency to suggest [a] decision on an improper basis, commonly, though not necessarily, an emotional one."
Silva
,
"The district court has considerable discretion in performing the Rule 403 balancing test, but exclusion of evidence under Rule 403 that is otherwise admissible under the other rules is an extraordinary remedy and should be used sparingly."
Silva
,
iii. Analysis
The district court's denial of Mr. Isabella's in limine objection and admission of the torso pic was not an abuse of discretion.
19
As discussed above, the Government's "substantial step" theory relied on communications between Mr. Isabella and S.F. that occurred over three months and involved sexual conversations and photo exchanges. Although the torso pic may not have been child pornography, it was nonetheless a nude picture that S.F. provided at Mr. Isabella's request. Mr. Isabella's statement that the picture was "Soooooo nice" and his request that S.F. send him additional "somewhat naughty" photos were probative of both his method and objective.
See
Goetzke
,
b. Circumstances surrounding the torso pic
i. Additional background
As an alternative to Mr. Isabella's motion in limine to exclude the torso pic, he objected to its introduction without being able to cross-examine S.F. about the circumstances surrounding the photo. He also sought to introduce the other photos in the series found on S.F.'s phone. Defense counsel stated, "We are seeking to introduce *838 those series of photos to establish that S.F. is a liar, and that she has lied." ROA Vol. VIII at 136. The district court excluded this evidence, reasoning that Mr. Isabella had alternative avenues through cross-examination of S.F. to challenge her credibility. Applying Federal Rule of Evidence 412 -which limits the introduction of evidence suggesting a victim's sexual behavior or alleged sexual predisposition-the court said it would "afford the defendant the opportunity to cross-examine S.F. concerning her previous lies in general, and concerning this particular photograph; when the photograph was taken, but not the actual origins of the photograph." ROA, Vol. VIII at 146.
Defense counsel continued to object, stating "one of the recognized exceptions [to Rule 412 ] is the infringement on the constitutional rights of the defendant. ... I'm sure we would all agree ... the right to effectively confront is implicated."
ii. Legal background
Rule 412 prohibits the introduction of "evidence offered to prove a victim's sexual predisposition" or that the victim "engaged in other sexual behavior." Fed. R. Evid. 412(a). The exceptions to Rule 412 include criminal cases where the exclusion of the evidence "would violate the defendant's constitutional rights." Fed. R. Evid. 412(b)(1)(C).
Under the Sixth Amendment's Confrontation Clause, a criminal defendant has a right "to be confronted with the witnesses against him." U.S. Const. amend. VI. This includes the right to cross-examine witnesses.
See
Davis v. Alaska
,
The right to cross examine includes the right to impeach the alleged victim by establishing and explaining the victim's motivation to lie.
Olden v. Kentucky
,
iii. Analysis
Mr. Isabella wished to use the photos on S.F.'s phone and to cross-examine her about the circumstances underlying the torso pic to show that S.F. lied to investigators about whether she created the photos for Mr. Isabella. But the district court found Mr. Isabella had "other avenues to attack [S.F.'s] credibility."
See
Oliver
,
c. The penis picture
i. Additional background
Mr. Isabella objected under Rule 403 to the introduction of the picture of his penis that he sent to S.F. He argued that it was an example of "adult pornography" only, and proposed, as a "compromise" stipulation that it not be shown to the jury but instead that the jury only be told that he sent it to S.F. ROA, Vol. VIII at 182. The district court overruled the objection, noting that the proposed stipulation was "not the same" as showing the picture itself, and explaining that the picture was relevant because "he sent it to a minor child." Id. at 182-83.
ii. Analysis
Federal Rule of Evidence 403 governs this issue. The district court did not err in admitting Mr. Isabella's penis picture. The picture, and his request that S.F. send him an equivalent photo, was probative of his intent and the nature of explicit photos he sought from S.F. He tried to make the picture part of a "quid pro quo"-an exchange of photos-and it was therefore a step to persuade S.F. to send him "naughty" photos. The district court did not abuse its discretion in deciding that the Government was not required to censor its case by stipulating that Mr. Isabella sent the photo to S.F. rather than introducing it.
d. M.E.'s testimony
i. Additional background
The Government filed a pretrial notice seeking to "admit evidence related to [M.E.] in its case-in-chief" under Federal Rules of Evidence 414 and 404(b). ROA Vol. I at 297. Mr. Isabella objected. The district court overruled the objection, explaining that M.E.'s testimony rebutted Mr. Isabella's potential defense that he was only an "internet fantasy user" and concluding the testimony was more probative than prejudicial. ROA, Vol. VIII at 181-82. At the end of the pretrial hearing on this matter, the Government sought to "clarify the 414, 404(b) ruling" by "confirm[ing] that we can call [M.E.] in our case-in-chief." Id. at 195. The court responded, "Yes." Id.
The Government did not call M.E. in its case-in-chief. It waited to call her as a rebuttal witness after Mr. Isabella had testified, among other things, that (1) he believed S.F. was "in college" or "an adult," (2) he made no plans to meet or engage in sexual activity with her, and (3) his invitations to meet her were only "fantasy."
Before M.E. testified, Mr. Isabella renewed his objection. The court again overruled the objection, stating that it would allow M.E.'s testimony to rebut Mr. Isabella's "entire defense theory ... that this is all fantasy." But it also excluded explicit photos of M.E. and prejudicial sexual details of M.E.'s in-person interactions with Mr. Isabella.
As part of the discussion before M.E.'s testimony, defense counsel sought to clarify the court's ruling, suggesting that admission *840 under Rule 414 was inappropriate because coercion and enticement of a minor under § 2422(b) is not one of the statutes listed in Rule 414. 20 The court noted that, rather than "being offered for propensity" under Rule 414, the testimony was more appropriately considered under a Rule 404(b) and Rule 403 balancing analysis. ROA, Vol. VIII at 2443-44. It determined the evidence was admissible "with respect to knowledge, intent, motive, modus operandi, et cetera." Id. at 2443. After M.E. testified, Mr. Isabella moved for a mistrial. The court denied the motion but issued a limiting instruction in its final jury instructions regarding the evidence of Mr. Isabella's "similar acts." 21
ii. Legal background
Federal Rule of Evidence 404(b) provides:
(1) Prohibited Uses. Evidence of a crime, wrong, or other act is not admissible to prove a person's character in order to show that on a particular occasion the person acted in accordance with the character.
(2) Permitted Uses; Notice in a Criminal Case. 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.
In
Huddleston v. United States
,
For evidence of prior bad acts to be admissible, they
(1) must tend to establish intent, knowledge, motive, identity, or absence of mistake or accident; (2) must also be so related to the charged offense that it serves to establish intent, knowledge, motive, identity, or absence of mistake or accident; and (3) must have real probative value, not just possible worth.
United States v. Kendall
,
In
United States v. Esch
,
iii. Analysis
The district court did not abuse its discretion in admitting M.E.'s testimony under Rule 404(b).
First
, we must view the court's evidentiary decision in the context of the ongoing trial, including all charges pending against the defendant, not from the perspective of appellate hindsight.
See
United States v. Jordan
,
Second , as in Esch , the district court did not abuse its discretion in allowing the Government to rebut Mr. Isabella's trial testimony that he engaged in the online communications with S.F. only as a fantasy internet activity. His insistence on this ground for his defense was pervasive throughout his trial testimony, including how he characterized his communications with S.F. and the UCA. 22 His fantasy theory challenged the Government's proof of his specific intent and opened the door to evidence that he was not engaged only in fantasy but instead was preying sexually on young girls.
The M.E. evidence showed that, when Mr. Isabella asked S.F. or the UCA to meet him, he was not fantasizing. He meant to meet them if he could, just as he met M.E. No meeting occurred between Mr. Isabella and S.F. or the UCA, but the conversations with M.E. leading to an actual meeting undermined his insistence that his interactions with S.F. were only a matter of fantasy and not consistent with a specific intent to engage in sexual activity with her or persuade her to provide child *842 pornography to him. Not only did M.E.'s testimony show that Mr. Isabella pursued her similarly to the way he pursued S.F., it also showed his intent was not limited to fantasizing as to either of them-showings that fit squarely in the permitted uses of prior bad act evidence under Rule 404(b). 23
Third
, the timing of Mr. Isabella's communications with M.E. was probative of his intent and modus operandi.
See
Mares
,
Fourth
, the district court conducted a Rule 403 balancing analysis and excluded evidence that it found to be too prejudicial, including explicit pictures of M.E. and sexual details of her in-person interaction with Mr. Isabella.
See
Huddleston
,
Under de novo review, we might have limited M.E.'s testimony further, but that does not mean the district court's decision was an "arbitrary, capricious, whimsical, or manifestly unreasonable judgment."
Silva
,
e. The websites
i. Additional background
A search of Mr. Isabella's computer revealed three website addresses he had visited during the same time period as his interactions with S.F. When Special Agent Anderson entered the addresses into a browser in 2016 (three years later), two websites showed S.F.'s name as a student at a middle school in Colorado; the third website showed her recorded time for a middle school cross-country meet in 2012. The Government printed screenshots of *843 the websites and offered them as exhibits in its rebuttal case to prove Mr. Isabella knew S.F. was a minor. Mr. Isabella objected, arguing that the websites were not properly authenticated. The district court overruled his objection and admitted the exhibits. Mr. Isabella challenges this ruling on appeal.
ii. Legal background
Rule 901 requires "evidence sufficient to support a finding that the item is what the proponent claims it is." Fed. R. Evid. 901(a). In assessing an exhibit's authenticity, we ask "whether there is a reasonable probability that the evidence has not been altered in any material aspect since the time of the crime and that it reasonably has a tendency to establish facts of consequence in the action as more probable than they would be without the evidence."
United States v. Brewer
,
Courts evaluate the authenticity of websites based on the purpose for which the website is being offered.
25
The Second Circuit's analysis of website authentication is instructive.
United States v. Vayner
,
iii. Analysis
The district court did not abuse its discretion in admitting the printouts of the three websites based on Special Agent Anderson's testimony. The websites were relevant and offered to show that Mr. Isabella believed S.F. was a minor. Unlike the webpage at issue in
Vayner
, the Government here did not introduce the exhibits to show that Mr. Isabella or S.F. had any role in their creation.
See
Special Agent Anderson testified that he took the web addresses directly from Mr. Isabella's search history and entered them into an internet browser. In doing so, he viewed three separate webpages showing S.F. competed in cross country meets and was a student at a middle school in Colorado. The details of Special Agent Anderson's investigation, in particular the forensic analysis showing he retrieved the web addresses from Mr. Isabella's computer, provide "evidence sufficient to support a finding that the [websites are] what [the Government] claims [they are],"
see
Fed. R. Evid. 901(a), especially when we have no reason to believe they were "altered in any material aspect since the time of the crime,"
see
Brewer
,
Finally, even after the websites were admitted, Mr. Isabella remained free "to challenge the reliability of the evidence, to minimize its importance, or to argue alternative interpretations of its meaning, but these and similar other challenges go to the
weight
of the evidence-not to its
admissibility
."
See
Vayner
,
f. Grooming testimony
i. Additional background
Homeland Security Investigation Special Agent Michael Thomas interviewed Mr. Isabella as part of his investigation and testified on direct examination about his conversation with Mr. Isabella. During the interview, Mr. Isabella claimed he frequently acted as a counselor in his online communications. At trial, Special Agent Thomas recounted Mr. Isabella's response:
Q. Did the topic of grooming come up at that point in time?
A. Yes. That was a question after his explanation of how he befriended and gained the trust of these individuals. The question was asked to the defendant if he was grooming these individuals.
Q. Why was grooming brought up?
MR. GAINOR: Objection, relevance, Your Honor. This is his statement-just a question and answer I think would be appropriate.
THE COURT: Overruled.
Q. (BY MS. RANGEL) You can answer that.
A. Grooming is a technique that we sometimes see in child exploitation investigations to try to morph [an] individual's opinions and behaviors to the person who is doing the grooming, desires.
Q. Why was that particular topic brought up in response to the defendant saying he was a counselor?
A. It was the way he characterized it, as a befriending first, gaining people's trust. He didn't just jump in to [sic] being a counselor. It wasn't a normal counselor relationship where, I have a problem, let me help you with this problem. It was friendships and building relationships that had nothing to do with that problem, and trying to morph their behavior through-morphing them of [sic] their behavior.
ROA, Vol. VIII at 612-13.
ii. Analysis
On appeal, Mr. Isabella contends that Special Agent Thomas was not an expert and therefore was not qualified to testify about "grooming." 26 At trial, however, *845 Mr. Isabella did not object to Special Agent Thomas's qualifications as an expert. Instead, he objected to the "relevance" of the grooming testimony.
Ordinarily, "[a]n appellant who fails to preserve an evidentiary objection below may argue and establish plain error on appeal," however, a "[f]ailure to argue plain error on appeal waives the argument."
United States v. Roach
,
In his opening brief, Mr. Isabella does not argue for plain error review. See Aplt. Br. at 11. In his reply brief, he mentions "plain error" in relation to Special Agent Anderson's testimony only in a single paragraph (without any citations). See Aplt. Reply Br. at 21. In that paragraph, Mr. Isabella states in conclusory fashion that the district court committed plain error. But he does not recite our plain error standard until the final page of his reply brief, id. at 24, and even then, he simply asserts the plain error elements are met.
Mr. Isabella's plain error argument does not permit "the adversarial process to be served,"
Zander
,
* * * *
To recap, we affirm (1) the admission of the penis picture and (2) the torso pic under Rule 403 ; (3) the exclusion of the circumstances surrounding the torso pic under Rule 412 ; (4) the introduction of M.E.'s rebuttal testimony under Rule 404(b) ; and (5) the admission of the websites under Rule 901. We (6) hold that Mr. Isabella waived his argument regarding Special Agent Thomas's grooming testimony. 27
C. Double Jeopardy
In his final argument, Mr. Isabella asserts that his two convictions and sentences under § 2422(b) and § 2251(a) and (e) violate the Double Jeopardy Clause. The Government concedes that "Counts I and II rely on the same conduct" but contends that different elements of the two offenses preclude Mr. Isabella's challenge. Aplee. Br. at 43. After setting forth additional background information, we explain the legal principles underlying our double jeopardy analysis. Then, applying de novo review,
see
United States v. Benoit
,
1. Additional Background
The parties addressed the double jeopardy issue multiple times in district court. In response to the indictment, Mr. Isabella requested a bill of particulars, asking the district court to order the Government to explain "[t]he exact nature of the sexual activity the defendant allegedly coerced or enticed [S.F.] into engaging in." ROA, Vol. I at 75. The court denied the motion but noted that a bill of particulars could help "combat double jeopardy" under some circumstances. ROA, Vol. I at 354.
The district court addressed double jeopardy indirectly at a pretrial jury instruction conference. In an exchange with the prosecutor about § 2422(b), the court said:
Depending on what the jury ultimately concludes, that will depend on our jury verdict form. That is why I think the verdict form, itself, is going to have to be very carefully tailored. The [double jeopardy] issue could be implicated in different ways.
For example, if the jury finds Mr. Isabella guilty on Count 1, but the predicate "sexual activity" on which the jury bases its conviction is enticement of sexual intercourse and or oral sex, as opposed to the production of child pornography, there would be no [double jeopardy] issue if the jury finds Mr. Isabella guilty of Count 2.
In other words, which criminalized sexual activity operates as the predicate for each enticement count is necessarily going to define whether there [is] a [double jeopardy] prong [sic, problem?]. So, the means by which I intend to address that is the use of a Special Verdict Form where we will require the jury to identify which of the criminal sexual activities form the basis for their conviction; whether one or both or neither on each enticement count.
ROA, Vol. VIII at 88-89. In this exchange, the district court suggested, but did not decide, that there would be a double jeopardy problem if the jury selected the production of child pornography as the underlying § 2422(b) offense for Count 1.
As noted above, the jury stated on the special verdict form that the underlying offense for the § 2422(b) charge was the production of child pornography. Mr. Isabella moved for acquittal based on double jeopardy following the verdict. At this point, the district court changed its view of the double jeopardy issue and denied Mr. Isabella's motion. It did not compare the elements of the offenses to make this determination. Instead, it stated that the statutes charged in Count 1 and Count 2 had different "purpose[s]," "target[s]," and "gravamen": "Where Section 2422(b) is defined by its focus on criminalizing a perverse interaction, Section 2251 exists to criminalize the exploitation of minors for the purpose of producing child pornography." ROA, Vol. VIII at 1860-62.
2. Legal Background
The Double Jeopardy Clause states that no person shall "be subject for the same offence to be twice put in jeopardy." U.S. Const. amend. V. It provides three constitutional protections. "It protects against a second prosecution for the same offense after acquittal. It protects against a second prosecution for the same offense after conviction. And it protects against multiple punishments for the same offense."
*847
North Carolina v. Pearce
,
Mr. Isabella invokes the third protection here, arguing he was convicted and sentenced for the "same offense" under
As noted above,
Whoever, using the mail or any facility or means of interstate or foreign commerce ... knowingly persuades, induces, entices, or coerces any individual who has not attained the age of 18 years, to engage in prostitution or any sexual activity for which any person can be charged with a criminal offense, or attempt to do so, shall be fined under this title and imprisoned not less than 10 years or for life.
And
(a) Any person who employs, uses, persuades, induces, entices, or coerces any minor to engage in, or who has a minor assist any other person to engage in ... any sexually explicit conduct for the purpose of producing any visual depiction of such conduct or for the purpose of transmitting a live visual depiction of such conduct, shall be punished as provided under subsection (e) ....
(e) Any individual who violates, or attempts or conspires to violate, this section shall be fined under this title and imprisoned not less than 15 years nor more than 30 years ....
Section 2422(b) encompasses "prostitution or any sexual activity for which any person can be charged with a criminal offense," while § 2251(a) is limited to "any sexually explicit conduct for the purpose of producing any visual depiction of such conduct or for the purpose of transmitting a live visual depiction of such conduct." But should they be treated as the "same offense" because § 2251(a) and (e) is a lesser included offense of § 2422(b) ? The answer calls for application of the Blockburger test, which the Supreme Court developed as a means to determine congressional intent.
In
Blockburger v. United States
,
To determine what may be a lesser-included offense, courts focus on the textual elements of the offenses.
Carter v. United States
,
3. Analysis
Under
Blockburger
, we examine the elements of each offense to determine whether one can be considered a lesser-included offense of the other.
Carter
,
The offense of attempting to violate § 2422(b) requires the following elements:
(1) the defendant knowingly attempted to persuade, induce, entice, or coerce;
(2) any individual who is younger than 18;
(3) to engage in any sexual activity for which any person can be charged with a criminal offense;
(4) the defendant used a facility of interstate or foreign commerce to commit the crime; and
(5) took a substantial step toward commission of the offense.
The offense of attempting to violate § 2251(a) and (e) requires the following elements:
(1) the defendant attempted to employ, use, persuade, induce, entice, or coerce a child to engage in sexually explicit conduct;
(2) the defendant believed the child was under the age of 18;
(3) the defendant engaged in this behavior for the purpose of producing a visual depiction of such conduct;
(4) the defendant knew or had reason to know that the visual depiction would be transported or transmitted using any means or facility of interstate or foreign commerce or affecting interstate or foreign commerce or mail or the materials used to attempt to produce the visual depiction were mailed, shipped, or transported, including by computer, in interstate or foreign commerce; and
(5) the defendant took a substantial step toward the commission of the offense.
The third element of § 2422(b) is broader than the third element of § 2251(a), and even if the former encompasses the latter such that the third element of § 2251(a) is a lesser-included element of § 2422(b), Mr. Isabella's double jeopardy claim founders when we compare the first element of each statute.
Section 2422(b) requires proof that the defendant "knowingly persuades, induces, entices, or coerces any individual who has not attained the age of 18 years." (Emphasis added.) Section 2251(a) and (e) requires proof that the defendant " employs, uses, persuades, induces, entices, or coerces ." (Emphasis added.) Because § 2422(b) does not include the words "employs" or "uses," this element of § 2251(a) and (e) is broader than the corresponding element in § 2422(b), and therefore the former cannot be a lesser included offense of the latter. Indeed, the indictment used the foregoing italicized language in Counts 1 and 2 of the indictment, respectively, making it possible, *849 for example, that the jury convicted Mr. Isabella on Count 1 for "persuading" and on Count 2 for "employing" or "using."
To expand on this analysis, § 2422(b) proscribes persuading, inducing, enticing, or coercing a minor "to engage in prostitution or any sexual activity for which any person can be charged with a criminal offense." This quoted language is broader than the parallel language in § 2251(a) : "engage in[ ] any sexually explicit conduct for the purpose of producing any visual depiction of such conduct or for the purpose of transmitting a live visual depiction of such conduct."
But the language in § 2251(a) -"employs, uses, persuades, induces, entices, or coerces"-is broader than the corresponding language in § 2422(b) - "persuades, induces, entices, or coerces." It follows that § 2251(a) and (e) cannot be a lesser included offense of § 2422(b) for double jeopardy purposes, and Mr. Isabella's challenge to his convictions on this ground fails. 28
III. CONCLUSION
We uphold Mr. Isabella's convictions and affirm the district court's judgment.
We caution the reader that the facts of this case, especially the communications between Mr. Isabella and S.F., are graphically and disturbingly sexual in nature. Because Mr. Isabella's convictions were for sexual crimes and because he is challenging the sufficiency of the evidence on appeal, we recount the evidence of his interactions to evaluate whether a reasonable jury could have found him guilty beyond a reasonable doubt and to provide an explanation of our decision.
The indictment initially charged Mr. Isabella with the completed production of child pornography in addition to the attempt charge. Because the Government conceded that Mr. Isabella did not play a role in the production of the only alleged child pornography in this case, the Government sought to amend the Indictment to address only attempted production of child pornography, and the district court granted its motion.
Special Agent Thomas's testimony is relevant to one of Mr. Isabella's evidentiary objections. We do not discuss his testimony in this section, but instead discuss the relevant portions of his investigation when we address the evidence issue below.
During S.F.'s trial testimony, she read records of her conversations with Mr. Isabella. We have not edited these communications for spelling or grammar.
Mr. Isabella was 56 years old at the time. He turned 57 years old in October 2013.
The parties and the district court used the "torso pic" label, but as the Government notes, "the photograph shows more than just S.F.'s torso." Aplee. Br. at 15 n.1.
S.F.'s mother stated that S.F. wrote Mr. Isabella's name several times on a piece of paper and drew "little hearts" around it, "like a young girl does[ ] [with] somebody that she has affection for." ROA Vol. VIII at 252.
Dr. Mills explained that "catfishing" is "putting on some role to some particular end. It might be to meet somebody. It might be to defraud them. It might be to gain access to them sexually." ROA, Vol. VIII at 2362.
At one point in Mr. Isabella's conversations with S.F., S.F. explained that she was worried she was pregnant, and Mr. Isabella told her to take a pregnancy test. Mr. Isabella testified that this conversation made him believe he was chatting with someone "over the age of 18." ROA, Vol. VIII at 1054.
Mr. Isabella suggested they first met on O.K. Cupid. Both sites require the user to be 18 years old to open an account.
Mr. Isabella moved for a judgment of acquittal under Federal Rule of Criminal Procedure 29 after the Government's case-in-chief, arguing there was insufficient evidence to send the case to the jury. He renewed his Rule 29 motion at the close of evidence. He therefore preserved the issue for appeal.
At times, we use the shorthand "persuade or entice" in this opinion. This should be understood to encompass all the means of violating § 2422(b) : "persuade[ ], induce[ ], entice[ ], or coerce[ ]."
In an unpublished decision discussed below, we addressed a sufficiency of the evidence challenge to a conviction under § 2422(b) and § 2251(a) and (d) where the underlying conduct was the production of child pornography, which qualified as a violation of Wyoming's child exploitation statute.
See
United States v. Wales
,
Other circuits have framed the question as a difference between "persuading," which is criminal, and "asking," which is not.
See
United States v. Tykarsky
,
Grooming can be established by use of an expert witness who testifies about psychological tactics that are common in cases of child sex abuse.
United States v. Batton
,
At the time, § 2251(d) provided for the attempt liability that is now codified in § 2251(e).
Mr. Isabella's sufficiency argument focuses on the substantial step aspect of the attempt analysis. See Aplt. Br. at 16-19 (relying on substantial step argument). To the extent he argues that the evidence does not establish his specific intent, we note that his explicit requests for "naughty" and "naked" photos were more than sufficient to infer specific intent to persuade S.F. to send him child pornography. Similarly, his interactions with M.E. and the UCA evince a common scheme of attempting to persuade minors to send explicit photos, and the jury could reasonably have inferred that Mr. Isabella intended to continue that scheme with S.F.
Plain error requires the appellant to show: (1) error, (2) that is plain, (3) that "affect[ed] substantial rights," and (4) that seriously affects the "fairness, integrity, or public reputation of judicial proceedings."
United States v. Olano
,
Contrary to the Government's assertion, Mr. Isabella did not waive his objection to the torso pic by failing to object to its admission at trial because (1) he raised the issue in a motion in limine, (2) the introduction of the torso pic did not depend on any other evidence, and (3) the district court definitively ruled on the motion after a full hearing.
See
Mejia-Alarcon
,
Rule 414 does include § 2251 in the statutes it references. See Fed. R. Evid. 414(d)(2)(B) (defining "child molestation" as "any conduct prohibited by 18 U.S.C. chapter 110").
In full, the instruction read:
You have heard evidence of other acts engaged in by Mr. Isabella. You may consider that evidence as it bears on Mr. Isabella's motive, intent, knowledge, absence of mistake or accident, or modus operandi, but for no other purpose. Of course, the fact that Mr. Isabella may have previously committed an act similar to the one charged in this case does not mean that Mr. Isabella necessarily committed the act charged in this case.
Modus operandi means a method of operating or a manner of procedure.
ROA, Vol. I at 587.
Mr. Isabella claimed throughout his testimony that he was solely a fantasy internet user and was not interested in enticing or engaging in sexual activity with a minor. He used the words "fantasy" or "fantasies" approximately 120 times, more than 70 of them during direct or redirect examination. Defense counsel used the words more than 50 times in his questions to Mr. Isabella.
M.E.'s testimony was also probative of Mr. Isabella's "knowledge" that he was communicating with minors online. Fed. R. Evid. 404(b). Mr. Isabella testified that he believed the UCA, S.F., and M.E. were all over 18 years old. But M.E. testified that she (1) told Mr. Isabella she was 17 years old, (2) wore a school uniform when they met, and (3) stated she was skipping school when they met. This testimony tends to rebut Mr. Isabella's claims that he did not know S.F.'s age even after she told him she was 14 years old.
We acknowledge that Mr. Isabella's interactions with M.E. were not identical to his communications with S.F.
See
Aplt. Br. at 26 (arguing that "the circumstances surrounding M.E.'s encounters with Mr. Isabella were not similar to those with S.F."). Among other things, Mr. Isabella met M.E. on a dating site and lived in the same state as her. But in light of Mr. Isabella's "fantasy" defense at trial and his assertion that he did not know S.F.'s age, we cannot conclude that the district court's decision to admit M.E.'s testimony was an abuse of discretion.
See
Silva
,
Compare
O'Toole v. Northrop Grumman Corp.
,
Expert testimony on grooming can be admissible to explain the "modus operandi of sex offenders. The methods sex offenders use are not necessarily common knowledge."
Batton
,
Because we find no error in the district court's evidentiary rulings, we do not address Mr. Isabella's "cumulative error" argument.
Mr. Isabella argues the "activity for which any person can be charged with a criminal offense" under § 2422(b) was the same activity for his conviction under § 2251(a). Aplt. Br. at 33. He further argues "the conduct for which Mr. Isabella was convicted under Section 2422(b) overlaps completely with the conviction under Section 2251(a)."
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Rande Brian ISABELLA, Defendant-Appellant.
- Cited By
- 53 cases
- Status
- Published