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No.

17-2338
UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT

Roe v. Howard
917 F.3d 229 (4th Cir. 2019)
Decided Feb 25, 2019

No. 17-2338 under the Trafficking Victims Protection Act (the


"TVPA").1 Roe had sued Howard for her role in
02-25-2019
sexual abuse that Roe suffered at the hands of
Sarah ROE, Plaintiff – Appellee, v. Linda Russell Howard, Linda’s husband, when Roe
HOWARD, Defendant – Appellant, and Estate of worked in 2007 as the Howards’ housekeeper in
Russell Howard, Defendant. housing provided by the Embassy of the United
States in Yemen.2 The jury found that Linda’s
ARGUED: Richard Francis Rinaldo, JONES,
GREGG, CREEHAN & GERACE LLP, conduct in Yemen contravened criminal provisions
Pittsburgh, Pennsylvania, for Appellant. Melissa of the TVPA and thus awarded Roe $3 million in
Lim Patterson, JONES DAY, Washington, D.C., damages pursuant to the TVPA’s civil remedy
for Appellee. ON BRIEF: Timothy J. Battle, provision. See 18 U.S.C. § 1595. On appeal, Linda
Alexandria, Virginia, for Appellant. Alison B. challenges the district court’s denial of her post-
Marshall, Christian G. Vergonis, JONES DAY, trial motion for judgment as a matter of law,
Washington, D.C., for Appellee. wherein she sought relief on the ground that, in
2007, the TVPA’s civil remedy provision did not
apply extraterritorially. Linda also challenges the
KING, Circuit Judge
court’s admission of testimonial evidence from
ARGUED: Richard Francis Rinaldo, JONES, another former housekeeper of Linda and Russell
GREGG, CREEHAN & GERACE LLP, whom they had similarly abused. As explained
Pittsburgh, Pennsylvania, for Appellant. Melissa below, we are satisfied to affirm the judgment.
Lim Patterson, JONES DAY, Washington, D.C., 1 The TVPA is generally codified at 18
for Appellee. ON BRIEF: Timothy J. Battle,
U.S.C. § 1581 et seq .
Alexandria, Virginia, for Appellant. Alison B.
2 To avoid confusion, we generally refer to
Marshall, Christian G. Vergonis, JONES DAY,
Washington, D.C., for Appellee. Linda Howard and Russell Howard by
their first names, that is, simply as Linda
Before WILKINSON, KING, and and Russell. We refer to the plaintiff by her
QUATTLEBAUM, Circuit Judges. pseudonym "Sarah Roe," pursuant to the
district court’s ruling in that regard. See
Affirmed by published opinion. Judge King wrote
Roe v. Howard , No. 16-cv-562 (E.D. Va.
the opinion in which Judge Wilkinson and Judge
May 27, 2016), ECF No. 11.
Quattlebaum joined.
I.
233 KING, Circuit Judge:*233 Defendant Linda
Howard appeals from a judgment entered against A.
her in the Eastern District of Virginia after a jury
found her civilly liable to plaintiff Sarah Roe

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Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

On July 31, 2017, following a four-day trial, a jury In 2005, the State Department assigned Linda to
in the Eastern District of Virginia found Linda our Embassy in Sana’a, Yemen. Russell
Howard civilly liable for contravening criminal accompanied Linda to Sana’a and also found work
provisions of the TVPA. More specifically, the at the Embassy. Among other jobs, Russell
jury found that Linda had engaged in forced labor performed administrative work for the Embassy
in violation of 18 U.S.C. § 1589, forced labor Commissary. In Sana’a, Linda and Russell lived in
trafficking in violation of § 1590, commercial sex housing provided by the State Department, and
trafficking in violation of § 1591, and conspiring they were protected by U.S. government security.
to engage in those offenses in violation of § 1594. Linda and Russell remained in Sana’a for
See J.A. 115-17.3 approximately three years. Around December
2008, Linda and Russell moved to Japan, where
3 Citations herein to "J.A. ––––" refer to the
Linda received her next State Department posting.
contents of the Joint Appendix filed by the
By 2012, Linda and Russell had relocated to
parties in this appeal.
Melbourne, Australia, where Russell died of
When we review an appeal following a jury pancreatic cancer that September. Linda continues
verdict, we view the trial evidence in the light to reside in Melbourne.
most favorable to the prevailing party. See Randall
2.
v. Prince George’s Cty. , 302 F.3d 188, 195 n.8
(4th Cir. 2002) (citing Lowery v. Cir. City Stores, Sarah Roe first met the Howards in September
Inc. , 206 F.3d 431, 442-43 (4th Cir. 2000) ). We 2005, soon after their arrival in Yemen. At that
are likewise obliged to accord the prevailing party time, Roe was twenty years old. Born into an
the benefit of all reasonable inferences to be impoverished family in Ethiopia, Roe had moved
drawn from the evidence. See Lowery , 206 F.3d at to Yemen to seek work, and she initially secured
443. The facts recited herein are taken in that light various housekeeping and cleaning jobs. In
and drawn from the record, which includes September 2005, Roe was employed there as a
evidence presented at trial and the parties’ joint waitress at a restaurant on U.S. Embassy grounds
submission of stipulated facts. called Uncle Sam’s. It was at Uncle Sam’s that the
Howards first encountered Roe and sought to
1.
befriend her.
Linda is an American citizen. She began working
As one of his odd jobs around the U.S. Embassy,
234 for the Department of State in *234 1991 as a
Russell worked in a shop next door to Uncle
Communications Officer in Paris, France. In Paris,
Sam’s. He first introduced himself to Roe, and
Linda met and married Russell, an Australian
then introduced Roe to Linda. Both Howards paid
citizen who then worked for the Australian
special attention to Roe: they complimented her
Embassy in France. Over the next decade, Linda
appearance, initiated friendly conversations, and
and Russell held similar postings around the
encouraged her to work for them as their live-in
world, usually arranging their assignments so that
housekeeper. At first Roe declined the job offer,
they could pursue their careers in the same
and Russell asked her to help "find a beautiful
country. In 2001, Russell retired from his position
woman like [her]self to work in [the Howards’]
with the Australian government, and he thereafter
home." See J.A. 232. Linda would stop by Uncle
followed Linda as she continued her career with
Sam’s three or four times a week, where she
the State Department.
would "greet" and "hug" Roe. Id . at 231. Linda
even gave Roe her personal phone number. Id . at
234.

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Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

Around 2006, Roe returned to Ethiopia from Roe accepted the position and agreed to move in
Yemen for several months to care for her mother. with the Howards. She began working for the
As a result, she lost her job at Uncle Sam’s. When Howards in June 2007.
Roe returned to Sana’a, a young Ethiopian woman
Once Roe moved into the Howards’ apartment,
named Sabha was then employed as the Howards’
she discovered that, although she had her own
live-in housekeeper, but Linda helped Roe obtain
room and bathroom, the door to her room could
a data-entry job at the U.S. Embassy. Linda gave
not be locked without a key. The Howards told
Roe an application for the data-entry position and
Roe they did not have the key. The Howards then
taught her how to use a basic data-entry program
presented Roe with a uniform consisting of a
on Linda’s home computer. After Roe got the job,
"very short" skirt and a blouse that "looked like
Linda continued to befriend her, meeting Roe to
something you would wear ... when you go out."
talk about her hair stylist and other non-work
See J.A. 253. Linda had made the outfit herself.
matters. Linda presented herself to Roe "as a
friend, someone very easy to talk to, someone with When Roe refused to wear the uniform, Russell
a very good heart." See J.A. 239. Linda also took Roe to the mall to go shopping. At the mall,
promised to help Roe find another job after the he purchased a "very revealing" "one-piece" that
data-entry position ended. Roe believed Linda "open[ed] in the front," and "underwear ... with
offered such help because Linda "really liked" her. one tiny string" and "many holes." See J.A. 253.
Id . at 241. Back at the apartment, Russell asked Roe to put
on the new purchases "and show him what it looks
Some months later, in the spring of 2007, the
like." Id . at 254. Roe refused again and went to
Howards’ then live-in housekeeper (another young
the kitchen to prepare Russell’s lunch. She then
Ethiopian woman named Brhan) left them. At the
retired to her room. Suddenly, Russell entered the
time, Roe was looking for a new job and the
room, naked. Roe tried to escape but Russell
Howards renewed their offer to Roe to fill the
cornered her, pinned her down on the bed, and
235 housekeeping position. Roe was uncertain *235
raped her. Russell continually raped and sexually
about accepting the Howards’ offer. She made
assaulted Roe for the duration of her time with the
more money when she had jobs that allowed her to
Howards. He repeatedly threatened Roe to
accept tips, like waitressing. Roe also had her own
maintain her silence: he verbally abused her, he
apartment and did not want to move in with the
warned Roe that he could have her thrown in jail,
Howards, which was a requirement of the
he threatened to tell her religiously conservative
position. But the Howards offered to help Roe get
family about the assaults, and he retained
medical treatment for an eye ailment, renew her
possession of her passport.
work visa, and aid her family in Ethiopia. Linda
also "knew that [Roe] had a desire to improve As the district court succinctly put it in its post-
[her] language skills," and promised that Russell trial opinion, "Linda Howard was aware of these
could help her with her English. See J.A. 247. As assaults." See J.A. 145-46. Linda often watched as
part of their discussions about the live-in position, Russell touched Roe’s rear end and breasts. Roe
Linda explained to Roe "that Russell is usually at overheard Russell talking to Linda on the phone
home, he needs a friend." Id . Linda told Roe that about the assaults, including complaining that Roe
"the main part of this job is to make Russell "wasn’t like Brhan." Id . at 258, 334. Roe knew it
happy." Id . at 250. Roe understood this to mean was Linda on the other end of the line based on
that "doing my job, cleaning, doing everything the nature and content of those conversations. On
else was what was going to make him happy."Id . one occasion, Russell related events to Linda over
the phone as he took Roe to a hospital to have an

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Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

intrauterine contraceptive device implanted. findings accompanying the 2003 TVPRA,


Russell also told Roe that he talked to Linda about Congress stressed the challenges that remained "in
the rapes. responding to the needs of victims of trafficking in
the United States and abroad." See id ., § 2(2), 117
Eventually, Roe’s continued resistance to Russell’s
Stat. at 2875. As part of the 2003 TVPRA
repeated assaults and open, abject misery so
amendments, Congress added a civil remedy
enraged Russell that he fired her in December
provision to chapter 77. See 2003 TVPRA, § 4(a)
2007. Linda then helped Roe obtain another
(4)(A), 117 Stat. at 2878. That civil remedy
restaurant job near the Howards’ apartment and
provision is codified at 18 U.S.C. § 1595(a),
wrote a letter of recommendation for her. Even
which provides:
then, Russell would often stop by the restaurant to
threaten Roe to maintain her silence about the (a) An individual who is a victim of a
rapes he had perpetrated. violation of [chapter 77] may bring a civil
action against the perpetrator ... in an
B.
appropriate district court of the United
Congress enacted the TVPA in the year 2000 "to States and may recover damages ....
combat trafficking in persons, a contemporary
The 2003 TVPRA also amended § 1591, which
manifestation of slavery whose victims are
prohibits "[s]ex trafficking of children or by force,
predominantly women and children, to ensure just
fraud, or coercion." That amendment altered §
236 and effective *236 punishment of traffickers, and to
1591 to expressly apply to acts committed "within
protect their victims." TVPA, Pub. L. No. 106-
the special maritime and territorial jurisdiction of
386, § 102(a), 114 Stat. 1464, 1466 (codified at 22
the United States." See 2003 TVPRA, § 5(a)(2),
U.S.C. § 7101(a) ). The congressional findings
117 Stat. at 2879. The phrase "special maritime
that accompanied the TVPA in its original form
and territorial jurisdiction of the United States" is
repeatedly emphasized the transnational nature of
a term of art defined elsewhere in the U.S. Code.
human trafficking and sexual exploitation, and the
That term encompasses a variety of locations
enforcement challenges posed by the international
under varying degrees of control by the United
scope of that criminal activity. See id ., § 102(b),
States and includes, with respect to offenses
114 Stat. at 1466-69.
committed by U.S. nationals, the grounds of U.S.
By way of the TVPA, Congress created several diplomatic installations and related premises. See
new federal criminal offenses intended to more 18 U.S.C. § 7(9). Specifically, § 7(9) defines the
comprehensively and effectively combat human term to reach:
trafficking. Among other provisions, the TVPA
criminalized: "Forced labor," "[t]rafficking with
respect to peonage, slavery, involuntary servitude,
or forced labor," and "[s]ex trafficking of children
or by force, fraud or coercion."See TVPA, §
112(a)(2), 114 Stat. at 1486-88. Those provisions
are respectively codified at 18 U.S.C. §§ 1589,
1590, and 1591, all within chapter 77 of Title 18.

In 2003, Congress reauthorized and amended the


TVPA. See Trafficking Victims Protection
Reauthorization Act of 2003, Pub. L. No. 108-
193, 117 Stat. 2875 (the "2003 TVPRA"). In the

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Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

(A) the premises of United States See id ., § 103, 119 Stat. at 3562 (codified at 18
diplomatic, consular, military or other U.S.C. § 3271 ). Each of the statutory provisions
United States Government missions or and amendments discussed heretofore was in
entities in foreign States, including the effect between June and December 2007, when the
buildings, parts of buildings, and land Howards exploited and abused Roe.
appurtenant or ancillary thereto or used for
In 2008, after Roe had left the Howards, Congress
purposes of those missions or entities,
further amended and reauthorized the TVPA. See
irrespective of ownership; and
William Wilberforce Trafficking Victims
Protection Reauthorization Act of 2008, Pub. L.
(B) residences in foreign States and the
No. 110-457, 122 Stat. 5044 (the "2008 TVPRA").
land appurtenant or ancillary thereto,
The 2008 TVPRA further expanded the
irrespective of ownership, used for
extraterritorial reach of the TVPA by providing:
purposes of those missions or entities or
used by United States personnel assigned In addition to any domestic or extra-
to those missions or entities. territorial jurisdiction otherwise provided
by law, the courts of the United States have
See id .
extra-territorial jurisdiction over any
In 2006, Congress again reauthorized the TVPA. offense (or any attempt or conspiracy to
See Trafficking Victims Protection commit an offense) under section ... 1589,
Reauthorization Act of 2005, Pub. L. No. 109- 1590, or 1591 if—
164, 119 Stat. 3558 (effective Jan. 10, 2006) (the
"2005 TVPRA"). This time, Congress expressly (1) an alleged offender is a national of the
found that "[t]he involvement of employees and United States ....
contractors of the United States Government ... in
See id ., § 223, 122 Stat. at 5071 (codified at 18
trafficking in persons, facilitating the trafficking in
U.S.C. § 1596 ). The 2008 TVPRA also expanded
persons, or exploiting the victims of trafficking in
chapter 77 to prohibit conspiracy to commit the
persons is inconsistent with United States laws
offenses codified at, inter alia, 18 U.S.C. §§ 1589,
237 and policies and undermines *237 the credibility
1590, and 1591. See id ., § 222, 122 Stat. at 5070
and mission of the United States Government
(codified at 18 U.S.C. § 1594(b) - (c) ).
programs in post-conflict regions." See id ., §
2(10), 119 Stat. at 3559. Accordingly, Congress C.
further expanded the TVPA’s extraterritorial reach
In May 2016, Roe sued Linda in the Eastern
by providing:
District of Virginia pursuant to the TVPA civil
Whoever, while employed by ... the remedy provision codified at 18 U.S.C. § 1595.4
Federal Government outside the United See J.A. 15. Roe alleged that Linda had violated
States, engages in conduct outside the multiple criminal provisions of the TVPA,
United States that would constitute an including its prohibitions of forced labor under 18
offense under chapter 77 ... of this title if U.S.C. § 1589, forced labor trafficking under §
the conduct had been engaged in within 1590, commercial sex trafficking under § 1591,
the United States or within the special and conspiracy to engage in those offenses under §
maritime and territorial jurisdiction of the 1594.
United States shall be punished as
4 Roe originally sued Russell’s estate in
provided for that offense.
addition to Linda, but later dismissed the
estate as a defendant in these proceedings.

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Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

See Roe v. Howard , No. 16-cv-562 (E.D. during her employment with the Howards. Doe
Va. July 26, 2017), ECF No. 78. testified, over objection, that Russell told her that
Linda knew "everything that is happening." Id . at
Before trial, Linda sought summary judgment on
174. Doe also related that, after they had arrived in
the grounds that the TVPA did not apply
Tokyo, Linda told Doe "to make sure that I please
extraterritorially to reach her conduct in 2007, and
[Russell], and that’s my primary job, that she
that the 2008 amendments expanding its
didn’t want him to be mad." Id . at 175. Some
extraterritorial application did not apply
months later, while Doe and the Howards were
retroactively. The district court denied that request
still in Tokyo, Russell fired Doe and threatened to
without prejudice after argument.
have her deported.
Linda also filed a motion in limine to exclude the
On July 31, 2017, after additional testimony and
testimony of Jane Doe, a live-in housekeeper who
stipulated submissions consistent with the
worked for the Howards after Roe was fired.5 The
preceding recitation of facts, the jury returned its
district court denied that motion and ruled that
verdict. The jury found Linda liable for each of the
Doe’s testimony was admissible under either Rule
four alleged violations of the TVPA. The jury
404(b) or Rule 415 of the Federal Rules of
calculated Roe’s compensatory damages at $1
Evidence. Roe’s claims proceeded to trial in
million for each violation. The jury found,
Alexandria on July 26, 2017.
however, that those compensatory damages were
5 The district court permitted Jane Doe to duplicative, and thus awarded Roe $1 million in
testify using this pseudonym. See J.A. 156. total compensatory damages. The jury also
awarded Roe $2 million in punitive damages. See
In accordance with the district court’s ruling, Jane
J.A. 115-17.
Doe took the stand at trial. Like Roe, Doe was a
young Ethiopian woman who came to Yemen in In September 2017, Linda filed multiple post-trial
238 search of *238 work. Doe testified, inter alia, that motions seeking to overturn the jury’s verdict. As
she began working for the Howards in Sana’a as a relevant to this appeal, Linda sought a new trial
live-in housekeeper in 2008. Doe followed the pursuant to Federal Rule of Civil Procedure 59(a),
Howards to Tokyo when they relocated at the end contending that the district court had erred in
of that year, based in part on the Howards’ admitting Doe’s testimony. Linda also renewed
promises that they would increase her pay and her Rule 50 motion for judgment as a matter of
help her obtain health insurance. Such insurance law on the grounds that the TVPA did not apply to
was a benefit of particular value to Doe, who had her extraterritorial conduct in 2007, and that the
"kidney issues." See J.A. 162-63. Doe knew no 2008 TVPRA amendments did not apply
one in Japan other than the Howards and did not retroactively. In October 2017, the court denied
speak Japanese. Linda’s post-trial motions. The court then entered
judgment in favor of Roe in accordance with the
Shortly after Doe and the Howards arrived in
verdict.
Tokyo, Russell’s behavior toward Doe changed.
Doe testified, over objection, that Russell told her In January 2018, the district court issued a post-
about "some of the ways he abused his former trial opinion that addressed, inter alia, Linda’s
employees." See J.A. 165. She described how contention that the TVPA’s civil remedy provision
Russell began to touch her inappropriately, on her did not apply extraterritorially to reach her
butt and thigh. Doe then testified that Russell conduct in Yemen in 2007. See Roe v. Howard ,
cornered her in her bedroom in the Howards’ No. 16-cv-562 (E.D. Va. Jan. 3, 2018), ECF No.
home and raped her. Russell raped Doe repeatedly 125. The court ruled that, under the version of the

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Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

TVPA in effect in 2007, the presumption against Linda seeks to overturn the jury verdict against her
extraterritoriality was rebutted with respect to by challenging two of the district court’s rulings in
Linda’s relevant conduct. Specifically, the court the proceedings below. First, Linda maintains that
applied the Supreme Court’s decision in Kiobel v. the court erred in concluding that the TVPA’s civil
Royal Dutch Petroleum Co. , 569 U.S. 108, 133 remedy provision applied to her extraterritorial
S.Ct. 1659, 185 L.Ed.2d 671 (2013), and this conduct in 2007, and thus erred in denying her
Court’s decision in Al Shimari v. CACI Premier motion for judgment as a matter of law. By her
Tech., Inc. , 758 F.3d 516 (4th Cir. 2014), to second contention, Linda argues that the court
conclude that Linda’s conduct sufficiently erred in admitting Jane Doe’s trial testimony
"touche[d] and concern[ed] the United States" to regarding her abuse by the Howards in 2008. We
displace the presumption against extraterritoriality. address each contention in turn.
See J.A. 148-49. Alternatively, the court
A.
determined that 18 U.S.C. § 1596, enacted in
2008, could apply retroactively and supported the Linda seeks to vacate the judgment against her on
extraterritorial application of the TVPA civil the ground that the TVPA’s civil remedy
239 remedy provision to Linda’s conduct.*239 Linda provision, codified at 18 U.S.C. § 1595, did not
has timely appealed the judgment of the district apply extraterritorially before 2008. Linda
court, and we possess appellate jurisdiction contends that this precludes any liability for her
pursuant to 28 U.S.C. § 1291. conduct toward Roe, which took place in Yemen
in 2007. The district court rejected that argument
II.
when it denied Linda’s post-trial motion for
We review de novo a district court’s denial of a judgment as a matter of law. In so ruling, the court
Rule 50 motion for judgment as a matter of law, relied on the Supreme Court’s decision in Kiobel
viewing the evidence in the light most favorable to v. Royal Dutch Petroleum Co. , and concluded that
the nonmoving party. See Fontenot v. Taser Int’l, Linda’s conduct sufficiently "touch[ed] and
Inc. , 736 F.3d 318, 332 (4th Cir. 2013). We also concern[ed] the United States" to displace the
review de novo "the conclusions of law on which presumption against extraterritoriality. See J.A.
the court’s denial of judgment as a matter of law 149 (citing Kiobel , 569 U.S. 108, 124-25, 133
was premised." Adkins v. Crown Auto, Inc. , 488 S.Ct. 1659 (2013) ). Alternatively, the court
F.3d 225, 231 (4th Cir. 2007). Our de novo review determined that 18 U.S.C. § 1596 — which
extends to all questions of statutory interpretation expanded the extraterritorial reach of the TVPA in
encompassed therein. See, e.g. , Stone v. 2008 — applied retroactively and sustained
Instrumentation Lab. Co. , 591 F.3d 239, 242-43 Linda’s liability under the TVPA.
(4th Cir. 2009).
As explained below, we affirm the district court
By contrast, we review a district court’s denial of a and conclude that the TVPA’s civil remedy
Rule 59 motion for a new trial for abuse of provision applied to Linda’s conduct in Yemen in
discretion, and we will reverse only "in the most 2007. We reach this conclusion, however, based
exceptional circumstances." Minter v. Wells Fargo on a somewhat different analysis than that
Bank, N.A. , 762 F.3d 339, 346 (4th Cir. 2014). employed by the district court. See United States v.
Likewise, we review rulings on the admissibility Smith , 395 F.3d 516, 519 (4th Cir. 2005)
of evidence, including testimony, for abuse of (confirming that this Court "may affirm on any
discretion. See, e.g. , United States v. Vidacak , grounds apparent from the record"). Specifically,
553 F.3d 344, 348 (4th Cir. 2009). we rely on the Supreme Court’s more recent
decision on extraterritoriality in RJR Nabisco, Inc.
III.

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Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

v. European Cmty. , ––– U.S. ––––, 136 S.Ct. relevant to this analysis, and in some
2090, 195 L.Ed.2d 476 (2016). Adhering to the circumstances the statute’s "context" may be
framework explained in RJR Nabisco , we ground "dispositive." Id . at 2102-03.
our ruling on the text and structure of the relevant
If the first step reveals that a statute — or a
TVPA provisions. Pursuant to our analysis, we are
specific statutory provision — has extraterritorial
240 satisfied that *240 the TVPA’s civil remedy
effect, our analysis is complete. See id . at 2101.
provision applied to Linda’s conduct toward Roe
If, on the other hand, the first step shows that a
in 2007.
statute does not apply extraterritorially, a court
1. must proceed to the second step identified in RJR
Nabisco . Specifically, the court must then
Congress has the undisputed authority to apply its
"determine whether the case involves a domestic
laws beyond "the territorial boundaries of the
application of the statute" by considering the
United States." See United States v. Ayesh , 702
challenged conduct in light of the statute’s
F.3d 162, 166 (4th Cir. 2012). Whether it has
"focus." Id . at 2101. If "the conduct relevant to
exercised that authority "is a matter of statutory
the statute’s focus" occurred "in U.S. Territory,"
construction." Id . (citing E.E.O.C. v. Arabian Am.
then the application of the statute is not truly
Oil Co. , 499 U.S. 244, 248, 111 S.Ct. 1227, 113
extraterritorial. See id .6 That is, such conduct
L.Ed.2d 274 (1991), superseded in part by statute
would represent a "permissible domestic
, Civil Rights Act of 1991, Pub. L. 102-166, 105
application" of the statute at issue. See id . at 2100.
Stat. 1074,as recognized in Landgraf v. USI Film
Prods. , 511 U.S. 244, 251, 114 S.Ct. 1483, 128 6 In delineating the two-step framework in

L.Ed.2d 229 (1994) ). The canon of statutory RJR Nabisco , the Supreme Court drew on
interpretation known as the "presumption against two of its key precedents addressing

extraterritoriality" instructs that "[a]bsent clearly extraterritoriality: Morrison and Kiobel .

expressed congressional intent to the contrary, The second step described in RJR Nabisco
, however, appears to privilege
federal laws will be construed to have only
consideration of a statute’s "focus" — the
domestic application." RJR Nabisco , 136 S.Ct. at
approach set out in Morrison — over the
2100.
inquiry articulated in Kiobel , which asked
In its 2016 ruling in RJR Nabisco , the Supreme whether the claims at issue "touch and

Court drew on its precedent to describe a "two- concern the territory of the United States."

step framework for analyzing extraterritoriality See RJR Nabisco , 136 S.Ct. at 2102 ;
Kiobel , 569 U.S. at 124-25, 133 S.Ct.
issues." See id . at 2101 (citing Kiobel , 569 U.S.
1659. On the other hand, RJR Nabisco did
108, 133 S.Ct. 1659 ; Morrison v. Nat’l Austr.
not overturn Kiobel and — in step two —
Bank Ltd. , 561 U.S. 247, 130 S.Ct. 2869, 177
retains a similar emphasis on the relevant
L.Ed.2d 535 (2010) ). The first step of the RJR
claim’s connection to U.S. territory. See
Nabisco framework asks "whether the statute RJR Nabisco , 136 S.Ct. at 2101. We need
gives a clear, affirmative indication that it applies not resolve the effect of RJR Nabisco on
extraterritorially," and thereby rebuts the Kiobel because, as explained herein, we do
presumption against extraterritoriality. Id . In not reach the second step of the RJR
making that determination, courts look to the text Nabisco framework.
of the statute, but "an express statement of
extraterritoriality is not essential." Id . at 2102. 2.
The structure and history of the statute are also

8
Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

The first step of the RJR Nabisco framework consult "all available evidence," including text,
requires us to assess the specific statutory statutory scheme, and legislative history to
provisions at issue to determine whether those determine extraterritorial effect of statute).
provisions demonstrate "clearly expressed
We begin our analysis by looking to the Supreme
congressional intent" that they will apply
Court’s application of the first RJR Nabisco step
extraterritorially. See 136 S.Ct. at 2100, 2102 ; see
to the circumstances of that case. In RJR Nabisco ,
241 also *241 Morrison , 561 U.S. at 265, 130 S.Ct.
the Court addressed whether the Racketeer
2869 (emphasizing that "when a statute provides
Influenced and Corrupt Organizations Act
for some extraterritorial application, the
("RICO") applied extraterritorially. See 136 S.Ct.
presumption against extraterritoriality operates to
at 2099. The central RICO provision, 18 U.S.C. §
limit that provision to its terms"). Here, Roe sued
1962, contains four substantive prohibitions that
Linda pursuant to the civil remedy provision of
criminalize certain means of influencing or
the TVPA, codified at 18 U.S.C. § 1595. Section
operating an enterprise through "a pattern of
1595 permits victims of the trafficking offenses
racketeering activity." See id . at 2097 (citing 18
specified in chapter 77 of Title 18 to sue the
U.S.C. § 1962(a) - (d) ). RICO defines
perpetrator of such an offense. Roe sought to
"racketeering activity" as comprising a range of
recover damages based on Linda’s violations of
state and federal offenses, referred to as predicate
the trafficking offenses codified at 18 U.S.C. §§
offenses. See id . at 2096 (citing 18 U.S.C. § 1961
1589, 1590, and 1591, which prohibit forced labor,
). To determine whether the substantive RICO
trafficking in forced labor, and forced sex
provisions applied to foreign conduct, the Court
trafficking, respectively. Roe also alleged that
examined the text and context of § 1962. See id .
Linda conspired to commit those offenses in
at 2101-03.
violation of § 1594. As described above, the jury
at Linda’s trial found that she had committed each The Court explained that "[t]he most obvious
of those four offenses and awarded Roe damages textual clue" that § 1962 applied extraterritorially
under § 1595. was that RICO defined "racketeering activity" to
include "a number of predicates that plainly apply
Applying the first step of the RJR Nabisco inquiry,
to at least some foreign conduct." See id . at 2101.
we are satisfied that § 1595 of the TVPA evinces a
The Court reasoned that "Congress’s incorporation
"clear indication of extraterritorial effect," at least
of [such] extraterritorial predicates into RICO
with respect to the conduct at issue here. See 136
gives a clear, affirmative indication that § 1962
S.Ct. at 2102. Of crucial importance, § 1595
applies to foreign racketeering activity — but only
directly incorporates predicate offenses that
to the extent that the predicates alleged in a
govern foreign conduct, providing strong textual
particular case themselves apply extraterritorially."
evidence of its extraterritorial effect when applied
See id . at 2102. Thus, although Congress had not
to those predicates. See id . at 2102-03.
included "an express statement of
Additionally, the purpose, structure, history, and
extraterritoriality" in RICO’s text, the context and
context of the TVPA militate toward the
structure of § 1962 — specifically, its
extraterritorial application of § 1595, to the extent
incorporation of "predicate statutes that do apply
that the relevant predicate offenses reach the
extraterritorially" — nonetheless provided the
challenged foreign conduct at issue. See id . at
necessary "clear, affirmative indication" that §
2102 (consulting "context" to determine
1962 applied extraterritorially. See id . at 2101,
extraterritoriality); In re French , 440 F.3d 145,
242 2102-03.*242 Put simply, RJR Nabisco teaches
151 (4th Cir. 2006) (explaining that courts should
that, even absent an express statement of
extraterritoriality, a statute may apply to foreign

9
Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

conduct insofar as it clearly and directly U.S.C. § 7104(c) (creating "border interdiction"
incorporates a predicate statutory provision that programs to combat trafficking at "key border
applies extraterritorially. See 136 S.Ct. at 2102-03. crossings"); § 7105 (authorizing foreign assistance
Applying this rule to the TVPA, we are satisfied programs to protect and aid trafficking victims
that § 1595 reflects congressional intent that it abroad). Notably, Congress has consistently
applies extraterritorially to the extent that a amended the TVPA to reach and proscribe
plaintiff seeks redress for a predicate offense "that additional categories of foreign conduct. See, e.g. ,
is itself extraterritorial." See id . at 2103. 18 U.S.C. § 1591 (amended by 2003 TVPRA to
cover conduct committed in special maritime and
Like § 1962, the TVPA’s civil remedy provision
territorial jurisdiction of United States); § 3271
directly incorporates a set of predicate offenses
(enacted as part of 2006 TVPRA amendments to
"that plainly apply to at least some foreign
cover trafficking offenses by U.S. government
conduct." See RJR Nabisco , 136 S.Ct. at 2101.
employees abroad). Viewed as a whole, the TVPA
More specifically, § 1595 permits "a victim of a
represents a far-reaching congressional effort to
violation of this chapter [chapter 77 of Title 18]"
combat transnational human trafficking on
to bring "a civil action against the perpetrator."
numerous fronts, including by expanding the civil
See 18 U.S.C. § 1595. Many of the predicate
claims and remedies available to its victims.
offenses proscribed by chapter 77 apply
extraterritorially, either expressly or by way of This is, in short, a situation in which Congress was
other provisions delineating their extraterritorial clearly concerned with international rather than
application. See, e.g. , 18 U.S.C. § 1585 purely domestic matters. In these circumstances,
(prohibiting, inter alia, seizure of persons "on any unduly limiting the TVPA’s scope risks frustrating
foreign shore" with "intent to make that person a its animating purpose. See Ayesh , 702 F.3d at 166
slave"). Thus, pursuant to RJR Nabisco , (ruling that federal statute prohibiting U.S.
"Congress’s incorporation" of such employees from pilfering public funds applied
"extraterritorial predicates" into § 1595"gives a extraterritorially because holding otherwise would
clear, affirmative indication" that § 1595 provides immunize broad category of conduct and frustrate
a civil remedy for the foreign conduct that is congressional intent); United States v. Delgado-
prohibited by chapter 77. See 136 S.Ct. at 2102. Garcia , 374 F.3d 1337, 1345 (D.C. Cir. 2004)
That is, § 1595 applies extraterritorially to the (concluding that statutes prohibiting inducement
extent that the particular predicate offense of aliens to enter United States illegally applied
supporting a specific claim applies extraterritorially because, inter alia, they were
extraterritorially. See id . at 2103. "fundamentally international" in "focus and
243 effect").*243 Although we are satisfied that RJR
Reinforcing that conclusion, the purpose,
Nabisco compels the extraterritorial application of
structure, history, and context of the TVPA all
§ 1595 with respect to its extraterritorial
support the extraterritorial application of § 1595
predicates, we recognize that Part IV of that
for an appropriate predicate offense. The TVPA’s
decision declined to apply RICO’s civil cause of
stated purpose and accompanying congressional
action to foreign conduct. See 136 S.Ct. at 2106.
findings demonstrate that Congress enacted it to
But that part of Justice Alito’s opinion for the
address the problem of human trafficking
Court depended on factors that do not apply to §
"throughout the world." See Pub. L. 106-386 §§
1595 of the TVPA. First, RICO’s civil remedy
101 -102, 114 Stat. 1464, 1466-69 (2000). The
provision, codified at 18 U.S.C. § 1964(c), does
TVPA contains numerous provisions authorizing
not directly incorporate any extraterritorial
funds and programs to support international efforts
predicates. Indeed, it makes no reference to any
to address that global problem. See, e.g. , 22

10
Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

extraterritorial provision whatsoever. Rather, civil In short, § 1595 evinces the same relationship to
liability under § 1964(c) is premised on § 1962 its extraterritorial predicate offenses that RICO’s
criminal liability, but — crucially — is not substantive criminal provision does to its
coextensive with § 1962 liability. Justice Alito predicates, and is not subject to textual limitations
emphasized that the text of § 1964(c) limited its like those found in RICO’s private cause of action.
application to certain types of injuries, and thereby Section 1595 therefore provides a civil remedy for
created a gap between the reach of § 1964(c) civil conduct that comes within the extraterritorial
liability and § 1962 criminal liability. See id . at predicates of the TVPA. Accordingly, we now turn
2106, 2108. Further, § 1964 contained no other to the question of whether the predicate offenses
indication that it should apply extraterritorially; underlying Roe’s civil suit applied to Linda’s
that is, it lacked the kind of "foreign-oriented extraterritorial conduct in 2007.
language" or reference to foreign activity that
3.
could sustain its extraterritorial application. See id
. at 2108-10 & n.12. The jury awarded Roe damages based on their
findings that Linda had violated 18 U.S.C. §§
None of the foregoing considerations apply to §
1589, 1590, 1591, and 1594. Each of those
1595 of the TVPA. As explained above, § 1595
offenses is a qualifying predicate offense for §
expressly and directly incorporates the TVPA’s
1595 civil liability, as they are all found within
criminal predicates, many of which manifestly
chapter 77 of Title 18 of the U.S. Code. See 18
apply to foreign conduct. See RJR Nabisco , 136
U.S.C. § 1595 (authorizing civil suits by "a victim
S.Ct. at 2102. In that regard, § 1595 of the TVPA
of a violation of this chapter [chapter 77]" against
resembles § 1962 of RICO rather than the
the perpetrator or "whoever knowingly benefits"
circumscribed text of § 1964(c). See id . at 2109-
from that violation). The remaining question for
10 (comparing and distinguishing § 1962 and §
us today is whether those predicates applied
1964 ); acc. Pfizer, Inc. v. Gov’t of India , 434 U.S.
extraterritorially and reached Linda’s foreign
308, 313-14, 98 S.Ct. 584, 54 L.Ed.2d 563 (1978)
244 conduct in *244 2007. See RJR Nabisco , 136 S.Ct.
(sustaining extraterritorial application of Clayton
at 2102. We will therefore assess each predicate
Act civil remedy due to, inter alia, its
offense, mindful that "the inclusion of some
incorporation of definitions expressly addressing
extraterritorial predicates does not mean that all
foreign entities). Moreover, the text of § 1595
[statutory] predicates extend to foreign conduct."
shows that it applies coextensively with its
See id .
predicate offenses, omitting any qualifying or
modifying language, which further distinguishes it a.
from § 1964(c). Notably, as discussed above, the
Section 1591 — prohibiting sex trafficking —
TVPA is replete with the "foreign-oriented
presents the simplest analysis. Since 2003, § 1591
language" that Justice Alito found lacking in §
has applied to conduct committed "within the
1964(c), including in the predicates underpinning
special maritime and territorial jurisdiction of the
Roe’s claim. See RJR Nabisco , 136 S.Ct. at 2110
United States." See 18 U.S.C. § 1591 ; 2003
n.12. Indeed, the TVPA more clearly targets
TVPRA, 117 Stat. at 2879. Where an offense is
foreign conduct than any provision of RICO, as
committed by a United States national like Linda,
demonstrated by its international scope and
Title 18 defines the "special maritime and
Congress’s repeated expansions of its
territorial jurisdiction of the United States" to
extraterritorial reach. See, e.g. , 2005 TVPRA, 119
include the "premises of United States diplomatic,
Stat. at 3562.
consular, military or other United States
Government missions or entities in foreign

11
Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

States," including related residences, buildings, extraterritorially." See RJR Nabisco , 136 S.Ct. at
and land, that, "irrespective of ownership," are 2102 (internal quotation marks omitted). If a
used "for purposes of those missions or entities." plainer indication was needed, Congress included
See 18 U.S.C. § 7(9). It is undisputed that Linda’s § 3271 in chapter 212A, titled "Extraterritorial
part in Roe’s abuse occurred entirely on U.S. Jurisdiction Over Certain Trafficking in Persons
embassy grounds and housing in Sana’a. Those Offenses." See 2005 TVPRA, 119 Stat. at 3562.
premises unquestionably fall within the "special By the TVPA’s own terms, this extraterritorial
maritime and territorial jurisdiction of the United application is limited in scope; that is, it applies
States," as defined in Title 18. See id .; see also only to persons employed abroad by the federal
United States v. Passaro , 577 F.3d 207, 214 (4th government. Linda, however, falls within that
Cir. 2009) (observing that American embassies are class of employees. Consequently, her actions in
"plainly within § 7(9) ’s scope"); United States v. Sana’a were within the extraterritorial scope of §
Erdos , 474 F.2d 157, 160 (4th Cir. 1973) (ruling 1589 and § 1590 in 2007. The jury therefore
that embassies comprise part of "special territorial properly found her liable for violating those
jurisdiction" of United States); H.R. Rep. No. 107- 245 provisions under § 1595.*245 c.
236, at 74 (2001) (agreeing with Erdos and
Turning to § 1594, however, our analysis differs.
explaining that "embassies and embassy housing
Regardless of § 1594 ’s extraterritoriality, the
of the United States in foreign states are included
conspiracy provision for which the jury found
in the special maritime and territorial jurisdiction
Linda liable had not been enacted by 2007. Rather,
of the United States"). Thus, § 1591 expressly
the conspiracy prohibitions contained in § 1594(b)
applied to Linda’s conduct in Sana’a in 2007, and
and (c) were added as part of the 2008 TVPRA
she is liable for her violation thereof under § 1595.
amendments. See 2008 TVPRA, § 222, 122 Stat.
b. at 5070. That said, we need not resolve whether §
1594 applies retroactively in order to affirm the
Sections 1589 and 1590 of Title 18 — prohibiting
award of damages to Roe. If this Court is
forced labor and forced labor trafficking — do not
"reasonably certain" that the jury would have
directly refer to foreign conduct. But since 2006,
awarded the same amount of damages regardless
those sections have applied to extraterritorial acts
of the "issues erroneously submitted to it," we are
committed by United States employees like Linda.
entitled to affirm the award. See Tire Eng’g &
The 2005 TVPRA amended the TVPA by enacting
Distribution, LLC v. Shandong Linglong Rubber
18 U.S.C. § 3271, which provides:
Co. , 682 F.3d 292, 314 (4th Cir. 2012). That rule
Whoever, while employed by ... the holds particular force where, as here, the jury has
Federal Government outside the United completed a special verdict form addressing
States, engages in conduct outside the liability and damages. See id . at 313-14
United States that would constitute an (collecting and comparing cases). Because the jury
offense under chapter 77 [of Title 18] if the indicated that it calculated Roe’s damages at $1
conduct had been engaged in within the million for each of the four TVPA violations, but
United States or within the special awarded only $1 million total because those
maritime and territorial jurisdiction of the damages were duplicative, it is beyond reasonable
United States shall be punished as debate that the jury would have awarded Roe $1
provided for that offense. million in compensatory damages for any one of
Linda’s violations, and for any combination
See 18 U.S.C. § 3271 ; see also 2005 TVPRA, §
thereof. See J.A. 115-17.
103, 119 Stat. at 3562. Such language "manifests
an unmistakable congressional intent to apply

12
Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

In sum, the facts established at trial show that Turning to Linda’s second and final appellate
Linda committed at least three predicate offenses contention, we must resolve whether the district
that applied to her extraterritorial conduct toward court properly admitted Jane Doe’s evidence
Roe in 2007. Pursuant to the Supreme Court’s concerning the sexual abuse she suffered while
decision in RJR Nabisco , § 1595 authorizes working as the Howards’ housekeeper in 2008.
Linda’s civil liability based on her commission of Linda raises various objections to Doe’s
those offenses.7 We are entitled to affirm the jury’s testimony: that it was impermissible character
award of damages because they were properly evidence barred by Federal Rule of Evidence
awarded pursuant to § 1595, and because any error 246 404(a) ; that it could not be admitted *246 under
with regard to the applicability of § 1594 did not Rule 415, which permits testimony of "similar
affect that result. acts" in sexual assault lawsuits; that it was unfairly
prejudicial and thus barred by Rule 403; and that
7 Linda’s argument against the
the portion of Doe’s testimony relating to
extraterritorial application of § 1595 relies
Russell’s statements constituted inadmissible
almost entirely on the Fifth Circuit’s ruling
in Adhikari v. Kellogg Brown & Root, Inc. ,
hearsay. Each assertion is without merit.
where that court determined that § 1595 First, Doe’s testimony was plainly admissible
failed to provide a remedy for the
under Rule 404(b) ’s exception to Rule 404(a) ’s
plaintiffs’ extraterritorial TVPA claims. See
general prohibition of character evidence to prove
845 F.3d 184, 201-06 (5th Cir. 2017) ; see
an action in conformity therewith. Doe’s
also Br. of Appellant 8-16. That decision,
testimony described Linda’s efforts to recruit Doe
however, is readily distinguishable because
the Adhikari plaintiffs did not allege a
to work as the Howards’ housekeeper, and her
violation of 18 U.S.C. § 1591 and the knowledge and facilitation of Russell’s repeated
defendants’ conduct occurred before the sexual assaults on Doe. Consistent with the
enactment of § 3271. See Adhikari , 845 permissible uses of character evidence under Rule
F.3d at 190, 200. 404(b), Doe’s testimony constituted highly
probative evidence regarding Linda’s intentions in
Because step one of the RJR Nabisco framework her interactions with Roe; the existence of a plan
demonstrates that § 1595 applied extraterritorially or pattern of behavior by the Howards toward their
to Linda’s conduct, we need not proceed to step live-in housekeepers; and Linda’s knowledge of
two, which guides our analysis only where the Russell’s abuse of their staff. Doe’s testimony was
pertinent statute does not apply extraterritorially. therefore admissible under Rule 404(b)(2), which
See RJR Nabisco , 136 S.Ct. at 2101. We thus permits the introduction of evidence of "a crime,
have no occasion to determine whether, under step wrong, or other act" to show, inter alia, intent,
two, Linda’s offenses involved "a domestic preparation, plan, knowledge, or absence of
application" of the TVPA. See id . Accordingly, mistake. Indeed, the similarity between Doe and
we reserve for another day the issue of whether Roe’s accounts of their abuse enhances the
conduct occurring entirely within U.S. embassy probative value and relevance of Doe’s evidence.
grounds and associated housing takes place "in See United States v. Queen , 132 F.3d 991, 997
U.S. territory." See id . ; see also Arabian Am. Oil (4th Cir. 1997).8 Because we are satisfied that
Co. , 499 U.S. at 248, 111 S.Ct. 1227. We confine
Doe’s testimony was properly admitted under
our analysis today to the text and context of §
Rule 404(b), we need not assess whether it was
1595, and affirm the jury’s award of damages to
also admissible under Rule 415.
Roe on that basis.

B.

13
Roe v. Howard 917 F.3d 229 (4th Cir. 2019)

8 Linda argues that the standard for Lastly, Doe’s testimony concerning Russell’s past
admitting evidence under Rule 404(b) statements was not inadmissible hearsay. Rule
changes when that evidence concerns 804(b)(3) authorizes the admission of hearsay
"subsequent" (rather than prior) acts. Br. of
statements by an unavailable declarant that are
Appellant 26. No such rule exists in this
manifestly against the declarant’s interest.
Circuit. Put simply, Rule 404(b) does not
Specifically, the statement must be one that "a
function differently merely because Doe’s
reasonable person in the declarant’s position
experience occurred after Roe’s. See
would have made only if the person believed it to
United States v. Mohr , 318 F.3d 613, 617
(4th Cir. 2003).
be true because, when made, it ... had so great a
tendency ... to expose the declarant to civil or
--------
criminal liability." Fed. R. Evid. 804(b)(3).
Nor was Doe’s testimony barred by Rule 403. 247 Russell’s *247 statements to Doe — admitting to
Pursuant to Rule 403, a court may exclude his past assaults of his former employees — more
evidence if its "probative value" is "substantially than qualify as statements against interest as so
outweighed" by, inter alia, the risk of "unfair defined, and his death in 2012 establishes his
prejudice." As noted above, Doe’s testimony unavailability to testify. Thus, the trial court did
provided highly probative evidence of a pattern of not abuse its discretion by relying on that
abusive behavior by Russell, knowingly facilitated exception to admit Doe’s testimony regarding
by Linda. Moreover, because the assaults Roe Russell’s incriminating statements. See, e.g. ,
suffered occurred in Yemen nearly a decade prior United States v. Udeozor , 515 F.3d 260, 267-68
to Linda’s trial, Doe’s evidence was particularly (4th Cir. 2008) (evaluating flexible requirements
important given the lack of available physical of Rule 804(b)(3) and sustaining admission of
evidence to corroborate Roe’s claims. Finally, the hearsay statements that implicated declarant in
district court limited the scope of Doe’s testimony multiple crimes).
to avoid revealing the upsetting details of
In short, the district court did not abuse its
Russell’s past assaults, and thus reduced the risk
discretion in admitting Doe’s testimony, and we
of unfair prejudice. See United States v. Mark ,
are satisfied to affirm the court’s rulings in that
943 F.2d 444, 449 (4th Cir. 1991). In these
regard.
circumstances, the court did not abuse its
discretion in permitting Doe to testify. See Mohr , IV.
318 F.3d at 619-20 (emphasizing that Rule 403
Pursuant to the foregoing, we affirm the district
only requires exclusion of evidence resulting in
court’s judgment in favor of Roe and against
unfair prejudice that "substantially " outweighs its
Linda Howard.
probative value); United States v. Van Metre , 150
F.3d 339, 351 (4th Cir. 1998) (sustaining AFFIRMED
admission of evidence of prior sexual assault in
light of its "significant probative value" and trial
court’s effort to reduce its prejudicial impact).

14

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