McCORMACK, J.
Appellant, Wa'il Muhannad, was charged with first degree sexual assault of his stepdaughter, M.H. During trial, M.H.'s therapist testified that the event causing M.H.'s posttraumatic stress disorder (PTSD) was Muhannad's sexually abusing her. The trial court allowed this testimony over Muhannad's objection, but later concluded that the testimony was reason to grant Muhannad's motion for a mistrial. Muhannad then filed a plea in bar, which the court denied. The issue is whether the State's questioning of the therapist was intended to goad Muhannad into moving for a mistrial, such that the State could get a second chance at a more favorable prosecution and thereby circumvent the protections of the Double Jeopardy Clauses of the U.S. and Nebraska Constitutions. We affirm the denial of the plea in bar.
M.H.'s mother married Muhannad in 2006, when M.H. was 10 years old. M.H. lived continuously with her mother and Muhannad except for brief periods when she stayed with her biological father. In 2011, M.H. disclosed that Muhannad had been sexually abusing her. The State charged Muhannad with first degree sexual assault of a child.
Before trial, Muhannad moved in limine to exclude the testimony of Carrie Gobel,
The State explained it wished to call Gobel to testify about "the symptoms of children who have been sexually abused." It further intended for Gobel to testify that M.H. had PTSD. Finally, the State expected Gobel to testify that M.H. exhibited "certain symptoms of the sexual abuse." The trial court denied the motion in limine, and the case proceeded to trial.
M.H. was 16 years old at the time of trial. M.H. stated that sometime around 2008 or 2009, Muhannad began sexually abusing her. It began with Muhannad's touching her when they were watching a movie at home. M.H. recalled that the movie was "`Reign Over Me.'"
M.H. testified that soon thereafter, Muhannad began to have intercourse with her three to four times a week. M.H. described that Muhannad would either come into her bedroom at night or have intercourse with her during times in the day when her mother was not home.
M.H. testified that Muhannad always ejaculated into a napkin. He asked her twice to take pregnancy tests, and M.H. described those tests in detail. M.H. described incidents where Muhannad made her watch pornography with him. M.H. said that sometimes Muhannad told her to use a vibrator while he watched. She also testified that Muhannad made her give him manual stimulation and oral sex. M.H. testified that Muhannad said he would kill her if she told anyone about the assaults.
In May 2011, M.H.'s mother picked M.H. up from school and told M.H. that Muhannad had given her the "final talaq." M.H.'s mother explained that the final talaq was the final act, under Islam, of divorcing one's wife. After hearing this news, M.H. revealed the assaults to her mother. M.H.'s mother testified that M.H. was "shaking, scared, crying" when she reported the abuse. M.H. explained that she chose to finally disclose the abuse to her mother when she learned of the final talaq, "[b]ecause I had come to, like, an understanding of my mom wouldn't hurt me or she wouldn't, like, tell me that I was lying." M.H.'s mother called the police.
An Omaha police officer responded to the call. The officer interviewed the mother and M.H. and described M.H. as "very shy and talked under her breath and looked down at the ground." The officer took M.H. and her mother to a hospital.
At the hospital, a nurse conducted a forensic sexual assault examination of M.H. M.H. testified that the last sexual contact between herself and Muhannad was before school on the same day she told her mother about the abuse. There was some dispute about whether M.H. had previously reported that the last assault had been the day before.
M.H. testified that on the morning of the last alleged assault, she was taking a shower when Muhannad entered the bathroom and asked her to exit the shower. Muhannad then directed M.H. to lean up against the sink while he had intercourse with her from behind. Muhannad ejaculated into a napkin. After Muhannad left the bathroom, M.H. again showered, dressed, and went to school.
The nurse was unable to find any foreign pubic hairs during the forensic examination, and a DNA analyst confirmed that no semen or other foreign DNA was found
Defense counsel pointed out the lack of physical evidence supporting the allegations of abuse. Defense counsel also pointed out details of M.H.'s story that M.H. was describing for the first time at trial. Principally, these details included the instances where Muhannad asked her to use a vibrator and when he made her take pregnancy tests.
Defense counsel also noted M.H.'s delayed reporting of the abuse. Defense counsel particularly focused on when M.H. had written an affidavit listing the reasons she wanted to live with her biological father. At that time, M.H. did not disclose sexual abuse as one of those reasons.
Defense counsel suggested that M.H.'s mother conspired to get Muhannad arrested so she could marry another man who allegedly wanted to take over a business that she and Muhannad owned. That man was their business partner. Defense counsel asked M.H.'s mother if, before the sexual abuse accusations, she had "aspirations... of somehow creating a way that [she] could get [Muhannad] out of the picture."
Defense counsel pointed out that M.H.'s mother "married" that man — who was also her friend's husband — shortly after receiving the final talaq from Muhannad. And defense counsel implied that M.H.'s mother pressured M.H. to make allegations of sexual abuse in order to carry out this scheme to get Muhannad "out of the picture." Admittedly, M.H.'s mother had told M.H. that "it would be a shame" if Muhannad got out of jail and M.H. ended up there instead. M.H. similarly testified that her mother told her she would get in trouble if she changed her story.
But M.H.'s mother denied having any plan to get Muhannad "out of the picture" so another man could take over the business with her. In fact, she testified that the business shut down after Muhannad's arrest.
M.H. clarified that no one had ever told her to lie about the sexual abuse. M.H.'s mother explained that she had made the comment about who would be going to jail when M.H. was fearful of testifying. M.H.'s mother said she was confused about the penal consequences for refusing to testify.
Defense counsel also suggested that M.H. had fabricated the sexual assaults in order to keep Muhannad from divorcing her mother. It was undisputed that, at least at times, M.H. was opposed to Muhannad's divorcing her mother. In fact, M.H. testified that when Muhannad sent M.H.'s mother the second talaq, M.H. had threatened Muhannad that she would report the sexual assaults if he divorced her mother.
In this context, the State called Gobel as its last witness. Gobel is a licensed mental health practitioner with training in sexual abuse. Gobel was M.H.'s therapist for the 2 years leading up to trial.
Gobel testified that M.H. had been diagnosed with PTSD. She described M.H.'s symptoms, which included anxiety, hypervigilance, racing thoughts, estrangement from others, irritability, and a sense of a foreshortened future. Without objection, Gobel testified that during her sessions with M.H., M.H. would have intrusive thoughts about "the sexual abuse." Gobel further testified, without objection, that M.H. had nightmares about the abuse and that M.H. reported being more easily irritated by a sister who resembled Muhannad.
Then the prosecutor asked, "According to your assessment and your ongoing treatment with [M.H.], can you describe for me what you believe to be the traumatic event that has caused this diagnosis?" Defense counsel objected to the question
The court overruled defense counsel's objection, and the prosecutor again asked Gobel, "According to your assessment of [M.H.], what was the traumatic event that initiated the diagnosis of PTSD?" Gobel answered, "[M.H.] was sexually abused by her stepfather, [Muhannad], for an extensive period of time."
Gobel went on to explain, without objection, that a child is unlikely to remember every instance of abuse in cases of prolonged periods of sexual abuse. Gobel further detailed some of the reasons delayed disclosure is common in cases of sexual abuse of a child.
At the close of the case and before closing arguments, there was more discussion between the attorneys and the court about whether Gobel's testimony had impermissibly vouched for M.H.'s truthfulness. The court again expressed its opinion that Gobel was simply explaining what she was treating M.H. for — based upon M.H.'s reports to Gobel.
On the prosecutor's own initiative, she then sought to clarify what would be appropriate closing arguments:
The following day, defense counsel moved for a mistrial. The prosecutor argued against the motion. The prosecutor explained that she did not intend to solicit "an answer regarding the individual's credibility." Rather, "[i]t was a question with respect to what traumatic event the diagnosis went to." The court agreed: "I reviewed the testimony last night, and I believe that the answer was [the] basis upon which the diagnosis was formed and the information that [Gobel] had received, and not the ultimate statement of who was the perpetrator of such even[t]."
The court thus denied the motion for mistrial. It also denied defense counsel's motion for directed verdict. But, after a short recess in which the court conducted additional research, the court changed its mind. It granted Muhannad's motion for a mistrial. The court explained that while Gobel might have been able to opine that "sexual abuse" was the cause of M.H.'s PTSD, Gobel's testimony was "over the edge" when she stated her belief that Muhannad was the perpetrator of the sexual abuse.
The court was prepared to retry the case the following Monday, but defense counsel filed a plea in bar to the retrial.
Defense counsel did not, however, argue that the State specifically intended to provoke a mistrial through such questioning. Instead, defense counsel argued that the U.S. Supreme Court in Oregon v. Kennedy
The prosecutor disagreed with defense counsel's reading of Oregon v. Kennedy and argued that it had no intention to provoke a mistrial.
The court denied the plea in bar. The court rejected defense counsel's reading of Oregon v. Kennedy.
In reaching the conclusion that the prosecutor did not intend to provoke a mistrial, the court found that the strength of the State's case was not weak and that the progression of the trial appeared to be in the State's favor. The court found that before the conduct causing the mistrial, there was no pattern of prosecutorial misconduct or escalation of any questionable conduct. Rather, the event leading to the mistrial was an isolated incident. The court found that the timing of the State's conduct did not support an inference that the prosecutor intended to cause a mistrial. Finally, the court found that the prosecutor resisted the motion for mistrial.
The court concluded that the prosecutor made "an error in judgment." Muhannad now appeals the denial of the plea in bar.
Muhannad assigns as error the trial court's determination that retrial was not barred by double jeopardy principles.
While the denial of a plea in bar generally involves a question of law, we review under a clearly erroneous standard a finding concerning the presence or absence of prosecutorial intent to provoke the defendant into moving for a mistrial.
The parties do not dispute the propriety of the mistrial. The issue is whether concepts of double jeopardy bar a retrial and, thus, the court should have granted Muhannad's plea in bar.
Traditionally, the Double Jeopardy Clause has been viewed as safeguarding three interests of defendants: (1) the interest in being free from successive prosecutions, (2) the interest in the finality of judgments, and (3) the interest in having
The constitutional protection against double jeopardy does not mean that every time a defendant is put to trial before a competent tribunal, the defendant is entitled to go free if the trial fails to end in a final judgment.
Furthermore, it is the general rule that where a court grants a mistrial upon a defendant's motion, the Double Jeopardy Clause does not bar a retrial.
In Oregon v. Kennedy, the U.S. Supreme Court defined a "narrow exception"
The Court explained that a standard based on the extent of prosecutorial misconduct is an untenable one. It refused to "add another classification of prosecutorial error" beyond those already established for trial error and for trial error warranting mistrial "without supplying any standard by which to assess that error."
"Prosecutorial conduct that might be viewed as harassment or overreaching, even if sufficient to justify a mistrial on [the] defendant's motion, therefore, does not bar retrial absent intent on the part of the prosecutor to subvert the protections afforded by the Double Jeopardy Clause."
The Supreme Court noted that "[e]very act on the part of a rational prosecutor during a trial is designed to `prejudice' the defendant by placing before the judge or jury evidence leading to a finding of his guilt."
We have consistently held that the Double Jeopardy Clause of the Nebraska Constitution provides no greater protection than that of the U.S. Constitution.
It is the defendant's burden to prove this intent.
A trial court makes its finding of subjective intent by "[i]nferring the existence or nonexistence of intent from objective facts and circumstances...."
In Oregon v. Kennedy, the Court refused to disturb the lower court's finding that the prosecutor had not intended to provoke a mistrial by asking a witness whether he refused to do business with the defendant because the defendant was a "`crook.'"
Some state and federal courts have accordingly set forth factors to consider when evaluating the question of an intention to goad the defendant into moving for mistrial. Certain courts have adopted the three factors articulated by Justice Powell.
We find all of the above-listed factors appropriate for consideration. But we decline to adopt a closed list that might limit a trial court's inquiry into a prosecutor's intent or our inquiry into whether the trial court's finding of intent was clearly erroneous. In addition to any objective factors listed above or that might be relevant under
The record here supports the trial court's conclusion that the prosecutor simply made "an error in judgment." In other words, it does not appear from the record that the prosecutor intentionally committed prosecutorial misconduct — let alone intended that her misconduct would provoke a mistrial.
It is not always easy to tell when an expert crosses the line into forbidden testimony on truthfulness.
In State v. Roenfeldt,
In State v. Doan,
No one now disputes that Gobel's testimony impermissibly vouched for M.H.'s credibility. Nevertheless, it appears that in her exuberance or lack of familiarity with the relevant case law, the prosecutor believed Gobel's testimony was admissible because it explained the basis for M.H.'s PTSD. As the prosecutor had predicted in the hearing on the motion in limine, Gobel never directly testified that M.H. was telling the truth.
Importantly, the trial court agreed with the prosecutor's theory of admissibility. During the sidebar at trial, the court opined that asking Gobel what "event" led to M.H.'s PTSD was not improper vouching. It is difficult to conclude that the prosecutor intended to force a mistrial by invoking testimony that the court had expressly deemed admissible.
We further note that after this testimony was adduced, the prosecutor expressed concern with avoiding trial error. The prosecutor was careful to clarify with the court what might be proper comment on this testimony during closing argument. The prosecutor said she would "make sure we don't say it wrong in the argument." Oral arguments were not transcribed, but Muhannad does not argue that the prosecutor failed to carry out the court's directives. It appears from the record that the prosecutor throughout the trial attempted to avoid committing any errors. This, again, runs contrary to an intent to provoke a mistrial.
But even if we could somehow conclude that the prosecutor knew the question was improper and that the trial court was wrong in allowing it, it would not follow that the prosecutor was engaging in a plan to provoke a mistrial at Muhannad's behest. Besides the inherent illogic to such a plan of pursuing a mistrial based upon the admission of the very evidence the court repeatedly deemed admissible, other objective factors support the inference that the prosecutor did not intend to goad Muhannad into moving for a mistrial.
There was no pattern of misconduct during this trial. If this was prosecutorial misconduct, it was, at most, an isolated incident. The record does not reflect whether the prosecutor was surprised by the motion, but presumably so, since — again — the court had indicated at all times that the prosecutor was acting correctly. The prosecutor strongly resisted the motion for mistrial once it was made.
Finally, as the trial court indicated, the progression of the trial appeared to be in the State's favor and there would have been little to gain in provoking a mistrial. We find no clear error in this conclusion. Muhannad points out the lack of physical evidence and the various defense theories presented at trial, but he points to nothing atypical for a child sexual abuse prosecution. There is no indication that a second trial would go differently. As the trial court said, there would be no tactical advantage in provoking a mistrial.
In summary, the record supports the trial court's finding that the prosecutor did not intend to provoke a mistrial. This was not a "Machiavellian situation where the prosecutor deliberately courts a mistrial."
Because the prosecutor did not intend to goad Muhannad into moving for a mistrial, Muhannad maintained primary control over the course of events following Gobel's testimony. Muhannad chose to waive the right to have his trial completed by a particular tribunal, and his plea in bar was properly denied.
For the foregoing reasons, we affirm the judgment of the trial court denying the plea in bar.
AFFIRMED.
HEAVICAN, C.J., not participating in the decision.