Court Opinion

ID: 9950422
Source: CourtListenerOpinion
Date Created: 2024-03-13 21:03:17.235124+00
Date Added: 2024-06-11T14:37:05.143130
License: Public Domain

IN THE SUPERIOR COURT OF THE STATE OF DELAWARE

STATE OF DELAWARE                   )
                                    )
      v.                            )       I.D. No.: 2303013972
                                    )
NATHANIEL COOPER                    )

                          Submitted: January 29, 2024
                           Decided: March 13, 2024

                                  OPINION

            Upon Consideration of Defendant’s Motion to Disclose
                 Grand Jury Witness’s Identity – DENIED.

Kevin Smith, Esquire, Deputy Attorney General, Dover, Delaware. Attorney for
the State of Delaware.

Tasha Stevens-Gueh, Esquire, Dover, Delaware. Attorney for Defendant Nathaniel
Cooper.

GREEN-STREETT, J.
                                        1
I.         Introduction

           A Kent County grand jury indicted Defendant Nathaniel Cooper on July 3,

2023.1 Mr. Cooper now seeks to compel the State to disclose the identity of the

witness that presented evidence against Mr. Cooper to the grand jury.2 Taking issue

with the fairness of Kent County’s entire grand jury process, Mr. Cooper cites

Superior Court Criminal Rule 6(e)(3)(C)(ii) to support the instant Motion to Disclose

Grand Jury Witnesses’ Identity (“Motion 2”).3 Mr. Cooper further contends that, if

the witness before the grand jury lacked personal knowledge of Mr. Cooper’s case,

the presentment to the grand jury was constitutionally defective.4

           The identity of the witness before the grand jury, standing alone, does not

constitute valid grounds for dismissal, nor does the lack of disclosure of that identity

amount to constitutional deficiency. Accordingly, for the reasons set forth below,

Mr. Cooper’s motion must be DENIED.

1
    State v. Cooper, Id. No. 2303013972, D.I. 13.
2
    Def.’s Mot. to Disclose Grand Jury Witnesses’ Identity at 1.
3
    Id.
4
    Id. at 2.

                                                    2
II.       Factual and Procedural Background

          Mr. Cooper’s indictment stems from an arrest on March 25, 2023.5 Before his

indictment, Mr. Cooper filed a Motion to Record Grand Jury Testimony (“Motion

1”).6 In response to that motion, this Court requested “supplemental argument from

the parties,” and that the parties “identify any persuasive authority” relevant to the

motion.7

          Before hearing arguments, the Court entered a provisional order requiring the

State to “record the witness testimony before the grand jury if [the State] sought to

indict [ ] Mr. Cooper” before the Court’s decision.8 Because of that provisional

order, the State arranged to record the witness testimony leading to Mr. Cooper’s

indictment.9 The Court then dismissed Motion 1 as moot.10 Mr. Cooper was indicted

5
    State v. Cooper, Id. No. 2303013972, D.I. 13.
6
  Def.’s Mot. to Disclose Grand Jury Witnesses’ Identity at 1; Mr. Cooper’s Motion to Record
Grand Jury Testimony was accompanied by an identical motion filed by a separate defendant, see
State v. Ponzo, 302 A.3d 1006, 1012 (Del. Super. 2023).
7
    Ponzo, 302 A.3d at 1012.
8
    Id.
9
    Def.’s Mot. to Disclose Grand Jury Witnesses’ Identity at 1.
10
   Ponzo, 302 A.3d at 1014 (Although Motion 1 was ultimately moot, the Court decided Mr.
Ponzo’s identical motion on the merits. The Court concluded that, although the Kent County grand
jury process is flawed, Mr. Ponzo was not entitled to compel the State to record grand jury
testimony.).

                                                    3
on July 3, 2023. The indictment charges Mr. Cooper with two counts of Possession

of a Firearm by a Person Prohibited, 11 Del. C. § 1448(a)(1).11

          During oral argument for Motion 1,12 the State articulated the standard process

for presenting evidence to the grand jury.13 The State reiterated that process during

oral argument for Motion 2. Typically, each agency sends “a single representative”

to testify regarding each of the cases that agency intends to present to the grand

jury.14 That representative, who frequently lacks personal knowledge of at least

some of the cases she presents, relays information from the police report, or similar

documents, to the grand jury.15 As to the witness who presented evidence against

Mr. Cooper to the grand jury, the State represented it does not intend to call that

witness at trial.16

III.      The Parties’ Contentions

          Mr. Cooper raises two main arguments in support of Motion 2. First, he argues

that, if the witness who presented evidence to the grand jury lacked personal

11
     State v. Cooper, Id. No. 2303013972, D.I. 13.
12
  Although the Court ultimately dismissed Motion 1 as moot, Mr. Cooper, through counsel,
participated in oral argument along with Mr. Ponzo; see Ponzo, 302 A.3d at 1013.
13
     Def.’s Mot. to Disclose Grand Jury Witnesses’ Identity at 1.
14
     Tr. of Oral Arg. at 19:14-23.
15
     Id. at 20:1-3.
16
     Id. at 21:1-8.

                                                     4
knowledge of Mr. Cooper’s case, Mr. Cooper may have a particularized basis for a

motion to dismiss as required by Superior Court Criminal Rule 6(e)(3)(C)(ii) (“Rule

6”).17 He alleges that a witness who lacks any personal knowledge related to the

case before the grand jury cannot be a competent witness.18 Mr. Cooper contends

that, were he armed with the identity of the witness that testified before the grand

jury, he would have a sufficient basis to request the transcript of the grand jury

proceeding assuming that the witness lacked personal knowledge of Mr. Cooper’s

case.19

          Second, Mr. Cooper posits that the State’s practice of having each agency send

a singular representative to present evidence pertaining to all of its cases before the

grand jury is unconstitutional.20 Mr. Cooper argues that this practice effectively

deprives him of his right to a fair indictment by allowing the State to rely exclusively

on police reports read to the grand jury by a person with limited personal knowledge

17
     Def.’s Mot. to Disclose Grand Jury Witnesses’ Identity at 1.
18
     Tr. of Oral Arg. at 7:1-10.
19
     Id. at 7:16-20.
20
     Id. at 9-10.

                                                   5
about the case.21 Given his assertion that the grand jury process is constitutionally

defective, Mr. Cooper suggests that he does not need to show any prejudicial effect.22

          The State disagrees with any assertion of a constitutional defect and insists

that the standard outlined by Rule 6 should apply.23 The State contends that Mr.

Cooper centers his motion on an evidentiary issue – whether a basis for a motion to

dismiss exists when the grand jury receives only hearsay evidence.24 The State

expounds that the Supreme Court of the United States has already decided this issue

for the corresponding right to a grand jury indictment in federal cases, and held that

a grand jury indictment may be based entirely on hearsay.25

IV.       Standard of Review

          Superior Court Criminal Rule 6(e) governs the disclosure of grand jury

proceedings. Generally, grand jury proceedings are subject to a veil of secrecy.26

21
     Id. at 11:11-19.
22
  Id. at 11:1-10; see also Bank of Nova Scotia v. United States, 487 U.S. 250, 257 (1988) (holding
that grand jury proceedings which involved discrimination based on race or sex were
fundamentally unfair and allowed for the presumption of prejudice to the defendant).
23
     Tr. of Oral Arg. at 16:19-23.
24
     Id. at 17:7-22.
25
  Costello v. U.S., 350 U.S. 359, 363 (1956); see also Ellegood v. State, 782 A.2d 263 (Del. 2001)
(holding that a defendant has “no right to challenge the adequacy of the evidence underlying an
indictment.”).
26
     Del. Super. Ct. Crim. R. 6(e)(2).

                                                6
The Court may permit disclosure of otherwise secret grand jury proceedings “at the

request of the defendant, upon a showing that grounds may exist for a motion to

dismiss the indictment because of matters occurring before the grand jury.” 27 The

defendant must show (1) “that the public interest in disclosure of the proceeding

overrides the public interest in maintaining the secrecy of the Grand Jury proceeding;

or (2) that the primary and traditional reasons for maintaining the veil of secrecy

around the Grand Jury proceedings are no longer operative.”28 The defendant must

demonstrate his need for disclosure of the grand jury proceedings “with

particularity[,] so that the secrecy of the proceedings may be lifted discretely and

limitedly.”29

V.        Analysis

          A.      Mr. Cooper fails to demonstrate that the presentation of evidence
                  to the grand jury was constitutionally defective

          The constitutionality of the grand jury process in Kent County, as it pertains

to each agency sending a single representative to present that agency’s cases, is a

matter of first impression for this Court. As many states forgo the use of a grand

27
     Del. Super. Ct. Crim. R. 6(e)(3)(C)(ii).

28
     Petition of Jessup, 136 A.2d 207, 218 (Del. Super. 1957).

29
 Douglas Oil Co. of California v. Petrol Stops Nw., 441 U.S. 211, 221, (1979) (internal quotations
omitted) (quoting United States v. Procter & Gamble Co., 356 U.S. 677, 683 (1958)).

                                                  7
jury,30 this Court turns to persuasive authority found at the federal level. This Court

takes guidance primarily from a pair of cases decided by the Second Circuit Court

of Appeals – United States v. Estepa31 and United States v. Brito32 – regarding the

presentation of evidence to federal grand juries.

               1. An overview of Estepa and Brito

           In Estepa, the Second Circuit reversed a conviction and dismissed an

indictment after reviewing a grand jury process similar to the process that occurs in

Kent County.33 There, the defendant’s indictment derived from the testimony of a

single witness.34 That witness possessed, at best, a limited role in investigating the

defendant.35

           As the evidence presented against the defendant consisted mostly of second-

hand regurgitation, the Second Circuit “condemned the casual attitude” the

prosecution showed by not presenting a witness with first-hand knowledge of the

30
  Ponzo, 302 A.3d at 1010 (citing Wayne R. LaFave et al., Indictment Jurisdictions, 4 Crim. Proc.
§ 15.1(d) (4th ed. 2022) (“Delaware is one of 18 states that, in addition to the District of Columbia
and the federal system, guarantees the accused a right to indictment by a grand jury on felony
charges.”)).
31
     471 F.2d 1132, 1133 (2d Cir. 1972).
32
     907 F.2d 392, 393 (2d Cir. 1990).
33
     Estepa, 471 F.2d at 1137.
34
     Id. at 1134.
35
     Id.

                                                 8
investigation.36 The Second Circuit noted “many opinions in which [it] affirmed

convictions despite the Government’s needless reliance on hearsay evidence before

the grand jury.”37 The Second Circuit outlined its requirements for affirming those

convictions: (1) “that the prosecutor [did] not deceive grand jurors as to the shoddy

merchandise they [were] getting[,] so they [could] seek something better if they

[wished];”38 and (2) “that the case [did] not involve a high probability that[,] with

eyewitness rather than hearsay testimony[,] the grand jury would not have

indicted.”39 Ultimately, Estepa held that, although the procedure of using a single

representative with limited personal knowledge to present evidence to a grand jury

suffers from several defects, those defects do not automatically require the

indictment’s dismissal.40

           The Second Circuit again confronted this flawed process of presenting

evidence to a grand jury in Brito. There, the Second Circuit again “look[ed] with

disfavor on all [those] shortcomings” inherent in sending a single, unconnected

36
     Id. at 1135.
37
     Id. at 1137.
38
  Id. (internal quotations omitted) (quoting United States v. Payton, 363 F.2d 996, 1000 (2d Cir.
1966) (Friendly, J., dissenting)).

39
  Id. (internal quotations omitted) (quoting United States v. Leibowitz, 420 F.2d 39, 42 (2d Cir.
1969)).
40
     Id.

                                               9
witness to present evidence.41 It warned against “exalt[ing] expedience at the

expense of fundamental fairness.”42

           The Second Circuit declined, however, to dismiss the indictment in Brito.43

First, it found that it “[could not] conclude at this time [ ] that the single-witness

policy constitutes such ‘systemic and pervasive’ prosecutorial misconduct as would

undermine fundamental fairness.”44            Next, the Second Circuit found that the

testifying witness and the prosecutor both warned the grand jury that the evidence

presented consisted entirely of hearsay, and that the testimony provided by the

witness was accurate.45 As the grand jury was not “misinformed or misled” by the

presentation of the evidence, the defendants suffered no prejudice.46 Because the

41
     Brito, 907 F.2d at 395.
42
     Id.
43
     Id.

44
   Id.; see also Bank of Nova Scotia, 487 U.S. at 259 (noting that “prosecutorial misconduct,
spanning several cases, that is so systematic and pervasive as to raise a substantial and serious
question about the fundamental fairness of the process which resulted in the indictment” may be
grounds for dismissing an indictment.); see also United States v. Serubo, 604 F.2d 807, 818 (3d
Cir. 1979) (holding “that dismissal of an indictment may be proper even where no actual prejudice
has been shown, if there is evidence that the challenged activity … has become entrenched and
flagrant in the circuit.”); but see United States v. Martino, 825 F.2d 754, 759 (3d Cir. 1987)
(observing that, even in cases of extreme prosecutorial misconduct, the court always considers
whether the defendant suffered prejudice).
45
     Brito, 907 F.2d at 395-96.
46
     Id. at 396.

                                               10
defendants were not prejudiced, the Second Circuit declined to dismiss the

indictment against them.47

               2. Application of the federal standard to Mr. Cooper’s motion

           Mr. Cooper seeks the identity of the witness that presented evidence against

him before the grand jury. Mr. Cooper alleges that the State used a fundamentally

unfair procedure to present evidence to the grand jury.48 He posits that, because of

this fundamental unfairness, his motion should be granted even absent a showing of

prejudice.49

           As outlined by the cases referenced above, circumstances exist in which a

constitutionally defective indictment would require dismissal. As those cases hold,

however, a defendant must show more than Mr. Cooper has demonstrated here. The

mere fact that the sole witness testifying against him may have lacked personal

knowledge of the case does not rise to the level of constitutional defect. Further, the

disclosure of the identity of the witness, standing alone, does not form the basis for

a motion to dismiss. Absent a showing that the procedure used by the State has

become “entrenched and flagrant” in Kent County, this Court cannot consider if that

procedure falls into the same vein of misconduct that led other courts to dismiss

47
     Id.
48
     Tr. of Oral Arg. at 8:6-22.
49
     Id.

                                            11
indictments.50 As the identity of the witness that testified against Mr. Cooper does

not materially advance such a showing, the Court will not pierce the veil of secrecy

afforded to grand jury witnesses in furtherance of Mr. Cooper’s alleged

constitutional argument.51

          B.     Mr. Cooper fails to show a particularized basis for granting his
                 motion

          Having found Mr. Cooper’s constitutional argument to be lacking, this Court

must instead apply the standard prescribed by Rule 6 for disclosing grand jury

proceedings. Mr. Cooper must show either (1) “the public interest in disclosure of

the proceeding overrides the public interesting in maintaining the secrecy of the

Grand Jury proceeding;” or (2) “the primary and traditional reasons for maintaining

the veil of secrecy around the grand jury proceedings are no longer operative.”52 Mr.

Cooper fails to show either.

50
     Serubo, 604 F.2d at 818.
51
   The State has represented that this procedure is the standard in Kent County, see Tr. of Oral Arg.
at 19:14-18. But Mr. Cooper’s instant motion seeks the identity of a single grand jury witness,
which would not demonstrate either (1) that the State consistently uses only one witness per agency
to present to the grand jury; or (2) that this practice by the State rises to a level of fundamental
unfairness as to be constitutionally defective. Because the identity of the witness alone does not
meet the requisite threshold for the Court to dismiss the indictment based on a constitutional defect,
the Court cannot engage in an analysis of the constitutionality of the procedure used by the State
at this time.
52
     Petition of Jessup, 136 A.2d at 218.

                                                 12
          An indictment may be based entirely on hearsay evidence.53 Mr. Cooper takes

issue with the manner in which the State presented that evidence, but concedes that

hearsay evidence alone may justify an indictment.54 Mr. Cooper further conceded

that, “[i]f there is no constitutional defect, then it’s not a situation where an

indictment could be dismissed.”55 As previously outlined, the identity of the witness

that presented evidence against Mr. Cooper to the grand jury alone would not form

a sufficient basis for a motion to dismiss the indictment. Accordingly, Mr. Cooper

cannot show disclosure of that witness’s identity “overrides the public interest in

maintaining the secrecy of the Grand Jury proceeding.”56

          Mr. Cooper argues that, if he knew the identity of the witness, and could show

that the witness had no personal knowledge pertaining to Mr. Cooper’s case, that

information would support a future motion seeking disclosure of the recorded grand

jury testimony.57 The standard outlined by Rule 6, however, requires Mr. Cooper to

show grounds may exist for a motion to dismiss. The Court will not order disclosure

of any information protected by the veil of secrecy afforded to grand jury testimony

53
     Costello, 350 U.S. at 363.
54
     Tr. of Oral Arg. at 9:1-6.
55
     Id. at 10:12-14.
56
     Jessup, 136 A.2d at 218.
57
     Tr. of Oral Arg. at 13-20.

                                            13
absent a showing that Mr. Cooper may have grounds for a motion to dismiss. Mr.

Cooper’s suggested approach of allowing him access to grand jury records gradually

to afford him a basis for future motions, rather than a motion to dismiss, fails to

comply with that prescribed standard.

           Likewise, Mr. Cooper has failed to demonstrate that “the primary and

traditional reasons for maintaining the veil of secrecy around the Grand Jury

proceedings are no longer operative.”58 Encouraging witnesses to testify freely is

one of the “primary and traditional reasons behind requiring secrecy of the grand

jury proceedings.”59 Allowing defendants to compel disclosure of a witness’s

identity – in hopes of findings grounds for a future motion – would undermine the

freedom and secrecy typically afforded grand jury witnesses. Mr. Cooper has not

advanced any arguments to the contrary, and thus cannot show that this “traditional

reason for maintaining the veil of secrecy is no longer operative.”60

VI.        Conclusion

           Mr. Cooper has failed to advance a constitutional argument that overcomes

the intentionally high bar set for grand jury secrecy. He has also failed to show

58
  State v. Webster, 2015 WL 13697701, at *4 (Del. Super. Nov. 20, 2015) (internal quotations
omitted) (quoting Jessup, 136 A.2d at 218.)
59
     Id.
60
     Id.

                                            14
entitlement to disclosure under Rule 6. Therefore, for the foregoing reasons, Mr.

Cooper’s motion must be DENIED.

      IT IS SO ORDERED.

                                       15