This Court Martial record (Volume 4 of 8) discusses the court martial proceedings of Staff Sergeant Ivan L. Frederick, II, who was charged for offenses he committed while assigned to the Abu Ghraib Detention Facility on or about November 08, 2003. SSG Frederick was arraigned and charged with a number of offenses, including maltreatment of subordinates, conspiracy, dereliction of duty, assault, and wrongful commission of an indecent act with detainees. Included in the record is the testimony of a Clinical Psychologist, who testified for the defense. After conducting a psychological assessment of SSG Frederick, the Psychologist determined that SSG Frederick did not show any sociopathic or anti-social tendencies and there was no indication that SSG Frederick was a sadist. Also, included were exhibits and Army leadership training material.
T-MARTIAL RECORD:
NAME RED6Rtc.K,LVAni L. ) 1l·SSG
SSN.
ACTIONS CODED: ASSIGNED O: INITIAL PANEL `sr ACCA.. EXAM. DIV.
FINAL COMPANION(S):
RETURNTHIS.FILE TO:
OFFICE OF THE CLERK OF COURT
US. ARMY . JU_D1:CIrAR.Y
901 NORTH. STUART STREET" SU ITE -1200
ARLINGTON, VA. 222034 837
VOL OF VOL(S) ND
2 0 0 4 1 1 2 9
ARMY
JALS-CC FORM 24, tOCTOBER 2000 .
018660
VOL *Ek of VII
ORIGINAL COPY
VERBATIM'
RECORD OF TRIAL 2
(and accompanying papers)
OF
64)2)424)-21-
FREDERICK, Ivan L., II Staff Sergeant
111111111110V
(NAME: Last, First Middle Initial) (Social Security Number) (Rank)
HHC, 16th MP Bde (ABN)
III CorpsVUS ArmyVVictory Base, Iraq
(unit/Command Name) (Branch of Service) (Station or Ship)
BY
GENERAL COURT-MARTIAL
CONVENED BY COMMANDING GENERAL
(Title of Convening Authority)
Headquarters, III Corps
(Unit/Command of Convening Authority)
TRIED AT
Baghdad and Victory Base, IraqV
ONV19 May, 21-22 Jun; 24 Aug;
20-21 Oct 04
(Place or Places of Trial) (Date or Dates of Trial)
COMPANION CASES:
SPC AMBUHL, Megan M.,
SGT DAVIS, Javal S.,
c6A z, f2
SPC GRANER, Charles A., Jr.,
SPC HARMAN, Sabrina D.,
SPC SIVITS, Jeremy C.,
SPC CRUZ, Arman J.,
PFC ENGLAND, Lynndie R.,
f
Transcript R.490 through prosecutionexhribits
cp
o
I Insert "verbatim" or summarized" as appropriate. (This form will be used by the Army and Navy for verbatim records of trial only.)
2 See inside back cover for instructions as to preparation and arrangement.
DD FORM 490, OCT 844 Previous editions are obsolete. FRONT CO4 86 6 1
2 0 0 4 1 1 2 9
DOD-041840
1 not very fruitful. When we forwarded that information up to Brigade,
2 we got, in not so many terms, we were told that we weren't getting
3 the intelligence that they expected, and therefore, we must not be
4 conducting interrogations--enough interrogations to get the
5 intelligence.
6 Is it fair to say based upon your observations that there
Q..
7 was significant pressure placed upon the 205th and yourself to get
8 information of an intelligence nature out of Abu Ghraib?
9 I'm sorry, I didn't hear the question, sir.
A..
10 Q..
I'm sorry, I'll try to restate it. Based upon your own
11 observations, was there significant pressure placed upon your
12 battalion and the 205th to obtain intelligence information out of Abu
13 Ghraib?
14 Yes, sir.
A..
15 Now, did there come a time when you received in August of
Q..
16 2003 an email out of CJTF which spoke to this, "The 1 yes are coming
?
4404;)ag):e.
17 off, gentlemen, regarding these detainees. Colonel MI has made it
18 clear that we want these individuals broken." Did there come a time
19 when you received that?
20 Yes, sir.
A..
21 Could you tell the court what your reaction to that
Q.4
22 document was?
4 018662
490
A..
2 Yes, we have it for you. I thought you had it. I believe
1 Sir, if I may have a chance to review the document.
Q..
3 the document is available for you right there. [Document was
4 provided to the witness.] And if you'll turn to page two.
5.
ATC: Just for the record, we're looking at Defense Exhibit D, is
6 that correct?
7.
CDC: Yes, I'm sorry, Defense Exhibit D.
8.
WIT: Okay, sir, can you restate the question?
9 Okay, have you read it now?
Q..
10 A..
Yes, I have.
11 Q..
Firstly, let me ask you, did you take this message
12 seriously?
13 Sir, it was my opinion that CJTF didn't understand how
A..
14 interrogations were conducted because many of the people that were in
15 CJTF-7 J2X staff had no HUMINT experience. I believe that they were
16 not aware of the Geneva Convention rules and may not understand what
17 the legal ramifications were for how we did interrogation$. It was
18 my opinion that they were attempting to get us to be more aggressive
19 in the interrogations, sir. Therefore, I took their request as--I
20 took their request, or that email as an indication that they wanted
21 us to do more in the booth, sir.
.
491 018663
DOD-041842
Q..
2 two words?
3 A..
1 I'm sorry, I couldn't hear you. Could you say those last
I was saying that they wanted us to be more aggressive in
4 the booth, a literal translation of [inaudible].
5 And do you have any sense of the number of persons who
Q..
6 received this document?
4
7 A. Without reviewing it, I know that the distro was primarily
8 members of the 205th MI Brigade, the 519th MI Battalion, Alpha
9 Company, 519th MI Battalion, as well as some members of the Divisions
10 and their G2.
11 Q..
Your impression was what? What did they want out of this
12 document
13 ATC: Objection, Your Honor.
14.
MJ: Grounds?
15.
ATC: Calls for speculation.
16.
MJ: Sustained. Don't answer that question. Next question.
17 How did you interpret----
Q..
18.
MJ: MAW what difference does it make how he interpreted
19 it? (big j
20.
CDC: I believe it does make a difference.
21.
MJ: Well, that's what I'm asking.
.
492 018664
1.
CDC: But I'll go on. How he interprets the document suggests
how he'll conduct himself.
3.
MJ: I mean, I've given you a great deal of leeway on the
4 subject. But I'm just trying to figure out, he's up at Camp
5 Speicher, and is it somehow how he interprets the document up at Camp
6 Speicher influence----
7.
CDC: I think so.
8.
MJ: Well, I know you think so, because you're asking the
9 question.
10.
CDC: Yes.
11VMJ: But help me to understand how this----
12.
CDC: Let me rephrase this so we'll end up with a better
13 question. Is that fair enough?
14.
MJ: Fair enough.
15 Questions by the defense [continued]:
16 Was there chatter within the MI community about this
Q..
17 communication?
18.
ATC: Objectidn, calls for hearsay.
19.
MJ: Overruled.
20 I shared emails with....
A..
21 With whom?
Q..
.
493 018665
CA) -(6)OA) -2
1 I shared emails with Captain and CW2 1111
A..
2 •, who was almost in shock because we couldn't believe that....
3 You'll have to say that again.
Q..
.
4 A..
...the violation of the Geneva Convention.
5.
MJ: Ask him to repeat that.
6 Could you repeat the answer?.
Q..
) G.) -0) (601 00 -
.
7 I sent an email to Captain.
A. nd to CW2 Imp
8.
and basically on my email, I was shocked that they were
111111
9 alluding to the fact it would be a violation of the Geneva
10 Convention.
11.
DC: I have nothing further, Judge. Thank you.
12.
MJ: Trial counsel?
13 CROSS-EXAMINATION
VC6x..)2 -otiid -a 14 Questions by the assistant trial counsel [Captai 15
Q. Chief Ijust have a few questions for you. How many
16 times have you actually been to Abu Ghraib?
17 Two times, sir.
A..
Q..
19 spend there?
.
18 And over those two visits, how many hours did you actually
20 A..
Probably a total of about 8 hours, sir.
Q..
22 Abu Ghraib about interrogation practices?
.
21 Did you ever speak to any of the military police located at
494 018666
DOD-041845
1 A..
No, sir.
2 On that distro list of the email, if you could please take
Q..
3 a look at Defense Exhibit Delta again, the email. Do you see any
4 military police on the distribution list of that email?
54A. I don't
Sir, not by name. There's a.
C6) (4) -S;Mte)
6 know who that person is..
4
7 Q.
And when was your role curtailed, as l'ar as the mission at
8 Abu Ghraib is concerned?
9 Can you restate the question, sir?
A..
10 Q..
When was your role, in particular, curtailed concerning the
11 mission at Abu Ghraib?
12 Sir, it was some time in mid to late September when the
A..
13 205th MI Brigade assumed control over Alpha Company, 519th operations
14 at the brigade, 519th--my shop no longer had control over
15 intelligence or tactical control over the operations....
16 So as of mid to late September, you had no role whatsoever
Q..
17 in the interrogation practices at Abu Ghraib?
18 Correct, sir.
A..
19.
ATC: Thank you. No further questions.
20.
CDC: No questions, Your Honor.
21.
MJ: Excuse the witness and call the next witness.
22.
[The witness was excused.]
495
018667
DOD-041846
f)
1V, civilian, was called as a witness for the
1111.111111.
2 defense, was sworn, and testified as follows:
3 DIRECT EXAMINATION (Lx4) zicbiaej
4 Questions by the trial counsel [Captain
5 Q. can you please state your full name for the
Mr.
4
6 record, please?.
(6)&) -q),(077)VV
7.
A.
8 And can you please give the city and state of your
Q..
9 residence for the record, as well?
4
10 A.
Buckingham County, Virginia.
4
11 ATC: Thank you. IMr.1111111has some questions for you, Mr.
12
--67-)0-e)-
13 Questions by the defense [Mr.1111111.1
14 Good morning, Warden, how are you?
Q..
15 Fine, how are you this morning?
A..
16 Warden, I would like firstly to tell you that the judge has
Q..
17 before him your CV, but I would like for you to describe your
18 background in corrections, if you would.
.
19 A. Yes, I started in corrections as a corrections officer in
20 July of 1974 at James River Correctional Center. I was later
21 promoted through the ranks of sergeant and then was promoted to
22 lieutenant. I went to Buckingham Correctional Center, Department of
496 018668
1.
Corrections for 2 yeas and I went to work...and I was...1987 as a
2 lieutenant back at Bedford Correctional Center. I was later promoted
3 to Major, Chief of Security at Deep Meadow Correctional Center, and
4 then was the Assistant Warden at Deep Meadow Corrections.
5 Are you now th'ewarden?
Q..
6 ...of 2000 [VTC connection continues to break up].
A..
7.
MJ: You know', I didn't get that last answer.
8 Warden, can you hear me?
Q..
9 Sir?
A..
10 Can you hear me?
Q..
11 Yes.
A..
12 Are you now the warden at Buckingham Correctional
Q..
13 Institution?
.
14 A..
Yes, I am. I have been since November of 2000.
15 Is it fair to say that you have devoted virtually your
Q..
16 adult life to corrections?
17 A..
Yes, it is.
18 Q..
And you have occupied virtually every position possible in
19 that field?
.
20 A..
Yes, just about every field from the rank of officer up to
21 warden.
.
497 018669
CDC: Your Honor, at this point, I would like to offer Warden
\1 2 as an expert in the field of corrections.
3.
MJ:. I'll just note for the record that nearly half of his
4 experience was lost in transmission, but I'm assuming it's repeated
5 in his CV?
6.
CDC: That's correct.
.6A) I/A(7M I
7 rather than repeating it, can I rely on the
MJ: So Mr..
8 CV?
9.
CDC: I thought that was the better course.
10.
MJ: Okay, but I'm saying, I'm giving you the option for him to
11 repeat it
12.
CDC: Oh no, I think we lost nothing.
13.
MJ: Any objection?
14.
ATC: No, Your Honor.
(6,6A,Wir
15.
MJ: He'll be accepted as such an expert. Go ahead, Mr.01111,
16 Warden.
Q. I would like you to describe for me the
17 principal foundation pillars upon which a prison is built. What
18 would you suggest to me are the things that are most important to
19 take into account when one is running a prison?
.
20 A..
Well, our most important thing is number one, for us to
21 protect the public and also to protect the staff as well as the
498 018670
1 inmates, to maintain control and to keep those in confinement that's
2 entrusted to our care through the court system.
3 Let me talk to you about control, first of all. In a
Q..
4 normal prison, how do you control contraband from coming into your
5 prison? What techniques do you employ?
.
6 A. Well, there's several techniques that we employ. For one,
7 we search every person, everyone, all equipment and material that
8 enter our facility on a day-to-day basis, and I'll give you an
9 example. Even though I'm the warden at my facility, every time I
10 have to enter and reenter the facility, I go through a pat search, I
11 go through a metal detector, and that's every time I enter the
12 facility. But we do that for everyone that's in our facility,
13 including visitors, and we search all materials that enter and exit
14 our facility, as well.
Q..
16 I'm sorry, I didi't hear the first part of your question.
15 And the purpose of doing it with that detail is what?
A..
17 I said, the purpose of doing that is what?
Q..
.
18 A..
Is to control contraband and to make this a safe work
19 environment.
20 Would you say that is a normal and typical SOP for prisons
Q..
21 throughout the United States?
4
499 018671
DOD-041850
1 A..
I can't really speak for other prisons throughout the
2 United States, but it's certainly normal for Virginia Department of
3 Corrections and other correction facilities that I've had the
4 oppOrtunity to visit.
Q..
6 prison not to do that?
7 Absolutely.
5 Would you conclude that it would be a deficiency in a
A..
8 Now tell me about leadership within your prison. I assume
Q..
9 you're a prison 24 hours a day. How do you handle leadership at
10 night?
4
11 A.
Well, yes, our prison is operational 24 hours a day, 7 days
12 a week, 365 days a year. At night, we have--at all shifts, we have a
13 watch commander and usually an assistant watch commander, but the
14 watch commander at nightshift would be a lieutenant, not less than a
15 rank of a lieutenant. And we would have sergeants and senior
16 officers and in some cases, we also had captains sometimes assigned
17 to the nightshift.
18 And why would you have no one lesser than a lieutenant
Q..
19 handling that responsibility?
.
20 A..
That's correct, no one less than the rank of lieutenant for
21 responsibility as a watch commander.
22 And why do you choose to do that? Why that rank?
Q..
500
018672
DOD-041851
1 A..
Well, you know, we want to make sure that we maintain an
2 adequate level of supervision for all shifts in a manner of
3 consistency in our operations, even during the nightshifts and shifts
4 that the administrative staff may not be there. Even though we have
5 a lieutenant on our night shifts, we have a system of having
6 administrative duty officers where myself and my other administrative
7 staff are on call 24 hours a day and we work a duty rotation so to
8 make sure that we have consistent operations and the required
9 supervision that's there to ensure that we have a consistent
10 operation.
11 Q..
Let me ask you about rules and regulations. Does your
12 facility and do facilities generally provide written rules and
13 regulations for their employees so that they know exactly what is
14 allowed and not allowed?
.
15 A..
Yes, we do. We have written rules and regulations for our
16 employees, our operating procedures, if you would. We have specific
17 institutional operating procedures and we have department operating
18 procedures. And we also have rules and regulations for our inmates
19 to follow, as well.
20 If an inmate in your institution and others has a
Q..
21 complaint, have you developed a methodology for complaints to be
22 heard by you?
501
018673
1 A..
Yes. We have a system in place where inmates have an
2 opportunity to address their complaints in formal resolution attempt.
3 And if that does not--if it's not resolved, then inmates also have a
4 formal grievance procedure that can be followed to air any grievances
5 or complaints that they might have.
6.
Q..
And is this used as a deterrent as well as a means of
7 filing a grievance? By that, I mean a deterrent from your employees
8 doing something untoward?
9 I'm sorry, I missed the last part of your question.
A..
10 All right, is it used also as a deterrent to your employees
Q..
11 from doing something improper?
12 Yes, it is. It's a mechanism in which, if there are rule
A..
13 violations or the inmates perceive there's a rule violation, that's
14 their method of bringing those types of violations to someone in
15 higher rank to their attention. It's kind of--they're that step
16 beyond the officer that may directly work there, but it's a tool that
17 we use also to track the officer's, I guess, how they're performing
18 their job responsibilities, their job duties and how they're applying
19 our policies and procedures as well as addressing the inmates' issues
20 and resolving them at the lowest possible level.
.
502 018674
DOD-041853
1 Q..
You have never been a warden in a military prison in a
combat zone, have you?
3 No, I have not.
A..
4 Q..
Based upon the knowledge that you have of how to run
5 prisons, however, with respect to these very basic things that we've
6 talked about, were you to advise the military on how to run such a
7 prison, would you advise them to employ the techniques you've just
8 described here?
9 A..
I'm sorry, I didn't quite--advise them to avoid?
10 No, to employ.
Q..
11 A..
...the techniques, is that your question? 12 Q.4Yes. 13 A.
The things that I just mentioned I think should be
14 paramount and it should be normal procedure for any corrections
15 facility. Again, I've never worked in a facility, in a wartime
16 facility, but I think it should be standard procedure for any
17 corrections facility.
18VCDC: Nothing further, thank you very much.
19.
MJ: Captain .
you have any questions?
.
20 wiOrt[END OF PAGE.]
.
503 018675
DOD-041854
1V CROSS-EXAMINATION
2 Questions by the trial counsel [Captainfialligla (42,24A0 -2-
3 Q. Hello, Warden, my name is Captain I'm one of
4 the prosecutors in this case. I just have a few questions for you.
5.
MJ: Defense, have you seen this exhibit?
6.
CDC: I have, Your Honor.
7.
MJ: Okay, go ahead.
Q..
Can you please explain the type of training that each new
9 correctional officer receives upon being hired at your facility?
10 Well, correctional officers go through 7 weeks of basic
A..
11 training, and it covers a lot of different areas. They go through 3
12 weeks of institutional training, and then they go through 4 weeks of
13 basic correctional officer training, which covers a myriad of areas
14 that deals with our operations within the prison.
15 Are they trained in the use of force?
Q..
16 Yes.
A..
17 And are they trained in cultural diversity training?
Q..
18 Well, not every--we offer cultural diversity training in
A..
19 some of our programs, but I'm not aware that every correctional
20 officer would receive that training in their basic correctional
21 officer training. But we change our curriculum from time to time and
22 that could have or it could be part of the training for new officers.
504.
018676
1 Q..
And every so often, even after their initial training,
2 every few years, correctional officers are offered refresher
3 training, correct?
.
4 A..
Yes, well, now that's every year. We've recently changed
5 and we're under ACA standards that require that every officer go
6 through in-service training every year as opposed to every other year
7 as it had been approximately 3 years ago, or 2 years ago.
8 And that in-service training includes such topics as crisis
Q..
9 management, use of force and cultural diversity?
4
10 A.
Yes.
11 Q..
Now, in addition to that type of training, a person
12 selected for the Strike Team at your institution also receives
13 additional training, as well, correct?
.
14 A..
Yes, that is correct. They receive 40 hours of initial
15 Strike Force training, and they're required to have 40 hours annual
16 training, which consists of 10 hours quarterly.
17 Ivan Frederick is a member of this Strike Team at your
Q..
18 institution. Is that correct?
.
19 Yes, that is correct.
A..
20 And he was chosen because he demonstrated an ability to
Q..
21 deal with stressful conditions. Isn't that correct?
505.
018677
1 A..
Well, he was chosen, yes, that would be a part of it, but
2 just because we have employees that have demonstrated to be able to
3 deal with stressful conditions does not necessarily mean that they
4 would be qualified or would be recommended to be a part of the Strike
5 Force. They would also have to be recommended, recommendations
6 submitted by their immediate supervisor as well as Chief of Security,
7 and there are other things that are taken into account, as well, not
just--it also would depend on the individual's performance,
9 attendance, and overall evaluation.
10 Q..
So in order for Ivan Frederick to be a member of your
11 Strike Team, his supervisors must have recommended him, evaluated the
12 traits that he had and found him to be an excellent correctional
13 officer. Is that correct?
14 Well, he would have to, first of all, he would have to
A..
15 submit an application and request to be on the Strike Force, and then
16 we'd go through those steps that you just mentioned.
17 Now, in your institution, is the rule that you don't put
Q..
18 your hands on an inmate unless you absolutely have to, is that the
19 rule for use of physical force?
.
20 A..
Yes. We only use the force necessary to control an inmate,
21 and yes, only when it's absolutely necessary would you physically put
22 your hands on an inmate.
506
018678
Q..
2 warden there, has there been any instance of a prisoner being
3 punched, slapped or kicked by any one of your correctional officers?
.
1 And in the last few years in the time that you've been the
4 A. No, there has not been any since I've been there. Now,
5 there have been incidents where we've had to use force, obviously,
6 when we have to control inmates. And again, we only use the force
7 necessary to control the situation, but that does not include kicking
8 or punching inmates. It entails using the force or the training that
9 they've received in handling or techniques in defensive tactics and
10 how they move inmates.
colo -Yi(b)(7)0-ti
114Q.
Warden I'd like you to take a look at the Code
12 of Conduct that you have there. If I can have Chiefill111, hand you
13 the Code of Conduct paperwork that we have there for you.
14.
MJ: For the record, that's Prosecution Exhibit 6 for
15 identification.
16 Do you recognize this piece of paper, Warden
Q..
17 Yes, I do.
A. (4)() )0)0
Q..
19 This is the Buckingham Correctional Center's Code of
18 And what is it?
A..
20 Conduct;
21 And where is this posted in your institution?
Q..
507 018679
A..
1 It is posted in various locations throughout the
2 institution, areas that staff have access to. In fact, I have a copy
3 posted in my office, as well as right by the doorway as people enter
4 and leave my office.
Q..
6 very regular basis?
7 Well, they're reminded of it, I mean, I don't know what you
5 And are your correctional officers reminded of this on a
A..
8 consider a regular basis. They are aware of it and know that it
9 exists. But again, it's posted throughout the facility and they do
10 have access to it.
11 Now as the warden, you expect your correctional officers to
Q..
12 treat all people with respect, fairness, honesty and dignity?
13 Yes, I do.
A..
14 And as the warden, you foster a climate of being able to
Q..
15 report inappropriate actions or misconduct by other correctional
16 officers by the correctional officers themselves. Is that correct?
.
17 A..
Yes, that is correct.
18.
ATC: The government would offer Prosecution Exhibit 6 into
19 evidence, Your Honor.
20.
CDC: No objection.
MJ: Prosecution Exhibit 6 is admitted..
21 (4k) 2) 6J&VJ ma_
22 Do you have any further questions, Captain 1111111111111
508.
018630
DOD-041859
1 ATC: Yes, Your Honor.
2 Now, if there is some misconduct by one of your
Q..
3 correctional officers, is there a way that the other correctional
4 officers are made aware of that situation and any penalties that come
5 from that situation?
6 Well, we have a disciplinary process and disciplinary
A..
7 procedures. Now, that is considered a personnel management, so that
8 is not necessarily public knowledge. We address the issue with the
9 individual, and again, that's considered confidential and a personnel
10 matter. However, if we do have situations, we would address those or
11 our staff through our musters, which we have a shift briefing and
12 address the general issues. We also, if we have situations that we
13 have to deal with under the employee standards of conduct, we address
14 those issues with the supervisor to make sure that the staff follow
15 the rules and regulations and perform to an acceptable level.
16 And would you expect it as normal behavior that your
Q..
17 correctional officers would report misconduct by fellow correctional
18 officers if they saw it?
19 Yes, that would be expected if a correctional officer sees
A..
20 or is aware that there has been a violation of policy, then we would
21 expect them to report that.
22.
ATC: Thank you. I have no further questions.
.
509 018631
DOD-041860
Bates pages 18682-18691 are nonresponsive
based on application of the Judge's specific
and applied rulings.
1.
[Court was called to order at 0900, 21 October 2004.]
2 MJ: Court is called to order. All parties are again present
that were present when the court recessed.
4 Defense Exhibit Lima for identification is admitted into
5 evidence. Also, I'm going to mark the regulation, Army Regulation
6 190-8 as Defense Exhibit Mike for identification, and there was no
7 objection to it, correct, trial counsel?
8.
ATC: That's correct, Your Honor.
9.
MJ: It is also admitted. („64,)
.
(b17)(C)
10 I'm sorry, Mr. IMP do you have a question about an
11.
exhibit?
12.
CDC: No, Your Honor, just an inquiry to co-counsel as to the
13 Miller exhibit, whether that's been admitted.
14.
MJ: Yes, in fact every defense proffered exhibit has been
15 admitted.
16.
CDC: Very well. Thank you.
17.
MJ: Defense, proceed.
18.
CDC: Thank you very much. We call as our first witness Dr. )(6) 0-6 - y
19 IIIIIIII II
20 [END OF PAGE.]
520
018692
DOD-041862
cbt.)-LiNcityq
1 Dr.1111.1111111111 civilian, was called as a witness for the defense,
2 was sworn, and testified via video teleconference as follows:
3VDIRECT EXAMINATION
V
4 Questions by the trial counsel [Captain (-47.) 2)0)(zei-4
5VPlease state your full name for the record.
Q..
6 (b) 6-I ij-(1) .7 ()
A..
/
Q. ..
7VAnd where do you reside, Mr.IIIIIIII,
8 In Krickenbach, Germany.
A..
9 Questions by the defense 111101111110.
10 Q. br.millis isV, nice to see you. Doctor,
IIIIIIIII,
11 you have some documents in froht of you. Could you describe to the
12 court what those documents are?
A..
14 mom I have a copy of the results of the test that Sergeant
15 Frederick completed.
16V
13VYes, I have a copy of my report I submitted to Dr. (A)
CDC: Also Defense Exhibit G. Is that satisfactory to the
17 prosecution?
18VYes. 0-4/
ATC: OWLOWAr
19VUM/ I would like to begin, and advise the court that
Q.V
20 I'm referring now to Defense Exhibit I. I'd like to begin with a
21 discussion of your background and history. Would you be kind enough
22 to provide the court with your educational background?
521
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DOD-041863
1 A..
Yes, Ihave a Bachelor's degree in psychology from East
2 Carolina University, a Master's degree in psychology from East
3 Carolina University, and a Doctorate in psychology from Texas
4 Christian University. I did my fellowship in clinical psychology at
5 the University of Arizona.
4
6 And where #e you licensed to practice? 4
7 A. I completed a clinical residence and training program at
8 Wright Patterson Air Force Base.
94Q.4Where are you licensed to practice psychology?
10 A..
North Carolina.
11 Q..
Now, could you provide us with your professional
12 experience, beginning with the most recent in some detail, and
13 working backwards with the description being more brief as time
14 progresses backwardly.
15 I'm currently employed as a civilian clinical psychologist
A..
16 at Landstuhl Regional Medical Center. My primary duties here are to
17 provide the psychological assessment of the inpatient psychiatric
18 unit, the outgoing treatment facility, the outpatient clinic, and I
19 provide neuropsychological evaluations to the same clinic.
20 And how long have you been doing that?
Q..
21 I've been here about a year and a half.
A..
522.
018694
DOD-041864
1 Q..
How long have you been employed by the United States
2 government?
3 A..
I've been employed by the government as a civilian and as
4 an active duty Air Force member for approximately 17 years.
5 Q. And did you act in the capacity of a psychologist during
6 your Air Force career?
7 A. I did.
Yes,.
8 Q. And is your specialty clinical psychology?
9 A. I was the Chief of Psychology Services...at Barksdale and
10 at Davis-Monthan Air Force Base.
11 Q. Did your responsibilities include psychological testing?
12 A. it did.
Yes,.
13 Q. And did it include interpretation of psychological testing?
14 A. it did.
Yes,.
(6)(01/ •(b.f7X.c} 54
15 CDC: I would offer Dr. as an expert in the field. of
16 clinical psychology.
17 MJ:-Any objection?
18 ATC: No objection.
19 MJ: He's so accepted.
20 CDC: Thank you. (-°e7))-1-
21 Q. ,.
Dr. you've now been accepted as an expert in the
22 field of clinical psychology,.
and I would like to turn now to the
.
523 018695
DOD-041865
1 questions associated with the examination of the accused in this
2 case. Did you have an opportunity to personally meet and examine the
3 accused?
4 A. : Yes, I did.
5 When and for how long?
Q..
6 I met with Sergeant Frederick on the 31st of August and the
A..
7 2d of September 2004.
.
8 And did you engage in a personal----
9 I think our interviews lasted about 2 to 2 1/2 hours.
A..
10 And after the interview, did you administer certain
Q..
11 psychological testing? And if so, what testing?
12 Yes, the psychological tests were administered on the same
A..
13 date that I interviewed him. We administered the Minnesota
14 Multiphase Personality Inventory, Second Edition and the Millon
15 Clinical Multiaxial Inventory, the Third Edition, and the Wechsler
16 Abbreviated Intelligence Scale.
17 I would firstly like to talk about the Wechsler
Q..
18 Intelligence scale. Can you tell the military judge what that test
19 is and what it is meant to demonstrate?
20 It's a general measure of intellectual ability, and it
A..
21 includes two part4. One part examines nonverbal reasoning ability,
22 and the other involves verbal reasoning ability.
524 018696
DOD-041866
Q..
2 And we did what we call a verbal IQ and a performance IQ
1 And has the accuracy of this test been----
A..
3 and a full-scale IQ.
4 Very well. And the validity of this test, Doctor, can you
Q..
5 comment on the validity of this testing technique?
6 It's a rather extensive validity for the test, and it
A..
7 correlates very highly with other accepted measures of intelligence.
8 In this circumstance when you tested Staff Sergeant
Q..
9 Frederick, what results did you find and how did you interpret those
10 results?
11 A..
We found that he had a full-scale IQ of 96, and that
12 indicates that his nonverbal and verbal reasoning abilities are above
13 approximately 39 percent of the general population. It would be
14 considered in the average range.
15 So his IQ scores placed him in the 39th percentile?
Q..
16 That's correct.
A..
17 Now I'm going to turn to the MMPI, the Minnesota Multi
Q..
18 Phasing testing [sic], and I would like you to describe to the judge
19 what this test does and what it is about.
20 The MMPI-2 is a broad band test that has ten clinical
A..
21 scales that measures different aspects of personalities and emotional
22 functioning. It also has several validity scales that help us
525
018697
DOD-041867
1 understand how the patient approached the test, that is whether the
2 patient attempted to put themselves in an overly positive or overly
3 negative light.
4 I would like you to turn, if you would, to the test,
Q..
5 itself. And Your Honor, that would be MMPI-2, these are the test
6 results. [To the witness] If you can turn to the page which reflects
7 the test results, Doctor. Do you have them before you?
.
8 A..
Yes.
9 Very well. I'd like you to explain to the judge what the
Q..
10 left-hand column is on this test. There are three data points on the
11 left-hand column. Could you explain to the military judge what those
12 data points reflect?
13 These are the validity scales for the test, and as I just
A..
14 mentioned, they tell us something about how the person attempted to
15 present themselves on the test.
16 Is there anything in these test----
Q..
17 Sergeant Frederick.... I'm sorry, could you repeat your
A..
18 question?
19 I said, is there anything in the testing which would
Q..
20 reflect an invalid test result based upon these validity scores?
21 No.
A..
22 And what do the validity scores show?
Q..
.
526 018698
DOD-041868
1 A..
The validity scale that's labeled "L" is just the patient,
2 Sergeant Frederick, presented himself as a morally virtual person.
3 The middle scale, the F scale is in the average range. It suggests
4 that Sergeant Frederick did not attempt to put himself in an overly
5 negative light with respect to psychological functioning. And the
6 final scale, the K scale is a general measure of psychological
7 adjustment. And this is also in the average range, and it suggests
8 that he did not attempt to present himself in an overly positive
9 light with respect to psychological adjustment.
Q..
11 the personality test results?
12 Yes, they seem to be a valid representation of his
10 Is it fair to say, therefore, that you have confidence in
A..
13 psychological functioning at the time he took the test.
14 And tell us, if you would, about the validity of the
Q..
15 overall MMPI testing system. Has it been around for a while? Has it
16 been verified thoroughly?
17 Yes, the MMPI is the most widely used psychological testing
A..
18 in the world. It was developed in the late 30s, early 40s, and
19 underwent a revision in the late 80s. There's probably over 10,000
20 research articles addressing the validity of the MMPI-2.
21 I'd like to turn now to the testing itself, which is on the
Q..
22 right-hand side of the test results, for the military judge's
527 018699
DOD-041869
1 benefit. I note that there are multiple columns. Could you tell us
2 what each column represents, beginning with the left-hand column and
3 working your way to the right-hand column?
4 Yes, each scale represents a different aspect of the
5 personality or emotional functioning. And we refer to each scale by
6 the number. If you look at the very bottom, you'll see the numbers
7 one through zero; one, two, three, four, five through zero or ten.
8 In the first scale is a rough measure of psychological--I'm sorry,
9 physiological symptoms that a patient may be reporting. It's often
10 related to somatic over concern, but it also has items related to
11 anxiety and the physiological manifestations of anxiety like
12 gastrointestinal problems, excessive sweating and those kinds
13 of...[VTC is breaking up]. The second scale is a measure of
14 depression. The third scale is a measure, similar to the first
15 scale, but it also includes what we call a measure of repression or
16 denial. And when these two, the physiological symptoms and the
17 repression or denial that we start looking at things like hysterical
18 conversion disorders or the like. The fourth scale represents
19 individual levels of anger and difficulties with authority and rules
20 and regulations. As that scale increases it tends to get into
21 antisocial personality.
528 018700
DOD-041870
4
1 The lower the reading, the less one is likely to have an
2 antisocial personality?
3 That's correct.
A..
4 That would be referred to commonly in common parlance as
Q..
5 sociopathic tendencies?
6 Could you repeat that?
A..
7 I said, would that be common parlance for sociopathic
Q..
8 tendencies?
.
9 A..
That would be correct.
4
10 Q.
The next scale?
4
11 A. The scale five consists of a general measure to indicate
12 whether the person has interests that are more typically masculine or
13 more typically feminine. At that scale level, it would suggest the
14 person has more interests in things that we would stereotypically
15 think of as feminine, such as gardening, theater and those kinds of
16 things. The sixth scale represents a measure of trust and resentment
17 and suspiciousness. The third scale--I'm sorry, the seventh scale is
18 kind of a general measure of anxiety, worry and rumination. Scale
19 eight basically relates to whether this level of psychosis or
20 disorganization that the person is experiencing. And scale nine is
21 the measure of energy. The higher that scale goes, the more likely
22 this person might be manic or hypo-manic. And the last scale is a
529
n 13701
1 measure of social introversion and extroversion. The higher that
2 scale goes, the more likely the person is uncomfortable in social
3 situations, especially new and unfamiliar situations.
4 Now, I'm going to ask a question now. Based upon the test
Q..
5 results which you have obtained in the case of Staff Sergeant
6 Frederick, is there anything in this testing that would cause concern
7 with regard to social interaction that would be antisocial or
sadistic or morally corrupt?
9 No, there's nothing in this test that would suggest an
A..
10 antisocial personality, sociopathic personality, sadistic
11.
personality.
12 What do the test results demonstrate in Staff Sergeant
Q..
13 Frederick's case?
14 The MMPI indicates that if you look at scale seven, which
A..
15 is high on point, it suggests that he made--he was experiencing a
16 significant level of anxiety and worry at the time of this
17 evaluation. The elevation on scale six probably reflects his
18 feelings that he was being targeted or mistreated at the time. And
19 the elevation on scale one probably relates to some anxiety symptoms
20 that he was experiencing related to the situational stress.
21 The other scales are all depressed, are they not?
Q..
22 That's correct.
A. 530 018702
DOD-041872
4
1 And what does that tell you?
2 That tells us that looking at scale two, that he's not
A..
3 reporting symptoms of depression, or a significant level of
4 depression. The scale three doesn't suggest that he's over concerned
5 with his somatic or physiological functioning. Scale four is in the
6 average range with respect to levels of anger and antisocial
7 practices, his ability to conform to rules and regulations. Scale
8 five suggests that his interests are typical of the average male.
9 And scale eight, again in the average range. It doesn't suggest he's
10 psychotic. And scale nine doesn't suggest he has an excessively high
11 level of energy. And the final scale suggests that he tends to be
12 perhaps somewhat introverted.
13 Q..
Introverted. Doctor?
14 A..
Yes.
15 I'm now going to turn to the MCMI test results. And why if
Q..
16 we have done MMPI do we now do MCMI? Why is that an analytical tool
17 that's important in psychological testing?
18 The MCMI-3, the primary focus of this scale is to diagnose
A..
19 personality disorders.
20 To diagnose personality disorders. Go ahead.
Q..
21 Yes, it's to diagnose personality disorders. It does have
A..
22 other scales that measure anxiety and depression and other aspects of
531
018703
DOD-041873
1 emotional functioning, but the strength of the test relies on the
ability to diagnose personality disorders.
3 Q..
And what is a personality disorder?
4 A personality disorder is basically...let me put it in
A..
5 another way. We can put people on a continuum with respect to
6 different traits. For example, levels of suspiciousness may be a
7 trait. On one end, we have people who are very, very trusting. And
8 on the other end, we may have people who are extremely distrusting of
9 other people. When those traits become extreme and create distress
10 or interpersonal occupational problems for the patient, then we
11 define that as a disorder.
12 So this test measures in various areas whether an
Q..
13 individual has a personality that causes him in some way to be non-
14 normative in society.
15 Yes, and it tells us whether the individual has traits of
A..
16 such a degree that would create problems for their day-to-day
17 functioning or create significant distress for them.
18 Or, is it not true, to create problems for others?
Q..
19 That's correct, in some cases.
A..
20 Now, does this testing system also have validity scales?
Q..
21 Yes, it does.
A..
532 018704
DOD-041874
Q..
2 Frederick, how did those validity scales come out in terms of whether
3 or not this was a valid test?
4 The test results suggest the patient was forthright and did
1 And in the tests that yoU provided to Staff Sergeant
A..
5 not attempt to put themselves in an overly negative or overly
6 positive light.
7 With respect to this test, generally the validity of the
Q..
8 test, is it also a highly examined test in the scientific community?
9 Yes, it is.
A..
10 Q..
And is it considered a valid expression of psychological
11 standing with respect to personality disorders?
12 Yes, it is.
A..
13 Now, I'd like to take a look at the test results
Q..
14 themselves, and I wonder, there are many here and I don't know that
15 you need to describe each of them. But I do notice the following,
16 that on this scale that you have provided to us, very low numbers are
17 associated with antisocial and sadistic. What does that mean?
A..
19 What does that mean?
18 That's correct.
Q..
20 That would suggest that there's a low probability that he
A..
has an antisocial or sadistic personality.
.
533 018705
DOD-041875
1 And I note that there's an elevated scale for dependence.
Q..
2 What does that mean?
4
3 A.
Let me just...if you look at the top of the--if you see
4 where it says "profile of BR scores"..
4
Yes.
5 Q.
4
6 A.
And you see the one with the BR, a line labeled "75"....
4
7 Q.
Right.
8 And then a line labeled "85"....
A..
9 Right.
Q..
10 And one labeled "115".
A..
11 Right, we see this.
Q..
12 Now, as these lines approach 115, then the higher the
A..
13 probably the patient meets the criteria for that type of personality
14 disorder. A score between 75 to 85 usually suggests the patient has
15 traits and doesn't meet full criteria for the personality disorder.
16 Scores between 85 and 115 tend to suggest the person meets the
17 criteria and there's a high probability that the patient could be
18 diagnosed by that particular scale.
19 In this case, Staff Sergeant Frederick hit 85 in the
Q..
20 dependent area. So he's at the maximum of traits of personality
21 disorder for dependent personality type.
22 Correct, he's right on the borderline.
A..
534.
018706
DOD-041876
1 Q..
Now, what kind of person is it who has significant
2 dependent personality traits?
3 People with dependent personality traits or disorder are
A..
4 people who need a lot of support and nurture from other people. They
5 tend to be rather obliging and placating people in order to--and this
6 is designed to obtain the support and to avoid rejection by other
7 people. And generally, these people try to avoid conflict and try to
8 please others in order to obtain their support, attention.
9 Could I ask you again----
Q..
10 They will also have a strong need for attachment with
A..
11.
others.
12 Are these people, and I'm going to try to be simplistic
Q..
13 here, but I need to flesh this out. Are highly dependent people good
14 leaders or good followers?
15 They tend to be followers rather than leaders.
A..
16 And when faced with conflict, what is their typical
Q..
17 response?
18 To give in.
A..
19 If faced with a stronger personality, what is their
Q..
20 response?
21 Again, they will probably attempt to avoid conflict and to
A..
22 give in and to go along with whatever the other person wants.
535
018707
DOD-041877
Now, is it fair to say that such a person would attempt to
2 placate rather than to create a problem?
.
1 Q..
3 A..
Yes, I think the dependent personality would generally tend
4 to avoid all conflict and to placate, as you said.
5 Q..
Is there any indication that this man, Staff Sergeant
6 Frederick, is a sadist?
7 There's nothing in either the MMPI or MCMI that suggests
A..
8.
this.
9 Q..
If you were looking at this man and advising the command on
10 how he should be employed, would you advise the command to put him in
11 charge of a highly stressful situation?
12 Could you repeat that question?
A..
13 Of course. It's in the nature of a hypothetical, and if
Q..
14 you need more particulars, please let me know. If you were the
15 psychologist advising the command as to how to employ Staff Sergeant
16 Frederick, given what you know about his personality, would you
17 recommend placing him in a highly stressful environment?
18 Probably not. If you look at the MMPI-2, the scale, the PT
A..
19 scale, the scale seven that's elevated, it suggests these people do
20 not have a good stress tolerance and that they tend to anticipate
21 problems before they happen and keep themselves keyed up.
536
0187'73
1VQ.
Would individuals...this is another hypothetical, Doctor,
2 with his personality, if he observed some form of wrongdoing, would
3 he be likely to report the wrongdoing or to stop it?
4 A. That's a difficult question. I think he would probably
5 attempt to report it because I would think he would want--based on
6 the L scale, I think he would want the right thing to be done.
7 Q.
If I add to that that it might cause a conflict with those
8 around him, would that change your opinion?
9 A.
He might be more reticent in that regard.
4
10 Could you say that again? Please say that again. 4
11 I said he might be more reticent in that situation.
12 Q.
Is there anything in the testing you've done which suggests
13 to you that there is anything inherently inherent, morally corrupt
14 about this person?
15VA. • No, there's nothing in the testing that would suggest that.
16
CDC: Your Honor, I have nothing further of the witness.
17
MJ: Trial counsel?
18 CROSS-EXAMINATION
6 -2
19 Questions by the trial counsel [Captaind11111111/
42-41/
'0)• 1/
Q. this is Captain
21 few questions for you. On the MMPI test, column number seven, the
20 Hello, Dr, e. I just have a
537 018709
DOD-041879
1 high anxiety, this test was administered at the end of August. Is
2 that correct?
3 A. Yes.
4 Q. And at that time, Staff Sergeant Frederick was undergoing
5 court-martial proceedings and a high level of publicity surrounding
6 the actions he took back at Abu Ghraib last year. Is that correct?
7 A. Correct.
AC-iii(bt)C-1 8 Q. And just a follow-up on Mr. 1111 question. From your 9 testing, Staff Sergeant Frederick has basically tested as a normal, 10 average person, correct? 11 A. I'm sorry, could you repeat that? 12 Q. Staff Sergeant Frederick has essentially tested as a 13 normal, average person would test on these tests. Is that correct? 14 A. In some areas, he's well above average, like on scale seven 15 and scale six and scale one. 16 Q. But in the sense of knowing between right and wrong, he 17 scores with an average person, knowing how to follow rules and what 18 rules there are to be followed? 19 A. Yes, there was some indication that he had 'the ability of 20 distinguishing between right and wrong. 214Q.4Excuse me, can you repeat that, Doctor? Could you repeat 22 your last answer? What was your last answer concerning the--between
538
018710
DOD-041880
1 Staff Sergeant Frederick knowing the difference between right and
2 wrong?
34A. There's nothing in the test that would suggest he was
4 unable to distinguish between right and wrong.
54ATC: Thank you, no further questions.
64 Mr. any further questions?
—74CDC: No, nothing further, Judge, thank you. 84[The witness was excused.] 94 Understand----10 CDC: I regret to report, Your Honor, but we need to take a 11 recess for Dr. L71
"W)(e)
124MJ: Okay, and the plan is to reconvene with Dr. t
1341300 hours?
144CDC: Yes, Your Honor.
154TC: Yes, Your Honor, and that----
164MJ: Is there any other matter to take up beforehand?
174TC: I just wanted to say, sir, that the VTC time is limited to
18 2 hours this afternoon, so if we could begin right at 1300. And sir,
19 we'll do our part with that, sir.
204MJ: Major4 always on time.
214TC: Yes, sir, you are.4(U(o V7A)
539 018711
DOD-041881
1 MJ: It's the people who aren't on time that I'm looking at
2 right now.
3 TC: Yes, Your Honor.
4
4 MJ: I'll be here at 1300.
4
5 CDC: Or not at all.
4
6 TC:. And to add that if additional time is needed with this
7 witness beyond the 2 hours, which I don't expect would occur, we have
8 a telephonic backup, just so the court's aware.
94MJ: Is this 2 hours with Dr. .10.m 06)
we)
10 TC: Yes, sir.
11 MJ: And I understand there's another witness from
12 Washington----
13 TC: Sir, that witness is no longer needed.
14 MJ: So Dr. will be the last witness?
15 CDC: Exactly, Your Honor.
16 MJ: The court's in recess.
17 [Court recessed at 0938, 21 October 2004, and reconvened at 1311,
18 21 October 2004.]
19 MJ: Court is called to order. All parties are again present
20 that were present when the court recessed. I will note for the
21 record the reason we're 10 minutes late is not because of counsel,
22 but because of the technology.
540 018712
DOD-041882
gq2/60g-z
1 Captain
2 Dr. civilian, was called as a witness for the defense,
")17tkVicf)--1
3 was sworn, and testified via video teleconference as follows:
4 DIRECT EXAMINATION
5 Questions by the trial counsel (Captain 1111111111: 04)2A0X)-2.
6 Q. Can you please state your full name for the record?
7 A. My name is
Q. And what city and state do you live in?
())(.0(-7)6-y
9 A. I live in San Francisco, California.
10 Questions by the defense
4
11 Q. Dr. here. Doctor, I would first like 12 to go over your background and history and credentials. I wonder if 13 you wouldn't mind telling the military judge your educational 14 background. 15 A. Yes. I graduated first from Brooklyn College with honors 16 in psychology, sociology and anthropology. I got my Master's degree 17 and PhD at Yale University. I have taught at Yale University, New 18 York University, Columbia University, and Stanford University since 19 1968. 20 Q. Doctor, could you describe your area of expertise in terms 21 of what field of study you concentrated on?
541 018713
DOD-041883
1 A. I'm a generalist psychologist. I write introductory
2 textbooks that cover psychology. But my specific area of expertise
3 is social psychology and in particular, I'm...[VTC is breaking up]
4 the past 40 years trying to understand the conditions under which
5 ordinary people, you might say average 14ople, begin to behave in
6 abnormal ways, abusive ways. And in that context, I've studied cults
7 and prisons and created experimental studies in which we explore how
8 ordinary people become perpetrators of evil.
9 Q. There's no need for you necessarily to break up the words
10 that slowly. We are hearing you quite nicely, actually.
11 A. We were getting delayed feedback.
12 Q. Oh, I see, very well. Well then, we're fine here. Do
13 whatever you feel is appropriate on your end.
14 You mentioned that you have done studies with respect to
15 abuse. I believe that you have done a study at Stanford that gained
16 significant scientific recognition. Could you describe to the
17 military judge what that study was?
18 , A. This was the study conducted 32 years ago in which I
19 created a prison-like environment at the university in which we put
20 ordinary young men, college students from all over the United States
21 who were in the San Francisco area that summer. We made half of them
22 be guards and half prisoners based on a random assignment that we
542 018714
DOD-041884
1 employed. And before putting them in those two conditions, we gave a
2 battery of psychological tests and interviews because at the
3 beginning of the study, we wanted to be sure that every one of those
4 young men, whether they were guard or prisoner, were normal healthy
5 young men. The study then followed the psychology of imprisonment to
6 create in that prison-like setting similar psychological phenomena
7 that occurred in those prisons that I had studied in depth. What
8 happened was surprising to us because the study was supposed to go
9 for 2 weeks and I had to end it after only 6 days because the guards
10 got out of control. They were abusing the prisoners verbally and
11 physically. They began to abuse the prisoners in sexual ways,
12 stripping them naked, putting bags over their head, putting them in
13 solitary confinement for extended periods of time, depriving them of
14 food and other foods, so that I, as the superintendent of the prison,
15 I no longer had control over the guards.
16 Q. Now, were you able to identify any causative factors which
17 made these normal, average people do the abhorrent things that they
18 did?
19 A. Yes, we did, that because we observed day and night
20 throughout the experiment the change in the behavior of these young
21 men who at the beginning were ordinary, average citizens to the point
22 at the end where they were behaving in these abusive, sadistic ways.
543
n 1 8 7 15
1 Let me point out several basic prophecies in that situation. Many of
2 these are described in the Schlesinger report in Appendix G, that
3 just summarize very briefly. The first is something called "de-
4 individuation," that if you make people feel anonymous, that nobody
5 really knows who they are, nobody really cares, that sense of
6 anonymity along with their feelings of being responsible, their
7 feelings of behaving in a way that they are accountable to anyone
8 else. And this is one of the things that happened with our guards.
9 The second process is called dehumanization, where you begin to think
10 of the other people, in this case, the prisoners, as not comparable
11 to you, as not morally equal. That is, you begin to think in the
12 extreme as animals and you begin to treat them that way.
13 The third thing is related, the third process called moral
14 disengagement where ordinarily moral people disengage their sense of
15 morality for a short period of time in order to dominate control
16 other people in the situation or in order to do sometimes illegal,
17 slightly immoral things. Other things like groupthink that the
18 guards begin to think in similar ways. Social facilitation where one
19 guard behaving in an extreme way began to influence other guards to
20 do the same thing. And then, there were also new standards that
21 emergent, called emergent norms, that in that setting, abusing the
22 prisoners became acceptable. And in fact, on each day of the study,
544 018716
DOD-041886
1 or in fact, the worst things happened each night of the study, that
2 became a platform for escalating abuse from day to day to day.
3 Q. Now, let me----
4 MJ: I have a question.
5 CDC: I'm sorry.
6 MJ: Doctor, this is the military judge.
7 WIT: Yes.
8 MJ: On your prison, these college students, did they.have any
9 training whatsoever in being a prison guard before they got that job?
10 WIT: No, not at all. There was no training.
11 MJ: But are you trying to extrapolate that study with every
12 prison situation in the United States?
13 WIT: In some ways, yes. In fact, the most prisons that I have
14 studied, there's minimal training, certainly psychological training
15 for prison guards. In some cases, at most an hour or two, and in the
16 particular case at the Abu Ghraib Prison, as far as I know, there was
17 almost no training of any of the guards in the Abu Ghraib Prison,
18 certainly not in Tier 1A, much like in our own study.
19 MJ: My question goes back to you at the civilian prisons you've
20 studied. Are you saying that the inherent nature of the prison/guard
21 relationship that regardless of training or lack thereof, that the
22 guards are going to abuse the prisoners on a wholesale basis?
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1 WIT: No, I'm not saying that, sir. What I'm saying is that
2 because guards, because of the nature of the relationship between
3 guards and prisoners is based on power, unless the situation, unless
4 the training, unless there is oversight that constrains or limits the
5 use of that power, there is the potential for the guards abusing it.
6 It doesn't happen all the time, but there's abuse in many prisons, in
7 many police departments, both in civilian and military prisons.
8 Questions by the defense [continued]:
9 Q. So is it fair to say, Doctor, that one of the pivotal
10 inquiries that one must make when examining a setting such as the one
11 that you dealt with, is the level and quality of the supervision of
12 the guards?
13 A. Oh, absolutely, both in supervision, but the training and
14 preparation of the individual to play in this very difficult role.
15 It's a very difficult role to be a corrections officer.
16 Q. And is it your conclusion that the absence of supervision
17 would lead to the kind of result that your study found?
18 A. The absence of supervision or oversight similarly creates
19 one of the conditions that make it possible for abuse to occur.
20 Q. Now, have you examined documents and have you interviewed
21 Staff Sergeant Frederick?
22 A Yes, I have done so extensively.
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1.Could you tell us about your interview with Staff Sergeant
Q..
2 Frederick and could you tell us about your examination of documents,
3 identifying the documents you've examined?
4.Yes. I spent a day in San Francisco with Sergeant
A..
(64)--qh)die)-I
5 Frederick and his wife,11111111 And of that 8 hours, 4 hours was
6 intensive, in depth interview with Sergeant Frederick in the absence
7 of his wife. In addition, to prepare for this trial, I have read all
8 three reports that were provided to me, the Fay report, the Jones
9 report, the Williams report, the Taguba report, the Schlesinger
10 report, Article 15-6 of the military investigation. I've looked at
11 all of the images on the CD and categorized them. I've reviewed the
12 psychologicajl assessment by the clinical psychologist for the Army,
b)6-6 )1 13 who did an assessment of his intelligence as well as the 14 psychological background. I had the material independently evaluated (6))-3 (s)`-*)3 15 by my expert on testing, Dr.4111111111111 I also administered a 16 condition for the interview something called the MPI. It's a measure 17 of stress and job burnout to Sergeant Frederick, and I had that 6-31(6)(/)CeL3 18 evaluated by an expert, Dr..
from Canada. In addition, I relied
19 on other research I have done on policeman in Brazil that became
20 torturers. I relied on research that I did on the techniques of
21 interrogation in American police stations. So, this the general
22 material that I bring to bear on, you know, trying to understand why
547. 01871!
1 this soldier did the terrible, abhorrent behavior that he has
2 stipulated to.
3.The next question that I have for you is, having examined
Q..
4 all of those materials, did you find elements within those materials
5 that would have fostered the kinds of results that you found from
6 your study?
7.Well, there's no question. My study was a benign setting
A..
8 compared to what took place every single night at Abu Ghraib Prison,
9 according not only to Sergeant Frederick's statement, but virtually
10, all the statements from the five independent military investigations.
11.Q..
Can you identify with some specificity what those elements
12 were?
13.Veil, my sense was that the military created inhumane
A..
14 conditions, working conditions for the guards who worked in that
15 prison, specifically, high level of exhaystion. Sergeant Frederick
16 worked 12-hour shifts, from 4 p.m. to 4 a.m. 7 days a week with not a
17 single break for 40 days. That's unheard of in any occupation. He
18 got a day off and worked 12 days before another break. When he was
19 off, when he was not in Tier 1A, he slept in a small cell, 6 by 9
20 with no toilet, in a different part of the prison. And he missed
21 breakfast and lunch regularly, so he was--some level of food
22 deprivation. He didn't sleep well because, in addition, there was a
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1 great fear that the prison was under mortar and grenade attacks.
2 Several soldiers died. Many Iraqi prisoners died. There was
3 enormous stress. The other thing was, it was a situation of total
4 chaos. When he got there in October, there were only 400 prisoners
5 there. Within 2 months, it had escalated to more than 1,000. Any
6 setting that escalates in size that much without tight controls,
7 tight discipline, will be chaotic. It was filthy; the water was bad.
8 The food was bad. Prisoners were rioting. In addition, he was
9 supposed to be in charge not only of the 1,000 inmates and a number
10 of guards, but the Iraqi police, many of whom were smuggling in
11 weapons and doing other kinds of illegal things.
12.The other thing that was terrible about the situation was
13 that he really violated basic Army principles. They had children as
14 well as adults mixed together, boys as young as 10 years old. They
15 had people with tuberculosis as well as mental illness all in the
16 same population, which created an impossible situation for Sergeant
17 Frederick who was supposed to be in charge of that.
18.In addition, there was some confusion as to the
19 relationship of the military police Army Reservists to the civilian
20 contractors doing interrogation, to the military intelligence and to
21 the general system of interrogation in which they were encouraged to
22 prepare prisoners--detainees for interrogation. And again, in all
549
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1 the reports, I'm not saying this, but each of the reports I had
2 mentioned indicated that there was confusion, lack of coordination
3 between each of these units. There was approval of what could be
4 called soft torture, stress deprivation--stress positions, use of
5 dogs, use of nakedness, use of sleep deprivation. So, you had a
6 level of acceptance of what was is often called soft torture that
7 Sergeant Frederick and his other colleagues were encouraged to
8 continue as part of the general interrogation program.
Q..
10 Sergeant Frederick. When he came to Abu Ghraib, in the first
11 instance he discovered prolonged nudity by the detainees, men with
12 women's underwear on their heads and men nude handcuffed to cells.
13 Within 2 weeks of being at Abu Ghraib, he observed two military
14 policeman causing detainees to adopt sexual postures. Within 3 weeks
15 of being at Abu Ghraib, he discovered that other government agencies
16 had killed an individual and then surreptitiously spirited that
17 individual's body out of the prison. Is that the sort of escalation
18 you're talking about which could lead to his conducting himself in a
19 similar fashion?
20.Exactly. Yeah, the Fay report begins by saying, "Behavior
9.Let me ask you about a circumstance that existed with Staff
A.
21 does not occur in a vacuum," that when we list all of the acts that
22 Sergeant Frederick stipulated to, the terrible acts, sadistic acts,
550
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clearly abhorrent behavior, that the question is, what is the context
2 in which those behaviors occurred? And I want to argue that the
3 things you just mentioned, essentially create a scaffolding on which
4 his behavior was played out, was amplified, was supported, so that he
5 was in a setting where there was chaos, confusion, and he saw a
6 social model. He saw these terrible things happening. He didn't
7 make the prisoners naked. He didn't make the dogs frighten the
8 prisoners. He didn't have the prisoners put women's underwear over
9 their heads. He didn't have prisoners chain themselves for long
10 periods of time. This is what he found. Some of this was with the
11 72d Battalion that setting was continued. And so this was the
12 foundation on which he had to somehow maintain discipline. One of
13 the interesting things is that on one hand you say, "Well, he was a
14 corrections officer in civilian life so he had some training." I
15 think paradoxically his experience made it even worse because he had
16 been in a setting where he had control, there was low stress, no
17 fear. And in this situation, he really had almost no control.
18 Things were out of control. Everything was filthy. Things were
19 chaotic, and his psychological report, one of the main factors in his
20 personality, is he's somebody who is obsessive about order, about
21 cleanliness, about discipline. And so, when he went out of control,
551
.018723
1 I want to argue that it was because he was put in a situation that
2 was totally out of control.
3.Talk to me a little bit about the significant dependent
Q..
4 personality traits that were discove'red by Dr..and the impact
01111
5 of that upon this circumstance. Y)(6)(7)c
-
Yes, what's important in )ems by D
7 repeated by Dr..an independent expert assessment,
8 was that there was no psychopathology inherent in Sergeant Frederick,
9 that there was no evidence from any of his tests, from any of the
10 interviews they did, that this was a young man who brought into that
11 prison any pathology. The only weakness that emerged from the
12 testing is that there is a tendency for him to be dependent on
13 others. It's important for him that other people like him, and so in
14 some cases, he will defer to others, and in some cases, he's too
15 willing to cooperate with other people so they'll like him. Dr.
16 IIIIIir indicated to me that this could've shown up in his willingness
17 to follow the directives of the civilian contractors. It could also
"18 have been his willingness to follow the model of some of the move
19 abusive guards.
20.When you look at the totality of the circumstances that
6 A...and it was
Q..
21 were created at Abu Ghraib by those individuals superior in rank to
22 Staff Sergeant Frederick, now I'm not talking about some ethereal
552
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1 responsibility for the Secretary of Defense, I'm not going there.
2 Where I'm going to is people at levels who could have provided
3 compliance with army regulations who could have provided personnel
4 who were trained to guard prisons. When you look at the failings of
5 that group, do you conclude that part of the responsibility for what
6 Sergeant Frederick did can be laid at the corporate feet of those
7 indiViduals?
.
8 A..
Yes. It's a very unusual case because in all the research
9 I have done, we create an entity from abnormal behavior, abhorrent
10 behavior, violent behavior. I've also studied terrorism, terrorist
11 behavior. We try to understand how much is it, called disposition.
12 How much comes from within the person, sadistic personality traits,
13 paranoia, things of that kind. And how much does the situation, the
14 kinds of things I described, the dogs and the fear, wanting revenge,
15 stress, the anonymity. But in this case, there's a third level of
16 analysis that has to be included, and that's the systemic, that is,
17 that situation in Tier 1A. We have to include all the failures of
18 leadership. In every single report that I read, the.
report,
19 the Taguba report, the Fay report all point to that there was a
20 failure of leadership, the lack of leadership, no oversight, no
21 accountability, no training, inadequate resources, that my sense is
22 that Sergeant Frederick is guilty of the acts that he stipulated to,
553 .018725
1 but he is not responsible for it. The responsibility clearly has to
be shared by all of those in the chain of command slightly above him.
3 And you know, at least one report lists who those people are starting
4 from the sergeant above him all the way up to Captains and Colonels
5 and Generals, that they are equally responsible for creating the
6 condition that enabled this behavior to occur and let it perpetuate.
7 These abuses were going on for months and months. The pictures, the
8 horrible pictures that horrified this world, almost everyone had
9 known about these for months. These had been circulating on people's
10 screensavers, Internet cafes. So none of this was new. The other
11 thing that we have to include is, it was clear that a number of
12 people observed this happening. There were doctors. There was
13 medical personnel, many other soldiers, officers observed a number of
14 these abuses and did not intervene, a cycle of evil of inaction that
15 you give silent, passive approval for immoral and illegal behavior to
16 continue if the people doing this observe that they're looking and
17 you don't challenge, and you don't intervene. So my sense is, those
18 are systemic influences on Sergeant Frederick which go in addition to
19 the particular mental stress and particular exhaustion, the de-
20 individuation, the other psychological factors that I talked about.
554
018726
Q..
2 role that you have played and continue to play, significant roles
3 with the Department of Defense.
4.I should say that...I'm sorry, I'm getting this delayed
1.I wonder if you could point out to the military judge your
A..
5 feedback...that my research has been supported by the Office of the
6 Naval research. And when we completed the research, I was at
7 conferences and gave lectures on ways to improve military
8 corrections, especially in the Navy. Right now, a DVD of my prison
9 study that we just made is being used in training of many military
10 personnel. In fact, as far as I know, Colonel 111111111111110
11 psychologist colleague of mine who is in Abu Ghraib trying to correct
12 the abuses, is using my work and the DVD I provided free to the Army
13 for that training.
14.In addition, I'm the senior fellow in the Department of
15 Homeland Security's program that trains people in the psychology of
16 terrorism. We've trained people at different levels of the same
17 government, and they do this Naval post-graduate school in Monterrey.
18 And lastly, I've help found and I'm one of the directors of the
19 National Center for Psychology of Terrorism in California where we
20 studied the psychology of terrorism and tried to improve things like
21 the terrorist alarm system, the way in which officials communicate to
22 the public, how to manage fear and things of that kind. So, I have
555.
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1 been--I think of myself as a patriotic American citizen that has been
2 against the Vietnam War, against the Iraq war, a critic of the
3 administration's program which I think wronged people unnecessarily.
4 But despite being on the defensive, I think of myself as a patriotic
5 American citizen who has worked hard to improve the quality of life
6 in our country all of my entire career.
7.Doctor, I'm going to ask you, perhaps my last question.
Q..
8 But if the. United States Army had come to you in August of 2003 and
9 said, "Here's what we plan to do with Abu Ghraib. Here's how we plan
10 to staff it, and here's how we plan to run it," what would iyou have
11 told the Army about the prospect of their prison guards surviving the
12 circumstance that they contemplated?
13.Well, that's a tough question. But, the first problem is
A..
14 this'facility for interrogations should not have been at Abu Ghraib
15 because of its symbolic value of that prison as Saddam Hussein's
16 torture center, was really too important for the American image. So,
17 the last thing we needed was for something to go wrong. The other
18 thing is, it's in the heart of the city, so it's open to mortar
19 attacks and grenade attacks. It also had to be a clear separation
20 between detainees who had any potential information and others who
21 were just criminals who were picked up in random searches.
22 Certainly, a boy of 10 years old or old men 60 years old are unlikely
556
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1 to have any information, certainly not after months and months in
2 captivity.
3.The other problem was, as far as I know, many of the
4 contract interrogators were not really well trained in the psychology
5 of interrogation and the cultural nonverbal aspect of the people they
6 were going to interrogate. And then you know, there would have to be
7 a very explicit, clear demarcation of the interrogation process and
8 military intelligence process, the detention process, all of which
9 were mixed. It seems also you can't just have civilians giving
10 orders or encouragement to military. That's just not part of the
11 military procedure. So I would have suggested or recommended very
12 clear oversight, very clear supervision, making it kind of a standard
13 operating procedure for each detainee that comes in, whether they
14 have interrogation potential or not. But most important is to have
15 an officer in charge of the nightshift, an officer in charge of the
16 dayshift who is responsible to the next level chain of command.
17.And then also, you need sufficient resources. I mean,
18 obviously this was poorly planned. At the very least, you don't put
19 somebody in charge of this complex prison, a superintendent, who had
20 no prior experience running a prison. I mean, that's unheard of.
21.You know, you raised something that I do want to ask you
Q..
22 about. Can you differentiate for me in your own studies and for
557
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1 circumstances at Abu Ghraib night versus dayshift? You found some
2 interesting things, didn't you?
.
3 A..
It was really eerie. I mean, my study is a little
4 experiment done many years ago. The parallels between my study at
5 the Stanford University basement and Abu Ghraib are eerily eerie.
6 Most of the abuse in my study took place on the nightshift, just as
7 at Abu Ghraib. Our guards stripped prisoners naked for any reason to
8 humiliate them. Our guards put bags over prisoners' heads to confuse
9 them. Our guards, the escalation of abuse went from cleaning toilet
10 bowls out with their bare hands to simulating sexual behavior among
11 the prisoners. That was just in 5 days, and so we saw this still
12 study, microcosm of what could have happened had we kept our study
13 going to months at a time or had we had guards at high levels of
14 stress. So all I mean to say is that, and actually, the Schlesinger
15 report says that research should have been a fourth warning to the
16 military about the importance of adequate training, adequate
17 preparation to all the people in a prison of that kind that had such
18 value, symbolic value as well as true informational value.
19.Why do you think the nightshift was the repository for the
Q..
20 principal levels of problems?
21.Absolutely. I mean, partly is the different mentality of
A..
22 the nightshift, especially on our nightshift that when I went to
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DOD-041900
1 sleep, that again, as with this nightshift at Abu Ghraib, there was
2 no extensive--nobody was clearly in charge. And the guards really
3 just trying to see how far they could go, what they could get away
4 with. And what happens is over time, I wasn't told this, but it
5 became fun and games. I mean, the de-individuation state means you
6 stop thinking about the future, you just live in the expanded
7 presence. The thing that is remarkable is that these soldiers took
8 pictures of themselves doing this legal, immoral behavior. And one
9 of the reasons they did this, when they were doing it, they no longer
10 thought about it as a legal or immoral. They didn't think about
11 somebody in the future is going to look at these and use them to
12 determine their culpability. So that again, that nightshift gives a
13 sense of total de-individuation, totally being immersed in the
14 present hedonistic state.
15.Would you suggest, Doctor, that given all the factors that
Q..
16 you know of with respect to this sort of circumstance and given the
17 actual circumstances that existed at Abu Ghraib, that irrespective of
18 who occupied the role of nightshift guard, that there was a certain
19 inevitably to abuse, given all the factors that existed?
20.Yeah, I guess I would be drawn to that, is that not every
A..
21 single individual in a setting like that gets out of control. What
22 we have found not only in my prison study, but many other studies, is
559
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1 that the majority, that the typical reaction of someone in that study
2 is to give in to the situational forces. And it's the exceptional
3 person, the heroic person who can somehow resist. But it's
4 impossible to do so when you're encouraged to soften up the detainees
5 for interrogation. As far as I know from my interview with Chip
6 Frederick, when he complained about mixing prisoners of different
7 ages and of different mental states and of different physical
8 condition, he was reprimanded. He complained--so when he was trying
9 to do his job as officer in charge, he never got support by higher
10 ups. In fact, he said he often was reprimanded. So he stopped
11 trying to improve conditions. He just went along with the flow.
12.The other thing I would like to mention, if I could, is my
13 impression of this young man outside of Abu Ghraib, that what I was
14 surprised when meeting him because I had expected someone who did
15 these beastly acts to somehow have a distorted personality. But Chip
16 Frederick is really an all-American boy. He's the son of a coalminer
17 in Virginia, a homemaker mother. They go to church. They're
18 Baptist. They go to church on Sunday. He flies the American flag in
19 his back yard every day and he gives the American flag as a gift to
20 people. He tears up when they play the Star Spangled Banner. He
21 hunts. He fishes. He plays softball. He has lots of good close
22 friends. He has a wonderful relationship with his wife and two
560
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1 stepdaughters. So before he comes to Abu Ghraib, this is almost an 2 American icon. He actually gave me an image of an all-American young 3 man, this young man. And he was in corrections. There's no history 4 of any kind of physical health problems, mental health problems. He 5 was a good corrections officer for a number of years. And also, when 6 he first went to Iraq, I guess he was at a place called Al Hillah 7 that he shared with pride. He worked with the children. He learned 8 the culture. He enjoyed the service he was doing. So even when he 9 was in Iraq on an ordinary mission, he [inaudible]. And suddenly,
10 goes to Abu Ghraib and gets transformed. He goes from Dr. Jekyll to 11 Mr. Hyde. So the question is, you know, did he bring some pathology 12 into the situation, or did that situation bring out pathology in this 13 good, young American soldier who I would be willing to have him take 14 care of my kids at any time. Because in the experience that I had 15 with him, he is a wonderful young man who did these horrible things. 16.
CDC: Doctor, I want to take a moment to thank you for taking
17 your time out to do this by VTC from Italy while you were on holiday.
18 It's very much appreciated. I'm sure the government will have some
19 questions for you.
20.[END OF PAGE.]
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018733
1.CROSS-EXAMINATION
4¦•1•11MMI (40 -2X'*100
2 Questions by the trial counsel [Captainimmommeg
(
3.Q. Dr.
, you subscribe to a situationist perspective
4 in undetstanding abhorrent behavior, correct?
.
5 A..
Say that again, please? I'm sorry.
6.You describe to a situationist perspective in understanding
Q..
7 abhorrent behavior. Is that correct?
8.Yes.
A..
9.And not being a psychologist, if I could be so bold as to
Q..10 attempt to summarize that line of thinking in just a few sentences. 11 When clearly evil behavior is committed by an otherwise 12 psychologically normal person, you must look to the situational 13 circumstances surrounding the event rather than those of the personal 14 choice, character or free will to explain the conduct, right? 15.No. That's too simple an explanation. People always have
A..16 free choice. Ultimately, individuals are always responsible for 17 their actions. A situations approach simply says that when trying to 18 understand any behavior, we have to take into account various factors 19 in the situation. It's not enough to simply do a psychiatric 20 analysis to say what is wrong with the person. So a situations 21 analysis doesn't excuse a wrong behavior. It does not excuse 22 sadistic behavior. It simply tries to say, how can we understand the
562
018734
1 human factor by the influences within any situation on his or her
actions..,
3.
Q.; I apologize% I might have misunderstood some of your
4 previou8 testimony then. You've testified before Congress before,
5 correct?
.
6 A..
Yes.
7.And when you testified before Congress, did you say the
Q..
8 following, "Individual behavior is largely under the control of
9 social forces and environmental contingencies, things that occur,
10 rather than some vague notions of personality traits, character,
11 willpower or other empirically invalidated constructs," correct, you
12 said that?
13.Correct, yes.
A..
14.And then you went on to say, "We create an illusion of
Q..
15 freedom by attributing more internal control to ourselves to the
16 individual than what actually exists." Did you say that, as well?
17.Yes, I did.
A..
18.And then you went on one more time further and said, "We
Q..
19 put too much stock in some notions of character, free will or
20 personality traits to which there's no evidence psychologically that
21 they even exist." You said that, as well?
.
22 A..
Yes. 563. 018735
1.Q..
So given that position that you took before Congress, is it
2 your testimony today that Staff Sergeant Ivan Frederick, because o f
3 the situation the he found himself in Abu Ghraib last fall was
4 essentially guaranteed to commit the heinous crimes?
5.You said, "guaranteed"? I just didn't hear the word.
A..
Q..
Essentially, that there's no such thing as free will,
7 character, that these are constructs that we have fallen back on to
8 explain situational circumstances. Wouldn't that necessarily mean
9 that a person who doesn't have those constructs faced with an
10 impossible situation wouldn't necessarily commit the wrongdoing?
11.A..
Again, you're misconstruing what I said in my position. I
12 didn't say people do not have free will. I said, those are vague
13 constructs, that we use them in a vague sense. You don't measure
14 free will. You don't measure character. It doesn't mean they don't
15 exist, but they are vague constructs in comparison to the very
16 specific things of, we can measure the level of exhaustion. We can
17 measure the level of stress. We can measure specific event
18 situations. So, I don't want you to--it sounds to me like you're
19 trying to twist my position, that he had free will to act in the way
20 he did or not, but that free will got undercut, that free will gets
21 distorted the more situational factors you have that pushed behavior
22 in this negative direction.
564. 018736
1.I didn't mean to misconstrue it, but you did say that
Q..
2 "There's no evidence psychologically that character or free will or
3 personality traits exist," and that was your testimony before
4 Congress, right?
.
5 A..There's no evidence that it exists. It doesn't say that it
6 doesn't exist in the individual. There's no evidence at a
7 quantitative level that can measure my character versus your
8 character, your level of free will versus. Those are vague concepts.
9 They've always been vague in philosophy as well as in psychology.
And you went on when you were testifying before Congress
11 when you said, this is a quote, "No one here I think can assert that
12 they could not be either capable of this brutal or powerless--" I'm
13 sorry, let me step back. Your quote was, "No one here I think can
14 assert that they could not be either brutal or powerless when they
15 are put in that situation, meaning a situation where they are
16 powerless themselves." And you said that, correct, that no one can
17 assert that?
18.That no one can assert in advance of being in a novel,
10.Q..
A..
19 unusual situation like my prison study or Abu Ghraib, that they would
20 not have done that. You cannot assert with 100 percent certainty
21 that you would not have behaved as Sergeant Frederick behaved. Yes,
22 I said that.
.018737
565
Q..
2 extreme power differentials, correct?
3.A.' Can you say that again?
4.I'm sorry, one of the situational circumstances that you
1.Now, one of the situational circumstances you point to is
Q..
5 point to in what occurred at Abu Ghraib is that there were extreme
6 power differentials, correct?
7.Yes. One of the circumstances in all prisons are. extreme
A..
8 power differentials between guards and prisoners. And in this
9 setting, it was even more extreme because of the nature of that
10 situation.
11.Q..
And you said that exists in every prison environment. Is
12 that correct?
13.
A. . Yes, that's what prisons are about. Guards have power;
14 prisoners have no power.
15.And it was your testimony before Congress once again that a
Q..
16 prison any situation in which one person's freedom and liberty are
17 denied by virtue of the arbitrary power exercised by another person
18 or group, right?
19.Correct.
A..
20.And that you also stated the mere act of assigning labels
Q..
to people, such as prisoners and guards and putting them into a
.
566 018738
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1 situation where those labels acquire validity and meaning is
2 sufficient to elicit pathological behavior, correct?
.
3 A..
Yes.
4.
Q. . So it wasn't the unusual power differential found
5 exclusively at Abu Ghraib that you're pointing to, but rather power
6 differentials that are inherent in all prisons.
.
Yes, except Abu Ghraib was a special case because of the
8 high level of stress, the fear, being under attack, the fact that
9 there were not enough jumpsuits and prisoners were naked most of the
10 time. They spoke a different language. There were a thousand
11 prisoners, they only showered once a week. They were filthy. And so
12 in that setting, those prisoners were like animals. They were
13 treated like animals by the guards because they smelled like animals.
14 They looked like animals. And so, that is a unique setting. You
15 don't have that setting in San Quentin Prison. You don't have that
16 setting in Attica and other prisons that I've studied. So it's more
17 extreme on this dimension of power of guards and lack of power of
18 prisoners.
19.Now, you stated that you read Major General Taguba's report
7 A..
Q..
20 concerning Abu Ghraib. Is that correct?
21.Yes, I did.
A..
567.
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DOD-041909
1 And not every guard at Abu Ghraib treated the prisoners
2 like animals. Isn't that correct?
3.Not every guard treated the prisoners like animals,
A..
4 correct.
5.In fact, the dayshift treated the detainees very well.
Q..
6.We don't know they treated them very well. We know there
A..
7 was not this level of abuse. That's all we know.
8.Now, you also stated that there was inadequate training for
Q..
9 the guards at Abu Ghraib. Now, you're aware that Staff Sergeant
10 Frederick is a correctional officer in his civilian capacity,
11.
correct?
12.Yes, I'm aware of that.
A..
13.And that he received 112 hours of in-house training at the
Q..
14 confinement facility he worked at in Virginia before he started
15 working there as a correctional officer?
16.Yes, I'm aware of that.
A..
17.And that he attended 160 hours of training in the basic
Q..
18 officer's course before he started working at that same institution?
19.Yes, I'm aware of that.
A..
20.And that this training consisted of a block of instruction
Q..
21 in the proper use of force, crisis management and cultural diversity?
.
568 018740
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A..
1.The cultural diversity part, as far as I remember from my
2 interview with Sergeant Frederick, was a very brief, very brief part
3 and it was cultural diversity within the United States. So, it would
4 be most likely dealing with black or Hispanic prisoners, not with
5 Arabs from a different religion and totally different culture.
6 Would it surprise you that on three different occasions, he
7 received cultural diversity training that included cultural diversity
8 training in the religion of Islam and the way Muslims practice their
9 religion?
10.A..
Yes.
11.Q..
And were you aware that the training he received during his
12 basic officer's course included recognizing differences in social and
13 culture and religious lifestyles that each inmate that would practice
14 and that this particular course actually referenced your Stanford
15 prison experiment?
16.No, I was not aware of that.
A.
.
17.
Q.
- And were you aware that he received 24 hours of mental
18 health training through his civilian employer in his role as a
19 correctional officer?
20.No, I was not aware of that.
A..
.
569 018741
DOD-041911
1.Q..
Were you aware that Staff Sergeant Frederick had 4 weeks
2 worth of leadership training from the United States Army before he
3 became a noncommissioned officer?
4.Yes, I think I was aware of that.
A..
5.And were you aware that these 4 weeks of training included
Q..
6 blocks of instruction on how to lead in stressful situations, how to
7 encourage moral behavior from subordinates and ethical decision
8 making?
A..
10.Q..
9.No, I didn't know the specifics of his training.
Now, you listed a number of ways that you believe the
11 situation at Abu Ghraib paralleled the experiment you conducted at
12 Stanford. Is that correct?
13.Yes, I did.
A..
14.Hooding of inmates?
Q..
15.Say that again, please?
A..
16.One of those parallels would be hooding and the chaining
Q..
17 and sexual humiliation, is that correct?
18.Yes, it is.
A..
19.Now, the guards in your experiment were young college
Q..
20 students, right?
21.Yes, they were all between 18 and 23 or 4.
A..
570
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DOD-041912
1.And they had no experience or training whatsoever in being
Q..
2 prison guards.
3 A. Correct.
4 And Staff Sergeant Frederick is 38 years old, right?
5 A..
Correct, yes.
6.With 7 years of experience as a correctional officer?
Q..
7.Yes.
A..
8.Now, the hooding of the inmates in your experiment, that
Q..
9 was not the idea of the guards, but that was actually yours and your
10.
staff's, right?
11.A..
With the hooding, say that again.
.
12 With the hooding of the inmates in your experiment, that
13 was not the idea of the guards. That was actually yours and your
14 staff's idea, correct?
15.Yes. It was our idea when the prisoners left the yard to
A..
16 go to the toilet, the guards then escalated using the hoods on their
17 own to increase the confusion of the prisoners at various other
18.
times.
19.Now likewise, it was not the guards who originally chained
Q..
20 the inmates in your experiments, right? That was once again your and
21.
your staff's idea.
571.
018743
1.A..
No, the idea of chaining the prisoners to each other was
2 the guard's idea. The idea of wearing a chain on one's foot as a
3 symbol of your powerlessness, that was part of the psychology of
4 imprisonment we were studying.
5.Now, you also mentioned the sexual humiliation part. It
Q..
6 was yours and your staff who picked out what the inmates would wear
7 during your experiment, correct?
8.Say that again, please.
A..
9.It was yours and your staff's idea of what the inmates
Q..
10 would wear during your experiment, correct?
11.A..
Correct.
12.And it was yours and your staff who picked smocks and
Q..
13 insisted that the inmates not wear any underclothes in order to
14 sexually humiliate and emasculate them, correct?
15.Correct.
A..
16.So the parallels you see between Abu Ghraib and your
Q..
17 experiment, specifically hooding and chaining and sexual humiliating
18 were not abuse that your guards originally came up with, but were
19 actually research controls of your own experiment.
20.No, not completely, because what the guards did was use the
A..
21 prisoners as playthings. They had prisoners bend over and had other
22 prisoners simulate sodomy. That's not anything that we encouraged,
572
018744
1 anything that we allowed. All we did was put prisoners in smocks
2 because we wanted to emasculate them, essentially, so you would want
3 to minimize their masculinity. And this is what happens in many,
4 many prisons. But the guards went way beyond that simple fact of
5 having prisoners would leapfrog over one another so their testicles
6 would bang on their other prisoner's heads, to have therri, again,
7 simulate sodomy. That has nothing to do with me or the staff. This
8 was the invention of the guards on the nightshift.
9.So when the guards did start taking the sexual humiliation
Q..
10 that was built into the experiment to a new level, that was on the
11 nightshift. Is that correct?
12.Yes, it was on the nightshift.
A..
13.Q..
And that's because they didn't believe anybody was watching
14 them at that time.
15.Correct.
A..
16.And that's because they knew their conduct was
Q..
17 wrong,..excuse me, go ahead.
18.Say that again?
A..
19.And they did it during the nightshift because they knew
Q..
20 their conduct was wrong and they didn't want to be caught doing it if
21 you were watching them. Isn't that correct?
573.
018745
1.A..
It's not clear that they thought it was wrong. I would
2 typically intervene if a guard was being abusive. The next day I
3 would call the guard and say, you know, "You're being physically
4 abusive. If you touch a prisoner with your Billy club, it's
5 equivalent to hitting them." So I was seen as the liberal
6 administrator who was really protecting the prisoners. And so the
7 guard, who thought the prisoners were danger, I mean, in this little
8 experiment, wanted to get around or circumvent my intervention as
9 superintendent of the prison.
Q..
11.
10.So they knew it was wrong, and they didn't want you to see
it, correct?
12.I don't know if they thought it was wrong. I can't read
A..
13 into their minds. All I knew was, even in that setting, they didn't
14 want me to intervene.
15.
ATC: Thank you, I have no further questions.
16.
WIT: Again----
17.
MJ: You may go ahead and finish.
18.Does he have anything to add, Mr mpg You can feel free
19 to add, because his last answer was kind of cut off.
20.[END OF PAGE.]
574
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DOD-041916
1.REDIRECT EXAMINATION Questions by the defense counsel [Mr..(46") -11;(6) cie)---v-
Q.
3.Doctor, MEM again, just a few attempts to--not to
4 oversimplify this problem as the government has tried to do with you.
5 The simple reality is that, is it not, that training is helpful in
6 identifying potential problem areas, but if the training does not
7 extend to the exact circumstances that existed at Abu Ghraib, it may
8 have only marginal efficacious effect. Is that not correct?
A..
10 say that the leadership is faulted because there was not mission
11.
9.Yes, not only is that correct, but several of the reports
specific training. What the [inaudible] has just said was,
12 "Sergeant Frederick has got a lot of training and has to run a prison
13 in Maryland," very little of that training is applicable in the
14 mission specific site in Abu Ghraib in Tier 1A. I mean, there's
15 really no comparability between at a low security prison in Maryland
16 and being in this high security chaotic prison in Abu Ghraib.
17 There's no parallel.
18.Secondly, are you of the view that what iStaff Sergeant
Q..
19 Frederick has done here is criminal?
20.I don't know what you mean by "criminal"?
A..
21.Is it a violation of law?
Q..
575
018747
DOD-041917
A..
2 were abused. People were hurt, so it is a violation of the law.
3 There's no question about tht.
4.I mean, you're not here to excuse his conduct, are you?
1.Yes, it's clearly a violation of the law. I mean, people
Q..
5.Oh, I don't excuse his conduct. Again, the situational
A..
6 approach is not excuseology. It's not saying, oh, we're going to
7 blame the situation and take the person off the hook. It simply says
8 in trying to understand why Sergeant Frederick suddenly did these
9 terrible things to which he has nothing in his history, nothing in
10 his personal background, nothing in any psychological test that would
11 have predicted that he did these terrible things, that what we have
12 to put on trial is both the situation and also the system of--on
13 trial has to be all of the officers who should have prevented it, all
14 the officers who should have given adequate training for him and the
15 other soldiers, who should have given adequate oversight that would
16 have prevented this. Again, the Fay report, the Taguba report, that
17 this could have been prevented, had the military put in any of the
18 resources or any of the concern that they're putting into these
19 trials, Abu Ghraib never would have happened. But Abu Ghraib was
20 treated with indifference. It had no priority, the same low priority
21 in security the archaeological museum in Baghdad. These are both low
22 priority items, and this one happened to [inaudible] with these
576
018748
DOD-041918
1 unfortuhate circumstances. So I think that the military is on trial,
2 particularly all of the officers who are above Sergeant Frederick who
3 should have knew what was going on, should have prevented it, should
4 have stopped it, should have challenged it. They are the ones who
5 should be on trial. Or if Sergeant Frederick is responsible to some
6 extent, whatever his sentence is has to be, I think, mitigated by the
7 responsibility of the whole chain of command.
8.
CDC: I have nothing further. Thank you very much.
9.
ATC: No questions, Your Honor.
10.MJ: Thank you, Doctor, you're excused.
11.Do you have anything further, defense?
12.
CDC: I do not, Your Honor, we rest.
13.MJ:' .
do you have any rebuttal?
14.
TC:. No, Your Honor, we do not.
15.
MJ: I'm sorry?
16.
TC: We no not have any rebuttal, Your Honor.
17.
MJ: Oh, I thought you said you probably do not.
18.
TC: Sir, we definitely do not have any rebuttal. We do need a
19 few minutes.
20.
MJ: You need a few minutes, okay. We'll be in recess for 10
21 minutes. The court is in recess.
577
018749
DOD-041919
[Court recessed at 1414, 21 October 2004, and reconvened at 1430,
2.
1.
21 October 2004.]
3.
MJ:; Court is called to order. All parties are again present
4 that were present when the court recessed.
.
5 Trial counsel?
.
6 TC: Yes, Your Honor....
.
7 MJ:: I'm sorry?
8.
TC:- Sir, there appears to be a technical problem for the
9 overflow room. Do you wish for me to start or shall I wait?
10.MJ:. The court will be in recess.
11.
[Court recessed at 1431, 21 October 2004, and reconvened at 1435,
12.
21 October 2004.]
13.
MJ:. Court is called to order. All parties are again present
14 that were present when the court recessed.
.
15 Major 16..C_Lig2 00)(C)
TC: Sir----
17.MajorIIIIIIII just for the record, is that I want all your
18 pictures that you're putting in here that have not been previously
19 introduced, will there be any in your presentation that have not----
20.
TC: Sir, the only photos that are attached to the presentation
21 are part of the stipulation of fact, and I will provide a copy of the
22 argument, as well, to the court reporter.
578
018750
DOD-041920
1.MJ: Okay, proceed.
2.TC: Sir, this is wrong [while showing photo]. Every man and
3 woman in this courtroom knows this is wrong. Although in the last
4 couple days, even that question has been obscured somewhat. I would
5 like to take a little of your time to discuss what we've seen in the
6 last few days and then try to clarify some issues that have been
7 somewhat clouded. I have three points that I would like to make to
8 the court today, and this is the first. This is old, old ground and
9 ground I thought had been covered but apparently needs to be
10 recovered again.
11.I'd like to start, sir, with the three general theories of
12 punishment, and frankly, to tell you why two are inapplicable to this
13 case. Sir, there's a theory of punishment, as you well know, that
14 involves the rehabilitation of the offender, and the idea is that we
15 should treat the offender or punish the offender in such a way that
16 he is made whole again. The problem with that, sir, is that it
17 treats the offense as a pathology and requires experts to determine
18 how long that treatment should occur. And frankly, no disrespect
19 intended, sir, under this theory of punishment, jurists are not as
20 necessary as experts, that it's physicians that determine what a
21 sentence should be and it's independent of the offense. It's focused
579
018751
DOD-041921
on the offender, what he or she may need. That's an inappropriate
2 means to think about this case.
3.The second point or second theory, sir, is deterrence, and
4 deterrence is an important social policy in the sense that we
5 certainly want others to think before they take an act, "What will
6 occur to me if I do this act?" The problem with this theory, sir, is
7 that it really is independent of the act, itself. The question is,
8 is the deterrent effective, not is it just? So, some small measure
9 of punishment might be appropriate to deter others. On the other
10 hand, a large measure of punishment may be necessary to deter others
11.
from taking that act. Again, it's not the act, itself, that's the
12 focus, but it's what is necessary and what is effective. It's not a
13 question of justice, but of efficacy.
14.And that brings us to the social retribution theory, which
15 is the traditional theory of punishment, which has somehow gotten
16 lost even in the last 2 days. And essentially, this says there is a
17 moral wrong, and that's codified in law, that there is some
18 repercussion for that violation of the moral law, that a price must
19 be paid. And it really, essentially, asks this. What punishment is
20 warranted based on the act of the individual? And of course, by
21 "warranted" we mean, what is deserved? And deserved assumes, of
22 course, that there was a wrong, that that is recognized.
580
018752
DOD-041922
1.Now, there is a competing theory, and I think it was
2 captured somewhat by Dr..theory and some other points that
016 -V W2..e)-5t
3 had been made. And essentially what Dr..tried to capture in
4 the government, at least through his testimony, was that simply this,
5 that this prison environment is a unique environment and it compels
6 certain behavior in individuals that would not otherwise arise. And
7 since those circumstances are external and it is compulsion, there's
8 not full responsibility. And because Sergeant Frederick was in this
9 environment, he therefore isns't fully responsible----
10.
CDC: Your Honor, I hate to object during closing argument, but--
11 facts not in evidence. That's not whati111111111said.
7)-c 4
-
12.fair inference that one could
MJ:: Mr..13 take what D said. Your objection is overruled. Proceed, 14 Major (1,t)4173(0 -2 15 TC: Yes, sir. 16.
NJ:, And understand, I'm not saying I agree. I'm simply saying
17 is that counsel is----
18.
CDC: I just felt compelled to make the objection, Your Honor,
19 which I ..don't normally do.
20.
MJ:. I understand.
21.
CDC: I apologize for the interruption.
581
018753
DOD-041923
1.MJ: No, don't apologize. What I'm simply saying is that that's
2 the government's inference from hip testimony, and it would appear to
3 the court that that is one inference one could take.
4.Go ahead, Major *IMO ) -Z
5.
TC: Yes, sir, and I will tread lightly over this ground and
6 quickly, but that is really the question asked of you today, is are
7 we responsible for our actions, or are we not? And in the abstract,
8 that is a difficult question to answer and the philosophers have
9 obviously studied for some time. But I would just ask you to
10 consider that, that if we are truly compelled by our circumstances
11 and that we are not responsible for the good or the evil that we do,
12 and that even the heroes among us, when they act, it is because of
13 some outside compulsion and not their own innate sense of goodness or
14 nobility. And under this theory, I think that men and women are
15 robbed of the dignity which makes us men and women.
16.But I want to talk about the specific in this case,
17 Sergeant Frederick and his ability to choose, and I would like to
18 begin with age and experience. Of course, Your Honor, you've heard
19 that the accused is 38 years old, married, has had several jobs. In
20 short, he's an adult capable of making decisions. He's of average
21 intelligence, and he's capable, as we learned, of determining right
22 from wrong. And let me give you an example of that, and it's a
582
018754
1 bizarre example, Your Honor. But the accused said that on the night
2 of November the 7th, a number of events occurred. One, Sergeant
3 Javal Davis began leaping onto detainees lying on the ground. And
4 this, apparently, didn't disturb Sergeant Frederick enough to take
5 action. And then he, himself, struck a detainee and Corporal Graner
6 struck a detainee forcefully. And then Sergeant Frederick used his
7 hand to stimulate, or to force, rather, detainees to begin to
8 masturbate. And this didn't offend his sense of right or wrong. And
9 then detainees were placed in a pyramid and photographed with writing
10 on them, naked. This didn't offend his sense of right or wrong,
11 apparently, either. But yet, he says he left for a time and came
12 back and he saw that the detainees were forced into simulated
13 fellatio, and suddenly, this outraged him. He couldn't take that.
14 That was too much. I suppose we are fortunate that he has some
15 standards. But he made the decision, "This is wrong and I'm going to
16 stop this," if you believe his testimony.
17.I'd like to talk a little about training, as well, sir, and
18 this has been subject to some intense discussion. I would say that
19 it's extensive, methodical, disciplined, trained--and training in the
20 corrections profession. There's an emphasis on the ethics of that
21 profession, and from the records introduced and the soldier's 2-1, we
22 know that there were 112 hours of initial in-house training at the
583
018755
DOD-041925
1 Buckingham Correctional Facility, that he attended 160 hours of
2 training at basic officer's course with proper use of force, crisis
3 management, cultural diversity, training on the Strike Force, as
4 well. Sir, within the packet you've been given, I'd ask you if you
5 could just look at this, of course, in deliberations. There was a
6 test that Sergeant Frederick was given, a performance evaluation.
7 And a question was asked of him about the use of force, and it was a
8 complete fill in the blank-type question, and it involved a
9 detainee--or a prisoner, rather, in a situation and a guard that
10 takes action. And Sergeant Frederick wrote in that response to this
11 performance evaluation, it says, "Trainee Jones should not have used
12 his radio as a weapon. Inmate Blant did not have a weapon and did
13 not pose a threat. Trainee Jones should have tried to push him out
14 of the way." He has made some thoughtful applications of skills to
15 various situations. He is trained by both the civilian sector and
16 the military.
17.In the military, he's received fairly extensive training.
18 At PLDC, he received ethics andleadership training. And there's
19 been a constant reiteration in his life, in both the military and the
20 civilian sector of this need to treat people with dignity and
21 respect. Now in prison, he says he essentially forgot his training.
22 What's ironic is that that's not quite true. He remembered how to
584
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DOD-041926
1 apply pressure points to a detainee to cause intense pain. He could
2 recall that aspect of his training. It was only the other parts
3 about treating people with dignity and respect that he apparently
4 forgot.
5.And sir, maybe he wasn't trained specifically for an I and
6 R mission. The nature of the Army is that we adapt to the situation
7 posed to us. That is true of every soldier in every combat situation
8 and non-combat situation. This particular accused though, was a
9 military police, somebody we would generally expect to know how to
10 secure detainees. EPW mission is a mission that we commonly
11 understand military police to have some knowledge of. But more than
12 that, again, he was a highly trained corrections officer. But
13 really, in the end, this is a red herring, absolutely a red herring.
14 Sergeant Frederick laments that if only he had the right doctrine, if
15 he had had 190-8, things would have been different. But how much
16 training do you need to have to know you don't punch a man who's
17 defenseless and not resisting, punch him when he's got a hood over
18 his head in the chest as hard as you can? How much training do you
19 need to know that it's wrong to force a man to masturbate? You don't
20 need training. A 5-year old knows that that's wrong.
21.Regarding his positional authority, we know that he's
22 essentially an average NCO, maybe not a great leader. But he was a
585
018757
DOD-041927
1 leader. He had the stripes. He had the chevrons, and he was suited,
2 best suited, perhaps, to stop this situation. Now maybe Graner is a
3 deviant sadist in this site, no doubt that's true. And maybe there
4 were other factors that impinged on this situation, but Frederick
5 clearly could've stopped this at any time. He was that guy at night
6 when no one else was looking, the staff sergeant, the NCOIC that
7 could've said, "That's enough, fellas, this is crazy. That's
8 enough." He didn't do that. So when no one else was looking, he
9 joined it. And I'd like to show you a snapshot, something you've
10 seen already, but just again, a very close look--or a short look,
11 rather, at what happened on the night of November 7th. [To his
12 paralegal] Sergeant 111111 Sir, I'd just need a little assistance
13 here..(4)2)(0(7)(6)
14.
MJ: Is this the DVD introduced into evidence?
15.
TC: Yes, sir.
16.
MJ: Go ahead.
17.
[The DVD begins to play with no picture.]
18.
TC: One moment, sir. If you would bear with me, it will just
19 take a second..
[Pause.] Well, Your Honor, I apologize. I
20 apologize, Your Honor. I won't take any more time. I would ask you
(0M2)(b)0,)C
21 to take a look at that DVD, and Sergeant411111 would you replace
22 that..
can certainly describe the events as you have seen them.
586
018753
DOD-041928
1 What you have, of course, is Sergeant Frederick with arms in the
2 traditional leadership position, arms out crossed across his chest
3 and the detainee scared and naked against the wall. Corporal Graner
4 clearly slapping the detainee on the side of the head, and Sergeant
5 Frederick not at all concerned but watching, and steps back and
6 appears to raise his hands above his hands. I'm not sure if he's
7 flexing his muscles, but he makes this motion. And he's, again, not
8 at all concerned. And then, as you see, as you look at that MPEG
9 attachment, you'll see that Corporal Graner drags a man naked across
10 the floor and begins to place him in a pyramid, takes the bag off his
11 head and positions him so that he can build this human pyramid.
12.Sergeant Frederfick is right there, sir. That's just a
13 quick glance. He's right there and he knows exactly what he's doing
14 and he does exactly what he wants. And so, I think based on these
15 factors that we know about Sergeant Frederick, we draw these
16 conclusions that, first, generally, we know there's a difference
17 between right and wrong. We know the accused could choose that
18 difference. He chose the wrong, and then what does justice require,
19 if that's the case. And then, of course, there's this issue about
20 justice and mercy and I would like to just talk very briefly about
21 mercy, generally, because it is certainly part of justice.
587.
018759
DOD-041929
1.First of all, I'd like to ask you to think about the
2 motivations of the accused. There were three incidents you talked to
3 him about, sir. One involved this incident with Agent 1111. a CID
L.....)(0/6.(6)(7) 0/
4 agent, apparently. And the accused told you that Agent .
made
5 some comments to him and that based on those comments and for other
6 reasons, his own foremost, he abused a detainee by placing him on a
7 box with a hood over his head and a blanket over him and then
8 attached wires to his fingers and wires were attached to his man's
9 penis so that he would be led to believe that if he fell off, he
10 would be electrocuted. How horrifying must that have been? What's
11 odd though, sir, is that that's the accused's own self-serving
12 version of events. If you believe that that was the case that he
oA)/10*) I
13 really wanted to help Agent.iin this situation, it's odd that
14 he took time to take photographs and be captured in a photograph, a
15 photograph that's attached to the stipulation of fact, and that he
16 left soon after. He didn't stay to keep this detainee awake or do
17 anything else.
18.Similarly, on November 8th, we know that there was a report
19 of a riot, that's true. But then the accused tells us, well, he
20 heard that one particular individual threw a rock and hit a military
21 policeman in the face, and he adds, a female military policeman. He
22 didn't mention ever who told him that, sir. He didn't attempt to
.
588 018760
DOD-041930
1 validate that or corroborate that in any way. Isn't that odd that he
2 would say, "I heard this," but he didn't say who told him that? That
3 would be certainly relevant. He didn't even bother to name anyone,
4 much less ask that they corroborate his testimony. So that ill truly
5 self-serving.
6.The other thing about it, sir, is that he says,
7 essentially, "I was angry. I was angry at what happened." But what
8 you hear is that he went down there with detainees and then Sergeant
9 Javal Davis started this whole mess by running and jumping on the
10 pile, not that Sergeant Frederick ever intended to do anything. But
11 somehow, suddenly, that got him in the right mode and he picked up
12.and punched him, because he was angry at
Mr.
13 that detainee. And again, we don't know other than he says so, that
14 that was a man who had done anything other than be involved in a
15.
riot.
16.The other part of this is, when you look at those
17 photographs and you hear the testimony, nobody appears to be angry.
18 Nobody appears to be angry. In fact, there's laughter in the
19 background that these detainees--it's a game, sir. They're writing
20 "rapist" on the leg of a detainee. They're forcing them to
21 masturbate. They're piling them into a pyramid. That's a game.
22 They could care less what happened at Ganci.
589.018761
1.And then, sir, on November 28th, he told you a story. Do
2 you remember, sir, he told you a story about this Iraqi Houdini who
3 was clearly mentally unstable, clearly had problems in that regard.
4 He told you a story. But think about the story. He said, "You know,
5 we couldn't secure him, so we tried this, made this attempt to do
6 this with litters." Quite possibly, that's true. Now, it's clear
7 that they didn't intend to keep him that way, but they were going to
8 create this, essentially, exhibit to give to the command, right?
9 "We'll put him in this situation. We'll photograph that and we'll
10 give it to the command so they'll know how bad the situation is."
11 Did he ever say that he gave it to the command, photograph with him
12 on the litter or not? Na. Now he says that was the purpose, and
13 whatever he wants to say certainly can be weighed. But it doesn't
14 really make sense. It's absolutely self-serving. There's no reason
15 that you should believe that that was the case. It is a convenient
16.
story.
17.Sir, another motivation or basis for mercy or for the court
18 to dispense mercy is this issue of forgiveness. And forgiveness is
19 certainly an important part of who we are as a people and of the
20 justice system. But I'll tell you, sir, first you have to ask for
21 that forgiveness and you ought to say you're sorry, and he never said
22 he's sorry and I never heard him say that he was sorry to the
590
018762
DOD-041932
1 victims, to the United States Army or to anyone else. So before we
2 grant forgiveness, let's have him ask for it in the appropriate way.
3 I'm not even certain that he's remorseful. He's remorseful that he's
4 in this situation, in my opinion. And of course, the court weighs
5
that..(06)z,J(7)e.)-z-6.avoid personal opinions.
MJ: Major al=
7.
TC: Yes, sir, I'm sorry. I apologize.
8.Sir, let's reason together about his family then. When you
9 hear that an accused has a family, the human response is to'have
10 empathy and naturally empathize with his situation. The problem with
11 that is, if you base the sentence on an emotional foundation, that is
12 a fickle foundation. It is unstable, because you think, well, why
13 wouldn't we have empathy then for the victims and for the victims'
14 families as well? I mean, they, arguably, should be extended the
15 same empathy. More importantly though, maybe his family is a victim,
16 that Sergeant Frederick's family is the victim, but he's certainly
17 not a victim of this process, sir. They're victims of the accused's
18 conduct. Now, the accused wants us to think of his wife and his
19 children now. He should have thought of them at the time. It's too
20 late. And maybe even more rationally approaching the situation, if
21 the accused were single, would he receive less punishment, or less
22 punishment simply because he has a family? Is that fair to the man
591
018763
without a family? That just doesn't--I don't know how that would
weigh into the equation of this mercy question.
3.Sir, with regard to the conditions, certainly the
4 conditions were difficult. But as you know, soldiers and marines,
5 airmen and sailors, we practice our craft in tough circumstances.
6 It's what the country r4quires of us. It's what we do. He was
7 working in a hard site. He was sleeping in a hard site. He had
8 electricity. Things were tough, absolutely, but that doesn't justify
9 his decisions. Other soldiers in those circumstances chose to do the
10 right thing, did the right thing.
11.That brings us to this issue of misconduct of others now.
12 • And that's the second major point that I would like to discuss with
13 you, and this is the point that although the wrong in this case is
14 disbursed, it is not diluted, not one drop. In a very real sense,
15 the misconduct of others is irrelevant. If others had committed
16 crimes, if others have committed crimes, then let them be hauled into
17 court kicking and screaming, if necessary, and be held accountable
18 for their own actions. And if they aren't, does that lessen the
19 wrong of the accused? And if they are and if they're punished more
20 harshly, does that impact the punishment the accused should receive?
21.
It doesn't, and so in a sense, sir, it's irrelevant. But you have
22 the Fay report now because the accused has given that to you and
592
DOD-041934
1 asked you to consider it. And so, to look at the greater
2 circumstances and to take a moment to discuss those, because context
3 is Lmportant. You've read Fay and you know that it focuses- on the MI
4 role. And there were a number of findings. And this very important
5 finding from page 9 of the Fay report, really kind of captures the
6 overall environment. And my question is, how much did the accused's
7 conduct contribute to this environment? It's just as important as
8 the environment's impact on him. I would ask you to think to look at
9 his one last sentence. "A small group of morally corrupt and
10 unsupervised soldiers and civilians," I would remind you of Captain
------"-C4°)Z-W.) 2
11 am* testimony, sir. Cap;:)111111111said that on a number of
12 occasions he intervened. One occasion, a civilian had a detainee in
13 a sleep uonagement program. The detainee had a panic attack, one of
C
soldier.
s, Sgeant
14 Captain.er .an E5 on the nightshift,
15 intervened and that was appropriate and it was expected. More
16 importantly, when Sergeant Davis allegedly abused detainees verbally,
17 Captain.emoved him. There was a Captaining.", who Captain
A) a P2)(l)(C) 2-
18 IIIIIV-told you was a good officer, in that facility. There was
19 plenty of scrutiny there. It's just that there's two problems, one
20 is, you have to sleep at some point. There has to be some point
21 where nobody's watching, naturally. And here's the second point,
593.
018765
1 that supervision is sitting at this table. Sergeant Frederick was
2 supposed to be that supervision.
3.Sir, to carry on, General Jones says, since there were two
4 kinds of offenses, those essentially, questions about the rules, and
5 then those like Sergeant Frederick's offenses where knowing the
6 rules, he subverted them, taking advantage of the situation. The
7 defense has introduced two documents, interrogators' notes and
8 emails, and we have discussed at length, of really the relevance of
9 that. And certainly you can weigh that. But I would submit to you
10 that there's a difference between soldiers attempting to do the right
11 thing, not clear about the rules, trying to do what they believe is
12 in the better and higher good. That is a very different thing, not
13 to exonerate those soldiers, but don't let Sergeant Frederick tie
14 himself in with that because he could care less about anything other
15 than what he told you on day one, which is, "I wanted to humiliate
16 those men."
17.But hpw do those two things interact? And Your Honor, we
18 talked about the corporate tapestry. Now, there are a number of
19 incidents in which Sergeant Frederick is named in the Fay report, and
20 I want to make clear for the court that Sergeant Frederick, it is the
21 government's absolute position that Sergeant Frederick should only be
22 sentenced for the offenses to which he's pled guilty. But the
594.
18766
DOD-041936
1 defense wants you to understand the greater context of the
2 circumstances. And let me just briefly go through these. Incident
3 number three in the Fay report, of course, involves Sergeant
4 Frederick, and I would just point to you, this is the alleged rapist
5 suspected of raping another detainee and a number of military
6 intelligence soldiers and a number of military police combined
7 together to abuse these detainees. And as the Fay report says, the
8 three detainees were incarcerated for criminal acts and were there
9 for not of intelligence interest. This incident was most likely
10 orcheStrated by military police personnel. Now you have the
11 stipulation of fact with Sergeant hat says, "That's
12 not the way it was." Certainly, you can weigh that for the value
13 that it is knowing that certainly you have no opportunity to weigh
14 the credibility of that witness.
15.Incident number four involved the beating of a detainee.
16 And let me just read very briefly from this incident. "Detainee
17 number eight claims Corporal Graner and another MP who meets the
18 description of Sergeant Frederick then threw pepper in detainee
.
19 eight's face and beat him for half an hour. Detainee eight also
20 recalled being beat with a chair until it broke, hit in the chest,
21 kicked and choked until he lost consciousness. On other occasions,
22 detainee eight recalled that Corporal Graner would throw his food in
595
018767
DOD-041937
1 the toilet and say 'Go take and eat it.'" In that same incident,
2 sir, you'll see that Sergeant Frederick is linked to this MI soldier,
3 soldier 29, the female soldier. Interestingly, it says, "Sergeant
4 Frederick had a close personal relationship with this soldier." And
5 the inference I would say that we----
6.
CDC: I don't care what he says. That's the second time. I
7 object.
8.
MJ:. That objection is sustained.
9.
TC: Your Honor, may I address, just address the point?
10.MJ: What I'm saying is, is that you're taking an inference from
11 a personal relationship remark, and what I'm saying is, don't.
12.
TC:. Yes, sir.
13.
MJ: That's all I'm saying.
14.
TC: Yes, sir. 15..2-
MJ: Move on, Major 2-.
16.
TC:: Yes, sir.
17.
MJ: Of course, defense, I would note that you put in the Fay
18 report.
19.
CDC: Oh, there's no question I introduced it, Your Honor.
20.MJ:: Okay, so your objection----
21.
CDC: What his personal opinion is as to...well, it's just
22 inappropriate.
596.
018763
DOD-041938
1MTC:', Sir, here's my inference, just very briefly. My inference
2 is that---
3.
MJ: I don't want an inference----
4.
TC:' Yes, sir.
5.
MJ: ----on the personal thing. But I don't want a personal
6 opinion from either side.
7.
TC: Yes, sir.
8MGo ahead, Major NM
0.,6e/124?)c-z
I certainly...yes, sir.
10.
9MTC:.
MJ:. Go ahead, Major 1111111
11MTC:. Yes, sir, I will.
12MTurning to incident ten, this is the incident you know
13 quite a bit about, sir, because this is the placing wires on the
14 fingers and the penis of the accused--or the detainee, rather, by the
15 accused, and we've talked about that at length. And incident 11 is
16 of course, the November 7th and 8th incident. And then incident 15
17 is something the court should certainly look at closely. This is an
18 incident that the accused talked about himself MM.5..J11111111111111
19 a civilian, apparently, atIllik-contracto . Incident 15 reads, "At
20 one point, Staff Sergeant Frederick put his hand over the policeman's
21 nose, IP--Iraqi policeman's nose, not allowing him to breathe for
22 several seconds. At one point, Sergeant Frederick used a collapsible
597M 018769
1 nightstick to push and possibly twist the policeman's arm causing
pain."
3MIncident 43, finally, sir, involves a situation in which
4 Sergeant Frederick takes a detainee away with the expression, "Come
5 with me, piggy." When the MI soldiers find him, when they arrived at
6 the detainee's cell, the report reads, they found him, meaning the
7 detainee, lying on the floor completely naked except for a hood that
8 covered his head from his upper lip, whimpering, but there were no
9 bruises or marks on him. Sergeant Frederick then met soldier 19 and
10 soldier 11, MI soldier, at the cell door. He started yelling at the
11 detainee, "You've been moving, little piggy, you know you shouldn't
12 move," or words to that effect.
13MAnd there were a number of other incidents involving, most
14 spectacularly Corporal Graner, the nightshift NCOIC of Tier 1 Alpha,
15 and arguably, the NCOIC of the entire tier, might have some knowledge
16.
of that.
17MThat's the corporate tapestry, but specifically, sir, in
18 terms of blame and dispersing blame, the accused did his own share of
19 this, because he, as a staff sergeant in the United States Army, as
20 an NCO, brings other soldiers into the situation while they commit
21 abuses or observe abuses, he does nothing. So when we talk about the
22 senior individual's need for responsibility for this act, well, in
598.
018770
1 this case, Sergeant Frederick is very much a senior individual and
2 attempting to bring in others in his own sorted scheme.
3MI think this quote from Shakespeare captures it. "I do the
4 wrong and first begin to brawl. The secret mischiefs that I set
5 abroach I lay unto the grievous charge of others." That is Sergeant
6 Frederick. And that brings me to this final point, a place where
7 perhaps we should've started otherwise, but where we were forced to
8 start--or arrive at here.
9MWhy is this behavior wrong? Sir, first of all, real men
10 suffered. You heard from one victim, and in some ways, he's symbolic
11 of all the victims. There is deep humiliation here, deep and real
12 humiliation. If you'll look at the stipulation of fact, in paragraph
13 14(j) there's a comment to SpecialistMthat the accused makes
14 that says so much, "Look at what these animals do when you leave them
15 alone for 2 seconds." There is deep pain. And I don't know, sir,
16 and obviously this treatment of anybody would be very serious, and
17 certainly it was of the one gentleman that you heard from, but it's
18 essentially a rape of this man's spirit. There's another quote from
19 Shakespeare I would give you, "My honor is my life, both grow in one.
20 Take honor from me and my life is done." Mr.
21 said he wanted to kill himself and that he thinks of it even now.
22 These are obviously individuals different from us, and it's easy to
599M 018771
DOD-041941
1 stereotype and categorize him. But in the end, they are brothers.
2 And this behavior should not be subjected, imposed upon any human
3 being..
M 094),(b)(7)e)-
4 Second, sir, h.
behavior, or this wrong endangers others.
5 You heard from Officer IIIIIIIIIthat abusing prisoners endangers
6 others within the prison, including the guards. And Sergeant
7 Frederick told you he assumed that others didn't care. Well, we know
8 Captain.
and others cared a great deal about what happened to
9 not only the military police in that facility, but the detainees.
10 would propose to you, it's only Sergeant Frederick who didn't care
11 and that this image has become the icon of this particular engagement
12 of our Army. And I would remind you, sir, that the enemy fights on
13 morale like we do, and this can form a rallying point for our enemies
14 now and in the future. And I would also ask you to think about
15 enemies who might surrender in the future. That's what we ideally
16 want. We want them to be so intiTidated by the combat power of the
17 United States Army that they surrender. But if a prisoner--or an
18 enemy, rather, believes that he will be humiliated and subjected to
19 degrading treatment, why wouldn't he continue to fight until last
20 breath? And in fighting, might he not take the lives of soldiers,
21 lives that might not otherwise be spent. This type of behavior has
22 long-term impact including, and lastly, it has the impact on
600M018772
DOD-041942
1 soldiers, our soldiers and sailors and marines, airman, who may be
captured in the future and their treatment, and I'll leave it at
3.
that.
4MFinally, sir, the honor of our United States Army is both
5 precious and perishable. We have a sacred trust in the United States
6 Army, of all armies, but in particular, our Army, is that we bear
7 this great responsibility and power, the power to impose force on
8 others. And the only thing that separates us imposing power unjustly
9 and becoming a rabble, a mob, a group of thugs, is that we have this
10 sense of honor that we do what's right, we follow those orders that
11 are given to us and we do the honorable thing, and this behavior
12 degrades that. And we also, just like any other Army, we need a
13 moral high ground, as well, to rally ourselves. And I can imagine an
14 expression or a conversation a between the accused and his co-
15 conspirators, something like this, "What should we do today?"
16 Sergeant Frederick might have asked. Corporal Graner, for example,
17 Corporal Graner might have replied, "I don't know, let's do something
18 that utterly destroys everything the U.S. has accomplished here in
19 the last few months and makes all these sacrifices worthless."
20MSir, those are the three points that I wanted to bring to
21 your attention, and I don't mean to be simply theoretical. I wish
22 that I had the power to capture in words the events that happened
.
601 018773
DOD-041943
1 that night, because now we are--with them, this is a sterile
2 environment. I would ask you to imagine what actually occurred at
3 the hand of the accused, the suffering those men faced, the
4 circumstances that they were in. Based on all those things, based on
5 this great wrong, it's the government's position that Staff Sergeant
6 Frederick should be confined for 11 years, that he should receive a
7 dishonorable discharge, that he should be reduced to the grade of El,
8 and forfeit all his pay and allowances. Thank you.
9.
MJ: Defense? 10MCDC: Thank you, Judge. 11. MJ: One moment, please. Major imp make a copy of your 12 slides and include them as Prosecution Exhibit 7 in the record of 13M
trial.
14.
TC: Yes, sir.
15Mare you going to use the overhead?
MJ: Mr.
16.
CDC: N
17MYour Honor, I am here today before you not by accident. We
18 made a conscious choice to try this case in front of you. And so,
19 here we are as I knew we would be some day, two men in the twilight
20 of their selected careers with a most serious matter to deal with.
21 You know and I know that it is no accident that that black robe
22 covers your uniform, and there's a reason for that. It's because
602 018774
1 we're not here for justice as defined by the Commander in Chief or by
2 the Secretary of Defense or Chairman of the Joint Chiefs. We're here
3 for justice as defined by the American system of justice.
4MNow, what the government has asked you to do is to impose
5 the maximum available punishment on this man. Somehow, this is
6 supposed to give aid and comfort to those whose political interests
7 perhaps are not aligned immediately with ours. Your Honor, allow me
8 to say this to you. If punishing harshly the least among us is the
9 lesson that we are teaching those individuals in those countries, may
10 I assure you that they already know that lesson. The lesson to be
11 taught here is that American justice takes into account not just
12 vengeance. Now, there is a clearly delineated difference between the
13 position adopted by the government and the position adopted by the
14 defense. The government's position, which has been the government
15 with a capital G frOm the outset of this matter, is that we are
16 dealing with an individual wrong and that there is no penumbra to the
17 wrong. There is only a core umbra clearly defined with no
18 perturbations on its surface and no shadow beyond it. And therefore,
19 no one else should bear any responsibility for the conduct of this
20 one individual. The defense's position, which is clearly juxtaposed
21 to that position is, that yes, this one individual has committed
22 crimes. But there are essentially aiders and abettors who have
603
018775
DOD-041945
1 gotten him to that point, who acted in official capacities or failed
2 to act in official capacities, to place him in that posture. Now, we
3 have tried to articulate this in multiple ways, not for the purpose
4 of creating a cloud or confusion or mist, but rather to elucidate the
5 complexities associated with the circumstance such as this.
6MHow do we, Your Honor, take a country boy from Virginia
7 with an IQ that places him in the 39th percentile, who has lived a
8 thoroughly moral life in every particular, how do we, in 6 weeks,
9 turn him into those pictures? How does that happen? The
10 measurements that Western society employs to make these
11 determinations are grounded in psychiatry and psychology, clearly
12 inexact sciences, but clinical psychology has evolved methodologies
13 which at least give us some quantitative insights that have value.
14 And the three that I've provided you today, defense provided you
15 today, the Wechsler Intelligence Test, the MMPI and the MCMI are
16 those methodologies to seek out personality disorders or abhorrent
17 behaviors.
18MNow, what did we discover about Staff Sergeant Frederick?
19 We discovered that he is normal, that he has no abhorrent tendencies,
20 to include sadism and antisocial behavior. So we must again ask
21 ourselves, how dear God could this have happened, this debasement of
22 these individuals and its attendant, attendant harm to the United
604
018776
DOD-041946
1 States. How could these things have happened? Looking further, we
2 find that he has an almost dependent personality disorder. He's
3 right on the borderline, which means that when confronted with
4 conflict, he cowers. He is docile. He is not a leader. I say to
5 every Reservist who may be in this room and with all due respect to
6 the Reservists, there is little chance that Staff Sergeant Frederick,
7 Your Honor, would be a staff sergeant in the active Army. These
8 tendencies would simply have been ferreted out. But, they weren't.
9 And here he is in Iraq. And as long as he's doing the things that
10 he's trained for, he's fine.
11MThen he goes to Abu Ghraib, and what does he find there?
12 What did the Fay report find there? What did Taguba find there?
13 Chaos. One can talk about an ordered Army and sacrifice, and all of
14 those things are true. And thank God for them, and I don't demean
15 them for a moment. And if it appears that I am, then I have not used
16 the language appropriately. But Your Honor, two few men, untrained
17 to do the job, you heard the company commander, "If I were told to do
18 that again, I would refuse the assignment." When was the last time
19 you heard that from a commander?
20MNow, the government has asked all of the normal stock
21 questions that you have heard and I have heard hundreds of times
22 over. "Well, would you say a soldier who tells someone to masturbate
605
018777
DOD-041947
1 is a good soldier or a bad soldier?" Like what choice is there for a
2 commander? That question was asked in multiple iterations many
3 different times, as though somehow asking questions with obvious
4 answers penetrated the heart and soul of this case. Now, the heart
5 and soul of this case is, do you, Your Honor, except the notion of
6 collective and corporate responsibility as having a bearing, not upon
7 guilt, but upon the quantum of punishment which this man deserves.
8 And as you think through that, I would remind you that there is a
9 cadre of enlisted men and women sitting around the world waiting for
10 you to speak, who are asking, "Where have all the officers gone?"
11 waiting for you to speak. It is a heavy burden. And although they
12 may be silent because of their station, among themselves, they are
13.
not.
14MNow, the inquiry becomes, what is appropriate punishment?
15 You have heard from Dr.M, and you may not subscribe to
16 everything he says, but the fundamental point he makes is that you
17 take a normal kid like this, I say "kid," but only because of my age,
18 you take an adult like this and you put him in this environment, and
19 certain expectations can be met and most probably will be met under
(12V W7(e
20 the circumstances described. Now, I asked Dr:11111111P the reason I
21 rose to object was, I asked him, "Has a crime been committed? Has a
22 violation of law been committed?" "Oh, yes," he said, "I'm not
.
606 018773
DOD-041948
1 talking about a violation of law. I'm talking about whether there is
2 shared responsibility," he said. I say to you respectfully, that it
3 would be egregious error on your part to treat this problem solely
4 that of Chip Frederick. Punish him, you must. That is understood.
5 The conduct was utterly and totally unacceptable.
6MBut do understand that in the environment he was in, as I
7 referred to previously, the descent into hell, this descent into hell
8 where OGA was killing people on his doorstep, where MI was, in fact,
9 instructing him. And the reason the uncharged misconduct is in
10 there, is I wanted you to know that there were examples of specific
11 orders to do things from MI, and all these observances of what was
12 going on without reporting. If that is the United States Army, we
13 are in trouble. Now, I don't believe that to be the case. But at
14 Abu Ghraib, it was the case. It was the case. Punish him, yes.
15 But, please try to understand that defense's point of view that there
16 is corporate responsibility and that the world will accept that very
17 American concept. Enlisted service members will accept that very
18 American concept. Veterans will accept that very American concept.
19 And by so doing, you will have met the end of American justice,
20 provided the deterrence that is necessary, and told thk world that we
21 do not, we do not reserve the harshest punishment for the least among
22 us, irrespective of what pressures may be brought to us.
607.
018779
DOD-041949
1MIn the 37 years that I have been doing this, I know of no
2 judge who has been placed in this position, ever. I know that I
3 wanted to be here talking to you, and I believe, since you've taken
4 all these cases, you wanted to be here, also. But it is a monstrous
5 burden that requires thoughtful consideration. I have the confidence
6 you will engage in that and you will come up with a result that is
7 just and fair. Thank you, Your Honor.
8.
MJ: The court is closed.
9.
[Court closed at 1521, 21 October 2004.]
10.
[Court opened at 1610, 21 October 2004.]
11MMJ: Court is called to order. All parties are again present
12 that were present when the court closed.
13MDefense counsel, have you advised the accused orally and in
14 writing of his post-trial and appellate rights?
15.
DC: Yes, Your Honor, and a written version is in front of the
16 accused.
17.
MJ: And it is reduced to Appellate Exhibit XXVII.
18MSergeant Frederick, is that your signature on this
19 document?
20Mz 6)w)-2-
ACC: Yes, Your Honor.
-
b)(0
21Mthat's your signature below his?
MJ: And Captain.
22.
DC: Yes, Your Honor.
608.
018780
DOD-041950
1MMJ: Sergeant Frederick, did your defense counsel explain these
2 post-trial and appellate rights to you?
3.
ACC: Yes, Yes, Your Honor.
4.
MJ: Do you have any questions about your post-trial and
5 appellate rights?
6.
ACC: No, Your Honor.
7.
MJ: Which counsel will be responsible for post-trial actions in
8 this case, and upon whom should the Staff Judge Advocate's post-trial
9 recommendation be served?
6.)&) --`[("47j6)
10Mand Captain 11111/11VM) a6Ae„)
ACC: Both Mr.
.
11 MJ: Both of them? M
12 ACC: Yes, sir.
.
13 MJ: And that's what you guys want to do?
.
14 DC: Yes, Your Honor.
COP2WX)-21
15MCaptain limp where are you going to be located?.
16.
DC: For the next month, I'll be located at Camp Arifjan,
17 Kuwait.
.
18 MJ: I really don't think you'll have the record of trial in the
19 next month.
20.
DC: Fort Wainwright, Alaska, Your Honor.
21.
MJ: Provide a good address for the government to serve it on
22 you.
609
01878i
DOD-041951
1.
DC: Yes, Your Honor.
2.
MJ: So just to make it clear, you want both of them provided
3 the post-trial action in this case, right, Sergeant Frederick?
4.
ACC: Yes, Your Honor.
5M[Pause.]
MJ: One moment..
6.
CDC: Your Honor, is there some concern over two names?
7MT is on post-trial
MJ: Well, the concern I have, Mr..
8 action, now we have basically, normally we're talking about a record
9 of trial plus the post-trial submission under R.C.M. 1105/1106.
10MCDC: Sure.
11MMJ: And I've never, quite frankly, had a case where both
12 counsel want it. And the rule, quite really, quite frankly, I don't
13 think envisions two sets of the record of trial going to both
14.
counsel.
15.
CDC: Well, I agre4, why don't we just make it very simple and
16 have it sent to me and then I will communicate with CaptainallW0a;
17 That solves the problem.
18.
MJ: Okay, I'm more thinking of the multi-volume record of trial
19 more than anything.
20.
CDC: I understand, and we'll just solve it that way.
.
610 018782
DOD-041952
MMJ: But understand is that, I'm not in any way infringing on
Sergeant Frederick's rights to have both of you assist in it. It's
just there should be one POC for post-trial.
M
CDC: And Captain Mill will remain as co-counsel. M(6-f6) 2 1$)(?)(0"2-
MJ: Okay, good.
MAccused and counsel, please rise. [The accused and his
counsel stood.]
MStaff Sergeant Ivan L. Frederick, II, this court sentences
you:
bTo be reduced to the grade of Private El;
bTo forfeit all pay and allowances;
MTo be discharged with a dishonorable discharge; and
MTo be confined for 10 years.
MPlease be seated. [The accused and his counsel resumed
M
their seats.]
MI'm now looking at Appellate Exhibit XXVI, the quantum
portion of the pretrial agreement.
MThe convening authority agreed to disapprove any
confinement in excess of 8 years. Since the adjudged confinement
exceeded that, the convening authority cannot approve confinement in
excess of 8 years, but the convening authority is free to approve the
adjudged discharge, reduction and forfeitures. 611M018783
DOD-041953
1MIs that the understanding of the government?
2M
TC: Yes, sir.
3M
MJ: Is that the understanding of the defense?
4M
DC: Yes, Your Honor.
5M
MJ: And the accused is to receive 20 days pretrial confinement
6 credit off the approved period of confinement. So that would be, not
7 more than 8 years. The convening authority, of course, is always
8 free to go less than that.
9MIs that the understanding of both parties?
10M
TC: Yes, sir, it is.
11MYes, sir, it is.
DC:M
12M
MJ: Any matters to take up before this court adjourns?
13M
TC: No, Your Honor.
14M
DC: Not from the defense, sir.
15M
MJ: This court is adjourned.
16M
[The court-martial adjourned at 1617, 21 October 2004.]
17M[END OF PAGE.]
612 M018784
AUTHENTICATION OF RECORD OF TRIAL
IN THE CASE OF
(*Z--() J)
FREDERICK, Ivan L., ILIM" Staff Sergeant
Headquarters and Headquarters Company, 16th Military Police Brigade (Abn:
III Corps, Victory Base, Iraq, APO AE 09342
I received the completed record of trial for review and authentication on
//e, 4.0,r07-4...4e. 2005.
011110111111111111M
z
1111111111111111
COL, JA
Military Judge
2005
ACKNOWLEDGEMENT OF RECEIPT AND EXAMINATION
I received the record of trial for review in the foregoing case on
M20M
ivilian Defense Counsel
M2005
The record of trial was served on defense counsel on M. After
20M
verifying receipt with defense counsel on M20 Mand conferring with the
military judge on review by defense counsel on M20M
, the record was
forwarded for authentication without completion of the defense counsel's review.
1.111111= PP2 -6) 7-')
Chief, Military Justice
613
018785
ACTION
DEPARTMENT OF THE ARMY
Headquarters, Ill Corps and Fort Hood
Fort Hood, Texas 76544-5001
cmi ;,(6) ( .39 a In the general court-martial of Staff Sergeant Ivan Frederick II, 11111.1111111, U.S. Army, Headquarters and Headquarters Company, 16th Military Police Brigade (Airborne), Fort Bragg, North Carolina 28307, formerly assigned to III Corps in Iraq, only so much of the sentence as provides for reduction to the grade of Private (E-1); forfeiture of all pay and allowances; confinement for ninety months and a dishonorable discharge is approved and, except for the part of the sentence extending to a dishonorable discharge, will be executed. The accused will be credited with 20 days of confinement against the sentence to confinement.
THOMAS F. METZ Lieutenant General, USA Commanding
07 SEP 2005
018785
DOD-041956
PROSECUTION EXHIBITS ADMITTED INTO EVIDENCE
.0 18787
DOD-041957
UNITED STATES. ) )
v.. ).STIPULATION OF FACT ) FREDERICK, Ivan L. II SSG, U.S. Army,. (6g,« jAWZO Headquarters and Headquarters Company, )
16th Military Police Brigade (Airborne).) 5 August 2004
III Corps,. ).Victory Base, Iraq, APO AE 09342 .)
I. NATURE AND USES OF THE STIPULATION:
1. It is agreed between Staff Sergeant Ivan L. Frederick, II, ("the accused"), the Defense Counsel and Trial Counsel, that the following facts are true, susceptible to proof, and admissible in evidence. These facts may be considered by the military judge in determining the providence of the accused's plea of guilty; to establish the elements of all charges and specifications; and they may be considered by the sentencing authority in determining an appropriate sentence. For these purposes, the accused expressly waives any objection that he may have to the admission of these facts, and any referenced attachments, into evidence at trial under any evidentiary rule, applicable case law, or Rule for Courts-Martial that might otherwise make them inadmissible.
II. THE ACCUSED:
lt038."T°‘‘
2.
The accused is"3.7 years old and joined the Maryland Army National Guard on 17
February 1984. He attended Combat Engineer Basic (12B) at Fort Leonard Wood. The
accused received an Honorable discharge from the Maryland Army National Guard in
August 1995 at which time in enlisted in the United States Army Reserve. He changed
his MOS to 95B, Military Police, in August 1995. The accused was activated for his
current period of service in support of OPERATION ENDURING FREEDOM on 24
February 2003. The accused has over 20 years of service in the United States Army
National Guard and Reserves. As a civilian, he works as a corrections officer at a
prison in Buckingham, Virginia. He has never been designated or trained as an
Internment/Resettlement Specialist (MOS 31 E).
3.
At the time of the charged offenses, the accused was on active duty in the United
States Army. He was originally assigned to the 372d Military Police Company, 320th
Military Police Battalion and arrived in Iraq on 13 May 2003.
4.
When the unit arrived in Iraq, the accused served as Operations Noncommissioned
Officer (NCO) in Al-Hilla, a relatively calm area with rare mortar attacks and a friendly
civilian population. The unit's mission was to maintain law and order by patrolling the
area and protecting small jails. The accused's primary duties were to man the three
radios and two field telephones, and document mission logs. During the time the unit
was stationed in Al-Hilla, the accused lived in a tent with Corporal Charles A. Graner, a
co-accused, while the rest of the company lived in an adjacent abandoned warehouse.
018783
PROSECUTION EXHIBIT .FID OFFERED R.a(el ADMITTED R. D.-04-
DOD-041958
Stipulation of Fact — Unitco States v. SSG Frederick
Everyone in the unit lived in austere conditions with no dining facility, no air conditioning, and no potable running water.
5.
The company moved to Baghdad Central Confinement Facility (BCCF) in Abu Ghraib, Iraq, between 1 and 9 October 2003. The company completed a relief in place from 12 to 15 October 2003 for the 72d Military Police Company, an Army National Guard unit out of Las Vegas, Nevada. At that time, the accused assumed duties as the noncommissioned officer in charge of the twelve hour-a-day night shift at the "hard site" of the BCCF.
6.
The accused is now assigned to Headquarters and Headquarters Company, 16th Military Police Brigade (Airborne). At all times relevant to the charged offenses, the accused was on active duty in a Title X status. This court has proper jurisdiction over the accused and the charged offenses.
III. THE INITIATION OF THE INVESTIGATION: C(P2 )(oft) _ z_
7. The accu.acknowledges that the investigation began on 13 January 2004 when Specialist. slid a compact disc (CD) containing images of detainee abuse under the office door of the criminal investigation division (CID) at BCCF.
Cat0/ 1(hX7,k)2.Specialist onhad received two CDs from Corporal Charles A. Graner, another soldier assigned to BCCF, a few days earlier when Specialist .had asked Corporal Graner if he had any pictures of the hard site. Specialist .o nloaded the images from both iscs to his computer without looking at them. .er saving the pictures, Specialist.opened the files that included innocuous pictures of palaces in Iraq and soldiers working at BCCF. The files also included pictures of detainees in a naked human pyramid (Attachments 1, 2), standing against a wall masturbating or attempting to masturbate Attachment 3), and in forced sexual positions (Attachments 4).
( Specialist.returned the two discs to Corporal Graner and then burned the images to a compact isc that he anonymously provided to CID.
8. After CID reviewed the disc, they started questioning suspects. The accused did not provide a statement to CID when questioned. Charges against the accused were preferred on 20 March 2004. The accused has given proffer of expected testimony to the Government to aid in its investigation and the prosecution of other soldiers. He has also agreed to continue his cooperation once his case has concluded.
2
018789
DOD-041959
Stipulation of Fact — Unit„d States v. SSG Frederick
IV. CHARGE I, SPECIFICATION 2 — Conspiracy to Maltreat Detainees (In violation of Article 81, UCMJ)
9.
On or about 8 November 2003, the accused was working as the night shift noncommissioned officer in charge (NCOIC) of the BCCF hard site and as a Military Police officer. While the accused was in the 372d MP Tactical Operations Center (TOC), he was being briefed on seven detainees. Specialist Jeremy C. Sivits, a generator mechanic at the facility, offered to help the accused escort the detainees to wings 'IA and 1B and search them. The hard site is a section of BCCF that houses civilian internees, security internees, and criminal detainees in cells much like a normal prison facility. It is a hallway with prison cells lining the walls. The accused told Specialist Sivits that new detainees had arrived. Specialist Sivits agreed to help escort these seven detainees to wings 1A and 1 B. Specialist Sivits and the accused went to the hard site where seven detainees were located in a holding cell.
10.
The accused and Specialist Sivits escorted the detainees down to Tier 1A. Tier 1A is a section in the hard site where detainees are segregated from one another in individual cells. The accused sat one of the detainees on the floor and rolled him next to a human pile with six other clothed detainees lying on top of one another in the middle of the floor. All of the detainees were initially flex-cuffed with their hands behind their backs and sandbags on their heads. They appeared to be unarmed, restrained, and did not pose any threat whatsoever to the accused or anyone else.
11.
The detainees were subject to the orders of the accused and the other coconspirators. The accused and the other co-conspirators are soldiers in the United States Army. The detainees are subject to the orders of United States soldiers under the Geneva Conventions and under the provisions of AR 190-8.
12.
The accused knew that these seven detainees were ordered to be put in isolation in Tier 1A as punishment for rioting earlier that night.
13.
Once the accused began to escort the detainees to Tier 1A of the hard site, the accused entered into a nonverbal agreement with Sergeant Javal Davis, Corporal Graner, Specialist Megan Ambuhl, Specialist Sabrina Harman, Specialist Sivits, and Private First Class Lynndie England to engaged in specific acts which served to maltreat the detainees (subordinates), a violation of Article 93 of the Uniform Code of Military Justice. The agreement was based on the presence of personnel in the tier on or about 8 November 2003 and the participation of the accused in the maltreatment. As set forth below, the accused personally engaged in specific acts of maltreating detainees by forcing them to masturbate in front of soldiers and other detainees and physically assaulting one detainee. Beyond his affirmative acts, the accused was the NCOIC of the hard site facility, and had a duty to safeguard detainees under his control and report abuse. Corporal Graner was the NCOIC of 1A tier, Specialist Ambuhl was the NCOIC of the 1B tier, and Sergeant Davis was an NCO at an unrelated tier. The accused, Sergeant Davis, Corporal Graner, Specialist Ambuhl, and Specialist Harman are Military Police officers.
3
018790
Stipulation of Fact — United States v. SSG Frederick
14. While the agreement to maltreat detainees continued to exist on 8 November 2003, and while the accused remained a party to the agreement, the accused, and at least one of his co-conspirators, engaged in specific acts to maltreat the detainees for the purpose of bringing about the object of the conspiracy. In particular, the accused and his co-conspirators committed the following specific acts in furtherance of the conspiracy to maltreat the detainees, and for the purpose of bringing about the object of the conspiracy:
a. After the soldiers piled the detainees on the floor, Sergeant Davis jumped on the detainees. The detainees moaned in pain as he jumped on them. Sergeant Davis also walked around the pile of detainees and deliberately stomped on their hands and feet while he was wearing military combat boots. When he stomped on the detainees'
hands and feet, they moaned out in pain.
b. Sergeant Davis then ran across the corridor and jumped on the pile of detainees. When Sergeant Davis jumped on the detainees, he hurt them and they cried out in pain. Sergeant Davis, wearing combat boots, then stomped on the detainees' fingers and bare toes again. During this time, the other co-conspirators removed the flex-cuffs from
the detainees.
c.
Next, Corporal Graner knelt down by one detainee with a sand bag over his head. Corporal Graner punched the detainee with a closed fist to the temple of his head with so much force that the detainee was knocked unconscious. The detainee was still breathing and Corporal Graner said, "damn that hurt" referring to hurting his hand when he punched the detainee.
d.
The accused now knows that Corporal Graner then went to the pile of clothed detainees and kneeled on top of the detainees. At Corporal Graner's request, Specialist Sivits took a photograph of Graner kneeling on the human pile of detainees.
e.
The accused and his co-conspirators then started to move the detainees so they could be stripped of their clothing so they could be searched. In this process, the accused struck a detainee in the center of his chest with a closed fist. The accused used sc much force that the detainee went to his knees and had difficulty breathing. The detainee made a hand gesture indicating that he needed an inhaler that was brought to him by a medic who treated the detainee. There was no follow-up medical
care required.
f. The co-conspirators waited for the medic to leave and then the accused and Corporal Graner ordered the detainees to take off their clothes as part of standard strip search. The accused and Corporal Graner, speaking in Arabic, ordered one detainee at
a time to strip.
g. The accused watched as Corporal Graner placed the detainees into the position of a naked human pyramid. Because the detainees did not speak English, they were physically pushed and forced into these positions. The co-conspirators then began photographing and posing for photographs with the detainees. While the accused did
4
018791
DOD-041961
Stipulation of Fact — UniL.A1 States v. SSG Frederick
not pose for any photographs, he watched other co-conspirators pose for photographs and took at one photograph of this abuse. Attachments 1, 2.
h. The accused then forced the detainees to masturbate or attempt to masturbate in front of each other, as well as in front of male and female soldiers. The accused initiated the masturbation by going to a naked detainee who was standing with his hands over his genitalia. He moved the detainee's elbow in such a way that the
detainee began stroking his own penis. The accused then lifted up the sandbag on the detainee's head and demonstrated to the detainee with an "up and down" hand gesture how he wanted the detainee to masturbate. He went to two other detainees and repeated this demonstration until three detainees were masturbating in a group.
i.
The accused and the other soldiers watched as the detainees were masturbating. Corporal Graner and Private First Class England photographed the detainees masturbating. Attachment 3. It was approximately three to four minutes from the time the accused began the masturbation sequence to the time the detainees stopped masturbating. Speaking in Arabic, the accused told the three detainees to stop masturbating. One of the three detainees refused to stop so the accused put him in an isolation cell. The accused left the area to retrieve orange jumpsuits for the seven detainees.
j.
Specialist. another MP assigned to the facility, walked into th
(46)0,,(-294))-
hallway and saw the row of nude and masturbating detainees wearing sandbags ove their heads. The accused told Specialist... "Look what these animals do when you leave them alone for two seconds." Private First Class England then said with a smile, "He's getting hard", referring to one of the detainees. Specialist..., a junior enlisted soldier, reported this abuse to one of his NCOs. No adverse action was taken as a result of Specialist Ma report.
k.
The accused was ordered to in-process these detainees and take them to isolation cells. No one directed or encouraged the accused or his co-conspirators to engage in these specific acts of abuse or maltreatment of these detainees.
I.
The detainees posed no danger to the accused or the other soldiers that night.
15. While the soldiers engaged in these specific acts of maltreatment, Corporal Graner jokingly told Private First Class England that the line of masturbating detainees were a gift for her birthday. Specialist Harman smiled and wrote, "I'm a rapeist [sic]" on a detainee's leg. While the detainees were being stripped, Private First Class England posed for a picture with three naked detainees and the partially clothed detainee with the word "rapeist [sic]" on his leg. Attachment 5. The accused was present when the picture was taken and saw Private First Class England smiling with a cigarette in her mouth and pointing to the words on the detainee's leg. Similarly, Sergeant Davis watched the masturbating and laughed about it.
5
018792
DOD-041962
Stipulation of Fact — Uniwd States v. SSG Frederick
16.
The agreement between the accused and his co-conspirators to engage in these specific acts of maltreatment as set forth above in furtherance of that conspiracy described herein was wrongful.
17.
The accused had no legal justification or excuse for his acts on 8 November 2003. Corporal Graner told Specialist Sivits that "you did not see shit."
V. CHARGE II, THE SPECIFICATION — Dereliction of Duty
(In violation of Article 92, UCMJ)
18.
On or about 8 November 2003, the accused was derelict in his duties in that he failed to protect Iraqi detainees from abuse, cruelty and maltreatment. As the NCOIC of BCCF hard site and as a Military Police officer, the accused had a duty to protect prisoners under his watch. The accused had a duty to treat all detainees with dignity and respect and to protect detainees and prisoners in his presence from illegal abuse, cruelty, and maltreatment.
19.
The accused knew that engaging in these specific acts of abuse and maltreatment of detainees was morally wrong. The accused failed to protect the detainees in his presence, as was his duty, or report the specific acts of maltreatment to superiors or the chain of command. The accused actively participated in detainee maltreatment, photographed the maltreatment, and forced detainees to simulate masturbation on 8 November 2003. He did not prevent his own misconduct or report the abuse of his co-conspirators in November, December or January.
VI. CHARGE III, SPECIFICATION 1 — Maltreatment of Detainee (In violation of Article 93, UCMJ)
tLF.
xe¦ ot.T otA
20.
On or about4loirtber 2003, Corporal Graner told the accused to keep a detainee, nicknamed "Gilligan", awake as part of a sleep management program. Sleep management normally includes rigorous physical exercise to keep a detainee awake before being interrogated.
21.
The accused walked into a shower room where the detainee was holding an MRE (meals ready to eat) box under orders from other soldiers. He wearing a blanket with a hole cut through the center and a sandbag on his head. Attachment 6. In the room, the accused saw Sergeant Davis, Corporal Graner and Specialist Harman. The detainee was ordered to put the MRE box on the floor and stand on it. After the detainee was placed on the box, the accused saw wires hanging from the wall. He attached a wire to the detainee's left hand and then took a digital photograph of the detainee in this degrading position. Attachment 7. The accused was also visible in a picture taken by
Specialist Harman of this abuse. Attachment 8.
22. Before the accused left the area, Sergeant Davis put another wire on the detainee's right hand. The accused allowed the detainee to believe he would be electrocuted if he fell off the box. The detainee feared he would receive a high dose of electricity. The accused and his co-conspirators left the detainee on the box and walked away. Before
6
018793
Stipulation of Fact — Unitb,.. States v. SSG Frederick
leaving, Specialist Harman took another picture of the detainee from the side. Attachment 9.
23. The accused took a picture of this incident as a souvenir. He was not directed by anyone to take these pictures and he deliberately did not show the images to his chain of command.
VII. CHARGE III, SPECIFICATION 2 — Maltreatment of Several Detainees (In violation of Article 93, UCMJ)
24.
On or about 8 November 2003, the accused maltreated several detainees by the specific acts of taking pictures, and allowing his subordinates to take pictures, of them while they were forced into a naked human pyramid. A digital video of Corporal Graner moving the detainees into the pyramid will be admitted as a prosecution exhibit without objection from the Defense. The detainees were subject to the orders of the accused as previously set forth above. The detainees were escorted to tier 1A of the hard site as described above.
25.
The detainees were initially flex-cuffed with their hands behind their backs and had sandbags over their heads. The detainees were naked, unarmed, were not a threat to the guards. The accused had trouble getting the detainees to take off their clothing. However, the detainees complied with the orders given to them by the accused, as the NCOIC of hard site, and Corporal Graner.
VIII. CHARGE III, SPECIFICATION 3 — Maltreatment of Several Detainees (In violation of Article 93, UCMJ)
26.
As set forth in more detail below, after the detainees were stripped and placed into a naked pyramid for approximately one minute (Attachments 1, 2), Corporal Graner moved the nude detainees in a row against a wall. Attachment 10.
27.
The accused then ordered the nude detainees to masturbate. He took his hand and placed it on the elbow of the detainee and moved the detainee's arm back and forth on the detainee's penis to simulate the motion of masturbating. Staff Sergeant Frederick performed this act on three of the detainees until he had three performing the act of masturbation at the same time. While the detainees were masturbating, the soldiers, including the accused, watched. Corporal Graner and Private First Class England photographed the detainees masturbating. One of the co-conspirators filmed the masturbation as a digital video clip using a digital camera. The clip is approximately 15 seconds long and shows a hooded detainee stroking his penis.
7
018794
Stipulation of Fact — Unitbu States v. SSG Frederick
IX. CHARGE III, SPECIFICATION 4 — Maltreatment of Detainee (In violation of Article 93, UCMJ)
tft bC7(
28.
On or about No ember 2003, the accused took a detainee nicknamed "Shitboy" who appeared to have mental health problems into a hallway in the BCCF. In an attempt to restrain this detainee, the accused tied the detainee between two medical litters and padding. After the detainee was tied up and placed on the floor, the accused squatted on top of him and posed for a picture. Enclosure 11. He took the picture for his own personal use and was not directed by anyone to document this maltreatment.
29.
The detainee was subject to the orders of the accused. The accused is a soldier in the United States Army. The detainee was subject to the orders of United States soldiers under the Geneva Conventions and under the provisions of AR 190-8. The accused had no legal justification or excuse for squatting on the detainee or for posing for a photograph.
X. CHARGE IV, SPECIFICATION 3 — Assault Consummated by Battery (In violation of Article 128, UCMJ)
30.
On or about 8 November 2003, after the accused and Specialist Sivits escorted the riot suspects into the hard site, the detainees were placed in a pile on the floor. The accused struck a detainee in the chest with a closed fist with so much force that the detainee had difficulty breathing. While he was gasping for breath, the medic brought the detainee an inhaler. There was no follow-up medical care required. The accused and his co-conspirators did not disclose that the accused had assaulted the detainee.
31.
At the time of the assault, the detainee was not a threat to the accused or anyone else. The victim was wearing a sandbag over his head when the accused punched him in the chest with enough force to cause the detainee to have difficulty breathing.
32.
At Specialist Sivits' court-martial, the co-accused testified as follows regarding the assault:
ACC [Sivits]: Staff Sergeant Frederick walked over and picked up
the detainee that I had escorted to the tier and punched that detainee in
the chest, Your Honor.
MJ: Had the detainee done anything to him?
ACC: Negative, Your Honor.
MJ: Tried to run away, give him lip, anything?
ACC: No, Your Honor.
MJ: And so Sergeant Frederick punched him in the chest.
ACC: Yes, Your Honor.
MJ: What happened next?
8
018795
Stipulation of Fact — Unite., States v. SSG Frederick
ACC: After that, the detainee went down, and Sergeant Frederick told me, he said, "I think I might have put him in cardiac arrest." I walked over....
MJ: Take your time.
ACC: I walked over and got the detainee's attention and pointed to my eyes for him to watch me. And then I showed him my chest and had him watch how I was breathing so he could try to get his breath back. That continued to work. They yelled up to the top tier and asked Specialist Ambuhl if they had an inhaler, and she said, "Yes, I'll get it." I'm guessing one of the other inmates needed that inhaler. So they brought it
down and he took a couple puffs off of that and we kept trying to get him—
MJ:.Is this the guy that Sergeant Frederick hit?
ACC: Correct, Your Honor.
Xl. CHARGE V, THE SPECIFICATION — Indecent Acts with Another (In violation of Article 134, UCMJ)
On or about 8 November 2003, after photographing the naked detainees, the
33. accused turned to forcing the detainees to masturbate or attempt to masturbate in front of each other, as well as in front of the other male and female soldiers. Attachment 3. The accused was the sole instigator of this indecent conduct. The accused backed the naked detainees up against the wall. Then Corporal Graner positioned other naked detainees on top of the ones kneeling on the ground. Attachment 10. The accused then stood one of the naked detainees up and began to move his arm on his penis in a motion simulating masturbation. The accused then stood up another two detainees and
forced them to perform the same acts. The masturbation sequence lasted approximately three to four minutes.
34. The accused acknowledges that his actions in directing the detainees to fondle their genitals and masturbate in front of soldiers and other detainees were indecent. Under the circumstances, the conduct of the accused was of a nature to bring discredit upon
the armed forces and was prejudicial to good order and discipline.
After the accused initiated the masturbation, his co-conspirators took pictures of the
35. detainees. In one image, Private First Class England is standing next to five naked and hooded detainees; she is pointing to the one detainee who is masturbating and pointing at him with a "thumbs up" gesture. Attachment 3. In the background of the picture, two
detainees have their hands covering their genitals. Sergeant Davis watched the
masturbating detainees and laughed about the maltreatment.
36. These photographs and the other images captured by the accused and his coconspirators were taken for personal reasons. The images were saved on personal
computers and not for official purposes.
9
018796
Stipulation of Fact — Unite—, States v. SSG Frederick
XII. ADDITIONAL INFORMATION:
37. The accused was interviewed telephonically by Dan Rather of CBS News. The interview was aired on the television program "60 Minutes II" on 6 May 2004. In the interview, the accused said he was going to plead not guilty and said that the chain of command was responsible for problems at the facility: "We had no support, no training whatsoever. And I kept asking my chain of command for certain things, like rules and
regulations, and it just--it just wasn't happening." As part of the story, CBS showed approximately one dozen photographs of detainees being abused at BCCF. The news report did not show images of the accused abusing detainees, though it did include video footage of him in the Al-Hilla area smiling with Iraqi citizens.
38. After "60 Minutes II" aired the story, the accused's family set up a website,
www.freechipfrederick.com , which includes a petition to support the accused. Visitors to the site can purchase t-shirts and "Free Chip Frederick" bumper stickers.
riv
,/
The accused now knows that in addition to the CID criminal investigation, the Arm
39. -oX,
(b,t6) z
initiated other investigations into detainee abuse at BCCF. Following Specialis .
revelation of the abuse of detainees at BCCF, Lieutenant General Ricardo S. Sanc ez,
Commander, Combined Joint Task Force Seven, appointed Major General Antonio
Taguba to conduct an investigation into detainee abuse at the facility. On 11 May 2004,
Major General Taguba was called to testify at the Senate Armed Services Committee
hearing regarding his investigation. Because of the high level of public interest in this
case, the hearing was televised live on several cable news channels. Referring to the
photographed misconduct set forth above, Major General Taguba stated, "We did not
find any evidence of a policy or a direct order given to these soldiers to conduct what
they did."
The accused's misconduct has been the focus of intense media coverage around
40.
the world. The photograph of the detainee standing on the MRE box with wires
The Economist.
attached from the wall placed on the cover of the British magazine
Every major media outlet in the United States has covered the "Abu Ghraib Abuse
Scandal".
,
XIII. STIPULATION TO ADMISSIBILITY OF EVIDENCE :
41. The government and the defense agree that this stipulation of fact and the attached
enclosures are admissible at trial and may be considered by the military judge in
determining the providence of the accused's pleas and in determining an appropriate
sentence.
10
01 8 79 7
Stipulation of Fact — Unita.. States v. SSG Frederick
42. At no time did the accused have any lawful justification or excuse for the offenses described in this stipulation of fact.
6/6 -200,1e)z
M)Z 07k)
IVAN L. FREDERICK, II
SSG, USA. CPT, JA Defense Counsel Accused. Trial Counsel
Civilian Defense Counsel
Attachments:
1.
Photograph of naked detainees in human pyramid with Corporal Graner and Specialist Harman (from front).
2.
Photograph of naked detainees in human pyramid (from back).
3.
Photograph of detainees masturbating with PFC England in frame.
4.
Photograph of naked detainee simulating fellatio (from side).
5.
Photograph of naked detainees and detainee with "I'm a rapeist [sic]" written on leg.
6.
Photograph of detainee holding MRE box.
7.
Photograph taken by the accused of detainee standing on MRE box with wires attached to his body.
8.
Photograph of detainee standing on MRE box with wires attached to his body with the accused in frame.
9.
Photograph of detainee standing on MRE box with wires attached to his body (from side). 10.Photograph of Corporal Graner moving detainee by pulling sandbag covering
detainee's face with four nude detainees. 11.Photograph of accused squatting on detainee who is wrapped in padding. 12.Photograph of accused sitting next to detainee handcuffed to cell. 13.Video clip of Corporal Graner moving detainees into naked pyramid.
.
11 018793
UNITED STATES
) )
v. ) STIPULATION
) OF FREDERICK, Ivan L. II.FACT
Cb-W-Z-Ob-c) ?—
SSG, U.S. Army, Addendum
Headquarters and Headquarters Company
16th Military Police Brigade (Airborne) 20 OCTOBER 2004
III Corps,
Victory Base, Iraq APO AE 09342
It is agreed betw .en Staff Sergeant Ivan L. Frederick, II, (`the accused"), the Defense Counsel and Trial Counsel, that the following facts are true, susceptible to proof, and admissible in evidence. These facts may be considered by the military judge in determining the providence of the accused's plea of guilty; to establish the elements of all charges and specifications; and they may be considered by the sentencing authority in determining an appropriate sentence. For these purposes, the accused expressly waives any objection that he may have to the admission of these facts, and any referenced attachments, into evidence at trial under any evidentiary rule, applicable case law, or Rule for Courts-Martial that might otherwise make them inadmissible. The stipulated facts below shall be included in paragraph 9 of the 5 August 2004 Stipulation of Fact (on page 3) after the sentence, "While the accused was in the 372d MP Tactical Operations Center (TOC), he was briefed on seven detainees."
Stipulated Facts: These seven detainees were from Ganci Camp located at the Baghdad Central Correctional Facility. All seven were believed to have been involved in a riot with other prisoners at the Ganci Camp and were being transferred to wings 1A and 1B.
agi2jont.) -
(W) COC)
Aueurik
11111111111 IVAN L. FREDERICK, II
MAJ, JA SSG, U.S. Army CPT, JA
Trial Counsel Accused Defense Counsel
018799
DOD-041969
Bates pages 18800-18812 are photographic
exhibits withheld from release based on 5 U.S.C.
552(b)(6), (b)(7)(C), and (b)(7)(F).
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PERSONNEL QUALIFICATION RECORD 018813
PROSECUTION EXHIBIT 2— FID
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018814
DOD-041972
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AUTHENTICATION OF
RECORDS OF REGULARLY CONDUCTED ACTIVITY
661z/ -0o-y
I, Lieutenant MUM am the Training Officer of the Buckingham Correctional Center located at Route 20 N. P. 0. Box 430, Dillwyn, VA 23936. I have submitted documents relating to the training received by Correctional Officer-Senior Ivan L. Frederick. These documents we 4g)/j. submitted to U.S. Army Military Police Investigator .from
0
3rd Corps in response to his request relating to the case of U.S. v Ivan L. (6_ (7, ( Frederick. These documents are maintained by me as a representative of the Buckingham Correctional Center, in the course of its regularly conducted business activity. It is the regular practice of the Buckingham Correctional Center to create and maintain these records to document and record the training our officers receive to assist them in the performance of their duties.
I can be reached at (434) 391-5980, should you have any further questions relating to these documents.
(6J6) ct,6)0)Cei —se
Notary
.
CA.7)144,.tae ---.30 Oh
PROSECUTION EXHIBIT 3 „fr46 OFFERED R.3qqADMITTED R3 C/C1
018818
DOD-041976
.
• - •
DEPARTMENT OF CORRECTIONS - OFFICIAL TRANSCRIPT
Name: IVAN H FREDERICK
VS Due Date: 12/31/04
Employee #:4111E1111 L.6.X6) )(1") US Extension Date:
Title: C/O Gen Ins Certification Expires:
Unit: BUCKINGHAM CORR CTR Fire Arms Ins Certification Expires:
P. 0. BOX 430
Def Tactics Ins Certification Expires:
DILLWYN, VA 23936
Driver Trng Ins Certification Expires:
Status: A
COURSE CODE CLASS NAME
END DATE STATUS HOURS FLD400 1N-SERVICE DWCC 10/25/2002 C
Finished 40.00.
BCSI15 STRIKE FORCE TRAINING 4TH QUARTER 10/12/2002 Finished 10.00.C
FLD413 ANNUAL FIREARMS CERTIFICATION BKCC 9/10/2002 Finished 4.00 C
FLD413 ANNUAL FIREARMS CERTIFICATION BKCC 8/14/2001 Finished 4.00.C
CTS007 MENTAL HEALTH MEETING 2/27/2001
Finished 8.00.C FLD212 ANNUAL BLOODBORNE/PATHOGENS UPDATE 11/30/2000 1.00.C
Finished
FLD413 ANNUAL FIREARMS CERTIFICATION 10/1/2000 Finished 4.00 C
FLD217 QUARTERLY STRIKE FORCE TRNG (BUCC) 7/29/2000 Finished 6.00.C
FLD1009 POLICY, MOTIVATION AND TEAMWORK 5/15/2000
Finished 6.00.C FLD219 QUARTERLY STRIKE FORCE TRAINING (BUCC) 4/1/2000
Finished 6.00.C FLD413 ANNUAL FIREARMS CERTIFICATION 1/1/2000 C
Finished 4.00.FLD400 IN-SERVICE BUCC 3/26/1999 Finished 32.00.C BCS115 STRIKE FORCE TRAINING 3/15/1999 Finished 8.00.C REG481 MENTAL HEALTH TRAINING 7/29/1998 Finished 24.00.C FLD896 PHASE IV TESTING 11/30/1997
Finished 0.00 BCS100 BCO 97-21 3/7/1997 60
Finished 160.00.FLD396 INSTITUTIONAL PHASE I BUCC 1/31/1997 112.00.C
Finished
REGISTRAR. DATE
.
10/14/04 Page -1 of 1
BASIC CORRECTIONAL OFFICER TRAINING
USE OF FORCE - DEFENSIVE TACTICS
Training Checklist
PURPOSE: The correctional officer shall know and demonstrate knowledge and skill at applying techniques for empty hand control in confrontations against unarmed and armed assailants or peaceful
resistors.
OBJECTIVES:.At the end of this block of instruction, the participant will be able to achieve the following in accordance with information received during this instructional period:
40.1 In a class discussion, identify the effects that training has on the psychological and physiological forces that affect a person threatened with danger.
40.2 On a written test, describe the basic principles of defensive tactics.
40.2.1 Through hands-on application, identify the vulnerable areas of the body.
40.2.2 Through hands-on application, identify parts of the body that can be controlled in order to overcome resistance.
40.2.3 Through hands-on application, locate and access nerve points used to distract / control an assailant.
40.3 Demonstrate in a practical exercise proper balance, position, and execution of self-defense techniques (escapes and evade) for the following:
40.3.1 Choking (front and rear) release techniques.
40.3.2 One arm grab/control techniques.
40.3.3 Hug (front and rear) release control techniques.
40.3.4 Escape and evade/safe zones.
018820
DOD-041978
HOURS:
INSTRUCTIONAL METHOD:
MATERIALS
REQUIRED:
REFERENCES:
PREPARED BY: DATE:
REVISED BY: DATE:
REVISED BY: DATE:
REVISED BY: DATE:
REVISED BY: DATE:
12 + Evaluation
Lecture / Demonstration / Hands-on application
Participant outline, pen / pencil, loose fitting clothing
Department of Corrections Division of Field Operations Security
Operations Manual. DOP #431, "Use of Less Than Lethal Force,"
February 1995
Defensive Tactics Manual. "Model Lesson Plans." Shogo Kuniba
Department of Criminal Justice Services
"Post Vention." Non Violent Crisis Intervention Instructor Manual.
Unit X. Wisconsin: National Crisis Prevention, 1987
Sharpening The Warrior's Edge "The Psychology & Science of
Training" Bruce K. Siddle, PPCT Research Publications 1995
February 1987
1111111.1.10
January 1993 MO -3 8) 7(c, is 1111111111•11
April 1994
February 1996
1111111111111111111
December 1997
018821 .
BASIC CORRECTIONAL OFFICER TRAINING
USE OF FORCE - DEFENSIVE TACTICS
Trainer Outline
I.
.Introduction
A.
Purpose
B.
Objectives
II..Body
A..Use of Less than Lethal Force
1..Definitions-
Less than lethal force - Any use of physical force (hands) or weapon /devices which when used according to the manufacture's design, recommendations and training is likely to produce no injury or only "less than serious injuries"... (DOP 431)
Team Intervention - No less than two and no more than five persons devdloping a plan to resolve a crisis or hostile situation.
40.1.2..
Forces Affecting a Person Threatened with Danger-
Most of an officer's daily life is consumed by the daily routine of making
rounds, fielding complaints, getting supplies, etc. When the need to use
force arises, most officers are surprised, and therefore unprepared to
respond in a thought out manner.
a..Stress - The stress caused by a dangerous encounter can cause the body to produce chemicals: Adrenaline, Epinephrine, Cortisol, etc. Body reacts by causing the following to happen:
Heart and lungs work harder to rush fresh supplies to the
body and remove waste.
Liver releases sugar to increase energy. Blood pressure goes up.
018822
DOD-041980
Reduction in ability to perform complex motor skills
(manipulating with the fingers, etc.).
Visual perception narrows (tunnel vision).
Time distortions, along with a slowing of reaction time.
b..Other Stresses - There are many other things which can cause adversely affect the mental and physical well being of an individual. These things include:
Lack of confidence (officer does not believe that he/she
could defend themselves against an inmate's attack).
Lack of experience (officer has no personal experience
defending themselves).
Poor physical conditioning.
Personal problems (mind of the officer is not on their work).
40.1
.3..How Training Can Affect These Threats
a.
Psychological - The Mind The best way to handle new and unknown situations is for them not to be new and unknown. Training and practice prepares the mind to handle the situation. With enough practice, the participant can prepare in their mind possible responses to crisis situations, significantly speeding their response time and increasing their success ratio.
b.
Physiological - The Body
As the participant practices, their body gets conditioned.
Consistent training can help improve strength, mobility,
flexibility, and stamina. Consistent training helps teach the
participant to act without having to think about it, just as
most people do not have to think about how to drive a car.
Through training, the participants gain confidence in their
ability to protect themselves, defend others, and assisting
others in gaining control of hostile situations. Their body is
physically better able to assist and not having to worry
about their ability goes a long way to reducing stress.
018823
DOD-041981
r'
4.
.Procedure - Defensive Tactics - When deemed necessary to use force to control an inmate, the following procedures should be followed where deemed feasible:
a.
The officer in charge or other appropriate staff member may
attempt to reason with the disruptive inmate and assess the situation.
b.
If feasible, other staff may be called to attempt to reason with the inmate. Other appropriate staff may include medical and/or mental health staff.
c.
A show of force may be made where appropriate and feasible and may include the use of a canine.
d.
When a reasonable use of less than lethal force is authorized, physical force should be limited to the amount necessary and reasonable in the given situation. (Standard of Care)
e.
Chemical agents may be used, where feasible, in accordance with DOP 433.
f.
Sufficient numbers of security staff should be employed to subdue and restrain the inmate.
g.
The involved inmates and staff will be given medical examinations and treatment, as medical staff deems appropriate and necessary (Standard of care).
(DOP 431)
40.2 B..The Basic Principles of Defensive Tactics
*NOTE*.Before continuing this lesson, the instructor should insure
that they are a certified Defensive Tactics Instructor with a current knowledge of
the related skills. Please review the Defensive Tactics Instructor's Manual prior
to instructing participants. The instructor should also relate to the participants
that the following techniques involve the use of pain compliance directives.
Participants should have on loose fitting clothing, a minimal amount of jewelry,
and be in reasonable physical condition.
018824
1..There are numerous techniques and principals to a sound defensive tactics program. Some selected principles to remember include:
a.Relax
b.Place the attacker on an imaginary "X".
c.Move the body as a unit.
d.Move to the attacker, never away.
e Work in 45° angles.
f.Order of defense: eyes, body, hands.
g.Bring both feet into the attack, standing natural.
h.Pain dictates direction.
i.Body power is centerline, as is weakness.
j.Power can only be generated toward or away from the body.
k.The thumb side is the weak side of the hand.
1.Control one or more of the eight balance points.
m.Keep elbows down for power.
n Small circles generate more energy.
o A grasp only controls the portion grabbed, not the rest of the body.
40.2.1 E..Identification of Vulnerable Areas of the Body
There are many areas of the body that can be accessed to create pain or disrupt the balance of a violator. The participant should always remember to use only the amount of force reasonable and necessary to gain control of the violator.
018825
DOD-041983
40.2.3.1..Peripheral Nervous System - Reference Charts
a.Nerves of the head
b.Nerves of the torso
c.Nerves of the upper / lower extremities
40.2.2.2..Balance Points - Weaponless control While there may be violators who are highly tolerant to pain, there are none that can resist the pull of gravity. By using effective techniques such as the wrist and other joint locks in combination with balance points to remove someone's ability to stand, we can gain control of that person.
a.Knees- Forcing the knees to the left, right, or to the rear will disrupt a violator's balance.
b.Hips- Twisting the hips of the violator in combination with their shoulders or temples will disrupt a violator's balance.
c.Shoulders- Drop one of the shoulders of the violator with a wrist lock or stun will disrupt a violator's balance.
d.Temples- A rapid twisting of the temples will disrupt a violator's balance.
3..Stunning Techniques Stunning techniques are used to temporarily divert a violator's attention from your intended goal. A stun by itself should not normally cause serious injury. There are too many stuns available to the participant to even begin putting them down. A few of the easier ones are as follows:
a.A slap to the face can disorient the violator and assist the officer by turning their head away from the intended target.
Stomping across the bridge of the foot is extremely painful and can
be used to cause a violator to bend over, thereby losing some of
their balance.
c.Kicking or raking the foot down the violator's shins can assist the officer by causing the violator to lower their guard and/or bend over.
018826
DOD-041984
d.
Pinching the sensitive skin on the inner thighs of the violator can be extremely painful and useful if the officer is down or on the floor.
e.
A strike with the knuckle of one or two fingers to the center of the
chest just below the collar can be quite painful
f.Pulling the hair of the violator in a downward, twisting motion can be of great assistance in getting the violator off balance.
40.3 F..Self-defense Techniques
1..Chokes
a.From the front
-1.Slight step backward as attack is entering
-2.Cross arms in front of chest, pushing outward on attacker's wrist.
-3.Grab the wrist and cross attacker's arm bringing your arms into a normal straight-out position.
Push attacker's lower arm across elbow.
-5.Step toward attack and grab trapped arm with other hand. Reach between attacker's bent elbow and body to secure trapped hand with both hands.
b.From the rear'
-1.Turn head toward attacker's elbow and push chin down while grabbing the attacker's elbow and pulling down.
-2.Shift hips and step behind the attacker into a straddle stance.
-3.Straighten upper body, turning toward the attacker, causing them to fall.
018827
=
2..Arm grabs a.Release from violators grasp
-1.Stabilize the attacker's hand with your other hand.
-2.Move toward the attacker.
-3.Turn the body 90° to the attacker keeping the elbows down and bring wrist up to the center of the chest.
b.Controlling a violator There are any number of control techniques that can be used on the attacker once you have broken their grasp. Refer to the Defensive Tactics Manual for a complete reference.
3..Hugs a.From the front -1.Utilize stunning techniques while shifting the hips out of the way. -2.Trap either of the attacker's feet with your foot and press down across the shin at a 45° angle.
b.From the rear
-1.Shift your hips to the left or right.
-2.Utilize stunning techniques.
-3.Shift hips and step behind the attacker into a straddle
stance. -4.Straighten upper body, turning toward the attacker, causing them to fall.
4..Escape and evade to a safe zone
a.Positioning
Review with the participants the basic concept of avoiding a
problem to start with by the use•of verbal diffusing skills, team
intervention, etc. Stress the importance of recognizing a bad
situation and taking a proactive approach to defense.
018828
DOD-041986
b.Blocking The high block and low block are generally the most used blocks in a given situation. Demonstrate both of these block and then drill
the participants in their actual use. Let one participant slowly throw punches to the head or body as the other participant blocks them using correct technique. The speed and power of the punches can be increased as the participants skill increases.
III..Conclusion
018329
BASIC CORRECTIONAL OFFICER TRAINING
USE OF FORCE - DEFENSIVE TACTICS
Participant Outline
I.
.Introduction
A.
Purpose
B.
Objectives
II..Body
A..Use of Less than Lethal Force
1..Definitions Less than lethal force-Team Intervention-
40.1 B..Forces Affecting a Person threatened with Danger
1.
Stress
2.
Lack of confidence
3.
Lack of experience
4.
Poor physical conditioning
5.
Personal problems
C..Effects of Training on Persons Threatened with Danger
1.
Psychological effects-
2.
Physiological effects-
018830
DOD-041988
40.2 D. Basic Principles of Defensive Tactics a Relax b Place the attacker on an imaginary "X". c Move the body as a unit. d Move to the attacker, never away. e Work in 45° angles. f Order of defense: eyes, body, hands.
Bring both feet into the attack, standing natural. h Pain dictates direction. i Body power is centerline, as is weakness. j Power can only be generated toward or away from the body. k The thumb side is the weak side of the hand. 1 Control one or more of the eight balance points. m Keep elbows down for power. n Small circles generate more energy.
o A grasp only controls the portion grabbed, not the rest of the body.
40.2.1 E. Identification of Vulnerable Areas of the Body
There are many areas of the body that can be accessed to create pain or disrupt the balance of a violator.
018831
40.2.3 1. Peripheral Nervous System - Reference Charts a Nerves of the head b Nerves of the torso
c Nerves of the upper / lower extremities
40.2.2 2. Balance Points - Weaponless control While there may be violators who are highly tolerant to pain, there are none that can resist the pull of gravity. By using effective techniques such as the wrist and other joint locks in combination with balance points to remove someone's ability to stand, we can gain control of that person.
a Knees
b Hips
c Shoulders
d Temples
3. Stunning Techniques
a
b
d
e
f
40.3 F. Self-defense Techniques
1. Chokes
a From the front
b From the rear
018832
DOD-041990
2. Arm grabs a Release from violators grasp b Controlling a violator
3. Hugs a From the front b From the rear
4. Escape and evade to a safe zone a Positioning b Blocking
5. Cell extractions
III. Conclusion
018833
PURPOSE:
OBJECTIVES:
BASIC CORRECTIONAL OFFICER TRAINING
CRISIS PREVENTION - THE INMATE POPULATION
(Social/Cultural Lifestyles)
Training Checklist
The Correctional Officer shall acquire an
understanding of the inmate culture, environment
and background and how it impacts inmate behavior,
inmate/officer relationships and the prison
environment.
At the end of this block of instruction, the
participants will be able to achieve the following
objectives in accordance with information received
during this instructional period:
28.1.
In a group discussion, define prison
community, inmate culture patterns and
background that impact inmate behavior,
as well as officer/inmate relationships.
28.2.
On a performance test, describe two
inmate behavioral patterns and three
factors that influence those behaviors.
28.3.
Given several scenarios, explain
usefulness and limitations of ascribing a
behavior "type" to a particular inmate
(i.e., stereotyping).
28.4.
In a role play situation, recognize
behavioral styles in a stressful or
emotionally intense situation that will
influence the prison environment.
28.5
On a performance test, identify inmate
differences in lifestyles, culture,
social interaction and language.
28.6.
Identify positive ways of supervising
inmates with different lifestyles,
cultural background and language
differences.
28.6.1
Discuss social/cultural lifestyles,
cultural diversity and homosexuality.
28.6.2
Identify contemporary examples of common
prison slang.
E -1 -1
018834
DOD-041992
HOURS: 3
INSTRUCTIONAL
METHOD:.
Lecture/Discussion/Role Play
MATERIALS
REQUIRED:
REFERENCES:
PREPARED BY:
REVISED:
REVISED BY:
DATE:
REVISED BY:
DATE:
REVISED BY:
DATE:
Participant Outline, Notebook, Pen/Pencil, Flip
Chart, Handout
Carter, Robert; Glaser, Daniel; and Wilkins, Leslie
T., eds.
Correctional Institutions. 2nd ed.
Philadelphia: Lippincott Publishers, 1977.
Clear, Todd R. and Cole, George F.
American
Corrections. 3rd ed. Belmount, California:
Wadsworth Publishing Co., 1994.
Duffie, David E. Corrections - Policy and Practice.
1st ed. New York: Random House Inc., 1989.
Goode, Erich.
Deviant Behavior. 4th ed. Englewood
Cliffs, New Jersey: Prentice Hall, 1994.
Williams, Virgil L. and Fish, Mary.
Convicts,
Codes, and Contraband: The Prison Life of Men and
Women. Cambridge, MA: Bollinger Publisher, 1974.
Yochelson, Samenow. The Criminal Personality. 3
Vols. New York: Aronson Publishers, 1976.
Zimbardo, Philip G. and Haney, Craig.
Prison
Behavior. Office of Naval Research Technical Report
Z-14, April, 1975.
Will1111111111,
October 1991
graillara
February 1993
1111111111=111
February 1994
1111111111.111111. r.
April 1996
E -1 -2
018835
REVIEWED BY:
tiagi¦Mliffill
DATE: .
January, 1998
(b).) -3
APPROVED BY:
Security c oo Director
DATE:.
January, 1998
E -1 -3
018836
DOD-041994
BASIC CORRECTIONAL OFFICER TRAINING
CRISIS PREVENTION - INMATE POPULATION
(Social/Cultural Lifestyles)
Participant Outline
I..
Introduction
A. Purpose - Refer to Training Checklist
B. Objectives - Refer to Training Checklist
II..
Body
28.1
.
A.
Prison Community
1.
Definition
2.
Elements of the Prison Community
28.1
.
B.
Explanations of Inmate/Criminal Behavior
1.
Normal vs. Abnormal Behavior
2.
Environmental Mandate
3.
Differential Association
28.6 4..
Factors Influencing Behavior
28.6.1
a.
Race
b.
Sex
c.
Age
d.
Social Status
e.
Religion
E -1 -3
018837
DOD-041995
t
28.3 5..
Stereotyping
28.1
.
C.
Prison Sub-Cultures and Adaptive Behavior
28.4
28.2 1..
Thief - Career Criminal
28.5
Adaptive Behavior- "Doing Time"
2.
Convict - Institutionalized
Adaptive Behavior - "Jailing"
3.
Conventional - Free Society
Adaptive Behavior - "Gleaming"
28.6.1
.
D.
Homosexuality - Sexual desire for other of one's own
sex.
28.6.2 a..
Passive
1.
"Punk" - Unwilling homosexual
2.
"Closet Queen"
3.
"Queen"
b..
Dominant
1.
Rapists
2.
"Tush Hogs"
3.
Pimps
E -1 -4
018838
c..
Reasons for Homosexuality
1.
Creates sense of power (dominace)
2.
Means for survival
3.
Sexual release without responsibility
(pregancy factor)
4.
Reinforces macho image
5.
Economic gain (sell your punk)
E. Mentally Challenged - "Disorganized Criminal"
1.
Low intelligence (psychological or physical
disability)
2.
Manipulated by other inmates
3.
Difficulty functioning in general population
4.
Unable to develop role orientation
F. Cultural Factors
1.
Secondary Compensation
2.
Sub-Rosa Economics
3.
Inmate Code
4.
Grapevine
5.
Prison Argot
III.
Conclusion
A.
Review
B.
Summary
018839
DOD-041997
BASIC CORRECTIONAL OFFICER TRAINING
THE ROLE OF THE CORRECTIONAL SYSTEM
Trainer Outline
Introduction
A. Purpose
B. Objectives
II. Body
1.1
A.
The Role of Prisons in the Community
1.
Elements of Prisons
The role of Prisons in the community includes three elements:
a.
Protect
b.
Control
c.
Programs
2. The Department's Mission
NOTE TO TRAINER:
Refer participants to their manual for theDepartment's Mission.
Virginia Department of Corrections Mission
The Department enhances public safety by carrying out the sentences given to convicted felons in a humane, cost-efficient manner which is consistent with sound correctional principles and constitutional standards.
Approved by the Board of Corrections
February 14, 1996
a.
Protect - Enhances public safety
C-1-3
018840
Keeping violent offenders off the streets
b. Control - Carrying out the sentences (security, custody and control)
Making sure the person does his/her time
c. Programs will be:
1. Humane
Emphasizing human values and concerns through programs that will meet his/her needs and help them in reintegration back into society as a productive citizen
2. Cost-efficient manner
As inexpensive as is possible to prevent waste and abuse of state property
3. Correctional principles and constitutional standards State law and constitutional rights with their limitations
1.2 B. Elements/Goals of the Criminal Justice System
1.2.1
1.3 1. Law Enforcement
a.
Place in Government Structure Executive Branch of Government
b.
Goals
Law Enforcement agencies' general goal is to ensure public order by:
1.
Protect the public
2.
Crime prevention
3.
Investigation
4.
Arrest
2.
Courts
a.
Place in Government Structure
Judicial Branch of Government
b.
Goals
C-1-4 The goal of the courts in Virginia is to assure disputes are resolved promptly, justly and economically by:
1.
Interpreting law
2.
Ensure due process
3.
Determine guilty or not guilty
4.
Sentence guilty persons
3. Corrections
a. Place in Government Structure
Executive Branch of Government
b. Goals
The primary goals of corrections are to:
1.
Carry out the sentences imposed by the courts
2.
Provide opportunities (programs) for reintegration back into society
c. Major Functions of Corrections
1. Confinement or Prisons
Confinement refers to a jail (1-12 months) or prison sentence (1 year and up). Currently there are:
a.
23 Major Institutions
b.
19 Field Units
c.
6 Work Centers
C-1-5
018842
DOD-042000
d. 3 Work Release Units
NOTE TO TRAINER: Refer participants to the Virginia State map on the back wall of the classroom.
2. Probation
Probation is a sentence that permits the offender to remain in the community under certain conditions and restrictions. The primary objectives are to help the offender regain and acquire a sense of self-esteem and personal responsibility and, at the same time, secure adequate safeguards on behalf of the community.
The Department has a program called "Shock Probation" (Boot Camp), which serves as an alternative to Prisons. Participants in this program have been convicted of a non-violent felony (after 01/01/91). The program is deemed as a non-violent voluntary program. Placement in this program is considered a special condition of probation. Offenders in this program are not referred to as inmates, rather probationers.
Currently there are three (4) such facilities:
a. Southampton Boot Camp
b. Southampton Detention Center (2) 1-men & 1-
women
c. Nottoway Detention Center
The Boot Camp program is 90 days of intense training, whereas the Detention Centers are a four to six month training program. It is less intense than the Boot Camp program, but operated on the same basis.
3. Parole
Parole is a system of selectively releasing offenders from prison and providing them community supervision with certain reporting requirements, personal restrictions and guidance. There are two types of parole releases in Virginia:
C-1-6
018843
DOD-042001
a. Discretionary Parole
Discretionary parole allows offenders the opportunity to serve the remainder of their sentence in the community rather than in prison. Offenders sentenced to one year or more are eligible for discretionary parole.
b. Mandatory Parole
Mandatory parole release occurs when an inmate is
within six months of completing his/her sentence.
Once released, the inmate then receives six months of
parole supervision.
2.3 C.
How Do Law Enforcement Agencies Assist Corrections?
The Criminal Justice System is made up of Law Enforcement, Courts and Corrections. There are times when Law Enforcement can be of great assistance to Corrections. Can you think of any of those times?
1. State Police
Assist during riots and other emergencies, arrest suspects, supply bomb
squad, SWAT, snipers, state vehicle accidents, inmate transportation,
background investigations and provide perimeter security.
2.
Local Sheriffs
Inmate transportation, court security, serve subpoenas, arrest suspects and provide perimeter security.
3.
FBI
Assist during hostage emergencies, investigate on-going crimes, background investigations.
III.
Conclusion
A.
Summary
B.
Questions
C-1-7
018844
DOD-042002
BASIC CORRECTIONAL OFFICER TRAINING
CORRECTIONS AS A PROFESSION
Training Checklist
PURPOSE: • The Correctional Officer shall understand the definition of a profession and be able to relate in some ways in which corrections does or does not match this definition.
OBJECTIVES: At the end of this block of instruction, the participant will be able to achieve the following in accordance with information received during this instructional period:
3.1 On a written test, list and describe the four principles that define a profession.
3.2 On a written evaluation, list the key points of DOC Procedure #5-22, Rules of Conduct for Employees' Relationships with Inmates, Probationers or Parolees.
3.3 On a written test, explain why Correctional Officers should be of a high order of integrity and initiative.
3.4 On a written evaluation, discuss and list the positive and negative influences of a corrections career upon a Correctional Officer's personal life.
HOURS: 2
INSTRUCTIONAL METHOD: Lecture, discussion
MATERIALS
REQUIRED: Participant Outline, Video "Correctional Officers Training: Ethics and Conduct" (20 minutes)
REFERENCES: Correctional Officers Training: Ethics and Conduct. Aims Media, 1987.
Department of Corrections Procedures Manual. Chapter 5, Policy 5-45, "Receipt of Writs, Summons, Subpoenas." July 1991.
A-2-1
018845
DOD-042003
Department of Corrections Procedures Manual. Chapter 5, Policy 5-22, "Rules of Conduct Governing Employees' Relationships with Inmates, Probationers, or. Parolees." June 1994.
Department of Corrections Procedures Manual. Chapter 5, Policy 5-10, "Standards of Conduct and Performance." November 1992.
Grambling, Lorraine Koeblitz, P.D. An Analysis of the Characteristics of the
"Good" Correctional Officer as Rated by Peers, Supervisors, and Residents.
The University of Alabama, 1979.
"Managing for Organizational Integrity." Harvard Business Review, March-April 1994.
Professionalism. National Institute of Corrections Information Center. Alaska Department of Corrections, 1991.
Stock, Harley V. and Skultety, Stephan. "Wrestling Demons in Our Own Ranks " Corrections Today, February 1994.
PREPARED BY:
DATE: March 1994
REVISED BY:
11111111=111111111111
DATE: January 1995
(a0 -3
REVISED BY: 111111111111111111=
DATE: April 1996
REVIEWED BY: 0111111111111111111111
DATE: APPROVED BY:
Security School Director DATE: April 14, 1997
A-2-3
018846
REVIEWED BY:
DATE: January 1998 (g
APPROVED BY:
UMMIPIMM
Security School Director
DATE: January, 1998
018847
A-2-3
BASIC CORRECTIONAL OFFICER TRAINING
CORRECTIONS AS A PROFESSION
Participant Outline
I.
Introduction
A.
Purpose
B.
Objectives
II. Body
A. Profession and Professionalism
1. Profession
3.1 2. Principles/Characteristics of a Profession
a.
Body of Knowledge and Specialized Training
b.
Support Groups and Associations
c.
Responsibility and Commitment
d.
Allegiance and Loyalty to the Rules of Conduct and Standards
3.
Professionalism
a.
Professional Status
b.
Professional Methods
3.3 c. Professional Character
d. Professional Ethics and Standards
3.2 B. Rules of Conduct Governing Employees' Relationships with Inmates,
Probationers or Parolees
1. Professional Conduct
A-2-3
018848
DOD-042006
a. Abuse of Employment Status
Employees shall not use employment status for personal gain.
b.
Alertness
Employees are to be alert to detect and prevent escapes.
c.
Appearance °
Employees shall maintain appropriate appearance.
d.
Confidential Information
Any information pertaining to the record, offense, etc., is for official use only.
e.
Courtesy and Respect
Employees should be respectful at all times.
f.
Humane Treatment
Inmates, probationers or parolees shall be treated humanely.
2.
Improprieties: Non-Professional Association
a.
Improprieties
No fraternization
b.
Interactions
Limited to those times when performing duties directly related to Department
c.
Special Favors Employees shall not extend or promise special favors or privileges.
d.
Visitation
Non-job related visitations shall not be permitted.
A-2-4 018849
DOD-042007
3.4 C. Influences of a Correctional Career
1. Negative Influences
a. Stress
1.
Rotating shifts
2.
Lack of public support
3.
Potential for job injury
4.
Role conflicts at work
5.
Perception of management being non-supportive
6.
Personal problems
7.
Differences between Academy and institution
8.
Exposure to value systems and lifestyles
b. Substance Abuse
1.
Drugs/Alcohol
2.
Family abuse/neglect
2.
Positive Influences
a.
Self-Image
b.
Benefits
c.
Income
d.
Promotional Opportunities
e.
Job Security
III.
Conclusion
A.
Summary
B.
Questions
A-2-6
01885€
DOD-042008
BASIC CORRECTIONAL OFFICER TRAINING
CORRECTIONS AS A PROFESSION
Trainer Outline
I.
Introduction
A.
Purpose
B.
Objectives
II. Body
A. Profession and Professionalism
Let's begin by looking at the words profession and professional and identify ways that corrections may or may not relate to these words.
1. Profession
"An occupation or vocation requiring training in the liberal arts or the sciences and advanced study in a specialized field; the body of qualified persons of one specific field or occupation ..." (American Heritage Dictionary)
3.1 2. Principles/Characteristics of a Profession
a. Body of Knowledge and Specialized Training
Liberal Arts Firearms/Chemical Agents (General info) Def Tac/Baton/Searches Advanced Study Baton/Military Drill (Training-Education) Riot Control/Restraints (Study on your own) CPR/First Aid
b. Support Groups and Associations
SEAS -(State Emp. NIC - Info Clearing House Assistance Svcs.) ACA - Correspondence Courses Family Crisis'and Videos Response Team
A-2-3
018851
DOD-042009
c. Responsibility and Commitment
To your job
Professional Demeanor(at all time, on and off the job)
d. Allegiance and Loyalty to the Rules of Conduct and Standards
DOC Procedures Manual, Standards of Conduct and Performance, Policy 5-10, November 1992, DOP's, IOP's, Security Bulletins, Policies and Memorandums
3. Professionalism - Continuous Self Development
"Professional status, methods, character, or standards." (American HeritageDictionary)
a. Professional Status
Title, pay, responsibility
b. Professional Methods
We carry out duties in accordance with DOP's, IOP's, Security Bulletins and memorandums.
c. Professional Character
As Correctional Officers you are expected to demonstrate a high level of integrity and initiative. Integrity is based on the concept of self-government in accordance with a set of guiding principals.
Some core values of integrity include: respect for the rights of others, honesty, fair dealing and obedience to the law.
Initiative means doing what has to be done without being told to do it. You are expected to role model the behaviors of a professional, both on and off the job.
d. Professional Ethics and Standards
Ethics are the rules or standards that govern the conduct of the members of a profession.
3.2 B. Rules of Conduct Governing Employees' Relationships with Inmates, Probationers or Parolees
A-2-4 018852
The Department of Corrections has established rules of conduct to be observed by employees of the Department when dealing with inmates, probationers or parolees of the Department. This policy is found in the Department of Corrections Procedures Manual, Chapter Five: Employee Relations and Training, Subject: Rules of Conduct Governing Employees' Relationships with Inmates, Probationers, or Parolees, Procedure 5-22, June 1994.
The following are the key points of the policy.
1. Professional Conduct
(The following are key points in Procedure 5-22).
NOTE TO TRAINER: Use flip chart titled: Key Points, Rules of Conduct Governing Employees' Relationships with Inmates, Probationers or Parolees.
"Employees of the Department shall exercise a high level of professional
conduct when dealing with inmates, probationers, or parolees to ensure the
security and integrity of the correctional process."
a. Abuse of Employment Status
Employees shall not use their official status as employees of the Department as a means to establish social interactions or business relationships not directly related to Department business.
b. Alertness
Employees are expected to be alert and to detect and prevent escapes from custody or supervision or violations of Departmental regulations.
c. Appearance
All employees should maintain appropriate appearance and demeanor while in a duty status.
d. Confidential Information
Any information pertaining to the record, offense, personal history or private affairs of inmates, probationers or parolees is for official use only.
0/8853
A-2-5
DOD-042011
e. Courtesy and Respect
Employees should be respectful, polite and courteous in their contact with inmates, probationers or parolees as well as with citizens and other employees at all times.
f. Humane Treatment
Inmates, probationers or parolees shall be treated humanely. Abuse or any form of corporal punishment is prohibited. No profane, demeaning, indecent or insulting language or words with racial or ethnic connotations shall be directed toward such persons.
2.
Improprieties: Non-Professional Association (Wrongful Acts)
a.
Improprieties
Fraternization or other non-professional association by and between
employees and inmates, probationers or parolees or their families
shall be discouraged.
b. Interactions
This is association that is to be limited to those times when the individual employee is performing duties directly relating to matters pertaining to Department interests.
c. Special Favors
Employees shall not extend or promise to an inmate, probationer, or
parolee special privileges or favors not available to all persons
similarly supervised, except as provided for through official
channels.
d. Visitation
Non-job related visitations between employees and inmates,
probationers or parolees of the Department or their families shall not
be permitted without explicit written permission of the Deputy
Director in charge of the division involved, or his/her designee and
for good cause shown or for professional reasons.
018854
A-2-6 3.4 C. Influences of a Correctional Career
1. Negative Influences
a. Stress
Some of the stressors Corrections Officers may face:
1.
Rotating shifts
2.
Lack of public support
3.
Potential for job injury
4.
Role conflicts at work
5.
Perception of management being non-supportive
6.
Personal problems
7.
Differences between the "theory of corrections" taught at the Academy and the reality of the institution
8.
Exposure to value systems and lifestyles that are contrary to your own
b. Substance Abuse
1.
Drug/Alcohol abuse
2.
Family abuse/neglect
2.
Positive Influences
a.
Self-Image
Feeling that you are doing a useful job for society, doing a job to the best of your ability and having the knowledge that you may have helped an inmate straighten out his/her life may lead to self-satisfaction.
b.
Benefits - health insurance, retirement, medical insurance, paid vacation, etc.
c.
Income
. 018855
d.
Promotional Opportunities
e.
Job Security
A-2-9
III.
Conclusion
A.
Summary
B.
Questions
A-2-9
018856
DOD-042014
) k
r-erformance Evaluation_
PG I OF
E .
C:CCC6 Q_C k-CY-DATE : SSN:
EVALUATOR:
INcTRUCTIONAT.
1r2STTTUTTnNAT TFn.INING
Block 3.
Use of Force
Objective Reresc
11
Performance Tesc
Pass Fail ?ass 'Fail i
39.3
After reading the following scenario, determine if the
correctional officer could be held liable for unlawful
use of force.
Trainee J_ Jones was assigned to observe a group of
ten inmates during their recreation period. Shortly
after assuming this post, Trainee Jones heard aloud
`noise coming from within the building that was
located directly behind him. Jones left his post and
ran toward the noise. Trainee Jones came upon inmate
Jackson and inmate Blant, who were arguing about which
one of them was supposed to mop the hall. Trainee
Jones ordered both inmates to be quiet, which they did.
A second officer arrived at the scene and instructed
Trainee Jones to return to his post. As Jones turned
to do so, inmate Blanc lunged forward and grabbed him.
Trainee Jones reached down and grabbed his radio and
struck inmate Blant on the knee with it. Inmate
Blant-then bent over to hold his knee, at which time
Jones jumped on his back and choked him from the rear.
The second officer came over to assist, and inmate
Blant was placed in restraints. Inmate Blanc was
taken to the clinic, where it was determined that he
had suffered a fractured knee cap and a two inch
abrasion on his neck. Who, if anyone, could be held
liable for the damages suffered by inmate Blant?
Circle all correct answers:
Trainee Jones for using his radio to protect himself
The agency for assigning a trainee to a post without direct supervision.
C. The 0.7o inmates because they started to argue_
D. Nobody.
liable because the event was unavoidable.
From the above scenario, what should Trainee-Jones
-have done when inmate Blant grabbed him?
k
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018857
DOD-042015
,h-formance Evalmatc3n ?G 2 OF 3
DATE: SSN -
EVALUATOR:
INSTRUCTIONAL TOPIC: INSTITUTIONAL TRAINING
Block 3.
Use of Force
Objective
Tesc Retest
g
Performance
Pass Fail Pass Fail
39.1.3 Determine if the correctional officer could be held
liable if an inmate escapes under Code of Virginia,
Title 18.2-476_
Officer B. Bronson was assigncl to supervise twelve
inmates who were working in the laundry..
When the in-
mates arrived, Bronson noticed that only eleven had come
to work..
Bronson attempted to call the appropriate
living unit to locate inmate Taylor, who was the missing
inmate..
After calling twice and getting a busy signal
both times, Bronson remembered that he had heard the
day before that inmate Taylor was excused by the medical
-department..
He could not remember who had told him,
but he remembered hearing something about it. ---
Bronson,
now being ten minutes late getting the eleven inmates
-
started on their assignments,-proceeded to go about
his normal routine..
Two hours later, the medical de-
partment called for inmate Taylor..
Taylor could not be
found, and it wassoon determined that he had escaped.
A. Did Officer Bronson negligently suffer inmate Taylor
to escape? QS
B. If so, how?(...)%wstr ilc-u\ax) e.jr\csk..)\61(\e\ra
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CCRENTS:
018358
Performance EvaluatiL PC 3 0F3
NAPE: DATE:
EVALUATOR:
INSTITUTIONAL TRAINING
INSTRUCTIONAL TOPIC:
\
L-. 1 0L !, Use of Force
II
)bjeccive Tess B
Performance II
Pass Fail Pass -Fail
1
39.3 After reading the following scenario, determine if the
39.1.2 proper amount and type of force were used:
39.2
Officer T. Tut has been assigned to the isolation unit ,
at his institution.
Upon making one of his routine
checks, he observes inmate D. •igg breaking up his
meal tray.
Officer Tut knows that he is to protect
state property, so he pulls out his CN gas canister and
yells at Bigg
and orders him to put down the meal
tray.
Inmate Bigg refuses to do so and tells Officer
Tut•to unlock his cell and come in and take it.
Offi-
cer Tut then calls on his radio.--for assistance, and
proceeds to spray Bigg with CN gas.
-Assistance arrives
two minutes later.
Three officers then enter the cell
and remove inmate Bigg and take
him for medical
treatment.
A. Was the proper amount of force used as dictated by
the facts?1).\6L-FirLF 1,10
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B. How should this situation have been handled?4:3-5.20yrktz
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C. What elements were present for inmate D. Bigg, to
file a federal civil suit?Uareq‘L-F11-1.crAl ,,,o,z.i.Qa,
kv,,,,. CS-1 hOckl amarkdrIA.Q.A.3,-.
D. What is the maximum amount of force that should
have been used in this situation?
39.2
-
E. In this situation, what elements should have been
. .
present before officer T. Tut used chemical agents?
, .
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018859
BLOCK I TEST
Answer Sheet
Na me01A-Xil-GeTJILCY-SSN DatetiVANCJI
\
1. A CD C D
2. BC D
3. BC D 4_ BC D
5. C D
6.A e C
7.
8.A ® C
9.0 .
10. OD D
11.A B C O
D
12. !,,,/ B D
©
13.0 B C D
C D
BC D
C D
C D
18. B C D
\
19_ B C D
ro
Failure to correctly answer any four (4) of the above questions
will result in failure of Block I testing.
Evaluatdr's Comments:
018860
BLOCK I TEST
A °Court not of Record° can send someone to prison.
1.2
.1..
B. False
A.
True.
The saJor goals Of courts in criminal Justice are:
2..
1.2.1.
to render equal Justice, insure due process, trial
and protection of society.
B. False
A. True.
aJor goal of law enforcement in criminal
The ¦
3..
1.2.1.
Justice is to enforce all lays by deterrence,
investigation and arrest.
B. False
A. True.
A profession is a calling requiring specialized
3.1.4..
knowledge and often long and intensive academic
preparation.
A. True.B. False
3.2 5. All employees should maintain appropriate conduct, appearance and demeanor while in their duty
station.
A. True.B. False
3.3 6. Employees of the Department shall not exercise a high order of professional conduct when dealing
with inmates.
A. True.B. False
60.1_ :7. The DOP tells •vhat°, the 1OP tells 'how".
A. True.B. False
60.3 8. Security DOP'S are available for review only at roll call prior to post assignment.
A. True.B. False
60.4 9. DOP'S and policy are to protect correctional staff
as well as the inmates.
A. True.B. False
018861
The primary purpose of imprisonment is:
1.1 10.
A. punishment of offenders
B. protection of society
C. rehabilitation of offenders
D. create more state employees
11. The major goals of corrections in criminal Justice
1.2.1
are:
A. protection of society & rehabilitation
B. apprehension and trial of offenders
C. punishment and rehabilitation
D. protection of society and reintegration
Characteristics of a Correctional Officer should
25.1 12.
include:
A. quiet but firm manner when dealing with
inmates
B. use of street language when dealing with
inmates
C. set professional examples using the badge for
authority
D. use of "nicknames" when dealing with staff and
inmates
13. The main difference between security and innate
60.2.
management guidelines is:
restricted information is contained in
security guidelines
A.
B. only 'A" custody inmates have access to inmate
management guidelines
C. only Chief of Security has access to security
guidelines.
D. only security staff has access to inmate
management guidelines.
14. Choose from A, B. or C below the proper sequence of
1.3.
the three elements of the criminal justice system.
A. Courts
Law Enforcement
Corrections
B. Law Enforcement
Courts
Corrections
C. Corrections
Courts
Law Enforcement
018862
3.4 From the list below, identify as positive or negative the
following aspects of a correctional career, on your person{
life.
A = Positive
B = Negative
15.
Personal satisfaction
16.
Fear
17.
Stress
18.
Financial security
19.
Career advancement
018863
DEPARTMENT POLICY AND PROCEDURE UPDATE
.
PURPOSE: To provide the employee with a working knowledge of
the operations and policy manuals used by the
Department of Corrections.
At the end of this block of instruction, the
participant will be able to achieve the following
based on their knowledge and understanding of
departmental operations and policies in accordance
with the information received during this
instructional period.
OBJECTIVES:.
1.
On a written evaluation the participant will
identify the difference between D.O.P.'s and
I.O.P.'s.
2.
Define professionalism and ethics.
3.
In a classroom discussion, identify behaviors
that are associated with Sexual Harassment.
4.
Identify the Avenues of Relief available to an
individual when he/she is the target of sexual
harassing behavior.
5.
On a written evaluation, describe the proper
procedure to follow when an employee fails to
report to work due to an illness.
6.
In a classroom discussion, identify the
difference between Essential Personnel and
Non-essential Personnel.
7.
On a written evaluation, identify the
employees that will be effected by the
Urinalysis and Alcohol Testing Policy.
8.
Explain the process of selecting individual
employees that will be Randomly Drug Tested.
9.
In a classroom discussion, identify the
importance of being properly dress when
entering correctional facilities.
10.
On a written evaluation, explain the
departments policy on transporting an
inmate of the opposite sex.
11.
On a written evaluation, identify why it is
importance have policies and procedures.
018864
HOURS:.5
INSTRUCTIONAL
METHOD: Lecture, Discussion
MATERIALS:.
Handouts
REFERENCE:.
Departmental Operating Procedures 213, 402, 403,
406, Institutional Operating Procedures,
Department Policy and Procedures Manual 5-10, 5-22,
5-36, 5-45 and 5-55
PREPARED BY:
DATE: January 1998
REVIEWED BY: January, 1999
018365
DOD-042023
POLICY AND PROCEDURE UPDATE
Participant Outline
I..
Introduction
A. Purpose
B. Objectives
II. Body
A..
Important Directives
1.
Departmental Operating Procedures
2.
Institutional Operating Procedures
3.
Policy and Procedures Manual
4.
Security Bulletins
B..
Policy and Procedure Update
1..
Professionalism and Ethics
2..
Sexual Harassment
a.
Quid Pro Quo
b.
Hostile Environment
c.
Six levels of Sexual Harassment
d.
Avenues of Relief
3..
Hours of Work: Annual and Sick Leave (DOP 213)
4..
Inclement Weather (Policy 5-36)
5..
Employee Appearance (DOP 402)
6..
Staff Training (DOP 403)
7..
C/O Supervision of the Opposite Sex (DOP 406)
8..
Sanitation and Cleanliness
9. Why we need Policies and Procedures
0/8866
DEPARTMENT POLICY AND PROCEDURE UPDATE
Instructor Outline
I. Introduction
A. Purpose
B. Objectives
II. Body
In the world of Corrections today we are faced with many
difficult situations. The Department is continuing in
it's effort to provide employees with sound policies and
procedures to effectively and efficiently manage facilities.
To operate a safe and secure facility, employees must be
knowledgeable in not only Departments Policies but the
Institutions Policies as well. Employees that are
conscientous and responsible in carrying out his/her duties
enhance operations of Corrections Facility
A. Important Directives
1.
D.O.P. - A minimum standard of operation consisting
of rules and regulation that govern the Division of
Adult Institutions. "This Directive informs all
Institutions what they must do."
2.
I.O.P. - A method of operation explaining how the
institution will accomplish what is required by the
D.O.P. and also a management tool to meet the needs
of the Institution.
Policy and Procedure Manual - Designed to give the
employee a greater awareness of issues that deal
with employee.
Security Bulletin - Designed to indicate any
changes or addition to existing Security Policy.
f B. Policy and Procedure Update
1..
Professionalism and Ethics
Professionalism - behavioral projection of methods,
character and standards.
Ethics - the rules or standards governing the
conduct of members of a profession.
018867
In order to create a greater awareness of what our
responsibilities are; let us explore what it is
that the Department expects of us as a corrections
employee.
L:
a . Employees shall promote the well-being of
everyone in the work place. ( Caring for
health and safety)
Employees shall maintain a high standard of
professional conduct when representing the
department.
i-11/ c..
Employees shall remain alert at all times and
perform duties in accordance with the policy
to include working overtime.
. Employees shall treat everyone with respect to include inmates, visitors and fellow employees.
e..
Employees shall not participate in any
unethical dealings with inmates. To include
special favors, special priviledges or
bringing in unauthorized items.
. Employees shall maintain a high level ofintegrity.
Employees shall maintain confidentiality when
dealing with confidential information
• Employees should not do anything to embarrass
themselves, others or the Department.
i.
Employees should not report to work under the
influence of any kind of drugs or alcohol.
(refer to policy 5-55)
1) Urinalysis and Alcohol Testing (Policy 5-55)
a).
Random Drug Testing will apply to
all full and part-time, salaried
employees, wage employees and
contract employees of the DOC who
work in correctional facilities.
018868
b).
Random Drug Testing is a process for
selection of individual employees to
be tested which results in an equal
probability that any employee from a
group of employees subject to the
process will be selected. The
Director will determine the
percentage of employees who will be
randomly tested on a yearly basis.
Reasonable suspicion is when
management believes that the
employee may have used illegal drugs
or is under the influence of alcohol
based on observance or reliable
sources. Testing for alcohol will
not be part of the Random Drug
Testing Procedure.
d).
Post-Accident Alcohol Drug Testing
will be conducted following an
accident that results in:
(1)
Death
(2)
Personal Injury requiring
immediate medical treatment.
(3)
Lost of time from work.
(4)
Property damage in excess of
$1000.
e).
All applicants seeking employment
with the DOC shall receive
pre-employment drug testing. A
positive testing will exclude the
applicant for employment
consideration or one year.
f).
Voluntary Identification of an
existing drug or alcohol problem by
an employee can be through proper
channels.
(1)
Referral to an Employee
Assistance Service for
evaluation and referred for
treatment. The employee must
successfully complete the
treatment program and will be
subject to testing regularly
for two years.
(2)
If an employee is selected for
drug testing prior to Voluntary
Identification, and receives a
positive test result for
drugs/alcohol, he/she will be
terminated.
(3)
Probationary employees, who
voluntarily identify
thenmselves after the initial
90-day period, will be
separated from employment for
018369
"
unsatisfactory performance
during the probationary
period".
g..
Employees are expected to be of
sound mine and have good judgment.
This policy will help to insure that
we are thinking with a clear head.
j.
Employees shall notify their supervisor if
they are charged with a law violation.
k.
Do not attempt to use your employment with the
Department for personal gain.
1..
Employees shall not have non-job related
visitation with inmates without prior approval
or allow non-professional association between
inmates/parolees or their families outside the
job to compromise the security of the
department (policy 5-22).
018870
DOD-042028
m . \ Employees shall treat inmates humanely, the use of profane, demeaning, indecent, or insulting language, or words with racial or ethnic connotations shall not be directed toward inmates.
2..
Sexual Harassment - Work place conduct consisting
of unwelcome sexual advances, request for special
favors, and other verbal or physical conduct of a
sexual nature when submission or rejection of this
conduct explicitly or implicitly affects an
individuals employment, unreasonably interferes
with an individuals work performance, or creates
an intimidating, hostile or offensive work
environment.
(Sexual Harassment is a form of discrimination)
Sexual Harassment categories:
a..
Quid Pro Quo - Latin term meaning "this for
that"
(1) Supervisory correlation - There must be a
supervisor/subordinate relationship with
the potential for retaliation by the
supervisor.
(2). Single incident liability - If the
incident is sufficiently severe and
pervasive to alter the condition of
employment.
(3)
Absolute management liability - Dealt
with case by case, where management knew
or should have known.
(4)
Voluntary involvement - The discerning
forum must distinguish between a response
that signals willingness on the part of
the victim to go along because they don't
want to create troubles,.
and one which
indicates that the conduct is actually
welcome. Note that what starts out as
welcome may become "unwelcome" at any
given time.
b..
Hostile Environment - as it is related to
sexual harassment, it must be sufficiently
severe or pervasive to alter conditions of
employment and create an abusive work
environment.
018871
(1)
Generally a continuous pattern of
offensive conduct, a single incident will
not establish liability in a hostile
environment claim. The employee must show
an extended pattern of harassment.
(2)
Employer put on notice of harassment - As
a claim under the hostile environment
theory can be against coworkers as well
as supervisors; generally the employer
will have to be put on notice of the
conduct to be held liable.
c..
Six Levels of Sexual Harassment
(1)
Aesthetic Appreciation
(2)
Active Mental Groping
(3)
Social Touching
(4)
Offensive Touching
(5)
Sexual Abuse
(6)
Ultimate Threat
d..
Avenues of Relief
(1)
Individual negotiation - The individual
may deal with the harasser in an informal
manner to prevent from having to file
claim.
(2)
Report to supervisor - The Supervisor is
required by law to take action on reports
of sexual harassment. (This is not
recommended if your supervisor is the
harasser.)
(3)
State Grievance Procedure - Grievance
must be filed within thirty calendar days
of incident. (NOTE: The grievance
procedure is not applicable to
probationary employees.)
(4)
State Employees Relations Unit (EEO) Claim must be filed within 180 calendars
days of last incident. Notification can
be made by telephone or you may go by the
office. Resolution at this stage is to
eliminate situation.
(5)
Federal Equal Employment Opportunity
Commission - Claim must be filed within
180 days of last incident. Notification
can be made by telephone, letter or in
person.
018872
(a)
In a case involving co-worker
harassment they will ordinarily
request that you first notify
immediate supervisor.
(b)
All involved parties and witness
will be interviewed.
(c)
Resolution is to eliminate the
situation.
(6)
Criminal Charges - There is no statute of
limitation in Virginia on a felony
criminal charge. There is a one year
limitation on misdemeanors.
(7)
Prevention of Sexual Harassment
(a)
Be mindful of the fact that
borderline harassment behavior can
suddenly blow up into a full scale
harassment suit. Do not tolerate
it!
(b)
Never put yourself in a position
that may jeopardize your job
security.
(c)
Be aware of behaviors and situation
that may result in sexual
harassment. Deal with the situation
in a prompt manner.
(8)
Documentation of claims of sexual
harassment are very important.
Hours of Work: Annual and Sick Leave
a.
It is Department Policy that the rules for
leave be consistently applied to all
employees.
b.
It is the Departments expectation that you
report for work daily and to be on time.
c.
If you are unable to report for work due to an
illness you must personally notify the
Institution at least two (2) hours prior to
your shift starting. You must also leave a
number where you can be reached once your
watch commander reports for duty. If you are
unable to leave a telephone number, you must
call back within two (2) hours.
018373
d. Non-Custodial Staff that are unable to report to work due to an illness must notify their supervisor no later than 30 minutes after the beginning of their normal work day.
e. Employees may use up to three (3) days of unverified sick leave during a calander year (January - December). Part-time employees are allowed unverified leave hours in proportion to their part-time status.
f. All sick leave used in excess of sick leave
policy must be verified by a doctors excuse and must be turned in to supervisor by the fourth day of absence.
g. All annual leave must be pre-approved by
supervisor.
X 4..
Inclement Weather (Policy 5-36)
a. When weather conditions exist that poses a
threat to normal operations, the warden or
duty officer will provide a recommendation to
the Regional Director or Regional Duty Officer
as to whether the facility should be closed.
(In the Richmond Area, the Governor makes the
decision.)
b.
It is the Departments policy that essential
services are maintained regardless of the
weather conditions.
c.
The employees that provide those essential
services are identified as essential personnel
and must report to work during authorized
closings.
d.
The Warden or Duty Officer will make a
decision for each shift at the Institution.
His/Her decision will determine how long the
authorized closing will last.
e.
Essential Personnel scheduled to work prior to
the closing are expected to report to work.
Failure to report will be dealt with under the
Standards of Conduct.
f.
Essential Personnel working during the closing
will earn compensatory time for the hours
worked.
018374
g. Non-essential employees that are working when a decision is made to declare an authorized
closing due to inclement weather, may leave
and will receive credit for a full work day.
h. Non-essential employees absent due to an
authorized closing for the entire shift, will
be paid for such absence. Provided they
worked the scheduled work day before and after
the closing.
i. Institutional Unit Heads have the option of
declaring a Liberal Leave Day. This leave
policy approves non-essential personnel to use
their leave time but must still call their
supervisor that they will not be reporting.
6..
Employee Appearance (DOP 402)
a..
The appearance of the uniformed officer is an
essential part of his/her position as a
professional. Before we have the opportunity
to verbally present ourselves, we are first
judged by our appearance. An Officer must
take pride in their uniform and wear it in
accordance with policy.
(1)
The uniform should be clean and worn
neat.
(2)
Appropriate uniforms for summer or winter
should be worn in its entirety.
(3)
Personal hygiene and Grooming - hair
should be combed and beard shaved.
(4)
Shoes should be shined and be of military
or police style.
b.
Non-Custodial Employees do not have a specific
dress code within the DOP. Institutions will
sometimes give Department Heads the
responsibility of informing their staff of
acceptable dress. This leaves a lot to the
discretion of the employee.
c.
Appropriate Dress for a visitor entering an
institution.
(1)
No Clothing that exposes breast or
genitals.
(2)
Hems, slits or splits of dress, skirts,
culottes, etc., may not exceed 4" above
the knee.
(3)
Underwear required. Females must wear
bra, panties and slip if dress is worn.
Males must wear underpants or
undershorts.
(4)
No dress or skirt, which requires the
full length of the garment to be
buttoned, snapped or zipped, either in
the front, side or back (to include wrap
around).
(5)
Dress or skirt can only be fastened from
the waist down measuring approximately 6"
in length.
(6)
No halter-tops, tank tops or tube tops.
018875
If a visitor is found in violation of any of
the above dress, they will not be allowed to
enter the institution.
Staff Training
It has proven to be vitally important that all
staff receive training to ensure effective
operation within the institutions.
a.
Security Staff are required to attend 40 hours
of In-Service training, including First Aid,
every two (2) years. They must also qualify
with firearms every year.
b.
Non-custodial employees that supervise or work
in close contact with inmates are required to
attend 20 hours of job related training per
calendar year. They must also attend a
minimum of 24 hours of Institutional
In-Service every two (2) years to include
c.
Non-custodial employees that do not have close
contact with inmates must also attend 20 hours
of job related training each year "unless the
institution requires them to attend
Institutional In-Service".
First Aid.
018876
8..
Correctional Officer supervision of the opposite
sex.
a. It is the Policy of the Department that duty assignments are not made on the basis of sex. However, Officers will be restricted from post assignments where there is an established BFOQ (Bona Fide Occupational Qualification) in accordance with DOC 5-2.
b. Except where there is clear and direct violation of inmate privacy during shower or toilet use, post assignment shall not be made on the basis of sex. (Housing Unit).
c. Correctional Officers may transport inmates of the opposite sex when accompanied by an Officer of the same sex (Transportation).
d. During emergency situations, post assignments shall not be made or restricted on the basis of sex.
9..
Sanitation and Cleanliness
"A clean institution may not be well run, but a
well-run institution is always clean."
a.
Each employee has his/her role to play in
maintaining a high level of cleanliness.
b.
Before assuming post duties you must first
inspect your area for cleanliness.
c.
It is important to demonstrate to the inmates
and fellow employees your sincere desire to
maintain a clean work environment.
d.
The Law requires the DOC to provide inmates
with a clean environment under the eighth
(8th) Amendment. "Cruel and Unusual
Punishment".
018877
10. Why we need policies and Procedures
a.
b.
c.
d.
III. Conclusion:
A: Summary
B: Review
A Knowledgeable employee is an informed
employee that is prepared to make the critical
decisions that he/she is confronted with day
to day.
When employees consistently enforce
institutional rules, we establish a level
control with less resistance.
Employees are protected from Law suits when we
operate within policy.
To protect the rights of Inmates.
018878
PURPOSE:
OBJECTIVES:
HOURS:
INSTRUCTIONAL
METHOD:
CONFLICT MANAGEMENT/CRISIS INTERVENTION
Training Checklist
The participant shall acquire the knowledge, skills
and abilities to recognize potential or actual
crisis situations and to intervene in a manner that
reduces tensions and conflicts.
At the end of this block of instruction, the
participant will be able to achieve the following,
in accordance with the information received during
the instructional period.
Given a scenario depicting a conflict situation
describe the factors that contributed to the
conflict and explain how application of good
conflict management skills could preserve control
in the institution.
Identify verbal and non-verbal communications of
inmates in the scenario that could be used to
prevent the conflict/crisis situation.
Describe actions that would reduce tension and
probability of conflict between correctional
officers and inmates.
After role play depicting a potential inmate crisis
situation, describe appropriate conflict
management/crisis intervention techniques which
would act to defuse the situation.
Identify at least three available resources and
referral services for inmate assistance.
2
Lecture and Demonstration
018879
CONFLICT MANAGEMENT/CRISIS INTERVENTION
Trainer Outline
I..
Introduction
A. Purpose
B. Objective
II.
Body
A.
Definitions and Importance
1.
Conflict - Two or more opposing forces present in an
individual(s)/group(s) life
2.
Conflict Management - The process of aiding
individual(s)/group(s) to use their own
skill in reaching a solution to the
conflict. To deal with a situation
intelligently where both forces are
satisfied.
3.
Crisis -.
Is the crucial and/or decisive turning
point. A crisis is a time when everything is
on the line. The previous means of coping
and managing problems break down in the face
of new challenges or threats.
4. Crisis Intervention - Is the process of improving
a person's emotional state and situation
by involving him/her in the problem
solving process.
A. General Aspects of Conflict
1.
Basic to all human nature
2.
Inevitable in all endeavors involving people
3.
Different views between people
4.
Conflicts can be from mild to severe
5.
Positive when assist in solving the conflict,
negative when there is no positive outcome.
018881
B. Types of Conflict
1.
Intrapersonal -Internal struggle, which may or
not be caused by others, etc., illness
such as cancer or feelings of failure.
2.
Interpersonal -Struggle between individuals.
3.
Intergroup.
-One group or team against another.
C. Factors That Contribute to Conflict
1.
Breakdown in communication.
2.
Difference of opinion
3.
Conflicting interests
4.
Pressure/Stress
5.
Difference in expectations
6.
Personality conflicts (personal chemistry)
7.
Personal problems
NOTE: Relate institutional factors that may contribute to
conflicts. Inmate/Inmate, Staff/Inmate, Inmate/Values
etc.
D. Symptoms of Conflict
1. Individuals
a.
Tension escalates
b.
Fights/Disagreements
c.
Disagreements go unresolved
d.
Blaming of others escalates
e.
Reliance on "grapevine" increases
2. Groups
a.
Formal communication breaks down
b.
Inmate groups avoid each other
018882
c.
Institutional grievances increase
d.
More people are confined to isolation or
or request segregation
E.
Identifying the Conflict/Crisis Behavior Levels
1. Conflict is present when there are two or more
opposing forces in an individuals life, it is
also considered the first disruption of the normal
flow of an individual(s) or group(s) "normal" routine.
Often times this is referred to as the "Hazardous
Event" which begins the stages of conflict up to a
crisis, if not managed properly.
2. Pre-Crisis Indicators are warning signs in the form
of incongruent behavior (not harmonious or not
conforming with what is normal for the individual or
the group).
As a correctional officer, you should be able to pick
up on pre-crisis indicators such as:
a. Anxiety - Uneasiness, an observable and unusual
change in behavior, or increase in activity.
(Example: irrational thinking, talking of suicide,
or begins to use alcohol/drugs)
b. Defensiveness - Less rational thinking. often
accompanied by belligerent behavior (hostile or
combative) or questioning the officer's authority.
NOTE: The officer must take special care in this type
of situation not to cause the situation to
escalate, must take appropriate steps to defuse
the situation at this time.
c. Those inmates in conflict may react in various
ways depending on their past experience and ability
to handle a conflict.
-Take no action at all
-Reality based problem solving techniques
-Depressive behavior (Grief)
-Aggressive behavior (Anger)
-Use of drugs, alcohol, fantasies, abnormal
sleeping and eating habits (Evasive Behavior)
-Carry out a solution (solve, suicide, homicide,
or the appropriate/inappropriate steps to
eliminate the conflict.
018883
d. Recognizing change in the inmate's behavior from
past experiences by using YOUR OBSERVATION SKILLS.
The officer should know the inmate's normal routine
and behavior.
NOTE: Is the inmate normally loud/quiet and suddenly
changes or has there been a change in group
affiliation.
e. Evaluate the inmate(s) behavior, once the officer
recognized any change, they should talk to the
inmate asking questions concerning the change and
then assess what is really going on with the inmate.
NOTE: Refer again to observation skills of questioning and
evaluation.
f. The officer(s) role after recognizing and evaluating
the inmate(s) behavior should then be passed on to
the officer(s) supervisor, QMHP, or the appropriate
personnel and documented in accordance with DOP/IOP.
3. Precipitating Factors can be those factors or
situations that may make the conflict situation
worse. It is defined as the final link in a chain
of stressors that provokes the inmate to "act out".
(Can be referred to as the "straw that broke the
camels back").
NOTE: Give several examples as to what may be
precipitating factors,
-staff responding to the inmate in an inappropriate
manner
-peer pressure
-receiving a charge
-turned down for parole in addition to other conflicts
entering their life.
4. Crisis is the breaking point, the crucial and or
decisive turning point. The crisis is when everything
is on the line. Tension and anxieties have risen to a
peak and their existing coping mechanisms are no
longer effective. Their behavior at this point is
"acting out" ( GOING OFF). Acting out means the inmate
behaves irrationally, losing control of their behavior.
This may be verbal or physical displays of their
emotions at the time of the incident.
There are three variables that determine the outcome
of a crisis:
018884
a.
Severity of the event setting off the crisis
b.
Personal resources that the inmate has learned
to handle conflicts.
c.
Social resources that are available within the
the institution. Those resources available within
most institutions are:
(1)
Psychologists - Refer inmates with obvious or
suspected psychological problems or feelings
of "being out of control"
(2)
Counselor - Refer inmates with institutional
social problems or problems with the "system"
i.e. parole, transfer, jobs, etc.
(3)
Nurse - Refer inmates with medical problems
(4)
Psychiatrist - Referrals usually made through
the medical department. May prescribe drugs.
(5)
Chaplain - Refer inmates with family\social
problems if appropriate.
(6)
Security Personnel - First resource for all of
the inmates problems.
5. Crisis Intervention is the process of improving an
inmate's emotional state and situation by involving
them in the problem solving process. As an officer
you must intervene once the crisis has occurred.
The correctional officer's role is very important in
preventing the crisis from occurring and from the
crisis escalating into a more severe crisis.
F Approaching a Potentially Explosive Crisis Situation
1. Anticipate - Approach calmly, expect the unexpected.
Don't be a "John Wayne".
NOTE: Discuss again the importance of the learned
observation skills to prevent a serious incident.
-Position self
-listen to what is going on
-evaluate the situation
-
question what is happening before responding.
018385
2.
Precautions - Take the necessary steps to insure the
safety of all. Check the situation out before jumping
into the middle of an explosive situation. Call for
back-up and make sure you have the appropriate
back-up or assistance before entering the situation.
3.
Interpret - Look at all of the facts involved in the
situation at hand. What is being said and any nonverbal
communication.
a.
Proxemics of the inmates how close to you or where
the explosive situation is taking place.
b.
Notice the bystanders, they may or may not be apart
of the situation. Ask yourself the following
questions.
-Are the bystanders just observing, are they apart
of the situation by agitating the situation?
-Are they an active part of the situation?
c. Verbal intensity of the inmates, listen for key
words, social or racial slurs, threats and any
other remarks being displayed.
4. Positioning- never place yourself in an unsafe
position. Size up the situation from a safe area or
distance.
Note: Give examples of sizing up the situation
5. Use the officer's mental checklist before entering the
potentially explosive situation:
a.
Visually frisk the inmates for weapons
b.
Visually frisk the surrounding area for any
c.
Availability of back-up and communication
potential weapons.
mechanisms.
d.
Exact location of the problem
e.
Available exits
f.
Any other points that may be appropriate to the
situation.
NOTE: Refer to observation skills.
018886
DOD-042044
G. Staff Response to Behavioral Levels During Crisis
1.
Anxiety - Show support at this point. Show empathy
and understanding towards the inmate. Communicate the
fact that you recognize their level of anxiety and
would like to assist them in alleviating or deal with
the cause of the anxiety.
2.
Defensiveness - When the inmate is belligerent or
defensive the officer must gain control of the
situation as soon as possible. Gain control by giving
explicit directions, take control of the situation and
set limits. Prevent the situation from escalating.
3.
Acting Out - Take the appropriate steps to reduce the
potential for harm to yourself, other staff or inmates
and the individual acting out. This is done until the
individual regains control of their own actions.
NOTE: When an inmate is defensiveness or acting out it
may be necessary to take control of the inmate with the
appropriate physical restraints and the use of back-up
to prevent the situation from escalating.
4. Tension Reduction - Additional support for the
individual and an attempt to affect some positive
change and growth from the situation.
EXAMPLE:
OK, you've made it through the worst part now; how
can we insure that you don't have to go through this
again.
H. Defusing Skills\Verbal Interaction During Crisis
Intervention
1. Defusing skills are used to bring a situation down
to a level where it can be managed.
a. The ultimate goal is to gain control of the
situation as quick as possible. Give the inmate
directions and if necessary use physical control,
when appropriate.
b. Limitations - As an officer, you may be limited
to what you can do because of your rank and due
to the fact that sometimes, the inmates do not
want to solve their problem.
018887
c.
Modeling - Means modeling the behavior that you
want the inmate to follow. EXAMPLE: You do not
use profanity or derogatory marks and will not
except them from the inmate.
d.
Divert - Take the appropriate steps to divert
their actions to another thought or subject, soft
shock. EXAMPLE: Ask them for a cigarette or speak
in a tone that they cannot hear you, which divert
their attention to what you are saying rather than
what they are saying.
2. Verbal Intervention - During a crisis, an inmate may
respond to you or act out in one of the following
ways. When responding to them da it rationally but in
a fair, firm and friendly manner. Inmates may react
in one of the following ways:
NOTE: Use the following examples in a role play
situation, ask the question of an officer and have
them respond as if they were working with an inmate:
a. Rational Question -"Why must I stand for count?"
May be used by the inmate to gain information or
it can be used to test or set up the officer.
Officer should give a rational and accurate
response to a rational question.
EXAMPLE: "Inmates are instructed to stand for
count so we can count you easier and insure us
that everyone is alive and well at the time of the
count. This is done for your protection and well
being"
b. Authority-Challenging Question -"Who gave you the
authority to tell me what to do?"
Officer should state the limits and stick to the
topic at hand. Do not get into a power/authority
struggle, allowing this to happen can cause the
situation to escalate.
EXAMPLE: "You know the DOP\IOP governs all of us
as far as my authority is concerned. I'm sure that
you realize the responsibility that I have in this
situation. Now what is your decision as to what I
have instructed you to do.
018888
c. Passive Resistance -"I'm not going to stand up
right now; you'll have to count me sitting down?"
Officer shall state the limits again and inform
the inmate of the course of action that will be
taken if they fail to follow your directions.
EXAMPLE: "You must stand for count now. If you
are having any problems, I will be willing to
discuss your problem later or after count.
Presently, you must stand for count or receive
an institutional charge."
d. Verbal Acting Out -"You SOB, I won't stand for
Your MF count and you can go to Hell"
The officer must remain calm and not react to
the inmates acting out, pause, letting the inmate
calm down. You need to set limits and give them
specific directions. Do not get in a shouting
match with the inmate.
e. Verbal Intimidation -"If you don't get out of
my face right now, you won't be able to walk
away from here"
As in the previous remark, remain under control
do not let the situation escalate, call for back
up, if possible. The situation will need to be
handled in such a manner that everyone escapes
physical injury.
H. Problem Solving
1 The process of assisting individuals in identifying
what is causing them concern and through questioning
and evaluating, helping them to seek a solution.
2. The steps to problem solving are:
a.
Define the problem
b.
Assist in looking at possible solutions
c.
Select a solution that is agreeable to all
d.
Implement the solution
e.
Evaluate the results
III. Conclusion
018889
CONFLICT MANAGEMENT/CRISIS INTERVENTION
PARTICIPANT OUTLINE
I..
INTRODUCTION
A. Purpose
B. Objective
II.
BODY
A.
Definitions
1.
Conflict
2.
Conflict Management
3.
Crisis
4.
Crisis Intervention
B. General Aspects of Conflict
1.
Basic to all human nature
2.
Inevitable in all endeavors involving people
3.
Different view between people
4.
Conflicts can be from mild to severe
5.
Positive when assist in solving conflict
negative when there is no positive outcome
C. Types of Conflict
1.
Intrapersonal
2.
Interpersonal
3.
Intergroup
D. Factors that Contribute to Conflict
1.
Breakdown in communication
2.
Difference of opinion
3.
Conflicting interest
4.
Pressure/Stress
5.
Difference in expectations
018890
DOD-042048
6.
Personality conflicts
7.
Personal problems
E. Symptom of Conflict
1. Individual
a.
Tension
b.
Fights/Disagreements
c.
Disagreements go unresolved
d.
Blaming others
e.
Use of "grapevine" increases
2. Group
a.
Communication breaks down
b.
Groups avoid each other
c.
Grievances increase
d.
More people confined to special housing
F.
Conflict
1. Definition
G. Conflict Management
1. Definition
H. Pre-Crisis Indicators
1.
Definition - Warning signs in the form of
incongruent behavior (not harmonious or not
conforming with what is normal for the
individual or group.
2.
Anxiety
3.
Defensiveness
4.
Use of observation skills in identification
5.
Evaluate the behavior
6.
Document and pass on any change in behavior
I. Precipitating Factors
018891
1. Definition - Factors or situations that may make
the conflict situation worse. The final link in a
chain of stressors that provokes the inmate to
"act out"
J. Crisis
1.
Definition - Breaking point, the crucial and or
decisive turning point. Everything is on the line.
Tension and anxieties have risen to a peak and
their coping mechanisms are no longer effective.
Behavior is exhibited by "acting out", irrational,
loses control of acceptable behavior
2.
Variables that determine the outcome of a crisis
a.
Severity of the event setting off crisis
b.
Personal resources
c.
Social resources
(1)
Psychologists
(2)
Counselor
(3)
Nurse
(4)
Psychiatrist
(5)
Chaplain
(6)
Security Personnel
K Crisis Intervention
1.
Definition - Process of improving an inmate's
emotional state and situation by involving them
in the problem solving process.
2.
Prevention is the key to prevent a crisis
L. Approaching a Potentially Explosive Crisis Situation
1.
Anticipate
2.
Take precautions
3.
Interpret
a.
Proxemics
b.
Bystanders
018892
c. Verbal intensity
4.
Positioning
5.
Mental checklist
a.
Visually frisk for weapons
b.
Visually frisk for potential weapons
c.
Availability of backup
d.
Exact location of problem
e.
Exits
f.
Any other appropriate information
M.
Staff Response to Behavioral Levels During Crisis
1.
Anxiety
2.
Defensiveness
3.
Acting Out
4.
Tension reduction
N Defusing Skills/Verbal Interaction During Crisis
Intervention
1. Defusing skills
a.
Ultimate goal is to gain control
b.
Limitations
c.
Modeling
d.
Divert
2. Verbal Intervention
a.
Rational question
b.
Authority-Challenging
c.
Passive Resistance
d.
Verbal Acting Out
e.
Verbal intimidation
III. Conclusion
018893
Purpose:
Objective:
Time:
Materials
Instructional
Method:
References:
Prepared by:
Use of Physical Force
The correctional officer must have a working knowledge in
controlling inmates and ensure a safe institution while staying
within the legal bounds of the proper use of force.
At the conclusion of this block of instructions the
participants will be able to acheive the following;
1.
On a written test identify the constitutional law that
protects the inmate from excessive force.
2.
On a written test list the two criteria to determine
the proper use of force.
3.
On a written test list five times a correctional officer
is authorized to use force.
4.
In a classroom discussion identify situations to determine
the level of force that is authorized.
5.
During a classroom discussion identify equipment authorized
by the department.
6.
During classroom discussions explain the importance of
medical follow-up and proper documentation after force
have been used.
Two (2) hours
Paper, pencil, training aids
Lecture, Discussion
DOP 431 February 10, 1995, 432, May 15, 1995
433 May 1, 1995, 434 May 1, 1995
Date:.October 1995
Revised by: August, 1996
Revised by: January, 1998
Reviewed by: Will illI I January, 1999
018894
Use of Physical Force
Instructor Outline
I..
Introduction
A. Purpose: (See academic checklist)
B. Objectives: (See academic checklist)
II..
Body
The department of corrections is frequently challenged in the courts
concerning issues where physical force is used. The department of
corrections must, constantly be aware of the legal ramifications
surrounding the use of physical force.
A. The law as it pretains to the use of force
1. The eighth amendment of the United States Constitution
protects inmates from cruel and unusual punishment.
Excessive force on inmates is considered cruel and unusual
punishment. The courts review cases filed against the
department to determine if the constitutional rights of
the inmate have been violated.
B. The Department of Corrections (DOC) definition for the proper
use of force
The DOC authorizes the proper use of force using the following
criteria;
1.
Necessary- There must be a need for force to be used.
2.
Reasonable- as determined by a prudent officer of reasonable
judgement facing the same circumstances. The force used must
3.
be the least amount.
Control/Restrain- the goal is to gain control of a situation.
C. DOC authorization for the use of force DOP 431
1. Self Defense- determined by four elements
a)
Ability - Does the violator possess the ability to cause
death or serious injury?
b)
Opportunity - Does the violator have the opportunity to
cause death or serious injury?
018895
c) Imminent jeopardy - What level of threat has the violator
placed you under?
d) Preclusion - Have you reasonably exhausted all avenues of
retreat or escape?
Note: Call for assistance or report your situation at the earliest moment.
It is important to get assistance to your area as soon as possible.
2. The Defense of Others
a) If another person is in imminent danger of serious harm.
b) Protecting others includes staff, visitors and inmates.
Note: When responding to the assistance of others be careful to take in the
whole picture. Notice how many involve, if there are weapons, hostages,
or injuries. Some situations will consist of very difficult
circumstances. There are times when it will be hard for an officer to
stand firm, but it may be necessary to hang tough in order to save
life or prevent serious injury.
It is important to call for assistance and get more officers to assist
with difficult situations.
3. Prevent Escape
a) If an inmate make an attempt to bolt from custody while
outside the security compound the officer have a duty to
protect society and prevent the escape.
b)
When inmates make an attempt to penetrate the outer security
perimeter from the inside the officer is authorize to use
force to prevent the escape.
Note:.
In most cases of attempts to escape, the level of force that wil]
be use would be firearms. And must be used only to stop the
inmate when lesser means do not reasonably appear sufficient.
4. Protection of property
a) When property is being
destroyed, force may be used to
prevent further destruc tion.
b) The force used must be
reasonable in relationship to the
need to protect property.
5. Enforce rules and regulations, policies, and procedures
a) Physical force should be used as a last resort or when other
alternatives have failed or appear unsuitable.
Note: (Instructor may give examples)
018896
C. Group Disturbance
In order bring a group disturbance under control and prevent bodily
injury to staff and inmates the following procedures are to be
implemented where deemed feasible;
1.
The warden/superintendant's designee may attempt to reason with
the disorderly group. Should the attempt at reasoning fail the
designee shall evaluate the situation and report to the warden/
supt. or person in charge.
2.
Attempt should be made to determine if anyone is being held
hostage. If so emergency response plan 422 should be consulted
and reviewed and appropriate actions taken.
3.
A show of force may be made if feasible. (Give examples)
4.
Patrol canines may be requested for use in bringing the
disturbance under control.
5.
Chemical agents may be used where feasible and in accordance
to procedures outlined in DOP 433.
D. Controlling individual inmate
1.
The officer in charge or other appropriate staff member may
attempt to reason with the disruptive inmate and assess the
situation.
2.
If feasible, other staff may be called to attempt to reason with
the inmate. Other appropriate staff may include, but not limitee
to medical staff, mental health staff or counselor.
3.
Chemical agents may be used. If possible the medical department
should be consulted to determine if there are medical restrictior
that may prohibit the use of chemical agents.
4.
A show of force may be made and may include canines.
5.
A sufficient number of security staff with necessary equipment
should be employed to subdue and restrain the inmate.
E. Authorized equipment
The department realizes that maintaining custody, control and securit
of inmates athe appropriate use of force when necessary are essentia]
to the operation of a correctional institution. The Department have
approved a lis of security equipment that may be used by properly
trained security staff.
018897
1.
Defense Technology Corp. of America
a) stinger grenades (#15 rubber pellet)
b) stinger cartridges (27A, 27B rubber pellets)
c) 12 guage projectile (#23RP, rubber pellets)
d) distraction devices (#7000 flash & bang reusable)
e) aerosol spray OC (pepper spray)
2.
Stun Tech inc.
a) electronic immoblilzation shield
b) electronic security transport belt
c) electronic hand held stun devices
3.
Tasertron
a) taser (model #TE-86 with AC-10 probe pack)
4.
Ammunition
a) #8 bird shot (skip shooting)
b) #4 buck shot
c) 223 cal. bullets
d) 38 cal. bullets
5.
Lamb Baton
6.
Firearms
a) smith and wesson model 64 38 cal. pistol
b) remmington 12 ga. pump action shot gun
c) colt AR-15 rifle
d) 37 mm gas gun
F. Staff's responsibility
1.
Staff must be constantly alert to situations where the use of
force may be necessary.
2.
Staff must report or summons for assistance as soon as such
situations are recognized.
3.
Remain calm and react quickly to prevent escalation.
4.
In all cases where force of any kind has been used medical
examination and treatment must be given as soon as practical.
5.
Any use of force resulting in injury to staff or inmate that
requires medical treatment should be reported to the Internal
Affairs Unit.
6.
Whenever physical force is used or when an inmate alleges force
has been used, the warden/superintendant is responsible for
reporting same as per Division Operating Procedure 421 and
initiating an immediate institutional investigation into the
circumstances of the use of force.
018898
Conclusion
A. Summary - The type of force used is decided by the situation. When
force is used the force must be comparable to the level of
the threat. Physical force will be used to control and
maintain security and must never be used to punish inmates.
The department will continue to defend its actions in court
each staff member must continue to follow the procedures
that have been established to protect them when they are
faced with a situation requiring the use of force.
B. Questions
018899
Use of Physical Force
Student Outline
I..
Introduction
A. Purpose: (See academic checklist)
B. Objectives: (See academic checklist)
II..
Body
A. The law as it pertains to the use of force
B. The Department of Corrections definition for the proper use of force.
1.
Necessary
2.
Reasonable
3.
Control/Restrain
C. The department of Corrections authorization for the use of force.
1.
Self defense
2.
Defense of others
3.
Prevent escape
4.
Protection of state property
5.
Enforce rules and regulations, policies and procedures
D. Group disturbance
E. Controlling individual inmate
F. Authorized equipment
G. Staff's responsibility
III. Conclusion
A. Summary
B. Questions
018900
BUCKINGHAM CORRECTIONAL CENTER
2002 IN-SERVICE AGENDA
CLASS #:
DAY I. INSTRUCTOR SIGNATURE:
8:00-8:30. INTRODUCTION
PRE TEST
8:30-10:30. IOP/DOP
10:30-12:00.SEXUAL HARASSMENT 12:00-12:30.LUNCH 12:30-2:00.BLOODBORNE PATH./ SAFETY
2:00-4:30.GAMES INMATES PLAY
DAY II
8:00-12:00.CPR 12:00-12:30.LUNCH 12:30-4:30.t-1RST AID
DAY III
8:00-10:00.
CULTURAL DIVERSITY 10:00-12:00.
IMPROVING YOUR OBSERVATION
AND COMMUNICATION SKILLS . 12:00-12:30.LUNCH 12:30-4:30.CONFLICT
MANAGEMENT
DAY IV
8:00-12:00.EMERGENCY PROCEDURES 12:00-12:30.LUNCH
12:304:30.MENTAL HEALTH
DAY V
8:00-12:00.GENERAL INMATE /
SECURITY SUPERVISION 12:00-12:30.LUNCH 12:30-3:30.DEFENSIVE TACTICS
3:30-4:30.POST TEST
018901
BUCKINGHAIVI/DlLLWYN CORRECTIONAL CENTER
ER
INSERVICE
SEXUAL/WORKPLACE HARASSMENT
TRAINING CHECKLIST
PURPOSE: The purpose of this training is to make employees aware that harassment of a sexual nature is unacceptable in the work place. The desired result of this training is that employees forewarned will strive to maintain an environment that is conducive to the performance of job duties and free from intimidation or coercion in
any form.
OBJECTIVES:.At the end of this block of instruction the participant will be able to achieve the following in accordance with the information presented.
On a written evaluation, differentiate sexual harassment and
workplace harassment
On a written evaluation differentiate between hostile environment and quid pro quo.
On a written evaluation list some available avenues of complaints when faced with sexual or workplace harassment.
Through classroom discussion and trainer demonstration, identify and discuss the alternatives a target may choose in response to an offender's behavior.
HOURS:.1.5
INSTRUCTIONAL METHOD:.Lecture, Discussion
MATERIALS REQUIRED:.
Participant Outline, Flip Chart, Transparencies, Overhead Projector and Markers
.
APPROVED BY:
($),, -3
018902
DOD-042060
DAIL:
UPDATED BY: DATE:
REVISED BY: DATE:
REVIEWED BY May 1997
fill¦wil
January 1998
111111111111111111. November 1999
DATE.November UPDATED BY:
IIIIIIIPPINIF
(6)6)--3
018903
DOD-042061
BUCKINGHAM/DILLWYN CORRECTIONAL CENTER
INSERVICE
SEXUAL/WORKPLACE HARASSMENT
PARTICIPANT OUTLINE
I.
.Introduction
A.
Purpose
B.
Objectives
II..Body
A..
This training is designed to protect employees, both male and female
against unsolicited and unwelcome overtures of conduct. The Department
prohibits employee misconduct that may upset morale or interfere with an
employee's job performance. Employee misconduct of a sexual or
harassing nature is a violation of the Equal Employment Opportunity Law.
1..Definition of workplace harassment
2..
Definition of sexual harassment
3..Effects of harassment
4..Range of Behaviors
5.
.Two categories of sexual harassment
a.
Hostile environment
b.
Quid Pro Quo
6..
Six levels of sexual harassment
a. Level 1 — Aesthetic Appreciation
b. Level 2 - Active Mental Groping
c. Level 3 — Social Touching
d. Level 4 — Offensive Touching
018904
DOD-042062
e.
Level 5 — Sexual Abuse
f.
Level 6 — Ultimate Threat
B..Harassment Procedures
C..Avenues of Complaint
1.
informal response
2.
Reporting incident to a supervisor
3.
Grievance procedure for state employees
4.
Department's Employee Relations Unit Equal Opportunity Mgr.
5.
Internal Affairs Unit
6.
Office of Equal Employment Services of the Dept. of Personneland Training
7.
United States EEOC (Federal Level)
8.
Civil Suit
9.
Criminal Charges
D.
.Supervisors Responsibility HI..Conclusion
A.
Summary
B.
Questions
018905
BUCK1NGHAM/DELLWYN CORRECTIONAL CENTER
INSERVICE
SEXUAL & WORKPLACE HARASSMENT
TRAINER OUTLINE
I.
.Introduction
A.
Purpose
B.
Objectives
II..Body
A..
This training is designed to protect employees, both male and female
against unsolicited and unwelcome overtures or conduct. The department
prohibits employee misconduct that may upset morale or interfere with an
employees job performance. Employee misconduct of a sexual or
harassing nature is a violation of the Equal Employment Opportunity Law.
1..Workplace Harassment-Any unwelcome verbal, written or physical conduct that either denigrates (belittles), shows hostility or aversion (extreme dislike) towards a person on the basis of race,
color, national origin, age, sex, religion, disability, marital status or pregnancy.
a.
When such conduct has the purpose or effect of creating an intimidating, hostile or offensive work environment.
b.
When such conduct has the purpose or effect of unreasonably interfering with an employee's work performance;
c. When such conduct affects an employee's employment opportunities or compensations.
2..Sexual Harassment-Any unwanted or non-welcomed advance of a sexual nature whether it is verbal, nonverbal, or physical that a person should not have to endure.
a..
Behavior that constitutes sexual harassment, as currently defined in guidelines published by the U. S. Equal Employment Opportunity Commission, includes sexual
018906
advances, requests for sexual favors and other verbal or
physical conduct of a sexual nature when:
b.
Submission to such conduct is made explicitly or implicitly a term or condition of an individual's employment
c. Submission to or rejection of such conduct by an individual
is used as a basis for employment decisions affecting that individual.
3.
.Effects of harassment
a.
Understand that it is not the intent of the offender that will be taken into consideration when a complaint is filed. It is the effect of their (offender's) behavior on the 'target' that
will be taken into consideration.
NOTE:Ask participants: What is "offensive" behavior?
b.
We need to understand that the definition of offensive varies from person to person. It is the recipient who determines if behavior is appropriate.
c. Third parties-individuals who are not state employees, but
who have business interactions with state employees. Such
individuals include, but are not limited to:
•
customers
•
applicants for state employment or services
•
vendors
•
contractors, or
•
volunteers
4.
.Range Behaviors
a.
Workplace and Sexual harassment covers a wide range of
behavior, all of which are illegal.
b.
Behaviors which constitutes harassment falls into three main groups:
Note (Have class generate examples for each group).
1) Verbal
2) Nonverbal
018907
DOD-042065
3) Physical
c..
These are behaviors which depending on the total
circumstances may constitute a form of harassment.
5..Two Categories of Sexual Harassment
a..
Hostile Environment-a form of sexual harassment when
victim is subjected to unwelcome, severe or pervasive
repeated comments, innuendoes, touching, or other conduct
of a sexual nature which creates an intimidating or
offensive place for employees to work an the employee's
reasonable comfort level or ability to perform is seriously
affected.
1) Some typical situations which may fall under hostile environment would include: lewd jokes or comments, displays or sexually suggestive material, repeated requests for sexual or dating relationship.
2) Offenders may be supervisors, subordinates, coworkers or non-employees
3) Pattern of behavior-with a hostile environment claim the offensive conduct is continuous, frequent, repetitive and part of an overall pattern, rather than one event or even several isolated incidents.
b..Quid Pro Ouo -(this for that) a form of sexual harassment when a manager/supervisor or a person of authority gives or withholds a work-related benefit in exchange for sexual
favors.
In order to successfully claim quid pro quo harassment, the charging party must be able to show money damages (i.e., lost promotion, missed raises,
discharge).
2).Single incident liability-with quid pro quo harassment, once is enough if the incident is sufficiently severe and pervasive to alter the conditions of employment. This is known as single
incident liability.
018908
DOD-042066
6.
.Six Levels of Sexual Harassment
a.
Aesthetic Appreciation
This is the most "innocent" of all harassment. The comments express a non-aggressive appreciation of physical or sexual features. Regardless of how harmless these appreciative comments seem, they are put-downs that lower the group stature of the target. Comments on physical or sexual attributes direct conversation away from the business at hand into personal areas.
b. Active Mental Groping
This is a more aggressive level of borderline sexual
harassment. Continual staring (regardless of where on the
body), passing by the workspace frequently and constant
eye contact, direct verbal harassment, indirect verbal
harassment which consists of comments to others within
earshot of the target.
c. Social Touching
This is the first of borderline sexual harassment levels that involves physical contact. There is a tangible difference between the friendly hand on the shoulder and the light, caressing hand laid gently on the same spot. The target is left to complain about behavior that seems totally innocent when recounted to a third party. The offender continues to act totally innocent, making the target appear overly sensitive and foolish.
d. Offensive Touching
This is the last level of borderline sexual harassment.
Clothing provides a frequent opportunity for borderline
touching. If a blouse or shirt button is undone, the person
will button it for the target rather than tell him/her about it.
Unlike Social Touching, Offensive Touching shows
obvious intent by the offender to push the limits of
acceptable behavior.
018909
e. Sexual Abuse
This is the first level of outright, socially unacceptable behavior — actions that are completely outside the bounds of decent personal interaction. The entire range of hugging, grabbing, kissing or directly touching unacceptable zones is included. Direct verbal abuse and propositions fit in this category. Unwanted physical contact is literally forced on the target. Often there are no witnesses to the unwelcome physical or verbal actions.
f. Ultimate Threat
The Ultimate Threat refers to the dilemma of the target: "Put out" or suffer harm — physical injury or career and fmancial losses. This is no bluff. "Do it or else" is the threatened alternative.
NOTE: Yardstick for Evaluating Inappropriate Behavior
(Handout)
B..Harassment Procedures
1.
Employees who engage in such conduct or encourage such
behavior by others shall be subject to corrective action.
2.
Anyone who allows sexual harassment to continue or fail to take
appropriate corrective action shall be considered party to the act.
3.
Employees are encouraged to report incidents involving sexual
harassment.
4.
Managers and supervisors have a duty to investigate and take
immediate, appropriate corrective action.
C..Avenues of Complaint
The purpose of this is not to recommend a single method for best handling
harassment incidents. There are no such methods or techniques. We will
be talking about a wide range of response alternatives which may or may
not work for you. We will not be advising you on which alternative will
work best for you in any specific incident or situation.
1..Informal Response
018910
DOD-042068
•
The target specifically describes the offending behavior andtells the offender that he/she wants the behavior to stop. It becomes clear to the offender what will be acceptable behaviorin the future.
• Keep it brief and to the point.
•
Do not smile or give any non-verbal signals that may send
mixed messages to the offender.
•
Do not use humor or jokes to make the point.
•
Use simple, direct sentences.
•
Do not use excuses or apologize when confronting the
offender.
NOTE: There is much disagreement regarding handling sexual
harassment situations informally. The Department's view of this
debate is "Do what is comfortable for you."
NOTE: Offender Defense
The target response gives the offender a chance to defend the
actions found offensive. There may be a reason or alternative
meaning not apparent until explained by the accused offender.
2. Reporting to a Supervisor or Other Management Personnel
You are encouraged to report incidents involving sexual
harassment to your supervisor, unit head or other management
personnel that you feel most comfortable in contacting. In no
instance will you be required or forced to report the problem to the
alleged offender.
3. Grievance Procedure for State Employees
The most recent procedure states that in cases of discrimination, to
include sexual harassment, the grievant has the option of taking the
complaint to the second management step rather than the
immediate supervisor.
The time frames for using this procedure are within 30 calendar
days from the last occurrence or incident.
4.
The Department's Employee Relations Unit's Equal Opportunity
Manager (Department Level)
This individual handles claims of sexual harassment and other
discrimination complaints. Complaints must be filed within 180
018911
DOD-042069
calendar days. You may reach this office by phone at (804) 674
3429.
5.
Department's Internal Affairs Unit (804) 674-3023
6.
Office of Equal Employment Services of the Department of
Personnel and Training (State Level)
In order to file a complaint with this office, you must do it in writing on a form known as the "Discrimination Complaint Form." This form must be filled out and filed within 180 calendar days of the alleged act of discrimination. Forms may be obtained by calling (804)225-2136 or your Human Resource Officer at your
institution.
7.
United States Equal Employment Opportunity Commission
(Federal Level)
A complaint must be filed within 180 calendar days. The quickest way to file a complaint is to do it in person. There is a Richmond office located at 3600 West Broad Street. Phone 1-800-669-4000
8. Civil Suit
In Virginia, there is a two year statute of limitations.
9. Criminal Charges
A target may file criminal charges against the alleged offender. The types of charges most commonly filed in relation to sexual harassment are assault and battery or rape.
a) Misdemeanor —1 year
b) Felony — no statute of limitations
D..Supervisor's Responsibilities
1.
Set a Good Example
2.
Don't Tolerate Sexual Harassment
3.
Watch for Warning Signs
4.
Communicate Policy
018912
DOD-042070
5.
Investigate Complaints
6.
Ensure Confidentiality when Complaints are Reported
7.
Report Complaints to Warden/Superintendent
8.
Document All Information Gathered
III.
.Conclusion
A.
Questions
B.
Summary
018913
YARDSTICK FOR EVALUATING
INAPPROPRIATE BEHAVIOR
•
Would you make the same comment or take the same action where your spouse or significant other was present?
•
Would you like your comments or actions reported in the newspaper?
•
Would you walk up to a member of either sex and say or demonstrate the same behavior in the same way?
•
Did you NEED to say what you said or do what you did?
•
What does what you have said or done do to further the organization in its goals?
018914
APPENDIX B:
SELF-ASSESSMENT — HOW MUCH DO I KNOW ABOUT SEXUAL
HARASSMENT?
Check you knowledge of sexual harassment by answering the following questions.
1.
.Which of the following may be sexual harassment?
a.
Teasing on the job
b.
Circulating dirty pictures
c.
Requests for sexual favors
d.
Vulgar language
2.
.Sexual harassment is a form of discrimination that relates to Title VII of the Civil Rights Act of 1964 and subsequent amendments.
a.
True
b.
False
3.
.Who may be liable in a sexual harassment case?
a.
Organization
b.
Supervisor
c.
Employees
4.
.Women who remain in a job where they are sexually harassed enjoy it or in some way like it or they would leave.
a.
True
b.
False
5.
.Physical contact must be involved to prove sexual harassment.
a.
True
b.
False
6.
.Telling dirty jokes is not sexual harassment as long as everyone laughs.
a.
True
b.
False
7.Using bad language is not sexual harassment.
a.
True
b.
False
018915
DOD-042073
8.
.If an agency has a written policy prohibiting sexual harassment, which is distributed to all of its employees, it cannot be held liable for sexual harassment actions by its employees.
a.
True
b.
False
9.
.If you are a victim of sexual harassment, you should not report it, but wait and see if the harasser continues to harass you.
a.
True
b.
False
10..Decide whether each of these examples would be sexual harassment, and circle yes or no after each item.
a. Bill accidentally bumps into Jane as he turns to leave the copy machine. He apologizes. Yes/No
b. John pins up a photo of a bikini-clad model from Sports Illustrated on the lunchroom bulletin board. Mary is not offended by the photo and retaliates by pinning up a photo of her favorite actor in shorts next to the other photo. Yes/No
c. Jim supervises Cathy. He asks her out several times, but she refuses. She is transferred to another department at the same pay level. Yes/No
018916
BUCITGEFAM / DILLWYN CORRECTIONAL CENTERS
PURPOSE:
OBJECTIVES:
HOURS:
INSTRUCTIONAL METHOD: MATERIALS
REQUIRED: REFERENCES:
IN-SERVICE TRAINING
GAMES INMATES PLAY
TRAINER CHECKLIST
To increase staff awareness of the manipulative games inmates play and their consequences while providing strategies to prevent victimization,
The participant will be able to:
1.
Define professionalism and list characteristics of
professional behavior.
2.
Recognize inmate techniques used in manipulative/set-ups.
3.
Recognize the consequences of inappropriate involvement with inmates.
4.
Identify the techniques to prevent a Set-up.
5.
Demonstrate awareness of one's own personality strengths and weaknesses that could lead to or prevent manipulation.
2.5
Lecture, discussion, small/large group interaction/role play
Flip charts, handouts, VHS and markers Allen, Bud and Bosta, Diane. Samenow, Stanton E. Ph.D. Inside the Criminal Mind Virginia Department of Corrections Procedure 5-22; 12As§ of
Probationers, or Parolees
018917
PREPARED BY:
Curriculum Committee-7 hours DATE: (January 1996)
REVISED BY: 111111111.1(CIRC/BKCC)DATE: November 2001
) -3
REVIEWED BY: (C1RC/BKCC)DATE: November 2002
018918
BUCKINGHAiM / D1LLWYN CORRECTIONAL CENTERS
IN-SERVICE TRAINING
GAMES INMATES PLAY
PARTICIPANT OUTLINE
I..Introduction
A..Review of Purpose
B..Review of Objectives
C..Opening
D..Professionalism
E..Susceptibility Traits
1..Prevention of a set-up
F..Steps/Techniques of a set-up
1. The observation step
2. Selection of a victim
3. Test of limits and or fish testing
4. Use employees' own feelings/concerns
G..
Identification of techniques to prevent a set-up
H..
Demonstrate awareness of one's own personality strengths and weaknesses
Conclusion
018919
GAMES INMATES PLAY
Trainer Outline
I. Introduction
A. Review of Purpose (Trainer Checklist)
B. Review of Objectives (Trainer Checklist)
C. Opening
1. Due to successful manipulation by inmates, corrections employees may be rendered ineffective in their work. Manipulation may cause stress, poor work performance and burnout. Employees who do not laiow how the criminal mind thinks can't formulate effective
policies, decisions and programs.
2.
The first step in avoiding manipulation is to understand the personality traits of the criminal personality, the manipulation process and the games inmates play. The inmate game can be mastered if you understand the rules. But first, you must be in
touch with SELF.
D. Professionalism:
1. INDIVIDUAL ACTIVITY: Have each participant write their own definition. Select a few participants to stand and read his/her
definition.
Definition: Professionalism refers to communicating and acting in a manner that distinguished a person of skill and knowledge
from an amateur. (Allen & Bosta)
Professionalism requires daily maximum performance, making an effort to know and understand procedures, always being prepared and alert and NEVER assuming you know it all.
2.
Characteristics and traits of the professional. SMALL GROUP
ACTIVITY: Ask each group member to contribute at least one
characteristic of a professional and explain why that trait is
important and how it contributes to professional behavior.
618920
DOD-042078
List may include:
a.
Believes in self. Exudes self-confidence without
brusqueness or conceit.
b.
Reliable and emotionally stable/able to accept
responsibility and take independent action.
c.
Controls their situation.
d.
Adheres to rules in a constructive and creative manner.
e.
Not anxious to impress or cherish inflated ideas of self importance
f.
Displays good manners and speech.
g.
Not selfish and touchy
h.
Searches for truth/DOESN'T spread rumors or gossip.
i.
Neat in appearance - friendly, but not overly familiar.
j.
Analyzes their own speech and actions as well as the speech and actions of others.
k. Humble, sympathetic and understanding without divulging their own personal affairs or problemS.
1. Not distracted or given to favoritism.
m.
Adapts to change, maintain enthusiasm, dispels prejudice and shows allegiance to their employers:
n.
Alert, quick to respond, able to make fair and accurate decisions. Concerned with welfare of staff and inmates.
o.
Good sense of humor and able to laugh at themselves but also admit that they are human and make mistakes.
p.
Able to perform at leas one miracle per week and properly document.
018921
E. Susceptibility Traits
INDIVIDUAL ACTIVITY: Pass out the self-test handout "Susceptibility Traits." Complete to evaluate own personality traits.(NOTE): May suggest the test should be taken each year, as life situations and work dynamics occur that may create differences in
the way you handle events.
1. Prevention of a set-up happens when a person learns:
q. To isolate and change personality traits which convey
a
message of susceptibility to manipulation.
b. To analyze words and actions in advance of their usage to avoid all possible misinterpretation.
GROUP ACTIVITY/D/SCUSSION: Distribute (display on overhead)
and discuss the "11 Steps to Coercion" handout. (This item is confiscated
contraband which was being circulated at an unnamed correctional
facility). Item(s) for discussion:
*
Name some of the reasons you think staff fall victim to games.
*
Why do inmates play games?
*
How do inmates select their prey?
F.
Steps/Techniques of a set-up:
L The Observation step —
ody Language
Movements
Nervousness/ease
Manner of dress
Personal hygiene
Listening
Places of gathered information Dining hall Phones/radios
Hallway/tier
Boulevard
4
018922
e you:
[11 eqQ1u.v Defriencied?
n17
,.). Li -.eny'.ll-if.,...r.,di--,r :dyerv,7 ,-fa mi L:...._ _w_
..-
e.nui e? naive.intentions.n1..,-.Id,---r) m ,-qsag,,s? zii/ilnie to storlesr
(11.susceptible to the 7-7-ou/me syTari7n1-11? so sympathetic to of
R
.problems tha÷ r-nies
seem secondary?
usually Hmid?
Do you:
El not !mow how to handle corrrliim.-:_ats11.,-.1 a
business-like manner?
iii share personal problems?
7 have a trusting nature?
t__
7 believe what you are told without ch.ecidrig on
the validity of the information?
__] have a desire to heir) the underdog?
L j return favor for favor?
n have difficulty taidng command or cont37-ol?
i..-
Li iznore slightly personal or embarrassing
remarks and forget instead of directly ,_,_,,,,-,., _..
Immediatelv address:mg them?
Ei ,--/ave cimicu_tv saying. NO?
j
i clEctianiverl-lor rules r
it rrin
ynu:
e made tn feel Obii23i-ed?
be .=c-it- zr, look fbr- othPr way =2
-Tlci ;pretend not
•
71.ntir' he. berg violated is "no mag
10
01 nn 9-'.1
BUCKINGHAM CORRECTIONAL CENTER
IN-SERVICE TRAINING
CULTURAL DIVERSITY AND THE INMATE POPULATION
(SOCIAL/CULTURAL. LIFESTYLES)
Academic Checklist
PURPOSE: To enlighten correctional staff on the various cultures of inmates
incarcerated in the correctional facility and the importance of respecting
individuals and their beliefs.
OBJECTIVES:.
Participants will be able to accomplish the following in accordance with training and information received during this course of instruction.
On a written evaluation, identify which amendment affords
inmates their freedom of religion.
Through class discussion, be able to recognize two religious
practices allowed inmates in the correctional setting.
List three reasons why correctional centers do not allow inmates to practice all aspects of the different religious beliefs.
Define the word gang and give three reasons why people join
gangs.
On a written evaluation describe ways in which gang members
differentiate themselves from other gang members.
On a written evaluation list two ways staff can avoid
discrimination.
HOURS: 2.5
INSTRUCTIONAL METHOD: Lecture/ Class discussion
MATERIAL REQUIRED:
Pen/Pencil, Paper, Chalk/Dry Erase Board,
Television, VHS/VCR
REFERENCES: Religious Education Curriculum Guide, COMPARATIVE
RELIGIONS volume one; Learning About Your Faith and theFaith of Others.
018924
Virginia Gang Investigators Association, P.O. Box 1573, Norfolk,
VA 23501.
Second College Edition, The American Heritage Dictionary;
Houghton Mifflin Company, Boston copyright 1982, 1985.
"Understanding other Cultures" Religious Programs-Oklahoma
DOC
PREPARED BY: July 1995
REVISED BY: 1.11111111111111111111. October 2001
REVIEWED BY: IMMUNE November 2002
018925
BUCKINGHAM / DELLWYN CORRECTION-AL CENTERS
IN-SERVICE TRAINING
CULTURAL DIVERSITY AND TIIE LNMATE POPULATION
(SOCIAL/CULTURAL LIFESTYLES)
Participant Outline
I.
.Introduction
A.
Purpose
B.
Objectives
11..Body
A..
The cultures and social lifestyles of inmates incarcerated in correctional centers consist of a diverse population of race, religion, languages,ideologies, and political loyalties.
B..Prison Community
1..
The prison community contains many races of people.
a. Native American (American Indians)
b. European American (White Americans)
c. African American (Black Americans)
d. Asians
e. Hispanics
C..
Religious practices of some cultures in our prison population
1.
.Native American
a.
Worships
b.
Beliefs
c.
Rituals
018926
2..Jews and Judaism
a. Worships
b. Who is considered Jewish
c. Categories of Jewish identification
d. Ceremonies / Practices
3..Islam (Muslim)
a. Beliefs
b. Imam
c. Holy Book
d. Prohibitions of the Muslim diet
e. Requirements for obtaining meat
f. Ceremonies / Worship
4..Christian / Christianity
a. Theology
b. Holy book
c. Holy days
D..Freedom of religion
1. Limitations of religious practices
2. Process of determining religious practice
3. Allowance of religious head dress
Religious beliefs as opposed to gang rhetoric
1. Definition of the word "gang"
2. Factors influencing the birth and growth of gangs
018927
DOD-042085
3.
Ways gangs and their members identify themselves
F.
Recognizing our differences
G. Discrimination
1.
Discrimination and the DOC
2.
Ways to avoid prejudice and discrimination
I..Conclusion
018928
DOD-042086
BUCKINGHAM / DILLWYN CORRECTIONAL CENTER IN-SERVICE TRAINING
CULTURAL DIVERSITY AND IRE INMATE POPULATION (SOCIAL/CULTURAL LIFESTYLES)
INSTRUCTOR OUTLINE
I.
.INTRODUCTION
A.
PURPOSE: (SEE ACADEMIC CHECKLIST)
B. OBJECTIVES.(SEE ACADEMIC CHECKLIST)
II.
BODY
A.
The cultures and social lifestyles of inmates incarcerated in Correctional Centers consists of a diverse population of race, religion, languages, ideologies, and political loyalties. As Correctional staff, we work in a multicultural environment in which almost any specific act that may be considered right and/or appropriate in one society may be considered wrong in another society. It is imperative that we as employees understand these cultural and social diversities within our institution. It is then that we can acquire understanding needed to aid and improve our interpersonal relationships and respect the differences of those people we
interact with daily.
Class Discussion: "What it feels like to be dfferent".
Discuss how it feels to visit a different country or be in a society where
you are viewed as a minority.
B.
Prison Community-A prison is a community within a community.
1..
This community consists of many races of people
Class Activity: Have students generate a list of some of the different races amongst the inmate population.
a. Native American (American Indians)
b. European American (White Americans)
c. African American (Black Americans)
d. Asian
e. Hispanic
018929
DOD-042087
C..
Religious practices of some cultures in our population
1..
Native Americans-there is no single Native American Indian religion due to the many Nations, Tribes and Communities which have unique tribal religions. There is however common elements
of spirituality shared among_ Native people.
a.
"The Supreme Creator" is worshiped-this creator was manifested in and through the natural world. Everything in nature comes from the Supreme Creator.
b.
They view themselves as part of nature. Things in nature are related to one another.
c.
There are no "masters" or "owners" of the earth
d.
All land, produce, plants, and animals are referred to as "brothers" and "sisters".
e. Rituals are an important part of Native American history. In absence of written language, Native American history and values are passed down by tribal rituals.
. Purification-may be done by smoking or smudging with sacred herbs or sage
•
Offerings-offerings of food and herbs
•
Ceremonials-dancing and feasting held in local sacred places are common to nearly all Native rites. Music and singing are integral parts of spirituality, focused on the heartbeat of the
DRUM.
2..
Jews and Judaism-Judaism is the religion practiced by Jews pastand present.
a. Underlying premise of Judaism belief-"There exists One,
Indivisible God by whose will the universe and all that is in it was created.
b. Who is considered Jewish:
. Someone of ethnic affinity or "belonging to a people". (Parentage)
018930
• Someone belonging to that religion.
c..
Three basic categories of Jewish religious identifications
-1."Orthodox" identification-The traditionalist approach based upon the divine origin of the Torah (the body of Jewish literature and oral tradition containing laws, teachings, and divine knowledge of the religion).
-2.
"Conservative" identification-This approach views the basic Jewish theological and ritual concepts as objects of continuing and evolving change.
-3.
"Reform" identification-Views Judaism as a historical religious experience rather than as a divine revelation
d..Ceremonies/Practices
-1.
Diet- Jewish ceremonies may require specialdiet (Kosher Diet)
Prohibits the eating of milk products and meat at the same meal
• Animals considered Kosher are those that chew
their cud and have divided hoofs (e.g. cows, goats, sheer etc.)
Passover-During the eight days of Passover, leavened products are not eaten.
Products made of flour or grain which have
been allowed to ferment.
(bread, cakes, cookies, macaroni, cereal, etc.)
3..
Islam (Muslim)-The religion of the Unity of God and the equalityand unity of humanity.
a..
Muslim belief -based on key belief that Allah is the one and only God and Muhammad is his prophet. The prophet Muhammad is the model for the Muslim lifestyle.
018931
Imam-interpreter of the law of Islam through sermons and classes.
c..
Holy Book-The Qur'an (Koran)
d..Muslim diet prohibits:
-1.
Pork and all it derivatives
-2.
Any animal that has died naturally, been killed by a violent blow, killed by a head first fall, or has been killed by another animal.
Intoxicating liquors and harmful drugs
e..
Requirements for obtaining wholesome meat:
+ The animal should be slaughtered in a manner to allow its blood to flow out freely and completely (with a sharp instrument cutting the main vein in the throat).
f.Ceremonies/Worship
-1.There are a number of holy days observed by the
Muslims
-2.Private worship-Prayer five times a day (before sunrise, noon, afternoon, sunset and at night. (Muslims use a small rug to kneel on during the five
daily times).
4..
Christians/Christianity-Founded on the teachings of Jesus
There are a number of religious practices that come under this
heading. The worship services and practices may differ in many
ways. Each service will require a variety of programming
necessary to fill the needs of all participants.
a..
Theology-the awareness of and the conviction of the rightness, justice, and love of the Father Creator, the fullness of who was manifested in the flesh as Jesus the
Christ.
018932
b.
Holy Book-The Bible
c.
Holy Days-For some Christmas and Easter are felt to have deep spiritual significance.
D..
Freedom of religion (First Amendment Right)
Many inmates express a desire to honor and practice beliefs and customs of their culture. Religious or cultural beliefs and/or practice may involve articles of clothing, special diets, and rituals.
(Have students generate a list of different religious practices seen withinthe institution)
1..There are many reasons correctional facilities struggle with some demands related to religious practices.
Some religious activities may be limited, restricted, discontinued, or denied by the Warden/Superintendent based upon legitimate concerns regarding the following:
a.
Costs-some religious practices may require the institution to spend money for supplies.
b.
Space/Time-Normal daily activities such as jobs, educational programs, recreation, etc. may limit the time and space available to hold religious programs.
c. Staff-staff is not always available to supervise all religious
activities.
d.
Some religious activities may not be allowed because they are against policies that govern the institution
e. Security-some equipment used in religious rituals may be a
breach of security or detrimental to the welfare of theinstitution.
(All religious items are subject to respectful search).
2..
The Warden/Superintendent shall make the final decision if a proposed religious group will meet based on information presented by request from inmate(s). "Facility need" may be determined by the number of inmates making a request although, it will not be the sole decision making criteria.
018933
DOD-042091
3..
Muslim, Nation of Islam, Moorish Science, and Jews are allowed special head covers only to be worn during services.
E..
Religious beliefs as opposed to gang rhetoric
Gangs pose a ever increasing problem within our nation, state, and
correctional environment. In corrections we must do our part in
recognizing the difference between freedoms of religious expression as
opposed to gang expression, which is prohibited in the Department of
Corrections.
1..
Definition of Gang- (n). A group of criminals or hoodlums who band together for mutual protection and profit.
Second College
Edition "The American Heritage Dictionary"
2..
Many factors influence the birth and growth of gangs.
a.
Money
b.
Drugs
c.
Protection
d.
Power
e.
Territory
f Need to fit in/belong
3..
Gangs recognize themselves and/or their group through some of
the following means:
a.
Tattoos
b.
Graffiti
c.
Hand gestures
d.
Clothing
e.
Rap Music
(Class discussion: talk of different observations possibly seen that may represent gang relationships, interactions, and/6r grouping
within the institution)
018934
DOD-042092
F.
Recognizing Our Differences-It is mandatory to recognize and respect
each individual as being unique.
1..
Some of the differences that are present in our correctional centers
are:
a.
Age
b.
Race/Nationality
c.
Cultures/Religious beliefs
d.
Lifestyle
e.
Values
f.
Goals
(Discussion: how can the understanding of these dfferences promote a more positive workplace environment)
G..
Discrimination (A result of a particular prejudice)
1..
Discrimination is not allowed in the work place. Many groups are protected under anti-discrimination laws
a.
Prejudice-an adverse judgment or opinion formed beforehand or without knowledge or examination of the facts. Irrational suspicion or hatred of a particular group.
b.
Many groups are protected under anti discrimination laws. 7 Ways to avoid prejudice and discrimination
a. Ensure actions with one group is consistent with actions of
another group
b. Ask yourself:
Would I like to be treated that way? •
Would I address my peers, co-workers, and religious leader in the same manner? •
Would I want my actions to be publicized?
+ Would a 'reasonable person' find my behavior unprofessional?
018935
c.
Know policies and procedures
d.
Display professional behavior at all times
III. CONCLUSION:
The penal institution reflects the cultural diversity of the country at large.
To work in this small community is to respect the differences of each
other. There is no dominant culture, no one religion or race; we exist as
part of a patchwork of diversity, which makes this country great.
018936
DOD-042094
STRIKE FORCE
EMERGENCY RESPONSE TEAM
TRAINING MANUAL
018937
STRIKE FORCE
EMERGENCY RESPONSE TEAM TRAINING
TRAINING MANUAL
Table of Contents
TOPIC .
SECTION NUMBER
Table of Contents .
Agenda .
ii Introduction .
iii Use of Force Liability .
SF-1 Military Drill .
SF-2 Mob and Crowd Control .
SF-3 Use of Force: Chemical Munitions .
SF-4 Tactical Leadership and Riot Squad Formations .
SF-5 Defensive Tactics/Team Intervention .
SF-6 Canines Performing Cell Extractions .
SF-7 Tactical Response: Building Assault .
SF-8
REVISED:.JUNE, 1993 REVISED:.NOVEMBER, 1994 REVISED:.APRIL, 1996 APPROVED:.OCTOBER, 1996 REVISED:.MARCH, 1997
018938
DOD-042096
STRIKE FORCE
EMERGENCY RESPONSE TEAM TRAINING
AGENDA
Monday
8:00 a.m. - 12:00 p.m. . Use of Force Liability
12:00 p.m. - 1:00 p.m.. Lunch
1:00 p.m. - 5:00 p.m.. Military Drill
Tuesday
8:00 a.m. - 12:00 p.m.. Mob and Crowd Control
12:00 p.m. - 1:00 p.m.. Lunch
1:00 p.m. - 5:00 p.m.. Use of Force: Chemical Munitions
Wednesday
8:00 a.m. - 12:00 p.m.. Tactical Leadership and Riot Squad Formations
12:00 p.m. - 1:00 p.m.. Lunch
1:00 p.m. - 5:00 p.m.. Defensive Tactics/Team Intervention
Thursday
8:00 a.m. - 12:00 p.m. . Defensive Tactics/Team Intervention
12:00 p.m. - 1:00 p.m.. Lunch
1:00 p.m. - 5:00 p.m.. Canines Performing Cell Extractions
Friday
8:00 a.m. - 10:00 a.m. . Tactical Response: Building Assault
10:00 a.m. - 12:00 p.m.. Tactical Response Building Assault
Practical Exercise
12:00 p.m. - 1:00 p.m.. Lunch
1:00 p.m. - 4:00 p.m.. Tactical Response: Building Assault
Practical Exercise
4:00 p.m. - 5:00 p.m.. Final Critique
.
018939
ii
STRIKE FORCE
EMERGENCY RESPONSE TEAM TRAINING
USE OF FORCE LIABILITY
Training Checklist
PURPOSE:.To acquaint the participant with current liability issues in the category of "use of force."
OBJECTIVES:.At the end of this block of instruction, the participant will be able to achieve the following in accordance with information received during this instructional period:
1.
In a classroom discussion, identify the four types of force judicially scrutinized for corrections and law enforcement use of force cases.
2.
On a written examination, list in writing the four, standards originally applied in an "objective reasonableness" test.
3.
On a written examination, list in writing the standard that is no longer applied in an "objective reasonableness" test and the court case that eliminated it.
.
HOURS: 4
INSTRUCTIONAL METHOD:.Lecture, Discussion MATERIALS
REQUIRED:.Pen/Pencil, Paper, Participant Outline, Handouts
REFERENCES:.Code of Virginia Virginia Department of Corrections. Division Operating Procedure #431. Virginia Department of Corrections. Division Operating Procedure #433 and
Security Bulletins. PREPARED BY: VIM CO,c)) -3 DATE:.July 1, 1990
018940
DOD-042098
REVISED BY:
ommounll
.
DATE: June 22, 1993 REVISED BY:.ellialla111111
DATE: March 18, 1994
REVIEWED BY:
DATE: November 8, 1994
REVIEWED BY:
DATE: April 23, 1996
C
018941
DOD-042099
STRIKE FORCE
EMERGENCY RESPONSE TEAM TRAINING
USE OF FORCE LIABILITY
Participant Outline
I.
.Introduction
A.
Purpose
B.
Objectives
II..Body
A..Liability Issues
1.
.Types of Force
a.
Privileged
b.
Excessive
c.
Non-Deadly
d.
Deadly
C
2..The Need for Force
a..Burden of Proof
1.
Ability
2.
Opportunity
3.
Intent
b..Controlling Factual Elements
1.
Avenues of Escape
2.
Comparative Size
3.
Weapons
4.
Mental State
5.
Number of Assailants
6.
Color of Law
018942
3.
.Case Law Development
a.
Johnson vs. Glick
b.
Graham vs. Conner
c.
Slaken vs. Porter
d.
Harris vs. City of Canton, Ohio
e.
Sherrod vs. Berry HI..Conclusion
A.
Review
B.
Questions
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STRIKE FORCE EMERGENCY RESPONSE TEAM TRAINING
USE OF FORCE LIABILITY
Trainer Outline
I.
.Introduction
A.
Purpose
B.
Objectives
II..Body
A..Liability Issues
1..
Types of Force: The types of force discussed in this section are types that are recognized and defined by the Courts. All of the given types are applicable to officers, and each type holds a judicially scrutinized culpability
on its user.
a..Privileged: As officers, you must supervise and regulate the behavior of convicted felons. The responsibilities of supervision
tail enforcement of rules. The courts have recognized that controlling an offender's behavior sometimes requires the use of force, and that force is "privileged" or "legally permissible." Force that is recognized as "privileged" for law enforcement must occur in
the following situations:
1. Self-defense
2. Defense of third persons
3. Effecting an arrest (enforcing rules)
4. Prevent escape
5. Prevent the commission of a crime
b..Excessive: As force may be used only in certain situations, the courts have set up certain "boundaries" over official actions to control government authority and prevent an abuse of government
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-powers. As long as the officer is acting within these boundaries, he/she has the "privilege" to legally use force when necessary. However, if he/she exceeds these boundaries, then the force used may well be considered by the courts as excessive.
When determining whether or not the amount of force used was reasonable or excessive, the courts originally applied a four-part test. (Johnson vs. Glick 481 F.2d 1028, 1973)
1.
The need for the application of force.
2.
The relationship between that need and the amount of force used.
3.
The extent of the injury inflicted.
4.
Whether the force was applied in-a good faith effort to maintain and restore discipline or maliciously and sadistically for the purpose of causing harm.
This four-part test became known as the "Objective Reasonableness" standard. The United States Supreme Court in 1989 eliminated the fourth part of this standard (in Graham vs. Conner 109 S.Ct. 1865,
1989)
c. Non-Deadly: By definition is that force that would cause neither 46th nor serious bodily injury. This is the type of force being taught in this course. Be mindful of the fact that even non-deadly force may, under certain circumstances, be considered excessive. For example, unlawfully striking someone without cause or
justification.
d. Deadly: By definition is that force which would normally cause death or serious bodily injury. The courts will examine the situation"... in light of the facts and circumstances ..."
This statement implies that even though the officer may believe the force to be non-deadly, the circumstances may dictate otherwise; i.e., throwing a person on the ground may be non-deadly. The same throw on a concrete sidewalk may prove fatal if the person hits their
head.
2..The Need for Force
The following section will address the liability incurred when force is used:
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a..
Burden of Proof: Should an officer use force while acting in official capacity, he/she may be challenged in court by the person(s) on the receiving end of such force. The court will require the officer to meet the "burden of proof' standard which will consist of two parts:
#1 - The burden of production
#2 - The burden of persuasion
In order to persuade (#2) a judge or jury that his/her actions were
justifiable, they must first produce (#1) evidence to substantiate their claim.
To meet that burden of production in a use of force claim, the officer must prove that the assailant met three legal criteria:
1.
Ability: The officer must show that the assailant was capable of fully carrying out the alleged act.
2.
Opportunity: The officer must show that the assailant had full opportunity to accomplish the alleged act. For instance, a 90 lb. officer could easily establish the ability of a 300 lb. assailant, but they must also show that there was nothing to inhibit the assailant's action. If the assailant is on the other side of a locked door, then the opportunity is negated.
3.
Intent: The officer will have to show that the assailant not only had the ability and opportunity, but also demonstrated the intent to carry out the act.
The code of Virginia makes reference to "... reasonably apprehending that his assailant will do him bodily harm ..." "Reasonably apprehending" implies that a normally prudent individual, under the same circumstances, given the same set of facts, would have reason to believe that the assailant has the ability, opportunity and intent to carry out the act.
b..Controlling Factual Elements: There are several factors a court will examine to determine whether the officer has met the ability, opportunity and intent standard. The following list of examples is not all inclusive.
1..Avenues of Escape: One of the things the court will consider is the possibility of retreat.
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Officers may wish to consider the possibility of leaving
whenever it is practical, giving the person an opportunity to
calm down.
2.
Comparative Size: It might be hard for a 300 lb. officer to establish the ability requirement against a 90 lb. client.
3.
Weapons: Does either party possess a weapon? Possession of a weapon will often create the intent standard, which could be -used against the officer or the assailant if.he/she is in possession of weapon(s). Additionally, if the officer has a weapon, the court will require the officer to show authorization to carry/use the weapon in the performance of his/her duties and to show proof of training in the proper use of such weapons.
4.
Mental State: One of the defenses that an assailant may use is an insanity defense.
5.
Number of Assailants: This is always a consideration in the escalation of force when the officer is facing more than one assailant, all other facets being applicable.
6.
Color of Law: Basically the court is looking to see if the officer's action(s) were taking under the authority granted by the state.
NOTE: These are only a few of the elements a court will consider in determining whether an officer's actions were justifiable under the circumstances presented.
3.
.Case Law Development
a.
Johnson vs. Glick: Established an "Objective Reasonableness" standard consisting of four components: Was there an actual need for force? What injuries occurred? What is the relationship between the amount of force used and the injuries sustained? (Did the officer use a cannon when a pop-gun would have sufficed?) What were the officer's intentions?
b.
Graham vs. Conner: Eliminated the fourth standard saying, in use of force cases, an officer's intentions are totally subjective and are not a court consideration. Thus, the courts today will only examine the need of force, the injuries and the relationship between the two.
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