729
1 IN THE UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF ILLINOIS
2 EASTERN DIVISION
3 ERNEST T. BROWN, et al., )
)
4 Plaintiffs, )
) No. 95 C 1890
5 v. ) Chicago, Illinois
) November 25, 1997
6 CITY OF CHICAGO, ) 10:30 a.m.
)
7 Defendant. )
8 VOLUME 5
9 TRANSCRIPT OF PROCEEDINGS - TRIAL
10 BEFORE THE HONORABLE ROBERT W. GETTLEMAN
11 APPEARANCES:
12 For the Plaintiffs: KENNETH N. FLAXMAN, P.C.
122 South Michigan Avenue
13 Suite 1850
Chicago, Illinois 60603-6107
14 BY: MR. KENNETH N. FLAXMAN
15 and
16 FUTTERMAN & HOWARD, CHTD.
122 South Michigan Avenue
17 Suite 1850
Chicago, Illinois 60603
18 BY: MR. CRAIG FUTTERMAN
19 For the Defendant: MAYER, BROWN & PLATT
190 South LaSalle Street
20 Chicago, Illinois 60603
BY: MR. JAMES HOLZHAUER
21 MR. JEFFREY S. PIELL
MS. ANGELA K. DORN
22 MR. ANDREW NICELY
23 Official Court Reporter: JENNIFER S. COSTALES, CSR, RMR
219 South Dearborn Street
24 Room 1744-A
Chicago, Illinois 60604
25 (312) 427-5351
730
1 (Proceedings in open court.)
2 THE CLERK: 95 C 1890, Ernest Brown, et al., versus
3 City of Chicago; on trial.
4 MR. FLAXMAN: We have two points before we resume the
5 testimony. The first is that we now have in the courtroom a
6 nonparty, nonexpert, Mr. DeLopez. And I would move to exclude
7 Mr. DeLopez.
8 MR. HOLZHAUER: Your Honor, I thought we had an
9 understanding at the beginning that we weren't going to exclude
10 people or we haven't moved to exclude anybody.
11 THE COURT: We haven't excluded anybody. I have no
12 idea whose been here.
13 MR. FLAXMAN: Well, the only people here have been
14 experts or parties. We've never had a nonparty witness in the
15 courtroom. We're now at that point. When this was raised, I
16 said, Judge, we don't have anybody here who is excludable, so
17 I'm not moving to exclude.
18 THE COURT: You can exclude experts. People exclude
19 experts all the time. I just don't see the point of it myself.
20 MR. FLAXMAN: Well, I don't see the point of it
21 either. We now have a nonexpert in the courtroom, a fact
22 witness.
23 THE COURT: Why do you want to exclude him?
24 MR. FLAXMAN: Because his testimony -- he'll be
25 testifying, I believe, about things that Mr. Klein is
731
1 testifying about, and he should testify without having heard
2 what Mr. Klein says.
3 MR. HOLZHAUER: He's a subject matter expert, Your
4 Honor. He's reviewed all the material himself and has gone
5 through that same stuff. A lot of the stuff will be similar to
6 what Lieutenant Klein has testified, that's correct. But we
7 haven't moved to exclude anybody.
8 THE COURT: I understand. I think the only people
9 who have been here have been Mr. Flaxman's clients and a couple
10 of court buffs, as far as I can tell. But I don't know for
11 sure. But I haven't seen anybody take the witness stand who
12 has been here other than those kind of people, other than
13 clients and experts. So I'll exclude him. We have a very nice
14 attorney's room across the hall. So I will exclude the
15 witness.
16 MR. FLAXMAN: Thank you.
17 The second point, Mr. Holzhauer has pointed out that
18 the exhibit that I gave to him and probably the one that --
19 THE COURT: One second, sir, sir, ask this gentleman.
20 MR. HOLZHAUER: Lieutenant DeLopez.
21 MR. DeLOPEZ: Yes, sir.
22 THE COURT: Go to the witness room across the hall.
23 If it is locked, go to my minute clerk's office. If he's not
24 there, come around to chambers and somebody will open it for
25 you.
732
1 MR. DeLOPEZ: Thank you, sir.
2 MR. FLAXMAN: The Hakstian article, the copy that I
3 gave to Mr. Holzhauer had pages missing. Mr. Holzhauer is
4 getting a fresh copy with all the pages. That was
5 unintentional. I don't know if I gave the witness or Your
6 Honor any with missing pages. If I did, I didn't intend to.
7 And if there is something in those missing pages which is
8 contrary to the thrust of my cross-examination, that was not
9 intentional. I don't think there is.
10 THE COURT: Well, I don't think you asked him a whole
11 lot of questions about it.
12 MR. FLAXMAN: Well, but I moved it into evidence.
13 And we're going to argue later that there is nothing in here
14 that's what he said there is. And I don't want to give the
15 impression that I'm trying to sharp crack that because I --
16 MR. HOLZHAUER: I certainly don't think Mr. Flaxman
17 is engaging in sharp cracking. It was a photocopy. We'll just
18 substitute with clean copies, clean complete copies. I don't
19 think it is anything more than that.
20 THE COURT: Okay.
21 MR. FLAXMAN: I did make a mistake with that other
22 general order, which Mr. Holzhauer corrected me on. I think
23 that was a mistake. I don't think I made a mistake here.
24 THE COURT: Well, all right. If you want to
25 substitute it -- if you want to substitute the copy for my
733
1 copy, let me know, and I'll exchange them.
2 By the way, folks, you have to keep track of your own
3 exhibits that you want to file on the record. I think I've
4 said that before.
5 My copies here are just for me. I mark them up, who
6 knows what I do with them.
7 MR. FLAXMAN: We have agreed that we'll give you a
8 list of what we have admitted or will admit or should be
9 admitted into evidence before this --
10 THE COURT: Okay. I'll keep mine for my purposes as
11 far as decision making goes. But the ones that actually get
12 filed are the originals, those you are to keep track of, not my
13 copies. Okay.
14 MR. FLAXMAN: Thank you.
15 THE COURT: All right. Let's resume.
16 MR. HOLZHAUER: Lieutenant Klein.
17 THE COURT: While the lieutenant is taking the stand,
18 we will go to about a quarter after 12:00 today. I have a
19 judges' meeting which will last until about 2:00, and we'll go
20 to 4:00 today. So hopefully we can finish your case today if
21 everything goes well.
22 All right. Lieutenant Klein, you're still under
23 oath, sir.
24 THE WITNESS: Yes, sir.
25 JOHN KLEIN, DEFENDANT'S WITNESS, PREVIOUSLY SWORN
734
Klein - direct
1 DIRECT EXAMINATION (Resumed)
2 BY MR. HOLZHAUER:
3 Q. Good morning, Lieutenant Klein.
4 A. Good morning.
5 Q. Lieutenant Klein, I'd like to show you a document that's
6 known as Defendant's Exhibit 7. Can you tell us what that is.
7 A. It's a three-ring binder which appears to contain a
8 significant number of department general orders.
9 Q. Lieutenant Klein, what's the proper job title of police
10 officers, entry-level police officers?
11 A. When you are first hired as a Chicago police officer, you
12 are called either a recruit officer or a probationary police
13 officer.
14 Q. Next?
15 A. After that when you complete your one-year probationary
16 period, you are a Chicago police officer.
17 Q. Okay. Are these folks, police officers, not sergeants or
18 lieutenants, are they expected to be familiar with these
19 orders?
20 A. Yes, they are.
21 Q. Are they expected to be familiar with the special orders?
22 A. Yes, they are.
23 Q. How about the criminal code, are police officers expected
24 to know the criminal code?
25 A. Yes.
735
Klein - direct
1 Q. Municipal code?
2 A. Yes.
3 Q. Do police officers -- are police officers familiar with the
4 FOP contract?
5 A. In many cases more familiar than supervisors are.
6 Q. How about sergeants, are they expected to be familiar with
7 all of these documents?
8 A. Yes, they are.
9 Q. As far as the criminal code is concerned, was that entire
10 book that the Judge showed yesterday on the reading list for
11 the lieutenants exam?
12 A. No. There were particular subsets, particular sections of
13 the Illinois Compiled Statutes relative to criminal law that
14 were contained on the reading list.
15 Q. How about the municipal code, was the entire book on the
16 reading list?
17 A. No, just basically the sections that related to duties and
18 responsibilities of Chicago police officers in enforcement
19 conditions.
20 Q. The general orders and special orders, were they all on the
21 reading list?
22 A. No, they were not. There were specific orders that were
23 identified on the reading list.
24 Q. Now, you testified about another set of documents that are
25 entered into evidence called notices, is that correct?
736
Klein - direct
1 A. Department notices.
2 Q. Those are gray?
3 THE COURT: I want to stop you for a second.
4 Is Exhibit 7 all of the general orders or just the
5 ones on the reading list?
6 MR. HOLZHAUER: Exhibit 7 is a set of general orders
7 as it existed at the time of the exam. I'm about to have a
8 couple of questions about that.
9 THE COURT: Okay. But it includes the ones on the
10 reading list and others as well?
11 MR. HOLZHAUER: Yes.
12 THE COURT: Okay. I wasn't sure of that at all.
13 MR. HOLZHAUER: Yes. That's what we wanted to
14 clarify.
15 THE COURT: Okay.
16 BY MR. HOLZHAUER:
17 Q. Those gray notices, were they on the reading list at all?
18 A. I don't believe they were.
19 Q. Okay. Looking at the general order book, Exhibit 7, do you
20 see that there are blue pages and white pages in this binder?
21 A. Yes.
22 Q. What are the blue pages?
23 A. Blue is the color of paper on which we print our department
24 general orders.
25 Q. So are they general orders?
737
Klein - direct
1 A. Yes, they are.
2 Q. What are the white pages?
3 A. The white pages are a couple of different things. The
4 first white page I see is a former department general order
5 which was rescinded and replaced by a subsequent general order.
6 Q. When was it rescinded?
7 A. I'm looking at general order 74-18-A, as in Adam. And this
8 was -- I can't tell, there is no date on which it was
9 rescinded. It just indicates it was rescinded by general order
10 74-18-D, as in David.
11 MR. FLAXMAN: Let me object to these questions as not
12 being material. We're talking about what is made up in this
13 exhibit, and that's not what this case is about.
14 THE COURT: No, I understand. But I want to know
15 what this case is about. At one point I was under the
16 impression that this entire book had to be either memorized or
17 learned. And I think I asked Dr. Barrett that, and he agreed
18 with me. But he didn't -- I was just holding up the book. I
19 hadn't put it in front of him. So that was unfair. I think we
20 all agree that not all these general orders were in the reading
21 list.
22 MR. FLAXMAN: That's true. We could all put together
23 what was in the reading list and have the witness say, well,
24 this white page is a Teletype order, the yellow page is --
25 THE COURT: I think you have a point. I think you've
738
Klein - direct
1 educated me to the point --
2 MR. HOLZHAUER: Your Honor, there was one other
3 issue.
4 THE COURT: All right, go ahead.
5 MR. HOLZHAUER: Mr. Bishop testified that this book
6 was far thicker than the general order book that a lieutenant
7 had to have knowledge of. And I think we want to establish --
8 and he made that point by basically pointing to the white,
9 white pages. I think we want to make the point this is the way
10 the book was in 19 --
11 THE COURT: Go ahead.
12 BY MR. HOLZHAUER:
13 Q. You were telling us the white pages are rescinded orders
14 and what else?
15 A. They are rescinded orders and a combination of Teletype
16 facsimile messages.
17 What those are is from time to time we amend our
18 directives, our general orders, and special orders, and we
19 don't amend them by issuing a whole new order, because we're
20 only amending a minor section. So we use a procedure which is
21 called Teletypes or facsimiles. And we send these messages
22 out, and they, in effect, supplement or amend the general
23 orders and special orders.
24 And then they are contained in this book because you
25 need to have -- be able to reference them to ensure what the
739
Klein - direct
1 correct policies and procedures are.
2 Q. Lieutenant Klein, you've reviewed this document, this
3 Defendant's Exhibit 7, is that correct?
4 A. Yes, I have.
5 Q. And is this a full and complete set of the general orders
6 as of the time of the exam?
7 A. It's a complete set of the general orders at the time of
8 the exam.
9 In addition, it does contain those Teletypes and
10 facsimile messages I just mentioned. And there are documents
11 in here that are rescinded general orders.
12 Q. Okay. Would this be the document, the scope of the
13 document that lieutenants at that time would have been expected
14 to know about?
15 A. This contains all of the general orders in effect at that
16 time, in addition to the facsimile and Teletype messages, yes.
17 Q. Would they be responsible for knowing --
18 A. Yes, they would.
19 Q. -- the facsimiles and Teletypes?
20 I would like you to turn to general order 90-13. Can
21 you find that? Actually, I think I have -- I'll hand out
22 copies to make it easier.
23 THE COURT: Thank you.
24 BY MR. HOLZHAUER:
25 Q. Do you see that document?
740
Klein - direct
1 A. You indicated 90-13. You handed me 91-3.
2 Q. 91-3, excuse me. I misspoke.
3 Do you see on the right-hand side about the third row
4 down there is a box that says "Rescinds"?
5 A. Yes.
6 Q. And it indicates general order 80-15?
7 A. That's correct.
8 Q. Can you tell us what that means?
9 A. It means that this general order, which is 91-3, became
10 effective on the 20th of February 1991, which is contained in
11 the effective date box up on top. And on that date general
12 order 80-15 would no longer be in effect, it would cease to
13 exist because it is replaced by this order, general order 91-3.
14 Q. Thank you.
15 I'd like to go through some of the issues that other
16 officers have raised in their previous testimony. And first
17 I'd like to consider the oral exercise.
18 You testified earlier that you reviewed the material,
19 the oral briefing exercise, is that correct?
20 A. Yes.
21 Q. Was the oral briefing exercise an exact replica of
22 something a lieutenant would do on the job?
23 A. Not an exact replica.
24 Q. How did it differ from what a lieutenant would do?
25 A. Lieutenants have to provide oral presentations in a variety
741
Klein - direct
1 of contexts. One of the contexts is at a roll call when the
2 lieutenant is either providing training in concert with the
3 watch commander or if the lieutenant is the watch commander and
4 is providing training materials or conveying department
5 policies or procedures to the personnel present at the roll
6 call. That's one of the forums or contexts in which a
7 lieutenant engages in oral presentations.
8 The lieutenant also appears at community meetings and
9 represents the Chicago Police Department in regard to
10 conditions of crime and disorder and other social conditions in
11 their districts of assignment, and they are required to respond
12 to community concerns, address community forums, things of that
13 nature.
14 They are also engaged in oral presentations in
15 meeting with the people under their direct supervision, the
16 sergeants and police officers in the context of the new
17 policing strategy. They are required to compile and assimilate
18 information regarding crime conditions and proposed strategies
19 to address those conditions and organize that material in some
20 reasonable and logical fashion for the purpose of designing a
21 strategy and a plan to address problems of crime in their
22 district.
23 Q. So do officers -- do lieutenants need to synthetize and
24 organize volumes of information as part of their job?
25 MR. FLAXMAN: Objection. It's a leading question.
742
Klein - direct
1 He's not an expert about the mental processes that lieutenants
2 have to follow.
3 THE COURT: Oh, I think he's been a lieutenant. I
4 think he's been there. I think he can testify from his
5 knowledge. But it is a very leading question. Sustained.
6 MR. HOLZHAUER: Okay.
7 BY MR. HOLZHAUER:
8 Q. Do officers need to make oral presentations?
9 MR. FLAXMAN: Asked and answered.
10 THE COURT: Sustained.
11 BY MR. HOLZHAUER:
12 Q. What do officers need to do to prepare to make oral
13 presentations?
14 MR. FLAXMAN: Objection. It's a question about
15 officers. This is a case about --
16 BY MR. HOLZHAUER:
17 Q. What do lieutenants need to do in order to prepare for oral
18 presentations?
19 A. It would depend upon the nature of the presentation. In
20 the first example that I gave at a roll call presentation, they
21 may be required to peruse, digest, and be able to articulate
22 new department policy and procedures. They may need to review
23 and become familiar with training materials that the department
24 promulgates for the purpose of conveying that information to
25 members at their roll calls.
743
Klein - direct
1 They would be required to review department
2 documents, such as arrest reports or case reports or crime
3 pattern information for the purpose of communicating that
4 information to officers at roll calls.
5 In the community context, they would be required to
6 assemble and review, make some sense out of crime information
7 as it impacts their districts. They would have to understand
8 the appropriate strategies that would be used to address
9 problems of crime and disorder. They would have to be able to
10 identify, collect all this information, make some sense out of
11 it, and then be able to in some reasonable fashion articulate
12 the department's position to members of the community.
13 Q. Do lieutenants ever have to deal with volumes of
14 information similar to those presented in the oral briefing
15 exercise?
16 MR. FLAXMAN: Let me object again. We have not
17 qualified Mr. Klein as having done a job analysis. We haven't
18 qualified him as being -- having any expertise, having studied
19 what lieutenants actually do. He can say what he has done. He
20 can say what he's seen other lieutenants do. But he's now
21 giving opinions as if he is an expert on what -- of having done
22 a job analysis. I don't think there is any basis for the
23 opinion of this nature.
24 Also, his opinions now I think are beyond what
25 Mr. Klein was designated to be an expert about.
744
Klein - direct
1 MR. HOLZHAUER: Your Honor, Mr. Klein is not an
2 expert witness in that sense. He's a subject matter expert.
3 He has discussed his knowledge, based not only on serving as
4 lieutenant, but supervising lieutenants, designing training
5 programs for lieutenants. If anybody in the Chicago Police
6 Department is able to testify about what lieutenants do as a
7 general matter, it's Lieutenant Klein.
8 THE COURT: The objection is overruled.
9 BY THE WITNESS:
10 A. Could you repeat the question, please?
11 BY MR. HOLZHAUER:
12 Q. Sure.
13 Do lieutenants have to deal with volumes of
14 information that are similar to the volume of information
15 involved in the oral briefing exercise?
16 MR. FLAXMAN: Objection, leading.
17 THE COURT: Overruled.
18 Yes or no.
19 BY THE WITNESS:
20 A. Yes.
21 BY MR. HOLZHAUER:
22 Q. Thank you.
23 We've heard testimony about CO books in relation to
24 the oral briefing. What is a CO book?
25 A. A CO book -- CO stands for commanding officer. It's
745
Klein - direct
1 basically a ledger book. It's an administrative device for
2 communicating varieties of ministerial bits of information
3 within a district.
4 It's used to convey court notifications for officers
5 that have continued cases in court. It's used to convey
6 information regarding special details. Detail being a special
7 assignment for a police officer on any given day. It's used to
8 communicate items of general interest. If there are deaths in
9 the department, death information and funeral information, wake
10 information is contained in there.
11 It's used to communicate memorandums, short
12 memorandum which may emanate from the district commander or
13 someone in the chain of command in the police department. It's
14 basically a conduit for some of the administrative daily tasks
15 that occur throughout the city.
16 Q. Do lieutenants use the CO books?
17 A. As a watch commander, a lieutenant would provide
18 information at roll call that's contained in the CO book.
19 Q. How do they use a CO book at the roll call?
20 A. Well, they use it in a couple different ways.
21 Items that were germane to their particular shift
22 would probably be read at roll call, some of those
23 notifications that I mentioned with respect to court
24 notifications or special assignments. They would, for example,
25 read out who was assigned to a special parade or whatever that
746
Klein - direct
1 might be on a given day. Then the officer would have to
2 initial the margin of the CO book to indicate that he received
3 the notification.
4 It would communicate information that was relevant to
5 their particular shift or items which may have some general
6 relevance to activities in the district.
7 Q. Are all the materials that lieutenants need to communicate
8 at the roll call contained in the CO book?
9 A. No.
10 Q. Lieutenant Klein, you also testified that you reviewed the
11 materials in the in-basket exercise, is that correct?
12 A. Yes.
13 Q. Did you find that those materials were similar to material
14 found on the job?
15 A. Yes.
16 Q. I'd like to hand you an exhibit that's been previously
17 identified as Defendant's Exhibit 15. It's the second volume.
18 Maybe I should take that to make it easier for you. Second
19 exhibit in that volume.
20 Can you tell us what that is?
21 A. It's the Chicago police lieutenant in-basket simulation.
22 Q. Now, starting at about page Bates stamped 8462, going on
23 for quite some pages after that, I'd say at least to 8505.
24 THE COURT: I'm sorry, you said 8462 to what?
25 MR. HOLZHAUER: 8462 to 8505, I'm sorry.
747
Klein - direct
1 BY MR. HOLZHAUER:
2 Q. Can you look at those materials, please.
3 Are these identical to the kinds of papers
4 lieutenants ordinarily see?
5 A. Some of them are.
6 Q. And others?
7 A. Others are similar in form, but not identical.
8 Q. Are there any others that are not similar in form?
9 A. I think the best way that I can explain that is there are
10 documents in here which contain information which is consistent
11 with information provided throughout the department. But in
12 some cases, for example, the Metropolis Police Department
13 Personnel Roster, there is no standardized way in the Chicago
14 Police Department by which this information is presented. And
15 this may be one of the ways it's presented in one of the
16 districts throughout the city. But there is no standardized
17 way to present this.
18 The information that's contained here is information
19 that we use all the time. But this particular format is not a
20 department-regulated format.
21 Q. I would like you to look at the document that's Bates
22 stamped 8462 near the beginning of that material. Can you find
23 that?
24 What does that document describe, Lieutenant Klein?
25 A. Bates stamp 8462 is a to/from/subject report in the form
748
Klein - direct
1 that we utilize in the department. And the to/from/subject
2 report is from the district commander to Lieutenant Terry
3 Graham, Terry Graham being the candidate for promotion, the
4 test taker in this circumstance.
5 And the subject of the report is work assignments in
6 which the district commander is assigning a variety of tasks to
7 the lieutenant, to the candidate, which tasks were not
8 completed by another lieutenant.
9 Q. And what are those tasks, just as a general matter? What
10 subject areas?
11 A. Weapons discharge investigations, summary punishment
12 investigations, complaint register investigations, duty
13 assignments for sergeants.
14 THE COURT: I can read. There is no -- there is no
15 profit and no good use of time in having the witness just read
16 to me from an exhibit that's in evidence.
17 MR. HOLZHAUER: Okay.
18 THE COURT: And it's fairly self-explanatory.
19 BY MR. HOLZHAUER:
20 Q. Lieutenant Klein, do lieutenants actually conduct weapons
21 discharge investigations?
22 A. Yes, they do.
23 Q. Do they conduct summary punishment investigations?
24 A. Yes.
25 Q. Do they conduct complaint register investigations?
749
Klein - direct
1 A. Yes.
2 Q. Do they assign counseling and other duties to sergeants?
3 A. Yes.
4 Q. Do they conduct administrative reviews of arrest reports?
5 A. Yes.
6 Q. Do they review scheduling assignments for police officers
7 who work under them?
8 A. Yes, they do.
9 Q. Do they also handle documents and information relating to
10 their duties in each of these areas?
11 A. Yes.
12 Q. What is a weapons discharge investigation?
13 A. A weapons discharge investigation is a circumstance or an
14 incident in which a member of the Chicago Police Department
15 fires his or her weapon.
16 Q. What role do lieutenants have in those investigations?
17 A. As a field lieutenant, a lieutenant is required to
18 personally respond to the scene and become involved in that
19 investigation as a watch commander. That lieutenant has the
20 overall responsibility for overseeing and completing a weapons
21 discharge investigation.
22 Q. Are there documents involved in a weapons discharge
23 investigation?
24 A. There are many documents involved.
25 Q. Can you just briefly summarize what type of documents are
750
Klein - direct
1 involved, briefly?
2 A. Well, depending on the circumstance, depending on whether
3 or not there was an injury associated with the discharge,
4 depending on whether or not the officer was injured, depending
5 on whether or not an arrest was made, there could be -- there
6 would certainly be witness statements from officers and from
7 disinterested third parties. There would be summary -- there
8 would be a preliminary discharge investigation sheet, which is
9 a work sheet that they use on the street before they prepare
10 their formal report.
11 If an offender was taken into custody, there would be
12 an arrest report. There would always be a case report
13 completed. If an officer was injured, there would be an
14 injury-on-duty report, which would be completed. There would
15 be a weapons discharge form completed which the officer or his
16 supervisor has to complete every time a weapon is discharged.
17 There would be a variety of reports related to those.
18 Q. I'd like you to look at a couple of the documents. I'm not
19 going to go through them all. Would you look at 8473, please.
20 Tell us what that is.
21 A. It's a preliminary information weapons discharge work
22 sheet.
23 Q. Is that a document that a Chicago police lieutenant would
24 use as part of one of these investigations?
25 A. Yes.
751
Klein - direct
1 Q. 8474, what's that?
2 A. It's a general offense case report associated with a
3 weapons discharge.
4 Q. Is that a document a Chicago police lieutenant would use as
5 part of one of these investigations?
6 A. Yes.
7 Q. 8482, what's that?
8 A. It's a weapons discharge report.
9 Q. Is that a document Chicago police lieutenants would use as
10 part of one of these investigations?
11 A. This would certainly be part of the investigation, yes.
12 Q. 8483, what is that?
13 A. This is an injury-on-duty report.
14 Q. Is that a document a lieutenant would use as part of a
15 weapons discharge investigation?
16 A. If one of the officers or an officer was injured, yes.
17 Q. Lieutenant Klein, what is a summary punishment
18 investigation?
19 A. It's part of the disciplinary system which the Chicago
20 Police Department employs. It's basically a -- there is two
21 prongs to the system. One of the prongs deals with what we
22 call less serious transgressions. Those are minor disciplinary
23 infractions. There is a list. I believe there is 19 or 20 of
24 them.
25 These 19 or 20 less serious transgressions are
752
Klein - direct
1 handled through what we call the SPAR system, summary
2 punishment action request system. It's an expedited
3 disciplinary process whereby it's a single form set. The
4 nature of the violation is noted. The recommending supervisor
5 makes a recommendation of either a reprimand, one-, two- or
6 three-day suspension. The officer or the accused either signs
7 and accepts the penalty, doesn't agree, requests a hearing.
8 It's an abbreviated disciplinary process for less
9 serious disciplinary transgressions.
10 Q. Do lieutenants have a role in summary punishment
11 investigations?
12 A. Yes, they do.
13 Q. Can you just briefly tell us what that role is?
14 A. If they were the recommending supervisor, if, for example,
15 they were disciplining either a police officer or a sergeant,
16 they would be the initiating supervisor in this process.
17 If they were acting in their capacity as watch
18 commander, they would have to review and approve
19 recommendations for summary punishment.
20 Q. Are documents involved in summary punishment
21 investigations?
22 A. There would generally be a to/from/subject report from the
23 accused regarding the underlying accusation. If the accused
24 did not concur with the recommended penalty, the accused is
25 required to formally request a hearing through a
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Klein - direct
1 to/from/subject report.
2 Q. Were there summary punishment investigation documents in
3 the in-basket exercise?
4 A. Yes, there were.
5 Q. Let's look at -- let me just look at one of them. Can you
6 look at 8489. Can you tell me what that is.
7 A. It's a replica of a summary punishment action request form
8 for the Metropolis Police Department in which a sergeant is
9 being recommended for two days off without pay for a less
10 serious transgression of transporting an unauthorized person in
11 a department vehicle.
12 Q. Is that a document that a Chicago Police Department
13 lieutenant would use in a summary punishment investigation?
14 A. Yes, because in this case the lieutenant is the initiating
15 supervisor.
16 Q. Lieutenant Klein, what is a complaint register
17 investigation?
18 A. A complaint register investigation, or a CR investigation
19 as it's commonly referred to, is the second prong of the
20 department's disciplinary system. Complaint register
21 investigations involve more serious allegations against our
22 employees.
23 It involves circumstances which are not appropriate
24 for treatment under the less serious transgressions, the SPAR
25 form system. It involves circumstances which can result in a
754
Klein - direct
1 recommendation of a penalty from -- anywhere from a reprimand
2 up through and including separation.
3 It is basically a full-blown due-process
4 investigation which involves administrative, possibly criminal
5 rights for the accused. It involves a right to counsel. It
6 involves a very formal and structured investigative process
7 with exhibits, summary pages, consideration of prior
8 disciplinary history, consideration of prior complimentary
9 history, recommendations for penalties.
10 Q. Do lieutenants have a role in complaint register
11 investigations?
12 A. Lieutenants conduct complaint register investigations in
13 many cases when sergeants are accused in those circumstances.
14 They also as watch commanders review complaint register
15 investigations which were conducted by their subordinates.
16 Q. Are documents involved in complaint register
17 investigations?
18 A. Many documents.
19 Q. Were those kinds of documents in the in-basket materials?
20 A. Yes.
21 Q. Let's look at a couple of them. Can you go to 8505. Can
22 you tell us what that is.
23 A. It's a replica of a complaint against department member
24 form.
25 Q. Is that a document that would be used by a lieutenant in
755
Klein - direct
1 the complaint register investigation?
2 A. This document is the document which initiates an
3 investigation.
4 The way it works in practice is as a lieutenant, if I
5 observe an infraction or information regarding an infraction
6 that's brought to my attention, and in my view and in
7 conformance with the department directives I believe a
8 complaint register investigation is warranted, I would
9 telephone the Office of Professional Standards, which receives
10 all the complaint information and chronicles it and documents
11 it and issues the actual complaint number.
12 The Office of Professional Standards then creates
13 this document, the complaint against department member, which
14 has some summary information regarding the complaint, who the
15 complainant is, who the accused are, some personal profile
16 information. This document is then transmitted to the
17 investigating supervisor to be included as part of his or her
18 final investigative report.
19 Q. So a watch commander would review this document?
20 A. This would be a document that would have to be contained in
21 the final investigative package on a complaint register
22 investigation.
23 Q. What is the next Bates numbered page in your document
24 there?
25 A. 8506.
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Klein - direct
1 Q. Okay. Can you tell us what that is.
2 A. It's a replica of the administrative proceeding rights
3 forms which we use in the Chicago Police Department.
4 Q. And does that have anything to do with complaint register
5 investigations?
6 A. In a noncriminal investigation, this is the statutory
7 administrative rights forms that we use in the Chicago Police
8 Department to apprise an accused officer of their
9 administrative rights in the investigative process.
10 Q. Is this something that lieutenants need to be familiar
11 with?
12 A. If the lieutenant is the investigating supervisor,
13 certainly. If the lieutenant is reviewing the information,
14 certainly. This document has to be contained in the
15 investigative package.
16 Q. Lieutenant Klein, do lieutenants have a role in making duty
17 assignments for sergeants?
18 A. Yes, they do.
19 Q. What role is that briefly?
20 A. Well, on an informal level, the lieutenants discuss the
21 roles and the duties and the assignments of their supervisors.
22 There are, as in many other organizations, there are more and
23 less desirable jobs on a daily basis. And lieutenants confer
24 to try and match skills to particular duty assignments so that
25 sergeants that have certain capabilities and skills are matched
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Klein - direct
1 with police officers and are matched with geographic areas for
2 which they can perform appropriately.
3 On a more formal level, the lieutenant, when serving
4 as a watch operations lieutenant, prepares what are called
5 monthly assignment sheets, monthly work sheets, period work
6 sheets. What this is is the Chicago Police Department, rather
7 than having 12 calendar months, has 13 police periods. They
8 change on every Thursday, every 28 days.
9 About 10 or 12 days prior to that change in periods,
10 the watch operations lieutenant begins to do the assignments
11 for the following month. The reason they do it that far in
12 advance is because there are contractual provisions and
13 directives which relate to changing officers' days off and time
14 frames during which that has to occur to comply with the
15 contract, things of that nature.
16 During this process of looking at the assignments,
17 the lieutenants need to take into account who is going to be
18 available for that following month, whether officers are on
19 medical roll, whether officers have other anticipated absences,
20 whether officers are on vacation, whether supervisors are on
21 vacation. And they need to make adjustments in scheduling to
22 ensure that adequate numbers of officers and supervisors are
23 available for assignment during that following month. So they
24 do it on that basis.
25 And they also do it on a daily basis. Each day in
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Klein - direct
1 preparation for the next day, the watch operations lieutenant
2 goes through his daily sheets, sees who is going to be
3 available for assignment the next day, makes a determination as
4 to who is going to be assigned to which car, who is going to be
5 working together, whose partner will be with whose partner.
6 And they address any absences that came up since the watch --
7 the period sheets were done, people that need the day off for
8 some reason, things of that nature.
9 So they look at personnel availability on a daily and
10 a monthly basis to ensure they have got enough people out there
11 to staff the cars.
12 Q. Are there any documents involved in making duty assignments
13 for sergeant?
14 A. Well, the two main documents which are the result of the
15 process I just described are the daily watch assignment sheets
16 and the period watch assignment sheets. But in order to do
17 those assignment sheets -- there is also a daily attendance and
18 assignment sheet, which chronicles who appeared for duty and
19 what they are doing on that particular day, which may be
20 different than what they thought was going to happen the day
21 before.
22 But in order to compile these sheets, they have to --
23 the watch operations lieutenant has to be mindful of a variety
24 of things, requests for compensatory time, requests for
25 personal days, requests for furlough time, details where
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Klein - direct
1 information will be assigned away from the district for a given
2 period of time, court appearances, extended court appearances
3 if officers are going to be involved in a trial, a criminal
4 trial of some kind which will take them away from their duties.
5 They need to look at all the documents related to where their
6 people are going to be so they know who is available for
7 assignment.
8 Q. Were these kinds of documents in the in-basket material?
9 A. Yes, they were.
10 Q. I'd like you to look at the document Bates stamped 8515.
11 Will you tell us what that is.
12 A. It's a to/from/subject report in the form that we use in
13 the Chicago Police Department. It's been modified to indicate
14 that it's for the Metropolis Police Department. It's from the
15 district commander. It's directed to the second watch, which
16 is our day shift, operations lieutenants, excuse me. And the
17 subject matter of the to/from report is a special attention
18 notice regarding the availability of crossing guards at school
19 crossings on two particular beats, beat 2913 and 2914.
20 The instructions contained in the report from the
21 district commander indicate that there had been some complaints
22 received from parents of children attending a particular school
23 on those beats. And the complaints allege that there were --
24 there is an absence of crossing guards on rainy days.
25 The watch commander or the district commander is
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Klein - direct
1 instructing the lieutenants that the crossing guard supervisors
2 and the sector sergeants for these beats need to look at the
3 matter and develop some response to ensure that there are
4 officers available to man those crossings on rainy days.
5 Q. Thank you.
6 Before we get into -- one more question about this.
7 It says "second watch operations lieutenants." Are watch
8 operation lieutenants the same as watch commanders?
9 A. Yes.
10 Q. Did you hear testimony that lieutenants don't have to have
11 any concern or any involvement with crossing guard issues?
12 A. Yes.
13 Q. Is that correct?
14 A. This is another area where -- it's similar to the
15 scheduling issue where there was testimony that lieutenants
16 don't do that, that it's a clerical function. This is an area
17 where if police officers are going to have to be assigned to
18 crossing, it impacts scheduling and manpower. If they have to
19 take a police officer out of a car to stand at a crossing for a
20 given period of time, that's one less police officer or car
21 that's available to respond to calls for service.
22 So the lieutenant needs to be mindful of where their
23 officers are being assigned so that they can be mindful and be
24 aware of issues related to manpower availability during their
25 watch.
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Klein - direct
1 Q. And that would include crossing guard assignments?
2 A. It certainly would.
3 Q. Do lieutenants have any responsibility for reviewing arrest
4 reports?
5 A. When serving as a watch commander, lieutenants are required
6 to review all arrest reports to ensure that they are properly
7 completed and that they contain sufficient information in the
8 narrative of the report to justify the probable cause for an
9 arrest.
10 Q. Are documents involved in that work?
11 A. Yes, there are.
12 Q. Were documents of those kinds included in the in-basket
13 exercise?
14 A. Yes.
15 Q. I'd like you to turn to 8519. Would you just identify that
16 document for us.
17 A. Document 8519 is a replica of a Chicago Police Department
18 arrest report.
19 Q. Is that the kind of document that a lieutenant would use as
20 part of reviewing an arrest report?
21 A. Yes.
22 MR. FLAXMAN: Objection. The question is about
23 lieutenants. He testified about watch commanders reviewing
24 arrest reports. I think it should be clear what he's asking
25 about.
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Klein - direct
1 THE COURT: Rephrase the question.
2 BY MR. HOLZHAUER:
3 Q. Is this the kind of report that a lieutenant serving as
4 watch commander would review when reviewing arrest reports?
5 A. Yes.
6 Q. Can you look at 8520 and 8521. Have you looked at those?
7 A. Yes.
8 Q. Are those -- what are those?
9 A. Those are also replicas of Chicago Police Department arrest
10 reports.
11 Q. Are those also documents that a lieutenant acting as watch
12 commander would review when reviewing arrest reports?
13 A. Yes, sir.
14 Q. Do lieutenants have any -- we talked a bit about sergeants'
15 scheduling. Do lieutenants have any broader responsibility for
16 manpower scheduling beyond the rank of sergeant, the police
17 officers?
18 A. When a lieutenant is serving as watch commander, he has
19 responsibility for the scheduling of all personnel on that
20 shift, which would include civilian personnel, police officers
21 and sergeants.
22 Q. Do those involve the same documents you testified about a
23 minute ago?
24 A. Yes.
25 Q. And those documents, were they included in the in-basket
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Klein - direct
1 report, in-basket exercise?
2 A. Yes, they were.
3 Q. Thank you.
4 I'd like you to turn to the document that's been
5 Bates stamped 8466. Can you just identify this document for
6 us.
7 A. 8466 is Lieutenant Roberta Joseph's notes regarding a
8 weapons discharge investigation involving a D. Essex. And it
9 contains several dates with associated times. And it also
10 contains information regarding actions at those times and dates
11 which Lieutenant Roberta Joseph took.
12 Q. Are the notes of another lieutenant something that a
13 lieutenant would typically review as part of a weapons
14 discharge investigation?
15 MR. FLAXMAN: Objection. We haven't established that
16 there are notes in existence in the Chicago Police Department.
17 That assumes that fact.
18 THE COURT: We've had testimony about notes before,
19 Mr. Flaxman. I'll take that as going to the weight of this
20 question or answer.
21 Go ahead.
22 BY THE WITNESS:
23 A. As a practical matter, what happens is that when for some
24 reason a supervisor, be it a sergeant or a lieutenant or a
25 watch commander, is unable to complete an investigation due to
764
Klein - direct
1 illness in this case, or injury in other cases, or in other
2 types of investigations, it may be because the lieutenant is
3 transferred or retires or is suspended or some other
4 circumstance takes the lieutenant or supervisor away from
5 assigned tasks, those tasks obviously need to be reassigned to
6 someone to complete.
7 There is no formalized structure in the department by
8 which that information is transmitted. Some lieutenants are
9 more meticulous and organized and perhaps have their notes
10 typewritten. Some lieutenants or sergeants are perhaps
11 organized in a different fashion and would have handwritten or
12 marginal notes in an investigative file. So there would be a
13 variety of ways in which that information would be available to
14 a succeeding lieutenant.
15 BY MR. HOLZHAUER:
16 Q. Would some lieutenants keep no notes?
17 A. I would find it hard to believe that a lieutenant could
18 conduct an investigation, particularly in this case of a
19 weapons discharge investigation, without having taken notes.
20 There is a lot of information involving witnesses and
21 victims and times of day and who was on the scene and where
22 people were taken if there were injuries that occurred, just a
23 variety of information regarding not only the incident, but the
24 officers and witnesses. It would be -- in my experience,
25 everyone takes notes at these scenes.
765
Klein - direct
1 Q. Now, when one officer, one lieutenant communicates
2 something like this to another lieutenant, do they typically do
3 that in the form of "here is my notes"?
4 MR. FLAXMAN: Objection.
5 THE COURT: Sustained.
6 BY MR. HOLZHAUER:
7 Q. Do lieutenants communicate these kinds of incidents using
8 oral communication?
9 MR. FLAXMAN: Objection to -- do you want the grounds
10 for it?
11 THE COURT: Yes.
12 MR. FLAXMAN: Okay.
13 THE COURT: Careful, Mr. Flaxman.
14 MR. FLAXMAN: We have this scenario that something --
15 the witness testified that sometime if somebody is sick,
16 sometimes the information has to get given to someone else.
17 Now we have a question about well, when this happens, do
18 lieutenants convey communication orally or in notes? I am not
19 sure if there is a foundation for this question.
20 THE COURT: Well, I'm not sure what "this" means.
21 MR. FLAXMAN: That's what I was trying to say.
22 THE COURT: Why don't you rephrase the question.
23 Let's be more specific.
24 BY MR. HOLZHAUER:
25 Q. Do lieutenants ever have occasion to communicate work that
766
Klein - direct
1 they've done on a weapons discharge investigation to another
2 lieutenant?
3 A. Yes.
4 Q. Do they always convey that information by providing the
5 subsequent lieutenant with notes?
6 A. No.
7 Q. Do they sometimes do that orally?
8 A. They could.
9 Q. Would that be common?
10 MR. FLAXMAN: Objection. No foundation.
11 THE COURT: Sustained.
12 BY MR. HOLZHAUER:
13 Q. Have you ever been involved in a weapons discharge
14 investigation?
15 A. I have reviewed weapons discharge investigations.
16 Q. Have you ever been involved in weapons discharge
17 investigations where officers communicated to each other orally
18 about those investigations?
19 MR. FLAXMAN: Objection.
20 BY MR. HOLZHAUER:
21 Q. Let me ask it differently.
22 In reviewing weapons discharge investigations, have
23 you ever gotten oral reports from other officers?
24 MR. FLAXMAN: Objection.
25 BY MR. HOLZHAUER:
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Klein - direct
1 Q. Other lieutenants?
2 MR. FLAXMAN: I think the foundation would show that
3 in the course of reviewing them he wasn't working as a watch
4 commander or lieutenant, he was working in legal affairs.
5 MR. HOLZHAUER: I don't see that that makes a
6 difference.
7 THE COURT: Excuse me?
8 MR. HOLZHAUER: I don't know if that makes a
9 difference.
10 THE COURT: Well, I don't know what point you are
11 trying to make here.
12 MR. HOLZHAUER: Your Honor --
13 THE COURT: There has been a point about the notes,
14 that these aren't realistic.
15 MR. HOLZHAUER: These notes are a proxy sometimes for
16 oral communications. We can't have somebody standing up in the
17 middle of an exam process saying, "Lieutenant, I arrived at the
18 scene" and so forth. So we do a written proxy for those kinds
19 of things.
20 THE COURT: Lieutenant Klein is very articulate and
21 probably could just tell us whether these approximate either
22 the substance of an oral communication or do they more -- are
23 they closer to an actual written communication? That's the
24 question you are getting to, I think.
25 MR. HOLZHAUER: Exactly.
768
Klein - direct
1 BY MR. HOLZHAUER:
2 Q. Do these approximate the substance of an oral communication
3 or are they closer to something that's --
4 MR. FLAXMAN: My objection --
5 THE COURT: Go ahead.
6 MR. FLAXMAN: -- is that there is no foundation to
7 show he knows anything at all about oral communication in a
8 weapons investigation from one lieutenant to another.
9 THE COURT: Well, he said he's done them.
10 MR. FLAXMAN: No, he hasn't. He's said he reviewed
11 them.
12 THE COURT: He's reviewed them, okay. So based on
13 his experience, which may be limited and may not be entitled to
14 the weight of somebody who has done department-wide
15 investigations, if there is such a person, I don't see why he
16 can't tell me what his experience has been in this. I don't
17 want to have to have a trial where I get every lieutenant in
18 the police department up here to tell me about their
19 experience.
20 MR. FLAXMAN: But he hasn't told you that he's been
21 involved and has personal knowledge of any oral communication.
22 MR. HOLZHAUER: Your Honor, we've had a bunch of
23 sergeants communicating about the form of communication
24 lieutenants engage in. In light of that --
25 THE COURT: I'll tell you what, let's do it this way:
769
Klein - direct
1 Why don't you just put on the record what his experience has
2 been with respect to -- this is a weapons discharge?
3 MR. HOLZHAUER: Weapons discharge.
4 THE COURT: -- weapons discharge investigations.
5 I'll let him testify. I'll give it the weight it deserves,
6 Mr. Flaxman. I think you have a point.
7 BY MR. HOLZHAUER:
8 Q. Lieutenant Klein, what has your experience been with regard
9 to weapons discharge investigations?
10 A. Weapons discharge investigations in the Chicago Police
11 Department are a very serious matter. When officers --
12 MR. FLAXMAN: Objection. Can I ask that you
13 encourage the witness to answer the question.
14 THE COURT: Yes. We just want to know what your
15 experience has been, your personal experience, so that I can
16 give your testimony the weight it deserves.
17 THE WITNESS: When I was counsel to the
18 superintendent of the police, one of my responsibilities was to
19 review all serious investigations involving either complaints
20 against our officers or involving matters in weapons discharge
21 investigations due to the seriousness of the incident.
22 I would estimate that during the course of my two and
23 a half years or so, I probably reviewed 20 or 30 such
24 investigations in which officers discharged and struck or
25 discharged and missed individuals in the City of Chicago. I
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Klein - direct
1 looked at these investigations to basically ensure the legal
2 sufficiency of the investigation, whether there was sufficient
3 facts contained in the investigation to justify recommendations
4 as to whether the shooting was justified and consistent with
5 department policy and state law.
6 THE COURT: How did you do that?
7 THE WITNESS: I reviewed all the documents. The
8 files, Your Honor, would be in a very large investigative file
9 which would have all relevant reports from everyone involved.
10 It would have the witnesses' reports, the officers' reports, it
11 would have the results of what we call a round table, which
12 contains summary notes of an investigative interview of the
13 officer with counsel and union representation present.
14 I would review all the forensic and hospital reports.
15 I would review the reports from the detective division, which
16 would historically chronicle the events leading to the
17 discharge and the events subsequent to the discharge. I would
18 read everything in the investigative file that basically
19 reconstructed the shooting incident.
20 THE COURT: Would you talk to the officers?
21 THE WITNESS: No, I would not.
22 THE COURT: Would you talk to the witnesses?
23 THE WITNESS: No, I would not.
24 THE COURT: So if there were any -- if there were any
25 type of communication, oral or written -- well, would these
771
Klein - direct
1 files document oral communications?
2 THE WITNESS: These are generally summary files. But
3 if a circumstance occurred such as the one set forth here where
4 an investigation was transferred to another supervisor, that
5 information would be chronicled in the report.
6 THE COURT: Okay.
7 BY MR. HOLZHAUER:
8 Q. From reviewing those chronicles of reports, can you tell us
9 whether this document, Bates stamped 8466, is the kind of
10 document you might see in those, or is it more representative
11 of an oral communication?
12 A. I think the best way that I can characterize it is, I don't
13 know if this would be in the form of a written communication or
14 oral communication. I know that the information contained in
15 here is information that would be necessary to complete the
16 investigation.
17 Q. Thank you.
18 Lieutenant Klein, the next series of questions I'm
19 going to ask you involve the written job knowledge test. There
20 is a new exhibit book for that. It's our volume 2.
21 THE COURT: What exhibit number?
22 MR. HOLZHAUER: I just gave him the book. I'm about
23 to ask him about Plaintiffs' Exhibit 61.
24 THE COURT: Plaintiffs' Exhibit --
25 MR. HOLZHAUER: Plaintiffs' Exhibit 61.
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Klein - direct
1 BY MR. HOLZHAUER:
2 Q. Would you look at that exhibit. Item No. 2 in the written
3 test. Do you recall that Mr. Bishop testified that this item
4 involves a clerical function?
5 A. Yes.
6 Q. Is this one of the items you reviewed as a subject matter
7 expert?
8 A. Yes.
9 Q. Is the subject matter at issue in item No. 2 important to
10 the job of lieutenant?
11 A. Yes.
12 Q. Why is that?
13 A. The subject matter relates to what we call payroll and time
14 keeping in the police department. That's the method by which
15 we chronicle, document our officers' work schedules, overtime,
16 absences, things of that nature.
17 Q. Is it important for watch commanders to know where overtime
18 was accrued?
19 A. The watch commander is responsible for the monitoring and
20 approval of overtime on his or her shift.
21 Q. What relevance is it to know where the overtime was
22 accrued?
23 A. Well, in this particular case, the question, the stem of
24 the question indicates specifically that the overtime was
25 accrued within her unit of assignment. Where that overtime is
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Klein - direct
1 accrued, whether it is within the unit of assignment or at a
2 different location in the city dictates which watch commander
3 has to authorize the overtime.
4 Q. Can you turn to Plaintiffs' Exhibit 63, question 9. Do you
5 recall Mr. Bishop's testimony that a lieutenant does not need
6 to know the answer to this question, and that if they did need
7 to know it, they could just look it up?
8 A. Yes.
9 Q. Do you think the subject matter of 9 is important, is
10 something a lieutenant needs to know?
11 A. Absolutely.
12 Q. Why is that?
13 A. The stem of the question involves an individual who is
14 apparently suicidal and acting in an irrational manner.
15 Chicago police officers unfortunately come into contact with
16 individuals with mental disabilities on a somewhat frequent
17 basis.
18 As a consequence of those frequent contacts, we have,
19 in conjunction with the hospital counsel and the mental health
20 community, worked out some very carefully prescribed procedures
21 as to the appropriate mental health facilities to which these
22 individuals should be brought when we encounter them on the
23 street.
24 These are potentially very dangerous situations. If
25 the individual appears suicidal, there is, in my view a threat
774
Klein - direct
1 to life. I don't believe it's appropriate when you're
2 confronted with a situation where an individual is suicidal to
3 somehow restrain or otherwise prevent an individual from
4 engaging in an appropriate or dangerous behavior while someone
5 goes through the exercise of trying to look up what the
6 appropriate procedure is. I believe this is a circumstance of
7 somewhat critical nature where it's very important that the
8 individual be provided prompt treatment at a mental health
9 facility.
10 Q. Now, do you recall from Mr. Bishop's testimony that he
11 would expect the people who operate the police wagons to know
12 what to do in that situation?
13 A. Yes.
14 Q. Now, if that's true, why is it important for a watch
15 commander or another lieutenant to know that information?
16 A. Well, it's true for a few reasons. If it's a field
17 lieutenant we're talking about, that field lieutenant is
18 responsible for supervising all field activities. So he or she
19 should know what their subordinates are doing.
20 If it's a watch operations lieutenant, they are also
21 a lieutenant, and they are responsible for people taken into
22 department custody, and they should be aware of what the
23 appropriate procures and policies are to deal with people in
24 this circumstance.
25 And a further observation regarding Mr. Bishop's
775
Klein - direct
1 suggestion is that while in many cases historically it may have
2 been true that all officers assigned to squadrol duties were
3 very conversant with their duties, in the past several years we
4 have hired a few thousand new officers, and there is a
5 substantial likelihood that one of the new officers would not
6 be someone regularly assigned to squadrol duties and may not
7 well know what the appropriate procedure is and may need advice
8 from a supervisor.
9 Q. Could you turn to Plaintiffs' Exhibit 65, which is item 16
10 on the written test. Do you recall Mr. Bishop's testimony that
11 a lieutenant need not know the answer to this question?
12 A. Yes.
13 Q. Do you agree with that?
14 A. No, I don't.
15 Q. Why not?
16 A. The fact pattern talks about a traffic accident in the city
17 in which a district commander is one of the parties involved in
18 the accident. Because we have so many traffic accidents in the
19 city and, unfortunately, because many of them involve members
20 of the Chicago Police Department driving department vehicles,
21 we have a very detailed and prescribed directive which governs
22 responsibilities at these scenes.
23 A directive is in place to ensure there is a thorough
24 investigation, because we always anticipate litigation when
25 department members are involved in traffic accidents. In cases
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Klein - direct
1 involving department members, there is always a supervisory
2 responsibility. In this particular case, because the district
3 commander is involved in the accident, that responsibility for
4 investigating the accident and ensuring that things are done
5 rests with the watch operations lieutenant.
6 Q. Would you turn to Plaintiffs' Exhibit 67, item 19 from the
7 written exam. Do you recall Mr. Bishop's testimony that the
8 subject matter at issue in 19 is something that a lieutenant
9 need not know?
10 A. Yes.
11 Q. Do you agree with that?
12 A. No, I don't.
13 Q. Why not?
14 A. Question 19 involves semiautomatic weapons. Some years
15 ago, the department -- let me step back.
16 For many, many, many years the department has allowed
17 officers who qualify with semiautomatic weapons to carry them
18 as a secondary weapon. So they have always been around for the
19 24 or 25 years that I've been on the police department.
20 Several years ago, however, the department made a
21 shift in policy and now all new officers that have been hired
22 within that period carry a semiautomatic weapon as their
23 primary weapon. They no longer carry revolvers. So all of the
24 people that have been hired in the last several years are
25 carrying semiautomatic weapons, in addition to people hired
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Klein - direct
1 before that time that elect to carry them.
2 Semiautomatic weapons, they're different than
3 revolvers. They're somewhat more complicated. The department
4 did an extensive multiyear study to determine which weapons,
5 which semiautomatic weapons it would authorize for its members.
6 We are not authorized to carry any semiautomatic weapon we
7 choose. The department prescribes which manufacturers
8 manufacture authorized weapons.
9 And one of the primary reasons for determining or
10 identifying particular manufacturers was safety considerations.
11 We wanted to identify manufacturers and weapons types that were
12 safe, that were reliable, not only for the officer, but for
13 purposes of the damage that they can inflict if they were used.
14 One of the most important, if not the most important,
15 features on a semiautomatic weapon, which are the only types
16 which we authorize, is this automatic firing safety pin device.
17 As Mr. Bishop testified, what this does is it's a bar that
18 comes down between the hammer and the round that's in the
19 chamber to prevent that round from accidentally discharging.
20 In the past we had a lot of accidental discharges, because what
21 would happen is in order to safely decock a weapon in which
22 there was a round in the chamber, you had to slightly depress
23 the trigger and manually lower that hammer. And in manually
24 lowering that hammer, we had a lot of problems. People would
25 slip, shoot themselves, shoot holes in the walls, do things
778
Klein - direct
1 like that. So we determined that those weapons would no longer
2 be authorized and that the only semiautomatic weapon you could
3 carry had to have that device.
4 Lieutenants need to know that because lieutenants as
5 watch commanders conduct weapons inspections. They are
6 responsible for seeing that their subordinates are carrying the
7 appropriate authorized weapons and using the appropriate
8 ammunition.
9 Q. Would you turn to Plaintiffs' Exhibit 69, which is item 22
10 from the written exam. Do you recall Mr. Bishop's testimony
11 that a lieutenant need not know the information which is tested
12 in this item?
13 A. Yes.
14 Q. Do you agree with that?
15 A. No, I don't.
16 Q. Why not?
17 A. The department is in the business of responding to criminal
18 incidents and major problems in public safety throughout the
19 city. We are always the first responders in critical or
20 crucial situations involving, you know, potential destruction
21 of property or loss of life or serious injury.
22 In order to discharge that responsibility, we have
23 some very defined planning processes. We have plans for many
24 things. We have plans for events that are more commonplace
25 that occur within districts to ensure that we have adequate
779
Klein - direct
1 manpower to address the public safety issues.
2 We also have two plans that are of a much more
3 serious nature. They're designed to affect or impact upon
4 serious events occurring throughout the city that may not be
5 able to be contained or handled with the limited resources of a
6 district. Plans Blue and Red are those two plans that deal
7 with much more serious incidents. This question talks about
8 Plan Red.
9 Plan Red is a circumstance where there is a major
10 incident occurring throughout the city, someplace in the city.
11 There aren't sufficient resources available at that location,
12 so assets -- resources are marshaled from various places
13 throughout the city and brought to bear at that particular
14 location.
15 As the watch operations lieutenant, the lieutenant is
16 obviously responsible for two things: He is responsible for
17 ensuring that adequate resources are available in his area of
18 assignment to provide police services, and he also has
19 responsibility for his part in providing resources to these
20 major plans.
21 Time is of the essence in these circumstances. These
22 are unfolding disasters, unfolding major problems, airplane
23 crashes, things of that nature. And substantial delays in time
24 while lieutenants figure out what it is they are supposed to be
25 doing and how many people they are supposed to be sending, you
780
Klein - direct
1 know, in my view significantly impact our ability to respond in
2 a prompt and effective manner.
3 Q. Do you recall Mr. Bishop's testimony that the watch
4 operations lieutenant could look it up if he didn't know the
5 answer to this question?
6 A. I recall that testimony.
7 Q. Do you agree with that?
8 A. No, I don't.
9 Q. Please turn to Plaintiffs' 71, which is question 24 from
10 the written test. Do you recall Mr. Bishop's testimony that
11 the subject matter at issue in this item involves the
12 responsibilities of sergeant and not a lieutenant?
13 A. Yes, I do.
14 Q. Do you agree with that?
15 A. No, I don't.
16 Q. Why not?
17 A. Well, in the first instance, the lieutenant supervises the
18 sergeants. So the lieutenant needs to know not only what the
19 police officer does as a general proposition but what the
20 sergeants' responsibilities are.
21 Secondly, we in the department are always
22 understaffed. We always have a shortage of supervisors. We
23 always have a shortage of sergeants. We always have a shortage
24 of lieutenants. So as a very practical matter on a daily
25 basis, when an officer needs assistance or advice, what they do
781
Klein - direct
1 is they take their portable radio and they ask for a supervisor
2 to respond to the scene. They generally don't say, "Is my
3 sergeant available?" Sometimes they would say that, but they
4 ask for supervisor, and whatever available supervisor is there
5 or in the proximity should respond to the scene and provide
6 that assistance.
7 Q. Can you turn to Plaintiffs' 73, which is item 26. Do you
8 recall Mr. Bishop's testimony that a lieutenant could look up
9 the answer to this question?
10 A. Yes, I do.
11 Q. Do you agree with that?
12 A. Not really.
13 Q. Why not?
14 A. This is a circumstance involving driving under the
15 influence enforcement. There are some carefully prescribed
16 statutory procedures which regulate what department protocols
17 and procedures and responsibilities are in this area.
18 The lieutenant, the watch operations lieutenant is
19 responsible for reviewing arrests, documents related to
20 arrests, case reports, arrest reports, approving arrest
21 reports, documents related to the processing of a DUI in this
22 particular circumstance.
23 In my view, while reviewing all these documents, this
24 is something that a lieutenant should have some immediate
25 command of this information. It's just not appropriate in my
782
Klein - direct
1 view for a lieutenant to try and engage in some contemplative
2 research while people are standing there with prisoners, while
3 other district activities are going on, while he's got officers
4 that are taken off the street while they are trying to complete
5 the booking process. I think there are some duties that are so
6 fundamental and so important that the lieutenant, the watch
7 commander should have a general understanding of the underlying
8 subject matter.
9 Q. Could you turn to Plaintiffs' Exhibit 75, which is item No.
10 40 from the written test. Is the subject matter at issue in
11 item 40 important to the position of lieutenant?
12 A. I would think explosive devices are important to the
13 Chicago Police Department, yes.
14 Q. Why are they important?
15 A. Well, the potential for significant property damage and/or
16 loss of life or serious injury always correlate or correspond
17 to the existence of explosive devices.
18 Q. Now, is there -- looking at alternative E, why is
19 alternative E incorrect?
20 A. Alternative E is incorrect because of the use or the
21 recommendation that the police radio be utilized. And that is
22 incorrect.
23 Q. Why?
24 A. Because we as police officers are taught that some
25 explosive devices are capable of being detonated by radio
783
Klein - direct
1 transmissions.
2 Q. Is this something that's important for a lieutenant to
3 know?
4 A. I would certainly think it's important for most people to
5 know.
6 Q. Can you turn to Plaintiffs' 77, which is item 48 from the
7 written test. Do you recall Mr. Bishop's testimony that this
8 question doesn't reflect actual Chicago Police Department
9 procedure?
10 MR. FLAXMAN: I think he said "practice," Judge,
11 rather than "procedure."
12 THE COURT: He said what, "practice"?
13 MR. FLAXMAN: Mr. Bishop's testimony was about actual
14 practice, not about the procedure.
15 BY MR. HOLZHAUER:
16 Q. Do you recall Mr. Bishop's testimony that this question
17 does not reflect the actual practice in the Chicago Police
18 Department?
19 A. Generally.
20 Q. Do you agree with that?
21 A. No.
22 Q. Why not?
23 A. We have a very prescribed procedure regarding drug testing
24 in the Chicago Police Department. It has come about as a
25 consequence of extended negotiations with the union, extended
784
Klein - direct
1 review of the legal literature, consultation with our
2 attorneys, consultation with the medical community and the
3 test -- the drug testing community. And those procedures are
4 there for a reason. They're there for reasons related to all
5 the things I just indicated.
6 We view drug use in the Chicago Police Department,
7 unauthorized drug use, very seriously based upon the nature of
8 our responsibilities. And there are many roles and
9 responsibilities associated with drug testing. Some of those
10 responsibilities are the responsibilities of medical people.
11 Some of those responsibilities rest with our personnel
12 division. And some of the responsibilities rest with unit
13 commanding officers or watch commanders.
14 The consequence of not doing -- of doing something
15 that was someone else's responsibility or not doing something
16 that was your responsibility jeopardizes the process, and in
17 cases where officers are suspected of using illegal substances,
18 jeopardize our ability to terminate employment.
19 In this particular case, the watch commander's
20 responsibility is item C, which is the only responsibility of a
21 watch commander among the array of answer choices.
22 Q. Could you turn to Plaintiffs' 79, which is item 53 from the
23 written test. Is the information at issue in item 53 important
24 for a field lieutenant to know?
25 A. Yes, it is.
785
Klein - direct
1 Q. Why is that?
2 A. More so now than eight or ten years ago. The department is
3 seriously involved in training its officers in the use of less
4 than lethal force. Options have become available which were
5 previously unavailable many, many years ago which allow us to
6 take into custody people who are combative or uncooperative
7 without resorting to serious force, which could cause great
8 bodily injury or harm.
9 One of the methods that we make available to our
10 officers are the use of OC spray, which is a successor to mace
11 of days past. Our directive in this regard, because it
12 involves a serious subject matter, the use of force, was
13 carefully crafted based upon a review of the legal literature
14 and in conjunction with the manufacturers and medical community
15 recommendations to ensure that we could accomplish the police
16 purpose, which is taking an individual into custody when
17 necessary with the minimal amount of force exerted, and also
18 take into account the medical considerations that that taking
19 into custody would occur with minimizing the likelihood of
20 injury to the individual.
21 Q. Do you agree with Mr. Bishop's testimony that an arrestee
22 who's been sprayed with OC should be immediately transported to
23 a medical facility?
24 MR. FLAXMAN: We haven't had -- objection to
25 foundation -- no testimony he has ever arrested anyone or seen
786
Klein - direct
1 OC used in the field.
2 THE COURT: What is your experience with this?
3 THE WITNESS: Although I have never, as Mr. Flaxman
4 says, I've never utilized OC in the field, the division in
5 which I work, the education and training division, provides all
6 the training for department members in the appropriate use of
7 deadly force, less than deadly force, and the use of OC spray,
8 and the consequences of subsequent activities that occur after
9 the use of OC spray.
10 THE COURT: And the question is, again?
11 MR. HOLZHAUER: My question was: Do you agree with
12 Mr. Bishop's testimony that an arrestee who has been exposed to
13 OC in this matter, sprayed with OC, should be transported
14 immediately to a medical facility?
15 MR. FLAXMAN: I don't think that was Mr. Bishop's
16 opinion. But putting that aside, I don't think he has the
17 basis for expressing and disagreeing with that.
18 THE COURT: Overruled.
19 BY THE WITNESS:
20 A. I don't believe that it's appropriate in all cases to
21 immediately transport someone who has been sprayed with OC, to
22 immediately transport them to the hospital.
23 My reasoning in that regard is, first of all, first
24 and foremost of all, that's not what our procedures prescribe.
25 Our procedures prescribe an alternative to that. And the
787
Klein - direct
1 reason that our procedures prescribe an alternative to
2 immediately taking someone to a hospital is in a majority of
3 cases, from my understanding of a review of the literature, in
4 the majority of cases, the effects of OC spray disappear very
5 quickly. In those circumstances it would be inappropriate for
6 us to have our officers taking individuals to the hospital.
7 Only in those cases where there are some medical
8 indications that there is more serious harm or damage likely to
9 occur in my view would it be appropriate consistent with our
10 directives to take someone to a medical facility.
11 BY MR. HOLZHAUER:
12 Q. Would you please turn to Plaintiffs' Exhibit 81, which is
13 item 54 from the written test. Do you recall Mr. Bishop's
14 testimony that the lieutenant need not know the answer to this
15 question because it involves responsibilities of a desk
16 sergeant?
17 A. Generally.
18 Q. Do you agree with that?
19 A. No, I don't.
20 Q. Why not?
21 A. This subject matter involves an interaction between a
22 member of the Chicago Police Department and a security guard.
23 MR. FLAXMAN: Let me object. I don't think I asked
24 Mr. Bishop about Exhibit 81, Judge. I skipped to 83, according
25 to my notes.
788
Klein - direct
1 MR. HOLZHAUER: Well, our notes had it in there. It
2 might be from his report originally. Let me rephrase the
3 question.
4 BY MR. HOLZHAUER:
5 Q. Do you think this is something a lieutenant needs to know,
6 Lieutenant Klein?
7 A. Yes.
8 Q. Why is that?
9 A. Well, for two reasons. If the lieutenant is the field
10 lieutenant, he has operations, as I've indicated, for all field
11 activities, and these types of traffic stops interactions occur
12 in the field. So a lieutenant should be aware of what the
13 appropriate rules, regulations, policies and underlying law are
14 in regard to these areas.
15 If the lieutenant were acting as a watch operations
16 lieutenant, he or she has the responsibility for reviewing and
17 approving arrest reports, so they need to know the underlying
18 elements of offenses and be familiar with policy and procedures
19 regarding the carrying of weapons in these circumstances.
20 THE COURT: Mr. Flaxman, you're right.
21 MR. FLAXMAN: Thank you, Judge.
22 BY MR. HOLZHAUER:
23 Q. Lieutenant Klein, would you turn to Plaintiffs' Exhibit 85,
24 which is item 65 from the written exam. Do you recall
25 Mr. Bishop's testimony the watch operations lieutenant does not
789
Klein - direct
1 need to know the answer to this question?
2 A. Yes.
3 Q. Do you agree with that?
4 A. No, I don't.
5 Q. Why not?
6 A. The way the department is structured with respect to
7 supervisory responsibilities and chain of command is the desk
8 sergeant in this case reports to the watch operations
9 lieutenant. The watch operations lieutenant is responsible for
10 all activities that occur in that facility.
11 It's in my view very difficult for a watch operations
12 lieutenant to properly supervise and advise his subordinates if
13 he doesn't know what their responsibilities are.
14 Q. Could you turn to Plaintiffs' Exhibit 87, which is item 66
15 from the written exam. Do you -- is the subject matter at
16 issue in item 66 important for a lieutenant to know?
17 A. Yes.
18 Q. Why is that?
19 A. The subject matter involves a landlord/tenant dispute. We
20 have a substantial number of landlord/tenant disputes that
21 occur throughout the City of Chicago on a very frequent basis.
22 So much so that in past years the City administration has
23 drafted an ordinance regulating landlord/tenant conduct.
24 They have convened a working group of representatives
25 from the department of housing, from the residential real
790
Klein - direct
1 estate groups, from the Chicago Police Department and the
2 mayor's office to look at all the various issues related to
3 problems associated with landlord/tenant relations and to
4 ensure that the ordinance reflected the concerns of both sides
5 to those disputes and also that the Chicago Police Department
6 had a policy in place which reflected what the ordinance
7 requires both in theory and in practice, because as I've
8 indicated, we are the first responders to these types of
9 disputes. And these types of disputes occasionally or
10 frequently result in arguments or in confrontations.
11 Q. Do you think this is something a lieutenant could look up
12 if he or she doesn't know the answer?
13 A. It would depend. Sometimes there is immediacy associated
14 with these circumstances. If there is some violence associated
15 with it, I don't think a lieutenant would have the luxury of
16 doing any research. If it were a different circumstance, there
17 is a possibility that a lieutenant could have an opportunity to
18 look it up.
19 Q. Would you turn to Plaintiffs' Exhibit 89, which is item 68
20 from the written exam. Do you recall Mr. Bishop's testimony
21 that not only is answer D correct, but answer E is also
22 correct?
23 A. Yes.
24 Q. Do you agree with that?
25 A. No, I do not.
791
Klein - direct
1 Q. Why not?
2 A. I would agree that answer D is correct, but I would not
3 agree that answer E is correct. This is another circumstance
4 involving a division of duties, if you will.
5 We have in the Chicago Police Department a particular
6 area of responsibility called the identification section. That
7 identification section is charged with the responsibility of
8 doing these types of things. They have all our warrant
9 information, all of our name check information, all of our
10 criminal history information. And because they have all that
11 information, they are the authority. They are the people
12 charged with the responsibility of conducting name checks and
13 informing officers and supervisors of the status of those name
14 checks.
15 So item E is not correct, because it's not the police
16 officer's responsibility, it's the responsibility of personnel
17 assigned to the identification section.
18 Q. Does the watch commander need to know the answer to this
19 question?
20 A. Yes.
21 Q. Can you turn to Plaintiffs' Exhibit 91, which is question
22 80 from the exam. Do you recall Mr. Bishop's testimony that
23 the lieutenant need not know the information at issue in this
24 item?
25 A. Yes.
792
Klein - direct
1 Q. Do you agree with that?
2 A. No, I don't.
3 Q. Why not?
4 A. This fact pattern, this scenario involves someone who is
5 brought into a police facility pursuant to a court order that
6 the individual be fingerprinted and photographed. The watch
7 operations lieutenant is responsible for those activities that
8 occur in the district.
9 Although in my experience this type of circumstance
10 doesn't happen with any degree of frequency, it's my view,
11 based upon my experience, that if this procedure were not
12 complied with, that is, if this individual was not promptly
13 fingerprinted, photographed and released, we'd have a
14 circumstance where we were -- we put ourselves in a position of
15 being potentially liable for unlawful detention, unlawful
16 restraint, because we have no legal grounds to hold the
17 individual.
18 The watch commander is responsible for bonding
19 procedures and promptly releasing people, making them available
20 for bond. And that watch commander, because that's an
21 important responsibility, should know the circumstances under
22 which he has the authority to hold people in police custody.
23 Q. Is there a special order that addresses the subject matter
24 of the issue in question 80?
25 A. I believe that there is.
793
Klein - direct
1 Q. Could you turn to Plaintiffs' Exhibit 93, which is item 1
2 -- item 81 from the written exam. Do you recall Mr. Bishop's
3 testimony that the subject matter of this item need not be
4 known by a lieutenant?
5 A. Yes.
6 Q. Do you agree with that?
7 A. No, I do not.
8 Q. Why not?
9 A. For a few reasons. This is a circumstance where an officer
10 in the late evening hours comes upon a public school, notices
11 that a number of windows are broken. He's checked the
12 premises. He can't find anyone there that doesn't belong. He
13 can't find anyone there at all.
14 The officer for some reason does not know how to
15 proceed in this matter, and he contacts the watch operations
16 lieutenant for advice. The watch operations lieutenant, having
17 been a police officer and a sergeant, certainly should know
18 what the appropriate procedure is in this matter.
19 And the reason that the watch operations lieutenant
20 specifically should know this is because, as I've testified,
21 he's responsible for manpower. What happens in these
22 circumstances is -- this is 7:00 o'clock in the evening. We
23 found a school where there are windows that are broken. If the
24 officer cannot have someone come to that scene and either board
25 up the windows or have someone from the Board of Education
794
Klein - direct
1 secure the premises, that officer is going to be sitting there
2 all night. And his relief officer at 12:00 o'clock is going to
3 be sitting there all night until the morning. So you've got a
4 police car that's tied up all night long sitting on broken
5 windows because the officer or the supervisor didn't know
6 enough to contact the Board of Education to have some
7 responsible party come take control of the premises.
8 And, again, I'm speculating, but the officer may not
9 know, because we have a lot of new officers on the street who
10 may not be aware of these procedures, and we expect our
11 supervisors to know them.
12 Q. Is this a question that one of those new officers would
13 ordinarily address to a sergeant or to a lieutenant?
14 A. He would address it to any supervisor who was available.
15 Q. That could be a lieutenant?
16 A. That could certainly be a lieutenant. It could be a
17 captain.
18 Q. Could you turn to Plaintiffs' Exhibit 95, item 82 from the
19 written exam. Do you recall Mr. Bishop's testimony that a
20 lieutenant can look up the answer to this question on the job?
21 A. Yes.
22 Q. Do you agree with that?
23 A. I agree that a lieutenant could look it up. I don't agree
24 that this is a circumstance in which he should have to look it
25 up.
795
Klein - direct
1 Q. Why not?
2 A. The Chicago Police Department makes thousands and thousands
3 and thousands of arrests every year. Most of our arrests, the
4 majority of our arrests involve notifying someone. Depending
5 on the type of crime, we notify people within the department.
6 If it involves other city agencies, we notify the other city
7 agencies about the incident.
8 We have an arrangement with the Chicago Board of
9 Education, and as with other city agencies, the park district,
10 that if we arrest their employees, that we provide them with
11 timely notification.
12 When lieutenants are reviewing these arrest reports
13 and the associated case reports, they're supposed to be
14 reviewing these reports to ensure that they are properly and
15 thoroughly completed, that they contain requisite probable
16 cause, et cetera. And in order to conduct a review to ensure
17 that everything that needs to be there is there, the lieutenant
18 needs to know who the appropriate people to be notified are.
19 Q. If police officers regularly make arrests, like you say,
20 thousands and thousands a year, why would an officer need to
21 seek out this information from a lieutenant?
22 A. He shouldn't. He should know it himself or herself. But
23 in cases where they don't, that's why we have supervisors.
24 Q. Okay. Could you go to Plaintiffs' Exhibit 97, which is
25 item 120 from the written exam. Is the subject matter at issue
796
Klein - direct
1 in this item something that's important for a lieutenant to
2 know?
3 A. Yes.
4 Q. Why is that?
5 A. The subject matter is search warrants. The execution of
6 search warrants are very important. There are prescribed
7 procedures, not only procedural with respect to complying with
8 the law related to the obtaining and execution of warrants, but
9 there are serious safety considerations from our officers'
10 perspective regarding the execution of search warrants. We
11 have a very carefully delineated protocol by which warrants are
12 obtained and executed.
13 And as a watch operations lieutenant, they have the
14 responsibility for reviewing the complaints for search
15 warrants, related case reports, and other information to ensure
16 that in the first instance our officers have grounds to seek
17 the issuance of a search warrant; in the second instance, to
18 ensure that they have considered all the factors related to the
19 safe execution of a warrant; and, thirdly, after the execution
20 or attempted execution of the warrant, that the appropriate
21 department and legal procedures are followed.
22 Q. It says here the correct answer is D. Could you look
23 through the other four, four answers for a minute.
24 A. Choice A is --
25 Q. You don't have to describe them. Just look at them for a
797
Klein - direct
1 minute. I want to ask you if any of the other answers other
2 than D are correct?
3 A. They are all incorrect.
4 Q. Would a lieutenant need to know that all four of those are
5 incorrect?
6 A. He should.
7 Q. Let's turn to Exhibit 99, which is item 122 on the exam.
8 Is the subject matter at issue in this question important for a
9 lieutenant to know?
10 A. Yes.
11 Q. Why is that?
12 A. It relates to the watch operations lieutenant's
13 responsibilities for processing individuals that are in
14 custody. This circumstance involves someone who has been taken
15 into custody via continuous jurisdiction, and the individual in
16 custody is brought into one of our district facilities.
17 The watch commander has responsibilities for the
18 appropriate care, detention, processing of that individual,
19 because the watch operations lieutenant is the one that we
20 designated with the responsibility for handling prisoners and
21 arrestees that come into our custody.
22 Q. Could you look at Plaintiffs' Exhibit 101, item 123 on the
23 written exam. Do you believe that the subject matter at issue
24 in item 123 is important for lieutenants to know?
25 A. Generally.
798
Klein - direct
1 Q. Why is that?
2 A. Well, the question talks about an affirmative defense. But
3 in my view it really relates to the lieutenants, the watch
4 operations lieutenant's responsibilities for approving charges.
5 The answer choices that are contained in this
6 question, of all the answer choices present, the only one for
7 which a lieutenant should have some indication that there is a
8 charging issue is choice A, which involves the age of an
9 offender. I think that age is a triggering event, and a watch
10 commander should be taking into consideration age of people
11 that are brought into department custody, because depending on
12 the age of an offender, the lieutenant has different
13 responsibilities.
14 Q. Would it be proper to process a 12 year old as an adult?
15 A. If a lieutenant knowingly processed a 12 year old as an
16 adult, we would be looking at some serious litigation.
17 MR. FLAXMAN: Let me object to that last one. I
18 don't know where a 12 year old being processed as an adult
19 comes into this question at all.
20 MR. HOLZHAUER: We're talking about commission of an
21 offense. And I think offenses generally involve adults.
22 THE COURT: I'm looking at A.
23 MR. HOLZHAUER: As defined in the criminal code.
24 THE COURT: Excuse me. I'm looking at A.
25 MR. FLAXMAN: I don't know, I don't see the word
799
Klein - direct
1 "adult" in this question. The last question was something
2 about knowing that should not be processed as an adult. I
3 don't know where that comes in.
4 MR. HOLZHAUER: Your Honor, the purpose of this
5 question is to make sure that this is something that
6 lieutenants need to know. And that background, I think, is
7 important.
8 THE COURT: I think I understand the line of
9 questioning. Overruled.
10 BY MR. HOLZHAUER:
11 Q. Could you look at Plaintiffs' Exhibit 103, which is item
12 124 of the written exam. Is the subject matter at issue in 124
13 important for a lieutenant to know?
14 A. Yes, it is.
15 Q. Why is that?
16 A. It again involves search warrants. And for the reasons
17 which I indicated, both the legal considerations and the safety
18 considerations, the execution of search warrants is important.
19 Q. Could you turn to Plaintiffs' Exhibit 105, question 127
20 from the written exam. Is the subject matter at issue in item
21 127 important for a lieutenant to know?
22 A. Yes.
23 Q. Why is that?
24 A. It involves a circumstance which could involve placing
25 individuals under arrest and determining what the appropriate
800
Klein - direct
1 charges would be. And that is one of the responsibilities of
2 lieutenants.
3 Q. Now, Mr. Bishop testified that choice A is not correct. Do
4 you agree with that?
5 A. No. I believe A is the only correct choice.
6 Q. Why is A correct, or how is A correct?
7 A. This scenario involves a circumstance in which some
8 individuals are in a parking lot with a sign indicating tenants
9 only, which a reasonable police officer I believe could believe
10 constitutes notice that no trespassing is allowed. And of the
11 answer choices that are provided the candidate, that is the
12 only one that is remotely related to what the question seeks to
13 elicit.
14 Q. Is answer B correct?
15 A. No, it is not.
16 Q. Why is that not correct?
17 A. Charges relating to sound emitting devices basically only
18 pertain to public transportation.
19 Q. Could you turn to Plaintiffs' Exhibit 107, which is
20 question 128 on the written exam. Do you -- is the subject
21 matter at issue in 128 important for a lieutenant to know?
22 A. Yes.
23 Q. Why is that?
24 A. It involves information that a lieutenant is being asked to
25 provide. Part of what we're trying to do with our new policing
801
Klein - direct
1 strategy is establish a relationship with the community. And
2 we expect that our personnel, particularly our supervisors, are
3 knowledgeable in most of the subject matter areas involving law
4 enforcement in the City of Chicago.
5 This is a circumstance in which this individual's
6 public vehicle license was taken away as a result of conduct by
7 the Chicago Police Department. We engaged in some enforcement
8 action which resulted in this individual losing his license. I
9 believe it's only reasonable for the man to come to those
10 people who initiated the loss of his license with a question
11 regarding how he goes about getting his license back.
12 Q. Can you turn to Plaintiffs' Exhibit 109, which is item 131
13 from the written exam. Is the subject matter at issue in item
14 131 important for a lieutenant to know?
15 A. Yes, it is.
16 Q. Why is that?
17 A. It involves weapons. The department is involved in
18 interaction with individuals who are legally or illegally
19 possessing weapons with an extreme, a frightening degree of
20 frequency. We seize or confiscate over 20,000 unauthorized,
21 illegal firearms every year.
22 This is a circumstance in which an individual is
23 apparently going to lose her registration because of some
24 criminal activity. And as in the previous question, she's
25 coming to the police, who initiated the action to cause her to
802
Klein - direct
1 lose her weapons registration seeking some information how she
2 can go about getting her license back or her registration back.
3 Q. Now, Mr. Bishop testified that the subject matter in issue
4 in item 131 is the responsibility of the desk officer. If
5 that's so, why would a lieutenant need to know that
6 information?
7 A. Well, I don't know that it's anyone's responsibility in the
8 police department in particular. I can't think of a directive
9 that makes it the specific responsibility of anyone to provide
10 information regarding this matter.
11 This is a matter of public service. We have people
12 that walk into our district facilities every hour of the day,
13 every day of the year looking for some information about
14 something. And it's been my experience that they would ask the
15 first person of authority that they would see, whether that be
16 a police officer or a civilian or a supervisor who happened to
17 be in the vicinity of the desk area.
18 Q. Can you turn to Plaintiffs' Exhibit 111, which is item 132
19 from the written exam. Is the subject matter of item 132
20 important for a lieutenant to know?
21 A. Yes, it is.
22 Q. Why is that?
23 A. It again relates to weapons in the City of Chicago. Beyond
24 the contact with individuals who illegally possess weapons, we
25 are constantly queried about questions related to the
803
Klein - direct
1 registration of firearms, the use of firearms, types of
2 firearms, things of that nature, parents coming to us to say
3 they found certain devices in their children's rooms.
4 As a general proposition, we get a lot of inquiries
5 regarding rifles and registrations and legality in this city.
6 So we expect all our personnel, not just our supervisors, to be
7 knowledgeable in many subject matter areas related to weapons.
8 MR. HOLZHAUER: Your Honor, if you can give me just
9 one minute?
10 (Discussion off the record.)
11 MR. HOLZHAUER: Your Honor, I have no further
12 questions of Lieutenant Klein.
13 THE COURT: Before you start, I just want to ask of
14 you two questions.
15 Do you have to register a rifle in Chicago?
16 THE WITNESS: You have to have a firearm owner's
17 identification card in order to purchase ammunition. You are
18 supposed to register rifles and longguns in the City of
19 Chicago, yes.
20 THE COURT: I didn't know that. More to the point --
21 I don't live in Chicago. I don't live in Chicago.
22 You're basically saying that all the information that
23 a patrol officer or a sergeant ought to know ought to be known
24 up the line, because either the lower officer, lower-ranking
25 officer or perhaps a citizen may need to consult them for
804
Klein - direct
1 advice, supervision or review?
2 THE WITNESS: Yes, sir.
3 As a practical matter, again, a citizen -- we're the
4 first point of contact in government for most people, the
5 police. They see us on the street all day long. They come
6 into our facilities. If they have a question about something
7 even remotely related to government, they come to us.
8 They don't have benefit of knowledge of our chain of
9 command or our rank structure. They're going to ask the first
10 officer or supervisor they see. So we would hope that officers
11 and supervisors have that knowledge.
12 THE COURT: So basically this test would be the same
13 for a lieutenant as it would be for a patrol officer?
14 THE WITNESS: No, because the patrol officers do not
15 have to know the information. They don't have the
16 responsibilities. They don't conduct some of these weapons
17 discharge investigations.
18 THE COURT: Okay.
19 THE WITNESS: They don't do some of the more serious
20 things.
21 THE COURT: Fair enough.
22 How about for a sergeant and a lieutenant?
23 THE WITNESS: It's the same basic response.
24 Sergeants don't have responsibility for doing those things.
25 Sergeants don't serve as watch commanders, so they don't need
805
Klein - direct
1 to be intimately familiar with some of these things. They need
2 to be generally familiar that we have directives which govern
3 some of these things, but because it's something they never
4 have to do, they don't need to know the mechanics of how to do
5 them.
6 THE COURT: I thought, maybe my memory is failing,
7 and my notes will tell me differently, I thought we heard from
8 some of these sergeants that they did, in fact, serve as watch
9 commanders from time to time when their lieutenant, you know,
10 wasn't there or when they had to fill in for the lieutenant?
11 THE WITNESS: They served as watch commanders in
12 specialized units in the youth division or some of our
13 specialized units. Those places don't have -- those
14 assignments don't have the same kinds of responsibilities that
15 watch commanders in the districts have.
16 THE COURT: Okay. All right. I think that clears it
17 up. Before you start, Mr. Flaxman, I want to go just about
18 five minutes and then we'll break.
19 Are you here on a case, counsel?
20 (Discussion off the record.)
21 MR. FLAXMAN: I think we should state this is not a
22 typical trial.
23 THE COURT: Oh, this is great.
24 MR. HOLZHAUER: This is not a typical court buff
25 either.
806
Klein - cross
1 CROSS-EXAMINATION
2 BY MR. FLAXMAN:
3 Q. Mr. Klein, how long have you been in the Chicago Police
4 Department?
5 A. It will be hitting my 25th year in February of 1998.
6 Q. So you were employed when quota promotions were first made
7 in the Chicago Police Department, is that right?
8 A. Yes, sir.
9 Q. And you know that as a result of quota promotions,
10 African-American and Hispanic police officers and sergeants who
11 had received lower scores on promotional tests were promoted to
12 sergeant and lieutenant than white officers who had received
13 higher scores?
14 MR. HOLZHAUER: Your Honor, I know what you said
15 earlier about scope of direct, but I would like to put on the
16 record that I object as beyond the scope of direct.
17 THE COURT: I think it probably is. But I'm going to
18 let him do it rather than call the witness back.
19 BY THE WITNESS:
20 A. Yes, I am aware of that.
21 BY MR. FLAXMAN:
22 Q. Now, in the course of your work in the police department,
23 you've been in high supervisory positions, is that right?
24 A. Yes, sir.
25 Q. And you've had a chance to assess the performance of white
807
Klein - cross
1 sergeants, African-American sergeants, Hispanic sergeants and
2 lieutenants of all races and police officers of all races, is
3 that right?
4 A. Generally so, yes.
5 Q. Have you observed that the African-American or Hispanic
6 police lieutenants who were promoted as the result of quota
7 promotions are any less qualified to do their job than the
8 white lieutenants?
9 A. I really have no personal knowledge of which of those
10 individuals were promoted as a result of quotas.
11 Q. Well, have you observed that as a group the Hispanic and
12 African-American lieutenants aren't as good as the white
13 lieutenants?
14 A. Well, I don't know a what you mean by "good." I have
15 opinions about the performance levels of all genders and races.
16 But it's basically not related to gender or race, it's just
17 their ability to perform.
18 Q. Well, you don't think, do you, that the African-American
19 police lieutenants don't do as good a job as the white police
20 lieutenants, do you, Mr. Klein?
21 A. As a general matter, no.
22 Q. And you don't think that the African-American and Hispanic
23 police sergeants don't do as good a job as the white police
24 sergeants, do you, Mr. Klein?
25 A. Generally, no.
808
Klein - cross
1 Q. And now, the exempt ranks, there are African-American and
2 Hispanic officers in the exempt ranks, is that right?
3 A. Yes.
4 Q. And you don't think that as a group they're any less
5 qualified than the white officers in the exempt ranks, do you?
6 A. No.
7 Q. Thank you.
8 Now, when you first got hired by the police
9 department, you went to the training academy, is that right?
10 A. Yes, sir.
11 Q. And how long was the training academy when you went there?
12 A. It's been a long time. But if memory serves me, I think it
13 was about 16 weeks at that time.
14 Q. And you're familiar with the training academy today, is
15 that right?
16 A. Yes.
17 Q. How many weeks is it now?
18 A. 24 weeks.
19 Q. And during that -- the 24 weeks now are recruits -- well,
20 the people in the training academy, are they called
21 probationary police officers?
22 A. Yes.
23 Q. Are those probationary police officers taught about the
24 general orders?
25 A. Yes.
809
Klein - cross
1 Q. Are they taught about the special orders?
2 A. Yes.
3 Q. And they're taught about the statutes?
4 A. Yes.
5 Q. Do they get tests every week about things that they've
6 learned?
7 A. I'm not sure if it's every week or every other week, but
8 they are tested frequently.
9 Q. And it's not just one test at the end, is it, Mr. Klein?
10 A. No.
11 Q. And if they fail a test -- well, is there a passing score
12 on these tests that are given at the academy?
13 A. Yes.
14 Q. It's not a deal -- excuse me -- it's not a system where the
15 people, the top half graduate and the bottom half flunk out, is
16 that right?
17 A. No.
18 Q. There is -- there is a score to pass, and if you pass, you
19 could continue, is that right?
20 A. That's correct.
21 Q. What happens if you fail one of these tests at the academy
22 about the general orders?
23 A. It's not a matter of failing a single test. You are
24 required to maintain a 70-percent average by the conclusion of
25 training. So you have opportunities to vary your average.
810
Klein - cross
1 Q. Is there tutoring or remediation for people who don't do
2 well on these tests?
3 A. Occasionally.
4 Q. And at the end of the training, there is another test that
5 you have to pass right now, is that right?
6 A. That's correct.
7 Q. That's the state test, is that right?
8 A. A state certification exam.
9 Q. And then after passing all of these tests, the police
10 officer goes out on the street and begins to work as a police
11 officer, is that right?
12 A. After the 24 weeks, they begin their field training phase,
13 yes.
14 Q. And field training, how long is field training?
15 A. It's the difference between the 24 weeks in the academy and
16 one calendar year.
17 Q. Is there any testing on general orders during field
18 training?
19 A. There is an assessment of the probationary officer's
20 knowledge of department rules and regulations, policies and
21 procedures, and they are graded on that every two weeks.
22 Q. Well, is this assessment a multiple-choice test that's
23 given every two weeks?
24 A. No.
25 Q. What's the form of this assessment?
811
Klein - cross
1 A. It's an assessment by the field training officer as to
2 whether the individual can properly perform in a variety of
3 subject matter areas.
4 Q. Well, does the -- in making this assessment, does the field
5 training officer ask the probationary police officer to take a
6 test?
7 A. I don't know exactly how they make their assessments.
8 Q. Have you ever seen a probationary police officer being
9 given a test by a field training officer?
10 A. No.
11 Q. Now, after that one-year probationary period, the police
12 officer is no longer a probationary police officer but is a
13 police officer, is that right?
14 A. Yes.
15 Q. How many times in the first year that that person is
16 employed after they become a full police officer are they given
17 tests of general orders?
18 A. I'm not aware of any.
19 Q. Is there any mechanism in place in the Chicago Police
20 Department to determine whether or not police officers are
21 aware of the general orders?
22 A. Certainly.
23 Q. What is that, Mr. Klein?
24 A. Their performance. During the course of their duties and
25 activities in the field, they are engaged in a variety of
812
Klein - cross
1 law-enforcement-related activities. They are making traffic
2 stops, writing citations, completing case reports, making
3 arrests, conducting preliminary investigations, engaging in
4 patrol activities, engaging in activities related to the new
5 policing strategy.
6 And all or many of these particular activities
7 require the completion of reports. Those reports are reviewed
8 by supervisors who can make an assessment of whether these
9 individual officers are cognizant of, knowledgeable about,
10 complying with the relevant rules and regulations, policies and
11 procedures.
12 THE COURT: Mr. Flaxman, hold the thought. We'll
13 break until 2:00 o'clock.
14 Officer, you are --
15 THE WITNESS: Sure.
16 THE COURT: -- sequestered, so don't talk to anybody
17 about the case.
18 Enjoy the lunch hour. See you all back here at 2:00.
19 (Recess at 12:15 p.m. until 2:00 o'clock p.m.)
20
21
22
23
24
25
813
1 IN THE UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF ILLINOIS
2 EASTERN DIVISION
3 ERNEST T. BROWN, et al., )
)
4 Plaintiffs, )
) No. 95 C 1890
5 v. ) Chicago, Illinois
) November 25, 1997
6 CITY OF CHICAGO, ) 2:00 p.m.
)
7 Defendant. )
8 VOLUME 5
9 TRANSCRIPT OF PROCEEDINGS - TRIAL
10 BEFORE THE HONORABLE ROBERT W. GETTLEMAN
11 APPEARANCES:
12 For the Plaintiffs: KENNETH N. FLAXMAN, P.C.
122 South Michigan Avenue
13 Suite 1850
Chicago, Illinois 60603-6107
14 BY: MR. KENNETH N. FLAXMAN
15 and
16 FUTTERMAN & HOWARD, CHTD.
122 South Michigan Avenue
17 Suite 1850
Chicago, Illinois 60603
18 BY: MR. CRAIG FUTTERMAN
19 For the Defendant: MAYER, BROWN & PLATT
190 South LaSalle Street
20 Chicago, Illinois 60603
BY: MR. JAMES HOLZHAUER
21 MR. JEFFREY S. PIELL
MS. ANGELA K. DORN
22 MR. ANDREW NICELY
23 Official Court Reporter: JENNIFER S. COSTALES, CSR, RMR
219 South Dearborn Street
24 Room 1744-A
Chicago, Illinois 60604
25 (312) 427-5351
814
1 (Proceedings in open court.)
2 THE CLERK: 95 C 1890, Ernest Brown versus City of
3 Chicago, on trial.
4 THE COURT: All right. The gang is all here?
5 MR. HOLZHAUER: Yes, we are.
6 THE COURT: Remember, we have to stop at 4:00 today.
7 If you have to go any further today with either Lieutenant
8 Klein or your other witnesses, I've had two sentencings cancel
9 for tomorrow. So we'll go tomorrow morning if we have to. I
10 don't want to, but if we have to, we will, because I've already
11 given those last two days away.
12 MR. FLAXMAN: I think one of your cases next week
13 settled that you've given away, the Wednesday settlement
14 conference.
15 THE COURT: No. Tyus?
16 MR. FLAXMAN: I don't know which case, but I received
17 good reliable information.
18 THE COURT: If that's true, Mr. Flaxman, and the
19 Greek messenger gets flogged with bad news and rewarded with
20 good news, you will be rewarded in heaven.
21 MR. FLAXMAN: That's what George told me. I was
22 inquiring of your minute clerk are you really booked up.
23 THE COURT: Let's go off the record for a second.
24 (Discussion off the record.)
25 JOHN KLEIN, DEFENDANT'S WITNESS, PREVIOUSLY SWORN
815
Klein - cross
1 CROSS-EXAMINATION (Resumed)
2 BY MR. FLAXMAN:
3 Q. Mr. Klein, I think we were last -- you were talking about
4 that you don't give multiple-choice tests to police officers
5 once they have completed their training and they're out in the
6 field, is that right?
7 A. Not to my knowledge.
8 Q. And I think what I understand your testimony was that
9 performance of police officers who are working in the field is
10 measured by their actual performance, by their arrests, by
11 their report writing, rather than by taking multiple-choice
12 tests?
13 A. It's measured by some objective factors as well as other
14 subjective factors.
15 Q. Now, by those objective factors, you don't mean tests, do
16 you?
17 A. No, I don't.
18 Q. You mean objective measures of job performance, is that
19 right?
20 A. That's correct.
21 Q. Now, there are specialized units in the police department,
22 is that right?
23 A. Yes.
24 Q. Are there written tests to get assigned to those
25 specialized units?
816
Klein - cross
1 A. For at least one of them there is.
2 Q. Is that -- which one is that?
3 A. It would be the marine unit. I know they have a test.
4 Q. Besides the marine unit, is that -- what does that do?
5 A. Those are the officers who are assigned to the boats in the
6 harbors.
7 Q. Okay. Aside from the officers in the marine unit, are
8 there other specialized units?
9 A. Yes, there are.
10 Q. Are there many specialized units?
11 A. There are several.
12 Q. Well, there are tactical units in each district, is that
13 right?
14 A. That's not what I would consider a specialized unit.
15 Q. Well, what's a tactical unit?
16 A. A tactical unit consists of officers assigned to district
17 patrol who engage in high crime -- high crime enforcement.
18 Q. Are those officers who are assigned to tactical districts,
19 do they get there by taking a written test?
20 A. No.
21 Q. Now, the specialized units other than the marine unit, have
22 you ever worked in a specialized unit?
23 A. Yes.
24 Q. Which one is that?
25 A. Special operations.
817
Klein - cross
1 Q. And what does special operations do?
2 A. It's a -- it no longer exists with that present name, but
3 it's a high crime enforcement unit.
4 Q. Did you take a written test to get into specialized
5 operation?
6 A. No, I did not.
7 Q. Did anybody ever take a written test to get to specialized
8 operations?
9 A. I don't know.
10 Q. Now, in addition to assigning people in special units, does
11 the police department assign people to go for specialized
12 training?
13 A. Yes.
14 Q. Is there an extensive training program that's run at
15 Northwestern Traffic Institute?
16 A. There is a nine-month program. I don't believe we send
17 anyone to the nine-month program, haven't for years. There is
18 a two-week program that we send people to.
19 Q. Is there -- are there any other programs that are longer
20 than two weeks to which you send people to?
21 A. We send people to the FBI National Academy Program, which
22 is 11 weeks in length.
23 Q. Have you ever gone to any of those extended training
24 programs?
25 A. I attended the FBI National Academy.
818
Klein - cross
1 Q. The 11-week program?
2 A. Yes, sir.
3 Q. Did you take a test to go there?
4 A. No, not that I recall.
5 Q. As a matter of fact, the police department doesn't give
6 tests to select the people who get sent to these specialized
7 training programs, does it?
8 A. There is a selection process, but I'm not aware of it
9 consisting of any tests.
10 Q. There is no multiple-choice job knowledge test on that
11 selection process, is there?
12 A. No.
13 Q. How does the selection process work for the FBI training
14 academy?
15 A. We are told periodically when vacancies occur or when there
16 are openings available for the program. And the department has
17 a mechanism in place which is called the Academic Selection
18 Board. This consists of the five deputy superintendents and
19 the director of training.
20 These individuals would announce, via our daily
21 bulletin, which is a newsletter basically that goes out to the
22 entire department, that they're accepting applications for the
23 FBI National Academy. Recommendations come forward from
24 department command members.
25 When those recommendations arrive at the Academic
819
Klein - cross
1 Selection Board, there is a process to look at the background
2 and profile information of those individuals who are
3 recommended. Basically, a matrix is put together with all the
4 individuals who are recommended with a number of profile
5 characteristics with regard to their education, their tenure on
6 the job, their complaint and disciplinary history.
7 And these candidates are then considered for being
8 placed on a list by this academic selection board who makes
9 recommendations to the superintendent of police.
10 Q. Does the process you've just described result in a fair
11 representation of each racial group that makes up the police
12 department?
13 A. I don't know.
14 Q. Well, is the process you just described with the academic
15 selection board the process that was followed to select the
16 people who were nominated for merit promotions to lieutenant
17 back in 1996?
18 A. I don't know that.
19 Q. Well, the Academic Selection Board doesn't select just
20 white police officers, does it?
21 A. No.
22 Q. It selects a reasonable number of minority police officers,
23 doesn't it?
24 A. It selects a variety of people.
25 Q. Now, the police department is trying to change the way it
820
Klein - cross
1 measures the performance of its police officers, is that right?
2 A. There is discussion around that subject, yes.
3 Q. Well, isn't that part of the CAPS program, to change the
4 way in which police officers are evaluated?
5 A. That's one of the recommendations.
6 Q. And in that part of the CAPS program about changing the way
7 police officers are evaluated, is there any recommendation that
8 police officers be evaluated by taking written job knowledge
9 tests?
10 A. The recommendations relating to performance in conjunction
11 with the policing strategy to my knowledge are contained in the
12 superintendent's document, "Together We Can." And that is a
13 very general philosophical document, and it is not -- it does
14 not set forth any very specific or precise recommendations.
15 Q. Let me show you what's been marked as Defendant's Exhibit
16 11. Is that what you refer to as the philosophical document
17 "Together We Can"?
18 A. It appears to be.
19 Q. And let me direct your attention to page 23. Is that where
20 this philosophical statement about performance evaluation
21 appears?
22 A. It may be in another section in here, but it's here as
23 well.
24 Q. Okay. Now, was this philosophical document something that
25 a lieutenant or a sergeant needed to know to take the 1994
821
Klein - cross
1 police lieutenants test?
2 A. I believe it was on the reading list, and I believe it was
3 the desire of the superintendent that all supervisory
4 promotional examinations contain material related to the new
5 policing strategy.
6 Q. Now, the entire booklet, "Together You Can," that was on
7 the reading list, wasn't it?
8 A. I believe so.
9 Q. And when you went to Akron, Ohio, to work with Dr. Barrett
10 and his people, were you there as the superintendent's
11 representative?
12 A. No.
13 Q. In what capacity were you there?
14 A. The superintendent directed me to participate in the
15 examination development process as the subject matter expert
16 based upon my familiarity with the job of lieutenant and based
17 upon my knowledge of department policies and procedures.
18 Q. Well, did the superintendent tell you to be sure that there
19 were questions about that CAPS booklet on the test?
20 A. My recollection is that the superintendent concurred in my
21 recommendation that this material be included on the reading
22 list.
23 Q. So when you went to Akron in reviewing questions, you never
24 said to Mr. Shaw or Mr. DeLopez or Mr. Cadogan that, "I
25 represent the superintendent, and we want questions about CAPS
822
Klein - cross
1 on the test"?
2 A. No.
3 Q. Now, you looked -- before testifying here today, at some
4 point you had a chance to look at the written job knowledge
5 test for the 1994 lieutenants test, is that right?
6 A. Yes.
7 Q. And when you looked at that test, you saw there were four
8 questions on there about the CAPS program, is that right?
9 A. Three or four questions, yes.
10 Q. And when you looked at them, you agreed that in order to
11 effectively do his or her job, a lieutenant needed to know the
12 correct answer to each and every one of those questions about
13 the CAPS test, is that right?
14 A. I believed that in my opinion it was important for
15 lieutenants to know that information, yes.
16 Q. That's not my question, Mr. Klein.
17 My question was: Is it your opinion that a
18 lieutenant needs to know the correct answers to the CAPS
19 questions in order to do his or her job?
20 A. Yes.
21 Q. Let me ask you to look at question 147 on Bates page 8421.
22 Could you read that to us, please.
23 A. "Under the Chicago Alternative Policing Strategy, the
24 department will increase the amount of time for: A, responding
25 to 911 calls; B, completed -- completing required paperwork; C,
823
Klein - cross
1 elementary school programs; D, proactive policing activities;
2 E, roll call training sessions."
3 Q. Now, are Chicago police lieutenants responsible for the 911
4 system?
5 A. There are Chicago police -- there is a Chicago police
6 lieutenant that works at the 911 center.
7 Q. Does every Chicago police lieutenant have to know what's
8 going to happen to the 911 response system when the CAPS
9 program is initiated?
10 A. I don't understand your question.
11 Q. Well, what is the correct answer to question 147?
12 A. Item D.
13 Q. And could you tell us why it is that a lieutenant needs to
14 know the correct answer to that question in order to do his or
15 her job?
16 A. One of the fundamental changes in the policing strategy is
17 that we are now engaged in a different style of policing. We
18 no longer intend to have our officers spend their entire tour
19 of duty responding to 911 calls.
20 It's important for lieutenants to manage their
21 personnel so that they can be certain that their officers are
22 engaging in proactive policing, which is necessary to engage in
23 the problem solving and prioritizing and strategizing that the
24 strategy requires.
25 Q. Is that -- do you have anything else you can add to why
824
Klein - cross
1 it's important for a lieutenant to know the correct answer to
2 question 147?
3 A. They're supposed to be managing the time of their
4 employees. That's supposed to ensure, to the extent
5 practicable, that they are not spending all their time
6 responding to 911 calls and that they are engaging in some
7 policing efforts relating to the strategies regarding the crime
8 problems they have identified.
9 Q. And if the lieutenant doesn't know the correct answer to
10 question 147, he or she can't do his or her job, is that your
11 testimony?
12 A. What he or she will end up doing is what we did 20 years
13 ago, allowing the officers to continually respond to 911 calls,
14 and there will be no work done in regard to the new policing
15 strategy.
16 Q. Does a lieutenant assign officers to carry out 911 calls?
17 A. A lieutenant is responsible for intervening in the
18 assignment of 911 calls if in their opinion another officer
19 should be assigned or the job is something that should be
20 assigned in a different way.
21 Q. And question 147 in your opinion relates to that job duty,
22 is that right?
23 A. It relates to the lieutenant's knowledge of what his
24 subordinate officers are supposed to be doing.
25 Q. Let's look at question 148. Could you read that one to us,
825
Klein - cross
1 please.
2 A. "The allocation of department resources has been based on
3 certain objective criterion and needs. Under the Chicago
4 Alternative Policing Strategy, these criteria will be broadened
5 to include a thorough examination of the:"
6 Q. And what's the correct answer?
7 A. Item C.
8 Q. Now, could you tell us why it is that a lieutenant who does
9 not know the correct answer to this question will not be able
10 to do his or her job?
11 A. For some of the same reasons that I just indicated and
12 because item C, which reads, "The problems and needs of
13 individual beats" is the core of our new policing strategy.
14 If that lieutenant is not aware that the beat plans
15 and the work done by beat officers are properly done, that
16 drives the entire policing planning process in the Chicago
17 Police Department. If that lieutenant is not aware that the
18 needs of individual beats drive the resource allocations of the
19 police department, then he or she is not being an effective
20 supervisor.
21 Q. Let me ask you to look at question 150 on Bates page 8422.
22 Would you read that question to us, please.
23 A. "When evaluating performance in the past, the department
24 primarily measured quantifiable activities. Under the Chicago
25 Alternative Policing Strategy, the department will also
826
Klein - cross
1 evaluate:"
2 Q. And what's the correct answer?
3 A. Choice E, "results."
4 Q. And could you tell us why it is that a lieutenant who
5 doesn't know the correct answer to this question will be unable
6 to effectively do his or her job?
7 A. One of the fundamental changes that this new policing
8 strategy has brought about is the attempt to shift police
9 officer activity from merely making arrests or merely
10 responding to 911 calls. It's an attempt to shift their focus
11 toward identifying problems upon which they have the ability to
12 impact.
13 And one of the measures or one of the intended
14 outcomes of the new policing strategy is that the officer's
15 efforts will achieve either a reduction in the nature of the
16 problem or elimination of the problem.
17 Q. Well, is that your answer for why a lieutenant has to know
18 the correct answer to question 150?
19 A. Yes.
20 Q. Anything you would like to add to that?
21 A. No.
22 Q. Now, what is your present position in the police
23 department, Mr. Klein?
24 A. I'm a lieutenant assigned to the education and training
25 division.
827
Klein - cross
1 Q. And as a lieutenant assigned to the education and training
2 division, you get paid regular compensation for a lieutenant,
3 is that right?
4 A. That's correct.
5 Q. Do you get any benefits with that position? Do you work a
6 rotating shift, Lieutenant Klein?
7 A. No, I do not.
8 Q. What shift do you work?
9 A. I work the day shift, second watch.
10 Q. Do you get a car?
11 A. I have occasional access to a car.
12 Q. Do you have a department issued cell phone?
13 A. No.
14 Q. Okay. And this position is education and training
15 division, you didn't take a test to get that position, did you?
16 A. No, I did not.
17 Q. Somebody appointed you to that position, is that right?
18 A. Somebody assigned me to that position.
19 Q. And do you serve in that position at the pleasure of the
20 superintendent?
21 A. Among others, yes.
22 Q. Okay. And before you worked in education and training,
23 what was your position then?
24 A. I was the executive assistant and general counsel to the
25 superintendent of police.
828
Klein - cross
1 Q. And when you worked as executive assistant, did you also
2 work the day shift?
3 A. Among other shifts, yes.
4 Q. Did you get paid regular lieutenant's pay then?
5 A. No. I was compensated at an exempt rate.
6 Q. And what does that mean? Is that more?
7 A. That was additional compensation.
8 Q. How much were you paid as executive assistant?
9 A. My salary?
10 Q. Right.
11 A. I was compensated at the rate of an assistant
12 superintendent, which I believe at that time was approximately
13 $93,000 a year.
14 Q. And before you were executive assistant, what was your
15 position?
16 A. I was the commanding officer of the office of legal
17 affairs.
18 Q. Now, on direct examination, you told us you got promoted
19 from commanding officer of legal affairs to being executive
20 assistant to the superintendent, is that right?
21 A. Yes.
22 Q. When you were reassigned from being executive assistant to
23 the education and training division, that wasn't a promotion,
24 was it, Mr. Klein?
25 A. No.
829
Klein - cross
1 Q. Is that a demotion?
2 A. You could characterize it that way.
3 Q. And would it be another demotion if you were reassigned
4 from the education and training division to the field
5 lieutenant working in a district?
6 A. No.
7 Q. Would it be a demotion if you were put on the night shift
8 somewhere?
9 A. No.
10 Q. Do you know Commander Hilbring?
11 A. Yes, I do.
12 Q. Do you remember that he testified at the preliminary
13 injunction hearing?
14 A. I don't recall.
15 Q. Do you remember what his -- what's his current position?
16 A. I believe he's the district commander of the 2nd District.
17 Q. And before he was district commander of the 2nd District,
18 do you recall what his position was?
19 A. I think he was the commander of the special -- I think it's
20 called special operations section.
21 Q. Okay. And it's a demotion, isn't it, to be a district
22 commander after you were the commander of a section?
23 A. No.
24 Q. You think that's what Mr. Hilbring would say?
25 A. You would have to ask him.
830
Klein - cross
1 Q. Okay. Now, for you to get reassigned to one of those
2 exempt positions that pays more money, would that have to be at
3 the pleasure of the superintendent?
4 A. Yes.
5 Q. That wouldn't be by taking a test and doing well, is that
6 right?
7 A. Well, hopefully it's done by doing well. But I don't
8 believe there is a test involved.
9 Q. And do you think that your testimony here today will have
10 some impact on whether or not you get selected to have an
11 exempt position again?
12 A. I have no idea what those criteria are.
13 Q. Now, at some point in your work with the lieutenants test,
14 you reviewed the reading list, is that right?
15 A. Yes.
16 Q. Did you make suggestions that things be put on the reading
17 list?
18 A. It's my recollection that I asked that the document
19 "Together We Can" be included. And I may have suggested that
20 our first amendment order be put on there. But I can't be
21 certain.
22 Q. Well, tell us about that first amendment order. You said
23 you were involved in drafting it, is that right?
24 A. No.
25 Q. Were you involved in implementing it?
831
Klein - cross
1 A. No.
2 Q. Were you knowledgeable of it?
3 A. Somewhat.
4 Q. Did you believe that it was important for a lieutenant to
5 know?
6 A. Yes.
7 Q. Why is that?
8 A. For a few reasons. The consent decree came into being in
9 the early 1980s as the consequence of some litigation involving
10 the department having to do with some investigative practices
11 from the 1960s and 1970s.
12 And the order set forth in some significant detail
13 some investigative prerequisites and some reporting and record
14 keeping requirements. We were after many years interested in
15 considering getting some relief from that consent degree in
16 that the conditions which caused it to come into being in our
17 opinion no longer existed. So it was -- beyond the fact that
18 it was necessary to note the directive and comply with order of
19 court, it was also in our best interest that all our officers
20 knew the material or were familiar with the material so that we
21 would not impair any future reference to get some relief under
22 the decree.
23 Q. So it's your opinion that knowing that general order is
24 important for a lieutenant, is that right?
25 A. I believe so, yes.
832
Klein - cross
1 Q. Do you know the number of that general order?
2 A. No.
3 Q. Okay. Do you know how many questions, if any, about that
4 general order were on the 1994 lieutenants test?
5 A. No.
6 Q. Well, you reviewed all 150 job knowledge questions, didn't
7 you?
8 A. I believe I reviewed most of them, if not all of them, yes.
9 Q. Did you see any questions at all that were about that first
10 amendment consent decree?
11 A. Not that I recall.
12 Q. Now, you also told us on direct examination that the FOP
13 contract is important for a lieutenant to know, is that -- and
14 you didn't say the whole contract as I recall, you said certain
15 pages in it, is that right?
16 A. I believe what I said is that certain pages were on the
17 reading list.
18 Q. Well, were certain pages -- should certain pages have been
19 on the reading list because only certain pages are important
20 for a lieutenant to know?
21 A. No. I believe certain pages were on the reading list
22 because there were certain provisions with which the department
23 had some recurring problems, and we wanted to make sure that
24 supervisors were familiar with them. It's important for
25 supervisors of all ranks to be generally familiar with the
833
Klein - cross
1 provisions of the contract.
2 Q. Well, how many pages are there total in the FOP contract?
3 A. I don't know.
4 Q. Now, let me ask you to look at Defendant's Exhibit 10. Is
5 this the FOP contract?
6 A. It looks to be.
7 Q. And is that about 90 pages?
8 A. Including signature pages and attachments, yes.
9 Q. And did you tell Mr. Barrett that there were special -- or
10 there was specific pages in that FOP contract that were
11 important for a lieutenant to know?
12 A. No. I believe what we did during our review of the test
13 items was make some recommendations regarding additional
14 questions that should be asked or could be asked.
15 Q. Did you ever make any recommendations about which pages of
16 the FOP contract should be on the reading list?
17 A. No, I did not.
18 Q. Did you ever look at the reading list?
19 A. Yes, I did.
20 Q. Is every page in that FOP contract something that a
21 lieutenant needs to know, in your opinion, to do his or her
22 job?
23 A. I believe that some -- I believe that in general that
24 agreement, it's important that lieutenants be familiar with it.
25 I believe, as with most other documents, there are more
834
Klein - cross
1 important things and less important things in the document.
2 Q. So are you telling me that a lieutenant doesn't have to
3 know each page of that FOP contract, is that what you are
4 saying?
5 A. For the purposes of this examination, that was my belief.
6 Q. So that there were only some pages that were important for
7 a lieutenant to know, is that right?
8 A. There are some provisions of the contract that are more
9 regularly encountered than others.
10 Q. And as far as you knew, Dr. Barrett took all of your
11 suggestions about what should be done with the reading list, is
12 that right?
13 A. I believe so.
14 Q. Okay. And as you sit here now, do you have any idea why
15 the reading list lists the entire agreement between the City of
16 Chicago Department of Police and the FOP Order of Police
17 Chicago Lodge No. 7 rather than just specific pages?
18 A. Because, as I indicated, it's important for all supervisors
19 to be generally aware of the provisions of that agreement.
20 Q. You use the word "supervisors." Is that the same as
21 command personnel?
22 A. Command personnel are supervisors.
23 Q. Well, command personnel are district commanders, is that
24 right?
25 A. They could be lieutenants. Lieutenants serve as unit
835
Klein - cross
1 commanding officers and are considered command personnel.
2 Q. Well, is a field lieutenant command personnel, working as a
3 field lieutenant?
4 A. I don't know if I can answer that. It's not a term of art.
5 It's just a semantical word that's used. There is no
6 definition of command personnel that I'm aware of.
7 Q. So if we found one in a general order, it would be a
8 general order that you didn't know, is that right?
9 A. I think that sometimes the orders draw a distinction
10 between supervisory and command personnel. So I suppose, even
11 though it's not clearly defined anywhere in the sense that
12 command personnel equals, you could probably -- you could
13 probably draw the inference that the directives refer to exempt
14 personnel.
15 Q. Exempt personnel?
16 A. Yes.
17 Q. That's different than a lieutenant, is that right?
18 A. That's correct.
19 Q. That's different than a lieutenant working as a watch
20 commander?
21 A. That's correct.
22 Q. And when you reviewed the job knowledge written test, did
23 you find any questions about the duties of exempt personnel?
24 A. Not that I recall.
25 Q. Well, is it important -- does a lieutenant need to know the
836
Klein - cross
1 duties of exempt personnel in order to do his or her job?
2 A. I don't know what you mean.
3 Q. Well, exempt personnel have different duties and
4 responsibilities than field lieutenants, is that right?
5 A. Yes.
6 Q. They have different duties and responsibilities than watch
7 commanders, is that right?
8 A. Yes.
9 Q. Does a lieutenant need to know all the duties and
10 responsibilities of exempt command personnel in order to do his
11 or her job as a lieutenant?
12 A. I think they need to be familiar with the duties of
13 district commanders.
14 Q. Do they need to know each and every duty in order to do his
15 or her job?
16 A. They just need to be generally familiar with the duties and
17 responsibilities.
18 Q. Now, the reading list -- you don't have the reading list in
19 front of you. Let me give you the reading list, which is Bates
20 page 234 following of, I think, Defendant's Exhibit 1. You've
21 seen that before, haven't you?
22 A. I believe so.
23 Q. Now, and that shows, does it not, that the entire FOP
24 contract was on the reading list, is that right?
25 A. Yes, it does.
837
Klein - cross
1 Q. And it also shows that some excerpt of the municipal
2 ordinances was on the reading list, is that right?
3 A. Yes, it does.
4 Q. And then it shows that there is some Illinois statutes that
5 are on the reading list, is that right?
6 A. That's correct.
7 Q. What's the first statute that's on the reading list?
8 A. Illinois Compiled Statutes, Chapter 30, Section 715.
9 Q. Have you ever read that statute, sir?
10 A. Not that I can specifically recall.
11 Q. Well, as you sit there now, without refreshing your
12 recollection, do you have any idea why it's important for a
13 lieutenant to know that statute?
14 A. Because it was identified by departmental subject matter
15 experts.
16 Q. Well, you reviewed the reading list, didn't you, Mr. Klein?
17 A. Yes, I did.
18 Q. You agreed that's an important statute for a lieutenant to
19 know, is that right?
20 A. The way in which I approached my review was not to disturb
21 the recommendations of the subject matter experts. I added one
22 or two items based upon my position in the police department.
23 But I did not suggest that anything be redacted from the list.
24 Q. So you didn't think it was your job if they said something
25 that was completely off the wall for you to step in and say,
838
Klein - cross
1 "There is no need for a lieutenant to be studying that"?
2 A. I did not see anything that was completely off the wall.
3 Q. Let me ask you to look at Chapter 30, Section 715, which is
4 the Intergovernmental Drug Law Enforcement Act. And tell us,
5 if you can, why it is that a lieutenant has to know anything in
6 that statute in order to do his or her job?
7 THE COURT: What is the chapter?
8 MR. FLAXMAN: Chapter 30.
9 THE COURT: 30 IL, is it like ILCS?
10 MR. FLAXMAN: 30 ILCS 715. It's page 51 of big book
11 that you have there.
12 THE COURT: Thanks.
13 BY THE WITNESS:
14 A. It's my sense that just as we ask that all our supervisors
15 be aware of task forces and other interagency cooperative
16 efforts that we engage in, that this material was identified as
17 being appropriate because it identified the task force
18 involving the state police with respect to narcotic
19 interdiction.
20 BY MR. FLAXMAN:
21 Q. Well, there is a section in that statute about grants. Do
22 you see that?
23 A. Yes.
24 Q. Why does a lieutenant have to know about grants?
25 A. I didn't say that they have to know about grants.
839
Klein - cross
1 Q. Excuse me?
2 A. I didn't say that they have to know about grants.
3 Q. Well, are you saying that a lieutenant doesn't have to know
4 each and every section of that statute that's on the reading
5 list?
6 A. What I'm saying is that, as with any other document, there
7 are areas which are more important and less important.
8 Q. Now, you know, don't you, that when these reading lists
9 come out before a promotional test, people who are going to
10 take the test study everything that's on the reading list?
11 A. Hopefully.
12 Q. And they try to learn everything that they can that's in
13 the documents that are on the reading list, is that right?
14 A. They should be, yes.
15 Q. And what in there, in that statute is it that a lieutenant
16 needs to know to do his or her job?
17 A. Just general information as to the existence of this task
18 force and the responsibility of the task force.
19 Q. Okay. Now, the next statute that's on that, I think, is
20 430 ILCS Section 30, Firearm Owners' Identification Card Act.
21 Have you ever read that statute?
22 A. Yes.
23 Q. And are there some sections in that statute which are
24 important for a lieutenant to know?
25 A. Yes.
840
Klein - cross
1 Q. Are there also sections in that statute which have nothing
2 whatsoever to do with the job of police lieutenant?
3 A. There are probably some preamble sentences and some other
4 information which is regulatory in nature as opposed to
5 enforcement in nature.
6 Q. Well, there is a section in that statute about what happens
7 when the person who has a firearm owner's identification card
8 dies. Is that important for a lieutenant to know?
9 A. In my view, all the statutes and ordinances related to
10 weapons are important for lieutenants. Our officers, beyond
11 dealing with the community, our officers for the most part
12 possess firearm owner's identification cards. And inquiries
13 may be made of the lieutenants regarding certain issues
14 involving our department members as well.
15 THE COURT: What was the section number?
16 MR. FLAXMAN: 430 ILCS 30.
17 THE COURT: 30.
18 MR. HOLZHAUER: Your Honor, I believe that's
19 incorrect. It's 430 ILCS 65.
20 MR. FLAXMAN: I am wrong. I apologize.
21 THE COURT: Thank you.
22 BY MR. FLAXMAN:
23 Q. Now, if you look on that reading list you also see that the
24 person taking the test is supposed to know Article III of 720
25 ILCS Section 4, 720 ILCS 5/3. Do you see that?
841
Klein - cross
1 A. You're referring to rights of defendant?
2 Q. Right.
3 A. Yes, that's on the reading list.
4 Q. And in that section about rights of defendant, there are --
5 well, are you familiar with that section?
6 A. I have read it.
7 Q. You read -- you're an attorney, is that right?
8 A. Yes.
9 Q. And did you read it when you were studying criminal
10 procedure in law school?
11 A. I probably read it in a variety of contexts.
12 Q. And let me show it to you, if I may, Article III. And is
13 it your opinion that each and every provision of Article III is
14 something that a lieutenant needs to know to do his or her job?
15 A. There is information on here that I believe is important
16 for lieutenants to know to do their job.
17 Q. Well, there is information. But is there also material
18 that has nothing whatsoever to do with the job of police
19 lieutenant?
20 MR. HOLZHAUER: Your Honor, I object. This line of
21 questioning is very confusing. But unless there is a linkage
22 to some question in the exam, I don't understand why whether
23 there is extraneous information on one of these Illinois
24 Criminal Code statutes is at all relevant to the inquiry this
25 Court has to make.
842
Klein - cross
1 THE COURT: It's on the reading list, right?
2 MR. FLAXMAN: Yes, it is, Judge.
3 THE COURT: Overruled.
4 BY THE WITNESS:
5 A. Would you repeat the question, please.
6 BY MR. FLAXMAN:
7 Q. My question, I think, is: Isn't it true, Mr. Klein, that
8 there are provisions in that statute which have nothing
9 whatsoever to do with the job of police lieutenant?
10 A. I couldn't say that. Police lieutenants become involved in
11 the prosecution of criminal offenses throughout the course of
12 their career, and they supervise criminal offenses. I can't
13 say with any degree of certainty that at some point, either in
14 the performance of their duties or in providing supervisory
15 information or guidance, that some of these issues wouldn't
16 come up.
17 Q. Well, you know what an affirmative defense is, don't you,
18 Mr. Klein?
19 A. Yes.
20 Q. That's something that's raised by a party in a judicial
21 proceeding, isn't that right?
22 A. That's correct.
23 Q. And if it's not raised by a party in a judicial proceeding,
24 it's waived, is that right?
25 A. Yes.
843
Klein - cross
1 Q. Do police lieutenants preside at judicial proceedings?
2 A. No.
3 Q. Do police lieutenants represent parties in judicial
4 proceedings when they're acting as police lieutenants?
5 A. No.
6 Q. And it's your opinion nonetheless that police lieutenants
7 have to know about affirmative defenses?
8 A. It's my opinion that in the context of the question that
9 was posed on the examination and considering the lieutenant's
10 responsibility for approving charges and being aware of the
11 elements of offenses for which charges are being placed, he
12 needs to know that.
13 Q. That wasn't my question, Mr. Klein.
14 The section of the Illinois statute that you have in
15 front of you has a provision relating to affirmative defenses,
16 is that right?
17 A. Yes.
18 Q. And I think you told us that in your opinion a lieutenant
19 needs to know that section dealing with affirmative defenses,
20 is that right?
21 A. Needs to be aware that this section exists, yes.
22 Q. Well, people who were taking that multiple-choice test
23 needed to know more than just be aware that a section exists,
24 isn't that right, Mr. Klein?
25 A. They need to be able to be aware that it exists and be able
844
Klein - cross
1 to apply the underlying information.
2 Q. Now, other than taking a test to answer a question
3 correctly, could you tell us why it is that a lieutenant in the
4 course of his or her work needs to know about affirmative
5 defenses?
6 A. Because it may affect the charging decision.
7 Q. When was the last time you were involved in a charging
8 decision, Mr. Klein?
9 A. I don't specifically recall, but several occasions occurred
10 during my service as general counsel to the superintendent.
11 Q. Well, other than your service as general counsel to the
12 superintendent -- and as general counsel, you're working as a
13 lawyer, is that right?
14 A. That's correct.
15 Q. Other than your service as general counsel, when is the
16 last time you were involved in a charging decision?
17 A. When I was commanding officer of legal affairs and I was
18 queried by units in the field as to certain issues that arose
19 regarding charging.
20 Q. Okay. Well, you mean the people in the field didn't know
21 the answer from their own review of the Illinois statutes?
22 They had to call legal affairs?
23 A. They wanted to discuss issues related to charging.
24 Q. Did that happen in the course of your work in legal
25 affairs, people would call you for advice?
845
Klein - cross
1 A. Yes.
2 Q. And that was part of your job, wasn't it, to give advice?
3 A. Yes.
4 Q. Would you check the statutes before you gave advice
5 sometimes?
6 A. Perhaps.
7 Q. Now, the reading list that you had in front of you also had
8 general orders, is that right?
9 A. That's correct.
10 Q. Were you involved in picking out which general orders were
11 on the reading list?
12 A. With the exception of the ones that I mentioned, no.
13 Q. Well, did you review the reading -- the general orders that
14 were on the reading list?
15 A. I looked at the reading list briefly.
16 Q. Now, we talked about general records and special orders.
17 There is a general order about general orders, is that right?
18 A. Yes.
19 Q. Are there some general orders which get distributed to
20 every member of the Chicago Police Department, sworn and
21 civilian?
22 A. There is a distribution list. It's my recollection, and I
23 may be wrong, that general orders are distributed to all
24 department members.
25 Q. So some general orders, there are 15,600 copies distributed
846
Klein - cross
1 to each -- all members, sworn and civilian?
2 A. They're not personally distributed, but that many are
3 printed and made available to the department members, yes.
4 Q. Doesn't the general order say that "individual copies to be
5 distributed to all members sworn and civilian for distribution
6 code C"?
7 A. That doesn't mean, in my reading of that directive, that
8 they are to be individually handed to officers. That they are
9 to be made available at their units of assignment, sufficient
10 copies so that they can have them.
11 Q. Well, the general order uses language that says, "The unit
12 commanding officers will ensure that the department directives
13 are distributed as follows." That doesn't mean that it's the
14 unit commanding officer's responsibility to see that everybody
15 gets a copy?
16 A. I don't know what follows that phrase you just mentioned.
17 Q. Well, let me show you general order 93-4 and direct your
18 attention to Roman number VI, page 3 for distribution.
19 Have you had a chance to look at that?
20 A. Yes.
21 Q. Does that general order mean that distribution C, a
22 commanding officer is responsible for seeing that everybody
23 gets a copy of each general order?
24 A. Yes.
25 Q. And there is also a distribution level B, is that right?
847
Klein - cross
1 A. That's correct.
2 Q. And that means that every sworn officer gets a copy of the
3 general order?
4 A. That they are made available to the officers, yes.
5 Q. Okay. Now, you're familiar with the general orders of the
6 Chicago Police Department, is that right?
7 A. Generally.
8 Q. And some of them, is it true, are important and some aren't
9 as important, is that right?
10 A. They're all important, otherwise they wouldn't be general
11 orders.
12 Q. Well, we talked about the first amendment general order.
13 Let me direct your attention to general order 88-15. Is that a
14 general order that's important for a lieutenant to know?
15 A. Yes.
16 Q. Why is that?
17 A. It sets forth our uniform and equipment specifications.
18 And lieutenants conduct inspections, so they need to know what
19 the appropriate items of uniform and equipment -- uniform
20 apparel and equipment officers are supposed to be wearing.
21 Q. Okay. Let me show you general order 80-8. Is that
22 important for a lieutenant to know?
23 A. Yes.
24 Q. Why is that?
25 A. Because it describes the roll call process, among other
848
Klein - cross
1 things, and lieutenants are involved in commanding the roll
2 call process or supervising the roll call process.
3 Q. Okay. Let me show you general order 79-15.
4 MR. FLAXMAN: And I think Your Honor has a copy
5 already. I only have one. I apologize.
6 BY MR. FLAXMAN:
7 Q. What's that entitled?
8 A. "Patrol field lieutenants."
9 Q. And that's important, is it not, for a lieutenant to know?
10 A. It's important because it sets forth with a significant
11 degree of generality some duties and responsibilities of field
12 lieutenants.
13 Q. Now, do you know how many questions there were on the
14 written job knowledge test about general order 79-15?
15 A. No.
16 Q. Do you know how many questions there were on the written
17 test about general order 80-8?
18 A. No.
19 Q. Do you know how many questions there were on the written
20 job knowledge test about general order 88-15?
21 A. No.
22 Q. Do you remember seeing any questions about those general
23 orders when you reviewed the written test?
24 A. I couldn't be sure.
25 Q. Well, as you sit here now, you can't recall any question
849
Klein - cross
1 about any of those orders, can you, Mr. Klein?
2 A. 79-15, the patrol field lieutenants order, is an order that
3 sets forth with a lot of generality some of the basic functions
4 a lieutenant performs, such as personnel response --
5 THE COURT: Officer, the question is very simple.
6 Yes or no.
7 BY THE WITNESS:
8 A. No.
9 BY MR. FLAXMAN:
10 Q. Thank you.
11 Let me direct your attention to question 60 on the
12 written test, which is Bates stamped page 8383. That's one of
13 the questions you reviewed when you looked at the written test,
14 is that right?
15 A. Yes.
16 Q. And that's one of the questions you looked at when you were
17 in Akron, Ohio, is that right?
18 A. I don't recall.
19 Q. Well, do you know whether or not your recommendations about
20 which questions should and should not be included to
21 Dr. Barrett and his people were actually carried out?
22 A. It's my understanding that they were.
23 Q. Well, did you look at the written test before it was given?
24 A. No.
25 Q. Well, when you reviewed these questions in Akron, did you
850
Klein - cross
1 also have the source material from where the answer had been
2 derived?
3 A. Yes.
4 Q. And did you check each question with the source material to
5 be sure that it was correct?
6 A. Yes.
7 Q. Did you check each question with the source material to be
8 sure that related to the job of a lieutenant or a watch
9 commander?
10 A. I tried to.
11 Q. Now, what's the correct answer to question 60?
12 A. Item C.
13 Q. And why is that?
14 A. Because of the aggregation of the substandard performance
15 score and the history of absenteeism and continued infractions
16 of the rules and regulations, those particular items when
17 aggregated could likely result in a recommendation for an
18 officer separation.
19 Q. Isn't it true, Mr. Klein, that the responsibility for
20 choice C is that of command personnel, those exempt people, not
21 the lieutenant, not the watch commander?
22 A. No.
23 Q. Well, are you familiar with special order 89-26?
24 A. I don't know.
25 Q. Well, I do not have a copy.
851
Klein - cross
1 Let me show you 89-26, special order. That's on
2 yellow paper, is that right?
3 A. Yes, it is.
4 Q. And what's that entitled?
5 A. "Performance Ratings-Sworn Members."
6 Q. And are there provisions in that special order pertaining
7 to command personnel?
8 A. Yes.
9 Q. And as a matter of fact, if you look at Roman number III-B,
10 do you see where it says, "command personnel will ensure that
11 members whose actions may warrant separation from the
12 department are assigned ratings below 70"?
13 A. That's what it says.
14 Q. And that's the correct -- that's the source for the correct
15 answer to question 60, is that right?
16 A. That I don't know.
17 Q. Well, take a look at question 60. I think you should be
18 able to answer this one, Mr. Klein.
19 A. I see what you are saying, that command personnel -- the
20 way -- that's not the way the system works, Mr. Flaxman.
21 Q. That's not my question, Mr. Klein.
22 THE COURT: What is the question? I've lost track of
23 the question.
24 MR. FLAXMAN: Let me start over.
25 BY MR. FLAXMAN:
852
Klein - cross
1 Q. Let's look at question 60. All right. Why don't you take
2 a minute to read question 60.
3 A. All right.
4 Q. Now, choice A is incorrect, because that special order you
5 have in front of you, 89-26 Roman III-D states that, "Members
6 transferred into their unit during the performance rating
7 period should receive ratings that reflect their performance
8 for the entire rating period and not only for the time spent in
9 the new unit," is that correct?
10 A. Yes.
11 Q. And choice B is incorrect because Roman V-B-5 indicates
12 that, "Members who are sick, injured, or injured on duty for
13 five months or more during the rating period will not be
14 rated"?
15 A. That's correct.
16 Q. Okay. And choice D is wrong because 3-C indicates that,
17 "Salary step increases are granted only if the member's
18 performance rating is 76 or more," is that right?
19 A. That's correct.
20 Q. And choice E is incorrect because Roman 67-H states that,
21 "Members absent because of injury on duty will not be
22 penalized"?
23 A. That's correct.
24 Q. And choice C talks about "ratings below 70 when someone's
25 actions should warrant separation," is that right?
853
Klein - cross
1 A. There's language there, yes.
2 Q. And that's language that applies to in the general order
3 command personnel, isn't that right, Mr. Klein?
4 A. The special order says "command personnel." However, the
5 investigation is not done by command personnel. The
6 investigation is done by supervisors and approved by command
7 personnel.
8 Q. This is a -- question 60 is about the responsibilities of
9 command personnel, isn't that right?
10 A. It's the responsibility about what the watch commander may
11 conclude. The watch commander would be the one making the
12 recommendation.
13 Q. That's the question.
14 The answer, Mr. Klein, comes from a special order
15 that deals with responsibilities for command personnel, isn't
16 that right?
17 A. It comes from dealing with performance ratings.
18 Q. Mr. Klein, look at Roman III, Section B. Doesn't that
19 state "command personnel"?
20 A. Yes.
21 Q. It doesn't say "watch commander," does it?
22 A. No.
23 Q. It doesn't say --
24 MR. HOLZHAUER: Object, Your Honor. He testified
25 earlier that command personnel includes watch commanders.
854
Klein - cross
1 MR. FLAXMAN: That's not what I heard him say.
2 THE COURT: That's not what I heard him say either.
3 BY MR. FLAXMAN:
4 Q. It doesn't say "field lieutenant," does it, Mr. Klein?
5 A. No, it does not.
6 Q. Thank you.
7 THE COURT: How much longer do you have?
8 MR. FLAXMAN: Let me get my screen back.
9 Do you want to take five minutes?
10 THE COURT: I'd like five minutes. Remember, we've
11 got to stop at 4:00. But I would like five minutes.
12 (Recess.)
13 BY MR. FLAXMAN:
14 Q. Let me direct your attention, Mr. Klein, to question 87 on
15 the written test. The Bates page is 8395. Did you review
16 question 87 in Ohio?
17 A. I can't be sure.
18 Q. Well, as you sit here now, is there any problem that you
19 see with question 87?
20 A. I'm having difficulty identifying a correct answer.
21 Q. Why is that?
22 A. Because I'm having difficulty identifying the correct
23 answer.
24 Q. Well, did you have the difficulty -- did you have
25 difficulty identifying the correct answer when you reviewed
855
Klein - cross
1 those questions in Ohio with Dr. Barrett and his people?
2 A. I believe I said I don't recall reviewing it in Ohio.
3 Q. Well, are you telling us that you don't know whether or not
4 Dr. Barrett followed your -- allowed you to look at all the
5 questions he was going to use on the test?
6 A. All I know, counsel, is that I reviewed a bank of several
7 hundred proposed test items. I never did see the final exams,
8 so I'm not certain what the composition or the makeup was.
9 Q. Let me ask you to look at question 59, which is on Bates
10 page 8383. Is it important for a lieutenant to know the
11 correct answer to question 59?
12 A. Yes.
13 Q. Why is that?
14 A. Well, the fact pattern talks about a performance evaluation
15 of a sergeant that the watch operations lieutenant has
16 conducted. It's one of the responsibilities of the lieutenant
17 is to rate their subordinates. And the question seeks to
18 discern what the watch operations lieutenant would do in the
19 event that the subordinate sergeant refuses to sign and date
20 the card.
21 Q. Now, is the work that a lieutenant does in reviewing the
22 sergeant's performance rating the same work that a sergeant
23 does in reviewing a police officer's performance rating?
24 A. It's similar.
25 Q. How is it different?
856
Klein - cross
1 A. Performance measures are different.
2 Q. Now, what's the correct answer to question 59?
3 A. Item E.
4 Q. Why is that?
5 A. Well, first of all, because the other choices are all
6 incorrect. But just as a general management principle, item E,
7 which is that he should interview the desk sergeant regarding
8 his refusal, is a basic management principle, and that's what
9 we would encourage our supervisors to do.
10 Q. Now, why is choice D wrong?
11 A. Choice D?
12 Q. Right.
13 A. I believe the time limitation is inappropriate.
14 Q. What do you think the time limitation is, Mr. Klein?
15 A. It seems to me it may be seven working days or something
16 other than -- it's not seven straight days, I don't believe.
17 Q. So are you telling us that a police lieutenant who believes
18 that choice D is the correct answer will not be able to do his
19 or her job as effectively as one who knows that choice E is the
20 correct answer?
21 A. I'm saying that that lieutenant is not complying with
22 department policies and procedures.
23 Q. That's something that a lieutenant needs to know to do his
24 or her job?
25 A. Twice a year we rate our subordinates.
857
Klein - cross
1 Q. That's not my question, Mr. Klein.
2 Does a lieutenant need to know the correct answer to
3 this question to do his or her job effectively?
4 A. Yes.
5 Q. Does a sergeant need to know the correct answer to this
6 question to do his or her job effectively?
7 A. Yes.
8 Q. And what, if anything, does the police department do to
9 ensure that sergeants and lieutenants actually know the correct
10 answer to this question?
11 A. We promulgated a directive which defines the way -- the
12 manner in which these performance or ratings should be
13 conducted.
14 Q. Well, if after promulgating the directive you discover that
15 65 percent of the people who took this test didn't know the
16 correct answer, would you do any remedial training?
17 A. That's really not my area of responsibility.
18 Q. What is your area of responsibility, Mr. Klein?
19 A. To identify and assess training needs for police officers,
20 supervisors and encumbents.
21 Q. Well, isn't part of that job to cure deficits in training?
22 A. It is if someone brings them to our attention.
23 Q. Well, was it ever brought to your attention that more than
24 50 percent of the people who took this, took this test got that
25 question wrong?
858
Klein - cross
1 A. No.
2 Q. Now, on direct examination you were asked the question
3 about search warrants, question 120 on the test. That's the
4 one where the correct answer is that a search warrant may be
5 issued for the seizure of a person who had been kidnapped in
6 violation of the laws of the State of Illinois. Do you
7 remember that question?
8 A. Generally.
9 Q. Have you ever gotten a search warrant for the seizure of a
10 person who had been kidnapped in violation of the laws of
11 Illinois?
12 A. No.
13 Q. Do you know of any Chicago police officer who's ever gotten
14 that kind of a search warrant?
15 A. No.
16 Q. Do you know if any Judge of any Illinois court has ever
17 issued a search warrant for the seizure of a person who had
18 been kidnapped in violation of the laws of Illinois?
19 A. I have no personal knowledge.
20 Q. That's not something that comes up often in the everyday
21 work of a lieutenant, is it, Mr. Klein?
22 A. Every day, probably not.
23 Q. Every decade probably not, Mr. Klein?
24 A. I don't know the answer to that question.
25 Q. Now, you told us that you also reviewed the so-called
859
Klein - cross
1 in-basket, is that right?
2 A. Yes.
3 Q. Did you ever take the in-basket?
4 A. Yes.
5 Q. When was that?
6 A. I don't know the exact date, prior to the examination.
7 Q. You took the actual in-basket in Akron, Ohio?
8 A. I took a proposed in-basket in Akron, Ohio.
9 Q. And who else, if anyone, took the in-basket with you?
10 A. I believe Chief Cadogan, Commander DeLopez and Deputy Chief
11 Shaw. But I'm not 100 percent sure that all of them did.
12 Q. Just to get the ethnicity, Mr. Cadogan is a white male, is
13 that right?
14 A. That's correct.
15 Q. Mr. DeLopez is a Hispanic male?
16 A. That's correct.
17 Q. And Mr. Shaw is an African-American male?
18 A. That's correct.
19 Q. When you took the in-basket in Akron, Ohio, did you have a
20 table to put out your papers?
21 A. Yes.
22 Q. You didn't have to put papers on the floor, did you?
23 A. I probably did, but I don't think I had to.
24 Q. Were you instructed that papers that were stapled together
25 had to remain stapled together?
860
Klein - cross
1 A. I don't recall.
2 Q. And you don't recall how you did on it, do you?
3 A. No.
4 Q. Do you recall how much time you had to do the test?
5 A. No.
6 Q. Do you recall how Mr. Shaw did on the test?
7 A. No.
8 Q. Were you curious to know how you, Cadogan, Shaw and DeLopez
9 had done on the actual in-basket?
10 A. No.
11 Q. Why not?
12 A. I wasn't curious.
13 Q. It wasn't part of your job, was it, Mr. Klein?
14 A. To determine my testing ability? No, that was not part of
15 the job.
16 Q. Now, I think you talked about on direct examination about
17 secretaries, watch secretaries. Do you remember talking about
18 watch secretaries?
19 A. Yes.
20 Q. And the watch secretary is the actual police -- is the
21 police officer who does the actual scheduling, is that right?
22 A. The watch secretary fills out the forms for scheduling,
23 fills out the various documents.
24 Q. So are you telling us that the watch commander doesn't fill
25 out the documents, is that right?
861
Klein - cross
1 A. I can't say that with certainty in all cases.
2 Q. Well, have you ever been a watch commander in a district?
3 A. No.
4 Q. And how many years have you been on the police department?
5 A. Almost 25.
6 Q. How many -- when did you work as a field lieutenant?
7 A. I worked in special employment as a lieutenant in
8 specialized units. I have never worked in the patrol division
9 as a field lieutenant.
10 Q. Well, what was -- when did you first start working as a
11 field lieutenant in special employment in a specialized unit?
12 A. 1988.
13 Q. And when did you stop working as a field lieutenant in a
14 specialized unit in special employment?
15 A. Probably 1991 or so.
16 Q. When you worked as a field lieutenant in a specialized --
17 in that specialized unit, did you work every day as a field
18 lieutenant?
19 A. No.
20 Q. Did you work once a month as a field lieutenant?
21 A. Once or twice a month.
22 Q. And was there a particular specialized unit in which you
23 would work?
24 A. I worked in both the -- I worked in the CTA specialized
25 mass transit section.
862
Klein - cross
1 Q. And at that time from '88 to '91, what did the CTA mass
2 transit section do?
3 A. We provided security on CTA trains and buses.
4 Q. That's a different kind of work than what is done in those
5 25 districts that you told us about?
6 A. Yes.
7 Q. How is it different?
8 A. I was responsible for a group of people who were assigned
9 to patrol the elevated trains, the subways, and the bus routes.
10 Q. Did you have to do scheduling for those people?
11 A. I had to make some scheduling decisions.
12 Q. And was that a three-year period that you did that?
13 A. Approximately.
14 Q. You say once or twice a month. Does that mean -- how many
15 times a year was that?
16 A. It would depend. I was only allowed to do that on my days
17 off. And I could not always get the number of days that I put
18 in for. So I don't recall what the total number would have
19 been.
20 Q. So is it fair to say you've been a field lieutenant for
21 less than 50 days?
22 A. That's probably correct.
23 Q. Did you ever work as a street deputy?
24 A. No.
25 Q. What's a street deputy, Mr. Klein?
863
Klein - cross
1 A. A street deputy is an assistant deputy superintendent who
2 represents the superintendent and responds to all major
3 incidents occurring throughout the City of Chicago that require
4 his or her attention.
5 Q. And the street deputy goes to all of the different
6 districts?
7 A. Yes.
8 Q. Now, did you ever take the oral component of the 1994
9 lieutenant test?
10 A. I reviewed the oral component.
11 Q. Did you ever -- well, when you reviewed it, have you ever
12 conducted roll call?
13 A. Yes.
14 Q. In what unit did you conduct roll call?
15 A. The CTA.
16 Q. Other than conducting roll call at the CTA, did you ever
17 conduct roll call?
18 A. Yes.
19 Q. Where?
20 A. The public housing unit.
21 Q. And what was your rank when you conducted roll call in
22 public housing?
23 A. Sergeant.
24 Q. And was the roll call that you conducted as a sergeant
25 different than the roll call you conducted as a lieutenant?
864
Klein - cross
1 A. They were substantially the same.
2 Q. Okay. And how long did you work as a sergeant in public
3 housing?
4 A. During the time frame of 1985 through 1988.
5 Q. And in that time frame how often did you conduct roll call?
6 A. Probably half the amount of times that I worked.
7 Q. Would you work every day?
8 A. No. It would have been in the same general time frame as
9 when I was working as a lieutenant.
10 Q. Well, so are you telling us you worked as a sergeant in
11 public housing about 50 times?
12 A. In that range.
13 Q. And about half those times you conducted roll call?
14 A. Approximately.
15 Q. In the times you conducted roll call as a sergeant in
16 public housing, how long would it take to do the roll call?
17 A. 20 minutes or so.
18 Q. Would you read from the CO book?
19 A. Yes.
20 Q. Would you read any directives that had to be read?
21 A. No.
22 Q. Okay. When you conducted roll call as a lieutenant in the
23 CTA's special group, how long did roll call take then?
24 A. About 20 minutes.
25 Q. How many people did you supervise at the CTA as a
865
Klein - cross
1 lieutenant?
2 A. It varied, depending on the day of the week.
3 Q. Well, what was the largest number?
4 A. Maybe 40 people.
5 Q. And what was the smallest number?
6 A. Maybe 15 or 18 people.
7 Q. You're familiar as you sit there now with the type of
8 speech that was required in the oral component of the 1994
9 lieutenants test, is that right?
10 A. Yes.
11 Q. Have you ever listened to any of the tapes of people who
12 took that test?
13 A. No.
14 Q. Other than conducting roll call, have you attended roll
15 call?
16 A. Yes.
17 Q. And when you would attend roll call, how long would roll
18 call take?
19 A. In the range of 20, 25 minutes.
20 Q. And would the person conducting roll call read from the CO
21 book?
22 A. Among other things, yes.
23 Q. In the watch commanders' offices, I think you said that
24 there was a position for the watch secretary, a desk for the
25 watch secretary?
866
Klein - cross
1 A. Some of them sit in the same office. Some of them have
2 another place where they work.
3 Q. Is that a full-time position, to be the watch secretary?
4 A. I believe so.
5 Q. And to get into a watch commander's office in one of the 25
6 districts, do you have to get past the desk sergeant?
7 A. In some of them.
8 Q. Well, how do you -- well, how does a member of the public
9 gain access to a watch commander's office in one of those 25
10 districts? You just walk in, knock on the door and walk in?
11 A. That has happened occasionally.
12 Q. What's the regular way that a member of the public gains
13 access to a watch commander's office?
14 A. Well, there is no pronouncement when an individual would
15 walk into a station. So they would have no idea. They may
16 walk right into the office if they see the watch commander
17 there. They may consult a police officer or a police person
18 they see. They may not even know what a watch commander is.
19 Q. When was the last time you worked in a district, Mr. Klein?
20 A. Physically worked -- I was working in districts from 1973
21 till about 1978.
22 Q. That's about 20 years ago, is that right?
23 A. Roughly so, yes.
24 Q. Numeric codes are important in radio transmissions, is that
25 right?
867
Klein - cross
1 A. That's part of how we communicate on the radio system, yes.
2 Q. And that's something important for a lieutenant to know,
3 numeric codes?
4 A. It allows the lieutenant to --
5 Q. Mr. Klein, that's a yes or no question.
6 A. Yes.
7 Q. Were there any questions about numeric codes on any portion
8 of this test you looked at?
9 A. Not that I recall.
10 MR. FLAXMAN: What I would like to do now, and I
11 think we have time, is let Mr. Klein listen to a tape of an
12 oral interview and then ask him questions about that?
13 THE COURT: Go ahead.
14 MR. FLAXMAN: Thank you.
15 And we might all have to gather around, because it is
16 a small machine.
17 BY MR. FLAXMAN:
18 Q. Mr. Klein, I would like you to listen, if you can.
19 (Said audio tape was heard in open court.)
20 MR. FLAXMAN: That tape will be marked as Plaintiffs'
21 Exhibit 39.
22 BY MR. FLAXMAN:
23 Q. Mr. Klein, that sound that you just heard, is that the way
24 roll call sounds like in the Chicago Police Department?
25 A. Some of it does.
868
Klein - cross
1 Q. Does all of it sound like roll call in the Chicago Police
2 Department?
3 A. No.
4 Q. How is what you just heard different from the roll calls
5 that you've heard in the Chicago Police Department?
6 A. Well, the nature of the presentation is very stilted. It
7 was repetitive. It contained -- it didn't convey certain
8 information. It was not conversational in nature, basically.
9 Those types of reasons.
10 Q. Well, what do you mean by "stilted"?
11 A. It sounded as if the individual were reading the
12 presentation.
13 Q. And is a person in the Chicago Police Department who
14 conducts roll call not supposed to read their presentation?
15 A. My experience, I've never seen that occur.
16 Q. You said it's "repetitive." What did you mean by that?
17 A. The individual presented her -- presented the same material
18 multiple times during the course of the presentation.
19 Q. And then you said "did not convey certain information."
20 What did you mean by that?
21 A. I believe from my review of the exercise that there was
22 another document that she alluded to but did not explain.
23 Q. What other document is that?
24 A. I think it was a gang information form or something like
25 that.
869
Klein - cross
1 Q. And you said, "it wasn't conversational in nature." What
2 did you mean by that?
3 A. It's not a presentation in the way that I view or have
4 experienced presentations at roll call.
5 Q. So is it your view that the speech you just heard was not
6 an effective roll call presentation?
7 A. No, I didn't say that. I think it was an attempt by the
8 individual to follow the instructions that were contained in
9 the exercise.
10 Q. Well, if you heard a speech like that at roll call and you
11 were giving it a grade, would you give it an A, a B, a C, a D,
12 an E or an F?
13 A. I couldn't attach a grade to it.
14 Q. You can't tell whether somebody is giving a good roll call
15 presentation or not, Mr. Klein?
16 A. That's a personal opinion.
17 Q. Well, I'm asking -- you've given a lot of personal
18 opinions, Mr. Klein.
19 What is your personal opinion of that roll call
20 speech you just heard? Was that an A, a B, a C, a D?
21 A. I think it was a reasonably good presentation. It could
22 use some improvement.
23 Q. Well, was it an A presentation?
24 A. I don't know how to grade it.
25 Q. Was it as good as could be, Mr. Klein?
870
Klein - cross
1 A. I have heard very few presentations that were as good as
2 could be.
3 Q. Well, I'm asking you was it as good -- as a roll call
4 presentation, was it an A grade?
5 A. I've never graded a roll call presentation.
6 THE COURT: He's already said he can't do it,
7 Mr. Flaxman.
8 BY MR. FLAXMAN:
9 Q. Tell us why it's important that roll call presentation not
10 be stilted.
11 A. It's personal opinion.
12 Q. What is the basis for that personal opinion, Mr. Klein?
13 A. I believe you're more effective in conveying information if
14 you do it in a more evenhanded, flowing matter.
15 Q. And has that been your impression from listening to roll
16 calls, that people who give roll calls which are not stilted
17 convey their information better to you?
18 A. Personally to me, yes.
19 Q. Okay. And why do you believe it's not effective when a
20 roll call presentation is repetitive?
21 A. I didn't say that.
22 Q. Well, you criticized this presentation as being repetitive,
23 is that right?
24 A. I observed that there was repetition in it.
25 Q. Okay. Did that interfere with your comprehension that what
871
Klein - cross
1 was being said was repetitive?
2 A. Not necessarily.
3 Q. Okay. Can you tell us why you believe the roll call
4 presentation should be conversational in nature?
5 A. Personal preference.
6 Q. And is that because you could -- you like listening to a
7 presentation that's conversational in nature?
8 A. I like certain presentation styles over others.
9 Q. Now, are you familiar with the rules and regulations of the
10 City of Chicago Department of Police?
11 A. Generally.
12 Q. What are they?
13 A. They are rules and regulations which were promulgated by
14 the department's or the City's police board to govern, in
15 general terms, the conduct of members of the Chicago Police
16 Department.
17 Q. And is Plaintiffs' Exhibit 190 a copy of those rules and
18 regulations?
19 THE COURT: What was the number?
20 MR. FLAXMAN: 190.
21 BY THE WITNESS:
22 A. It appears to be.
23 BY MR. FLAXMAN:
24 Q. Are these rules and regulations in force and effect today?
25 A. This document indicates this is published 1 November '95,
872
Klein - cross
1 that those rules and regulations from 1 November '95 are in
2 force and effect today -- or '75, I'm sorry.
3 Q. And do they govern the conduct of Chicago police officers?
4 A. Yes.
5 Q. Do they govern the conduct of Chicago police lieutenants?
6 A. Yes.
7 Q. They govern the conduct of all sworn police in the
8 Chicago -- City of Chicago, is that right?
9 A. Yes.
10 Q. And you would not agree, would you, that these rules and
11 regulations are outmoded or outdated?
12 A. I can't answer that in a yes or no, Mr. Flaxman.
13 Q. Well, Rule 47, page 22, is that rule outmoded or outdated?
14 A. I'm aware that there have been challenges, constitutional
15 challenges raised to that over the years. And, frankly, I'm
16 not familiar with the present status, whether this rule stands
17 as written or whether there have been modifications or
18 exceptions to it.
19 Q. Well, was there recently a situation where somebody in the
20 police department resigned after --
21 MR. HOLZHAUER: Your Honor, I object. I don't see
22 the relevance of this to this issue.
23 THE COURT: Sustained.
24 BY MR. FLAXMAN:
25 Q. Did you tell Dr. Barrett that the rules and regulations of
873
Klein - redirect
1 the City of Chicago Department of Police should not be among
2 the materials tested on the 1994 police lieutenants test?
3 A. No.
4 Q. Do you know if anybody did?
5 A. I don't know.
6 MR. FLAXMAN: Could I have just a minute, Judge? I
7 think I'm pretty much there.
8 (Discussion off the record.)
9 THE COURT: Let's go, Mr. Flaxman.
10 MR. FLAXMAN: Excuse me?
11 THE COURT: Let's go.
12 MR. FLAXMAN: I have nothing further. Thank you.
13 THE COURT: Anything?
14 REDIRECT EXAMINATION
15 BY MR. HOLZHAUER:
16 Q. Just a few questions, Lieutenant Klein.
17 How many people go to the FBI academy per year?
18 A. Approximately either four or six. We generally send two
19 people per class. And I think there are three classes a year.
20 Q. Do you know if there are any questions on the exam on 30
21 ILCS 715, that Intergovernmental Drug Law Enforcement Act?
22 A. Not to my recollection.
23 Q. Do you recall questions about general order 79-15?
24 A. I recall questions relating to the duties of field
25 lieutenants. I don't know if anyone specifically came from
874
Klein - redirect
1 general order 79-15. I don't believe so.
2 Q. Do you know if there were any questions on 79-15?
3 A. There were none to my knowledge.
4 Q. Would it surprise or shock you if there were none?
5 A. No.
6 Q. Why not?
7 A. General order 79-15, as I have indicated, sets forth
8 responsibilities in very nonspecific terms. In my view, there
9 was really nothing that would be the appropriate subject matter
10 for a test question.
11 MR. FLAXMAN: Let me object to his opinions about
12 what's appropriate for a test question. It's beyond his
13 expertise.
14 THE COURT: I'll take it for what it's worth,
15 Mr. Flaxman. You've been asking him about that subject just
16 like Mr. Holzhauer has.
17 Go ahead.
18 BY MR. HOLZHAUER:
19 Q. Lieutenant Klein, when you did roll call, did you make oral
20 announcements other than reading out of the CO book?
21 A. Yes.
22 Q. When others did the roll call which you attended as an
23 officer, did they make oral presentations other than reading
24 out of the CO book?
25 A. Yes.
875
Klein - redirect
1 Q. Do all the police officers know these numeric codes?
2 A. In my experience they do.
3 Q. It's fairly common knowledge?
4 A. Yes.
5 Q. Would you think a test of numeric codes would likely have
6 many wrong results if that was announced in advance?
7 MR. FLAXMAN: Objection.
8 THE COURT: Sustained.
9 BY MR. HOLZHAUER:
10 Q. Lieutenant Klein, on a roll call, is it important to get
11 the information correct?
12 A. Yes.
13 Q. Is it important not to give irrelevant information?
14 A. Yes.
15 Q. Were you trained as a rater of the oral exercise by Barrett
16 & Associates?
17 A. No.
18 Q. Did you train any of the raters?
19 A. No.
20 Q. Did you review any of the scoring of the oral briefing
21 exercise?
22 A. No.
23 Q. Did you score any of the oral briefing exercise yourself?
24 A. No.
25 Q. Did you do any supervising of the scoring of the oral
876
Klein - recross
1 briefing exercise?
2 A. No.
3 MR. HOLZHAUER: No further questions.
4 MR. FLAXMAN: Do I get more?
5 THE COURT: You get more. You each get a direct and
6 a re, or a cross and a re, and that's it. We don't --
7 otherwise it goes on forever. Unless there is some really good
8 reason, and I haven't heard it yet. Okay.
9 RECROSS-EXAMINATION
10 BY MR. FLAXMAN:
11 Q. When you attended roll calls, were some of them better than
12 others?
13 A. Yes.
14 Q. Were some people who conducted roll call better at giving
15 it than others?
16 A. Yes.
17 Q. Were you able to listen to a roll call and say that was a
18 really bad roll call or that was a really good roll call?
19 A. In my personal opinion, yes.
20 Q. You can make those judgments from listening to roll calls,
21 is that right?
22 A. Personally speaking, yes.
23 MR. FLAXMAN: Thank you. Nothing further.
24 THE COURT: Okay. All right. You're excused, sir.
25 Thank you very much.
877
1 THE WITNESS: Thank you.
2 (Witness excused.)
3 THE COURT: I think it's probably too late to start
4 your next witness. We've wasted his day.
5 MR. HOLZHAUER: Your Honor, we have -- Commander
6 DeLopez is scheduled to attend Superintendent Rodriguez's last
7 award ceremony, which is tomorrow morning from 8:00 a.m. to
8 11:00. Including him, ten of his officers are supposedly
9 receiving awards tomorrow, and he can't be here.
10 THE COURT: Oh, he can be here.
11 MR. HOLZHAUER: He can be here after 11:00.
12 THE COURT: He can be here whenever I tell him to be
13 here. I want to finish this trial by next Tuesday. If you
14 promise me we can do it, including your witnesses next Tuesday,
15 I'll let him go to his ceremony.
16 MR. HOLZHAUER: I will have Commander DeLopez here
17 first thing Monday morning, and we'll have him off the stand in
18 an hour and 15 minutes tops. I suspect shorter than that.
19 MR. FLAXMAN: There was another witness.
20 THE COURT: Yes, there was.
21 MR. HOLZHAUER: Your Honor, we have one other
22 witness, Commander Minogue, and I will waive having Commander
23 Minogue. He reviewed the source materials, and I would like to
24 have him testify about that. But I will not do that if we can
25 -- or we can have Commander DeLopez come tomorrow at 11:00, if
878
1 that would work. Perhaps it won't work with your schedule.
2 THE COURT: Well, I want to be out of here by noon
3 tomorrow.
4 How about your witnesses? Is there anybody we can
5 take out of order tomorrow?
6 MR. FLAXMAN: I don't know at this time whether I
7 have somebody I could get to come in tomorrow.
8 THE COURT: Who do you have?
9 MR. FLAXMAN: Well, there is a police sergeant who
10 will be short, but I haven't -- I don't know if he's available
11 for tomorrow.
12 THE COURT: And who else do you have?
13 MR. FLAXMAN: Next week I have two experts, and I
14 have one of the plaintiffs, and there might be genuine rebuttal
15 testimony to counter some of the things Mr. Klein said.
16 MR. HOLZHAUER: Your Honor, I believe Mr. Flaxman has
17 informed us that he has only one witness on Monday, is that
18 correct, Mr. Flaxman? You have one expert that you can put on
19 on Monday?
20 MR. FLAXMAN: Oh, right. Dr. Levitt is Monday.
21 MR. HOLZHAUER: I don't think that's lengthy
22 testimony. I believe we can fit in Commander DeLopez and
23 Dr. Levitt in one day.
24 MR. FLAXMAN: And Sergeant Mial. That was my
25 expectation for Monday, do Sergeant Mial, Dr. Levitt and
879
1 Mr. DeLopez.
2 THE COURT: And then on Tuesday?
3 MR. FLAXMAN: Tuesday, Dr. Koziol, Plaintiff
4 Robinson, and there might be some rebuttal, which I'm
5 assessing, if there is rebuttal.
6 THE COURT: I'm not sure what you mean by "rebuttal"
7 since we have a burden shifting.
8 MR. FLAXMAN: Well, people to rebut what Mr. Klein
9 just said.
10 MR. HOLZHAUER: Your Honor, I believe he put on his
11 rebuttal case first in this case.
12 THE COURT: I'm going to let him put on -- if he
13 wants to put on some more evidence. I don't want to do that as
14 a subject matter. But I'm concerned about timing here.
15 MR. FLAXMAN: If DeLopez is as advertised, I think we
16 can do it.
17 Now, my expert has to leave, I think, at noon on
18 Monday. So maybe we could agree to put him on first.
19 MR. HOLZHAUER: Absolutely, no problem.
20 MR. FLAXMAN: And we are not requesting that
21 Mr. Rodriguez appear at the trial, although I was tempted to do
22 that.
23 MR. HOLZHAUER: I would have been tempted to object.
24 THE COURT: I don't know if he's on your pretrial
25 order or not.
880
1 MR. HOLZHAUER: He's not.
2 THE COURT: All right. We'll start at 9:00 o'clock
3 Monday. So we'll take off tomorrow. But let's really work to
4 get it done by when you said you'd get it done, okay.
5 MR. FLAXMAN: Thank you.
6 MR. HOLZHAUER: Thank you, Your Honor.
7 THE COURT: All right. Have a nice holiday
8 everybody.
9 MR. HOLZHAUER: You too, Your Honor.
10 (Adjournment 4:00 p.m. until 9:00 a.m., December 1, 1997.)
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part 6
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