, /i>y-^^ //ks, 4.J 89/2: S. Hrg. S. Hrg. 104-824 104-824 HE AFTERMATH OF WACO: CHANGES IN FEDERAL LAW ENFORCEMENT HEARINGS BEFORE THE COMMITTEE ON THE JUDICIARY UNITED STATES SENATE ONE HUNDRED FOURTH CONGRESS FIRST SESSION ON EXAMINING CHANGES IN FEDERAL LAW ENFORCEMENT AS A RESULT OF THE INCIDENT IN WACO, TEXAS OCTOBER 31 AND NOVEMBER 1, 1995 Serial No. J-104-51 Printed for the use of the Committee on lifiCftfliJ^I^ ,,, „ -^ BOSTOMTUBrCU m»] 5 » DEPOSITOR /W 2 ( i J U.S. GOVERNMENT PRINTING OFFICE BP 605 WASHINGTON : 1997 .B72 ForsalebytheU.S.GovernmentPrintingOffice AlSl SuperintendentofDocuments,CongressionalSalesOffice,Washington,DC 20402 1997 ISBN 0-16-054375-4 m-fi^ , Vk^. 4.J 89/2: S. Hrg. m S. Hrg. 104-824 104-824 AFTERMATH OF WACO: UW CHANGES IN FEDERAL ENFORCEMENT HEARINGS BEFORE THE COMMITTEE ON THE JUDICIAKY UNITED STATES SENATE ONE HUNDRED FOURTH CONGRESS FIRST SESSION ON EXAMINING CHANGES IN FEDERAL LAW ENFORCEMENT AS A RESULT OF THE INCIDENT IN WACO, TEXAS OCTOBER 31 AND NOVEMBER 1, 1995 Serial No. J-104-51 Printed for the use of the Committee on ifiOyflSliliM^^ ^,._. BOSTON P'^'sB'-'C t OOV'T. DEPOSITORY ^iHAMF«PKAWl>BRARy U.S. GOVERNMENT PRINTING OFFICE BP 605 WASHINGTON : 1997 .B72 ForsalebytheU.S.GovernmentPrintingOffice MSI SuperintendentofDocuments,CongressionalSalesOffice,Washington,DC 20402 ISBN 0-16-054375-4 1997 BP 605 .B72 A181 1997 United States. Congress. Senate. Conniittee on the The aftermath of Waco DATE DUE st: AL CK AB lU FF JC Mi SI CONTENTS STATEMENTS OF COMMITTEE MEMBERS Page Hatch, Hon. Orrin G., U.S. Senatorfrom the State ofUtah 1, 113 Biden, Hon. Joseph R.,Jr., U.S. Senatorfromthe State ofDelaware 4 Simpson, Hon. Alan K., U.S. Senatorfrom the State ofWyoming 6 Kohl, Hon. Herbert, U.S. Senatorfromthe State ofWisconsin 7 Grassley, Hon. Charles E., U.S. Senatorfrom the State ofIowa 24 Feingold, Hon. Russell D., U.S. Senatorfromthe State ofWisconsin 41 CHRONOLOGICAL LIST OF WITNESSES OCTOBER 31, 1995 Panel consisting of James J. Fyfe, professor of criminal justice and senior public policy research fellow. Temple University, Philadelphia, PA; and Nancy T. Ammerman, professor of sociology of reUgion, Center for Social andReUgious Research, Hartford Seminar, Hartford, CT 9 Panel consisting of H. Geoffrey Moulton, Jr., associate professor, Widener University School of Law, Wilmington, DE; and John A. Kolman, captain (retired), LosAngeles County Sheriffs Department, Whittier, CA 43 Panel consisting of Gerald T. PetriUi, special agent. Bureau of Alcohol, To- bacco, and Firearms, Washington, DC; Jeff Brzozowski, special agent. Bu- reau ofAlcohol, Tobacco, and Firearms, Austin, TX; and Roger J. Guthrie, special agent, Bureau ofAlcohol, Tobacco, and Firearms, Detroit, MI 63 Panel consisting of the Hon. Ronald K. Noble, Under Secretary for Enforce- ment, U.S. Department of the Treasury, Washington, DC; and the rion. John Magaw, Director, Bureau ofAlcohol, Tobacco, and Firearms, Washing- ton, DC 75 NOVEMBER 1, 1995 Panel consisting of Frank A. Bolz, consultant, Frank A. Bolz Associates, Inc., Huntington Station, NY; and Kenneth V. Lanning, supervisory special agent. Behavioral Science Unit, Federal Bureau ofInvestigation, Quantico, VA 113 Panel consisting ofClinton R. Van Zandt, president. Van Zandt & Associates, Fredericksburg, VA; Peter Smerick, vice president, the Academy Group, Manassas, VA; and Graeme Craddock, former resident. Branch Davidian Complex, Waco, TX, accompanied byPatrick Brown, counsel 149 William J. Esposito, Assistant Director, Criminal Investigative Division, Fed- eral Bureau ofInvestigation, Washington, DC; accompanied by Robin Mont- gomery, special agent in charge, Critical Incident Response Group, Federal Bureau ofInvestigation, Quantico, VA, and Gary Noesner, supervisory spe- cial agent. Critical Incident Response Group, Crisis Management Unit, andchiefnegotiator. Federal BureauofInvestigation, Quantico, VA 187 ALPHABETICAL LIST AND MATERIAL SUBMITTED Ammerman, NancyT.: Testimony 13 Prepared statement 15 Bolz, FrankA.: Testimony 113 Brzozowski, JeflF: Testimony 66 Craddock, Graeme: Testimony 155 (III) IV Page Esposito, WilliamJ.: Testimony 187 Charts depictingtheprogressmade sincetheWacoincident 188 Prepared statement 198 Report entitled "Investigation of the April 19, 1993 Assault on the Mt. Carmel Center, Waco, Texas" prepared by Failiire Analysis Associates, Inc., Menlo Park, CAfor the National Rifle Association, Fairfax, VA, datedJuly 1995 201 Fjrfe, JamesJ.: Testimony 9 Prepared statement 11 Grassley, Charles E.: Chronology submitted by Karl Seger, president. Associ- ated Corporate Consviltants, Inc 136 Guthrie, Roger: Testimony 67 Kolman,JohnA.: Testimony 52 Lanning, KennethV.: Testimony 119 Responsestoquestions submittedbySenatorSimpson 121 Magaw, Hon. JohnW.: Testimony 85 Prepared statement 90 Moulton, H. Geoffrey,Jr.: Testimony 43 Preparedstatement 46 Noble, Hon. RonaldK.: Testimony 75 Prepared statement 78 Petrilli, GeraldT.: Testimony 63 Smerick, Peter: Testimony 152 Memorandum to special agents in charge concerning negotiation strategy consideration, datedMar. 7, 1993 153 VanZandt, ClintonR.: Testimony 149 THE AFTERMATH OF WACO: CHANGES IN FEDERAL LAW ENFORCEMENT TUESDAY, OCTOBER 31, 1995 U.S. Senate, Committee on the Judiciary, Washington, DC. The committee met, pursuant to notice, at 10:06 a.m., in room SH-216, Hart Senate Office Building, Hon. Orrin G. Hatch (chair- man ofthe committee), presiding. Also present: Senators Grassley, Specter, Kyi, DeWine, Abraham, Biden, Simon, Feinstein, and Feingold. OPENING STATEMENT OF HON. ORRIN G. HATCH, AU.S. SENATOR FROM THE STATE OF UTAH The Chairman. Over the years, I have been a very strong sup- porter of Federal law enforcement, both of its people and agencies, and I still am. However, in recent years and recent months, law en- forcement at both the Federal and State levels has been the subject ofmuch scrutiny and criticism. I sense the frustration ofthose men and women ofhigh integrity who are true public servants employed to enforce our Nation's laws and who often endanger their own lives in the process. Not surprisingly, there is a growing sentiment in law enforce- ment that they are being unfairly treated. Recent tragedies and other troubling news stories they feel are being used by the media and by some in Congress to undermine public confidence in those we have hired to protect the public. To those brave men and women, I say this Senator shares your concern. I want nothing but the best for you who serve with the FBI, ATF, DEA, and every other law enforcement agency. And that includes fair recognition for the sacrifices you make. But I also want what is best for the public, and that is something that is part ofthese hearings. We want what is best for the public as a whole. It is for this reason that I am particularly saddened by the events that have transpired in the last 3 years. Such events, if not responded to, will permanently erode the public's confidence in Federal law enforcement in our country. This we cannot allow to happen. This hearing is not an effort to place blame on any individual or on the administration. Indeed, we will be examining the systemic bureaucratic problems and policies at ATF and FBI that resulted in the tragedy at Waco. The mandate for—this committee is to en- sure that tragedies like the one at Waco I am specifically refer- ring to the deaths ofthe residents of Mt. Carmel Center, including (1) 25 child—ren, and to the 4 ATF agents who were killed in the line of duty are never again associated with a law enforcement oper- ation. What I find most troubling is that the American people now per- ceive law enforcement as it is suggested in this picture over here, and I would just point to poster No. 1. Contrary to what one may think when first glancing at this photograph, this picture is not a soldier fighting for peace in the gulf war or in Somalia; rather, it is an FBI agent at Waco. It is my absolute beliefthat this is not the image that the Fram- ers of our Constitution had in mind when they carefully con- structed that sacred document. It is certainly not how I perceive the FBI, nor is it the image held by the legions of American citi- zens who have worked with, and been helped by, the FBI over the years. Ask the parent ofa missing child. Ask a senior citizen in my own home State of Utah whose life savings were saved when the FBI shut down a fraudulent telemarketing racket that preyed on sen- iors. And you could go through countless other innumerable illus- trations. But, sadly, the image in this poster is the image many people now have, and it is imperative that we address these con- cerns. I hope that the Americans who serve in Federal law enforcement will see this hearing as an opportunity. My mother used to tell me that whenever I made a mistake, I should learn lessons from it, correct my actions or my thinking, and then move on. This hearing is an opportunity to find the lessons in this tragedy, make nec- essary corrections in our actions or our thinking, and then move on. It is with these ideas in mind that this committee conducted its investigation into the events at Waco, and in this framework, I in- tend to conduct these hearings. We have met with, heard from, and examined information from numerous Federal agencies, private citizens, activist groups, and the media. In excess of 300,000 docu- ments and 700 hours of videotape and audiotape have been ana- lyzed, and dozens ofinterviews have been conducted in preparation for these hearings. Let me be clear. This investigation has not uncovered any evi- dence of political corruption or influences. We have not found any of that. There was no conspiracy to kill Branch Davidians. What the investigation has uncovered is that there are several troubling patterns which have developed in Federal law enforcement. Over the next 2 days, we hope to discuss just what those patterns are, as well as review what Congress and the American people expect from their law enforcement agencies. This country is based on the principles embodied in the Constitu- tion. Fundamental to this document is the concept that G—overn- ment must be kept within bounds. The fourth amendment iron- ically, a charred copy ofthe very amendment, was found in the de- bris at Waco, and that is poster No.—2; there is the charred copy that was found right there at Waco guarantees the right of the people to be secure in their persons, houses, papers, and effects. In my opinion, the handling of this situation by Federal law en- forcement was not in keeping with that principle. Americans have come to expect that law enforcement's primary responsibility is the investigation ofcrime and protection ofthe public, not the frighten- ing ofpeople via paramilitary units. Having had the benefit of the Ruby Ridge hearings, the House of Representatives hearings on Waco, and the enormous docu- mentation regarding these matters, I believe that it is in the best interest ofthis committee, the U.S. Senate, and, most importantly, the American public to air these concerns. Further, we must establish a level ofoversight over the manage- ment of law enforcement agencies that will ensure that debacles like Ruby Ridge and Waco will never happen again. To that end, I would like to briefly outline what will be addressed at these hear- ings. The first day of this 2-day hearing will focus on the collecting and processing ofintelligence information by the Bureau ofAlcohol, Tobacco, and Firearms [ATF]. ATF's failure to adequately collect and analyze the relevant and available information on David Koresh and his followers directly resulted in a plan that did not properly assess the mindset ofthe Davidians. ATF only considered information that supported the tactical approach it had preselected. No contingencies were ever developed. It defies logic that any law enforcement agency would attempt to accomplish such an operation without a contingency plan, especially a plan that puts more than 100 agents in harm's way. This fatal flaw paved the way for the tragic deaths of four brave, young, dedicated law enforcement offi- cers. The second day, the committee will carefully examine the rela- tionship between the FBI negotiators and the FBI Hostage Rescue Team, or the HRT. At the heart of this debate is the degree to which the emplo3anent of an HRT is appropriate in U.S. law en- forcement operations. I believe it is appropriate in many instances, but not so in others. These people are people who risk their lives for us, but they should be used very sparingly. This issue is par- ticularly relevant in barricade situations. In the case ofWaco, there appears to have been tension between those who felt that a military-style response was appropriate and those who believed that the negotiation process would be more ef- fective. Although I am a proponent ofusing the HRT in appropriate situations, the question whether Waco and Ruby Ridge were two of those circumstances does arise. Unfortunately, there are numerous situations where HRT has been successfully employed that have not made the newspapers. I am aware that many of these successes, both domestically and overseas, are situations that could not have been resolved without the use ofthe Hostage Rescue Team. However, I firmly believe that paramilitary units such as HRT must be employed against U.S. citizens as a last resort, not as the first. One of the major problems at Waco appears to have been the in- fusion of HRT tactics into the negotiations process. Such an infu- sion served to work at cross purposes with what was a successful negotiation strategy. Negotiations had successfully resulted in the release of a number of men, women, and, most importantly, chil- dren. Although we will never know whether a strict negotiation strategy would have been completely successful if it had been al- lowed to play out, it is clear that the mechanism for continuing ne- gotiations was available to the FBI. As there was no escalation in the level ofthreat or violence by the Davidians, the use ofmilitary- style tactics by HRT was arguably not appropriate or necessary. In conclusion, I look forward to hearing from the administration as to how they intend to ensure that tragedies like Ruby Ridge and Waco are never repeated. So I stand ready to work constructively with them toward this goal, and I believe this committee as a whole does as well. — We will now turn to our Republican or excuse me, our Demo- crat leader on the committee, Senator Biden. Senator BiDEN. It is happening all too often, Mr. Chairman. [Laughter.] STATEMENT OF HON. JOSEPH R. BIDEN, JR., AU.S. SENATOR FROMTHE STATE OF DELAWARE Senator BiDEN. Mr. Chairman, thank you and good morning. The stated goal ofthese 2 days of hearings on the siege at Waco is, in my view, a good one: To discuss with two Federal law enforce- ment agencies involved in the siege a number ofimportant changes in policies and practices they have implemented in order to im- prove their operations and to reduce the possibility that another tragedy like Waco could occur in the future. Both agencies have candidly admitted that serious mistakes oc- curred at Waco and that improvements needed to be made. This hearing provides a forum to evaluate these new policies and proce- dures and to ensure that the chsinges made are the right ones and that implementation is complete and effective. But, I believe, it is important that these hearings serve a second goal as well, and that is, to put the incident at Waco, with all the mistakes that were made, into its proper context. Let me make this point absolutely clear: There is no place in our country for racist cops like Mark Fuhrman. There is no place in our country for abusive cops. There is no place in our country for law enforcement bent on the use ofunjustified force. But there is a big difference between mistakes and—malevolence. The record of the Waco incident documents mistakes mistakes in gathering intelligence and mistakes in planning and executing operational plans. And law enforcement should and must be held accountable for such mistakes. What the record from Waco does not evidence, however, is any improper motive or intent on the part oflaw enforcement. I believe this is a very important point to make to the American public because there are a growing number of people across the country who are seizing on the incidents at Waco as well as at Ruby Ridge to suggest that law enforcement is our enemy. This suggestion is powerful because every Federal law enforce- ment officer is entrusted with one of the most important powers the public bestows upon its Government: The authority to inves- tigate and prosecute violations of our laws, particularly the crimi- nal laws ofthe United States. But this suggestion stands in conflict not only with the record from Waco, but with the excellent overall record ofthe Federal law enforcement agencies, including both the ATF and the FBI. It