court transcript



BRIAN R.LOCKE: , Defendant.
Transcript of Proceeding Transcript of Sentencing Hearing in the above-entitled action
before the HONORABLE ANDREW BISSONNETTE, Circuit Judge, Branch 3, Dodge County, Juneau, Wisconsin 53039 commencing on the 6th day of July 2007.
State of Wisconsin, Plaintiff, appearing by District Attorney STEVEN O. BAUER, 210 W. Center St., Juneau, Wisconsin 53039.
The Defendant, BRIAN R. LOCKE, appearing in person in custody.
Attorney MARY A. HARPER, PO Box 737, Beaver Dam, Wisconsin 53916-9433 representing the Defendant.
Marjorie Kurtz dodge county wi, Branch 2 Court Reporter Columbia County

1 reporter, there is a ramp you walk up nailed to the floor. As you walk
2 up the ramp, raise your right hand.
3 NARINDER K. SAINI. called as a witness,
4 having been first duly sworn, testified as follows:
5 THE COURT: All right. Please have a seat there. The
6 chair doesn't move, but the microphone moves. You can move the
7 microphone. It's on a movable base. Tell us your name and spell
8 your name.
9 MR. SAINI: My name is, last name is Sami, S-A-I-N-I.
10 My first name is N-A-R-I-N-D-E-R. My middle initial is K.
11 THE COURT: All right. Go ahead, attorney Harper.
13 Q How are you employed?
14 A I'm currently employed by Department of Health and Family
15 Services, which is Mendota Mental Health at Madison,
16 Wisconsin and staff psychiatrist since 1990 as full-time
17 psychiatrist.
18 Q Since what year?
19 A 1990.
20 Q All right. Are you familiar with Brian Locke?
21 A Yes. I have seen him several times.
22 Q And in what capacity?
23 A I used to work for the Department of Corrections for ten years,
24 from '94 to 2004, the time when they terminated me, and he
15 was seen just before that termination. And I saw him first time
1 reporter, there is a ramp you walk up nailed to the floor. As you walk
2 up the ramp, raise your right hand.
3 NAR1NDER K. SAINI. called as a witness,
4 having been first duly sworn, testified as follows:
5 THE COURT: All right. Please have a seat there. The
6 chair doesn't move, but the microphone moves. You can move the
7 microphone. It's on a movable base. Tell us your name and spell
8 your name.
9 MR. SAINI: My name is, last name is Sami, S-A-I-N-I.
10 My first name is N-A-R-I-N-D-E-R. My middle initial is K.
11 THE COURT: All right. Go ahead, attorney Harper.
13 Q How are you employed?
14 A I'm currently employed by Department of Health and Family
15 Services, which is Mendota Mental Health at Madison,
16 Wisconsin and staff psychiatrist since 1990 as full-time
17 psychiatrist.
18 Q Since what year?
19 A 1990.
20 Q All right. Are you familiar with Brian Locke?
21 A Yes. I have seen him several times.
22 Q And in what capacity?
23 A I used to work for the Department of Corrections for ten years,
24 from '94 to 2004, the time when they terminated me, and he
15 was seen just before that termination. And I saw him first time
1 when he was at Mendota Mental Health Institute in year 1995
2 approximately, December of 1995. He was under the care of
3 another psychiatrist, Dr. Gary Maier, who is currently in charge
4 at Supermax as psychiatrist.
5 So I saw him when he was there a couple of times to do
6 the medication management, and then I saw him in 1994 in I
7 think in the month of June and July when he was being sent
8 from Dodge Correctional and from Fox Lake to Columbia
9 Correctional Institute on his way to Boscobel, which is a
10 Supermax facility.
11 Q At that time you were at Columbia Correctional?
12 A That's correct. I was working there as a psychiatrist, consulting
13 psychiatrist at Columbia Correctional Institute two days a week,
14 and he was in my wing.
15 Q What was the purpose of your meeting with him at that time?
16 A I think when he was transferred from Dodge and from Fox, I
17 knew they had made preparation for him to send him to
18 Boscobel due to his assaultive behavior at Fox Lake. But he
19 was very upset he was taken off the meds. He was very loud
20 and uncontrollable. Then the warden, I think it was Philip
21 Kingston, he was the warden of Columbia Correctional at that
22 time. I did not want to see him because I knew it was a
23 sensitive case. Everybody will be after me, but he asked me to
24 see him that he is uncontrollable, we can't control him, do
25 something, do medication and treat him.
1 So I went to see him in segregation, so I saw him from
2 our side. I recognized him and he recognized me, and 1 tried to
3 help him and by trying to help him means he was, his diagnosis
4 was wrong. His diagnosis was changed in the previous institute
5 in order to accommodate him not to have a bipolar disorder so
S: he could be sent successfully to Boscobel.
7 Q Doctor, you said you thought the diagnosis was wrong?
8 A The diagnosis was dropped from bipolar to certain one which is
9 known as psychotic and not a major issue. Like he was made
10 as intermittent explosive disorder rather than bipolar disorder.
11 But I knew him since '95, and I also took his history, and 1 gave
12 those papers to the attorney today and they are. Dr. Maier's
13 clear indication is that he was diagnosed as bipolar disorder
14 even in '95.
15 So I diagnosed him again bipolar disorder and put back
16 on some of the medications.
17 Q All right. So an error was when they dropped the bipolar
18 diagnosis?
19 A I think it was dropped from Fox Lake when he assaulted the
20 staff.
21 Q But that was the error. The error was dropping of bipolar?
22 A They drop the bipolar they diagnosed in order to suit the needs
23 to transfer to Boscobel, and then they asked me, my boss who is
24 mental health director, he asked me to change the diagnosis
25 because they knew if I will not change the diagnosis, he cannot
191 go to Supermax due to the Honorable Barbara Crabb, who said
2 recently that no patient will be sent to Boscobel who has a
3 bipolar factor, major assaultive disorder or schizophrenia so
4 that was the conflict. I refused to do that.
5 Q Now, this was in the mid 90s?
6 A This was, sir, in late week of July '95, '94.
7 Q I'm going to back up a step. I'm going to show you what's
8 been marked Exhibit No. 1. Can you identify that document?
9 A Yes. This was at Mendota Mental Health Institute record which
10 indicates clearly that he was there for one week under the care
11 of Dr. Gary Maier who currently is also in Mendota, and he is
12 in charge of Boscobel that he suffered, that the patient suffered
13 from bipolar and hypomanic phase.
14 Q So that was the initial diagnosis?
15 A In that year.
16 Q There is a problem with the date if he didn't catch it, Judge.
17 THE COURT: I don't think he gave a date.
18 Q The incident that he was referring to wasn't in'94. It was in
19 2004.
28 THE COURT: Well.
21 A Yes. That's correct. Thank you.
22 THE COURT: Well, all right. But you said it was in
23 '94.
24 A No, 2004, sorry. Because it's been a long time. It's hard to
25 recapitulate.
1 THE COURT: Here's a note"! saw him that June or
2 July of 1994 at Columbia Correctional. He was there. I was working
3 there two days a week. He was on his way to Boscobel for his
4 assaultive behavior. They had taken him off his meds, but they got
5 the diagnosis wrong and they dropped it from bipolar." Now, based
6 on your testimony I took that to be '94, but now you are saying it was
7 later?
8 A It's 2004, just before my -
9 THE COURT: I'm just going on your testimony, that's
10 all I can.
11 A Just before my termination which was in 2004.
12 THE COURT: Okay. Go ahead. You go ahead with a
13 question.
14 Q Okay. Just a second. So I'm going to hand you what's been
15 marked as Exhibit No. 2, which I previously sent to you. You
16 have had an opportunity to review and see if you can identify it,
17 that document.
18 A Yes. These are written by me.
19 Q I'm sorry.
20 A Some are. I think these are the wrong documents you gave it to
21 me. These are not mine.
22 Q That's one I want you to identify if you look at the date.
23 A This was written by 1 can't identify something which is written
24 by some other psychiatrist, but I can identify that the diagnosis
25 was being dropped to intermittent explosive disorder by saying possible bipolar disorder and at Dodge Correctional Institute
2 and that was on 5/6/04.
3 Q But you do identify that as document from the DOC records by
4 one of the DOC psychiatrists?
5 A Yes.
6 (Marked for identification).
7 Q What year was that?
8 A 2004.
9 Q Exhibit 1 that you referred to is from 1995; does that sound
10 right?
11 A That was at Mendota, right.
12 Q Referring your attention to, I guess I would like to point out to
13 the court that at this time when this Dr. Howard —
14 THE COURT: Which exhibit are you talking about?
15 Q Exhibit No. 2 points out that in March of 04, Brian was
16 indicating at that time that he was having a problem with his
17 medications. 1 will not be held responsible if something bad
18 happens and that he needed to see a psychiatrist to get his
19 medications corrected, Exhibit No. 2 and finally, Exhibit No. 3
20 from July 7th of '04 this is 1 believe one you can identify as
21 your own?
22 A Yes. There is Brian.
23 Q And can you identify the significance of that?
24 A Yeah. These are my signatures, and I saw him on 7/7/04 when
25 he was in segregation status, and [ have clearly indicated that
221 he's suffering from bipolar disorder, and I wanted to give him
2 all the medications back which he used to take when he used to
3 be hypomanic and they helped him, but then I was not allowed
4 to.
5 In the second page it's written we have asked for Class 3
6 authorization from Dr. Kevin Kallas. He won't let me treat him
7 with the medication which has helped him tremendously in the
8 past which is I think Klonopin and other medication was
9 Clonidine, C-L-O-N-l-D-I-N-E and third one was Tegretol, T-
1.0 E-G-R-E-T-O-L and he would not let me give this medication
11 to him. So I had to fill in the request for authorization which
12, never came back to me because generally, it takes two to three
II weeks.
14. He was not happy with my clinical diagnosis and putting
15 him back on the medication which one of my colleagues at Fox
16 Lake has taken him off and he assaulted the guard. I did not
17 want to prove that point that medication when he was taken off,
18: he became agitated and assaultive to the guard. So I had a
19 different opinion then the other people. They kind of ganged
2& up on me, but I tried to help him and I left for vacation to
21 Caribbean for a couple weeks.
22 When 1 came back, I found out that they sent him to
23 Boscobel in my absence. They sent him to Boscobel. Dr.
%t Maier over there, he refused to accept him. He said this is not
25 correct because he used to be Dr. Maier's patient, and he read
1 my note that he has a bipolar disorder.
2 They immediately sent him back because otherwise it
3 will be contempt of court so he was sent back to Columbia.
4 They found to fire me a couple cases here and there. And when
5 he came back he handed over the termination letter to me so
6, that they can prove their point that they are correct.
7 So I left Columbia Correctional in August, around
8 September 16th or August 2004.
9 Q You said you were terminated by the DOC?
10 A I was terminated by the DOC and by my immediate supervisor,
11 Kevin Kallas, for mishandling the case, nor cooperating with
12 them. I have a paper in my possession which is in the car
13 saying written by him go and talk to Dr. Saini and change the
14' diagnosis. I said no and they said okay.
15 THE COURT: You feel like you got terminated because
16 you didn't give the right diagnosis or refused to change your
17 diagnosis on Mr. Locke?
18 A Yes, sir.
19 THE COURT: You think that's why you got terminated?
20 A Yes, sir. That was very important he knows this. He has
21 written me a letter. 1 have that letter too in my car mentioning
22 that I appreciate you being helping me and all that so much is
23' political conspiracy against me because this psychologist
24 cannot diagnose. They are not authorized to diagnose. What
25 they do is change the diagnosis and they give it to other people
1 and rubberstamp by the psychiatrist and they are sent to
2 Boscobel. So if I stop cooperating with these people, then they
3 will not be able to send their people to whom they don't like
4 irrespective of whether they have a mental illness or not.
5 I do not tolerate that. 1 respect patients and obvious staff
6 all over. It's just hierarchy that mistreats me. I am a person
7 who always been in Columbia on Christmas Day and Martin
8 Luther King day and other days just to go over there to say
9 hello, all that and this is what they did.
10 And I have at least six or seven warden certificates
11 nominated by him which he was a very good warden, six or
12 seven certificates that I have been doing good, excellent doctor,
13 this and that. Then all of a sudden I am boom, very bad doctor,
14 my diagnoses were wrong, I don't know how to speak English,
15 all those things.
16 Everything turned around that's happening in this
1? country. Only I didn't want to come and help him. I was
18 scared of these DOC people. Wherever I applied they give bad
IS reputation and everything. The only place I'm left now is
20 Mendota because they know me for 17, 18 years. They
.21 couldn't do damage. Otherwise, they would have done that too.
22 THE COURT: All right. Do you have other questions,
23 attorney Harper?
24 Q It's your opinion had Mr. Locke been kept on the medication
25 that you had prescribed this incident is more likely to not have
1 occurred?
2 A That's correct. The record clearly indicates that when he was in
3 Mendota it's written there he was put on Depakote. He
4 cooperated with it, and he was discharged in seven days, just
5 after seven days he came on emergency detention, discharged in
:6 seven days.
7 He was okay. The problem was when they tried to take
8 him off the medication which he's already stable, they tried to
9 experiment by doing and changing and all those things and not
10 listening to him properly you know like railroading him. And
11 even on lithium he did okay, but he had side effects from
13 lithium. I had him really nice settled over there on a mood
13 stabilizer Klonopin and Clonidine.
14 He will testify himself that those three meds were ones
15 which I had him last time.
16 Q There were also times that you saw him for longer periods of
17 time and treated him; correct?
18 A Yes. I have seen him at least in the month of June, July for 8 or
19 10-15 times, and I may not have, I dictated a note at that time,
SO but he knew I was around. I used to make the rounds.
21 Q You have Exhibit 3 there?
22 MR. BAUER: Can I see that? I would like to. I haven't
23 had a chance to see 2 or 3.
24 THE COURT: Do you have extra copies? These are not
25 marked, attorney Harper?
26 MR. BAUER: I got 1.
2 Q One is 1995 from Mendota. It's about 8 or 9 pages; 2 is called
3 a psychiatric follow up in 2004. It's about four pages.
4 MR. BAUER: I have got the first 146, 147, 148. That's
5 what 1 have.
6 THE COURT: All right. Then there is 138. Mr.
7 Tomashek, get these copies just to make sure everybody got the same
8 thing. We will make two more copies of all that. All right. Attorney
9 Harper, you were done with your questions or not?
10 Q Anything else you need to add?
11 A What I have to say is that this man has when he was a child he
12 had attention deficit hyperactivity disorder, and he does have
13 some personality disorder which is we call anti-social, and he
14 does have a problem with his impulse control, but that impulse
15 control is not a intermittent explosive disorder because the
16 diagnosis of intermittent explosive disorder can only be made if
17 there is no personality problem, and if there is no bipolar
18 disorder, and if there is no psychosis.
19 All those three things pertain to him so diagnosis of
20 intermittent explosive disorder is wrong. According to DSM
21 IV Statistical Manual that says it has to exclude all those
22 conditions in order to diagnose, and it also says he will have
23 discrete attacks of aggression, irrespective of provocation
24 whether the provocation is a little he can show aggression or it
25 may be otherwise.
271 And the progress notes indicate when he was in Dane
2 County Jail that guard didn't say much, he didn't provoke him
3 much. He acted out of proportion which shows that he has a
4 mental disorder which is called bipolar disorder, means swings
5 up or being high and swings down with aggression, and lack of
6 impulse. When that happens, when he's hypomanic, his insight
7 and judgment is wrong.
8 He also has a problem with drug abuse in the past.
9 That's all.
10 MS. HARPER: Thank you.
11 THE COURT: Mr. Bauer, the exhibits are being copied.
12 If you want to reserve your opportunity to question him after you look
13 at those, that's fine. If you have any questions right now, go ahead.
14 MR. BAUER: Well, I would like to be able to get to
15 those exhibits, but we can start. I just want to clarify things.
16 THE COURT: Recess. Let's recess for five minutes and
17 exhibits should come back. Mr. Bauer can look at those then we will
18 pick up from there. Actually, five minutes is enough or ten. Why not
19 do it until 11, okay. Seven-minute break. Doctor, if you want to
20 stand up, take a stretch, do that.
21 MR. SAINI: Okay. Thank you.
22 MR. LOCKE: Judge, by any chance, do you remember
23 when I sent you that big exhibit was about two inches thick. Then
24 you sent me a dismissal order like a motion to dismiss because there is
25 something that I needed to point to. Is there any way, could I take a
1 look at that, attorney Harper because she doesn't have the file.
2 MS. HARPER: If he sends me anything, the State does
3 get a copy of it automatically. Otherwise, it would be ex-party,
4 correct.
5 THE COURT: Recess.
6 (Court recessed at 10:54 a.m. and resumed at 11:02 a.m.)
7 THE COURT: I think each of the lawyers have copies of
8 the three marked exhibits, right Mr. Bauer? You have questions for
9 this witness?
10 MR. BAUER: Yes, 1 do.
12 Q Doctor, just so we got this straight. Doctor, look at Exhibit No.
!3 1. I'm just trying to clarify the sequence here, that Exhibit No.
14 1 is an evaluation done as a result of an emergency detention
15 out of Dane County Jail?
16 A That's correct.
17 Q And at that point, Dr. Maier from Mendota Mental Health
18 diagnoses Mr. Lock with bipolar disorder, hypomanic and
19 history of polysubstance abuse; is that correct?
20 A Yes, sir.
21 Q That's back in the beginning; actually, the report dated 1 -5-
22 1996; is that correct?
23 A '95. 12-12-95 he was admitted.
24 Q I was looking at the discharge summary.
25 A Discharge was 12-19, but the report date was 1-5-96 means1 discharge summary was written on 1-5-96.
2 Q Then did you have any contact? When was it you had your first
3 contact with Mr. Locke professionally?
4 A I had my first contact because we are staff psychiatrist in
5 Mendota. I was I'm also still in forensic. When one doctor is
6 gone the other one is covering and also when you are doctor of
7 the day or night you are covering and going from unit to unit
8 from one to the other.
9 THE COURT: He's just asking for a date. Do you
10 know?
11 A I don't remember the date, but it was during that time.
12 Q During that'95-'96 period?
13 A '95.
14 Q Back when he was at Mendota?
15 A Yes, that time.
16 Q Did you have any contact? When was the next time you had
17 contact with Mr. Locke on any kind of professional basis?
18 A Can I say one thing? You know, like I remember I made one
19 time an entry into his file that I saw him there was some
20 problem, and I still have that in his file, one entry I have seen.
24 But after that, I had no contact with him at all until he came in
22 June 2004 to Columbia County, yes.
23 Q That was after the incident regarding the criminal charges that
24 he's here in front of the court for today?
25 A Yes, sir. 1 discharge summary was written on 1-5-96.
1 Q And you saw him in Columbia, and at that point what was the
2 reason you saw him there?
3 A As I already mentioned, he was on my unit which is segregation
4 unit DSI and the warden, I mentioned his name was Phil
5 Kingston. He requested me and the head of the psychological
6 services, Janelle Walsh, (phonetic) both of them they requested
7 me to see him and assess him in DSI because he was very loud,
8 uncontrollable and climbing the walls, and they could not
9 control him at all.
10 Q What is DSI?
11 A DS1 is the segregation unit.
12 Q And what does it mean here, Class 3 authorization? What does
13 that mean?
14 A Class 3 authorization is medication he was taken off at Fox
15 Lake, Klonopin, that medication I wanted to reinstate. And I
1$ could not do that without doing a formal request to my
17 supervisor which was Kevin Kallas. That's Class 3 request.
18 Q Well, is that some sort of a regular rule or something within the
19 institution that you had to consult with this other fellow before
W you could do this?
21 A There are certain medications we can not prescribe due to the
22 high cost and other things, and we can only prescribe some low
23 cost medications and whether they are effective or not, and if
24 you want to go for the high cost or some addictive medication,
25 then you need authorization from medical health director.
1 Q Is that what the Class 3 authorization is?
2 A That would be Class 3 authorization.
3 Q You understand looking at Exhibit No. 2 that before you saw
4 Mr. Locke was assessed by this Stephen Howard; is that
5 correct?
6 A Yes, sir.
7 Q And at that point Dr. Howard here had diagnosed him as
8 intermittent explosive disorder, possible bipolar disorder and
9 possible attention deficit hyperactive, hyperactivity disorder; is
10 that correct?
11 A Yes. It's written there.
12 Q Do you know was that the first time where the bipolar disorder
13 diagnosis was changed to possible bipolar disorder?
14 A No. This is a psychiatrist dictation but there is a different path
15 which is a path run by the psychologist. They are the ones who
16 send the patient to Boscobel, not psychiatrist. The psychiatrist
17 only signs it so I think at Fox Lake the diagnosis was dropped.
18 Then he went to I think Dodge Correctional. This is where he
19 was seen, and he still was a little confirmed that he had bipolar
20 disorder, but he agreed with intermittent explosive disorder so
21 that was the diagnosis that came with me.
22 He did not have information which I had. 1 had seen him
23 previously, and you know, he gave me permission to get the
24 records, and I got these records in June 2004, and I got another
25 copy of those again. So I had more information about his
1 bipolar disorder and I had a previous contact.
2 Q Did you ever have, how often did you, had you met Mr. Locke
3 then after you saw him in Columbia?
4 A I did want to see him, but they forced me to see him. Then they
5 turned against me, you know, like I saw him I suppose I used to
6 come twice a week on the unit, and anybody who would have a
7 request to be seen I will see him. Definitely I think over I
8 would say once a week, but all the dictations have not been
9 dictated by me. Some of them have been just contact, very
10 brief like two, three minutes, five minutes.
11 Q Okay. Then in July 7th '04 you do another report here, at that
12 point you reinstate this bipolar disorder?
13 A Yes, sir. Yes, sir, because by that time I had information I had
14 mentioned that and I had, I have seen him a few times, and I
15 have assessed him. By that time I was very sure that is what the
16 diagnosis is.
17 Q What gives you the idea, what made you, what factors did you
18 take into account to come to the diagnosis of bipolar disorder?
19 A Bipolar disorder is defined by, you know, a period of
20 hypermania or mania which there is elevated mood, and there is
21 grandiosity. They are hyperactive. There is need for less sleep
22 and the person is aggressive, and there are mood swings that
23 become sometimes paranoid. Sometimes they become little
24 depressed.
25 Sometimes they become high and their judgment and
I insight is affected. They may have psychotic features, but they
2 may not. What he had was paranoia but not voices or any
3 thought disorder. So based on the history like all those
4 symptoms just for at least one week in order to clarify if they
5. don't exist for one week, he's admitted into the hospital then
6 that is fine.
f So one week duration of symptoms generally would
8 qualify for bipolar hypomanic type.
9 Q Okay. And so basically you say you believe that Mr. Locke's,
10 his behavioral history met the criteria for bipolar disorder; is
11 that correct?
12 A Not only history. History is one thing. Then we do a mental
13 status examination like racing of thoughts, expansiveness of
14 mood, flight of ideas from one idea to the other. So mental
15 status examination is our main plus collateral information
16 which I got.
17 Q And then ultimately this was the Department of Corrections at
is this point was attempting back in July of '04 was attempting to
19 give Mr. Locke to Boscobel, and at that point you felt they put
20 the pressure on you and eventually terminated you for giving
21 this bipolar disorder diagnosis; is that correct?
22 A That's correct.
23 Q Okay. Now, let's go back before April 8th of 2004. Do you
24 have any understanding of why it was that Dr. Knutson wanted
25 to take Mr. Locke off of these - Klonopin? Do you have any1 idea why he wanted to do that?
2 A Yes, I have.
3 Q Tell me.
4 A He's my colleague even now at Mendota, Dr. Knutson, and he's
5 a very nice psychiatrist. I think why he was trying to do was
6 that Klonopin is addictive medication, and he had a history of
7 polysubstance abuse. So maybe it's quite possible that he
8 wanted him to be off the Klonopin medication and also because
9 it was Class 3 authorization.
10 Dr. Kevin Kallas put it into that category. You cannot
11 get everybody off the valium, Zanax, Klonopin, this and that.
12 So that was the order given by the high command. So he has to
13; go with those orders. That was the reason 1 think he tried to
I4 come off without seeing what will be the consequences, and he
15 took him off, and he hit the guard and here we go into this
16 route.
17 Q Okay. So what 1 hear you say, one of the reasons could be that
18 this is a drug that can be -- person can become dependent on it,
19 and Mr. Locke had a history of drug dependency so, therefore,
20 it might be good to get him off this drug. That's possible. And
21 the other one is number two, there was orders to get people off
22 of these types of drugs and you know the overlying reason for
23 that. Why do you think the Department of Corrections wanted
24 them off these types of drugs?
25 A Save money. 1 idea why he wanted to do that?
1 Q So for fiscal purposes?
2 A So save money and not to get into trouble, you know, like when
3 they are prescribed certain medications and they don't want to
4 discharge them.
5 Q Well, explain that a little more. What do you mean by that?
6 A Well, thing to explain is that Klonopin is a medication which is
7 a benzoazepene like Valium, Zanax and other medication. It's
8 addictive no doubt, but if it is given in a therapeutic dose and in
9 correct diagnosis, it helps to stabilize minor mood swings
10 which he used to have minor mood swings.
Ill It has a long half-life so the changes are or prescription
12 addictions are very, very low regarding in comparison to Zanax
13 or some other medications which have short span of life and
14 then they can develop a dependency faster. So I think in this
15 case they, the doctor did not measure the pros and cons. He
16 only measured what the boss said and he did not see that if he
1? would be off the Klonopin, what replacement are you going to
18: give to him? How will he stay stable on Klonopin for quite
19 some time?
20 So they didn't replace so they did not see the risk factors
21 and they also didn't see the good effect of that. Then once it
22 happened, then they want to get rid of him that he had no
23 diagnosis like with me.
24 Q I see. I think I understand now and thank you, Doctor.
25 THE COURT: Attorney Harper, any other questions?
r1 MS. HARPER: No. Thank you.
2' THE COURT: All right. Doctor, thank you. Now do
3 you have the blue labeled exhibits? Thank you very much. Thanks
4 for coming here, Doctor.
5 MR. SAINI: Thank you.
6 THE COURT: You are free to stay, or if you want to
7 return to Madison you are free to go.
8 MR. SAINI: Okay, sir.
9 THE COURT: Now, 1 think we are at the point where I
10 am ready to hear each of the attorneys make their recommendations,
11 and then Mr. Locke can make a statement and then Court needs to
12 proceed to sentence. Anything other than those next steps, Attorney
13 Harper, you can think of here?
14 MS. HARPER: No.
15 THE COURT: Go ahead, Mr. Bauer.
16 MR. BAUER: Your Honor, first of all, as it relates to the
17 psychological testimony here, it's first of all, 1 don't really think that
18 anything that occurred with Dr. Saini afterwards sounds to me like
19 there might have been an attempt by the Department of Corrections to
20 put pressure on Dr. Saini to send Mr. Locke to Boscobel. But that
21 was after the fact here.
22 The big question ultimately comes down to is Dr. Kriutson
23 pulling him off the Klonopin and whether or not where does the
24 responsibility for Mr. Locke's behavior start. And so that's the issue
25 and he was being pulled off. I'm reading here he writes a letter of 3-1 defect.
2 But we know that even during that time, that is a few months
3 leading up to the incident that Mr. Locke was complaining to staff that
4 he was being deprived of the meds he needed. In fact, he even filed a
5 federal lawsuit or something to try to get back on the correct meds.
6 He writes a letter on March 30'" about a week before this saying he
7 wouldn't be responsible if something happens, serious happens to me.
8 Talked about wanting to get on the right medications. Let me double
9 check that here.
10 Actually, the main thing of the letter is about being put on
11 kitchen crew and working in the kitchen and crowded inmates, and he
12 found that very difficult psychologically to be put in that position.
13 . MS. HARPER: Without his medications is his point.
14 THE COURT: Right. Well, does that letter use the
15 words medication anywhere or not?
16 MS. HARPER: No, but that's where he is writing to that
17 doctor instead of other people.
18 THE COURT: He doesn't mention it here. Certainly, I
19 agree he would if he had filed a claim in federal court to get back on
20 medication. That was a concern of his and Dr. Saini's testimony
21 thoroughly indicated today that Knutson had taken him off some six
22 or eight months I think what he said before this incident, had taken
23 him off several medications. And frankly, 1 think Dr. Saini's
24 testimony is kind of damning of the DOC if it's all true.
25 At this point I don't have any reason to think it's not true. Why
1 do I say it's damning? Because if somebody like Mr Locke can be
2 managed with the proper medications, but it costs x number of
3 dollars, State would rather not spend X number of dollars. When you
4 take him off that medication, you expose people like Serge
5 to what happened here.
6 In other words, both the staff, the administration, the security
7 staff, the guards, the other inmates are at risk if and when the DOC
8 isn't maintaining adequate treatment for the inmates that it has charge
9 of including making sure that they have sufficient meds and
10 appropriate meds.
11 It sounds like from what Mr. Locke said that for at least the
12 previous five years he had been incarcerated, was on the meds when
13 he was in the prison on the meds that he was stable and there weren't
14 any attacks, although when he's on probation, he's not getting the
15 meds. So we have got'92 incident with a bunch of convictions for
16 assault on a health care worker, assault on law enforcement officer.
17 So I am concerned about that.
18 I don't absolve Mr. Locke of all responsibility. I don't think he
19 necessarily is asking me to absolve him of all responsibility. I mean,
20 Dr. Marshall's report is the legal basis upon which we went forward,
21 and I believe! accepted the withdrawal of NGI plea. But certainly
22 when I read Mr. Locke's letters to the court that Dr. Saini got fired
23 because of him and because he wouldn't change the diagnosis, it was
24 a little suspect, but I guess I heard it from Dr. Saini. That's exactly
25 what happened.
1 Dr. Saini stood by his professional judgment and ethics and
2 refused to change the diagnosis in order to have Mr. Locke sent to
3 Boscobei to Supermax. And he said that basically that's what did him
4 in. He got his notice of termination. That's the testimony along with
5 the fact that these Class 3 whatever the more expensive meds were
6 terminated and everything. That's the testimony.
7 The evidence I think that is damning of the DOC because DOC
8 has a responsibility to provide care to all of its inmates so that we
9 don't have incidents like this where staff are injured or other inmates
10 or support staff.
11So that's a sad situation, and 1 think that's a mitigating factor in
12 this case in support of Mr. Locke. Having said that. I agree with
13 everything that Mr. Bauer said that this was a serious incident, very
14 aggravating, very vicious.
15 There is a letter from Heather and Connie Baney, his widow
16 and daughter, and they say that they aren't blaming Mr. Locke for Mr.
17 Baney's death, but certainly it did aggravate his condition. He did
18 suffer emotionally and physically after the attack, couldn't sleep and
19 the cancer kept getting worse and ultimately he died.
20 They say that Mr. Baney, although greatly affected by the
21 attack, still forgave Mr. Locke, he took a Christian attitude toward this
22 whole thing, but he still wanted Mr. Locke to receive the maximum
23 sentence in order to help guarantee he will not attack another guard,
24 although in the letter they say we realize that even if he receives the
25 maximum, it doesn't guarantee he will not attack another guard.
1 condolences and certainly to the Baney family as well.
2 (Proceeding concluded at 12:35 p.m.)
4 )
6 I, Marjorie Kurtz, hereby certify that I reported in stenographic
7 shorthand the proceeding had before the Court on the 6* day of July
8 2007, and that the foregoing transcript is a true and correct copy of the
9 said stenographic notes thereof.
10 Dated this 22nd day of October 2007. .
13 Marjorie Kurtz Branch 2
14 The foregoing certification of this transcript does not apply to any
15 reproduction of the same by any means under the direct control and/or
16 direction of the certifying reporter.

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