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Americas Chilean Court Rules U.S. Had Role in Murders

By PASCALE BONNEFOY JUNE 30, 2014

SANTIAGO, — The military intelligence services played a pivotal role in setting up the murders of two American citizens in 1973, providing the Chilean military with the information that led to their deaths, a court here has ruled.

The recent court decision found that an American naval officer, Ray E. Davis, alerted Chilean officials to the activities of two Americans, , 31, a filmmaker, and , 24, a student and an antiwar activist, which led to their arrests and executions.

The murders were part of an American-supported coup that ousted the leftist government of President . The killing of the two men was portrayed in the 1982 film “Missing.”

The ruling by the judge, Jorge Zepeda, now establishes the involvement of American intelligence officials in providing information to their Chilean counterparts. He also charged a retired Chilean colonel, Pedro Espinoza, with the murders, and a civilian counterintelligence agent, Rafael González, as an accomplice in Mr. Horman’s murder. October 3, 2014 Page 6

The two men, along with Mr. Davis, were indicted in 2011. Mr. Davis, who died in 2013, was commander of the United States Military Group in Chile.

“The judge’s decision makes clear,” said Janis Teruggi Page, Mr. Teruggi’s sister, “that U.S. intelligence personnel who aided and abetted the Chilean military after the coup remain a co-conspirator in this horrible crime.”

The latest ruling concludes that Mr. Davis provided his Chilean liaison, Raúl Monsalve, a naval intelligence officer, with information on both Mr. Horman and Mr. Teruggi based on F.B.I. and other United States intelligence, compiled for an investigation into suspicions that the men were engaged in subversive activities. Mr. Monsalve, now dead, passed on this information to the Intelligence Department of the Joint Chiefs of Staff, which ordered the men’s arrests.

The decision said the murders were part of “a secret United States information-gathering operation carried out by the U.S. Milgroup in Chile on the political activities of American citizens in the United States and in Chile.”

Sergio Corvalán, a lawyer for the families of the two slain men, said the ruling confirmed what the families had long believed.

“The Chilean military would not have acted against them on their own,” Mr. Corvalán said. “They didn’t have any particular interest in Horman or Teruggi, or evidence of any compromising political activity that would make them targets of Chilean intelligence agencies.”

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A version of this article appears in print on July 1, 2014, on page A6 of the New York edition with the headline: Chilean Court Rules U.S. Had Role in Murders October 3, 2014 Page 8

The Guardian Chile Chilean court links US intelligence to 1973 killings of two Americans Former US navy captain gave information to Chilean officials that led to executions of journalist and student, judge finds

The Guardian, Tuesday 1 July 2014 12.06 EDT Jump to comments (51)

Joyce Horman, the widow of Charles Horman, in 2000. Photograph: Llanquin/AP A Chilean court has said US military intelligence services played a key role in the killings of two Americans in Chile in 1973 in a case that inspired the Oscar-winning film Missing.

A court ruling released late on Monday said a former US navy captain, Ray Davis, gave information to Chilean officials about journalist Charles Horman and student Frank Teruggi that led to their arrest and execution days after the coup that brought General to power.

"The military intelligence services of the United States had a fundamental role in the creation of the murders of the two American citizens in 1973, providing Chilean military officers with the information that led to their deaths," the ruling said.

The judge Jorge Zepeda upheld a decision to charge Pedro Espinoza, a retired Chilean army colonel, with the murders, and Rafael Gonzalez, a former civilian counter-intelligence agent, as an accomplice in Horman's murder. The two Chileans and Davis were October 3, 2014 Page 9 indicted in 2011. Davis commanded the US military mission in Chile at the time of the American-backed coup that ousted the democratically elected government of the leftist president Salvador Allende.

Davis was investigating Americans in Chile as part of a series of covert intelligence operations run from the US embassy targeting those considered to be subversives or radicals, according to the judge's investigation. Officials at the embassy in Santiago had no immediate comment.

Believing Davis to be living in Florida, Chile's supreme court approved an extradition request after he was indicted in November 2011. But Davis was secretly living in Chile, and he died in a Santiago nursing home last year.

Horman, 31, a freelance journalist and film-maker, was arrested on 17 September 1973. A national truth commission formed after the Pinochet dictatorship ended said Horman was executed the next day while in the custody of Chilean state security agents. The commission said Teruggi, a 24-year-old university student, was executed on 22 September.

The search for Horman by his wife and father was the topic of the 1982 movie Missing, starring and . The film won an Oscar for best adapted screenplay and was nominated for best picture, actor and actress.

The film suggested US complicity in Horman's death, and at the time drew strong objections from US state department officials. The case remained practically ignored in Chile until 2000 when Horman's widow, Joyce, filed a lawsuit against Pinochet.

She said after the judge's ruling was released: "More than 40 years after my husband was killed, and almost 14 years since I initiated judicial proceedings in Chile, I am delighted that the cases of Charles Horman and Frank Teruggi are moving forward in the Chilean courts. At the same time, I remain outraged that, through death and delay, a key indicted US official, Captain Ray Davis, has escaped this prosecutorial process. October 3, 2014 Page 10

"Judge Zepeda's ruling both implicates and incriminates US intelligence personnel as playing a dark role in the murder of my husband. My hope is that the record of evidence compiled by the court sheds further light on how and why Charles was targeted, who actually ordered his murder, and what kind of information on one of its own citizens the US government passed to the Chilean military who committed this heinous crime."

Chile's government estimates that 3,095 people were killed during Pinochet's dictatorship, including about 1,200 who. AP Santiago

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Santiago Chile June 16, 2014

HAVING REVIEWED AND TAKING INTO ACCOUNT:

1. And with the merit of the following evidence: a) Lawsuit (page 49) filed on behalf of the plaintiff, Joyce Hamren Horman, for the crime of kidnapping, first degree murder, , illegal burial and exhumation, and conspiracy, committed prejudicially against her spouse, Charles Lazar; b) Authenticated translation (page 107) of Charles Edmund Horman Lazar’s birth certificate; c) Authenticated translation of Charles Edmund Horman Lazar’s preliminary death certificate (page 118); d) Authenticated translation (page 128) of autopsy report for the same individual; e) Photocopy of the Deputy Minister of Justice’s legal record (page 204) which includes documentation from the Secretary of State’s General History Archive regarding the two U.S. citizens known as Mr. Charles Edmund Horman and Mr. Frank Teruggi; f) Copy of a document “declassified” by the US Department of State (page 248) which identifies “González” as the individual who accompanied James Anderson to the cemetery to exhume Horman’s remains; g) Copy of a “declassified” document (page 252) of the same origin as the previously mentioned document dated October 1973 indicating that on October 12 of that same year, the U.S. ambassador, Mr. , discussed with Pinochet the congressional request submitted by Kennedy regarding the Teruggi and Horman cases and the problem of human rights; h) Charles Edmund Horman Lazar’s death certificate (page 267); i) Notarized certificate of exhumation and transfer of corpse dated October 18, 1973 (page 269); j) Legal Document (page 271) from the Civil Registry and Identification Service in which the Chief of the General Archive Department certifies that Charles Horman died on September 18, 1973 as documented in the recorded inscription of death No. 1018, Registry E1, 1974 at the Independencia Division; k) Declaration of Joseph Francis Doherty Mac Gregor (page 288) who was arrested together with Carol Nezzo on September 16, 1973, both of whom were taken to the Ministry of Defense and later to the National Stadium; l) Statement of Isabella Angela Rastello Muzio (pages 303 and 3,177), who indicates that she knew Charles Horman and his wife , and states that she became aware of his disappearance when Joyce informed her; she adds that on September 18, 1973 between seven and eight in the morning, she received a phone call which her grandmother answered, but which was for her; she maintains that when she went to the phone an adult Chilean male indicated she was speaking with someone from the Military Intelligence Service who added that they had detained a bearded North American extremist and wanted to know the nature of her relationship with him; October 3, 2014 Page 13

ll) Declassified U.S. State Department document (page 326) affirming that Charles Horman and Frank Teruggi were executed extra-judicially by Chilean security forces shortly after the military coup; m) Declassified U.S. State Department document (page 338) referring to the Topic: Charles Horman Case remains bothersome. The connotations for the Executive are not good. In the Hill, academic community, the press, and the Horman family the intimations are of negligence on our part, or worse, complicity in Horman’s death. (While the focus of this memo is on Horman, the same applies to the case of Frank Teruggi.) The document further states that they have the responsibility to categorically refute such innuendos in defense of U.S. officials; to proceed against involved U.S. officials if this is warranted. The document further states that without further thorough investigation, they are in a position to do neither; n) Copies of accompanying English language declassified documents (pages 340- 375); ñ) Declaration of David Hathaway (pages 376-383) accompanying the previously referenced documents; he declares he was arrested on September 20, 1973, at approximately 20:15 hours, by Chilean police who came to his home on Hernán Cortés Street, half a block away from Pedro de Valdivia Street toward the east; at that time he was with his fiancé Olga Irene Muñoz Gómez and a North American friend named Frank Teruggi, currently deceased. He further states that police officers transferred him while he was detained along with Frank Teruggi to the police station located on the Plaza Zañartú, from where they were taken on a bus to the National Stadium and transferred to the custody of military personnel; he then states that at around 18:00 hours on September 21, an official walked by the locker room where they were being held, that official called out the names of a group of individuals who were under detention, among them Frank Teruggi, but his name was not among those called. Frank Teruggi followed this official out, and this was the last time Hathaway saw Teruggi. He adds that he never saw Charles Horman, whom he knew; but he did hear Horman’s name being called out, via the loudspeakers at the Stadium during the days he was held there; o) Declaration of Terry Simon (pages 431-437), who states that she accompanied Charles Horman to the cities of Valparaíso and Viña del Mar on September 10, 1973, which is where they were on the day of the military coup. Supporting documents are attached to this declaration (pages 385- 430); p) Declaration of plaintiff and spouse of the deceased, Mrs. Joyce Hamren de Horman (pages 502-508) and supporting documentation (pages 438-501), statements from pages 1,296-1,313 and additional supporting documentation (pages 1,208-1,295), and statements on page 2482, respectively; q) Background information starting on page 509 forward provided by the Undersecretary of the Interior, corresponding to documents compiled by the October 3, 2014 Page 14

former National Corporation for Truth and Reconciliation regarding the deaths of Charles Horman Lazar and Frank Teruggi Bombatch; r) Photocopy (pages 527-529) of the autopsy protocol of an unidentified male, later identified as Charles Horman; s) Authenticated translation of declassified documents (pages 534-598); t) Declaration of Frederick Dunbar Purdy, U.S. Consul in Chile in September 1973 included in pages 684-686, 976-978, and 980; u) Statements from Herbert Alberto Corbo Prieto (pages 692-693); v) Accompanying documents (pages 706-728); w) Declaration of U.S. citizen Adam Bertram Schesch (pages 729-738); x) Declaration of U.S. citizen Marc Errol Cooper (pages 765-774) and supporting documentation provided by same (pages 740-764); y) Statement of Mariano Cristóbal Requena Bichet (pages 777-783); z) Statement of Guillermo Torres Gaona (pages 780-783); aa) Statement of Adolfo Rafael Cozzi Figueroa (pages 817-821); bb) Declaration of U.S. citizen Steven Saúl Volk Segal (pages 822-833) and unofficial declassified documents provided by same (pages 835-962); cc) Extra-judicial declaration of Jorge Nicanor Espinoza Ulloa, Army Colonel in charge of the detention center known as the “National Stadium" (pages 998-1000), and legally ratified version (pages 1007-1013); dd) Statement of Emilio Juan Meneses Ciuffardi (pages 1045-1047); ee) Statement of Pascale Bonnefoy Miralles (pages 1,314-1317); cc) Recorded transcript of witness confrontation hearing found on pages 1,366- 1,421 between Frederic Dunbar Purdy and Steven Saul Volk; dd) Transcript of visual inspection, recorded on video, conducted by the court and included on pages 1,436-1,448; ee) Frank Randall Teruggi Bombatch’s death certificate attached to page 1,550; ff) Background information starting on page 1,638 forward corresponding to declassified documents and non-official translations; gg) Report about Colonel (Retired) Jorge Nicanor Espinoza Ulloa’s mental competency carried out by the Medical Legal Service (pages 1,754-1762); hh) Declarations made by Greek national and filmmaker Constantin Gavras (pages 1,764-1,770) and complementary act of his declarations and review of the movie “Missing” which he directed (pages 1,771-1,774); ii) Declassified documents attached to pages 1,744-1,803 and their unofficial translation, carried out by staff from Chile’s National Headquarters; jj) Investigation order issued by the Special Police Investigations Brigade (B.I.P.E) of Chile’s Investigations Police attached to pages 1,805-1,813 and pages 1,821-1,825; kk) Declaration of René Guillermo Castro Ruiz (pages 1,818-1,820); ll) Jorge Nicanor Espinoza Ulloa’s death certificate (page 1,890); mm)Report of the Minister of National Defense, Mrs. Michelle Bachelet Jeria (pages 1,893-1,895); nn)Declaration of Ariosto Alberto Francisco Lapostol Orrego (page 1,897); October 3, 2014 Page 15

ññ)Background information submitted by the V Department “Internal Affairs” of Chile’s Investigations Police, which recounts the verified investigation, coeval with the facts, included on pages 1,899-1,914; oo) Declaration of Italian citizen Paolo Jontof Hutter (pages 1,919-1,920); pp) Investigation order issued by the Metropolitan Intelligence Police of the Chile’s Investigations Police, included on pages 2,216-2220; qq) Declaration of U.S. citizen Peter Robert Kornbluh (pages 2216-2217); rr) Document attached to page 2,200; rr rr) Order to Investigate issued by Chilean Investigations Police, pages 2,265, and legal document on page 2,266 forward, the investigation results establishing: 1. The facts related to the privation of Charles Horman’s liberty by military officials from the moment he was taken from his home until his death; 2. Information about the military officials with access to information about foreign detainees through embassies in Santiago; 3. The inner workings of the Chilean Army’s High Command with regard to the Third Operations Department of the Army’s Second Division; 4. The inner workings of the Jurisdictional Area Command for Internal Security (CAJSI) of the Army’s Second Division during September 1973; 5. That the Command of the “Agrupación Santiago Centro” Unit was under the control of Second Division’s Commander in Chief, General Herman Brady Roche, who for all intents and purposes carried out the orders of the Commander in Chief, Augusto Pinochet Ugarte; 6. That the CAJSI was created on September 11, 1973 for purposes of internal State security and that the missions of the Military Garrison were maintained under separate jurisdiction, meaning that the CAJSI’s operations were limited to the city of Santiago; 7. That the CAJSI’s command structure was under the direction of the Commander in Chief of the Army, Augusto Pinochet Ugarte; and 8. That the CAJSI functioned on the 6th floor of the Armed Forces Building, utilizing for those purposes the Second Division’s headquarters (High Command, made up of four divisions); ss) Document found on page 2,373 consisting of the a legal document from the Interior Ministry’s Department of Foreign Affairs and Immigration; t t) Defense Ministry legal document (page 2830), from Minister of Defense Michelle Bachelet Jeria, which states for the court that Rafael González Berdugo was not a member of the Armed Forces during the period from September 1973 through March 1974; u u) Declaration of Sergio Victor Arellano Stark (page 2,394) stating that approximately from September 19, 1973 he commanded the “Agrupación Santiago Centro”; v v) Document dated January 31, 1973 (page 2,397) recognizing that according to a Decree issued by Chile’s Military Junta, Rafael González Berdugo was in fact a civilian employee of the National Defense High Command; w w) Copies of qualification sheets for Rafael González Berdugo (pages 2,401 and 2436) issued by Chilean Investigations Police; October 3, 2014 Page 16

x x) Chilean Investigations Police legal document (page 2,448) highlighting the facts about the investigation carried out at the General Cemetery with respect to the inhumations and exhumations of Charles Edmund Horman Lazar. The document states that a photocopy was obtained of the Authorization for Burial for Mr. Horman, issued by the Civil Registry and Identification Service and dated October 5, 1973 relating to a person identified as N.N. (No Name), Inscription No. E-2,341, with the date of death listed as September 18, 1973, at 9:45 hours, resulting from multiple bullet wounds; as stated in autopsy protocol No. 2,663. The words Patio 29 are written on the back of the document, a fact which is confirmed by the proof of retrieval from the General Cemetery dated October 12, 1973; y y) Report from the Santiago General Cemetery (page 2,452) stating that Charles Horman was buried in Patio No. 9, but it is unclear whether that refers to the inhumation or exhumation from Patio No. 23 which occurred on October 3, 1973 since this last burial corresponds to an “N.N.”-No Name; z z) Chilean Investigations Police legal document (page 2,469) corresponding to the translation of Rafael González Berdugo’s declaration, a document declassified by the U.S. Department of State; a a a) Investigations Police Expert planimetric report (page 2,532) about the inspection carried out by the court of the home on Vicuña Mackenna, where Charles Horman was deprived of his liberty prior to being killed; b b b) Investigations Police report dated January 29, 2004 (page 2,535) reviewing the rental arrangements between the Hormans and their landlord regarding the home in which they lived in 1973; c c c) Chilean Investigations Police Order to Investigate (page 2,843) containing the circumstances recounted by U.S. citizens that the victim, Charles Edmund Horman Lazar, prior to being arrested and killed, was in the company of Ray E. Davis, U.S. Navy Captain; that Charles Edmund Horman Lazar, went to the U.S. embassy and consulate in Santiago before he was arrested to ask for help to leave the country, without result, and the circumstances of his subsequent arrest and immediate death; in order to do that the Investigation Order requested a declaration from Terry Ann Simon (page 2,890); from Joyce Horman (page 2,896); from George Irving Platt (page 2,929); from Patricia Marie Garret (page 2913); from Marc Errol Cooper (page 2,922); and from Frank Manitzas (page 2932); Likewise, the police order on page 3,037 contains photographs of the home on Avenida Vicuña Mackenna No. 4126 in the neighborhood of San Joaquin, Santiago from which Charles Edmund Horman Lazar was taken; and the police order on page 3,169 contains the inquiry made regarding the announcement of the arrest of a U.S. citizen; d d d) Accompanying documents (starting on page 3,203) containing declassified background information from the U.S. Department of State regarding: 1. A verbatim record of the working meeting that took place inside the U.S. embassy between representatives of the U.S. and Chile regarding the victims Frank Randall Teruggi and Charles Horman, with references to the witness Manitzas, the October 3, 2014 Page 17

autopsies, and which also mention Fred Purdy, John Anderson, Marian Lipton, John Hall, and Dale Shaffer; 2. Note No. 383 from the U.S. Embassy dated October 2, 1973 referring to prior Note No. 381, dated October 1, 1973, which discusses the cases of Charles Horman and Frank Teruggi, and which requested that the Chilean Ministry of Foreign Affairs ask that the First Military Prosecutor’s office provide the embassy with a copy of Autopsy No. 2,832 completed on September 24, 1973 at 14:30 hours on a body that was taken to the general morgue on September 22, 1973 at 21:15 hours, because it is believed to have been the body of Frank Teruggi; 3. Note No. 385 from the U.S. Embassy dated October 3, 1973 sent to the Chilean Ministry of Foreign Affairs which provides as background: Note No. 383 from the Embassy, Prior Note, referring to the disappeared U.S. citizens Charles Horman and Frank Teruggi; Note that refers to fingerprints, recorded by the U.S. government requesting the assistance of the Chilean Ministry of Foreign Affairs to contact Chilean Identification Ministry for the purpose of identifying an unidentified body which could be that of Charles Edmund Horman Lazar. 4. Declassified document SC020 28, consisting of a wire text from the U.S. Department of State dated October 1, 1973; background reference: Santiago 4736, which indicates that the FBI handed over classified copies of fingerprints belonging to: 1. Horman; 2. Teruggi. Signature of person who sent this: Secretary of State Kissinger. 5. Note No. 15,125 from the Chilean Ministry of Foreign Affairs, to the U.S. Embassy, dated October 3, 1973, which refers to previous American Note No. 385; Note 15,125 with regard to the disappearance of U.S. citizen Charles Horman, whose fingerprints were transmitted via American Note 385, stating that those fingerprints were subsequently sent to the Ministry of Identification; additionally, the Ministry communicates that Mr. Horman was detained in the National Stadium on September 20, for not having complied with the requirements of the curfew, and that he was released the following day since there were no pending charges against him; that currently they are investigating Mr. Horman’s whereabouts through the Investigations Services; 6. Note. No 15126 from Chile’s Ministry of Foreign Affairs addressed to the U.S. Embassy, dated October 3, 1973, referring to Notes 386 and 389, which deal with the death of U.S. citizen Frank Randall Teruggi; Note 386 states that a request has been made to the Medical Legal Institute to allow his cadaver to stay in that establishment until Frank Randall Teruggi’s relatives decide how his remains will be repatriated; Note 389 states that Teruggi was detained in the National Stadium on September 20 for not having complied with the requirements of the curfew, and that he was released the following day since there were no pending charges against him; after this it is possible that he was injured by military patrols in charge of enforcing the curfew or by civilian criminal forces, leading to his death, and subsequently taken to the Medical Legal Institute; 7. Note No. 16011, dated October 3, 1973 from the Chilean Ministry of Foreign Affairs addressed to the U.S. Embassy, referring to prior Note No 15125, dated October 3, 1973 stating that Mr. Horman was detained on September 20 and October 3, 2014 Page 18

released the following day, unfortunately has no basis in the actual circumstances of what occurred; According to information provided by authorities of the Medical Legal Institute, and thanks to the fingerprint documentation provided by the Diplomatic Mission, they were able to confirm the identity of the cadaver of an individual who is in fact Mr. Charles Horman. Furthermore, the autopsy confirms that he died on September 18, 1973. 8. Copy of the document declassified by the U.S. Department of State, SC041 dated October 9, 1973, regarding Charles Horman, containing digital classification and an attached photograph, his address in Chile, 4,126 Avenida Vicuña Mackenna, background about the detention which occurred in that home on September 17, 1973; and it refers to a note from the Chilean Ministry of Foreign Affairs, dated October 3, 1973, stating that Horman was detained on September 20, 1973 and subsequently freed on September 21 because of a lack of evidence against him; 9. Copy of document declassified by the U.S. Department of State (MN001) regarding Frank Teruggi Randall’s detention on September 20, 1973 at the National Stadium; e e e) Investigation Order from Chile’s Investigations Police (pages 3,267, 3,289 and 3,300 respectively) containing: 1. Information obtained from the newspapers “El Mercurio”, “La Tercera”, and “La Nacion” regarding protests carried out by U.S. citizens in front of the consulate in 1971 and 1972; 2. Official declaration made by police official (retired) Héctor Manuel Rozas Montecinos; 3. Declarations made by a) Ariosto Lapostol Orrego; and b) Ariel González Cornejo respectively; f f f) Statement of Enrique Sandoval Gessler (page 3,381); g g g) Orders to investigate (pages 3,390, 3,353, 3,421 and 3,591 duly conducted by Chile’s Investigations Police and consisting of inquiries regarding the facts of the case under consideration; h h h) Orders to Investigate from Chile’s Investigations Police (pages 3,557, 3647 3,787 3,843, 3856, 3869, 4097) containing: 1. Statements of Thomas Frank Simons; 2. Orders found on pages 3,647 and 3,787 which contain the results of the investigation regarding individuals who completed their military service in 1973 at the Engineers’ Regiment No. 7 in Puente Alto, and were involved in detaining persons in Santiago outside of the territory encompassed by that Regiment; 3. Police order on page 3,844, with regard to the what was investigated, deposing Raúl Monsalve Poblete; 4. Order appearing on page 3,855 containing Luis Humberto Mericq Seoane’s declaration; 5. Attached to this order is a photocopy of legal document 914, dated December 11, 1973 from the Ministry of the Interior to the Ministry of Foreign Affairs providing background information related to the deaths of U.S. citizens Frank R. Teruggi and Charles E. Horman L. which were requested through October 3, 2014 Page 19

Confidential Legal Memorandum RIAN No. 2470/117 dated October 26, 1973; indicating that in order to support the investigation, Major Luis Mericq S., Chief of the Ministry’s Confidential Office, was selected to conduct a third investigation at the Medical Legal Institute, where both bodies were received; finally a ballistics report was requested for Horman’s body; the report was not obtained for Teruggi because his remains had been repatriated; 6. Order appearing on page 4097 containing Leopoldo Hugo Moya Bruce’s declarations deposing Napoleón Sergio Bravo Flores; i i i) Statements of Gerd Seewald Lefebre (pages 4,136 and 4,143); j j j) Photocopy of documents on pages 4,138 4,139 and 4,140 (records found by Chile’s Investigations Police in ) respectively to which Gerd Seewald Lefebre refers in the aforementioned declaration respectively; 1. The first document states: FERNANDEZ: National Stadium. Santiago, I worked with Commander RAMIREZ and Sargent FERNANDEZ (Molli 6 o, Oct 73); 2. The second one states: MONSALVES. Navy Captain. In the National Stadium I worked with Commander Ramírez and Sargeant Fernandez, and later in the Navy, with Captain Monsalves. Santiago. (Molli 6 o, Oct. 73) 3. The third one states: RAUL MONSALVE POBLETE. Firgate Captain. Santiago. Naval Security, Defense Ministry 7th floor, Telephone 393987 and 393932… “I was on my way to Talcahuano and wanted to take advantage of the opportunity to visit the farm and speak with AS. with whom I had spoken a year ago. I wanted to talk about the same issue “of mutual interest.” But I didn’t realize it would take so long… Two other gentlemen accompanied him. One of them had arrived in Chile about 7 years ago, but from the United States. The other was Irish… … After informing the appropriate parties, Major Gómez arrived and started speaking with them. He believes they are entirely trustworthy. At 2:10 they departed. Memo: “I know him as an imbecile.” The ones who accompanied him were from the U.S. Secret Service. They were looking for Nazis (13 – 8 – 75)”; j j j) Statement of Carlos Valero Vargas (page 4,112); k k k) Section No. 487 from Chilean Investigations Police (page 4,087) which refers to a translation of documents made by the Special Cases and Human Rights Investigation Brigade. This document indicates that: “Those documents clearly outline the cooperation that existed between Chilean and U.S. military officials before the military coup. Additionally, a conversation took place in Valparaíso, specifically in the Hotel Miramar, between Charles Horman and another North American by the name of Creter, a retired Marine who was working for the U.S. Navy, and of whom he asked his opinion regarding the military coup; Creter stated that it must have been planned since everything went so smoothly, according to his words. “On the other hand, there are documents that indicate that according to the Horman family, October 3, 2014 Page 20

the U.S. embassy in Santiago did not undertake any efforts to intercede on behalf of detained citizens in order to obtain their rapid release, to the contrary the policy of the Embassy was to not provoke any type of conflict with the new government”; l l l) Declaration of Napoleón Sergio Bravo Flores (page 4period139); ll ll ll) Documents appearing on pages 4,183, and 4184, 4,220 and 4,221, all of which had been declassified by the U.S. government; a secret memo dated October 25, 1972 to the FBI’s Executive Director, from Legal Attache, Bonn (100 - 2137) (P); which requests from that office a review of archives and identity documents regarding the subject, as well as the Chicago Area Group for the Liberation of the Americas; m m m) Documents (pages 4,185 and 4,186) declassified by the U.S. government, Confidential Memo from the U.S. Department of Justice, Federal Bureau of Investigation, which basically suggests that another U.S. governmental investigative body that conducts investigations regarding security indicated that during the month of July, 1972 … was in contact with … who is now a member of the … At that that time … provided her with the following address: Frank Teruggi, Hernán Cortés 2575, Santiago, Chile. According to the information received by sources, Teruggi is an American residing in Chile and has close ties to the Chicago Area Group for the Liberation of the Americas; It states that this document contains no FBI recommendations or conclusions. It is the property of the FBI and it is on loan by that agency; this (document) and its contents cannot be distributed externally outside of the Agency nor (can it be) copied from the Agency. Classified by another governmental agency, exempt from general declassification, warning notice about sources and sensitive collection methods involved. n n n) Document found on pages 4226, and 4228, declassified by the government of the United States, memo, dated November 28, 1972 to the Executive Director of the FBI, from Legal Attache, Bonn (100 - 2127) (P); Subject… SM Subversive; which indicates the following information related to the subject was provided by the 66th Military Intelligence Group (66th MIGp) under confidential classification and marked (with the words) “Warning – Sensitive Sources and Methods (of collection) involved. Originally came from … from Heidelberg, Germany. The nature of this source must be protected … had been described by the Group as a person involved in activities designed to support enlisted men who had left their units without permission, in activities designed to support desertion of enlisted men, and in activities designed to assist and organize dissident staff members of the U.S. Armed Forces in Germany … has extensive contacts in Germany and the United States … stated he was not interested in distribution … of newspapers but was interested in helping with coordination through drafting and editing articles. Later in July 1972 (…) to (…) a member of (…) from London England. (Prior information about (…) had been provided by Bonn under the title (…) aka., October 3, 2014 Page 21

SM – S (…) stated (…) that an important contact, that she should pass on (…) was: FRANK TERUGGI, Hernán Cortés 2575, Santiago, Chile. He described Teruggi as an American residing in Chile working as editor of a bulletin called “FIN” which contained Chilean information for the American left. He was closely tied to the Chicago Area Group for the Liberation of the Americas (CGLA) (…) said (…) should tell him (…) to contact Teruggi to tell him that (…) will contact him soon (or later). It is requested that the Archives be searched as extensively as possible about the subject. It is suggested that the Washington Area attempt to locate the record of the subject’s passport to obtain his identity and background information. Bonn requests that the group attempt to identify the subject via the address (in) Siegelhausen; ñ ñ ñ) Document (pages 4,229 and 4,231) declassified by the U.S. government, U.S. Department of Justice memo, dated December 14, 1972 Federal Bureau of Investigation, indicating that: “A source who has provided reliable information in the past stated some time between September 1 - 3 the Committee of Returned Volunteers (CRV) held a national conference from August 27 – 30 1971 in Allenspark, Colorado. This conference was described as a “Conference on Anti-Imperialist Action and Strategy” with approximately 200 persons in attendance, the majority of who represented various North American leftist organizations. Frank Teruggi’s name appears on a list indicating that Frank Teruggi participated in the conference as a delegate. CRV is a national organization made up primarily of returning Peace Corps volunteers that is supported by Cuba and Third World revolutionaries and who oppose U.S. foreign “Imperialism and Oppression.” An August 1971 newsletter published by the Chicago Area Group for Latin America (CAGLA), 800 Wst Belden, Chicago, Illinois stated that FRAN TERUGGI, a member of CAGLA, would be traveling to Chile in October 1971. It concludes that on December 7, 1972, the staff person in charge of Special Affairs, Gertrude Pach, investigated the archives from the Chicago’s Illinois Police Department and found no records on Frank Teruggi”; o o o) Documents (pages 4233 and 4234) declassified by the U.S. government, memo, dated December 14, 1972 to the Director of Operations, FBI, SAC, Chicago (100-53422) (C); TOPIC: FRANK TERUGGI SM – SUBVERSIVE; which essentially states that “(Re) FBI Chicago Background information form dated November 12, 1972 and Letter from Legal Attache (Lgat) Bonn to the FBI dated October 25, 1972. Attached for the FBI are five copies (5) of an LHM related to the material mentioned above. The source for the attached LHM is … Currently no contact with the informant. …contacted on December 5 1972 by Special Agent LELAND G RICHIE October 3, 2014 Page 22

…contacted on December 7 1972 by SA PAUL L TIMMERBERG …contacted on December 5 1972 by SA LELAND G RICHIE …contacted on December 4 by SA JOHN P O’BRIEN”; o o o) Document (pages 4233 and 4234) declassified by the U.S. government, letter dated February 18, 1975 from Senator Edward M. Kennedy (Massachusetts) U.S. Senate Washington, DC 20510 to the Honorable , Secretary of State, Washington DC, in which he requests the Secretary’s assistance to arrange for the arrival of copies of the files related to the deaths of Mr. Teruggi and Mr. Horman; p p p) Document (pages 4238, 4239) from the U.S. Embassy Consular Section, stamp dated in Brussels on October 29, 1975 from U.S. Consul James H. Lassiter to Mr. André Van Lancker in which the latter requests his sworn statement regarding the case of Frank Teruggi be sent to Washington; q q q) Document (pages 4,238 and 4,239 onward) consisting of the sworn declaration of André R.G. Van Lancker as requested by the U.S. Department of State about Frank Teruggi’s death in Chile’s National Stadium; r r r) Document (pages 4,245 and 4,246) declassified by the U.S. government, Department of State, telegram from the U.S. Embassy in Santiago to the Secretary of State in Washington, Priority 8153, from Ambassador Poper, Teruggi, Frank case, Chilean Commentary regarding Van Lancker’s sworn declaration, Reference Note 077702, which states that “an official of the Political Section of the Embassy gave a copy of Van Lancker’s sworn declaration to the official in charge of U.S. Affairs at the Chilean Foreign Relations Ministry on December 22, 1975 requesting their feedback”; rr rr rr) Documents (pages 4,247 onward) declassified by the U.S. government consisting of: 1. Telegram, Santiago 5,083 dated July 22, 1975 from U.S. Embassy official Thompson in Santiago in reference to Memorandum from Col. W.M. Hon dated November 2, 1973 and from the Ministry of Foreign Affairs, notes 16011 and 15126; 2. Note 13,437 dated July 15, 1975 from the Chilean Ministry of Foreign Affairs referencing U.S. Embassy Note No. 189 dated June 13, 1975; regarding U.S. citizens Charles Horman and Frank Teruggi; 3. Memorandum from General Lutz dated October 30, 1973 whose original text appears in Spanish with an English translation, providing background information on the causes of death of two U.S. citizens, Charles Horman and Frank Teruggi, investigated by the Military Intelligence Service indicating that the information they have about them both is that they were connected to extreme left wing movements in Chile, to which they provided material and ideological support; that there is further evidence that they established an organization tied to U.S. citizens residing in Chile that carried out actions in other countries of the continent and were directed from the United States, and launched an effort whose objectives were to help get extremists and other political leaders of the previous regime out of the country; to carry out a campaign to discredit the Government Junta and ensure that the U.S. did not provide economic or any other type of aid to Chile; and to discredit diplomatic October 3, 2014 Page 23

actions initiated by the U.S. Embassy in Chile using the argument that they have responded weakly, and have in fact permitted the military to act against U.S. citizens residing there, a situation which directly related to U.S. citizens Horman and Teruggi since there is concrete evidence to believe that at least the latter (Teruggi) belonged to that organization. It also acknowledges that Frank Teruggi was in fact detained and taken to the National Stadium, but later released, and that his death occurred when he was no longer under the control of military or police forces; It acknowledges that there is evidence that Horman was detained by military personnel at his home in what is known as the “Cordon Vicuña Mackenna”, but this situation is linked to an abnormal framework of the facts; that Horman’s death was only confirmed after meticulous identification efforts using fingerprints, and that his cadaver was among other non-identified cadavers taken to the Military Institute on September 18, 1973. The document concludes that stating that criminal acts were committed by military forces should be discarded because they were operating under the strict orders and instructions of persons with ultimate responsibility; s s s) Document (pages 4,262 y 4,263) declassified by the U.S. government, letter dated October 17, 1973 from Ambassador Nathaniel Davis, addressed Dear David, in which he acknowledges receipt of the letter dated September 25 that arrived on October 9; which basically states that on September 26 they were able to secure freedom for David Hathaway, who had been detained by Chilean authorities on September 20, that Hathaway left Chile safely on September 29, and is now reunited with his family. However they did not have the same result in the case of Frank Teruggi although he was detained at the same time as Mr. Hathaway. The letter concludes by stating that he will be leaving Santiago shortly to take the position of General Director of the Foreign Service in Washington, D.C. and therefore should be able to get together every now and then; t t t) Authenticated photocopy of Frank Randall Teruggi Bombatch’s Death Certificate, indicating date of death as September 22, 1973 at 21:15 hours; cause of death: complicated thoracic abdominal shot gun wounds; 24 years of age; u u u) Authenticated photocopy of medical death certificate (page 4,285) for Frank Randall Teruggi Bombatch with data regarding arrival of body; year 1973, exact location unknown, day 22; at 21:15 hours; v v v) Copy of U.S. Department of State Foreign Service document from the U.S. Embassy in Santiago, Chile dated October 11, 1973 (page 4291) which gives the facts about U.S. citizen Frank Teruggi Randall’s death at 24 years of age, killed on September 21 or 22, 1973. The place of death: his body entered the morgue in Santiago on September 22, and the cause of death was due to multiple thoracic and abdominal gunshot wounds according to the official Chilean death certificate; report is signed by F.D. Purdy, U.S. Consul; w w w) Lawsuit (page 4,292) submitted by Fabiola Letelier del Solar and Sergio Corvalán Carrasco on behalf of Janis Teruggi (married name Janis Teruggi Page) for the death of her brother, Frank Teruggi Bombatch; October 3, 2014 Page 24

x x x) Document number 1973SANTIAGO045000 (pages 4,411 and 4,412) declassified on 1/16/1999 by the U.S. State Department, memo dated December 14 regarding the U.S. citizens detained and disappeared in Chile, until 13:00 hours of September 21, 1973; where Horman, Charles Edward is indicated with a 1 and letter D; meaning there is no new information since the last report; y y y) Declaration of Janis Teruggi Page (page 4,482) who, as sister of the victim Frank Teruggi Bombatch, confirms the lawsuit (page 4,254); a a a a) Declaration of Walter Bliss (page 4,489); b b b b) Statement of Olga Muñoz Gómez (page 4,508); c c c c) Order to Investigate (pages 4,806 and 4,975) and extension of pages 4,893 containing background information indicating that personnel from a team of the Carabineros’ School for Non-Commissioned Officers carried out the raid and subsequent arrest of Frank Teruggi Bombatch, without discarding the possibility that “agents of the State” were also involved, having been temporarily assigned to the Carabineros’ School for Non-Commissioned Officers. Furthermore, the report concludes that detained persons were taken to the National Stadium by personnel from the Carabineros’ School for Non- Commissioned Officers after being held at the exterior of the establishment and taken in by buses operated by the Stadium; it indicates that the detainees were first taken to the School for Non-Commissioned Officers in order to be registered prior to being handed over to the National Stadium, a process which took approximately two hours; then the bus entered the Stadium and parked in front of the grandstand, at which point Carabineros personnel that had participated in the detention escorted the prisoners off the bus and took them inside the Stadium, they would get back on the bus once the prisoners were handed over; The document further concludes that the 1st Squad of the Carabineros Allotment of the School for Non-Commissioned Officers carried out detentions, and that those who had been detained were taken to different locations of the School, and taken inside the establishment to the covered patio; d d d d) Certificate of order of exhumation (page 4,998) and transfer of Charles Edmund Horman Lazar’s cadaver from the National Health Service to the United States dated March 21, 1974; e e e e) Orders to Investigate (pages 5,017, 5,077, 5,117, 5,147, and 5,213 respectively) consistent with the investigation of the detention, transfer, and interrogation of persons detained after September 11, 1973 by personnel from the Carabineros School for Non-Commissioned Officers and specifically the Mountain Railroad Regiment of Engineers No. 7 of Puente Alto, and specific tasks carried out by the Fourth Department of the DINE during 1973 with regard to the deaths of Charles Horman and Frank Teruggi; f f f f) Copy of the report of the National Commission on Truth and Reconciliation (page 5,038) which states that the Commission reached the conclusion that Charles Horman, after being detained on September 17, 1973 October 3, 2014 Page 25

was executed by agents of the State outside the parameters of any legality, constituting a violation of his human rights. This conclusion is substantiated by the fact that it has been sufficiently proven that he was detained by Army personnel and that he was taken to the National Stadium; and that from the moment that occurred, no had any news of his whereabouts until his family learned of his death; and that death resulted from gun shot wounds consistent with an execution. The Commission also concludes that on September 22, 1973 Frank Randall Teruggi Bombatch, a U.S. citizen residing in Chile was executed by agents of the State outside of the parameters of any legality, constituting a violation of his human rights. This conclusion is substantiated by the fact that his arrest occurred at his home and not as a result of a violation of the curfew; it was proven that he was taken to the National Stadium; it was proven that he died as a result of multiple gun shot wounds while he was deprived of his freedom and under the custody of State agents; and his execution coincides with that of Charles Horman Lazar during the same period; g g g g) Note from U.S. Consulate (page 5,274) to which are attached the applicable norms of Federal Evidence Regulations No. 902, Self-Validation, of the United States of America, which do not require extrinsic evidence of authenticity as a prior condition of admissibility, with regard to … (5) Official publications, books, pamphlets, and any other publications that are published by a public authority … (10) Presumptions contained in acts of Congress, any signature, document, or any other matter declared in Congressional acts are considered “prima facie” to be legitimate and authentic. This with regard to the court’s inquiry regarding the following documents: 1. Testimony before the U.S. Congress’ Subcommittee on International Affairs of the Committee on Foreign Relations dated July 14, 1977; 2. Hearing before the U.S. Senate Judiciary Committee in September 1973; 3. U.S. Congressional hearings regarding the declaration dated October 31, 1973 about “the death of an American in Chile”; h h h h) Orders to investigate and police reports (page 5,239, 5,249, 5,326 and 5,350) which consist of the expert reports and declarations related to: 1. The composition of the group, and execution of orders from the CAJSI, how detention orders from the National Stadium were issued and received; 2. The existence within the National Stadium of a group of Investigating Carabineros with the rank of Major to Lieutenant Colonel, respectively; 3. The detention of foreigners by the second division of the Squad of the Carabineros School for Non-Commissioned Officers, promotion 1972 1973; 4. The transfer of detainees to the interior of the Stadium; 5. With regard to the chain of command maintained by the II Department of the Puente Alto Regiment, and the processes followed by personnel October 3, 2014 Page 26

of that Regiment as of September 11, 1973, of patrols and persecution of dissidents of the military regime, detention of persons for participating in “clandestine meetings”, “armed confrontations”, “possession and carrying and/or explosives”, “distribution of subversive propaganda”, etc.; 6. The conclusion that since approximately 1965, the “North American Military Mission in Chile” was housed on the 8th floor of the Ministry of National Defense, and that this office was in charge of coordinating classes and the purchase of weapons; the fact that personnel from the Armed Forces worked there as Chilean liaison officials; that in 1968 “the officer in charge of intelligence” of the aforementioned “North American Military Mission in Chile” was Commander “Sill”, a member of the US Army; 7. The military command that carried out activities within the Ministry of Defense from September to November 1973, provided information about individuals who had been detained in the National Stadium, according to the list created by the National Defense High Command; i i i i) Authenticated translation from the U.S. Department of State, Criminal Division, Office of Foreign Affairs (page 5,286) of the Chilean Request for Assistance that requires certified copies of U.S. Department of State communications and other documentation in relation to the detention and murder of U.S. citizens in Santiago, Chile and other occurrences between 1973 and 1975, and that consist of certified copies of a series of diplomatic cables downloaded from the Web site of the U.S. Department of State’s Freedom of Information Act (FOIA); j j j j) Document found on page 5.367 declassified by the U.S. Department of State, BB263, dated April 12, 1974 consisting of a Memorandum from Assistant Mr. George Lister to Mr. Harry W. Shlaudeman, State Department Assistant Secretary for Latin America, on the topic of “Film by Charles Horman”; he shares an evaluation and opinions of high level U.S. government officials, Mr. Harry W. Shlaudeman, Assistant Secretary of State for Latin America and his assistant George Lister, both employed by the Department of State, about the last professional activities undertaken in Chile by the North American filmmaker Mr. Charles Horman, in which the latter concludes: “Perhaps having made this movie led to his murder/death”; k k k k) Documentary film “Avenue of the Americas” attached to the document on page 5,368 to which the prior document declassified by the U.S. Department of State refers; l l l l) Document attached to page 5367 declassified by the U.S. Department of State, BB 263, dated April 12, 1974 consisting of a Memorandum from assistant Mr. George Lister to Mr. Harry W. Shlaudeman, State Department Assistant Secretary for Latin America, October 3, 2014 Page 27

regarding “Film by Charles Horman”; he shares an evaluation and opinions of high level U.S. government officials, Mr. Harry W. Shlaudeman, Assistant Secretary of State for Latin America and his assistant George Lister, both employed by the Department of State, about the last professional activities undertaken in Chile by the North American filmmaker Mr. Charles Horman, in which the latter concludes: “Perhaps having made this movie led to his murder/death”; ll ll ll ll) Documents attached to pages 5,391 and 5,428 which have to do with a document declassified by the U.S. Department of State, Declassified document. COUNT I Do-44, dated May 8, 1973. “The MHCHAOS Program”. MORI DocID: 1451843, pages 00591, 00592 and 00593 from the CIA Archive “family jewels” translated into Spanish. Additionally, the document relates to a handwritten consular note declassified by the U.S. Department of State stating that Joyce Horman last saw Horman on September 17, and that the Embassy stated that Horman was disappeared as of September 17, and that “military officials say he is not in the Stadium.” Also accompanying this is a copy of the handwritten registration record in the hotel registry “Art Creter –ISND- “They both registered at the Hotel Miramar, Room No. 315, at 23:00 hours, on September 10”, “gave the address Paul Harris 425, according to “the writer.” Departed September 15.” The handwritten registry also includes Edmund Horman’s address (Charles Horman’s father) in New York and in the lower right hand corner: 6 numerical codes and dates of six documents, which correspond to cables from the Embassy in Santiago sent to the U.S. Department of State.

2. Established Facts:

That the elements of evidence in the case under consideration confirm the following facts:

With regard to the death of Charles Edmund Horman Lazar.

a) That on September 17, 1973 at approximately 17:30 hours, U.S. citizen Charles Edmund Horman Lazar, journalist and filmmaker, was detained by military personnel at the same time that a military patrol raided his private home at Avenida Vicuña Mackenna No. 4,126 in this city of Santiago, having who also removed numerous pieces of documentation. b) On that same day, September 17, at about 22:00 hours, soldiers returned to the aforementioned home and removed books and additional documentation within. c) That, additionally on that same September 17, between approximately 18:00 and 19:00 hours, intelligence officials working for the 2nd Department of the National Defense High Command, interrogated the detained Charles Horman Lazar, in the October 3, 2014 Page 28

Director of National Intelligence’s office in the upper floors of the building of the Ministry of National Defense, because the military authorities were interested in background information that Horman might have regarding the investigation of the “Viaux-Schneider” case (page 1,297), and because they had classified his work as a filmmaker in the Chilean State company “Chile Films” as “subversive” with regard to the material they produced, in accordance with background information provided about him by North American agents operating in Chile. d) That on the following day, that is, September 18, 1973 at around 13:35 hours, military officials took the remains of an unidentified male to the Medical Legal Institute, and this individual was later fingerprinted and identified as Charles Edmund Horman Lazar, in conformity with Protocol No. 2663/73; the Medical Legal Institute concluded that his death had occurred on September 18 at approximately 9:45 hours. The corresponding death certificate was issued on October 4, 1973 by Doctor Ezequiel Jiménez Ferry of the aforementioned Institute. Likewise the Medical Legal Service informed the 2nd Military Fiscal authority on November 9, 1973 that on September 25 of that same year, an autopsy was carried out on an unidentified cadaver measuring approximately 172 meters in height, weighing 70 kilos, and concluded that the precise cause of death was multiple gunshot wounds. e) Additionally, the documentation and facts establish that on that same September 18, 1973 at approximately 08:00 hours, Isabella Restrello, a friend of Charles Horman and his spouse, the plaintiff Joyce Horman, received a phone call at her home from an individual who identified himself as a member of the staff of the Military Intelligence Service (SIM), and this individual claimed to have information about a bearded North American individual who was under detention, and said to be an extremist. f) That on the same day, a second phone call similar to the one described above, was received at the home of Warnick Armstrong, a friend of the Horman couple, from an alleged member of the staff of the Military Intelligence Service (SIM) indicating that he should report to a police station in order to respond to questions regarding a friend who was a filmmaker. g) That Joyce Horman initiated the search for her husband, Charles Horman, at the U.S. Consulate, as well as at the International Red Cross and other agencies; a search which started initially on September 20 and lasted until October 5, 1973 without results. Meanwhile, on October 2, 1973 Charles Horman’s father arrived in Chile and after several meetings with the U.S. ambassador in Chile, Nathaniel Davis, and the U.S. Consul Frederikc [sic] Purdy, obtained permission to enter the National Stadium, the place where his son was allegedly detained and held, and he entered that location with the U.S. Consul and the Vice Consul Dale Shaffer. In that location—which had been converted into a prison camp by the military— Charles Horman’s name was called out over the loudspeakers without obtaining any response, obviously because by that date Charles Horman was already deceased. After that, both Joyce and Edmund Horman returned to New York (U.S.) on October 20, 1973 without having obtained information about the Charles Horman’s final destination. October 3, 2014 Page 29

h) That—despite what had been stated—the legal proceedings establish that, at least by October 19, 1973 the Ministry of the Interior and therefore, the Chilean government as well, was fully aware of the circumstances that led to Charles Horman’s death. i) That, four months after the facts described here, approximately during the first half of March 1974, the then Ministry of Defense—in response to a request by the President of the Defense Committee of the U.S. Senate—ordered the same Chilean intelligence official who had participated in Charles’ Horman’s interrogation to hand over his body to U.S. diplomatic authorities. The intelligence official complied with this order on the morning of March 21, 1973 and after preparing the body, initiated transfer to the United States on March 25, utilizing the services of San Pancracio Funeral Home in Santiago, Chile. j) That, prior to the facts stated here, that is on September 15, 1973 at approximately 15:00 hours, the victim Charles Edmund Horman Lazar and his companion Terry Simon, departed Viña del Mar and traveled to Santiago transported by Ray Davis, Chief Official Commander of the U.S. Naval Group in Chile; a trip that occurred once the U.S. official became aware that Charles Edmund Horman Lazar and Terry Simon were staying at the Hotel Miramar in Viña del Mar, a fact that is documented in the consular document declassified by the U.S. Department of State which states: “Art Creter –ISND- Both were registered guests at the Hotel Miramar, Room 315, at 23:00 hours Spt. 10, gave the address Paul Harris 425, stated “writer.” Departed September 15.” k) That, without a doubt, Charles Edmund Horman Lazar and Terry Simon were transported from the city of Viña del Mar to Santiago by Ray Davis, U.S. Naval Captain using a “safe conduct’ authorized by Raúl Monsalve Poblete, Intelligence Official of the 2nd Department of the National Defense High Command—who served as liaison official with U.S. military officials in compliance with his tasks as Chief of the Intelligence Division A – 2, of the National Defense High Command, a position he held since December 15, 1972; l) That prior to Charles Edmund Horman Lazar’s death and by September 17, 1973, the U.S. Embassy had informed the U.S. State Department about Charles Edmund Horman Lazar’s disappearance, according to declassified document 045652528Z – , when the victim was still alive, detained and undergoing interrogation in the upper floors of the Ministry of National Defense in Santiago. m) That similarly, the Chilean Intelligence Official and Navy Captain Raúl Monsalve Poblete knew—through the chief operative of counterintelligence of the National Defense High Command, about the activities being carried out by Charles Edmund Horman Lazar in Chile, and thought that they were dealing with a foreign “subversive”, thus authorizing his immediate detention, according to the instructions received Vice Admiral Prado, Chief of the National Defense High Command and Minister of National Defense, who carried out the orders of General Augusto Pinochet Ugarte; n) That the actions taken against the life of Charles Edmund Horman Lazar occurred as a result of the secret U.S. investigation of U.S. citizens affected by data collection activities carried out about their political activities in the U.S. and in Chile; activities which were characterized as “subversive” by State agents in and October 3, 2014 Page 30

outside of the U.S. Charles Edmund Horman Lazar, without a doubt, was considered and was labeled a “subversive” because of his work for the Chilean State company known as “Chile Films”, and included sensitive film material, part of which corresponds to film footage taken out of Chile and produced outside of the country following the victim’s death. Without a doubt, the work he carried out for “Chile Films” resulted in an intelligence investigation on the part of the National Defense High Command prior to, during, and following Charles Horman Lazar’s death, as registered in the official military documentation. In fact, a document declassified by the U.S. State Department has been added to the investigation: declassified document BB 263 (manuscript), Memorandum dated April 12, 1974 which indicates, according to the hypothesis of the U.S. official who writes it, that the production of that film could have caused Charles Horman Lazar’s death and, furthermore, a copy of the reserved legal document from the Chief of National Defense High Command dated September 24, 1973 has been added. Background information consistent with the document declassified by the U.S. Department of State, Declassified document COUNT I Do-44 dated May 8, 197. “The MHCHAOS Program”. MORI DocID: 1451843, pages 00591, 00592, and 00593 from the CIA Archive “Family Jewels” translated into Spanish, which refers to the surveillance, telephone wiretaps, vigilance and espionage to which North American journalists were subjected at that time, one of the operational areas of interest being: “…Santiago”,. ñ) That, because this case has to do with a foreign national detained in Chile, the decision to kill Charles Horman Lazar was the direct responsibility of the II Department of the National Defense High Command, under the command of Army General Augusto Lutz Urzúa, and was carried out by the Military Intelligence Battalion of the Armed Forces Intelligence Headquarters under the command of a specific official of that unit in charge of the supervision of the execution of detainees.

WITH REGARD TO THE DEATH OF FRANK RANDALL TERUGGI BOMBATCH:

a) That Frank Randall Teruggi Bombatch, born in the United States, entered Chile on January 9, 1972 and registered as a U.S. citizen residing in Chile at the U.S. Consulate, listing his address in Santiago as the apartment of fellow U.S. citizen Mishy Lesser, whom he knew through a reference from yet another U.S. citizen, Shepart Bliss. Later, together with David Hathaway, also a U.S. citizen, he moved to another residence on Hernán Cortés Street No. 2,575 in the neighborhood of Nuñoa, Santiago. At the same time, Frank Randall Teruggi Bombatch, using his student visa, enrolled in the Center for Economic and Social Studies at the University of Chile’s Department of Economics; and also registered for classes at the Chilean/French Cultural Institute in Santiago. Likewise, Frank Randall Teruggi Bombatch joined other U.S. citizens who published a newsletter: October 3, 2014 Page 31

“Fuente de Información Norteamericana” (FIN) (North American Information Source) and published documents in opposition to U.S. policy toward the Chilean government. b) That prior to this, according to documents declassified by the U.S. Department of State, Frank Randall Teruggi Bombatch was the subject of a secret investigation undertaken by U.S. agents during July, 1972 as follows: A U.S. government agency conducting security related investigations alerted the FBI that they were in contact with an informant who provided the following information: Frank Teruggi, Hernán Cortés 2,575, Santiago, Chile. The agency indicates that according to information received by sources, Teruggi is an American living in Chile who has close ties to the Chicago Area Group for the Liberation of the Americas; Furthermore, with regard to Frank Teruggi: According to a Memorandum dated November 28, 1972 addressed to the Executive Director of the FBI, from the North American legal attache (desk) in Bonn Germany, Frank Teruggi was classified as a “subversive”, and further indicates the information regarding Teruggi was provided by the 66th Military Intelligence Group (66th MIGp), and was marked confidential and with the notation “Warning: Sensitive Methods and Sources involved”. It originally came from Heidelberg, Germany. The nature of this source must be protected. The above mentioned Military Intelligence Group indicates that Teruggi is involved in activities designed to support desertion among enlisted service members who left their posts without the permission of their units, and in support of promoting desertion among enlisted personnel, both with regard to supporting dissident activities and efforts among U.S. Army personnel in Germany. It claims that he has extensive contacts in Germany and in the United States. The source further states that on November 28, 1972 Teruggi had stated that he was not interested in the distribution of newspapers, but he was interested in helping coordinate activities by writing and editing articles for newspapers. Then, The Military Intelligence Group, according to a document declassified by the U.S. Department of State, claims that in July 1972, a member of the group in London, England through information that had previously been provided by Bonn, indicated that Teruggi’s address in Chile was: Hernán Cortés Street 2575, Santiago, Chile. The report indicates that Teruggi is described as an American living in Chile, who is engaged in editing a newsletter called “FIN” which publishes information about Chile for the left in the U.S. It stated this group was closely tied to the Chicago Area Group for the Liberation of the Americas. The document declassified by the U.S government, Memorandum dated December 14, 1972 from the U.S. Department of Justice, Federal Bureau of Investigation, indicates that a source that has provided reliable information in the past indicated that some time between September 1-3, 1971, the Committee of Returning Volunteers held their national conference in October 3, 2014 Page 32

Allenspark, Colorado from August 27 – 30, 1971. The conference was described as “Conference on Anti-Imperialist Strategy and Action” with approximately 200 attendees, the majority of whom represented different leftist groups from all over North America. It further indicates that Frank Teruggi’s name appears on a list of all the delegates attending this conference. The document states that the CRV is a national group made up primarily of returning Peace Corps volunteers, which is maintained with support from Cuba and all Third World revolutionaries and who oppose U.S. foreign “imperialism and oppression”. An August 1971 newsletter published by the Chicago Area Group for Latin America (CAGLA), 800 Wst Belden, Chicago, Illinois stated that FRAN TERUGGI, a member of CAGLA, would be traveling to Chile in October 1971. It concludes that on December 7, 1972, the staff person in charge of Special Affairs, Gertrude Pach, investigated the archives from the Chicago, Illinois Police Department and found no records on Frank Teruggi; Additionally, the U.S. Department of State indicates that according to a document declassified by the U.S. government, with Memorandum dated December 14, 1972 addressed to the FBI’s Director of Operations, from SAC, Chicago, dated November 13, 1972 and Letter from Legal Attache Bonn to the FBI dated October 25, 1972. “Attached for the FBI are five copies (5) of an LHM related to the material mentioned above”. The source for the LHM is stated and it further indicates “currently no contact with the informant.” It also recounts who made contact as follows: “… contacted on December 5,1972 by SA LELAND G. RICHIE; … contacted on December 7, 1972 by SA PAUL L. TIMMERBERG; … contacted on December 5, 1972 by SA LELAND G. RICHIE; … contacted on December 4, 1972 by SA JOHN P. O’BRIEN; c) That as with Charles Edmund Horman Lazar, the action taken against Frank Randall Teruggi Bombatch falls within the secret investigations conducted against North Americans as a result of a clandestine effort to collect data about the political activities they were engaged in; investigations carried out by agents of the U.S. Military Intelligence Group for America in Chile, with regard to political extremism both inside and outside of the U.S. In this particular case, they were interested in the production of leftist journalistic material by Frank Teruggi Bombatch in the newsletter called FIN (Fuente de Información Norteamericana) distributed in the U.S., sensitive material as it was considered to be “subversive” by U.S. state agents. d) That this background information about Frank Randall Teruggi Bombatch was shared with the Intelligence Service of the National Defense High Command, under the command of General Augusto Lutz Urzúa, an official of the Army’s High Command. As a result, on September 20, 1973 that military authority gave the orders to Carabineros officials, specifically the October 3, 2014 Page 33

Carabineros School for Non-Commissioned Officers, to detain the victim Frank Randall Teruggi Bombatch and his compatriot David Hathaway at their home on Hernán Cortés Street No 2,575 in the Nuñoa neighborhood of Santiago at around 20:15 hours, in the presence of David Hathaway’s future wife, the young Olga Irene Muñoz Gómez; an operation in which the captors also seized “suspicious literature” and personal photographs. After Frank Randall Teruggi Bombatch and David Hathaway were removed from the residence, they were transferred to the Carabineros’ School for Non- Commissioned Officers in the Nuñoa neighborhood, where they were interrogated, and then taken to the National Stadium detention camp. Both young North American men, deprived of their freedom, had in their possession their respective U.S. passports; however, the passport belonging to the victim Frank Randall Teruggi Bombatch was made to disappear by his captors. e) That Frank Randall Teruggi Bombatch and David Hathaway were both deprived of their freedom at the National Stadium, and in the early morning hours of Friday, September 21, were interrogated by an official of the Chilean Army in front of the locker room where foreign nationals were being held; later around mid-day both were returned to the locker room in the National Stadium, the one where foreign nationals were being held. On that same day, the 21st, at around 18:00 hours an Army official called out the names of a group of detainees, among them Frank Teruggi Bombatch, who was then taken out of the locker room, and his compatriot David Hathaway never saw him again; nevertheless Hathaway realized that every day after September 21, military officials pretended to be looking for the victim Charles Horman Lazar, without ever mentioning Frank Randall Teruggi Bombatch’s name again, both of whom were already dead and had been made to disappear by the captors. f) That, in effect, between the night of the 21st and dawn of the 22nd of September 1973, Frank Randall Teruggi Bombatch was killed outside the parameters of any legal proceeding by agents of the State, who had ordered his detention in the National Stadium, and those same agents abandoned his body in the streets of Santiago; that is how Frank Randall Teruggi Bombatch was killed, as a result of multiple gunshot wounds while he was under detention by agents of the State. The death certificate from the Chilean Civil Registry and Identification Service issued on October 10, 1973 indicates that Frank Randall Teruggi Bombatch died on September 22, 1973 at 21:10 hours and the cause of death was due to bullet wounds to the thoracic abdomen. That information corresponds to the entry of the victim’s body into the morgue, since his cadaver had been abandoned in an undetermined location on a public street, an act his captors were committed to hiding the circumstances that resulted in his death. The treatment suffered by the victim Frank Randall Teruggi Bombatch constituted standard practice carried out by military officials carrying out orders in the National Stadium prison camp: summary executions of October 3, 2014 Page 34

numerous prisoners under the so-called “martial law”, or executions using the so-called “ley de fuga” (using the pretense of an escape attempt to justify shooting the prisoner), later abandoning the lifeless bodies in the streets of Santiago, a practice designed to instill fear among a significant part of the country’s population.

3RD WITH RESPECT TO THE CRIMES:

a) That the facts outlined here, consistent with the analysis of the evidence, constitute the crime of first degree murder as outlined in Article 391, No. 1, first instance, of the Penal Code, against the person of Charles Edmund Horman Lazar, that is, the aggressors incapacitated the victim in such a way that he was unable to reject the harm they intended to commit, and killed him under those circumstances. b) That, the facts outlined here, consistent with the analysis of the evidence, constitute the crime of first degree murder as outlined in Article 391, No. 1, first instance, of the Penal Code, against the person of Frank Randall Teruggi Bombatch, that is, just like in the previously mentioned case, the aggressors incapacitated the victim in such a way that he was unable to reject the harm they intended to commit, and killed him under those circumstances. c) That the elements of the case, having analyzed the previously reviewed facts and evidence, permit us to reach the conclusion that the crimes committed, which for internal legal purposes constitute the first degree murder of the individuals known as Charles Edmund Horman Lazar and Frank Randall Teruggi Bombatch, who were executed as part of a generalized and systematic attack against the civilian population; within a subjective framework that allows for the substantial and qualitative transformation of common criminal conduct to a crime which, for International Criminal Law and Human Rights, constitutes a crime against humanity.

4th With respect to the concurrence of the crimes:

That the analysis of the evidence and the declarations of

a) That the analysis of the evidence and the declarations of RAFAEL AGUSTIN GONZALEZ BERDUGO, attached on pages 2,109 forward, and judicial documents on pages 1,860 to 1865 merit charges of having participated in the first degree murder, as specified in Article 391, No. 1, first instance of the Penal Code, of the person known as Charles Edmund Horman Lazar, as an ACCOMPLICE, as specified in Article 16 of the Penal Code. b) That with the merits of the evidence presented here, as well as PEDRO OCTAVIO ESPINOZA BRAVO’s declaration, page 5,437 forward, sufficient evidence merit charges of having participated in the above referenced crimes of first degree murder, as outlined in Article 391, No. 1, first instance of the Penal Code, of the persons known as Charles Edmund Horman Lazar and Frank Randall October 3, 2014 Page 35

Teruggi Bombatch as the AUTHOR, as specified in Article 15, No. 1 of the Penal Code.

And additionally in conformity with what is specified in Article 424 of the Code of Penal Procedures, formal accusations are made against:

a) RAFAEL AGUSTIN GONZALEZ BERDUGO as an accomplice in the crime of first degree murder, as outlined in Article 391, No. 1, first instance of the Penal Code of the person known as Charles Edmund Horman Lazar, as outlined in Article 16 of the Penal Code. b) PEDRO OCTAVIO ESPINOZA BRAVO as the author of the crime of first degree murder as outlined in Article 391 No. 1, first instance of the Penal Code, of the persons known as Charles Edmund Horman Lazar and Frank Randall Teruggi Bombatch, as outlined in Article 15, No. 1, of the Penal Code.

This decision is hereby ordered to move into the full trial stage.

Notification of this indictment is hereby ordered within a term of no more than 10 days to the attorneys for the plaintiff, Mrs. Fabiola Letelier del Solar, address Sótero del Río N° 326, Apt.1205, Santiago and Mr. Sergio Corvalán Carrasco, address Sótero del Río N° 326, Apt.1205 Santiago; This resolution must be officially notified to the corresponding monthly Court Officer. Rol Nº 2.182 - 98.- (National Stadium episode).

Decision of Judge Jorge Zepeda Arancibia, Special Prosecutor

Translator’s notes:

Page 11: In item rr rr rr) no. 3 (starting on page 10) the document states that Charles Horman’s body was taken to the Military Institute (Instituto Militar). However, everywhere else in the document, it is stated that Charles Horman’s body was taken to the Medical Legal Institute, the Instituto Medico Legal. This may be an inadvertent error on the part of the Judge.

Page 14: The odd repetition that occurs with items j j j j) and l l l l) occurs in the original document.

Throughout the document, page numbers are cited as in the original document with the exception that periods are substituted with comma’s for numbers above one thousand. In Spanish, numbers above 1,000 are separated with a period as opposed to a comma as in English. However, numbers are cited inconsistently throughout the document, and where no period divides a number in the thousands in Spanish, no comma was inserted in English. October 3, 2014 Page 36