U.S. Deputmcnt of H e e d Security Washington, DC 20528

June 2,2004

Dear Mr. Vice President, Speaker Hastert, and Members of Congress:

Section 705 of the Homeland Security Act of 2002 requires the appointment of an Officer for CiviI Rights and Civil Liberties within the Department of Homeland Security. In the short time since March 1,2003, the Ikparbnent has made remarkable progress in estabhhing an effective Office for Civil Rights and Civil Liberties. The Office has anained significant achievements in its first year of operation, and it has provided me and the senior leadership of the Department timely advice as we develop policies that both enhance our nation's security and respect our civil rights and civil liberties.

The Department of Homeland Security is strongly committed to the protection of civil rights and chi1 liberties in all of our work. Indeed, the Department's Suategic Plan prominently states this commitment in the vision statement, guiding principles, and goals and objectives.

Section 705Cb) of the Act requires that f submit to the President of the Senate, the Speaker of the House of Representatives and the appropriate committees and subcommittees of Congress on an annual basis a report on the implementation of Section 705. The report prepared by the Ofice for Civil Rights and CiviI Liberties on the creation of the Office and the work that this Ofice has undertaken is enclosed. A copy of the report can also be obtained from our website at htrp://w.dhs.~~vldhspublicldispla~?theme=9&~0nten~2978.

The Department of Homeland Security looks forward to working with the Congress and the people of the United States as we ensure the protection of the homeland as well as our civil rights and civil liberties.

Sincerely.

Tom ~ i d g e

The Department's major accomplishments in the area of the protection of civil rights and civil liberties are set out in this report, and include:

The appointment of the Department's first Officer for Civil Rights and Civil Liberties, and the establishment of a robust Office to support this mission; The clear establishment of the Department's commitment to the protection of civil liberties, both through numerous statements by Secretary Ridge and other senior leaders, as well as through the Department's Strategic Plan, which highlights strong statements regarding the priority that must be placed on these issues; The Office for Civil Rights and Civil Liberties' ability to serve as an entry point for civil rights, civil liberties and immigration advocacy groups to communicate with the Department; The Office for Civil Rights and Civil Liberties' participation in shaping the Department's response to The September I I Detainees: A Review o f the Treatment of Aliens Held on Immigration Charges in Connection with the Investigation of the September I I Attach, a report issued by the Lnspector General of the Department of Justice; The creation of a process for receiving, assigning, investigating, referring, and concluding reviews of allegations of abuses of civil rights, civil liberties and racial or ethnic profiling; Recognizing that one of the most vaIuable ways to implement the Department's commitment to the protection of civil rights and civil liberties is through training programs, the Office for Civil Rights and Civil Liberties has initiated work on a "Civil Liberties University," which will be a library of distributed learning courses offering topquality civil rights and civil liberties training to Department personnel; The Office for Civil Rights and Civil Liberties' contributions on issues in the area of refugee and asylum law; and, The Office for Civil Rights and Civil Liberties' leadership with regard to Secretary Ridge's aggressive initiative to serve as a model employer for people with disabilities.

This report demonstrates that the Department has operated on many fionts to secure the homeland and protect our civil rights and chi1 liberties. In the coming year the Department looks forward to building on these achievements and executing the responsibilities the American public has entrusted to our care.

sensors to major cities across the nation. These sensors help to quickly detect airborne pathogens, such as anthrax, in time to distribute life-saving pharmaceuticals. These efforts represent only a few of the Department's achievements over the past year, and they provide a sound footing to continue the important work ahead.

The Office for Civil Rights and Civil Liberties works across these directorates in the Department to provide advice, feedback, and analysis to help ensure that the many initiatives the Department is undertaking preserve civil liberties, while at the same time accomplishing the mission of protecting the nation.

U.S. DEPARTMENT OF HOlMELAND SECURITY'S COMMITMENT TO CIVIL RIGHTS AND CIVIL LIBERTES

September 1 1,2001, was a turning point in American history. Following September 1 I th, the United States government created the Department of Homeland Security, which leads a focused, consolidated, and organized effort to improve security and prevent attacks on the United States and its people. It was clear to President Bush, his senior advisors. and members of Congress that the protection of civil liberties had to be a strong component in the creation of the Department and the country's response to terrorism.

Just weeks after the attacks, President Bush gave this charge to a conference of federal prosecutors: "We have a huge responsibility, and that [is] to defend America while protecting our great liberties.'" In a December 9, 2001, Proclamation, President Bush said:

"We have a huge responsi6ility, a d t h a t [d to d.fendJmerica while protecting our great li6ertiac. '"

-President Bush

Americans stand united with those who love democracy, justice and individual liberty. We are committed to upholding these principlq embodied in our Constitution's Bill of Rights, that have safeguarded us throughout our history and continue to provide the foundation of our strength and prosperity."

President Bush's leadership in pursuing democracy in the Middle East also has set an important tone in the war on terror. He has stressed that the pursuit of liberty and democracy are fundamental in waging the war on terror. In a speech at the 2 0 ~ anniversary of the National Endowment for Democracy on November 6,2003, President Bush issued a call for America to defend our fieedoms and our democratic principles around the world:

The advance of freedom is the calling of our time; it is the calling of our country. From the Fourteen Points to the Four Freedoms, to the Speech at Westminster, America has put our power at the senice of principle. We believe that liberty is the design of nature; we believe that liberty is the direction of history. We believe that human filfillment and excellence come in the responsible exercise of liberty. And we believe that freedom - the freedom we prize - is not for us alone, it is the right and the capacity of all mankind.4

"resident George W. Bush. "Remarks by the President to U.S. Attorneys Conference." 29 November 200 1 . President George W. Bush "Human Rights Day, Bill o f Rights Day, and Human Rights Week 2001 by the

President of the United States of America, A Proclamation," 9 December 2001. President George W. Bush, "Remarks at the 2 0 ~ Anniversary of the National Endowment for Democracy."6

November 2003.

LEGAL AND POLICY REVIEW

A key role of the Office for Civil Rights rnrd Civil Lai'beaties is to provide the senior leadership of the Department with legal and policy advice on a wide m e of issues. Throughout this work, the Of][ice is deteamined to be COW^ - providing arfvice thEtt wil l enable policy- makers to achieve their national SeicIltity or law enkwment go& in ways tbat also protect civil rights and civil libeaties. This ccmtm&ve approach requiras the Oflice to beprooctive - acting to shape policy before problem occur. The OPEice dm is deteamined to be imwtive - recogking that this is a new ceantury, a new seclnity cant&, a d e llew f W agency. CRCL addresses issues that have been debsued for maoy years with fresh approaches and a search for practical solutions.

The Office's work spans the horizon of isam that conhnt the Ibphmmt of Homeland Security, fbm hnigmtion policy to technology to law ex&mmmL CRCL's atEomeys are camfid to mark the distinction betwea), law-what the ComtWion, f b d d statatgr law, and case law ~~ and policy coace~ls. The fdowiag is a brief dwxiptb of some of the a r e a s i n w h i c h C R C L h a s ~ ~ ~ l l t n ' b n t i ~ t o t b e w o r k o f t h e ~ t .

On February 27,2001, in his first S-af the Union addma, President Wlsh stated that racial profiling "is wrung and we will esrd it in h e r i c ~ , " ' ~ He directed the A m e y &nerd to s a y ibe n 6 t of tbc Gblm and md to issus guidance to f e d d law enforcement agencies on how to avoid mgaging in this practice. Prior to President W s commitmat, many stated their opposition to racial prow but neither the courts, comm- nor the previous Administration provided a specific clefmition or specific guidance on how to avoid this prrtrcsice.

On June 16,2003, the Departmeat of Just& 0 issued the guidance Presideat Bwh hsd called for - Guidance Rgmding the Use #lPrrae By ~ederd Ltaw Erg?ormont ~~eneies." The G u i h is important because fbr the .first time the cancept of "mid ~ ~ g " is defined with rigor, practical imtmctioas are given about how law etdbr~erntmt officezs can avoid mgaghg in it; and, the applicability of this wmpt in the national semity wntext is explained. The Guidance is illwtrated thmugh fomtem hypotMic81 pittam that offictws can easily uridesstand. The Ouidmce also is impartant because it establidm birading fedeaal policy governing the ccraduct of all f e d d law d m t offim.

IMMIGRA 1"ION LA WAND POLICY [ I I I

~ u s h ' i goal was to ensure that while improving security, the United States would remain a welcoming nation to immigrants. President Bush said on January 7,2004:

The attacks on September 11 th prompted a reexamination of the immigration process and enforcement of immigration law. This reexamination r e d ted in a full-scale government divestiture, merger, acquisition and startup, all at once, which included former agencies such as the Immigration and

By tradition and conviction, our country is a welcoming society. America is a stronger and better nation because of the hard work and the faith and entrepreneurial spirit of immigration. Every generation of immigrants has reaffirmed the wisdom of remaining open to the taIents and dreams of the world. And every generation of immigrants has reaffirmed our ability to assimilate newcomers-which is one of the defining strengths of our country. ''

"lh very qualities t h t 6n'q imrn&rants andn$igees to this countty in the thmandc evqhy , made us dnera6k to the at t a c t of ~eptember 11, 6ut those are &o the quali:tiar that d m k e ZLS vritorioz(s a d unvanquishedin tfie dP - U.3. SoTicitw @mal?lieodore Ofion'J

In tum, the Department of Homeland Security integrated this concept of remaining a welcoming nation into its Strategic Plan's mission statement:

Naturalization Service (INS) and the United States Customs Service. As a result, the Homeland Security Act established three components to handle immigration issues: Immigration and Customs Enforcement (ICE), Customs and Border Protection (CBP), and Citizenship and Immigration Services (CIS). In the creation of the Department and these components, President

We will lead the unified national effort to secure America. We will prevent and deter terrorist attacks and protect against and respond to threats and hazards to the Nation. We will ensure safe and secure borders, welcome lawful immigrants and visitors. and promote the fiee-flow of cornmer~e.'~

Within the Department, the Office for Civil Rights and Civil Liberties has been involved in providing legal and policy advice on a wide range of immigration issues, including:

9/I 1 Detainees

The Office for Civil Rights and Civil Liberties has been an integral part of the Department's review of the recommendations of the Department of Justice Office of Inspector General (DOJ OIG) in the June 2003 report on the treatment of aliens detained in connection

I8 U.S. Solicitor General Theodore Olson, Speech to tbe Federalist Society, 16 November 200 1. 19 President George W. Bush, "Remarks by the President on Immigration Policy," 7 January 2004. *' Securing Our Homeland, US. Deportment of Homeland Sean# Strategic Plan. February 2004.

and across the Department. CRCL and CIO representatives are meeting with the following groups: all of the component Section 508 coordinators to learn about their Section 508 programs and activities and to gather their suggestions on the Department's overall Section 508 strategy; other federal agencies that have model programs, to identify best practices; and, persons outside the government who have expertise to share in this area. CRCL and CIO staff members will present a comprehensive set of recommendations to the CIO and the Officer for Civil Rights and Civil Liberties.

REGULATORY WORK

Department Civil Rights Regulations

On March 6,2003, the Department issued interim regulations covering an array of commitments to non-discrimination by recipients of federa1 financial assistance and in federally- conducted activities. The interim regulations are:

Interim Final Rule Effectuating Nondiscrimination on the Basis of Race, Color, or National Origin in Programs or Activities Receiving Federal Financial Assistance From the Department of Homeland Security, 6 C.F.R. Pt. 21, March 6,2003;

Interim Final Rule Effectuating Enforcement of Nondiscrimination on the Basis of Disability in the Department of Homeland Security, 6 C.F.R. Pt. 15, March 6,2003; and,

* Interim Final Rule Effectuating Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance. 6 C.F.R. Pt 17, March 6,2003.

These regulations serve to lay the foundation within the Department for the overriding commitment to equal opportunity and non-discrimination. In the next year the Department will review these regulations and undertake the process of evaluating them for final publication.

Review of the Department's Regulatory Eflorts

The Office is working with OGC to review proposed regulations to ensure that the civil liberties impacts of new rules are wefully considered. CRCL has reviewed and commented on a number of regulatory proposaIs. OGC has convened a regular meeting with individuals across the Department who are responsible for the development of proposed regulations. These individuals include attorneys andor representatives of the policy offices from Department components. CRCL is working closely with this group.

EQUAL EMPLOYMENT OPPORTUNITY

The Officer for Civil Rights and Civil Liberties is responsible for the Department's Equal Employment Opportunity (EEO) program. The EEO Program seeks to ensure that all Department employees and applicants for employment are provided equality of opportunity. It will collaborate closely with the Office of the Chief Human Capital Officer to develop innovative, state-of-the-art solutions for creating and maintaining a healthy work environment.

In accordance with Department directives, the Office for Civil Rights and Civil Liberties (CRCL) directs the Department's EEO programs, including the development of Departmental EEO policy. As required, CRCL issues final agency decisions on allegations of employment discrimination. Additionally, the Office partners with the Office of the Chief Human Capital Officer to develop the Department's recruiting initiatives to promote a diverse workforce. Finally, the Office provides leadership to a working group comprised of the eight EEO and Civil Rights offices.

CHALLENGES & LEADERSHIP

Under Secretary for Management, Janet Hale, made the establishment of an effective EEO Propram a top priority in the first weeks of the new Department. Under her leadership, the plans for the office were developed in close colIaboration with the component EEO Civil Rights Directors, their former Departments, the Office of the Chief Human Capital Officer, the Equal Employment Opportunity Commission (EEOC), and the US. Office of Personnel Management (OP M).

The Department EEO Program was in place when the Department officially opened on March 1,2003. It confronted four major challenges from the outset:

developing the i n h t r u c m e for a model EEO program; directing the timely and cost effective processing of legacy EEO complaints; establishing initiatives to recruit and accommodate a diverse workforce; and establishing external partnerships to guarantee program implementation.

The infrastructure for an effective program started with hiring an outstanding staff. Thirteen positions within the Office of Civil Rights and Civil Liberties are assigned to the EEO Program, including a position in the Senior Executive Service for the Director of the program. The EEO Progarn has been privileged to have as its core staff members several individuals who transfered fiom the Department of Treasury Office of Equal Opportunity Program (OEOP), including the former OEOP Deputy Director. Their years of experience and expertise in this field have been a great benefit to the Department.

In addition, the Officer for Civil Rights and Civil Liberties appointed a highly-qualified individual to serve as EEO officer for the Office of the Secretary and other headquarter offices. Moreover, the Officer for Civil Rights and Civil Liberties worked with the Office of General Counsel (OGC) to ensure that an attorney has been assigned to provide legal support to the

APPENDIX B - DHS ORGANIZATIONAL CHART

Homeland Security

APPENDIX C - DHS VISION, MISSION STATEMENTS, AND STRATEGIC GOALS

VISION STATMENT

MISSION STATEMENT

CORE VALUES: P d attributes eqeckd of every hprtmed of Homeland Security employee.

constantly on guard against threats, hazards, or dangers that threaten our values and our way of life.

Respect: uHonoring our Partners" We will value highly the relationships we build with our customers, partners and stakeholders. We will honor concepts such as liberty and democracy, for which America stands.

GUIDING PRINCIPLES: The philosophy that informs and shapes decision making and provides normative criteria that governs the actions of policy makers and employees in performing their work.

Protect Civil Rights and Civil Liberties: We will defend America while protecting the freedoms that define America. Our strategies and actions will be consistent with the individual rights and liberties enshrined by our Constitution and the Rule of Law. While we seek to improve the way we collect and share information about terrorists, we will nevertheless be vigilant in respecting the confidentiality and protecting the privacy of our citizens. We are committed to securing our nation while protecting civil rights and civil liberties.

Intemate Our Actions: We will blend 22 previously disparate agencies, each with its employees, mission and culture, into a single, unified Department whose mission is to secure the homeland. The Department of Homeland Security will be a cohesive, capable and service- oriented organization whose cross-cutting functions will be optimized so that we may protect our nation against threats and effectively respond to disasters.

Build Coalitions and Partnerships: Building new bridges to one another is as important as building new barriers against terrorism. We will collaborate and coordinate across traditional boundaries, both horizontally (between agencies) and vertically (among different levels of government). We will engage partners and stakeholders from federal, state, local, tribal and international governments, as well as the private sector and academia. We will work together to identify needs, provide service, share information and promote best practices. We wiIl foster inter-connected systems, rooted in the precepts of federalism that reinforce rather than duplicate individual efforts. Homeland security is a national effort, not solely a federal one.

Develop Human Capital: Our most valuable asset is not new equipment or technology. but rather our dedicated and patriotic employees. Their contributions will be recognized and valued by this Department. We will hire, train and place the very best people in jobs to which they are best suited. We are committed to personal and professional growth and will create new opportunities to train and to learn. We will create a model human resources management system that supports equally the mission of the Department and the people charged with achieving it.

Innovate: We will introduce and apply new concepts and creative approaches that will help us meet the challenges of the present and anticipate the needs of the future. We will support innovation and agility withln the public and private sector, both by providing resources and removing red tape so that new solutions reach the Department and the marketplace as soon as possible. We will harness our nation's best minds in science, medicine and technology to

APPENDIX F - EQUAL ~ L c O Y M E N T 0PP;ORTUNITY AND SEXUAL W S S M E N T POLICY STATEMENT

Homeland Security

EQUAL ElYLPLUYMENT OPI9RTUNITY AND SEXUAL EtARASSHEM' POLICY STATEMENT

As Secretary of the ikpntmeat of Homelaad Semi@, I am personaUy cormrritted to making the Department a model employer with a diverse and effbctive workforce. To &we this goal it is essential that mmagm and supwbm mainbin an atamphe whem employees and applicants for employment ace judged sole& on the basis of mesit w ability. We want to create an atmosphere where there is respect fbr the shmgth brought to ow workforce when we haw employees with a wide mge of background and expaimces. We must strive to ensure that all employ- have an oppmtmity to re& theit fitll potential aad to COfltfibute to the maxss of the Deparemmt.

To this end I ask all mmagm and s q m i s m to take two steps. First, please enme that you advertise job opmiqp as widely as podible. It is critical that we take adantage of the talents of the broadest pomile range of Americans as we ccnry out our critical work. Second, please make special effort to reasonably 8ccommodate the needs of wmployem and applicants for employment who have physical or m d disabilities.

Let me be clear about a related point: dsammab . * . 'on against or harassment of my employee

cannot be tolerated. Managers and supedsars must make special efforbs to identify and eliminate any form of sexual harassmerd and to maintab an enviranment h e of any conduct - physical or v a W - that could crate a M e or intimidating eavtomnent. I emphasize again that we will accomplish our critical mission only if we ensure that all employeis are fk to fully contribute their talents.