security concern. The program collects detailed information about the background and purpose
of an individual’s visit to the United States, the periodic verification of their location and
activities, and departure confirmation. The NSEERS program ensures that the U.S. government
has detailed information about individuals visiting our country who have been in contact with
countries in which substantial terrorist activity had been identified. Although most individuals
registered under the program are citizens of about 25 countries, individuals who are citizens of
more than 150 countries have been registered. The responsibility to administer NSEERS passed
to DHS when the new agency was created.

Consistent with our mission to communicate with the public on civil rights and civil
liberties matters, the Office met with representatives of non-governmental organizations
regarding their concerns about the special registration program and its impact on affected
communities. CRCL has served as a communication channel between these groups and DHS
representatives.

In December 2003, the Department announced that it had suspended the formal
requirement for individuals previously registered with NSEERS to re-register after 30 days and
one year of continuous presence in the United States. Although certain visitors may still be
registered under NSEERS at their time of arrival at U.S. ports of entry, there will no longer be a
mandatory requirement for all persons registered to report for interviews at a local immigration
office. One of the purposes for suspending the domestic registration portion of the program was
to improve security by allowing law enforcement and intelligence to focus resources on tailored,
individualized considerations of risk, rather than to devote resources to broad categories of
people based on geography.

NSEERS was the first step taken to comply with the Congressionally-mandated
requirement for a comprehensive entry-exit program by 2005. The Department is now operating
US-VISIT, a program to collect information and biometric identifiers from many visitors to the
United States, and to record their departure. The Department has determined that US-VISIT and
other new processes being implemented will meet the national security needs that NSEERS
previously fulfilled. CRCL worked with BTS on this change in policy, and continues to work
with BTS on issues surrounding NSEERS.

Conditions of Detention and Access to Counsel

CRCL has been involved in reviewing conditions of immigration detention facilities and
the issue of access to counsel. The Detention and Removal Office (DRO) within ICE has
primary responsibility for the implementation of the National Detention Standards, a set of 37
standards developed in collaboration with nongovernmental organizations. These standards,
which cover areas such as access to counsel, religious services, and medical care, are aimed at
ensuring that the highest standards are maintained in immigration detention facilities. Mr.
Sutherland and a senior CRCL attorney have visited immigration detention facilities in the
Detroit area and in South Florida. The Office will participate in formal reviews of facilities
throughout the country and continue to work with DRO as well as with immigration and
advocacy organizations to support consistent and full implementation of the detention standards.

20


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

gant

e) C
2
a ts

Gia

DEPARTMENT OF HOMELAND SECURITY
STRATEGIC PLAN SUMMARY

2004

The National Strategy for Homeland Security and the Homeland Security Act of 2002 served to
mobilize and organize our nation to secure the homeland from terrorist attacks. This exceedingly
complex mission requires a focused effort from our entire society if we are to be successful. To
this end, one primary reason for the establishment of the Department of Homeland Security was
to provide the unifying core for the vast national network of organizations and institutions
involved in efforts to secure our nation. In order to better do this and to provide guidance to the
180,000 DHS men and women who work every day on this important task, the Department
developed its own high-level strategic plan. The vision and mission statements and strategic
goals and objectives provide the framework guiding the actions that make up the daily operations
of the department.

VISION STATMENT
Preserving our freedoms, protecting America ....we secure our homeland.
MISSION STATEMENT

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 free-flow of
commerce.

CORE VALUES: Personal attributes expected of every Department of Homeland Security
employee.

Integrity: “Service before Self” Each of us serves something far greater than

ourselves. To our Nation, we represent the President and the Congress. To the world,
seeking to visit or do business with us, we are often the first Americans they meet. We
will faithfully execute the duties and responsibilities entrusted to us, and we will maintain
the highest ethical and professional standards.

Vigilance: “Guarding America” We will relentlessly identify and deter threats that
pose a danger to the safety of the American people. As a Department, we will be

4


Each directorate and office must work regularly with interns with disabilities.

CRCL has identified several sources for interns, including, for example, students seeking
credit during the academic year or employment during the summer and veterans seeking to re-
enter the workforce. The Secretary has directed that all directorates and offices within
Department headquarters work regularly with these interns, and the Department’s headquarters
offices expect to work with dozens of interns with disabilities every year.

Each directorate and office will work proactively with the Department's Selective
Placement Coordinator.

Secretary Ridge recognizes that for the Department’s Selective Placement Coordinator to
be successful in helping match interested candidates with managers she will need information
about the staffing plans, both short and long-term, for each directorate and office. Therefore, the
Secretary has tasked all directorates and offices within Department headquarters to work
proactively with the Selective Placement Coordinator.

Each component should have the opportunity to design a similar but customized strategy.

The strategies above relate to employment opportunities at Department headquarters.
Therefore, the Secretary directed each head of a component to work with that component’s
EEO office and Human Capital office to develop a specific strategy that is parallel to the
program described above. All components submitted these strategies by April 1, 2004. Because
all components of DHS now have aggressive strategies in place to hire people with disabilities,
opportunities for employment should increase across the nation and in all categories of jobs, both
in senior and entry-level positions.

37


APPENDIX D - STRATEGIC PLAN FOR THE OFFICE
FOR CIVIL RIGHTS AND CIVIL LIBERTIES

Mission Statement

From the very beginning of the homeland security effort, the Bush Administration has
emphasized the need to protect and enhance our civil rights and civil liberties. Just weeks after
the September 1 1" terrorist attacks, President Bush told a conference of federal prosecutors that,
“(W]e have a huge responsibility, and that’s to defend America while protecting our great
liberties.” Secretary Ridge recently said, “[OJur strategy and our actions [will be] consistent
with the individual rights and civil liberties protected by the Constitution.”

The Administration’s commitment to these principles is demonstrated in part by the
appointment of an Officer for Civil Rights and Civil Liberties within the senior leadership of the
Department of Homeland Security. The purpose of this document is to lay out the Office’s broad
mission statement as well as a specific operating plan.

The mission of the Office is to protect civil rights and civil liberties and to support
homeland security by providing the Department with constructive legal and policy advice on the
full range of civil rights and civil liberties issues the Department will face, and by serving as an
information and communication channel with the public regarding all aspects of these issues.

The Office will work closely with a number of other components within DHS, including
the General Counsel, the Privacy Officer, and the Inspector General. Establishing positive
relationships with these components will be a key to the Office’s effectiveness.

The Office for Civil Rights and Civil Liberties will have five key objectives:

Objective 1: Establish an effective and efficient Office for Civil Rights and Civil Liberties. This
objective focuses on a number of management issues that must be resolved to properly establish
the Office.

Objective 2: In close cooperation with the General Counsel, provide legal and policy advice to
the Secretary and senior officers at DHS with regard to issues and initiatives that may have an
impact on civil rights or civil liberties. The Office will provide constructive advice so that
policy is shaped in ways that are mindful of and consistent with civil rights and civil liberties.

Objective 3: Develop proactive initiatives that will demonstrate the Department's commitment
to civil rights and civil liberties. In addition to reacting to issues raised by other components
within DHS, the Office will also take the initiative in developing projects that will enhance civil
rights and civil liberties.

Objective 4: Communicate with the public to explain DHS’s commitment to civil rights and civil

liberties. The Office will play an active role in communicating with the public, both by listening
to people’s concerns and by advancing the Department’s positions in public forums.

46


abuses of civil rights and civil liberties. The Director of EEO programs and her staff of twelve
are responsible for the equal employment opportunity program of the Department’s headquarters.
The Director of EEO Programs also provides leadership to a working group comprised of eight
EEO/civil rights offices in the Department, which seek to cooperate on joint projects. The
Office’s organization chart is as follows:

OFFICE FOR CIVIL RIGHTS AND CIVIL LIBERTIES

ORGANIZATION CHART
Officer for Civil Rights Assistant
and Civil Liberties
i
I |
Chief Counsel
Director for Equal
" (reports to General
E it Opportu
sini il Counsel)
Office of the Chief
Counsel
Policy and Report Complaint
Team Adjudication Team HQ EEO Officer

Mr. Sutherland also worked with Janet Hale, the Under Secretary for Management, to
create the Office’s budget for fiscal years 2004 and 2005. The Office operates with a budget of
$12,950,141 in fiscal year 2004.

The remainder of this report will focus on Objectives 2 through 5. The report will
explain CRCL’s efforts in its three program areas:

e Legal and Policy Review;
e Matters Warranting Review; and
e Equal Employment Opportunity Program.


homeland security effort will reach its maximum success when the Department works closely
with other government agencies, with the private sector, with academia, and with community-
based non-governmental organizations. The senior leadership of the Department is committed to
listening to the views of those from outside the Department and is aware that these groups and
individuals can help improve the Department’s work.

In particular, CRCL is responsible for communicating with civil rights, immigration, and
civil liberties groups, as well as with concerned individuals. CRCL’s role is to understand the
policy positions and concerns of these groups and others so that the Department’s policy-makers
can benefit from these views as decisions are being shaped. CRCL also attempts to provide
these persons and groups with information they seek regarding Department policies and
decisions.

CRCL meets regularly with a coalition of civil rights, immigration, and civil liberties
groups. In addition to formal meetings, Mr. Sutherland and CRCL attorneys are in regular
communication with a variety of organizations. CRCL has established working relationships
with groups such as the National Immigration Forum, the National Organization on Disability,
Amnesty International USA, the American-Arab Anti-Discrimination Committee, the American
Civil Liberties Union, and Human Rights First, and many others. In addition to meeting with
representatives from these groups, CRCL also has coordinated meetings between these groups
and a number of senior Department leaders.

24


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

Respect: “Honoring 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.

Integrate 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 will 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 within 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

42


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 11 Detainees: A Review of the
* Treatment of Aliens Held on Immigration Charges in Connection with the
Investigation of the September 1] Attacks, a report issued by the Inspector
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 valuable 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 top-quality 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 fronts to secure the
homeland and protect our civil rights and civil 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.


available e-mail technology to spread news on the latest job openings to campus disability
coordinators throughout the nation, all independent living centers and state rehabilitation offices,
bar associations, Tribal Colleges, Hispanic Serving Institutions and Historically Black Colleges
and Universities, among many other institutions. The EEO Officer servicing the headquarters
sends the Department vacancy announcements to these organizations approximately once a
week, and this community of diverse organizations disseminates the job announcements
throughout the country. CRCL continually seeks to expand the Department’s recruitment
network. As a result, the Department listserv currently has over one-thousand contacts
nationwide, each serving a community that can add diverse talents to the Department’s
workforce.

CRCL’s EEO Program is also partnering with the Chief Human Capital Officer and the
Office of Personnel Management to produce quality Department branding and recruiting
materials. These materials will be exceptionally helpful as Department employees attempt to
recruit new individuals to join the applicant pool.

CRCL has also worked closely with the EEOC to examine best practices in the federal
sector that can be implemented in the Department. Mr. Sutherland has met with Cari
Dominguez, the Chair of the EEOC, to solicit her advice and guidance, and CRCL staff has met
on numerous occasions with senior leaders within the EEOC to learn from their experiences.

To solidify the Department’s efforts to recruit a diverse workforce, CRCL and the Office
of the Chief Human Capital Officer will work together on a variety of recruitment projects.
CRCL and the Human Capital Office will ensure that the best practices from each component
agency are brought to light and implemented across the Department. It will ensure that recruiters
and EEO professionals across the Department are moving forward in a coordinated way to
spread the news that the Department seeks a diverse workforce.

INITIATIVE TO EMPLOY PEOPLE WITH DISABILITIES

Secretary Ridge has repeatedly stated both publicly and internally his commitment to
make the Department a model employer for people with disabilities. This objective has been
received with enthusiasm by senior leaders across the Department. The Secretary has met with
national disability rights organizations to state his commitment and to ask for their assistance in
making the Department a model employer. Mr. Sutherland and the EEO Program staff have met
with a number of advocates and experts from other government agencies to develop options for
meeting the Secretary’s goals.

The Office of the Chief Human Capital Officer and CRCL have spent much of this first
year of operation working diligently to provide Department managers with tools to employ
successfully people with special needs. The tools include:

e the appointment of a “Selective Placement Coordinator,” who identifies

highly qualified people with disabilities and brings those resumes to managers
with open positions;

35


DISABILITY LAW AND POLICY
Emergency Preparedness

Since the September | 1th attacks, people with disabilities have expressed an increased
awareness of their heightened vulnerability in times of crisis, disasters, and emergencies. In
response to the disability community’s request for action on their concerns about emergency
preparedness, the Department is positioned to

exercise a leadership role in this area. Since the September 11th

CRCL is leading a collaborative effort to attacks, people with disabilities
bring all of the Department’s experience and have expressed an increased
expertise to these issues and, in particular, is awareness of their heightened

working extensively with FEMA, a Department ; nity 5
component that employs national subject matter vulnerability in times of crisis,
experts on this topic. Notably, FEMA has disasters, and emergencies.

released a number of technical assistance

publications for the disability community.

A number of federal agencies and private organizations are undertaking excellent work,
from the Federal Communications Commission (FCC) to the Department of Labor’s Office of
Disability Employment Policy to the National Council on Disability. CRCL plans to work
closely with these entities to strengthen the overall federal government’s effort on this critical
issue.

An important principle embraced by CRCL throughout this effort will be the emphasis
that people with disabilities are not merely consumers in this context; rather, they have a great
deal to offer in terms of ideas and alternatives that would benefit all Americans.

Section 508 Compliance

Section 508 of the Rehabilitation Act of 1973, as amended, requires the federal
government to ensure that electronic and information technology (E&IT) is accessible to persons
with disabilities.” The law applies to all federal agencies when they develop, procure, maintain,
or use E&IT. This includes, but is not limited to, products and services such as: computer
hardware and software; telecommunications products, such as telephones and pagers;
information kiosks and transaction machines, such as ticket transaction machines; web sites,
including both intranet and internet information and application; multimedia, such as
instructional videos and flash animations; and office equipment, such as copiers and fax
machines.

While the majority of the agencies that are now a part of the Department have Section
508 programs in place, there exists a need for a Department-wide Section 508 program. CRCL
is engaging in a joint project with the Department’s Chief Information Office (CIO) to determine
what steps are required to develop a model Section 508 program at both the headquarters level

* 29 U.S.C. § 794(d) (2004).

21


telephone number, callers can either leave a message or are offered three ways to contact this
Office: by regular mail, electronic mail (Civil.liberties@dhs.gov), and facsimile transmission
(202-401-4708). In addition, this information can be accessed via a toll-free TTY number:
1-866-644-8361. For facsimile transmissions, the Office has installed a computer facsimile
receiving terminal so that the Office is equipped to handle large volumes of facsimile
transmissions and electronically handle and store correspondence received via facsimile.

The Office has printed 4,000 copies of a poster providing information about how persons
can contact CRCL. See Appendix E. The poster will be widely disseminated through an ongoing
distribution process that will include community groups and government agencies. In the near
future, the poster, and similar information, will be printed in alternative languages such as Arabic
and Spanish.

EXAMPLES OF MATTERS WARRANTING REVIEW

CRCL has received and reviewed over thirty different matters, and has retained for
review matters that represent a variety of allegations. Some of the matters this Office has elected
to retain and review include the following:

e Three matters involve allegations of discrimination, including discrimination
based on disability under Section 504 of the Rehabilitation Act of 1973. The
allegations concern companies that have contracts with the Department to provide
security guards. It is alleged that these companies refuse to employ as security
guards individuals who use hearing aids, based in part on language in a DHS
contract. These matters are being handled pursuant to the Department's interim
final rule regarding complaints alleging discrimination based on disability. These
allegations are currently under review.

e One matter involves an airline passenger who alleges racial profiling as the basis
for being subjected to a heightened search by TSA screeners. Part of the alleged
profiling was a “stamp” that was placed on a boarding pass by the airline at the
direction of TSA. CRCL is seeking information from TSA regarding this matter.

¢ One matter concerns a Sikh individual who sought to enter a federal building.
The allegation is that the individual was told that entrance to the building would
be denied unless the individual removed a symbol of the Sikh religion. This
matter is currently under review.

e One matter concerns an individual who was seeking to fly to the Middle East to
visit family, but was removed from an airplane and subjected to additional
scrutiny. The individual alleges that she, and her family, missed the flight while
being asked questions. This matter is currently under review.

EFFORTS THROUGHOUT THE DEPARTMENT
The Department’s methods for receiving, investigating, and resolving complaints are

varied. In addition to the Office for Civil Rights and Civil Liberties, more than a dozen different
components within the Department also receive and attempt to resolve complaints from members

27


ADDITIONAL PROJECTS
Unmanned Aerial Vehicles

CRCL has provided advice on the civil liberties effects of the Department’s use of
unmanned aerial vehicles (UAVs). These vehicles can present significant civil liberties issues
for some of the same reasons that make UAVs a useful tool in homeland security efforts. UAVs
can have relatively long endurance, allowing for continuous surveillance, and their presence can
be difficult to detect from the ground. As a part of its ongoing advisory role, the Office
participated in the drafting of a report to Congress concerning the Department’s use of UAVs.
The National Defense Authorization Act for Fiscal Year 2004”* required the President to submit
a report to Congress on the potential uses of UAVs for support in homeland security missions.
One of the required elements of the report was a discussion of the civil liberties effects of the use
of UAVs over the territory of the United States. The Office took part in an interagency effort to
draft this report and the Office anticipates having an ongoing advisory role in the Department’s
formulation of its policies regarding the use of UAVs.

Limited English Proficiency
CRCL has taken the lead in developing Departmental guidance concerning services to

those with limited English proficiency (LEP). Executive Order 13166 requires federal agencies
to publish guidance for recipients of federal financial assistance regarding their obligation to

provide meaningful access to LEP persons.
The Executive Order also requires agencies to Executive Order 13166 requires

prepare a plan for improving access for LEP federal agencies to blish
persons in their own programs and activities. ads ; ee
guidance for recipients of federal
Prior to creation of the Department, Sinancial assistance regarding
the legacy agencies that came to make up a their obligation to provide

part of the Department made varying degrees "
of progress in fulfilling these requirements. meaningful access to LEP persons.

CRCL is now in the process of reviewing the
various circumstances in which the recipients of federal assistance from the Department’s
components interact with LEP persons. The Office will soon begin drafting the required
recipient guidance and the Departmental plan to improve access to the Department’s own
programs and activities.

INFORMATION AND COMMUNICATION CHANNEL

One of CRCL’s most important responsibilities is to interact with those outside the
Department who have views or questions about the civil rights or civil liberties impact of the
Department’s policies. The Department is committed to a paradigm of collaboration — that the

*5 National Defense Authorization Act for Fiscal Year 2004, Pub. L. No. 108-136, § 1034, 117 Stat. 1392, 1606-07
(2003)

23


e the creation of a “reasonable accommodation” policy, to guide managers and

employees in how to deal with situations where an employee believes he or

she needs a reasonable accommodation to perform successfully the essential

functions of the job;
e apartnership with the Department of Defense’s Computer Electronic

Accommodations Program (CAP), which provides assistive technologies that

employees with disabilities may need;
e a partnership with the Employer Assistance Referral Network (EARN), a

nation-wide free referral and technical assistance service for employers; and,
e arelationship with the U.S. Department of Veterans Affairs (VA), Vocational

Rehabilitation and Employment Service (VRE). Upon request, the VRE will

provide referrals for full-time Department Headquarters positions and “Non-

Paid Work Experience Program” positions. The latter program permits

managers to bring disabled veterans to the Department for a six-month, cost-
free trial period, with the VA paying the veteran a small stipend. At the end

of the period, the Department may encourage the veteran to compete for an
open position or, under some circumstances, offer the veteran an expedited,
non-competitive appointment to an open position. This initiative solicits
applications from a large pool of qualified, disabled veterans who are
undertaking vocational rehabilitation at educational institutions in the
Washington, D.C. area and around the country.

These are only a few examples from the extensive infrastructure created, at the

Secretary’s direction, to help Department managers locate highly qualified individuals with

disabilities.

In order to build upon the tools that are available to the Department, the Secretary has
announced a major new initiative to stimulate the hiring of people with disabilities. The
Secretary has tasked each directorate and office within Department headquarters to take the

following steps:

Department managers must take a training course on this initiative.

The Human Capital and EEO offices will hold special training programs directed at
Department managers. These sessions will help managers increase their comfort level —

personally and professionally — with the Secretary’s commitment to aggressively provide equal

employment opportunity for people with disabilities. The sessions, which have already begun
and will continue through July 1, 2004, clearly lay out the Department’s commitment to hiring

people with disabilities and allow managers to hear from a panel of Department employees with
disabilities who describe their personal work experiences in the federal government. By July Ist,

it is expected that over 100 managers will have participated in the training.

36


IMMIGRATION LAW AND POLICY

The attacks on September 11th Pieri A conmraont eer l
prompted a reexamination of the immigration everyday, made us vulnerable to the attack,
process and enforcement of immigration law. of September 11, but those are also the
This reexamination resulted in a full-scale qualities that will make us victorious and
government divestiture, merger, acquisition unvanquished in the end.”
and startup, all at once, which included former ~ US. Solicitor General Theodore Olson'*
agencies such as the Immigration and

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
Bush’s 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:

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 talents 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.!?

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

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 free-flow of commerce.”

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:

9/11 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

'S U.S. Solicitor General Theodore Olson, Speech to the Federalist Society, 16 November 2001.
? President George W. Bush, “Remarks by the President on Immigration Policy,” 7 January 2004.
» Securing Our Homeland, U.S. Department of Homeland Security Strategic Plan, February 2004.

18


The commitment to these principles has been established in the Department's first
Strategic Plan, released in February 2004.° The “vision statement” is clear: “Preserving our
freedoms, protecting America ... we secure our homeland.”!° This statement recognizes that the
Department’s core mission includes not only protecting America’s assets — buildings and airports
and power plants — but also protecting America and our

way of life. “Preserving our freedoms,

The new “guiding principles” ask Department protecting America... we
employees to make decisions with certain fundamental secure our homeland.”
themes in mind — working hard to “integrate” with all of ~DHS Vision Statement
the new agencies that are now combined; “innovate,”

through a willingness to apply new and creative
approaches to meet all challenges; and “be accountable” to measurable goals that will reward
excellence and fix what is broken. However, the very first “guiding principle” is to “protect civil
rights and civil liberties.” Department employees are instructed to act along these lines:

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."

Respect for civil liberties is also integrated into the “core values” and throughout the “goals and
objectives.”"? The leadership of this Department has been clear and unequivocal that the effort
to secure our nation must include an awareness of the need to protect personal liberties, that all
strategies and actions undertaken by the Department will be undertaken with civil liberties in
mind, and that the Department will seek to enhance our nation’s security while guaranteeing
citizens’ personal liberties.

° See Appendix C, Department of Homeland Security Vision and Mission Statements and Strategic Goals.

° Securing Our Homeland, U.S. Department of Homeland Security Strategic Plan, February 2004, 4.

"' Securing Our Homeland, 6.

" The core values, standards of behavior that will be expected of Department employees, include “integrity,”
“vigilance,” and “respect,” which is defined by the following statement: “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.” The “goals and objectives” include these concepts in a number of ways, including goal 3,
“Protection: Safeguard our people and their freedoms, critical infrastructure, property and the economy of our nation
from acts of terrorism, natural disasters, or other emergencies.”

10


program.

The infrastructure for an effective program also included a statement from the leadership
of the Department on the importance that they place on equal employment opportunity.
Secretary Ridge’s personal and practical statement to all Department employees challenged them
to apply the principles of fair employment in all circumstances.”

Under Secretary Hale, Chief Human Capital Officer Ronald James, and Mr. Sutherland
immediately convened training sessions for all Department headquarters employees. Throughout
the summer and fall of 2003, sessions were held for over 300 Department employees
emphasizing the importance of equal employment opportunity and the need to prevent an
atmosphere of sexual harassment.

The EEO Program helps to coordinate the work carried out in the component EEO and
Civil Rights offices that existed prior to the creation of the Department.”* This leadership has
been effective due in large part to the enormous talents of the individuals directing the
component EEO and Civil Rights offices. Working together, this group has developed solutions
to the complex process of moving the processing of formal discrimination complaints from the
Cabinet agencies that previously served as the parents of these component offices to the new
Department. The complex logistical and financial negotiations were resolved successfully, and
by October 1, 2003, the new Department was responsible for essentially all EEO matters within
its jurisdiction.

CRCL’s EEO program has provided coordination to all EEO work within the Department
by leading regular meetings with component EEO heads. This leadership team is working
together to develop a unified Department program. We are engaging in regular staff
coordination to enhance complementary programs and identify common projects.

EFFECTIVE PROCESSING OF EEO COMPLAINTS

To promote equal employment
opportunity, CRCL has focused and To promote equal employment
will continue to focus on preventing opportunity, CRCL has focused and
employment discrimination through will continue to ) focus on preventing
communication, training, conflict Sar .
resolution, and outreach. Prevention is employment discrimination through
always preferable to remedying the communication, training, conflict
results of discrimination. resolution and outreach.

When the Department stood up
on March 1, 2003, it assumed responsibility for over 2,000 formal EEO complaints in the legacy
organizations. The Department established a complaint adjudication unit and entered into

5 See Appendix F, Equal Employment Opportunity and Sexual Harassment Policy Statement.

°6 The component EEO and Civil Rights offices were located in the U.S. Coast Guard, the U.S. Secret Service, the
Federal Emergency Management Agency, Federal Law Enforcement Training Center, U.S. Customs Service,
Immigration and Naturalization Service, and Transportation Security Administration.

33


Ombudsman (Consumer Response Center), and the Screening of Persons with Disabilities
Program.

Aviation tions

The Office of Aviation Operations has responsibility for oversight of operations at 463
airports located throughout the United States. When there is an issue at the airport level, it can
be handled in a variety of ways, including raising the matter directly with a customer service
representative or a screening supervisor. Pursuant to its business process set out in Operating
Instructions, inquiries alleging discrimination or involving other civil rights issues are forwarded
by the Federal Security Director staff to the Consumer Response Center. The TSA Office of
Ombudsman then handles the matter.

TSA Office of Civil Rights — External Complaint and Compliance Division

The TSA Office of Civil Rights has an External Complaint and Compliance Division to
help meet TSA’s customer needs and to protect their rights. This division reviews allegations
concerning constitutional standards, federal laws, regulations, executive orders, and policies that
prohibit unlawful discrimination by TSA employees and business partners.

Federal employees work directly with air passengers when they perform security
screening. The External Complaint and Compliance Division helps ensure that TSA employees
work in a manner that respects the rights of the traveling public, as required by law. This division
does the following:

e evaluates, investigates, and resolves complaints from TSA customers who claim
that TSA has violated civil rights standards, laws, and policies while the
passenger traveled through our security systems;

e advises TSA leadership about civil rights complaints from customers and works
with management to respond to civil rights-related customer service concerns;

© examines operational and security policies and procedures and their potential
civil rights impact on the traveling public. Where appropriate, the division
proposes changes or revisions to TSA policies and procedures;

e works to develop and implement plans, guidance, and operating procedures at
TSA to ensure that all people, including those with limited English proficiency,
have access to TSA’s federally conducted and federally assisted programs or
activities;

e ensures that recipients of TSA’s federally assisted programs, including private
companies, corporations, and educational institutions that receive grants,
comply with applicable federal grant-related nondiscrimination requirements;
and,

e provides targeted civil rights training to TSA employees to address civil rights
concerns affecting the traveling public and to ensure quality customer service.

30


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.


OVERVIEW OF THE U.S. DEPARTMENT OF
HOMELAND SECURITY

At the Department’s inception, Congress charged it with creating, developing and
synthesizing 22 agencies with over 180,000 employees. In its first year, the Department’s
leadership structured DHS in a way that best enables us to accomplish the ongoing mission of
securing the homeland.' Following the outline prescribed by the Homeland Security Act, the
Department has five directorates spanning the broad disciplinary range necessary to provide a
base of security operations and expertise.

The Directorate of Border and Transportation Security (BTS) maintains and secures the
nation’s borders, including the 7,500 miles of land border with Mexico and Canada. While
undertaking these tasks, the Department simultaneously reorganized our border functions in a
way that established better morale, improved service, and tightened security. The Directorate of
Information Analysis and Infrastructure Protection (AIP) has made huge strides as a newly-
created entity. [AIP analyzes information pertaining to terrorist threats and maps those threats
against the nation’s vulnerabilities. These efforts contribute to the protection of our critical
infrastructure, including the cyber infrastructure. In tandem with these efforts, the Directorate
of Emergency Preparedness and Response (EPR) works both to prepare the nation for unforeseen
catastrophes and to develop strategies to oversee the national response and recovery in the wake
of those catastrophes.

The Science and Technology (S&T) and Management Directorates support the short and
long term needs of the other directorates. S&T coordinates research and development efforts
designed to produce the tools the nation will use to enhance the security of the homeland. The
Management Directorate has and will continue to handle the large responsibility for managing
administrative, budget, and personnel issues within the Department. Other components of the
Department, such as the United States Coast Guard (USCG) and the United States Secret Service
(USSS), continue to carry out their important duties and also complement all Directorates in their
functions and overall mission.

The Department has made significant progress in its first year. BTS enhanced security by
introducing an entry-exit system, called the United States Visitor and Immigrant Status Indicator
Technology (US-VISIT). US-VISIT has had minimal impact on legitimate travel and trade
while alerting the Department to those persons with prior or suspected criminal or terrorist
involvement, or immigration violations, who seek to enter the country. The nation’s sea ports
are also more secure because the Department has completed maritime industry security rules and
expanded the Container Security Initiative designed to screen for and identify high-risk
oceangoing sea containers. The Department also has developed an advanced warning system —
the Homeland Security Operations Center, which operates 24 hours a day, seven days a week
and brings together 26 federal and local law enforcement agencies and intelligence community
members. The Department also has decreased America’s vulnerability to an attack through the
BioWatch initiative that improves protection against bio-terrorism by deploying environmental

' See Appendix B, DHS Organizational Chart.


with the September 1 Ith terrorism investigations.”! The DOJ OIG report examined the treatment
of 762 aliens detained in connection with the Department of Justice’s terrorism investigation and
made 21 recommendations. While these events took place before the formation of the
Department of Homeland Security, many of the immigration functions that were part of the
former Immigration and Naturalization Service (INS) during that critical time were assumed by
the Department. CRCL has worked closely with key officials in the Department, particularly in
Border and Transportation Security (BTS), ICE, and the Office of General Counsel (OGC), in
carrying out a comprehensive review of immigration-related operations in the Department. As
part of the Department’s review, the Office hosted meetings with civil rights and civil liberties
groups to listen to their concerns and recommendations about the government’s handling of the
investigations and detentions of aliens in the period following September 11th. Consistent with
the DOJ OIG recommendations, the Department has instituted a number of measures that
formalize critical procedures in Department’s field office operations. These steps include:

° Guidance has been sent to all immigration officers directing that detainees be
given timely notice of the charges against them- within 72 hours of the time they
are detained;

° The guidance allows for an exception to the 72 hour notice requirement, but only
in narrow circumstances and with reviews by multiple senior officials;

. New detention standards have been established that improve communication

between detainees and immigration officials, and thereby ensure more oversight
of conditions; and,

° Each time an individual is detained on immigration charges, immigration officers
and attorneys will make an individualized and independent review of the matter.
There will be no blanket approaches to questions of bond or closed hearings.

The Office will continue to provide leadership for the Department so that individuals who
are detained are treated fairly in all circumstances.

Refugee and Asylum Law and Policy

CRCL has been involved in a number of issues relating to refugee and asylum law and
policy, working with both CIS and BTS. The Office has participated in meetings regarding
detention policies, and was involved in discussions with OGC regarding the Department’s legal
position in the gender-based asylum claim known as the Matter of R-A. CRCL has also been
involved in reviewing policy issues that are illustrated through individual cases.

Special Registration

After the September 11th attacks, the Department of Justice instituted the National
Security Entry-Exit Registration System (NSEERS). NSEERS establishes a national registry for
temporary foreign visitors (non-immigrant aliens) arriving from certain countries, or who meet a
combination of intelligence-based criteria, and are identified as presenting an elevated national

*! See U.S. Department of Justice, Office of the Inspector General, The September 11 Detainees: A Review of the
Treatment of Aliens Held on Immigration Charges in Connection with the Investigation of the September 11 Attacks,
June 2003.

19


In July 2002, President Bush issued The National Strategy for Homeland Security, a
comprehensive statement of the priorities and focus for the homeland security effort. One of the
pillars of The National Strategy was a commitment to the protection of civil liberties:

We are a Nation built on the rule of law, and we will utilize our laws to win
the war on terrorism while always protecting our civil liberties... Where
we find our existing laws to be inadequate in light of the terrorist threat, we
should craft new laws carefully, never losing sight of our strategic purpose
for waging this war — to provide security and liberty to our people. We
should guard scrupulously against incursions on our freedoms, recognizing
that liberty cannot exist in the absence of governmental restraint. As we
move forward in the fight, we should refrain from instituting unnecessary
laws, as we remain true to our principles of federalism and individual
freedom.>

When the new Department of Homeland Security was created, this commitment continued. In
one of his first speeches as Secretary, Tom Ridge laid out a simple but profound charge for the
new Department: “We will answer history’s call to protect America and preserve our way of
life.”® Secretary Ridge has pledged that, “Our strategy and our actions [will be] consistent with

the individual rights and civil liberties protected by the

Constitution.” “We will answer
Secretary Ridge and other senior leaders of the history's call to protect

new Department consistently have argued against the America and preserve our

proposition that as America focuses on increasing security way of | life. ”

it must necessarily decrease our civil rights and civil 3

liberties. The Department believes that it is a mistake to ~Secretary Ridge

put the two — security and civil liberties — in competition
with one another. Instead, the new Department is committed to finding ways to ensure both
security and civil liberties at the same time. As Secretary Ridge stated in July 2003, “[t]o
suggest that there is a trade-off between security and individual freedoms — that we must discard
one protection for the other — is a false choice. We will not, as Ben Franklin once warned, trade
our essential liberties to purchase temporary safety.”*

* The National Strategy for Homeland Security, July 2002, 48.

® Secretary Tom Ridge, Department of Homeland Security, “Remarks by Secretary Tom Ridge at DHS Employees
Event in Selfridge, MI,” 19 June 2003.

7 Secretary Tom Ridge, Department of Homeland Security, “Remarks by Secretary Tom Ridge to the Association of
American Universities,” 14 April 2003.

* Secretary Tom Ridge, Department of Homeland Security, “Remarks by Secretary Tom Ridge, Chautauqua
Institution Address, Chautauqua Amphitheater,” 21 July 2003.


MATTERS WARRANTING REVIEW

Under Section 705(a)(1) of the Homeland Security Act of 2002, this Office is required to
“review and assess information alleging abuses of civil rights, civil liberties and racial and ethnic
profiling.” Moreover, CRCL is responsible for reviewing matters that arise under a variety of
federal civil rights statutes such as Section 504 of the Rehabilitation Act of 1973, Title VI of the
Civil Rights Act of 1964, and Title IX of the Educational Amendments of 1972. To carry out

this mission, CRCL has established a process for

receiving, assigning, investigating, referring and “Review and assess information
concluding reviews of these allegations. This alleging abuses of civil rights,
plan, in the form of a Management Directive cook thersiss antracial and.
issued by Secretary Ridge, establishes the E 4 pi

authority of CRCL to review and assess civil ethnic profiling...

rights and civil liberties allegations for the ~6 U.S.C. S 345 (aX)
Department, and implements a system whereby

those allegations are addressed and

improvements identified, either by CRCL or another component within the Department.” The
Office has initiated several investigations, and has laid the groundwork for a coherent and robust
process to ensure that complaints are appropriately investigated and resolved.

ESTABLISHING A PROCESS FOR MATTERS WARRANTING REVIEW
Management Directive

In close cooperation with the Office of the Inspector General (IG), the Office of General
Counsel, and the senior leadership of the Department, CRCL developed a Management Directive
that establishes and describes: the role of the Officer for Civil Rights and Civil Liberties as the
advisor to Departmental senior leadership; the role of the Office of the Chief Counsel; and, a
process for handling allegations of civil rights and civil liberties abuses, and racial and ethnic
profiling.

The Management Directive establishes a procedure for reviewing and addressing
allegations of abuse. The purpose of these reviews will not be to provide an individual with an
opportunity to raise issues that should properly be raised in another forum (for example, an
individual in deportation proceedings has an opportunity to raise arguments against deportation
in immigration court.) The process takes into consideration that routine issues can be handled

** CRCL’s role in many of these investigations is different than the role of other federal civil rights agencies that
investigate civil rights complaints. Most federal civil rights agencies investigate complaints filed against entities
outside of the federal government. For example, the Department of Education Office for Civil Rights often
investigates complaints against a public school district or a college. By contrast, CRCL will often be responsible for
investigating complaints filed against its own agency. For example, CRCL may receive a letter alleging that a DHS
law enforcement officer subjected an individual to increased scrutiny because of racial profiling. Because CRCL is
within the same agency of government, it will advise the complainant that CRCL’s role is to investigate the matter
from inside the agency and make recommendations to the agency’s leadership regarding any actions that should be
taken as a result of the allegations. The complainants will be advised that they should consult an attorney if they
seek other remedies.

25


Report to Congress on Implementation
of Section 705 of the Homeland

Security Act and the Establishment of

the Office for Civil Rights and
Civil Liberties

June 2004

ARI

“ey, Homeland
gy Security



Clarify the Relationship with the Office of General Counsel
Clarify the Relationship with the Office of the Inspector General
Develop a Plan for Monitoring Compliance with Federal Civil Rights Laws

Develop a process for receiving, processing, investigating and resolving complaints
that DHS personnel have violated a private citizen’s civil rights or civil liberties.

Develop a system to encourage compliance by grant recipients with civil rights laws
and regulations.

Objective 2: In close cooperation with the General Counsel, provide legal and policy advice to
the Secretary and senior officers at DHS with regard to issues and initiatives that may have an
impact on civil rights or civil liberties. The Office will provide constructive advice so that
policy is shaped in ways that are mindful of and consistent with civil rights and civil liberties.

Provide advice on the prevention of racial profiling

Provide civil liberties perspective on issues involving identity documents, including
US VISIT, TWIC, and other identity or credentialing efforts.

Provide advice on CAPPS II
Provide advice on the DOJ IG’s report on the detention of immigrants post 9/11

Assist in strengthening training at the Federal Law Enforcement Training Center
(FLETC) on the Constitution and federal civil rights laws

Provide advice on a wide range of issues dealing with the detention of immigrants

Objective 3: Develop proactive initiatives that will demonstrate the Department's commitment
to civil rights and civil liberties. In addition to reacting to issues raised by other components
within DHS, the Office will also take the initiative in developing projects that will enhance civil
rights and civil liberties.

Develop policies and initiatives to advance the interests of people with disabilities;
Sign the CAP agreement, to provide accommodations for employees with disabilities;
Prepare a reasonable accommodations policy for employees with disabilities;

Create a communications network so that DHS information can quickly reach
disability groups;

48


(b) Report. The Secretary shall 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 this section, including the use of funds appropriated to
carry out this section, and detailing any allegations of abuses described
under subsection (a)(1) and any actions taken by the Department in
response to such allegations. '°

Among federal civil rights offices, the Department of Homeland Security’s Office for
Civil Rights and Civil Liberties (CRCL) is unique. While other federal agencies have an office

that focuses on civil rights, this is the

only office that includes “Civil The Office ‘or Civil Rights and Civil
Liberties” in the title. This recognizes Liberti “fe gk ~ ii Ci

that CRCL will address issues that L webdogs 2 aces gece
relate to the intersection of traditional function- assisting the senior leadership
civil rights protections and twenty-first to develop policies and initiatives in

century civil liberties questions. ee 2
Moreover, the Office for Civil Rights ways that protect civil rights and civil

and Civil Liberties has a unique liberties.

internal function — assisting the senior
leadership to develop policies and initiatives in ways that protect civil rights and civil liberties.
In addition, the Office for Civil Rights and Civil Liberties also has responsibility for overseeing
the Department’s equal employment opportunity program (EEO). This brings all civil rights-
related issues, both those with regard to the Department’s own employees and those with regard
to how Department programs impact the general public, under the jurisdiction of one office.

To create an effective Office for Civil Rights and Civil Liberties, Mr. Sutherland first
worked with Secretary Ridge to create a Strategic Plan to guide the office.'* The first element of
the Strategic Plan is a Mission Statement:

The mission of the Office is to protect civil rights and civil liberties and to
support homeland security by providing the Department with constructive legal
and policy advice on the full range of civil rights and civil liberties issues the
Department will face, and by serving as an information and communication
channel with the public regarding all aspects of these issues. '°

The Mission Statement makes clear that the purpose of the Office is to provide proactive
legal and policy advice that will help the Department’s senior officers carry out their duties while
at the same time protecting civil rights and civil liberties. A key goal of the Office is to integrate
itself into the overall work of the Department and to be constructive and proactive in offering
advice.

' The Homeland Security Act of 2002, Pub.L.No. 107-296, § 705, 116 Stat. 2135 (2002) (codified at
6 US.C. § 345).

' See Appendix D, The Office for Civil Rights and Civil Liberties Strategic Plan.

'S The Office for Civil Rights and Civil Liberties Strategic Plan, September 2003, 1.

12


ESTABLISHMENT OF THE
OFFICE FOR CIVIL RIGHTS AND CIVIL LIBERTIES

One measure critical to the advancement of the principles of the Department is the
creation of a unique senior leadership position — an Officer for Civil Rights and Civil Liberties.
Secretary Ridge directed that this official report directly to him. This decision demonstrates the
Administration’s strong commitment to ensuring that the protection of personal liberties takes a
prominent role in the homeland security effort. It also creates a unique model of decision-
making. For the first time in the federal government, an agency has assigned a member of the
senior leadership to focus solely on how the agency’s decisions impact individual liberties.
While many in the federal government are concerned about these issues, the Department of
Homeland Security is the only federal agency that has assigned a senior policy advisor, reporting
directly to the Cabinet Secretary, to focus on helping the senior leadership shape policy in ways
that protect, rather than diminish, the personal liberties of all persons protected by our laws.

On April 16, 2003, President Bush
appointed Daniel W. Sutherland to serve as One measure critical to the
the Department's first Officer for Civil advancement of the principles of
Rights and Civil Liberties. Mr. Sutherland the Depart tis the tion
has broad experience in the areas of civil . ope secu cS wie a of a
rights and civil liberties. He served for unique senior leadership position —
fourteen years as a trial attorney with the an Officer for Civil Rights and Civil
Civil Rights Division of the U.S. ‘Liberties.
Department of Justice, and nearly two years .

with the Office for Civil Rights at the U.S.
Department of Education. His litigation background has been primarily in the areas of
discrimination against immigrants and persons with disabilities, including cases such as the
following: allegations of discrimination against a large urban police department in its dealings
with people who are deaf (victims of crime, witnesses, family members, and defendants);
allegations that a licensing authority would not adequately accommodate test-takers who are
blind; and, allegations of discrimination against refugees from the communist governments in
Vietnam and the former Soviet Union. Mr. Sutherland served as the first Executive Director of
the Brown v. Board of Education 50" Anniversary Commission, and co-authored a book on
religious discrimination in the workplace that was published by the American Bar Association.
He has also served with the White House’s Domestic Policy Council.

Section 705 of the Homeland Security Act provides that the Officer for Civil Rights and
Civil Liberties shall:

(a)(1) review and assess information alleging abuses of civil rights, civil
liberties, and racial and ethnic profiling by employees and officials of the
Department; and

(2) make public through the Internet, radio, television, or newspaper
advertisements information on the responsibility and functions of, and how
to contact, the Officer.

11


PROTECTION - Safeguard our people and their freedoms, critical infrastructure, property and
the economy of our Nation from acts of terrorism, natural disasters, or other emergencies.

Objective 3.1 Protect the public from acts of terrorism and other illegal activities.
Objective 3.2 Reduce infrastructure vulnerability from acts of terrorism.

Objective 3.3 Protect against financial and electronic crimes, counterfeit currency,
illegal bulk currency movement and identity theft.

Objective 3.4 Secure the physical safety of the President, Vice President, visiting world
leaders and other protectees.

Objective 3.5 Ensure the continuity of government operations and essential functions in
the event of crisis or disaster.

Objective 3.6 Protect the marine environment and living marine resources.

Objective 3.7 Strengthen nationwide preparedness and mitigation against acts of
terrorism, natural disasters, or other emergencies.

RESPONSE -- Lead, manage and coordinate the national response to acts of terrorism, natural
disasters, or other emergencies.

Objective 4.1 Reduce the loss of life and property by strengthening nationwide response
readiness.

Objective 4.2 Provide scalable and robust all-hazard response capability.
Objective 4.3 Provide search and rescue services to people and property in distress.

RECOVERY -- Lead national, state, local and private sector efforts to restore services and
rebuild communities after acts of terrorism, natural disasters, or other emergencies.

Objective 5.1 Strengthen nationwide recovery plans and capabilities.
Objective 5.2 Provide scalable and robust all-hazard recovery assistance.
SERVICE -- Serve the public effectively by facilitating lawful trade, travel and immigration.

Objective 6.1 Increase understanding of naturalization, and its privileges and
responsibilities.

Objective 6.2 Provide efficient and responsive immigration services that respect the
dignity and value of individuals.


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 Program a top priority in the first weeks of the new Department. Under her leadership, the
plans for the office were developed in close collaboration 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 U.S. Office of Personnel Management
(OPM).

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

e developing the infrastructure for a model EEO program;

e directing the timely and cost effective processing of legacy EEO complaints;
e establishing initiatives to recruit and accommodate a diverse workforce; and
e 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 Progam has been privileged to have as its core staff members several individuals who
transfered from 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

32


Integrate people with disabilities into the emergency planning effort;

Work with TSA to ensure that screeners interact effectively with people with
disabilities;

Reinforce the value of protecting civil rights and civil liberties throughout the DHS
culture;

Develop guidance on how to embrace new technologies, such as biometrics, without
creating a national identifier; and,

Work with the Brown v. Board of Education 50TM Anniversary Commission.

Objective 4: Communicate with the public to explain DHS’s commitment to civil rights and civil
liberties. The Office will play an active role in communicating with the public, both by listening
to people’s concerns and by advancing the Department’s positions in public forums. We will be
conscious of the need to communicate both with those in Washington, D.C., as well as those
around the country.

Create a webpage;

Accept appropriate opportunities to speak at public forums to present DHS’s position;
and,

Meet regularly with civil rights and civil liberties interest groups, both here in
Washington, D.C., and around the country.

Objective 5: Develop a state-of-the-art equal employment opportunity office within DHS. The
Office will strive to make the Department’s EEO program a model for the government.

Process EEO complaints in a timely fashion;

Develop a long-term strategy for the EEO function within DHS;
Establish effective EEO policies and procedures;

Develop methods to ensure that job openings receive wide dissemination;
Establish effective information management systems; and,

Analyze complaint trends to determine root causes and make recommendations for
dispute prevention strategies.

49


Office of the Ombudsman

The Office of the Ombudsman serves as the central point of contact for all non-media
public inquiries and complaints within TSA. This Office serves as TSA’s window to the
traveling public by receiving inquires and complaints, both directly and as routed through other
federal organizations, the public, industry, the White House, and Congress. Another major role
for the Office is to mediate conflict between external customers and the agency.

Within this Office resides the TSA Contact Center Division (TCC). The role of the
Contact Center Division is to provide timely responses to inquiries and concerns received via
telephone, facsimile, email, and letter. The Contact Center can be accessed at 1-866-289-9673.
Persons may also e-mail TSA at TellTSA@tsa.dot.gov. Call Center volume can range from
5,000 to 15,000 calls per week. Many of the inquiries received by the Contact Center fall into
the categories of allegations of inappropriate screening, lost/stolen/damaged items, rude
treatment, handling of passenger property, (dis)courteous treatment, confiscated items, random
searches, suspected theft and discrimination.

Screening Of Persons with Disabilities Program

The Screening of Persons with Disabilities Program works in concert with all Department
components, other federal agencies, and with the public to improve the effectiveness of TSA’s
security screening program through communication, sharing of expertise, and collaboration
toward meeting the challenge of fully integrating the unique needs of persons with disabilities
and other medical conditions into all aspects of security screening operations. In each of these
areas the Screening of Persons with Disabilities Program has made significant contributions in
TSA policy development and screener training.

The Screening of Persons with Disabilities Program has identified problems that persons
with disabilities encounter and the Program has responded to those problems through the
development of revised TSA screener training. The Program has developed screener training
materials, completed an informational film on dealing with people with disabilities, secured
funding for an illustrative screener disability training video, and provided an in-house TSA
disability program seminar to over 300 TSA employees.

In the area of policy development, the Screening of Persons with Disabilities Program has
developed aviation-related policies and procedures, developed procedures for medical
conditions, obtained approval of disability related equipment/tools on permitted list, e.g.
disability related syringes, revised screener operating procedures to reflect new and improved
disability related policies, and modified screening policies within TSA that would have affected
the disability community adversely.

On TSA’s website, travelers and others can access information for persons with

disabilities and medical conditions under links entitled “Before You Go,” “Do You Have a
Disability,” and “Do You Have a Medical Concern.”

31


U.S. DEPARTMENT OF HOMELAND SECURITY’S
COMMITMENT TO CIVIL RIGHTS AND CIVIL
LIBERTIES

September 11, 2001, was a turning point in American history. Following September
11th, 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 4,

protection of civil liberties had to be sce component ‘We have a hug e

in the creation of the Department and the country’s responsibility, and that

response to terrorism. [is] to defend America
Just weeks after the attacks, President Bush gave while 4 aDESCrY our

this charge to a conference of federal prosecutors: “We great liberties.

have a huge responsibility, and that [is] to defend America ~President Bush

while protecting our great liberties.”” In a December 9,

2001, Proclamation, President Bush said:

Americans stand united with those who love democracy, justice and
individual liberty. We are committed to upholding these principles,
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 20" anniversary of the National
Endowment for Democracy on November 6, 2003, President Bush issued a call for America to
defend our freedoms 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 service of principle. We
believe that liberty is the design of nature; we believe that liberty is the
direction of history. We believe that human fulfillment 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.*

? President George W. Bush, “Remarks by the President to U.S. Attorneys Conference,” 29 November 2001.
> President George W. Bush, “Human Rights Day, Bill of 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 20" Anniversary of the National Endowment for Democracy,”6
November 2003.


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 federal financial assistance and in federally-
conducted activities. The interim regulations are:

e 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,

e 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 Efforts

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

22


APPENDIX A - ACRONYMS

ADR
BTS
CAP
CBP
clo
CIS
CRCL
CSU
DHS
DOJ
DOJ OIG
DRO
EARN
EEO
EEOC
E&IT
EPR
FCC
FEMA
FLETC
LEP
IAIP
ICE
INS

IG
NSEERS
OGC
OIG
OEOP
OPM
S&T
TCC
TSA
UAV
USCG
USSS
US VISIT
VA
VRE

Alternative Dispute Resolution

Directorate of Border and Transportation Security
Computer Electronic Accommodations Program
Customs and Border Protection

Chief Information Officer

Citizenship and Immigration Services

Office for Civil Rights and Civil Liberties

Customer Satisfaction Unit

Department of Homeland Security

Department of Justice

Department of Justice Officer of the Inspector General
Detention and Removal Office

Employer Assistance Referral Network

Equal Employment Opportunity

Equal Employment Opportunity Commission
Electronic and Information Technology

Directorate of Emergency Preparedness and Response
Federal Communications Commission

Federal Emergency Management Agency

Federal Law Enforcement Training Center

Limited English Proficiency

Directorate of Information Analysis and Infrastructure Protection
Immigration and Customs Enforcement

Immigration and Naturalization Service

Inspector General

National Security Entry-Exit Registration System
Office of the General Counsel

Office of Inspector General

Department of Treasury Office of Equal Opportunity Program
Office of Personnel Management

Directorate of Science and Technology

TSA Telephone Contact Center

Transportation Security Administration

Unmanned Aerial Vehicle

United States Coast Guard

United States Secret Service

United States Visitor and Immigrant Status Indicator Technology
U.S. Department of Veterans Affairs

Vocational Rehabilitation and Employment Service

39


APPENDIX B - DHS ORGANIZATIONAL CHART

> Homeland

Joa
fy
{
‘
Ss

wy Security

|

Legislative Affairs

Civil Rights &

g

Under Secretary
Management

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of the public. CRCL will work to strengthen these efforts. The following highlights other efforts
taking place within the Department to address civil rights and civil liberties concerns:

Office of Inspector General

The Office of Inspector General has independent responsibility under the Homeland
Security Act to report to Congress on a semi-annual basis. It accepts reports of suspected
criminal violations, misconduct and wasteful activities through a hotline, 1-800-323-8603, and
E-mail address DHSOIGHOTLINE@dhs. gov, and mailing address, Department of Homeland
Security, Office of Inspector General, Attn: Office of Investigations, 245 Murray Drive, S.W.,
Bldg. 410, Washington, D.C. 20528. In addition to matters the IG receives directly, it also
receives matters from the Office for Civil Rights and Civil Liberties, or by referral from another
Department component.

On September 2, 2003, the Officer for Civil Rights and Civil Liberties entered into a
Memorandum of Understanding with the Office of Inspector General pursuant to which all civil
rights, civil liberties, and racial and ethnic profiling matters received by CRCL are in the first
instance reviewed by the Office of Inspector General. Within five days, the IG either accepts the
matter for review or returns the matter to CRCL.

Most of the civil rights and civil liberties issues put before the IG concern allegations of
excessive force, the processing of various Department applications, conditions of detention,
abuse of process, inappropriate threats, and unprofessional conduct. Upon receipt of these
issues, the IG must decide whether to retain the matter for investigation, or refer it elsewhere
within the Department. For those matters related to civil rights and civil liberties that the IG
decides not to retain, almost all are referred to the Office of Professional Responsibility within
Immigration and Customs Enforcement (ICE) (which has coverage of matters beyond ICE).
CRCL receives a report when matters are referred to the components so that it can track them or,
for more serious matters, elect to review them itself. Those matters originally referred to the IG
by CRCL are returned to CRCL for disposition. The IG tracks matters referred back to CRCL or
to an internal component.

Customs and Border Protection

At Customs and Border Protection (CBP), two offices have systemic information related
to civil rights and civil liberties: the Office of Field Operations and Internal Affairs.

Office of Field Operations- Customer Satisfaction Unit and the Customs Comment Card

The Office of Field Operations handles civil rights and civil liberties information
primarily through the Customer Satisfaction Unit and the Customs Comment Card. Congress
mandated that the United States Customs Service track and compile statistics on the number and
types of complaints from the traveling public. On March 15, 1999, the Customer Satisfaction
Unit was established to perform this function. This Customer Satisfaction Unit centralized
within Customs the processing of complaints from the general public, travelers, industry, other
government agencies and the United States Congress.

28


EXECUTIVE SUMMARY

One year ago, 22 federal agencies with over 180,000 employees stood up as the
Department of Homeland Security with the unique cabinet-level mission of protecting America
while preserving our way of life. Today, our nation’s borders are safer, our nation’s
infrastructure and security have been enhanced, and our nation is better prepared to react to and
recover from unforeseen catastrophes. The Department has strengthened airline security,
increased vigilance at our borders and ports, and forged unprecedented partnerships that have
meant greater coordination with state and local authorities in cases of national emergency.

President Bush and Secretary Ridge have led these homeland security efforts while
championing both security and liberty. Since the beginning of the homeland security mission,
President Bush has made it clear that the protection of civil liberties would be a strong
component of this nation’s response to terrorism. Secretary Ridge repeatedly has rejected the
false notion of enhancing security at the expense of liberty, instead committing this Department
to the pursuit of both security and liberty. Indeed, these guiding principles are the bedrock of the
Department’s Strategic Plan.

This Department, alone among cabinet agencies, has a unique senior leadership position
dedicated to the protection of personal liberties: the Officer for Civil Rights and Civil Liberties.
This official assists the senior leadership of the Department to shape policies in ways that
enhance security while protecting personal liberties. The Secretary’s decision that this senior
position will report directly to him underscores the Administration’s strong commitment to the
idea that the protection of civil liberties plays a prominent role in the homeland security effort.

On April 16, 2003, President Bush and Secretary Ridge appointed Daniel W. Sutherland
to serve as the first Officer for Civil Rights and Civil Liberties. Secretary Ridge and Mr.
Sutherland developed a broad strategic plan for CRCL, and decided that the primary mission of
the Office will be to provide proactive legal and policy advice to the senior leadership of the
Department on a full range of civil rights and civil liberties issues. After developing a strategic
plan, budget requirements and a staffing plan, an Office for Civil Rights and Civil Liberties was
established.

This report presents the three facets of CRCL’s work: legal and policy review, matters
warranting review, and equal employment opportunity. In the legal and policy review arena, the
Office has worked on issues related to law enforcement, immigration law and policy, disability
law and policy, the influence of technology on civil liberties, the effects of intelligence gathering
on civil liberties, and regulatory work. In matters warranting review, the Office accepted for
review matters that implicate civil rights and civil liberties under federal law and regulations,
established its organizational authority within the Department, publicized information about the
Office, and identified Department organizational units that are strategic partners in protecting
civil rights and civil liberties. In the equal employment opportunity area (EEO), the Office has
established an aggressive plan for recruitment to ensure that information about Department
vacancies reaches a diverse applicant pool, has developed an effective process for issuing final
agency decisions on EEO complaints, and has provided training on the basic principles of equal
employment opportunity to hundreds of DHS leaders.


Objective 5: Develop a state-of-the-art equal employment opportunity office within DHS. The
Office will strive to make the Department’s EEO program a model for the government.

Throughout its work, the attorneys and professionals who staff the Office for Civil Rights and
Civil Liberties will be guided by four principles:

Integrated - we will work diligently to be integrated into the daily operations of the
Department.

Constructive - we will be skilled at providing proactive legal and policy advice that
will assist DHS's senior officers to carry out their various national security and law
enforcement initiatives while also protecting civil rights and civil liberties.

Professional - we will establish a culture of professionalism, including a rigorous
approach to the law, timeliness, strong writing skills, a strong ethic of
nonpartisanship, and the ability to listen to all points of view.

Innovative — we will search for creative solutions to ensure that the Department’s
objectives are met while also protecting civil rights and civil liberties. Harvard law
professor Randall Kennedy argues that the "inherited debates" on race and civil rights
“have become increasingly sterile ... [U]seful prescriptions for problems as complex
as those generated by the imperatives of law enforcement in our large, rambunctious,
multiracial society can arise only from thinking that frees itself of reflexive obedience
to familiar signals."”” We will promote innovation in many ways: respecting and
valuing the contributions of immigrants to America while also enhancing the integrity
of our nation's immigration laws and borders; integrating people with disabilities into
the effort to secure our homeland; enhancing the use of alternative dispute resolution
systems; and, embracing the expansion of technological developments such as
biometric identifiers while also enhancing privacy and individualism in the 21st

century.

Operating Plan

Objective 1: Establish an effective and efficient Office for Civil Rights and Civil Liberties. This
objective focuses on a number of management issues that must be resolved to properly establish

the Office.

Develop a Strategic Plan
Develop a Staffing Plan

Develop a Proposed Budget for Fiscal Years 04 and 05

27 Randall Kennedy, Race, Crime and the Law, Pantheon Books, 1991.

47


Objective 6.3 Support the United States humanitarian commitment with flexible and
sound immigration and refugee programs.

Objective 6.4 Facilitate the efficient movement of legitimate cargo and people.
ORGANIZATIONAL EXCELLENCE -- Value our most important resource, our people.
Create a culture that promotes a common identity, innovation, mutual respect, accountability and

teamwork to achieve efficiencies, effectiveness, and operational synergies.

Objective 7.1 Protect confidentiality and data integrity to ensure privacy and security.

Objective 7.2 Integrate legacy services within the Department improving efficiency and
effectiveness.

Objective 7.3 Ensure effective recruitment, development, compensation, succession
management and leadership of a diverse workforce to provide optimal service at a
responsible cost.

Objective 7.4 Improve the efficiency and effectiveness of the Department, ensuring
taxpayers get value for their tax dollars.

Objective 7.5 Lead and promote E-Government modernization and interoperability
initiatives.

Objective 7.6 Fully integrate the strategic planning, budgeting and evaluation processes
to maximize performance.

Objective 7.7 Provide excellent customer service to support the mission of the
Department.

45


LEGAL AND POLICY REVIEW

A key role of the Office for Civil Rights and Civil Liberties is to provide the senior
leadership of the Department with legal and policy advice on a wide range of issues. Throughout
this work, the Office is determined to be constructive — providing advice that will enable policy-
makers to achieve their national security or law enforcement goals in ways that also protect civil
rights and civil liberties. This constructive approach requires the Office to be proactive — acting
to shape policy before problems occur. The Office also is determined to be innovative —
recognizing that this is a new century, a new security context, and a new federal agency. CRCL
addresses issues that have been debated for many years with fresh approaches and a search for
practical solutions.

The Office’s work spans the horizon of issues that confront the Department of Homeland
Security, from immigration policy to technology to law enforcement. CRCL’s attorneys are
careful to mark the distinction between law—what the Constitution, federal statutory law, and
case law requires— and policy concerns. The following is a brief description of some of the
areas in which CRCL has made contributions to the work of the Department.

LAW ENFORCEMENT ISSUES
Racial Profiling
On February 27, 2001, in his first State of the Union address, President Bush stated that

racial profiling “is wrong and we will end it in America.”'® He directed the Attorney General to
study the extent of the problem and then to issue specific

guidance to federal law enforcement agencies on how to é a

avoid engaging in this practice. Prior to President Bush’s Rgcial pres Jaan "8 8 5
commitment, many stated their opposition to racial wrong and we will end it
profiling, but neither the courts, commentators nor the in America.”

previous Administration provided a specific definition or ~President Bush

specific guidance on how to avoid this practice.

On June 16, 2003, the Department of Justice (DOJ) issued the guidance President Bush
had called for — Guidance Regarding the Use of Race By Federal Law Enforcement Agencies."”
The Guidance is important because for the first time the concept of “racial profiling” is defined
with rigor; practical instructions are given about how law enforcement officers can avoid
engaging in it; and, the applicability of this concept in the national security context is explained.
The Guidance is illustrated through fourteen hypothetical fact patterns that officers can easily
understand. The Guidance also is important because it establishes binding federal policy
governing the conduct of all federal law enforcement officers.

'© President George W. Bush, “Address of the President to the Joint Session of Congress,” 27 February 2001.
'’ Guidance Regarding the Use of Race by Law Enforcement Agencies, U.S. Department of Justice, available at
http://www.usdoj.gov/cr/spli/documents/guidance_on_race.htm, June 2003.

15


“Civil Liberties University” will include courses such as:

e “Civil Liberties 101,” a basic introduction to the Department’s
commitment to the protection of civil rights and civil liberties as described
in the new Strategic Plan;

e an introduction to the Department’s policy prohibiting unlawful racial
profiling;

e training on the Fourth Amendment requirements governing searches and
seizures; and,

e various topics to develop awareness of the cultural issues facing the
Department’s law enforcement and intelligence officers, such as an
introduction to the Arab and Muslim communities in the United States.

The training curriculum will expand in future years to meet the needs of the Department
and to cover additional topics such as the use of race or ethnicity in specific law enforcement
settings; instructions for law enforcement officers who interact with people with disabilities,
such as those with hearing impairments; and, introductions to the cultures of various ethnic
groups in America that Department personnel frequently encounter.

The backbone of the project will be web-based training, but it will be supplemented with
CD-ROMs, DVDs, classroom sessions, or printed media, as necessary. Accountability —
tracking participation and results — can be built into the web-based system. Subject matter
experts within and outside the Department will assist in the development of these courses. This
web-based, centralized program for civil liberties training will:

¢ offer all Department personnel uniform, high quality, standardized training in best
practices for safeguarding civil liberties;

e achieve economies of scale; and,

e be readily updated to reflect changes in law and policy.

The “EEO University” will be a project that is coordinated with all Department
component EEO offices, that will provide training to meet accepted federal standards, and that
will adapt to meet the needs of the Department’s innovative human capital plan. The training
library will compile in one place the best training products used by the component EEO agencies
on topics such as basic EEO laws; best management practices to prevent discrimination;
integration of people with disabilities into the workplace; and, alternative dispute resolution as a
means of resolving disagreements in the workplace at an early stage.


Secretary

U.S. Department of Homeland Security

Washington, DC 20528

Homeland
Security

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 Civil Rights and Civil Liberties within the Department of Homeland Security. In the
short time since March 1, 2003, the Department has made remarkable progress in
establishing an effective Office for Civil Rights and Civil Liberties. The Office has
attained 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 civil liberties in all of our work. Indeed, the Department’s Strategic Plan
prominently states this commitment in the vision statement, guiding principles, and goals
and objectives.

Section 705(b) of the Act requires that I 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 Office for Civil Rights and Civil Liberties on the
creation of the Office and the work that this Office has undertaken is enclosed. A copy of
the report can also be obtained from our website at
http://www.dhs.gov/dhspublic/display?theme=9&content=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.

Tin

Tom Ridge

,

www.dhs.gov


CONCLUSION

The Department of Homeland Security has made a strong effort to incorporate a respect
for personal liberties into the work of protecting our nation. The establishment of a robust Office
for Civil Rights and Civil Liberties is evidence of that commitment. The Department looks
forward to working with Congress and the public to continue to ensure that the homeland
security effort meets the high calling of protecting America while also enhancing our way of life.

38


quickly and satisfactorily by on-site operational personnel. These routine incidents will be
reported back to CRCL for the purpose of providing advice on policy or training improvements.
More serious matters will first be reviewed by the Inspector General for abuses that may reflect
systemic problems or criminal violations. Matters that do not fall into this category will be
referred to CRCL to determine whether it will conduct its own examination or refer the matter to
a Department component. The majority of matters will be reviewed by component internal
affairs and civil rights offices with a report back to CRCL. In cases handled by component
offices, CRCL will contribute in two significant ways. First, CRCL will work with components
to ensure that those handling these matters are effectively trained. Second, CRCL will have an
oversight or monitoring role, ensuring that these matters are given serious review.

CRCL has already begun to receive allegations and has been processing them in
accordance with this procedure. As the Office continues to increase its visibility with the public,
it is anticipated that the volume of reports of abuses will increase. The Office has designed an
internal computer-based tracking system to handle the matters that it receives. This system will
be available on desktop computers anywhere needed in the Department for the exchange of
information on these matters. Notably, this is one example of the infrastructure that CRCL is
implementing to handle concerns from the public.

Publicizing the Office

Under Section 705(a)(2) of the Homeland Security Act, CRCL is required to make the
responsibilities and functions of the Office known to the general public through “the Internet,
radio, television, or newspaper advertisements.” The Office has implemented — and is
continuing to develop — a number of efforts to increase public awareness of the Office for Civil
Rights and Civil Liberties. These efforts include launching an Office website; establishing and
publishing a CRCL e-mail address; setting up a multi-language and TTY-capable toll-free
hotline; and, setting up a toll-free automated facsimile system. In addition, the Office produced,
printed, and is distributing a poster notifying the public about CRCL. Other efforts in this area
involve corresponding with a number of different organizations on issues of concern and
participating in meetings with various advocacy groups.

The CRCL web page, found at www.dhs.gov, provides information about the Office,
such as CRCL’s mission and contact information on how individuals can report civil rights, civil
liberties, and racial and ethnic profiling issues. The Office also has an e-mail address
(Civil.Liberties@dhs.gov) where persons can submit information. In addition, the CRCL web
page provides answers to eight frequently asked questions that cover topics such as the work the
Office presently performs and how persons may contact CRCL. To assist persons in accessing
other components within the Department that may be of help, links on the CRCL web page are
available to the Office of Inspector General, if the issue is a pattern of misconduct or criminal
misconduct, fraud, waste or abuse or misconduct involving a high ranking government
employee, and to the Transportation Security Administration (TSA), if the matter involves
baggage problems or questions about what can be carried on a flight.

The Office has established a toll-free hotline number: 1-866-644-8360. This number is
available 24 hours a day, and is currently recorded in multiple languages. Through this

26


TABLE OF CONTENTS

Letter to: Congress... ..0cosesssencosersosserconsanersntenapetisivsdas sees steees sd ie sesuanuessecsevsceeeet 3

Executive Summary..................:sscceeeceseeccoeceecnsseecceeceseseeessenscenceeesecsscesseessee sewed 4

Overview of the U.S. Department of Homeland Security.

The U.S. Department of Homeland Security’s
Commitment to Civil Rights and Civil Liberties...

Establishment of the Office for Civil Rights and Civil Liberties.....................00:00ss0e 11
Legal and Policy: ROWGW ¢ :essiscsessssinessectssiregn epee cessnsmewaariraws nesses sawaccusaswezasee 15
Mathers Warratitieg ROVIEW. .... :.....2<00i<isedigecanmssaiansesiseges aa IRN saeeUeseoessaE TTS 25
Equal Employment Opportunity....................2..0cccceeceeeeceeeceeceeeeceeeceeeeeeeseeseeeeeee 32
Conclusion

Append Aron git 5. ccisisecosssivenscmcrmsmeneawessesessnerenviresserimmosnnuemennens es 39
Appendix B - Organizational Chart for the Department of Homeland Security............ 40

Appendix C — Department of Homeland Security, Vision & Mission Statements and
SMCS OOO scsi ssisisswecssiaun as eassearee csssciss conenerresewssiesarareccesserceneceste 41

Appendix D - Strategic Plan for the Office for Civil Rights and Civil Liberties............46
Appendix E — Office for Civil Rights and Civil Liberties Poster............................008 50

Appendix F - Secretary Ridge’s Equal Employment Opportunity
and Sexual Harassment Policy Statement.....................csssccssccseeeevsecsecseseerseeesseses 51


APPENDIX E —- OFFICE FOR CIVIL RIGHTS AND
CIVIL LIBERTIES POSTER

“Together we will answer history’s call
to protect America and preserve our way of life”

~ Secretary Tom Ridge, January 24, 2003

SS Security

Although terrorists try to exploit as a weakness and a vulnerability
the freedom we cherish, the mission of this Department and

every Homeland Security employee is to prove every day that a
nation can be free and open, without sacrificing safety and security.

We need your help in meeting our goals.
Ifyou have comments about how we can protect our national security
U.S, Department of Homeland Security * Washington, DC 20528

1-866-644-8360 * 1-866-644-8361 (TTY)

50


Memorandums of Understanding/A greement with the former parent Departments to assist in
drafting final actions to ensure seamless continued processing of the complaints and compliance
with statutes and regulations.

Since March 1, 2003, CRCL’s EEO Office has made considerable progress. It has:

e received over 876 of the 2,000 complaints that were in process (some over a decade
old);
issued 447 final agency decisions, 31 with findings of discrimination; and,
developed a procedure for giving components feedback from the critical findings, for
continuous process improvement and No Fear Act compliance.

The EEO Office within CRCL also is taking proactive steps to reduce conflicts prior to
the filing of formal complaints. Measures CRCL is taking include:

e drafting Department policy stressing early intervention and conflict resolution using
alternative dispute resolution (ADR);

e working with component staff to develop mediators to participate in a shared, neutral,
mediators program; and,

e developing plans to partner with EEOC, OPM, other agencies, and private
organizations dedicated to conflict resolution.

The objectives of the program to resolve conflicts include: increase the use of ADR
throughout the EEO complaint process, recognizing that settlement can be reached at any stage;
improve morale and increase productivity of employees as a result of their ability to resolve
difficulties at an early stage; reduce costs and disruption in the workplace; and, reduce reliance
on the EEO complaint process or ensuing litigation as the only means to deal with EEO
concems.

RECRUITMENT

The Department is committed to having a world-class workforce. The variety of threats
that America faces requires the Department to recruit top-notch, talented people with varied
backgrounds and viewpoints. In the first year of the Department’s existence, multiple
recruitment and outreach efforts have been used to fill critical vacancies. The strategies
implemented include:

¢ sending a joint letter from Mr. Sutherland and Mr. James, the Chief Human Capital
Officer, to hundreds of professional associations, colleges and universities, asking for
wide dissemination of Department job openings;

e operating a Department “listserv,” an email list announcing the latest Department job
openings; the listserv sends the announcements on a weekly basis to over 1,000
individuals, academic institutions, associations and organizations; and

e placing a special emphasis on welcoming applications from people with disabilities.

The listserv merits special attention. It leverages extremely cost-effective, widely

34


develop applications for homeland security. Above all, we will look for ways to constantly
improve—we will recognize complacency as an enemy.

Be Accountable: We will seek measurable progress as we identify vulnerabilities, detect
evolving threats to the American homeland and prioritize our homeland security resources. We
will assess our work, evaluate the results and incorporate lessons learned to enhance our
performance. We will reward excellence and fix what we find to be broken. We will
communicate our progress to the American people, operating as transparently as possible and
routinely measuring the success of our progress.

STRATEGIC GOALS AND OBJECTIVES

AWARENESS -- Identify and understand threats, assess vulnerabilities, determine potential
impacts and disseminate timely information to our homeland security partners and the American
public.

Objective 1.1 Gather and fuse all terrorism related intelligence; analyze, and coordinate
access to information related to potential terrorist or other threats.

Objective 1.2 Identify and assess the vulnerability of critical infrastructure and key
assets.

Objective 1.3 Develop timely, actionable and valuable information based on intelligence
analysis and vulnerability assessments.

Objective 1.4 Ensure quick and accurate dissemination of relevant intelligence
information to homeland security partners, including the public.

PREVENTION -- Detect, deter and mitigate threats to our homeland.

Objective 2.1 Secure our borders against terrorists, means of terrorism, illegal drugs and
other illegal activity.

Objective 2.2 Enforce trade and immigration laws.

Objective 2.3 Provide operational end users with the technology and capabilities to
detect and prevent terrorist attacks, means of terrorism and other illegal activities.

Objective 2.4 Ensure national and international policy, law enforcement and other
actions to prepare for and prevent terrorism are coordinated.

Objective 2.5 Strengthen the security of the Nation’s transportation systems.

Objective 2.6 Ensure the security and integrity of the immigration system.

43


Customer Satisfaction Unit

The Customer Satisfaction Unit developed an automated Complaint/Compliment
Tracking System in March 2002. This tracking system allows field offices to input complaint
and compliment information, monitor the status of each record, develop reports and conduct
analysis.

Examples of the conduct categorized by the CSU in its intake process include, but are not
limited to, the following: rude/unprofessional behavior, recurrent examination of a passenger,
excessive use of authority, judgmental conduct, secondary examination, allegations of racial
profiling, sexual harassment, delay, damage to property, seizure and penalty, inefficiency,
refused entry, and violation of sanctions.

Customs Comment Card

All persons entering the United States at ports of entry are subject to screening by CBP
personnel. While most travelers pass through CBP with a brief interview, some are required to
undergo a “secondary examination.” Such an examination can range from a single luggage
examination up to and possibly including a body search. CBP requires that every person
subjected to a secondary examination be provided a stamped, self-addressed comment card. If
the information alleges improper conduct such as racial profiling or sexual harassment, the card
is forwarded to CBP Office of Internal Affairs for further review.

Office of Internal Affairs

CBP Internal Affairs also reviews matters related to allegations of abuses of civil rights
and civil liberties. These matters generally are referred from internal components of the
Department. The civil rights and civil liberties related matters pending in this Office generally
fall into the categories of excessive force, sexual harassment, unprofessional conduct/threats, and
medical attention.

Immigration and Customs Enforcement

Office of Professional Responsibility

At ICE, the Office of Professional Responsibility handles matters that typically have been
reviewed by the Office of Inspector General. Most of the civil rights and civil liberties related
matters in this Office fall into the categories of allegations of excessive use of force, physical
abuse, denial of rights, and unlawful/unnecessary detention.

Transportation Security Administration

At the Transportation Security Administration (TSA), four offices handle information
related to civil rights and civil liberties: Aviation Operations, the Office of Civil Rights, the

29


The Mission Statement establishes a second purpose for the office: to communicate with
the public regarding the Department’s approaches to these issues. This involves speaking at
numerous public events. However, the Department recognizes that communication is a two-way
process. Senior officials throughout the Department — beginning with Secretary Ridge — are
trying to be as accessible as possible to outside groups. We strongly believe that the Department
gains insight by listening to the concerns of those outside our walls. CRCL assists in this critical
function. CRCL meets with a wide variety of outside interest groups on issues relating to the
intersection among immigration policy, disability policy, privacy and technology, and civil rights
law.

The CRCL Strategic Plan established 5 key objectives for the first year of the Office’s
work:

Objective 1: Establish an effective and efficient Office for Civil Rights and
Civil Liberties. This objective focuses on a number of management issues
that must be resolved to properly establish the Office.

Objective 2: In close cooperation with the General Counsel, provide legal
and policy advice to the Secretary and senior officers at DHS with regard to
issues and initiatives that may have an impact on civil rights or civil
liberties. The Office provides constructive advice so that policy is shaped in
ways that are mindful of and consistent with civil rights and civil liberties.

Objective 3: Develop proactive initiatives that will demonstrate the
Department's commitment to civil rights and civil liberties. In addition to
reacting to issues raised by other components within DHS, the Office also
takes the initiative to develop projects that will enhance civil rights and civil
liberties.

Objective 4: Communicate with the public to explain DHS’s commitment to
civil rights and civil liberties. The Office plays an active role in
communicating with the public, both by listening to people’s concerns and
by advancing the Department’s positions in public forums.

Objective 5: Develop a state-of-the-art equal employment opportunity office
within DHS. The Office strives to make the Department’s EEO program a
model for the government.

The first objective was to put the infrastructure in place to establish an effective, long-
term civil rights program within the Department. The Department created a staffing plan for the
Office, calling for twenty full-time employees, including the Officer. There are two components
within the Office — the Office of the Chief Counsel and the Director of EEO Programs. The
Chief Counsel and his staff of four attorneys, who also report to the Office of General Counsel,
provide proactive legal and policy advice to the Officer for Civil Rights and Civil Liberties, the
Secretary and senior Department leadership on issues that relate to civil rights and civil liberties.
These attorneys also investigate or assign responsibility for the investigation of allegations of


APPENDIX F - EQUAL EMPLOYMENT OPPORTUNITY
AND SEXUAL HARASSMENT POLICY STATEMENT

Office of the Secretary
U.S. Department of Homeland Security
Washington, DC 20528

Tae,
sere Homeland
Security
EQUAL EMPLOYMENT OPPORTUNITY AND
SEXUAL HARASSMENT POLICY STATEMENT

October 9, 2003

As Secretary of the Department of Homeland Security, I am personally committed to making the
Department a model employer with a diverse and effective workforce. To achieve this goal it is
essential that managers and supervisors maintain an atmosphere where employees and applicants
for employment are judged solely on the basis of merit or ability. We want to create an
atmosphere where there is respect for the strength brought to our workforce when we have
employees with a wide range of background and experiences. We must strive to ensure that all
employees have an opportunity to reach their full potential and to contribute to the success of the
Department.

To this end | ask all managers and supervisors to take two steps. First, please ensure that you
advertise job openings as widely as possible. It is critical that we take advantage of the talents of
the broadest possible range of Americans as we carry out our critical work. Second, please make
special effort to reasonably accommodate the needs of employees and applicants for employment
who have physical or mental disabilities.

Let me be clear about a related point: discrimination against or harassment of any employee
cannot be tolerated. Managers and supervisors must make special efforts to identify and
eliminate any form of sexual harassment and to maintain an environment free of any conduct —
physical or verbal — that could create a hostile or intimidating environment. I emphasize again
that we will accomplish our critical mission only if we ensure that all employees are free to fully
contribute their talents.

As in all phases of our mission, we must strive for excellence. I challenge supervisors, managers
and employees to join me in making DHS a leader in equal employment opportunity.

(0m L-%—$§

Tom Ridge

Sl


On June 17, 2003, the day after the DOJ Guidance was published, Secretary Ridge sent a
memorandum to the senior leadership in the Department instructing them to read the Guidance
and distribute it widely throughout their organizations. The Office for Civil Rights and Civil
Liberties is responsible for ensuring that the Department, at all levels, is implementing the DOJ
Guidance and, therefore, fulfilling the President’s commitment to eliminate unlawful racial
profiling. To assist in this effort, CRCL is developing training designed to serve as an
introduction to and overview of the DOJ Guidance. CRCL has also worked with the Federal
Law Enforcement Training Center (FLETC) to update and strengthen the training of law
enforcement cadets on racial profiling.

Strengthening Training on the Constitution and Civil Rights

The Department recognizes that one of the most important ways to fully implement the
Secretary’s commitment to the protection of civil rights and civil liberties is through training
programs.

Training in civil rights and civil liberties begins when an officer or agent joins the
Department. The Department starts this training at FLETC, a state-of-the-art law enforcement
academy located in Glynco, Georgia, Artesia, New Mexico, and other locations. Experienced
professional law enforcement trainers prepare tens of thousands of men and women for federal
law enforcement responsibilities each year. While FLETC provides basic training to all of the
Department’s new law enforcement officers, it also provides basic training for many other
federal, state, local, and foreign law enforcement agencies. FLETC has agreements with over 70
federal partners to provide training for new law enforcement officers. It also provides a
substantial amount of specialized in-service training to experienced law enforcement
professionals. The training available at FLETC features a substantial legal curriculum (including
extensive instruction on Constitutional law standards, as well as civil rights and civil liberties
law), along with training in professionalism, behavioral sciences, fitness, firearms, and tactical
driving, among other things.

The Department is also fortunate to have a number of outstanding training and
information technology professionals who lead various conventional training and “e-learning”
initiatives across the Department.

Based on its work with the professionals at FLETC and in the e-learning community,
CRCL has initiated a project to offer top quality civil rights, civil liberties and equal opportunity
training to all Department personnel. CRCL will prepare a comprehensive library of distributed
learning training courses tentatively titled, “Civil Liberties University.” The library’s name will
likely change as the Department’s training infrastructure evolves. The Office also will work
with the component EEO directors to establish a similar curriculum under the title, “EEO
University.”

16