EMBASSY BUDAPEST ANNUAL CERTIFICATION OF CONSULAR CONTROLS

UNCLAS BUDAPEST 001105

SIPDIS

E.O. 12958: N/A
TAGS: CMGT CVIS CASC KFRD HU
SUBJECT: EMBASSY BUDAPEST ANNUAL CERTIFICATION OF CONSULAR CONTROLS

Ref: State 114455


1. Post completed the Annual Review and Certification of Consular
Controls on November 19, 2008. Post certifies that it is in
compliance with all sub-paragraphs in reftel. The certifying
officer is Deputy Chief of Mission Jeffery D. Levine. Narrative
responses to all subparagraphs in reftel follow.

a. Standard Operating Procedures: Post confirms that all consular
officers are familiar with and have access to basic references and
instructions. No one is using training materials as a reference in
place of the proper reference materials.

b. Consular Shared Tables (CST) Management: Post confirms that:
(1) only consular section employees have consular roles and
adjudicatory and management roles are limited to American consular
officers; (2) all active users are in fact at Post and have a need
to access the system in their particular role, users who no longer
have a need for access have been switched to inactive status, and
all test or anonymous accounts have been deactivated; (3) users have
authorized system access at the appropriate level; and, (4) user
passwords are periodically reset and randomly chosen by the
individual so that no one else, including the system and CST
administrators, knows the individual's password. Post reviewed
guidance in SOP 82: CST Password (05 State 151469) and checked the
CST role of each individual to make this confirmation.

c. Physical Access: Post confirms physical access to the working
areas of the consular section, and to consular computers and
workstations is controlled and limited only to consular section
employees, the DCM, and RSO. FSN personnel are not present outside
of office hours without a cleared American present. During working
hours controlled items are secured whenever no American consular
officer is present.

d. Access to Personally Identifiable Information (PII): Post
confirms that procedures are in place to assure that the collection
of PII is kept to a minimum and appropriately protected. Post
confirms that access to consular systems containing such information
is restricted to those with a legitimate need to see such
information and records are only accessed in connection with
official duties. There have been no breaches or incidents to
report.

e. Inventory Count and Reconciliation of Accountable Consular Items:
The Consular Section Chief, together with the designated
Accountable Consular Officers (ACOs),performed a comprehensive
inventory of accountable consular supplies and the results of that
inventory were documented in the Accountable Items (AI) module and a
memo for the files. Post confirms and certifies that the physical
inventory reconciled with inventory records.

f. Control and Reconciliation of Accountable Items: Post reviewed
and confirms that internal section procedures ensure that
accountable consular items are controlled, handled, destroyed, and
accounted for in accordance with 7 FAH-1 H-600. The AI module is
being used for reconciling daily usage of all accountable consular
supplies. Post reports no instances of missing controlled items in
the past twelve months.

g. Destruction Log: Post confirms that it is properly destroying
spoiled, unusable, or obsolete controlled items and recording their
witnessed destruction in AI. Post is following the guidance on
returning all passport books, passport cards, and border crossing
cards to the Department for destruction as described in State

112062.

h. Cash Accountability: Post confirms that the Accountable Consular
Officer, the Consular Cashier, and alternates have been formally
designated using the correct model letters. The ACO has completed
the required training as part of PC 116 Automated Systems for
Consular Managers. Post confirms the cashier has enrolled in course
PC 419 Collection of Consular Fees for Consular Cashiers. Post
confirms that accounting and reconciliation procedures for consular
fees are properly carried out. The Daily Accounting Sheets for the
last 12 months have been signed by both the ACO and FMO, and are on
file in the ACO records. There have been no instances of cash
discrepancies in the last 12 months.

i. Periodic Comparison of MRV Fees and NIV Applications:
Post confirms that the periodic comparison of MRV fees and NIV
applications has been carried out. Fees exceeded applications in FY

2008. Post also confirms that MRV receipts are cancelled and
attached to the DS-156.

j. Referrals: Post confirms that its visa referral procedures
conform to instructions in 9 FAM Appendix K and 06 State 180489.
Post's updated referral policy is currently with CA/VO/F/P for
clearance. Referrals are signed by both the referring officer and
by the office or agency head, and all referral information is
captured in the system. All referral forms and supporting documents
are scanned for every referral, both A and B. Consular Section
referrals are handled the same way, and no unofficial referrals are
allowed outside the formal process. All new mission employees are
briefed on the procedure before being allowed to submit referrals.
The Section Chief, or Acting Chief in his absence, adjudicates all
Class A referrals; the Section Chief or Deputy adjudicates all Class
B referrals. The Section Chief regularly analyzes referral reports
to identify any potential sources of concern.

k. Training: Post confirms that American and locally employed staff
are adequately trained for their responsibilities, including
awareness of fraud in applications for visas and other benefits.
Newcomers are trained in accordance with SOP 73 (04 State 164399).


l. Standards of Employee Conduct: Post confirms that all consular
employees are familiar with the standards of ethical conduct
expected of them. Post reviewed operations with all personnel and
there are no influences being brought to bear on the visa or
passport process that would lead to any perception of impropriety.
Post has a gift policy consistent with Department standards. Post
has a written policy requiring that all consular staff to recuse
themselves from any and all involvement with a case in which there
may be conflict of interest or connection to the applicant.

m. Namecheck and Clearance Reviews: Post confirms that all
namecheck returns are reviewed and consistent standards are applied
in determining when a hit is close enough to warrant further action.
Post confirms that when insufficient information is present to rule
out a potential match to a namecheck hit, that hit is treated as if
it were a match.

n. Visa Lookout Accountability (VLA): Post confirms that VLA
procedures are in place, and that all issuing officers fully
understand VLA provisions and requirements as well as the
consequences for failing to comply with VLA procedures. Supervisors
regularly review issuances to verify that VLA requirements are met.

o. Intake, Interview, and Screening: Post reviewed visa intake,
interview, and document screening procedures and confirms that it is
in full compliance with the Department's instructions. Screening of
applications by locally employed staff does not encroach on
adjudication. LE staff do not turn away NIV or IV applicants who
have paid the appropriate fees and have a completed application.

p. Oversight of Processing: Adequate supervision of processing is
exercised by American officers including line-of-sight supervision
of print stations.

q. Biometrics: Fingerprinting for biometric purposes is conducted
only by consular officers and cleared Americans. Post is in
compliance with Bio/Visa Enrollment policy and procedures regarding
waivers.

r. Interview and Adjudication: All visa applicants for whom a
personal appearance is required are being interviewed.

s. Photo Standards: Post is only entering recent photos of
applicants and is rigorously applying standards for NIV, IV, and
passport photos.

t. Review of Visa Refusals and Issuances: NIV refusals and
issuances are being reviewed using the approved electronic NIV
review by the Consular Chief, and in cases issued by the Consular
Chief, by the DCM. Post confirms that cases "overcome" by the
supervisor are not cases of reconsideration in which there was no
legal error in the original adjudication.

u. Visa Shopping: Post regularly reviews issuance patterns to third
country nationals (TCNs) to identify trends, and will conduct a
validation study in the near future to further inform evaluation of
these cases. Post does not/not maintain a NIV written
re-application process. Post notes that the vast majority of third
TCN applicants are residents of Hungary. Occasionally, a small
number of employment-based visa applicants apply for reissuance of
expired visas while traveling to Hungary on business. With
Hungary's entrance into the visa waiver program, the TCN applicant
base is likely to become a larger percentage of total cases. Post
is in the process of implementing a new plan to review issuance
patterns to third country nationals, beginning with a validation
study of previous issuances.

v. Files: Post confirms that consular files are being managed in
accordance with the Record Disposition Schedule. Visa files are
being maintained per instructions in 9 FAM Appendix F. All consular
personnel understand that visa records are to be safeguarded in
accordance with INA Section 222(f). NIV records are being filed
chronologically.

w. Passports and CRBAs: All FAM guidance relating to the oversight
of Passport and CRBA functions are in place at Post. Post conducts
namechecks for all passport services, including additional visa page
requests. In accordance with 03 State 245320, Post will ensure that
Consular managers routinely are auditing passport adjudications.
Post ensures that relevant citizenship and identity information is
accurately annotated, as is information relating to name checks,
endorsement and limitations.

x. Post confirms that an American officer is designated as the Fraud
Prevention Manager and is assigned the appropriate CCD FPM role.
Post has written criteria for referring cases for investigation.
However, these are being revised to incorporate changes due to the
visa waiver program and outline firm roles and priorities for FSN
and FSO staff. Procedures are in place to prohibit FSN
investigators from influencing decisions on eligibility. The FPM
reviews every report. Post has not had the need to conduct any
field investigations in the last twelve months.

y. Classified Access: All consular officers have access to
classified systems and the Consular Chief checks classified e-mail
daily.

z. Posts Exercising Supervision of Consular Agents:
Post has no Consular Agents.

Foley