MASERU: ANNUAL CERTIFICATION OF MANAGEMENT CONTROLS

UNCLAS SECTION 01 OF 02 MASERU 000055 SIPDIS JOHANNESBURG FOR RCO KENT MAY E.O. 12958: N/A TAGS: CMGT CVIS CASC KFRD LT SUBJECT: MASERU: ANNUAL CERTIFICATION OF MANAGEMENT CONTROLS ¶1. Post completed its review of consular management controls on February 11, 2010, in an open discussion that included the DCM and all members of the consular section. Post certifies that it is in full compliance with management control requirements. ¶2. Completion of review certified by Elizabeth C. Power, Deputy Chief of Mission, FS-02. ¶3. Results of review: ¶A. Inventory count and reconciliation of Accountable Consular Items: Post confirms that the Accountable Items module (AI) is used to maintain its inventory of accountable consular items for visa foils, CRBAs, passport books, and foils. The physical number of items on hand does not reconcile with inventory records. This was noted in AI by a previous TDY officer in ¶2008. Consular Chief/ACO, Karla Brown and back up ACO, Sara Devlin, participate in the joint inventory reconciliation and continue to comment on this discrepancy at time of inventory. RCO and a visiting Harris team were notified of the matter. ¶B. Guidance: Post confirms that all consular officers are familiar with and have access to the basic references and instructions including 7 and 9 FAM, 7 FAH-1 and CAWeb (both the unclassified and classified sites). Training materials or outdated SOPs as a reference are not used. Consular officers have access to classified systems; consular chief checks classified e-mail daily. ¶C. Consular Shared Tables (CST) Management: Post has reviewed its CST tables and is in full compliance. ¶D. Physical Access: Post is in compliance with all physical access requirements. Only consular staff can access the consular section. ¶E. Access to Personally Identifiable Information (PII): Post is in compliance with all PII requirements. In January 2009, it was discovered that a LES Computer Operator had been assigned an NIV officer adjudicator role. CST Administrator immediately notified CA Management Analyst, SupportDesk, and CA/FPP. Reports were run and it was confirmed that there was no officer-level activity recorded against the LES login, which appears to have been inadvertently assigned. ¶F. Control/Reconciliation/Destruction of Controlled Items: Post has reviewed and confirms that all consular items are controlled, handled, destroyed, and accounted for in accordance with 7 FAH-1 H-600. ¶G. Cash Accountability: Post is in compliance with all cash accountability requirements. Post has documented seventeen discrepancies within the past twelve months. Sixteen of those discrepancies were from fees collected from June 9 to July 30, 2009, - a time when both, bottom and top drawers of the only cash register was not working. Post was not in possession of OF-233 Manual Receipts at that time. CA SupportDesk and CA Management Analyst were contacted, and memos were sent to the FMO. Post now has a supply of OF-233 forms on hand. ¶H. Periodic comparison of MRV fees and NIV applications: Post is in compliance with periodic comparison of MRV fees and NIV applications. Post does not use offsite collections and does not currently use the DS-160. ¶I. Referral System: Post confirms full compliance with the new Worldwide Visa Referral Policy in 9 FAM Appendix K which replaces all post-specific referral policies. ¶J. 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; all cashiers and ACOs have taken required online distance learning courses. ¶K. Standards of Employee Conduct: Post has reviewed and confirms that all consular employees, American and locally employed staff (LES) alike, are familiar with the standards of ethical conduct expected of them. ¶L. Name check and Clearance Reviews: Post confirms compliance with name check and clearance reviews. ¶M. Visa Lookout Accountability (VLA): Post confirms that VLA procedures are in place. ¶N. Intake, Interview, and Screening: Post is in full compliance with the Department's instruction, 9 FAM 41.102 and 41.103 procedural notes and other guidance, in regards to visa intake, interview, and document screening procedures. MASERU 00000055 002 OF 002 ¶O. Oversight of processing: Post confirms that adequate supervision of processing is exercised by an American officer. Post does not collect DNA samples. Post does not have a designated Panel Physician. ¶P. Biometric collection: Post confirms that fingerprinting for biometric purposes is done only by consular officers and post is in compliance with Bio/Visa Enrollment policy and procedures found in 9 FAM Appendix L. ¶Q. Photo Standards: Post reviewed Appendix L 302, and confirms full compliance with photo standards. ¶R. Visa Adjudication Oversight: Post confirms full compliance with Visa Adjudication Oversight. ¶S. Files: Post confirms full compliance; all consular personnel understand that visa records are to be safeguarded in accordance with INA Section 222(f),to prevent unauthorized disclosure in any form, including via the internet or other public media. ¶T. Passports and CRBAs: Post confirms full compliance with passport and CRBA requirements. ¶U. Fraud Prevention Programs: Post confirms compliance with requirements for the fraud prevention program. ¶V. Wilberforce Act: Post confirms full compliance with the Wilberforce Act; NIV personnel is trained on their responsibilities under the Wilberforce Act and post has sufficient copies of the brochures on hand and is handing them out to relevant applicants as required by 09 State 067921. NOLAN