VZCZCXYZ0000
RR RUEHWEB

DE RUEHUP #1105/01 3251609
ZNR UUUUU ZZH
R 201609Z NOV 08
FM AMEMBASSY BUDAPEST
TO SECSTATE WASHDC 3596

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