VZCZCXRO7881
RR RUEHHA
DE RUEHHA #0070/01 3151935
ZNR UUUUU ZZH
R 101935Z NOV 08
FM AMCONSUL HALIFAX
TO RUEHC/SECSTATE WASHDC 1334
INFO RUEHOT/AMEMBASSY OTTAWA 0563
RUEHHA/AMCONSUL HALIFAX 1422

UNCLAS SECTION 01 OF 03 HALIFAX 000070 
 
SIPDIS 
 
E.O. 12958: N/A 
TAGS: CMGT CVIS CASC KFRD CA
SUBJECT: HALIFAX ANNUAL CERTIFICATION OF CONSULAR MANAGEMENT 
CONTROLS 
 
REF: STATE 114455 
 
¶1.  In accordance with reftel, Halifax conducted its annual 
review of consular management controls on November 10, 2008. 
Harold D. Foster, FS-01, Consul General certifies successful 
completion of the management review and that post is in full 
compliance. 
 
¶2. 
 
a. Standard Operating Procedures:  I have reviewed and confirm 
that the consular officer is familiar with and has access to the 
basic references and instructions including 7 and 9 FAM, 7 
FAH-1, the Consular Management Handbook, CA's SOP cables, and 
CAWeb (both the unclassified and classified sites).  No one is 
using training materials as a reference in place of the 
reference materials listed above. 
 
b.  Consular Shared Tables (CST) Management:  I have reviewed 
and confirm that: (1) only consular section employees have 
consular roles and that adjudicatory and management roles are 
limited to American consular officers;  (2) all active users are 
in fact at post with a need to access the system and their 
particular role(s), and that users who no longer have a need for 
access have been switched to inactive status, and that any test 
or anonymous accounts have been deactivated; (3) users are 
authorized system access only at the appropriate level; and, (4) 
user passwords have been periodically reset (at a minimum every 
six months) and are randomly chosen by the individual so that no 
one else, including the system and CST administrators, knows the 
individual's password. 
 
c.  Physical Access:  I confirm that physical access to the 
working areas of the consular section, and to consular computers 
and workstations in particular, are controlled and, in general, 
limited only to consular section employees and those whose 
responsibilities allow access. FSN personnel are not present 
outside of office hours without a cleared American and 
controlled items are secured if an American consular officer is 
not present.  Consulate General Halifax is located in a small 
office suite.  The office's open floor-plan design does not 
allow for doors and restricted access to the consular section. 
Non-consular employees must frequently pass through the section, 
but they do not work or linger in the section.  Access to the 
section is particularly limited during visa interviewing hours. 
The Consular Section Chief has line of sight control over the 
entire consular section from her workspace. 
 
d. Access to Personally Identifiable Information (PII): I 
confirm that procedures are in place to assure that the 
collection of Personally Identifiable Information (PII), such as 
date and place of birth and social security numbers, is kept to 
a minimum and such information is appropriately protected.  I 
confirm that access to consular systems containing such 
information, including PIERs, IV, NIV and ACS, is restricted to 
those with a legitimate need to see such information and that 
records are only accessed in connection with official duties.  I 
confirm that there have been no breaches or incidents involving 
loss, theft, unauthorized access or compromise of PII at this 
post, but that such incidents would be reported as described in 
Department Notice 2008-06-134 of June 25, 2008. 
 
e.   Inventory Count and Reconciliation of Accountable Consular 
Items:  The Consular Section Chief Elizabeth Schwefler(ACO), 
together with the Consul General Harold Foster (backup ACO), has 
performed a comprehensive physical inventory of accountable 
consular supplies (passports, passport foils, CBRAs, Visa Foils 
and non-expendable items such as seals and stamps) and 
documented the results of that inventory in the Accountable 
Items (AI) module for visa foils, CRBAs, passport books and 
passport foils, and for all other accountable items in a memo 
for the files.  I certify that the physical inventory reconciles 
with inventory records, and that there are no discrepancies. 
 
f.  Control and Reconciliation of Accountable Items:  I confirm 
that internal section procedures are in place, that accountable 
consular supplies are controlled, handled, destroyed, and 
accounted for in accordance with 7 FAH-1 H-600. AI is being used 
for reconciling daily usage of all accountable consular supplies 
including passports, CRBAs, and NIV foils.  Post has had no 
instances of missing controlled items in the past 12 months. 
 
g. Destruction Log: I have reviewed and confirm that post is 
properly destroying (or returning to the Department for 
destruction) spoiled or unusable or obsolete controlled items 
(passport books, CRBAs, visa foils) and recording their 
witnessed destruction in AI. 
 
h. Cash Accountability:  I have reviewed and confirm that the 
ACO, Consular Cashier, and alternates have been formally 
designated using the model letters found under tools on the 
Consular Fees page on CAWeb and are fully familiar with the 
instructions in Consular Management Handbook chapter 7 FAH-1 
 
HALIFAX 00000070  002 OF 003 
 
 
H-700. The ACO has completed Consular Management at a Small Post 
at FSI, which included ACO responsibilities.  She will enroll in 
the online course PC 417 for refresher training.  The Consular 
Cashier and alternates will complete PC 419 as soon as it is 
available online.  I confirm that accounting and reconciliation 
procedures for consular fees, including MRV fees, are properly 
carried out.  The ACRS End of Day report and Daily Accounting 
Sheet (Exhibit 7-5 in CMH 700) is completed daily.  At the end 
of the month the Daily Accounting Sheet is forwarded to the 
post's FMO for verification against FSC's record of OF-158 
receipts, and signed by both the ACO (Consul) and FMO (Consul 
General).  The Daily Accounting Sheet for the past twelve months 
is on file in the ACO's records.  In the past 12 months, there 
have been no discrepancies at this post. 
 
i. Periodic Comparison of MRV Fees and NIV Applications: I have 
reviewed and confirm that the periodic comparison of MRV fees 
and NIV applications is carried out as prescribed in 7 FAH-1 
H-744, H-752 e and f, and under tools on the Consular Fee page 
on CAWeb.  All NIV Application fees are paid at an off-site 
location. Data on fees collected and applications received are 
also forwarded monthly to Ottawa for Mission-wide 
reconciliation.  Cancelled receipts are filed with the DS-156 
for reconciliation. 
 
j. Referral System: I have reviewed and confirm that post visa 
referral procedures are in compliance with 9 FAM Appendix K and 
06 State 180489.  Post follows Mission referral policy and 
procedures that are documented in writing and issued to post on 
the authority of the Ambassador.  All referrals are signed by 
agency and section heads as appropriate, referral information is 
captured in the NIV system, referral forms are scanned into the 
NIV system, and consular managers periodically review referral 
reports to identify trends and possible areas of concern. 
Briefings are required before officers can submit referrals.  No 
visa referrals were done in Halifax in the past 12 months. 
Referrals from within the consular section would be handled and 
documented identically to those from outside the section. 
 
k. Training: I have reviewed and confirm that American and 
locally employed staff are adequately trained for their 
responsibilities, including awareness of fraud in applications 
for visas and other benefits.  Newcomers to the consular section 
are trained in accordance with SOP 73.  The ACO has completed 
the on-line user training for ACRS. 
 
l. Standards of Employee Conduct:  I have reviewed and confirm 
that all consular employees, American and FSN, are familiar with 
the standards of ethical conduct expected of them.  The consular 
officer has reviewed the Department's Standards of Ethical 
Conduct for Employees of the Executive Branch, and we have 
discussed the applicability of these ethical standards in the 
consular context.  I have reviewed post operations with all 
personnel to determine that there are no influences being 
brought to bear on the visa or passport process that would lead 
to any perception of impropriety.  Post follows the Mission's 
written gift policy consistent with Department standards. 
Consular officers must follow the same procedures as all other 
Mission employees when advocating on behalf of an applicant.  A 
consular officer who is personally acquainted with an applicant 
must recuse himself or herself from adjudicating that person's 
visa application to the extent possible at a two-officer post. 
 
m. Namecheck and Clearance Reviews:  I have reviewed and confirm 
that all namecheck returns are given a rigorous review and that 
consistent standards are applied in determining when a hit is 
close enough to warrant further action.  I confirm 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):  I have reviewed and 
confirm that VLA procedures are in place and that VLA 
certification is up to date.  All issuing officers at post fully 
understand VLA provisions and requirements, as well as the 
consequences for failing to comply with VLA procedures and 
supervisors spot check issuances to verify that VLA requirements 
were met by reviewing any with CAT I hits. 
 
o. Intake, Interview and Screening:  I have reviewed visa 
intake, interview, and document review procedures and confirm 
that post is in full compliance with the Department's 
instruction (9 FAM 41.102 and 41.103 procedural notes and other 
guidance).  I have reviewed and confirm that screening of 
applications by locally employed staff does not encroach on 
adjudication.  Screening is only for completeness of application 
and does not extend to asking questions or making notes on the 
application that could be interpreted as influencing 
adjudication.  LES employees do not turn away NIV applicants who 
have paid the appropriate fees and have a completed application, 
even if they think additional documents will be required.  Such 
cases are adjudicated by an officer and denied under 221g if 
 
HALIFAX 00000070  003 OF 003 
 
 
appropriate. 
 
p. Oversight of Processing: I have reviewed and confirm that 
adequate supervision of processing is exercised by American 
officers.  The Consular Section Chief has line of sight 
supervision of the print station. 
 
q. Biometrics: I have reviewed and confirm that fingerprinting 
for biometric purposes is collected by LE staff and verified by 
an American Officer, and that post is in compliance with 
Bio/Visa Enrollment policy and procedures (05 State 191641) 
regarding waivers. 
 
r. Interview and Adjudication:  I have reviewed and confirm that 
all visa applicants for whom a personal appearance is required 
per 05 State 0092176 and 9 FAM 41.102 are being interviewed. 
 
s. Photo Standards:  I have reviewed 9 FAM 41.113 procedural 
notes and the photo guide on www.travel.state.gov and confirm 
that post is only entering recent photos of the applicant and is 
rigorously applying standards for NIV and passport photos. 
 
t. Review of Visa Refusals and Issuances:  I have ensured that 
NIV refusals and issuances are being reviewed using the approved 
electronic NIV review system (in CCD).  The CG reviews the 
Consul's refusals and issuances daily in accordance with 07 
State 076951, 9 FAM 41.113 (1) and PN18.1 and.2; and 9 FAM 
41.121 and PN1.2-8 and .2-9.  There have been no supervisory 
overcomes in the past 12 months. 
 
u. Visa Shopping:  I have reviewed post procedures to ensure 
there are practices in place that discourage visa shopping. 
Virtually all visa applicants in Halifax are TCNs.  Post does 
not maintain any sort of NIV written re-application process. 
 
v. Files:  I have reviewed and confirm that consular files are 
being retained in accordance with the Record Disposition 
Schedule and that visa files in particular are being retained 
per instructions in 9 FAM Appendix F.  I confirm that 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.    I confirm that NIV records are being 
filed chronologically per instructions in SOP 8 (03 State 70558). 
 
w. Passports and CRBAs:  I have reviewed and confirm that post 
procedures and controls are in place to ensure the accuracy and 
integrity of U.S. passports, CRBAS, and other nationality 
determinations.  Post conducts passport name checks for all 
passport services, including adding visa pages. Consular 
managers continue to audit passport cases 
adjudicated at post.  In particular, procedures are in place to 
ensure accurate annotation of citizenship and identity 
documentation; annotation related to name clearances, 
endorsements and limitations; clarification of illegible entries 
and correction of inaccuracies; and fraud detection. 
 
x. Fraud Prevention Programs:  I have reviewed and confirm that 
appropriate management controls are in effect for the fraud 
prevention program.  The sole consular officer has been 
designated and trained as Fraud Prevention Manager.  There are 
procedures to safeguard the role of the FSN investigator by 
prohibiting her from influencing decisions on eligibility. 
Halifax has never conducted a fraud prevention field trip. 
 
y. Classified Access: I confirm that the consular officer has 
access to classified systems and that she checks classified 
e-mail at least once a week.  The limited amount of classified 
traffic handled by post makes it impractical to open the vault 
to check e-mail on a daily basis. 
 
z. Consular Agents: Halifax does not supervise any consular 
agents. 
 
¶3.  Halifax is a two-officer post.  The Consul fills all of the 
primary consular management roles and the Consul General serves 
as supervisor and/or backup. 
FOSTER