VZCZCXRO0342
RR RUEHHM
DE RUEHHM #0055/01 0200759
ZNR UUUUU ZZH
R 200759Z JAN 09
FM AMCONSUL HO CHI MINH CITY
TO RUEHC/SECSTATE WASHDC 5330
RUEHBK/AMEMBASSY BANGKOK 0406
INFO RUEHHI/AMEMBASSY HANOI 3534
RUEHHM/AMCONSUL HO CHI MINH CITY 5566

UNCLAS SECTION 01 OF 03 HO CHI MINH CITY 000055 
 
SIPDIS 
 
STATE FOR PRM/A, PRM/RPC, AND CA/VO/L 
BANGKOK FOR RMA, USCIS, AND OPE 
 
E.O. 12958: N/A 
TAGS: PREF CMGT VM
SUBJECT: DISPOSITION OF REFUGEE RECORDS IN HO CHI MINH CITY 
 
REF: A. A:  HRS, PRM/A, PRM/RPC TELECON DEC. 23, 2008 
     ¶B. B:  NELSON/SWANSON E-MAIL DEC. 23, 2008 
     ¶C. C:  NELSON/DO E-MAIL DEC. 24, 2008 
     ¶D. D:  NELSON/SWANSON E-MAIL JAN. 13, 2009 
     ¶E. E:  BURKHARDT/SWANSON E-MAIL JAN. 16, 2009 
 
¶1.  (U) This is an action request.  Please see Para 14. 
 
¶2.  (U) Summary:  The following is an item by item plan for 
disposition of refugee and Amerasian files currently in the 
custody of the Humanitarian Resettlement Section or the Consular 
Section of ConGen HCMC.  Reference is made to relevant citations 
from the FAM, FAH, and the Foreign Records Disposition 
Schedules: Chapter 12 (Refugee) and Chapter 9 (Visa).  Post 
requests Department clearance on the proposed disposition 
actions and guidance on questions listed in Para 14.  End 
summary. 
 
Microform Records 
----------------- 
¶3.  (U) The Consular Section retains a copy of ODP records in a 
combination of microfiche and microfilm formats.  There are 
416,000 microfiche containing about 13,700,000 images and 777 
rolls of microfilm containing about 2 million images.  These 
records are stored in metal and wood cabinets and include 24 
linear feet of 30 inch deep drawers stacked 8 feet high.  This 
record has been digitized recently, but the digital record has 
not yet been fully tested. 
 
¶4.  (U) All ODP records are handled according to their own 
disposition schedule and all known microform records are 
ODP-related.  A master copy of ODP microform records is to be 
retained for 20 years (Ref B and Foreign Records Disposition 
Schedules Chapter 12: Refugee and Migration, B-12-002-04a 
[hereinafter referred to by B-12 and section number]).  Other 
microform ODP records may be destroyed when no more than 10 
years old (Ref B and B-12-002-04a and b2).  It is unknown 
whether the microform records at Post are masters or copies. 
All of these microform records are for cases created between 10 
and 20 years ago.  Therefore it is necessary to determine if the 
Records Service Center (RSC), has a set of these microform 
records.  If so, Post proposes that the RSC set be deemed the 
master with RSC responsible for disposition, while the set at 
Post will need to be sent elsewhere for destruction after it is 
determined that the digitized copy is fully functional (Para 
13).  The Consular Section has already determined that there is 
not a means of securely and safely destroying microform plastic 
film at Post. 
 
¶5.  (U) The Consular Section had the digital copy of the ODP 
records made because it has an indefinite ongoing use for ODP 
records as a fraud prevention measure and as a means to quickly 
confirm valid family relationships where civil or other 
documents may have been destroyed or lost.  HRS and its 
successors will have a limited need for access to ODP records 
because McCain amendment applications may be filed as derivative 
ODP-HO applicants until 30 September 2009.   If RSC does not 
have a set of these microform records, then Post's copy is the 
master and should be sent to RSC after confirmation that the 
digital copy is usable.  There are three complete sets of the 
digitized ODP records on standalone workstations; two for the 
Consular Section and one with HRS.  The HRS copy would be 
transferred to RMA or OPE Bangkok. 
 
Other ODP Records 
----------------- 
¶6.  (U) Per Ref B, B-12-002-04a, B-12-002-04b(1), and 
B-12-002-04b(2), since ODP paper files were created more than 10 
years ago, they may be destroyed at Post.  Destruction will take 
place under conditions described in Para 13.  Post notes that 
there are two subsets of ODP files that were still open when the 
process of copying ODP files into microform stopped in 1996 or 
¶1997.  The first subset of cases was concluded between late 1996 
and the introduction of WRAPS to OPE HCMC in March 2003.  Only 
paper copies of these files exist.  The second subset includes 
files processed in WRAPS since March 2003.  There will be no 
complete microform copies, and thus no "master copy" of these 
records.  Per Ref D, the pre-WRAPS subset may be handled 
according to the procedures for ROVR cases (Para 9); ODP cases 
that migrated into WRAPS may be handled according to the 
procedures used for current refugee files; alternatively, the 
paper files may be transferred to the HCMC Consular Section, if 
useful for immigrant visa processing. 
 
Amerasian Records 
----------------- 
¶7.  (U) Amerasian records are not specifically addressed in the 
Foreign Records Disposition Schedules.  In addition to 5 four 
drawer filing cabinets of WRAPS era Amerasian files, HRS has 190 
boxes ("records retiring" boxes, measuring 15"x12"x10") of 
 
HO CHI MIN 00000055  002 OF 003 
 
 
pre-WRAPS Amerasian files.  Per Ref B, Amerasian records are to 
be treated as immigrant visa records and are to be turned over 
to HCMC's Consular Section.  Chapter 9: Consular Records, of the 
Foreign Records Disposition Schedules provides different 
retention periods for refused immigrant visas depending on the 
grounds of refusal.  Most Amerasian cases were refused under INA 
Section 101(a)(42) which is not addressed in Chapter 9.  Post 
requests guidance on this point.  The second most common reason 
for refusal of Amerasian cases is 212(a)(6)(C) and/or 212(E); 
per B-09-002-02b(1) such files are retained at Post and 
destroyed after the applicant reaches 100 years of age or 10 
years after the last visa activity.  Per B-09-002-01b, no paper 
files of issued immigrant visas are retained.  Per 
B-09-002-03g(1), it appears that abandoned Amerasian cases may 
be destroyed three years after failure to appear or failure to 
respond to a 221(g) refusal.  Post requests confirmation or 
guidance on this point. 
 
¶8.  (U) The Consular Section will be taking over the Amerasian 
program as HRS closes.  HRS now receives requests to open 
Amerasian cases at a rate of about 300 per year.  New 
applications are first screened to determine whether the 
applicant has applied before and if so, whether the applicant is 
providing new information.  The large majority of new 
applications are from repeat applicants.  About 100 cases per 
year are opened.  The old Amerasian case files are extremely 
useful for fraud prevention and to support claimed relationships 
in these cases as computer records for these cases are cursory. 
 There are microform records for Amerasian cases created during 
the ODP, but none after 1996.  Therefore Post is considering 
retaining at least some of the Amerasian files.  Post may also 
consider digitizing these records, but has not yet explored the 
cost.  If it becomes known in the applicant pool that the old 
records are no longer available, Post expects a substantial 
increase in applications, many from applicants with previous CAT 
1 refusals. 
 
ROVR Cases 
---------- 
¶9.  (U) Per Ref B, ROVR cases are handled according to the "old" 
refugee file disposition schedule.  Most ROVR cases were created 
more than 10 years ago.  Any refugee processing files such as 
"registration cards" or "registration log books" may be 
destroyed at Post.  One ROVR case is still open and is the sole 
active case within the last two years.  The physical file will 
be sent to OPE Bangkok if the applicant does not travel before 
HRS closes.  The last activity on all closed, denied, or 
unprocessed files was more than two years ago and per Ref B, 
these files should be destroyed at Post.  Files for ROVR cases 
denied for serious ineligibilities should be transferred to 
USCIS so the denial record is available to DHS in the future, 
provided a method exists to identify these files.  Per Ref B, 
OPE HCMC is not expected to manually search the files for 
serious ineligibilities.  Per Ref B, ROVR paper files 
approaching 10 years old for approved refugees should be 
retained at Post and destroyed after reaching 10 years -- if 
there is an entity at Post that will take responsibility. 
Otherwise such files should be sent to OPE Bangkok.  Approved 
ROVR paper files concluded between 2 and 9 years ago will be 
sent to RSC.  Per Ref B, microform copies of approved ROVR cases 
may be destroyed because the program is finished and skeletal 
data was migrated to WRAPS.  Post notes that to the best of our 
knowledge, there are no microform copies of ROVR cases. 
 
Cases Created after ODP and ROVR 
-------------------------------- 
¶10.  (U) Cases processed before the introduction of WRAPS at OPE 
HCMC should follow the procedures described for ROVR cases in 
Para 9.  These procedures are also detailed in B-12-002-03. 
These would primarily consist of McCain, Visas-93, and U-11 
cases.  Most of these files are between 2 and 9 years old; if 
approved, paper files will be sent to RSC.  Refused files of the 
same age will either be destroyed or turned over to USCIS 
depending on the seriousness of the refusal.  All of these files 
could also be turned over to the Consular Section if deemed 
sufficiently useful for immigrant visa processing.  No microform 
copy exists of these files. 
 
Cases in WRAPS 
-------------- 
¶11.  (U) Cases created since the introduction of WRAPS at OPE 
HCMC in March 2003 and older cases that migrated into WRAPS will 
be handled according to Ref B.  Since WRAPS contains a complete 
record of approved cases, any paper file that did not accompany 
the refugee to the U.S. is to be destroyed.  Associated 
electronic WRAPS records will be transferred to OPE Bangkok at 
the appropriate time.  Closed, denied, and unprocessed cases 
with alien numbers are to be transferred to USCIS.  HRS requests 
a decision from USCIS whether to transfer these files to USCIS 
 
HO CHI MIN 00000055  003 OF 003 
 
 
in HCMC or in Bangkok.  Such cases should be transferred 120 
days after last action.  For cases with the last action within 
120 days of HRS's closure, Post requests guidance and suggests 
transfer to USCIS in HCMC.  Unprocessed cases other than 
Visas-93 with no alien number that have never appeared before 
USCIS are to be destroyed 2 years after last activity.  Any such 
cases less than 2 years old when HRS closes are to be 
transferred to OPE Bangkok with documentation noting when these 
files will be eligible for destruction.  Unprocessed Visas-93 
cases will be transferred to USCIS unless Department directs 
otherwise.  Post requests guidance on whether to transfer these 
cases to USCIS in HCMC or Bangkok. 
 
Screened Out Humanitarian Resettlement Applications 
--------------------------------------------- ------ 
¶12.  (U) Approximately 60,000 screened out HR applications exist 
in WRAPS as PreCases without any associated scanned files. 
These records may have some utility for consular processing, but 
the Consular Section does not have access to WRAPS.  HRS 
estimates that it would take 7 worker years to scan all of the 
associated documents.  Another option is to scan the 
applications onto DVDs and index the images with the existing HR 
application list (Ref E).  Otherwise, these files will be 
treated as unprocessed cases and may be destroyed two years 
after the date of last activity (Ref B and B-12-002-03d).  Post 
requests Department concurrence on scanning these files to a 
freestanding system outside of WRAPS as suggested in Ref E. 
 
Record Destruction at Post 
-------------------------- 
¶13.  (U) Post has located one local contractor able to carry out 
paper file destruction in compliance with 12FAM544.1.f.  For 
instance, the Consular Section uses this contractor to dispose 
of unprocessed visa files.  The contractor employs mulching 
process that shreds paper files while monitored by a cleared 
U.S. citizen to ensure observance of relevant laws and 
regulations.  This process cannot be used for the plastic-based 
microfilm and microfiche records, so even if it is determined 
that microform refugee records at Post may be destroyed, it will 
be necessary to ship them elsewhere for destruction.  If 
destruction of the microform records is necessary, Post requests 
Department guidance on how to accomplish this. 
 
Action Request 
-------------- 
¶14.  (U)  The requests for guidance above are repeated here for 
ease of reference. 
        - Department approval for the records dispositions 
described above, or specific guidance where the proposed 
dispositions are not approvable. 
        - Check with the RSC whether it has a set of the ODP 
microfiche and microfilm.  (Para 4 and 5) 
        - If RSC does not have a set of the microform ODP records, 
Post seeks guidance, on how to ship the records to RSC.  Post 
presumes this will shipped through the classified pouch.  (Para 
4 and 5) 
        - What is the file disposition schedule for Amerasian 
cases refused under INA 101(a)(42)?  (Para 7) 
        - May abandoned Amerasian files be destroyed three years 
after last action?  If not, when?  (Para 7) 
        - A decision from USCIS on where to transfer closed, 
refused, and unprocessed cases with alien numbers:  HCMC or 
Bangkok?  (Paras 9, 10, and 11) 
        - A decision from USCIS on where to transfer unprocessed 
Visas 93 cases:  HCMC or Bangkok?  (Para 11) 
        - Department concurrence on scanning HR applications into 
an indexed DVD-based archive.  (Para 12) 
        - If necessary, Department guidance/assistance on 
destruction of the ODP microform records as local destruction is 
not an option.  (Para 13) 
FAIRFAX