Cablegate: Us Consulate General Surabaya: 2007 Annual Certification Of

DE RUEHJS #0060/01 2960754
R 230754Z OCT 07




E.O. 12958: N/A

REF: STATE 139705

1. Post completed the 2007 annual review of consular management
controls on 22 October 2007. Caryn R. McClelland, Consul
General, FS-01 certified the completion of the management

2. Background on Surabaya Personnel: There are currently two
consular officers assigned to post and one Pol/Econ officer who
covers during personnel shortages. All three officers are
recent graduates of the Consular General Course offered at FSI.

3. Narrative describing steps completed during this review:

a) Standard Operating Procedures: All consular officers are
familiar with and have access to all consular guides, cables,
instructions, references and regulations. Post specific SOPs
are stored on the consular shared-drive at post and all consular
section employees have access to this location.

b) Consular Shared Tables (CST) Management: Personally
verified the following:

(1) Consular employees only have access to necessary systems
befitting their position and that only FSOs have adjudicatory
and management roles.
(2) Only active employees are maintained in the system. No
anonymous accounts exist.
(3) All users are given access as their position requires.
(4) User passwords are changed every 6 months or as necessity

c) Access: Due to physical constraints/size of the existing
Consulate building post has not been able to completely limit
access to the Consular Section. We have recently installed
cypher-locks on all the doors and after the shared fax machine
has been relocated, these doors will be locked at all times. In
the meantime, we have posted limited access area signs, which
list the authorized personnel to enter without escort and an
American consular officer is present in the section at all times
while the doors are open. The Consular Section is locked each
evening upon departure of the consular officers and LE staff are
not left alone in the section without an American Officer
present. A new consulate building is presently being
constructed and is anticipated to open summer 2009. The new
building will meet all consular and state security requirements.

d) Inventory Count and Reconciliation of Accountable Consular
Items: Complete inventory was conducted on 19 October 2007.
All passports, passport foils, CRBAs, visa foils and
non-expendable seals and stamps were accounted for without
discrepancy. A memo was created and has been placed in the
appropriate file.

e) Control and Reconciliation of Accountable Items: Verified
that all accountable consular items are being handled,
controlled destroyed and accounted for per guidance from State.
Prior to close of business each day, all accountable items are
reconciled and accounted for in the system. Reconciliation
sheets are printed, initialed, dated, placed in the safe and
kept on file for 3 years.

f) Destruction Log: All spoiled, unusable and obsolete
controlled consular items are destroyed according to regulation.
A non-Consular Officer witnesses each destruction and signs the
destruction log as required.

g) Cash Accountability:

(1) Primary and alternate ACOs and cashiers have been formally
designated in writing by the new Principal Officer and
Management Officer. Original documents are on file in the
consular safe.
(2) The personnel mentioned above are familiar with the duties
and responsibilities of their positions.
(3) Prior to close of business each day, the ACO reconciles the
consular fees received for that day and completes the ACRS End
of Day Report and Daily Accounting Sheet. At the end of each
month the ACO forwards the Daily Accounting Sheet to the
Management Officer for his review and verification.

h) Periodic Comparison of MRV Fees and NIV Applications:
Verified that MRV fees and NIV applications are compared
quarterly. No discrepancies noted.

i) Referral System: Upon arrival of the new Principal Officer,
a revised referral policy was written, approved and signed. The
new referral policy was provided to each FSO/section. All FSOs
have been briefed on the new policy however, no referrals have
been requested since the new policy was established.

j) Training: FSOs and LE staff are being cross-trained so that

SURABAYA 00000060 002 OF 002

they can fill vacancies during personnel shortages. Quarterly
training is conducted in Jakarta and all personnel are included
in the training development program. Training for newly
assigned consular personnel was not in place but has since been
established for the next generation.

k) Standards of Employee Conduct: FSOs and LE staff are
required to review the Standards of Ethical Conduct annually.
All adjudicating officers recently underwent this training at
FSI prior to their arrival at post.

l) Namecheck and Clearance Reviews: NIV Section Chief is
responsible for reviewing all NIV applications on a daily basis.
Post forwards SAOs whenever appropriate.

m) Visa Lookout Accountability: VLA procedures are in place
and certification is up to date. Adjudicating officers at post
were recently trained at FSI.

n) Intake, Interview and Screening: Intake and screening
performed by LE staff is monitored on a daily basis due to close
proximity to FSOs interviewing. LE staff have not overstepped
their roles and do not try to influence the adjudication

o) Oversight of Processing: Due to physical constraints of the
existing Consulate building, post has not been able to
accomplish line-of-sight supervision on a continuous basis.
However, consular officers do periodically observe LE staff
process visas, passports, CRBAs, etc., on a regular basis. A
new consulate building is presently being constructed and is
anticipated to open summer 2009. The layout of this building
will allow for line-of-sight monitoring.

p) Fingerprinting for Biometric Purposes: EFM Consular
Assistants normally conduct all fingerprinting at post.
Whenever the EFM is not available, Consular Officers fingerprint
the applicants.

q) Interview and Adjudication: All visa applicants have
appeared in person for an interview in 2007.

r) Photo Standards: Photographs over 6 months old are not
accepted from applicants. When an applicant appears with a
photograph that does not meet this standard they are required to
provide a new photograph. This is all done during intake and

s) Review of Visa Refusals and Issuances: Adjudicating
officers at post enter notes for both refusals and issuances.
The Principal Officer reviews the required cases on a weekly

t) Visa Shopping: Applicants with prior refusals and
third-country nationals are thoroughly scrutinized. All visa
issuances are reviewed by the NIV Chief and no trends have been

u) Consular File Management: Consular files are being
maintained chronologically and in accordance with Department
Policy. Older records are shipped to KCC when required or
destroyed when appropriate. All files are kept in locked
cabinets and are never left open for public perusal.

v) Passports and CRBAs: ACS Officer consistently checks CCD,
PIERS and conducts name checks prior to issuing passports, extra
pages and CRBAs. Citizenship is confirmed and proper
identification is required prior to issuance.

w) Fraud Prevention Programs: Post recently conducted
interviews to fill new FSN-I position. Selection has been made
but still awaiting background and medical checks prior to formal
offer of employment. In the meantime, the RSO FSN-I has been
doing an exemplary job investigating all possible cases of fraud
that adjudicating officers bring to his attention.

x) Classified Access: All Consular Officers have access to the
classified system. Do to the small size of the post there isn't
a designated Consular Chief. The consular officers check the
classified system each day on a rotating basis.

y) Posts Exercising Supervision of Consular Agents: US
Consulate Surabaya supervises the Consular Agency in Bali.
Direct supervision of that consular agent is maintained through
the ACS Officer at post. Periodic visits to Bali ensure that
the management controls are in place. Last visit to the Bali
Consular Agency was 26 - 28 September 2007, by Rebecca Couture,
ACS Officer.

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