T5 B64 GAO Visa Docs 3 of 6 Fdr- 2-6-02 GAO Record of Analysis Re Consular Operations Etc in Canada 567

8/14/2019 T5 B64 GAO Visa Docs 3 of 6 Fdr- 2-6-02 GAO Record of Analysis Re Consular Operations Etc in Canada 567

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JOD uoae: 320087 DOC Number: Type document number hen

Consular Operations, Policies,Procedures, and Management in&VVwOttawa and Montreal g 2.

Record of AnalysisAnalysis Title

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Analysis/Summary

A review of the consular operations, policies, procedures, andmanagement style at the U.S. embassy in Ottawa and the U.S. consulate inMontreal.Ottawa: Consul General Leslie Gerson; Vice Consuls Julie Stinehart andCraig BryantMontreal: Consular Section Chief Bernadette Allen; N T V Chief/Vice ConsulMarko Velikonja; NIV officer/Vice ConsulJeanette Rebert; IV Chief/ConsulMary Grandfield; IV officer/Vice consul Rebecca VarnerTh e GA O team visited Ottawa and Montreal to observe consularoperations and to discuss ways in which the visa process could be used toscreen out terrorists. At the embassy in Ottawa, our main point ofcontactwas Consul General Leslie Gerson. In addition to her duties as chief ofconsular operations in Ottawa, Ms.Gerson had jurisdiction over the sixother U.S. consulates in CanadaHalifax, Quebec City, Montreal,Toronto, Vancouver, and Calgary. Duringour visit to Montreal, our mainpoint of contact was Bernadette Allen, the Consular Section Chief.Montreal is the onlypost in Canada that processes both immigrant visas(IV) and nonimmigrant visas (NIV). Ottawa and the five other consulateshandle only NIVs and American citizen services (ASC),The U.S. embassy and U.S.consulates in Canada do not process visas forCanadians or landed immigrants1 from Commonwealth countries who areplanning to make a temporary visit to the United States. Canadian citizensand landed immigrants in Canada who are either British subjects, citizensof a Commonwealth country, or citizens ofIreland do not need to obtain avisa to apply for admission to the United States. Commonwealth membercountries include many countries that are not U.S. visa waiver countries,such as Pakistan, Bangladesh, and Nigeria (see workpaper for acomplete list of the 54Commonwealth countries). Canadians andCommonwealth landed immigrants seeking to work, study, or emigrate tothe U.S. would still need to seek the appropriate visa.

1 Landedimmigrants in Canadaare essentially green card holders. They are permanent residents inCanada and can apply for citizenship after three years residency.

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Job Code: 320087 DOC Library: TypeDOC Number:Type

NIV Processing

Receive and ReviewApplications

Consular officers worldwide spend a large portion of their timeprocessing non-immigrant visas. Although posts vary in terms ofworkloadand local conditions, basic visa processing is fundamentally the same atall posts:1. Receiveand Review Applications2. Enter Data3. Conduct Interviews4. Make Adjudication Decisions5. Prepare and pass back documents to applicant[source: How to ImproveYour N IV Processing and Briefing for SFRFCStaffers]The first step in N IV processing is the receipt and review of applications.All applications must be submitted using form DS-156 (plus DS-157 for allmale applicants). Applications must include a recent photograph of theapplicant and supporting documentation, such as job letters, bankstatements, and family records. The most popular visa worldwide is theB1/B2 (visitor for business and pleasure), although there are more than30different types of non-immigrant visas. Some visa categories requirespecific documentation, such as the 1-20 for the F-l student visa [source:Briefing for SFRFCStaffers and the Self-Instructional Guide:Nonimmigrant visa classification].Applicants who apply in person at the consulate are usually "personalappearance required" (PAR) applicants. Applicants using the post's dropbox or a third-party screener such as a travel agent or corporation areconsidered to be "personal appearance waived" (PAW) applicants.PA R applicants arrive at the consulate for a scheduled appointment or aswalk-in customers. They hand in their application and pay a $45 USDapplication fee. PAW applicants submit their applications and fee throughthe post's drop box or through a third-party screener.A foreign service national (FSN) then pre-screens the applicant - ensuringthat all necessary documents are included and asking PAR applicantssome basic questions. Some PARapplicants are prescreened out of theinterview process at this stage if they are determined to be documentarilyqualified. For example, the visa interview is often waived for individualswho have held previous visas and have used them properly.Personal appearance waiver (PAW) programsThe Department ofState considers PAWprograms a best practice becausethey free up limited consular resources, are more convenient forapplicants, and potentially enhance the post's public image. In order toimplement a PAW program,posts identify a segment of their applicantpool for which visas are almost issued. These applicants can be referredto a third party for screening, such as a travel agency or a corporation.

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Date: 2/6/02Job Code:320087

DOC Library: TypeDO C Number:Type

Enter Data

Conduct Interviews

The third party is responsible for preparing and presenting the applicationand any supporting evidence to the post. Consular officers then reviewand adjudicate these applications [source: How to ImproveYour N T VProcessing].The document review, whether it is done by a third party screener, an FSNat post, or later by the FSO, may reveal grounds for ineligibility. Forexample, a stamp on the last page of the applicant's passport that reads"Application received, AmEmbassy London," indicates that the applicanthad previously been refused a visa in London, [source: Self-InstructionalGuide, Visa Ineligibility].After receiving and reviewing applications, the FSNenters data from theapplication form. The data-entered applications are now ready to beadjudicated by an FSO. In the case ofPAW applications, the third partyscreener sometimes performs the data entry function as well as preparingthe NTV application. In Saudi Arabia, for example, travel agents enterPAWapplications' names and data directly into a version of the consularconsolidated database, which is then saved on a diskette, and given to thepost [source: U.S. Visa Express ProgramAgent Manual].Although the third party or an FSN at post can perform pre-screeninganddata entry, a Foreign Service officer must do the interview and make theadjudication decision.The interview is considered to be the first step of the adjudicatingprocess, yet the importance of the interview varies depending on the post.Some high-fraud, high refusal-rate posts interview a large percentage ofNIV applicants. [The GAO hardship team documented the need tointerview 70-80 percent ofNTV applicants in Guangzhou,China]. Postswith low-refusal and low-fraud rates historically interview a smallerpercentage of applicants. The length of the interview varies according toworkload pressures and the interview style of the consular officer.The interview may reveal ineligibilities that were not apparent in thedocument review. During the interview, consular officers seekclarification of ambiguities on the DS-156 or other documents that theapplicant has provided. The officer attempts to verify the facts that arestated on the application form and to confirm that the applicant'sdocuments are bona fide [source: Self-Instructional Guide, VisaIneligibility].PAW applicants are not interviewed except when the consular officerneeds further clarification of the applicant's documents. In this case, theapplicant will be required to appear for an interview, after which the FSOcan make a decision. Although visas can be issued without a personalappearance, they cannot be denied unless the applicant is given thechance to appear in person.

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Date: 2/6/02Job Code: 320087 DOC Library: TypeDOC Number: Type

Make AdjudicationDecisionsConsular officers are tasked with the difficult job of efficiently issuingvisas to bona fide applicants while refusing visas to ineligible individuals.Once the officer has reviewed the applicant's documents and, in somecases, interviewed the applicant, he must make a decision whether togrant or deny a visa.214b RefusalsThe most common basis for refusing a visa is "presumption ofimmigrantstatus." In other words, all applicants are considered to be intendingimmigrants until they prove otherwise. Insection 214b of the Immigrationand Nationality Act of 1952(INA), as amended, it states that each alien"shall be presumed to be an immigrant until he establishes to thesatisfaction of the consular officer ... that he is entitled to anonimmigrantstatus under section 101(a)(15)." Under this section, the NIV is availableonly to applicants who have a residence abroad which they do not intendto abandon, and to those who can show evidence of strong family,business, or social ties to a country other than the U.S. [source: Self-instructional Guide, Visa Ineligibility].Although the most commonbasis for refusal is a "2146," many othersections of the INAoutline ineligibilities based onhealth-related grounds,criminal-related grounds, misrepresentation, and security related grounds.Most of these ineligibilities can be determined through the documentreview and interview, but the discovery ofsecurity-related ineligibilities isdetermined by the officer's use of the Consular Lookout and SupportSystem (CLASS) automated database.CLASS NamechecksA CLASS namecheck must be performed before a visa can be authorizedand printed. CLASS contains names of individuals previously refusedvisas, as well as those suspected to be ineligible, even if they have notapplied for a visa. In addition to visa refusal records, CLASS containslookout information from INS, DEA, Interpol, Federal Marshals, DOJ, andthe FBI.CLASS entries are divided into two categories, Category One (for serious,permanent ineligibilities such as security-related grounds, criminalgrounds, and permanent medical ineligibilities) and Category Two (forless serious grounds based on a situation that maypossibly change, suchas a 214Bcase).When the consular officer runs a CLASS namecheck,the database returnsa list of names that are similar to the applicant's names. Theofficer mustread each of these names and determine if the name in the database andthe applicant's name are the same. The names in CLASS are color-coded.Category One (Cat 1)hits are coded in red while Cat 2 hits are yellow. A"00" by a name means that State headquarters entered the lookout forterrorism-related grounds.



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Date: 2/6/02Job Code:320087 DOC Library: TypeDOC Number: TypeGiven that consular policies and procedures are prescribed fromdepartment headquarters, each post's operations vary to some degreebecause of a multitude of factors. These factors are:

Workload volume Whether the post is a low-or high-fraud post Management style of the Consul General ofConsular SectionChief Experience of officers on the visa line Number ofFSNs available to help in visa processing The amount ofspace/layout ofspace in the consulate; room forcomputers at visa window Types ofvisas being processed - e.g. Ottawa andMontreal do alot of Stateside cases for third country nationals (TCN) Dropbox and third party screener programs Numberofscheduled appointments vs.walk-ins

Ottawa Specific Visa Processing Policies andProcedures in OttawaAs with all posts, the policies and procedures of consular operations inOttawa reflect local conditions. The consular section at the embassyhandles a small volume of NIV applicants but does not process IVs. Asmentioned above, the chief of operations is Leslie Gerson, the ConsulGeneral. She supervises two junior Foreign Service officers, Vice ConsulsJulie Stinehart and Craig Bryant.The officers are aided by four full-timeFSNs and one part-time FSN,who do visa pre-screening, anti-fraud work,American citizen services, diplomatic visas, and extraditions.W e observed NIV processing in Ottawa on two mornings, Monday andTuesday, January 28-29. Ottawa holds visa interviews between the hoursof Sam and 11am on Mondays, Tuesdays, Thursdays, and Fridays. Ottawarequires that most visa applicants schedule an appointment for theirinterview, although it does allow some walk-in customers. The vastmajority of cases are from PARapplicants. In fiscal year 2001, 9,723 visaapplicants appeared in person while 157 mailed in their application[source: Ottawa data report 11B].The majority of the visa seekers in Ottawa are "Stateside" cases inwhichaliens residing in the U.S. come to Canadato renew their visas. TheseStateside applicants are usuallyH1B visa holders. Another large group of



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Date: 2/6/02 DOC Library: TypeJob Code: 320087 DOC Number: Typeapplicants are landed immigrants in Canada who are not from aCommonwealth country and therefore need a visa For example, whileobserving operations we saw applicants from Bulgaria, Russia, andRwanda,H1B VisasA large percentage of Ottawa's visa processing is of H IB cases. Post datashow that nearly 13percent of Ottawa's issuance? in fiscal year 2001 wereHIBs. The H1B visa is a temporary visa for aliens who are performing\s in an occupation "requiring theoretical and practical applicationof a body of highly specialized knowledge,licensure, completion of abachelor's or equivalent degree in the specialty, or experience equivalentof such as degree." The "temporary period" can last up to six years. TheH 1B is apetition-based nonimmigrant visa. Most petition-based visas arefo r aliens seeking to work in the U.S.In order to protect the domesticlabor force, the INS has the responsibility to ensure that U.S. employersabide by certain guidelines when they hire foreign employees. Employersseeking to hire aliens must submit an 1-129 to INS for approval to hire thealien. The H1Bapplicant, when applyingfor the visa, must bring theapproved 1-129 form with him or notification from INS or State that thepetition has been approved [source: Self-Instructional Guide onNonimmigrant Visa Classification]. What makes the H1B very differentfrom other nonimmigrant visas is that the alien does not have to provethat he plans to return to his home country.The consular officer cannotuse 214B as grounds for ineligibility.In practice, the H1B allows manyforeign high-tech workers to stay in theU.S. after completing a university degree and work for a U.S. firm.Sincemany of these applicants do not want to return to their home countries toapply for an H1B, they apply in Ottawa.One of the vice consuls in Ottawa, Ms. Stinehart, was particularlyfrustrated with H1B visa applicants. She thought that H1B was a"backdoor" to immigration despite the fact that the applicants areapplying fo r nonimmigrant visa. Sh e said that she feels pressure frommanagement to issue these visas regardless of whether the applicant'semployment documents are bona fide or not. She said that Ottawa rarelychecks to see if the applicant's verification of employment is real or not.She thought it wouldbe useful to do random checks on H1B applicants'documents. She cited an example of a Chinese man who attempted torenew his H 1B in November 2001, despite being laid off in September. Ms.Stinehart detected the fraud anddenied him a visa as a "6C" case - lyingon a material fact.Auto-revalidationAliens who entered the U.S. on a single-entry visa can make a short trip toCanada and still be readmitted to the U.S. through a process known as"auto-revalidation."



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Date: 2/6/02 DOC Library: TypeJob Code: 320087 DOC Number: TypeMs. Gerson explained the auto-revalidation process, "Basically this meansthat someone entering Canada from the U.S. for a brief visit (29 days orless) may be re-admitted to the U.S. even if their actual visa has expired ifthey present current documentation indicating that they are still entitledto that status. Anexample would be a student from a country with a verylimited reciprocity like Mali who is visiting NiagaraFalls or his roommatein Montreal.He has an updated 1-20 to show he is still in status but an oldthree-month visa that got him to the U.S. the first time. He can just presentboth to INS and be revalidated back in" [source: email from L. Gerson].This does not work if the alien has been illegal or does not have updatedevidence of status.State headquarters does not want Ottawa to tell people that they canauto-revalidate but currently it is the practice for the post to suggest this topeople. Ms.Gerson said that State is currently discussing this issue withINS (both the issue of auto-revalidation and Canada's landed immigrantsare under review by the Department of State).Julie Stinehart 'Ms. Stinehart spent three years on the visa line in Santa Domingo beforecoming to Ottawa. In Ottawa she said that she feels pressure from thefront office to "issue, issue, issue." Asmentioned above, she does not likethe H1B visa, which she feels is a backdoor to immigration, but she saidthat the consular officer has no recourse but to issue the H1B visas.Ms. Stinehart thought that all visa applicants should be interviewed. Shesaid that in Ottawa, as compared to Santo Domingo, the luxury ofhavingmore time to interview applicants helps her in detecting fraud. In SantoDomingo she had about 90 seconds with each applicant, but in Ottawa weobserved Ms. Stinehart interviewing applicants from 5-7 minutes. Sheemphasized the importance of making eye contact with the applicant. Shesaid that every applicant both first time applicants and renewal casesshould be interviewed; "a lot can change in ten years." We observed Ms.Stinehart as she carefully interviewed applicants and we noted that shetook a considerable amount of time with each applicant.Although she thought that longer interviews help consular officers pick upon fraudulent cases, she did profess faith in the CLASS namechecksystem.Ms. Stinehart pointed out other weaknesses in the visa system, such as thepractice of INS agents stamping "duration of status" on all student visaholders' passports. She also said that religious visas (Rvisas) were verydifficult fo r consular officers to deny.Craig BryantMr. Bryant's posting in Ottawa is his second; his first tour was inCameroon, where he was an administrative officer. He is in theadministrative cone. In Ottawa he will do consular work for one year and



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Date: 2/6/02Job Code: 320087 DOC Library: TypeDOC Number: Type

Montreal

Management Stylein Ottawa andMontreal

the political work for one year. Although Mr. Bryant had filled in on thevisa line in Cameroon when needed,he had not had consular trainingsince before Cameroon.Specific Visa Processing Policies and Procedures in MontrealW e observed NIV processing during two mornings in Montreal, Thursday,January 31 and Friday, February 1. W e observed both pre-screening byFSNs and adjudication interviews and CLASS checks by FSOs.Ms. Allen said that approximately 50 percent of Montreal's NIV applicantsare interviewed. All NIV applicants must make an appointment for aninterview; Montreal has been on an appointment-only schedule since June2001.Like Ottawa, Montreal gets H1B cases. When we observed MarkoVelikonja, the NIV Unit Chief, process these applicants, he said that theHIBs are all well-qualified, skilled workers. If the documents look good,then the FSO does not really have a way to check up on them. He said thatit is possible that Montrealre-issues HIBs to people who are notworking.Drop Box in MontrealMontreal accepts about 15 percent of its applications through a drop box.Drop box applicants have been deemed a good riskthey have heldmultiple prior visas, have proof of ties to Canada such as a professionaljob, and they have a good record of travel. In drop box cases, an FSN doespre-screening and determines that the applicant is "perfectly good," andneed not be interviewed. Theapplicant still has to come into theconsulate, however, to pay the application fee at the cashier's window. Incontrast, drop-box cases in Toronto do not have to come into theconsulate because they pay the fee at a local bank.1-94We observed many visa applicants who still had I-94s in their passports.These should have been removed at the airport and returned to INS. InOttawa, the consular officers pulled the I-94s and returned them to INS. InMontreal they did not do this. Mr. Velikonja said that this was becausethey wanted to make sure that the alien could get back into the U.S.,especially if that person was subject to a 20-day wait. [Auditor's note: thisdefeats the purpose of the 20-day wait! It is surprising that the FSO saidthis.]OttawaIn Ottawa, the tone of the post has been more permissive sinceMs.Gerson started as consul general. Ms.Gerson has a customer-friendlyoutlook. She appeared to think that most NIV applicants were bonafidecases. Post data show that refusal rates plummeted after Ms. Gerson



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Date: 2/6/02Job Code:320087DOC Library: TypeDOCNumber:Type

9/11 Personal Privacy

Iarrived inJuly 2001J

Procedure andPolicy ChangesSince 9-11

Ms. Stinehart said that the management at post really drives the tone ofthe post. Ms.Gerson's predecessor, Mike Bellows, was the opposite of Ms.Gerson. Shesaid that the problem with the current permissive style is thatif Ms.Gersonsees Deloitte and Touche or Microsoft on a HIBsapplication, she immediately issues the visa. Ms. .Stinehart would like tosee more checking up on job letters to verify whether these applicants arereally employedwith these companies. Furthermore}as she is the post'sdesignated anti-fraud manager,she thinks it is a little embarrassing thatOttawa had had nothing to report in its monthlyvisa viper reports.In Ottawa, we also spoke with Aurelio Carreira, an FSN who helps screenvisa applicants and works on anti-fraud issues. He said that Ottawa,before Ms. Gerson arrived, used to be knownas a "tough"place to get avisa and that now it is known as an "easy"post Hesaid that Ms. Gersondoes not like to inconveniencean applicant and that she is morepermissive ofapplicants who do not havethe proper documents or acoherent story. SAOs are more rare now, too.|

MontrealMs. Allen concurred that the managementstyle ofthe chief of theconsular section sets the tone for the entire staff. Weobserved thatMs.Allen placed more emphasis on security concerns than Ms.Gerson. Weasked her if there had been more customer inconvenience since 9-11 andshe said that, for her, security has always taken priority over customerconvenience. She said that it has always been that way because consularofficers are held accountable for checkingthe CLASS system before theyauthorize visas. She said that, since 1993, the State department has madeit clear that consulates have to balances customer service ant/security.W e asked the consular staff in Ottawaand Montreal about changes in visaprocessing since the terrorist attacks of September 11. They reported thatState headquarters has imposed some additional processing andprocedural requirements:

1) As of September 12.2001all posts must retain allapplicationforms indefinitely. Previously, DS 156forms for applicants whowere issued a visa were destroyed after one year and DS 156s forapplicants who were denied a visa who destroyed after two years.Now all DS 156s (and DS 157s as of Jan. 02, 2002) will be retainedindefinitely.



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Date: 2/6/02Job Code: 320087 DOC Library: TypeDOC Number: Type2) 20-day namecheck on male applicants aged 16-45 from 26countries. As of November 14, 2001, all posts worldwide arerequired to do special clearances on males of certain nationalgroups between the ages of 16 - 45. Consular officers must send arequest for a SAO for these applicants. The consular computersystem was modified so that it locks for 20 days before visas can

be printed for these individuals.The list of 26 countries isclassified. State has stated that this 20-day special clearance is aninteririYmeasure; it has been authorized for 120days since itsinception on November 14. [source: unclas cables State 196859andV State 198510].

3) On January 2. 2002 the Departmentof State announced theintroduction of a new form, the DS157. This additional form isrequired of all male applicants aged 16-45, regardless ofnationality. The DS 157 asks applicants about prior travel, priormilitary experience, and tribal affiliation. The Department cablenotes that "the use of the DS 157 is an interim measure that willallow posts to elicit information which, in some cases, will lead toa security advisory opinion." [source: unclas cable State 006020].\S4) On January 30. 2002 the Departmentof State notified posts of a30^d(ay namecheck on male applicants aged 16-45 from certainnationality groupswhoalso fit a certain profile. This policy wentinto effect will we were in Ottawa.The countries and the profileinformation is classified. Officers must watt.30 days to issue visasto these applicants and send a visa condor to headquarters aboutthe applicant.

M s. Gerson and Ms.Allen reported that they had seen a decrease in visaapplications since 9-11. They said that people were concerned that iftheycame to Canada for a visa they mightnot be able to get back into theU.S.Both Ms.Gerson and Ms.Allen agreed that 9-11 attacks had helped all ofthe Foreign Service see how important the consular section is, althoughneither reported anymajor changes in visa processing except for the newpolicies that were instituted by the Department.Ms.Gerson said that theadditional 20-day special clearances made Ottawa "terriblyuncomfortable" because the post couldnot perform its normal visafunction for certain individuals.M s. Gerson said that if any males fromthose countries have made appointments prior to the policy, they arecontacted to cancel their appointments. Ms. Gerson said that the 20-daywait could be overridden for extenuating circumstances, and gaveexamples such as an Algerian ambassador or a Tunisian whoruns acompany and works with the post's political officer.W e observed the D S 157 forms being filled out by applicants and turnedinto post, although Ms. Stinehart said that they didn't know what to dowith the form or why they had to be filled out. Shealso commented thatthe DS 157 just brings back many of the questions that were on the OF-

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156, the general application form which preceded the DS 156. She notedthat it is unlikely that a terrorist would truthfully fill out a DS-156 or DS-157.M s. Allen said that Montreal has done a lot of visa vipers since 9-11. Asmentioned above,M s. Allen felt that consular officers have always had tobalance security and customer service. Shesaid, however, that she didthink she always got the help she needed from law enforcement. Since9-11 she's seen an improvement in the amountand type of data that she'sbeen provided from law enforcement. '

Ways to Screen outTerrorists in theVisa ProcessWe asked Ms.Gerson if there were ways to screen out terrorists otherthan CLASS. She said that commonsense was one tool, as well asmentioning the cable that post received onprofiling (we picked up acopyof this classified cable at State headquarters. See cable 01 State 160600).Consular officer Julie Stinehart said that she thought the interview couldbe used to screen out terrorists. She said she would like more training onhow to detect terrorists during the interview.Consular officer Craig Bryantwas skeptical that screening for terroristsduring the visa process wouldbe helpful. He thought that terrorists likelyto target the visa process are sophisticated; they would not answer anFSOs questions truthfully and they would probably have fraudulentdocuments.


Documents

T5 B64 GAO Visa Docs 3 of 6 Fdr- 2-6-02 GAO Record of Analysis Re Consular Operations Etc in Canada 567