9 FAM 601.4
(U) Supervision and Management Issues
(CT:VISA-1987; 05-16-2024)
(Office of Origin: CA/VO)
9 FAM 601.4-1 (U) visa section supervision
(CT:VISA-1460; 01-26-2022)
a. (U) Supervision: See 7 FAH-1 H-642.
b. (U) Authority and Accountability for Decisions and Actions: See 7 FAH-1 H-643.
c. (U) Standard Operating Procedures and Local Standing Instructions: See 7 FAH-1 H-264.
9 FAM 601.4-2 (U) adjudication standards and supervisory case review
(CT:VISA-1987; 05-16-2024)
a. (U) Adjudication Standards:
(1) (U) Adjudication standards are a shared understanding among adjudicators, guided by consular managers, about how to adjudicate cases in a visa section in the local context. Establishment and monitoring of visa adjudication standards are two of the most important roles of a consular manager working in a visa operation. Setting standards assures quality control by ensuring that adjudicatory decisions are appropriate, fair, and uniform within a visa section, even as adjudicators base decisions on the specific circumstances of each case. They also ensure correct application of applicable law and regulations and should be drafted with a view to enhancing U.S. border security, while facilitating legitimate travel. Furthermore, setting and monitoring standards can help to detect and prevent misfeasance or malfeasance.
(2) (U) Establishment of adjudication standards, and monitoring to ensure that line officers adjudicate according to these norms, are part of the performance management cycle: Managers must train adjudicators on the standards; ensure all consular officers in the section meet periodically to discuss and calibrate standards, which should be adjusted as needed due to changing local conditions and through metrics such as validation studies; conduct adjudication reviews to monitor how officers are putting them into practice; provide feedback (both positive and negative); and feed these data into the performance management process.
b. (U) Systemic, Regular Reviews: Systematic, regular review of NIV adjudications is a significant management and instructional tool to maintain the highest professional standards of adjudication. This supervisory review must be conducted in accordance with the procedures described in 9 FAM 403.12. See 9 FAM 504.11-3(A)(2) for supervisory review of IV adjudications and 7 FAH-1 H-648.1-3 for Supervisory Review of Issuances and Refusals.
9 fam 601.4-3 (U) visa workload and workflow
(CT:VISA-1677; 12-23-2022)
a. (U) Managing Workload: See 7 FAH-1 H-260. See 7 FAH-1 H-262 for guidance in analyzing visa section operations and 7 FAH-1 H-263 for basic concepts and techniques used to manage visa workload.
b. (U) Maximizing Space and Layout: See 7 FAH-1 H-283.
c. (U) Telephones: See 7 FAH-1 H-443 for details on effectively handling incoming and outgoing calls.
d. (U) See also 9 FAM 601.7-2 on managing correspondence volume.
9 FAM 601.4-4 (U) consular reports related to visa operations
9 FAM 601.4-4(A) (U) Consular Reports – General Information
(CT:VISA-1677; 12-23-2022)
a. (U) Consular Reports - Introduction:
(1) (U) See 7 FAH-1 H-431 and 7 FAH-1 H-435.
(2) (U) Reporting, Planning and Budgeting: See 7 FAH-1 H-430.
b. (U) Consular Package: See 7 FAH-1 H-432. See 7 FAH-1 H-432.2 for additional information on the Consular Package.
c. (U) Performance Reports from Consular Systems: See 7 FAH-1 H-645.6.
d. (U) Visa sections should submit all required reports to the Department via the appropriate software system, or by email, fax, or memorandum, as indicated in the summaries of required reports. See 9 FAM 601.4-4(B) below. Such reports are in addition to any political reports prepared on the same subject.
e. (U) 9 FAM 601.4-4(B) provides summary charts of required visa-related reports, and 9 FAM 601.4-4(C) below addresses specific requirements for some of the more common visa-related reports.
9 FAM 601.4-4(B) (U) Summaries of Required Visa-Related Reports
(CT:VISA-1460; 01-26-2022)
a. (U) There are four types of consular reporting requirements, summarized in the following sections:
(1) (U) Daily immigrant visa reports (End-of-Day (EOD) reports - see 9 FAM 601.4-4(B)(1));
(2) (U) Periodic reports (reports to be submitted at regularly scheduled intervals – see 9 FAM 601.4-4(B)(2) below);
(3) (U) Reports based upon external situational events (reports based on changes in foreign government visa-, clearance- or document-related practices or changes to a consular section's mailing address – see 9 FAM 601.4-4(B)(3)); and
(4) (U) Case-related reports (reports on specific types of visa cases or individual case scenarios - see 9 FAM 601.4-4(B)(4) below).
b. (U) See 9 FAM 601.4-4(C) below for specific instructions on some types of required reports. See also 9 FAM 601.7 for guidance on visa correspondence (some of which includes consular reports), and 9 FAM 603.1, Protecting Visa Information and 9 FAM 603.2, Releasing Visa Information.
9 FAM 601.4-4(B)(1) (U) Daily Immigrant Visa (End-of-Day) Reports
(CT:VISA-1873; 11-28-2023)
a. Unavailable
b. Unavailable
(1) Unavailable
(2) Unavailable
(3) Unavailable
(4) Unavailable
(5) Unavailable
(6) Unavailable
(7) Unavailable
(8) Unavailable
c. (U) As part of the EOD process, managers must also review the IV records in the IV Unit's database, including updating case and applicant status, interview status, termination status and letter status; and scheduling case namechecks, user-designated reports, and correspondence letters.
d. (U) IV Units must also mail the Notice of Termination of Registration (Termination 1 Letter) and Final Notice of Cancellation of Registration (Termination 2 Letter) that will generate as part of the EOD reporting function. See 9 FAM 504.13-2(B)(1) for further guidance on mailing the termination letters.
9 FAM 601.4-4(B)(2) (U) Periodic Reports from Visa Sections
(CT:VISA-1987; 05-16-2024)
(U) Periodic reports are submitted at regularly scheduled intervals and may be required monthly or semiannually. The following chart summarizes the reports and where further information on reporting requirements can be found.
|
DUE DATE |
TITLE AND REPORT NUMBER |
REFERENCE |
FORMAT |
|
MONTHLY |
|||
|
(U) For posts authorized to issue IVs. Prepare and email to the Department (CA/VO/DO/I) at IVAMS@state.gov, within 5 days after close of reporting period.
|
Immigrant Visa Workload Monthly Report, Report 28 |
Electronic datafile only, captioned with post code, 28, month /year, .TXT (example: PRS28JAN2024.TXT). (Negative reports are required.) |
|
|
(U) For posts authorized to issue IVs. Email to the Department (CA/VO/DO/I) at IVAMS@state.gov, by the first of each month.
|
Monthly Report of Documentarily Qualified Visa Applicants, Report 20 |
Electronic datafile only, captioned with post code, 20, month /year, .TXT (example: CDJ20FEB2024.TXT).Negative reports are not required.) |
|
|
(U) For posts authorized to issue IVs. Prepare and email to the Department (CA/VO/DO/I) at IVAMS@state.gov, within 5 days after close of reporting period.
|
Returned Visa Authorizations, Report 22 |
9 FAM 504.3-2(D) paragraph b |
Electronic datafile only, captioned with post code, 22, month /year, .TXT (example: LND22MAR2024.TXT). (Negative reports are not required.) |
|
ANNUALLY |
|||
|
(U) Only required when specifically requested. |
Annual Report of Visa Applicants Subject to Numerical Limitations, Report 29 |
9 FAM 504.3-2(D) paragraph e |
|
9 FAM 601.4-4(B)(3) (U) Visa-Related Reports Based on Changes to External Situations
(CT:VISA-1873; 11-28-2023)
(U) The following chart summarizes non-periodic reports required of consular sections, based on changes in foreign government visa-, clearance-, or document-related practices or changes to post’s mailing address. These reports ensure that we maintain up-to-date foreign passport information, visa reciprocity schedules and clearance procedures.
|
TITLE |
REFERENCE |
COPIES REQUIRED |
|
(U) Civil documents and records—Availability
|
Reciprocity Schedule |
None |
|
(U) Clearance Procedures and post APO or FPO number
|
Reciprocity Schedule |
None |
|
(U) NIVs, foreign schedules—validity, number of applications for admission, and fees |
9 FAM 403.8 and Reciprocity Schedule
|
Cable |
|
(U) Passports, Foreign—Samples of, information on, and extended validity of foreign passports |
|
Cable |
|
(U) Reciprocity Provisions of—INA 212(d)(8) (C-3 Visas)
|
Cable |
|
|
(U) Foreign government limitations on employment of U.S. information media |
Cable |
9 FAM 601.4-4(B)(4) (U) Visa Case-Related Reports
(CT:VISA-1460; 01-26-2022)
(U) Visa sections are required to provide reports on a variety of case-related events or situations. Officers should consult the cited references for additional information.
|
TITLE |
REFERENCE |
FORMAT AND COPIES REQUIRED |
|
Unavailable |
Cable |
|
|
(U) Private bill reports |
|
|
|
(U) Issuance of visa to beneficiary of private legislation |
Email to Member of Congress; information copy to CA/P and CA/VO/F/OI
|
|
|
(U) Revocation of A, G, C-2, C-3, or NATO visa
|
Email to officer in CA/VO/SAC/RC as well as to CA/VO/DO/DL and L/CA's diplomatic visa portfolio holders |
|
|
Unavailable |
As stated therein |
|
9 FAM 601.4-4(C) (U) Instructions for Selected Visa-Related Reports
(CT:VISA-1460; 01-26-2022)
(U) See 9 FAM 601.4-4(B) above for summaries of required visa-related reports, and 7 FAH-1 Exhibit H-435 for a summary of (more general) consular reporting requirements. This section, 9 FAM 601.4-4(C), provides more specific information on certain of these reports.
9 FAM 601.4-4(C)(1) (U) NIV-Related Reports
(CT:VISA-1873; 11-28-2023)
(U) Reports Required to Maintain Reciprocity Schedules: Consular sections must maintain current information on the visa requirements for U.S. nationals entering foreign countries in their Country Specific Information pages. Information on fees charged by foreign governments for NIVs visas issued to U.S. citizens, and the periods for which these visas are valid, must also be updated on a continuing basis. See 9 FAM 403.8-2 for additional information on reporting requirements related to NIV reciprocity.
9 FAM 601.4-4(C)(2) (U) IV-Related Reports
(CT:VISA-1987; 05-16-2024)
a. (U) Reports of IVs Issued and Refused: All visa sections issuing IVs must submit an Immigrant Visa Workload Monthly Report (Report 28 in the automated system) to CA/VO/DO/I at IVAMS@state.gov, within 5 days after the close of each reporting period. DV issuance and refusal data are included on the Report 28. See 9 FAM 504.3-2(C).
b. (U) Report of Documentarily Qualified IV Applicants: Each IV-issuing visa sections that has reportable applicants in IV categories subject to numerical limitation who have become "documentarily complete" (previously "documentarily qualified") during that reporting period must submit Report 20 to the Department by electronic transmission. Visa sections must prepare and send Report 20 to CA/VO/DO/I at IVAMS@state.gov by the first of each month for use in the determination of the following month's final action dates. See 9 FAM 504.3-2(A) for additional information on preparing the Documentarily Qualified Report, and for a sample Report 20.
c. (U) Report of Monthly Returns of Unused Visa Numbers: Visa sections must return promptly to the Department any IV allocations that have not been used in the authorized month (Monthly Returns of Unused Visa Numbers - Report 22 in the automated system) by emailing the report to CA/VO/DO/I at IVAMS@state.gov within 5 days after the close of each reporting period. See 9 FAM 504.3-2(D) for additional information on reporting on unused visa numbers.
d. (U) Report on Significant Factors Affecting Visa Work:
(1) (U) Visa sections must report on any significant factors or unusual circumstances that affect IV operations. See 9 FAM 504.3-2(D) paragraph d, for additional information on this requirement.
(2) (U) Visa issuing officers must report by Cable (CVIS: OPERATIONS) significant changes in the following factors, as they occur:
(a) (U) Classes of visas issued;
(b) (U) Types of applicants seeking visas; and
(c) (U) Political, economic, and psychological factors affecting the volume and character of visa issuance.
(3) (U) When appropriate, the consular officer should address the probable effect of the reported changes on the visa section's future workload. The consular officer must clear the reports with political and economic officers and labor attaches assigned to the post to obtain their comments and avoid duplication in reporting.
(4) (U) The consular officer must promptly inform CA/VO/DO/I, by cable or by email, attn: IVAMS, whenever the visa section is unable or will be unable for two consecutive months to schedule for final appointment all documentarily complete applicants for whom numbers are available. Reports should include a detailed analysis of the anticipated duration of the backlog and suggested steps, including personnel needs, to rectify the situation.
e. (U) Reporting SIV Issuances under INA 101(a)(27)(K): Section 2 of the Armed Forces Adjustment Act of 1991 (Public Law 102-110) established a new special immigrant class under INA 101(a)(27)(K) (see 22 CFR 42.32(d)(7) and 9 FAM 502.5-8). Documentarily completed demand in this class should not be reported; allocations for this class will not be made by the Department. Issuances, however, must be reported on the Immigrant Visa Workload Monthly Report by specific visa classification symbol (SM1, SM2, or SM3).
9 FAM 601.4-4(C)(3) (U) Other Visa-Related Reports
(CT:VISA-1873; 11-28-2023)
a. (U) List of Consular Reports: See 7 FAH-1 H-435.
b. Unavailable See 9 FAM 403.9-7 for additional information on reporting visas as lost or stolen.
c. (U) Foreign Passport Information Report: The Department and other U.S. Government agencies require up-to-date information concerning foreign passports. All consular sections dealing with a central government authority are requested to report to CA/FPP and CA/VO on a timely basis on the types of passports issued by the governments to which they are accredited.
(1) (U) Data to be Included in Report:
(a) (U) The types of passports, including emergency passports, issued by the foreign government;
(b) (U) Visa classes of persons to whom such documents are issued;
(c) (U) Criteria for their issuance;
(d) (U) Qualifications of the persons to whom they are issued;
(e) (U) Period of validity of passports issued;
(f) (U) Whether more than one person may be included in a single passport; and
(g) (U) Whether passports are machine-readable with an integrated chip containing information from the data.
(2) (U) Other Required Data:
(a) (U) The types of passports issued by the foreign government designed strictly for emigration;
(b) (U) Criteria for their issuance;
(c) (U) Qualifications of the persons to whom they are issued; and
(d) (U) Period of validity of such passports.
(3) (U) Desirability of Passport/Document Samples and Regulations:
(a) (U) If the foreign government regulations permit, these reports should include two samples of new passports and equivalent documents issued since the consular section's previous report. These samples should also include information on the issuing authority and on any restrictions, e.g., issued only in one central domestic location, de-centralized but domestic issuance only, etc. These documents should be forwarded to CA/FPP, which will retain them in a document library and share such documents with U.S. Government forensic laboratories and other authorities.
(b) (U) Consular sections should also provide the Department a copy or summary of pertinent foreign passport regulations. This will enable the Department to resolve issues such as whether a particular foreign passport is the equivalent of a diplomatic passport as that term is defined in 22 CFR 41.26(a)(3).
(c) (U) Consular sections can reciprocate and offer U.S. passport exemplars in exchange for host country documents. U.S. exemplars for this purpose can be obtained from CA/FPP.
9 FAM 601.4-5 (U) daily, weekly, monthly, and annual procedures related to visa operations
(CT:VISA-1873; 11-28-2023)
a. (U) 7 FAH-1 Exhibit H-435, 7 FAH-1 H-734, and 7 FAH-1 H-740 summarizes daily, monthly, and periodic responsibilities for Accountable Consular Officers, consular cashiers and management controls related to fees.
b. (U) 7 FAH-1 Exhibit H-435 lists most reports required of consular sections, and when they are due.