The Foreign Service Journal, June 2010

34 F O R E I G N S E R V I C E J O U R N A L / J U N E 2 0 1 0 sight help create a situation where trust is possible. There is no better way to show your employees and colleagues that you care than by pro- tecting them from accusations of misconduct. In most instances, it appears that very early in the offenders’ careers, when they first started down the slip- pery slope of poor ethical choices, they were not called out on their poor judgment. With that in mind, CID’s current focus is on training consular leaders to learn the lessons of the past — to recognize warning signs and act to prevent minor lapses from be- coming major violations. Lack of Managerial Training. Another strong cor- relation was found between instances of malfeasance and the number of consular sections led by managers without recent training — particularly among those who had taken no major consular tradecraft courses since 9/11. Demands and problems in consular work continue to change, and managers must keep up with and embrace those changes. In light of the reality that new officers generally have the most up-to-date training on current processes and procedures, consular managers should seek opportunities to learn, as well as teach. Failure or Absence of Proce- dural/Systems Safeguards. In nearly all cases of malfeasance, loop- holes in policies, computer systems or post procedures were contribut- ing factors. For example, longstand- ing management controls could have helped prevent or detect the above-mentioned cashier malfeasance case, if only the accountable control officer had implemented them properly and consistently. In the course of supporting this investigation, CID also found that our electronic cashiering systemwas in need of an update. A relatively minor change to workflow and computer software now effectively mitigates a risk that cost us at least half a million dollars. Future overhauls of our cashiering systems should au- tomate many of the clerical reconciliation functions that now burden our managers and are so highly prone to human error. FSI’s online training courses for account- able consular officers, consular cashiers and consular agents help address another great vulnerability, providing much-needed training on a vital managerial control mechanism. Prevention Is the Watchword New projects under development in CA’s Office of Consular Systems and Technology will help to further au- tomate management controls, making the work of our managers simpler, easier to implement and less time-con- suming. Recent improvements to oversight of DNA testing, the worldwide standardization of the visa referral policy and forthcoming clarification on the assignment of con- sular systems roles are other examples of how policy re- finement can close significant gaps in our management controls. While any organization may experience malfeasance, we can prevent future incidents by applying the lessons of the past and making continual improvements to policy and procedures, automated systems, training and over- sight. ■ F O C U S Recent improvements to oversight of DNA testing and clearer guidelines on visa referrals can close significant gaps in our management controls. What Non-Consular Officers Can Do to Model Integrity • Support transparency and equal treatment in the visa process. Make judicious use of the referral system, using it only where essential. When people approach you for favors or special treatment that does not qualify for a referral, use it as an opportunity to explain American culture and values. It’s a great moment to drive home our values of transparency, equal treat- ment under the law and good governance. • Ensure consular perspectives are reflected in post re- porting. The consular section at each post has a wealth of ex- perience and direct interaction with the public that can provide useful reporting perspectives. • Enlist the consular section in public diplomacy efforts. This is a natural way to interact directly with a large subset of the public. Public diplomacy efforts are also key to combating fraud from outside groups that seek to manipulate the process.