jurisdiction: US

text: b" SENSITIVE BUT UNCLASSIFIED\n\n\n\n United States Department of State\n and the Broadcasting Board of Governors\n Office of Inspector General\nOffice of Inspector General\n\n Office of Inspections\n\n Inspection of\n Embassy Port-au-Prince, Haiti\n Report Number ISP-I-12-24A, May 2012\n\n\n\n\n Important Notice\n\n This report is intended solely for the official use of the Department of State or the\n Broadcasting Board of Governors, or any agency or organization receiving a copy\n directly from the Office of Inspector General. No secondary distribution may be made,\n in whole or in part, outside the Department of State or the Broadcasting Board of\n Governors, by them or by other agencies of organizations, without prior authorization\n by the Inspector General. Public availability of the document will be determined by the\n Inspector General under the U.S. Code, 5 U.S.C. 552. Improper disclosure of this report\n may result in criminal, civil, or administrative penalties.\n\n\n\n\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n PURPOSE, SCOPE, AND METHODOLOGY\n OF THE INSPECTION\n\n This inspection was conducted in accordance with the Quality Standards for Inspection\nand Evaluation, as issued in 2011 by the Council of Inspectors General on Integrity and\nEfficiency, and the Inspector\xe2\x80\x99s Handbook, as issued by the Office of Inspector General for the\nU.S. Department of State (Department) and the Broadcasting Board of Governors (BBG).\n\nPURPOSE AND SCOPE\n\n The Office of Inspections provides the Secretary of State, the Chairman of the BBG, and\nCongress with systematic and independent evaluations of the operations of the Department and\nthe BBG. Inspections cover three broad areas, consistent with Section 209 of the Foreign Service\nAct of 1980:\n\n \xe2\x80\xa2 Policy Implementation: whether policy goals and objectives are being effectively\n achieved; whether U.S. interests are being accurately and effectively represented; and\n whether all elements of an office or mission are being adequately coordinated.\n\n \xe2\x80\xa2 Resource Management: whether resources are being used and managed with maximum\n efficiency, effectiveness, and economy and whether financial transactions and accounts\n are properly conducted, maintained, and reported.\n\n \xe2\x80\xa2 Management Controls: whether the administration of activities and operations meets the\n requirements of applicable laws and regulations; whether internal management controls\n have been instituted to ensure quality of performance and reduce the likelihood of\n mismanagement; whether instance of fraud, waste, or abuse exist; and whether adequate\n steps for detection, correction, and prevention have been taken.\n\nMETHODOLOGY\n\nIn conducting this inspection, the inspectors: reviewed pertinent records; as appropriate, circulated,\nreviewed, and compiled the results of survey instruments; conducted on-site interviews; and\nreviewed the substance of the report and its findings and recommendations with offices,\nindividuals, organizations, and activities affected by this review.\n\n\n\n\n i\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\n United States Department of State\n and the Broadcasting Board of Governors\n\n Office of Inspector General\n\n\n\n\n PREFACE\n\n\n This report was prepared by the Office of Inspector General (OIG) pursuant to the\nInspector General Act of 1978, as amended, and Section 209 of the Foreign Service Act of 1980,\nas amended. It is one of a series of audit, inspection, investigative, and special reports prepared\nby OIG periodically as part of its responsibility to promote effective management,\naccountability, and positive change in the Department of State and the Broadcasting Board of\nGovernors.\n\n This report is the result of an assessment of the strengths and weaknesses of the office,\npost, or function under review. It is based on interviews with employees and officials of relevant\nagencies and institutions, direct observation, and a review of applicable documents.\n\n The recommendations therein have been developed on the basis of the best knowledge\navailable to the OIG and, as appropriate, have been discussed in draft with those responsible for\nimplementation. It is my hope that these recommendations will result in more effective, efficient,\nand/or economical operations.\n\n I express my appreciation to all of those who contributed to the preparation of this report.\n\n\n\n\n Harold W. Geisel\n Deputy Inspector General\n\n\n\n\n ii\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\n\n Acknowledgment\n\n The inspection team would like to express its deep appreciation to the\nHaitian and American employees of Embassy Port-au-Prince whose daily efforts\ncontribute to the reconstruction of Haiti. We wish to express gratitude in particular\nto the loyal Haitian employees who lost family members and friends and who\nendure continued suffering from injuries and dislocation, all the while retaining\nhope for Haiti\xe2\x80\x99s future.\n\n\n\n\n iii\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\n\n Table of Contents\n\nAcknowledgement iii\nKey Judgments 1\nContext 3\nExecutive Direction 5\n Policy Direction and Coordination 5\n Internal Management 6\nPolicy and Program Implementation 9\n Political Section 12\n Economic/Commercial Section 13\n Narcotics Affairs Section 15\n Law Enforcement Working Group 16\n Foreign Assistance 16\n Public Diplomacy 16\n Consular Section 20\n Regional Security Office 27\nResource Management 28\n Management 29\n Financial Management 30\n Human Resources 33\n General Services 36\n Facilities Management 40\n Safety, Health, and Environmental Management 41\n Information Management and Information Security 41\nQuality of Life 48\n Community Liaison Office 48\n American Employee Association 49\n Medical Unit 49\n Overseas Schools 50\nManagement Controls 51\n Narcotics Affairs Section Grants Management 51\n Consular Management Controls 52\nList of Recommendations 53\nList of Informal Recommendations 57\nPrincipal Officials 61\nAbbreviations 62\n\n\n\n\n iv\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nKey Judgments\n\xe2\x80\xa2 The embassy community suffered many losses in the devastating 2010 earthquake. The\n disaster has left an indelible imprint on embassy employees that newly assigned American\n staff will need to take into account when working with locally employed staff.\n\n\xe2\x80\xa2 Two years after the earthquake, embassy operations are beginning to emerge from a\n permanent crisis response mode, but there is still much to be done to restore normal\n operations and procedures.\n\n\xe2\x80\xa2 The Ambassador has provided strong policy direction and leadership to a multiagency team,\n successfully using a \xe2\x80\x9cwhole-of-government\xe2\x80\x9d approach to provide earthquake emergency and\n recovery assistance to Haiti. Country team collaboration is close and effective.\n\n\xe2\x80\xa2 The Ambassador coordinates frequently and productively with the senior Department of\n State (Department) officials engaged in Haiti policy to ensure that the embassy and the entire\n U.S. effort to assist Haiti are as consistent and effective as possible.\n\n\xe2\x80\xa2 The Ambassador has played a major role in guiding U.S. policy and the embassy through\n Haiti\xe2\x80\x99s periodic political crises and in assuring that the U.S. interest in Haiti\xe2\x80\x99s democratic\n development is preserved.\n\n\xe2\x80\xa2 Security at this critical crime post is an important factor in embassy staffing and operations.\n The regional security office with strong support from the Ambassador and deputy chief of\n mission (DCM) leads a well-coordinated program to manage security risks in a way that\n permits the embassy to maintain its significant level of engagement throughout Haiti.\n\n\xe2\x80\xa2 In addition to its difficult post-earthquake recovery responsibilities, the management section\n has supported the surge in staff growth and coped with staffing gaps in critical positions with\n mixed results. Internal control weaknesses and lack of standard operating procedures for\n management functions expose the embassy to risk of financial loss and jeopardize property\n accountability.\n\n\xe2\x80\xa2 Political and economic spot reporting is timely. Analytic cables are forward-looking and\n provide rich context, and interagency cooperation is strong in commercial promotion and\n support for U.S. businesses.\n\n\xe2\x80\xa2 The embassy is making strides in integrating efforts to promote Haitian policy reforms and\n implement large assistance programs in coordination with other donors.\n\n\xe2\x80\xa2 Public affairs activities are important to the overall U.S. effort in Haiti and are well-\n coordinated among the broad range of U.S. Government agencies in the country team.\n\n\xe2\x80\xa2 The consular section is functioning effectively and provides outstanding assistance to\n American citizens. Fraud and high-profile interest in Haitian cases impact efficiency and\n complicate workload and staffing projections.\n\n 1\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\xe2\x80\xa2 Overcoming delays to complete as soon as possible the U.S. Government-owned residential\n construction projects is critical to providing employees with secure and seismically safe\n housing, and will generate savings of at least $3 million by reducing logistical support\n requirements and associated staff.\n\nAll findings and recommendations in this report are based on conditions observed during the on-\nsite review and the standards and policies then in effect. The report does not comment at length\non areas where OIG did not identify problems that need to be corrected.\n\nThe inspection took place in Washington, DC, between January 17 and February 3, 2012, and in\nPort-au-Prince, Haiti, between February 7 and 29, 2012. (b) (6)\n\n\n\n\n 2\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nContext\n The January 2010 earthquake that struck Haiti killed more than 200,000 people, injured\n300,000, and displaced 1.5 million. It had an economic impact equal to 120 percent of Haiti\xe2\x80\x99s\n2009 gross domestic product, devastating the capital\xe2\x80\x99s infrastructure and the ability of\ngovernment officials to fulfill basic functions.\n\n Haiti is about the size of Maryland; its population of 9.9 million is largely rural with 2.3\nmillion people in the capital city of Port-au-Prince. Haiti is plagued by natural and health\ndisasters, extreme poverty, crime, and political instability that impede economic development\nand stability. Haiti has a 52 percent adult literacy rate and the highest rate of brain drain in the\nworld, with 80 percent of its university-trained citizens living outside the country.\n\n At the 2-year anniversary of the earthquake, the Haitian Government has moved from\ncrisis to reconstruction and Embassy Port-au-Prince is transitioning from crisis management to\nnormalcy of operations. Haiti enjoys substantial support from the international community. The\nUnited States is committed to empowering a Haitian-led effort that will lead to a stable Haiti\nwhose sustained democratic governance contributes to national and regional security and whose\ngrowing economy can yield improved resilience in the wake of natural disasters.\n\n The United States also seeks to stanch narcotics and human trafficking. The Department\nof Defense\xe2\x80\x99s U.S. Southern Command engages on humanitarian services and disaster response\npreparedness. U.S. disbursement of $1.3 billion in post-earthquake recovery and humanitarian\nassistance is nearly complete, and the United States has expended about 40 percent of $1.8\nbillion in multiyear funds for reconstruction and long-term development assistance.\n\n Democratic governance and economic development remain fragile. The United States\nand international partners exerted sustained efforts to ensure that March 2011 elections were\nfree, fair, and peaceful, and that the landslide victory of Michel Martelly was respected. Internal\nstrife precluded President Martelly, an inexperienced politician, from forming a government for\n6 months until November 2011, which delayed decisionmaking on essential reforms. Donors\ncannot proceed on assistance projects until ministries approve implementing details and\napprovals are often slow. A change in prime ministers and the Cabinet was under way at the time\nof the inspection and legislative opposition to political, economic, and judicial reforms persist.\n\n Haiti continues to rely for domestic stability and security on the UN Stabilization Force\nin Haiti, which has been in country since April 2004. The UN force numbers 8,000 troops, 3,500\npolice, and 2,000 civilians from 19 UN member states, who work to develop self-sustaining\nHaitian National Police capabilities. The UN Security Council extends the mandate of the UN\nforce annually, based on local conditions, with the next review due in October 2012. President\nMartelly in 2012 established a commission to consider the restoration of a Haitian military force.\n\n Haiti is the poorest country in the Western Hemisphere but demonstrated strong Gross\nDomestic Product growth of 5.6 percent in 2011, and projects an 8 percent growth rate in 2012.\nWhile exports are rebounding, inflation erodes the benefits of growth for most Haitians.\nLegislative rivalries stymie passage of streamlined laws and regulations that could substantially\nimprove the business climate and attract the domestic and foreign investment necessary to\ngenerate hundreds of thousands of jobs.\n 3\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\n The earthquake further damaged already inadequate infrastructure in Port-au-Prince. The\ncritical crime threat and poor state of infrastructure have a major impact on embassy operations,\nsuch as the need for generator power in the chancery and staff housing. Haitian employees\ncontinue to cope with the emotional and physical toll of the earthquake.\n\n Staffing for Embassy Port-au-Prince consists of 72 Department direct-hires, 64 other\nagency direct-hires, and 1,373 locally employed (LE) staff members. Adjustments to staffing\nlevels are heavily dependent on the completion of seismically approved replacement official\nhousing now under construction or pending contracting action, and on the support capacities of\nthe security and management platform.\n\n Embassy Port-au-Prince was last inspected in 2007.\n\n\n\n\n 4\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nExecutive Direction\nPolicy Direction and Coordination\n\n In the wake of the devastating January 2010 earthquake in Haiti, the United States\nundertook a massive effort to provide immediate humanitarian relief to victims of the earthquake\nand of the subsequent cholera outbreaks. The United States then developed a 5-year strategy to\nsupport Haiti\xe2\x80\x99s reconstruction through a Haitian-led effort in coordination with U.S. and other\ndonors. The U.S. objectives are to catalyze economic growth through investment in agriculture,\nenergy, and infrastructure and to ensure long-term stability through assistance to public\ninstitutions, including the police, the judiciary, and other government institutions. The U.S.\nstrategy for Haitian reconstruction was developed under the direction of the Office of the\nSecretary of State working in close coordination with the U.S. Agency for International\nDevelopment (USAID). The Ambassador, who is one of the foremost American experts on Haiti,\nhad significant input into the formulation of U.S. assistance strategy.\n\n The Ambassador oversees closely the strategy\xe2\x80\x99s implementation in coordination with the\nOffice of the Secretary of State and the implementing agencies in Haiti, principally USAID, the\nCenters for Disease Control and Prevention, and the Department\xe2\x80\x99s Bureau of International\nNarcotics and Law Enforcement Affairs (INL). All implementing agencies in Port-au-Prince\ndescribed the country team effort under the Ambassador\xe2\x80\x99s lead as cordial and collaborative.\nBecause of the limited number of decisionmakers in the Haitian Government, the Ambassador\nwas frequently called upon, in collaboration with the Office of the Secretary and the\nimplementing agency, to secure needed Haitian Government approval or cooperation.\n\n The Ambassador provides clear guidance and leadership to all members of the country\nteam and the DCM speaks for the Ambassador in his absence. Country team relations are\ncollegial and professional and facilitate the achievement of U.S. foreign policy goals.\n\n On a separate, but often intersecting track with U.S. long-term strategy in Haiti, are the\nfrequent and often debilitating Haitian political crises. These often demand the attention of the\nAmbassador to gather information, report on and, at times, act to help overcome.\n\n The embassy hosts a large number of high-level U.S. executive and legislative branch\nvisitors and manages well the complex logistical and security aspects of these visits. Reporting\nof the action items from visits of key policy-level officials is generally by email to the interested\nU.S. parties, which is satisfactory to keep action offices appraised. However, these concise\nemails do not provide to the broader range of Haiti-watchers the useful texture of meetings with\nHaitian officials.\n\n The Ambassador advocates frequently and effectively on behalf of U.S. economic and\nbusiness interests, in coordination with efforts being made directly in the Department and by the\nDepartment of Commerce and other agencies.\n\n The Ambassador and the DCM provide clear guidance and direction on a strong political\nand economic reporting program, meeting weekly with reporting officers as a group in addition\nto frequent informal communication. The Ambassador also maintains a heavy flow of email and\n\n 5\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\ntelephonic communication with the Secretary\xe2\x80\x99s office and with the Haiti Special Coordinator on\npolicy issues, and political, economic, and assistance developments.\n\n The Ambassador, a fluent speaker of French and Haitian Creole, exercises active\noutreach to the Haitian and international media in close coordination with the public diplomacy\nsection.\n\nInternal Management\n\n The Ambassador and the DCM function as a team and their office management\nspecialists facilitate communication within and outside the embassy. The Ambassador and DCM\ntalk or share email frequently each day. All elements of the embassy indicated that informing\neither one means that both are informed. Since his arrival in June 2011, the DCM has taken a\nstrong role in overseeing the internal management of the embassy and the regional security\noffice, while keeping the Ambassador well informed. The Ambassador and the DCM recognize\nthat, particularly in the aftermath of the earthquake, management services were under\nexceptional strain and required more engagement by the executive office. The Ambassador and\nthe DCM meet regularly with the management officer and the DCM, a management cone officer,\nis in frequent, daily communication with the management section to answer questions, provide\nfeedback and guidance, and to check on the status of pending issues.\n\n The Ambassador and the DCM refer frequently to the need to normalize embassy\noperations from the crisis response approach that has characterized them in the period since the\nearthquake. With the large staff growth of about 50 U.S. direct-hire positions to implement relief,\nrecovery, stabilization, and economic development assistance efforts beginning to slow down\nand a succession of temporary duty management officers being replaced by full-tour officers,\nconditions for progressive normalization of embassy operations and procedures are being put in\nplace.\n\nRecommendation 1: Embassy Port-au-Prince should develop a strategic plan for steady\nprogress toward normalization of embassy operations and procedures and the executive office\nshould capture the expertise of the officers about to depart the embassy in that plan. (Action:\nEmbassy Port-au-Prince)\n\n The Ambassador and the DCM carefully track requests from the Department and other\nagencies to establish new positions in the embassy, as required under National Security Decision\nDirective 38 (NSDD-38). They are well aware of the desire by program agencies to expend\nassistance funds quickly and their assertion that they can only accomplish this with increased\nstaff in the embassy. The Ambassador and DCM are equally aware of the limitations on staff\nincreases imposed by the limited availability of acceptable housing and the need to provide\nmanagement support and security for additional personnel. In consultation with the Counselor of\nthe Department and the Haiti Special Coordinator, the Ambassador exercises his authority as\nchief of mission to ensure that any additional staff is necessary and that the positions approved\nwill be filled with individuals possessing the necessary language and other skills to carry out\ntheir responsibilities. The Ambassador believes and the inspection team concurs that the embassy\nis nearing the limit of its ability to absorb, support, and provide security for additional American\nstaff.\n\n\n 6\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nMorale\n\n Morale in the embassy varies widely and is negatively impacted by the difficulties of life\nin Haiti and the uneven state of management support. The Ambassador invites American and\nHaitian employees to his residence on a rotating basis and the DCM walks around the embassy\nperiodically. More frequent engagement with employees in the consular and management\nsections would be beneficial. Despite the great hardships they have endured, LE staff members\nexpressed reasonably high levels of satisfaction with their jobs and with executive office\nleadership.\n\nEntry-Level Professionals\n\n The DCM has met with entry-level professionals (ELP) as a group every 2 months and he\nand the Ambassador have invited them to informal dinners. The Ambassador and the DCM also\nmaintain an open door policy and make themselves available for informal mentoring sessions.\nThe embassy uses ELPs to perform functions during high-level visits outside their regular duties,\nalthough these opportunities have not been available to all ELPs because such opportunities were\noften filtered through their supervisors.\n\n Inspectors met with each of the ELPs individually and with the majority of the ELPs as a\ngroup. They have not set up a formal organization, although they met as a group to discuss their\nconcerns prior to meeting with the inspection team. The inspection team urged them to take an\nownership stake in professional development activities at the embassy by identifying to the DCM\nwhich opportunities would be most beneficial to them and any difficulties they face in availing\nthemselves of these opportunities.\n\n Informal Recommendation 1: Embassy Port-au-Prince should prepare, in consultation\n with entry-level professionals, a menu of career development opportunities for these\n professionals and direct all embassy sections to give all entry-level officers and\n specialists the opportunity to participate in a range of career development opportunities as\n often as possible consonant with their job responsibilities.\n\nProtocol\n\n A capable LE protocol assistant conducts the standard protocol duties, which are\nsubstantial, and often requires help from an LE economic assistant. Staff resources are not used\nefficiently to manage multiple contact databases, which are prepared in different formats and not\nshared among sections. In 2011, the protocol assistant had training on a Department contact\ndatabase system. Immediate tasks have diverted staff from implementing a consolidated contact\ndatabase.\n\n Informal Recommendation 2: Embassy Port-au-Prince should establish a consolidated\n contacts database.\n\n\n\n\n 7\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nSecurity\n\n The Ambassador and DCM provide strong support to the security program.\nCommunication between the regional security office and the executive office is excellent with a\nsteady, timely flow of information in both directions.\n\n\n\n\n 8\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nPolicy and Program Implementation\n Policy advocacy is strong and assistance implementation is integrated across sections and\nagencies. The embassy uses the U.S. strategy for Haiti, the FY 2013 Mission Strategic and\nResource Plan, and a structure of four sector working groups, known as pillars, for planning and\nreinforcing mutual program objectives. The 5-year strategy concentrates U.S. assistance in three\ngeographic corridors of Haiti to optimize impact. USAID chairs two pillars: Food and Economic\nSecurity, and Infrastructure and Energy. The Department chairs the other two: Democracy and\nGovernance, and Health and Other Basic Services. Participants in each represent about 10\nsections or agencies, illustrating a genuine whole-of-government approach.\n\n For many years including 2011, Transparency International has ranked Haiti among the\nworst of over 180 countries in its global index of corruption. In 2009 and again in 2011, Haiti\nranked at the bottom of the World Bank\xe2\x80\x99s Doing Business index because of poor infrastructure,\nlimited access to credit, and lack of respect for contracts. Haiti also has a tumultuous record of\npolitical instability.\n\n The Ambassador and his team are consistent in their messaging to promote policy\nreforms with Haitians and in related discussions with multilateral and bilateral partners and\ndonors. The team operates with alacrity. On word of a Brazilian minister\xe2\x80\x99s visit to Haiti, the\nembassy and the Secretary\xe2\x80\x99s Acting Special Representative for Global Food Security arranged,\nwithin days, meetings that led to trilateral cooperation on agricultural development. The trilateral\napproach will serve as a model for assisting other least developed countries. In other cases,\nembassy officers and other agencies\xe2\x80\x99 representatives conduct coordinated dialogues with the UN\nStabilization Force in Haiti on community policing, promotion of the rule of law, and good\ngovernance.\n\n The political and economic sections produce timely spot reporting and high-quality\nanalytic cables that Washington consumers praise. Cables are well-sourced, provide rich context,\nand are forward-looking. Reporting officers distill the facts while explaining how the rumors rife\nin Haiti affect the actions of leading Haitians. Officers travel throughout Haiti to meet with\ndiverse groups such as national and local politicians, labor activists, and communities and\nindividuals that are beneficiaries of U.S. assistance.\n\n The pace of work generates quick informal embassy email exchanges with a circle of\nDepartment recipients, but the content is not always followed by official record traffic. These\nemail exchanges complicate lateral communications in the embassy. The Haiti health\nreconstruction coordinator and narcotics affairs section employees do not produce official\nsummary reporting. More use of official reporting channels will allow information to reach many\ninterested official consumers. For example, with such information, U.S. embassies in the Group\nof 12 countries and the U.S. Mission to the United Nations can help shape better coordination of\nstrategies for Haiti among donor countries. The impressive performance of the embassy can be\nenhanced significantly by the introduction and maintenance of standard operating procedures for\nreporting and programming officers.\n\n Informal Recommendation 3: Embassy Port-au-Prince should increase reporting\n through official channels on the content of meetings with senior and working-level\n Haitian officials.\n 9\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\nRecords Management\n\n Emails that are not followed by formal cable reporting can be prepared as record traffic.\nOfficers are not using the record email function of the State Messaging and Archive Retrieval\nToolset software system. Record email is designed to archive emails that should be preserved for\nthe historical record, such as schedules for visitors, progress reports on programs, and exchange\nof views on policy-related matters.\n\nRecommendation 2: Embassy Port-au-Prince should implement a system for employee\ncompliance with guidance on using the State Messaging and Archive Retrieval Toolset software\nsystem to archive email and other correspondence. (Action: Embassy Port-au-Prince)\n\n Many employees are not implementing Department procedures for managing and retiring\nrecords, as required by 5 Foreign Affairs Manual (FAM) 433, and are not familiar with\nprocedures for retiring electronic records. Employees in the political, economic, and narcotics\naffairs sections, and the Haiti health reconstruction coordinator, are not filing documents in\nshared electronic folders. Sections are not organizing shared folders according to the\nDepartment\xe2\x80\x99s Traffic Analysis by Geography and Subject labeling system. Email messages that\nmeet the definition of records in 5 FAM 443.2 are not archived. Failure to implement such\nprocedures causes inefficiency in searching for information and impedes the Department\xe2\x80\x99s ability\nto retrieve official documents of value to the conduct of foreign policy and to historians.\n\n Informal Recommendation 4: Embassy Port-au-Prince should issue a management\n notice requiring each section to establish, maintain, and annually retire official records,\n including email messages that qualify as records, and implement a tracking system to\n verify that employees are managing and retiring electronic records.\n\n The inspection team found that the political section retains about 10 linear feet of paper\nfiles dating back a decade in several safes. The narcotics affairs section does not have a coherent\nfiling system. Embassies are responsible under 5 Foreign Affairs Handbook (FAH)-4 H-310 for\ncarrying out an active records disposition program. In addition to the legal requirements for\ndisposition, sound administrative and security practices dictate that records eligible for\ndisposition be promptly retired or destroyed. These timely actions reduce the requirement for\nadditional filing equipment and storage within valuable office space.\n\n Informal Recommendation 5: Embassy Port-au-Prince should archive files that meet the\n definition of official U.S. records and should destroy nonofficial materials held in safes.\n\nBiographic and Leadership Reporting\n\n Individual sections of the embassy hold biographic files for internal use. The economic\nsection has biographies on the embassy OpenNet Web site. That link is not readily known to\nDepartment users. The embassy is not meeting 2 FAM 113.3 b. (1) guidelines to make readily\navailable biographic files on foreign nationals, official or private, who directly or indirectly\ninfluence domestic and foreign policy.\n\n\n\n 10\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nRecommendation 3: Embassy Port-au-Prince should enter biographic information on the\nunclassified Diplopedia system and it should enter classified leadership profiles on the\nIntellipedia system. (Action: Embassy Port-au-Prince)\n\n During Haiti\xe2\x80\x99s 2011 electoral transition and formation of a new government, cable\nreporting included profiles of significant Haitian politicians. Embassy staff has extensive\nadditional Haitian contacts. There is no sense that biographic reporting is a job for everyone who\nhas contacts, such as the narcotics affairs and consular sections, and not just for those in the\npolitical section.\n\n Informal Recommendation 6: Embassy Port-au-Prince should include biographic\n reporting and leadership analysis responsibilities in the work requirements statements of\n all officers who do significant amounts of contact work.\n\nOpen Source Center\n\n The Open Source Center is the U.S. Government's provider of foreign open source\nintelligence. Open Source employees prepare analyses on information about foreign political,\nmilitary, economic, and technical issues, which is available from an ever-expanding universe of\nopen sources.\n\n An LE staffer with long tenure in the embassy operates under the supervision of\nmanagers in Panama. The Open Source Center also uses a local employee in Panama and a\nnetwork of contract employees for monitoring and translation. Political, economic, and security\nofficers are not using Open Source material. They are not aware of the www.Opensource.gov\nWeb site. Nor do they request the Open Source Center to produce analyses on targeted topics\nthat would reduce research by embassy officers.\n\n Informal Recommendation 7: Embassy Port-au-Prince should reestablish collaboration\n with regional Open Source Center managers on analyses that would benefit embassy\n officers.\n\nExport Controls\n\n During the inspection, U.S. firms interested in exporting guns made inquiries about sales\nto Haiti and one firm expressed concern about inaccurate information attributed to an\nunidentified embassy source. There is no designated embassy officer with responsibility for\nmanaging U.S. munitions and dual-use export controls. Correct official guidance to American\nsuppliers and Haitian buyers is important to mitigate the risk that munitions or sensitive dual-use\ngoods could be sold to transnational or domestic criminal gangs.\n\nRecommendation 4: Embassy Port-au-Prince should designate appropriate officers to manage\nmunitions controls and Department of Commerce-administered dual-use export controls.\n(Action: Embassy Port-au-Prince)\n\n\n\n\n 11\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\nLeahy Human Rights Case Vetting\n\n Haiti has a long history of human rights violations and torture carried out by several\nadministrations. Haitian official records are poorly maintained and many were lost in the\nearthquake. Many alleged violators of human rights have not been prosecuted in Haiti. As a\nconsequence, the embassy needs to apply scrupulously the vetting procedures of the Leahy\nprogram to preclude U.S. assistance to persons implicated in human rights violations.\nDepartment of State- and Department of Defense-funded training and equipment cannot be\nprovided to Haitian entities and individuals who do not have completed, clear vetting.\n\n In the past year, the embassy processed about 1,000 cases using the Department\xe2\x80\x99s Leahy\ndatabase system. The volume is likely to increase to 2,000 cases annually. Anticipating the\nincreasing caseload, the narcotics affairs section director and the mission\xe2\x80\x99s designated Leahy\ncoordinator are planning ahead. They traveled in late February 2012 to consult with counterparts\nin Bogota on mechanisms to streamline vetting procedures.\n\n The narcotics affairs section director also convened a February 2012 meeting to improve\nunderstanding about Leahy procedures. The inspection team observed that representatives of\nsections affected by Leahy policy were conversant about most, but not all, aspects of vetting.\nStandard operating procedures about Leahy procedures need to be disseminated widely due to\nAmerican employee turnover and because numerous representatives of other agencies on their\nfirst overseas assignment are unfamiliar with the Leahy program.\n\nRecommendation 5: Embassy Port-au-Prince should issue an annual management notice\nexplaining the scope of Leahy vetting requirements. (Action: Embassy Port-au-Prince)\n\n The inspection team found there was no secondary Leahy coordinator, contrary to the\nsuggested good management practices of the Bureau of Democracy, Human Rights and Labor\nAffairs to appoint a backup coordinator so that vetting can proceed if the coordinator is\nunavailable. Despite its volume of cases, the embassy does not have a secondary coordinator\nwho is trained on the Foreign Service Institute\xe2\x80\x99s distance learning course, International Vetting\nand Security Tracking system: Leahy Vetting at Post (PP-410).\n\n Informal Recommendation 8: Embassy Port-au-Prince should designate a secondary\n coordinator for the Leahy vetting program and arrange for the incumbent\xe2\x80\x99s training and\n authorization to use the International Vetting and Security Tracking system.\n\nPolitical Section\n\n The political section is amply staffed with six Foreign Service officers and an LE\nspecialist supported by a Foreign Service office management specialist. Officers use French\nlanguage skills. Several officers acquired Haitian Creole from prior assignments in Haiti or from\nrotational work in the consular section. The counselor and his deputy attentively build staff\nskills. Their motivated team has good morale.\n\n The section has a position designated as a political/economic officer. The embassy\nassigned a solely political portfolio to the incumbent, who has fluent Haitian Creole and French,\n\n 12\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nto help cultivate a wider range of contacts in the Haitian executive and legislative branches of\ngovernment through the May 2011 elections and during the Martelly Administration\xe2\x80\x99s protracted\nefforts to name a cabinet. This officer continues building contacts to glean information on local\nand Senate elections in 2012. Upon departure of the incumbent, it is important to realign political\nand economic staffing. The inspection team addresses realignment in the Economic/Commercial\nsection of this report.\n\nTrafficking in Persons\n\n Haiti is a source, transit, and destination country for men, women, and children subjected\nto trafficking in persons, specifically forced labor and forced prostitution. The majority of\ntrafficking cases involve the practice of child slavery in domestic settings. For several years, the\nDepartment has not prepared a tier ranking of Haiti in its annual global trafficking report. The\nDepartment\xe2\x80\x99s published 2012 report will include an evaluation of Haiti, likely leading to\nheightened bilateral dialogue on necessary measures to counter trafficking.\n\n In December 2011, the DCM directed establishment of a trafficking-in-persons working\ngroup. The DCM delegated authority to the political counselor, in tandem with a consular\nofficer, to manage embassy-wide activities. The group includes narcotics affairs section\nemployees conducting law enforcement technical assistance and USAID staff implementing a\nlarge project to assist and empower vulnerable women in high-risk environments, which also\nincludes child protection.\n\nEconomic/Commercial Section\n\n The economic staff is a highly productive and collegial team. A counselor supervises two\nentry-level officers (ELO) and an office management specialist. One LE staff member handles\ncommercial work but is often redirected to protocol duties, and another has economic duties.\nOfficers use French language skills. The counselor is developing the economic tradecraft skills\nof the ELOs.\n\n The U.S. Department of the Treasury provides intermittent technical assistance directly to\nHaitian financial authorities and anticipates in 2012 the deployment of three resident advisors to\nHaitian ministries. A resident Treasury attach\xc3\xa9 contributes to economic analysis and advocacy\nfor Haitian economic policy reforms. Treasury personnel regularly inform the embassy about\ntheir activities.\n\n The economic section is understaffed. As noted in the political section of this report, a\npolitical/economic officer position has been used exclusively for political work. In summer 2012,\nupon departure of the incumbent in position 14-748960, the embassy would benefit from\nreallocating staff resources to better manage a growing economic and commercial workload and\nthe increasing number of official visitors.\n\n Informal Recommendation 9: Embassy Port-au-Prince should assign an economic\n portfolio to the incoming officer assigned to position 14-748960.\n\n Frequent turnover of the three officers in the economic section hinders the section\xe2\x80\x99s\nability to build and retain knowledge. The head of the economic section serves a 2-year tour.\n 13\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nTwo ELOs rotate yearly, requiring them to both acquire and apply economic skills within that\ntime.\n\n The section has as broad and complex an agenda as economic sections elsewhere that\nhave more experienced officers. The section handles the full range of economic topics:\nmacroeconomics, finance, telecommunication, transportation, energy, commercial issues, and\nlabor, environment, science, technology, and health affairs. Officers also collaborate with\ncounterparts in other agencies conducting development assistance.\n\n An extension of language training to reach proficiency caused a 5-month gap for the\neconomic section when the ELO slated for assignment into economic position 20-06200 was\ninstead assigned to another section for the entirety of his tour. The economic section needs better\npredictability and reduced staffing gaps during assignment turnovers.\n\n A reduction by one in the number of formal rotational positions at the embassy to enable\nthe economic section to retain one ELO for a 2-year tour would help continuity. The change\nwould not affect the number of total ELOs at the embassy. A 2-year ELO tour in the economic\nsection is all the more important in light of the 2012 departure of an Ambassador who has a\ndepth of economic experience.\n\nRecommendation 6: Embassy Port-au-Prince, in coordination with the Bureau of Human\nResources and the Bureau of Western Hemisphere Affairs, should convert one of its entry-level\nofficer rotational positions into a 2-year economic tour. (Action: Embassy Port-au-Prince, in\ncoordination with DGHR and WHA)\n\nLabor\n\n The economic staff reports local conditions, promotes improvements in Haitian labor\npractices, and enlists support from U.S. Department of Labor experts. The staff conducts\ndiscussions with Haitian officials, employers, labor representatives, and nongovernmental\norganizations. The United States provides technical assistance to improve labor practices in\nselected factories which can then serve as models for other Haitian employers. The section\nexpends considerable resources to evaluate Haiti\xe2\x80\x99s compliance with the conditions of U.S. trade\npreference legislation.\n\nCommercial Issues\n\n Following the Ambassador\xe2\x80\x99s lead, his team advocates often on behalf of American\nexporters of goods and services and in representing the interests of U.S. investors in Haiti. The\nembassy broadly advertises the USAID Forward initiative to streamline the procurement of U.S.\nassistance and to promote contracting opportunities for both American and Haitian firms.\n\n The embassy provides objective, balanced guidance to the American business community\nabout pitfalls in Haiti\xe2\x80\x99s business climate and opportunities in the Haitian market so that\nAmerican businesses can take informed risks. It works closely with agencies such as the\nOverseas Private Investment Corporation and U.S. Trade Representative. The embassy is a\nForeign Commercial Service Partner Post since October 2011. Guidance is consistently and\nwidely disseminated in the Country Commercial Guide, the Investment Climate Statement, and\n 14\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nother public sources such as www.export.gov and www.grants.gov. The public diplomacy\nsection disseminates such information on the embassy\xe2\x80\x99s Web site and Twitter account.\n\n Embassy employees, including from USAID, partner closely with the American Chamber\nof Commerce in Haiti. In February 2012, the embassy enlisted the chamber, the regional Foreign\nCommercial Service attach\xc3\xa9 based in Santo Domingo, and the Foreign Commercial Service\noffice in Miami to conduct a webinar with 55 fee-paying Americans eager to learn how to do\nbusiness in Haiti.\n\nEnvironment, Science, Health, and Technology Affairs\n\n The economic section handles environment, science, health, and technology affairs and\nprepares reporting and analyses on local conditions and on commercial opportunities for\nAmerican firms in fields such as waste management. Reporting encompasses aspects of\nenvironmental, health, and agricultural development programs.\n\n Extensive U.S. assistance in the health sector predates the 2010 earthquake and is\nconducted by the Centers for Disease Control and Prevention and USAID. To help manage the\nlarge interagency health programs, the Department funded a new position for a Haiti health\nreconstruction coordinator who reports to the Ambassador. The incumbent is new to U.S.\nGovernment and Department procedures, conducts most communication by email to a small\ncircle, and keeps materials on the local workstation drive not accessible to others.\n\n Informal Recommendation 10: Embassy Port-au-Prince should maintain its health\n sector files in shared electronic folders accessible to the economic section and organized\n in accordance with the Traffic Analysis by Geography and Subject labeling system, and\n include health files in economic section archiving.\n\n Informal Recommendation 11: Embassy Port-au-Prince should arrange for the Haiti\n health reconstruction coordinator and economic officers to jointly prepare periodic cables\n on health topics for broader dissemination to U.S. official consumers.\n\nNarcotics Affairs Section\n\n The narcotics affairs director of the section leads a staff, which includes an experienced\nmanagement officer, three experienced advisors on policing, an American LE staff member with\na security clearance who serves as Leahy coordinator, an ELO, and seven LE staff members.\nEmployees have extensive contacts with Haitian officials and nongovernmental organizations of\nvalue to the entire embassy, particularly to the regional security office. Programs focus on\ncountering narcotics trafficking, in close cooperation with the Drug Enforcement Administration,\nand capacity-building of the Haitian National Police including recruitment of women and the\npromotion of police respect for human rights.\n\n The narcotics affairs section relies appropriately on administrative and logistical support\nfrom INL to meet the challenge of delivering over $186 million in technical assistance.\nInsufficient staffing in INL and in the narcotic affairs section has hampered preparation and\ncompletion of contracts and other project documentation. Section performance also is stymied, as\nare most programs, by limits in the capacity of Haitian counterparts to agree to specific project\n 15\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nterms and to absorb aid. A recommendation on improving accountability on grants and contracts\nappears in the Management Controls section of this report. In addition, the director and his\ndeputy are consulting with INL in Washington on possible consolidation of procurement\nfunctions to facilitate implementation of projects in Haiti.\n\nLaw Enforcement Working Group\n\n The regional security officer, with DCM oversight, exercises lead responsibility for law\nenforcement activities involving resident and nonresident law enforcement entities. In September\n2011, the regional security officer formalized a law enforcement working group, which the DCM\nchairs every 2 weeks. The regional security officer maintains and distributes minutes of\nmeetings. The inspection team observed robust collaboration and appropriate information\nexchange among embassy sections and agencies. Law enforcement entities regularly consult on\npolicy, technical assistance, and operational matters.\n\nForeign Assistance\n\n The Ambassador has comprehensive knowledge of the diversified assistance programs\nand intervenes to improve programming effectiveness and accountability of funds.\n\n Building on U.S. assistance established in Haiti before the January 2010 earthquake, the\nU.S. Government committed $3.1 billion toward relief, recovery, and reconstruction. Of this\namount, $1.3 billion has been obligated for rapid, lifesaving emergency assistance, including\nfunding to fight cholera outbreaks. The balance of $1.8 billion supports long-term development.\nUnusually, a significant amount of U.S. assistance is used for construction and reconstruction of\nbuildings that meet seismic standards, a process that requires a long timeline for design and\ncompletion.\n\n The health sector is among the largest programs, with a cumulative allocation of $943\nmillion in funding from the FY 2010 supplemental budget appropriation through FY 2014\nbudget projections. Of that total, the FYs 2010 and 2011 appropriations amount to $477.8\nmillion.\n\n The Centers for Disease Control and Prevention, USAID, and the Office of the U.S.\nGlobal AIDS Coordinator are moving toward better collaboration in the delivery of health\nassistance. The Haiti health reconstruction coordinator, reporting to the Ambassador and\nDepartment and USAID officials, figures significantly in keeping cooperation on track.\n\n Because of constraints in housing full-time personnel, the embassy has used temporary\nduty staff to handle the functions of U.S. President's Emergency Plan for AIDS Relief\n(PEPFAR). At the time of the inspection, the embassy was preparing the scope of work for the\nrecruitment of a full-time PEPFAR coordinator.\n\nPublic Diplomacy\n\n A small section, relatively understaffed and inexperienced, conducts a growing range of\noutreach programs that often involve the Ambassador who is attentive to public diplomacy and\nparticularly adept at reaching Haitian audiences in fluent French and Haitian Creole. Only two of\n 16\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nthe three authorized officer positions in the public diplomacy section have been filled during\nmuch of 2010\xcb\x97 2011. A new public affairs officer and an experienced information officer are\nscheduled to arrive in summer 2012. The section\xe2\x80\x99s budget is one of the largest in WHA, taking\ninto consideration programming opportunities and programs offered by the Bureaus of\nEducational and Cultural Affairs and International Information Programs. With only 12 LE staff\nmembers, the section is among the smallest in WHA, which has negatively affected its ability to\nexpand and monitor activities on a regular basis. The embassy has funds to hire two additional\nLE staff members for the public diplomacy section and has begun the hiring process for one staff\nmember.\n\n The first-time public affairs officer concurrently serves as information officer. He spends\nthe majority of his time on press activities involving frequent high-level visitors from the United\nStates and visiting foreign and U.S. press covering relief efforts and reconstruction following the\n2010 earthquake. The public diplomacy section\xe2\x80\x99s engagement with the Haitian media has also\nconcentrated on explaining U.S. relief efforts and accomplishments. The public affairs officer\nworks closely with the embassy\xe2\x80\x99s executive office to ensure policy coherence and coordinates all\npublic affairs activities for a large USAID mission, the Department of Defense, and various other\nU.S. Government agencies resident in or visiting Haiti. All stakeholders recognize that the\nsection\xe2\x80\x99s press activities are critical to the overall U.S. effort in Haiti. Interagency press\ncoordination is excellent.\n\n Unfortunately, the quantity of press and public affairs work that dominates the efforts of\nthe public diplomacy section has left little time for strategic planning for public diplomacy for\nthe year ahead. Although the public diplomacy goal within the FY 2013 Mission Strategic and\nResource Plan is adequate, public diplomacy themes and goals are not embedded within the\nother five goals. The section has also not conducted audience analysis to determine where to\ntarget its efforts. The public affairs officer is aware of these planning shortcomings and has\nbegun to sketch out preliminary thoughts in preparation for the 2014 Mission Resource Request. 1\n\n Informal Recommendation 12: Embassy Port-au-Prince should prepare a written\n strategic analysis of the public diplomacy themes important to the Haitian-American\n dialogue and the key Haitian audiences who should be engaged in that dialogue.\n\nExchange Programs\n\n The cultural affairs officer manages a large cultural and exchange program budget of\n$3.45 million in Bureau of Educational and Cultural Affairs supported activities, including 25\nInternational Visitor Leadership Program grants, a Fulbright and Humphrey program, and\nreinvigorated cultural and speaker programs. Much of this activity had been stalled or postponed\nfor many months after the earthquake. The cultural affairs officer does not manage the\nInformation Resource Center or the American Corner. Nor does she manage relations with the\nHaitian American Institute.\n\n\n\n1\n In December 2011, the Department issued 11 STATE 124737, which discontinued the Mission Strategic and\nResource Plan. The Mission Resource Request (3-year strategic plans, with shorter annual resource requests)\nreplaces the Mission Strategic and Resource Plan beginning with the FY 2014 budget cycle.\n\n 17\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n The International Visitor Leadership Program, which includes minority grants, is closely\ntied to the embassy\xe2\x80\x99s FY 2013 Mission Strategic and Resource Plan goals and objectives. The\nDCM will chair the committee to select international visitor grantees later in 2012, and all\nmission sections and agencies play an active role in nominating candidates and participating in\nthe selection process. All candidates are vetted for human rights abuses. Judicious use and timing\nof grantee travel have enabled the embassy to receive several additional no-cost grants in each of\nthe past 2 years. The section is in the process of hiring an LE staff alumni coordinator who will\nhelp maintain closer contacts with former grantees from the International Visitor Leadership\nProgram and other embassy grants programs.\n\n Haiti does not have a Fulbright Commission. Instead, the cultural affairs officer manages\nFulbright grants whose current recipients are Haitian senior scholars and graduate students.\nPlans to reinstate American scholar and graduate student programs are on hold because of\nsecurity concerns in Haiti. An inaugural Fulbright Public Policy Fellow program to bring\nspecialists to advise Haitian Government ministries is under consideration for FY 2013.\n\n The public diplomacy section has also carried out a number of successful cultural\nprograms targeting youth audiences, including a multicity jazz festival and an American speakers\nprogram that uses embassy officers to engage student groups on various topics about American\nlife, society, and literature.\n\nGrants\n\n An administrative assistant, who has completed the requisite grants training, maintains\nthe public diplomacy grants files. The public affairs officer and the cultural affairs officer hold\ncurrent grants authority and have taken grants training. In FY 2011, Embassy Port-au-Prince\nissued 56 grants totaling $511,220.\n\n Most of the required grants documentation is present or in the process of being completed\nfor FYs 2010 and 2011. One major shortcoming is the absence of required final reports from\ngrantees and written accounting of how grantees spent the funds. For FY 2010, 50 percent of the\ngrants lack this documentation; for FY 2011, 30 percent of the grants lack documentation.\nOccasionally grants were given to grantees in FY 2011 who had not completed reports for grants\nawarded in previous years.\n\n In one particularly notable grants case, $667,000 in two FY 2010 grants was fully\ndisbursed to the Haitian American Institute to clear rubble from the earthquake and to rebuild its\nbuildings. To date, despite frequent requests in writing from both the present and previous public\naffairs officers, only $111,000 of the money has been accounted for with written receipts and the\ninstitute has not submitted a final report.\n\nRecommendation 7: Embassy Port-au-Prince should request missing reports and\ndocumentation from delinquent FYs 2010 and 2011 grantees. No further grants to those entities\nshould be approved until delinquent reports are received. (Action: Embassy Port-au-Prince)\n\n\n\n\n 18\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\n\nInformation Resource Center\n\n The embassy\xe2\x80\x99s Information Resource Center is located just inside the entrance of the\nembassy and is under the overall direction of the public affairs officer. Although open to the\npublic, it is difficult for Haitians to access and receives on average only about a dozen visitors\neach month. It houses a small reference library, some meeting and video conferencing\ncapabilities, and exhibit and book storage. The staff includes a director, who is a trained English\nteacher, and an assistant. Neither staff member has research librarian experience or training. The\ncenter does little research or document gathering for embassy staff, concentrating instead on\nlimited outreach to libraries, schools, and other educational organizations primarily in Port-au-\nPrince. Its most popular offerings are French language book donations supplied by the U.S. book\ntranslation program at Embassy Paris, paper shows loaned or given to local schools, and a\nmonthly book discussion held at various institutions around Port-au-Prince.\n\n The center director has worked closely with U.S. embassies in Santo Domingo and Paris\nto obtain materials for future programs and to develop center management expertise. Given the\ndifficulty of attracting an audience to use the center inside the embassy and the general lack of\nprogram space available in the cramped center, the center director is actively exploring further\nprogramming in outside venues in Port-au-Prince and the provinces.\n\n Informal Recommendation 13: Embassy Port-au-Prince should close access to the\n public of the Information Resource Center except by appointment and concentrate its\n efforts on external outreach.\n\n The center does not use standard program tools such as article alert, electronic journals,\nor online data searches for the embassy staff or for external Haitian audiences, partly because\nthere is no trained research librarian on the staff. The Washington-based regional information\nresource officer has not visited the center in more than 18 months.\n\n Informal Recommendation 14: Embassy Port-au-Prince should reconfigure current\n staffing to include a trained research librarian.\n\n The center director also coordinates the activities of the Port-au-Prince American Corner,\nlocated in the library of a prominent political development-oriented nongovernmental\norganization, the Fondasyon Konesans ak Libete (FOKAL). The Corner offers a small\ncirculating collection of books and periodicals, two Internet connections, and a wide range of\nprograms including seminars and speakers. Library and FOKAL senior personnel (including one\nHarvard-trained, former Haitian Prime Minister) are extremely supportive of the Corner and\nwould like to see its operations expanded. The FOKAL director has offered the services of 22\naffiliated libraries around Haiti as American Corner programming venues.\n\n Informal Recommendation 15: Embassy Port-au-Prince should maximize programming\n opportunities at the American Corner and work closely with the Fondasyon Konesans ak\n Libete to leverage its platforms outside Port-au-Prince.\n\n\n\n 19\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n The Information Resource Center has done some work with English teaching programs\nincluding the Haitian American Institute, perhaps the largest English teaching institution in Haiti.\nA recent visit by a regional English language officer highlighted opportunities that the public\ndiplomacy section could exploit in this area. The Information Resource Center has the expertise\nto take the lead on these kinds of programs.\n\n The public diplomacy section handles the embassy\xe2\x80\x99s growing social media applications,\nwhich are managed by a recently hired part-time American LE staff member under the general\nsupervision of the public affairs officer. In a country where only an estimated 200,000 people\nhave regular access to the Internet and perhaps twice that number have intermittent Internet\nconnection, the level of the embassy\xe2\x80\x99s use of social media products like Facebook, Twitter, and\nYouTube is appropriate. The public diplomacy section also manages the embassy bilingual Web\nsite. Since April 2011 when the new LE staff member took over, embassy social media usage by\nHaitian audiences has increased by almost 50 percent. Trends indicate that across the board, both\nyouth audiences and public opinion multipliers among the Haitian elites are turning to the\nInternet as a source of information and a means of persuasion, making social media a potential\nvehicle for greater embassy exploitation.\n\nConsular Section\n\n The consular section is a productive operation that provides a full range of services with\n5 managers, 12 ELOs, 49 LE staff members, and 2 American family members. The staff is\nknowledgeable, professional, and well trained, and the section coordinates effectively with other\nsections and agencies in the mission to address operational and policy issues.\n\n All consular officers speak French, but not all received training in Haitian Creole, which\nis essential for visa interviews. The inspection team addresses this issue in the Resource\nManagement section of this report.\n\n The section was identified by the Bureau of Consular Affairs in early 2010 to gain three\nofficer positions; however, the NSDD-38 process slowed approval for two of the positions.\nWorkload projections for 2013 and beyond suggest those positions will be needed to meet\ndemand within the Bureau of Consular Affairs criteria for applicant wait times. The embassy\xe2\x80\x99s\ndecision on whether to grant NSDD-38 approval will depend in part on its ability to provide\nhousing, security, and administrative support for the new positions.\n\nConsular Management\n\n The consular section is led by an experienced senior officer who has focused on\nnormalizing operations and achieving greater consistency in work processes and products; she\nhas largely succeeded in achieving this goal. (b) (5)\n\n\n\n The consul general closely monitors work on special projects, training,\nand out-of-section opportunities(b) (5)\n The inspection team believes that a more systematic structure to\norienting incoming officers, assigning portfolios, offering special project opportunities, and\n 20\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nrewarding outstanding work through the awards program would enhance professional\ndevelopment and office morale.\n\n Informal Recommendation 16: Embassy Port-au-Prince should create and implement a\n written orientation and training program for consular entry-level officers.\n\n Within the section, the organization chart, performance rating assignments, and work\nrequirements do not reflect the actual supervisory relationships. This lack of clarity causes\nconfusion about who has authority to make decisions. The inspection team counseled consular\nmanagers on the benefit of delegating clear responsibility and authority and of performing\nsupervisory oversight to hold staff accountable.\n\n Informal Recommendation 17: Embassy Port-au-Prince should amend its consular\n performance rating assignments, work requirements, and consular section organization\n chart to clarify and delineate appropriate management relationships, responsibilities, and\n authorities.\n\n The section is facing a large turnover in summer 2012, with the consul general, deputy\nconsul general, and 8 of 12 ELOs rotating out. The consul general\xe2\x80\x99s initiative to develop a series\nof written standard operating procedures is an excellent tool to ensure continuity of operations\nfor this upcoming transition. However, these are not yet accessible on every consular employee\xe2\x80\x99s\ncomputer.\n\n Informal Recommendation 18: Embassy Port-au-Prince should use the intranet to\n facilitate internal communication in the consular section, including dissemination of\n standard operating procedures.\n\nConsular Appointment System and Entry Procedures\n\n Consular visitors begin lining up in the pre-dawn hours because too many appointments\nare made for early morning hours; thus the appointment system does not work effectively to\ncreate an even flow of applicants. The result is that hundreds of people stand for several hours,\nunprotected from the elements with insufficient seating and limited access to toilets and water.\nThe Consular Management Handbook (7 Foreign Affairs Handbook (FAH)-1 H-263.3)\nestablishes guidelines for workflow management including making adjustments to the\nappointment system. A more effective appointment system would reduce the waiting period\noutside and improve the embassy\xe2\x80\x99s public image.\n\nRecommendation 8: Embassy Port-au-Prince should modify its appointment system to\neffectively control the flow of applicants for consular services. (Action: Embassy Port-au-Prince)\n\n Informal Recommendation 19: Embassy Port-au-Prince should implement a plan to use\n media outlets, the embassy Web site, and signs to inform the public of the changes to the\n appointment system.\n\n The heavily trafficked area in front of the consular entrance floods during the rainy\nseason, creating dangerous and unsightly conditions. The drainage is inadequate to deal with\nheavy downpours; in addition, the slope directs the water toward the consular entrance. A\n 21\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nmakeshift solution involves placing wooden pallets over the muddy sidewalk areas, creating a\nsafety hazard. A drainage system designed for the climate would limit the flooding and\naccumulation of mud.\n\nRecommendation 9: The Bureau of Overseas Buildings Operations, in coordination with\nEmbassy Port-au-Prince, should repair the inadequate drainage conditions outside the consular\nentrance. (Action: OBO, in coordination with Embassy Port-au-Prince)\n\n A functional appointment system will alleviate some of the crowding, but applicants will\nstill need to stand in uncovered areas for processing through security points. Elderly and disabled\napplicants are not afforded sufficient seating options. The Consular Management Handbook (7\nFAH-1 H-281) addresses appropriate space management considerations, beginning with\napplicants entering the embassy area. Additional seating and a permanent awning to provide\nprotection from the elements for waiting applicants are customer service requirements.\n\nRecommendation 10: Embassy Port-au-Prince, in coordination with the Bureau of Overseas\nBuildings Operations, should construct awnings and place benches in the exterior waiting areas\nand courtyard to provide protection from the elements for consular clientele waiting for\nadmission to the interior waiting areas. (Action: Embassy Port-au-Prince, in coordination with\nOBO)\n\n The embassy\xe2\x80\x99s security policy prohibits consular visitors from bringing electronic\nequipment, such as cellular telephones and laptop computers, into the chancery. Currently,\nvisitors surrender their electronic equipment outside the consular compound access control\nentrance. A vendor hired by the embassy association collects fees for securing these items. (b)\n(b) (5) (5)\n\n\n\n\nRecommendation 11: Embassy Port-au-Prince should immediately cease having a vendor\ncollect a fee for storing electronic equipment outside the consular public entrance and make the\nregional security office responsible for this security function. (Action: Embassy Port-au-Prince)\n\n Informal Recommendation 20: Embassy Port-au-Prince should use its Web page,\n signage, and other public information outlets to inform the public which items are not\n permitted in the consular waiting areas.\n\n An insufficient number of poorly placed signs and a few stanchions inadequately\norganize pedestrian traffic flow. The arrows on the single multidirectional sign point in the\nwrong directions. Guards direct people effectively, but the signs are confusing and incomplete.\nThe Consular Management Handbook (7 FAH-1 H-263.6) establishes guidance for consular\nsignage.\n\n Informal Recommendation 21: Embassy Port-au-Prince should place appropriate signs\n to direct the public through the consular entry and waiting areas.\n\n An automated queuing system is installed in all waiting room areas but is only used in the\nAmerican citizens services area. The nonimmigrant visa unit uses an effective system that serves\n 22\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\napplicants in the order they arrive. However, the automated queuing system could be used\neffectively in the immigrant visa waiting areas to direct applicants to interview windows. The\nConsular Management Handbook (7 FAH-1 H 263.7) establishes the value of a queuing system.\n\n Informal Recommendation 22: Embassy Port-au-Prince should use the automated\n queuing system for managing the applicant flow in the immigrant visa unit.\n\nAmerican Citizens Services\n\n The American citizens services unit handles routine and complex special consular\nservices cases well. The unit serves an estimated 22,750 American citizen residents, consisting\nlargely of Haitian-Americans, missionaries, and development workers, and to an estimated 1,000\nto 6,500 visitors in country at any one time. A travel warning, which was being updated during\nthe inspection, describes Haiti as a country affected by violent crime and poor infrastructure; the\nunit\xe2\x80\x99s services for victims of violent and serious crime are especially commendable.\n\n The American citizens services unit maintains the consular portion of the duty book and\nprovides training to duty officers. The duty program, which involves U.S. direct-hires from all\nagencies, is a vital embassy-wide crisis response training tool for a possible hurricane or\nearthquake. The American citizens services unit works as part of the embassy emergency action\nteam and has requested essential items for an emergency fly-away kit in the event of a crisis or\nnatural disaster. Some of those items remain pending with the procurement unit in the\nmanagement section after months.\n\n Informal Recommendation 23: Embassy Port-au-Prince should procure the items\n needed for the American citizens services emergency fly-away kit.\n\n The unit\xe2\x80\x99s LE staff is excellent and the unit has a good network of contacts. Maintaining\nand developing new contacts throughout the country is essential in providing emergency services\nto Americans. Funds are not always available when needed for travel or for developing and\nmaintaining contacts throughout the country. The inspection team counseled consular\nmanagement on the value of submitting an annual representational and travel plan to ensure\ncontact with essential personnel who provide assistance for Americans in emergency situations.\n\n Informal Recommendation 24: Embassy Port-au-Prince should implement a plan to\n provide adequate representational and travel funds for the consular section.\n\n In 2011, the consular section handled 24 new arrest cases and had five Americans in\nprison. Prison conditions are poor and judicial processes slow. The American citizens services\nunit initiated action to propose a Prisoner Transfer Treaty, which would open the option for U.S.\ncitizens convicted of crimes in Haiti to apply for a transfer to a U.S. prison. Embassy Port-au-\nPrince sent an action request to the Department in October 2011 but the response is still pending.\n\nRecommendation 12: The Bureau of Consular Affairs, in coordination with the Office of the\nLegal Adviser, should act on Embassy Port-au-Prince\xe2\x80\x99s proposal for a prisoner transfer treaty.\n(Action: CA, in coordination with L)\n\n\n\n 23\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n Haiti has signed the Hague Adoption Convention but is still far from complying with all\nthe provisions of the convention, and the consular section is tracking Haitian compliance and\nassisting as needed. In 2011, the unit managed 6 cases involving 13 abducted children; and from\nJanuary to mid-February 2012, there were 8 new child abduction cases. Given the increasing\nnumber of child abduction cases, the unit initiated action, and in December 2011 the Department\napproved, a diplomatic note regarding Accession to the Hague Convention on the Civil Aspects\nof International Parental Child Abduction. The inspection team applauds the foresight of the\nconsular section and this proactive approach even though compliance with the provisions of the\nconventions may not occur rapidly.\n\n The embassy is aware of the \xe2\x80\x9cNo Double Standard\xe2\x80\x9d policy in 7 FAM 052, which requires\nthe Department to make security information available to both the official and nonofficial\nAmerican communities. However, at times there has been confusion about the appropriate roles\nof the consular section and the regional security office for addressing law enforcement matters\nthat emerge in the course of consular casework. Both the consul general and regional security\nofficer are mindful of this confusion.\n\n Informal Recommendation 25: Embassy Port-au-Prince should delineate responsibilities\n and establish standard operating procedures for consular section and regional security\n office cooperation in cases involving American citizens and law enforcement issues.\n\nNonimmigrant Visas\n\n The nonimmigrant visa unit dealt with a workload of close to 55,000 cases in FY 2011.\nThe unit functions efficiently under the capable direction of a mid-level manager, with solid\nELOs and excellent LE staff.\n\n The visa appointment backlog extended more than 30 days for approximately half of\n2011. Unreliable civil records and unreported deaths following the earthquake make\ndocumentary and imposter fraud a daily challenge. A large UN peacekeeping presence and\ninternational nongovernmental organizations composed of many third country nationals\ncontribute to a diverse applicant pool. Congressional interest and other inquiries create a large\ncorrespondence workload.\n\n On January 15, 2010, Haitians in the United States were declared eligible for Temporary\nProtected Status; the status was redesignated on May 19, 2011, and expanded to include Haitians\ncontinuously present in the United States since January 12, 2011. The U.S. Department of\nHomeland Security informed the inspectors that approximately 53,000 Haitians had applied for\nextension of Temporary Protected Status and that they had received an additional 18,000 new\napplications with the May 2011 extension. Many Haitians have family ties to the United States\nthrough those in Temporary Protected Status, dual national Haitian-Americans, or legal\npermanent resident relatives. Many applicants present unreliable documents making\nnonimmigrant intent difficult to adjudicate.\n\n In January 2012, The Department of Homeland Security added Haiti to the list of\ncountries whose nationals are eligible for temporary worker status in the United States. In 2009,\nHaiti was among the top five countries in the world for temporary worker visas; however,\neligibility was withdrawn in 2010. The reinstatement of eligibility for temporary worker visas\n 24\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n could add significantly to workload, and the nonimmigrant visa unit is preparing for that\n eventuality.\n\n\n Visa Referral Program\n\n The nonimmigrant visa unit provides monthly training on the worldwide referral\n guidelines and provides potential referrers with a handout of the 9 FAM Appendix K\n requirements. An out-of-date published management notice posted on the embassy intranet Web\n site was updated before the end of the inspection. The inspection team suggested that periodic\n briefings for country team members would help ensure compliance with the referral policy.\n\n Immigrant Visas\n\n The immigrant visa unit operates smoothly under the leadership of the deputy consul\n general. Experienced LE staff support the unit. Many unreliable documents and the\n misrepresentation of qualifying relationships complicate adjudications, and congressional and\n other high-level interest creates a large correspondence workload. The unit has a cordial working\n relationship with the adjacent U.S. Citizenship and Immigration Services office of the\n Department of Homeland Security.\n\n In 2010, the National Visa Center received more than 100,000 petitions for Haitians to\n immigrate to the United States, twice the number of the previous year. This increase will begin to\n affect immigrant visa demand in Port-au-Prince as priority dates become current.\n(b)(5)(b)(6)\n\n\n\n\n The unit chief oversees operations professionally and is available to answer questions by\n officers and LE staff; however, he rarely holds unit-wide meetings, believing that the close-knit\n unit makes them unnecessary. However, the staff expressed concerns that information is not\n consistently shared. The inspection team counseled the immigrant visa chief on the value of\n holding regular immigrant visa unit meetings to enhance professional development and to\n promote continuity in processing and consistency in adjudications.\n\n Adoptions of Haitian orphans by U.S. citizens present a high-profile and heavy caseload.\n Over 1,000 orphans were admitted to the United States under Section 212(d)(5)(A) of the\n Immigration and Nationality Act for humanitarian reasons following the earthquake, virtually\n eliminating the waiting list for orphan adjudications and related immigrant visa appointments.\n The workload is gradually building again, and new Haitian adoption regulations are being\n proposed and implemented to comply with the requirements of the Hague Adoption Convention.\n These changes make adopting in Haiti a confusing process. A new American position has been\n established to handle this workload, and the first incumbent is due to arrive in June 2012.\n\n\n 25\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nFraud Prevention Unit\n\n The fraud prevention unit is led by a mid-level officer and has six LE staff investigators.\nThey primarily investigate document and relationship fraud relating to immigrant visas,\npassports, and reports of birth. Poor document production and verification creates a vulnerability\nto the integrity of all documentary evidence. The fraud prevention unit performs investigations\nfor all consular subunits. A new ARSO-I position is a positive augmentation to the consular\nsection\xe2\x80\x99s ability to prevent and detect fraud.\n\n The unit has focused on casework, to the neglect of validation studies and trend reporting.\nBetter distribution of work among LE staff with more clearly defined portfolios would also\nenhance the efficiency of the unit.\n\n Informal Recommendation 26: Embassy Port-au-Prince should conduct regular briefing\n sessions for consular officers on country-specific and worldwide fraud trends.\n\n Informal Recommendation 27: Embassy Port-au-Prince should establish accurate work\n requirements reflecting the portfolios of the locally employed staff in the fraud\n prevention unit.\n\nAssistant Regional Security Officer-Investigations\n\n The ARSO-I function is new to the embassy; an ARSO-I arrived in December 2011. A\nForeign Service national investigator position has been established, but the position had not been\nfilled at the time of the inspection. Despite 18 months advance notice of the ARSO-I\xe2\x80\x99s arrival,\nthe embassy had not reconfigured appropriate office space within the consular section. As a\nconsequence of having no assigned private office space, the ARSO-I was working a flexible\nschedule in order to make sensitive investigative telephone calls without being overheard.\n\nRecommendation 13: Embassy Port-au-Prince, in coordination with the Bureau of Overseas\nBuildings Operations, should construct office space within the consular section that meets\nstandard requirements for the assistant regional security officer-investigations and staff. (Action:\nEmbassy Port-au-Prince, in coordination with OBO)\n\n ARSO-I work requirements were established during the inspection, with the regional\nsecurity officer as the rating officer and the consul general as the reviewing officer. The ARSO-I\nhad begun to establish relationships with consular staff and had proposed standard operating\nprocedures to consular managers. During the inspection, she provided a briefing to consular\nofficers to acquaint them with the resources now available to them through the ARSO-I function.\nRobust communication and ongoing training will enhance the value that the ARSO-I program\nbrings to the embassy\xe2\x80\x99s consular antifraud work.\n\n Informal Recommendation 28: Embassy Port-au-Prince should conduct regular\n briefings for consular staff on the assistant regional security officer-investigations\n function and program.\n\n\n\n\n 26\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\nVisas Viper Program\n\n Embassy Port-au-Prince held all required Visas Viper meetings and the consular section\nsubmitted all required reports on time. During the past year, there were regular reports of\nmonthly meetings, but no names were submitted.\n\nCorrespondence and Congressional Interest Unit\n\n The correspondence unit handles written, phone, and email inquiries. Four LE staff\nmembers respond to routine inquiries regarding appointments or documentary requirements\nusing templates; one ELO rotates part-time to the correspondence unit to draft more complex\nresponses. On average, the unit responds to 250 email inquiries daily using templates; 10-15\ninquiries every week require officer input. The unit also responds to 200 to 300 phone calls and\nup to 15 congressional inquiries daily. The unit manages the section\xe2\x80\x99s content on the Internet and\nintranet sites and prepares materials for consular outreach and off-site service visits. The\ninspection team explained the advantages of making greater use of the intranet Web site.\n\nRegional Security Office\n\n Security risk management is extremely important at this critical crime post and the\nregional security office leads a robust and well-coordinated program to manage security risks\nproperly. An extensive discussion of this subject can be found in the classified annex to this\nreport.\n\n\n\n\n 27\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nResource Management\n U.S. Personal Eligible Foreign\n direct- services family LE Service FY11\n Agency hires contractors members staff nationals Total Funding\nDepartment of State\nProgram 48 3 0 2 51 104 $3,968,400\nMRV 0 0 5 1 15 21 $851,635\nICASS 9 0 4 7 350 370 $16,540,293\nPublic Diplomacy 2 0 0 2 7 11 $1,182,579\nDiplomatic Security 5 0 0 2 617 624 $8,341,278\nMarine Security 7 0 0 0 3 10 $100,030\nNarcotics Affairs Section 2 $19.420,000\nOBO 1 0 0 0 0 1 $23,603,152\nORA 3 0 0 0 1 4 $5,403,323\nOSC 0 0 0 0 1 1 $151,557\nDepartment of\nAgriculture\nAPHIS 0 0 0 0 12 12 $1,092,954\nDepartment of Defense\nDefense Attach\xc3\xa9 Office 4 0 0 0 1 5 $341,425\nHIS 0 0 0 0 2 2 $862,000\nMLO 5 0 0 0 4 9 $210,000\nDepartment of Justice\nDEA 5 0 0 1 0 6 $563,098\nDepartment of Homeland\nSecurity\nCIS 2 0 0 0 4 6 $418,862\nCoast Guard 1 0 0 0 0 1 $290,780\nTreasury 1 0 0 0 0 1 $690,000\nDepartment of Health &\nHuman Services\nCDC/PEPFAR & GDD 6 0 0 0 1 7 NA\nCDC/PEPFAR 1 0 1 0 44 46 $77,797,419\nCDC/GDD 1 0 0 0 23 24 $61,891,750\nUSAID\nUSAID 35 17 0 12 110 174 $810,281,198\n\nTOTAL 136 20 10 27 1246 1439 $1,014,581,733\n\n\n\n\n2\n Narcotics affairs staffing included in program\n 28\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nManagement\n\n The management section has made progress in providing services since the 2010\nearthquake that devastated Haiti\xe2\x80\x99s already frail and largely nonfunctioning infrastructure. Many\naspects of the operation, however, continue to run in crisis mode. Frequent high-level visits that\nrequire logistical support, the surge of staffing added to the embassy staff, and reestablishing safe\nand secure housing add to the immediate workload. Until recently, staffing gaps in critical\nmanagement positions and interpersonal tensions impeded effective collaboration. With the\nassignment of permanent staff to replace a succession of temporary duty officers, the embassy\ncan build a cohesive and stabilized management team for this critical transitional phase. The\nhousing inventory has almost reached parity with the embassy\xe2\x80\x99s staffing and, despite continuing\ndelays, government-owned housing projects hold great promise to save money and resolve\nbroader operational and quality of life challenges.\n\n The section is handling the day-to-day workload and making incremental progress on\nmany fronts, but the inspection team identified numerous areas for improvement. OIG\nquestionnaire results indicated low levels of customer satisfaction with scores below prior post\naverages in 31 of 32 core management areas measured by the survey.\n\n As the section deals with the immediately urgent issues, other important management\nfunctions struggle for attention. The inspection team found internal control lapses in high-risk\nareas, such as the embassy\xe2\x80\x99s $4.4 million bulk fuel program, information technology property\naccountability, and the excessive use of cash transactions. It also found basic International\nCooperative Administrative Support Services (ICASS) management requirements unfulfilled and\nredundant administrative services being performed. The management team is making progress on\nreviewing standard policies and procedures, but the policies are incomplete and inefficiently\nshared. The embassy\xe2\x80\x99s intranet Web site includes management policies and management\nannouncements, but these are not well-organized and, in some cases, are wrongly categorized or\nduplicated.\n\nRecommendation 14: Embassy Port-au-Prince should review its management policies and\nprocedures, and reorganize and categorize them on its intranet Web site for easier access and\nnavigation by employees. (Action: Embassy Port-au-Prince)\n\nRightsizing\n\n The May 2011 Department rightsizing review of Embassy Port-au-Prince assumed an\n\xe2\x80\x9coptimistic scenario\xe2\x80\x9d in which overall staffing would begin to decline by 2016, though American\nstaffing would increase slightly. The Office of Rightsizing projected an eventual decrease from\n1,259 U.S. Government positions (including 125 U.S. direct-hires) to 956 U.S. Government\npositions (including 132 U.S. direct-hires). At the time of the inspection, the overall staffing of\nthe embassy was continuing on an upward trajectory.\n\nNational Security Decision Directive 38\n\n The Ambassador and DCM are acutely aware of the need to be certain the embassy can\nsupport additional staff before approving NSDD-38 requests. They consult with the management\nand regional security offices in deciding upon requests to add additional positions. The\n 29\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nmanagement and security offices need to improve their advance planning to ensure that all the\nadministrative, logistical, and security support needs of the proposed positions can be met. The\nOffice of Rightsizing provides a reference document titled \xe2\x80\x9cAction Request and Guidance for\nChief of Mission NSDD-38 Requests\xe2\x80\x9d that provides specific guidance regarding these issues.\nThe embassy focuses on housing for new positions, but there is no indication or documentation\nthat it adequately plans for full administrative and security support that meets mission\nrequirements.\n\nRecommendation 15: Embassy Port-au-Prince should implement a plan to determine the full\nadministrative and security support requirements and costs for positions proposed for approval\nunder National Security Decision Directive 38. (Action: Embassy Port-au-Prince)\n\n The inspection team noted discrepancies in the status of several embassy actions entered\ninto the Department\xe2\x80\x99s NSDD-38 database. Twenty-five positions were designated as pending,\nsome since 2006. A review indicated only 6 remained valid; the remaining 19 were removed\nfrom the database. An additional 60 positions dating from 2010 to 2012 appeared in the system.\nNeither the inspectors nor the embassy could determine whether the staffing pattern correctly\nreflected the positions that were added or eliminated by the NSDD-38 process. Accurate\nreconciliation of the staffing pattern is important not only for accountability of staffing levels,\nbut also to ensure correct ICASS billing.\n\nRecommendation 16: Embassy Port-au-Prince, in coordination with the Office of Management\nPolicy, Rightsizing, and Innovation, should reconcile all of its National Security Decision\nDirective 38 actions against its staffing pattern. (Action: Embassy Port-au-Prince, in\ncoordination with M/PRI)\n\nConsolidation of Administrative Services\n\n The urgency of post-earthquake assistance and high-level interest in Haiti generated rapid\ngrowth that focused more on building capacity than maintaining a single administrative service\nprovider. Redundant services have proliferated. Multiple agencies maintain their own vehicle\nfleets, warehouse facilities, residential furniture, and LE staff recruiting. The embassy has not yet\ndeveloped a plan to consolidate services. Recent guidance (Department cable 11450, dated\nFebruary 7, 2012) directs chiefs of mission and mission directors to \xe2\x80\x9cexpeditiously complete\naction on the consolidation of the 15 administrative services\xe2\x80\xa6by 30 September 2012.\xe2\x80\x9d It also\ndirects consolidation of household furniture, furnishings, and appliance pool services.\n\nFinancial Management\n\n The financial management unit is led by an experienced financial management officer\nand 13 LE staff members, with 1 position currently vacant. As with every other unit in the\nmanagement section, the unit\xe2\x80\x99s workload has grown exponentially since the earthquake. All\nvoucher clerks and accountants said they had received the appropriate training and all have been\ncross-trained to do other work.\n\n\n\n\n 30\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\n\n Funding\n\n Embassy Port-au-Prince is adequately funded. As staffing levels stabilize, funding will\n likely decrease. In the meantime, the embassy has effectively used existing funding for the\n purchase of equipment and supplies and for providing much needed training to LE staff.\n However, there are several areas that deserve scrutiny such as the large amount of LE staff\n overtime (30,000 hours in a 6-month period in 2011, mostly for local guards, motor pool, and\n facilities staff), the $4.4 million fuel program, and the provision of a BlackBerry device for every\n U.S. direct-hire at the embassy.\n\n Recommendation 17: Embassy Port-au-Prince should develop a comprehensive plan to review\n all line items in the budget to determine where cost savings are possible. (Action: Embassy Port-\n au-Prince)\n\n Vouchering\n\n The embassy uses the remote post support unit system to process a large number of its\n vouchers. Cost of the service is favorable to the embassy. For FY 2012, total cost is projected to\n be $75,000, or $12 per fiscal strip processed. In comparison, in FY 2011 the embassy charged its\n customers $48.43 per fiscal strip processed. Moreover, outsourcing voucher processing enhances\n fiscal oversight and internal controls. The OIG team endorsed the use of the post support unit as\n a cost-effective and managerially sound means to process vouchers.\n\n Processing of travel vouchers and travel advances are contentious issues at the embassy.\n Department regulations are clear: vouchers are to be completed 5 days after the travel is\n completed (4 FAM 465.1 a.) and additional travel advances are not to be provided until previous\n travel advances are cleared (4 FAM 463.3-4 b.(6)). However, the exigency of urgent business,\n last minute requests for travel advances, and excessive workload are frequently cited reasons\n why these regulations cannot be followed. Outstanding travel advances are far too numerous.\n The embassy is making a concerted effort to reduce the amount outstanding, currently over\n $200,000.\n\n Recommendation 18: Embassy Port-au-Prince should develop and enforce a policy relating to\n the timeliness of voucher preparation and the issuance of travel advances. The policy should\n address both the regulatory requirements and the needs of the agencies at the embassy to\n effectively perform their business. (Action: Embassy Port-au-Prince)\n(b) (5)\n\n\n\n\n 31\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n(b) (5)\n\n\n\n\n International Cooperative Administrative Support Services\n\n The ICASS council appears to have become more active under its current leadership. An\n ICASS charter was only recently developed and approved. The embassy does not prepare ICASS\n meeting minutes despite a requirement for them (6 FAH-5 H-222.3-9 a.), and there is no\n evidence that the ICASS budget committee has ever met. The council, in effect, is currently\n functioning as both council and budget committee. To its credit, the council has developed a list\n of ICASS concerns that it hopes to address in the near future. The council should take the next\n step of assigning this list to the budget committee and, if necessary, budget subcommittees, for\n action and recommendations.\n\n Recommendation 20: Embassy Port-au-Prince should require its International Cooperative\n Administrative Support Services budget committee to exercise its responsibilities, including\n identifying areas of potential cost savings and efficiencies. (Action: Embassy Port-au-Prince)\n\n Informal Recommendation 29: Embassy Port-au-Prince should establish working\n groups as part of the International Cooperative Administrative Support Services budget\n committee to address the list of top priorities already drafted by the council.\n\n\n\n\n 32\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n Informal Recommendation 30: Embassy Port-au-Prince should designate a note taker\n for International Cooperative Administrative Support Services council meetings and post\n the minutes on the embassy\xe2\x80\x99s intranet Web site.\n\n As part of the accountability and feedback process, and as stated in 6 FAH-5 H-222.3-5,\nthe council chairperson, in collaboration with the council members, and the management\ncounselor are required to prepare an annual review of ICASS services. Findings in the review are\nbased on a mutual understanding of roles, responsibilities, and mission priorities among mission\ncommunity members. This assessment is sent through the DCM to the Ambassador for his\ninformation. The report is due to the Ambassador by June 1 annually.\n\nRecommendation 21: Embassy Port-au-Prince should prepare an annual review of services\nprovided under International Cooperative Administrative Support Services. (Action: Embassy\nPort-au-Prince)\n\nHuman Resources\n\n The human resources unit is staffed with one U.S. direct-hire officer and seven LE staff\nmembers. An American eligible family member position was vacant at the time of the inspection.\nAs with other areas of management, the human resources office has taken advantage of available\nfunding to provide its staff adequate training and cross-training. The current human resources\nofficer is the first incumbent of the position that was established at the embassy following the\n2010 earthquake. Prior to 2010, the Florida Regional Center provided oversight for the human\nresources office; now, the regional center provides minimal support\n\n Like other units in the management section, the human resources unit is overwhelmed\nwith urgent action requirements that allow it little time to establish and implement internal\ncontrols. For example, much of the overtime at the embassy (usually several thousand hours per\nmonth) is not preapproved. The embassy issued a management notice regarding overtime and\ncompensatory time in October 2011, but as with so many other matters at the embassy, the\nexigency of business has often taken precedence over the need to follow regulations and policies.\n\nEvaluation reports\n\n Although U.S. direct-hire and eligible family member reports are completed on time,\nthere is a large backlog of uncompleted evaluation reports for the LE staff. During the\ninspection, a total of 135 employee performance reviews were overdue, 94 of which applied to\nlocal guard force or other security personnel. Supervisors must adequately monitor performance\nto meet the embassy\xe2\x80\x99s operational goals and to maintain LE staff morale.\n\nRecommendation 22: Embassy Port-au-Prince should implement a plan that results in timely\ncompletion of locally employed staff employee performance reviews throughout the embassy,\nwith clearly defined consequences for delinquent reports. (Action: Embassy Port-au-Prince)\n\nAwards\n\n In 2011, 236 employees of the mission received performance awards. In September 2011,\nthe embassy implemented the Department\xe2\x80\x99s new interagency mission award policy that now\n 33\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nallows all agencies to participate in one embassy-wide award program. A review of the awards\npolicy shows it is adequate in all respects but one. The committee is not provided specific\ninstructions relating to rejected awards. If the committee decides the award nomination is\ninsufficient, it must be returned to the nominator for revision or altogether dismissed.\n\n Informal Recommendation 31: Embassy Port-au-Prince should revise and reissue the\n awards policy to include specific guidance relating to rejected awards.\n\nVisitor List\n\n The DCM\xe2\x80\x99s office management specialist prepares a visitor list once a week and\ndistributes it to selected offices. She obtains information from the Department\xe2\x80\x99s eCountry\nClearance database and emails from other agency officials. However, there is no assurance that\nthis list captures all visitors to the embassy, and therefore, the embassy does not capture related\nICASS costs. The management section does not maintain a list.\n\n Informal Recommendation 32: Embassy Port-au-Prince should implement a plan to\n account for official visitors and capture the associated costs in an accurate and timely\n manner, including delegating to one element of the embassy the responsibility to\n maintain an authoritative list.\n\nLocally Employed Staff Compensation\n\n Port-au-Prince implemented a 16 percent overall average wage increase to basic LE\ncompensation rates in 2011. Due to the wage freeze, funds for potential wage increases for 2012\nare not being made available to the embassy. The embassy currently has a retirement plan\nmanaged by a local firm but the plan is as much as $13 million underfunded. Embassy Port-au-\nPrince will be allowed to participate in the Foreign Service national defined contribution plan.\nThe receipt of a cable with such approval was still pending at the time of the inspection. The LE\nstaff does not participate in the local social security system.\n\nLanguage Instruction Program\n\n The inspection team reviewed the language designations assigned to each position and\nfound them to be appropriate. The inspection team concurs in the current practice of French as\nthe essential designated language. Although none of the positions has a Haitian Creole language\ndesignation, several employees are able to complete the Foreign Service Institute 8-week Haitian\nCreole course after their French language instruction and they rate the course positively.\n\n In the earthquake\xe2\x80\x99s aftermath, the Department approved waivers for assignments into\npositions with language designations so that essential functions could be met. As part of the\nreturn to normalcy, the Ambassador has discouraged language waivers and employees\xe2\x80\x99 arrival\ndates have been delayed until necessary language proficiency levels are met. The Bureau of\nDiplomatic Security\xe2\x80\x99s commitment to schedule security officers for requisite language training\nand avoid language waivers will help improve French capabilities in the regional security office\nin the next assignment cycle.\n\n\n\n 34\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n The Department and USAID are cosponsors of the post language program. The French\nand Haitian Creole instructors are USAID full-time employees. The Foreign Service Institute\nfunds the teaching materials. Agencies reimburse USAID for classes taken by their employees.\nUSAID employees are a majority of the 41 students and 5 students are eligible family members.\nInstructional hours are scheduled to facilitate employees\xe2\x80\x99 attendance. Online resources are also\navailable.\n\n Numerous employees told the inspection team that Haitian Creole is valuable for both\nprofessional and social purposes. The inspectors identified Haitian Creole fluency to be\nespecially useful for consular, general services, information technology, public diplomacy, and\nreporting officers, and for the assistant regional security officers. Office management specialists\nand others also benefit from Haitian Creole skills. A concerted investment of time for employees\nto complete the 8-week Haitian Creole course would contribute to improving morale in the\nchallenging work environment.\n\nRecommendation 23: Embassy Port-au-Prince, in coordination with the Bureau of Human\nResources, the Bureau of Western Hemisphere Affairs, and the Bureau of Consular Affairs,\nshould build the Foreign Service Institute 8-week Haitian Creole course into as many assignment\nschedules as possible. (Action: Embassy Port-au-Prince, in coordination with DGHR, WHA, and\nCA)\n\n Broader use of the post language program also would help to develop and maintain\nemployees\xe2\x80\x99 fluency in French or Haitian Creole so they could use language skills more\neffectively in their work.\n\n Informal Recommendation 33: Embassy Port-au-Prince should implement a plan to\n encourage employees to pursue and maintain French or Haitian Creole language skills.\n\nEqual Employment Opportunity\n\n Port-au-Prince has two Equal Employment Opportunity (EEO) counselors. Both have\nreceived the mandatory EEO counselor training. In 2011, they organized a series of three\ntraining programs in the embassy that included about 250 American and Haitian employees.\nDespite this activity, it appears that more can be done to promote EEO at the embassy. Since\nApril 2011, there has been no EEO information circulated to employees. The embassy\xe2\x80\x99s intranet\nWeb site makes no mention of EEO and information regarding the program or the counselors is\nnot widely displayed in public locations. Additionally, the embassy has no LE staff member\nserving as an EEO liaison. These additions would enhance and promote EEO awareness at the\nembassy.\n\n Informal Recommendation 34: Embassy Port-au-Prince should post information\n concerning the Equal Employment Opportunity program on its intranet Web site.\n\n Informal Recommendation 35: Embassy Port-au-Prince should display its Equal\n Employment Opportunity information in more visible and public locations.\n\n Informal Recommendation 36: Embassy Port-au-Prince should appoint several of its\n locally employed staff members as Equal Employment Opportunity liaisons.\n 35\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\n General Services\n\n The general services unit shouldered a significant share of the post-earthquake recovery\n burden while simultaneously coping with, and building capacity to support, a rapid increase in\n embassy staffing. Even with the addition of two assistant general services officers and a\n generally proficient LE staff, the unit has been hard-pressed to keep pace. Attending to expedient\n and immediately urgent tasks has superseded standard operating procedures and internal\n controls. Staffing gaps and lack of continuity due to a succession of temporary duty employees in\n the supervisory position have had a negative impact on the unit during a critical time period. The\n imminent arrival of a permanent supervisory general services officer may provide the continuity\n and leadership that has been missing for many months.\n\n Automation of general services has come slowly and late to Embassy Port-au-Prince; it\n will be one of the last posts in the Department to implement the Integrated Logistics\n Management System. Installation is scheduled for March 2012, and the system should be helpful\n in defining processes and instilling discipline and collaboration among customers, general\n services users, and financial management staff.\n\n Property Management\n\n Upon arrival, the entry-level assistant general services officer responsible for property\n management established an ambitious project list that he is systematically accomplishing. He is\n addressing short-term tasks, such as disposing of damaged and unneeded property, as well as\n long-term needs, such as establishing standard procedures. However, the inspection yielded a\n number of specific areas that expose the embassy to risk.\n(b) (5)\n\n\n\n\n Recommendation 24: Embassy Port-au-Prince should implement a plan that establishes an\n accurate baseline inventory and adequate accountability for and tracking of all nonexpendable\n property, including information technology equipment. (Action: Embassy Port-au-Prince)\n\n Residential property controls were in large part suspended after the earthquake. Many\n residences were deemed unsafe to enter under any circumstances, so the embassy wrote off the\n furniture, furnishings, and appliances in 37 housing units. Disposal documents, including DS\n Form 132, appeared complete and in order. However, more than 20 current employees have\n failed to sign their residential inventories as required by 14 FAM 416.3 g., so those occupants\n have not properly assumed accountability for the property.\n\n\n\n 36\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n Informal Recommendation 37: Embassy Port-au-Prince should implement a procedure\n that requires occupants to inventory property in their residences and return inventory\n documents to the general services unit in a timely manner.\n\n The receiving function appears to work satisfactorily. The receiving clerk position has\nbeen vacant since August 2011, but a backup employee is performing those duties. As 14 FAM\n413 states, the receiving clerk \xe2\x80\x9cis the link between the procurement, property, accountability, and\ncertifying functions.\xe2\x80\x9d The clerk therefore plays an important role in the greater supply chain\nmanagement system.\n\n Informal Recommendation 38: Embassy Port-au-Prince should recruit, hire, and train a\n receiving clerk.\n\nMotor Pool Operations\n\n The motor pool delivers adequate service to its customers on a daily basis, as reflected in\nrelatively high scores on the OIG questionnaire compared to other embassy units. In addition to\nfulfilling on-demand transportation requests, it operates 14-18 daily employee home-to-office\nshuttles, provides student transportation to three schools, and delivers fuel and water to\nresidences. The unit also meets the requirements of the large number of logistically demanding\nhigh-level visits to the embassy. Of the 34 drivers, 4 are dedicated to the executive office and 5\nare dedicated to the fuel and water trucks.\n\n The recently published vehicle policy continues the provision of no-cost, home-to-office\ntransportation. This policy does not meet the requirement of 14 FAM 433.4 a.(2) that no-cost\ntransportation is \xe2\x80\x9cin an armored vehicle with a security escort.\xe2\x80\x9d In contradiction to the\njustification on the grounds of security, employees are allowed to drive the same routes in their\npersonally owned vehicles, which are authorized for shipment to the embassy.\n\nRecommendation 25: Embassy Port-au-Prince should bring its home-to-office transportation\npolicy into compliance with regulations on charges for other authorized use of official vehicles.\n(Action: Embassy Port-au-Prince)\n\n As a consequence of the home-to-office shuttle shifts, many drivers are beginning their\nduty day at 5:30 a.m. and working until 6:00 p.m. or later. Earlier efforts to stagger work hours\nto avoid violating the Department\xe2\x80\x99s Motor Vehicle Safety Management Program\xe2\x80\x99s 10-hour limit\non a driver\xe2\x80\x99s duty shift failed. The Department policy allows exceeding the 10-hour limit under\nexceptional circumstances, but the embassy is doing so routinely and without the required\napproval by the principal officer. More importantly, the practice poses a safety problem that is\nexacerbated by the difficult road and driving conditions in Haiti.\n\nRecommendation 26: Embassy Port-au-Prince should bring driver duty shifts into compliance\nwith the Motor Vehicle Safety Management Program. (Action: Embassy Port-au-Prince)\n\n The embassy\xe2\x80\x99s latest Integrated Logistics Management System inventory lists 216\nvehicles. There are 294 vehicles at the embassy, including 44 belonging to USAID and 31\nbelonging to the Centers for Disease Control and Prevention. The post-earthquake increase of\npersonnel and the immediate need to support their missions resulted in rapid acquisition of\n 37\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n vehicles. The absence of a consolidated support platform allowed vehicle acquisition with no\n overall coordination. As the embassy moves toward normalcy and achieving Quadrennial\n Diplomacy and Development Review objectives related to single service providers, a review of\n its fleet per 14 FAM 434.3 will ensure the right mix of passenger and cargo-carrying vehicles\n and that vehicles are assigned and used properly.\n\n Recommendation 27: Embassy Port-au-Prince should conduct a motor vehicle fleet review in\n accordance with Department of State regulations and take appropriate steps to match its\n inventory with the results of the review. (Action: Embassy Port-au-Prince)\n(b) (5)\n\n\n\n\n Recommendation 28: Embassy Port-au-Prince should implement a plan to improve internal\n controls and oversight of its residential and embassy compound fuel operations. (Action:\n Embassy Port-au-Prince)\n\n Procurement\n\n The procurement unit is staffed with proficient LE staff and is supervised by an assistant\n general services officer who has it as his only area of responsibility. The unit functions well and\n generally follows defined procedures. It has benefited from automation and its earlier adoption of\n Web Post Administrative Software Suite Procurement should make conversion to the Integrated\n Logistics Management System easier. Its automated database is relatively well maintained,\n though the unit finds it difficult to close purchase orders due to a cumbersome process of\n combing through pending transactions and working with the financial management section to\n verify final payment to vendors. The inspection team conducted a spot check of purchase orders\n and found them to be neat, well documented, and complete.\n\n The embassy currently maintains seven formal contracts. Files are maintained in good\n order and appeared complete, with a few exceptions. The contracting officer\xe2\x80\x99s representatives for\n 38\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nthe travel management and cellular phone service contracts had not completed the required\ntraining as required by 14 FAH-2 H-113 c.\n\n Informal Recommendation 39: Embassy Port-au-Prince should require that contracting\n officer\xe2\x80\x99s representatives complete training as required by regulation.\n\nExamination of the contracts also indicated that four of them did not include the mandatory\nFederal Acquisition Regulation clause 52.222-50 pertaining to trafficking in persons. Two of the\ncontracts will be renewed or rebid soon, at which time the unit will include the clause. The\nremaining two have not yet been amended to add the clause.\n\nRecommendation 29: Embassy Port-au-Prince should include Federal Acquisition Regulation\nclause 52.222-50 in its formal contracts. (Action: Embassy Port-au-Prince)\n\nHousing and Real Property\n\n Finding safe (including seismically approved), secure, and maintainable housing has been\none of the embassy\xe2\x80\x99s greatest challenges. Fifty-nine percent of embassy housing was lost in the\nearthquake or its aftermath and suitable buildings that meet seismic standards are difficult to\nfind. Of 648 residences inspected between February 2010 and February 2012, the embassy\nbrought only 100, about 15 percent, under lease. The rapid increase in staffing made the task\neven more difficult. The Bureau of Overseas Buildings Operations has been supportive\nthroughout.\n\n Eighteen government-owned units are currently occupied, another 19 are scheduled for\ncompletion in July 2012, and plans are under way for the construction of 86 additional units on\nproperty close to the embassy compound. The completion of the housing units will result in\nsignificant cost savings of at least $3 million from reduced guard force requirements,\nconsolidation of generator sets, and more efficient delivery of fuel and water as well as\nmaintenance services. By reducing employee commuting time, the completion of the housing\nprojects will also have a positive impact on morale. However, it will increase the time children\nspend commuting to school, and may deter some parents of school-age children from seeking\nassignments to Port-au-Prince.\n\n In the meantime, the embassy has made great progress in leasing and making ready a\npool of residences that almost matches the current staffing, though additional positions continue\nto be added with short notice. The Interagency Housing Board assignment process has improved\nin the past several months and documentation of proceedings is adequate. OIG questionnaires\nand interviews raised disparities in cable television and Internet equipment and services provided\nby some agencies and not by others. As stated in 15 FAM 212.2-2 c., the housing board ensures\nthat the embassy housing policy and standards are \xe2\x80\x9cequitably applied to employees of all\nagencies.\xe2\x80\x9d It also prescribes an \xe2\x80\x9cinteragency-approved list of furniture, furnishings, appliances,\nand equipment to be provided in U.S. Government-furnished residential quarters.\xe2\x80\x9d The embassy\nguidebook dated February 2011 contains a list of basic furniture, furnishings, appliances, and\nequipment, but does not address supplemental items, such as satellite dishes and decoders.\n\n\n\n\n 39\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nRecommendation 30: Embassy Port-au-Prince should amend its housing policy to equitably\nprovide furniture, furnishings, appliances, and equipment to employees of all agencies, and\nupdate the housing handbook to reflect this policy. (Action: Embassy Port-au-Prince)\n\nCustoms, Shipping, and Travel\n\n The most recent packing and crating contract expired in April 2009. The 2010 earthquake\ninterrupted processing of a follow-on contract. Since then, the embassy has issued individual\npurchase orders for each job on a sole source basis and without a sufficient statement of work\nand description of services. The embassy has not reexamined the basis for the sole source\njustification to verify its continued validity. The absence of a description of services ignores a\nfundamental requirement of procurement and exposes the U.S. Government to liability, for\nexample, in case of damage due to poor packing and crating. The purchase orders do not meet\nthe competition requirements of the Department\xe2\x80\x99s Overseas Contracting and Simplified\nAcquisitions Guidebook (Chapter 2 VII A) or the guidance regarding packing service standards\nprovided in 14 FAM 614.5-1b. In FY 2011 and in FY 2012 up to the time of the inspection, the\nembassy issued 30 purchase orders valued at $357,279. The embassy is developing a new\nindefinite delivery/indefinite quantity contract for packing and crating, but it is in its early stages.\n\nRecommendation 31: Embassy Port-au-Prince should describe service standards for, and\ncompete procurement of, packing and shipping services. (Action: Embassy Port-au-Prince)\n\nFacilities Management\n\n The facilities management unit appears overwhelmed by its routine maintenance and\nproject workload. OIG questionnaires indicated concerns about the performance and\nmanagement of the unit among a wide spectrum of the embassy staff. In recognition of the unit\xe2\x80\x99s\nincreased workload, the ICASS council approved, in FY 2011, an additional 18 positions for\nfacilities management. As of the inspection, however, only 10 positions had been filled. The\nmajor delay has been the supervisor\xe2\x80\x99s slow preparation of position descriptions. Projects\ninvolving the consular section also have languished: office space reconfiguration to\naccommodate two officers and a consular entrance project to eliminate flooding and the need for\npallet walkways during the rainy season.\n\n In recognition of the unit\xe2\x80\x99s significant workload, the Bureau of Overseas Buildings\nOperations provided temporary duty support to the embassy in the form of a personal services\ncontractor who served as a deputy facilities manager from April to December 2011. The\noperational tempo continues apace and the demand for facilities management has not abated,\nprompting the embassy to initiate action to request another temporary duty employee. The\ninspection team supports the request.\n\n In the meantime, much work remains to improve customer service and satisfaction, build\nthe in-house, residential, make-ready program now that the contract covering those services has\nbeen terminated, and make progress on the many projects that will improve government-owned\nproperties. On the supervisory level, the embassy needs to focus on and strengthen leadership,\nmanagement, and communications aspects of the facilities program. The facilities manager needs\nto work toward identifying and being accountable for specific objectives, tasks, standards, and\nmilestones.\n 40\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\nRecommendation 32: Embassy Port-au-Prince should implement and monitor a work plan that\naddresses all aspects of its facilities management program, both routine and nonroutine. (Action:\nEmbassy Port-au-Prince)\n\nSafety, Health, and Environmental Management\n\n The Safety, Health, and Environmental Management program is not functioning. The\nPost Occupational Safety and Health officer informed the inspection team that the committee last\nmet in November 2011, but minutes remained unpublished. The officer had no record of any\nmeetings since 2009, despite the requirement of 15 FAM 933.2 that the committee meet at least\nsemiannually. ( b) (5)\n\n\n\n\nRecommendation 33: Embassy Port-au-Prince should conduct workplace hazard identification\nand assessment inspections as required by Department of State regulations. (Action: Embassy\nPort-au-Prince)\n\n Informal Recommendation 40: Embassy Port-au-Prince should conduct Safety, Health\n and Environmental Management committee meetings as required by Department of State\n regulations.\n\nInformation Management and Information Security\n\n Despite the disruptions caused by natural disasters and the lack of consistency in program\nmanagement, the IM program continues to meet the embassy\xe2\x80\x99s basic information technology and\ncommunication needs. Neither the LE nor the American staff has fully transitioned back to the\npre-earthquake business routines. The focus is on meeting daily business needs without\nestablishing consistency in service delivery and inclusion of other sections for collaborative\nsolutions. Management has not allocated time for close supervision or establishing and enforcing\npolicies and standards for operating services. The LE staff has adequate training, but requires\nguidance and oversight from management. Since September 2011, the program has been\nappropriately staffed and is operating with 5 direct-hire and 16 LE staff.\n\n The embassy\xe2\x80\x99s IM program provides a classified and unclassified network, dedicated\nInternet network, diplomatic post office, local mail, pouch, radio, telephone, and switchboard\nservices. (b) (5)\n\n\n\n\n 41\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n(b) (5)\n\n\n\n\n Recommendation 34: (b) (5)\n\n\n\n Information Systems Center\n\n The information systems center manages the unclassified network. It supports over 400\n users and manages 360 computers, including 8 servers. The unit is staffed with eight LE staff\n members and an information systems officer who oversees the operation. The information\n systems officer reports to the IM officer who is charged with managing the embassy\xe2\x80\x99s IM\n program. Both the American and LE staff are capable, but there is a lack of open communication\n in the unit (b) (5)\n There are no regularly scheduled meetings for the staff to exchange\n ideas and for management to followup on work progress. IM management initiates tasks but then\n shifts priorities without consulting or informing the LE staff. (b) (5)\n\n\n\n\n Informal Recommendation 41: Embassy Port-au-Prince should establish regular\n meetings in the information service center to facilitate open communication and build\n team relationships.\n\n The staff is receiving relevant systems training for their duties but has not completed\n training in protecting personally identifiable information. According to State cable 054244 from\n 2010, all employees who work with personally identifiable information must take the course.\n The staff\xe2\x80\x99s daily systems duties give them access to personally identifiable data.\n\n Informal Recommendation 42: Embassy Port-au-Prince should provide training to the\n information services center staff on protecting personally identifiable information.\n (b) (5)\n\n\n\n\n 42\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n (b) (5)\n\n\n\n\n Recommendation 35: (b) (5)\n\n\n\n\n Standard Operating Procedures\n\n Embassy Port-au-Prince does not have documented standard operating procedures for\n administering and maintaining its systems as required by 5 FAM 867 and 12 FAM 629.2-11.\n Routine systems administrative tasks such as computer access management, systems backup and\n recovery, and systems maintenance logs are not standardized and documented. (b) (5)\n\n\n\n\n Recommendation 36: Embassy Port-au-Prince should implement standard operating procedures\n to include systems maintenance, account and computer resources management, and systems\n backup and recovery procedures. (Action: Embassy Port-au-Prince)\n(b) (5)\n\n\n\n\n Informal Recommendation 43: (b) (5)\n\n\n (b) (5)\n\n\n\n\n 43\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n (b) (5)\n\n\n\n\n Recommendation 37: (b) (5)\n\n\n\n(b) (5)\n\n\n\n\n Recommendation 38: (b) (5)\n\n\n Maintaining Accurate User Records\n\n The embassy does not have a standardized process for the human resources unit to notify\n the IM section when embassy staff enter on duty or leave the embassy. There are checklists for\n arriving and departing employees, but employees do not use them consistently and embassy\n management does not enforce their use. The absence of a formalized process compounded by the\n large number of temporary duty personnel changes has made computer access control a\n challenge for the IM staff. Also, the IM staff does not have an internal procedure to manage\n accounts based on personnel status changes and the ISSO is not involved in the computer access\n control process. The inspection team reviewed the account activity on the embassy network and\n identified many accounts that do not comply with the Department\xe2\x80\x99s computer account\n management policy. Inactive user accounts left behind by temporary and former employees can\n be used to impersonate legitimate users, thereby making discovery of malicious activities\n difficult. According to 12 FAM 621.3-3, data center managers and system managers should be\n notified of all employees and contractors who are transferred or terminated.\n\n Recommendation 39: Embassy Port-au-Prince should implement a process to notify the\n information management section of staffing changes that affect network user accounts. (Action:\n Embassy Port-au-Prince)\n\n Informal Recommendation 44: Embassy Port-au-Prince should implement a standard\n operating procedure for managing network user accounts.\n(b) (5)\n\n\n\n\n 44\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n(b) (5)\n\n\n\n\n 45\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n(b) (5)\n\n\n\n\n 46\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n(b) (5)\n\n\n\n\n 47\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n Quality of Life\n(b) (5)\n\n\n\n\n Informal Recommendation 51: (b) (5)\n\n\n\n\n Community Liaison Office\n\n The embassy hired a full-time community liaison office coordinator as soon as\n dependents began to return to Port-au-Prince after the earthquake. She received formal training\n soon thereafter, and initiated a robust program of activities designed to improve morale and\n increase community integration. She is assisted by a full-time LE staff member who is an\n experienced event planner. Recently, the coordinator has increased the range of sponsored\n activities to include more opportunities to explore areas outside Port-au-Prince. Costs for these\n activities are mainly borne by the participants, though some are subsidized by the American\n employees\xe2\x80\x99 association. Access to organized excursions that include transportation is important\n for maintaining morale in the embassy; driving conditions are extremely difficult and combined\n with security zone restrictions, deter most people from exploring on their own. Regular\n consultation with community members will ensure that activities continue to address their needs.\n The inspection team suggested methods for soliciting more ideas and feedback from the\n community.\n\n The community liaison office coordinator has given priority to sponsorship and\n orientation. She has updated the embassy\xe2\x80\x99s welcome material and taken responsibility for\n drafting the embassy\xe2\x80\x99s welcome guidebook. She adopted a system of social sponsors to\n supplement each office\xe2\x80\x99s internal sponsors. The embassy has a sponsor checklist to help both\n official and social sponsors prepare for new arrivals but the inspection team found that some\n employees had not received adequate sponsorship. The inspection team counseled the\n community liaison office coordinator on ways to ensure that sponsors are effective.\n\n The community liaison office coordinator meets regularly with the Ambassador and\n DCM, and receives guidance as needed from the management counselor, who is her supervisor.\n She will transfer from post this summer and the embassy is in the process of recruiting a\n replacement to avoid a long staffing gap in this crucial position.\n\n\n\n\n 48\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\nAmerican Employee Association\n\n The small American employee association provides limited services to the community,\nincluding a cafeteria and coffee bar, a small sales store, and several other personal service\nactivities. The association\xe2\x80\x99s charter and by-laws are current and the Department\xe2\x80\x99s Commissary\nand Recreation office approved a recently prepared license agreement. The last audit was\nperformed on time, yet the association has not completed and submitted its semiannual financial\nstatement for the period from January to June 2011.\n\n Informal Recommendation 52: Embassy Port-au-Prince should complete the January-\n June 2011 semiannual financial statements for its American employee association and\n forward them to the Department of State, and should also complete the July-December\n 2011 statement.\n\n The last audit report, which was completed in 2011, showed that in 2010 the association\nmade over $38,000 in profits on gross sales of $44,700. According to 6 FAM 531.4, profits from\nemployee associations are not limited but must not be excessive. Pricing must allow for a profit\nmargin that enables the organization to maintain solvency and ensure that its activities exist for\nfuture members. The association has no plan for spending the profits.\n\nRecommendation 42: Embassy Port-au-Prince should develop a plan for its American\nemployee association to determine the appropriate amount of profit it needs to keep it sustainable\nand reduce the current profit margin accordingly. (Action: Embassy Port-au-Prince)\n\n The employee association has a page on the embassy\xe2\x80\x99s intranet Web site, but it contains\nlittle information on its administration and finances. General documents such as the charter, by-\nlaws, meeting minutes, and financial reports could be included as useful information to the\nassociation community.\n\n Informal Recommendation 53: Embassy Port-au-Prince should place relevant\n information concerning its employee association on the embassy\xe2\x80\x99s intranet Web site.\n\nMedical Unit\n\n The medical unit is staffed with a full-time nurse practitioner whose position was added\nafter the 2010 earthquake, a full-time U.S.-trained local nurse, and a part-time local doctor. The\nregional medical officer in Fort Lauderdale, the regional psychiatrist in Bogota, and the regional\nmedical technician in Mexico City provide excellent support. The unit functions well and\nrecorded the highest service scores on the OIG\xe2\x80\x99s work and quality of life survey. The unit is well\nequipped, taking advantage of sufficient funding in the past 2 years to address previous\nequipment and supply shortfalls.\n\n The medical unit bore a major brunt of the effects of the 2010 earthquake. For a long\nperiod of time the unit was providing more than just basic care to the American and LE staff\nmost affected by the disaster. As time passed, the medical unit attempted to reduce the services\nrendered to the LE staff in accordance with 16 FAM 122. A March 2011 management notice\naddressed health unit services for the LE staff, but the embassy does not have an access policy.\n 49\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\nRecommendation 43: Embassy Port-au-Prince should establish a health unit access policy for\nthe mission. (Action: Embassy Port-au-Prince)\n\nOverseas Schools\n\n Eight embassy children currently attend the Department-supported (b)(5)(b)(6)\n\n In FYs 2010 and 2011, the Department supplied $820,000 in grants, mainly used for\nreconstruction and repair of the school, which was severely damaged in the 2010 earthquake.\nThe grants also provided for the purchase of U.S. educational materials and equipment and\nfunded the salaries of U.S. citizen, U.S.-trained or U.S.-certified professional staff. The\nAmbassador has actively participated on the school\xe2\x80\x99s board of directors, and has worked closely\nwith the school\xe2\x80\x99s administration to help improve both the quality of education at the school and\nto modify the social and cultural dynamics that affected the educational experience for dependent\nstudents. The DCM is presently the Ambassador\xe2\x80\x99s official representative on the school board.\nThe school\xe2\x80\x99s administration and board have been responsive to the concerns of parents.\n\n The embassy is properly concerned about security of (b)(5)(b)(6) facilities and\nstudents as well as security of students attending other schools. The embassy issued a\nmanagement policy in August 2011, authorizing transportation to and from (b)(5)(b)(6) schools\nfor students whose tuition and fees are authorized to be paid by the U.S. Government in\naccordance with Department of State Standardized Regulations chapter 270. It is unclear why the\nembassy excluded(b)(5)(b)(6) school.\n\n Informal Recommendation 54: Embassy Port-au-Prince should amend its school\n transportation policy to clarify that it will provide transportation to and from school for\n all students whose tuition and fees are authorized to be paid by the U.S. Government.\n\n\n\n\n 50\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nManagement Controls\n Embassy Port-au-Prince management controls need improvement. The requirements\nimposed on the embassy in the aftermath of the earthquake\xe2\x80\x94increased staffing, need for\nadditional housing, influx of funding, temporary duty visitors, high-level visits, and pressure to\ndisburse assistance quickly\xe2\x80\x94exerted pressure on the management section to show quick\nprogress, unfortunately to the detriment of internal controls. The hectic pace led to\ncommunication breakdowns, which also served to weaken controls. Now there is a need to\ngradually transform the embassy back to normalcy and, as that happens, to strengthen internal\nmanagement controls .\n\n The Chief of Mission has delegated management controls coordinator responsibilities to\nthe management officer. The embassy reported in its July 2011 chief of mission controls\nstatement only one material weakness\xe2\x80\x94the underfunding of the supplemental defined pension\nplan for locally employed staff. An independent audit in FY 2010 determined that the plan was\nunderfunded by over $13 million. Although not a problem at this time, the underfunding of the\nplan could eventually have an adverse effect on the embassy\xe2\x80\x99s ability to meet its obligations\nunder the LE staff retirement program. Consequently, the Bureau of Human Resources, Office of\nOverseas Employment is working with the embassy to transition to a defined contribution plan.\nAt the time of the inspection, that plan was still under review in the Department.\n\n Several weaknesses in internal controls are detailed throughout the report(b) (5)\n\n\n\n\nRecommendation 44: Embassy Port-au-Prince should perform a risk assessment of\nmanagement controls to identify weak areas and then prioritize corrective actions. (Action:\nEmbassy Port-au-Prince)\n\nNarcotics Affairs Section Grants Management\n\n INL manages the majority of grants and contracts for Haiti. The embassy\xe2\x80\x99s narcotics\naffairs section has a certified contracting officer\xe2\x80\x99s representative and grants officer. In addition, a\ncontracting officer\xe2\x80\x99s representative is scheduled to arrive in mid- to late 2012 to fill a new\ncontracting officer position.\n\n In January and February 2012, the embassy began processing a number of grants and\ncontracts, some of which will be managed locally and some in amounts exceeding $200,000. The\nfinancial documentation in the narcotics affairs section was disorganized. The inspection team\ncould not confirm whether the section\xe2\x80\x99s LE staff had completed appropriate grants and contract\ntraining and were unable to review the grants budget database to verify compliance with the\nOffice of the Procurement Executive Grants Policy Directive 28. Incomplete documentation risks\nmisuse of U.S. assistance funds.\n\n\n 51\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nRecommendation 45: Embassy Port-au-Prince should organize and maintain the narcotics\naffairs section budget database and grants and contracts documentation in compliance with\nFederal Assistance Financial Management requirements and conduct grants and contract training\nfor narcotics affairs section staff. (Action: Embassy Port-au-Prince)\n\nConsular Management Controls\n\n The inspection team reviewed consular internal controls, including cash accountability,\ninventory records of controlled supplies, consular automated systems roles, and visa adjudication\nreview records. Cash collections were conducted in compliance with 7 FAH-1 H-771 f., and\ninventory records, including signed transfer of accountability documents, were complete.\nConsular systems roles were correctly assigned to employees currently at the embassy, including\nthe ARSO-I. However, the Bureau of Consular Affairs had assigned user roles to 31 employees\nwho worked on the Port-au-Prince consular automated system in response to the 2010\nearthquake but are no longer at the embassy. The accountable consular officer at the embassy did\nnot have authority to disable them. During the inspection, he requested that the Bureau of\nConsular Affairs do so.\n\n The DCM was properly conducting the required visa adjudication reviews. The\ninspection team counseled consular managers on the need to perform visa adjudication reviews\npromptly and to use their observations to help enhance the performance of ELOs, which they\nacted upon during the inspection.\n\n\n\n\n 52\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nList of Recommendations\nRecommendation 1: Embassy Port-au-Prince should develop a strategic plan for steady\nprogress toward normalization of embassy operations and procedures and the executive office\nshould capture the expertise of the officers about to depart the embassy in that plan. (Action:\nEmbassy Port-au-Prince)\n\nRecommendation 2: Embassy Port-au-Prince should implement a system for employee\ncompliance with guidance on using the State Messaging and Archive Retrieval Toolset software\nsystem to archive email and other correspondence. (Action: Embassy Port-au-Prince)\n\nRecommendation 3: Embassy Port-au-Prince should enter biographic information on the\nunclassified Diplopedia system and it should enter classified leadership profiles on the\nIntellipedia system. (Action: Embassy Port-au-Prince)\n\nRecommendation 4: Embassy Port-au-Prince should designate appropriate officers to manage\nmunitions controls and Department of Commerce-administered dual-use export controls.\n(Action: Embassy Port-au-Prince)\n\nRecommendation 5: Embassy Port-au-Prince should issue an annual management notice\nexplaining the scope of Leahy vetting requirements. (Action: Embassy Port-au-Prince)\n\nRecommendation 6: Embassy Port-au-Prince, in coordination with the Bureau of Human\nResources and the Bureau of Western Hemisphere Affairs, should convert one of its entry-level\nofficer rotational positions into a 2-year economic tour. (Action: Embassy Port-au-Prince, in\ncoordination with DGHR and WHA)\n\nRecommendation 7: Embassy Port-au-Prince should request missing reports and\ndocumentation from delinquent FYs 2010 and 2011 grantees. No further grants to those entities\nshould be approved until delinquent reports are received. (Action: Embassy Port-au-Prince)\n\nRecommendation 8: Embassy Port-au-Prince should modify its appointment system to\neffectively control the flow of applicants for consular services. (Action: Embassy Port-au-Prince)\n\nRecommendation 9: The Bureau of Overseas Buildings Operations, in coordination with\nEmbassy Port-au-Prince, should repair the inadequate drainage conditions outside the consular\nentrance. (Action: OBO, in coordination with Embassy Port-au-Prince)\n\nRecommendation 10: Embassy Port-au-Prince, in coordination with the Bureau of Overseas\nBuildings Operations, should construct awnings and place benches in the exterior waiting areas\nand courtyard to provide protection from the elements for consular clientele waiting for\nadmission to the interior waiting areas. (Action: Embassy Port-au-Prince, in coordination with\nOBO)\n\nRecommendation 11: Embassy Port-au-Prince should immediately cease having a vendor\ncollect a fee for storing electronic equipment outside the consular public entrance and make the\nregional security office responsible for this security function. (Action: Embassy Port-au-Prince)\n\n\n 53\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nRecommendation 12: The Bureau of Consular Affairs, in coordination with the Office of the\nLegal Adviser, should act on Embassy Port-au-Prince\xe2\x80\x99s proposal for a prisoner transfer treaty.\n(Action: CA, in coordination with L)\n\nRecommendation 13: Embassy Port-au-Prince, in coordination with the Bureau of Overseas\nBuildings Operations, should construct office space within the consular section that meets\nstandard requirements for the assistant regional security officer-investigations and staff. (Action:\nEmbassy Port-au-Prince, in coordination with OBO)\n\nRecommendation 14: Embassy Port-au-Prince should review its management policies and\nprocedures, and reorganize and categorize them on its intranet Web site for easier access and\nnavigation by employees. (Action: Embassy Port-au-Prince)\n\nRecommendation 15: Embassy Port-au-Prince should implement a plan to determine the full\nadministrative and security support requirements and costs for positions proposed for approval\nunder National Security Decision Directive 38. (Action: Embassy Port-au-Prince)\n\nRecommendation 16: Embassy Port-au-Prince, in coordination with the Office of\nManagement Policy, Rightsizing, and Innovation, should reconcile all of its National Security\nDecision Directive 38 actions against its staffing pattern. (Action: Embassy Port-au-Prince, in\ncoordination with M/PRI)\n\nRecommendation 17: Embassy Port-au-Prince should develop a comprehensive plan to review\nall line items in the budget to determine where cost savings are possible. (Action: Embassy Port-\nau-Prince)\n\nRecommendation 18: Embassy Port-au-Prince should develop and enforce a policy relating to\nthe timeliness of voucher preparation and the issuance of travel advances. The policy should\naddress both the regulatory requirements and the needs of the agencies at the embassy to\neffectively perform their business. (Action: Embassy Port-au-Prince)\n\nRecommendation 19: (b) (5)\n\n\n\nRecommendation 20: Embassy Port-au-Prince should require its International Cooperative\nAdministrative Support Services budget committee to exercise its responsibilities, including\nidentifying areas of potential cost savings and efficiencies. (Action: Embassy Port-au-Prince)\n\nRecommendation 21: Embassy Port-au-Prince should prepare an annual review of services\nprovided under International Cooperative Administrative Support Services. (Action: Embassy\nPort-au-Prince)\n\nRecommendation 22: Embassy Port-au-Prince should implement a plan that results in timely\ncompletion of locally employed staff employee performance reviews throughout the embassy,\nwith clearly defined consequences for delinquent reports. (Action: Embassy Port-au-Prince)\n\nRecommendation 23: Embassy Port-au-Prince, in coordination with the Bureau of Human\nResources, the Bureau of Western Hemisphere Affairs, and the Bureau of Consular Affairs,\nshould build the Foreign Service Institute 8-week Haitian Creole course into as many assignment\n 54\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nschedules as possible. (Action: Embassy Port-au-Prince, in coordination with DGHR, WHA, and\nCA)\n\nRecommendation 24: Embassy Port-au-Prince should implement a plan that establishes an\naccurate baseline inventory and adequate accountability for and tracking of all nonexpendable\nproperty, including information technology equipment. (Action: Embassy Port-au-Prince)\n\nRecommendation 25: Embassy Port-au-Prince should bring its home-to-office transportation\npolicy into compliance with regulations on charges for other authorized use of official vehicles.\n(Action: Embassy Port-au-Prince)\n\nRecommendation 26: Embassy Port-au-Prince should bring driver duty shifts into compliance\nwith the Motor Vehicle Safety Management Program. (Action: Embassy Port-au-Prince)\n\nRecommendation 27: Embassy Port-au-Prince should conduct a motor vehicle fleet review in\naccordance with Department of State regulations and take appropriate steps to match its\ninventory with the results of the review. (Action: Embassy Port-au-Prince)\n\nRecommendation 28: Embassy Port-au-Prince should implement a plan to improve internal\ncontrols and oversight of its residential and embassy compound fuel operations. (Action:\nEmbassy Port-au-Prince)\n\nRecommendation 29: Embassy Port-au-Prince should include Federal Acquisition Regulation\nclause 52.222-50 in its formal contracts. (Action: Embassy Port-au-Prince)\n\nRecommendation 30: Embassy Port-au-Prince should amend its housing policy to equitably\nprovide furniture, furnishings, appliances, and equipment to employees of all agencies, and\nupdate the housing handbook to reflect this policy. (Action: Embassy Port-au-Prince)\n\nRecommendation 31: Embassy Port-au-Prince should describe service standards for, and\ncompete procurement of, packing and shipping services. (Action: Embassy Port-au-Prince)\n\nRecommendation 32: Embassy Port-au-Prince should implement and monitor a work plan that\naddresses all aspects of its facilities management program, both routine and nonroutine. (Action:\nEmbassy Port-au-Prince)\n\nRecommendation 33: Embassy Port-au-Prince should conduct workplace hazard identification\nand assessment inspections as required by Department of State regulations. (Action: Embassy\nPort-au-Prince)\n\nRecommendation 34: (b) (5)\n\n\n\nRecommendation 35: (b) (5)\n\n\n\n\n 55\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nRecommendation 36: Embassy Port-au-Prince should implement standard operating\nprocedures to include systems maintenance, account and computer resources management, and\nsystems backup and recovery procedures. (Action: Embassy Port-au-Prince)\n\nRecommendation 37: (b) (5)\n\n\n\nRecommendation 38: (b) (5)\n\n\nRecommendation 39: Embassy Port-au-Prince should implement a process to notify the\ninformation management section of staffing changes that affect network user accounts. (Action:\nEmbassy Port-au-Prince)\n\nRecommendation 40: (b) (5)\n\n\n\nRecommendation 41: (b) (5)\n\n\n\nRecommendation 42: Embassy Port-au-Prince should develop a plan for its American\nemployee association to determine the appropriate amount of profit it needs to keep it sustainable\nand reduce the current profit margin accordingly. (Action: Embassy Port-au-Prince)\n\nRecommendation 43: Embassy Port-au-Prince should establish a health unit access policy for\nthe mission. (Action: Embassy Port-au-Prince)\n\nRecommendation 44: Embassy Port-au-Prince should perform a risk assessment of\nmanagement controls to identify weak areas and then prioritize corrective actions. (Action:\nEmbassy Port-au-Prince)\n\nRecommendation 45: Embassy Port-au-Prince should organize and maintain the narcotics\naffairs section budget database and grants and contracts documentation in compliance with\nFederal Assistance Financial Management requirements and conduct grants and contract training\nfor narcotics affairs section staff. (Action: Embassy Port-au-Prince)\n\n\n\n\n 56\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nList of Informal Recommendations\n Informal recommendations cover operational matters not requiring action by\norganizations outside the inspected unit and/or the parent regional bureau. Informal\nrecommendations will not be subject to the OIG compliance process. However, any subsequent\nOIG inspection or on-site compliance review will assess the mission\xe2\x80\x99s progress in implementing\nthe informal recommendations.\n\nInformal Recommendation 1: Embassy Port-au-Prince should prepare, in consultation with\nentry-level professionals, a menu of career development opportunities for these professionals and\ndirect all embassy sections to give all entry-level officers and specialists the opportunity to\nparticipate in a range of career development opportunities as often as possible consonant with\ntheir job responsibilities.\n\nInformal Recommendation 2: Embassy Port-au-Prince should establish a consolidated\ncontacts database.\n\nInformal Recommendation 3: Embassy Port-au-Prince should increase reporting through\nofficial channels on the content of meetings with senior and working-level Haitian officials.\n\nInformal Recommendation 4: Embassy Port-au-Prince should issue a management notice\nrequiring each section to establish, maintain, and annually retire official records, including email\nmessages that qualify as records, and implement a tracking system to verify that employees are\nmanaging and retiring electronic records.\n\nInformal Recommendation 5: Embassy Port-au-Prince should archive files that meet the\ndefinition of official U.S. records and should destroy nonofficial materials held in safes.\n\nInformal Recommendation 6: Embassy Port-au-Prince should include biographic reporting\nand leadership analysis responsibilities in the work requirements statements of all officers who\ndo significant amounts of contact work.\n\nInformal Recommendation 7: Embassy Port-au-Prince should reestablish collaboration with\nregional Open Source Center managers on analyses that would benefit embassy officers.\n\nInformal Recommendation 8: Embassy Port-au-Prince should designate a secondary\ncoordinator for the Leahy vetting program and arrange for the incumbent\xe2\x80\x99s training and\nauthorization to use the International Vetting and Security Tracking system.\n\nInformal Recommendation 9: Embassy Port-au-Prince should assign an economic portfolio to\nthe incoming officer assigned to position 14-748960.\n\nInformal Recommendation 10: Embassy Port-au-Prince should maintain its health sector files\nin shared electronic folders accessible to the economic section and organized in accordance with\nthe Traffic Analysis by Geography and Subject labeling system, and include health files in\neconomic section archiving.\n\n\n\n 57\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nInformal Recommendation 11: Embassy Port-au-Prince should arrange for the Haiti health\nreconstruction coordinator and economic officers to jointly prepare periodic cables on health\ntopics for broader dissemination to U.S. official consumers.\n\nInformal Recommendation 12: Embassy Port-au-Prince should prepare a written strategic\nanalysis of the public diplomacy themes important to the Haitian-American dialogue and the key\nHaitian audiences who should be engaged in that dialogue.\n\nInformal Recommendation 13: Embassy Port-au-Prince should close access to the public of\nthe Information Resource Center except by appointment and concentrate its efforts on external\noutreach.\n\nInformal Recommendation 14: Embassy Port-au-Prince should reconfigure current staffing to\ninclude a trained research librarian.\n\nInformal Recommendation 15: Embassy Port-au-Prince should maximize programming\nopportunities at the American Corner and work closely with the Fondasyon Konesans ak Libete\nto leverage its platforms outside Port-au-Prince.\n\nInformal Recommendation 16: Embassy Port-au-Prince should create and implement a written\norientation and training program for consular entry-level officers.\n\nInformal Recommendation 17: (b) (5)\n\n\n\nInformal Recommendation 18: Embassy Port-au-Prince should use the intranet to facilitate\ninternal communication in the consular section, including dissemination of standard operating\nprocedures.\n\nInformal Recommendation 19: Embassy Port-au-Prince should implement a plan to use media\noutlets, the embassy Web site, and signs to inform the public of the changes to the appointment\nsystem.\n\nInformal Recommendation 20: Embassy Port-au-Prince should use its Web page, signage, and\nother public information outlets to inform the public which items are not permitted in the\nconsular waiting areas.\n\nInformal Recommendation 21: Embassy Port-au-Prince should place appropriate signs to\ndirect the public through the consular entry and waiting areas.\n\nInformal Recommendation 22: Embassy Port-au-Prince should use the automated queuing\nsystem for managing the applicant flow in the immigrant visa unit.\n\nInformal Recommendation 23: Embassy Port-au-Prince should procure the items needed for\nthe American citizens services emergency fly-away kit.\n\nInformal Recommendation 24: Embassy Port-au-Prince should implement a plan to provide\nadequate representational and travel funds for the consular section.\n\n 58\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nInformal Recommendation 25: Embassy Port-au-Prince should delineate responsibilities and\nestablish standard operating procedures for consular section and regional security office\ncooperation in cases involving American citizens and law enforcement issues.\n\nInformal Recommendation 26: Embassy Port-au-Prince should conduct regular briefing\nsessions for consular officers on country-specific and worldwide fraud trends.\n\nInformal Recommendation 27: Embassy Port-au-Prince should establish accurate work\nrequirements reflecting the portfolios of the locally employed staff in the fraud prevention unit.\n\nInformal Recommendation 28: Embassy Port-au-Prince should conduct regular briefings for\nconsular staff on the assistant regional security officer-investigations function and program.\n\nInformal Recommendation 29: Embassy Port-au-Prince should establish working groups as\npart of the International Cooperative Administrative Support Services budget committee to\naddress the list of top priorities already drafted by the council.\n\nInformal Recommendation 30: Embassy Port-au-Prince should designate a note taker for\nInternational Cooperative Administrative Support Services council meetings and post the\nminutes on the embassy\xe2\x80\x99s intranet Web site.\n\nInformal Recommendation 31: Embassy Port-au-Prince should revise and reissue the awards\npolicy to include specific guidance relating to rejected awards.\n\nInformal Recommendation 32: Embassy Port-au-Prince should implement a plan to account\nfor official visitors and capture the associated costs in an accurate and timely manner, including\ndelegating to one element of the embassy the responsibility to maintain an authoritative list.\n\nInformal Recommendation 33: Embassy Port-au-Prince should implement a plan to encourage\nemployees to pursue and maintain French or Haitian Creole language skills.\n\nInformal Recommendation 34: Embassy Port-au-Prince should post information concerning\nthe Equal Employment Opportunity program on its intranet Web site.\n\nInformal Recommendation 35: Embassy Port-au-Prince should display its Equal Employment\nOpportunity information in more visible and public locations.\n\nInformal Recommendation 36: Embassy Port-au-Prince should appoint several of its locally\nemployed staff members as Equal Employment Opportunity liaisons.\n\nInformal Recommendation 37: Embassy Port-au-Prince should implement a procedure that\nrequires occupants to inventory property in their residences and return inventory documents to\nthe general services unit in a timely manner.\n\nInformal Recommendation 38: Embassy Port-au-Prince should recruit, hire, and train a\nreceiving clerk.\n\nInformal Recommendation 39: Embassy Port-au-Prince should require that contracting\nofficer\xe2\x80\x99s representatives complete training as required by regulation.\n\n 59\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\nInformal Recommendation 40: Embassy Port-au-Prince should conduct Safety, Health and\nEnvironmental Management committee meetings as required by Department of State regulations.\n\nInformal Recommendation 41: Embassy Port-au-Prince should establish regular meetings in\nthe information service center to facilitate open communication and build team relationships.\n\nInformal Recommendation 42: Embassy Port-au-Prince should provide training to the\ninformation services center staff on protecting personally identifiable information.\n\nInformal Recommendation 43: (b) (5)\n\n\nInformal Recommendation 44: Embassy Port-au-Prince should implement a standard\noperating procedure for managing network user accounts.\n\nInformal Recommendation 45: (b) (5)\n\n\n\nInformal Recommendation 46: (b) (5)\n\n\nInformal Recommendation 47: (b) (5)\n\n\n\nInformal Recommendation 48: (b) (5)\n\n\nInformal Recommendation 49: (b) (5)\n\n\nInformal Recommendation 50: (b) (5)\n\n\nInformal Recommendation 51: (b) (5)\n\n\n\n\nInformal Recommendation 52: Embassy Port-au-Prince should complete the January-June\n2011 semiannual financial statements for its American employee association and forward them\nto the Department of State, and should also complete the July-December 2011 statement.\n\nInformal Recommendation 53: Embassy Port-au-Prince should place relevant information\nconcerning its employee association on the embassy\xe2\x80\x99s intranet Web site.\n\nInformal Recommendation 54: Embassy Port-au-Prince should amend its school\ntransportation policy to clarify that it will provide transportation to and from school for all\nstudents whose tuition and fees are authorized to be paid by the U.S. Government.\n 60\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\nPrincipal Officials\n\n Name Arrival Date\nAmbassador Kenneth H.Merten 08/09\nDeputy Chief of Mission Daniel L. Foote 06/11\nChiefs of Sections:\n Management George Indyke 08/11\n Consular Colombia Barrosse 09/10\n Political Peter Kujawinski 08/10\n Economic John G. Robinson 08/11\n Narcotics Affairs Carl Siebentritt 09/11\n President\xe2\x80\x99s Pepfar Vacant\n Public Affairs John Piechowski (acting) 06/10\n Regional Security Jeffrey Roberts 08/11\nOther Agencies:\n Animal Plant Health\n Inspection Service\n (Department of Agriculture) Vacant\n Centers for Disease Control John Vertefeuille, Ph.D., MHS 02/11\n Department of Defense John Reed, CDR, USCG 07/11\n Department of Treasury Elizabeth H. Morris 05/11\n Drug Enforcement\n Administration Gary Coffman 11/10\n U.S. Agency for International\n Development Carleene Dei 01/10\n U.S. Citizenship and\n Immigration Services\n (Department of Homeland\n Security) Hichem Kefi 11/11\nResident in Santo Domingo:\n Commercial Attach\xc3\xa9 Robert Jones\n Agricultural Attach\xc3\xa9 Margaret Bauer\n Legal Attach\xc3\xa9 Lazaro E. Andino\n Immigration and Customs\n Enforcement (Department of\n Homeland Security) Donald Bruckschen\nResident in Nassau:\n Transportation Security\n Administration (Department\n of Homeland Security Lawrence Mizell\n\n\n\n\n 61\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\nAbbreviations\n\nARSO-I Assistant regional security officer- investigations\n\nDCM Deputy chief of mission\n\nDepartment Department of State\n\nEEO Equal Employment Opportunity\n\nELO Entry-level officer\n\nELP Entry-level professional\n\nFAH Foreign Affairs Handbook\n\nFAM Foreign Affairs Manual\n\nFOKAL Fondasyon konsesans ak libete\n\nICASS International Cooperative Administrative Support Services\n\nIM Information management\n\nINL Bureau of International Narcotics and Law Enforcement Affairs\n\nISSO Information systems security officer\n\nIT Information technology\n\nLE Locally employed\n\nNSDD-38 National Security Decision Directive 38\n\nPEPFAR President's Emergency Plan for AIDS Relief\n\nUSAID United States Agency for International Development\n\n\n\n\n 62\n SENSITIVE BUT UNCLASSIFIED\n\x0c SENSITIVE BUT UNCLASSIFIED\n\n\n\n\nFRAUD, WASTE, ABUSE,\nOR MISMANAGEMENT\nof Federal programs hurts everyone.\n\n\n\n\n Contact the\n Office of Inspector General\n HOTLINE\nto report illegal or wasteful activities:\n\n\n\n 202-647-3320\n 800-409-9926\n\n\n oighotline@state.gov\n\n\n oig.state.gov\n\n\n Office of Inspector General\n U.S. Department of State\n P.O. Box 9778\n Arlington, VA 22219\n\n\n\n\n SENSITIVE BUT UNCLASSIFIED\n\x0c"