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9 FAM 601.6��2
STORING ISSUED AND REFUSED NIV RECORDS


9 FAM 601.6��2(A)
NIV Files – General Guidance

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 101 (partial); CT:VISA��2004 06��26��2013)

a. CCD and NIV Files:

Under the newly established retention schedule
        a) (Records Disposition Schedule),

1) electronic Consular Consolidated Database
        a) (CCD)
        b) records

    are considered
        a) to be equivalent to hard copy case files.

The introduction
        a) of
                i) the Form DS��160,
                        A) Electronic Application for Nonimmigrant Visa, and
                ii) the replication of nonimmigrant (NIV) case records
                        i) into the CCD,

1) has significantly reduced the requirement
        a) for posts to maintain paper files of visa records.

b. NIV Issuance and Refusal Files:

See
        a) 9 FAM 601.6��2(C)
                i) for information
                        A) on CAT I NIV refusal files, and
        b) 9 FAM 601.6��2(D)
                i) for information
                        A) on CAT II
                                I) (including 214(b) and 221(g))
                                II) NIV refusal files.

c. NIV Fee��Related Documents:

Posts should retain their copies of
        a) applicants�� receipts and
        b) DS��160 barcode printouts

1) until posts have performed the Machine Readable Visa (MRV) periodic comparison
        a) of fees collected
        b) with services provided.

After a monthly, periodic comparison,

1) you may destroy the receipts.

The barcode printouts may be destroyed
        a) after the receipt has been properly reconciled.

d. Scanning NIV Records:

Instructions
        a) on scanning NIV and IV records

1) are provided in 9 FAM 601.6��4.


9 FAM 601.6��2(B)
Issued NIV Case Files

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 101 (partial); CT:VISA��2004 06��26��2013)

a. Posts should not be storing NIV issuance records
        a) as paper files
                i) for applications
                        A) submitted using the DS��160.

b.         a) Any older (pre DS��160) issued NIV paper applications, and
        b) their relevant supporting documents,

1) should be scanned
        a) into the associated application record
                i) in the NIV software
(see 9 FAM 601.6��4 for scanning instructions).

Once a cleared American has verified
        a) that the paper version is not necessary
                i) for legal or audit purposes,

1) posts should then destroy the records.

If post is unable to meet the National Archives and Records Administration (NARA) scanning standard,

1) then the files should be sent to the Kentucky Consular Center (KCC)
        a) only after an officer has determined
                i) that the paper versions of the files are not needed
                        A) for legal or audit purposes
(see 9 FAM 601.6��3(E) for shipping instructions).


9 FAM 601.6��2(C)
Category One NIV Refusal Files

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 101.1 a (partial); CT:VISA��2104 05��06��
2014 and 9 FAM Appendix F 103.3; CT:VISA��2104 05��06��2014)

a. Unclassified NIV CAT I Files:

(1) All unclassified Category I CAT I refusal files
        a) (including all documents
                i) associated with the case)

1) must be scanned
        a) into the CCD and maintained electronically.

This applies to both
        a) new cases,
                i) which must be scanned
                        A) as the refusal is entered, and
        b) historic cases
                i) (see 9 FAM 601.6��4 for scanning instructions).

After a cleared American has verified
        a) that the paper version is not necessary
                i) for legal or audit purposes,

1) posts should then immediately destroy the CAT I paper refusal files
        a) at post.

(Previous location: 9 FAM Appendix F 103.2; CT:VISA��2104 05��06��2014)

(2) When an NIV applicant is refused a visa
        a) for a Category 1 ineligibility,

1) consular officers must prepare Form OF��194,
        a) The Foreign Service of the United States of America Refusal Worksheet,
        b) explaining
                i) the ground(s) of ineligibility and
                ii) the steps, if any,
                        A) which may be taken
                                I) to overcome the refusal.

Because the form is now available
        a) in the NIV software,

1) consular officers are no longer required
        a) to sign and
        b) scan the OF��194
                i) into the CCD.

(Previous location: 9 FAM Appendix F 101.1 a (partial) and b; CT:VISA��2104
05��06��2014)

(3)1-1) If scanning
        a) of historic CAT I files
        b) at post

    is excessively burdensome or
1-2) if there are a large number of old files
        a) requiring back��scanning,
2) posts must ship files to KCC
        a) for scanning and destruction
(see 9 FAM 601.6��5 for CAT I shipping instructions).

(4) Until they are destroyed,

1) unclassified CAT I refusal files
        a) held at post

    must, at a minimum, be stored
        a) in bar��lock cabinets
                i) that are secured at the end of each day.

b. Classified NIV CAT I Files:

Classified CAT I NIV refusal files must be
        a) stored
                i) in combination vaults or safes
                        A) approved for classified material and
        b) retained at post
                i) for the remainder of the mandatory storage requirement.

No classified records may be scanned
        a) into the CCD.


9 FAM 601.6��2(D)
Category Two NIV Refusal Files

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 101 (partial) and 101.2; CT:VISA��2004
06��26��2013)

a. 214(b) and 221(g) NIV Refusals:

(1) Posts should not be storing NIV
        a) INA 214(b) and
        b) INA 221(g)
                i) refusal records
                        A) as paper files
                        B) for applications
                                I) submitted using the DS��160.

(2) For older (pre DS��160) paper
        a) 214(b) and
        b) 221(g)
                i) files
                        A) presently stored at post,

1) post
        a) should retain the files
                i) for one year, and
        b) then should either
                i) scan the case file into the associated application record
                        A) in the NIV software, or
                ii) coordinate directly with KCC
                        A) to ship the 214(b) and 221(g) files to Kentucky
(see 9 FAM 601.6��2(E) for shipping instructions).

KCC can back��scan and destroy the hard copy files on behalf of post.

b. Other NIV CAT II Refusals:

All other NIV Category II (CAT II) refusal records should be scanned and destroyed at post,

1) as the electronic version of the case will become the sole official version
(see B��09��002��06b of the Records Disposition Schedules).

As noted in the disposition schedule,

a cleared American will need to verify that
        a) the file has been uploaded and is no longer necessary
                i) for audit or legal purposes.

9 FAM 601.6��2(E)
Shipping Older NIV Issuance and 214(b)/221(g) Records to KCC

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 101.3; CT:VISA��2004 06��26��2013)

a. As noted in 9 FAM 601.6��2(B) and (C), posts may send pre DS��160 paper NIV issuance files, and paper NIV 214(b) and 221(g) files more than one year old, to the Kentucky Consular Center (KCC). Posts that choose to have KCC back�� scan their files should send an email to KCC with a detailed description of how many files post expects to ship for scanning. KCC will coordinate with each post to set an appropriate delivery schedule. For information on sending CAT I files to KCC, see 9 FAM 601.6��5.

b. All posts must follow these instructions on shipping their NIV records to KCC
for processing and storage at NARA:

(1) NIV records should be separated by type (Issued or Refused) and packed separately by the Issued or Refused date entered in the CCD;

(2) Within each category (Issued or Refused), applications corresponding to the same Issued or Refused date should be stacked flat (e.g., not folded or rolled) into bundles bound with string and, once bound, in bundles placed side by side within each box. Bundles should not be placed into envelopes or folders nor bound by rubber bands, which deteriorate. The applications do not need to be alphabetized.

(3) Each bundle must be clearly marked with the post code, the Issued or Refused date, and either ISS (Issued) or REF (Refused). For example, ��SDO 11/6/07 REF.��

(a) Large volume posts may have several bundles for the same date for each type of file (ISS or REF). All bundles for the same date must be shipped in the same box(es).

(b) Small volume posts may bundle cases by week or even month for convenience of handling but must clearly indicate the date range of the bundles.

(4) Files should be packed into each box consecutively by date.

(5) Each box MUST be clearly marked on the outside and on an inside flap with the post code, date range, and type of records included. A sheet of paper MUST be placed on top of the records, inside each box with this same information. For example, ��BGT 11/1/07��12/10/07 ISS.�� This paper should include a list of all bundles contained in the box.

(6) Boxes should be sturdy and secured with strong shipping tape. (a) Boxes should not exceed 25 lbs in weight; and
(b) Boxes should not be over or under packed. No less than 2 inches of free space should be allowed in any one box. This allows enough free space for files to be moved within the box.

(7) For WHA Posts Only:

Border Crossing Cards (BBBCCs) and visa foils should be put into separate bundles. Each bundle must be clearly identified by the batch numbers. For example, for BBBCCs: TJN000383832 �� TJN000383857. For example, for foils: 72634557 ��

72635569. The bundles may be placed into the same box.

c. Posts may choose the best method of shipping records to KCC. The pouch is the preferred method of shipment, but if using the pouch is not possible, posts may use an alternate accountable means of transport (i.e. DHL, FedEx, etc.). Posts are not permitted to ship records to KCC using APO. Post��held program funds cover costs of pouching or shipping records to KCC. In addition, records of any outgoing shipment of visa records, must be maintained and tracked by the Accountable Consular Officer (ACO) and retained in post files for five years, as detailed in 7 FAH 1 H��650. All shipments must be sent to the below address:

Kentucky Consular Center

DS��156 Team

3505 N. Highway 25W Williamsburg, KY 40769

9 FAM 601.6��2(F)
NIV Paper Record Retrieval From KCC Files

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 101.4; CT:VISA��2004 06��26��2013)

a. Paper record retrieval is an extraordinary step reserved (in most cases) for response to other agency requests relating to ongoing criminal or terrorist investigations or legal proceedings. Due to the high cost of paper record retrieval, posts must exercise discretion and are instructed to not request file retrieval for routine fraud program purposes (investigations connected with formal criminal prosecutions are an exception).

b. Emails should be sent to CANIV@state.gov by consular officers, who should identify themselves by title and include specific reasons why the CCD record is inadequate and why the original paper file must be retrieved. Requests must further include applicant's name, date of birth, date of visa application, place of visa application, whether the applicant was issued or denied, and
where to send the copy of the file. Post may request that older paper files be retrieved or scanned into the CCD for quicker access.

c. When requests are made on behalf of the Bureau of Diplomatic Security (DS) or other agencies, the originator of the request should be clearly identified in the request email.



9 FAM 601.6��3
STORING ISSUED AND REFUSED IV/DV FILES


9 FAM 601.6��3(A)
IV/DV Files – General Guidance

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM 42.52 N7; CT:VISA��1559 09��30��2010)

a. Record Disposition at Post:

The large size of many immigrant visa (IV) records makes it particularly important that posts adhere strictly to records

disposition guidelines for these cases. Posts retain no paper record of immigrant visas issued (see 9 FAM 601.6��3(B)). Documents retained in pending, inactive and refused cases should be pared to the minimum necessary under regulation, and case files should be destroyed or otherwise disposed of as provided for in the Records Disposition Schedule (see 9 FAM 601.6��3(C) and (D)).

(Previous location: 9 FAM Appendix F 102.2 a; CT:VISA��2004 06��26��2013)

b. Reduction in Paper Files:

The introduction of the Form DS��260, Online Application for Immigrant Visa and Alien Registration, has significantly reduced the requirement for posts to maintain paper files of visa records.


9 FAM 601.6��3(B)
Issued IV/DV Case Files

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 102.1; CT:VISA��2004 06��26��2013 and 9
FAM 42.52 N7 (partial); CT:VISA��1559 09��30��2010)

Posts should not maintain any paper record
        a) of issued immigrant visas,
                i) including diversity visas (DVs).

All records
        a) for issued cases

1) are retained in either IVO or INK, and
2) are replicated in CCD.


9 FAM 601.6��3(C)
Category One IV/DV Refusal Files

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 102.2 b��c; CT:VISA��2004 06��26��2013)

a. Active IV/DV CAT I Files:

In cases of IV CAT I refusals
        a) likely to be overcome or waived
                i) within a one��year period,

1) post should retain all material
        a) submitted in support of the application and
        b) required for visa case issuance
2) so that the case may be processed
        a) to completion expeditiously,
3) in case the applicant
        a) is able to overcome the refusal or
        b) receives a waiver.

b. Unclassified IV/DV CAT I Files:

(1) Posts must electronically scan and destroy all unclassified Category I (CAT I) IV/DV refusal files into the CCD, with the exception of refusals that the consular section believes will likely be overcome or waived within a one��year period. The authority to scan and destroy CAT I records can
be found in section B��09��002��02b of the Records Disposition Schedule. After a cleared American has verified that the paper version is not necessary for legal or audit purposes, posts should then immediately destroy the CAT I paper refusal files at post.

(2) If post does not have the ability to scan and destroy files, or if there are a large number of files requiring back��scanning, the files may be shipped to KCC for scanning and destruction (see 9 FAM 601.6��5 for CAT I shipping instructions).

(2) Unclassified CAT I refusal files held at post must, at a minimum, be stored in bar��lock cabinets that must be secured at the end of each day.

c. Classified IV/DV CAT I Files:

Classified CAT I immigrant visa refusal files must be stored in combination vaults or safes approved for classified material and retained at post for the remainder of the statutory storage requirement.

9 FAM 601.6��3(D)
Category Two IV/DV Refusal Files

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 102.3��1 a; CT:VISA��2004 06��26��2013)

a. Category Two (CAT II) IV Refusal Files:

(1) 221(g) IV Files:

(a) CAT II IV refusals
        a) under INA 221(g)

1) must be retained
        a) for the duration of the case termination process.

Post should scan case documents into the record
        a) in the IVO software,
                i) which replicates
                        A) to the CCD record.

After case termination,

the paper file,
        a) including petitions,

1) may be
        a) shredded at post or
        b) destroyed
                i) in the same manner as other controlled and/or classified items.

(Previous location: 9 FAM Appendix F 102.4 b; CT:VISA��2004 06��26��2013)

(b) When a case is terminated pursuant to INA 203(g) and deemed automatically terminated pursuant to INA 205 and 8 CFR 205.1(a) (1), post must send a memorandum to the NVC advising them of the destruction of the petition. (See 9 FAM 504.2��8(A)(1).) Due diligence requires NVC to protect the privacy of the applicant/petitioner by destroying any original or supporting documents they may have if the applicant/petitioner or agent fails to respond to mailings from posts or NVC.

(c) Note, however, that adoption��related petitions in terminated cases must be returned to NVC – see 9 FAM 601.6��3(E) for instructions.

(Previous location: 9 FAM Appendix F 102.4 a (partial); CT:VISA��2004 06��26��
2013)

(2) 212(a)(4) IV Files:

Posts may elect
        a) to have NVC store the paper files
                i) for cases
                        A) refused under INA 212(a)(4),
                ii) after receiving approval
                        A) from the Visa Office.

(Previous location: 9 FAM Appendix F 102.3��1 b; CT:VISA��2004 06��26��2013)

(3) Other CAT II IV Files:

All other CAT II IV case files should be scanned into the associated application record in the IVO system, which will replicate to the case record in the CCD. The case files should then be destroyed one year after the refusal. Otherwise, post will retain the paper file for the remainder of the mandatory storage requirement, as detailed in the Records Disposition Schedule.

b. Category Two (CAT II) DV Refusal Files:

(Previous location: 9 FAM Appendix F 102.3��2; CT:VISA��2004 06��26��2013)

(1) CAT II DV refusals should be destroyed at post after one year, in the same manner as other controlled and/or classified items.

(2) At the end of the DV year on September 30, all registered DV files that were not processed may be destroyed in the same manner as other controlled and/or classified items once scanned into the CCD case file.


9 FAM 601.6��3(E)
Shipping IV/DV Records to NVC

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 102.4; CT:VISA��2004 06��26��2013)

a. What to Send to NVC: Terminated adoption��related petitions must be sent to NVC, and, with Visa Office approval, post��s INA 212(a)(4) IV refusals may be sent to NVC. (See also 9 FAM 601.6��5 for information on sending CAT I IV/DV files to KCC.)

b. Preparing IV/DV Files for Shipment:

(1) Only original petitions (no photocopies), critical evidence supporting the basis of the return and post��created documents should be returned to NVC. Please thoroughly inspect files and cull any documents that do not belong in the case file prior to shipping.

(2) Prior to shipment to NVC, post must include a cover memo on each file specifying the reason the underlying documents are being returned, the requested disposition, and the A file number for record identification purposes.

(3) Each box must contain an inventory list describing the contents of the shipment.

c. Terminated Adoption Petitions (Revocation under INA 203(g)):

The original petition, along with all supporting documents, will be returned, along with Form DS��3096, IV Petition Revocation Request Cover Sheet, to NVC, and a memorandum supporting the recommendation for revocation (see 9 FAM
504.2��8(B)(2)). I��600A, I��600, I��800A, and I��800s must include a cover memo on each document specifying the reason the underlying documents are being returned, and as well as the A file number for record identification purposes.



9 FAM 601.6��4
SCANNING VISA RECORDS

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 103.1; CT:VISA��2104 05��06��2014)

a. Scanning Standards:

Scanned visa records must meet NARA��s minimum resolution requirements for scanning permanent records, which is 300 DPI (dots per inch), and is available to DHS colleagues, who have access to the CCD. In addition, the higher resolution enhances the images to ensure greater clarity. More information regarding record scanning requirements can be found in 5 FAM 450.

b. Requirement to Verify Scan, Need for Paper File:

Before destroying the case file a cleared American must verify that the paper version has been properly uploaded and is not necessary for legal or audit purposes.

c. Visa Records Requiring Scanning:

(1) The following visa records must be electronically scanned at post:

(a) All cases in which Security Advisory Opinion (SAO) requests were sent;

(b) All new CAT I refusals (see paragraph d below); and

(c) All cases involving visa referrals. Consular chiefs should ensure that

all officers at post understand that a copy of their referral will remain available through the CCD indefinitely.

(2) As noted in 9 FAM 601.6��2 and 9 FAM 601.6��3, the following visa records must also be scanned either at post, KCC or NVC (see details in sections noted above):

(a) Older (pre DS��160) NIV issuance files �� done by post or KCC;

(b) Older (pre��DS��160) NIV 214(b) and 221(g) files �� done by post or
KCC (after post retains records for one year);

(c) Older unclassified CAT I NIV and IV refusal files �� done by post or
KCC; and

(d) Older IV (but not DV 221(g)) and NIV (except 214(b) and 221(g)
files) CAT II records �� done by post, KCC or NVC.

(3) As time allows, scan older files via the Independent Namecheck System
(INK) into the CCD, culling files prior to scanning.

(Previous location: 9 FAM Appendix F 103.3; CT:VISA��2104 05��06��2014)

d. CAT I Cases:

(1) Scan All Cases: All CAT I refusal files must be scanned and maintained electronically. This applies to both new cases, which must be scanned as the refusal is entered, and historic cases. The original paper refusal file should be destroyed, except in cases of IV/DV cases likely to be
overcome or waived within a one��year period (see 9 FAM 601.6��3(C) and
B��09��002��02b in the Records Disposition Schedule).

(Previous location: 9 FAM Appendix F 103.2; CT:VISA��2104 05��06��2014)

(2) OF��194 Forms:

When an NIV applicant is refused a visa for a Category
1 ineligibility, consular officers must prepare Form OF��194, The Foreign
Service of the United States of America Refusal Worksheet, explaining
the ground(s) of ineligibility and the steps, if any, which may be taken to overcome the refusal. Because the OF��194 form is now available in the NIV software, consular officers are no longer required to sign and scan the OF��194 into the CCD.

(Previous location: 9 FAM Appendix F 103.5; CT:VISA��2104 05��06��2014)

e. Labeling Documents in the Electronic System:

In order to improve the efficiency of accessing scanned files, posts should utilize, as much as possible, the wide range of electronic labels available in the INK system. Careful labeling makes a tremendous difference when documents are later retrieved. For multi��page documents, it is helpful to identify the page number of the document in the electronic labeling.

(Previous location: 9 FAM Appendix F 103.6; CT:VISA��2104 05��06��2014)

f. Color Versus Black��and��White:

Text documents should typically be scanned in black and white, unless color enhances the quality or usefulness of the image. Documents containing seals, photographs, and travel documents should typically be scanned in color.



9 FAM 601.6��5
SHIPPING UNCLASSIFIED CAT I RECORDS TO KCC

(CT:VISA��1; 11��18��2015)
(Previous location: 9 FAM Appendix F 103.4 (partial); CT:VISA��2104 05��06��
2014)

a. Posts Not Required to Send CAT I Files to KCC:

Posts that have sufficient resources should scan their own CAT I file holdings at post. The Department has no objection to post back��scanning their own files provided a cleared American oversees the process. While it would normally be appropriate to contract an American family member to complete this task as a short��term project, many of the decisions on what to retain will likely fall to an officer.
The destruction of the original paper files should be witnessed by an American employee (direct hire or contractor).

b. KCC Scanning of Unclassified CAT I Files:

KCC is prepared to perform back��scanning of every post��s unclassified CAT I refusal files. Posts that choose to have KCC back��scan their files should send an e��mail to KCCCAT1@state.gov with a detailed description of how many files it expects
to ship for scanning. KCC will coordinate with each post to set an appropriate delivery schedule.

c. Culling CAT I Files for KCC:

Posts must send only unclassified files to KCC, as there is no classified storage capability at the facility. Posts must carefully cull their CAT I files prior to shipping them to KCC for back��scanning. It is imperative that posts ��scrub�� the files since KCC��s contract personnel are not authorized to remove extraneous documentation from the files prior to scanning (and permanently electronically storing) them.

(Previous location: 9 FAM Appendix F 101.1 a Note; CT:VISA��2104 05��06��2014 and 9 FAM Appendix F 103.4 (partial); CT:VISA��2104 05��06��2014)

d. Shipping CAT I Files to KCC:

(1) Organizing CAT I Files:

Each CAT I record should be placed into an individual file folder to clearly distinguish individuals�� records. CAT 1 records should be organized alphabetically by surname for shipment to KCC.

(2) Shipping Instructions:

For all CAT I records shipped to KCC, posts should include a packing list or inventory for each box. The packing list should include the post code and applicant names and dates of birth for all records included in the box. Boxes in each shipment should be numbered and a packing list for the entire shipment should be placed in Box 1.

(Previous location: 9 FAM Appendix F 104; CT:VISA��2004 06��26��2013)

e. Shipment of CAT I Microfiche Records to KCC:

All microfiche CAT I visa refusal records currently retained at post should be shipped to KCC. After KCC receives posts�� shipments, they will index the files and store for the remainder of the statutory storage requirement. Posts can contact KCC to request retrieval of any records contained on microfiche.

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