Visa Operations at U.S. Posts in Canada (18-MAY-04, GAO-04-708R).
                                                                 
On October 21, 2002, we reported that consular staff at posts	 
around the world held different views on balancing national	 
security and customer service in the process of adjudicating	 
visas. Since then, the Department of State's Bureau of Consular  
Affairs has underscored the importance of visa operations in	 
protecting our nation's security and implemented many changes in 
visa processing to tighten security screening for applicants	 
worldwide. Because of Canada's proximity to the United States and
the fact that many nationals from countries of concern apply for 
U.S. visas in Canada, Congress asked us to obtain the views of	 
U.S. consular officers in Canada regarding the visa process. In  
response, we are providing information from consular staff who	 
adjudicate U.S. visas in Canada regarding their perceptions of	 
the importance of national security in the visa process,	 
including impediments that could interfere with efforts to make  
security a top priority in visa processing.			 
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-04-708R					        
    ACCNO:   A10096						        
  TITLE:     Visa Operations at U.S. Posts in Canada		      
     DATE:   05/18/2004 
  SUBJECT:   Consulates 					 
	     Identity verification				 
	     National preparedness				 
	     Standards and standardization			 
	     Border control					 
	     Homeland security					 
	     Visas						 
	     Canada						 

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GAO-04-708R

United States General Accounting Office Washington, DC 20548

May 18, 2004

The Honorable F. James Sensenbrenner, Jr.
Chairman
Committee on the Judiciary
House of Representatives

Subject: Visa Operations at U.S. Posts in Canada

Dear Mr. Chairman:

On October 21, 2002, we reported that consular staff at posts around the
world held different views on balancing national security and customer
service in the process of adjudicating visas.1 Since then, the Department
of State's Bureau of Consular Affairs has underscored the importance of
visa operations in protecting our nation's security and implemented many
changes in visa processing to tighten security screening for applicants
worldwide.

Because of Canada's proximity to the United States and the fact that many
nationals from countries of concern apply for U.S. visas in Canada, you
asked us to obtain the views of U.S. consular officers in Canada regarding
the visa process. In response, we are providing information from consular
staff who adjudicate U.S. visas in Canada regarding their perceptions of
the importance of national security in the visa process, including
impediments that could interfere with efforts to make security a top
priority in visa processing. We interviewed 19 consular officers2 and
managers at the four largest visaissuing posts in Canada: the embassy in
Ottawa and consulates in Toronto, Montreal, and Vancouver. 3 We conducted
our work between January 2004 and March 2004 in accordance with generally
accepted government auditing standards.

1A visa is a travel document that allows a foreign visitor to present
himself or herself at a port of entry for admission to the United States.
In this report, we use the term "visa" to refer to nonimmigrant visas
only. The United States also grants visas to people who intend to
immigrate to the United States. See U.S. General Accounting Office, Border
Security: Visa Process Should Be Strengthened as an Antiterrorism Tool,
GAO-03-132NI (Washington, D.C.: Oct. 21, 2002) for more information on the
visa adjudication process.

2We interviewed all consular officers currently involved in nonimmigrant
visa processing, plus some additional officers who had done such
processing the year before.

3Mission Canada comprises the embassy in Ottawa; consulates in Vancouver,
Toronto, Montreal, Halifax, Calgary, and Quebec City; and a U.S. presence
in Winnipeg. The embassy and the six consulates issue nonimmigrant visas.
Montreal issues both immigrant and nonimmigrant visas.

              GAO-04-708R Visa Operations at U.S. Posts in Canada

Results in Brief

Consular officers and managers at U.S. posts in Canada said that, despite
rising workloads and more labor-intensive processing requirements, they
are placing an emphasis on security in visa operations. All of the
officers with whom we spoke reported that security was their first concern
in visa adjudication. Some officers said security was their top priority
because they would consider themselves personally accountable if they
failed to notice an applicant who posed a security risk. Other officers
cited the Bureau of Consular Affairs' standardized guidance as the source
for their focus, while others credited post management with instilling a
pro-security tone for visa operations. The officers acknowledged some
challenges that could interfere with efforts to make security a top
priority in visa processing. For example, some officers reported that new
post-September 11 processing requirements for visas were more labor
intensive, and they expressed concern that the requirements could reduce
the time available for face-to-face interviews with some applicants. While
most officers felt that they had enough time to screen applicants
carefully for possible security risks, some of the newer officers at posts
expressed concern about their ability to remain vigilant if the workload
increased. This problem was most severe in Toronto, where workload was
high and the consulate's poor space configuration cramped operations.

Background

Since Canadian citizens generally do not need a visa to travel to the
United States,4 consular officers at visa-issuing posts in Canada process
visas almost exclusively for third-country nationals who are residing in,
or visiting, Canada. Many of these thirdcountry nationals have "landed
immigrant" status in Canada, a status similar to permanent residency in
the United States. Consular officers also renew work and student visas for
aliens residing in the United States who prefer to apply at a post in
Canada rather than travel to their home country. Posts in Canada handle a
diverse applicant pool. Nationals of more than 180 countries applied for
visas in Toronto in 2003, and more than 165 nationalities applied in
Montreal. The wide range of nationalities creates a unique challenge for
consular officers, who must be familiar with official documents from many
countries and have an understanding of circumstances that affect each
nationality's eligibility for a visa. Some third-country national
applicants are from countries of concern and require additional security
clearance processes.

The Bureau of Consular Affairs implemented many changes in visa processing
after September 11 in an effort to tighten security screening for
applicants worldwide. These changes include requiring interviews for the
vast majority of visa applicants, new security clearance processes for
certain types of applicants, and collecting fingerprints from most visa
applicants.5 The Bureau has issued guidance to keep posts worldwide

4Citizens of Canada do not need visas except under certain circumstances.
22 C.F.R. S: 41.2(a). For example, if a Canadian is the fiance/fiancee of
a U.S. citizen, he/she must be in possession of a nonimmigrant visa. 22
C.F.R. S: 41.2(k).

5State is installing digital fingerprint scanners at posts worldwide. All
four posts we visited in Canada were equipped with the scanners.

apprised of these policy and procedural changes. Since February 2003,
Consular Affairs has issued more than 60 Standard Operating Procedures in
an effort to standardize visa operations worldwide.

In addition to worldwide changes to visa processing, Consular Affairs
implemented changes after September 11 that affected only posts in Canada.
For example, in March 2003, the United States began requiring that landed
immigrants living in Canada from Commonwealth6 countries and Ireland
obtain visas to enter the United States. Prior to March 2003, certain
landed immigrants in Canada who originally came from Commonwealth
countries (including India, Pakistan, and Malaysia) and Ireland were not
required to have a visa or passport to visit the United States when
entering from Canada. The change increased the workload at posts in
Canada, particularly in Toronto.

Consular Officers Said They Are Prioritizing Security

Overall, the consular managers and officers we interviewed said they are
emphasizing security concerns in visa processing over all other factors.
One consular manager said security concerns trump all other issues in
Canada, such as facilitation of trade and commerce. Several consular
officers reported that they would hold themselves personally accountable
if they issued a visa to an applicant who posed a security risk to the
United States. None of the consular officers said they felt pressured by
their managers to issue visas in cases where they felt the applicant posed
a security risk. One officer reported that she believes Consular Affairs'
overarching policy is for consular officers always to err on the side of
caution. Consular staff in Ottawa pointed to the results of several
validation studies as confirmation that they are making good decisions on
visa applicants. The staff attempted to contact approximately 300
individuals who had received visas between January 2002 and November 2003
to verify whether they had returned to Canada after using their visas to
visit the United States; aside from one individual who they determined had
remained in the United States, they ascertained that all the rest had
returned to Canada.

Consular officers cited several sources of guidance from the Bureau of
Consular Affairs as being helpful in determining how to balance national
security and customer service. Some consular officers said the Standard
Operating Procedures were particularly helpful. Consular managers cited
the benefit of attending conferences for consular section chiefs at the
embassy in Ottawa. At these conferences, managers discussed implementation
of post-September 11 changes to visa processing and ways that posts in
Canada could implement them smoothly. One consular manager said that his
policy to prioritize security came directly from the Ambassador in Ottawa,
who said that border security was the most important issue for posts in
Canada.

6The Commonwealth is a voluntary association of more than 50 countries
primarily composed of the United Kingdom and its former colonies.

Some Challenges Could Affect Focus on Security

Although consular officers said that they placed an emphasis on security
above all else in their visa processing, they reported some challenges
that may negatively affect their ability to remain vigilant.
Post-September 11 processing requirements for visas require more
labor-intensive work for consular officers, such as fingerprinting
applicants and processing special security clearance requests. In addition
to the increased time it takes to adjudicate a visa applicant, the number
of applications increased at posts in Canada, causing backlogs for
appointments and long hours for some consular staff. While officers said
they would always take the time they felt necessary to rule out any
security concerns on an application, some also reported that workload
pressures could affect their vigilance. From our observations at the
busiest post, Toronto, we also questioned whether officers could remain
alert after long days adjudicating visas.

The post in Toronto expected an initial doubling of its workload for
nonimmigrant visas with the imposition of the visa requirement for landed
immigrants and an annual increase thereafter of 10 to 20 percent. Post
management reported that Toronto saw a substantial increase in
applications and that the increased numbers may last for 2 years.
Toronto's consular package7 for fiscal year 2003 stated that
post-September 11 special processing requirements for visas made
operations less efficient and were negatively affecting employee morale.
Toronto expanded the hours during which visa interviews are conducted to
an all-day schedule. Some officers we interviewed spoke of the busy summer
of 2003 as "agonizing" and said they had considered leaving the Foreign
Service. One officer said that he told managers in both Toronto and Ottawa
that he could not perform the required security aspects of his job at that
pace. One consular manager also commented that officers told him they
would like more time to scrutinize cases. He said that, as new consular
officers, they had to learn to make decisions faster. He did not think he
was causing them to make less security-conscious decisions, but he
acknowledged they were under a lot of stress. Toronto's busy visa
operations are exacerbated by insufficient space and poor physical
configuration of the consulate. The Consul General and the consular
section chief in Toronto, as well as the Minister Counselor for Consular
Affairs in Ottawa, acknowledged Toronto's staff and space problems and
said they were being addressed. Canada's Mission Performance Plan for
fiscal years 2005 and 2006 requested an additional consular officer for
Toronto for each of these years and for a redesign of office space to
ameliorate these problems.

The post in Montreal expected a doubling of nonimmigrant visa workload
when the visa requirement for landed immigrants went into effect but only
saw a modest 5 percent increase in fiscal year 2003, according to the
post's consular package. Officers in Montreal said the number of visa
applicants they processed daily was reasonable. However, the post's
consular package for fiscal year 2003 reported that post-September 11
changes in visa processing affected the amount of time that officers spent
on case adjudication and that if State continued to introduce
labor-intensive processing changes

7All visa-issuing posts submit consular packages annually to State's
Bureau of Consular Affairs. The packages contain a post's summary report
on all areas of consular work.

without providing offsetting resources, it would eventually erode the
amount of time that officers could spend face-to-face with applicants. The
post estimated that officers may be devoting 40 percent less time to
actual case adjudication than they did before September 2001.

The post in Vancouver saw a 20 percent increase in visa applications due
to the visa requirement for landed immigrants and noted that
post-September 11 visa processing required additional handling for all
cases, reducing efficiency at the post and causing an

8

appointment backlog. The consular manager reported that he took security
concerns very seriously, yet he also wanted to reduce the appointment
backlog because delayed appointments increased the post's workload by
requiring officers to respond to calls from applicants (or their
attorneys) asking about the backlog. He told us he sets the number of
appointments the post accepts to try to reduce the appointment backlog.
Even when fingerprint scanners were installed at post in October 2003,
adding to the adjudication time per case, he said the number of
appointments per day was kept steady.

Agency Comments and Our Evaluation

The Department of State provided written comments on a draft of this
report (see enclosure). State agreed with GAO's characterization of visa
operations at U.S. posts in Canada. State noted a number of actions it had
taken to address issues in Toronto, including the authorization of funds
to hire new consular staff and funds for State's Bureau of Overseas
Buildings Operations to conduct a review of the physical infrastructure.
Furthermore, the Bureau of Consular Affairs said it planned to send a
Consular Management Assistance Team to Toronto in May 2004 to assess the
consular section and make recommendations on how to improve the operation.

Scope and Methodology

To prepare this report, we conducted work at the Department of State,
Department of Homeland Security, and Federal Bureau of Investigation in
Washington, D.C. We conducted fieldwork at the U.S. embassy in Ottawa and
at the consulates in Toronto, Montreal, and Vancouver. We (1) interviewed
management and consular officials at State Department headquarters, as
well as management personnel in charge of operations at the U.S. embassy
and consulates, including the U.S. Ambassador to Canada and all Consuls
General; (2) obtained input from all 19 consular officers and managers at
the four posts who were involved in nonimmigrant visa processing using a
standard list of questions with follow-up interview questions; and (3)
interviewed law enforcement officials at posts. We spent significant time
observing visa processing and attending interagency meetings at post. We
collected and reviewed data from each post on workload statistics and
refusal rates. As we used this information for background purposes only,
we did not assess the reliability of the data. We also obtained each
post's consular package, the Bureau of Consular Affairs' worldwide
guidance for visa operations, and State's Office of the Inspector General
reports.

8All posts we visited used an appointment booking system to control the
number of applicants who arrived per day. Consular managers set the number
of appointments that the posts accepted each day.

We are sending copies of this report to other interested Members of
Congress. We are
also sending copies to the Secretary of State. We will make copies
available to others
upon request. In addition, the report will be available at no charge on
the GAO Web site
at http://www.gao.gov.

If you or your staff have any questions about this report, please contact
me at (202) 512
4128 or at [email protected]. Kate Brentzel, John Brummet, Lori Kmetz, Janey
Cohen, Mary
Moutsos, and Martin De Alteriis contributed to this report.

Sincerely yours,

Jess T. Ford
Director, International Affairs and Trade

Enclosure

Enclosure Comments from the Department of State

                                   Enclosure

                                   Enclosure

(320235)

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