State Department: Tourist Visa Processing Backlogs Persist at U.S.
Consulates (Letter Report, 03/13/98, GAO/NSIAD-98-69).

Pursuant to a congressional request, GAO reviewed how Department of
State consulates process visas for visitors (nonimmigrants) to the
United States, focusing on the: (1) extent and nature of visa processing
backlogs in Sao Paulo and at other consulates; (2) factors affecting
consulates' ability to process nonimmigrant visas in a timely manner;
and (3) activities planned or under way to improve nonimmigrant visa
processing.

GAO noted that: (1) visa processing backlogs are a problem for some
consulates, including the one in Sao Paulo, Brazil; (2) the visa
backlogs at the consulates GAO reviewed varied widely, ranging from 8 to
52 days; (3) the longest delays occurred during peak travel periods such
as the summer months and winter holiday season; (4) factors that
affected consulates' ability to process nonimmigrant visas in a timely
manner included inadequate consular staffing and other staffing-related
issues as well as inadequate computer systems, facilities, and other
equipment; (5) an increased emphasis on preventing the entry of illegal
immigrants, terrorists, and other criminals also contributed to delays;
(6) State has initiatives under way to address staffing problems,
upgrade equipment, and identify and implement practices that could
improve visa processing at overseas posts; and (7) however, it does not
systematically gather data on visa processing turnaround times and has
not yet set specific timeliness standards to help guide its improvement
program.

--------------------------- Indexing Terms -----------------------------

 REPORTNUM:  NSIAD-98-69
     TITLE:  State Department: Tourist Visa Processing Backlogs Persist 
             at U.S. Consulates
      DATE:  03/13/98
   SUBJECT:  Consulates
             International travel
             Human resources utilization
             Aliens
             Passports
IDENTIFIER:  Sao Paulo (Brazil)
             INS Visa Waiver Pilot Program
             
******************************************************************
** This file contains an ASCII representation of the text of a  **
** GAO report.  Delineations within the text indicating chapter **
** titles, headings, and bullets are preserved.  Major          **
** divisions and subdivisions of the text, such as Chapters,    **
** Sections, and Appendixes, are identified by double and       **
** single lines.  The numbers on the right end of these lines   **
** indicate the position of each of the subsections in the      **
** document outline.  These numbers do NOT correspond with the  **
** page numbers of the printed product.                         **
**                                                              **
** No attempt has been made to display graphic images, although **
** figure captions are reproduced.  Tables are included, but    **
** may not resemble those in the printed version.               **
**                                                              **
** Please see the PDF (Portable Document Format) file, when     **
** available, for a complete electronic file of the printed     **
** document's contents.                                         **
**                                                              **
** A printed copy of this report may be obtained from the GAO   **
** Document Distribution Center.  For further details, please   **
** send an e-mail message to:                                   **
**                                                              **
**                                            **
**                                                              **
** with the message 'info' in the body.                         **
******************************************************************


Cover
================================================================ COVER


Report to the Honorable
Bob Graham and the Honorable
Ernest F.  Hollings, U.S.  Senate

March 1998

STATE DEPARTMENT - TOURIST VISA
PROCESSING BACKLOGS PERSIST AT
U.S.  CONSULATES

GAO/NSIAD-98-69

State's Tourist Visa Processing

(711290)


Abbreviations
=============================================================== ABBREV


Letter
=============================================================== LETTER


B-279006

March 13, 1998

The Honorable Bob Graham
The Honorable Ernest F.  Hollings
United States Senate

As you requested, we reviewed how State Department consulates process
visas for visitors (nonimmigrants) to the United States.  Your letter
to us expressed particular concern about delays in visa processing
for Brazilian citizens wishing to visit the United States.  As you
know, our prior work had identified problems with visa processing. 
In 1992, we issued a report\1 that indicated that a number of
consulates, including the one in Sao Paulo, Brazil, had visa
processing backlogs.  The report also noted that a number of
consulates had inadequate staffing, equipment, and facilities.  This
report (1) identifies the extent and nature of visa processing
backlogs in Sao Paulo and at other consulates, (2) outlines factors
affecting consulates' ability to process nonimmigrant visas in a
timely manner, and (3) discusses the activities planned or under way
to improve nonimmigrant visa processing. 

To address these matters, we obtained information on visa processing
during 1997 from 26 U.S.  posts in 20 countries and directly observed
visa operations in Rio de Janeiro and Sao Paulo, Brazil, and in
Caracas, Venezuela.  We selected these posts based on visa issuance
volumes and geographical locations.  Although State does not have a
formal definition of what constitutes a delay or backlog in
processing visas, based on discussions with State's Deputy Assistant
Secretary for Visa Services, we considered a backlog to exist at
posts where the total turnaround time for processing visas exceeded 7
business days.  Appendix I discusses our scope and methodology in
further detail. 


--------------------
\1 State Department:  Backlogs of Tourist Visas at U.S.  Consulates
(GAO/NSIAD-92-185, Apr.  30, 1992). 


   RESULTS IN BRIEF
------------------------------------------------------------ Letter :1

Visa processing backlogs are a problem for some consulates, including
the one in Sao Paulo, Brazil.  The visa backlogs at the consulates we
reviewed varied widely, ranging from 8 to 52 days.  The longest
delays occurred during peak travel periods such as the summer months
and winter holiday season. 

Factors that affected consulates' ability to process nonimmigrant
visas in a timely manner included inadequate consular staffing and
other staffing-related issues as well as inadequate computer systems,
facilities, and other equipment.  An increased emphasis on preventing
the entry of illegal immigrants, terrorists, and other criminals also
contributed to delays. 

The State Department has initiatives under way to address staffing
problems, upgrade equipment, and identify and implement practices
that could improve visa processing at overseas posts.  However, it
does not systematically gather data on visa processing turnaround
times and has not yet set specific timeliness standards to help guide
its improvement program. 


   BACKGROUND
------------------------------------------------------------ Letter :2

Consular officers issued about 6.2 million nonimmigrant visas in
1996--an increase of approximately 16 percent over the number issued
in 1992.  The total budget for consular relations activities has also
increased significantly in recent years.  The budget grew from about
$259 million in fiscal year 1992 to an estimated $470 million in
fiscal year 1998.  The State Department's Bureau of Consular Affairs
Program Plan for fiscal years 1998-99 (an annually updated planning
document containing strategies for executing the Bureau's mission)
notes that the greatest demand for visas is in advanced developing
countries such as Brazil and South Korea, among others.  Table 1
shows the numbers of nonimmigrant visas issued at the top five
nonimmigrant visa-issuing posts in fiscal year 1996.\2



                                Table 1
                
                  Top Five U.S. Visa-Issuing Posts in
                            Fiscal Year 1996

Post                                                      Visas issued
----------------------------------------------  ----------------------
Seoul, South Korea                                             515,315
Hong Kong\a (Taiwan residents)                                 359,685
Sao Paulo, Brazil                                              297,814
Rio de Janeiro, Brazil                                         206,653
Mexico City, Mexico                                            203,506
----------------------------------------------------------------------
\a The figure listed for Hong Kong represents the number of visas
issued under the auspices of the Consulate General in Hong Kong to
residents of Taiwan.  Visa processing is largely handled by the
American Institute in Taiwan.  Visas issued to residents of Hong Kong
are counted separately. 

Source:  State Department. 

Foreign visitors traveling to the United States are a significant
source of revenue for U.S.  businesses.  According to the Department
of Commerce's International Trade Administration Tourism Industries
Office, foreign visitors spent close to $70 billion in the United
States in 1996.  The office's figures indicate that Brazilian
visitors spent over $2.6 billion in the United States, or more than
$2,900 per visit, during the same period. 

In order to safeguard U.S.  borders and control the entry of foreign
visitors into the country, U.S.  immigration laws require foreign
visitors from most countries to have a visa to enter the United
States.  However, the United States currently waives the requirement
for visitor visas for citizens of
26 countries considered to pose little risk for immigration and
security purposes.\3 According to a consular official, Brazil does
not currently qualify for visa waivers primarily because the refusal
rate for Brazilian visa applications exceeds the allowable limit of
less than 2.5 percent in each of the previous 2 years and less than a
2 percent average over the previous
2 years. 

The Department of State has primary responsibility abroad for
administering U.S.  immigration laws.  Consular officers at overseas
posts are responsible for providing expeditious visa processing for
qualified applicants while preventing the entry of those that are a
danger to U.S.  security interests or are likely to remain in the
United States illegally.  State's Bureau of Consular Affairs develops
policies and manages programs needed to administer and support
visa-processing operations at overseas posts and has direct
responsibility for U.S.-based consular personnel.  State's geographic
bureaus, which are organized along regional lines (such as the Bureau
of Inter-American Affairs), have direct responsibility for the
staffing and funding of overseas consular positions. 

The process for handling nonimmigrant visas varies among overseas
posts.  Among the methods used to serve visa applicants, posts (1)
receive applicants on a "first-come, first-served" basis, (2) operate
appointment systems to schedule specific dates and times for
applying, (3) employ travel agencies to act as intermediaries between
applicants and the consulate, and (4) use "drop boxes" for collecting
certain types of visa applications.  Individual posts may use one or
various combinations of these approaches.  In addition to submitting
a written application and supporting documentation, an applicant must
be interviewed by a consular officer, unless the interview is waived. 
Consular officers may request additional documentation to validate
the applicant's intention to return home or confirm that sufficient
financial resources are available for the trip.  Consular officers
are also responsible for deterring the entry of aliens who may have
links to terrorism, narcotics trafficking, or organized crime. 


--------------------
\2 This is the latest year for which State has compiled worldwide
visa processing statistics . 

\3 Under the Visa Waiver Pilot Program, citizens of participant
countries may visit the United States for up to 90 days without
obtaining a visitor visa.  Criteria for a country's participation in
the program include a very low rate of refusals of visitor visa
applications, reciprocal treatment of U.S.  nationals, a program for
issuance of machine-readable passports, and the U.S.  Attorney
General's determination that a country's participation would not
damage U.S.  law enforcement interests.  Countries currently part of
the Visa Waiver Pilot Program include Andorra, Argentina, Australia,
Austria, Belgium, Brunei, Denmark, Finland, France, Germany, Iceland,
Ireland, Italy, Japan, Liechtenstein, Luxembourg, Monaco, the
Netherlands, New Zealand, Norway, San Marino, Slovenia, Spain,
Sweden, Switzerland, and the United Kingdom. 


   BACKLOGS EXIST AT SOME
   CONSULATES
------------------------------------------------------------ Letter :3

Nine of the 26 consulates we reviewed, including the one in Sao
Paulo, experienced backlogs in processing nonimmigrant visas to the
United States in fiscal year 1997.  The backlogs ranged from 8 to 52
days and occurred primarily during peak travel seasons for tourists. 
State does not systematically compile information on visa processing
turnaround times at overseas posts nor has it established a time
standard for processing visas.  However, the Deputy Assistant
Secretary for Visa Services indicated that a maximum wait of 1 week
(5 business days) for an appointment to apply for a nonimmigrant visa
is desirable.  She also told us that an additional
1 or 2 days are generally needed to process the visa after the
appointment occurs.  Thus, we concluded that a maximum desirable
total turnaround time for appointment system cases would generally be
7 business days.  Since the total turnaround times for other
processing methods are generally shorter than for appointment
systems, we used 7 business days as a cutoff point beyond which we
considered a backlog to exist for all processing methods. 


      TURNAROUND TIMES VARY WIDELY
---------------------------------------------------------- Letter :3.1

Although consulates often manage to process nonimmigrant visa
applications within 7 business days during periods of low demand,
turnaround times\4 lengthen significantly at some consulates when
demand is high.  Peak periods generally occur during the summer
months or winter holiday season.  Of the nine posts that had
peak-season backlogs exceeding 7 business days, four had turnaround
times that were less than 15 business days and five had turnaround
times that were 15 business days or more.  These figures represent
the highest turnaround times that posts reported among the various
application methods that they use.  Table 2 lists the total
turnaround times for processing visas during peak periods at the five
posts that had backlogs that were 15 business days or more in fiscal
year 1997. 



                                Table 2
                
                  Peak-Season Visa-Processing Times at
                Surveyed U.S. Posts With Backlogs of 15
                  Business Days or More in Fiscal Year
                                  1997

Post                                                  Turnaround time
--------------------------------------  ------------  ----------------
Bogota, Colombia                                      52 Days
Warsaw, Poland                                        30 Days
Santo Domingo, Dominican Republic                     25 Days
Sao Paulo, Brazil                                     20 Days
Seoul, South Korea                                    15 Days
----------------------------------------------------------------------
Source:  State Department. 


--------------------
\4 We considered the total turnaround period to begin on the first
day of a consulate's involvement and to end when a consulate either
issued or denied the visa. 


      SAO PAULO VISA PROCESSING
      BACKLOGS
---------------------------------------------------------- Letter :3.2

At the consulate in Sao Paulo, Brazil, turnaround times varied
depending on the visa processing method involved.  In fiscal year
1997, about 63 percent of the consulate's nonimmigrant visa
applications were submitted through travel agents, and about 27
percent were handled through the consulate's appointment system.  The
remaining 10 percent were processed using other methods such as a
"drop box." Visa applications submitted through travel agents were
subject to a total turnaround period of 10 business days during
periods of high demand and less than 5 business days during periods
of low demand.  Turnaround times for those who requested an
appointment to apply for a visa reached as long as 20 days during
busy periods--twice the length we noted in our 1992 report on
visa-processing backlogs.  In nonpeak periods, the turnaround time
for those who requested appointments was 9 business days.  For fiscal
year 1997, approximately 86,000 applicants used the consulate's
appointment system.  Consulate officials told us that the turnaround
time for applications received through the "drop-box" method is
generally kept within 5 business days during both peak and nonpeak
periods. 

State pointed out that, while the Sao Paulo consulate's turnaround
times have increased since 1992, the volume of nonimmigrant visa
applications processed in Sao Paulo has also increased from 150,088
in fiscal year 1992 to 319,341 in fiscal year 1997.  State reported
that the Sao Paulo consulate processed an average of 1,250
nonimmigrant visas per day in fiscal
year 1997.  During the same period, the number of consular section
foreign service officer positions increased from four to seven. 

In 1995, the Sao Paulo consulate established an appointment system to
alleviate long lines outside the consulate that were causing
complaints from neighbors and negative reports in the local press. 
The consulate also began employing appointment delays as a
disincentive to applying in person and to encourage applicants to
apply for visas through the consulate's travel agency program--a
technique that it considered to be more efficient.  As part of this
approach, the consulate initiated a practice of not scheduling any
appointments on Wednesdays, so that consular officers could
concentrate on processing travel agency cases that day.  Sao Paulo
consular officials told us that this approach had been successful in
reducing the length of applicant lines, increasing the use of the
consulate's travel agency program, and improving productivity.  On
the other hand, the total turnaround time increased for those
applying for visas in person through the appointment system. 
According to the Consul General in Brasilia, the Sao Paulo
consulate's appointment system and its practice of closing to the
public on Wednesdays unfairly penalizes applicants that apply in
person.  He said that the consulate should develop an approach that
enables it to provide high levels of service for all application
methods. 

Officials in State's Bureau of Inter-American Affairs told us that
the Brazil Desk received an average of one complaint per week from
U.S.  companies concerning difficulties that their Brazilian business
associates were having in obtaining visas in Sao Paulo.  The Consul
General in Brasilia said that as many as 10 visa applicants from the
Sao Paulo consular district underwent the inconvenience of traveling
to and applying for visas in Brasilia each day rather than in Sao
Paulo because they had encountered delays and other difficulties in
Sao Paulo.  He added that an additional unknown number travel to the
consulate in Rio de Janeiro each day or simply elect not to travel to
the United States at all.  Representatives of the travel industry in
Brazil told us that, while there have been substantial improvements
in reducing visa backlogs and long lines at the Sao Paulo consulate
in recent years, they still receive complaints about the length of
time that it takes to obtain a U.S.  visa in Sao Paulo.  A
representative of the American Chamber of Commerce in Brazil agreed
that there had been improvements in recent years but said that the
process remains particularly troublesome for Brazilian business
executives who sometimes need to obtain visas on an emergency basis
for unexpected business trips to the United States. 


   BARRIERS TO TIMELY PROCESSING
   OF VISAS
------------------------------------------------------------ Letter :4

Consular officers face a number of obstacles to providing expeditious
service in processing visas.  Inadequate consular staffing at
overseas posts and other staffing-related issues were identified as
barriers to timely processing of visas by the majority of posts that
we reviewed.  Other impediments to efficient processing include
inadequate computer systems, equipment, and consular facilities. 
Increased attention devoted to preventing suspect applicants from
entering the United States has also led to delays. 


      STAFFING PROBLEMS
---------------------------------------------------------- Letter :4.1

Similar to what we reported in 1992, consular personnel cited
staffing problems as some of the most persistent barriers to
processing visas efficiently.  Nineteen of the 26 consulates we
reviewed reported staffing problems, such as staffing gaps due to
transfers of foreign service officers during peak periods or
inadequate permanent staffing positions. 

Of particular concern were staffing gaps that occurred during peak
seasons.  Since the summer months are among the busiest periods for
processing nonimmigrant visas at many posts, consular sections should
be operating at full capacity during these periods.  However,
according to consular officials, they often are not because State's
annual personnel reassignments take place then.  A consular official
in Bogota told us that the lengthy wait for appointments there was
due in large part to extended staffing gaps.  Officials in the Bureau
of Consular Affairs said that State's system of mass employee
transfers during the summer months is intended to promote fairness in
the assignment bidding process and convenience for officers with
school-age children, even though it does not result in optimal staff
coverage during peak periods. 

Some consulates reported that, even when all of their authorized
positions are filled, staffing levels are inadequate, particularly at
posts that have experienced significant increases in visa demand. 
Figure 1 depicts overseas foreign service officer staffing for visa
services and nonimmigrant visa work load trends from fiscal years
1993 through 1996. 

   Figure 1:  Overseas Visa
   Services Staffing and
   Nonimmigrant Visa Work Load
   Trends, Fiscal Years 1993-96

   (See figure in printed
   edition.)

\a Although overseas visa services staff process both immigrant and
nonimmigrant visas, nonimmigrant visas are the majority issued. 

   Source:  State Department
   budget documents and 1996
   Report of the Visa Office.

   (See figure in printed
   edition.)

According to a senior consular official, the hiring of junior
officers--the primary source of consular staff support--has not kept
pace with foreign service officer attrition over the last several
years.  This has resulted in staffing shortages in consular sections
at many overseas posts.  The Bureau of Consular Affairs Program Plan
for fiscal years 1998-99 stated that the shortage of consular
officers had seriously undermined efforts to meet the increasing
demand for consular services. 

Another staffing issue that consular officials raised concerned
State's process for allocating staff at overseas posts.  The Bureau
of Consular Affairs does not control assignments of consular
positions at overseas posts; rather, State's geographic bureaus are
in charge of these positions.  Consular officials said that this
arrangement causes delays in reallocating positions to correspond
with shifting work loads at various posts.  Such reallocations are
particularly troublesome when they involve moving positions from one
geographic bureau to another.  For example, if a U.S.  consulate in a
Latin American country encountered a significant increase in consular
work load while a consulate in East Asia experienced a corresponding
decline, the Bureau of Consular Affairs would not have the authority
to shift one or more consular positions from one consulate to the
other.  Rather, it would have to convince the Bureau of East Asian
and Pacific Affairs to relinquish the positions and the associated
funding, while persuading the Bureau of Inter-American Affairs to
accept them.  A senior consular official told us that the Bureau of
Consular Affairs had recently proposed to the Under Secretary for
Management that the Bureau be given greater control over the staffing
and funding of overseas consular positions.  The official said that
the Under Secretary for Management is still considering the proposal. 


         SAO PAULO CONSULAR
         SECTION STAFFING
-------------------------------------------------------- Letter :4.1.1

With regard to the adequacy of staffing in Sao Paulo in particular,
consulate officials there told us that consular section staffing is
insufficient to meet the high demand for nonimmigrant visas.  The
officials said that, due to transfers of foreign service officers and
other factors, the unit had been staffed with a full contingent of
authorized positions for only 6 months in the last 2 years.  In
addition, even when the section is fully staffed, the number of
authorized positions is inadequate.  At the time of our recent visit
to Sao Paulo, the nonimmigrant visa section had seven foreign service
officer positions,\5 one of which was vacant.  The unit also had 19
foreign national employee positions, including a receptionist, and
4 U.S.  family member positions, 1 of which was vacant.  Consular
section officials said that, to reduce visa backlogs to within 7
working days, they would need two additional foreign service
officers, five additional foreign national employees, and two
additional U.S.  family member employees. 

The Sao Paulo consular section sometimes employs additional U.S. 
family members to provide assistance on a temporary basis but has
experienced problems securing such staff in time to optimize their
help during peak periods.  Consulate officials told us that the
complexities of the various funding and hiring mechanisms for
obtaining temporary staff make it difficult to quickly hire them. 
The officials added that the low salaries for family member staff
also make it hard to attract applicants among the few eligible family
members at the post. 

According to a senior consular official, there are no current plans
to address staffing shortages specifically at the consulate in Sao
Paulo.  The official said that State has staffing shortages worldwide
and that it plans to hire new foreign service officers to help deal
with the shortages.  Sao Paulo's permanent position staffing needs
will be considered along with the needs of other posts as part of the
normal resource allocation process.  The official added that State
has also taken measures to temporarily fill peak season staffing gaps
in overseas consular sections. 


--------------------
\5 This figure includes the head of the nonimmigrant visa unit, who
has management responsibilities in addition to helping process visas. 
The number does not include the chief of the consular section, who
oversees both the nonimmigrant visa and American citizen services
units. 


      INADEQUATE COMPUTER
      EQUIPMENT, CONSULAR
      FACILITIES, AND OTHER
      RESOURCES
---------------------------------------------------------- Letter :4.2

Consular officials pointed to inadequate computer and other equipment
as further barriers to efficient visa processing.  Fourteen of the 26
consulates we reviewed reported to us that they had such problems. 
One consulate noted that the vast majority of delays in processing
visas were caused by computer equipment and systems failures. 
Another consulate reported in its "consular package" (an annual
report to the Bureau of Consular Affairs on each post's consular
operations) that frequent and prolonged breakdowns in the system for
performing name checks on visa applicants had hindered visa
processing during the peak summer season.  Consular officials told us
that there is a need for additional and better auxiliary equipment
such as high-capacity fax machines and telephone answering machines. 

Inadequate physical facilities also impede efficient visa processing
at some consulates --a problem noted in our 1992 report as well. 
Thirteen of the 26 consulates we reviewed identified poor work space
or inadequate physical structures as a major impediment to efficient
processing.  For example, Sao Paulo consular officials said that
inadequate space limited their options for dealing with increased
demand for visas.  To illustrate this problem, the consulate had been
able to offer a relatively short turnaround time for former visa
holders who dropped off their applications for renewal near the
entrance to the consulate grounds; there, a foreign national employee
provided information, determined whether the applicant qualified for
this method, and checked the applications for completeness.  However,
there is insufficient physical space to expand the use of this method
at this location.  Consulate officials told us that they could
explore the use of an offsite location for collecting "drop-box"
applications. 


      INCREASED VIGILANCE OVER
      BORDER SECURITY ADDS TO
      DELAYS
---------------------------------------------------------- Letter :4.3

As a result of heightened concerns about terrorism and illegal
immigration in recent years, the U.S.  government launched a number
of initiatives to strengthen U.S.  border security.  These efforts
included financing new technology for providing consular officers
with comprehensive information on persons who may represent a threat
to U.S.  security.  Consular officials noted that, although the
enhanced systems helped bolster border security, they sometimes
resulted in increased visa-processing times.  For example, name-
check systems now identify many more applicants as potential
suspects; therefore, consular officers must take additional time to
review these cases in determining eligibility for visas. 

Achieving an appropriate balance between the competing objectives of
facilitating the travel of eligible foreign nationals to the United
States and preventing the travel of those considered ineligible poses
a difficult challenge for consular officers.  Consular officers told
us that a renewed emphasis on holding them personally accountable for
visa decisions on suspect applicants had led to greater cautiousness
and an increase in the number of requests for security advisories
from Washington.  As a result, while same-day processing of visas
used to be commonplace, consular officials told us that greater
requirements related to border security had made same-day service
more the exception than the rule. 


   IMPROVEMENTS IN STATE'S
   VISA-ISSUING PROCESS
------------------------------------------------------------ Letter :5

State has made a number of changes in an effort to improve its
visa-processing operations in recent years, and some of these
initiatives could help in overcoming barriers to timely visa
issuance.  It has devised methods for handling staffing problems and
developed a model to better plan for future resource needs at
consulates abroad.  State has improved computer and
telecommunications systems and has other equipment upgrades underway,
some of which will help address visa-processing problems.  In
addition, State has undertaken an initiative to identify and
implement better work load management practices for visa processing
at overseas posts.  However, State has yet to define and integrate
time standards as part of its strategy to improve the processing of
nonimmigrant visas.  Establishing such standards could help in
identifying visa-processing backlogs, better equipping State to
determine the corrective measures and resources needed. 


      APPROACHES TO OVERCOMING
      STAFFING PROBLEMS
---------------------------------------------------------- Letter :5.1

According to a senior consular official, State plans to hire over 200
new foreign service officers in fiscal year 1998 to help solve
staffing shortages created by gaps between hiring and attrition
levels in recent years.  State has also begun experimenting with a
number of approaches to fill peak-season staffing gaps at overseas
consular sections.  For example, the Bureau of Consular Affairs
recently established a cooperative program with American University,
located in Washington, D.C., to hire and train university students to
work in consular positions in Washington, thus allowing the consular
personnel that hold these positions to temporarily fill summer
staffing gaps overseas.  The Bureau also recruits retired foreign
service officers to fill overseas consular staffing gaps on a
temporary basis and is developing a "consular fellows" pilot program
to fill vacant entry-level consular positions.  The fellows program
involves hiring temporary employees with foreign language skills to
serve as consular staff on a short-term basis. 

State has also expanded the use of temporary employment of U.S. 
foreign service family members at overseas posts in recent years. 
Family members often perform administrative and procedural tasks in
support of consular officers.  Officials at one post told us that
extended staffing gaps and shortages had caused them to rely on
family member employees to perform a wider range of duties than they
had in the past.  The officials said that doing so enabled the post
to keep its nonimmigrant visa-processing turnaround time under 7
business days. 

State has developed a consular staffing model based on visa work load
and related information that it plans to use to help determine
adequate consular staffing and to help identify personnel from
surplus areas that could be moved to understaffed ones.  The current
model does not include foreign national employees--an important
element of overall consular staffing at overseas posts.  Also,
according to one consular official, the model may be based on
outdated data that does not take into account the increased visa
demand and other changes in some countries.  State is refining and
updating the model to address these limitations and to factor in the
impact of other visa-processing improvement efforts. 


      EQUIPMENT UPGRADES
---------------------------------------------------------- Letter :5.2

State made major investments in computer and telecommunications
infrastructure in recent years and has other equipment upgrades under
way for overseas posts that issue visas.  For example, every
visa-issuing post now has a machine-readable visa system and
automated name-check capability.  State has also begun installing
second generation upgrades to the machine-readable visa system at
posts.  State plans to install the necessary hardware and software to
run this upgraded system at 100 posts in fiscal year 1998 and to have
the system in all visa-issuing posts by the end of fiscal year 1999. 

The equipment upgrades have resulted in significant improvements in
some aspects of visa processing.  For example, improvements in some
backup systems for name checks now allow visa processing to continue
when on-line connections with Washington are not operating.  In the
past, such disruptions resulted in significant delays in processing
visas.  More importantly, according to consular officials, the
upgrades have resulted in better and more comprehensive information
about applicants who might pose a security threat, thus contributing
to higher quality decision-making with respect to visa applications. 


      WORK LOAD MANAGEMENT
      TECHNIQUES
---------------------------------------------------------- Letter :5.3

In an effort to identify and implement better work load management
practices for visa processing, State established a Consular Workload
Management Group in November 1996.  Although the effort is still
ongoing, the group has already identified a number of practices. 
Among them were the following: 

  -- Recorded General Information.  This system allows the applicant
     to get information about the application process without tying
     up staff resources.  A 900-type telephone number, in which the
     user pays the cost of a call, can be established for this
     purpose. 

  -- An Appointment System.  An appointment system can reduce the
     applicant's waiting time in line and enable the post to control
     its work load by specifying the number of applicants who can be
     seen in a given day.  Such a system allows an applicant to
     schedule an interview at a specific date and time. 

  -- Prescreening.  This procedure requires an employee to ask an
     applicant a few questions and to quickly determine whether the
     applicant is clearly eligible to receive a visa or whether the
     applicant must be interviewed by an officer. 

  -- Noncashier Fee Collection.  This process allows applicants to
     pay the machine-readable visa fee at a bank or other financial
     institution.  The applicant then presents the fee payment
     receipt when processing the application, thus eliminating the
     need for a cashier at the post to handle the fee transaction. 

  -- Travel Agency/Corporate Referral Program.  This practice allows
     posts to designate selected travel agencies and large companies
     to perform some initial processing of nonimmigrant visa
     applicants who meet certain criteria.  Agencies and companies
     are trained to ensure that applicants' documents are in order
     and are frequently asked to enter pertinent data on the
     application form.  In some cases, agencies and companies forward
     information to the post electronically, usually via computer
     diskette. 

Other practices identified include public information campaigns
urging applicants to apply well in advance of their intended travel
dates and the use of color-coded boxes to simplify the return of
passports on particular days.  Some of the practices identified are
easy to implement, such as color coding; others are more complex,
such as establishing noncashier fee collection systems.  The
willingness and ability to implement these practices varies by post. 
According to consular officials, State is currently in the process of
identifying posts that are already employing these practices. 

It is important to note that, while some of these practices can aid
in better managing consular work loads, the use of such tools does
not guarantee a reduction in visa- processing times.  In some cases,
these techniques may actually contribute to backlogs, depending on
how they are managed.  One of the most controversial tools in this
respect is the appointment system.  According to some consular
officials, posts inevitably schedule fewer appointments per day than
the number of applicants, causing backlogs and public relations
problems.  Consular management must deal with increased phone calls
and requests for emergency processing when the wait for an
appointment becomes unreasonably long.  All nine of the surveyed
posts that had peak-season backlogs in fiscal year 1997, including
the consulate in Sao Paulo, used appointment systems.  On the other
hand, some high-volume posts that did not use appointment systems
managed to keep the total turnaround time for processing visas under
7 business days, even in periods of very high demand.  For example,
in Rio de Janeiro, the total turnaround time for processing "walk-in"
nonimmigrant visa applications was 2 days during peak and nonpeak
seasons.  The post in Mexico City issued visas the same day that
applicants walked in, whether in peak or nonpeak seasons; however, a
post official told us that applicants often have to wait for several
hours in line. 


      TIMELINESS STANDARDS
---------------------------------------------------------- Letter :5.4

According to Deputy Assistant Secretary for Visa Services, State does
not systematically compile information on visa processing turnaround
times at overseas posts nor has it established formal timeliness
standards for visa processing.  State's consular guidance makes
references to the importance of minimizing waiting time and return
visits for visa applicants but does not specifically address total
turnaround time.  On the other hand, State has timeliness standards
for issuing passports to U.S.  citizens within
25 days after receiving the application.  The usefulness of such
standards in helping to manage for results is now widely recognized. 


   CONCLUSIONS
------------------------------------------------------------ Letter :6

Some consulates continue to experience backlogs in processing
nonimmigrant visas.  Although State has taken a number of actions to
improve its visa-processing operations, it has not made a systematic
effort to identify and address visa-processing backlogs on a global
basis.  We believe that State's improvement efforts need to be guided
by formal timeliness standards for issuing nonimmigrant visas. 
Establishing such standards could assist in identifying backlogs,
putting State in a better position to determine the resources and
actions needed to correct them.  Timeliness standards could also help
State's efforts to implement better work load management practices
and to improve long-range planning for staffing and other resource
needs. 


   RECOMMENDATION
------------------------------------------------------------ Letter :7

To determine the appropriate level and mix of resources needed and to
take full advantage of ongoing efforts to improve visa operations, we
recommend that the Secretary of State develop timeliness standards
for processing nonimmigrant visas. 


   AGENCY COMMENTS AND OUR
   EVALUATION
------------------------------------------------------------ Letter :8

In its written comments on a draft of this report, State said that
the report was a balanced and informative account of the problems
faced by consular posts abroad.  While State did not directly
disagree with the report's recommendation that it develop timeliness
standards for processing nonimmigrant visas, State indicated that
setting and meeting such standards should be linked to the adequacy
of resources.  State also expressed concern that timeliness standards
might be overemphasized to the detriment of border security goals. 
State said that imposing rigid standards could adversely affect
consular officers' thoroughness in scrutinizing visa applicants. 

We agree that setting and meeting timeliness standards should be
linked to the adequacy of resources.  In fact, we believe that such
standards could assist in identifying backlogs, and therefore put
State in a better position to determine the level of resources needed
to achieve desired levels of both service and security.  They could
also help State to better manage its resources.  We recognize the
importance of maintaining quality in the adjudication of visas and
believe this element should be built into any timeliness standards or
implementing regulations.  We also note that some of State's overseas
posts have already established their own timeliness standards for
processing nonimmigrant visas and have managed to meet them, even
though some of these posts are located in areas considered to be at
high risk for visa fraud. 


---------------------------------------------------------- Letter :8.1

We are sending copies of this report to the Secretary of State and
interested congressional committees.  We will also make copies
available to others upon request. 

Please contact me at (202) 512-4128 if you or any of your staff have
any questions concerning this report.  The major contributors to this
report are listed in appendix III. 

Jess T.  Ford, Associate Director
International Relations and Trade Issues


SCOPE AND METHODOLOGY
=========================================================== Appendix I

To determine whether or not consulates are continuing to experience
backlogs in processing nonimmigrant visas, we interviewed officials
in the State Department's Bureau of Consular Affairs, in Washington,
D.C., and sent a uniform set of questions on visa-processing
operations to
26 overseas posts in 20 countries:  Bridgetown, Barbados; Brasilia,
Recife, Rio de Janeiro, and Sao Paulo, Brazil; Santiago, Chile; San
Josï¿½, Costa Rica; Hong Kong; Bogota, Colombia; Santo Domingo,
Dominican Republic; San Salvador, El Salvador; Guatamala City,
Guatamala; Port au Prince, Haiti; Tegucigalpa, Honduras; Kingston,
Jamaica; Seoul, South Korea; Hermosillo, Matamoros, Tijuana, and
Mexico City, Mexico; Lima, Peru; Manila, the Philippines; Warsaw,
Poland; Damascus, Syria; Port of Spain, Trinidad and Tobago; and
Caracas, Venezuela.  We selected these posts based on visa issuance
volumes, geographical locations, innovative consular practices, and
suggestions by State Department officials.  Sixteen of the 26
consulates that we reviewed each process over 50,000 nonimmigrant
visa applications per year.  Together, the 26 consulates we reviewed
processed a total of more than 2.7 million nonimmigrant visa
applications in 1996, or over 43 percent of the total number of
nonimmigrant visas processed worldwide that year. 

We directly observed nonimmigrant visa-processing operations and
interviewed consular officials at 3 of the 26 posts:  the consulates
in Rio de Janeiro and Sao Paulo, Brazil, and Caracas, Venezuela, to
obtain a first-hand view of the complexity of consular visa
operations and the various processing methods where backlogs are
involved.  The consulate in Sao Paulo issues the highest volume of
nonimmigrant visas in Latin America and is the third busiest
visa-issuing post in the world.  The consulate in Rio de Janeiro
follows Sao Paulo as the next busiest nonimmigrant visa-issuing post. 

Based on discussions with the Deputy Assistant Secretary for Visa
Services, we used a total turnaround period of 7 business days as a
cutoff point beyond which we considered a backlog to exist.  We
considered the total turnaround period to begin on the first day of a
consulate's involvement and to end when a consulate either issued or
denied the visa. 

To assess factors affecting consulates' ability to process
nonimmigrant visas in a timely manner, we analyzed the responses of
the previously listed 26 posts to a uniform set of questions.  We
directly interviewed consulate personnel, observed consular
operations, and analyzed available visa work load and other
processing data at three of these posts to gain a practical
understanding of the obstacles to timely processing.  We also
reviewed the annual consular packages of certain posts, the Bureau of
Consular Affairs Program Plan for fiscal years 1998-99, State
Department Office of Inspector General Reports, and other State
Department documents. 

To review activities planned or under way to improve nonimmigrant
visa processing, we interviewed officials in the State Department's
Bureau of Consular Affairs and at three overseas posts.  We
interviewed and obtained information from Mitretek Systems--a
management consulting firm located in McLean, Virginia, that State
employed for a work load management study regarding visa services. 
We also reviewed State Department Consular Workload Management Group
documents and National Performance Review reports. 

Our work did not include an assessment of the appropriateness of the
Sao Paulo consulate's policies and procedures for deciding to deny or
grant visas nor did we evaluate the appropriateness of factors
considered in the visa decision-making process. 

We conducted our review between September and December 1997 in
accordance with generally accepted government auditing standards. 




(See figure in printed edition.)Appendix II
COMMENTS FROM THE DEPARTMENT OF
STATE
=========================================================== Appendix I



(See figure in printed edition.)



(See figure in printed edition.)


The following are GAO's comments on the Department of State's letter
dated February 13, 1998. 

GAO COMMENTS

1.  The scope of our review did not include an assessment of State's
overall resource situation.  However, we revised the report to
include information on the budget for State's consular relations
activities. 

2.  In the background section of our report, we describe the various
application methods that posts use and note that individual posts may
use one or more of these approaches.  For the Sao Paulo consulate, we
identified the turnaround times for all application methods.  For
each post, we used the application method with the longest turnaround
time because it offered a valid description of a post's peak-season
backlog.  While certain visa applicants may have a choice among more
than one application method at some posts, some of the alternative
methods are not available to first-time visa applicants at many of
the posts that we reviewed.  For example, in Santo Domingo,
interviews by appointment are required for first-time visa
applicants, and a drop-box system is available only for applicants
that are renewing already existing visas. 

3.  We revised the report to reflect this information. 


MAJOR CONTRIBUTORS TO THIS REPORT
========================================================= Appendix III

NATIONAL SECURITY AND
INTERNATIONAL AFFAIRS DIVISION,
WASHINGTON, D.C. 

Diana M.  Glod
Michael J.  Courts
Edward D.  Kennedy
Jesus A.  Martinez
Rona Mendelsohn
La Verne G.  Tharpes

OFFICE OF GENERAL COUNSEL,
WASHINGTON, D.C. 

Sheila Ratzenberger


*** End of document. ***