NONIMMIGRANT 

VISAS

State Has Reduced 

Applicant Interview 

Wait Times, but 

Sustainability of Gains 

Is Uncertain

Report to Congressional Requesters

September 2015

GAO-15-773

United States Government Accountability Office
Highlights of GAO-15-773, a report to 

congressional requesters

September 2015

NONIMMIGRANT VISAS

State Has Reduced Applicant Interview Wait Times, 

but Sustainability of Gains Is Uncertain

Why GAO Did This Study

International travel and tourism 

contributed $220 billion to the U.S. 

economy and supported 1.1 million 

jobs in 2014, according to the 

Department of Commerce. A portion of 

those travelers to the United States 

were required to obtain an NIV. After a 

period in which travelers experienced

extensive waits in obtaining a required 

interview for an NIV in 2011, the 

President issued E.O. 13597 in 2012 to 

improve visa and foreign visitor 

processing, while continuing to protect 

U.S. national security. The E.O. set 

goals for State to increase NIV 

processing capacity in Brazil and 

China and reduce NIV interview wait 

times for applicants worldwide. This 

report examines (1) efforts State has 

undertaken to expand capacity and 

reduce NIV applicants’ interview wait 

times and the reported results to date

and (2) challenges that impact State’s 

ability to efficiently process NIVs. GAO

analyzed State’s historical and forecast 

NIV data and interviewed State officials 

in Washington, D.C., and consular 

officers and management in Brazil, 

China, India, and Mexico. These 

countries represent the four highest 

demand countries for U.S. NIVs.

What GAO Recommends

To improve State’s ability to process 

NIVs, while maintaining a high level of 

security to protect our borders, GAO is 

recommending that State (1) evaluate 

the relative impact of efforts

undertaken to improve NIV processing 

and (2) document a plan for obtaining 

input from end users (consular officers)

to help improve their satisfaction and 

prioritize enhancements to IT systems.

State concurred with both 

recommendations. 

What GAO Found

Since 2012, the Department of State (State) has undertaken several efforts to 

increase nonimmigrant visa (NIV) processing capacity and decrease applicant 

interview wait times. Specifically, it has increased consular staffing levels and 

implemented policy and management changes, such as contracting out 

administrative support services. According to State officials, these efforts have 

allowed State to meet the goals of Executive Order (E.O.) 13597 of increasing its 

NIV processing capacity by 40 percent in Brazil and China within 1 year and 

ensuring that 80 percent of worldwide NIV applicants are able to schedule an 

interview within 3 weeks of State receiving their application. Specifically, State 

increased the number of consular officers in Brazil and China by 122 and 46 

percent, respectively, within a year of the issuance of E.O. 13597. Additionally, 

according to State data, since July 2012, at least 80 percent of worldwide 

applicants seeking a tourist visa have been able to schedule an interview within 3 

weeks. 

Two key challenges—rising NIV demand and problems with NIV information 

technology (IT) systems—could affect State’s ability to sustain the lower NIV 

interview wait times. First, State projects the number of NIV applicants to rise 

worldwide from 12.4 million in fiscal year 2014 to 18.0 million in fiscal year 2019, 

an increase of 45 percent (see figure).

Nonimmigrant Visa (NIV) Adjudications Forecast through Fiscal Year 2019

Given this projected NIV demand and budgetary limits on State’s ability to hire 

more consular officers at posts, State must find ways to achieve additional NIV 

processing efficiencies or risk being unable to meet the goals of E.O. 13597 in 

the future. Though State’s evaluation policy stresses that it is important for

bureaus to evaluate management processes to improve their effectiveness and 

inform planning, State has not evaluated the relative effectiveness of its various 

efforts to improve NIV processing. Without conducting a systematic evaluation, 

State cannot determine which of its efforts have had the greatest impact on NIV 

processing efficiency. Second, consular officers in focus groups expressed 

concern about their ability to efficiently conduct adjudications given State’s 

current IT systems. While State is currently enhancing its IT systems, it does not

systematically collect information on end user (i.e., consular officer) satisfaction 

to help plan and guide its improvements, as leading practices would recommend. 

Without this information, it is unclear if these enhancements will address consular 

officers’ concerns, such as having to enter the same data multiple times, and

enable them to achieve increased NIV processing efficiency in the future.

View GAO-15-773. For more information, 

contact Michael Courts at (202) 512-8980 or 

courtsm@gao.gov.

United States Government Accountability Office
Letter 1

Background 3

State Has Undertaken Various Efforts to Improve NIV Processing 

Capacity and Has Reduced NIV Interview Wait Times 7

Rising NIV Demand and Significant Technology Concerns Could 

Impact State’s NIV Processing Operations 16

Conclusions 24

Recommendations for Executive Action 25

Agency Comments 25

Appendix I Objectives, Scope, and Methodology 28

Appendix II Comments from the Department of State 31

Appendix III GAO Contact and Staff Acknowledgments 34

Figures

Figure 1: Nonimmigrant Visa Application and Adjudication Process 4

Figure 2: Consular Staffing Levels in Brazil and China, Fiscal 

Years 2011 to 2014 8

Figure 3: Nonimmigrant Visa Applicant Area at the U.S. Embassy 

in Beijing, China 12

Figure 4: Percentage of B Visa Applicants Able to Obtain an 

Interview Appointment within 21 Days, January 2011-July 

2015 14

Figure 5: Average B Visa Interview Wait Times in Brazil, China, 

India, and Mexico from January 2010 to June 2015 15

Figure 6: Worldwide Nonimmigrant Visa (NIV) Applicants, Fiscal 

Years 1974-2014, and Projected NIV Applicants, Fiscal 

Years 2015-2019 17

Figure 7: Forecast of Nonimmigrant Visa (NIV) Adjudications from 

Fiscal Year 2014 to Fiscal Year 2019 18

Contents

Page i GAO-15-773 Nonimmigrant Visas
Abbreviations

CCD Consular Consolidated Database

Commerce Department of Commerce

CST Office of Consular Systems and Technology

DHS Department of Homeland Security

E.O. executive order

FY fiscal year

IT information technology

IWP Interview Waiver Program

LNA limited noncareer appointment

NIV nonimmigrant visa

State Department of State

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Page ii GAO-15-773 Nonimmigrant Visas
441 G St. N.W.

Washington, DC 20548

September 9, 2015

Congressional Requesters

Over 74 million international travelers contributed $220.6 billion to the 

U.S. economy and supported 1.1 million jobs in 2014, according to the 

Department of Commerce (Commerce). A portion of those travelers to the 

United States were temporary visitors who were required to obtain a 

nonimmigrant visa (NIV) from the Department of State (State) prior to 

their arrival at a U.S. port of entry.1 In 2011, State reported that visa 

applicants at some U.S. embassies and consulates abroad (hereafter 

referred to as “posts”), including strategically important posts in Brazil and 

China, were facing extensive waits in obtaining an interview for visas for 

temporary tourism or business purposes, a category of NIVs.2 Although 

maintaining security is of paramount importance, State has acknowledged 

that long interview wait times for NIVs may discourage legitimate travel to 

the United States, potentially costing the country billions of dollars in 

economic benefits over time and adversely influencing foreign citizens’

opinions of our nation. Given the importance of the travel and tourism 

industry to the U.S. economy and job creation, the President issued 

Executive Order (E.O.) 13597 in January 2012 to improve NIV processing 

and travel promotion in order to create jobs and spur economic growth in 

the United States, while continuing to protect U.S. national security.3

1

An NIV allows an individual to appear at a port of entry to apply for admission to the 

United States. A port of entry is any officially designated location (seaport, airport, or land 

border location) where Department of Homeland Security officers or employees are 

assigned to clear passengers and merchandise, collect duties, and enforce customs laws.

2

NIVs are issued to persons who reside permanently outside the United States but who 

wish to be in the United States on a temporary basis. “Interview wait time” is broadly 

defined as the amount of time that visa applicants must wait from the time of attempting to 

schedule an interview to when they appear for an NIV interview at a U.S. embassy or 

consulate.

3

Exec. Order No. 13597, Establishing Visa and Foreign Visitor Processing Goals and the 

Task Force On Travel and Competitiveness, 77 Fed Reg. 3,373, Jan. 19, 2012.

Letter

Page 1 GAO-15-773 Nonimmigrant Visas

 
You asked us to examine State’s NIV processing operations and provide 

an update on the status of the goals in E.O. 13597.4 This report examines 

(1) efforts State has undertaken to expand capacity and reduce NIV 

applicants’ interview wait times and the reported results to date, and (2) 

challenges that impact State’s ability to efficiently process NIVs.

To determine the efforts State has undertaken to expand capacity and 

reduce NIV applicants’ interview wait times, we reviewed relevant State 

documents, interviewed State, Department of Homeland Security (DHS), 

and Commerce officials, and conducted 11 focus groups with U.S. 

consular officers5 in Beijing, China; Mexico City, Mexico; New Delhi, 

India; and São Paulo, Brazil—the locations of embassies or consulates 

serving the four highest demand countries for U.S. NIVs. To determine 

the reported results of those efforts, we collected and analyzed data on 

NIV processing capacity and interview wait times for visas for tourism or 

business purposes (commonly referred to as “B visas”)6 worldwide from 

January 2011 until July 2015 and compared those data with the goals 

outlined in E.O. 13597; we also reviewed documentation provided by 

State on their efficiency efforts. To determine the challenges that impact 

State’s ability to efficiently process NIVs, we reviewed relevant 

documents, including planning and NIV demand projection documents 

and State’s Foreign Affairs Manual, and interviewed State officials in 

Washington, D.C., including officials from State’s Office of Inspector 

General, as well as DHS and Commerce officials, and consular officers 

who adjudicate NIVs at the four posts we visited. See appendix I for more 

information on our scope and methodology.

We conducted this performance audit from September 2014 to 

September 2015 in accordance with generally accepted government 

auditing standards. Those standards require that we plan and perform the 

4

This review was conducted in response to a 2014 request from Senators Schatz, Rubio, 

Klobuchar, and Kirk who were then, respectively, Chairman and Members of the 

Subcommittee on Tourism, Competitiveness, and Innovation of the Senate Committee on 

Commerce, Science, and Transportation.

5

For purposes of this report, “consular officers” include State Foreign Service officers, 

limited noncareer appointment personnel, qualified appointment eligible family members, 

and State civil service employees participating in the Civil Service Excursions program to 

provide visa and passport adjudication services in U.S. consular sections overseas.

6

B visas are one type of NIVs, for aliens having residence in a foreign country who are 

visiting the United States temporarily for tourism or business. 

Page 2 GAO-15-773 Nonimmigrant Visas

 
audit to obtain sufficient, appropriate evidence to provide a reasonable 

basis for our findings and conclusions based on our audit objectives. We 

believe that the evidence obtained provides a reasonable basis for our 

findings and conclusions based on our audit objectives.

Foreign nationals who wish to come to the United States on a temporary 

basis and are not citizens of countries that participate in the Visa Waiver 

Program must generally obtain an NIV.7 U.S. law provides for the 

temporary admission of various categories of foreign nationals, who are 

known as nonimmigrants. Nonimmigrants include a wide range of visitors, 

such as tourists, foreign students, diplomats, and temporary workers who 

are admitted for a designated period of time and a specific purpose. 

There are dozens of specific types of NIVs that nonimmigrants can obtain 

for tourism, business, student, temporary worker, and other purposes. 

State manages the application process for these visas, as well as the 

consular officer corps and its functions, at over 220 visa-issuing posts 

overseas. The process for determining who will be issued or refused a 

visa contains several steps, including documentation reviews; collection 

of biometrics (fingerprints and full-face photographs); cross-referencing 

an applicant’s name and biometrics against multiple databases 

maintained by the U.S. government; and in-person interviews. Personal 

interviews with consular officers are required by law for most foreign 

nationals seeking NIVs.8 For an overview of the visa process, see figure 

1.

7

Citizens or nationals of countries in the Visa Waiver Program (VWP), administered by 

DHS, are eligible to travel to the United States for tourism or business for stays of 90 days 

or less without first obtaining a visa. 8 U.S.C. § 1187. There are currently 38 countries 

designated as VWP countries. Citizens or nationals of countries that do not participate in 

the VWP must obtain an NIV to travel to the United States. Upon arriving at a port of entry, 

nonimmigrants must undergo inspection by DHS officers, who determine whether or not 

they may be admitted into the United States. If DHS determines a nonimmigrant is 

admissible, he or she is granted an authorized period of admission. 

8

According to U.S. law, every alien applying for an NIV who is at least 14 years old and 

not more than 79 years old must submit to an in-person interview with a consular officer 

unless the alien meets specific criteria and the interview is waived under certain 

circumstances by either the consular officer or the Secretary of State. 8 U.S.C. § 1202(h).

Background

NIV Application and 

Adjudication Process

Page 3 GAO-15-773 Nonimmigrant Visas

 
Figure 1: Nonimmigrant Visa Application and Adjudication Process

Page 4 GAO-15-773 Nonimmigrant Visas
a

Prior to this step, some NIVs require petitioners to file a petition on behalf of the applicant with the 

Department of Homeland Security (DHS). DHS is responsible for approving or denying the petition, 

notifying the petitioner, and sending the approved petition to State.

b

Applicants who qualify for State’s Interview Waiver Program are not required to schedule or appear 

at post for an interview for their NIV application to be adjudicated by a consular officer.

c

In Mexico, applicants can either apply for an NIV in the form of a border-crossing card or a traditional 

machine-readable visa that is inserted into an applicant’s passport. For border-crossing cards, if the 

application is approved, the consular officer returns the passport to the applicant and a bordercrossing card is printed off-site and then shipped back to post for delivery to the applicant.

DHS sets visa policy, in consultation with State, and Commerce oversees 

the creation and implementation of strategies to promote tourism in the 

United States, such as the National Travel and Tourism Strategy called 

for in E.O. 13597.9

We have previously reported on visa delays at overseas posts:

• In April 2006, we testified that, of nine posts with wait times in excess 

of 90 days in February 2006, six were in Brazil, India, and Mexico.10

• In July 2007, we reported that 20 posts said they experienced 

maximum monthly wait times in excess of 90 days at least once over 

the past year.11

More recently, State has reported long interview wait times in Brazil and 

China. For example, in June 2010, NIV interview wait times reached 100 

days at the U.S. Embassy in Beijing, China, and in August 2011, interview 

9

The Immigration and Nationality Act (INA) charges the Secretary of Homeland Security 

with the administration and enforcement of all laws relating to the immigration and 

naturalization of aliens, except when those powers and duties are assigned to other 

specified executive officers.8 U.S.C. § 1103(a)(l). Federal law also grants the Secretary 

the authority to issue regulations with respect to, administer, and enforce the provisions of 

[the INA] and of all immigration and nationality laws, relating to the functions of consular 

officers of the United States in connection with the granting or refusal of visas. 6 U.S.C. § 

236(b)(1); see also 6 U.S.C. § 202(4). Certain visa-related authorities, such as those 

concerning foreign diplomats, are reserved to the Secretary of State6 U.S.C. § 236(c)(2).

The Secretaries of Homeland Security and State work together to delineate areas of 

responsibility consistent with the law, as memorialized in a 2003 memorandum of 

understanding.

10GAO, Border Security: Reassessment of Consular Resource Requirements Could Help 

Address Visa Delays, GAO-06-542T (Washington, D.C.: Apr. 4, 2006).

11GAO, Border Security: Long-term Strategy Needed to Keep Pace With Increasing 

Demand for Visas, GAO-07-847 (Washington, D.C.: July 13, 2007).

Long Wait Times for NIV 

Interviews Have Been a 

Challenge

Page 5 GAO-15-773 Nonimmigrant Visas

 
wait times reached 143 days at the U.S. Consulate in Rio de Janeiro, 

Brazil.

Following the rise of interview wait times at many posts, and especially in 

Brazil and China, President Obama issued E.O. 13597 in January 2012 to 

improve visa processing and travel promotion while continuing to protect 

U.S. national security. E.O. 13597 contained multiple goals for State and 

DHS for processing visitors to the United States, including the following:

• Ensure that 80 percent of NIV applicants worldwide are interviewed 

within 3 weeks of receipt of application.

• Increase NIV processing capacity in Brazil and China by 40 percent 

over the next year.12

In March 2012, State and DHS released an implementation plan for E.O. 

13597 that outlined the measures each agency planned to undertake to 

meet the goals of the Executive Order.13 Subsequently, in August 2012, 

State and DHS issued a progress report on E.O. 13597 stating the 

progress made in meeting the goals of the Executive Order and the plans 

for continued efforts to improve a foreign visitor’s experience in traveling 

to the United States.14

12E.O. 13597 also contained a number of goals for DHS to facilitate legitimate travel to the 

United States, such as to increase efforts to expand the VWP and travel by nationals of 

VWP participant countries. For purposes of this report, we are only examining the goals 

implemented by State in E.O. 13597.

13DHS and State, Executive Order 13597: Improvements to Visa Processing and Foreign 

Visitor Processing 60-Day Implementation Plan (Washington, D.C.: Mar. 19, 2012). 

14DHS and State, Executive Order 13597: Improvements to Visa Processing and Foreign 

Visitor Processing 180-Day Progress Report (Washington, D.C.: August 2012).

2012 Executive Order 

Sets Goals for 

Improvement

Page 6 GAO-15-773 Nonimmigrant Visas

 
State’s Bureau of Consular Affairs, as well as consular management 

officials and consular officers at the four posts we visited, reported that 

increased staffing levels, policy changes, and organizational reforms 

implemented since 2012 have all contributed to increasing NIV 

processing capacity, reducing NIV interview wait times worldwide. For 

calculating NIV interview wait times, we used data from State on 

applications for visas for tourism and business purposes (B visas) and did 

not include other NIV categories.15

According to State’s Bureau of Consular Affairs, the past hiring of 

additional staff through various authorities and temporary assignments of 

consular officers during periods of high NIV demand contributed to 

meeting E.O. 13597’s goals of expanding NIV processing capacity and 

reducing worldwide wait times, particularly at U.S. posts in Brazil, China, 

India, and Mexico.16

• Increase in consular officers: According to State officials, from fiscal 

year 2012 through 2014, State “surged” the number of consular 

15State calculates its wait times for the goals of E.O. 13597 by measuring only B visa wait 

times, because B visa applications comprise the majority of all NIV applications. In fiscal 

year 2014, these NIVs for tourism and business purposes represented 79 percent of all 

NIV applications received at posts worldwide. B visas are NIVs for persons who want to 

enter the United States temporarily for business (visa category B-1), tourism, pleasure, or 

visiting (visa category B-2), or a combination of both purposes (B-1/B-2). In addition, 

B1/B2 visa/border-crossing cards are issued to applicants who are citizens of and reside 

in Mexico (visa category BCC). 

16State categorizes Brazil, China, India, and Mexico as “high demand markets.” In fiscal 

year 2014, these four countries represented 47 percent of the U.S. NIV demand 

worldwide. 

State Has 

Undertaken Various 

Efforts to Improve NIV 

Processing Capacity 

and Has Reduced 

NIV Interview Wait 

Times

State Has Implemented 

Multiple Efforts to Reduce 

NIV Interview Wait Times

Staffing Level Increases

Page 7 GAO-15-773 Nonimmigrant Visas

 
officers deployed worldwide from 1,636 to 1,883 to help address 

increasing demand for NIVs, an increase of 15 percent over 3 years. 

In response to E.O. 13597, State increased the number of deployed 

consular officers between January 19, 2012 (the date of E.O. 13597), 

and January 19, 2013, from 50 to 111 in Brazil, and 103 to 150 in 

China, a 122 and 46 percent increase, respectively (see fig. 2 for 

additional information on consular staffing increases in Brazil and 

China). As a result, State met its goal of increasing its NIV processing 

capacity in Brazil and China by 40 percent within a year of the 

issuance of E.O. 13597.

Figure 2: Consular Staffing Levels in Brazil and China, Fiscal Years 2011 to 2014

a

Executive Order 13597, issued on January 19, 2012, set a goal for the Department of State (State) 

to increase nonimmigrant visa processing capacity in Brazil and China by 40 percent within 1 year of 

issuance of the Executive Order, or by January 19, 2013. State determined that processing capacity 

increases would be measured by consular staffing levels.

• Limited noncareer appointments: In fiscal year 2012, State’s 

Bureau of Consular Affairs launched the limited noncareer 

appointment (LNA) pilot program to quickly deploy language-qualified 

staff to posts facing an increase in NIV demand and workload. The 

first cohort of LNAs—who are hired on a temporary basis for up to 5 

Page 8 GAO-15-773 Nonimmigrant Visas
years for specific, time-bound purposes—included 19 Portuguese 

speakers for Brazil and 24 Mandarin speakers for China who were 

part of the increased number of consular officers deployed to posts 

noted above. In fiscal year 2013, State expanded the LNA program to 

include Spanish speakers. As of August 2015, State had hired 95 

LNAs for Brazil, China, Colombia, the Dominican Republic, Ecuador, 

and Mexico.

• Temporary assignment of consular officers: State utilizes the 

temporary redeployment of Foreign Service officers and LNAs to 

address staffing gaps and increases in NIV demand. Between 

October 2011 and July 2012, State assigned, on temporary duty, 220 

consular officers to Brazil and 48 consular officers to China as part of 

its effort to reallocate resources to posts experiencing high NIV 

demand. State continues to use this method to respond to increases 

in NIV demand. For example, during the first quarter of fiscal year 

2015, India experienced a surge in NIV demand that pushed NIV 

interview wait times over 21 days at three posts. To alleviate the 

situation, consular managers in India sent officers to the U.S. 

Consulate in Mumbai, which was experiencing higher wait times, from 

other posts, allowing the U.S. Mission in India to reduce average wait 

times to approximately 10 days by the end of December 2014.

According to State officials, policy changes have also helped to reduce 

NIV interview wait times at posts, including the expansion of the Interview 

Waiver Program (IWP) for NIVs and extending the validity of some NIVs.

• Expansion of interview waiver program: The IWP allows posts to 

waive the in-person NIV interview requirements for defined categories 

of “low-risk” applicants or applicants renewing an NIV for some visa 

categories.17 In 2012, the IWP for the U.S. Mission in Brazil was 

expanded to include first time applicants under the age of 16 or over 

the age of 66.18 This expansion allowed the U.S. Mission in Brazil to 

conduct additional walk-in NIV interviews by diverting first-time NIV 

17According to State, the interview waiver options do not represent a reduced scrutiny of 

applicants; rather, they are intended to enhance the security of the visa process by 

allowing State to focus more of its resources on potential threats. For instance, NIV 

applicants eligible for interview waivers continue to be subject to required name checks 

and biometric screening, and consular officers have the option to require an interview of 

any applicant if there is any doubt as to the applicant’s credibility or to resolve any other 

eligibility questions raised by the application.

18Prior to the IWP expansion in Brazil, any applicant (first-time or renewal) could have his 

or her interview waived if he or she is under 14 years of age or over 79 years of age. 

Policy Changes

Page 9 GAO-15-773 Nonimmigrant Visas

 
applicants that State considers to be low-risk and renewals from 

presenting themselves at post for an interview. According to State 

officials, discussions with DHS are underway to further expand the 

IWP.

• Extending the validity period of visas: In accordance with federal 

law, State has extended the validity period of some visas in some 

countries, reducing the frequency with which a holder of a U.S. NIV 

would be required to apply for a renewal. (The visa validity period is 

the length of time the holder of a U.S. NIV is permitted to travel to a 

port of entry in the United States.) In November 2014, the United 

States and the People’s Republic of China reciprocally increased the 

validity periods of multiple-entry business and tourist visas issued to 

each other’s citizens for up to 10 years. The change in policy was 

intended to support improved trade, investment, and business by 

facilitating travel between the two countries. Furthermore, the 

extension of visa validity periods, according to State officials, is also 

expected to reduce the number of visas requiring adjudication over 

the long term at posts in China.

State’s Bureau of Consular Affairs has adopted several organizational 

reforms to improve its NIV processing efficiency. These include 

contracting out some administrative support duties, establishing 

leadership and management practices to better guide consular officers, 

and opening additional consulates to expand NIV processing capacity in 

certain countries and redesigning consular sections at post.

• Contracting for administrative support duties: The use of a 

worldwide support services contract has enabled posts to outsource 

certain administrative activities related to visa processing that would 

otherwise be handled by consular personnel. This effort, according to 

State officials, allows consular officers more time to focus on visa 

adjudication and therefore improves their productivity. The contract 

provides support services for visa operations at U.S. embassies and 

consulates, including NIV interview appointment scheduling and fee 

collection services. Contractors have opened 29 off-site locations in 

six countries to collect biometric data of NIV applicants, which are 

then forwarded to the post for processing and security screening prior 

to an applicant’s scheduled interview.19 Before the implementation of 

19According to State officials, at posts where the contractor collects biometrics information 

at an off-site location, that biometric information is to be verified by a cleared American 

citizen when the applicant appears at the U.S. embassy or consulate for his or her NIV 

interview.

Organizational Reforms

Page 10 GAO-15-773 Nonimmigrant Visas

 
the contract in fiscal year 2011, biometric information could be 

collected at the post only when the applicant appeared for his or her 

interview. Consular officials we spoke with in Brazil and India stated 

that off-site biometric collection has added additional efficiencies to 

the NIV process.

• Leadership and management changes: In 2012, State’s Bureau of 

Consular Affairs launched the 1CA office to help further develop a 

culture of leadership, management, and innovation under budget 

austerity and increasing NIV demand. In three of the four posts we 

visited, embassy officials told us that 1CA tools and resources have 

helped management at post identify and develop solutions to delays 

in NIV processing, which they said has contributed to the ability of 

State to reduce NIV interview wait times. For example, the U.S. 

Embassy in Mexico City is using 1CA to map out NIV processing 

steps to identify and develop solutions to existing bottlenecks. 

According to consular managers at post, the process maps allow 

managers to graphically view the various NIV processing steps and 

identify where improvements can be implemented. The solutions 

developed from the 1CA mapping exercise have allowed the post to 

conduct a larger number of NIV interviews each day. In addition, the 

1CA office is in the process of developing meaningful metrics, beyond 

NIV interview wait times, to provide consular managers with the data 

to improve performance.

• Opening additional consulates and redesigning consular 

sections: Since the issuance of E.O. 13597, State has expanded the 

number of interview windows at posts in Brazil and China and 

developed plans to open two additional consulates in Brazil and add 

visa services to the existing U.S. consulate in Wuhan, China, to help 

absorb increases in NIV demand. Additionally, at all four posts we 

visited, State officials told us that they have, to varying degrees, 

redesigned the responsibilities and location of their consular staff to 

improve the efficiency of their operations. For example, in China, 

India, and Mexico, officials reported that they have individualized the 

tasks that are performed at each interview window to reduce the time 

an applicant spends at post and streamline NIV processing. 

Additionally, at the U.S. Embassy in Beijing, each interview window 

within the consular section is assigned to conduct a discrete task in 

the NIV adjudication process. These tasks include checking-in and 

confirming an applicant’s identity, collecting biometric data, and 

adjudicating NIVs at separate windows (see fig. 3 for a photograph of 

the NIV applicant area at the U.S. Embassy in Beijing, China).

Page 11 GAO-15-773 Nonimmigrant Visas
Figure 3: Nonimmigrant Visa Applicant Area at the U.S. Embassy in Beijing, China

• Transfer of NIV adjudications: State has redistributed IWP 

adjudications within the same country to posts experiencing low NIV 

demand and has created an IWP adjudication section in the United 

States to better leverage NIV processing resources. Several missions 

we visited transfer IWP adjudications from a post experiencing high 

demand to a post experiencing low demand. For example, from 

February 2014 to April 2015, consular managers in the U.S. Mission 

in Mexico electronically transferred 44,240 IWP cases from the U.S. 

Consulate in Guadalajara to the U.S. Consulates in Ciudad Juarez, 

Matamoros, and Nogales. According to officials, the electronic transfer 

of the IWP adjudications allowed the U.S. Consulate in Guadalajara to 

keep NIV interview wait times under 21 days. Additionally, in May 

2015, State’s Bureau of Consular Affairs created an IWP remote 

processing unit in the United States to support the U.S. Mission in 

China. According to State officials, the output of the unit is currently 

over 1,000 IWP cases per day; and when fully staffed with 30 

Page 12 GAO-15-773 Nonimmigrant Visas
consular officers by December 2015, the unit will be able to process 

up to 3,000 cases per day.

According to State officials, efforts the Bureau of Consular Affairs has 

implemented since the issuance of E.O. 13597 have reduced NIV 

interview wait times worldwide, including in Brazil and China. According to 

State data, even as NIV demand has increased, State has seen NIV 

interview wait times generally decline. Specifically, as figure 4 shows, 

since July 2012, at least 80 percent of B visa applicants worldwide have 

been able to obtain an interview within 3 weeks of their application. This 

indicates that the goal of E.O. 13597 is, so far, being met.20

20For comparing NIV wait times with the goal enumerated in E.O. 13597, State measures 

only B visa wait times, because B visa applications comprise the majority of all NIV 

applications. In fiscal year 2014, these NIVs for tourism and business purposes 

represented 79 percent of all NIV applications received at posts worldwide. Additionally, 

according to officials at State’s Bureau of Consular Affairs, a scheduled NIV interview is 

used as a proxy to measure compliance with E.O. 13597’s goal of conducting interviews 

within the specified time frame. State uses this proxy because NIV applicants have the 

ability to schedule an NIV interview up to 6 months in the future after submitting their NIV 

application.

State Has Reduced NIV 

Interview Wait Times

Page 13 GAO-15-773 Nonimmigrant Visas

 
Figure 4: Percentage of B Visa Applicants Able to Obtain an Interview Appointment within 21 Days, January 2011-July 2015

Note: In this figure, only the wait times for business and tourist visas (B visas) are shown, since they 

represented 79 percent of all nonimmigrant visas (NIV) in fiscal year 2014, and this wait time is what 

State uses to measure NIV wait times against the goal in E.O. 13597.

NIV B visa interview wait times have also decreased even as NIV 

workloads have increased in Brazil and China, two countries that have 

historically experienced long interview wait times for NIV applicants. For

example, B visa interview wait times decreased from an average high of 

114 days in August 2011 to 2 days in September 2012 for posts in Brazil, 

and from an average high of 50 days in June 2011 to 2 days in February 

2014 for posts in China (see fig. 5 for additional average wait times at 

posts in India and Mexico).21 Between January 2010 and December 

21The average B visa interview wait times are weighted by the number of B visa applicants 

received by each post within a country per month. 

Page 14 GAO-15-773 Nonimmigrant Visas

 
2014, State reported that NIV workloads from Brazil and China increased 

by 161 percent and 88 percent respectively.22

Figure 5: Average B Visa Interview Wait Times in Brazil, China, India, and Mexico from January 2010 to June 2015

Note: In this figure, only the wait times for business and tourist visas (B visas) are shown, since they 

represented 79 percent of all nonimmigrant visas (NIV) in fiscal year 2014, and this wait time is what 

State uses to measure NIV wait times against the goal in Executive Order 13597.

22NIV applicant workload is defined as the number of NIV applications adjudicated, and 

includes those for applicants who received in-person interviews and those for whom 

interviews were waived through the IWP. 

Page 15 GAO-15-773 Nonimmigrant Visas

 
State projects that the number of NIV applicants will rise worldwide from 

12.4 million in fiscal year 2014 to 18.0 million in fiscal year 2019, an 

increase of 45 percent. Although NIV demand generally fluctuates and 

undergoes significant increases and decreases from outside factors—

such as shifts in the world economy and events like the September 2001 

terrorist attacks—the demand is generally trending upwards, and has 

been for the past 40 years (see fig. 6).

Rising NIV Demand 

and Significant 

Technology Concerns 

Could Impact State’s 

NIV Processing 

Operations

Projected NIV Demand 

Increases May Affect the 

Sustainability of State’s 

Efforts to Keep Wait Times 

Low

Page 16 GAO-15-773 Nonimmigrant Visas
Figure 6: Worldwide Nonimmigrant Visa (NIV) Applicants, Fiscal Years 1974-2014, and Projected NIV Applicants, Fiscal Years 

2015-2019

According to State’s projections, NIV applications from the East Asia and 

Pacific region and the South and Central Asia region, will increase by 

about 98 and 91 percent, respectively, from fiscal year 2014 to fiscal year 

2019. The Western Hemisphere region is expected to receive 

approximately 6.9 million applicants by fiscal year 2019, an increase of 

approximately 30 percent from fiscal year 2014 (see fig. 7).

Page 17 GAO-15-773 Nonimmigrant Visas
Figure 7: Forecast of Nonimmigrant Visa (NIV) Adjudications from Fiscal Year 2014 

to Fiscal Year 2019

State has underestimated growth in NIV demand in past projections. In 

2005, State contracted with an independent consulting firm to project 

growth in NIV applicant volume through 2020. As of 2014, 13 of the 18 

countries included in this study had exceeded their 2014 NIV demand 

projections. The study also underestimated the sharp escalation of NIV 

demand in Brazil and China. By 2014, Brazil’s demand had already 

exceeded the study’s projection for NIV applicants in 2020 by over 104 

percent, and in the same year, China’s demand was over 57 percent 

higher than the study’s 2020 projection for it. These increases in demand 

resulted in longer NIV interview wait times between 2006 and 2011 in 

Brazil and China. As we have previously reported, increases in NIV 

demand have historically impacted State’s ability to efficiently process 

visas.23

Expected increases in NIV demand are further complicated by State’s 

current NIV process, including proposed staffing levels that are not 

anticipated to rise significantly through fiscal year 2016. Consular officers 

in 8 of the 11 focus groups and consular management officials at posts in 

23GAO-07-847.

Page 18 GAO-15-773 Nonimmigrant Visas

 
Beijing, Mexico City, and New Delhi told us that current efforts to reduce 

NIV interview wait times are not sustainable if demand for NIVs continues 

to increase at expected rates. A consular management official at one post 

noted that efforts such as staff increases have been a “temporary fix” but 

are not a long-term solution to their high volume of NIV applicants. 

Staffing levels cannot be increased indefinitely due to factors such as 

hiring restrictions, staffing limitations established by host governments, 

and physical workspace constraints. For example, according to State 

officials, State is currently hiring to meet vacancies caused by attrition 

and is expected to increase the number of consular officers by only 57 in 

fiscal year 2015, a 3 percent increase, and not increase consular officers 

in fiscal year 2016. State officials told us that they do not expect 

significant increases in staffing levels beyond 2016. According to State 

officials, staffing limitations established by host governments are also a 

barrier to State’s Bureau of Consular Affairs’ staffing efforts. For example, 

the Indian government has currently restricted the number of staff the 

United States can employ at consulates and embassies. Physical 

capacity limitations, such as insufficient interview windows for visa 

adjudication, are also a concern for efforts to increase staffing.

According to State officials, efforts implemented since E.O. 13597 have 

collectively reduced NIV interview wait times. However, the effectiveness 

of each individual effort remains unclear due to a lack of evaluation. 

According to GAO’s Standards for Internal Control in the Federal 

Government, internal controls should provide reasonable assurance that 

the objectives of an agency are being achieved to ensure the 

effectiveness and efficiency of operations, including the use of the 

agency’s resources.24 Furthermore, State’s evaluation policy emphasizes 

the importance of evaluations for bureaus to improve their programs and 

management processes to inform decision makers about current and 

future activities.25 The evaluation findings, according to State’s policy, are 

to then be utilized for making decisions about policy and the delivery of 

services. State officials acknowledged that they had not completed any 

24GAO, Internal Control: Standards for Internal Control in the Federal Government, 

GAO/AIMD-00-21.3.1 (Washington, D.C.: Nov. 1999). 

25State, Department of State Evaluation Policy, 

http://www.state.gov/s/d/rm/rls/evaluation/2015/236970.htm (Washington, D.C.: Jan. 29, 

2015).

State Should Evaluate Its 

Efforts To Improve NIV 

Processing Capacity 

Given Future NIV Demand 

Projections

Page 19 GAO-15-773 Nonimmigrant Visas

 
systematic evaluations of their efforts to reduce NIV interview wait times 

because they are not currently collecting reliable data. For example, State 

officials reported that the expansion of the IWP in Brazil has significantly 

increased their NIV processing capacity and has helped them reach the 

NIV interview wait times goals of E.O. 13597. However, due to an 

absence of data, State could not determine how many more cases were 

adjudicated via the IWP after its expansion and also could not quantify 

the impact of the expansion on reducing NIV interview wait times in 

Brazil. Instead, State officials said they relied on the reduction in NIV 

interview appointment wait times as a general indication that the efforts 

are working.

Furthermore, projected increases in NIV demand and the goals specified 

in E.O. 13597 heighten the importance and potential impact of State’s 

efforts to ensure that resources are effectively targeted. A systematic 

evaluation of efforts by State to reduce NIV interview wait times would 

provide a clear indication of the efforts that yield the greatest impact on 

NIV processing efficiency and could assist the agency in continuing to 

meet the goals of E.O. 13597. Such evaluations would help State allocate 

resources to those efforts that provide the most impact in efficiently and 

effectively achieving its objectives. Without such evaluations, State’s 

ability to direct resources to those activities that offer the greatest 

likelihood of success for continuing to meet the goals of E.O. 13597 is at 

risk. State officials acknowledged that an evaluation of their efforts to 

improve NIV processing capacity would be helpful for future decision 

making.

Consular officers and managers at posts we visited identified current 

information technology (IT) systems as one of the most significant 

challenges to the efficient processing of NIVs. Consular officers in all 11 

focus groups we conducted across the four posts we visited stated that 

problems with the Consular Consolidated Database (CCD) and the NIV 

system create significant obstacles for consular officers in the processing 

of NIVs.26 Specifically, consular officers and managers at posts stated 

26The NIV system is the primary case management and adjudication system used at 

overseas posts to review and complete visa adjudication. After collecting visa application 

information, the data is replicated to CCD, which collects and stores it and facilitates 

connections with other systems used to cross-reference an applicant’s name and 

biometrics.

NIV Processing Systems 

at Posts Pose Significant 

Challenges for Consular 

Officers

Page 20 GAO-15-773 Nonimmigrant Visas

 
that frequent NIV system outages and failures (where the system stops 

working) at individual posts, worldwide system outages of CCD, and IT 

systems that are not user friendly, negatively affected their ability to 

process NIVs.

• NIV system outages and failures at posts: Consular officers we 

spoke with in Beijing, Mexico City, New Delhi, and São Paulo 

explained that the NIV system regularly stops working. This results in 

a reduced number of adjudications (whether being performed at the 

interview window or, for an IWP applicant, at an officer’s desk) in a 

day. Notably, consular officers in 4 of the 11 focus groups reported 

having to stop work or re-adjudicate NIV applications as a result of 

these NIV system failures. In fact, during our visit to the U.S. Embassy 

in New Delhi in March 2015, a local NIV outage occurred, affecting 

consular officers’ ability to conduct adjudications. In January 2015, 

officers in Bogotá, Guadalajara, Monterrey, and Moscow—among the 

top 15 posts with the highest NIV applicant volume in 2014—

experienced severe NIV performance issues—specifically an inability 

to perform background check queries against databases.

• Worldwide outages and operational issues of CCD: Since July

2014, two worldwide outages of CCD have impaired the ability of 

posts to process NIV applications. On June 9, 2015, an outage 

affected the ability of posts to run checks of biometric data, thus 

halting most visa printing along with other services offered at posts.27

According to State officials, the outage affected every post worldwide 

for 10 days. The system was gradually repaired, but it was not fully 

restored at all posts until June 29, 2015, exacerbating already 

increased NIV interview wait times at some posts during the summer 

high demand season.

According to State notices, another significant outage of CCD 

occurred on July 20, 2014, slowing NIV processing worldwide until 

September 5, 2014, when CCD returned to full operational capacity.28

State estimated that from the start of operational issues on July 20 

through late July, State issued approximately 220,000 NIVs globally—

about half of the NIVs State anticipated issuing during that period. 

According to officials in State’s Bureau of Consular Affairs, Office of 

27According to State officials, during this outage, consular officers could still adjudicate 

critical cases such as adoption cases and medical emergencies. 

28State, Important Notice: Delay in Passport and Visa Processing Times, September 5, 

2014.

Page 21 GAO-15-773 Nonimmigrant Visas

 
Consular Systems and Technology (CST), who are responsible for 

operating and maintaining CCD and the NIV system, consular officers 

were still able to collect NIV applicant information during that period; 

however, processing of applications was significantly delayed with an 

almost 2-week backlog of NIVs. In the U.S. Consulate in São Paulo, a 

consular management official reported that due to this outage, the 

post had a backlog of about 30,000 NIV applications, or approximately 

9 days’ worth of NIV interviews during peak season. Consular officers 

in 8 out of the 11 focus groups we conducted identified a lengthy CCD 

outage as a challenge to the efficient processing of NIVs.

• IT systems are not user friendly: In 9 out of 11 focus groups, 

consular officers described the IT systems for NIV processing as not 

user friendly. Officers in our focus groups explained that some 

aspects of the system hinder their ability to quickly and efficiently 

process NIVs. These aspects include a lack of integration among the 

databases needed for NIV adjudications, the need for manual 

scanning of documentation provided by an applicant, and an absence 

of standard keyboard shortcuts29 across all IT applications that would 

allow users to quickly copy information when processing NIV 

applications for related applicants, to avoid having to enter data 

multiple times. Some consular officers in our focus groups stated that 

they could adjudicate more NIVs in a day if the IT systems were less 

cumbersome and more user friendly.

Consular officers in Beijing and Mexico City and consular management at 

one post indicated that the NIV system appeared to be designed without 

consideration for the needs of a high volume post, which include 

efficiently processing a large number of applications per adjudicator each 

day. According to consular officers, the system is poor at handling today’s 

high levels of demand because it was originally designed in the mid1990s. Consular officers in São Paulo stated that under current IT 

systems and programs, the post may not be able to process larger 

volumes that State projects it will have in the future.

State, recognizing the limits of its current consular IT systems, initiated 

the development of a new IT platform. State is developing a new system 

referred to as “ConsularOne,” to modernize 92 applications that include 

systems such as CCD and the NIV system. According to State, 

ConsularOne will be implemented in six phases, starting with passport 

29Keyboard shortcuts are combinations of two or more keys that can be used to perform 

tasks that would typically require a mouse or other pointing device.

Page 22 GAO-15-773 Nonimmigrant Visas

 
renewal systems and, in phase five, capabilities associated with 

adjudicating and issuing visas (referred to as non-citizen services). 

However, CST officials have yet to formally commit to when the 

capabilities associated with non-citizen services are to be implemented. 

According to a preliminary CST schedule, the enhanced capabilities 

associated with processing NIVs are not scheduled for completion until 

October 2019. Given this timeline, according to State officials, 

enhancements to existing IT systems are necessary and are being 

planned.

Although consular officers and managers we spoke with identified CCD 

and the NIV system as one of the most significant challenges to the 

efficient processing of NIVs, State does not systematically measure end 

user (i.e., consular officers) satisfaction. We have previously reported that 

in order for IT organizations to be successful, they should measure the 

satisfaction of their users and take steps to improve it.30 The Software 

Engineering Institute’s IDEALSM model is a recognized approach for 

managing efforts to make system improvements.31 According to this 

model, user satisfaction should be collected and used to help guide 

improvement efforts through a written plan. With such an approach, IT 

improvement resources can be invested in a manner that provides 

optimal results.

Although State is in the process of upgrading and enhancing CCD and 

the NIV system, State officials told us that they do not systematically 

measure user satisfaction with their IT systems and do not have a written 

plan for improving satisfaction. According to CST officials, consular 

officers may voluntarily submit requests to CST for proposed IT system 

enhancements. Additionally, State officials noted that an IT stakeholder 

group comprising officials in State’s Bureau of Consular Affairs regularly 

meets to identify and prioritize IT resources and can convey end user 

concerns for the system.32 However, State has not collected 

30GAO, Library of Congress: Strong Leadership Needed to Address Serious Information 

Technology Management Weaknesses, GAO-15-315 (Washington, D.C.: Mar. 31, 2015).

31IDEALSM is a service mark of Carnegie Melon University and stands for initiating, 

diagnosing, establishing, acting, and leveraging. For more information on this model, see 

IDEALSM: A User’s Guide for Software Process Improvement (CMU/SEI-96-HB-001).

32These stakeholders are called business unit system liaisons and are often civil service 

officers with field experience or Foreign Service Officers.

State Does Not 

Systematically Obtain End 

User Input to Prioritize 

Improvement Efforts for 

Current IT Systems

Page 23 GAO-15-773 Nonimmigrant Visas

 
comprehensive data regarding end user satisfaction and developed a 

plan to help guide its current improvement efforts. Furthermore, consular 

officers continued to express concerns with the functionality of the IT 

systems, and some officers noted that enhancements to date have not 

been sufficient to address the largest problems they encounter with the 

systems.

Given consular officers’ reliance on IT services provided by CST, as well 

as the feedback we received from focus groups, it is critical that State 

identify and implement feedback from end users in a disciplined and 

structured fashion for current and any future IT upgrades. Without a 

systematic approach to measure end user satisfaction, CST may not be 

able to adequately ensure that it is investing its resources on 

improvement efforts that will improve performance of its current and 

future IT systems for end users.

Travel and tourism are important contributors to U.S. economic growth 

and job creation. According to Commerce, international travelers 

contributed $220.6 billion to the economy and supported 1.1 million jobs 

in 2014. Processing visas for such travelers as efficiently and effectively 

as possible without compromising our national security is critical to 

maintaining a competitive and secure travel and tourism industry in the 

United States. Although State has historically struggled with the task of 

maintaining reasonable wait times for NIV interviews, it has undertaken a 

number of efforts in recent years that have yielded substantial progress in 

reducing such waits. Significant projected increases in NIV demand 

coupled with consular hiring constraints and other challenges could 

hinder State’s ability to sustain this progress in the future—especially in 

countries where the demand for visas is expected to rise the highest. 

These challenges heighten the importance of systematically evaluating 

the cost and impact of the multiple measures State has taken to reduce 

interview wait times in recent years and leveraging that knowledge in 

future decision making. Without this, State’s ability to direct resources to 

those activities that offer the greatest likelihood of success is limited. 

Moreover, State’s future capacity to cope with rising NIV demand will be 

challenged by inefficiencies in its visa processing technology; consular 

officers and management officials at the posts we visited pointed to 

cumbersome user procedures and frequent system failures as enormous 

obstacles to efficient NIV processing. State’s Bureau of Consular Affairs 

recognizes these problems and plans a number of system 

enhancements; however, the bureau does not systematically collect input 

from consular officers to help guide and prioritize these planned 

Conclusions

Page 24 GAO-15-773 Nonimmigrant Visas
upgrades. Without a systematic effort to gain the input of those who 

employ these systems on a daily basis, State cannot be assured that it is 

investing its resources in a way that will optimize the performance of 

these systems for current and future users.

To further improve State’s processing of nonimmigrant visas, we 

recommend that the Secretary of State take the following two actions:

1. Evaluate the relative impact of efforts undertaken to reduce 

nonimmigrant visa interview wait times to help managers make 

informed future resource decisions.

2. Document a plan for obtaining end user (i.e., consular officers) input 

to help improve end user satisfaction and prioritize enhancements to 

information technology systems.

We provided a draft of this report for review and comment to State, 

Commerce, and DHS. We received written comments from State, which 

are reprinted in appendix II. State agreed with both of our 

recommendations and highlighted a number of actions it is taking or plans 

to take to implement them. Commerce and DHS did not provide written 

comments on the report. State and DHS provided a number of technical 

comments, which we have incorporated throughout the report, as 

appropriate.

As agreed with your offices, unless you publicly announce the contents of 

this report earlier, we plan no further distribution until 30 days from the 

report date. At that time, we will send copies to the Secretary of State, the 

Secretary of Commerce, the Secretary of Homeland Security, and other 

interested parties. In addition, the report will be available at no charge on 

the GAO website at http://www.gao.gov.

If you or your staff have any questions about this report, please contact 

me at (202) 512-8980 or courtsm@gao.gov. Contact points for our Offices 

of Congressional Relations and Public Affairs may be found on the last 

Recommendations for 

Executive Action

Agency Comments

Page 25 GAO-15-773 Nonimmigrant Visas
page of this report. GAO staff who made key contributions to this report 

are listed in appendix III.

Michael J. Courts

Director, International Affairs and Trade

Page 26 GAO-15-773 Nonimmigrant Visas
List of Requesters

The Honorable Mark Kirk

United States Senate

The Honorable Amy Klobuchar

United States Senate

The Honorable Marco Rubio

United States Senate

The Honorable Brian Schatz

United States Senate

Page 27 GAO-15-773 Nonimmigrant Visas
Appendix I: Objectives, Scope, and 

Methodology

This report reviews Department of State’s (State) nonimmigrant visa (NIV) 

processing operations and provides an update on the status of the goals 

in Executive Order (E.O.) 13597. Specifically, this report examines (1) the 

efforts State has undertaken to expand capacity and reduce NIV 

applicants’ interview wait times and the reported results to date, and (2) 

the challenges that impact State’s ability to efficiently process NIVs. To 

accomplish our objectives, we reviewed relevant State and Department of 

Homeland Security (DHS) documents, and interviewed State, DHS, and 

Department of Commerce (Commerce) officials. In addition, we observed 

consular operations and interviewed U.S. government officials at four 

posts—the U.S. Embassy in Beijing, China; the U.S. Embassy in New 

Delhi, India; the U.S. Embassy in Mexico City, Mexico; and the U.S. 

Consulate in São Paulo, Brazil. For our site visits, we selected posts that 

(1) were in countries specifically mentioned in E.O. 13597, (2) 

experienced NIV interview wait time problems previously, or (3) were in 

countries that have the highest levels of U.S. NIV demand in the world. 

During these visits, we observed visa operations; interviewed consular 

staff and embassy management about NIV adjudication policies, 

procedures, and resources; conducted focus groups with consular 

officers; and reviewed documents and data. Our selection of posts was 

not intended to provide a generalizable sample but allowed us to observe 

consular operations at some of the highest NIV demand posts worldwide.

To determine the efforts State has undertaken to expand capacity and 

reduce NIV applicants’ interview wait times, we reviewed relevant 

documents and interviewed officials from State and DHS. To determine 

the reported results of those efforts, we collected and analyzed data on 

NIV processing capacity and NIV interview wait times worldwide from 

January 2011 until July 2015 and compared them to the goals outlined in 

E.O. 13597 and reviewed documentation provided by State on their 

efficiency efforts. For NIV interview wait time data, we focused our 

analysis on B visas and not on other NIV categories because this is how 

State measures visa wait times against the goals specified in E.O. 13597, 

and because B visas represent most NIVs. For example, B visas 

represent 79 percent of all NIVs processed in fiscal year 2014. To 

determine the reliability of State’s data on NIV wait times for applicant 

interviews, we reviewed the department’s procedures for capturing these 

data, interviewed the officials in Washington, D.C., who monitor and 

report these data, and examined data that were provided to us 

electronically. In addition, we interviewed the corresponding officials from 

our visits to select posts overseas and in Washington, D.C., who input 

and use the NIV interview wait time data. While some posts occasionally 

did not update their NIV wait time data on a weekly basis, we found the 

Appendix I: Objectives, Scope, and 

Methodology

Page 28 GAO-15-773 Nonimmigrant Visas
Appendix I: Objectives, Scope, and 

Methodology

data to be sufficiently reliable for the purposes of determining the 

percentage of posts that were below the 3-week NIV interview wait time

threshold established by E.O. 13597.

To determine the challenges that impact State’s ability to efficiently 

process NIVs, we reviewed relevant documents, including State planning 

and NIV demand projections, interviewed State, DHS, and Commerce 

officials in Washington, D.C., including officials from State’s Office of 

Inspector General, and conducted focus groups with consular officers. 

We also reviewed State’s documentation on its information technology 

systems, including the Consular Consolidated Database, the NIV system, 

and the development plans for the ConsularOne system. To determine 

the reliability of State’s NIV applicant projections, we reviewed the 

department’s projections and interviewed the officials that develop the 

projections. We found the data to be sufficiently reliable for the purposes 

of providing a baseline for possible NIV demand through 2019.

To balance the views of State management and obtain perspectives of 

consular officers on State’s NIV processing, we conducted 11 focus group 

meetings with randomly selected entry-level consular officers that conduct 

NIV interviews and adjudications at the four posts we visited. These 

meetings involved structured small-group discussions designed to gain 

more in-depth information about specific issues that cannot easily be 

obtained from single or serial interviews. Consistent with typical focus 

group methodologies, our design included multiple groups with varying 

characteristics but some similarity in experience and responsibility. Most 

groups involved 6 to 10 participants. Discussions were structured, guided 

by a moderator who used a standardized list of questions to encourage 

participants to share their thoughts and experiences. Our overall objective 

in using a focus group approach was to obtain the views, insights, and 

feelings of entry-level consular officers on issues related to their 

workload, the NIV process, and challenges they face as consular officers 

conducting NIV applicant interviews and adjudications. We assured 

participants of the anonymity of their responses, promising that their 

names would not be directly linked to their responses. We also conducted 

one pretest focus group and made some revisions to the focus group 

guide accordingly.

Methodologically, focus groups are not designed to (1) demonstrate the 

extent of a problem or to generalize results to a larger population, (2) 

develop a consensus to arrive at an agreed-upon plan or make decisions 

about what actions to take, or (3) provide statistically representative 

samples or reliable quantitative estimates. Instead, they are intended to 

Page 29 GAO-15-773 Nonimmigrant Visas
Appendix I: Objectives, Scope, and 

Methodology

generate in-depth information about the reasons for the focus group 

participants’ attitudes on specific topics and to offer insights into their 

concerns about and support for an issue.

The projectability of the information produced by our focus groups is 

limited for several reasons. First, the information includes only the 

responses of entry-level consular officers from the 11 selected groups. 

Second, participants were asked questions about their specific 

experiences with the NIV process and challenges they face as consular 

officers conducting NIV applicant interviews and adjudications. Other 

entry-level consular officers who did not participate in our focus groups or 

were located at different posts may have had different experiences. 

Because of these limitations, we did not rely entirely on focus groups but 

rather used several different methodologies to corroborate and support 

our conclusions.

We conducted this performance audit from September 2014 to 

September 2015 in accordance with generally accepted government 

auditing standards. Those standards require that we plan and perform the 

audit to obtain sufficient, appropriate evidence to provide a reasonable 

basis for our findings and conclusions based on our audit objectives. We 

believe that the evidence obtained provides a reasonable basis for our 

findings and conclusions based on our audit objectives.

Page 30 GAO-15-773 Nonimmigrant Visas
Appendix II: Comments from the Department Appendix II: Comments from the Department of State

of State

Page 31 GAO-15-773 Nonimmigrant Visas
Appendix II: Comments from the Department 

of State

Page 32 GAO-15-773 Nonimmigrant Visas
Appendix II: Comments from the Department 

of State

Page 33 GAO-15-773 Nonimmigrant Visas
Appendix III: GAO Contact and Staff 

Acknowledgments

Michael J. Courts, (202) 512-8980 or courtsm@gao.gov

In addition to the individual mentioned above, Godwin Agbara (Assistant 

Director, International Affairs and Trade), Kathryn Bernet (Assistant 

Director, Homeland Security and Justice), Nicholas Marinos (Assistant 

Director, Information Technology), Ashley Alley, Juan P. Avila, Justin 

Fisher, Kaelin Kuhn, Jill Lacey, Christopher J. Mulkins, and Jasmine 

Senior made key contributions to this report. Technical assistance was 

provided by Karen Deans, Katherine Forsyth, Kara Marshall, and Tina 

Cheng.

Appendix III: GAO Contact and Staff 

Acknowledgments

GAO Contact

Staff 

Acknowledgments

(321044) Page 34 GAO-15-773 Nonimmigrant Visas
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