United States General Accounting Office

GAO 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

GAO United States

General Accounting Office

Washington, D.C. 20548

National Security and

International Affairs Division

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 report1

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.

Results in Brief 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,

1

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

Page 1 GAO/NSIAD-98-69 State’s Tourist Visa Processing
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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 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 Konga (Taiwan residents) 359,685

Sao Paulo, Brazil 297,814

Rio de Janeiro, Brazil 206,653

Mexico City, Mexico 203,506

aThe 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

2

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

Page 2 GAO/NSIAD-98-69 State’s Tourist Visa Processing
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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

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.

Page 3 GAO/NSIAD-98-69 State’s Tourist Visa Processing
B-279006 

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.

Backlogs Exist at

Some Consulates

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

Although consulates often manage to process nonimmigrant visa

applications within 7 business days during periods of low demand,

turnaround times4

 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.

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.

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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.

Sao Paulo Visa Processing

Backlogs

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

Page 5 GAO/NSIAD-98-69 State’s Tourist Visa Processing
B-279006 

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

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

Page 6 GAO/NSIAD-98-69 State’s Tourist Visa Processing
B-279006 

preventing suspect applicants from entering the United States has also led

to delays.

Staffing Problems 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.

Page 7 GAO/NSIAD-98-69 State’s Tourist Visa Processing
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Figure 1: Overseas Visa Services Staffing and Nonimmigrant Visa Work Load Trends, Fiscal Years 1993-96

Foreign service officers

providing visa services overseas

1993 1994 1995 1996

360

370

380

390

400

410

420

430

Fiscal years

 

a Nonimmigrant visas issued

 

1993 1994 1995 1996

5,200

5,400

5,600

5,800

6,000

6,200

6,400

Fiscal years

Thousands

aAlthough 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.

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.

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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

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

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.

Page 9 GAO/NSIAD-98-69 State’s Tourist Visa Processing
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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.

Inadequate Computer

Equipment, Consular

Facilities, and Other

Resources

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

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could explore the use of an offsite location for collecting “drop-box”

applications.

Increased Vigilance Over

Border Security Adds to

Delays

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

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.

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Approaches to Overcoming

Staffing Problems

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 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

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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

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

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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 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

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B-279006 

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 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 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

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

Page 15 GAO/NSIAD-98-69 State’s Tourist Visa Processing
B-279006 

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.

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

Page 16 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Page 17 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Contents

Letter 1

Appendix I 

Scope and

Methodology

20

Appendix II 

Comments From the

Department of State

22

Appendix III 

Major Contributors to

This Report

26

Tables Table 1: Top Five U.S. Visa-Issuing Posts in Fiscal Year 1996 2

Table 2: Peak-Season Visa-Processing Times at Surveyed U.S.

Posts With Backlogs of 15 Business Days or More in Fiscal Year

1997

5

Figure Figure 1: Overseas Visa Services Staffing and Nonimmigrant Visa

Work Load Trends, Fiscal Years 1993-96

8

Page 18 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Page 19 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Appendix I 

Scope and Methodology

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 José, 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

Page 20 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Appendix I 

Scope and Methodology

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.

Page 21 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Appendix II 

Comments From the Department of State

Note: GAO comments

supplementing those in the

report text appear at the

end of this appendix.

Page 22 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Appendix II 

Comments From the Department of State

See comment 1.

See pp. 15 and 16.

See comment 2.

Page 23 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Appendix II 

Comments From the Department of State

See comment 3.

Now on p. 5.

See comment 3.

Now on p. 6.

Page 24 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Appendix II 

Comments From the Department of State

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.

Page 25 GAO/NSIAD-98-69 State’s Tourist Visa Processing
Appendix III 

Major Contributors to This Report

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

(711290) Page 26 GAO/NSIAD-98-69 State’s Tourist Visa Processing
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