Border Security: Reassessment of Consular Resource Requirements Could Help Address Visa Delays
Published: 2006-04-04T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: In deciding to approve or deny a visa application, the Department of State's (State) consular officers are on the front line of defense in protecting the United States against those who seek to harm U.S. interests. To increase border security following the September 11 attacks, Congress, State, and the Department of Homeland Security initiated a series of changes to border security policies and procedures. These changes have added to the complexity of consular workload. But consular officers must balance this security responsibility against the need to facilitate legitimate travel. In recent years, GAO has issued a series of reports on the visa process. This statement discusses (1) wait times for visas, (2) factors that affect wait times, and (3) GAO's recent work on consular staffing.
section_title: What GAO Found
paragraphs: As a result of changes since September 11, 2001, aimed at strengthening visa policies and procedures, applicants have faced extensive wait times for visas at some posts. According to consular officials, posts that consistently have wait times of 30 days or longer for interview appointments may have a resource problem. During a recent 6-month period, 97 of State's 211 visa-issuing posts reported maximum wait times of 30 or more days in at least one month; at 20 posts, the reported wait times were in excess of 30 days for this entire 6-month period. Further, in February 2006, 9 posts reported wait times in excess of 90 days. Several factors have contributed to these delays at some consular posts. For example, Congress, State, and the Department of Homeland Security have initiated new policies and procedures since the September 11 attacks to strengthen the security of the visa process; however, these new requirements have increased consular workload and exacerbated delays. Additionally, some applicants have faced additional delays because of special security checks for national security concerns. Other factors, such as resurgence in visa demand and ongoing embassy facility limitations, could continue to affect wait times. We recently reported that State had not conducted a worldwide, comprehensive assessment of staffing requirements for visa operations. While State has increased hiring of consular officers, there is a need for such an assessment to ensure that State has sufficient staff at key consular posts, particularly in light of the visa processing delays at some posts.

section_title: Letter
paragraphs: I am pleased to be here to discuss GAO’s observations on delays in the  nonimmigrant visa process. In deciding to approve or deny a visa  application, the Department of State’s (State) consular officers at 211 visa- issuing posts overseas are on the front line of defense in protecting the  United States against potential terrorists and others whose entry would  likely be harmful to U.S. national interests. But consular officers must  balance this security responsibility against the need to facilitate legitimate  travel. Congress, State, and the Department of Homeland Security (DHS)  have initiated a series of changes since the September 11 attacks to  enhance border security policies and procedures. These changes have  added to the complexity of consular officers’ workload. They have also, in  turn, contributed to the delays facing foreign citizens at some posts who  are seeking visas for travel to the United States. For example, in February  2004, we reported that applicants had faced delays when scheduling  appointments for visa interviews at consular posts in China and India.  Although wait times in China have improved in recent months, applicants  in India continue to face long delays. Moreover, worldwide, nine posts  reported maximum wait times of 90 or more days in February 2006. In light  of the increased workload per visa applicant due to additional border  security requirements, we recommended in October 2002 and again in  September 2005 that State reassess its staffing requirements.
Today I will discuss (1) wait times facing visa applicants, (2) factors that  affect wait times, and (3) our recent work on consular staffing concerns.  My statement covers a series of reports that we have issued regarding the  visa process and related areas. Over the course of our work for these  reports, we have reviewed relevant legislation and agency documents,  interviewed State’s consular and human resource officials in Washington,  and observed visa operations and interviewed consular officials at more  than 20 consular posts. In addition, in 2005, we interviewed consular staff  at 25 overseas posts regarding issues such as visa policies and procedures,  staffing, and training. Our work was conducted in accordance with  generally accepted government auditing standards (see appendix I for a  list of GAO reports).
subsections: section_title: Background
paragraphs: The 1952 Immigration and Nationality Act, as amended, is the primary  body of law governing immigration and visa operations. The Homeland  Security Act of 2002 generally grants DHS exclusive authority to issue  regulations on, administer, and enforce the Immigration and Nationality  Act and all other immigration and nationality laws relating to the functions  of U.S. consular officers in connection with the granting or denial of visas.  As we reported in July 2005, the act also authorizes DHS to, among other  things, assign employees to any consular post to review individual visa  applications and provide expert advice and training to consular officers  regarding specific security threats related to the visa process. A  subsequent September 2003 Memorandum of Understanding between  State and DHS further outlines the responsibilities of each agency with  respect to visa issuance. DHS is responsible for establishing visa policy,  reviewing implementation of the policy, and providing additional  direction. State manages the visa process, as well as the consular corps  and its functions at 211 visa-issuing posts overseas.
The process for determining who will be issued or refused a visa contains  several steps, including documentation reviews, in-person interviews,  collection of biometrics (fingerprints), and cross-referencing an  applicant’s name against the Consular Lookout and Support System— State’s name-check database that posts use to access critical information  for visa adjudication. In some cases, a consular officer may determine the  need for a Security Advisory Opinion, which is a response from  Washington on whether to issue a visa to the applicant. Depending on a  post’s applicant pool and the number of visa applications that a post  receives, each stage of the visa process varies in length.
section_title: Applicants May Face Extensive Wait Times for Visa Interviews
paragraphs: According to consular officials, posts that consistently have wait times for  visa interview appointments of 30 days or longer may have a resource or  management problem. To monitor posts’ workload, State requires that  posts report, on a weekly basis, the wait times for applicant interviews. As  of March 2006, State’s data showed that between September 2005 and  February 2006, 97 posts reported maximum wait times of 30 or more days  in at least one month; at 20 posts, the reported wait times were in excess  of 30 days for the entire 6-month period. Moreover, in February 2006, nine  posts reported wait times in excess of 90 days (see table 1).
According to the Assistant Secretary of State for Consular Affairs,  managing consular workload is a major issue for the department,  particularly at posts in India and China where volume is expected to  continue to increase. In February 2004, we reported that officials at some  of the posts we visited in India and China indicated they did not have  enough space and staffing resources to handle interview demands and the  new visa requirements. According to consular officers, during the 2003  summer months, the wait for visa interviews was as long as 12 weeks in  Chennai, India. In China, applicants at one post were facing waits of about  5 to 6 weeks during our September 2003 visit due to an imbalance between  demand for visas and the number of consular officers available to  interview applicants and staff to answer phones. Although these posts  have undertaken initiatives to shorten the wait times, such as using  temporary duty help and instituting longer interviewing hours, delays for  visa interviews remain an ongoing concern. For example, the U.S. embassy  in New Delhi instituted a new appointment system in October 2005, which  resulted in immediate, additional interviewing capacity at post, according  to consular officials. However, reported wait times in New Delhi had risen  above 90 days by February 2006 (see table 2).
At posts in China, Consular Affairs indicated that improvements in  facilities and staff increases have helped to lessen wait times for  interviews. However, consular officials have acknowledged that demand  for visas at posts in China is likely to rise and continue to affect wait times  in the future. Table 3 shows recent wait times for visa appointments in  China.
Although we have not attempted to measure the impact of the time it takes  to adjudicate a visa, we reported in February 2004 that consular officials  and representatives of several higher education, scientific, and  governmental organizations reported that visa delays could be detrimental  to the scientific interests of the United States. Although these officials and  representatives provided numerous individual examples of the  consequences of visa delays, they were unable to measure the total impact  of such lengthy waits. For example, in September 2003, Department of  Energy officials in Moscow explained that former Soviet Union scientists  have found it extremely difficult to travel to the United States to  participate in U.S. government-sponsored conferences and exchanges that  are critical to nonproliferation efforts. Business groups have also  expressed concern about the impact of visa delays. For example, officials  from the American Chamber of Commerce and other industry executives  have testified numerous times in recent years about the problem of  delayed entry for foreign nationals traveling to the United States for  legitimate business purposes. In addition, on June 2, 2004, a coalition of  eight industry associations published a study estimating that U.S.  companies suffered losses totaling $30 billion from July 2002 to March  2004 due to delays and denials in the processing of business visas.  Beijing’s Deputy Chief of Mission and consular officials at the embassy  and consulates in China also stated that visa delays could have a negative  impact on student and scholar exchanges.
section_title: Several Factors Contribute to Wait Times for Visas
paragraphs: Visa delays are a longstanding problem. However, since September 2001,  several factors have exacerbated wait times for visas. First, changes to  visa policies and procedures have resulted in additional workload for  consular officers. Second, while not reaching pre-2001 levels, visa  application volume has increased in recent years. Third, many posts face  facility constraints, which limit the extent to which posts can increase visa  processing. Finally, staffing shortfalls also affect the length of time that  applicants must wait for a visa.
subsections: section_title: Visa Policy and Procedural Changes Have Increased Consular Workload
paragraphs: Since the September 11 attacks, Congress, State, and DHS have initiated a  series of changes to policies and procedures designed to enhance border  security. These changes have added to the complexity of consular officers’  workload and, in turn, exacerbated State’s resource constraints. These  changes include the following:    Consular officers must interview virtually all visa applicants; prior to  August 2003, they could routinely waive interviews.
Since October 2004, consular officers are required to scan foreign  nationals’ right and left index fingers and clear the fingerprints through the  DHS Automated Biometric Identification System before an applicant can  receive a visa.
Some responsibilities previously delegated to Foreign Service nationals  and consular associates have been transferred to consular officers. For  example, consular associates are no longer authorized to adjudicate visas.
As previously mentioned, some applicants have faced additional delays  due to various special security checks, or Security Advisory Opinions. For  example, foreign science students and scholars, who may pose a threat to  our national security by illegally transferring sensitive technology, may be  subject to security checks known as Visas Mantis. In the spring of 2003, it  took an average of 67 days for Visas Mantis checks to be processed and for  State to notify consular posts of the results. Since then, State and other  agencies have taken actions which have reduced delays to about 15 days  for these checks.
In addition, on July 13, 2005, the Secretary of Homeland Security  announced that the U.S. government had adopted a 10-print standard for  biometric collection for visas. In January 2006, the director of the U.S.  Visitor and Immigrant Status Indicator Technology program testified that  moving to a 10-fingerscan standard from a 2-print standard would allow  the United States to be able to identify visa applicants and visitors with  even greater accuracy. In February 2006, State reported that it plans to  complete pilot testing and procurement of the 10-print equipment to  ensure that all visa-issuing posts have collection capability by the end of  fiscal year 2007. Requiring applicants to submit 10-prints could add more  time to the applicant’s interview and potentially delay visa processing.
To help mitigate the adverse impact of these policy and procedural  changes on wait times, State has taken actions to help maintain the right  balance between promoting security and facilitating travel. For example,  while we have not assessed the impact of these actions, all overseas posts  have established procedures to expedite the processing of business visas  and are working closely with local American Chambers of Commerce in  more than 100 countries to expedite the visa process for bona fide  business travelers. In July 2005, State also established a Business Visa  Center to facilitate visa application procedures for U.S. businesses in  conjunction with upcoming travel or events. Regarding foreign students, in  February 2006, State announced that it has extended the length of time  foreign students may be issued student visas, which will allow some  students to apply up to 120 days before their academic program start date  (as compared to 90 days under previous regulations). According to State,  U.S. embassies and consulates also have established special, expedited  visa interviews for prospective foreign students.
section_title: Increasing Visa Demand Strains Consular Resources
paragraphs: While not returning to levels prior to the September 11 attacks, visa  issuance rates increased in fiscal years 2004 and 2005, according to State’s  data (see fig. 1). Should application volume continue to increase, State has  acknowledged that additional management actions will be necessary to  ensure that visa applications are processed in a timely manner.
In the future, we believe that increased global trade and economic growth  will likely result in increased demand for visas, particularly in certain  countries.
section_title: Facilities Constraints Limit State’s Options for Addressing Visa Delays
paragraphs: Embassy facilities at some posts limit the number of visa applications that  are processed each day and make it difficult to keep up with visa demand.  In our September 2005 report, we noted that many visa chiefs we  interviewed reported problems with their facilities. For example, at 14 of  the 25 posts covered in our survey, consular officials rated their  workspace as below average, and 40 percent reported that applicants’  waiting rooms were below average. In addition, due to overcrowded  waiting rooms at four of the eight posts we visited, we observed visa  applicants waiting for their interviews outside or in adjacent hallways.  Moreover, a limited number of security guards and screening devices, as  well as limited physical space, often create bottlenecks at the facilities’  security checkpoints. In March 2006, we observed visa facilities in Paris,  France, and noted that there are insufficient adjudicating windows to meet  visa demand. A senior consular official acknowledged that many consular  facilities are located in run-down buildings with insufficient adjudicating  windows and waiting rooms. In fiscal year 2003, Congress directed the  Overseas Building Operations Bureau to begin a 3-year Consular  Workspace Improvement Initiative to improve the overall working  environment for consular officers. In fiscal years 2003 and 2004, State  obligated $10.2 million to 79 workspace improvement projects at 68 posts.  However, according to a senior consular official, these funds are being  used to provide temporary solutions at posts that may require a new  embassy as part of State’s multibillion-dollar embassy construction  program. It may take years before some posts’ facilities needs are fully  addressed.
To have sufficient resources to manage the demand for visas and minimize  the time applicants must wait, State may need to consider establishing  new visa-issuing posts. Indeed, in its 2005 inspection of the Embassy in  New Delhi, for example, the Office of the Inspector General stated that  State should establish a permanent consulate in Hyderabad, India, by no  later than 2008 in light of the need for expanded visa processing facilities  due to increased application volume. In March 2006, the President  announced that the United States would open a new consulate; however, it  is unclear when this may happen.
section_title: Staffing Shortfalls Impact the Effectiveness of Visa Operations
paragraphs: In September 2005, we reported that State faced staffing shortfalls in  consular positions—a key factor affecting the effectiveness of the visa  process and the length of time applicants must wait for visas. As of April  30, 2005, we found that 26 percent of midlevel consular positions were  either vacant or filled by an entry-level officer. In addition, almost three- quarters of the vacant positions were at the FS-03 level—midlevel officers  who generally supervise entry-level staff. Consular officials attribute this  shortfall to low hiring levels prior to the Diplomatic Readiness Initiative  and the necessary expansion of entry-level positions to accommodate  increasing workload requirements after September 11, 2001. We believe  experienced supervision at visa-issuing posts is important to avoiding visa  delays. For example, experienced officers may provide guidance to entry- level officers on ways to expedite visa processing, including advising staff  on when special security checks are required.
During our February 2005 visits to Riyadh and Jeddah, Saudi Arabia, and  Cairo, Egypt, we observed that the consular sections were staffed with  entry-level officers on their first assignment with no permanent midlevel  visa chief to provide supervision and guidance. Although these posts had  other mid- or seniorlevel consular officers, their availability on visa issues  was limited because of their additional responsibilities. For example, the  head of the visa section in Jeddah was responsible for managing the entire  section, as well as services for American citizens due to a midlevel  vacancy in that position. At the time of our visit, the Riyadh Embassy did  not have a midlevel visa chief. Similarly, in Cairo, there was no permanent  midlevel supervisor between the winter of 2004 and the summer of 2005,  and Consular Affairs used five temporary staff on a rotating basis during  this period to serve in this capacity. Entry-level officers we spoke with  stated that due to the constant turnover, the temporary supervisors were  unable to assist them adequately. At the U.S. consulate in Jeddah, entry- level officers expressed concern about the lack of a midlevel supervisor.  More recently, during a February 2006 visits to posts in Nigeria and China,  we found similar consular vacancies. For example, first tour, entry-level  officers in Chengdu and Shenyang, China, are filling midlevel consular  positions.
We have reported on numerous occasions that factors such as staffing  shortages have contributed to long wait times for visas at some posts.  Since 2002, State has received funding to address these shortfalls. Through  the Diplomatic Readiness Initiative and other sources, State increased the  number of Foreign Service officer consular positions by 364, from 1,037 in  fiscal year 2002 to 1,401 in fiscal year 2005. However, while we have not  studied this issue, the disparity in wait times among posts may indicate the  need to reallocate positions to address the growing consular demand and  long wait times at some posts.
In the event of staffing shortfalls, State has mechanisms for requesting  increased staff resources. For example, if the Consular Affairs Bureau  identifies a need for additional staff in headquarters or overseas, it may  request that the Human Resources Bureau establish new positions. In  addition, posts can also describe their needs for additional positions  through their consular package—a report submitted annually to the  Consular Affairs Bureau that details workload statistics and staffing  requirements, among other things. For example, in December 2004, during  the course of our work, the consular section in Riyadh reported to  Washington that there was an immediate need to create a midlevel visa  chief position at post, and consular officials worked with human resource  officials to create this position, which, according to State officials, would  be filled by summer 2005.
section_title: State Has Not Assessed Overall Consular Resource Needs
paragraphs: State’s current assignment process does not guarantee that all authorized  positions will be filled, particularly at hardship posts. Historically, State  has rarely directed its employees to serve in locations for which they have  not bid on a position, including hardship posts or locations of strategic  importance to the United States, due to concerns that such staff may be  more apt to have poor morale or be less productive. Due to State’s  decision to not force assignments, along with the limited amount of  midlevel officers available to apply for them, important positions may  remain vacant.
According to a deputy assistant secretary for human resources, Consular  Affairs can prioritize those positions that require immediate staffing to  ensure that officers are assigned to fill critical staffing gaps. For example,  Consular Affairs could choose not to advertise certain positions of lesser  priority during an annual assignment cycle. However, senior Consular  Affairs officials acknowledged that they rarely do this. According to these  officials, Consular Affairs does not have direct control over the filling of all  consular positions and can often face resistance from regional bureaus  and chiefs of mission overseas who do not want vacancies at their posts.  Thus, as we have previously reported, certain high-priority positions may  not be filled if Foreign Service officers do not bid on them.
In commenting on a draft of our September 2005 report, State disagreed  with our recommendation that it prepare a comprehensive plan to address  vulnerabilities in consular staffing. State argued that it already had such a  plan. Moreover, State claimed that it appreciates that priority positions  must be filled worldwide based on the relative strategic importance of  posts and positions. While State argued that every visa consular officer is  serving a strategic function, the department identified one post, Embassy  Baghdad, as a clear example of a priority post. Further, State  acknowledged that it has fewer midlevel consular officers than it needs.
We continue to believe it is incumbent on the department to conduct a  worldwide analysis to identify high-priority posts and positions, such as  supervisory consular positions in posts with high-risk applicant pools or  those with high workloads and long wait times for applicant interviews.  Although State noted that it anticipated addressing this shortage of  midlevel consular officers, it did not indicate when that gap would be  filled.
On January 18, 2006, the Secretary of State announced the department’s  plan to restructure overseas and domestic staffing. This plan aims to shift  U.S. diplomatic personnel from European posts and headquarters offices  to posts in Africa, South Asia, the Middle East, and elsewhere. While we  have not conducted a comprehensive review of this initiative, only  midlevel political, economic, and public diplomacy officers, and not  consular officers, would comprise the initial realignment of 100 positions,  according to State officials.
In February 2006, consular officials told us that, since our report, they  concluded a review of consular position grades to ensure that they reflect  the work requirements for each consular position. Based on this analysis,  consular officials recommended that 47 positions be upgraded—from an  entry- to midlevel position, for example—to reconcile the management  structures of posts that have undergone rapid growth. However, State’s  bidding and assignment process does not guarantee that the positions of  highest priority will always be filled with qualified officers. Therefore, a  further assessment is needed to ensure that State has determined its  staffing requirements and placed the right people in the right posts with  the necessary skill levels.
section_title: Conclusions
paragraphs: The visa process presents a balance between facilitating legitimate travel  and identifying those who might harm the United States. State, in  coordination with other agencies, has made substantial improvements to  the visa process to strengthen it as a national security tool. However, given  the large responsibility placed on consular officers, particularly entry-level  officers, it is critical to provide consular posts with the resources  necessary for them to be effective. Indeed, extensive delays for visa  interview appointments point to the need for State to perform a rigorous  assessment of staffing requirements to achieve its goal of having the right  people with the right skills in the right places.
Mr. Chairman, this concludes my prepared statement. I will be happy to  answer any questions you or Members of the Committee may have.
section_title: Contact and Staff Acknowledgments
paragraphs: For questions regarding this testimony, please call Jess T. Ford,   (202) 512-4128 or fordj@gao.gov. Individuals making key contributions to  this statement include John Brummet, Assistant Director, and Kathryn  Bernet, Eugene Beye, Joseph Carney, and Jane Kim.
section_title: Appendix I: Related GAO Products
paragraphs: Border Security: Strengthened Visa Process Would Benefit From  Improvements in Staffing and Information Sharing. GAO-05-859.  September 13, 2005.
Border Security: Actions Needed to Strengthen Management of  Department of Homeland Security’s Visa Security Program. GAO-05-801.  July 29, 2005.
Border Security: Streamlined Visas Mantis Program Has Lowered  Burden on Foreign Science Students and Scholars, but Further  Refinements Needed. GAO-05-198. February 18, 2005.
Border Security: State Department Rollout of Biometric Visas on  Schedule, but Guidance Is Lagging. GAO-04-1001. September 9, 2004.
Border Security: Additional Actions Needed to Eliminate Weaknesses in  the Visa Revocation Process. GAO-04-795. July 13, 2004.
Visa Operations at U.S. Posts in Canada. GAO-04-708R. May 18, 2004.
Border Security: Improvements Needed to Reduce Time Taken to  Adjudicate Visas for Science Students and Scholars. GAO-04-371.  February 25, 2004.
State Department: Targets for Hiring, Filling Vacancies Overseas Being  Met but Gaps Remain in Hard-to-Learn Languages. GAO-04-139.  November 19, 2003.
Border Security: New Policies and Procedures Are Needed to Fill Gaps in  the Visa Revocation Process. GAO-03-798. June 18, 2003.
Border Security: Implications of Eliminating the Visa Waiver Program.  GAO-03-38. November 22, 2002.
Technology Assessment: Using Biometrics for Border Security. GAO-03- 174. November 15, 2002.
Border Security: Visa Process Should Be Strengthened as an  Antiterrorism Tool. GAO-03-132NI. October 21, 2002.
State Department: Staffing Shortfalls and Ineffective Assignment System  Compromise Diplomatic Readiness at Hardship Posts. GAO-02-626.   June 18, 2002.
State Department: Tourist Visa Processing Backlogs Persist and U.S.  Consulates. GAO/NSIAD-98-69. March 13, 1998.
State Department: Backlogs of Tourist Visas at U.S. Consulates.  GAO/NSIAD-92-185. April 30, 1992.
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