Process for Admitting Additional Countries into the Visa Waiver Program
Gao ID: GAO-06-835R July 28, 2006The Visa Waiver Program enables citizens of 27 participating countries to travel to the United States for tourism or business for 90 days or less without first obtaining a visa. The program was created to promote the effective use of government resources and to facilitate international travel without jeopardizing U.S. national security. Indeed, in fiscal year 2004, more than 15 million travelers entered the United States under this program. The United States last expanded the Visa Waiver Program's membership in 1999 with the addition of Portugal, Singapore, and Uruguay; in recent years, other countries have expressed a desire to become members. In addition, Members of Congress have recently introduced bills calling for the expansion of the program. In February 2005, President Bush announced that the Departments of Homeland Security (DHS) and State (State) would develop a strategy, or "Road Map Initiative," to clarify to prospective candidates the statutory requirements for designation as a participating country--and work with countries to help them comply with these requirements. In response to a Congressional request, this report describes (1) the process for gaining admission into the Visa Waiver Program and (2) the U.S. government's plans for admitting additional countries into the program. To examine the criteria for expanding the Visa Waiver Program, we reviewed laws establishing the program, agency protocols governing the program, and DHS's Office of Inspector General reports. In addition, we reviewed relevant documentation and interviewed DHS and Consular Affairs Bureau officials in Washington, D.C., to determine the status of the President's initiative.
DHS is drafting procedures to help guide the process by which additional countries are admitted into the Visa Waiver Program. Until these procedures are finalized, DHS and State have an interim process. Specifically, under this interim process, the Secretary of Homeland Security, in consultation with the Secretary of State, may designate any country as being a member of the Visa Wavier Program if that country qualifies under the program's statutory requirements. First, State advises DHS of its intent to nominate a country for inclusion in the program only after State has determined that the country meets key criteria for visa waiver designation. Then, according to DHS, the departments may agree to engage in a pre-nomination consultation process to ensure that all parties are in agreement before State submits its formal nomination. After receiving State's formal nomination, DHS, through an interagency working group, evaluates the effect that the country's designation would have on the law enforcement, security, and immigration interests of the United States. On the basis of the review, the interagency working group submits a recommendation to the Secretary of Homeland Security, who, in consultation with the Secretary of State, decides whether to admit the country into the program. Separately, on May 1 of each year, State must report, to Congress, those countries that are under consideration for inclusion in the Visa Waiver Program. The U.S. government has taken steps to assist countries seeking membership in the Visa Waiver Program. In February 2005, President Bush announced that the United States would develop bilateral strategies with 13 "Road Map" countries that are seeking admission into the Visa Waiver Program. In particular, DHS and State are working with these countries to make sure they understand the program's statutory requirements, and to agree on steps to help these countries meet the criteria. In 2005, State tasked U.S. embassies in aspiring countries to form working groups with the host governments to discuss the Road Map process. According to DHS, these groups met to develop plans that specify the actions that each country may need to take to be considered for program membership. For example, several countries agreed to launch public affairs campaigns to inform their citizens about the program's requirements. The plans also include actions that the embassies have agreed to take, such as providing technical assistance on statutory requirements. To further clarify the initiative's objectives, in May 2006, DHS and State jointly issued a series of cables to posts in Road Map countries with guidance on the types of issues that should be discussed in the bilateral working groups. As of June 2006, DHS and State have approved frameworks, (or road maps) for seven countries: Poland, Czech Republic, Hungary, Estonia, Latvia, Lithuania, and South Korea. However, according to DHS and State's Consular Affairs Bureau, it is unlikely that many of the new countries will meet the statutory requirements for designation to the program in the near future. State did not submit a report to Congress on May 1, 2006, indicating that it was considering new members, and Consular Affairs Bureau officials stated that they are not actively considering expanding program membership or nominating specific countries for possible visa waiver designation.
GAO-06-835R, Process for Admitting Additional Countries into the Visa Waiver Program
This is the accessible text file for GAO report number GAO-06-835R
entitled 'Process for Admitting Additional Countries into the Visa
Waiver Program' which was released on September 5, 2006.
This text file was formatted by the U.S. Government Accountability
Office (GAO) to be accessible to users with visual impairments, as part
of a longer term project to improve GAO products' accessibility. Every
attempt has been made to maintain the structural and data integrity of
the original printed product. Accessibility features, such as text
descriptions of tables, consecutively numbered footnotes placed at the
end of the file, and the text of agency comment letters, are provided
but may not exactly duplicate the presentation or format of the printed
version. The portable document format (PDF) file is an exact electronic
replica of the printed version. We welcome your feedback. Please E-mail
your comments regarding the contents or accessibility features of this
document to Webmaster@gao.gov.
This is a work of the U.S. government and is not subject to copyright
protection in the United States. It may be reproduced and distributed
in its entirety without further permission from GAO. Because this work
may contain copyrighted images or other material, permission from the
copyright holder may be necessary if you wish to reproduce this
material separately.
July 28, 2006:
The Honorable Jim Sensenbrenner, Jr.
Chairman:
Committee on the Judiciary:
House of Representatives:
Subject: Process for Admitting Additional Countries into the Visa
Waiver Program:
Dear Mr. Chairman:
The Visa Waiver Program enables citizens of 27 participating countries
to travel to the United States for tourism or business for 90 days or
less without first obtaining a visa.[Footnote 1] The program was
created to promote the effective use of government resources and to
facilitate international travel without jeopardizing U.S. national
security. Indeed, in fiscal year 2004, more than 15 million travelers
entered the United States under this program. The United States last
expanded the Visa Waiver Program's membership in 1999 with the addition
of Portugal, Singapore, and Uruguay;[Footnote 2] in recent years, other
countries have expressed a desire to become members. In addition,
Members of Congress have recently introduced bills calling for the
expansion of the program. In February 2005, President Bush announced
that the Departments of Homeland Security (DHS) and State (State) would
develop a strategy, or "Road Map Initiative," to clarify to prospective
candidates the statutory requirements for designation as a
participating country--and work with countries to help them comply with
these requirements.
In response to your request, this report describes (1) the process for
gaining admission into the Visa Waiver Program and (2) the U.S.
government's plans for admitting additional countries into the
program.[Footnote 3] To examine the criteria for expanding the Visa
Waiver Program, we reviewed laws establishing the program, agency
protocols governing the program, and DHS's Office of Inspector General
reports. In addition, we reviewed relevant documentation and
interviewed DHS and Consular Affairs Bureau officials in Washington,
D.C., to determine the status of the President's initiative. To
describe U.S. plans for expanding the program, we visited the U.S.
embassies in the Republic of Korea and Poland--countries that are
actively seeking to become program members--and spoke with ambassadors,
as well as political, law enforcement, consular, and public diplomacy
officers about their role in this process. We also reviewed public
statements about the program made by the President and U.S. ambassadors
to aspiring countries. We conducted our work from September 2005
through June 2006 in accordance with generally accepted government
auditing standards.
Results in Brief:
DHS is drafting procedures to help guide the process by which
additional countries are admitted into the Visa Waiver Program. Until
these procedures are finalized, DHS and State have an interim
process.[Footnote 4] Specifically, under this interim process, the
Secretary of Homeland Security, in consultation with the Secretary of
State, may designate any country as being a member of the Visa Wavier
Program if that country qualifies under the program's statutory
requirements. First, State advises DHS of its intent to nominate a
country for inclusion in the program only after State has determined
that the country meets key criteria for visa waiver designation. Then,
according to DHS, the departments may agree to engage in a pre-
nomination consultation process to ensure that all parties are in
agreement before State submits its formal nomination. After receiving
State's formal nomination, DHS, through an interagency working group,
evaluates the effect that the country's designation would have on the
law enforcement, security, and immigration interests of the United
States. On the basis of the review, the interagency working group
submits a recommendation to the Secretary of Homeland Security, who, in
consultation with the Secretary of State, decides whether to admit the
country into the program. Separately, on May 1 of each year, State must
report, to Congress, those countries that are under consideration for
inclusion in the Visa Waiver Program.
The U.S. government has taken steps to assist countries seeking
membership in the Visa Waiver Program. In February 2005, President Bush
announced that the United States would develop bilateral strategies
with 13 "Road Map" countries that are seeking admission into the Visa
Waiver Program. In particular, DHS and State are working with these
countries to make sure they understand the program's statutory
requirements, and to agree on steps to help these countries meet the
criteria. In 2005, State tasked U.S. embassies in aspiring countries to
form working groups with the host governments to discuss the Road Map
process. According to DHS, these groups met to develop plans that
specify the actions that each country may need to take to be considered
for program membership. For example, several countries agreed to launch
public affairs campaigns to inform their citizens about the program's
requirements. The plans also include actions that the embassies have
agreed to take, such as providing technical assistance on statutory
requirements. To further clarify the initiative's objectives, in May
2006, DHS and State jointly issued a series of cables to posts in Road
Map countries with guidance on the types of issues that should be
discussed in the bilateral working groups. As of June 2006, DHS and
State have approved frameworks, (or road maps) for seven countries:
Poland, Czech Republic, Hungary, Estonia, Latvia, Lithuania, and South
Korea. However, according to DHS and State's Consular Affairs Bureau,
it is unlikely that many of the new countries will meet the statutory
requirements for designation to the program in the near future. State
did not submit a report to Congress on May 1, 2006, indicating that it
was considering new members, and Consular Affairs Bureau officials
stated that they are not actively considering expanding program
membership or nominating specific countries for possible visa waiver
designation.
We received written comments from State and DHS, which we have
reprinted in enclosures I and II, respectively. State agreed with our
conclusions, stating that the report is a balanced description of the
process for admitting additional countries into the Visa Waiver
Program, as well as the U.S. government's Road Map initiatives. DHS
stated that the report's clear description of the Visa Waiver Program's
statutory requirements and the designation process will assist the
department's efforts to communicate these matters to the public and to
countries seeking to participate in the program. In addition, State and
DHS provided details about the interim procedures in place for
admitting additional countries into the program.
Background:
The Immigration Reform and Control Act of 1986[Footnote 5] created the
Visa Waiver Program as a pilot program. In October 2000, it became a
permanent program under the Visa Waiver Permanent Program Act.[Footnote
6] According to State's Consular Affairs Bureau, the program was
enacted to facilitate the legitimate travel of visitors for business or
tourism from countries whose citizens had demonstrated compliance with
U.S. immigration laws. In recent years, Members of Congress have
introduced legislation calling for the expansion of the program, for
policy reasons, to U.S. allies such as Poland and South Korea. However,
Congress did not pass any of these bills into law. More recently, in
May 2006, the U.S. Senate passed an immigration reform bill that
contained a provision that, among other things, allows for the
expansion of the program to countries that contribute substantially to
the wars in Afghanistan and Iraq.[Footnote 7]
Visa-free travel to the United States boosts international business and
tourism, as well as airline revenues, and creates substantial economic
benefits to the United States. Moreover, the program allows State to
allocate resources to visa-issuing posts in countries with higher-risk
applicant pools. According to the Immigration Reform and Control Act, a
country's participation in the program should not have an adverse
effect on U.S. law enforcement and security interests. The program
applies only to temporary visitors from participating countries
traveling to the United States for business or tourism for 90 days or
less, while persons traveling to the United States for other purposes-
-for example, to study or to work--are required to have a visa.
In 2002, we reported on the legislative requirements to which countries
must adhere before they may be considered for inclusion in the Visa
Waiver Program.[Footnote 8] In general, they include the following:
* A low nonimmigrant visa refusal rate. To qualify for visa waiver
status, a country must maintain a refusal rate of less than 3 percent
for its citizens who apply for temporary business and tourism
visas.[Footnote 9]
* A machine-readable passport program. The country must certify that it
issues machine-readable passports to its citizens. As of June 26, 2005,
all travelers are required to have a machine-readable passport to enter
the United States under the program.
* Reciprocity. The country must offer visa-free travel for U.S.
citizens.
Persons seeking to travel to the United States under the Visa Waiver
Program must:
* have a valid passport issued by the participating country and be a
national of that country;
* be seeking entry for 90 days or less for business or tourism;
* have their identity checked at the U.S. port of entry against an
automated electronic database containing information about the
inadmissibility of aliens;
* have been determined by DHS border inspectors at the U.S. port of
entry to represent no threat to the welfare, health, safety, or
security of the United States;
* have complied with conditions of any previous admission under the
program (for example, stayed in the United States for 90 days or less);
* if entering by air or sea, possess a round-trip transportation ticket
issued by a carrier that has signed an agreement with the U.S.
government to participate in the program and must have arrived in the
United States aboard such a carrier; and:
* if entering by land, have proof of financial solvency and a domicile
abroad to which he or she intends to return.
Following the attacks of September 11, 2001, Congress passed additional
laws to strengthen border security policies and procedures, and DHS, in
consultation with State, instituted additional policy measures, some of
which affect a country's participation in the Visa Waiver Program. For
example, all passports issued after October 26, 2005, must contain a
digital photograph in the document for travel to the United States
under the program. Further, passports issued after October 26, 2006,
must be electronic (e-passports).[Footnote 10] Travelers with passports
that do not meet these requirements are required to obtain a visa from
a U.S. embassy or consulate overseas before entering the United States.
In addition, the May 2002 Enhanced Border Security and Visa Entry
Reform Act[Footnote 11] established that participation in the Visa
Waiver Program was conditional on a country's timely reporting of the
theft of its stolen blank passports to the United States.
On November 25, 2002, Congress passed the Homeland Security Act of
2002, which established DHS and gave it responsibility for visa policy,
including the Visa Waiver Program.[Footnote 12] Prior to this date, the
Department of Justice (Justice) had overall responsibility for managing
the program. In July 2004, DHS created the Visa Waiver Program
Oversight Unit within the Office of International Enforcement and
directed that unit to manage the oversight of participating Visa Waiver
Program countries, as well as the process for assessing the law
enforcement and security implications of expanding the program's
membership. To help fulfill its responsibilities, DHS established an
interagency working group comprised of representatives from State,
Justice, and several DHS component agencies and offices, including
Customs and Border Protection and Immigration and Customs Enforcement.
Process for Admitting Additional Countries into the Visa Waiver
Program:
DHS is drafting procedures to help guide the process by which
additional countries are admitted into the Visa Waiver Program. Until
these procedures are finalized, DHS and State have an interim process.
Under this process, the Secretary of Homeland Security, in consultation
with the Secretary of State, can expand the membership of the Visa
Waiver Program, assuming that a country meets certain requirements.
First, State advises DHS of its intent to nominate a country for
inclusion in the program. According to State, it may nominate a country
only after it has determined that the country meets key criteria for
visa waiver designation, including a low nonimmigrant refusal rate and
reciprocal visa-free travel for U.S. citizens. Subsequently, State may
also provide DHS with information on the nominated country, including:
* patterns of passport fraud, visa fraud, and visa abuse over the past
5 years;
* assessments of terrorism, by the country's nationals, within or
outside the country; and:
* evaluations of the impact of the country's participation on U.S.
national security and law enforcement.
After State notifies DHS of its intent to nominate a country for
inclusion in the program, the departments, according to DHS, may then
agree to engage in a pre-nomination consultation process to ensure that
all parties agree that there is a likelihood that U.S. law enforcement
and security interests would not be compromised by the designation of
that country, and that the country otherwise meets the program's
statutory requirements. If no clearly disqualifying objections are
raised during this review, the Secretary of State submits a formal
written nomination to the Secretary of Homeland Security. After a
country's formal nomination, DHS leads an interagency team to visit the
nominated country. The team reviews the country's:
* political, social, and economic conditions;
* security over its passport and national identity documents;
* border controls; and:
* immigration and nationality laws, law enforcement policies and
practices, and other matters relevant to law enforcement, immigration,
and national security.
On the basis of the review and site visit, the interagency working
group submits a recommendation to the Secretary of Homeland Security,
who, in consultation with the Secretary of State, decides whether to
admit the country to the program.
Separate from this review process, on May 1 of each year,[Footnote 13]
for each country under consideration for inclusion in the Visa Waiver
Program, the Secretary of State must report to appropriate
congressional committees on:
* the total number of nationals of that country who applied for U.S.
visas in that country during the previous calendar year;
* the total number of such nationals who received U.S. visas during the
previous calendar year;
* the total number of such nationals who were refused U.S. visas during
the previous calendar year, and, specifically, under which provision of
the Immigration and Nationality Act they were refused; and:
* the number of such nationals that were refused visas under section
214(b)[Footnote 14] of the Immigration and Nationality Act as a
percentage of the visas that were issued to such nationals.
U.S. Plans for Expanding Membership in the Visa Waiver Program:
In February 2005, President Bush announced that the United States would
work with governments in countries that are seeking admission into the
Visa Waiver Program--an effort called the "Road Map Initiative"--to
help them become program members (see fig. 1 for a map of the Road Map
countries). DHS and State officials, as well as the President and other
senior U.S. officials, have stated that this initiative aims to clarify
the program's statutory requirements to prospective candidates.
Moreover, these officials have stated that the United States will work
with the Road Map countries to help develop strategies to meet these
requirements. In particular, in May 2006, the Assistant Secretary of
State for East Asian and Pacific Affairs stated that the admission of
South Korea into the program is one of his goals. According to DHS,
some of the countries seeking admission to the program are U.S.
partners in the war in Iraq and have high expectations that they will
join the program due to their close economic, political, and military
ties to the United States. Nevertheless, all aspiring countries must
first meet the program's statutory criteria for membership.
Figure 1: Road Map Countries:
[See PDF for Image]
Source GAO MapArt.
[End of Figure]
In April 2005, State, in coordination with DHS, tasked the U.S.
embassies in each of the 13 aspiring Road Map countries to form
bilateral consular working groups to help these countries understand
and develop strategies to meet the program's statutory criteria.
Consular officials told us that law enforcement and security officials
participate in some of these meetings, depending on the agenda and
their availability. DHS representatives based in-country, or with
regional responsibility for a country, were asked to participate in the
consular working group meetings. For example, with funding from State,
an Immigration and Customs Enforcement official in Vienna, Austria,
participated in the Hungarian working group. Throughout 2005, the
working groups discussed the actions that the individual countries
would take, with U.S. assistance, to meet the Visa Waiver Program
requirements. For example, the plans cover issues related to meeting
biometric and other technical and security criteria; reporting lost and
stolen passport information; and public affairs campaigns regarding the
implications of violating the terms of visas. According to DHS, some
working groups have developed a formal document that outlines future
plans, while others have preferred a less formal approach that does not
include development of a formal document. As of June 2006, DHS and
State had approved the plans for seven countries: Poland, Czech
Republic, Hungary, Estonia, Latvia, Lithuania, and South Korea.
To further clarify the initiative's objectives, in May 2006, DHS and
State jointly issued a series of cables to posts in Road Map countries
containing guidance on the types of issues that should be discussed in
the bilateral working groups, and issues that should be reported back
to DHS and State headquarters. Each cable focused on a particular area
for discussion, including individual countries':
* passport and identification documents;
* criteria for citizenship; and:
* reporting of lost and stolen passport data.
According to State and DHS, discussion on these subjects will be a
valuable tool for identifying and acting on areas of possible concern.
Moreover, DHS stated that the working groups will be critical in
developing serious and meaningful activities for each country, which
are based on the statutory requirements that must be met.
Despite the President's and other officials' stated desire to help Road
Map countries gain program membership, and despite ongoing efforts to
provide such assistance, according to State and DHS, it is unlikely
that many of the new countries will meet the statutory requirements for
designation to the Visa Waiver Program in the near future. For example,
the visa refusal rates in many of the Road Map countries are more than
20 percent, according to consular officials. In addition, State and DHS
have cited law enforcement and security concerns regarding some of
these countries, including immigration and border control issues, alien
smuggling, and a high degree of passport fraud. Consular officials
stated that they are working actively with the governments in the Road
Map countries to clarify the program's statutory requirements. However,
State did not submit a report to Congress on May 1, 2006, indicating
that it was considering new members, and Consular Affairs Bureau
officials stated that they are not actively considering expanding
program membership before next year's May 1, 2007, report deadline.
Conclusions:
Many countries are actively seeking admission into the Visa Waiver
Program, and the President has announced his support for the program's
expansion. Moreover, the President and other senior U.S. officials have
stated publicly their goal to add countries to the program. However,
legislation requires that aspiring countries meet certain criteria
before the Secretaries of State and Homeland Security may consider them
for membership. Several countries have already committed to improving
in areas that are vital to attaining this status, and which would also
benefit all countries worldwide, such as border security and passport
issuance processes, and DHS and State are assisting these countries in
meeting these requirements through the consular working groups.
However, it does not appear there will be any expansion of the Visa
Waiver Program in the short term, because despite ongoing progress,
these countries will still fall short of the program's statutory
requirements.
Agency Comments and Our Evaluation:
State and DHS provided written comments on a draft of this report (see
enclosures I and II).
State agreed with our conclusions, stating that the report is a
balanced description of the process for admitting additional countries
into the Visa Waiver Program, as well as the U.S. government's Road Map
initiatives. In addition, State provided further detail about the
department's role in the nomination process for countries seeking
admission into the program. In particular, State noted that it notifies
DHS of its intent to nominate a country only after consideration of key
criteria--visa refusal rate, status of biometric passport
implementation, lost and stolen passport reporting, and reciprocal visa-
free travel for U.S. citizens--while DHS is responsible for evaluating
the impact a country's participation would have on U.S. law enforcement
and security interests. We have reflected this point in the report.
State also said that the department has not ruled out the possibility
of nominating new countries into the Visa Waiver Program in a May 1,
2007 report to Congress. Lastly, State noted that the consular working
groups' discussions with Road Map countries provide a useful basis for
continuing to encourage countries to pursue immigration, law
enforcement, and security policies, which, apart from the Visa Waiver
Program, are in their own and U.S. interests. State also provided
technical comments, which we incorporated into the report, as
appropriate.
DHS stated that the report's clear description of the Visa Waiver
Program's statutory requirements and the designation process will
assist the department's efforts to communicate these matters to the
public and to countries seeking to participate in the program. DHS also
provided details about the interim procedures in place for admitting
additional countries into the program, which we have reflected in the
report. In addition, DHS noted that while an interagency working group
was convened in the past to evaluate the effect that a country's
designation would have on the law enforcement, security, and
immigration interests of the United States, such a group may or may not
be utilized in future evaluations of prospective countries. DHS also
provided technical comments on a draft of this report, which we have
incorporated, as appropriate.
As agreed with your office, 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 provide copies of this
report to the Secretaries of Homeland Security and State, and will make
copies available to others upon request. In addition, this report will
be available at no charge on the GAO Web site at [Hyperlink,
http://www.gao.gov].
If you or your staff have any questions about this report, please
contact me at (202) 512-4128 or fordj@gao.gov. The key contributors to
this report were John Brummet, Assistant Director; Kathryn Bernet,
Joseph Brown, Joseph Carney, Jane Kim, and Mary Moutsos.
Signed by:
Jess T. Ford:
Director, International Affairs and Trade:
Enclosures - 2:
[End of Section]
Enclosure I: Comments from the Department of State:
United States Department of State:
Assistant Secretary for Resource Management and Chief Financial
Officer:
Washington, D.C. 20520:
Ms. Jacquelyn Williams-Bridgers:
Managing Director:
International Affairs and Trade:
Government Accountability Office:
441 G Street, N. W.
Washington, D.C. 20548-0001:
Jul 7 2006:
Dear Ms. Williams-Bridgers:
We appreciate the opportunity to review your draft report, "Border
Security: Process for Admitting Additional Countries into the Visa
Waiver Program," GAO Job Code 320435.
The enclosed Department of State comments are provided for
incorporation with this letter as an appendix to the final report.
If you have any questions concerning this response, please contact
Diane Bean, Senior Advisor, Bureau of Consular Affairs, at (202) 663-
1155.
Sincerely,
Signed by:
Bradford R. Higgins:
cc: GAO - Jess Ford:
CA - Maura Harty:
State/OIG - Mark Duda:
Department of State Comments on GAO Draft Report Border Security:
Process for Admitting Additional Countries into the Visa Waiver Program
(GAO-06-835R, Job Code 320435):
Thank you for the opportunity to respond to GAO's draft correspondence
to the House of Representatives Judiciary Committee regarding the
report Process for Admitting Additional Countries into the Visa Waiver
Program. The Department appreciates the report's balanced description
of the roadmap initiatives and the process for considering designation
of additional countries to the Visa Waiver Program (VWP).
The Department agrees with the report's conclusion that "visa free
travel to the United States boosts international business and tourism,
as well as airline revenues, and creates substantial economic benefits
to the United States. " Moreover, because of the requirement of
reciprocal treatment of U.S. citizen travelers by VWP countries, the
VWP benefits American tourists and businesspeople as well. The
Department recognizes that a major reason for the Program's success
lies in the strict standards for participation. We support Congress'
design of the VWP to be politically neutral and based upon measurable
objective criteria --generally, that the nationals of the country in
question have demonstrated their willingness to comply with U.S.
immigration and other laws, that the countries have secure travel
documents and exercise a high standard of border and other security and
that Americans are treated fairly and reciprocally. We welcome the
GAO's examination of the admission process as a vehicle to strengthen
the VWP even more. We have the following few comments to add to this
comprehensive report:
In addition to the report's identification of the purposes of the
roadmap process (clarifying statutory requirements and helping
countries to comply with them), the consular working group discussions
with roadmap countries also provide a useful basis for continuing to
encourage countries to pursue policies which, apart from VWP
designation, are in their own and U.S. interests. Development of
secure, biometric travel documents, reporting on lost and stolen
passports and working together to address the global threats of
terrorism, crime, alien smuggling and document fraud are worthy goals
independent of, but reinforced by, discussions on VWP criteria.
With regard to the report's description of the process for nomination
of additional countries, it is important to clarify that State's
notification to DHS of its intent to nominate a country is only made
after consideration of key criteria, as opposed to a "determination
that the VWP statutory requirements have been met." By law, DHS has the
lead role in one of the key VWP criteria, the evaluation of the impact
on U.S. law enforcement and security interests; State does not make
that determination and certainly would not be in a position to provide
its final views on such a determination prior to the review process
initiated by DHS.
The State Department's understanding of the interim nomination process
is slightly more involved than described in the report. It is our
understanding that the process begins with State's identification of
countries that have met the clearly identified VWP statutory criteria
(refusal rate, biometric passport, lost and stolen passport reporting,
and reciprocal visa-free travel), which is then followed by informal
DHS/State discussions on other possible issues requiring careful review
before any formal nomination decision. Only after these issues are
understood would State take the next step of notification of intent to
nominate a country for inclusion in the program.
The State Department would then provide a full spectrum of country-
specific information to DHS, consisting of more items, based on our
understanding, than included in the list in the report. For example,
State would also provide preliminary information on the country's
passports and the integrity of its documents and production/
distribution systems; naturalization, citizenship, residency and visa
laws and policies; border security and immigration-related situation;
existence of terrorism, crime and other global threats and the
country's efforts to address such concerns; and cooperation with the
U.S. and other international partners on such issues.
Next, as part of DHS' evaluation of the nomination, the interagency
working group would conduct a site visit and solicit additional
materials on the country's policies and procedures with regard to the
factors noted above and any other areas that appeared relevant at the
time of the review. Finally, as stated in the report, the interagency
working group would submit a recommendation to the Secretary of
Homeland Security, who, in consultation with the Secretary of State,
would decide whether to admit the country to the program.
Finally, while it is true that the State Department did not submit a
report to Congress on May 1, 2006, indicating that the Department is
considering nominating new members, and we are not at this time
preparing such a report for 2007, the Department would emphasize that
we are working diligently with the roadmap countries and are committed
to assisting them to meet the VAT criteria as soon as possible. We do
not rule out the possibility that a roadmap country could be ready for
nomination by May 1, 2007.
Thank you for the opportunity to contribute our views to this report.
[End of Section]
Enclosure II: Comments from the Department of Homeland Security:
U.S. Department of Homeland Security:
Washington, DC 20528:
July 12, 2006:
Mr. Jess T. Ford:
Director, International Affairs and Trade:
Government Accountability Office:
441 G Street NW:
Washington, DC 20548:
Dear Mr. Ford:
Thank you for the opportunity to comment on GAO-06-835R Process for
Admitting Additional Countries into the Visa Waiver Program. The
Department of Homeland Security (DHS) welcomes this evaluation of the
important process for designating countries that meet the statutory
requirements to participate in the Visa Waiver Program (VWP). The clear
description of the statutory requirements and the designation process
in the draft report itself will assist our efforts to communicate these
to the public domestically and overseas and to countries seeking
designation. Our following brief comments will improve the description
of the interim procedures in place at this time so that the draft
report provides a more accurate picture of the process.
1. The pre-nomination process needs clarification. GAO correctly states
on page 2 in the forth sentence under Results in Brief, that "First,
State advises DHS of its intent to nominate a country for inclusion in
the program only after State has determined that the country meets the
statutory requirements for visa waiver program designation." After that
sentence, the draft report should explain that after this notice of
intent is delivered, the Departments may agree to engage in a pre-
nomination process, including consultations, to ensure there is
agreement by DHS and others that the country at issue is qualified.
After this pre-nomination consultation process is concluded, State will
deliver a formal nomination which will trigger the statutory
evaluation.
2. While an interagency working group conducted the 2004 periodic
country evaluations, it was put in place before OIE was created in July
2004 to institutionalize coordination and oversight of VWP compliance
activities. Such an interagency working group may or may not be
utilized in future evaluations of prospective countries since it is not
required and its use will depend on the issues and information to be
evaluated. On page 2, in the fifth sentence in the first paragraph
under Results in Brief, however, the draft report presumes that an
interagency working group will be convened after DHS receives State's
notification of its intent to nominate a country to the VWP and that
the interagency working group will perform the evaluation. Again, use
of an interagency working group is not a given in the formal evaluation
of US security, law enforcement and immigration interests and it would
certainly not be utilized during initial, pre-nomination consultations
with State unless such a tool was deemed necessary to resolve the
evaluation of specific complex issues. That sentence should be deleted
and replaced by the following two sentences to read: "After pre-
nomination consultations, State may forward a formal nomination if
there is agreement by DHS that there is a likelihood that US security,
law enforcement and immigration interests will not be compromised by
the country's designation and that the country otherwise meets the
statutory requirements. After receiving a formal nomination from State,
DHS evaluates the effect that a country's VWP designation would have on
US security, law enforcement and immigration interest, an evaluation
that includes consultations with State."
3. At page 3, second paragraph under Background, to be consistent, the
third sentence should read ".adverse effect on U.S. security, law
enforcement and immigration interests."
4. The last sentence of the final paragraph under Background should be
revised as follows to reflect the information contained in the other
GAO draft report on the VWP, "Stronger Actions Needed to Assess and
Mitigate Risks of the Visa Waiver Program." "The 2004 country review
process had been initiated in April 2004 by the former Border and
Transportation Security (BTS) Office of Policy which had convened an
interagency working group comprised of representatives from the
Department of State (State), Justice, and several DHS components and
offices, including Customs and Border Protection and Immigration and
Customs Enforcement, to participate in the country review process that
year." Again, an interagency working group is not required and may or
may not be utilized in future evaluations of prospective countries
depending on the issues and information to be evaluated and the need
for more expertise and/or extensive consultations.
5. The first full paragraph on page 5 (second full paragraph under
Process for Admitting Additional Countries into the Visa Waiver
Program) is confusing as written and needs clarification. There is no
pre-nomination evaluation of US security, law enforcement and
immigration interests. This paragraph should be revised as follows:
"After receiving a notification of intent to nominate from State, DHS
and State may agree to engage in a pre-nomination consultation process
to ensure there is agreement by DHS that there is a likelihood that US
security, law enforcement and immigration interests will not
compromised by the country's designation and that the country otherwise
meets the statutory requirements. If no clearly disqualifying
objections are raised during these consultations, the Secretary of
State submits a formal written nomination to the Secretary of Homeland
Security. After a country's nomination, DHS will conduct a formal
comprehensive country review of US security, law enforcement and
immigration interests which will include leading an interagency site
visit team to visit the nominated country."
Thank you again for the opportunity to review and provide comments to
the draft report. We look forward to working collaboratively with you
to improve this important program.
Sincerely,
Signed by:
Steven J. Pecinovsky:
Director Departmental GAO/IG Liaison Office:
[End of Section]
(320435):
FOOTNOTES
[1] The United States also issues visas to those who intend to
immigrate to the United States. In this report, we use the term "visa"
to refer to nonimmigrant visas only. According to the Department of
State, the Visa Waiver Program is a substitute entry mechanism for
nonimmigrant, short term, business, and tourism visas only; it does not
apply to students, temporary workers, and others who require visas to
enter the United States.
[2] In 2003, the Attorney General removed Uruguay from the Visa Waiver
Program, stating that Uruguay's participation in the program was
inconsistent with U.S. interests. According to a 2002 Federal Register
notice on the subject, Uruguayan nationals were, on average, two to
three times more likely than all nonimmigrants to have been denied
admission at the border. Uruguayan air arrivals had an apparent
overstay rate more than twice that of the average apparent overstay
rate for all nonimmigrant air arrivals. In addition, Argentina was
removed from the program in 2002, following an economic crisis in that
country and an increase in the number of Argentinean nationals
attempting to use the Visa Waiver Program to live and work illegally in
the United States.
[3] See also GAO, Border Security: Stronger Actions Needed to Assess
and Mitigate Risks of the Visa Waiver Program, GAO-06-854 (Washington,
D.C.: July 28, 2006).
[4] Prior to 2002, Justice and State, through an interagency working
group, had established a draft protocol based on the statutory criteria
that detailed the procedures that the agencies must follow in
nominating a country for membership in the program. According to DHS
and State, the draft protocol was not finalized. However, Justice has
used it to assess some countries' eligibility.
[5] P.L. 99-603.
[6] P.L. 106-396.
[7] As of June 16, 2006, the Comprehensive Immigration Reform Act of
2006, S. 2611, 109TH Cong. Sec 413 (2006), will next be sent to a joint
conference committee of both House and Senate conferees.
[8] GAO, Border Security: Implications of Eliminating the Visa Waiver
Program, GAO-03-38 (Washington, D.C.: Nov. 22, 2002).
[9] The refusal rate refers only to the temporary business and tourism
visa applications that are denied as a percentage of the total
temporary business and tourism visa applications for nationals of that
country.
[10] In general, e-passports will contain a chip, which will be
embedded in the passport. The chip will store the same information that
is printed in the data page of the passport: the name, date of birth,
gender, place of birth, dates of passport issuance and expiration,
place of issuance, passport number, and photo image of the bearer. In
addition, it will hold the unique chip identification number and a
digital signature to protect the stored data from alteration.
[11] The Enhanced Border Security and Visa Entry Reform Act of 2002,
P.L 107-173.
[12] P.L. 107-296.
[13] In addition, not later than May 1 of each year, the U.S. chief of
mission (acting or permanent) to each country under consideration for
inclusion in the Visa Waiver Program, must certify to the appropriate
congressional committees that the information described in the report
is accurate, and provide a copy of the certification to the
congressional committees.
[14] Section 214(b) of the 1952 Immigration and Nationality Act, as
amended (P.L. 82-414, 8 U.S.C. § 1101 et seq.), generally presumes that
aliens are immigrants until they establish to the satisfaction of the
consular officer at the time of application for a visa, and the border
inspector at the time of application for admission, that they are
entitled to nonimmigrant status. Pursuant to section 291, the burden of
proof is on the applicant. If an alien cannot establish that he or she
is entitled to nonimmigrant status, then the alien is considered to be
an applicant for immigrant status and is not eligible to receive a
nonimmigrant visa.
GAO's Mission:
The Government Accountability Office, the investigative arm of
Congress, exists to support Congress in meeting its constitutional
responsibilities and to help improve the performance and accountability
of the federal government for the American people. GAO examines the use
of public funds; evaluates federal programs and policies; and provides
analyses, recommendations, and other assistance to help Congress make
informed oversight, policy, and funding decisions. GAO's commitment to
good government is reflected in its core values of accountability,
integrity, and reliability.
Obtaining Copies of GAO Reports and Testimony:
The fastest and easiest way to obtain copies of GAO documents at no
cost is through the Internet. GAO's Web site ( www.gao.gov ) contains
abstracts and full-text files of current reports and testimony and an
expanding archive of older products. The Web site features a search
engine to help you locate documents using key words and phrases. You
can print these documents in their entirety, including charts and other
graphics.
Each day, GAO issues a list of newly released reports, testimony, and
correspondence. GAO posts this list, known as "Today's Reports," on its
Web site daily. The list contains links to the full-text document
files. To have GAO e-mail this list to you every afternoon, go to
www.gao.gov and select "Subscribe to e-mail alerts" under the "Order
GAO Products" heading.
Order by Mail or Phone:
The first copy of each printed report is free. Additional copies are $2
each. A check or money order should be made out to the Superintendent
of Documents. GAO also accepts VISA and Mastercard. Orders for 100 or
more copies mailed to a single address are discounted 25 percent.
Orders should be sent to:
U.S. Government Accountability Office
441 G Street NW, Room LM
Washington, D.C. 20548:
To order by Phone:
Voice: (202) 512-6000:
TDD: (202) 512-2537:
Fax: (202) 512-6061:
To Report Fraud, Waste, and Abuse in Federal Programs:
Contact:
Web site: www.gao.gov/fraudnet/fraudnet.htm
E-mail: fraudnet@gao.gov
Automated answering system: (800) 424-5454 or (202) 512-7470:
Public Affairs:
Jeff Nelligan, managing director,
NelliganJ@gao.gov
(202) 512-4800
U.S. Government Accountability Office,
441 G Street NW, Room 7149
Washington, D.C. 20548:
