Border Security
State Department Expects to Meet Projected Surge in Demand for Visas and Passports in Mexico
Gao ID: GAO-08-931T June 25, 2008
The U.S. Mission in Mexico is the Department of State's largest consular operation. In fiscal year 2007, it processed 1.5 million of the 8 million nonimmigrant visas (NIV) State handled worldwide. The U.S. Mission in Mexico also provided services, including passport processing and emergency assistance, to 20,000 American citizens in fiscal year 2007. This already significant consular workload is expected to increase dramatically in the coming years as millions of NIV Border Crossing Cards issued in Mexico between fiscal years 1998 and 2002 expire and need to be renewed. In addition, the implementation of new travel requirements under the Western Hemisphere Travel Initiative (WHTI) will, for the first time, require U.S. citizens to carry passports, or other approved documentation, when traveling between the United States and Mexico. This testimony addresses (1) State's estimates of the workload for consulates in Mexico through 2012 resulting from, in particular, new travel requirements and the reissue of Border Crossing Cards; and (2) the actions State has taken to ensure consulates in Mexico keep pace with projected workload increases through 2012. This testimony is based on work currently in process that involves analyzing State's workload forecasts and forecast methodology, interviewing State officials, and visiting five posts in Mexico. GAO discussed this testimony with State officials, who agreed with GAO's findings.
According to State forecasts, as of April 2008, the U.S. Mission in Mexico's (Mission Mexico) NIV demand will peak at slightly over 3 million applications in fiscal year 2011, about twice the number from fiscal year 2007. State acknowledges there are uncertainties regarding the number of Border Crossing Card holders who will renew their cards and the number of first time NIV applicants, which may affect the accuracy of its forecasts. State will be revising the forecasts on a periodic basis as new data become available. In addition to its increase in NIV workload, Mission Mexico will also be facing increases in its passport workload due to the implementation of WHTI. The exact magnitude of the increase in passport workload is more difficult to forecast than for NIVs, because there is not the same historical precedent. There is also a great deal of uncertainty as to how many U.S. citizens actually live in Mexico or the number of these citizens likely to apply for a passport. In anticipation of this surge in demand for NIVs and U.S. passports, State is taking steps to ensure consulates in Mexico keep pace, including adding consular interview windows to several high-demand posts and planning to hire about 100 temporary adjudicating officers. Consular officials GAO met with at several posts in Mexico generally agreed that these efforts to expand resources should be adequate for Mission Mexico to keep pace with expected workload increases, and GAO's analysis indicates the mission will generally have enough interviewing windows during the surge. Several posts will rely on the addition of temporary adjudicators to keep pace with increased NIV demand and would face backlogs if these slots cannot be filled or if the temporary staff are not as productive as expected. However, State is confident that it has an adequate pool of potential applicants. Mission Mexico may also gain additional capacity from a pilot program, currently under way at two posts, that outsources a portion of the NIV application process to off-site facilities; however, the pilot was implemented too recently to assess its potential impact on productivity, fraud, or security.
GAO-08-931T, Border Security: State Department Expects to Meet Projected Surge in Demand for Visas and Passports in Mexico
This is the accessible text file for GAO report number GAO-08-931T
entitled 'Border Security: State Department Expects to Meet Projected
Surge in Demand for Visas and Passports in Mexico' which was released
on June 25, 2008.
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.
Testimony:
Before the Subcommittee on Government Management, Organization and
Procurement, Committee on Oversight and Government Reform, House of
Representatives:
United States Government Accountability Office:
GAO:
For Release on Delivery:
Expected at 2:00 p.m. EDT:
Wednesday, June 25, 2008:
Border Security:
State Department Expects to Meet Projected Surge in Demand for Visas
and Passports in Mexico:
Statement of Jess T. Ford, Director:
International Affairs and Trade:
GAO-08-931T:
GAO Highlights:
Highlights of GAO-08-931T, a testimony before the Subcommittee on
Government Management, Organization, and Procurement, Committee on
Oversight and Government Reform, House of Representatives.
Why GAO Did This Study:
The U.S. Mission in Mexico is the Department of State‘s largest
consular operation. In fiscal year 2007, it processed 1.5 million of
the 8 million nonimmigrant visas (NIV) State handled worldwide. The
U.S. Mission in Mexico also provided services, including passport
processing and emergency assistance, to 20,000 American citizens in
fiscal year 2007. This already significant consular workload is
expected to increase dramatically in the coming years as millions of
NIV Border Crossing Cards issued in Mexico between fiscal years 1998
and 2002 expire and need to be renewed. In addition, the implementation
of new travel requirements under the Western Hemisphere Travel
Initiative (WHTI) will, for the first time, require U.S. citizens to
carry passports, or other approved documentation, when traveling
between the United States and Mexico.
This testimony addresses (1) State‘s estimates of the workload for
consulates in Mexico through 2012 resulting from, in particular, new
travel requirements and the reissue of Border Crossing Cards; and (2)
the actions State has taken to ensure consulates in Mexico keep pace
with projected workload increases through 2012. This testimony is based
on work currently in process that involves analyzing State‘s workload
forecasts and forecast methodology, interviewing State officials, and
visiting five posts in Mexico. GAO discussed this testimony with State
officials, who agreed with GAO‘s findings.
What GAO Found:
According to State forecasts, as of April 2008, the U.S. Mission in
Mexico‘s (Mission Mexico) NIV demand will peak at slightly over 3
million applications in fiscal year 2011, about twice the number from
fiscal year 2007. State acknowledges there are uncertainties regarding
the number of Border Crossing Card holders who will renew their cards
and the number of first time NIV applicants, which may affect the
accuracy of its forecasts. State will be revising the forecasts on a
periodic basis as new data become available. In addition to its
increase in NIV workload, Mission Mexico will also be facing increases
in its passport workload due to the implementation of WHTI. The exact
magnitude of the increase in passport workload is more difficult to
forecast than for NIVs, because there is not the same historical
precedent. There is also a great deal of uncertainty as to how many
U.S. citizens actually live in Mexico or the number of these citizens
likely to apply for a passport.
In anticipation of this surge in demand for NIVs and U.S. passports,
State is taking steps to ensure consulates in Mexico keep pace,
including adding consular interview windows to several high-demand
posts and planning to hire about 100 temporary adjudicating officers.
Consular officials GAO met with at several posts in Mexico generally
agreed that these efforts to expand resources should be adequate for
Mission Mexico to keep pace with expected workload increases, and GAO‘s
analysis indicates the mission will generally have enough interviewing
windows during the surge. Several posts will rely on the addition of
temporary adjudicators to keep pace with increased NIV demand and would
face backlogs if these slots cannot be filled or if the temporary staff
are not as productive as expected. However, State is confident that it
has an adequate pool of potential applicants. Mission Mexico may also
gain additional capacity from a pilot program, currently under way at
two posts, that outsources a portion of the NIV application process to
off-site facilities; however, the pilot was implemented too recently to
assess its potential impact on productivity, fraud, or security.
Figure: Mission Mexico NIV Demand Forecast:
[See PDF for image]
This figure is a line graph depicting the following data:
Fiscal year: 2007;
Number of applications: 1,513,320.
Fiscal year: 2008;
Number of applications: 1,825,600.
Fiscal year: 2009;
Number of applications: 2,287,240.
Fiscal year: 2010;
Number of applications: 2,762,220.
Fiscal year: 2011;
Number of applications: 3,079,130.
Fiscal year: 2012;
Number of applications: 2,470,590.
Source: GAO analysis of State data.
[End of figure]
To view the full product, including the scope and methodology, click on
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-931T]. For more
information, contact Jess T. Ford at (202) 512-4268 or fordj@gao.gov.
[End of section]
June 25, 2008:
Mr. Chairman and Members of the Subcommittee:
I am pleased to be here to discuss GAO's work on the Department of
State's (State) efforts to prepare for the upcoming surge in its
consular workload in Mexico.
Legitimate travel between Mexico and the United States contributes to
bilateral trade of over $1 billion per day, according to State. The
U.S. Mission in Mexico (Mission Mexico) is State's largest consular
operation in the world; in fiscal year 2007, it processed 1.5 million
of the 8 million nonimmigrant visas (NIV) State handled worldwide.
Moreover, its post in Ciudad Juarez was the largest issuer of U.S.
immigrant visas in the world. The U.S. Mission in Mexico also provided
services, including passport processing and emergency assistance, to
around 20,000 American citizens in fiscal year 2007. This already
significant consular workload is expected to increase dramatically in
the coming years as millions of NIV Border Crossing Cards issued in
Mexico between fiscal years 1998 and 2002 expire and need to be
renewed. In addition, the implementation of new travel requirements
under the Western Hemisphere Travel Initiative (WHTI) will, for the
first time, require U.S. citizens to carry passports, or other approved
documentation, when traveling between the United States and Mexico.
State must expand its consular capacity in Mexico to keep pace with
this expected surge in demand for millions of visas and thousands of
U.S. passports over the next several years. If State does not take the
steps necessary to adequately meet this growth in workload, travel
between the two countries could be significantly affected, resulting in
inconveniences and hardships for individual travelers and negative
consequences for the economies of both countries.
Today, I will discuss (1) State's estimates of the workload for
consulates in Mexico through 2012 resulting from, in particular, new
travel requirements and the reissue of Border Crossing Cards; and (2)
the actions State has taken to ensure that consulates in Mexico keep
pace with projected workload increases through 2012.
My statement today is based upon GAO's ongoing work, scheduled to be
completed at the end of July 2008, on State's efforts to prepare for
the upcoming surge in its consular workload in Mexico. In our work to
date, we analyzed data provided by State on current and forecasted
passport and nonimmigrant visa workload for all 10 posts in Mexico.
[Footnote 1] We analyzed the reliability of State passport and NIV
workload data and found them suitably reliable for our purposes. As
part of our review of the data, we also assessed State's forecasting
methodologies based upon available information. We also analyzed
State's estimates of the staffing and facility resources needed to meet
the anticipated workload increases in Mexico. In addition, we performed
work at five consulates in Mexico--Mexico City, Guadalajara, Monterrey,
Ciudad Juarez, and Tijuana--observing visa and passport processing at
each post and meeting with consular management and representatives from
the Nonimmigrant Visa and American Citizen Services units. We also
conducted a series of interviews with State officials in Washington,
D.C. Lastly, we reviewed a range of State and Mission Mexico
documentation, including Mission Performance Plans, consular packages,
rightsizing reports, policy guidance documents, and various cables and
memos.
We conducted this performance audit from November 2007 to June 2008 in
accordance with generally accepted government auditing standards. Those
standards require that we plan and perform the audit to obtain
sufficient, appropriate evidence to provide a reasonable basis for our
findings and conclusions based on our audit objectives. We believe that
the evidence obtained provides a reasonable basis for our findings and
conclusions based on our audit objectives.
Summary:
State anticipates that Mission Mexico's NIV and passport workload will
likely double from fiscal year 2007 to 2011, with NIV applications
continuing to constitute the vast majority of the mission's workload.
Mission Mexico will experience a substantial growth in its NIV workload
primarily due to the need to renew millions of Border Crossing Cards
that are set to expire beginning in fiscal year 2008. According to
State forecasts from April 2008, Mission Mexico's NIV demand will peak
at slightly over 3 million applications in fiscal year 2011, a 103
percent increase from fiscal year 2007. NIV demand will then begin to
decline in fiscal year 2012. On June 18, State informed us that it has
produced revised forecasts based upon a newly developed methodology;
however, we have not had time to assess these forecasts or include them
in the testimony. State acknowledges it is uncertain about how many
Border Crossing Card holders will renew their cards and the number of
first time NIV applicants and that various methodological factors
associated with their April 2008 projections may also affect the
accuracy of its forecasts. However, State officials believe the
forecasts are more likely to overestimate demand. For example, to be
conservative, State assumes in its projections that all Border Crossing
Card holders will renew their cards upon expiration, even though a
number of card holders are unlikely to renew their cards because they
have either legally or illegally immigrated to the United States.
Consequently, State intends to use these forecasts as a rough guide in
developing plans to meet the upcoming surge in NIV workload. In
addition to the increase in NIV workload, Mission Mexico will be facing
increases in its passport workload due to the implementation of WHTI.
The magnitude of the increase in passport workload is more difficult to
forecast because, unlike with the NIV surge, there is no historical
precedent. Also, there is a great deal of uncertainty as to how many
U.S. citizens actually live in Mexico, or the number of these citizens
likely to apply for a passport. Despite the challenges developing
passport forecasts, State has created some initial estimates of
workload increases caused by the implementation of WHTI; the estimates
show passport and Consular Reports of Birth Abroad (CRBA) workload
peaking at 73,000 applications in fiscal year 2009--the year in which
WHTI requires a passport for travel to the United States by land
[Footnote 2]--and fiscal year 2010, then declining.[Footnote 3]
In anticipation of the surge in demand for NIVs and U.S. passports in
Mexico, State is taking several steps to ensure that consulates in
Mexico keep pace with projected workload increases through 2012,
including adding interviewing windows to several posts; it also plans
to hire about 100 temporary adjudicating officers with renewable 1-year
contracts. Consular officials we met with at several high-demand posts
in Mexico generally agreed that State's plans, if fully implemented, to
expand resources and implement new procedures should be adequate for
Mission Mexico to keep pace with expected workload increases. However,
as State continues to revise its estimates of future workload, it may
need to adjust its resource plans to reflect the latest assumptions
about future demand for passports and NIVs. Our analysis of NIV
interview window capacity indicates that Mission Mexico should
generally have enough windows at the peak of NIV demand projected for
fiscal year 2011. State's plans to hire temporary adjudicators would
almost double the existing number of consular officers throughout
Mission Mexico during the surge and allow posts to reduce staff levels
when the surge is over. Monterrey, Mexico City, Ciudad Juarez, and
Tijuana are expected to be the heaviest users of temporary adjudicators
and would therefore be at greatest risk of increased NIV backlogs if
temporary adjudicator slots cannot be filled. However, State officials
are confident they have an adequate pool from which to hire qualified
people to fill these slots in time to meet peak demand in Mexico. State
also began a pilot program that outsources a portion of the NIV
application process that does not require the direct involvement of
consular officers, including biometric data collection, at off-site
facilities. The pilot began in the spring of 2008 in Nuevo Laredo and
Monterrey. Because it is ongoing, we are unable to assess its potential
impact on productivity, fraud, or security. Additional efficiencies may
be gained at posts in Mexico from State's recent guidance authorizing
consular officers to waive interviews of certain NIV renewal
applicants.[Footnote 4] In addition, while posts acknowledged that
predicting demand in Mexico for U.S. passports resulting from WHTI is
difficult, they believe they have enough flexibility to shift resources
from NIV sections as needed to avoid significant backlogs in processing
passport applications.
Background:
Foreign nationals who wish to visit the United States, including
business travelers and tourists, must generally obtain a nonimmigrant
visa. The majority of travelers visiting the United States from Mexico
receive an NIV Border Crossing Card, which is valid for 10 years. In
order to obtain a Border Crossing Card, applicants must generally: (1)
schedule an appointment for a visa interview at a U.S. consulate, (2)
fill out an application and pay applicable fees, (3) have their photos
taken and fingerprints collected at a U.S. consulate, (4) have their
information checked in the Consular Lookout and Support System--State's
name-check database that consulates use to access critical information
for visa adjudication, and (5) have an interview with a consular
officer, who is responsible for making the adjudication decision.
In 1996, Congress passed the Illegal Immigration Reform and Immigrant
Responsibility Act (IIRIRA), which required that every Border Crossing
Card issued after April 1, 1998, contain a biometric identifier, such
as a fingerprint, and be machine readable. The law also mandated that
all Border Crossing Cards issued before April 1, 1998, would expire on
October 1, 1999, regardless of when their validity period ended. This
deadline was extended by Congress two times, first to September 30,
2001, and then to September 30, 2002. The passage of IIRIRA created a
significant surge in Mission Mexico's NIV workload, as Border Crossing
Card holders sought to obtain the new visas before the congressionally
mandated expiration date. This culminated in a historic high in NIV
workload in fiscal year 2001, when the mission processed 2,869,000 NIV
applications.
We have previously reported on challenges State faced in managing its
NIV workload.[Footnote 5] Among other things, we found that NIV
applicants have often had to wait for extended periods of time to
receive appointments for interviews. Believing that wait times for NIV
interviews were excessive, in February 2007, State announced a
worldwide goal of interviewing NIV applicants within 30 days. In the
year before the 30-day goal was announced, the average wait time across
the consulates in Mexico had been as high as 73 days; by the time of
the announcement of the 30-day goal, however, Mission Mexico had
already successfully reduced the average wait time to less than 30 days
at all but one of its posts. Since February 2007, the mission has
successfully kept the average wait time among the consulates at less
than 30 days.[Footnote 6]
The Western Hemisphere Travel Initiative:
In response to recommendations in the 9/11 Commission report, the
Intelligence Reform and Terrorism Prevention Act of 2004, as amended,
required that the Secretary of Homeland Security, in conjunction with
the Secretary of State, develop and implement a plan that requires
United States citizens to provide a passport, other document, or
combination of documents that the Secretary of Homeland Security deems
sufficient to show identity and citizenship when entering the United
States from certain countries, including Mexico. This will represent a
significant change for many U.S. citizens living in Mexico, who have
until recently been able to routinely cross between the United States
and Mexico with more limited documentation. The Department of Homeland
Security (DHS) and State are implementing these requirements through
WHTI. DHS implemented WHTI at all air ports of entry into the United
States on January 23, 2007, and plans to implement the requirements at
land and sea ports of entry beginning in June 2009, assuming that DHS
and State can certify 3 months in advance that certain criteria have
been met, as required under the law.[Footnote 7]
State Anticipates Significant Increases in Mission Mexico's
Nonimmigrant Visa and Passport Workload from Fiscal Years 2007 to 2011:
Ten years after the first surge in demand for Border Crossing Cards
began in fiscal year 1998, State anticipates another surge in NIV
demand in Mexico as these cards begin to expire and millions of card
holders apply for renewals at U.S. consulates. In addition to this
cyclical surge in demand caused by the expiring Border Crossing Cards,
State officials anticipate that Mission Mexico will continue to
experience steady growth in demand from first-time visa applicants. To
assist in preparing for these increases, State has developed forecasts
of the expected future NIV workload in Mexico.[Footnote 8] The NIV
projections and forecasting methodology discussed in this report are
based upon data State provided to us in February and April 2008. On
June 18, State informed us that it has developed revised NIV forecasts
for Mission Mexico based upon an alternative methodology. We have not
yet had time to analyze these NIV forecasts or incorporate them into
this testimony, but we may include a discussion of them in our final
report, which is scheduled to be completed at the end of July 2008.
State's forecasts, as of April 2008, anticipate that the upcoming surge
in NIV demand will follow a pattern similar to the previous Border
Crossing Card surge from fiscal years 1998 to 2002, as shown in figure
1. According to the forecasts, the surge will begin in fiscal year
2008, with missionwide NIV demand peaking at a little more than 3
million applications in fiscal year 2011--a 103 percent increase in
demand from fiscal year 2007. The forecasts show the surge beginning to
abate in fiscal year 2012.
Figure 1: Comparison of Demand Forecast for Mission Mexico to Border
Crossing Cards Issued in Fiscal Years 1998 to 2002:
[See PDF for image]
This figure contains two line graphs depicting the following data:
Border Crossing Cards issued, fiscal years 1998–2002:
Fiscal year: 1998;
Number of cards issued: 299,205.
Fiscal year: 1999;
Number of cards issued: 644,856.
Fiscal year: 2000;
Number of cards issued: 1,495,580.
Fiscal year: 2001;
Number of cards issued: 1,990,400.
Fiscal year: 2002;
Number of cards issued: 1.399,820.
State demand forecast, fiscal years 2007–2012:
Fiscal year: 2007;
Number of applications: 1,513,320.
Fiscal year: 2008;
Number of applications: 1,825,600.
Fiscal year: 2009;
Number of applications: 2,287,240.
Fiscal year: 2010;
Number of applications: 2,762,220.
Fiscal year: 2011;
Number of applications: 3,079,130.
Fiscal year: 2012;
Number of applications: 2,470,590.
Source: GAO analysis of State data.
Note: State's NIV demand forecasts include Border Crossing Cards, as
well as other types of nonimmigrant visas. This forecast is as of April
2008.
[End of figure]
In addition to the missionwide forecast, State has developed demand
forecasts for individual consulates. As shown in figure 2, State's
forecasts anticipate that Mexico City will have the highest levels of
demand, with applications growing to over 580,000 in fiscal year 2010.
While Mexico City is projected to have the highest overall demand,
State anticipates that the steepest increases in demand will occur at
border posts.[Footnote 9] This follows a pattern similar to the
previous Border Crossing Card surge, where the border consulates
assumed a greater share of the total mission workload during the surge,
with this share then diminishing again at the surge's end.
Figure 2: Mexico Posts' NIV Demand Forecasts, Fiscal Years 2007 - 2012:
[See PDF for image]
This figure is a multiple line graph depicting the following data:
Fiscal year: 2007;
Number of applicants, Ciudad Juarez: 97,794;
Number of applicants, Guadalajara: 253,295;
Number of applicants, Hermosillo: 116,931;
Number of applicants, Matamoros: 127,570;
Number of applicants, Merida: 44,441;
Number of applicants, Mexico City: 415,129;
Number of applicants, Monterrey: 234,126;
Number of applicants, Tijuana: 103,746.
Fiscal year: 2008;
Number of applicants, Ciudad Juarez: 208,387;
Number of applicants, Guadalajara: 226,599;
Number of applicants, Hermosillo: 122,917;
Number of applicants, Matamoros: 133,638;
Number of applicants, Merida: 47,293;
Number of applicants, Mexico City: 551,341;
Number of applicants, Monterrey: 286,893;
Number of applicants, Tijuana: 128,246.
Fiscal year: 2009;
Number of applicants, Ciudad Juarez: 421,901;
Number of applicants, Guadalajara: 244,279;
Number of applicants, Hermosillo: 121,536;
Number of applicants, Matamoros: 165,609;
Number of applicants, Merida: 55,322;
Number of applicants, Mexico City: 564,612;
Number of applicants, Monterrey: 301,126;
Number of applicants, Tijuana: 175,335.
Fiscal year: 2010;
Number of applicants, Ciudad Juarez: 345,494;
Number of applicants, Guadalajara: 281,833;
Number of applicants, Hermosillo: 163,292;
Number of applicants, Matamoros: 204,716;
Number of applicants, Merida: 45,237;
Number of applicants, Mexico City: 580,289;
Number of applicants, Monterrey: 333,839;
Number of applicants, Tijuana: 342,455.
Fiscal year: 2011;
Number of applicants, Ciudad Juarez: 434,473;
Number of applicants, Guadalajara: 320,727;
Number of applicants, Hermosillo: 159,973;
Number of applicants, Matamoros: 282,263;
Number of applicants, Merida: 48,240;
Number of applicants, Mexico City: 575,853;
Number of applicants, Monterrey: 357,410;
Number of applicants, Tijuana: 343,189.
Fiscal year: 2012;
Number of applicants, Ciudad Juarez: 349,663;
Number of applicants, Guadalajara: 278,349;
Number of applicants, Hermosillo: 178,005;
Number of applicants, Matamoros: 249,290;
Number of applicants, Merida: 38,742;
Number of applicants, Mexico City: 501,170;
Number of applicants, Monterrey: 329,787;
Number of applicants, Tijuana: 175,642.
Note: This forecast is from April 2008 when State's methodology for
generating demand forecasts relied upon workload data from fiscal years
1997 and 1998. State was unable to generate its own demand forecasts
for the border posts of Nogales and Nuevo Laredo because Nogales was
not open and Nuevo Laredo was not issuing visas at the time.
[End of figure]
Estimating future NIV demand is inherently uncertain, and State
acknowledges that several factors could affect the accuracy of its
April 2008 NIV demand forecasts. First, the forecasts are based heavily
upon Change Navigators' 2005 Consular Affairs Futures Study (CAFS),
which generated NIV demand forecasts for various high-volume and high-
growth missions around the globe, including Mexico.[Footnote 10] Thus,
the extent to which the underlying CAFS numbers prove to be accurate
affects State's revised forecasts. While the CAFS includes a general
analysis of how various demographic, economic, and political factors
impact NIV demand across countries, it does not explain how it arrived
at its specific forecasts for Mexico. Based upon our review of the
forecasts, it appears that the CAFS authors relied primarily upon
historical workload data from the previous Border Crossing Card surge,
but we could not assess how, if at all, other considerations were
factored into the forecasts. Second, methodological issues associated
with State's April 2008 NIV forecasts may affect their accuracy in
projecting demand. For example, State relied heavily on actual demand
data from fiscal year 2007 to revise the CAFS forecasts, in order to
try to better account for growth in demand from first-time visa
applicants. In doing so, State assumed demand for fiscal year 2007 was
representative of the underlying long-term growth in NIV demand.
However, this is not necessarily the case, as State officials
acknowledge demand may have been artificially high in fiscal year 2007
as posts worked off backlogs that had accumulated from previous years.
State officials also noted that they chose to be conservative and
assume all Border Crossing Card holders would renew their cards when
they expire. However, this is not likely to happen, as a portion of
Border Crossing Card holders have had their cards lost or stolen and
already had them replaced, while others have either legally or
illegally immigrated to the United States and will not be returning to
renew their cards. Consequently, the forecasts could prove to be higher
than actual demand depending on the share of Border Crossing Card
holders who do not seek a renewal at the expiration of their card.
State's approach to forecasting NIV workload, based on historical
precedent and underlying growth in demand, and other factors, provide a
reasonable basis for addressing the anticipated surge in NIV demand.
State has detailed data on the number of Border Crossing Cards issued
during the previous surge and when they are expiring, which gives it a
strong basis for its projections. Further, even if the NIV forecasts do
not prove completely accurate, State officials do not expect
significant risks for several reasons. First, State officials believe
that the forecasts are conservative, with NIV demand likely to be lower
than forecasted. Second, State intends to avoid relying on the exact
numbers in the forecasts and is instead using them as a rough guide in
developing plans to meet the upcoming surge in NIV workload. Third,
State officials believe they have developed these plans with sufficient
flexibility to be able to respond as needed if actual workload deviates
from the forecasts. Finally, State plans to continually track demand at
the consulates as the NIV surge unfolds and will revise these forecasts
periodically.
Passport Workload:
In addition to the surge in NIV workload, Mission Mexico will also
experience a surge in its passport workload as a result of the
implementation of WHTI at air ports of entry in January 2007 and its
subsequent, intended implementation at land and sea ports in June 2009.
According to State officials, the mission has already seen a
significant increase in its passport workload as U.S. citizens living
in Mexico have begun to apply for passports in response to the new
documentary requirements. Mission Mexico's passport and CRBA workload,
which State tracks together because both types of applications are
handled by consular officers in posts' American Citizen Services units,
grew to 34,496 applications in fiscal year 2007, a 77 percent increase
from fiscal year 2006. Despite the expected increases, passport
workload will continue to be only a fraction of Mission Mexico's
workload, relative to NIV applications.
While State expects passport workload in Mexico to continue to increase
significantly in the coming years, it is difficult to predict precisely
what the magnitude of this increase will be. Unlike with the NIV surge,
there is not a clear historical precedent to the WHTI surge.
Additionally, there is a great deal of uncertainty regarding the number
of U.S. citizens living in Mexico and the number of these citizens who
are potential passport applicants. Therefore, efforts to forecast
increases in passport workload due to WHTI are extremely challenging.
Nonetheless, State has developed rough estimates of Mission Mexico's
passport and CRBA workload with the implementation of WHTI. These
estimates are based on the input of experienced consular officers
because the lack of data on U.S. citizens living in Mexico made any
type of statistical analysis problematic. Based upon State's estimates,
Mission Mexico's WHTI workload is projected to peak at 73,000 passport
and CRBA applications in fiscal year 2009 with the implementation of
WHTI at land ports of entry. State anticipates that passport and CRBA
workload will continue at that peak rate in fiscal year 2010 and then
begin to decline. In its estimates, State predicts that from fiscal
years 2007 to 2009, workload will increase by around 177 percent for
Mission Mexico.
To this point, State has not revised its WHTI estimates based on
workload in fiscal year 2007, or year to date in the current fiscal
year, even though the workload estimates were low in fiscal year 2007.
State says it has not needed to revise its estimates at this point,
because posts have been able to keep up with workload increases without
the need for additional resources. In addition, rather than focusing on
developing precise workload estimates in order to prepare for the
surge, State has instead chosen to pursue strategies designed to
provide it with the flexibility to respond to increases in workload as
they occur--particularly as a more limited number of resources will be
needed to cover increases in passport and CRBA applications than NIV
applications, given their small share of Mission Mexico's overall
consular workload.
State Is Adding Interviewing Windows and Temporary Adjudicators to
Posts in Mexico to Keep Pace with Projected Workload Increases:
To keep pace with the expected NIV renewal surge, State is increasing
the total number of hardened interview windows in the consulates' NIV
sections by over 50 percent before the demand peaks in 2011.[Footnote
11] State added windows to the consulate in Hermosillo in fiscal year
2007 and will soon be adding windows to the consulates in Monterrey and
Mexico City.[Footnote 12] In addition, new consulate compounds in
Ciudad Juarez and Tijuana will result in additional windows for
adjudicating NIV applications.[Footnote 13] The new facility in Ciudad
Juarez is set to open in September 2008, and construction on the new
building in Tijuana began this past April. Once completed, these
projects will provide Mission Mexico with the window capacity to
interview about 1 million additional NIV applicants per year.[Footnote
14] Table 1 compares the number of interview windows available in
fiscal year 2007 to the number that will be available by fiscal year
2011, when NIV demand peaks.
Table 1: NIV Interview Windows in Fiscal Years 2007 and 2011:
Post: Ciudad Juarez;
Number of NIV windows in FY 2007: 11;
Number of NIV windows in FY 2011: 23;
Expected date for additional windows: September 2008.
Post: Guadalajara;
Number of NIV windows in FY 2007: 10;
Number of NIV windows in FY 2011: 10;
Expected date for additional windows: [Empty].
Post: Hermosillo;
Number of NIV windows in FY 2007: 13;
Number of NIV windows in FY 2011: 13;
Expected date for additional windows: [Empty].
Post: Matamoros;
Number of NIV windows in FY 2007: 7;
Number of NIV windows in FY 2011: 7;
Expected date for additional windows: [Empty].
Post: Merida;
Number of NIV windows in FY 2007: 4;
Number of NIV windows in FY 2011: 4;
Expected date for additional windows: [Empty].
Post: Mexico City;
Number of NIV windows in FY 2007: 15;
Number of NIV windows in FY 2011: 23;
Expected date for additional windows: August 2008.
Post: Monterrey;
Number of NIV windows in FY 2007: 10;
Number of NIV windows in FY 2011: 26;
Expected date for additional windows: February 2009.
Post: Nogales;
Number of NIV windows in FY 2007: 6;
Number of NIV windows in FY 2011: 6;
Expected date for additional windows: [Empty].
Post: Nuevo Laredo;
Number of NIV windows in FY 2007: 7;
Number of NIV windows in FY 2011: 7;
Expected date for additional windows: [Empty].
Post: Tijuana;
Number of NIV windows in FY 2007: 14;
Number of NIV windows in FY 2011: 30;
Expected date for additional windows: September 2010.
Post: Total;
Number of NIV windows in FY 2007: 97;
Number of NIV windows in FY 2011: 149;
Expected date for additional windows: [Empty].
Source: GAO analysis of State data.
Note: Some of these windows are typically reserved for enrollment
functions as part of the visa application process, which would limit
their availability for interviewing applicants. The new facility in
Ciudad Juarez will have 89 windows available for NIV and immigrant visa
adjudications, although State estimates that Ciudad Juarez will need
only 23 of these windows for NIV applicants.
[End of table]
Consulate officials at the posts we visited generally expressed
confidence that they will have sufficient window capacity to keep pace
with the expected NIV demand and avoid excessive wait times for
interviews beyond State's standard of 30 days. As shown in figure 3,
our analysis of expected window capacity also indicates that Mission
Mexico generally appears to have enough window capacity to keep pace
with projected demand, based on the April 2008 projections. However,
State officials acknowledge that two posts, Nuevo Laredo and Matamoros,
will not have adequate window capacity during the NIV surge.
Consequently, NIV applicants may face longer wait times for an
interview appointment at these posts. State officials noted that
individuals who would typically apply at one of these two posts will
have the option to schedule appointments at the relatively nearby
consulate in Monterrey, which is expected to have excess window
capacity during the surge in demand. At other posts, the potential
shortfall in window capacity, reflected in figure 3, appears to be
small enough that it can likely be managed by extending hours that
windows are open, if necessary. Although Guadalajara also appears to
have a significant shortfall, consular officials there believe the post
should be able to absorb the increased workload with the number of
windows available as long as they have enough staff to work the windows
in shifts to keep them open all day, if necessary.[Footnote 15]
Figure 3: Comparison of Projected NIV Demand to NIV Window Capacity in
Fiscal Year 2011:
[See PDF for image]
This figure is a multiple vertical bar graph depicting the following
data:
Post: Tijuana;
NIV applications/interviews, workload projections, as of April 2008:
343,189;
NIV applications/interviews, Interview capacity of windows: 702,000.
Post: Monterrey;
NIV applications/interviews, workload projections, as of April 2008:
357,410;
NIV applications/interviews, Interview capacity of windows: 608,400.
Post: Hermasillo;
NIV applications/interviews, workload projections, as of April 2008:
159,973;
NIV applications/interviews, Interview capacity of windows: 304,200.
Post: Ciudad Juarez;
NIV applications/interviews, workload projections, as of April 2008:
434,473;
NIV applications/interviews, Interview capacity of windows: 538,200.
Post: Merida;
NIV applications/interviews, workload projections, as of April 2008:
48,240;
NIV applications/interviews, Interview capacity of windows: 93,600.
Post: Nogales;
NIV applications/interviews, workload projections, as of April 2008:
147,792;
NIV applications/interviews, Interview capacity of windows: 140,400.
Post: Mexico City;
NIV applications/interviews, workload projections, as of April 2008:
575,853;
NIV applications/interviews, Interview capacity of windows: 538,200.
Post: Guadalajara;
NIV applications/interviews, workload projections, as of April 2008:
320,727;
NIV applications/interviews, Interview capacity of windows: 234,000.
Post: Matamoras;
NIV applications/interviews, workload projections, as of April 2008:
282,263;
NIV applications/interviews, Interview capacity of windows: 163,800.
Post: Nuevo Laredo;
NIV applications/interviews, workload projections, as of April 2008:
289,728;
NIV applications/interviews, Interview capacity of windows: 163,800.
Source: GAO analysis of State data.
Note: Window capacity is based on State's estimate of an average of
23,400 interviews of NIV applicants per window per year (number of
windows, multiplied by 23,400). Workload projections are as of April
2008 and were generated by State, with the exception of Nuevo Laredo
and Nogales. Consular Affairs did not have sufficient data to generate
its own projections for these two posts and, therefore, relied on
projections from the CAFS.
[End of figure]
State Plans to Hire Temporary Adjudicators:
In addition to the increase in hardened windows, Mission Mexico
requires a significant increase in adjudicators over the next few
years. Based on NIV and passport workload projections, provided in
April 2008, State estimates it will need 217 adjudicators throughout
Mission Mexico in fiscal year 2011, which is the expected peak year of
the surge in NIV demand.[Footnote 16] This number is an increase of 96
adjudicators, or about 80 percent, over the number of adjudicator
positions in place in fiscal year 2007. State may revise its staffing
plans as it generates updated forecasts.
State plans to meet its staffing needs during the expected workload
surge primarily by hiring a temporary workforce of consular
adjudicators that can be assigned to posts throughout Mission Mexico,
depending on each post's workload demands. Figure 4 shows the number of
temporary adjudicators and career adjudicators planned for Mission
Mexico in fiscal year 2011. State officials noted that relying on a
temporary workforce allows Mission Mexico to avoid having excess staff
after the workload surge and reduces costs per staff compared to
permanent hires.[Footnote 17] State has budgeted for about 100
temporary adjudicators to be in place during the surge in workload
demand, although State officials noted that these budgeted funds could
be reprogrammed if fewer than expected adjudicators are needed.
[Footnote 18] State has already posted the job announcement on its Web
site and expected to begin placing these additional temporary
adjudicators at posts in fiscal year 2009. State officials noted that
they will try to fill slots gradually to help posts absorb the
additional staff.[Footnote 19]
Figure 4: Temporary Adjudicators and Career Adjudicating Officers
Planned for Fiscal Year 2011:
[See PDF for image]
This figure is a stacked vertical bar graph depicting the following
data:
Post: Monterrey;
Temporary adjudicators: 24;
Career officers: 22;
Total: 45.
Post: Mexico City;
Temporary adjudicators: 31;
Career officers: 11;
Total: 42.
Post: Ciudata Jarez;
Temporary adjudicators: 12;
Career officers: 19;
Total: 31.
Post: Tijuana;
Temporary adjudicators: 15;
Career officers: 11;
Total: 26.
Post: Guadalajara;
Temporary adjudicators: 20;
Career officers: 4;
Total: 24.
Post: Nuevo Jaredo;
Temporary adjudicators: 7;
Career officers: 6;
Total: 13.
Post: Hermosillo;
Temporary adjudicators: 10;
Career officers: 1;
Total: 11.
Post: Matamoros;
Temporary adjudicators: 9;
Career officers: 2;
Total: 11.
Post: Nogales;
Temporary adjudicators: 5;
Career officers: 4;
Total: 9.
Post: Merida;
Temporary adjudicators: 3;
Career officers: 1;
Total: 4.
Source: GAO analysis of State data.
[End of figure]
The temporary hires will be commissioned as consular officers with 1-
year, noncareer appointments that can be renewed annually for up to 5
years. They will also receive the same 6-week Basic Consular Course at
the Foreign Service Institute[Footnote 20] in Arlington, Virginia, as
permanent Foreign Service officers. These individuals must be U.S.
citizens, obtain a security clearance, and be functionally fluent in
Spanish. Housing in Mexico for the temporary adjudicators will be
arranged for by the State Bureau of Consular Affairs in Washington,
D.C., through contract services, which will provide greater flexibility
to move adjudicators from one post to another, if necessary.
As figure 4 indicates, posts in Monterrey, Mexico City, Ciudad Juarez,
and Tijuana are expected to be the heaviest users of temporary
adjudicators. Consequently, these posts would be at greatest risk of
increased NIV backlogs if temporary adjudicator slots cannot be filled
as needed or if their productivity is not as high as anticipated.
However, State officials believe they have an adequate pool of
potential candidates from among returning Peace Corps volunteers,
graduates of the National Security Education Program,[Footnote 21]
eligible family members,[Footnote 22] and retired Foreign Service
officers. These officials noted that they recently began reaching out
to targeted groups of potential applicants and have already received
strong interest. Furthermore, officials from the posts we visited were
confident that State's plan to provide them with additional consular
officers would enable them to keep pace with workload demand. Post
officials anticipate the same level of productivity and supervision
requirements as they would expect from new career Foreign Service
officers. The officials noted that new consular adjudicators typically
take about 2 months of working the NIV interview windows to reach the
productivity levels of more experienced adjudicators.
New Processing Practices May Help Mission Keep Pace with NIV Demand:
State began a pilot program in the spring of 2008 at two posts,
Monterrey and Nuevo Laredo, to outsource part of the NIV application
process, including biometric data collection, to an off-site facility.
[Footnote 23] The pilot is part of an effort by State to establish a
new service delivery model for processing visas worldwide in response
to long-term growth in demand for visas.[Footnote 24] State envisions
expanding this model throughout Mexico and other high-demand posts
worldwide through a formal request for proposal process. State also
envisions the possibility of providing off-site data collection
facilities serving NIV applicants in cities that do not have
consulates. In Monterrey, the pilot made space available in the
consulate facility to add much needed NIV interview windows.
The pilot is implemented by a contractor that handles functions that do
not require the direct involvement of a consular officer, including
scanning of applicants' fingerprints and passports, live-capture
digital photograph, and visa passback.[Footnote 25] Consular officers
at these two posts focus on their "core mission" of making adjudication
decisions after the contractor has electronically transferred the
applicants' application and biometric data. The cost of outsourcing
these functions is covered through an additional fee of $26 paid by the
applicants.[Footnote 26] Consulate officials at the posts involved in
the pilot are responsible for monitoring the performance of the
contractor through the use of surveillance cameras, random visits to
the off-site facility, and validation reviews of NIV applications to
check for incidence of fraud or incorrect information. According to
State officials, the contractor does not have the ability to alter any
of the data it collects, and a U.S. citizen with a security clearance
is on site to manage the facility. Consular officials in Monterrey
stressed the importance of monitoring contractor employees to help
ensure they do not coach applicants.[Footnote 27]
State officials stated that the department intends to assess the pilot
to ensure that the technological challenges of remote biometric data
collection and data transfer have been overcome. They will also assess
whether the new software involved presents the data to consular
officers in a user-friendly format to facilitate the adjudication. In
addition, State will monitor adjudication rates at the participating
posts. State has neither established specific milestones for completing
the pilot nor provided us with any metrics that would be part of an
assessment of the potential impact on productivity, fraud, or security.
In another step to help posts keep pace with NIV demand, Mission Mexico
has also begun to waive interviews of NIV renewal applicants allowable
under certain circumstances established by federal law and State
regulations. State recently provided guidance to posts worldwide on
waiving interviews for certain applicants, following the transition to
the collection of 10 fingerprints and technology allowing reuse of
fingerprints. The policy only applies to applicants seeking to renew
their biometric NIVs within 12 months of expiration. Consular officers
retain the discretion to require any applicant to appear for an
interview, and no applicant may have an interview waived unless they
clear all computer-based security screening. According to State
guidance, consular officers will also have the discretion to waive
interviews of applicants as part of the off-site data collection model
being piloted in Monterrey and Nuevo Laredo, when prints collected off
site match with the applicant's fingerprints already in the system.
According to State officials, this will be possible beginning in 2009,
when Border Crossing Cards issued after 1999 containing biometric data
start to expire.
The Monterrey and Ciudad Juarez posts have already begun to waive
interviews of applicants renewing NIVs and found significant
productivity gains.[Footnote 28] As a result, officers there were able
to adjudicate cases more rapidly and better utilize window capacity,
according to consular officials. These posts also found no significant
difference in denial rates for NIV renewal applicants who were
interviewed compared to those whose interviews were waived, although
post and Bureau of Consular Affairs officials noted it was necessary to
continue monitoring the effect of waiving interviews. These officials
also highlighted the need to adjust consular training to be consistent
with State's current guidance on waiving interviews under certain
circumstances.
Efforts to Meet Increased Passport Demand:
Posts in Mexico will also be increasing resources for adjudicating
additional passport applications, which are expected to peak in fiscal
year 2009. Although the volume of passport applications is much smaller
than NIV applications, adjudicating passport applications for American
citizens takes precedence over NIV applications. Consular officials at
posts we visited noted that because of the uncertainty over future
passport demand, they will depend on their flexibility to shift
adjudicators from NIV work to passport work, as needed. In addition,
consular officials stated they will have the option of using NIV
interview windows to adjudicate passports applications--possibly during
off hours, if necessary.
In addition, posts are seeking ways to become more efficient in how
they process the increasing volume of passports. For example, many
posts have recently implemented an appointment system to better manage
the flow of passport applicants and have also improved their Web sites
to help provide better assistance to applicants, many of whom do not
speak English and are applying for passports for the first time. State
is also upgrading its software used for passport processing in overseas
posts to enable posts to scan passport applications, which they expect
will reduce staff resources needed for data entry. Some posts are also
considering increased use of consular agents in other locations, such
as Puerto Vallarta or Cabo San Lucas, to accept passport applications
to help relieve some of the workload for consular staff. In addition,
some posts have suggested exploring possibilities for processing
passport renewals by mail, which would also help relieve overcrowding.
Concluding Remarks:
In anticipation of the expected surge in demand for NIVs and U.S.
passports in Mexico over the next several years, State has taken
several steps to project workloads and expand the capacity of its
consulates to avoid the type of backlogs that have occurred in Mission
Mexico in the past. State's efforts to increase the number of hardened
interview windows at several of its consulates and hire additional
temporary consular officers represent a substantial increase in
resources needed to keep pace with the projected surge in NIV and
passport workload. As State continues to revise its estimates of future
workload, it may need to adjust its plans for increasing these
resources to reflect the latest assumptions about future demand for
passports and NIVs. The success of the efforts to prepare for the
surges in passport and NIV workload is likely to depend on State's
ability to fill the roughly 100 slots it has budgeted for temporary
adjudicators in time to meet the surge in workload. Several posts in
Mexico will rely heavily on these additional staff to keep pace with
expected demand for NIVs and avoid excessive wait times for interviews
of applicants. However, State officials have expressed confidence that
they will be able to fill these positions with qualified candidates. In
addition, Mission Mexico may reap productivity gains from a pilot
program to outsource part of the NIV application process at off-site
facilities and from State's policy to waive interviews for some renewal
applicants; however, these efforts are in their early stages and are
not yet widely implemented. Consequently, it would be premature to
assess the potential effects of these efforts. We discussed this
testimony with State officials, who agreed with our findings.
Mr. Chairman, this concludes my prepared statement. I would be happy to
answer any questions you or other Members of the Subcommittee may have
at this time.
GAO Contact and Staff Acknowledgments:
For further information regarding this testimony, please contact Jess
T. Ford at (202) 512-4128 or fordj@gao.gov. Juan Gobel, Assistant
Director; Ashley Alley; Joe Carney; Howard Cott; David Dornisch;
Michael Hoffman; and Ryan Vaughan made key contributions to this
statement.
[End of testimony]
Footnotes:
[1] In addition to the consular section in the U.S. embassy in Mexico
City, Mission Mexico has consulates in nine cities--Ciudad Juarez,
Guadalajara, Hermosillo, Matamoros, Merida, Monterrey, Nogales, Nuevo
Laredo, and Tijuana.
[2] WHTI will be implemented June 1, 2009, so long as State and the
Department of Homeland Security have certified 3 months in advance that
several criteria have been met. Pub. L. No. 110-161, Div. E, Title V,
§545 (Dec. 26, 2007).
[3] State tracks passport and CRBA applications together because both
types of applications are handled by consular officers in posts'
American Citizen Services units.
[4] Current law and State regulations allow for the waiver of the NIV
interview in limited circumstances, including when an applicant is
applying for a renewal and (1) it is within 12 months of the expiration
of the previous biometric visa, (2) it is for the same classification
of visa, (3) the applicant is applying at the consular post of his or
her usual residence, and (4) the Foreign Service Officer adjudicating
the case has no indication of visa ineligibility or of noncompliance
with U.S. immigration laws and regulations.
[5] See GAO, Border Security: Long-Term Strategy Needed to Keep Pace
with Increasing Demand for Visas, [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO-07-847] (Washington, D.C.: July 13, 2007); and Border
Security: Reassessment of Consular Resource Requirements Could Help
Address Visa Delays, [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-
06-542T] (Washington, D.C.: Apr. 4, 2006).
[6] Over this period, Monterrey is the only post in Mexico where wait
times averaged over 30 days in more than 1 month.
[7] According to the April 2008 final rule on WHTI implementation at
sea and land ports of entry, DHS and State believe that these
certifications will be made well in advance of the June 1, 2009,
deadline for implementation. In the event that DHS and State are unable
to complete all of the necessary certifications 3 months before June 1,
2009, the final rule states that they will provide notice to the public
and amend the date(s) for compliance with the document requirements.
See: Documents Required for Travelers Departing From or Arriving in the
United States at Sea and Land Ports-of-Entry From Within the Western
Hemisphere, Final Rule, 73 Fed. Reg. 18,384, 18,386 (Apr. 3, 2008).
[8] State's NIV demand forecasts include Border Crossing Cards, as well
as other types of nonimmigrant visas.
[9] There are five border posts in Mexico: Tijuana, Nogales, Ciudad
Juarez, Nuevo Laredo, and Matamoros.
[10] State commissioned Change Navigators, a consultancy specializing
in business management and organization development, to examine the
various factors that impact growth in NIV demand, to identify those
countries likely to experience the most rapid growth in NIV demand, and
to generate NIV demand forecasts for these countries. Mexico was among
those countries included in the study.
[11] These interview windows must conform to State's security standards
to keep U.S. officials behind a hard line. A hard line is a system of
barriers surrounding a protected area, which may afford degrees of
forced entry, ballistic resistance or blast protection.
[12] Hermosillo received a consular upgrade, which added eight hardened
interview windows along with improvements to the waiting area, at a
cost of $5.5 million. The estimated costs of adding windows to
Monterrey and Mexico City are $1.3 million and $1.1 million,
respectively.
[13] The estimated costs of new compounds in Ciudad Juarez and Tijuana
are $96 million and $92.7 million, respectively.
[14] State assumes that adjudicating officers would typically conduct
23,400 interviews of NIV applicants per window per year. This number
varies depending on the conditions at individual posts.
[15] Officers in high-demand posts in Mexico, such as Guadalajara and
Mexico City, are expected to conduct 120 interviews per day (20
interviews per hour at windows 6 hours per day). If windows are kept
open 8 hours, window capacity could be expanded well beyond State's
estimate of 23,400 interviews per year. Assuming windows are open 200
days a year, 20 interviews per hour for 8 hours would result in 32,000
interviews per window, per year.
[16] State assumes that officers would each typically adjudicate 16,000
NIV applications per year, although productivity varies depending on
conditions at a given post, according to State officials. State also
assumes that consular officers working in posts' American Citizen
Services section would typically handle 2,000 passport applications in
addition to other responsibilities, such as emergency services for
American citizens.
[17] State estimates the first-year costs of each roving adjudicator to
be $120,397 per person, and second-year costs to be $106,397. According
to State, career Foreign Service officers would have first-year costs
of about $400,000 and second-year costs of about $200,000.
[18] Fiscal year 2008 start-up costs were estimated to be about $6.5
million for this program, with ongoing costs of about $11.3 million in
fiscal year 2009 and $14.5 million in each of the fiscal years 2010 and
2011.
[19] State's plan for temporary adjudicators envisioned hiring 43
adjudicators in fiscal year 2008, 35 in fiscal year 2009, 24 in 2010,
and 15 in 2011. According to State officials, no temporary adjudicators
have been hired thus far in fiscal year 2008 because Mission Mexico has
not yet required them to keep up with workload. Some of the staff hired
in the latter years of the surge will be replacements due to turnover.
[20] The Foreign Service Institute is the federal government's primary
training institution for officers and support personnel of the U.S.
foreign affairs community, preparing American diplomats and other
professionals to advance U.S. foreign affairs interests overseas and in
Washington.
[21] The National Security Education Program provides fellowships to
enable graduate students to add a specialization in area study,
language study, or increased language proficiency to their graduate
education in exchange for a commitment to work for the federal
government.
[22] "Eligible family members" serve in embassies and consulates around
the world. State's Foreign Affairs Manual (3 FAM 8212(b)) defines an
eligible family member as a U.S. citizen spouse or a U.S. citizen child
who is at least age 18, and who, in either case, is on the travel
orders of a Foreign or Civil Service employee or uniformed service
member permanently assigned to or stationed at a U.S. Foreign Service
post or establishment abroad or at an office of the American Institute
in Taiwan abroad, and who does not receive a U.S. government retirement
annuity or pension based on a career in the U.S. Foreign, Civil, or
uniformed service.
[23] These off-site facilities are referred to as "Applicant Service
Centers."
[24] In January 2006, the Secretaries of State and Homeland Security
announced the Rice-Chertoff Joint Vision: Secure Borders and Open Doors
in the Information Age, which included the goal of developing efficient
processes to improve security while facilitating travel to the United
States. State has included off-site visa processing as part of this
joint vision statement.
[25] The pilot is being implemented by the company that currently
provides a telephone call center and appointment scheduling service to
NIV applicants in Mexico. State modified the existing contract with
this company to add these additional services. The contract expires on
January 31, 2009.
[26] This fee is in addition to the $131 visa application fee.
[27] Contractor employees are prohibited from providing advice or
guidance to visa applicants and are not to be involved in the visa
decision-making process.
[28] Monterrey waived interviews of certain NIV applicants as part of a
pilot program from August to December 2007. The post discontinued the
program after the departure of a cleared U.S. citizen employee who
collected and verified fingerprints without requiring the involvement
of a consular officer.
[End of section]
GAO's Mission:
The Government Accountability Office, the audit, evaluation and
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 GAO's Web site [hyperlink, http://www.gao.gov]. Each
weekday, GAO posts newly released reports, testimony, and
correspondence on its Web site. To have GAO e-mail you a list of newly
posted products every afternoon, go to [hyperlink, http://www.gao.gov]
and select "E-mail Updates."
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: [hyperlink, http://www.gao.gov/fraudnet/fraudnet.htm]:
E-mail: fraudnet@gao.gov:
Automated answering system: (800) 424-5454 or (202) 512-7470:
Congressional Relations:
Ralph Dawn, Managing Director, dawnr@gao.gov:
(202) 512-4400:
U.S. Government Accountability Office:
441 G Street NW, Room 7125:
Washington, D.C. 20548:
Public Affairs:
Chuck Young, Managing Director, youngc1@gao.gov:
(202) 512-4800:
U.S. Government Accountability Office:
441 G Street NW, Room 7149:
Washington, D.C. 20548: