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Border Security: State Department Should Plan for Potentially Significant Staffing and Facilities Shortfalls Caused by Changes in the Visa Waiver Program

GAO-08-623 Published: May 22, 2008. Publicly Released: Jun 23, 2008.
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Highlights

Under the Visa Waiver Program (VWP), citizens from 27 countries can travel to the United States visa free. Terrorism concerns involving VWP country citizens have led some to suggest eliminating or suspending the program, while the executive branch is considering adding countries to it. Legislation passed in 2007 led the Department of Homeland Security (DHS) to develop its Electronic System for Travel Authorization (ESTA), to screen VWP country citizens before they travel to the United States; if found ineligible, travelers will need to apply for a visa. GAO reviewed how (1) program elimination or suspension, (2) program expansion, and (3) ESTA could affect visa demand, resource needs, and revenues. We collected traveler, staffing, facilities, and cost data from the Department of State (State), DHS, and embassy officials and developed estimates related to the three scenarios above.

Recommendations

Recommendations for Executive Action

Agency Affected Recommendation Status
Department of State The Secretary of State should develop contingency plans for U.S. embassies in Visa Waiver Program countries to address the potential increases in visa demand that could result from program elimination. These plans would include identifying what options State has for providing additional resources and taking actions that could be needed, as well as the extent to which increased visa fee revenues would cover the cost of these resources.
Closed – Not Implemented
In response to the GAO recommendation, the Department of State (State) officials indicated that they did not develop formal contingency plans to address the potential increases in visa demand from elimination of the Visa Waiver Program. According to State officials, the possibility that the VWP would be eliminated would be unlikely. If the program was eliminated, embassies and consulates within VWP countries would be unable to process the more than 16 million travelers from Visa Waiver Program countries that would need visas under current resource constraints. Consular sections would be unable to process requests in a timely manner, especially in the short term. State officials indicated that they would reallocate resources to expand the consular sections at embassies and consulates, but reallocation would only ease the pressure slightly and not address long-term needs. In addition, elimination of the VWP would be disastrous for U.S. relations with the terminated country. Due to the unlikely nature of ending the Visa Waiver Program, State did not develop contingency plans.
Department of Homeland Security The Secretaries of Homeland Security and State should develop estimates of increased visa demand in Visa Waiver Program countries resulting from ESTA implementation. These estimates would include information on how many applicants can be expected to be rejected from ESTA and how many potential travelers can be expected to choose to come to the embassy for a visa.
Closed – Implemented
DHS agreed with our recommendation that it work with State to develop estimates of the impact of ESTA implementation on visa demand. DHS worked with State to coordinate ESTA screening methodologies and also performed an analysis to anticipate the number of ESTA applications that might not be approved, among other steps.
Department of State Based on these estimates, the Secretary of State should develop plans for how the department will manage the increased workload in the existing 27 Visa Waiver Program countries.
Closed – Implemented
Based on these estimates of ESTA applications approved and potentially rejected, State ran estimates in their own computer systems to determine the potential impact of ESTA implementation to consular operations in VWP partner countries. According to State officials, based on its review of the estimates, the number of rejected ESTA applicants that would need to apply for a visa at an embassy or consulate was too low to require any significant change in operations. State officials provided planning and outreach documents preparing posts for the implementation of ESTA and highlighting potential increases to the visa applicants. These documents identified steps individual VWP embassies and consulates could take to address the potential increased in demand from ESTA, including reallocating resources within the embassy as well as requesting additional resources from CA, such as TDY and When-actually-employed staff to help manage increased workload.
Department of State The Secretaries of Homeland Security and State should develop estimates of increased visa demand in Visa Waiver Program countries resulting from ESTA implementation. These estimates would include information on how many applicants can be expected to be rejected from ESTA and how many potential travelers can be expected to choose to come to the embassy for a visa.
Closed – Implemented
The Department of Homeland Security (DHS) worked with State to coordinate ESTA screening methodologies and performed analysis to anticipate the number of ESTA applications that might be approved and rejected.

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Topics

Cost analysisEmbassiesEmployee transfersEmployeesFacility constructionFederal facilitiesFeesForeign governmentsHomeland securityHuman capital planningInternal controlsInternational cooperationInternational relationsInternational travelPersonnel managementProgram evaluationProgram managementSecurity threatsStaff utilizationTerrorismTravelVisasWaiversCost estimatesProgram costsProgram implementation