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									                                         OMB Program Assessment Rating Tool (PART)
                                                  Direct Federal Programs
Name of Program: Visa and Consular Services
Section I: Program Purpose & Design (Yes,No, N/A)
                                                                                                                                                               Weighted
           Questions               Ans.                     Explanation                                         Evidence/Data                     Weighting     Score
1 Is the program purpose clear?     yes     Consular Affairs has a mission to administer        Immigration and Nationality Act of 1952 and         20%            0.2
                                            laws, formulate regulations and implement           subsequent amendments; Hague Convention on
                                            policies relating to the broad range of consular    Intercountry Adoption; Enhanced Border Security
                                            services provided to American citizens              and Visa Entry Reform Act; USA PATRIOT Act
                                            abroad.There are several activities that Consular
                                            Affairs manages including: American Citizen
                                            Services, passport issuance, and visa issuance.
                                            In general, the purpose of the Border Security
                                            Program is to protect American Citizens here
                                            and abroad and to safeguard US borders
                                            through improvements in consular systems and
                                            programs. However in the area of safeguarding
                                            U.S. borders, the Administration has proposed
                                            and Congress supported the transfer to the
                                            Secretary of Homeland Security control over the
                                            issuance and denial of visas to enter the United
                                            States. Transfer of the visa policy function
                                            would provide greater emphasis post September
                                            11 to protection of U.S. borders.




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                                                                                                                                                                                  Weighted
            Questions                    Ans.                   Explanation                                            Evidence/Data                                 Weighting     Score
2 Does the program address a             yes    Consular Affairs programs address diverse          Programs address national security needs of (a)ensuring             20%            0.2
  specific interest, problem or need?           interests, issues and problems, including          against travel into the US by terrorists or persons whose
                                                national security, visa and passport services      presence may be inimical to US national security interests or
                                                and American Citizen Services.                     violates immigration laws;(b)ensuring that US passports are
                                                                                                   issued to US citizens in a timely and effective manner,with
                                                                                                   max. document integrity; and (c)ensuring that USG
                                                                                                   assistance is available to any American traveling or living
                                                                                                   abroad.Consular services to US citizens include:helping
                                                                                                   Americans in death cases,arrests,robberies,citizenship and
                                                                                                   nationality issues,Fed. benefits,int'l parental child abduction
                                                                                                   and adoptions.Consular Affairs (CA) will issue approx. 7
                                                                                                   million Passports in FY02;adjudicate more than 7.5 million
                                                                                                   non-immigrant visas,and approx. 500,000 immigrant
                                                                                                   visas.Through the American Citizen Services function, the
                                                                                                   program is available to assist the 3.2 million Americans
                                                                                                   living abroad and all Americans traveling overseas.
                                                                                                   Americans make about 60 million trips overseas each year.
                                                                                                   In FY01 the Department processed 749 repat. loans to
                                                                                                   citizens in distress overseas.




3 Is the program designed to have a      yes    Consular Affairs are designed to have a            State Department Budget in Brief 2003.                              20%            0.2
  significant impact in addressing the          significant impact on the needs of American        Department of State FY 2003 Performance Plan
  interest, problem or need?                    citizens traveling or living abroad. Because the
                                                programs are funded solely by fees, there is
                                                significant risk that the programs may not be
                                                able to finance activities in a post-911
                                                environment where the costs of administering
                                                programs including additional security
                                                requirements may exceed the ability of the
                                                programs to meet revenue targets.




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                                                                                                                                                                         Weighted
            Questions                    Ans.                    Explanation                                         Evidence/Data                          Weighting     Score
4 Is the program designed to make a      yes    CA programs are not redundant with other             Consular Affairs (CA) operates under the                 20%            0.2
  unique contribution in addressing             fed.programs,particularly the homeland security      Immigration and Naturalization Act. The CA
  the interest, problem or need (i.e.,          efforts of other agencies. DoSBorder Security        bureau's Consolidated Consular Database (CCD)
  not needlessly redundant of any               complements existing border security agencies        was developed as part of the Border Security
  other Federal, state, local or                (such as INS and Customs) by providing initial       Program (BSP). Under the datashare initiative, CA
  private efforts)?                             screening through the visa process of visitors       provides information that is shared among all border
                                                and immigrants before travel to the US.Data is       security agencies; CA provides travel advisories to
                                                then shared electronically with agencies             American citizens regarding conditions overseas. CA
                                                responsible for the border inspection                provides USG information sheets and travel
                                                process.DoS has the sole USG authority to issue      warnings notifying AmCits of any dangerous
                                                passports.In addition,CA has a unique role in        situations abroad. DoS (through CA) is the central
                                                assisting US citizens in distress overseas           authority for the Hague Convention on Intercountry
                                                through a repatriation program;consular info         Adoptions and has similar authorities in terms of
                                                sheets; and assistance to parents in cases of        international child abductions.
                                                adoption and/or abduction.The Office of
                                                Overseas Citizens Services advises and
                                                supports Embassies and Consulates around the
                                                world in such matters as
                                                deaths,arrests,robberies,citizenship and
                                                nationality, Federal benefits, notarization of
                                                docs, int'l parental child abduction and
                                                int'ladoptions. CA also assists the public through
                                                the issuance of Consular Info Sheets, Travel
                                                Warnings and Public Announcements
                                                concerning conditions in countries where
                                                Americans may be planning to visit or reside.




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                                                                                                                                                                               Weighted
            Questions                   Ans.                    Explanation                                           Evidence/Data                              Weighting      Score
5 Is the program optimally designed      No    Consular Affairs are fee funded with revenues        Since September 11, 2001, NIV demand has fallen                20%             0.0
  to address the interest, problem or          derived from fees charged to applicants for non-     significantly, contributing to a $200 million shortfall in
  need?                                        immigrant visas. In the past year, the fall in NIV   FY 2003. The budget gap also reflects the cost of
                                               demand, due to worldwide economic conditions         enhanced overseas visa screening initiatives
                                               and the aftermath of the events of September         implemented since September 11, 2001 in the USA
                                               11, 2001, has resulted in a lower revenue base       PATRIOT Act and the Enhanced Border Security
                                               which will be insufficient to support the rising     and Visa Entry Reform Act.
                                               resource requirements needed to support
                                               program initiatives mandated by the USA
                                               PATRIOT of 2001 and the Enhanced Border
                                               Security and Visa Entry Reform Act of 2002.
                                               Relying on fee receipts for operational costs
                                               leaves base program costs vulnerable to a
                                               significant shortfall if receipts are reduced. In
                                               2002 the State Department raised the fee from
                                               $65 to $100 in response to rising costs against
                                               falling visa demand (which has created a lower
                                               revenue base). And in FY 04 an additional fee
                                               increase is recommended after a cost of service
                                               analysis is completed by State.




Total Section Score                                                                                                                                                100%           80%


Section II: Strategic Planning (Yes,No, N/A)
                                                                                                                                                                               Weighted
            Questions                   Ans.                    Explanation                                           Evidence/Data                              Weighting      Score




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                                                                                                                                                                         Weighted
           Questions                    Ans.                    Explanation                                           Evidence/Data                         Weighting     Score
1 Does the program have a limited       Yes    Consular Affairs has developed broad long-term        DoS Accountability Report; DoS Performance Plan,         15%            0.2
  number of specific, ambitious long-          outcome goals but has insufficient annual             DoS Strategic Plan. CA's long term goals are listed
  term performance goals that focus            targets, measures and goals. CA is aimed at           in Section IV. The goals include: to enhance citizen
  on outcomes and meaningfully                 protecting the safety of American citizens who        services by developing an on-line registration
  reflect the purpose of the program?          travel and live abroad and facilitating travel to     system; and to collect a biometric for passport and
                                               the U.S. by legitimate foreign visitors, immigrants   visas.
                                               and refugees, while deterring entry by those who
                                               might abuse our immigration system or threaten
                                               national security. Consular Services seek to
                                               ensure the following outcomes: (1) U.S. citizens
                                               have the information, services and protection
                                               they need to reside or travel abroad; (2) Timely
                                               and effective passport issuance, with document
                                               integrity assured; (3) Timely and effective visa
                                               issuance; reduction of visa fraud.




2 Does the program have a limited       Yes    Consular Affairs has performance goals that           The Department of State's annual Performance Plan        15%            0.2
  number of annual performance                 measure outputs that are discrete, quantifiable       includes sections on American Citizens and Border
  goals that demonstrate progress              and measurable however they are not                   Security that relate to the Border Security Program.
  toward achieving the long-term               necessarily the outputs that are essential to track   These sections specify actions to be taken during
  goals?                                       and that obviously lead to the long term              the year to further the output goals and provide
                                               goals.The annual outcome goals and targets            baselines and progress during previous years, as
                                               need to be revised to reflect greater linkage to      well as targets for future achievement. The
                                               the longer term goals. For example, one FY00          performance goals and results are listed in the FY
                                               goal is: Some posts allow registration on line; or    2003 Department of State Performance Plan . The
                                               in 2001 - Assessment of registration and warden       Department's FY 2001 Accountability Report,
                                               list services completed. The information might be     honored by the Association of Government
                                               useful and could continue to be measured but          Accountants for excellence in accountability
                                               the linkage of those to the longer term goals is      reporting, provides additional information on
                                               weak compared to other annual goals that could        progress towards the goals.
                                               be used as primary targets. We look forward to
                                               working with DoS over the next year to revise
                                               these measures to make them more outcome
                                               rather than output based and that clearly
                                               measure outputs and outcomes that lead to the
                                               long term targets.




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                                                                                                                                                                              Weighted
            Questions                    Ans.                   Explanation                                         Evidence/Data                                Weighting     Score
3 Do all partners (grantees, sub-         No    Most major contracts incorporate performance     The National Passport Center(NPC),the Charleston                  15%            0.0
  grantees, contractors, etc.) support          standards that identify program requirements     Passport Center(CPC),the National Visa Center(NVC)and
  program planning efforts by                   and deliverables. However, not all contractors   the Kentucky Processing Center(KPC)depend on
  committing to the annual and/or               have to measure and report on their              contractors as do the temp. processing facilities located
                                                                                                 along US-Mex.Border.CA has a call center contract that
  long-term goals of the program?               performance as it directly relates to program
                                                                                                 answers calls from AmCits seeking general information on
                                                goals.
                                                                                                 con.services.Without this support,CA would not be able to
                                                                                                 meet demand for passports,meet the legal mandate under
                                                                                                 the INA to issue visas to eligible applicants,meet the
                                                                                                 Cong.mandate of the BCC program or effectively support
                                                                                                 AmCits seeking con.services.TheNVC contractor provides
                                                                                                 presentations on their perf.(see draft presentation).The
                                                                                                 passport services contract includes a disc. of the purpose of
                                                                                                 the procurement as well as a disc. of the mission of passport
                                                                                                 services.Tasks are identified in support of this mission.A
                                                                                                 copy of contractor tasks in support of the BCC program is
                                                                                                 attached. In the area of AmCit Services, DoS hosted an
                                                                                                 Adoption Conference on Nov.14-15,2002. CA also
                                                                                                 participates in the U.S. German Bilateral Wkg. grp. on int'l
                                                                                                 parental child abduction isssues.




4 Does the program collaborate and       yes    CA provides electronic data on the visa          During FY02,datashare efforts with other agencies                 15%            0.2
  coordinate effectively with related           records of aliens to other border security       improved greatly, as evidenced by the number of
  programs that share similar goals             agencies. The data is stored in CA's             records in CLASS . There are now 12 million
  and objectives?                                                                                records, (up from 4 million prior to September 11.)
                                                Consular Lookout and Support System
                                                                                                 These records were obtained from the FBI. The Dept
                                                (CLASS) and is made available to other
                                                                                                 (through CA's Passport Services Directorate) is an
                                                agencies via the CCD. Since 9/11/01CA has        active participant in ICAO meetings, which sets
                                                made progress with other agencies to share       international standards for travel documents.
                                                data and share it in a timely way. Prior to      Passport Services also is a member of a five nation
                                                9/1/01 not all law enforcement agencies          consortium that meets each year to discuss
                                                were forthcoming or timely with their            international passport issues. DoS has an
                                                provision of information to DoS (including       agreement with the DoJ that will provide support to
                                                people on watch lists). Lack of sharing          American citizens who are victims of terrorism and
                                                information or delays to datasharing by          other crimes while abroad. DoS also hasan MOU
                                                                                                 with SSA in which CA provides information to the
                                                other agencies can hinder the ability of
                                                                                                 SSA on certain immigrant visas.
                                                Consular Affairs staff to do their job
                                                responsibly. In addition to datasharing, CA
                                                also participates in the Hague Convention
                                                on Intercountry Adoption and the Hague
                                                Child Abduction Convention.


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                                                                                                                                                                             Weighted
           Questions                    Ans.                     Explanation                                           Evidence/Data                            Weighting     Score
5 Are independent and quality           yes    Due particularly to the potential for fraud in these   GAO frequently conducts reviews of visa processes.          15%            0.2
  evaluations of sufficient scope              programs, Consular Affairs frequently looks to         Most recently, GAO drafted a report GAO-03-132 on
  conducted on a regular basis or as           strengthen its systems through internal IV&V           Visa programs titled, "Visa Process Should be
  needed to fill gaps in performance           processes, management controls and through             Strengthened as an Antiterrorism Tool." This report
  information to support program               independent evaluations. GAO frequently                released on 10/21/02 addresses many shortfalls in
  improvements and evaluate                    conducts reviews of visa processes and the             program effectiveness and makes useful
  effectiveness?                               Department has a Critical Infrastructure Program       recommendations; and the Department has a Critical
                                               that reviews CA systems initiatives. CA prepares       Infrastructure Program that reviews CA systems
                                               an in-depth review of all processes and costs in       initiatives. CA prepares an in-depth review of all our
                                               order to update consular fees annually. In             processes and costs in order to update consular
                                               addition, the IG reviews CA programs regularly.        fees annually. The IG reviews CA programs
                                               The GAO visa report released on 10/21/02               regularly. Diplomatic Security performs security
                                               evaluated the portion of CA that deals                 audits on IT systems; in addition, a report was
                                               specifically with visa processing and interagency      prepared by an independent evaluator (Sandia
                                               data sharing and makes recommendations                 Laboratories--portions are classified) on the integrity
                                               regarding how to improve effectiveness of the          of visa and passport systems; the University of
                                               program and interagency coordination post 9/11.        Michigan conducted customer satisfaction surveys;
                                                                                                      and CA regularly hires an independent contractor to
                                                                                                      perform a Cost of Service Study.




6 Is the program budget aligned with    yes    CA has a consistent, defensible way to display         Annual Bureau Performance Plan, Consular                    15%            0.2
  the program goals in such a way              the full cost of achieving performance targets.        Package; Annual Cost of Service Study; Annual
  that the impact of funding, policy,          CA programs are linked to resource needs               Department of State Performance Plan. As a fully
  and legislative changes on                   through the Department's performance plan and          fee funded program, CA has (until recently), been
  performance is readily known?                budget. Consular Affairs identifies the costs of       able to accommodate legislative changes through
                                               each of its major activities annually in its Cost of   revenues. For example, when mandated by
                                               Service Study including: Visa Processing,              Congress to implement a fingerprint program, the
                                               American Citizen Services and Passport                 legislation allowed DoS to charge a fee for
                                               Services. Total costs are reflected in the fees        fingerprints taken.The Diversity Fee was established
                                               charged for each of the various consular               specifically to allow DoS to implement the Diversity
                                               services.                                              Lottery Program. Since FY94, the MRV fee
                                                                                                      (currently $100) supported the Border Security
                                                                                                      Program.




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                                                                                                                                                                     Weighted
           Questions                 Ans.                    Explanation                                         Evidence/Data                         Weighting      Score
7 Has the program taken meaningful   Yes    CA consistently responds to deficiencies             Numerous telegrams containing instructions to field     10%             0.1
  steps to address its strategic            identified from internal management reviews and      offices around the world concerning procedures to
  planning deficiencies?                    independent reviews (from Congress, IG, GAO).        be followed address the deficiencies noted in GAO
                                            Over the past year CA has undertaken a               and OIG reports and other potential vulnerabilities
                                            comprehensive review of all passport and visa        (see copies of cables); OIG reports, including a
                                            processes to reveal and respond to any potential     report on the American Citizen Services area, and a
                                            vulnerabilities that could compromise national       report of Passport Agency cashiering procedure.
                                            security. CA has modified relevant performance       The OIG is currently working on a worldwide visa
                                            plans to adjust to new responsibilities (which       assessment (undertaken at the request of the Hill),
                                            include: the gathering of increased biometric        The report was completed by the OIG in October
                                            information, electronic data entry for all visa      2002. GAO reports: GAO-03-132, Job Code
                                            applicants, filing all rejected visa applications,   320087; "Border Security: Visa Process Should be
                                            and multiple finger print data). Consular Affairs    Strengthened as an Anti-terrorism Tool," and GAO-
                                            has moved issuance of passports from overseas        02-952, "Biometrics in Border Control."
                                            to National Passport Center; issued various
                                            cables and other guidance to posts setting forth
                                            the new revised visa procedures and processes.
                                            There are still additional steps that need to be
                                            taken to address all identified strategic planning
                                            deficiencies particularly those problems related
                                            to visa processing which were identified after
                                            9/11 and then again in the October 2002 GAO
                                            report on the Border Security program.




Total Section Score                                                                                                                                      100%           85%


Section III: Program Management (Yes,No, N/A)
                                                                                                                                                                     Weighted
           Questions                 Ans.                    Explanation                                         Evidence/Data                         Weighting      Score




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                                                                                                                                                                          Weighted
           Questions                   Ans.                    Explanation                                          Evidence/Data                            Weighting     Score
1 Does the agency regularly collect    Yes    The CA bureau has developed the Consolidated         Data from the CCD helps CA identify workload and            15%            0.2
  timely and credible performance             Consular Database (CCD) that captures real-          fraud trends. Consular Affairs also obtains significant
  information, including information          time workload data from overseas. CA also            data from non-CA bureau staff at posts overseas.
  from key program partners, and              conducts an annual survey of posts seeking           CA monitors INS card production capacity closely via
  use it to manage the program and            information on consular workload, management         an interagency agreement. The agreement sets
  improve performance?                        and resource issues.CA works with other              forth card production levels for INS which they must
                                              agencies, including the INS and FBI, to identify     meet. CA reimburses INS based on this production
                                              opportunities where data collected by DoS may        level. A copy of the agreement is attached. For the
                                              be useful to other agencies. Unfortunately, other    acceptance agencies, State monitors the facilities
                                              agencies are not always forthcoming with all of      and their performance via continuous liaison work
                                              their information which can effect DoS program       (training sessions, manuals, acceptance agent
                                              operations.CA staff is also currently revising the   conferences, etc.) to ensure that they are accepting
                                              data entered into all automated systems so that      passports in accordance to the INA. A lockbox
                                              information can be shared immediately with           agreement has been provided as evidence.
                                              concerned law enforcement and intelligence
                                              agencies.DoS also has an effective partnership
                                              with the USPS to provide a network of passport
                                              acceptance agents. CA also works closely with
                                              the Treasury Dept. to set up lockbox networks
                                              that collect consular fees domestically. These
                                              lockbox agreements set forth production
                                              standard and processes that the lockbox banks
                                              must adhere to.




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                                                                                                                                                                        Weighted
            Questions                    Ans.                   Explanation                                         Evidence/Data                          Weighting     Score
2 Are Federal managers and                no    No, federal managers, program partners, and        CA has interagency agreements that set forth              15%            0.0
  program partners (grantees,                   contractors are not held fully accountable for     production standards for all lockbox operations (both
  subgrantees, contractors, etc.) held          cost, schedule and performance results.            visa and passport operations) .CA works with the
  accountable for cost, schedule and            However, contracts awarded do identify project     Treasury Department (the agency that coordinates
  performance results?                          requirements and deliverables that support         all lockbox agreements for the government)
                                                program objectives. Federal program partners       whenever there is a performance problem with
                                                are held accountable for performance to the        lockbox operations. CA determines, with Treasury, if
                                                extent that they are committed to the terms of     any remedial action should be taken against the
                                                interagency MOU's but to no greater extent.        lockbox banks. Under the BCC program, CA works
                                                Federal partners are members of several            closely with the INS in monitoring card production
                                                interagency working groups that discuss CA         levels.
                                                issues, particularly data sharing and visa
                                                requirements (eg.SEVIS and INS Entry Exit
                                                System working groups) but true cost of services
                                                are rarely made apparent in these discussions.



3 Are all funds (Federal and             yes    Consular Affairs obligates at a rate exceeding     DoS provides programmatic and performance                 15%            0.2
  partners’) obligated in a timely              99% of planned obligations, minimizing the         justification for Consular Affairs and the Border
  manner and spent for the intended             carryforward of planned spending amounts.          Security Program spending in the Department
  purpose?                                                                                         Budget in Brief, Congressional Presentation
                                                                                                   Document, and baseline reprogramming
                                                                                                   notifications; Apportionments; and D&CP Program
                                                                                                   and Financing Schedules.




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                                                                                                                                                                        Weighted
           Questions                  Ans.                    Explanation                                          Evidence/Data                           Weighting     Score
4 Does the program have incentives    yes    Consular Affairs reviews its costs and personnel     The Cost of Service study provides a complete cost         15%            0.2
  and procedures (e.g., competitive          requirements in cost of service studies. All costs   analysis of all consular operations. CA has
  sourcing/cost comparisons, IT              and services can be measured by units and            competitively sourced almost all of its non-
  improvements) to measure and               targets. In addition, Consular Affairs is required   governmental functions in the areas of passport
  achieve efficiencies and cost              to submit annual reports to OMB on IT                processing as well as visa processing, particularly at
  effectiveness in program                   performance (OMB Exhibit 300's). All                 the National Visa Center (NVC), Kentucky Consular
  execution?                                 acquisitions are in accordance with the              Center (KCC), the National Passport Center (NPC)
                                             Department and GSA acquisition guidelines. CA        and the Charleston Passport Center (CPC). These
                                             examines work processes to determine whether         processing facilities have enabled CA to recognize
                                             competitive sourcing is an option (under the         economies of scale in visa and passport processing
                                             FAIR Act) and when competitive sourcing is           and have allowed CA to shift visa work from more
                                             possible and contractors are available CA            expensive overseas location to the US. To make fee
                                             utilizes their services. Approximately 50 percent    collections more efficient, CA has redesigned its
                                             of the overall domestic labor requirements of the    consular cash registers (ACRS). CA now has
                                             Bureau of Consular Affairs are obtained through      capability to accept credit card payments for
                                             competitive sourcing.                                consular fees overseas. CA has re-engineered the
                                                                                                  software used by American Citizen Services office
                                                                                                  so that they can better track their citizen services
                                                                                                  cases. CA continues to use off-site banks overseas
                                                                                                  to collect MRV fees, thereby avoiding the cost of
                                                                                                  establishing large cashiering operations overseas.
                                                                                                  Also see Exhibit 300's, FAIR Act




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                                                                                                                                                                  Weighted
            Questions                    Ans.                   Explanation                                          Evidence/Data                   Weighting     Score
5 Does the agency estimate and           Yes    The direct hire employees of the              Cost of Service Study; Consular Services Fee             15%            0.2
  budget for the full annual costs of           Department of State and their benefits and Schedule
  operating the program (including all          related overhead are budgeted through the
  administrative costs and allocated            Department's central salaries account. All of
  overhead) so that program
                                                the program annual costs are budgeted
  performance changes are identified
  with changes in funding levels?
                                                through the budget process and do include
                                                the full annual costs of operating the
                                                program. In addition, CA conducts a
                                                periodic review of all costs in order to
                                                determine if the fees charged for services
                                                are appropriate. The study examines both
                                                direct and indirect costs.




6 Does the program use strong            yes    Several years ago, visa and passport processes      Department's accountability report; Consular       15%            0.2
  financial management practices?               were identified as material weaknesses in the       Management Handbook; template MOU for
                                                FMFIA. In FY 2000 and FY 2001 both                  overseas posts desiring to set up off-site fee
                                                processes were taken off this list. The bureau      collection with banks.
                                                has not received any negative reports from the
                                                CFO on this matter and revenue data is
                                                reviewed on a monthly basis. CA provides
                                                updated guidance to posts on how to handle fee
                                                collections annually.The CA bureau continues its
                                                efforts to review all processes to ensure against
                                                any visa and passport vulnerabilities. CA is
                                                taking steps to address specific deficiencies
                                                noted in GAO and OIG audits.




   7/22/2010                                                                                                                                                 FY 2004 Budget
   9819f611-c67f-4634-a851-9dfb1ab82fc5.xlsPART Qs & Section Scoring                       12                                                                    Fall Review
                                                                                                                                                                        Weighted
           Questions                 Ans.                     Explanation                                             Evidence/Data                       Weighting      Score
7 Has the program taken meaningful   Yes    DoS is taking steps to address management                 Draft GAO Report "Visa Process Should be              10%             0.1
  steps to address its management           deficiencies. Prior to 9/11, overseas consular sections   Strengthened as an Antiterrorism Tool." GAO-03-
  deficiencies?                             had substantial discretion in determining the level of    132. Numerous telegrams contained instructions to
                                            scrutiny applied to visa applications and encouraged      field offices around the world reminding them of
                                            streamlined procedures to provide better customer
                                                                                                      existing management control responsibilities and
                                            service and deal with a large workload. Since 9/11 DoS
                                                                                                      providing guidance on new procedures to be
                                            has doubled the number of names on the lookout
                                            system, revised the clearance processes to weed out       instituted to improve management.
                                            suspected terrorists, consular officers spend more time
                                            reviewing applications and interviewing applicants, and
                                            data sharing between agencies has increased.
                                            However, there are still varied practices among
                                            posts:visa policies are moving targets as they are
                                            revised due to legislation and need; non-State agencies
                                            and State do not always agree on the amount of data to
                                            share or timeliness of datasharing practices;visa
                                            officers need more uniform training regarding how to
                                            review applications, who to reject and accept, and how
                                            long to grant the visa; and how to balance security
                                            concerns or new procedures with the need to promote
                                            legitimate travel to the US.




Total Section Score                                                                                                                                         100%           85%


Section IV: Program Results (Yes, Large Extent, Small Extent, No)
                                                                                                                                                                        Weighted
           Questions                 Ans.                     Explanation                                             Evidence/Data                       Weighting      Score




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                                                                                                                                                                                                  Weighted
           Questions                         Ans.                          Explanation                                                  Evidence/Data                                Weighting     Score
1 Has the program demonstrated            large extent The goal of CA has been to protect AmCits here and            DoS Perf. Plan,DoS Accountability Report, Exhibit 300 's for      25%            0.2
  adequate progress in achieving its                    abroad and safeguard US borders through                      IT&Budget in Brief.Other evidence:(a)BSPfunds the salaries
  long-term outcome goal(s)?                            improvements in consular systems and programs.               of over 2,100 FT consular officers and support
                                                        Accomplishments include the development,                     personnel;(b)data from CCD (incl.photo of applicant) is now
                                                        implementation and provision of:(a)the necessary staff       transmitted in approx. real time to CCD in DC from every
                                                        to meet visa demand overseas;(b)a CCD that allows            consular post WW;(c)CA has implemented a 3yr.equipment
                                                        officers to make better decisions during visa                replacement cycle and 18mo. training cycle to support
                                                        adjudication;(c)modernized equipment to consular             overseas and domestic consular op's and currently
                                                        sections overseas;(d)better lookout systems;(e)              upgrading software applications to better track citizen
                                                        Congressionally mandated BCC program;(f)a                    services cases;(d)strengthened Consular Lookout and
                                                        photodization program. A future long-term goal is            Support System (CLASS) namecheck system by designing
                                                        collection of a biometric from travelers and incorporating   algorithms that improve searches of Russo-Slavic, Arabic
                                                        it into the visa and passport travel documents, required     and Hispanic names(CLASS is critical to prevent those who
                                                        by the Dept. of Homeland Security. CA anticipates            abuse US immigration laws or who threaten nat'l security
                                                        phasing in this program (FY04 to 07).CA will continue to     from entering the US);(e)issued over 8 million biometric and
                                                        protect AmCits who live and travel abroad. A long-term       machine readable Border Crossing Cards since the
                                                        goal is to develop an on-line registration system. CA        program's inception in '98;(f)all passports are now printed
                                                        has developed outreach programs to provide the Am.           using photodigitization process (the direct printing of photo
                                                        public with a better awareness of consular services          and biographic data into the passport).The Dept's
                                                        available, and CA continues the repat. program for           presentation to OMB 9/4/02outlines continued
                                                        AmCits in distress and the victims assistance prog.          improvements.




                     Long-Term Goal I: Protect the safety of American Citizens who travel and live abroad.
                               Target:       2004 On-line registration system will be able to deliver travel safety information to citizens as they register.
       Actual Progress achieved toward FY2000: Some posts allow registration on line; 2001 - Assessment of registration and warden list services completed
                                  goal:
                    Long-Term Goal II: Timely and Effective Passport Issuance with document integrity assured.
                              Target:

                                                 2006 Development of biometric collection program for all US passports
       Actual Progress achieved toward                This is a new goal for FY 2003. Collection of      Meetings with international groups: to discuss
                                  goal:               both a biometric in the passport and visa involve the issue: ICAO (International Civil Aviation
                                                      similar issues (see section below on biometric for Organization. This is an agency of the UN with
                                                      visas).
                                                                                                         the mandate for setting travel document
                                                                                                         standards and usage.


                                                 2002
                    Long-Term Goal III: Facilitate travel to the US by qualified foreign visitors, immigrants and refugees while preventing entry by those who abuse US immigration laws or threaten
                                          national security




  7/22/2010                                                                                                                                                                                  FY 2004 Budget
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                                                                                                                                                                                      Weighted
            Questions                        Ans.                      Explanation                                       Evidence/Data                           Weighting             Score
                                Target:          2006 Development of biometric collection program for all visas

       Actual Progress achieved toward           2002 This is a new goal for FY 2003: During FY 2002, Since 1998, CA has issued over 8 million travel
                                  goal:               CA has had extensive discussions with the         cards with a biometric as part of the Border
                                                      Office of Homeland Security and the Department Crossing Card Program.The BCC program
                                                      of Justice to determine what will be required
                                                                                                        serves as evidence of DoS success in
                                                      (such as the number of prints to be taken, what
                                                                                                        biometric collection and will serve as the
                                                      type of information will be required in the new
                                                      travel document, etc). CA plans to use the        baseline for our biometric efforts. CA has
                                                      Border Crossing Card program, which since         working groups with other agencies to discuss
                                                      1998 has collected and used biometric indicators datasharing issues. : Datashare Interagency
                                                      - a photo and two fingerprints - as the model for Working Group; SEVIS Technical Working
                                                      implementing the visa biometric project.To the    Group, Working group with DoJ and NIST to
                                                      extent thatCA has had many constructive           develop biometric technology standard.
                                                       meetings on this issue, efforts in FY 2002 have
                                                       been successful. During FY 2003 CA will begin
                                                       initial planning and development (with other
                                                       agencies) of more defined requirements.



2 Does the program (including program small extent In the area of citizen services, DoS will continue    Travel warnings and other travel safety information          25%                 0.1
  partners) achieve its annual                     to serve the American public by providing US          are published on the Consular Affairs web site:
  performance goals?                               citizens with travel warnings and timely consular     travel.state.gov. CA continuously monitors workload
                                                   information sheets. CA will continue to meet          and work in progress.
                                                   passport workload to ensure timely passport
                                                   issuance.



                            Key Goal I: Protect the safety of American Citizens who travel and live abroad.
                   Performance Target: Percentage of Consular Information Sheets that are revised on an annual basis.
                   Actual Performance: FY 2000: 64% of all consular information sheets were revised; FY 2001: 76%; FY 2002: 73%; (as of August). FY 2003 performance
                                          target: 100% of all consular information sheets are revised.

                           Key Goal II: Timely and Effective Passport Issuance with document integrity assured
                   Performance Target: Number of weeks in which passport services' work in progress was less than three times the number of weekly passport applications.
                   Actual Performance: FY 2000: baseline (not measured): FY2001: 100%; FY 2002: 100% (for the most recent week, passport work in progress was equal to 1.6 times
                                          weekly receipts

                           Key Goal III: Facilitate travel to the US by qualified foreign visitors, immigrants and refugees while preventing entry by those who abuse US immigration laws or threaten
                                          national security



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                                                                                                                                                                                  Weighted
           Questions                   Ans.                       Explanation                                        Evidence/Data                            Weighting            Score
                 Performance Target: Percent of visa applications stored in accordance with requirements of PL 107-173.
                 Actual Performance: This is a new requirement mandated by the Enhanced Border Security and Visa Entry Reform Act of 2002 (PL 107-173). FY 2002: 0% are stored in
                                    accordance with this legislation; FY2003: 100% stored in accordance with legislation. As a first step toward the goal, CA is currently retaining paper
                                    files and preparing for storage in a federal records center. In FY2003 CA's goal is to begin implementation of the law. Storage of this information will have
                                    significant advantages for the US law enforcement and intelligence agencies.


                                    Footnote: Performance targets should reference the performance baseline and years, e.g. achieve a 5% increase over base of X in 2000.
3 Does the program demonstrate       large extent Each year CA reassess costs to find the      National Passport Center is now issuing                            25%                  0.2
  improved efficiencies and cost                  most cost-effective way to implement the     photodigitized passports for overseas
  effectiveness in achieving program              many new security requirements in visa and   applicants. DoS an agreement with the GSA for
  goals each year?                                passport processing. For example,            construction of a storage facility (work order
                                                 overseas posts are no longer issuing          has been issued) and we have almost
                                                 passports. Instead they are being issued at completed the computer center at the KCC.
                                                 the National Passport Center using the
                                                 more secure photodigitization process. It
                                                 would not have been cost effective to install
                                                 expensive photodigitization equipment at
                                                 every post.CA is maximizing the
                                                 effectiveness of the processing facility in
                                                 Kentucky by using it as storage facility as
                                                 well for certain visa application files that
                                                 must be retained for national security
                                                 reasons.Posts do not have the space nor
                                                 resources to store these files. KCC will also
                                                 be the location of a backup computer center
                                                 for our consular systems in Washington.

4 Does the performance of this           n/a                                                                                                                       0%
  program compare favorably to
  other programs with similar
  purpose and goals?




  7/22/2010                                                                                                                                                                FY 2004 Budget
  9819f611-c67f-4634-a851-9dfb1ab82fc5.xlsPART Qs & Section Scoring                          16                                                                                Fall Review
                                                                                                                                                                                         Weighted
            Questions                        Ans.                           Explanation                                               Evidence/Data                        Weighting      Score
5 Do independent and quality              large extent CA programs are heavily scrutinized, particularly after        Visa and Consular programs are frequently reviewed     25%             0.2
   evaluations of this program indicate                 9/11/01. There are many evaluations performed by              and audited by the GAO, the OIG, other bureaus at
   that the program is effective and                    independent orgs. and by other bureaus within the State       the State Department (Accountability Report and
   achieving results?                                   Dept. Visa and passport services are, for the most part,      Performance Report). Draft GAO report "Visa
                                                        currently achieving the intended results. However, due
                                                                                                                      Process Should Be Strengthened as an Antiterrorism
                                                        to gaps in datasharing between agencies, actual
                                                                                                                      Tool" GAO-03-132; GAO-02-1028: Border Security:
                                                        information gathered by CA and other agencies and
                                                        workload requirements prior to 9/11 border security may       Visa Process Should Be Strengthened as an Anti-
                                                        not have been as effective as it could have been. DoS         terrorism Tool. GAO-02-952:"Biometrics in Border
                                                        is taking steps to achieve the goals of the program.          Control"; Report from Sandia Laboratories; DS
                                                        Prior to 9/11/01, overseas consular sections had              Security Reviews of IT Systems
                                                        substantial discretion in determining the level of scrutiny
                                                        applied to visa applications and encouraged streamlined
                                                        procedures to provide better customer service and deal
                                                        with a large workload. Since 9/11/01 DoS has doubled
                                                        the number of names on the lookout system, revised
                                                        the clearance processes to weed out suspected
                                                        terrorists, consular officers spend more time reviewing
                                                        applications and interviewing applicants, and data
                                                        sharing between agencies has increased. However,
                                                        there are still varied practices among posts:visa policies
                                                        are moving targets as they are revised due to legislation
                                                        and need; non-State agencies and State do not always
                                                        agree on the amount of data to share or timeliness of
                                                        datasharing practices;visa officers need more uniform
                                                        training regarding how to review applications, who to
                                                        reject and accept, and how long to grant the visa; and
                                                        how to balance security concerns or new procedures
                                                        with the need to promote legitimate travel to the US.



Total Section Score                                                                                                                                                          100%           59%




   7/22/2010                                                                                                                                                                        FY 2004 Budget
   9819f611-c67f-4634-a851-9dfb1ab82fc5.xlsPART Qs & Section Scoring                                       17                                                                           Fall Review

								
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