USPTO Performance and Accountability Report - U.S. Patent and ...

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114 INDEPENDENT AUDITORS’ REPORT November 15, 2012 MEMORANDUM FOR: David J. Kappos Under Secretary of Commerce for Intellectual Property and Director of the U.S. Patent and Trademark Office FROM: Todd J. Zinser SUBJECT: FY 2012 Financial Statements Final Report No. OIG-13-004-A I am pleased to provide you with the attached audit report, which presents an unqualified opinion on USPTO’s fiscal year 2012 financial statements. KPMG LLP, an independent public accounting firm, performed the audit in accordance with U.S. generally accepted government auditing standards and Office of Management and Budget Bulletin 07-04, Audit Requirements for Federal Financial Statements, as amended. In its audit of USPTO, KPMG found: � financial statements that were fairly presented in all material respects and in conformity with U.S. generally accepted accounting principles; � one significant deficiency related to controls over general information technology (this deficiency was not considered a material weakness in internal control as defined in the report); and � no instances of reportable noncompliance with applicable laws, regulations, and contracts. My office oversaw the audit performance. We reviewed KPMG’s report and related documentation and made inquiries of its representatives. Our review disclosed no instances where KPMG did not comply, in all material respects, with generally accepted government auditing standards. However, our review cannot be construed as an audit in accordance with these standards; it was not intended to enable us to express—nor do we express—any opinion on USPTO’s financial statements, conclusions about the effectiveness of internal controls, or conclusions on compliance with laws, regulations, and contracts. KPMG is solely responsible for the attached audit report, dated November 7, 2012, and the conclusions expressed in it. If you wish to discuss the contents of this report, please call me at (202) 482-4661, or Ann C. Eilers, Principal Assistant Inspector General for Audit and Evaluation, at (202) 482-2754. PERFORMANCE AND ACCOUNTABILITY REPORT: FISCAL YEAR 2012
We appreciate the cooperation and courtesies USPTO extended to KPMG and my staff during the audit. Attachment cc: Scott B. Quehl, Chief Financial Officer and Assistant Secretary for Administration Anthony P. Scardino, Chief Financial Officer, USPTO 2 INDEPENDENT AUDITORS’ REPORT www.uspto.gov 115
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uspto Performance and Accountabilit
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Table of Contents Message from the
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4 MESSAGE FROM THE UNDER SECRETARY
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Management's Discussion and Analysi
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the Patent Public Advisory Committe
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America Invents Act President Obama
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There are 11 Strategic Plan perform
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What is a patent? A patent is an in
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Strategic Goal 1: Optimize Patent Q
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OBJECTIVE 2: Increase patent applic
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FIGURE 8 Cumulative Total PPH Filin
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measure. Note that FY 2011 was the
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E-petitions allow applicants to obt
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What is a trademark or service mark
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Strategic Goal 2: Optimize Trademar
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TABLE 13 Measure: Trademark Final C
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was formed to work with applicants
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What is the role of the USPTO and i
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Strategic Goal 3: Provide Domestic
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the number of highly-qualified pate
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Improving Efficiency and Cooperatio
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Providing Policy Advice and Experti
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What is management’s focus on max
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48 MANAGEMENT’S DISCUSSION AND AN
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56 Management Challenges and What
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60 Accompanying Information Perform
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62 Management Assurances and Compli
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Page 84 and 85: 82 Message from the Chief Financial
Page 86 and 87: 84 Principal Financial Statements a
Page 88 and 89: 86 FINANCIAL SECTION United States
Page 94 and 95: 92 FINANCIAL SECTION NOTE 1. Summar
Page 96 and 97: 94 FINANCIAL SECTION NOTE 1. Summar
Page 98 and 99: 96 FINANCIAL SECTION NOTE 3. Accoun
Page 100 and 101: 98 FINANCIAL SECTION NOTE 7. Entity
Page 102 and 103: 100 FINANCIAL SECTION NOTE 10. Actu
Page 104 and 105: 102 FINANCIAL SECTION NOTE 14. Earm
Page 106 and 107: 104 FINANCIAL SECTION NOTE 15. Intr
Page 108 and 109: 106 FINANCIAL SECTION NOTE 16. Prog
Page 110 and 111: 108 FINANCIAL SECTION NOTE 17. Prog
Page 112 and 113: 110 FINANCIAL SECTION NOTE 19. Inci
Page 114 and 115: 112 FINANCIAL SECTION NOTE 21. Reco
Page 118 and 119: 116 INDEPENDENT AUDITORS’ REPORT
Page 126 and 127: 124 Inspector General’s Top Sched
Page 128 and 129: 126 OTHER ACCOMPANYING INFORMATION
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164 OTHER ACCOMPANYING INFORMATION
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166 Summary of Financial Statement
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174 FY 2012 USPTO Workload Tables I
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182 TABLE 9 UNITED STATES PATENT AP
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206 Glossary of Acronyms and Abbrev
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208 GLOSSARY OF ACRONYMS AND ABBREV
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United States Patent and Trademark
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