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

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62 Management Assurances and Compliance with Laws and Regulations This section provides information on the USPTO’s compliance with the following legislative mandates: ●● Federal Managers’ Financial Integrity Act ●● Federal Financial Management Improvement Act ●● Federal Information Security Management Act ●● Agency’s Financial Management Systems Strategy ●● Inspector General (IG) Act Amendments ●● OMB Financial Management Indicators ●● Prompt Payment Act ●● Civil Monetary Penalty Act ●● Debt Collection Improvement Act ●● Biennial Review of Fees Management Assurances Federal Managers’ Financial Integrity Act (FMFIA) The FMFIA requires Federal agencies to provide an annual statement of assurance regarding management controls and financial systems. The USPTO management is responsible for establishing and maintaining effective internal control and financial management systems that meet the objectives of the FMFIA. The objectives of internal control, as PERFORMANCE AND ACCOUNTABILITY REPORT: FISCAL YEAR 2012 defined by the Government Accountability Office (GAO), are to ensure: ●● Effectiveness and efficiency of operations; ●● Reliability of financial reporting; and ●● Compliance with laws and regulations. The statement of assurance that follows is based on the wide variety of evaluations, control assessments, internal analyses, reconciliations, reports, and other information, including the DOC OIG audits, and the independent public accountants’ opinion on the USPTO’s financial statements and their reports on internal control and compliance with laws and regulations. In addition, USPTO is not identified on the GAO’s High Risk List related to controls governing various areas. Federal Financial Management Improvement Act (FFMIA) The FFMIA requires Federal agencies to report on agency substantial compliance with Federal financial management system requirements, Federal accounting standards, and the U.S. Standard General Ledger at the transaction level. In accordance with OMB Circular A-127 (revised), substantial compliance is achieved when an agency’s financial management systems routinely provide reliable and timely financial information for managing day-to-day operations as well as to produce reliable financial statements, maintain
On the basis of the USPTO’s comprehensive internal control program during FY 2012, the USPTO can provide reasonable assurance that its internal control over the effectiveness and efficiency of operations and compliance with applicable laws and regulations as of September 30, 2012, was operating effectively. Accordingly, I am pleased to certify with reasonable assurance that our agency’s systems of internal control, taken as a whole, comply with Section 2 of the Federal Managers’ Financial Integrity Act of 1982. Our agency also is in substantial compliance with applicable federal accounting standards and the U.S. Standard General Ledger at the transaction level and with federal financial system requirements. Accordingly, our agency fully complies with Section 4 of the Federal Managers’ Financial Integrity Act of 1982, with no material non-conformances. In addition, the USPTO conducted its assessment of the effectiveness of our agency’s internal control over financial reporting, which includes safeguarding of assets and compliance with applicable laws and regulations, in accordance with OMB Circular A-123, Management’s Responsibility for Internal Control. Based on the results of this evaluation, the USPTO provides reasonable assurance that its internal control over financial reporting as of June 30, 2012 was operating effectively and no material weaknesses were found in the design or operation of the internal control over financial reporting. In addition, no material weaknesses related to internal control over financial reporting were identified between July 1, 2012 and September 30, 2012. David J. Kappos Under Secretary of Commerce for Intellectual Property and Director of the United States Patent and Trademark Office November 7, 2012 MANAGEMENT’S DISCUSSION AND ANALYSIS effective internal control, and comply with legal and regulatory requirements. The USPTO complied substantially with the FFMIA for FY 2012. Other Compliance with Laws and Regulations Federal Information Security Management Act The USPTO continues to stay vigilant in reviewing administrative controls over information systems and is always seeking methods of improving our security program. During FY 2012, the USPTO continued its dedicated efforts in support of compliance with FISMA standards and improvement of our security program. The USPTO IT Security Program includes a strategy for continuous monitoring, which conducts credentialed compliance and vulnerability scans on servers, network devices, database, and Web-application on a quarterly basis. The analysis is being performed to ensure that operating systems have been configured in accordance with their security baseline and appropriate software patch levels. Additionally, the IT Security program has integrated artifacts to support Security Impact Analysis within the systems development lifecycle that allow assessment of testing requirements for systems undergoing new developments, enhancements, or maintenance. This proactive approach to security within the development process has successfully assessed changes and enabled security compliance for systems as they are being developed or updated. As a result, the Chief Information Security Officer and the OCIO staff working together made a concerted effort to meet the compliance requirements of FISMA, while also meeting the reporting requirements to OMB. These endeavors were a complete success. All USPTO systems achieved a 100 percent FISMA compliance reporting level for FY 2012. There were no deficiencies identified that are considered to be the result of any material weaknesses in internal control. As a result of the work accomplished, the USPTO was able to continue with continuous monitoring and provide an accurate summary of information consistent with OMB reporting requirements for year-end reporting. www.uspto.gov 63
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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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Page 17 and 18: What is a patent? A patent is an in
Page 19 and 20: Strategic Goal 1: Optimize Patent Q
Page 21 and 22: OBJECTIVE 2: Increase patent applic
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Page 25 and 26: measure. Note that FY 2011 was the
Page 27 and 28: E-petitions allow applicants to obt
Page 29 and 30: What is a trademark or service mark
Page 31 and 32: Strategic Goal 2: Optimize Trademar
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Page 37 and 38: What is the role of the USPTO and i
Page 39 and 40: Strategic Goal 3: Provide Domestic
Page 41 and 42: the number of highly-qualified pate
Page 43 and 44: Improving Efficiency and Cooperatio
Page 45 and 46: Providing Policy Advice and Experti
Page 47: What is management’s focus on max
Page 50 and 51: 48 MANAGEMENT’S DISCUSSION AND AN
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Page 62 and 63: 60 Accompanying Information Perform
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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
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112 FINANCIAL SECTION NOTE 21. Reco
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114 INDEPENDENT AUDITORS’ REPORT
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124 Inspector General’s Top Sched
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126 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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