Patent and Trademark Office Improved Internal Controls Needed for Office of Human Resources

By Dickinson, Q. Todd

Book Id: WPLBN0000699845
Format Type: PDF eBook
File Size: 373.51 KB.
Reproduction Date: 2000

Title:	Patent and Trademark Office Improved Internal Controls Needed for Office of Human Resources
Author:	Dickinson, Q. Todd
Volume:
Language:	English
Subject:	Government publications, Department of Commerce and Labor Document, Commerce.
Collections:	Department of Commerce Collection
Historic Publication Date:
Publisher:	Government Printing Office


Citation APA MLA Chicago Dickinson, Q. T. (n.d.). Patent and Trademark Office Improved Internal Controls Needed for Office of Human Resources. Retrieved from http://gutenberg.cc/

Excerpt
Excerpt: The Office of Inspector General has completed a performance audit of selected aspects of USPTO?s Office of Human Resources (OHR). Our review concentrated on two areas of concern: internal controls over hiring actions, including background investigations, and internal controls over recorded personnel actions and employees? official personnel files (OPFs). Internal controls over hiring actions, including background investigations, had already been identified as a problem area by USPTO?s Associate Commissioner and Chief Financial Officer (CFO). In March 2000, just before we began our audit, the CFO implemented a series of initiatives designed to improve OHR operations. We found that despite these changes, issues remain that warrant continued management attention. We are recommending that senior OHR officials periodically report on the progress being made to resolve the remaining issues. As of May 2000, background investigations had not been requested for 113 USPTO employees hired since October 1997. For 1,626 employees hired since 1970, there was no documentation of such investigations in the USPTO Security database. A specific schedule has been implemented to clear the backlog of employees with no background investigations.

Table of Contents
Table of Contents: EXECUTIVE SUMMARY, i -- INTRODUCTION, 1 -- BACKGROUND, 1 -- OBJECTIVES, SCOPE, AND METHODOLOGY, 2 -- OBSERVATIONS AND CONCLUSIONS, 3 -- I. Management Oversight and Controls Over Use of NEC Funds Should Be Improved, 3 -- A. Some NEC expenditures are questionable, 3 -- B. Guidelines on use of funds for official entertainment and representation -- need to be clarified, 5 -- C. BXA?s reporting of NEC expenditures to State Department has improved, 6 -- II. NEC Staff Contacts With Foreign Officials Overseas Were Handled Properly, 8 -- III. NEC Program Performance Measures Appear Adequate, 9 -- IV. Some Additional Allegations Are Also Largely Unsupported, 11 -- V. Other Issues, 13 -- A. BXA has developed a policy on the handling of its foreign visitors, 13 -- B. BXA needs to modify its agreement with the State Department regarding NEC -- program activity with China, 14 -- RECOMMENDATIONS, 15 -- APPENDIX I: NEC Program Funding and Personnel Resources, 16 -- APPENDIX II: Agency Response to Draft Report, 17