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United States Patent and Trademark Office Performance and Accountability Report Fiscal Year 2003 Inspector General |
Management and Performance Challenges Identified by the Inspector GeneralInspector Generals Statement Summarizing the Major Management and Performance Challenges Facing the United States Patent and Trademark Office James E. Rogan
We herewith submit, for inclusion in the U.S. Patent and Trademark Offices (USPTO) Performance & Accountability Report, a summary of the issues we have determined to be USPTOs most critical management and performance challenges. The Office of Inspector General considers the issues noted to be significant impediments to USPTOs efforts to promote economy, efficiency, and effectiveness in its management and operations because they are complex, vital to the agencys mission, involve sizable expenditures, or require significant management improvements. We believe that by addressing these issues USPTO can enhance program efficiency and effectiveness; eliminate serious operational problems; decrease fraud, waste, abuse and mismanagement; and achieve substantial cost savings. Successfully Operate as a Performance-Based Organization As a performance-based organization
In response to the concerns of its stakeholders, in June 2002, USPTO issued its 5-year, 21st Century Strategic Plan. The plan was intended to help the agency overcome the challenges accompanying its transition to performance-based operations - the need to successfully develop necessary personnel processes, systems, and capabilities; establish procurement and administrative policies as well as performance-oriented processes and standards for evaluating overall cost-effectiveness; and, simultaneously, meet its performance goals under the Government Performance and Results Act (GPRA) in addition to the timeliness standards of the American Inventors Protection Act. According to USPTO, the 21st century plan is aggressive and far-reaching and provides a roadmap for major changes in patent and trademark processes, including steps to (1) move to a paperless environment and promote e-government, (2) enhance employee development, (3) explore competitive sourcing, and (4) improve and maintain quality assurance. The plan also calls for the agency to work with worldwide intellectual property offices to create a global framework for enforcing intellectual property rights. Our office is reviewing selected aspects of major USPTO operations as they currently function and in light of changes proposed by the 21st century plan. These include the trademark application process and efforts to reduce trademark application pendencies; as well as patent examiner production goals, awards, and performance appraisal plans and their effect on employee productivity and patent pendency. In addition, we are reviewing certain policies and procedures related to the operation of USPTOs Office of Human Resources Management. As changes in these and other areas occur, we will evaluate their impact on USPTOs successful operation as a performance-based organization - an achievement we view as critical to its long-term viability and its success at addressing other challenges we have identified in recent years, as described below. Information Technology Security Must Remain a PriorityUSPTOs patent and trademark information is essential to administering patent and trademark law, promoting industrial and technical progress, and strengthening the national economy. Loss of or serious damage to the critical systems that process this information could have devastating impacts, which makes identifying IT weaknesses and recommending solutions a continuing priority for OIG. Our FY 2003 Federal Information Security Management Act (FISMA) USPTO is also well on its way to having its systems certified and accredited. Our FY 2002
Government Information Security Reform Act (GISRA) We found that USPTO does not grant interim accreditations without comprehensive risk assessments, security plans, and testing; and uses a disciplined certification and accreditation process that includes rigorous testing of security controls. Using this approach the agency has gained a great deal of insight into system-specific weaknesses that must be corrected and organization-wide security policies, procedures, and processes that must be improved. Because of the security weaknesses identified by the certification process and the lack of final accreditations, we believe USPTO should continue to report information security as a material weakness for FY 2003. Construction of New Facility Warrants Close Management OversightAs part of our effort to monitor USPTOs performance-based operation, we are reviewing progress on the construction of the agencys new headquarters complex in Alexandria, Virginia. Construction of this state-of-the-art office complex is one of the federal governments largest real estate ventures. When completed in 2005, the five-building complex will consolidate the majority of the USPTO employees and contractors currently scattered among 18 buildings in Crystal City, Virginia. With construction well under way, USPTO must monitor progress to help ensure the project stays on schedule and to carefully implement the relocation of its facilities so as to minimize costs and adverse effects on operations, employees, patent and trademark applicants, and the public. Emergency Preparedness, Safety, and Security of Facilities and Personnel A National PriorityUSPTO, along with other Commerce facilities in the Washington, D.C., area and like most federal entities across the nation, has taken steps to improve the safety and security of its people and property. As work on its new headquarters progresses, USPTO must be sure to incorporate all the necessary protections before occupying the space, and to periodically reassess its security status and adjust protective measures accordingly.
Johnnie E. Frazier
Notes:Note 1: The American Inventors Protection Act of 1999 established the U.S. Patent and Trademark Office as a performance-based organization, giving it greater flexibility and independence to operate more like a business. (back to text) Note 2: FISMA, signed into law on December 17, 2002, provides a comprehensive framework for ensuring that information resources supporting federal operations and assets employ effective security controls. FISMA requires agencies to conduct annual information security program reviews and Offices of Inspector General to perform annual independent evaluations of those programs. (back to text) Note 3: FISMA replaced GISRA, which expired in December 2002. (back to text) Note 4: After our FY 2003 evaluation report was published, USPTO further revised its system inventory, further reducing the number of systems to 18. (back to text)
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