Improper Payments Information Act (IPIA) Reporting Details
During FY 2010, the USPTO did not have any erroneous payments that exceeded the ten million dollar threshold. The USPTO continuously seeks to identify overpayments and erroneous payments by reviewing (1) credit memos and refund checks issued by vendors or customers and (2) undelivered electronic payments returned by financial institutions.
In FY 2008, the USPTO participated in the Department of Commerce Consolidated Risk Assessment. The USPTO was assessed as low risk in all categories: Program/Activity Inherent Risk, Program/Activity Specific Risk Factors, Corporate Control Environment, and Procurement Management Functions. The Risk Assessment was reviewed in FY 2009 and FY 2010 and resulted in no changes being needed to the assessment.
| Program | FY 2009 | FY 2010 | FY 2011 | ||||||
|---|---|---|---|---|---|---|---|---|---|
| Outlays | Improper Payment Percent |
Improper Payment Dollars |
Outlays | Improper Payment Percent |
Improper Payment Dollars |
Estimated Outlays |
Improper Payment Percent |
Improper Payment Dollars |
|
| Patent | $1,749 | 0.03% | $0.53 | $1,730 | 0.01% | $0.02 | $2,009 | 0.01% | $0.17 |
| Trademark | 192 | 0.03% | 0.06 | 178 | 0.01% | - | 217 | 0.01% | 0.02 |
| Intellectual Property | 43 | 0.03% | 0.01 | 45 | 0.01% | - | 57 | 0.01% | 0.00 |
| Total | $1,984 | 0.03% | $0.60 | $1,953 | 0.01% | $0.02 | $2,283 | 0.01% | $0.19 |
| Program | FY 2012 | FY 2013 | ||||
|---|---|---|---|---|---|---|
| Estimated Outlays |
Improper Payment Percent |
Improper Payment Dollars |
Estimated Outlays |
Improper Payment Percent |
Improper Payment Dollars |
|
| Patent | $2,273 | 0.01% | $0.17 | $2,435 | 0.01% | $0.17 |
| Trademark | 235 | 0.01% | 0.02 | 253 | 0.01% | 0.02 |
| Intellectual Property | 67 | 0.01% | 0.00 | 71 | 0.01% | 0.00 |
| Total | $2,575 | 0.01% | $0.19 | $2,759 | 0.01% | $0.19 |
During FY 2005, the USPTO entered into an agreement with the DOC to use an existing contract for recovery audit services. The audit was limited to closed obligations greater than $0.1 million. Further excluded were grants, travel payments, purchase card transactions, inter-agency agreements, government bills of lading, and gift and bequest transactions.
The audit was completed in FY 2006 and resulted in three invoices that were identified as recoverable improper payments, which are insignificant. The improper payments identified of $0.1 million were recovered during FY 2006. No recovery audit services were conducted during FY 2007, FY 2008, FY 2009, or FY 2010.
| Amount subject to review | $159.4 |
|---|---|
| Number of invoices | 4,433 |
| Actual amount reviewed | $107.3 |
| Number of invoices | 985 |
During FY 2008, the USPTO initiated an internal recovery audit program. Under this program, a letter similar to that sent by our recovery audit contractor is sent to vendors on a rotational basis. There were no items identified as recoverable. This program excludes grants, travel payment, purchase card transactions, inter-agency agreements, government bills of lading, and gift and bequest transactions. This program continued through FY 2010.
In FY 2010, the USPTO continued its reporting procedures to senior management and to the Department of Commerce on improper payments, identifying the nature and magnitude of any improper payments, along with any necessary control enhancements to prevent further occurrences of the types of improper payments identified.
