Improved Internal Controls Needed for Office of Human Resources

摘要

The objectives of this performance audit were to determine whether OHR (1) has adequate internal controls over staffing actions, including background investigations, (2) has adequate internal controls over recorded personnel actions and employees OPFs, and (3) is efficiently and effectively servicing USPTOs employees. The scope of the audit included fiscal years 1998, 1999, and 2000 (through May 31). Our review methodology included interviews of key officials in OHR and USPTOs Office of Security. We also reviewed applicable regulations, policies, procedures, and practices, and examined documentation submitted by USPTO officials, management reports, and records. In addition, we selected a statistical sample of 125 OPFs to determine whether employees files are being safeguarded in accordance with established personnel policies, procedures, and guidelines. We did not assess the reliability of computer-generated data because such data was not relevant to our review.