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

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110 FINANCIAL SECTION NOTE 19. Incidental Custodial Collections Custodial collections represent miscellaneous general fund receipts, such as non-electronic patent filing fees and gains on foreign exchange rates. Non-electronic patent filing fee collections began in November 2012. Custodial collection activities are considered immaterial and incidental to the mission of the USPTO. (Dollars in Thousands) 2012 2011 Revenue Activity: Sources of Collections: Miscellaneous $ 1,059 $ 119 Total Cash Collections 1,059 119 Accrual Adjustments — — Total Custodial Revenue 1,059 119 Disposition of Collections: Transferred to Others: Treasury (1,059) (119) (Increase)/Decrease in Amounts Yet to be Transferred — — Net Custodial Activity $ — $ — PERFORMANCE AND ACCOUNTABILITY REPORT: FISCAL YEAR 2012
NOTE 20. Fiduciary Activities Fiduciary activities are the collection or receipt, and the management, protection, accounting, and disposition by the federal government of cash or other assets in which non-federal individuals or entities have an ownership interest that the federal government must uphold. Fiduciary cash and other assets are not assets of the federal government and accordingly are not recognized on the proprietary financial statements. The Patent Cooperation Treaty authorized the USPTO to collect patent filing and search fees on behalf of the WIPO, EPO, Korean Intellectual Property Office, Russian Intellectual Property Organization, and the Australian Patent Office from U.S. citizens requesting an international patent. The Madrid Protocol Implementation Act authorized the USPTO to collect trademark application fees on behalf of the International Bureau of the WIPO from U.S. citizens requesting an international trademark. Schedule of Fiduciary Activity For the years ended September 30, 2012 and 2011 2012 2011 (Dollars in Thousands) Patent Cooperation Treaty Madrid Protocol Total Fiduciary Funds Patent Cooperation Treaty Madrid Protocol Total Fiduciary Funds Fiduciary Net Assets, Beginning of Year $ 12,864 $ 338 $ 13,202 $ 9,452 $ 576 $ 10,028 Contributions Disbursements To and on 153,716 14,361 168,077 131,755 14,551 146,306 Behalf of Beneficiaries (153,960) (14,299) (168,259) (128,343) (14,789) (143,132) (Decrease)/Increase in Fiduciary Net Assets (244) 62 (182) 3,412 (238) 3,174 Fiduciary Net Assets, End of Year $ 12,620 $ 400 $ 13,020 $ 12,864 $ 338 $ 13,202 Fiduciary Net Assets As of September 30, 2012 and 2011 (Dollars in Thousands) Patent Cooperation Treaty 2012 2011 Madrid Protocol Total Fiduciary Funds Patent Cooperation Treaty FINANCIAL SECTION Madrid Protocol Total Fiduciary Funds Cash and Cash Equivalents $ 12,620 $ 400 $ 13,020 $ 12,864 $ 338 $ 13,202 Total Fiduciary Net Assets $ 12,620 $ 400 $ 13,020 $ 12,864 $ 338 $ 13,202 www.uspto.gov 111
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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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America Invents Act President Obama
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There are 11 Strategic Plan perform
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What is a patent? A patent is an in
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Strategic Goal 1: Optimize Patent Q
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OBJECTIVE 2: Increase patent applic
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FIGURE 8 Cumulative Total PPH Filin
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measure. Note that FY 2011 was the
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E-petitions allow applicants to obt
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What is a trademark or service mark
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Strategic Goal 2: Optimize Trademar
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TABLE 13 Measure: Trademark Final C
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was formed to work with applicants
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What is the role of the USPTO and i
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Strategic Goal 3: Provide Domestic
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the number of highly-qualified pate
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Improving Efficiency and Cooperatio
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Providing Policy Advice and Experti
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What is management’s focus on max
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48 MANAGEMENT’S DISCUSSION AND AN
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56 Management Challenges and What
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Page 62 and 63: 60 Accompanying Information Perform
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Page 70 and 71: 68 Financial Discussion and Analysi
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Page 86 and 87: 84 Principal Financial Statements a
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
Page 100 and 101: 98 FINANCIAL SECTION NOTE 7. Entity
Page 102 and 103: 100 FINANCIAL SECTION NOTE 10. Actu
Page 104 and 105: 102 FINANCIAL SECTION NOTE 14. Earm
Page 106 and 107: 104 FINANCIAL SECTION NOTE 15. Intr
Page 108 and 109: 106 FINANCIAL SECTION NOTE 16. Prog
Page 110 and 111: 108 FINANCIAL SECTION NOTE 17. Prog
Page 114 and 115: 112 FINANCIAL SECTION NOTE 21. Reco
Page 116 and 117: 114 INDEPENDENT AUDITORS’ REPORT
Page 126 and 127: 124 Inspector General’s Top Sched
Page 128 and 129: 126 OTHER ACCOMPANYING INFORMATION
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160 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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