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

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88 FINANCIAL SECTION United States Patent and Trademark Office Combined Statements of Budgetary Resources For the years ended September 30, 2012 and 2011 (Dollars in Thousands) 2012 2011 BUDGETARY RESOURCES Unobligated Balance - Brought Forward, October 1 $ 177,705 $ 222,674 Recoveries of Prior Year Unpaid Obligations 23,026 15,165 Spending Authority from Offsetting Collections (discretionary) 2,411,896 2,100,761 Total Budgetary Resources $ 2,612,627 $ 2,338,600 STATUS OF BUDGETARY RESOURCES Obligations Incurred $ 2,374,755 $ 2,160,895 Unobligated Balance, End of Year: Apportioned 237,872 177,705 Total Status of Budgetary Resources $ 2,612,627 $ 2,338,600 CHANGE IN OBLIGATED BALANCE Unpaid Obligations: Unpaid Obligations, Brought Forward, October 1 $ 325,328 $ 297,047 Obligations Incurred 2,374,754 2,160,895 Gross Outlays (2,332,263) (2,117,449) Recoveries of Prior Year Unpaid Obligations (23,026) (15,165) Unpaid Obligations, End of Year $ 344,793 $ 325,328 Uncollected Payments: Uncollected Customer Payments from Federal Sources, Brought Forward, October 1 $ (298) $ 277 Change in Uncollected Customer Payments from Federal Sources 261 (575) Uncollected Customer Payments from Federal Sources, End of Year $ (37) $ (298) Memorandum (non-add) entries: Obligated Balance, Net, Start of Year $ 325,030 $ 297,324 Obligated Balance, Net, End of Year $ 344,756 $ 325,030 BUDGET AUTHORITY AND NET OUTLAYS Budget Authority, Gross (discretionary) $ 2,411,896 $ 2,100,761 Actual Offsetting Collections (discretionary) (2,413,157) (2,309,042) Change in Uncollected Customer Payments from Federal Sources (discretionary) 261 (575) Budget Authority, Net (discretionary) $ (1,000) $ (208,856) Gross Outlays (discretionary) $ 2,332,263 $ 2,117,449 Actual Offsetting Collections (discretionary) (2,413,157) (2,309,042) Net Collections (discretionary) $ (80,894) $ (191,593) The accompanying notes are an integral part of these consolidated financial statements. PERFORMANCE AND ACCOUNTABILITY REPORT: FISCAL YEAR 2012
United States Patent and Trademark Office Consolidated Statements of Cash Flows (Indirect Method) For the years ended September 30, 2012 and 2011 (Dollars in Thousands) 2012 2011 CASH FLOWS FROM OPERATING ACTIVITIES Net Income from Operations $ 106,135 $ 88,277 Adjustments Affecting Cash Flow: Imputed Financing from Cost Absorbed by Others 19,479 21,678 (Increase)/Decrease in Accounts Receivable (317) 324 (Increase)/Decrease in Advances and Prepayments (968) 1,029 (Decrease)/Increase in Accounts Payable (10,454) 15,526 Increase in Accrued Payroll and Benefits 7,308 19,703 Increase in Accrued Leave and Workers’ and Unemployment Compensation 6,053 5,779 Increase in Customer Deposit Accounts 16,129 3,280 (Decrease)/Increase in Deferred Revenue (14,827) 71,394 Decrease in Contingent Liability — (200) (Decrease)/Increase in Actuarial Liability (197) 107 Depreciation, Amortization, or Loss on Asset Dispositions 67,900 52,695 Total Adjustments 90,106 191,315 Net Cash Provided by Operating Activities 196,241 279,592 CASH FLOWS FROM INVESTING ACTIVITIES Purchases of Property and Equipment (98,252) (84,926) Net Cash Used in Financing Activities (98,252) (84,926) CASH FLOWS FROM FINANCING ACTIVITIES Transfers Out Without Reimbursement (1,000) — Net Cash Used in Financing Activities (1,000) — Net Cash Provided by Operating, Investing, and Financing Activities $ 96,989 $ 194,666 Fund Balance with Treasury and Cash, Beginning of Year $ 1,634,297 $ 1,439,631 Net Cash Provided by Operating, Investing, and Financing Activities 96,989 194,666 Fund Balance with Treasury and Cash, End of Year $ 1,731,286 $ 1,634,297 The accompanying notes are an integral part of these consolidated financial statements. FINANCIAL SECTION www.uspto.gov 89
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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
Page 39 and 40: Strategic Goal 3: Provide Domestic
Page 41 and 42: the number of highly-qualified pate
Page 43 and 44: Improving Efficiency and Cooperatio
Page 45 and 46: Providing Policy Advice and Experti
Page 47: What is management’s focus on max
Page 50 and 51: 48 MANAGEMENT’S DISCUSSION AND AN
Page 58 and 59: 56 Management Challenges and What
Page 62 and 63: 60 Accompanying Information Perform
Page 64 and 65: 62 Management Assurances and Compli
Page 70 and 71: 68 Financial Discussion and Analysi
Page 84 and 85: 82 Message from the Chief Financial
Page 86 and 87: 84 Principal Financial Statements a
Page 88 and 89: 86 FINANCIAL SECTION United States
Page 92 and 93: 90 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 112 and 113: 110 FINANCIAL SECTION NOTE 19. Inci
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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138 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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