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Financial Highlights: Statement of Budgetary Resources

T he following table displays the USPTO's total budgetary resources available for spending over the past four years, with the related percentage change. The resources available for spending do not include amounts that were not available for spending through September 30, 2004, but will become available for spending on October 1, 2004 once apportioned by the OMB.

Budgetary Resources Available for Spending
(Dollars in Millions)
  FY 2001 FY 2002 FY 2003 FY 2004
Budgetary Resources Available for Spending $1,049.8 $1,146.7 $1,193.0 $1,235.2
Percentage Change     16.3%      9.2%      4.0%      3.5%

As evident from the above table, total budgetary resources available for spending have been increasing in terms of dollars, but the rate of increase has been steadily declining.

The declining trend in available budgetary resources has resulted in:

  • Slower than planned implementation of the 21st Century Strategic Plan and the PMA; and
  • Slower than planned implementation of the USPTO's goal of enhancing quality and minimizing processing time due to the relationship between sufficient human resources required to reduce the backlog of unprocessed applications and the ever-increasing workload of new applications, which are increasingly more complex.

As defined earlier, temporarily unavailable fee collections occur when the USPTO is not appropriated the authority to spend all fees collected during a given year. In fiscal year 2004, the USPTO was appropriated $1,222.5 million for fees collected during fiscal year 2004. During fiscal year 2004, the USPTO collected $1,321.0 million, leaving $98.5 million that was not available for spending.

During fiscal years 1999, 2000, and 2002, $75.6 million in fees were considered permanently rescinded. In fiscal year 2004, the OMB addressed the classification of rescissions and clarified that rescissions are considered reductions in budgetary resources and can be either permanent or temporary. Due to the clarification regarding rescissions and reductions, fee resources previously rescinded permanently were restored to the USPTO and recorded as a reduction and as temporarily unavailable fee collections.

While the USPTO began the fiscal year with an unobligated balance of $3.5 million, $1.4 million of this carryover amount was rescinded and resulted in a temporarily unavailable reduction of budgetary resources.

Considering the $341.0 million in temporarily unavailable fee collections at the beginning of fiscal year 2004, the $98.5 million not available for spending in fiscal year 2004 and the two reductions, the total temporarily unavailable fee collections at the end of fiscal year 2004 are $516.5 million.

The table below illustrates amounts that Congress has appropriated to the USPTO over the past four fiscal years, as well as the cumulative restricted fee collections.

Temporary Unavailable Fee Collections
(Dollars in Millions)
  FY 2001 FY 2002 FY 2003 FY 2004
Current year fee collections $ 1,084.7  $ 1,150.8  $ 1,193.7  $ 1,321.0 
Current year collections appropriated    (783.8)    (843.7)  (1,015.2)  (1,222.5)
Reductions - Rescissions Restored         - 
single underline
     (0.6) single underline         - 
single underline
     77.0 
single underline
Current year unavailable collections $   300.9  $   306.5  $   178.5  $   175.5 
Prior year collections unavailable     259.1      305.1      329.3      341.0 
Prior year collections subsequently appropriated    (254.9)
single underline
   (282.3)
single underline
   (166.8)
single underline
        - 
single underline
Cumulative temporarily unavailable fee collections $   305.1 
double underline
$   329.3 
double underline
$   341.0 
double underline
$   516.5 
double underline

In addition to these annual restrictions, certain USPTO collections of $233.5 million were withheld and deposited in a special fund receipt account at the U.S. Department of the Treasury. These funds continue to be shown as revenue withheld in the USPTO's Balance Sheet.

The table on the following page shows the resources required to meet future financial responsibilities compared to the unavailable fee collections requiring appropriation authority. Liabilities not covered by budgetary resources are related to unearned fee collections and are measures of the commitments to customers for orders taken.

Future Resource Requirements
(Dollars in Millions)
  FY 2001 FY 2002 FY 2003 FY 2004
Liabilities not Covered by Resources $414.4
single underline
$510.5
single underline
$555.9
single underline
$634.1
single underline
Fees Temporarily Unavailable $305.1 $329.3 $341.0 $516.5
Revenue Withheld – Surcharge  233.5
single underline
 233.5
single underline
 233.5
single underline
 233.5
single underline
Total Unavailable Fees $538.6
double underline
$562.8
double underline
$574.5
double underline
$750.0
double underline

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Last Modified: 7/4/2009 1:15:57 PM