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President's Budget Submission/ Congressional Justification United States Patent and Trademark Office USPTO Fiscal Year 2016 President’s Budget Submission/ Congressional Justification FISCAL YEAR 2016 PRESIDENT’S BUDGET: The USPTO Congressional Budget Justification February 2, 2015 This Page is Intentionally Left Blank UNITED STATES PATENT AND TRADEMARK OFICE FISCAL YEAR 2016 PRESIDENT’S BUDGET: The USPTO Congressional Budget Justification Table of Contents INTRODUCTION ..........................................................................................................................1 Exhibit 2 – Organization Chart .................................................................................................... .3 Exhibit 3 – Executive Summary .....................................................................................................5 FY 2016 Budget Plans: Budget and Performance at a Glance (BPAG) Chart .......................9 FY 2016 Budget Plans: Planning/Budget Priorities ................................................................12 Patent and Trademark Businesses: Five-Year Horizon .........................................................15 The USPTO Information Technology (IT) Portfolio ........................................................................21 TOTAL BUDGET AND FINANCING .............................................................................................29 Exhibit 5 – Summary of Resource Requirements ..........................................................................31 Exhibit 7 – Summary of Financing ............................................................................................................. 33 Exhibit 8 – Adjustments to Base ................................................................................................................ 34 Exhibit 9 – Justification of Adjustments to Base ...................................................................................... 35 PATENT PROGRAM................................................................................................................................... 39 Exhibit 10 – Program Performance: Total Obligations ........................................................................... 40 Exhibit 12 – Justification of Patent Program and Performance ............................................................ 41 Sub-Program #1: Patent Examining ............................................................................................. 44 Sub-Program #2: Patent Trial and Appeals ................................................................................ 46 Sub-Program #3: Patent Information Resources ....................................................................... 46 Sub-Program #4: Management Goal – Allocated ...................................................................... 47 Exhibit 13 – 15: Patent Program Changes by Sub-Program ................................................................. 48 Sub-Program: Patent Trial and Appeals .................................................................................................. 58 Sub-Program: Patent Information Resources ......................................................................................... 61 TRADEMARK PROGRAM ......................................................................................................................... 65 Exhibit 10 – Program Performance: Total Obligations ........................................................................... 66 Exhibit 12 – Justification of Trademark Program and Performance ..................................................... 67 Sub-Program #1: Trademark Examining ...................................................................................... 70 Sub-Program #2: Trademark Appeals and Inter Partes Proceedings .................................... 72 Sub-Program #3: Trademark Information Resources ............................................................... 72 Sub-Program #4: Management Goal – Allocated ..................................................................... 73 Exhibit 13 – 15: Trademark Program Changes by Sub-Program ......................................................... 74 Sub-Program: Trademark Examining ...................................................................................................... 76 Sub-Program: Trademark Appeals and Inter Partes Proceedings ...................................................... 78 Sub-Program: Trademark Information Resources ................................................................................. 80 INTELLECTUAL PROPERTY POLICY, PROTECTION, AND ENFORCEMENT PROGRAM ...... 83 Exhibit 10 – Program Performance: Total Obligations ........................................................................... 84 Exhibit 12 – Justification of IP Policy, Protection and Enforcement Program and Performance ..... 85 Sub-Program #1: Policy, External Affairs, and Administrative Support .................................. 86 Sub-Program #2: Global Intellectual Property Academy (GIPA) ............................................. 88 Sub-Program #3: Intellectual Property Rights (IPR) Attaché Program ................................... 89 Sub-Program #4: IP PP&E Information Resources ................................................................... 89 Sub-Program #5: Management Goal – Allocated ...................................................................... 89 Exhibit 13 – 15: IP Policy, Protection and Enforcement Program Changes by Sub-Program ......... 91 Sub-Program: IP PP&E Information Resources ..................................................................................... 93 MANAGEMENT PROGRAM ..................................................................................................................... 97 Exhibit 10 – Program Performance: Total Obligations ........................................................................... 98 Exhibit 12 – Management Program and Performance ........................................................................... 100 Sub-Program #1: Executive Direction and Communications ................................................... 102 Sub-Program #2: Financial Management Services ................................................................... 102 Sub-Program #3: Human Resource Management and Administrative Services .................. 103 Sub-Program #4: Legal Services .................................................................................................. 103 Sub-Program #5: Management Information Resources ........................................................... 104 Sub-Program #6: IT Infrastructure and IT Support Services .................................................... 104 Sub-Program #7: Cross-Cutting Management Services: Miscellaneous General Expense ............................................................................................................................................. 104 Exhibit 13 – 15: Management Program Changes by Sub-Program ..................................................... 106 Sub-Program: Financial Management Services………………………………………………………………………… ...... 110 Sub-Program: Human Resources Management and Administrative Services………………………. ........ 111 Sub-Program: Legal Serices ..................................................................................................................... 113 Sub-Program: Management Information Resources ............................................................................. 115 Sub-Program: IT Infrastructure and IT Support Services ..................................................................... 116 Sub-Program: Cross-Cutting Services/Miscellaneous General Expense (MGE) ............................. 117 EXHIBITS: 16 - 37 ....................................................................................................................................... 121 Exhibit 16 – Summary of Requirements by Object Class ...................................................................... 122 Exhibit 32 – Appropriation Language ........................................................................................................ 123 Exhibit 37 – Statement of Actions on GAO Recommendations ............................................................ 125 Exhibit D – Facilities and Real Property Reporting ................................................................................. 127 Exhibit E – Sustainability Funding Request ............................................................................................. 130 APPENDICES .............................................................................................................................................. 133 I - Multi-Year Planning and Budgeting by Business Line and Cost Containment ...........................135 II - Two Way Split ..........................................................................................................................141 III - USPTO 2014-2018 Strategic Framework ................................................................................143 IV - USPTO Fee Collections: Estimates and Assumptions ...........................................................148 V - USPTO Fee Collections: FY 2014 Estimated and Actual Fee Collections and Assumptions ...149 VI - USPTO FY 2014 Fee Collections Report………………………………………………………… ..150 VII - FY 2016 Annual Performance Plan / FY 2014 Annual Performance Report………………………………………………………………………………………………….........165 VIII - Glossary of Acronyms and
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