PTAB Statistics: Fiscal Year 2017

This page reports Patent Trial and Appeal Board trial activity in fiscal year 2017, which ran from October 1, 2016 to September 30, 2017. Each figure is a count of USPTO Open Data Portal records; the methodology on the statistics page explains the counting rules.

Figures by Trial Type

Petitions are counted by filing date. Institution decisions, final written decisions and terminations are counted by the date of the event, so a petition filed in one fiscal year may be decided in the next.

Measure	IPR	PGR	CBM	DER	Total
Petitions filed	1,812	41	48	5	1,906
Institution decisions: instituted	808	10	24	0	842
Institution decisions: denied	512	10	31	2	555
Institution rate (by petition)	61.2%	50.0%	43.6%	0.0%	60.3%
Final written decisions	612	6	37	0	655

Terminations without a final written decision	Count
Settlements	389
Settled before institution	198
Settled after institution	191
Adverse judgment	0
Dismissed	1
Other terminations	195

Figures by Trial Type in Detail

Inter Partes Review (IPR)

In FY2017, 1,812 IPR petitions were filed (95.1% of all AIA petitions). Of 1,320 IPR institution decisions, 808 instituted a trial and 512 denied institution, a rate of 61.2%. The Board issued 612 IPR final written decisions. An IPR may be instituted only on a reasonable likelihood that the petitioner will prevail on at least one claim (35 U.S.C. § 314(a)), on grounds of anticipation or obviousness over patents and printed publications. See the inter partes review guide for the procedure.

Post-Grant Review (PGR)

In FY2017, 41 PGR petitions were filed (2.2% of all AIA petitions). Of 20 PGR institution decisions, 10 instituted a trial and 10 denied institution, a rate of 50.0%. The Board issued 6 PGR final written decisions. A PGR petition must be filed within nine months of grant and must show that it is more likely than not that at least one claim is unpatentable (35 U.S.C. § 324(a)). See the post-grant review guide for the procedure.

Covered Business Method Review (CBM)

In FY2017, 48 CBM petitions were filed (2.5% of all AIA petitions). Of 55 CBM institution decisions, 24 instituted a trial and 31 denied institution, a rate of 43.6%. The Board issued 37 CBM final written decisions. CBM review applied to covered business method patents and closed to new petitions on September 16, 2020. See the covered business method review guide for the procedure.

Derivation Proceedings (DER)

In FY2017, 5 DER petitions were filed (0.3% of all AIA petitions). Of 2 DER institution decisions, 0 instituted a trial and 2 denied institution, a rate of 0.0%. The Board issued 0 DER final written decisions. Derivation proceedings decide whether an inventor named in an earlier application derived the claimed invention from the petitioner’s inventor; they are few in number, so rates rest on small counts. See the guide to the Patent Trial and Appeal Board for the procedure.

How Proceedings Ended

Of the proceedings that ended during the period, 655 ended in a final written decision under 35 U.S.C. § 318, 389 in settlement under 35 U.S.C. § 317 (198 before institution and 191 after), 0 in adverse judgment, 1 by dismissal and 195 by other termination. Denials of institution are counted separately above. A final written decision can lead to estoppel against the petitioner; see estoppel arising from PTAB trials.

Summary

• Inter partes review accounted for 95.1% of petitions filed.
• Petitions rose by 217 from FY2016 (1,689), a change of 12.8%.
• The institution rate rose by 3.4 percentage points from 56.9% in FY2016.
• By type, the institution rate was 61.2% for IPR petitions and 50.0% for PGR petitions and 43.6% for CBM petitions.
• Of 1,240 proceedings that ended after institution or by settlement or other termination in the year, 655 (52.8%) ended in a final written decision.

Statistics by Date in FY2017

Figures as of specific dates in this fiscal year, reconstructed from the same records:

• PTAB trial statistics as of January 31, 2017: 726 petitions filed in FY2017 to that date
• PTAB trial statistics as of February 28, 2017: 856 petitions filed in FY2017 to that date
• PTAB trial statistics as of August 31, 2017: 1,777 petitions filed in FY2017 to that date

Other Fiscal Years

FY2016 · FY2018 · All fiscal years and charts

Final written decision outcomes (all, some or no challenged claims unpatentable) are not reported because the USPTO records state them for too few decisions; see the methodology. Figures may differ from the USPTO’s published reports. For how trials end and why reported rates differ, see reading PTAB trial outcomes.