PTAB Statistics: Fiscal Year 2013

This page reports Patent Trial and Appeal Board trial activity in fiscal year 2013, which ran from October 1, 2012 to September 30, 2013. Each figure is a count of USPTO Open Data Portal records; the methodology on the statistics page explains the counting rules. AIA trials began on September 16, 2012, two weeks before this fiscal year; the 25 petitions filed in those two weeks (17 IPR and 8 CBM) are counted in FY2012 and are not included here.

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	514	0	48	1	563
Institution decisions: instituted	177	0	14	0	191
Institution decisions: denied	47	0	6	0	53
Institution rate (by petition)	79.0%	—	70.0%	—	78.3%
Final written decisions	0	0	1	0	1

Terminations without a final written decision	Count
Settlements	19
Adverse judgment	0
Dismissed	0
Other terminations	1

Records for this period do not distinguish settlements before institution from those after it, so only the total is shown.

Figures by Trial Type in Detail

Inter Partes Review (IPR)

In FY2013, 514 IPR petitions were filed (91.3% of all AIA petitions). Of 224 IPR institution decisions, 177 instituted a trial and 47 denied institution, a rate of 79.0%. The Board issued 0 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.

Covered Business Method Review (CBM)

In FY2013, 48 CBM petitions were filed (8.5% of all AIA petitions). Of 20 CBM institution decisions, 14 instituted a trial and 6 denied institution, a rate of 70.0%. The Board issued 1 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 FY2013, 1 DER petitions were filed (0.2% of all AIA petitions). No DER institution decisions were recorded. 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, 1 ended in a final written decision under 35 U.S.C. § 318, 19 in settlement under 35 U.S.C. § 317, 0 in adverse judgment, 0 by dismissal and 1 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.

Legal and Policy Context

AIA trials began on September 16, 2012, under 35 U.S.C. chapters 31 and 32 and the Board’s rules in 37 C.F.R. Part 42. FY2013 was the first full fiscal year of inter partes review and covered business method review.

These events are noted for context; the statistics alone do not show what caused any change.

Summary

• Inter partes review accounted for 91.3% of petitions filed.
• Of 21 proceedings that ended after institution or by settlement or other termination in the year, 1 (4.8%) ended in a final written decision.

Other Fiscal Years

FY2014 · 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.