PTAB Statistics: Fiscal Year 2019

This page reports Patent Trial and Appeal Board trial activity in fiscal year 2019, which ran from October 1, 2018 to September 30, 2019. 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	1,394	48	22	1	1,465
Institution decisions: instituted	698	31	17	0	746
Institution decisions: denied	472	19	15	1	507
Institution rate (by petition)	59.7%	62.0%	53.1%	0.0%	59.5%
Final written decisions	544	16	5	1	566

Terminations without a final written decision	Count
Settlements	455
Settled before institution	220
Settled after institution	235
Adverse judgment	0
Dismissed	2
Other terminations	196

Figures by Trial Type in Detail

Inter Partes Review (IPR)

In FY2019, 1,394 IPR petitions were filed (95.2% of all AIA petitions). Of 1,170 IPR institution decisions, 698 instituted a trial and 472 denied institution, a rate of 59.7%. The Board issued 544 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 FY2019, 48 PGR petitions were filed (3.3% of all AIA petitions). Of 50 PGR institution decisions, 31 instituted a trial and 19 denied institution, a rate of 62.0%. The Board issued 16 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 FY2019, 22 CBM petitions were filed (1.5% of all AIA petitions). Of 32 CBM institution decisions, 17 instituted a trial and 15 denied institution, a rate of 53.1%. The Board issued 5 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 FY2019, 1 DER petitions were filed (0.1% of all AIA petitions). Of 1 DER institution decisions, 0 instituted a trial and 1 denied institution, a rate of 0.0%. The Board issued 1 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, 566 ended in a final written decision under 35 U.S.C. § 318, 455 in settlement under 35 U.S.C. § 317 (220 before institution and 235 after), 0 in adverse judgment, 2 by dismissal and 196 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

For petitions filed on or after November 13, 2018, the Board construes claims under the same standard used in district court rather than the broadest reasonable interpretation; see claim construction in IPR.

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

Summary

• Inter partes review accounted for 95.2% of petitions filed.
• Petitions fell by 152 from FY2018 (1,617), a change of 9.4%.
• The institution rate rose by 2.4 percentage points from 57.1% in FY2018.
• By type, the institution rate was 59.7% for IPR petitions and 62.0% for PGR petitions and 53.1% for CBM petitions.
• Of 1,219 proceedings that ended after institution or by settlement or other termination in the year, 566 (46.4%) ended in a final written decision.

Statistics by Date in FY2019

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

• PTAB trial statistics as of October 29, 2018: 102 petitions filed in FY2019 to that date

Other Fiscal Years

FY2018 · FY2020 · 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.