PTAB Statistics: Fiscal Year 2021

This page reports Patent Trial and Appeal Board trial activity in fiscal year 2021, which ran from October 1, 2020 to September 30, 2021. 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	1,308	93	0	0	1,401
Institution decisions: instituted	664	24	6	0	694
Institution decisions: denied	419	52	6	0	477
Institution rate (by petition)	61.3%	31.6%	50.0%	—	59.3%
Final written decisions	405	14	1	0	420

Terminations without a final written decision	Count
Settlements	475
Settled before institution	271
Settled after institution	204
Adverse judgment	3
Dismissed	1
Other terminations	60

Figures by Trial Type in Detail

Inter Partes Review (IPR)

In FY2021, 1,308 IPR petitions were filed (93.4% of all AIA petitions). Of 1,083 IPR institution decisions, 664 instituted a trial and 419 denied institution, a rate of 61.3%. The Board issued 405 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 FY2021, 93 PGR petitions were filed (6.6% of all AIA petitions). Of 76 PGR institution decisions, 24 instituted a trial and 52 denied institution, a rate of 31.6%. The Board issued 14 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 FY2021, 0 CBM petitions were filed (0.0% of all AIA petitions). Of 12 CBM institution decisions, 6 instituted a trial and 6 denied institution, a rate of 50.0%. 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.

How Proceedings Ended

Of the proceedings that ended during the period, 420 ended in a final written decision under 35 U.S.C. § 318, 475 in settlement under 35 U.S.C. § 317 (271 before institution and 204 after), 3 in adverse judgment, 1 by dismissal and 60 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

On June 21, 2021, the Supreme Court decided United States v. Arthrex, Inc., holding that final written decisions of administrative patent judges must be reviewable by the USPTO Director. The USPTO then introduced Director Review of Board decisions.

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

Summary

• Inter partes review accounted for 93.4% of petitions filed.
• Petitions fell by 112 from FY2020 (1,513), a change of 7.4%.
• The institution rate rose by 4.5 percentage points from 54.8% in FY2020.
• By type, the institution rate was 61.3% for IPR petitions and 31.6% for PGR petitions and 50.0% for CBM petitions.
• Of 959 proceedings that ended after institution or by settlement or other termination in the year, 420 (43.8%) ended in a final written decision.

Other Fiscal Years

FY2020 · FY2022 · 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.