AIA Trial Statistics October 2017

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Oct 31, 2017 - Page 1. Page 2. Trial Statistics. IPR, PGR, CBM. Patent Trial and Appeal Board. October 2017. Page 3. IPR
Trial Statistics IPR, PGR, CBM

Patent Trial and Appeal Board October 2017

Petitions by Trial Type (All Time: 9/16/12 to 10/31/17)

IPR 7,074 92%

CBM 529 7% 7,685 Total

PGR 82 1%

Trial types include Inter Partes Review (IPR), Post Grant Review (PGR), and Covered Business Method (CBM). 3

Petitions Filed by Technology in FY18 (FY18 to date: 10/1/17 to 10/31/17)

Mechanical & Business Method 33 26%

128 Total

Electrical/Computer 70 54%

Chemical 6 5% Bio/Pharma 19 15% Design 0 0%

4

Petitions Filed by Month

(October 2017 and Previous 12 Months: 10/1/16 to 10/31/17) (119 IPRs in FY18)

237

250 225 200 175 150

119

116

125 100

IPR

Oct-16 (4 PGRs in FY18) 7 4 4 4

10 5

0

0 Oct-16

PGR

119 Oct-17

10

10 5

(5 CBMs in FY18) 5 0 0

0 Oct-17

124

Oct-16

CBM

Oct-17

5

Preliminary Response Filing Rates

Pre- and Post-Rule To Allow New Testimonial Evidence (NTE) (All Time: 9/16/12 to 10/31/17) 86%

82%

86% 87%

85% 85% 64%

83%

87%

71%

NTE NTE 49%

63%

NTE

NTE

35%

38%

37%

NTE

Pre Post

Pre Post

Pre Post

Pre Post

Pre Post

Bio/Pharma

Chemical

Design

Electrical/Computer

Mechanical & Business Method

The rule to allow new testimonial evidence was effective May 2, 2016. 6

Institution Rates

(FY13 to FY18: 10/1/12 to 10/31/17) 100% 90%

Instituted

87%

70% 60% 50%

664 469

30% 20% 10%

68% 1,012

40%

191

2,000 1,800

75%

80%

Denied

67% 1,011 496

1,600

63%

1,400 1,200

49%

955

1,000 800

557

600 400

223

87 90

29

200

0%

0

FY13

FY14

FY15

FY16

FY17

Institution rate for each fiscal year is calculated by dividing petitions instituted by decisions on institution (i.e., petitions instituted plus petitions denied). The outcomes of decisions on institution responsive to requests for rehearing are excluded.

FY18

7

Institution Rates by Technology (All Time: 9/16/12 to 10/31/17) Bio/Pharma

61% (337 of 550)

Chemical Design Electrical/Computer Mechanical & Business Method

66% (258 of 388)

41% (17 of 41)

69% (2,311 of 3,364)

69% (997 of 1,441)

Institution rate for each technology is calculated by dividing petitions instituted by decisions on institution (i.e., petitions instituted plus petitions denied). The outcomes of decisions on institution responsive to requests for rehearing are excluded.

8

Pre-Institution Settlements (FY13 to FY18: 10/1/12 to 10/31/17)

20%

16% Settlement Rate

Settlements

14%

12% 291

9%

18%

242

16%

14%

249

14% 12%

9%

10% 8%

127

6% 4%

23

18

2% 0%

FY13

FY14

FY15

FY16

FY17

Settlement rate for each year is calculated by dividing pre-institution settlements by the sum of proceedings instituted, denied institution, dismissed, terminated with a request for adverse judgment, and settled before decision on institution.

FY18

9

Post-Institution Settlements (FY13 to FY18: 10/1/12 to 10/31/17) Settlement Rate

90% 85%

40%

65%

29% 212

Settlements

22% 194

22%

45%

11%

25% 5%

187

-15%

110

-35%

18

-55%

6

-75%

FY13

FY14

FY15

FY16

FY17

Settlement rate for each year is calculated by dividing post-institution settlements by proceedings terminated post-institution (i.e., settled, dismissed, terminated with a request for adverse judgment, and final written decision), excluding joined cases.

FY18

10

Status of Petitions

(All Time: 9/16/12 to 10/31/17) 7,685 Instituted Claims Unpatentable No Claim: 346 (19%) Some Claims: 290 (16%) All Claims: 1,181 (65%)

744

1,817

727

38

246

These figures reflect the latest status of each petition. The outcomes of decisions on institution responsive to requests for rehearing are incorporated. Once joined to a base case, a petition remains in the Joined category regardless of subsequent outcomes.

Final Writ. Decisions

367

Instituted

Denied

Req. Adv. Judgment

Dismissed

Settled

Open PreInstitution

Petitions

1,845

Req. Adv. Judgment

3,939

Dismissed

29

Settled

72

Joined

950

Open PostInstitution

850

11