| PCT, International Applications |
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(376) Sequence Listings and Tables Related Thereto in
International Applications Filed in the
United States Receiving Office
The Administrative Instructions (AIs) under the Patent Cooperation
Treaty (PCT), in force as of July 1, 2009, contain important changes
relating to the manner of filing, and applicable fees for, sequence listings
and/or tables related thereto (sequence listings/tables) in international
applications. The complete text may be accessed at
http://www.wipo.int/pct/en/texts/index.htm.
Effective July 1, 2009, Part 8 ("Instructions Relating To International
Applications Containing Large Nucleotide And/Or Amino Acid Sequence Listings
And/Or Tables Relating Thereto") and Annex C-bis ("Technical Requirements
For The Presentation Of Tables Related To Nucleotide And Amino Acid Sequence
Listings In International Patent Applications Under The PCT") will no longer
form part of the AIs. Part 8 was introduced in 2001 as a temporary solution
to problems arising from the filing of very large sequence listings on paper
and provided for a sequence listing forming part of the international
application to be filed in electronic form on physical medium (e.g., compact
discs), together with the remainder of the application on paper. In 2002,
Part 8 was expanded to include tables related to sequence listings and Annex
C-bis was added to provide technical requirements. The capability to file
complete international applications in electronic form is now available to
all applicants, eliminating the need for these temporary provisions.
Summary of Changes Related to Sequence Listings/Tables Effective
July 1, 2009
I. AI Part 8 and Annex C-bis deleted; Fees under AI § 707
Sequence listings/tables forming part of the international application
are no longer acceptable on an electronic medium as part of an
international application on paper. Tables filed as a separate part of the
description in text format compliant with former AI Annex C-bis are
acceptable.
Where an international application is filed in electronic form via
EFS-Web, a sequence listing forming part of the international application
under PCT Rule 5.2 must be filed in either Annex C/ST.25 text format, which
is preferred, or in PDF format. Where the sequence listing forming part of
the international application is filed in Annex C/ST.25 text format, no
further copy of a sequence listing not forming part of the international
application is necessary for search purposes under PCT Rule 13ter, and NO
page fees will be assessed for the sequence listing in text format. Where
the sequence listing forming part of the international application is
foled in PDF format, an additional copy of a sequence listing not forming
part of the international application in Annex C/ST.25 text format is
necessary for search purposes under PCT Rule 13ter, and FULL page fees will
be assessed for every page of the sequence listing in PDF format.
Where the Annex C/ST.25 text format of a sequence listing is larger than
the EFS-Web size limit of 100 megabytes, consistent with current practice,
applicant may use EFS-Web to file part of the international application,
obtain the international application number and the confirmation number,
and submit the sequence listing on one or more compact discs using Express
Mail from the United States Postal Service (USPS) in accordance with 37
CFR 1.10, or hand delivery, as appropriate, in order to secure the same
filing date for all parts of the international application. The Legal
Framework for EFS-Web may be accessed at
http://www.uspto.gov/ebc/portal/efs/legal.htm.
Where an international application is filed on paper, a sequence listing
forming part of the international application under PCT Rule 5.2 must be on
paper. An additional copy of a sequence listing not forming part of the
 Top of Notices (376) December 26, 2017 |
US PATENT AND TRADEMARK OFFICE |
1445 CNOG 2766 |
international application in Annex C/ST.25 text format on physical medium
(e.g., compact discs) is necessary for search purposes under PCT Rule 13ter,
and FULL page fees will be assessed for every page of the sequence listing
on paper.
Tables related to sequence listings must be filed as an integral part of
the description. Where the international application is filed in PDF format
via EFS-Web, tables must also be in PDF format and FULL page fees will be
assessed for every page of the application in PDF format, including the
tables. Where the international application is filed on paper, tables must
also be on paper and FULL page fees will be assessed for every page of the
application, including the tables.
II. Availability of Sequence Listings Provided for Search Purposes
Effective July 1, 2009, AI § 513 enables the International Bureau to
make available, through the PATENTSCOPE(r) Search Service
(see http://www.wipo.int/patentscope/en/ for further information), any
sequence listing not forming part of the international application provided
for the purposes of international search (sequence listings forming part of
the international application are already made available on PATENTSCOPE(r)).
AI § 514(e) requires International Searching Authorities to transmit a copy
of any such sequence listing in electronic form to the International Bureau.
III. Request (PCT/RO/101)
The July 2009 Request now has two options for the last sheet: one for
PAPER filings; and one for EFS-Web filings. The form may be accessed at
http://www.wipo.int/pct/en/forms/index.htm.
June 11, 2009 JOHN J. DOLL
Acting Under Secretary of Commerce for
Intellectual Property and Acting Director of the
United States Patent and Trademark Office
[1344 OG 50]