6.1.18.2 Office Practice

Also in this Chapter:

• 6.1.18.1 Background Nucleotide and/or Amino Acid Sequence Listings​​​​​​​
• 6.1.18.3 Summary

Key Legislation:

Administrative Instructions under the PCT:

• s513 Sequence Listings
• Annex C INSTRUCTIONS RELATING TO THE PRESENTATION OF NUCLEOTIDE AND AMINO ACID SEQUENCE LISTINGS IN INTERNATIONAL PATENT APPLICATIONS UNDER THE PCT

Related Chapters:

• 6.1.18.1 Background Nucleotide and/or Amino Acid Sequence Listings

Australian Patent Office practice, in its role as an ISA, is as follows:

• An applicant is required to file a sequence listing in paper form, or electronic form on a (ISO9660) CD-ROM, CD-R or DVD, if the specification discloses a nucleotide and/or an amino acid sequence.  The PCT unit can issue a defect notice to the applicant if the paper or CD-ROM, CD-R or DVD sequence listing is missing, or if it does not conform to the standard prescribed in Annex C of the Administrative Instructions under the Patent Cooperation Treaty. 
• The Commissioner may request that if the applicant only files a paper form of the sequence listing, that the applicant files an additional copy of those sequences in electronic form.  Any sequence listing in electronic form submitted in addition to the paper sequence listing contained in the specification must be identical to that paper sequence listing, and must be accompanied by a statement that [Rule 13ter.1(a) Ad. Inst. 513(a)]:

"The sequence listing does not include matter which goes beyond the disclosure in the international application as filed" (Annex C paragraph 4(vi)).

The examiner should check whether the electronic listing is accompanied by such a statement. If not, the examiner will then issue an Invitation to furnish the statement. (PCT/ISA/225).

Note: If the applicant has not supplied an electronic form of the listing, then the three person team should consider whether or not an electronic sequence listing is necessary for a comprehensive search.  If it is decided by the three person team that a comprehensive search can be completed without the electronic form of the listing, then the search should proceed.  For example, if the application relates to a single 10 amino acid sequence, then it may be possible to undertake a search without such a listing in electronic form.  If however the application relates to extensive sequence listings, then the examiner may issue an invitation to supply an electronic listing - see also 6.1.18.1 Background Nucleotide and/or Amino Acid Sequence Listings.

• The Office will accept the accuracy of any filed listing. The listing so supplied should comply with Annex C, however the Office will not necessarily check the listing for compliance. The Office will check for any physical damage to the disc, and for the presence of viruses.