6.1.18.3 Summary

Also in this Chapter:

• 6.1.18.1 Background Nucleotide and/or Amino Acid Sequence Listings
• 6.1.18.2 Office Practice​​​​​​​

Key Legislation:

Administrative Instructions under the PCT:

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

Regulations under the PCT:

• Rule 13ter.1 Procedure before the International Searching Authority

Processing of applications filed on or after 1 July 2022:

• Validation of the sequence listing for compliance with WIPO ST.26 will be performed prior to distribution of the case to examiner.
   

• Where the application does not contain a separate sequence listing in XML format examiners should request a sequence listing under Rule 13ter.1(a). The ST.26 sequence listing supplied in response to the Rule 13ter request must not go beyond the disclosure in the international application as filed and must be accompanied by a statement to that effect.
   

• Where the establishment of the ISR, or international-type search report, the search was carried out on the basis of the sequence listing, examiners should mark the appropriate check boxes under 'Basis of the Report' on the first sheet and in Box I on the second sheet of PCT/ISA/201 or PCT/ISA/210 forms.  In the ISO the examiner should mark the appropriate checkboxes under Items 3 and 4 of Box I 'Basis of the Report' of the form PCT/ISA/237.  At the international preliminary examination stage examiners should mark the appropriate check boxes under Item 2, 3 and 4 in Box I 'Basis of the Report' in the PCT/IPEA/408 and PCT/IPEA/409 forms, plus regarding the last check box in Item 2, include relevant information in the Supplemental Box Relating to Sequence Listings in the PCT/IPEA/408 and PCT/IPEA/409 forms.
   

• In cases where  the provided listing does not comply with WIPO ST.26 the applicant should be notified by the provision of a comment in the relevant box of PCT/ISA/201 and in Box VII of PCT/ISA/237. Examiners are to then to establish the opinion to the extent that a meaningful search could be carried out without a WIPO ST.26 compliant listing.

At the international preliminary examination stage examiners should mark the appropriate check boxes under Item 2, 3 and 4 in Box I 'Basis of the Report' in the PCT/IPEA/408 and PCT/IPEA/409 forms, plus regarding the last check box in Item 2, include relevant information in the Supplemental Box Relating to Sequence Listings in the PCT/IPEA/408 and PCT/IPEA/409 forms.

Processing of applications filed before 1 July 2022:

• examiners will check for the presence of a sequence listing, if there is a sequence disclosed in the specification.  However, examiners are not required to check for compliance of the sequence listing with Annex C of the Administrative Instructions under the Patent Cooperation Treaty
   
• examiners with the agreement of the three person team may issue an invitation as stated in Rule 13ter.1(a).
   
• examiners will accept the sequence listing in paper form filed by the applicant, but are not obliged to require that the applicant supply an electronic form of the sequence listing.
   
• if, in the establishment of the ISR, or international-type search report, the search was carried out on the basis of the sequence listing, examiners should mark the appropriate check boxes under 'Basis of the Report' on the first sheet and in Box I on the second sheet of PCT/ISA/201 or PCT/ISA/210 forms.  In the ISO the examiner should mark the appropriate checkboxes under Items 3 and 4 of Box I 'Basis of the Report' of the form PCT/ISA/237.  At the international preliminary examination stage examiners should mark the appropriate check boxes under Item 2, 3 and 4 in Box I 'Basis of the Report' in the PCT/IPEA/408 and PCT/IPEA/409 forms, plus regarding the last check box in Item 2, include relevant information in the Supplemental Box Relating to Sequence Listings in the PCT/IPEA/408 and PCT/IPEA/409 forms.

The Australian Patent Office will accept the filing of such sequence listing parts in paper form or in electronic form on a standard (IS09660) CD-ROM, CD-R or DVD.

Note: As of 1 July 2009, the filing of 'mixed mode' PCT applications, i.e. international applications where the sequence listing is filed in electronic form and the remainder of the international application is filed in paper form, is not permitted.  Thus international applications must be filed in either paper or electronic form in order to be accepted by the Receiving Office.