MPEP § 1823.02 — Filing Nucleotide and/or Amino Acid Sequence Listings in International Applications (Annotated Rules)

§1823.02 Filing Nucleotide and/or Amino Acid Sequence Listings in International Applications

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 1823.02, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.

Filing Nucleotide and/or Amino Acid Sequence Listings in International Applications

This section addresses Filing Nucleotide and/or Amino Acid Sequence Listings in International Applications. Primary authority: 37 CFR 1.445(a)(5), 37 CFR 1.821, and 37 CFR 1.825. Contains: 6 requirements, 2 prohibitions, 5 permissions, and 7 other statements.

Key Rules

Topic

PCT Description Requirements

12 rules
StatutoryProhibitedAlways
[mpep-1823-02-f4c28ea5f3926cdb8e8048bb]
Sequence Listing Not Filed Initially Cannot Be Added
Note:
An applicant cannot add a sequence listing to the international application if it was not initially filed, but can amend the description in relation to such a listing according to Article 34(2)(b).

(e) Any sequence listing not contained in the international application as filed, whether furnished in response to an invitation under paragraph (a) or otherwise, shall not form part of the international application, but this paragraph shall not prevent the applicant from amending the description in relation to a sequence listing pursuant to Article 34(2)(b).

Jump to MPEP SourcePCT Description RequirementsSequence Listing in PCTRequest Content and Form
StatutoryRequiredAlways
[mpep-1823-02-658909a06cd8350692cb2cb5]
PCT Description Must Include Sequence Listing
Note:
The description of an international PCT application must include a sequence listing that complies with the standard provided in Administrative Instructions.

Where an international application, filed under the PCT, contains a disclosure of nucleotide and/or amino acid sequences that are required to be listed within a sequence listing, PCT Rule 5.2 requires that the description shall include a sequence listing part of the description complying with the standard provided for in the Administrative Instructions. In accordance with Section 208 of the Administrative Instructions, any sequence listing, whether forming part of the international application or not forming part of the international application, shall comply with Annex C of the Administrative Instructions. Where applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions and the USPTO acts as International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA), the ISA/IPEA may invite applicant to furnish a sequence listing, with a late furnishing fee, under PCT Rule 13ter. This invitation will specify a time limit for a proper response. A proper response to such an invitation would include, the submission of a sequence listing in accordance with Annex C of the Administrative Instructions, the late furnishing fee specified in 37 CFR 1.445(a)(5), and a statement to the effect that the sequence listing does not go beyond the disclosure of the international application as filed. If a sequence listing compliant with WIPO Standard ST.26 has not been furnished to the ISA/IPEA within the time limit set forth in the invitation, the ISA/IPEA will only search/examine the international application to the extent that a meaningful search or examination can be performed without the sequence listing. See PCT Rule 13ter.1(d). Where the application discloses sequences that are required to be within a sequence listing, it is advisable for the applicant to submit a sequence listing compliant with WIPO Standard ST.26 together with the international application on the international filing date rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP Source · 37 CFR 1.445(a)(5)PCT Description RequirementsSequence Listing in PCTPCT Description and Claims
StatutoryInformativeAlways
[mpep-1823-02-b088c33bcd341ee751aea0d5]
Sequence Listing Required for PCT Application
Note:
PCT Rule requires a sequence listing to be provided within a specified time limit if not initially included in the international application.

Where an international application, filed under the PCT, contains a disclosure of nucleotide and/or amino acid sequences that are required to be listed within a sequence listing, PCT Rule 5.2 requires that the description shall include a sequence listing part of the description complying with the standard provided for in the Administrative Instructions. In accordance with Section 208 of the Administrative Instructions, any sequence listing, whether forming part of the international application or not forming part of the international application, shall comply with Annex C of the Administrative Instructions. Where applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions and the USPTO acts as International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA), the ISA/IPEA may invite applicant to furnish a sequence listing, with a late furnishing fee, under PCT Rule 13ter. This invitation will specify a time limit for a proper response. A proper response to such an invitation would include, the submission of a sequence listing in accordance with Annex C of the Administrative Instructions, the late furnishing fee specified in 37 CFR 1.445(a)(5), and a statement to the effect that the sequence listing does not go beyond the disclosure of the international application as filed. If a sequence listing compliant with WIPO Standard ST.26 has not been furnished to the ISA/IPEA within the time limit set forth in the invitation, the ISA/IPEA will only search/examine the international application to the extent that a meaningful search or examination can be performed without the sequence listing. See PCT Rule 13ter.1(d). Where the application discloses sequences that are required to be within a sequence listing, it is advisable for the applicant to submit a sequence listing compliant with WIPO Standard ST.26 together with the international application on the international filing date rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP Source · 37 CFR 1.445(a)(5)PCT Description RequirementsInternational Filing DateEffect of International Filing
StatutoryInformativeAlways
[mpep-1823-02-548edbcbd863c5545e4ef846]
Sequence Listing Required for PCT Application
Note:
A response to an invitation from the ISA/IPEA must include a sequence listing compliant with Annex C, a late fee, and confirmation it matches the application as filed.

Where an international application, filed under the PCT, contains a disclosure of nucleotide and/or amino acid sequences that are required to be listed within a sequence listing, PCT Rule 5.2 requires that the description shall include a sequence listing part of the description complying with the standard provided for in the Administrative Instructions. In accordance with Section 208 of the Administrative Instructions, any sequence listing, whether forming part of the international application or not forming part of the international application, shall comply with Annex C of the Administrative Instructions. Where applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions and the USPTO acts as International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA), the ISA/IPEA may invite applicant to furnish a sequence listing, with a late furnishing fee, under PCT Rule 13ter. This invitation will specify a time limit for a proper response. A proper response to such an invitation would include, the submission of a sequence listing in accordance with Annex C of the Administrative Instructions, the late furnishing fee specified in 37 CFR 1.445(a)(5), and a statement to the effect that the sequence listing does not go beyond the disclosure of the international application as filed. If a sequence listing compliant with WIPO Standard ST.26 has not been furnished to the ISA/IPEA within the time limit set forth in the invitation, the ISA/IPEA will only search/examine the international application to the extent that a meaningful search or examination can be performed without the sequence listing. See PCT Rule 13ter.1(d). Where the application discloses sequences that are required to be within a sequence listing, it is advisable for the applicant to submit a sequence listing compliant with WIPO Standard ST.26 together with the international application on the international filing date rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP Source · 37 CFR 1.445(a)(5)PCT Description RequirementsEffect of International FilingSequence Listing in PCT
StatutoryRequiredAlways
[mpep-1823-02-847ef1636812c3ba0ca3b4c8]
Sequence Listing Must Comply With Standard
Note:
The description of an international application that discloses nucleotide and/or amino acid sequences must include a sequence listing meeting the specified standard.

Where an international application discloses one or more nucleotide and/or amino acid sequences, the description must contain a sequence listing complying with the standard specified in the Administrative Instructions. A copy of the Administrative Instructions in force before July 1, 2022 can be found at: www.wipo.int/wipolex/en/text/584509. The standard is set forth in detail in Annex C – Standard for the Presentation of Nucleotide and Amino Acid Sequence Listings in International Patent Applications Under the PCT. The standard allows the applicant to draw up a single sequence listing which is acceptable to all receiving Offices, International Searching and Preliminary Examining Authorities for the purposes of the international phase, and to all designated and elected Offices for the purposes of the national phase.

Jump to MPEP SourcePCT Description RequirementsPCT Description and ClaimsPCT International Application Filing
StatutoryInformativeAlways
[mpep-1823-02-ba5c56536ba8ac19939817ba]
Standard for Nucleotide and Amino Acid Sequence Listings Required
Note:
The description of an international application must include a sequence listing complying with the Administrative Instructions in force before July 1, 2022.

Where an international application discloses one or more nucleotide and/or amino acid sequences, the description must contain a sequence listing complying with the standard specified in the Administrative Instructions. A copy of the Administrative Instructions in force before July 1, 2022 can be found at: www.wipo.int/wipolex/en/text/584509. The standard is set forth in detail in Annex C – Standard for the Presentation of Nucleotide and Amino Acid Sequence Listings in International Patent Applications Under the PCT. The standard allows the applicant to draw up a single sequence listing which is acceptable to all receiving Offices, International Searching and Preliminary Examining Authorities for the purposes of the international phase, and to all designated and elected Offices for the purposes of the national phase.

Jump to MPEP SourcePCT Description RequirementsNationals and ResidentsReceiving Office (RO/US)
StatutoryPermittedAlways
[mpep-1823-02-d068907b4592ffd24b112095]
Nucleotide and Amino Acid Sequence Listings Required in PCT Applications
Note:
The description of an international application must include a sequence listing complying with the specified standard for nucleotide and amino acid sequences.

Where an international application discloses one or more nucleotide and/or amino acid sequences, the description must contain a sequence listing complying with the standard specified in the Administrative Instructions. A copy of the Administrative Instructions in force before July 1, 2022 can be found at: www.wipo.int/wipolex/en/text/584509. The standard is set forth in detail in Annex C – Standard for the Presentation of Nucleotide and Amino Acid Sequence Listings in International Patent Applications Under the PCT. The standard allows the applicant to draw up a single sequence listing which is acceptable to all receiving Offices, International Searching and Preliminary Examining Authorities for the purposes of the international phase, and to all designated and elected Offices for the purposes of the national phase.

Jump to MPEP SourcePCT Description RequirementsNationals and ResidentsReceiving Office (RO/US)
StatutoryRequiredAlways
[mpep-1823-02-7a2bff227ec241ed34c1e0a2]
Sequence Listing Must Be Separately Presented
Note:
The sequence listing must always be included as a separate part of the description in an international PCT application.

Under PCT Rule 5.2(a), the sequence listing must always be presented as a separate part of the description. When filing an international application (PCT) using the USPTO patent electronic filing system, the sequence listing part of the description may be submitted either as a single ASCII text file with a ".txt" extension (e.g., "seqlist.txt") or as a PDF file. Note that 100 megabytes is the size limit for submitting a sequence listing text file via the USPTO patent electronic filing system.

Jump to MPEP SourcePCT Description RequirementsPCT Description and ClaimsSequence Listing Format
StatutoryPermittedAlways
[mpep-1823-02-9f5cdbdc43dbf4516df41149]
Sequence Listing Can Be Submitted As ASCII Or PDF
Note:
When filing an international application via the USPTO patent electronic system, the sequence listing can be submitted as either a single ASCII text file or a PDF.

Under PCT Rule 5.2(a), the sequence listing must always be presented as a separate part of the description. When filing an international application (PCT) using the USPTO patent electronic filing system, the sequence listing part of the description may be submitted either as a single ASCII text file with a ".txt" extension (e.g., "seqlist.txt") or as a PDF file. Note that 100 megabytes is the size limit for submitting a sequence listing text file via the USPTO patent electronic filing system.

Jump to MPEP SourcePCT Description RequirementsReceiving Office (RO/US)PCT Description and Claims
StatutoryInformativeAlways
[mpep-1823-02-6d16bd60e03e8e65fe84b9c6]
Single ASCII Text File Serves Both PCT Requirements
Note:
A single ASCII text file fulfills both the sequence listing part of the description under PCT Rule 5.2 and the electronic form requirement under PCT Rule 13ter.1(a) if no PDF sequence listing file is provided.

A single ASCII text file will serve both as the sequence listing part of the description under PCT Rule 5.2 and the electronic form under PCT Rule 13ter.1(a) in the absence of a PDF sequence listing file. The check list of the PCT Request (PCT/RO/101) provided via the USPTO patent electronic filing system together with the international application (PCT) must indicate that the sequence listing forms part of the international application. Furthermore, the statement as set forth in paragraph 4(v) of the AI Annex C (Administrative Instructions under the PCT, Annex C), that "the information recorded in electronic form furnished under PCT Rule 13ter is identical to the sequence listing as contained in the international application," is not required.

Jump to MPEP SourcePCT Description RequirementsReceiving Office (RO/US)Request Content and Form
StatutoryRequiredAlways
[mpep-1823-02-83b8022fb3e952868c7ec6e2]
Sequence Listing Must Be Submitted as ASCII Text
Note:
The sequence listing part of the description must be submitted in an ASCII text file for international search and examination purposes, not as a PDF.

Submission of the sequence listing part of the description in a PDF file is not recommended because the applicant would also be required to supply a copy of the sequence listing in an ASCII text file to the appropriate authority for purposes of international search and/or international preliminary examination in accordance with paragraph 40 of AI Annex C. When a sequence listing is filed via the USPTO patent electronic filing system in a new PCT international application in both a PDF file and an ASCII text file, but the Request form Box No. IX does not indicate which one forms part of the international application, the PDF copy of the sequence listing will be considered to form part of the application and the ASCII text file will be considered an accompanying item for search purposes under PCT Rule 13ter.1(a) only.

Jump to MPEP SourcePCT Description RequirementsReceiving Office (RO/US)Article 34 Amendments
MPEP GuidanceRequiredAlways
[mpep-1823-02-94ef25d54acb8e6c50b02750]
Sequence Listing Must Be Included in Description
Note:
The description must include a sequence listing that complies with the Administrative Instructions when the international application discloses nucleotide and/or amino acid sequences.

(a) Where the international application contains disclosure of nucleotide and/or amino acid sequences that, pursuant to the Administrative Instructions, are required to be included in a sequence listing, the description shall include a sequence listing part of the description complying with the standard provided for in the Administrative Instructions.

Jump to MPEP SourcePCT Description RequirementsPCT Description and ClaimsSequence Listing Content
Topic

Sequence Listing Format

8 rules
StatutoryRequiredAlways
[mpep-1823-02-c2f795e6b4acf3708ddda4de]
Sequence Listing Must Comply with Standard
Note:
Applicants must provide sequence listings that meet the standard set by Administrative Instructions.

No designated Office shall require the applicant to furnish to it a sequence listing other than a sequence listing complying with the standard provided for in the Administrative Instructions.

Jump to MPEP SourceSequence Listing FormatSequence Listing Requirements
StatutoryInformativeAlways
[mpep-1823-02-b89390b4f0d5c7b4b574a4bd]
Sequence Listings Must Be In XML Format
Note:
Patent applications disclosing nucleotide and amino acid sequences must present them in a standardized XML format as per WIPO Standard ST.26 for international and national filings.

Patent applications that disclose a nucleotide and/or amino acid sequence(s) by enumeration of its residues, as defined in WIPO Standard ST.26, must present each sequence and associated sequence data in a standardized electronic eXtensible Markup Language (XML) format as a separate part of the specification. This standardized format is set forth in WIPO Standard ST.26 and applies to sequence listings in international applications filed under the Patent Cooperation Treaty (PCT) and in national and regional applications filed in the intellectual property offices (IPOs) of WIPO member states. As a result, a single sequence listing in compliance with WIPO Standard ST.26 can be prepared for use in all IPOs of WIPO member states.

Jump to MPEP SourceSequence Listing FormatSequence Listing RequirementsSequence Listing Content
StatutoryPermittedAlways
[mpep-1823-02-861df4075850ebff756f747e]
Single Sequence Listing for All IPOs
Note:
A single sequence listing in compliance with WIPO Standard ST.26 must be prepared and used in all intellectual property offices of WIPO member states.

Patent applications that disclose a nucleotide and/or amino acid sequence(s) by enumeration of its residues, as defined in WIPO Standard ST.26, must present each sequence and associated sequence data in a standardized electronic eXtensible Markup Language (XML) format as a separate part of the specification. This standardized format is set forth in WIPO Standard ST.26 and applies to sequence listings in international applications filed under the Patent Cooperation Treaty (PCT) and in national and regional applications filed in the intellectual property offices (IPOs) of WIPO member states. As a result, a single sequence listing in compliance with WIPO Standard ST.26 can be prepared for use in all IPOs of WIPO member states.

Jump to MPEP SourceSequence Listing FormatSequence Listing RequirementsSequence Listing Content
StatutoryInformativeAlways
[mpep-1823-02-60d2d5584a7f16c31952f519]
Requirement for Sequence Listing Format
Note:
The rule requires that the sequence listing format for international applications must comply with WIPO Standard ST.26 as detailed in MPEP § 2414.05.

For a detailed discussion of the World Intellectual Property Organization (WIPO) Standard ST.26, see MPEP §§ 2412 – 2419, in particular MPEP § 2414.05.

Jump to MPEP SourceSequence Listing FormatSequence Listing Requirements
StatutoryPermittedAlways
[mpep-1823-02-cee5c0d60adee4d6cab255c6]
Format for Sequence Listings Required
Note:
The rule requires that sequence listings in international applications must follow the format specified by WIPO Standard ST.26.

For ease of access, WIPO Standard ST.26 can be found at: www.wipo.int/standards/en/ part_03_standards.html.

Jump to MPEP SourceSequence Listing FormatSequence Listing RequirementsAccess to Patent Application Files (MPEP 101-106)
StatutoryInformativeAlways
[mpep-1823-02-fccf0e71b32c13c175057031]
U.S. and PCT Sequence Requirements Consistent
Note:
Full compliance with U.S. sequence rules ensures compliance with PCT requirements for international applications.

The electronic form (text) is not mandatory in international applications to be searched by the United States International Searching Authority or examined by the United States International Preliminary Examining Authority. However, if an electronic form (text) of a sequence listing is not provided, a search or examination will be performed only to the extent possible in the absence of the electronic form (text). The U.S. sequence rules (37 CFR 1.821 – 1.825) and the PCT sequence requirements are substantively consistent. In this regard, full compliance with the requirements of the U.S. rules will generally ensure compliance with the applicable PCT requirements. However, the requirements of 37 CFR 1.821 through 37 CFR 1.825 are less stringent than the requirements of WIPO Standard ST.25. See MPEP § 2422, subsection II, MPEP § 2422.03(a), subsection IV, and MPEP § 2422.07 for information specific to filing sequence listings in international applications.

Jump to MPEP Source · 37 CFR 1.821Sequence Listing FormatPatent Cooperation TreatySequence Listing Requirements
StatutoryInformativeAlways
[mpep-1823-02-4dde9651d18b4573884b0fb8]
Sequence Listing Requirements for International Applications
Note:
The rule outlines the sequence listing requirements that must be followed when filing international applications, as detailed in MPEP §§ 2420 – 2429.

For a detailed discussion of the U.S. sequence rules, see MPEP §§ 2420 – 2429.

Jump to MPEP SourceSequence Listing FormatSequence Listing Requirements
MPEP GuidanceProhibitedAlways
[mpep-1823-02-9f41d1a86972da29e9cc73c1]
Language-Dependent Text Not Required In Main Description
Note:
Language-specific text in sequence listings does not need to be included in the main description.

(b) Language-dependent free text included in the sequence listing part of the description shall not be required to be included in the main body of the description.

Jump to MPEP SourceSequence Listing FormatSequence Listing RequirementsSequence Listing Content
Topic

International Searching Authority (ISA)

4 rules
StatutoryRequiredAlways
[mpep-1823-02-912ad08a297a26061b102d56]
Sequence Listing and Late Fee Must Be Submitted to ISA/IPPEA
Note:
Applicants must submit a sequence listing and any required late fee to the International Searching Authority or International Preliminary Examining Authority upon receiving an invitation, rather than waiting for one.

In cases where a sequence listing does not meet the necessary requirements, such as it has been submitted in PDF format or.txt file does not comply with Annex C, the International Searching Authority and the International Preliminary Examining Authority may invite the applicant to furnish, within a fixed time limit, a sequence listing complying with the required standard. The invitation may also, in accordance with PCT Rule 13ter.1(c), request the payment of a late furnishing fee. Where such an invitation has been issued, the sequence listing and late fee must be submitted to the International Searching Authority or the International Preliminary Examining Authority. It is advisable for the applicant to submit a listing of the sequence in electronic form (text), if such a listing is required by the competent International Searching Authority or International Preliminary Examining Authority, together with the international application rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP SourceInternational Searching Authority (ISA)Sequence Listing in PCTRequest Content and Form
MPEP GuidanceRequiredAlways
[mpep-1823-02-d3d7f5c133b50b92ce348d74]
Sequence Listing Required for International Application
Note:
The International Searching Authority may request a sequence listing in compliance with Administrative Instructions if not already provided within the required form, language, and manner.

(a) Where the international application contains disclosure of nucleotide and/or amino acid sequences that, pursuant to the Administrative Instructions, are required to be included in a sequence listing, the International Searching Authority may invite the applicant to furnish to it, for the purposes of the international search, a sequence listing complying with the standard provided for in the Administrative Instructions, unless such listing is already available to it in a form, language and manner acceptable to it, and to pay to it, where applicable, the late furnishing fee referred to paragraph (c), within a time limit fixed in the invitation:

Jump to MPEP SourceInternational Searching Authority (ISA)Sequence Listing in PCTRequest Content and Form
MPEP GuidanceProhibitedAlways
[mpep-1823-02-20be335116069c84d72f4175]
Late Filing Fee for Sequence Listing
Note:
The International Searching Authority may require a late filing fee not exceeding 25% of the international filing fee for submitting a sequence listing after an invitation.

(c) The furnishing of a sequence listing in response to an invitation under paragraph (a) may be subjected by the International Searching Authority to the payment to it, for its own benefit, of a late furnishing fee whose amount shall be determined by the International Searching Authority but shall not exceed 25% of the international filing fee referred to in item 1 of the Schedule of Fees, not taking into account any fee for each sheet of the international application in excess of 30 sheets.

Jump to MPEP SourceInternational Searching Authority (ISA)Sequence Listing in PCTFiling, Search & Examination Fees
MPEP GuidanceRequiredAlways
[mpep-1823-02-a9e714b7b489c4ba78d1cad5]
ISA Only Searches Without Sequence Listing If Late Fee Not Paid
Note:
If the applicant fails to provide a sequence listing and pay any late fee within the specified time, the ISA will limit its search to only what can be meaningfully conducted without the listing.

(d) If the applicant does not, within the time limit fixed in the invitation under paragraph (a), furnish the required sequence listing and pay any required late furnishing fee, the International Searching Authority shall only be required to search the international application to the extent that a meaningful search can be carried out without the sequence listing.

Jump to MPEP SourceInternational Searching Authority (ISA)Sequence Listing in PCTInternational Search
Topic

International Filing Date

3 rules
StatutoryRequiredAlways
[mpep-1823-02-3f760963a48d5b00c7d4d1c2]
Submit Sequence Listing on International Filing Date
Note:
Applicants should submit a sequence listing compliant with WIPO Standard ST.26 along with the international application to avoid waiting for an invitation from the ISA/IPEA.

Where an international application, filed under the PCT, contains a disclosure of nucleotide and/or amino acid sequences that are required to be listed within a sequence listing, PCT Rule 5.2 requires that the description shall include a sequence listing part of the description complying with the standard provided for in the Administrative Instructions. In accordance with Section 208 of the Administrative Instructions, any sequence listing, whether forming part of the international application or not forming part of the international application, shall comply with Annex C of the Administrative Instructions. Where applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions and the USPTO acts as International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA), the ISA/IPEA may invite applicant to furnish a sequence listing, with a late furnishing fee, under PCT Rule 13ter. This invitation will specify a time limit for a proper response. A proper response to such an invitation would include, the submission of a sequence listing in accordance with Annex C of the Administrative Instructions, the late furnishing fee specified in 37 CFR 1.445(a)(5), and a statement to the effect that the sequence listing does not go beyond the disclosure of the international application as filed. If a sequence listing compliant with WIPO Standard ST.26 has not been furnished to the ISA/IPEA within the time limit set forth in the invitation, the ISA/IPEA will only search/examine the international application to the extent that a meaningful search or examination can be performed without the sequence listing. See PCT Rule 13ter.1(d). Where the application discloses sequences that are required to be within a sequence listing, it is advisable for the applicant to submit a sequence listing compliant with WIPO Standard ST.26 together with the international application on the international filing date rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP Source · 37 CFR 1.445(a)(5)International Filing DateInternational Preliminary Examining Authority (IPEA)International Searching Authority (ISA)
MPEP GuidanceInformativeAlways
[mpep-1823-02-439686e4bcacfd4da65df154]
Requirements for International Applications Filed After July 1, 2022
Note:
This rule outlines the requirements for international applications filed on or after July 1, 2022, including national phase applications.

[Editor Note: The PCT Rules and Administrative Instructions reproduced in this section are applicable to international applications, including national phase applications, having an international filing date on or after July 1, 2022. For international applications having an international filing date before July 1, 2022, the applicable rules may be found at: www.wipo.int/export/sites/www/pct/en/docs/texts/ pct-regs2020.pdf and the applicable instructions may be found at www.wipo.int/wipolex/en/text/584509.]

Jump to MPEP SourceInternational Filing DateNationals and ResidentsReceiving Office (RO/US)
MPEP GuidancePermittedAlways
[mpep-1823-02-414214e4a0c665cf4497a52d]
Rules for Pre-July 1, 2022 International Applications
Note:
Provides rules and instructions for international applications filed before July 1, 2022.

[Editor Note: The PCT Rules and Administrative Instructions reproduced in this section are applicable to international applications, including national phase applications, having an international filing date on or after July 1, 2022. For international applications having an international filing date before July 1, 2022, the applicable rules may be found at: www.wipo.int/export/sites/www/pct/en/docs/texts/ pct-regs2020.pdf and the applicable instructions may be found at www.wipo.int/wipolex/en/text/584509.]

Jump to MPEP SourceInternational Filing DatePCT International Application FilingPatent Cooperation Treaty
Topic

Receiving Office (RO/US)

3 rules
StatutoryInformativeAlways
[mpep-1823-02-da8414960845c60a889430e2]
100 MB Limit for Sequence Listing Text File
Note:
The sequence listing text file must not exceed 100 megabytes when submitted via the USPTO patent electronic filing system.

Under PCT Rule 5.2(a), the sequence listing must always be presented as a separate part of the description. When filing an international application (PCT) using the USPTO patent electronic filing system, the sequence listing part of the description may be submitted either as a single ASCII text file with a ".txt" extension (e.g., "seqlist.txt") or as a PDF file. Note that 100 megabytes is the size limit for submitting a sequence listing text file via the USPTO patent electronic filing system.

Jump to MPEP SourceReceiving Office (RO/US)PCT International Application FilingSequence Listing Format
StatutoryInformativeAlways
[mpep-1823-02-051235d4e62e08dacc34d9cc]
PDF Sequence Listing Forms Part of Application
Note:
When a sequence listing is filed in both PDF and ASCII text formats, the PDF version will be considered part of the application unless specified otherwise.

Submission of the sequence listing part of the description in a PDF file is not recommended because the applicant would also be required to supply a copy of the sequence listing in an ASCII text file to the appropriate authority for purposes of international search and/or international preliminary examination in accordance with paragraph 40 of AI Annex C. When a sequence listing is filed via the USPTO patent electronic filing system in a new PCT international application in both a PDF file and an ASCII text file, but the Request form Box No. IX does not indicate which one forms part of the international application, the PDF copy of the sequence listing will be considered to form part of the application and the ASCII text file will be considered an accompanying item for search purposes under PCT Rule 13ter.1(a) only.

Jump to MPEP SourceReceiving Office (RO/US)International Searching Authority (ISA)Sequence Listing in PCT
StatutoryRequiredAlways
[mpep-1823-02-871061f30d5508ee0e6ba1e6]
Sequence Listing Must Comply with Standards
Note:
Applicants must provide a sequence listing that meets the required format and standards within a fixed time limit, or face potential fees.

In cases where a sequence listing does not meet the necessary requirements, such as it has been submitted in PDF format or.txt file does not comply with Annex C, the International Searching Authority and the International Preliminary Examining Authority may invite the applicant to furnish, within a fixed time limit, a sequence listing complying with the required standard. The invitation may also, in accordance with PCT Rule 13ter.1(c), request the payment of a late furnishing fee. Where such an invitation has been issued, the sequence listing and late fee must be submitted to the International Searching Authority or the International Preliminary Examining Authority. It is advisable for the applicant to submit a listing of the sequence in electronic form (text), if such a listing is required by the competent International Searching Authority or International Preliminary Examining Authority, together with the international application rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP SourceReceiving Office (RO/US)International Searching Authority (ISA)Sequence Listing in PCT
Topic

Sequence Listing Content

2 rules
StatutoryRequiredAlways
[mpep-1823-02-6c44c3af16f60e3e363188a4]
Nucleotide and Amino Acid Sequences Must Be in XML Format
Note:
Patent applications disclosing nucleotide and amino acid sequences must present each sequence and associated data in a standardized XML format as a separate part of the specification.

Patent applications that disclose a nucleotide and/or amino acid sequence(s) by enumeration of its residues, as defined in WIPO Standard ST.26, must present each sequence and associated sequence data in a standardized electronic eXtensible Markup Language (XML) format as a separate part of the specification. This standardized format is set forth in WIPO Standard ST.26 and applies to sequence listings in international applications filed under the Patent Cooperation Treaty (PCT) and in national and regional applications filed in the intellectual property offices (IPOs) of WIPO member states. As a result, a single sequence listing in compliance with WIPO Standard ST.26 can be prepared for use in all IPOs of WIPO member states.

Jump to MPEP SourceSequence Listing ContentSequence Listing FormatSequence Listing Requirements
StatutoryInformativeAlways
[mpep-1823-02-fe2f0c3d7145d119921dda39]
Standard for Sequence Listings Required
Note:
The description must include a sequence listing that complies with the PCT Administrative Instructions to ensure acceptability by all Offices during the international and national phases.

Where an international application discloses one or more nucleotide and/or amino acid sequences, the description must contain a sequence listing complying with the standard specified in the Administrative Instructions. A copy of the Administrative Instructions in force before July 1, 2022 can be found at: www.wipo.int/wipolex/en/text/584509. The standard is set forth in detail in Annex C – Standard for the Presentation of Nucleotide and Amino Acid Sequence Listings in International Patent Applications Under the PCT. The standard allows the applicant to draw up a single sequence listing which is acceptable to all receiving Offices, International Searching and Preliminary Examining Authorities for the purposes of the international phase, and to all designated and elected Offices for the purposes of the national phase.

Jump to MPEP SourceSequence Listing ContentSequence Listing FormatPatent Cooperation Treaty
Topic

Nationals and Residents

2 rules
StatutoryInformativeAlways
[mpep-1823-02-aecc6790b69682b46aaf25d3]
Single Sequence Listing for International and National Phases
Note:
The rule permits applicants to submit a single sequence listing that meets the requirements of all Offices during both international and national phases.

Where an international application discloses one or more nucleotide and/or amino acid sequences, the description must contain a sequence listing complying with the standard specified in the Administrative Instructions. A copy of the Administrative Instructions in force before July 1, 2022 can be found at: www.wipo.int/wipolex/en/text/584509. The standard is set forth in detail in Annex C – Standard for the Presentation of Nucleotide and Amino Acid Sequence Listings in International Patent Applications Under the PCT. The standard allows the applicant to draw up a single sequence listing which is acceptable to all receiving Offices, International Searching and Preliminary Examining Authorities for the purposes of the international phase, and to all designated and elected Offices for the purposes of the national phase.

Jump to MPEP SourceNationals and ResidentsReceiving Office (RO/US)Sequence Listing Format
StatutoryInformativeAlways
[mpep-1823-02-23bb6e2cc3298fe58ff1f570]
Sequence Listing Not Mandatory for Search and Examination
Note:
A sequence listing in electronic form is not required for international applications, but if missing, the search or examination will be limited to available information.

The electronic form (text) is not mandatory in international applications to be searched by the United States International Searching Authority or examined by the United States International Preliminary Examining Authority. However, if an electronic form (text) of a sequence listing is not provided, a search or examination will be performed only to the extent possible in the absence of the electronic form (text). The U.S. sequence rules (37 CFR 1.821 – 1.825) and the PCT sequence requirements are substantively consistent. In this regard, full compliance with the requirements of the U.S. rules will generally ensure compliance with the applicable PCT requirements. However, the requirements of 37 CFR 1.821 through 37 CFR 1.825 are less stringent than the requirements of WIPO Standard ST.25. See MPEP § 2422, subsection II, MPEP § 2422.03(a), subsection IV, and MPEP § 2422.07 for information specific to filing sequence listings in international applications.

Jump to MPEP Source · 37 CFR 1.821Nationals and ResidentsInternational Searching Authority (ISA)Sequence Listing in PCT
Topic

Request Content and Form

2 rules
StatutoryRequiredAlways
[mpep-1823-02-df307c469b1536c25d837474]
Sequence Listing Must Be Indicated in PCT Request
Note:
The checklist for the PCT request must indicate that the sequence listing is part of the international application, but no additional statement about electronic form equivalence is required.

A single ASCII text file will serve both as the sequence listing part of the description under PCT Rule 5.2 and the electronic form under PCT Rule 13ter.1(a) in the absence of a PDF sequence listing file. The check list of the PCT Request (PCT/RO/101) provided via the USPTO patent electronic filing system together with the international application (PCT) must indicate that the sequence listing forms part of the international application. Furthermore, the statement as set forth in paragraph 4(v) of the AI Annex C (Administrative Instructions under the PCT, Annex C), that "the information recorded in electronic form furnished under PCT Rule 13ter is identical to the sequence listing as contained in the international application," is not required.

Jump to MPEP SourceRequest Content and FormPCT International Application FilingPCT Request Form
StatutoryPermittedAlways
[mpep-1823-02-f8287350c464479793fcec50]
Request for Late Filing Fee
Note:
The applicant may be asked to pay a late fee if they submit a sequence listing that does not meet the required standard.

In cases where a sequence listing does not meet the necessary requirements, such as it has been submitted in PDF format or.txt file does not comply with Annex C, the International Searching Authority and the International Preliminary Examining Authority may invite the applicant to furnish, within a fixed time limit, a sequence listing complying with the required standard. The invitation may also, in accordance with PCT Rule 13ter.1(c), request the payment of a late furnishing fee. Where such an invitation has been issued, the sequence listing and late fee must be submitted to the International Searching Authority or the International Preliminary Examining Authority. It is advisable for the applicant to submit a listing of the sequence in electronic form (text), if such a listing is required by the competent International Searching Authority or International Preliminary Examining Authority, together with the international application rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP SourceRequest Content and FormMaintenance Fee AmountsPCT Request Form
Topic

Article 19 Amendment Scope

1 rules
StatutoryRequiredAlways
[mpep-1823-02-6d60fc3fd6df364d2e09c47c]
Sequences and Sequence References Must Comply with Annex C
Note:
All sequences, whether part of the international application or not, and any references to such sequences in the description, claims, and drawings, must adhere to the requirements specified in Annex C.

Any sequence listing, whether forming part of the international application or not forming part of the international application, shall comply with Annex C. Sequences and references to sequences included in the main part of the description, claims and drawings shall also comply with Annex C.

Jump to MPEP SourceArticle 19 Amendment ScopePCT Description RequirementsPCT Article 19 Amendments
Topic

Sequence Listing in PCT

1 rules
StatutoryRequiredAlways
[mpep-1823-02-cb303ef5ff8f3f0e597135ec]
Sequence Listing Must Comply with Annex C
Note:
Any sequence listing, whether part of the international application or not, must adhere to the standards set in Annex C of the Administrative Instructions.

Where an international application, filed under the PCT, contains a disclosure of nucleotide and/or amino acid sequences that are required to be listed within a sequence listing, PCT Rule 5.2 requires that the description shall include a sequence listing part of the description complying with the standard provided for in the Administrative Instructions. In accordance with Section 208 of the Administrative Instructions, any sequence listing, whether forming part of the international application or not forming part of the international application, shall comply with Annex C of the Administrative Instructions. Where applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions and the USPTO acts as International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA), the ISA/IPEA may invite applicant to furnish a sequence listing, with a late furnishing fee, under PCT Rule 13ter. This invitation will specify a time limit for a proper response. A proper response to such an invitation would include, the submission of a sequence listing in accordance with Annex C of the Administrative Instructions, the late furnishing fee specified in 37 CFR 1.445(a)(5), and a statement to the effect that the sequence listing does not go beyond the disclosure of the international application as filed. If a sequence listing compliant with WIPO Standard ST.26 has not been furnished to the ISA/IPEA within the time limit set forth in the invitation, the ISA/IPEA will only search/examine the international application to the extent that a meaningful search or examination can be performed without the sequence listing. See PCT Rule 13ter.1(d). Where the application discloses sequences that are required to be within a sequence listing, it is advisable for the applicant to submit a sequence listing compliant with WIPO Standard ST.26 together with the international application on the international filing date rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP Source · 37 CFR 1.445(a)(5)Sequence Listing in PCTPCT International Application FilingSequence Listing Format
Topic

International Preliminary Examining Authority (IPEA)

1 rules
StatutoryPermittedAlways
[mpep-1823-02-67b0df2f4d04f4235bdf3888]
ISA/IPEA May Invite Applicant to Provide Sequence Listing
Note:
If the USPTO acts as ISA or IPEA and applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions, they may be invited to furnish one with a late fee.

Where an international application, filed under the PCT, contains a disclosure of nucleotide and/or amino acid sequences that are required to be listed within a sequence listing, PCT Rule 5.2 requires that the description shall include a sequence listing part of the description complying with the standard provided for in the Administrative Instructions. In accordance with Section 208 of the Administrative Instructions, any sequence listing, whether forming part of the international application or not forming part of the international application, shall comply with Annex C of the Administrative Instructions. Where applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions and the USPTO acts as International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA), the ISA/IPEA may invite applicant to furnish a sequence listing, with a late furnishing fee, under PCT Rule 13ter. This invitation will specify a time limit for a proper response. A proper response to such an invitation would include, the submission of a sequence listing in accordance with Annex C of the Administrative Instructions, the late furnishing fee specified in 37 CFR 1.445(a)(5), and a statement to the effect that the sequence listing does not go beyond the disclosure of the international application as filed. If a sequence listing compliant with WIPO Standard ST.26 has not been furnished to the ISA/IPEA within the time limit set forth in the invitation, the ISA/IPEA will only search/examine the international application to the extent that a meaningful search or examination can be performed without the sequence listing. See PCT Rule 13ter.1(d). Where the application discloses sequences that are required to be within a sequence listing, it is advisable for the applicant to submit a sequence listing compliant with WIPO Standard ST.26 together with the international application on the international filing date rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP Source · 37 CFR 1.445(a)(5)International Preliminary Examining Authority (IPEA)International Searching Authority (ISA)Sequence Listing in PCT
Topic

Article 34 Amendments

1 rules
StatutoryPermittedAlways
[mpep-1823-02-7dc932315e4cbdfa54a49d8f]
Sequence Listing Required for Meaningful Search/Examination
Note:
If a sequence listing compliant with WIPO Standard ST.26 is not provided within the time limit, the ISA/IPEA will only search or examine to the extent possible without it.

Where an international application, filed under the PCT, contains a disclosure of nucleotide and/or amino acid sequences that are required to be listed within a sequence listing, PCT Rule 5.2 requires that the description shall include a sequence listing part of the description complying with the standard provided for in the Administrative Instructions. In accordance with Section 208 of the Administrative Instructions, any sequence listing, whether forming part of the international application or not forming part of the international application, shall comply with Annex C of the Administrative Instructions. Where applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions and the USPTO acts as International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA), the ISA/IPEA may invite applicant to furnish a sequence listing, with a late furnishing fee, under PCT Rule 13ter. This invitation will specify a time limit for a proper response. A proper response to such an invitation would include, the submission of a sequence listing in accordance with Annex C of the Administrative Instructions, the late furnishing fee specified in 37 CFR 1.445(a)(5), and a statement to the effect that the sequence listing does not go beyond the disclosure of the international application as filed. If a sequence listing compliant with WIPO Standard ST.26 has not been furnished to the ISA/IPEA within the time limit set forth in the invitation, the ISA/IPEA will only search/examine the international application to the extent that a meaningful search or examination can be performed without the sequence listing. See PCT Rule 13ter.1(d). Where the application discloses sequences that are required to be within a sequence listing, it is advisable for the applicant to submit a sequence listing compliant with WIPO Standard ST.26 together with the international application on the international filing date rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP Source · 37 CFR 1.445(a)(5)Article 34 AmendmentsInternational Preliminary Examining Authority (IPEA)International Searching Authority (ISA)
Topic

Patent Cooperation Treaty

1 rules
StatutoryInformativeAlways
[mpep-1823-02-aac227a7ebb28eded0e96f82]
Sequence Listing Required for PCT Applications
Note:
PCT applications disclosing nucleotide and amino acid sequences must include a compliant sequence listing as part of the description.

Where an international application, filed under the PCT, contains a disclosure of nucleotide and/or amino acid sequences that are required to be listed within a sequence listing, PCT Rule 5.2 requires that the description shall include a sequence listing part of the description complying with the standard provided for in the Administrative Instructions. In accordance with Section 208 of the Administrative Instructions, any sequence listing, whether forming part of the international application or not forming part of the international application, shall comply with Annex C of the Administrative Instructions. Where applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions and the USPTO acts as International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA), the ISA/IPEA may invite applicant to furnish a sequence listing, with a late furnishing fee, under PCT Rule 13ter. This invitation will specify a time limit for a proper response. A proper response to such an invitation would include, the submission of a sequence listing in accordance with Annex C of the Administrative Instructions, the late furnishing fee specified in 37 CFR 1.445(a)(5), and a statement to the effect that the sequence listing does not go beyond the disclosure of the international application as filed. If a sequence listing compliant with WIPO Standard ST.26 has not been furnished to the ISA/IPEA within the time limit set forth in the invitation, the ISA/IPEA will only search/examine the international application to the extent that a meaningful search or examination can be performed without the sequence listing. See PCT Rule 13ter.1(d). Where the application discloses sequences that are required to be within a sequence listing, it is advisable for the applicant to submit a sequence listing compliant with WIPO Standard ST.26 together with the international application on the international filing date rather than to wait for an invitation by the International Searching Authority or International Preliminary Examining Authority.

Jump to MPEP Source · 37 CFR 1.445(a)(5)Patent Cooperation TreatyPCT Description RequirementsInternational Filing Date
Topic

PCT International Application Filing

1 rules
StatutoryInformativeAlways
[mpep-1823-02-3159b7b1d1321412bce1764d]
U.S. Sequence Rules for PCT Filing
Note:
Compliance with U.S. sequence listing rules generally ensures PCT requirements, though they are less stringent than WIPO Standard ST.25.

The electronic form (text) is not mandatory in international applications to be searched by the United States International Searching Authority or examined by the United States International Preliminary Examining Authority. However, if an electronic form (text) of a sequence listing is not provided, a search or examination will be performed only to the extent possible in the absence of the electronic form (text). The U.S. sequence rules (37 CFR 1.821 – 1.825) and the PCT sequence requirements are substantively consistent. In this regard, full compliance with the requirements of the U.S. rules will generally ensure compliance with the applicable PCT requirements. However, the requirements of 37 CFR 1.821 through 37 CFR 1.825 are less stringent than the requirements of WIPO Standard ST.25. See MPEP § 2422, subsection II, MPEP § 2422.03(a), subsection IV, and MPEP § 2422.07 for information specific to filing sequence listings in international applications.

Jump to MPEP Source · 37 CFR 1.821PCT International Application FilingSequence Listing FormatPatent Cooperation Treaty

Citations

Primary topicCitation
Article 34 Amendments
International Filing Date
International Preliminary Examining Authority (IPEA)
PCT Description Requirements
Patent Cooperation Treaty
Sequence Listing in PCT
37 CFR § 1.445(a)(5)
Nationals and Residents
PCT International Application Filing
Sequence Listing Format
37 CFR § 1.821
Nationals and Residents
PCT International Application Filing
Sequence Listing Format
37 CFR § 1.825
Sequence Listing FormatMPEP § 2412
Sequence Listing FormatMPEP § 2414.05
Sequence Listing FormatMPEP § 2420
Nationals and Residents
PCT International Application Filing
Sequence Listing Format
MPEP § 2422
Nationals and Residents
PCT International Application Filing
Sequence Listing Format
MPEP § 2422.03(a)
Nationals and Residents
PCT International Application Filing
Sequence Listing Format
MPEP § 2422.07
Article 34 Amendments
International Filing Date
International Preliminary Examining Authority (IPEA)
International Searching Authority (ISA)
PCT Description Requirements
Patent Cooperation Treaty
Receiving Office (RO/US)
Request Content and Form
Sequence Listing in PCT
PCT Rule 13ter.1(c)
Article 34 Amendments
International Filing Date
International Preliminary Examining Authority (IPEA)
PCT Description Requirements
Patent Cooperation Treaty
Sequence Listing in PCT
Section 208 of the Administrative Instructions
Article 34 Amendments
International Filing Date
International Preliminary Examining Authority (IPEA)
PCT Description Requirements
Patent Cooperation Treaty
Receiving Office (RO/US)
Request Content and Form
Sequence Listing in PCT
PCT Rule 5.2

Source Text from USPTO’s MPEP

This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.

BlueIron Last Updated: 2025-12-31