Q: What are the requirements for adding a "Sequence Listing" after the application filing date?

According to 37 CFR 1.825(a) , adding a "Sequence Listing" after the application filing date requires: Submission of the "Sequence Listing" in one of three formats: ASCII plain text file, PDF file, or physical sheets of paper A request to make the amendment by incorporation by reference or insertion into the specification A statement indicating the basis for the amendment A statement that the "Sequence Listing" includes no new matter A new or substitute CRF (if applicable) A statement that the CRF contains the same sequence information as the added "Sequence Listing" (if applicable) The MPEP states: " If the 'Sequence Listing' is filed as an ASCII plain text file only, thereby serving both as a 'Sequence Listing' under 37 CFR 1.821(c) and a CRF under 37 CFR 1.821(e), then an incorporation by reference statement is required in the specification (replacing any prior such paragraph) (see 37 CFR 1.77(b)(5)). " To learn more: Sequence Listing Patent Application Amendment CRF ASCII plain text PDF file Physical sheets

Question 1

What is the recommended format for submitting a "Sequence Listing" in a patent application?

Accepted Answer

The USPTO recommends submitting a "Sequence Listing" as an ASCII plain text file via the USPTO patent electronic filing system rather than as a PDF image file. This is because:

If submitted as an ASCII plain text file in compliance with 37 CFR 1.824, it will serve as both the "Sequence Listing" under 37 CFR 1.821(c) and the CRF of the "Sequence Listing" under 37 CFR 1.821(e).
It eliminates the need for a second copy of the "Sequence Listing" as a PDF image file or on physical sheets of paper.
It eliminates the need for a statement indicating that the sequence information in the "Sequence Listing" and CRF copy are identical.

The MPEP states: "It is recommended that a 'Sequence Listing' be submitted as an ASCII plain text file via the USPTO patent electronic filing system rather than as a PDF image file."

To learn more:

Question 2

How do I assert that sequence information is identical in different formats?

Accepted Answer

When submitting sequence information in different formats (e.g., PDF, physical sheets, and computer readable form), it's important to assert that the content is identical. The MPEP provides a sample statement for this purpose:

"I hereby state that the sequence information contained in the computer readable form is identical to the sequence information contained in the 'Sequence Listing' submitted as a PDF image file or on physical sheets of paper."

This statement complies with 37 CFR 1.821(e)(1)(ii), (2)(ii), 1.825(a)(6), or (b)(7). The MPEP acknowledges that there may be non-substantive differences between formats, such as page numbers, but emphasizes that the informational content should be the same:

"This requirement for sameness relates to the informational content of the PDF image file or the physical sheets of paper and the CRF relevant to the requirements of the sequence rules."

It's crucial to ensure that the sequence information itself is identical across all submitted formats to comply with USPTO requirements.

To learn more:

Question 3

What are the requirements for adding a "Sequence Listing" after the application filing date?

Accepted Answer

According to 37 CFR 1.825(a), adding a "Sequence Listing" after the application filing date requires:

Submission of the "Sequence Listing" in one of three formats: ASCII plain text file, PDF file, or physical sheets of paper
A request to make the amendment by incorporation by reference or insertion into the specification
A statement indicating the basis for the amendment
A statement that the "Sequence Listing" includes no new matter
A new or substitute CRF (if applicable)
A statement that the CRF contains the same sequence information as the added "Sequence Listing" (if applicable)

The MPEP states: "If the 'Sequence Listing' is filed as an ASCII plain text file only, thereby serving both as a 'Sequence Listing' under 37 CFR 1.821(c) and a CRF under 37 CFR 1.821(e), then an incorporation by reference statement is required in the specification (replacing any prior such paragraph) (see 37 CFR 1.77(b)(5))."

To learn more:

Question 4

How do I amend an existing "Sequence Listing" in a patent application?

Accepted Answer

To amend an existing "Sequence Listing" in a patent application, 37 CFR 1.825(b) requires:

Submission of a replacement "Sequence Listing" in one of three formats: ASCII plain text file, PDF file, or physical sheets of paper
A request to make the amendment by incorporation by reference or insertion into the specification
Statements identifying the location of all changes, indicating the basis for the amendment, and confirming no new matter has been added
A new or substitute CRF (if applicable)
A statement that the CRF contains the same sequence information as the replacement "Sequence Listing" (if applicable)

The MPEP notes: "If the replacement 'Sequence Listing' is filed as an ASCII plain text file, then an incorporation by reference statement is required in the specification (replacing any prior such paragraph) (see 37 CFR 1.77(b)(5))."

For amendments to read-only optical discs, remember that "any amendment to the information on a read-only optical disc must be by the way of a replacement read-only optical disc. 37 CFR 1.52(e)(7)."

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Question 5

What does MPEP 303 say about assignment documents on certified copies of patent applications?

Accepted Answer

MPEP 303 states that certified copies of patent applications as filed do not include an indication of assignment documents. The section specifically notes:

"Certified copies of patent applications as filed do not include an indication of assignment documents." (MPEP 303)

This means that if an applicant wants to have proof of assignment documents, they need to request this separately.

Question 6

How should examiners handle inventions with multiple classifications?

Accepted Answer

When dealing with inventions that have multiple classifications, examiners should conduct a comprehensive search across all relevant areas. The MPEP 904.02(a) advises:

"It is not necessary to search all the classes into which the patent document has been placed, or to search all classes in which the claimed subject matter of a patent application would be properly classified."

However, examiners should:

Identify the most relevant classifications based on the claimed invention
Consider additional classifications for unclaimed but disclosed features
Use their judgment to determine the extent of the search in each classification
Ensure the search covers the inventive concept and its variations

The goal is to conduct an efficient yet thorough search that captures all relevant prior art.

To learn more:

Question 7

What does the International Search Report contain?

Accepted Answer

The International Search Report (ISR) contains several key elements as outlined in MPEP 1844:

Citations of documents considered relevant (PCT Rule 43.5 and Administrative Instructions Section 503)
Classification of the subject matter of the invention (PCT Rule 43.3 and Administrative Instructions Section 504)
Indication of the fields searched (PCT Rule 43.6)

The ISR also includes specific information about the cited documents:

Citations of particular relevance are specially indicated (Administrative Instructions Section 505)
Citations of certain special categories of documents are indicated (Administrative Instructions Section 507)
Citations not relevant to all claims are cited in relation to the specific claims they are relevant to (Administrative Instructions Section 508)
If only certain passages of a cited document are particularly relevant, they are identified by page, column, or line numbers (PCT Rule 43.5(e))

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Question 8

How do Definition Notes in USPC help in conducting prior art searches?

Accepted Answer

Definition Notes in the United States Patent Classification (USPC) system play a crucial role in conducting effective prior art searches. According to MPEP 902.02(a), these notes help in several ways:

Clarifying scope: Supplementary notes "supplement definitions by explaining terms or giving examples," helping searchers understand the exact scope of a classification.
Guiding to related areas: 'See or Search' notes point to "related disclosures located in other classes or subclasses," expanding the search scope.
Decision-making: Each 'See or Search' note "helps a user reach a decision either to include or exclude an area containing relevant subject matter."
Suggesting additional fields: Search notes "suggest additional fields of search," encouraging a more comprehensive search.

By utilizing these notes, patent examiners and attorneys can conduct more thorough and accurate prior art searches, potentially uncovering relevant references that might otherwise be overlooked.

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Question 9

What constitutes a valid joint research agreement under Pre-AIA 35 U.S.C. 103(c)?

Accepted Answer

What constitutes a valid joint research agreement under Pre-AIA 35 U.S.C. 103(c)?

A valid joint research agreement under Pre-AIA 35 U.S.C. 103(c) must meet specific criteria to qualify for the exception. According to MPEP 2146.02:

"The joint research agreement must be in writing and signed by all parties to the agreement. The agreement should specifically state the subject matter of the invention and the field of the invention. The agreement must be in effect as of the effective filing date of the claimed invention, but it does not have to be in writing until the date the amendment or reply relying upon the joint research agreement is submitted."

To constitute a valid joint research agreement, the following elements must be present:

Written agreement
Signed by all parties
Specification of the subject matter of the invention
Indication of the field of the invention
In effect as of the effective filing date of the claimed invention

It's important to note that while the agreement must be in effect as of the effective filing date, it doesn't need to be in writing until the date the amendment or reply relying on the agreement is submitted.

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What is the recommended format for submitting a “Sequence Listing” in a patent application?

How do I assert that sequence information is identical in different formats?

What are the requirements for adding a “Sequence Listing” after the application filing date?

How do I amend an existing “Sequence Listing” in a patent application?

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What does MPEP 303 say about assignment documents on certified copies of patent applications?

How should examiners handle inventions with multiple classifications?

What does the International Search Report contain?

How do Definition Notes in USPC help in conducting prior art searches?

What constitutes a valid joint research agreement under Pre-AIA 35 U.S.C. 103(c)?