5.2
Sequence listings of an application filed by reference to a previously filed application 

Where the application is filed by reference to a previously filed application (see A‑II, 4.1.3.1), and that previously filed application contained sequence listings on its date of filing, then those sequence listings form part of the application as originally filed. This is subject to the exception that, where the sequences only appear in the claims and not in the description or drawings of the previously filed application, and the applicant did not include the claims of the previously filed application in the reference, then those sequences are not included in the European application as originally filed and a sequence listing must be filed separately. If in such a case the sequence listing is filed on the date of filing of the European application, it is published with the European patent application.

A sequence listing complying with the applicable WIPO standard ST.25 that was filed in the previously filed application after the date of filing is not part of the description (Rule 30(2)) and, therefore, not included in the reference to the description and any drawings under Rule 40(1)(c). Consequently, the applicant must file a standard-compliant sequence listing for the European patent application separately.

Where the previously filed application is not available to the EPO, it will not be possible to carry out the check according to Rule 57(j) on the compliance of the sequence listing with Rule 30(1) until the applicant files the certified copy and any translation required, which must be done within two months of the date of filing (Rule 40(3)). If, after receipt of the certified copy and translation, where applicable, the examination by the Receiving Section reveals that the sequence listing contained therein does not comply with Rule 30(1) in conjunction with the rules laid down by the President of the EPO, the European Patent Office will send a communication according to Rule 30(3) inviting the applicant to correct any deficiencies and pay the late furnishing fee (see A‑IV, 5).

If the previously filed application referred to is a European application or an international application filed with the EPO as receiving Office, and the sequence listing contained therein satisfied the requirements of Rule 30 or Rule 5.2 PCT on its date of filing then all the requirements of Rule 30(1) are satisfied automatically on the date of filing of the European application filed by reference to this application.

If the previously filed application was filed with any other office, the applicant will have to ensure that all the requirements of Rule 30(1), in conjunction with the rules laid down by the President of the EPO, are met. In particular, the applicant must consider that any electronic standard-compliant sequence listing filed on the date of filing of the previously filed application will in most cases not be part of the certified copy under Rule 40(3) issued by the filing office. This means that if the previously filed application referred to is not a European patent application or an international application filed with the EPO as receiving Office, even where it contains a written sequence listing conforming to the applicable WIPO standard ST.25, the applicant will still have to provide a standard-compliant sequence listing in TXT format to the EPO and, where applicable, a statement that the information in electronic form is identical to the written sequence listing, in order to satisfy the requirements of Rule 30(1) in conjunction with the rules laid down by the President of the EPO. The same applies where the previously filed application was a European application or an international application filed with the EPO as receiving Office, but where one or more of the elements required to satisfy the requirements of Rule 30(1) or Rule 5.2 PCT in conjunction with the applicable WIPO standard ST.25 were not present on the date of filing. If this is not the case, the procedure in A‑IV, 5 will be followed (a communication under Rule 30(3) will be sent).

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