Sequence Listing FAQs

Q: What is your cost structure/how do you bill for Sequence Listing and amendment preparation?

A: Please contact us for a quote via email at

Q: What is your general turnaround time for Sequence Listing and amendment preparation?

A: Our standard turnaround time is 5+ business days, but we have the capacity to handle any project deadline 99% of the time.

Q: What is Harbor Consulting’s capacity to handle “urgent” projects?

A: We can handle most urgent projects as long as the quality of our product is not compromised by the time frame. We generally determine this on a case by case basis and you will know immediately if we anticipate any issues with meeting an urgent deadline.

Q: How do I send a request to Harbor Consulting?

A: Most of our clients prefer to send e-mail requests to us at We also accept requests that are sent via FedEx.

Q: What materials do I need to provide to have a Sequence Listing prepared?

A: In order for us to prepare a Sequence Listing “from scratch” we require a copy of the specification, claims, abstract, figures, and a copy of any previously prepared Listing(s) (if applicable), as well as all relative cursory information (docket number, serial number, filing date, inventor names, priority, etc.), as much as possible in the original Word format. Additionally, copies of notices, office actions and any relevant amendments may also be helpful.

Q: What cursory information do I need to provide?

A: All Sequence Listings require a serial number and filing date (or confirmation of a new filing), priority information, attorney reference/docket number and title of the application.

In addition to the above information, we also require the following for specific jurisdictions:

i. US applications- a full list of inventors.
ii. PCT applications- a full list of applicants and the International Searching Authority (ISA).
iii. Foreign applications- a full list of applicants (for CA filing we also need a full list of inventors)

Q: What does Harbor Consulting provide back to us for filing?

A: Our standard package includes: an ASCII text copy of the Sequence Listing, a Statement to Support/Accompanying, a draft amendment or redlined version of the application (if necessary), marked up figures (if necessary), a reporting letter, and an invoice.

Q: In what format does Harbor Consulting send the final product back to us for filing?

A: Depending on your filing preference, we can send the product back to you via e-mail for (i) EFS filing, FedEx priority overnight for (ii) regular paper/disc filing or, if the listing is very large, FedEx priority overnight for (iii) paperless (CD-R) filing.

Q: How do I submit Sequence Listings and amendments to various offices?

A: Sequence Listings may be submitted to requesting offices via Electronic File Submission (EFS), via paper and disc filing, or via paperless submission.

Q: What mandates that a DNA and/or amino acid sequence must be included in a Sequence Listing?

A: Any DNA Sequence consisting of ten (10) or more nucleotides with at least four (4) defined (i.e., a, t, c, g) and/or any amino acid Sequence consisting of four (4) or more defined amino acids (i.e., four of the twenty naturally occurring amino acids) must be included in a valid Listing. Additionally, atomic coordinate sequences are required to be included, and we will also include Accession Number sequences if their inclusion is specifically requested by our clients and/or an examiner, and will recommend their inclusion if the sequences are claimed.

Q: Can Harbor Consulting prepare a Sequence Listing from a hard copy only (i.e., we do not have the materials in Word or text)?

A: Yes, we can use a hard copy to construct and proof the sequence/necessary amendment data, however, this increases project time and cost.

Q: What does CRF refer to?

A: CRF stands for “Computer Readable Format” of a document. This encompasses Word documents, text files and extractable pdf documents, wherein the sequence/amendment data may be copied and pasted from the document.

Q: What does “non-OCR” CRF refer to?

A: “Non-OCR” refers to documents which have not been scanned from a paper copy via “optical character recognition” (“OCR”) and/or converted from a pdf file. OCR documents are generally replete with scanning errors which need to be proofed/corrected for accuracy.

Q: Why does my “Notice to Comply….” request an amendment directing entry of the Sequence Listing into the specification when the rules specifically indicate that the Sequence Listing is a separate document to be numbered beginning with page 1?

A: Prior to 1998, Sequence Listings were required to be included in the application after the last page of the spec., but before the claims. This part of the “Notice…” is outdated, as is clear from 37 CFR §1.821 and §1.822, wherein the Sequence Listing is submitted as a separate document numbered beginning with page 1.

Q: Can I file a PCT Sequence Listing as part of national phase filings without updating the cursory information for each and every filing?

A: Yes, you can file a PCT Listing in national phase applications, although you MUST be sure to include an ASCII text copy, the PCT Statement to Support, and all relevant amendments. Since most national phase applications only contain a paper copy of the PCT Listing, it is quite common for the applicant to get a non-compliant notice. Therefore, we suggest sending us the Listing to update the cursory information and prepare a new and valid filing in order to avoid any future issues (this excludes, however, PCT applications which designate the EP as the ISA or PCT applications converting to the EP for national phase filing – see below for explanation).

Q: Why was my US Listing, which was accepted by the USPTO, rejected by the EP and/or the PCT with an EP ISA?

A: The EP requires additional formatting with regard to modified residues, modified nucleotides and artificial sequences. The US Listing would not contain this type of additional formatting because it is not accepted if filed in other authoring offices, including the US.

Q: Why was my PCT Listing, which was accepted by the PCT, rejected when I filed it in my US national phase application?

A: As noted above, if the PCT Listing was prepared for filing in the EP, the EP formatting will be rejected by the USPTO, as well as other authoring offices.

Q: Why must a PCT Listing be formatted differently depending on which ISA I use?

A: Like a US application, a PCT Listing that designates the US as the ISA will not accept the formatting required by the EP, so PCT Listings that designate the EP as the ISA versus the US as the ISA are not the same.