MPEP § 2414 — Notification of a Failure to Comply with Sequence Listing Requirements and Amendments Relating to “Sequence Listing XML” Files Under 37 CFR 1.835

Ninth Edition, Revision 01.2024 · last revised R-01.2024

[Editor Note: This section is applicable to all applications with a filing date, or, for national phase applications, an international filing date, on or after July 1, 2022, having disclosure of one or more nucleotide and/or amino acid sequences as defined in 37 CFR 1.831(b).]

When an application filed under 35 U.S.C. 111(a) having a filing date on or after July 1, 2022, or an application which entered the national stage, having an international filing date on or after July 1, 2022, contains disclosure of nucleotide and/or amino acid sequences, a “Sequence Listing XML” is required. When no “Sequence Listing XML” or a defective “Sequence Listing XML” is submitted in an application where a compliant “Sequence Listing XML” is required, the pre-examination staff will issue a notification that compliance with 37 CFR 1.831 - 1.835 is required and an added initial submission of a “Sequence Listing XML” (37 CFR 1.835(a)) or replacement “Sequence Listing XML” (37 CFR 1.835(b)) will be required. Additionally, the examiner can require the filing of a “Sequence Listing XML” if an application fails to comply with 37 CFR 1.831 - 1.834. For example, if there are sequences in the disclosure which are not part of the “Sequence Listing XML” of record, then the examiner can require a replacement “Sequence Listing XML” which includes the omitted sequences. See form paragraphs 24.18.26 - 24.20.26, 24.23.26, and 24.27.26-24.28.26.