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 (Annotated Rules)
§2414 Notification of a Failure to Comply with Sequence Listing Requirements and Amendments Relating to “Sequence Listing XML” Files Under 37 CFR 1.835
This page consolidates and annotates all enforceable requirements under MPEP § 2414, 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.
Notification of a Failure to Comply with Sequence Listing Requirements and Amendments Relating to “Sequence Listing XML” Files Under 37 CFR 1.835
This section addresses Notification of a Failure to Comply with Sequence Listing Requirements and Amendments Relating to “Sequence Listing XML” Files Under 37 CFR 1.835. Primary authority: 35 U.S.C. 111(a), 37 CFR 1.831, and 37 CFR 1.835(a)). Contains: 2 requirements, 1 permission, and 1 other statement.
Key Rules
Sequence Listing Content
[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.
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.
Sequence Listing Format
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.
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.
Citations
| Primary topic | Citation |
|---|---|
| Sequence Listing Content Sequence Listing Format | 35 U.S.C. § 111(a) |
| Sequence Listing Content Sequence Listing Format | 37 CFR § 1.831 |
| Sequence Listing Content | 37 CFR § 1.831(b) |
| Sequence Listing Content Sequence Listing Format | 37 CFR § 1.835(a) |
| Sequence Listing Content Sequence Listing Format | 37 CFR § 1.835(b) |
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.
Official 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
Source: USPTO2414 Notification of a Failure to Comply with Sequence Listing Requirements and Amendments Relating to “Sequence Listing XML” Files Under 37 CFR 1.835 [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.