MPEP § 2421.03 — Notification of a Failure to Comply (Annotated Rules)

§2421.03 Notification of a Failure to Comply

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 2421.03, 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

This section addresses Notification of a Failure to Comply. Primary authority: 35 U.S.C. 111, 35 U.S.C. 371, and 37 CFR 1.821. Contains: 1 guidance statement, 3 permissions, and 7 other statements.

Key Rules

Topic

Sequence Listing Format

7 rules
StatutoryInformativeAlways
[mpep-2421-03-a28175c3f8e431720687f33c]
Notification of Sequence Listing Deficiencies Early
Note:
Applicants will be notified early if their sequence listings are not readable or missing mandatory elements.

With respect to the Office’s determination of compliance with the sequence rules and the opportunities afforded applicants to satisfy the requirements of the rules, applicants will be notified of easily detectable deficiencies early in the application process. Applicants whose computer readable forms (which include a “Sequence Listing” submitted as an ASCII plain text file under 37 CFR 1.821(c)(1) and separate CRFs submitted under 37 CFR 1.821(e)) are not readable, or are missing mandatory elements, will be notified shortly after receipt of the application by the Office. See 37 CFR 1.52(e)(9), 1.821(g), and 1.821(h).

Jump to MPEP Source · 37 CFR 1.821(c)(1)Sequence Listing FormatSequence Listing RequirementsLegibility and Permanence
StatutoryInformativeAlways
[mpep-2421-03-56fe0e335899c8eb9934bbf2]
Sequence Listing Must Be Readable and Complete
Note:
Applicants must ensure their Sequence Listing is in a readable ASCII format and includes all mandatory elements. Failure to do so will result in notification from the Office shortly after application receipt.

With respect to the Office’s determination of compliance with the sequence rules and the opportunities afforded applicants to satisfy the requirements of the rules, applicants will be notified of easily detectable deficiencies early in the application process. Applicants whose computer readable forms (which include a “Sequence Listing” submitted as an ASCII plain text file under 37 CFR 1.821(c)(1) and separate CRFs submitted under 37 CFR 1.821(e)) are not readable, or are missing mandatory elements, will be notified shortly after receipt of the application by the Office. See 37 CFR 1.52(e)(9), 1.821(g), and 1.821(h).

Jump to MPEP Source · 37 CFR 1.821(c)(1)Sequence Listing FormatSequence Listing RequirementsLegibility and Permanence
StatutoryInformativeAlways
[mpep-2421-03-e475b224973523369bf87d60]
Requirement for Sequence Listing Compliance
Note:
The Office of Patent Application Processing will notify applicants of missing sequence listing requirements and set a two-month deadline to comply with the rules, or face abandonment of their application.

The Office of Patent Application Processing (OPAP) will mail a notice to applicant listing the requirements that have not been met and setting a two month time period within which to comply with the sequence rules, 37 CFR 1.821 – 1.825. Failure to comply with these requirements will result in abandonment of the application under 37 CFR 1.821(g). Extensions of time may be obtained by filing a petition accompanied by the extension fee under the provisions of 37 CFR 1.136. Applications will not be subject to examination on the merits until a compliant “Sequence Listing” has been submitted, as jurisdiction remains with Office of Patent Application Processing until compliance with the Notice to Comply With Requirements For Patent Applications Containing Nucleotide Sequence And/Or Amino Acid Sequence Disclosures.

Jump to MPEP Source · 37 CFR 1.821Sequence Listing FormatSequence Listing RequirementsPTAB Jurisdiction
StatutoryInformativeAlways
[mpep-2421-03-8c6ad1df36f358e62dd680bb]
Errors Report for Sequence Listing Submissions
Note:
A report of errors will be provided when a sequence listing submission fails to comply with the required format rules.

A notification of a failure to comply with the sequence rules will be accompanied by a report of errors associated with any submitted computer readable form (the 37 CFR 1.821(c)(1), the 1.821(e)(1) or 1.821(e)(2) submission). Any inquiries regarding a specific computer readable form that has been processed by the Office should be directed to the Sequence Systems Service Center (S3C) of the Scientific and Technical Information Center. The S3C manages the Sequence Help Desk, and responds to all questions or concerns, from both inside and outside the USPTO, related to computer readable format sequence listing submissions. The S3C may be contacted at 571-272-2510 or via email at STIC-SSSCHelpdesk@uspto.gov.

Jump to MPEP Source · 37 CFR 1.821(c)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryRecommendedAlways
[mpep-2421-03-22163b8b33cc15d5e3f6c22c]
Inquiries About Processed Sequence Listings Must Go to S3C
Note:
Any questions regarding a specific computer readable form processed by the Office should be directed to the Sequence Systems Service Center of the Scientific and Technical Information Center.

A notification of a failure to comply with the sequence rules will be accompanied by a report of errors associated with any submitted computer readable form (the 37 CFR 1.821(c)(1), the 1.821(e)(1) or 1.821(e)(2) submission). Any inquiries regarding a specific computer readable form that has been processed by the Office should be directed to the Sequence Systems Service Center (S3C) of the Scientific and Technical Information Center. The S3C manages the Sequence Help Desk, and responds to all questions or concerns, from both inside and outside the USPTO, related to computer readable format sequence listing submissions. The S3C may be contacted at 571-272-2510 or via email at STIC-SSSCHelpdesk@uspto.gov.

Jump to MPEP Source · 37 CFR 1.821(c)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryInformativeAlways
[mpep-2421-03-b0a31f0df68fec35bc4185bf]
S3C Manages Sequence Help Desk for Submission Questions
Note:
The S3C responds to all questions and concerns related to computer readable format sequence listing submissions from both inside and outside the USPTO.

A notification of a failure to comply with the sequence rules will be accompanied by a report of errors associated with any submitted computer readable form (the 37 CFR 1.821(c)(1), the 1.821(e)(1) or 1.821(e)(2) submission). Any inquiries regarding a specific computer readable form that has been processed by the Office should be directed to the Sequence Systems Service Center (S3C) of the Scientific and Technical Information Center. The S3C manages the Sequence Help Desk, and responds to all questions or concerns, from both inside and outside the USPTO, related to computer readable format sequence listing submissions. The S3C may be contacted at 571-272-2510 or via email at STIC-SSSCHelpdesk@uspto.gov.

Jump to MPEP Source · 37 CFR 1.821(c)(1)Sequence Listing FormatSequence Listing Requirements
StatutoryPermittedAlways
[mpep-2421-03-f13f5f9663bb06636ada0992]
Contact S3C for Sequence Listing Issues
Note:
Inquiries regarding computer readable format sequence listing submissions should be directed to the Sequence Systems Service Center.

A notification of a failure to comply with the sequence rules will be accompanied by a report of errors associated with any submitted computer readable form (the 37 CFR 1.821(c)(1), the 1.821(e)(1) or 1.821(e)(2) submission). Any inquiries regarding a specific computer readable form that has been processed by the Office should be directed to the Sequence Systems Service Center (S3C) of the Scientific and Technical Information Center. The S3C manages the Sequence Help Desk, and responds to all questions or concerns, from both inside and outside the USPTO, related to computer readable format sequence listing submissions. The S3C may be contacted at 571-272-2510 or via email at STIC-SSSCHelpdesk@uspto.gov.

Jump to MPEP Source · 37 CFR 1.821(c)(1)Sequence Listing FormatSequence Listing Requirements
Topic

PTAB Jurisdiction

3 rules
StatutoryInformativeAlways
[mpep-2421-03-b870a594619e0f7e3676243c]
Failure to Submit Sequence Listing Results in Abandonment
Note:
Applicants must submit a compliant sequence listing within two months of receiving notice; failure to do so results in application abandonment.

The Office of Patent Application Processing (OPAP) will mail a notice to applicant listing the requirements that have not been met and setting a two month time period within which to comply with the sequence rules, 37 CFR 1.821 – 1.825. Failure to comply with these requirements will result in abandonment of the application under 37 CFR 1.821(g). Extensions of time may be obtained by filing a petition accompanied by the extension fee under the provisions of 37 CFR 1.136. Applications will not be subject to examination on the merits until a compliant “Sequence Listing” has been submitted, as jurisdiction remains with Office of Patent Application Processing until compliance with the Notice to Comply With Requirements For Patent Applications Containing Nucleotide Sequence And/Or Amino Acid Sequence Disclosures.

Jump to MPEP Source · 37 CFR 1.821PTAB JurisdictionSequence Listing ContentSequence Listing Format
StatutoryPermittedAlways
[mpep-2421-03-1320d5e09e19aca5571d3931]
Petition for Extension of Time to Comply with Sequence Listing Requirements
Note:
Allows filing a petition and paying an extension fee to extend the time to comply with sequence listing requirements after receiving a notice of non-compliance.

The Office of Patent Application Processing (OPAP) will mail a notice to applicant listing the requirements that have not been met and setting a two month time period within which to comply with the sequence rules, 37 CFR 1.821 – 1.825. Failure to comply with these requirements will result in abandonment of the application under 37 CFR 1.821(g). Extensions of time may be obtained by filing a petition accompanied by the extension fee under the provisions of 37 CFR 1.136. Applications will not be subject to examination on the merits until a compliant “Sequence Listing” has been submitted, as jurisdiction remains with Office of Patent Application Processing until compliance with the Notice to Comply With Requirements For Patent Applications Containing Nucleotide Sequence And/Or Amino Acid Sequence Disclosures.

Jump to MPEP Source · 37 CFR 1.821PTAB JurisdictionSequence Listing ContentSequence Listing Format
StatutoryInformativeAlways
[mpep-2421-03-f27adf49448092b7e59c9410]
Sequence Listing Requirement for Patent Applications
Note:
Patent applications will not be examined until a compliant sequence listing is submitted, as jurisdiction remains with the Office of Patent Application Processing until compliance with the notice to comply with requirements for patent applications containing nucleotide or amino acid sequence disclosures.

The Office of Patent Application Processing (OPAP) will mail a notice to applicant listing the requirements that have not been met and setting a two month time period within which to comply with the sequence rules, 37 CFR 1.821 – 1.825. Failure to comply with these requirements will result in abandonment of the application under 37 CFR 1.821(g). Extensions of time may be obtained by filing a petition accompanied by the extension fee under the provisions of 37 CFR 1.136. Applications will not be subject to examination on the merits until a compliant “Sequence Listing” has been submitted, as jurisdiction remains with Office of Patent Application Processing until compliance with the Notice to Comply With Requirements For Patent Applications Containing Nucleotide Sequence And/Or Amino Acid Sequence Disclosures.

Jump to MPEP Source · 37 CFR 1.821PTAB JurisdictionSequence Listing ContentSequence Listing Format
Topic

Interviews in National Stage

2 rules
StatutoryInformativeAlways
[mpep-2421-03-af7c5a20d7e44d631d229253]
Sophisticated Deficiencies Detected by Assigned Examiner Only
Note:
Deficiencies of a more sophisticated nature will likely only be detected by the examiner to whom the application is assigned during examination.

Patent applications filed under 35 U.S.C. 111 on or after December 18, 2013, and international patent applications in which the national stage commenced under 35 U.S.C. 371 on or after December 18, 2013, may be subject to reductions in patent terms adjustment pursuant to 37 CFR 1.704(c)(13) if they are not in condition for examination within eight months from the filing date or date of commencement, respectively. “In condition for examination” includes compliance with 37 CFR 1.821 – 1.825 (see 37 CFR 1.704(f)). Deficiencies of a more sophisticated nature will likely only be detected by the examiner to whom the application is assigned. Applicant will be notified of any errors or inconsistencies detected by the examiner in the next Office action.

Jump to MPEP Source · 37 CFR 1.704(c)(13)Interviews in National StageInternational Filing DateNationals and Residents
StatutoryInformativeAlways
[mpep-2421-03-af6878f2bc2d013bf04a72ed]
Errors Notified by Examiner in Next Office Action
Note:
Applicant will be informed of any detected errors or inconsistencies during the next Office action.

Patent applications filed under 35 U.S.C. 111 on or after December 18, 2013, and international patent applications in which the national stage commenced under 35 U.S.C. 371 on or after December 18, 2013, may be subject to reductions in patent terms adjustment pursuant to 37 CFR 1.704(c)(13) if they are not in condition for examination within eight months from the filing date or date of commencement, respectively. “In condition for examination” includes compliance with 37 CFR 1.821 – 1.825 (see 37 CFR 1.704(f)). Deficiencies of a more sophisticated nature will likely only be detected by the examiner to whom the application is assigned. Applicant will be notified of any errors or inconsistencies detected by the examiner in the next Office action.

Jump to MPEP Source · 37 CFR 1.704(c)(13)Interviews in National StageRejections in National StageNational Stage Examination
Topic

Sequence Listing Content

1 rules
StatutoryInformativeAlways
[mpep-2421-03-3e0a1473e5977e07dab52c0d]
Not Applicable to Sequence Disclosures After July 1, 2022
Note:
This rule does not apply to applications filed after July 1, 2022 that disclose nucleotide or amino acid sequences.

[Editor Note: This section is not applicable to applications filed on or after July 1, 2022, having disclosures of nucleotide and/or amino acid sequences as defined in 37 CFR 1.831(b). See MPEP §§ 2412 – 2419 for guidance on WIPO ST.26 requirements for applications filed on or after July 1, 2022.]

37 CFR 1.77 · 37 CFR 1.831(b)Sequence Listing ContentSequence Listing Requirements
Topic

International Filing Date

1 rules
StatutoryPermittedAlways
[mpep-2421-03-9a869b90f72c2633dc1a04c9]
Patent Term Reduction for Examination Delays
Note:
Patent applications may have their terms reduced if not in condition for examination within eight months from filing or commencement.

Patent applications filed under 35 U.S.C. 111 on or after December 18, 2013, and international patent applications in which the national stage commenced under 35 U.S.C. 371 on or after December 18, 2013, may be subject to reductions in patent terms adjustment pursuant to 37 CFR 1.704(c)(13) if they are not in condition for examination within eight months from the filing date or date of commencement, respectively. “In condition for examination” includes compliance with 37 CFR 1.821 – 1.825 (see 37 CFR 1.704(f)). Deficiencies of a more sophisticated nature will likely only be detected by the examiner to whom the application is assigned. Applicant will be notified of any errors or inconsistencies detected by the examiner in the next Office action.

Jump to MPEP Source · 37 CFR 1.704(c)(13)International Filing DateNationals and ResidentsReceiving Office (RO/US)
Topic

Statutory Authority for Examination

1 rules
StatutoryInformativeAlways
[mpep-2421-03-6bed35f25d4a0bb2523aa6bb]
In Condition for Examination Includes Compliance with Specific Rules
Note:
The rule states that a patent application is considered 'in condition for examination' if it complies with specific rules outlined in 37 CFR 1.821-1.825.

Patent applications filed under 35 U.S.C. 111 on or after December 18, 2013, and international patent applications in which the national stage commenced under 35 U.S.C. 371 on or after December 18, 2013, may be subject to reductions in patent terms adjustment pursuant to 37 CFR 1.704(c)(13) if they are not in condition for examination within eight months from the filing date or date of commencement, respectively. “In condition for examination” includes compliance with 37 CFR 1.821 – 1.825 (see 37 CFR 1.704(f)). Deficiencies of a more sophisticated nature will likely only be detected by the examiner to whom the application is assigned. Applicant will be notified of any errors or inconsistencies detected by the examiner in the next Office action.

Jump to MPEP Source · 37 CFR 1.704(c)(13)Statutory Authority for ExaminationNational Stage ExaminationInternational Filing Date

Citations

Primary topicCitation
International Filing Date
Interviews in National Stage
Statutory Authority for Examination
35 U.S.C. § 111
International Filing Date
Interviews in National Stage
Statutory Authority for Examination
35 U.S.C. § 371
PTAB Jurisdiction
Sequence Listing Format
37 CFR § 1.136
Sequence Listing Format37 CFR § 1.52(e)(9)
International Filing Date
Interviews in National Stage
Statutory Authority for Examination
37 CFR § 1.704(c)(13)
International Filing Date
Interviews in National Stage
Statutory Authority for Examination
37 CFR § 1.704(f)
International Filing Date
Interviews in National Stage
PTAB Jurisdiction
Sequence Listing Format
Statutory Authority for Examination
37 CFR § 1.821
Sequence Listing Format37 CFR § 1.821(c)(1)
Sequence Listing Format37 CFR § 1.821(e)
PTAB Jurisdiction
Sequence Listing Format
37 CFR § 1.821(g)
Sequence Listing Content37 CFR § 1.831(b)
Sequence Listing ContentMPEP § 2412

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.

BlueIron Last Updated: 2025-12-31