What happens if a required “Sequence Listing XML” is missing or non-compliant in a patent application?

If a required “Sequence Listing XML” is missing or non-compliant in a patent application, the following process typically occurs:

1. During pre-examination or initial review, USPTO staff or the examiner identifies that a “Sequence Listing XML” is required but missing or not compliant with 37 CFR 1.831-1.834.
2. A notice indicating the deficiencies will be issued to the applicant.
3. For applications already on an examiner’s docket, the examiner can identify the requirement for a “Sequence Listing XML” on an “OPAP Routing Sheet” (Document Code “SEQREQ”).
4. The application is returned to pre-examination for the mailing of a notice indicating the deficiencies.

As stated in the MPEP: “If pre-examination staff identifies that a ‘Sequence Listing XML’ is required but missing or that compliance with 37 CFR 1.831 – 1.834 is lacking, a notice indicating the deficiencies will be issued to the applicant.”

Applicants must then respond to the notice or Office Action by providing the required “Sequence Listing XML” and associated documents as outlined in 37 CFR 1.835(a).

To learn more:

• Sequence Listing XML
• Patent Application
• USPTO
• Non-compliance