What happens if a required Sequence Listing XML is not submitted or is defective?

This page is an FAQ based on guidance from the Manual of Patent Examining Procedure. It is provided as guidance, with links to the ground truth sources. This is information only: it is not legal advice.

If a required Sequence Listing XML is not submitted or is defective on the filing date of an application, the USPTO will take action. According to MPEP 2414:

“When no ‘Sequence Listing XML’ or a defective ‘Sequence Listing XML’ is submitted on the filing date in an application where a compliance ‘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.”

This means that the applicant will be notified of the need to submit a compliant Sequence Listing XML to proceed with the application process.