What happens if a “Sequence Listing XML” is not submitted with an international application?

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 “Sequence Listing XML” is not submitted with an international application, the United States International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA) may issue a notice requiring compliance. According to MPEP 2414.05:

“Where applicant has not provided a sequence listing in accordance with Annex C of the Administrative Instructions and the USPTO acts as International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA) for, the ISA/IPEA may invite applicant to furnish a sequence listing, with a late furnishing fee, under PCT Rule 13ter.”

This invitation will specify a time limit for submitting the required “Sequence Listing XML”, along with a late furnishing fee and a statement that the information does not go beyond the original disclosure.