What is required when adding an initial “Sequence Listing XML” to a patent application after the filing date?

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.

When adding an initial “Sequence Listing XML” to a patent application after the filing date, the following are required:

• A compliant “Sequence Listing XML” submitted as an XML file via the USPTO Patent Electronic Filing System or on a read-only optical disc.
• An amendment to the specification incorporating the “Sequence Listing XML” by reference.
• A statement indicating the basis for the amendment with specific references to the original application.
• A statement that the “Sequence Listing XML” includes no new matter.

As stated in 37 CFR 1.835(a): “Any amendment to a patent application adding an initial submission of a ‘Sequence Listing XML’ as required by § 1.831(a) after the application filing date must include [the above requirements].”