When is a replacement “Sequence Listing XML” required in a patent 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.

A replacement “Sequence Listing XML” is required in a patent application under the following circumstances:

1. When errors are identified in a previously submitted “Sequence Listing XML”
2. When the previously submitted “Sequence Listing XML” fails to comply with 37 CFR 1.831 – 1.834
3. When the applicant chooses to amend a previously submitted “Sequence Listing XML”

According to MPEP 2414.03:

If pre-examination staff identifies that a previously submitted “Sequence Listing XML” contains errors or fails to comply with 37 CFR 1.831 – 1.834, a notice indicating the deficiencies will be issued to the applicant. Similarly, upon having a new application placed on the examiner’s docket, the examiner can identify errors in any “Sequence Listing XML” that might not have been identified by pre-examination staff.

Additionally, the MPEP states: If applicant recognizes a deficiency in a previously submitted “Sequence Listing XML” or otherwise chooses to amend a previously submitted “Sequence Listing XML,” a replacement “Sequence Listing XML” must be filed including all of the above described items.

In these cases, applicants must submit a compliant replacement “Sequence Listing XML” along with the necessary statements and amendments as outlined in 37 CFR 1.835(b).