MPEP § 2412.05(a) — Use of Sequentially Numbered Sequence Identifiers in the “Sequence Listing XML” (Annotated Rules)
§2412.05(a) Use of Sequentially Numbered Sequence Identifiers in the “Sequence Listing XML”
This page consolidates and annotates all enforceable requirements under MPEP § 2412.05(a), including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.
Use of Sequentially Numbered Sequence Identifiers in the “Sequence Listing XML”
This section addresses Use of Sequentially Numbered Sequence Identifiers in the “Sequence Listing XML”. Primary authority: 37 CFR 1.831(b), 37 CFR 1.832(a), and 37 CFR 1.832. Contains: 5 requirements, 1 guidance statement, 1 permission, and 2 other statements.
Key Rules
Sequence Listing Content
[Editor Note: This section is applicable to all applications with a filing date, or, for national phase applications, an international filing date, on or after July 1, 2022, having disclosure of one or more nucleotide and/or amino acid sequences as defined in 37 CFR 1.831(b). Formatting representations of XML (eXtensible Markup Language) elements in this section appear different than shown in Standard ST.26, which may be accessed at: www.wipo.int /export/sites/www/standards/en/pdf/03-26-01.pdf.]
(a) Each disclosed nucleotide or amino acid sequence that meets the requirements of § 1.831(b) must appear separately in the “Sequence Listing XML.” Each sequence set forth in the “Sequence Listing XML” must be assigned a separate sequence identifier. The sequence identifiers must begin with 1 and increase sequentially by integers as defined in paragraph 10 of WIPO Standard ST.26 (incorporated by reference, see § 1.839).
(a) Each disclosed nucleotide or amino acid sequence that meets the requirements of § 1.831(b) must appear separately in the “Sequence Listing XML.” Each sequence set forth in the “Sequence Listing XML” must be assigned a separate sequence identifier. The sequence identifiers must begin with 1 and increase sequentially by integers as defined in paragraph 10 of WIPO Standard ST.26 (incorporated by reference, see § 1.839).
Each nucleotide and/or amino acid sequence that meets the definition in 37 CFR 1.831(b) and is enumerated by its residues must be assigned a separate sequence identifier, including a sequence which is identical to a region of a longer sequence. See MPEP § 2412.02 for further description of a “sequence”.
Where no sequence is present for a sequence identifier, i.e. an intentionally skipped sequence, “000” must be used in place of a sequence in a “Sequence Listing XML”. The total number of sequences indicated in the “Sequence Listing XML” must equal the total number of sequence identifiers, whether followed by a sequence or by “000”.
WIPO Standard ST.26 paragraphs 58 and 59 require that an intentionally skipped sequences in a “Sequence Listing XML” must be represented as follows:
…
(d) the value of the element INSDSeq _sequence is the string “000”.
Sequence Listing Format
[Editor Note: This section is applicable to all applications with a filing date, or, for national phase applications, an international filing date, on or after July 1, 2022, having disclosure of one or more nucleotide and/or amino acid sequences as defined in 37 CFR 1.831(b). Formatting representations of XML (eXtensible Markup Language) elements in this section appear different than shown in Standard ST.26, which may be accessed at: www.wipo.int /export/sites/www/standards/en/pdf/03-26-01.pdf.]
(a) Each disclosed nucleotide or amino acid sequence that meets the requirements of § 1.831(b) must appear separately in the “Sequence Listing XML.” Each sequence set forth in the “Sequence Listing XML” must be assigned a separate sequence identifier. The sequence identifiers must begin with 1 and increase sequentially by integers as defined in paragraph 10 of WIPO Standard ST.26 (incorporated by reference, see § 1.839).
In accordance with 37 CFR 1.832(a), the sequence identifiers in the “Sequence Listing XML” must begin with 1 and increase sequentially by integers. The requirement for sequence identifiers, at a minimum, requires that each sequence be assigned a different number for purposes of identification. However, where practical and for ease of reference, sequences should be presented in the “Sequence Listing XML” in numerical order and in the order in which they are discussed in the application.
In accordance with 37 CFR 1.832(a), the sequence identifiers in the “Sequence Listing XML” must begin with 1 and increase sequentially by integers. The requirement for sequence identifiers, at a minimum, requires that each sequence be assigned a different number for purposes of identification. However, where practical and for ease of reference, sequences should be presented in the “Sequence Listing XML” in numerical order and in the order in which they are discussed in the application.
Where no sequence is present for a sequence identifier, i.e. an intentionally skipped sequence, “000” must be used in place of a sequence in a “Sequence Listing XML”. The total number of sequences indicated in the “Sequence Listing XML” must equal the total number of sequence identifiers, whether followed by a sequence or by “000”.
WIPO Standard ST.26 paragraphs 58 and 59 require that an intentionally skipped sequences in a “Sequence Listing XML” must be represented as follows:
- (a) the value of the element SequenceData and its attribute sequenceIDNumber, is the sequence identifier of the skipped sequence;
- (b) no value is provided for the elements INSDSeq _length, INSDSeq _moltype, and INSDSeq _division;
- (c) the element INSDSeq _feature-table is not included; and
- (d) the value of the element INSDSeq _sequence is the string “000”.
Citations
| Primary topic | Citation |
|---|---|
| Sequence Listing Content Sequence Listing Format | 37 CFR § 1.831(b) |
| Sequence Listing Format | 37 CFR § 1.832(a) |
| Sequence Listing Content Sequence Listing Format | 37 CFR § 1.839 |
| Sequence Listing Content | MPEP § 2412.02 |
Source Text from USPTO’s MPEP
This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.
Official MPEP § 2412.05(a) — Use of Sequentially Numbered Sequence Identifiers in the “Sequence Listing XML”
Source: USPTO2412.05(a) Use of Sequentially Numbered Sequence Identifiers in the “Sequence Listing XML” [R-01.2024]
[Editor Note: This section is applicable to all applications with a filing date, or, for national phase applications, an international filing date, on or after July 1, 2022, having disclosure of one or more nucleotide and/or amino acid sequences as defined in 37 CFR 1.831(b). Formatting representations of XML (eXtensible Markup Language) elements in this section appear different than shown in Standard ST.26, which may be accessed at: www.wipo.int /export/sites/www/standards/en/pdf/03-26-01.pdf.]
37 CFR 1.832 Representation of nucleotide and/or amino acid sequence data in the “Sequence Listing XML” part of a patent application filed on or after July 1, 2022.
- (a) Each disclosed nucleotide or amino acid sequence that meets the requirements of § 1.831(b) must appear separately in the “Sequence Listing XML.” Each sequence set forth in the “Sequence Listing XML” must be assigned a separate sequence identifier. The sequence identifiers must begin with 1 and increase sequentially by integers as defined in paragraph 10 of WIPO Standard ST.26 (incorporated by reference, see § 1.839).
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In accordance with 37 CFR 1.832(a), the sequence identifiers in the “Sequence Listing XML” must begin with 1 and increase sequentially by integers. The requirement for sequence identifiers, at a minimum, requires that each sequence be assigned a different number for purposes of identification. However, where practical and for ease of reference, sequences should be presented in the “Sequence Listing XML” in numerical order and in the order in which they are discussed in the application.
Each nucleotide and/or amino acid sequence that meets the definition in 37 CFR 1.831(b) and is enumerated by its residues must be assigned a separate sequence identifier, including a sequence which is identical to a region of a longer sequence. See MPEP § 2412.02 for further description of a “sequence”.
Where no sequence is present for a sequence identifier, i.e. an intentionally skipped sequence, “000” must be used in place of a sequence in a “Sequence Listing XML”. The total number of sequences indicated in the “Sequence Listing XML” must equal the total number of sequence identifiers, whether followed by a sequence or by “000”.
WIPO Standard ST.26 paragraphs 58 and 59 require that an intentionally skipped sequences in a “Sequence Listing XML” must be represented as follows:
- (a) the value of the element SequenceData and its attribute sequenceIDNumber, is the sequence identifier of the skipped sequence;
- (b) no value is provided for the elements INSDSeq _length, INSDSeq _moltype, and INSDSeq _division;
- (c) the element INSDSeq _feature-table is not included; and
- (d) the value of the element INSDSeq _sequence is the string “000”.