MPEP § 2412 — The Requirements for Patent Applications Containing Nucleotide Sequence and/or Amino Acid Sequence Disclosures to Include a Sequence Listing in XML file format (Annotated Rules)

§2412 The Requirements for Patent Applications Containing Nucleotide Sequence and/or Amino Acid Sequence Disclosures to Include a Sequence Listing in XML file format

USPTO MPEP version: BlueIron's Update: 2025-12-31

This page consolidates and annotates all enforceable requirements under MPEP § 2412, 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.

The Requirements for Patent Applications Containing Nucleotide Sequence and/or Amino Acid Sequence Disclosures to Include a Sequence Listing in XML file format

This section addresses The Requirements for Patent Applications Containing Nucleotide Sequence and/or Amino Acid Sequence Disclosures to Include a Sequence Listing in XML file format. Primary authority: 37 CFR 1.831(b), 37 CFR 1.831, and 37 CFR 1.839. Contains: 1 requirement, 2 permissions, and 3 other statements.

Key Rules

Topic

Access to Patent Application Files (MPEP 101-106)

6 rules
StatutoryInformativeAlways
[mpep-2412-140e3495a49f5a7ccd7ea6a7]
Material Incorporated by Reference Must Be Available for Inspection
Note:
The rule requires that certain material incorporated by reference must be available for inspection at the USPTO and NARA, with details on how to obtain it.

(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved incorporation by reference (IBR) material is available for inspection at the USPTO and at the National Archives and Records Administration (NARA). Contact the USPTO’s Office of Patent Legal Administration at 571–272–7701. For information on the availability of this material at NARA, email fr.inspection@nara.gov or go to www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the source(s) in paragraph (b) of this section.

Jump to MPEP Source · 37 CFR 1.839Access to Patent Application Files (MPEP 101-106)
StatutoryInformativeAlways
[mpep-2412-7db6de9042d65b01fcc6257c]
IBR Material Available for Inspection at USPTO and NARA
Note:
All approved incorporation by reference material must be available for inspection at the USPTO and National Archives and Records Administration.

(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved incorporation by reference (IBR) material is available for inspection at the USPTO and at the National Archives and Records Administration (NARA). Contact the USPTO’s Office of Patent Legal Administration at 571–272–7701. For information on the availability of this material at NARA, email fr.inspection@nara.gov or go to www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the source(s) in paragraph (b) of this section.

Jump to MPEP Source · 37 CFR 1.839Access to Patent Application Files (MPEP 101-106)
StatutoryInformativeAlways
[mpep-2412-bbe9d07bb1e38cabf545001f]
Contact USPTO for Patent Application Inspection
Note:
You must contact the USPTO’s Office of Patent Legal Administration at 571-272-7701 to inspect patent application materials.

(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved incorporation by reference (IBR) material is available for inspection at the USPTO and at the National Archives and Records Administration (NARA). Contact the USPTO’s Office of Patent Legal Administration at 571–272–7701. For information on the availability of this material at NARA, email fr.inspection@nara.gov or go to www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the source(s) in paragraph (b) of this section.

Jump to MPEP Source · 37 CFR 1.839Access to Patent Application Files (MPEP 101-106)
StatutoryInformativeAlways
[mpep-2412-aea1d751dc964b52df6b46af]
Access to Nucleotide and Amino Acid Sequence Material at NARA
Note:
Provides instructions on how to obtain material related to nucleotide and amino acid sequence disclosures from the National Archives and Records Administration.

(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved incorporation by reference (IBR) material is available for inspection at the USPTO and at the National Archives and Records Administration (NARA). Contact the USPTO’s Office of Patent Legal Administration at 571–272–7701. For information on the availability of this material at NARA, email fr.inspection@nara.gov or go to www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the source(s) in paragraph (b) of this section.

Jump to MPEP Source · 37 CFR 1.839Access to Patent Application Files (MPEP 101-106)
StatutoryPermittedAlways
[mpep-2412-cae52e67e83f353e4b0c43e2]
Source for Sequence Listing Required
Note:
The material for the sequence listing must be obtained from specified sources as outlined in paragraph (b) of this section.

(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved incorporation by reference (IBR) material is available for inspection at the USPTO and at the National Archives and Records Administration (NARA). Contact the USPTO’s Office of Patent Legal Administration at 571–272–7701. For information on the availability of this material at NARA, email fr.inspection@nara.gov or go to www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the source(s) in paragraph (b) of this section.

Jump to MPEP Source · 37 CFR 1.839Access to Patent Application Files (MPEP 101-106)
StatutoryPermittedAlways
[mpep-2412-c8c1229506e92806f8f19712]
Sequence Listing Must Be In XML Format
Note:
Patent applications containing nucleotide or amino acid sequence disclosures must include a Sequence Listing in XML file format.

For ease of access, WIPO Standard ST.26 can be found at: www.wipo.int/export/sites/www/standards /en/pdf/03-26-01.pdf

Jump to MPEP Source · 37 CFR 1.839Access to Patent Application Files (MPEP 101-106)
Topic

Sequence Listing Content

4 rules
StatutoryInformativeAlways
[mpep-2412-3f12c952f3548086c101956f]
Requirement for Sequence Listings in XML Format
Note:
All applications with nucleotide and/or amino acid sequence disclosures filed on or after July 1, 2022, must include a Sequence Listing in XML file 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).]

37 CFR 1.77 · 37 CFR 1.831(b)Sequence Listing ContentSequence Listing RequirementsSequence Listing Format
StatutoryRequiredAlways
[mpep-2412-800042c48fc8786b65eb58e7]
Sequence Listing Must Be In XML Format
Note:
Patent applications disclosing nucleotide and amino acid sequences must present each sequence in a standardized XML format as a separate part of the specification.

Patent applications that disclose a nucleotide and/or amino acid sequence(s) by enumeration of its residues, as defined in 37 CFR 1.831(b), must present each sequence and associated sequence data in a standardized electronic eXtensible Markup Language (XML) format, (a “Sequence Listing XML”) as a separate part of the specification. This standardized format is set forth in the World Intellectual Property Organization (WIPO) Standard ST.26, and applies to sequence listings in international applications filed under the Patent Cooperation Treaty (PCT) and in national and regional applications filed in the intellectual property offices (IPOs) of WIPO member states. As a result, a single sequence listing in compliance with WIPO Standard ST.26 can be prepared for use in all IPOs of WIPO member states. The regulatory provisions found at 37 CFR 1.831 – 1.835 implement WIPO Standard ST.26 in the USPTO and set forth requirements for presenting sequence data in patent applications filed on or after July 1, 2022, that disclose nucleotide sequences and/or amino acid sequences.

Jump to MPEP Source · 37 CFR 1.831(b)Sequence Listing ContentSequence Listing FormatSequence Listing Requirements
StatutoryInformativeAlways
[mpep-2412-cdc30c7f2ad2e6cabde0d251]
Sequence Data Must Be Presented in Standardized XML Format
Note:
Patent applications disclosing nucleotide and amino acid sequences must present sequence data in a standardized XML format compliant with WIPO Standard ST.26.

Patent applications that disclose a nucleotide and/or amino acid sequence(s) by enumeration of its residues, as defined in 37 CFR 1.831(b), must present each sequence and associated sequence data in a standardized electronic eXtensible Markup Language (XML) format, (a “Sequence Listing XML”) as a separate part of the specification. This standardized format is set forth in the World Intellectual Property Organization (WIPO) Standard ST.26, and applies to sequence listings in international applications filed under the Patent Cooperation Treaty (PCT) and in national and regional applications filed in the intellectual property offices (IPOs) of WIPO member states. As a result, a single sequence listing in compliance with WIPO Standard ST.26 can be prepared for use in all IPOs of WIPO member states. The regulatory provisions found at 37 CFR 1.831 – 1.835 implement WIPO Standard ST.26 in the USPTO and set forth requirements for presenting sequence data in patent applications filed on or after July 1, 2022, that disclose nucleotide sequences and/or amino acid sequences.

Jump to MPEP Source · 37 CFR 1.831(b)Sequence Listing ContentSequence Listing FormatSequence Listing Requirements
StatutoryInformativeAlways
[mpep-2412-07bd9cb45a18e4799749d95a]
Sequence Listing Must Be In XML Format
Note:
The sequence listing in a patent application must be presented using the specified XML format as per WIPO standards.
(b) World Intellectual Property Organization (WIPO), 34 chemin des Colombettes, 1211 Geneva 20 Switzerland, www.wipo.int.
  • (1) WIPO Standard ST.26. WIPO Handbook on Intellectual Property Information and Documentation, Standard ST.26: Recommended Standard for the Presentation of Nucleotide and Amino Acid Sequence Listings Using XML (eXtensible Markup Language) including Annexes I–VII, version 1.6, approved November 25, 2022; IBR approved for §§ 1.831 through 1.834.
  • (2) [Reserved]
Jump to MPEP Source · 37 CFR 1.839Sequence Listing ContentSequence Listing FormatSequence Listing Requirements
Topic

Sequence Listing Format

3 rules
StatutoryInformativeAlways
[mpep-2412-f7ae03a5ccbbeb156864c21a]
Sequence Listings Must Be In XML Format
Note:
Patent applications disclosing nucleotide and/or amino acid sequences must present them in a standardized XML format as specified by WIPO Standard ST.26.

Patent applications that disclose a nucleotide and/or amino acid sequence(s) by enumeration of its residues, as defined in 37 CFR 1.831(b), must present each sequence and associated sequence data in a standardized electronic eXtensible Markup Language (XML) format, (a “Sequence Listing XML”) as a separate part of the specification. This standardized format is set forth in the World Intellectual Property Organization (WIPO) Standard ST.26, and applies to sequence listings in international applications filed under the Patent Cooperation Treaty (PCT) and in national and regional applications filed in the intellectual property offices (IPOs) of WIPO member states. As a result, a single sequence listing in compliance with WIPO Standard ST.26 can be prepared for use in all IPOs of WIPO member states. The regulatory provisions found at 37 CFR 1.831 – 1.835 implement WIPO Standard ST.26 in the USPTO and set forth requirements for presenting sequence data in patent applications filed on or after July 1, 2022, that disclose nucleotide sequences and/or amino acid sequences.

Jump to MPEP Source · 37 CFR 1.831(b)Sequence Listing FormatSequence Listing RequirementsSequence Listing Content
StatutoryPermittedAlways
[mpep-2412-a2e92ca56e3ac19cc03e1ac7]
Single Sequence Listing for All IPOs
Note:
A single sequence listing in compliance with WIPO Standard ST.26 must be prepared and used in all intellectual property offices of WIPO member states.

Patent applications that disclose a nucleotide and/or amino acid sequence(s) by enumeration of its residues, as defined in 37 CFR 1.831(b), must present each sequence and associated sequence data in a standardized electronic eXtensible Markup Language (XML) format, (a “Sequence Listing XML”) as a separate part of the specification. This standardized format is set forth in the World Intellectual Property Organization (WIPO) Standard ST.26, and applies to sequence listings in international applications filed under the Patent Cooperation Treaty (PCT) and in national and regional applications filed in the intellectual property offices (IPOs) of WIPO member states. As a result, a single sequence listing in compliance with WIPO Standard ST.26 can be prepared for use in all IPOs of WIPO member states. The regulatory provisions found at 37 CFR 1.831 – 1.835 implement WIPO Standard ST.26 in the USPTO and set forth requirements for presenting sequence data in patent applications filed on or after July 1, 2022, that disclose nucleotide sequences and/or amino acid sequences.

Jump to MPEP Source · 37 CFR 1.831(b)Sequence Listing FormatSequence Listing RequirementsSequence Listing Content
StatutoryInformativeAlways
[mpep-2412-5ee90b4f58487bf6fbd8aae1]
WIPO Standard ST.26 Incorporation
Note:
The USPTO regulations require the incorporation of WIPO Standard ST.26 for patent applications containing sequence disclosures.

WIPO Standard ST.26 is incorporated by reference into the USPTO regulations by including new regulatory text at 37 CFR 1.839:

Jump to MPEP Source · 37 CFR 1.839Sequence Listing FormatSequence Listing ContentSequence Listing Requirements

Citations

Primary topicCitation
Sequence Listing Content
Sequence Listing Format
37 CFR § 1.831
Sequence Listing Content
Sequence Listing Format
37 CFR § 1.831(b)
Sequence Listing Format37 CFR § 1.839

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.

BlueIron Last Updated: 2025-12-31