MPEP § 2412.06 — The Requirement for Exclusive Conformance; Sequences Presented in Drawing Figures (Annotated Rules)

§2412.06 The Requirement for Exclusive Conformance; Sequences Presented in Drawing Figures

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

This page consolidates and annotates all enforceable requirements under MPEP § 2412.06, 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 Requirement for Exclusive Conformance; Sequences Presented in Drawing Figures

This section addresses The Requirement for Exclusive Conformance; Sequences Presented in Drawing Figures. Primary authority: 37 CFR 1.83(a) and 37 CFR 1.831(b). Contains: 1 requirement, 1 prohibition, 1 guidance statement, 1 permission, and 1 other statement.

Key Rules

Topic

Sequence Listing Content

6 rules
StatutoryInformativeAlways
[mpep-2412-06-d8f1b8deaaf6262aaef9fa7b]
Requirement for Sequence Disclosure in Filing
Note:
This rule requires all applications with a filing date on or after July 1, 2022, to disclose one or more nucleotide and/or amino acid sequences as defined in 37 CFR 1.831(b).

[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 Requirements
StatutoryInformativeAlways
[mpep-2412-06-8639b1d3b6e6e0d32abdfdb2]
Requirement for Sequence Listing XML Conformance
Note:
Applications must present and describe nucleotide and amino acid sequences in conformance with the requirements of 37 CFR 1.832 through 37 CFR 1.834 in the ‘Sequence Listing XML’ to avoid confusion.

For all applications that disclose a nucleotide sequence and/or amino acid sequence(s) by enumeration of its residues, as defined in 37 CFR 1.831(b), 37 CFR 1.831(a) requires conformance to the requirements of 37 CFR 1.832 through 37 CFR 1.834 with regard to the manner in which the disclosed nucleotide and/or amino acid sequences are presented and described in the “Sequence Listing XML.” This requirement is necessary to minimize any confusion that could result if more than one format for representing sequence data was employed in a given application.

Jump to MPEP Source · 37 CFR 1.831(b)Sequence Listing ContentSequence Listing FormatSequence Listing Requirements
StatutoryProhibitedAlways
[mpep-2412-06-05f1a8131e57ed61c9c507f7]
Nucleotide/Amino Acid Features May Require Figures
Note:
This rule states that while feature keys and qualifiers in the Sequence Listing XML can describe sequence features, certain significant characteristics may need to be shown in figures, especially for nucleic acids like 'sticky ends' and amino acid structural features.

Pursuant to 37 CFR 1.83(a), sequences that are included in the “Sequence Listing XML” should not be duplicated in the drawings. With the use of feature keys and qualifiers in a “Sequence Listing XML” to represent and describe features of a nucleotide or amino acid sequence, the need to re-present a sequence in a drawing is less critical. However, in certain instances, a significant sequence characteristic may not be readily conveyed by the sequence-associated data of the “Sequence Listing XML” and may need to be depicted in a figure. For example, in view of the fact that the representation of double stranded nucleic acids is not permitted in the “Sequence Listing XML,” many significant nucleic acid features, such as “sticky ends” and the like, may only be shown effectively by reference to a drawing figure. Further, the similarity or homology between/among sequences may only be depicted in an effective manner in a drawing figure. Similarly, drawing figures are recommended for use with amino acid sequences to depict structural features of the corresponding protein, such as epitopes and interaction domains. The situations discussed herein are given by way of example only and there may be many other reasons for including a sequence in a drawing. However, when an enumerated sequence is presented in a drawing, the sequence must still be included in the “Sequence Listing XML” if the sequence falls within the definition set forth in 37 CFR 1.831(b), and a sequence identifier (preceded by “SEQ ID NO:X” or the like) must be used, either in the drawing itself or in the Brief Description of the Drawings.

Jump to MPEP Source · 37 CFR 1.83(a)Sequence Listing ContentSequence Listing FormatSequence Listing Requirements
StatutoryPermittedAlways
[mpep-2412-06-5656ffe7160bb82d7c067dce]
Sequences Must Be Depicted in Drawings When Not Fully Described in XML
Note:
This rule requires that significant sequence characteristics not fully described in the Sequence Listing XML be depicted in drawing figures, ensuring clarity and completeness of disclosure.

Pursuant to 37 CFR 1.83(a), sequences that are included in the “Sequence Listing XML” should not be duplicated in the drawings. With the use of feature keys and qualifiers in a “Sequence Listing XML” to represent and describe features of a nucleotide or amino acid sequence, the need to re-present a sequence in a drawing is less critical. However, in certain instances, a significant sequence characteristic may not be readily conveyed by the sequence-associated data of the “Sequence Listing XML” and may need to be depicted in a figure. For example, in view of the fact that the representation of double stranded nucleic acids is not permitted in the “Sequence Listing XML,” many significant nucleic acid features, such as “sticky ends” and the like, may only be shown effectively by reference to a drawing figure. Further, the similarity or homology between/among sequences may only be depicted in an effective manner in a drawing figure. Similarly, drawing figures are recommended for use with amino acid sequences to depict structural features of the corresponding protein, such as epitopes and interaction domains. The situations discussed herein are given by way of example only and there may be many other reasons for including a sequence in a drawing. However, when an enumerated sequence is presented in a drawing, the sequence must still be included in the “Sequence Listing XML” if the sequence falls within the definition set forth in 37 CFR 1.831(b), and a sequence identifier (preceded by “SEQ ID NO:X” or the like) must be used, either in the drawing itself or in the Brief Description of the Drawings.

Jump to MPEP Source · 37 CFR 1.83(a)Sequence Listing ContentSequence Listing FormatSequence Listing Requirements
StatutoryInformativeAlways
[mpep-2412-06-763b544c6d6a49a39205a7eb]
Drawings Must Depict Protein Structural Features
Note:
Amino acid sequences must include drawings to depict structural features like epitopes and interaction domains that cannot be effectively conveyed in the Sequence Listing XML.

Pursuant to 37 CFR 1.83(a), sequences that are included in the “Sequence Listing XML” should not be duplicated in the drawings. With the use of feature keys and qualifiers in a “Sequence Listing XML” to represent and describe features of a nucleotide or amino acid sequence, the need to re-present a sequence in a drawing is less critical. However, in certain instances, a significant sequence characteristic may not be readily conveyed by the sequence-associated data of the “Sequence Listing XML” and may need to be depicted in a figure. For example, in view of the fact that the representation of double stranded nucleic acids is not permitted in the “Sequence Listing XML,” many significant nucleic acid features, such as “sticky ends” and the like, may only be shown effectively by reference to a drawing figure. Further, the similarity or homology between/among sequences may only be depicted in an effective manner in a drawing figure. Similarly, drawing figures are recommended for use with amino acid sequences to depict structural features of the corresponding protein, such as epitopes and interaction domains. The situations discussed herein are given by way of example only and there may be many other reasons for including a sequence in a drawing. However, when an enumerated sequence is presented in a drawing, the sequence must still be included in the “Sequence Listing XML” if the sequence falls within the definition set forth in 37 CFR 1.831(b), and a sequence identifier (preceded by “SEQ ID NO:X” or the like) must be used, either in the drawing itself or in the Brief Description of the Drawings.

Jump to MPEP Source · 37 CFR 1.83(a)Sequence Listing ContentSequence Listing RequirementsSequence Listing Format
StatutoryRequiredAlways
[mpep-2412-06-b2692593e0f3dd791108626d]
Sequence Must Be Listed If Presented In Drawing
Note:
If a sequence is shown in a drawing, it must also be included in the Sequence Listing XML with a sequence identifier.

Pursuant to 37 CFR 1.83(a), sequences that are included in the “Sequence Listing XML” should not be duplicated in the drawings. With the use of feature keys and qualifiers in a “Sequence Listing XML” to represent and describe features of a nucleotide or amino acid sequence, the need to re-present a sequence in a drawing is less critical. However, in certain instances, a significant sequence characteristic may not be readily conveyed by the sequence-associated data of the “Sequence Listing XML” and may need to be depicted in a figure. For example, in view of the fact that the representation of double stranded nucleic acids is not permitted in the “Sequence Listing XML,” many significant nucleic acid features, such as “sticky ends” and the like, may only be shown effectively by reference to a drawing figure. Further, the similarity or homology between/among sequences may only be depicted in an effective manner in a drawing figure. Similarly, drawing figures are recommended for use with amino acid sequences to depict structural features of the corresponding protein, such as epitopes and interaction domains. The situations discussed herein are given by way of example only and there may be many other reasons for including a sequence in a drawing. However, when an enumerated sequence is presented in a drawing, the sequence must still be included in the “Sequence Listing XML” if the sequence falls within the definition set forth in 37 CFR 1.831(b), and a sequence identifier (preceded by “SEQ ID NO:X” or the like) must be used, either in the drawing itself or in the Brief Description of the Drawings.

Jump to MPEP Source · 37 CFR 1.83(a)Sequence Listing ContentSequence Listing FormatSequence Listing Requirements
Topic

Sequence Listing Format

2 rules
StatutoryInformativeAlways
[mpep-2412-06-0e48ea5a32852387e6e7a439]
Requirement for Consistent Sequence Listing Format
Note:
This rule requires that all nucleotide and amino acid sequences in an application be presented using a single format to avoid confusion.

For all applications that disclose a nucleotide sequence and/or amino acid sequence(s) by enumeration of its residues, as defined in 37 CFR 1.831(b), 37 CFR 1.831(a) requires conformance to the requirements of 37 CFR 1.832 through 37 CFR 1.834 with regard to the manner in which the disclosed nucleotide and/or amino acid sequences are presented and described in the “Sequence Listing XML.” This requirement is necessary to minimize any confusion that could result if more than one format for representing sequence data was employed in a given application.

Jump to MPEP Source · 37 CFR 1.831(b)Sequence Listing FormatSequence Listing RequirementsSequence Listing Content
StatutoryRecommendedAlways
[mpep-2412-06-f2d0d73799c24ec42e18c19d]
Sequences Must Not Be Duplicated in Drawings
Note:
Sequences included in the 'Sequence Listing XML' should not be repeated in drawings, ensuring consistency and avoiding redundancy.

Pursuant to 37 CFR 1.83(a), sequences that are included in the “Sequence Listing XML” should not be duplicated in the drawings. With the use of feature keys and qualifiers in a “Sequence Listing XML” to represent and describe features of a nucleotide or amino acid sequence, the need to re-present a sequence in a drawing is less critical. However, in certain instances, a significant sequence characteristic may not be readily conveyed by the sequence-associated data of the “Sequence Listing XML” and may need to be depicted in a figure. For example, in view of the fact that the representation of double stranded nucleic acids is not permitted in the “Sequence Listing XML,” many significant nucleic acid features, such as “sticky ends” and the like, may only be shown effectively by reference to a drawing figure. Further, the similarity or homology between/among sequences may only be depicted in an effective manner in a drawing figure. Similarly, drawing figures are recommended for use with amino acid sequences to depict structural features of the corresponding protein, such as epitopes and interaction domains. The situations discussed herein are given by way of example only and there may be many other reasons for including a sequence in a drawing. However, when an enumerated sequence is presented in a drawing, the sequence must still be included in the “Sequence Listing XML” if the sequence falls within the definition set forth in 37 CFR 1.831(b), and a sequence identifier (preceded by “SEQ ID NO:X” or the like) must be used, either in the drawing itself or in the Brief Description of the Drawings.

Jump to MPEP Source · 37 CFR 1.83(a)Sequence Listing FormatSequence Listing RequirementsSequence Listing Content

Citations

Primary topicCitation
Sequence Listing Content
Sequence Listing Format
37 CFR § 1.83(a)
Sequence Listing Content
Sequence Listing Format
37 CFR § 1.831(a)
Sequence Listing Content
Sequence Listing Format
37 CFR § 1.831(b)
Sequence Listing Content
Sequence Listing Format
37 CFR § 1.832
Sequence Listing Content
Sequence Listing Format
37 CFR § 1.834

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