MPEP § 2413.01(e) — The “Sequence Listing XML” Must Contain a Root Element (Annotated Rules)

This page consolidates and annotates all enforceable requirements under MPEP § 2413.01(e), 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 “Sequence Listing XML” Must Contain a Root Element

This section addresses The “Sequence Listing XML” Must Contain a Root Element. Primary authority: 37 CFR 1.831(b) and 37 CFR 1.833. Contains: 1 requirement, 1 permission, and 1 other statement.

Key Rules

StatutoryPermittedAlways

[mpep-2413-01-e-3b30d5a6ba8c58cf8b19560d]

XML Elements Must Contain Root Element

Note:

The 'Sequence Listing XML' must include a root element as required by the Sequence Listing Format rules.

[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.]

Jump to MPEP Source · 37 CFR 1.831(b)Sequence Listing FormatSequence Listing RequirementsSequence Listing Content

StatutoryRequiredAlways

[mpep-2413-01-e-35fc9fea80465991e473eeae]

Root Element Required for Sequence Listing XML

Note:

The 'Sequence Listing XML' must include a root element as defined in WIPO Standard ST.26.

(b) The “Sequence Listing XML” presented in accordance with paragraph (a) of this section must further:
*****
(2) Comply with the requirements of WIPO Standard ST.26 to include:
*****
(iii) A root element as defined in paragraph 43 of WIPO Standard ST.26;

Jump to MPEP Source · 37 CFR 1.833Sequence Listing FormatSequence Listing RequirementsSequence Listing Content

StatutoryInformativeAlways

[mpep-2413-01-e-bb4553fb095aaa7201ac210a]

XML Sequence Listing Must Contain Root Element

Note:

The 'Sequence Listing XML' must include a root element as required for applications filed on or after July 1, 2022.

[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.]

Jump to MPEP Source · 37 CFR 1.831(b)Sequence Listing ContentSequence Listing RequirementsSequence Listing Format

Citations

Primary topic	Citation
Sequence Listing Content Sequence Listing Format	37 CFR § 1.831(b)

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.

2413.01(e) The “Sequence Listing XML” Must Contain a Root Element [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 1.833 Requirements for a “Sequence Listing XML” for nucleotide and/or amino acid sequences as part of a patent application filed on or after July 1, 2022.

*****
(b) The “Sequence Listing XML” presented in accordance with paragraph (a) of this section must further:
- *****
- (2) Comply with the requirements of WIPO Standard ST.26 to include:
  - *****
  - (iii) A root element as defined in paragraph 43 of WIPO Standard ST.26;
*****

WIPO Standard ST.26, paragraph 43, prescribes the root element of an XML instance to have the following attributes:

List of File Attributes
Attribute	Description	Mandatory/Optional
dtdVersion	Version of the DTD used to create this file in the format “V#_#”, e.g., “V1_3”.	Mandatory
fileName	Name of the sequence listing file.	Optional
softwareName	Name of the software that generated this file.	Optional
softwareVersion	Version of the software that generated this file.	Optional
productionDate	Date of production of the sequence listing file (format “CCYY-MM-DD”).	Optional
originalFreeTextLanguageCode	The language code (see reference in paragraph 9 to ISO 639-1:2002) for the single original language in which the language-dependent free text qualifiers were prepared.	Optional
nonEnglishFreeTextLanguageCode	The language code (see reference in paragraph 9 to ISO 63901:2002) for the NonEnglishQualifier_value elements.	Mandatory when a NonEnglishQualifier_value element is present in the sequence listing

Reproduced from paragraph 43 of WIPO Standard ST.26.

BlueIron Last Updated: 2025-12-31

MPEP § 2413.01(e) — The “Sequence Listing XML” Must Contain a Root Element (Annotated Rules)

§2413.01(e) The “Sequence Listing XML” Must Contain a Root Element

The “Sequence Listing XML” Must Contain a Root Element

Key Rules

Sequence Listing Format

Sequence Listing Content

Citations

Source Text from USPTO’s MPEP

Official MPEP § 2413.01(e) — The “Sequence Listing XML” Must Contain a Root Element

2413.01(e) The “Sequence Listing XML” Must Contain a Root Element [R-01.2024]

37 CFR 1.833 Requirements for a “Sequence Listing XML” for nucleotide and/or amino acid sequences as part of a patent application filed on or after July 1, 2022.