MPEP § 2413.01(f) — The “Sequence Listing XML” Must Contain a General Information Part (Annotated Rules)
§2413.01(f) The “Sequence Listing XML” Must Contain a General Information Part
This page consolidates and annotates all enforceable requirements under MPEP § 2413.01(f), 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 General Information Part
This section addresses The “Sequence Listing XML” Must Contain a General Information Part. Primary authority: 37 CFR 1.831(b) and 37 CFR 1.833. Contains: 7 requirements, 2 permissions, and 1 other statement.
Key Rules
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.]
(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:
- *****
- (iv) A general information part that complies with the requirements of paragraphs 45, 47, and 48, as applicable, of WIPO Standard ST.26
WIPO Standard ST.26 prescribes that the general information part of the sequence listing must contain the following bibliographic elements:
WIPO Standard ST.26, paragraph 47, specifies that the name of the applicant and, optionally, the name of the inventor must be indicated in the element ApplicantName and InventorName, respectively, as they are generally referred to in the language in which the application is filed. The appropriate language code (referenced in WIPO Standard ST.26, paragraph 9, which references the International Standard ISO 639-1:2002 for the codes for the representation of names of languages) must be indicated in the languageCode attribute for each element. Where the applicant name indicated contains characters other than those of the Latin alphabet permitted as set forth in paragraph 40(b), reproduced in MPEP § 2413.01(a) item (2), a transliteration or translation of the applicant name must also be indicated in characters of the Latin alphabet in the element ApplicantNameLatin. Where the inventor name indicated contains characters other than those of the Latin alphabet, a transliteration or a translation of the inventor name may also be indicated in characters of the Latin alphabet in the element InventorNameLatin.
WIPO Standard ST.26, paragraph 47, specifies that the name of the applicant and, optionally, the name of the inventor must be indicated in the element ApplicantName and InventorName, respectively, as they are generally referred to in the language in which the application is filed. The appropriate language code (referenced in WIPO Standard ST.26, paragraph 9, which references the International Standard ISO 639-1:2002 for the codes for the representation of names of languages) must be indicated in the languageCode attribute for each element. Where the applicant name indicated contains characters other than those of the Latin alphabet permitted as set forth in paragraph 40(b), reproduced in MPEP § 2413.01(a) item (2), a transliteration or translation of the applicant name must also be indicated in characters of the Latin alphabet in the element ApplicantNameLatin. Where the inventor name indicated contains characters other than those of the Latin alphabet, a transliteration or a translation of the inventor name may also be indicated in characters of the Latin alphabet in the element InventorNameLatin.
WIPO Standard ST.26, paragraph 48, provides that the title of the invention must be indicated in the element InventionTitle in the language of filing and may also be indicated in additional languages using multiple InventionTitle elements. The appropriate language code (see WIPO Standard ST.26, paragraph 9, which references the International Standard ISO 639-1:2002) must be indicated in the languageCode attribute of the element. See MPEP § 2413.01(i) for more information about the InventionTitle element in a “Sequence Listing XML.”
WIPO Standard ST.26, paragraph 48, provides that the title of the invention must be indicated in the element InventionTitle in the language of filing and may also be indicated in additional languages using multiple InventionTitle elements. The appropriate language code (see WIPO Standard ST.26, paragraph 9, which references the International Standard ISO 639-1:2002) must be indicated in the languageCode attribute of the element. See MPEP § 2413.01(i) for more information about the InventionTitle element in a “Sequence Listing XML.”
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.]
WIPO Standard ST.26, paragraph 47, specifies that the name of the applicant and, optionally, the name of the inventor must be indicated in the element ApplicantName and InventorName, respectively, as they are generally referred to in the language in which the application is filed. The appropriate language code (referenced in WIPO Standard ST.26, paragraph 9, which references the International Standard ISO 639-1:2002 for the codes for the representation of names of languages) must be indicated in the languageCode attribute for each element. Where the applicant name indicated contains characters other than those of the Latin alphabet permitted as set forth in paragraph 40(b), reproduced in MPEP § 2413.01(a) item (2), a transliteration or translation of the applicant name must also be indicated in characters of the Latin alphabet in the element ApplicantNameLatin. Where the inventor name indicated contains characters other than those of the Latin alphabet, a transliteration or a translation of the inventor name may also be indicated in characters of the Latin alphabet in the element InventorNameLatin.
WIPO Standard ST.26, paragraph 47, specifies that the name of the applicant and, optionally, the name of the inventor must be indicated in the element ApplicantName and InventorName, respectively, as they are generally referred to in the language in which the application is filed. The appropriate language code (referenced in WIPO Standard ST.26, paragraph 9, which references the International Standard ISO 639-1:2002 for the codes for the representation of names of languages) must be indicated in the languageCode attribute for each element. Where the applicant name indicated contains characters other than those of the Latin alphabet permitted as set forth in paragraph 40(b), reproduced in MPEP § 2413.01(a) item (2), a transliteration or translation of the applicant name must also be indicated in characters of the Latin alphabet in the element ApplicantNameLatin. Where the inventor name indicated contains characters other than those of the Latin alphabet, a transliteration or a translation of the inventor name may also be indicated in characters of the Latin alphabet in the element InventorNameLatin.
Citations
| Primary topic | Citation |
|---|---|
| Sequence Listing Content Sequence Listing Format | 37 CFR § 1.831(b) |
| Sequence Listing Content Sequence Listing Format | MPEP § 2413.01(a) |
| Sequence Listing Format | MPEP § 2413.01(i) |
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 § 2413.01(f) — The “Sequence Listing XML” Must Contain a General Information Part
Source: USPTO2413.01(f) The “Sequence Listing XML” Must Contain a General Information Part [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:
-
*****
- (iv) A general information part that complies with the requirements of paragraphs 45, 47, and 48, as applicable, of WIPO Standard ST.26
-
-
-
*****
WIPO Standard ST.26 prescribes that the general information part of the sequence listing must contain the following bibliographic elements:
| Element | Description | Mandatory/Optional |
|---|---|---|
|
ApplicationIdentification The ApplicationIdentification is composed of: IPOfficeCode ApplicationNumberText |
The application identification for which the sequence listing is submitted ST.3 Code of the office of filing The application number as provided by the office of filing (e.g., PCT/IB2013/099999) |
Mandatory when a sequence listing is furnished at any time following the assignment of the application number Mandatory Mandatory |
| FilingDate | The date of filing of the patent application for which the sequence listing is submitted (ST.2 format “CCYY-MM-DD”, using a 4-digit calendar year, a 2-digit calendar month and a 2-digit day within the calendar month, e.g., 2015-01-31). | Mandatory when a sequence listing is furnished at any time following the assignment of a filing date |
| ApplicantFileReference | A single unique identifier assigned by applicant to identify a particular application, typed in the characters as set forth in paragraph 40 (b). | Mandatory when a sequence listing is furnished at any time prior to assignment of the application number; otherwise, Optional |
| EarliestPriorityApplicationId entification | The identification of the earliest priority application (also contains IPOfficeCode, ApplicationNumberText and FilingDate, see ApplicationIdentification above). | Mandatory where priority is claimed |
| ApplicantName | Name of the first mentioned applicant typed in the characters as set forth in paragraph 40 (a). This element includes the mandatory attribute languageCode as set forth in paragraph 47. | Mandatory |
| ApplicantNameLatin | Where ApplicantName is typed in characters other than those as set forth in paragraph 40 (b), a translation or transliteration of the name of the first mentioned applicant must also be typed in characters as set forth in paragraph 40 (b). | Mandatory where ApplicantName contains non-Latin characters |
| InventorName | Name of the first mentioned inventor typed in the characters as set forth in paragraph 40 (a). This element includes the mandatory attribute languageCode as set forth in paragraph 47. | Optional |
| InventorNameLatin | Where InventorName is typed in characters other than those as set forth in paragraph 40 (b), a translation or transliteration of the first mentioned inventor may also be typed in characters as set forth in paragraph 40 (b). | Optional |
| InventionTitle | Title of the invention typed in the characters as set forth in paragraph 40 (a) in the language of filing. A translation of the title of the invention into additional languages may be typed in the characters as set forth in paragraph 40 (a) using additional InventionTitle elements. This element includes the mandatory attribute languageCode as set forth in paragraph 48. The title of invention should be between two to seven words. | Mandatory in the language of filing. Optional for additional languages. |
| SequenceTotalQuantity | The total number of all sequences in the sequence listing including intentionally skipped sequences (also known as empty sequences) (see paragraph 10). | Mandatory |
Reproduced from paragraph 45 of WIPO Standard ST.26.
WIPO Standard ST.26, paragraph 47, specifies that the name of the applicant and, optionally, the name of the inventor must be indicated in the element ApplicantName and InventorName, respectively, as they are generally referred to in the language in which the application is filed. The appropriate language code (referenced in WIPO Standard ST.26, paragraph 9, which references the International Standard ISO 639-1:2002 for the codes for the representation of names of languages) must be indicated in the languageCode attribute for each element. Where the applicant name indicated contains characters other than those of the Latin alphabet permitted as set forth in paragraph 40(b), reproduced in MPEP § 2413.01(a) item (2), a transliteration or translation of the applicant name must also be indicated in characters of the Latin alphabet in the element ApplicantNameLatin. Where the inventor name indicated contains characters other than those of the Latin alphabet, a transliteration or a translation of the inventor name may also be indicated in characters of the Latin alphabet in the element InventorNameLatin.
WIPO Standard ST.26, paragraph 48, provides that the title of the invention must be indicated in the element InventionTitle in the language of filing and may also be indicated in additional languages using multiple InventionTitle elements. The appropriate language code (see WIPO Standard ST.26, paragraph 9, which references the International Standard ISO 639-1:2002) must be indicated in the languageCode attribute of the element. See MPEP § 2413.01(i) for more information about the InventionTitle element in a “Sequence Listing XML.”