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

Ninth Edition, Revision 01.2024 · last revised 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.

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  • (b) The “Sequence Listing XML” presented in accordance with paragraph (a) of this section must further:

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    • (2) Comply with the requirements of WIPO Standard ST.26 to include:

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      • (iii) A root element as defined in paragraph 43 of WIPO Standard ST.26;

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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.

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