MPEP 2413.01(e)
The "Sequence Listing XML" Must Contain a Root Element

Ninth Edition of the MPEP, Revision 07.2022, Last Revised in February 2023

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2413.01(e)    The "Sequence Listing XML" Must Contain a Root Element [R-07.2022]

[Editor Note: This section is applicable to all applications filed on or after July 1, 2022, having disclosures of 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 C.F.R. 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, proscribes the root element of a "Sequence Listing XML" to have the following 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.)