MPEP 2413.01(f)
The "Sequence Listing XML" Must Contain a General Information Part

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

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2413.01(f)    The "Sequence Listing XML" Must Contain a General Information Part [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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      • (iv) A general information part that complies with the requirements of paragraphs 45, 47, and 48, as applicable, of WIPO Standard ST.26
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WIPO Standard ST.26 proscribes that the general information part of the "Sequence Listing XML" 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 identification 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 is reference in WIPO Standard ST.26, paragraph 9, which references the International Standard ISO 639-1:2002 which provides 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 described in 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 of 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."