From TXT to XML: New Sequence Listing Standard Takes Effect on July 1, 2022

On July 1, 2022, a new sequence listing format, World Intellectual Property Organization (WIPO) Standard ST.26, will replace the current ST.25 standard in the WIPO and in the national patent offices of all WIPO member states.[1]^,[2] There is no transition period between the standards, and thus, all applications with a filing date of July 1, 2022, or after must comply with the new ST.26 format.

Key Differences between ST.25 vs. ST.26

Creating an ST.26 Sequence Listing

WIPO has developed a desktop tool, WIPO Sequence, to support authoring, validation, and generation of ST.26-compliant sequence listings.^[3] ST.25 sequence listings, .RAW files, and FASTA files may be imported into the WIPO Sequence software for creating an ST.26 sequence listing.

Implementation of ST.26 at the USPTO^[4]

All applications with a filing date or international filing date before July 1, 2022 MUST file sequence listings in ST.25 format.

• For U.S. National Stage applications, the relevant date is the international filing date and NOT the 371(c) date or the priority date.
• U.S. National Stage applications based on a PCT application filed before July 1, 2022, should file an ST.25 sequence listing.
• An application with a filing date before July 1, 2022, that erroneously did not include a sequence listing or a defective sequence listing will be required to submit a sequence listing in ST.25 format, even if the sequence listing itself is submitted on or after July 1, 2022.

All applications with a filing date or international filing date on or after July 1, 2022 MUST file sequence listings in ST.26 format.

• An application with a benefit or priority under 35 USC 119, 120, 121, or 365 to an earlier filed application containing a ST.25 sequence listing will be REQUIRED to submit an ST.26 sequence listing, i.e., no “grandfathering”.
• ST.25 sequence listings from a parent application filed before July 1, 2022, CANNOT be submitted in a continuation, divisional, or CIP application of the parent application.
• ST.25 sequence listings from a provisional application filed before July 1, 2022, CANNOT be submitted in a non-provisional application claiming priority to the provisional application.
• U.S. National Stage applications based on a PCT application filed on or after July 1, 2022, should file an ST.26 sequence listing.

Filing an ST.26 Sequence Listing at the USPTO

The USPTO’s EFS-Web filing system does NOT support uploading of ST.26 sequence listings (i.e., XML files). ST.26 sequence listings may ONLY be uploaded and filed via the USPTO’s new Patent Center filing system, or on a read-only optical disc.

If an applicant erroneously files an ST.25 sequence listing in an application that requires an ST.26 sequence listing, the USPTO will issue a Notice to Comply with the Sequence Rules, which provides the applicant with a deadline for correction. The ST.25 sequence listing may be used to provide support for the submission of the ST.26 sequence listing.^[5]

Implementation of ST.26 in International (PCT) Applications

PCT applications filed on or after July 1, 2022, will only accept ST.26 sequence listings as part of the description.

Any PCT application filed on or after July 1, 2022, with an ST.25 sequence listing will NOT treat the sequence listing as part of the description. The ST.25 sequence listing may NOT be converted to ST.26 format after filing as a “formal correction.” Any ST.26 sequence listing provided subsequent to filing may serve for search purposes only under Rule 13ter. An ST.26 sequence listing may be filed as an amendment under Article 34, provided that basis for the sequence listing is found in the application as filed.

Implementation of ST.26 in Other Regional/National Offices

While all regional and national offices will transition from ST.25 to ST.26 on July 1, 2022, each regional/national office sets its own rules for implementation of the ST.26 standard for divisional applications. The general guidelines for the European Patent Office (EPO), Japan Patent Office (JPO), and Korean Intellectual Property Office (KIPO) are summarized below:

• EPO: ST.26 required in all divisional applications filed on or after July 1, 2022
• JPO: ST.26 required in all divisional applications filed on or after July 1, 2022
• KIPO: ST.25 from a parent application with filing date before July 1, 2022 can be reused in a divisional application filed on or after July 1, 2022.

Additional Resources

The USPTO has launched a new Sequence Listing Resource Center to assist applicants and patent practitioners during the ST.26 transition.

The WIPO Sequence Suite provides the latest news, software updates for WIPO Sequence, and information regarding training sessions.

^[1] See “STANDARD ST.26,” version 1.5, World Intellectual Property Organization Handbook on Industrial Property Information and Documentation, November 2021.

^[2] See “FAQ: Implementation of WIPO ST.26,” World Intellectual Property Organization, accessed at https://www.wipo.int/standards/en/sequence/faq.html.

^[3] Available at https://www.wipo.int/standards/en/sequence/index.html.

^[4] See Section f. “Applicability,” 87 Fed. Reg. 30806, May 20, 2022.

^[5] See id.