Title 19 Part 143

The central filing office will accept written UCC documents, subject to the provisions set forth in this subdivision.

The central filing office will accept electronic UCC documents, subject to the provisions set forth in this subdivision.

The central filing office will accept written UCC search requests only if communicated to the UCC unit of the central filing office by personal delivery, courier delivery, or postal service delivery. The central filing office will not accept written UCC search requests communicated by facsimile delivery. The central filing office will not accept UCC search requests submitted by XML transmission or by any other electronic delivery method.

The central filing office will accept written UCC copy requests only if communicated to the UCC unit of the central filing office by personal delivery, courier delivery, or postal service delivery. The central filing office will not accept UCC copy requests communicated by facsimile delivery. The central filing office will not accept UCC copy requests submitted by XML transmission or by any other electronic delivery method.

Each local-filing office shall accept written UCC documents, shall accept UCC documents during the regular business hours of such local-filing office, and shall accept UCC documents communicated by personal delivery, courier delivery, or postal delivery. In addition, any local-filing office may, at its option, authorize communication of documents to such local-filing office in any additional medium, during any additional hours, or by any additional method or medium of communication.

A filing office may refuse to process any written UCC search request or written UCC copy request that is not on an approved form as promulgated under section 143-1.3(a)(9) of this Subpart, or on a form deemed by the filing office, in its sole discretion, to be substantially similar to such approved form.

The names of individuals are stored in files that include only the names of individuals, and not the names of organizations. Separate data entry fields are established for first (given), middle (given), and last names (surnames or family names) of individuals, and for any suffix. A filer should place the name of an individual debtor with a single name (

e.g.,

Cher) in the field designated for the last name. The filing officer assumes no responsibility for the accurate designation of the components of a name but will enter the data in accordance with the filer's designations.

Titles and prefixes, such as "Doctor," "Reverend," "Mr.," and "Ms.," should not be provided by filers in UCC documents. However, when a UCC document is submitted with designated name fields, the data will be entered in the UCC information management system exactly as it appears.

Titles or indications of status such as "M.D." and "Esquire" are not part of an individual's name and should not be provided by filers in UCC documents. Suffixes that indicate which individual is being named, such as "Senior," "Junior," "I," "II," and "III," are appropriate. In either case, they will be entered into the information management system exactly as received.

Personal name fields in the UCC database are fixed in length. Although filers should continue to provide full names on their UCC documents, a name that exceeds the fixed length is entered as presented to the filing officer, up to the maximum length of the data entry field. The lengths of data entry fields in the central filing office are as follows: first name: 60 characters middle name: 30 characters last name: 100 characters suffix: 10 characters

The names of organizations are stored in files that include only the names of organizations, and not the names of individuals. A single field is used to store an organization name.

The organization name field in the UCC database is fixed in length. The length of the data entry field in the central filing office is 200 characters. Although filers should continue to provide full names on their UCC documents, a name that exceeds the fixed length is entered as presented to the filing officer, up to the maximum length of the data entry field.

If the debtor is a decedent's estate, the financing statement should provide the name of the decedent and indicate that the debtor is an estate.

If the debtor is a trust or a trustee acting with respect to property held in trust, the financing statement should provide the name specified for the trust in its organic document(s). If no name for the trust is specified in its organic document(s), the financing statement should provide the name of the settlor and additional information sufficient to distinguish the debtor from other trusts having one or more of the same settlor(s). In either case, the financing statement should also indicate, in the debtor's name or otherwise, that the debtor is a trust or is a trustee acting with respect to property held in trust. If such indication is provided by inclusion of a statement or phrase in the debtor's name, such statement or phrase will be entered in the filing office's UCC information management system as part of the debtor's name.

The filing office may correct the errors of filing office personnel in the UCC information management system at any time. If the correction occurs after the filing officer has issued a certification date, the filing office shall file a statement in the UCC information management system. The statement shall identify the record to which it relates, specify the date of the corrective action taken, and explain the nature of the corrective action taken. The statement shall be preserved as long as the record of the initial financing statement is preserved in the UCC information management system.

The central filing office shall, from time to time, designate the XML format to be used as the format for transmission of XML documents to the central filing office. The central filing office shall, at the request of an authorized XML remitter, identify which versions and releases of the XML format are then in use by and acceptable to the central filing office.

The central filing office shall prepare an XML implementation guide that will:

Notwithstanding any other provision of this Part to the contrary, XML documents and XML transmissions shall be subject to the limitations and restrictions set forth in this section.

combination filing (as described in section 143-1.3[c] of this Part) submitted by XML transmission. An amendment submitted to the central filing office by XML transmission can be filed as one, but only one, of the following: a termination statement, a continuation statement, a full assignment, a party information amendment (

i.e.

, an amendment that changes, deletes, or adds a debtor or a secured party), or a collateral information amendment (

i.e.,

an amendment that deletes collateral, adds collateral, or restates the description of collateral). In particular, but not by way of limitation:

The central filing office will not accept any XML document intended to be filed in any local- filing office. If any XML document submitted to the central filing office includes any entry in the "county" data element field or any entry in the "cooperative interest" data element field:

e.g.,

if the document specified the debtor name as "John C. Smith", the name was entered in the pre-July 1, 2001 index as "JOHN C. SMITH", and if the document specified the debtor name as "Smith, John C.," the name was entered in the pre-July 1, 2001 index as "SMITH JOHN C.").

Note, however, in some cases (including but not limited to some cases similar to the examples set forth in the preceding sentence), no entry in the alternative name index was made.

Fees paid to the central filing office for services rendered under the UCC and/or article 10-A of the Lien Law may be paid by check, money order, approved credit card, prepaid account, or cash, subject to the following limitations and conditions:

Refunds of overpayments of fees paid to the central filing office under the UCC will be made in accordance with, and subject to, the provisions set forth in this section.