XML Technical Specifications · Document Type Definition A Document Type Definition (DTD) is where a set of custom tags, and attributes are defined. These are the rules that define

Version 3.10 XML Technical Specifications

May 9, 2013 Page 1 of 99

XML Technical Specifications

For

Uniform Commercial Code

Revised Article 9

Version 3.10

Thursday, May 09, 2013

Thomas M. Ose

Ose Micro Solutions, Inc.


May 9, 2013 Page 2 of 99

The intent of this document is to provide technical guidelines for using the XML standards

developed for Uniform Commercial Code Revised Article 9. The document is not intended to be an

implementation guide and as jurisdictions develop applications that use the XML standards, the

jurisdictions are encouraged to develop an implementation guide specifically for their jurisdiction

based on these recommendations. This document may be used as a template for developing an

implementation guide.

Please submit corrections or request for changes to the document author or to the chair of the IACA

Information Technology Section (ITS).

The latest version of this document can be viewed or downloaded at http://www.iaca.org/xml/ or at

http://www.osemicro.com/ .

For further information or clarification please contact:

Thomas M. Ose

Ose Micro Solutions, Inc.

2703 Covered Wagon Trail

Springfield IL 62711

(217) 483-4368

[email protected]

http://www.iaca.org/xml/

http://www.osemicro.com/


May 9, 2013 Page 3 of 99

Document History

Date Version Who Comments

3/13/2001 1.0.1 Thomas M. Ose

Laura Wisley

Lynette Wong

Combined all documents into one document.

Made changes to the Filing DTD and Elements Definition to

reflect comments from the STS Summit meeting in San

Antonio, TX.

Created Sample XML documents.

Created UCC forms with the XML tags.

06/21/2001 1.0.2 Thomas M. Ose Made some minor revisions

06/23/2002 1.0.3 Thomas M. Ose Made some more minor revisions

06/23/2003 1.0.4 Thomas M. Ose Made changes required for new DTD

04/29/2010 1.4 Thomas M. Ose Started restructuring document and changed numbering

05/04/2010 2.0 Thomas M. Ose Totally rewrote the filing XML description and added process

overviews

05/05/2010 2.1 Thomas M. Ose Finished filing rewrite

05/06/2010 2.2 Thomas M. Ose Rewrote searching section

05/07/2010 2.3 Thomas M. Ose Minor corrections and release

05/23/2010 2.4 Thomas M. Ose Minor typo corrections

01/09/2013 3.0 Thomas M. Ose Started revising for new 2013 changes to the forms.

02/09/2013 3.1 Thomas M. Ose Made changes based on previous group meeting

02/13/2013 3.2 Thomas M. Ose Made changes suggested at group meeting

02/14/2013 3.3 Thomas M. Ose Added notes from Ben Ark

02/15/2013 3.4 Brad Harris Made some minor corrections and updated samples

02/16/2013 3.5 Thomas M. Ose Added revised DTD for filing document

02/14/2013 3.6 Thomas M. Ose Added forms specific information and PDF forms

04/21/2013 3.7 Thomas M. Ose Added clarification on web services.

04/22/2013 3.8 Thomas M. Ose Added code snippets for XML samples.

05/09/2013 3.9 Thomas M. Ose Removed some incorrect references and cleaned up document

05/09/2013 3.10 Thomas M. Ose Final Release


May 9, 2013 Page 4 of 99

Table of Contents

Document History 3

Table of Contents 4

Introduction 7

What is XML 8

The XML Document 8

Document Type Definition 8

Processors and Parsers 10

Style Sheets 11

How XML is Used 12

Web Services 12

HTML Post 12

Assumptions 13

Security 13

Comments on 2013 Revisions to the Specification 14

Overview of 2013 Revisions to the Specification 14

Notes on Backwards Compatibility 14

Notes on Filing Acknowledgement Image Preparation 15

Filing process 16

Submission Process 17

Document Receipt 19

Status Request 20

PDF Acknowledgment Retrieval 22

Filing Process - Web Service 23

SubmitXML 23

GetStatus 25

PDF Acknowledgment Retrieval 27

Submit XML File Structure in Detail 28

Document 28


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Header 29

Names 31

Record 35

FileInRealEstate 38

CurrentName 39

Debtors 40

Secured 42

Assignor 43

Collateral 44

FSAProducts 46

AuthorizingParty 47

Acknowledgment 49

Attribute Values 51

AltFilingType 51

AltFilingType1 51

AltNameDesignation 51

AmendmentAction 52

AmendmentType 52

DebtorAltCapacity 53

CollateralDesignation 53

Designation 53

FileStatus 54

MIMEType 54

OrganizationType 54

Test 55

TransType 55

XMLVersion 55

Filing Element Usage by Filing Type 56

Document: 56

Header: 56

Record: 57

UCC Financing Statement with XML Tags 60

Form Generation Recommendations 60

Filing type mapping for form fields 60

Filing Document Type Definition 61

Sample Filing 64

Initial 64

Termination by Secured Party 66

Acknowledgment 67

Receipt and Status XML 71


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XMLVersion 72

Status 72

Status Messages 73

Receipt Document Type Definition 74

Sample Receipt 75

XML Searching 76

Search Request 77

Search Detail Request 78

PDF Image Retrieval 79

Search Result XML Explained 80

Document 80

SearchResult 81

NameResult 82

Amendments 83

Attribute Values 84

Search Result Document Type Definition 85

Sample Search Result XML 86

Appendix A – State Codes 87

Appendix B – Provincial Codes 89

Appendix C – Country Codes 90

Appendix D - Error or Rejection Codes 98

Appendix E - HTML (XML) Encoding 99


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Introduction

The move from the analogue state to the digital state has forced Private and Public sectors to

rethink the way they do business. Integration of services has created an environment that requires

a cooperative, open approach to service delivery instead of each organization working as an almost

discrete entity.

Decision-makers at every level have wrestled with the question of how to transfer information

between systems. Hyper-Text Mark-up Language (HTML) initially was thought to be the answer, but

it provides only part of the solution.

The web today is based on HTML, and it is an effective tool for creating a “look” and “feel” for a

portal. Unfortunately HTML falls short because it is unable to “tag” or label an object on one site so

another site or system can recognize that same object. Enter eXtensible Mark-up Language, (XML).

XML provides a mechanism to label sets of data so they can be shared between systems. It is the

underlying standard for systems communication and enables the transfer of data across various

media. XML is already being used in many systems including cellular phones, web and Windows

applications.


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What is XML

XML is an open-standards-based technology, adopted by the World Wide Web Consortium (W3C),

to enhance HTML for interchanging and processing data. Like HTML, XML is an abbreviated

derivative of Standard Generalized Markup Language (SGML), the internationally agreed-upon

standard meta-language.

There are four principle components that enable XML applications to process an XML document:

The XML Document

Document Type Definitions (DTD) or Schemas

Processors and Parsers

Style Sheets

The XML Document

The XML document is similar to an HTML document except that it contains custom tags. These

tags are defined in a Document Type Definition (DTD). Following is a simple “business card” XML

document:

<?xml version="1.0" encoding="UTF-8"?>

<business_card>

<name>

<first_name>Bob</first_name>

<middle_int>B</middle_int>

<last_name>Trout</last_name>

</name>

<title>STAC Guy</title>

<contact_methods>

<phone>512-555-8160</phone>

<fax>512-555-4759</fax>

<e_mail>[email protected]</e_mail>

</contact_methods>

</business_card>

Document Type Definition

A Document Type Definition (DTD) is where a set of custom tags, and attributes are defined. These

are the rules that define and dictate how the custom tags relate to one another and how they can be

used in the XML Document. The DTD for the preceding business card example may look something

like this:


<!ELEMENT title (#PCDATA)>

<!ELEMENT phone (#PCDATA)>


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<!ELEMENT name ((first_name, middle_int, last_name))>

<!ELEMENT middle_int (#PCDATA)>

<!ELEMENT last_name (#PCDATA)>

<!ELEMENT first_name (#PCDATA)>

<!ELEMENT fax (#PCDATA)>

<!ELEMENT e_mail (#PCDATA)>

<!ELEMENT contact_methods ((phone, fax, e_mail))>

<!ELEMENT business_card ((name, title, contact_methods))>

DTDs can be either attached to the XML document or maintained in a specific location, such as a

unique directory on a web server. If the location and syntax of these DTDs is agreed upon and

shared by multiple partners, then this repository is known as a Namespace.

The same XML file can also be described as a schema. The following is the same XML defined as

a schema:

<?xml version="1.0" encoding="UTF-8" standalone="no"?>

<xs:schema xmlns:xs="http://www.w3.org/2001/XMLSchema" elementFormDefault="qualified">

<xs:import namespace="http://www.w3.org/XML/1998/namespace"/>

<xs:element name="title">

<xs:complexType mixed="true"/>

</xs:element>

<xs:element name="phone">


</xs:element>

<xs:element name="name">

<xs:complexType>

<xs:sequence>

<xs:sequence>

<xs:element ref="first_name"/>

<xs:element ref="middle_int"/>

<xs:element ref="last_name"/>

</xs:sequence>

</xs:sequence>

</xs:complexType>

</xs:element>

<xs:element name="middle_int">


</xs:element>

<xs:element name="last_name">


</xs:element>

<xs:element name="first_name">


</xs:element>

<xs:element name="fax">


</xs:element>

<xs:element name="e_mail">


</xs:element>

<xs:element name="contact_methods">


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<xs:complexType>

<xs:sequence>

<xs:sequence>

<xs:element ref="phone"/>

<xs:element ref="fax"/>

<xs:element ref="e_mail"/>

</xs:sequence>

</xs:sequence>

</xs:complexType>

</xs:element>

<xs:element name="business_card">

<xs:complexType>

<xs:sequence>

<xs:sequence>

<xs:element ref="name"/>

<xs:element ref="title"/>

<xs:element ref="contact_methods"/>

</xs:sequence>

</xs:sequence>

</xs:complexType>

</xs:element>

</xs:schema>

The biggest difference between a DTD and an XSD schema is that the DTD is much simpler and

does not allow for data typing or contents validation. XSD files are lot more complex but allow for

much more validation and flexibility.

In this document we will only define the DTD file since it is easier and by design we do not do any

element level validation. There are XSD schema files available for all the IACA XML document

and please contact Ose Micro Solutions if you need a copy.

Processors and Parsers

The XML processor, usually embedded in the application used to view the XML document, checks

to make sure the XML file or document follows all the rules defined in the DTDs. This means the

document has only one root element, all tags have matching start and closing tags, and there is no

overlapping of tags.

The parser is responsible for reading the XML document and creating its document tree. This tree

is a hierarchical structure of the content of the XML document and is once again defined in the

DTD.


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Style Sheets

A style sheet is used to read the XML document and then associate the custom tags with particular

display or presentation properties. XML style sheets are also sometimes referred to as XSL files

and use XSL as a file name extension.


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How XML is Used

The following diagram illustrates the flexibility of XML in communicating data between different

systems. As long as the structure is predefined and validated then all systems can create the XML

document as well as process it. This flexibility also expands in that all modern programming

language and systems have ways to read and write the XML document and an XML document

written in open platform can be processed in a totally different environment.

Customer XML Parser or

Translator Application

Customer

Database /

Repository

Transport

(FTP, E-Mail, HTML Session, Floppy, Tape)

State XML Parser or

Translator Application

State

Database /

Repository

Customer

DefinedXML XML

State

Defined

Security

(Point to Point Connection, SSL for Web

Connection, IP Testing)

StateCustomer

Although there are many different ways to transmit the XML document from one system to another.

IACA recommend that one of the two following methods are used.

Web Services

This transmission method entails a web site to expose a specific web service that will be used to

submit the filing to the jurisdiction. The web service handles the validation, authentication and

responses of all the methods required to process and track a UCC filing. Web services typically

implement a protocol called SOAP to deal with the details of the XML serialization and

transmission.

HTML Post

This transmission process is simpler than a web service but not as flexible. Basically the filing is

submitted to a web site similarly like requesting a web page for display. The data or payload is

sent to the web page and the web page responds with the receipt.

This document will focus on the HTML Post method since it is simpler to explain. IACA also

recommends that a new filing site implement both methods. This is easily done by building a web

service and then putting a HTML post front end in place.


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Assumptions

This document makes the following assumptions as it applies to XML and Revised Article 9.

Payment information is not included in the XML filing.

Correction statements are excluded from the XML filing.

An electronic amendment cannot include multiple actions.

The XML filing will not use collateral codes.

All data transmitted in the filing must be returned to the filer.

Sequence of filings is a filer issue – not a filing office issue

Security

Because of the various options available today regarding securing web sites, web services and

transmissions, the discussion of security options is outside of the scope of this document. It is

recommended thought that HTTPS be used at a minimum to encrypt the transmitted packet. It is

also important to note that the implementation of security in regards to the transmission of these

XML packets be kept as simple as possible to insure that implementation by the filer is not burden

with complex submission rules and methods.


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Comments on 2013 Revisions to the Specification

The 2013 revisions to the IACA XML Technical Specification are being adopted in response to the

2010 amendments to UCC Article 9 which, among other things, prescribe new paper filing forms. As

of the drafting of these revisions to the XML specifications, the 2010 amendments have been

adopted by the majority of US states and in most states will become effective on July 1, 2013. The

XML specification revisions are being published in advance of the new law becoming effective in

order to provide IACA member organizations sufficient opportunity to adapt their XML filing

systems. Additionally, any jurisdictions undertaking a project to implement XML filing of UCC

documents can leverage this document to ensure they are implementing a modern system

compliant with the latest UCC law.

Overview of 2013 Revisions to the Specification

The new forms prescribed in the 2010 amendments rearrange certain fields. These changes

are handled well by the pre-2013 XML specification. For example, the FileInRealEstate

element’s Designation element was formerly a field on the UCC-1 Addendum form but is

now a field on the UCC-1 form. Similarly, the form revisions allow a filer to specify a long

individual name in larger text fields on the UCC Addendum form. As the XML specification is

data-centric, not presentation-centric, this rearrangement on the paper form is immaterial

and does not require a change to the XML specification.

The form revisions eliminate the ability to convey organizational identification information for

debtors. As such, those fields are now deprecated in the XML specification.

The SearchToReflect element is being deprecated due to its removal from the form.

Delaware-specific elements are being deprecated.

The form revisions allow for a new combination of alternate filing types to be specified

(UCC-1 items 6a and 6b) which has resulted in the inclusion of a new XML element

“AltFilingType1.”

The amendments to Article 9 as well as the form revisions now indicate that collateral is part

of a Trust and collateral is administered by a decedent’s personal representative where the

previous law/form indicated that these were properties of the debtor (UCC-1 item 5). As

such, the specification is being modified to mimic this with the deprecation of the

DebtorAltCapacity element and the inclusion of the new CollateralDesignation element.

The new forms allow for the inclusion of the primary debtor of record on the UCC-3

Addendum form (item 13). The specification drafting committee has decided to not

implement this in the XML specification as it is not relevant to central filing jurisdictions with

a modernized filing system.

Notes on Backwards Compatibility

The 2013 revisions are being made in a backward-compatible manner. Any jurisdiction

implementing these revisions is advised to do the following:


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Do not reject a filing for the inclusion of a deprecated element.

Consider treating the presence of a value in any DebtorAltCapacity element as a value

supplied in the new CollateralDesignation element. If the supplied value is Trust, treat it is if

Trust were supplied in CollateralDesignation. If the supplied value is Estate, treat it as if

PersonalRepresentative were supplied in CollateralDesignation.

Treat the presence of the AltFilingType’s deprecated attribute values (AgLien and

NonUccFiling) as if they were supplied in the new AltFilingType1 element.

By ignoring deprecated elements and supporting the other two items above, an XML filing system

may continue to support filers who are unable to update their submission systems to support the

2013 revisions.

Notes on Filing Acknowledgement Image Preparation

The 2013 revisions to the XML specification prescribe a new template for generating a

paper-like filing acknowledgment image. When preparing a filing acknowledgment image,

carefully consider the previous Notes on Backwards Compatibility to reduce

disenfranchising existing filers while still supporting the new forms.

When preparing a filing acknowledgement image where an individual debtor’s name is too

long to fit into the available fields on a UCC-1, consider automatically generating an

appropriate UCC-1 Addendum or append an additional page with the full debtor’s name as

supplied in the submitted XML.

If you are modifying an existing system to adopt these 2013 revisions, strongly consider

providing a mechanism for retrieving the generated filing acknowledgement image if one

does not already exist. Evidence shows that providing the image electronically via an

automated process increases adoption of XML filing.


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Filing process

During the filing process the XML document is submitted to the jurisdiction and a document receipt

XML document is returned synchronously from the state. This document receipt acknowledges the

receipt of the document only and provides an identification number to inquire status of the

document from the system.

The document receipt will also contain information regarding errors incurred during the initial

validation of the document. If a submitted document has errors it is REFUSED and the state will

not maintain any record of this filling since it was never ACCEPTED by the office.

Once the filing has been processed by the state the acknowledgment is sent to the <ReturnURL>

provided in the XML filing. This is done asynchronously and the submitter must provide a web page

to return the information to. Information for user-id and password for the return URL may also be

provided in the XML document if required.

XML

Process

State SiteFiler Site

XML Filing to Jurisdicton

Receipt From Jurisdiction

Acknowledgement from Jurisdiction

In Session


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Submission Process

The submission is done by using an HTTP_POST process. The state will provide a web page that

will act as a receiver for the information and in return provide a receipt as defined further on in this

document.

The filer will submit the XML filing using the following URL:

http://<state baseURL>/<submitPage>

or

https://<state baseURL>/<submitPage>

As part of the POST message in the HTTP packet the following POST variables are required:

POST Variable Type Description

uid String The user id provided by the state when the account was set up

pwd String The password provided by the state

xmlData String The actual XML data

Notes:

● There is a maximum of 2meg limitation when posting data using the HTTP protocol. This

limitation is set by the protocol and has nothing to do with the actual state limitations (see

details further on in this document).

● The xmlData needs to be HTML encoded to encode characters that may interfere with the

HTTP protocol (see the appendix for further information).

● Text must conform to the UTF8 text format and special characters must either be converted

or removed. Of special note are Microsoft word documents that insert special characters for

the single and double quotes. These must be converted to the normal UTF8 single and

double quote.

The following chart shows the process flow for the web submission of a filing


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Document Receipt

Once the jurisdiction has received the filing, they will send the receipt document back to the filer.

This will be synchronous and the receipt document will have the elements defined later in this

document.

In normal processing the <Status> would be returned as OK. If a processing error occurs than the

appropriate status message will be returned along with the DocumentReceiptID. If it is not possible

to generate a DocumentReceiptID then the HTTP server will respond with an HTTP error.

The Filing Acknowledgment will be sent asynchronous from the jurisdiction to the filer.


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Status Request

In order to insure that the acknowledgment and filing is processed correctly the filer may at times

request status on the filing.

The filer will send the jurisdiction a request for status using the following URL.

http://<state baseURL>/UCCXML/StatusRequest

or

https://<state baseURL>/UCCXML/StatusRequest

The following POST variables are required for a status request:




DocumentReceiptID String The value is provided in the receipt sent after the filing was submitted

https://secure.oasolutions.com/UCCB2B/status.asp?DocumentReceiptID=%22



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Once received by the jurisdiction, the system will send the status information back to the filer. This

will be synchronous and the Status document will have the following elements:

The Filing Acknowledgment will be sent asynchronous from the jurisdiction to the filer.


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PDF Acknowledgment Retrieval

A state should provide the ability to allow a filer to electronically request a PDF copy of the filing

Acknowledgment. This is in addition to the XML acknowledgment that is returned by either the

filings process or status request.

The process is similar to the status request but instead of receiving the status XML message the

PDF form will be returned

The filer will send the jurisdiction a request for the PDF using the following URL.

http://<state baseURL>/UCCXML/RetrieveDocument

or

https://<state baseURL>/UCCXML/RetrieveDocument

The following POST variables are required for the request:




FileNumber String The value is provided in the receipt sent after the filing was submitted




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Filing Process - Web Service

In addition to the HTTP POST interface these specifications also provides a web service interface

to submit filings.

The web service may be accessed by using the following URL

https://<state baseURL>/WS_UCC_XML.asmx And the WSDL is available at

https://<state baseURL>/WS_UCC_XML.asmx?WSDL

There currently are three methods supported which are detailed in the next sections.

SubmitXML

This method is used to submit a filing for processing. It returns a receipt when completed in the

SubmitXMLResult attribute. The acknowledgement is sent to the URL included in the XML

document.

Parameter Type Description

userID String The user id provided by the state when the account was set up

password String The password provided by the state

xmlDoc String The actual XML data

<?xml version="1.0" encoding="utf-8"?>

<soap12:Envelope xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"

xmlns:xsd="http://www.w3.org/2001/XMLSchema"

xmlns:soap12="http://www.w3.org/2003/05/soap-envelope">

<soap12:Body>

<SubmitXML xmlns="http://someURL/">

<userID>string</userID>

<password>string</password>

<xmlDoc>string</xmlDoc>

</SubmitXML>

</soap12:Body>

</soap12:Envelope>

https://68.236.73.141/uccFiling/submit.asmx/SubmitUccFiling


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The following diagram shows the process for the asynchronous submission.


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GetStatus

This method is used to request status on a specific filing by providing the <DocumentReceiptID>

returned by the state in the receipt document. The call will return a receipt in the GetStatusReturn

attribute.




DocumentReceiptID String The document to request status on.





<soap12:Body>

<GetStatus xmlns="http://SomeURL/">



<DocumentReceiptID>string</DocumentReceiptID>

</GetStatus>

</soap12:Body>

</soap12:Envelope>

The following diagram shows the processing sequence of the status request.


May 9, 2013 Page 26 of 99


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PDF Acknowledgment Retrieval

This method is used to request the image for a specific filing by providing the <FileNumber>

assigned by the state in the acknowledgement. The call will stream back a PDF image of the

completed filing.




FileNumber String The filing number to retrieve the image on





<soap12:Body>

<GetImage xmlns="http://SomeURL/">



<FileNumber>string</FileNumber>

</GetImage>

</soap12:Body>

</soap12:Envelope>


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Submit XML File Structure in Detail

The following section will describe the elements and their application in detail.

Document

The Document element is the root element for the remaining XML Document. It contains four sub-

elements. The first is the single occurrence of <XMLVersion> that is used to implement a version

control mechanism. The second is the single occurrence of <Header> that contains all the

information that is global to all the filing records. The third is the actual <Record> that contains all

the information for a filing. The last is the optional <FileSignature> element that has not currently

been implemented.

The document must have at least one of all the three sub-elements but can have multiple ‘Record’

elements.

Element Description Attribute

value

Length Occurrence

Document Root element of the XML document NA 1

Version Contains the version number of the DTD used to create this

document

See version

attribute

NA Optional

Max 1

Header Global information for all filing records NA 1

Record Contains all the information for a filing NA 1 or more

FileSignature Not used at present time and can be omitted NA Optional

Max 1


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Header

The <Header> element contains all the global information for this document. This includes the filer

information and packet reference information and information as to where to return the

acknowledgment to. There is only one <Header> record in a document.


value

Length Occurrence

Header Base element NA 1

Filer Container element that holds information regarding who

submitted this document

NA 1

Names Container element for the name information (see the Names

definition for more details and field lengths)

NA 1

ClientAccountNum The submitter account number or identifier 7 1

ContactName Name of person to contact regarding this filing 35 1

ContactPhone Their phone number xxx-xxx-

xxxx

12 1

ContactEmail Their email address 75 1


May 9, 2013 Page 30 of 99


value

Length Occurrence

ContactFax Their fax number 12 1

ReturnURL The web site address that the Acknowledgment should be

sent to if not in a synchronous session.

100 1

ReturnUserPWD The password that may be required for the return

information

20 Optional

ReturnUserID The user ID that may be required for the return information 20 Optional

PacketNum Unique number identifying this specific document. This

number should be unique across submitters for a specific

state

32 1

Test Indicates if this document is for testing purposes only “Y” or “N”,

default is

“N”

1 1

Sample XML Block

<Header> <Filer> <Names> <OrganizationName>My Company</OrganizationName> <MailAddress>123 My Street</MailAddress> <City>Some City</City> <State>IL</State> <PostalCode>12345</PostalCode> <County/> <Country>USA</Country> </Names> <ClientAccountNum>1234</ClientAccountNum> <ContactName>Contact Name</ContactName> <ContactPhone/> <ContactEmail>[email protected]</ContactEmail> <ContactFax/> <ReturnURL>http://return.itto.me</ReturnURL> <ReturnUserID/> <ReturnUserPWD/> </Filer> <PacketNum>12015487022478121</PacketNum> <Test Choice="No"/> </Header>


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Names

This element container defines all the items associated with a name. This will apply whenever a

name is required, such as <Filer> or <Debtor>. This element container can be used multiple times

to allow for as many names within an element container.


value

Length Occurrence

Names Element container for name information NA 1


May 9, 2013 Page 32 of 99


value

Length Occurrence

OrganizationName The name of an organization.

Note: Only 1 of the <OrganizationName> or

<IndividualName> elements are allowed in a single <Names>

container element

300 Optional

Max 1

IndividualName Container element for the individual name information. See

note under <OrganizationName>

NA Optional

Max 1

LastName Individuals last name (surname) 100 1

FirstName Individuals first name (first personal name) 100 1

MiddleName Individuals middle name or initial (additional

name(s)/initials)

60 Optional

Max 1

Suffix Individuals name suffix 40 Optional

Max 1

MailAddress Contains the street address associated with the name 150 1

City Contains the city associated with the name 100 1

State Contains the state code associated with this name 2 1

PostalCode Contains the postal code or zip code associated with this name 9 1

County Contains the county associated with this name NOT

USED

0 Optional

Max 1

Country Contains the 3 digit country code associated with this name 3 Optional

Max 1

TaxID If this is a corporation it contains the Tax ID associated with

this name

NOT

USED

NA 0

OrganizationType If this is a corporation it contains the type of organization

associated with this name

Note: In order to support additional organization types , non-

attribute values should be submitted by setting the attribute to

NOType and passing the value in the element

<OrganizationType type="NOType">

Church</ OrganizationType>

NOT

USED

NA

Optional

Max 1

OrganizationJuris If this is a corporation it contains the state that this organization

was incorporated in

NOT

USED

NA

Optional

Max 1

OrganizationID If this is a corporation it contains the ID assigned by the state

for this name

NOT

USED

NA

Optional

Max 1

Mark Contains the signature associated with this name NOT

USED

NA 0


May 9, 2013 Page 33 of 99

Sample XML Block

COMPANY

<Names> <OrganizationName>Company Debtor</OrganizationName> <MailAddress>Company Street</MailAddress> <City>Some City</City> <State>KS</State> <PostalCode>12345</PostalCode> <County/> <Country>USA</Country> </Names>

INDIVIDUAL

<Names> <IndividualName> <LastName>Name</LastName> <FirstName>Individual</FirstName> <MiddleName/> <Suffix/> </IndividualName> <MailAddress>Some Street</MailAddress> <City>Some City</City> <State>KS</State> <PostalCode>12345</PostalCode> </Names>


May 9, 2013 Page 34 of 99

During the 2009 IACA Conference the STS/ITS sections made a recommendation for E-

Filing/Character Field Lengths. The recommended field length for the XML document match or

exceed those recommendations and the following table identifies those differences:

IACA Recommended

Data Element XML Optimum Minimum

D- Organization Name 300 300 120 D-Individual Last Name 100 32 24 D-Individual Middle Name 60 16 10 D-Individual First Name 100 20 16 SP-Organization Name 300 300 120 Mailing Street Address 150 800 72 Collateral 256,000 ** Unlimited 64,000

When implementing a new XML system it is advised that the XML field length are considered and at a

minimum the Optimum IACA recommendations be used

** The length of the collateral is limited by the size of the payload container HTTP currently has a

maximum of 2meg payload capacity. The chosen length is based on large collateral descriptions and

also allows for attachments to the filing record.


May 9, 2013 Page 35 of 99

Record

This is the main container element for this XML document. It contains additional sub-elements to

properly define both the submitted filings as well as the returned acknowledgment. It also provides

a means to return error information for each filing transaction.


May 9, 2013 Page 36 of 99


value

Length Occurrence

Record Container element NA 1

SeqNumber Unique number within this document. Usually incremental

from 1 to the maximum number of records allowed by the

receiving jurisdiction.

5 1

TransType The type of filing being referenced See

TransType

attribute list

NA 1

AmendmentType The type of amendment being filed See

Amendmen

tType

Attribute list

NA Optional

Max 1

AmendmentAction The action for the specific amendment See

Amendmen

tAction

attribute list

NA Optional

Max 1

InitialFileNumber For an amendment the original file number Must be

numeric

9 Optional

Max 1

InitialFileDate For an amendment the original file date Not

Required

by IL

8 Optional

Max 1

SubmitterRef A unique identifier for the submitters use. This value is

returned to the submitter in the acknowledgment

80 Optional

Max 1

ActionCode Only applies to Delaware Filings NOT USED 0

AltNameDesignation Specifies the alternate relationship of the Secured Party to

the Debtor

See

AltNameDe

signation

attribute list

NA Optional

Max 1

AltFilingType Alternate filing types that may be filed See

AltFilingTyp

e attribute

list

NA Optional

Max 1

AltFilingType1 Additional alternate filing types that apply to this filing See

AltFilingTyp

e1 attribute

list

NA Optional

Max 1

FileInRealEstate Container Element for real estate filings NA Optional

Max 1

SearchToReflect Indicates if a search after is requested NOT USED NA 0

MiscInfo Miscellaneous filing information 36 Optional


May 9, 2013 Page 37 of 99


value

Length Occurrence

Max 1

CurrentName Container element for amendments that take action on a

name this field contains the original or current name on file

NA Optional

Max 1

Debtors Container element for debtor information NA Optional

Max 1

Secured Container element for secured party information NA Optional

Max 1

Assignor Container element for assignor information NA Optional

Max 1

Collateral Container for collateral information NA Optional

Max 1

CollateralDesignation Specifies that the collateral is held in trust or being

administered by a Decedent’s Personal Representative

See

CollateralD

esignation

attribute list

NA Optional

Max 1

AuthorizingParty Container element for the authorizing party NA Optional

Max 1

Acknowledgement Container element for the acknowledgment that is returned

from the jurisdiction.

NA Optional

Max 1

Note:

Although the design allows for multiple filing records to be submitted in a single document, it is

recommended that only the submission of one filing per XML document, so the sequence number

will always be 1.

The acknowledgement section is optional because it does not have to be submitted and will only be

required when the acknowledgement information is returned. It is also required when doing a file

number lookup and retrieves the filing information.

Sample XML Block

See the Sample XML section later in this document for samples.


May 9, 2013 Page 38 of 99

FileInRealEstate

This element set is used to define the real estate description and owner for real estate related

filings.


value

Length Occurrence

FileInRealEstate Root element of the XML document NA 1

Designation Contains the version number of the DTD used to create

this document

See version

attribute

NA Optional

Max 1

RealEstateDescription Global information for all filing records NA 1

Names Contains all the information for the real-estate owner NA 1 or more


May 9, 2013 Page 39 of 99

CurrentName

On amendments that alter a name this container element specifies the current or previous name

information.


value

Length Occurrence

CurrentName Container Element NA 1



<IndividualName> elements are allowed in a single

<Names> container element

300 Optional

Max of 1

IndividualName Container element for the individual name information. See

note under <OrganizationName>

NA Optional

Max of 1

LastName Individuals last name (surname) 100 1

FirstName Individuals first name (first personal name) 100 1

MiddleName Individuals middle name or initial(additional name(s)/initials) 60 1

Suffix Individuals name suffix 40 1

Sample XML Block

<CurrentName> <OrganizationName>Old Company Debtor</OrganizationName> </CurrentName>


May 9, 2013 Page 40 of 99

Debtors

This container element contains all the debtors associated with this filing. The <DebtorName>

container element is used to address multiple debtor names.


value

Length Occurrence

Debtors Container element NA 1

DebtorName Container element NA 1 or more

Names Container element See Names

definition

NA 1

DebtorAltCapacity Specifies that the debtor is acting in an alternate

capacity (This element is no longer used in this location

but has been moved to the record level)

NOT USED

NA Optional

Max 1

Not-Indexed-Reason Indicates on the Acknowledgement why the name was

not indexed

100 Optional

Max 1

Trust Indicates of the debtor is a trust (DE Specific) NOT USED 1 0

TrustDate Indicates the trust formation date (DE Specific) NOT USED 8 0


May 9, 2013 Page 41 of 99

Sample XML Block

<Debtors> <DebtorName> <Names> <OrganizationName>Company Debtor</OrganizationName> <MailAddress>Company Street</MailAddress> <City>Some City</City> <State>IL</State> <PostalCode>12345</PostalCode> <County/> <Country>USA</Country> </Names> </DebtorName> <DebtorName> <Names> <IndividualName> <LastName>Name</LastName> <FirstName>Individual</FirstName> <MiddleName/> <Suffix/> </IndividualName> <MailAddress>Some Street</MailAddress> <City>Some City</City> <State>IL</State> <PostalCode>12345</PostalCode> </Names> </DebtorName> </Debtors>


May 9, 2013 Page 42 of 99

Secured

This container element contains all the secured parties associated with this filing. The

<SecuredName> container element is used to address multiple secured party names.


value

Length Occurrence

Secured Container element for secured party names NA 1

SecuredName Container element for specific secured party names NA 1 or more

Names Container element for name information See Names

definition

NA 1

Not-Indexed-Reason Indicates on the Acknowledgement why the name was

not indexed

100 Optional

Max 1

Sample XML Block

<Secured> <SecuredName> <Names> <OrganizationName>Secured Party</OrganizationName> <MailAddress>1 Secured Party Place</MailAddress> <City>Some City</City> <State>FL</State> <PostalCode>54321</PostalCode> <County/> <Country>USA</Country> </Names> </SecuredName> </Secured>


May 9, 2013 Page 43 of 99

Assignor

This container element contains all the assignors associated with this filing. The <Names>

container element is used to address multiple assignor names.


value

Length Occurrence

Assignor Container element for assignor names NA Optional

Max 1

Names Assignor name specifics See

Names

definition

NA 1 or more

Sample XML block

<Assignor> <Names> <OrganizationName>Secured Party</OrganizationName> <MailAddress>1 Secured Party Place</MailAddress> <City>Some City</City> <State>AK</State> <PostalCode>54321</PostalCode> <County/> <Country>USA</Country> </Names> </Assignor>


May 9, 2013 Page 44 of 99

Collateral

This container element is used to specify the collateral information for the filing. Although all the

collateral elements are optional (ColText, FSAProducts and Attachment) at least one must be

present in order to have a valid Collateral element.


value

Length Occurrence

Collateral Container element NA 1

ColText The collateral statement 256K Optional

Max 1

FSAProducts Container Element for FSA collateral NA Optional

Max 1

Attachment Container element NA Optional

Max 1

MIMEType Defines the type of attachment being submitted See

MIMEType

attribute list

NA 1

TextData The actual encoded text for the attachment ~ 1.5meg

max

1

The attachment is in addition to the collateral statement found in the <ColText> element and only

PDF files are acceptable for attachments. The actual PDF document needs to be base64 encoded

before inserting into the XML document.


May 9, 2013 Page 45 of 99

Sample XML Block

<Collateral> <ColText>Some text collateral</ColText> <Attachment> <MIMEType Type="PDF"/> <TextData>Base64 encoded PDF document</TextData> </Attachment> </Collateral>


May 9, 2013 Page 46 of 99

FSAProducts

The following element set is used to define the FSA products as collateral. This element set only

applies to states that have the Food Security Act.


value

Length Occurrence

FSAProducts Container element NA Optional

Max 1

Name-Code Container element NA 1 or more

Years Container Element NA 1

Year The crop years YYYY 4 1 or more

Counties Container element NA 1

County The county where the collateral is located 50 1 or more

Unit Defines the unit of measurement 50 1

Quantity Defines the number of unit 10 1

Location Information on where the collateral is found 100 1

Description Describes the collateral crop 100 1


May 9, 2013 Page 47 of 99

AuthorizingParty

This container element contains all the information regarding the party that is authorized to perfect

this filing.


value

Length Occurrence

AuthorizingParty Container element NA Optional

Max 1

AuthSecuredParty Container element NA Optional

Max 1



<IndividualName> elements are allowed in a

single <Names> container element

300 Optional

Max 1

IndividualName Container element for the individual name

information. See note under

<OrganizationName>

NA Optional

Max 1

LastName Individuals last name 100 1

FirstName Individuals first name 100 1

MiddleName Individuals middle name or initial 60 1


AuthDebtor Container element NA Optional

Max 1


May 9, 2013 Page 48 of 99


value

Length Occurrence



<IndividualName> elements are allowed in a

single <Names> container element

300 Optional

Max 1

IndividualName Container element for the individual name

information. See note under

<OrganizationName>

NA Optional

Max 1



MiddleName Individuals middle name or initial 60 1


Note: only one <AuthDebtor> or <AuthSecuredParty> element is allowed.

Sample XML block

<AuthorizingParty> <AuthSecuredParty> <OrganizationName>Some Secured Party</OrganizationName> </AuthSecuredParty> </AuthorizingParty>


May 9, 2013 Page 49 of 99

Acknowledgment

This container element is used to return the acknowledgment information once a document has been processed by the state or jurisdiction. It also allows for error conditions to be returned in the <Error> container element. There is only one acknowledgment per record or filing.


value

Length Occurrence

Acknowledgement Container element NA 1

FileNumber The file number assigned to this filing 20 1

FileDate Date filing was processed CCYYMMDD 8 1

FileTime Time filing was processed HHMM 4 1

LapseDate Date filing will lapse (used also as expiration date) CCYYMMDD 8

FeeAmount The Fee charged for this filing ####.## 7 1

AdditionalFees Any additional fees charged for this filing (typically a

convenience fee)

##.## 5 Optional

Max 1

FilingOffice Jurisdiction name of filing office 100

FileStatus The status of this filing See attribute

list

NA 1

Errors Container Element NA Optional

Max 1

ErrorText The error text associated with the error 250 1 or More


May 9, 2013 Page 50 of 99

Sample XML Block

<Acknowledgement> <FileNumber>12345678</FileNumber> <FileDate>10102011</FileDate> <FileTime/> <LapseDate>10102016</LapseDate> <FeeAmount>10.00</FeeAmount> <FilingOffice>SOS</FilingOffice> <FileStatus Status="Accepted" /> </Acknowledgement>


May 9, 2013 Page 51 of 99

Attribute Values

The following is a breakdown of all the attribute elements and values.

AltFilingType

Element Name AltFilingType

Description Specifies other non UCC filings that use this DTD

Attribute Values TransmittingUtility

ManufacturedHome

PublicFinance

AgLien (NOT USED see AltFilingType1)

NonUCCFiling (NOT USED see AltFilingType1)

Default NOAltType

FoodSecurityAct

FederalLien

StateLien

JudgementLien

AltFilingType1

Element Name AltFilingType1


Attribute Values AgLien

NonUCCFIling

Default NOAltType

AltNameDesignation

Element Name AltNameDesignation

Description Specifies the alternate relationship of the Secured Party to the Debtor

Attribute Values Lessee-Lessor

Consignee-Consignor


May 9, 2013 Page 52 of 99

Bailee-Bailor

Seller-Buyer

Licensee-Licensor

Beneficiary

Trustee

Creditor

Default NOAltName

AmendmentAction

Element Name AmendmentAction

Description Specifies the action to be taken by this amendment being filed

Attribute Values DebtorAdd

DebtorChange

DebtorDelete

SecuredPartyAdd

SecuredPartyChange

SecuredPartyDelete

CollateralAdd

CollateralDelete

CollateralRestate

CollateralAssign

Default NOAction

AmendmentType

Element Name AmendmentType

Description Specifies the type of amendment being filed

Attribute Values AmendmentCollateral

AmendmentParties

Assignment

Correction

Continuation


May 9, 2013 Page 53 of 99

TerminationDebtor

TerminationSecuredParty

OfficerStatement

Default NOType

DebtorAltCapacity

Element Name DebtorAltCapacity (NOT USED)

Description Specifies the alternate capacity of the Debtor. This attribute remains so that

structure is backwards compatible but has been replaced by the

CollateralDesignation Attribute

Attribute Values Estate

Trust

Trustee

Default NOAltCapacity

CollateralDesignation

Element Name CollateralDesignation

Description Specifies the designation as it applies to the collateral.

Attribute Values PersonalRepresentative

Trust

Default NODesignation

Designation

Element Name Designation

Description Defines the type of collateral

Attribute Values Timber

AsExtractedCollateral

Fixtures

Default NOType


May 9, 2013 Page 54 of 99

FileStatus

Element Name FileStatus

Description In the acknowledgment element indicates the status of the filing

Attribute Values Accepted

Rejected

AcceptedWithErrors

Default NOStatus

MIMEType

Element Name MIMEType

Description Specifies the type of attachment being sent

Attribute Values PDF

OrganizationType

Element Name OrganizationType NOT USED

Description Specifies the type of organization being identified. These element values are

retained for backwards capabilities

Attribute Values Corporation

ForeignAssociation

GeneralPartnership

LimitedLiabilityCompany

LimitedLiabilityLimitedPartnership

LimitedLiabilityPartnership

LimitedPartnership

RegisteredLimitedLiabilityLimitedPartnership

SoleProprietorship

UnincorporatedAssociation

UnincorporatedNonprofitAssociation

Default NOType


May 9, 2013 Page 55 of 99

Test

Element Name Test

Description Indicates that this is a test filing or not

Attribute Values Yes

Default No

TransType

Element Name TransType

Description The type of UCC filing being defined

Attribute Values Initial (Default)

Amendment

XMLVersion

Element Name XMLVersion

Description Version Number for this DTD

Attribute Values 08172001

03172002

04252002

07242002

06232003

Default 05052010

02162013


May 9, 2013 Page 56 of 99

Filing Element Usage by Filing Type

The following table outlines which elements are used where for what filing type

Key: N/A = Does not apply to the specific document

For Filer Use Only: For Filing Office Use Only: O = Optional O/O = Optional R = Required R/O = Required

Document:

Sub-Loop

or

Element

Original

Amendment

Assignment

Continuation

Termination Debtor SP Collateral

Header R R R R R R R

Record R R R R R R R

FileSignature O O O O O O O

Header:

Sub-Loop

or

Element

Original

Amendment

Assignment

Continuation


Filer R R R R R R R

Names1 R R R R R R R

OrganizationName O O O O O O O

IndividualName2 O O O O O O O

LastName R R R R R R R

FirstName O O O O O O O

MiddleName O O O O O O O

Suffix O O O O O O O

MailAddress O O O O O O O

City O O O O O O O

State O O O O O O O

PostalCode O O O O O O O

County O O O O O O O

Country O O O O O O O

ClientAccountNum O O O O O O O

ContactName O O O O O O O

ContactPhone O O O O O O O

ContactEmail R R R R R R R


May 9, 2013 Page 57 of 99

Sub-Loop

or

Element

Original

Amendment

Assignment

Continuation


ContactFax O O O O O O O

PacketNum R R R R R R R

Test R R R R R R R

Record:

Sub-Loop

or

Element

Original

Amendment

Assignment

Continuation


SeqNumber R R R R R R R

TransType R R R R R R R

AmendmentType3 N/A R R R R R R

AmendmentAction3 N/A R R R O N/A N/A

InitialFileNumber N/A R R R R R R

InitialFileDate N/A N/A N/A N/A N/A N/A N/A

SubmitterRef O O O O O O O

AltNameDesignation O N/A N/A N/A N/A N/A N/A

AltFilingType O O N/A N/A N/A N/A N/A

AltFilingType1 O O N/A N/A N/A N/A N/A

FileInRealEstate O O N/A O O O O

Designation O O N/A O O O O

RealEstateDescription O O N/A O O O O

Names1 O O N/A N/A N/A N/A N/A

OrganizationName O O N/A N/A N/A N/A N/A

IndividualName2 O O N/A N/A N/A N/A N/A

LastName R R N/A N/A N/A N/A N/A

FirstName O O N/A N/A N/A N/A N/A

MiddleName O O N/A N/A N/A N/A N/A

Suffix O O N/A N/A N/A N/A N/A

MailAddress O O N/A N/A N/A N/A N/A

City O O N/A N/A N/A N/A N/A

State O O N/A N/A N/A N/A N/A

PostalCode O O N/A N/A N/A N/A N/A

Country O O N/A N/A N/A N/A N/A

MiscInfo O O O O O O O

CurrentName1 N/A O O N/A N/A N/A N/A

OrganizationName N/A O O N/A N/A N/A N/A

IndividualName2 N/A O O N/A N/A N/A N/A

LastName N/A R R N/A N/A N/A N/A

FirstName N/A O O N/A N/A N/A N/A

MiddleName N/A O O N/A N/A N/A N/A

Suffix N/A O O N/A N/A N/A N/A

Debtors R R N/A N/A N/A N/A N/A

DebtorName R R N/A N/A N/A N/A N/A


May 9, 2013 Page 58 of 99

Sub-Loop

or

Element

Original

Amendment

Assignment

Continuation


Names1 R R N/A N/A N/A N/A N/A

OrganizationName O O N/A N/A N/A N/A N/A

IndividualName2 O O N/A N/A N/A N/A N/A

LastName R R N/A N/A N/A N/A N/A

FirstName O O N/A N/A N/A N/A N/A

MiddleName O O N/A N/A N/A N/A N/A

Suffix O O N/A N/A N/A N/A N/A

MailAddress R R N/A N/A N/A N/A N/A

City R R N/A N/A N/A N/A N/A

State R R N/A N/A N/A N/A N/A

PostalCode O O N/A N/A N/A N/A N/A

County O O N/A N/A N/A N/A N/A

Country O O N/A N/A N/A N/A N/A

NotIndexedReason O/O O/O N/A N/A N/A N/A N/A

DebtorAltCapacity O O N/A N/A N/A N/A N/A

SecuredParty R N/A R N/A R N/A N/A

Names1 R N/A R N/A R N/A N/A

OrganizationName O N/A O N/A O N/A N/A

IndividualName2 O N/A O N/A O N/A N/A

LastName R N/A R N/A R N/A N/A

FirstName O N/A O N/A O N/A N/A

MiddleName O N/A O N/A O N/A N/A

Suffix O N/A O N/A O N/A N/A

MailAddress R N/A R N/A R N/A N/A

City R N/A R N/A R N/A N/A

State R N/A R N/A R N/A N/A

PostalCode O N/A O N/A O N/A N/A

County O N/A O N/A O N/A N/A

Country O N/A O N/A O N/A N/A

Assignor O N/A N/A N/A O N/A N/A

Names1 R N/A N/A N/A O N/A N/A

OrganizationName O N/A N/A N/A O N/A N/A

IndividualName2 O N/A N/A N/A O N/A N/A

LastName R N/A N/A N/A O N/A N/A

FirstName O N/A N/A N/A O N/A N/A

MiddleName O N/A N/A N/A O N/A N/A

Suffix O N/A N/A N/A O N/A N/A

MailAddress R N/A N/A N/A O N/A N/A

City R N/A N/A N/A O N/A N/A

State R N/A N/A N/A O N/A N/A

PostalCode O N/A N/A N/A O N/A N/A

County O N/A N/A N/A O N/A N/A

Country O N/A N/A N/A O N/A N/A

Collateral R N/A N/A R N/A N/A N/A

ColText O N/A N/A O N/A N/A N/A

Attachment O N/A N/A O N/A N/A N/A

MIMEType R R R R R R R


May 9, 2013 Page 59 of 99

Sub-Loop

or

Element

Original

Amendment

Assignment

Continuation


TextData R R R R R R R

CollateralDesignation O N/A N/A N/A N/A N/A N/A

AuthorizingParty N/A O O O O O O

AuthSecuredParty1 N/A N/A O O O O O

OrganizationName N/A N/A O O O O O

IndividualName2 N/A N/A O O O O O

LastName N/A N/A R R R R R

FirstName N/A N/A O O O O O

MiddleName N/A N/A O O O O O

Suffix N/A N/A O O O O O

AuthDebtor1 N/A O N/A O N/A N/A O

OrganizationName N/A O N/A O N/A N/A O

IndividualName2 N/A O N/A O N/A N/A O

LastName N/A R N/A R N/A N/A O

FirstName N/A O N/A O N/A N/A O

MiddleName N/A O N/A O N/A N/A O

Suffix N/A O N/A O N/A N/A O

Acknowledgement R/O R/O R/O R/O R/O R/O R/O

FileNumber R/O R/O R/O R/O R/O R/O R/O

FileDate R/O R/O R/O R/O R/O R/O R/O

FileTime R/O R/O R/O R/O R/O R/O R/O

FeeAmount R/O R/O R/O R/O R/O R/O R/O

AdditionalFees R/O R/O R/O R/O R/O R/O R/O

FilingOffice R/O R/O R/O R/O R/O R/O R/O

FileStatus R/O R/O R/O R/O R/O R/O R/O

Errors O/O O/O R/O O/O O/O O/O O/O

ErrorTest O/O O/O R/O O//O O/O O/O O/O

Notes:

1The OrganizationName or the IndividualName is required. If the OrganizationName is blank,

IndividualName is required. If the OrganizationName is present, IndividualName must be blank.

2For the IndividualName, the LastName is required. The FirstName, MiddleName, and Suffix are

optional.

3The Filing DTD allows for only one AmendmentType and AmendmentAction per record.

Correction statements are not part of the XML filing.


May 9, 2013 Page 60 of 99

UCC Financing Statement with XML Tags

Representation and sample filed positioning for the various forms may be found in the attached form samples.

Form Generation Recommendations

Note: this section will be added at a later date

Filing type mapping for form fields

The following table outlines how the XML filing type elements map to the various boxes on the

UCC# (Addendum Form).

Box Checked AmendmentType Element Value AmendmentAction Element Value

2 TerminationDebtor or TerminationSecuredParty

3 Assignment

4 Continuation

5 AmendmentParties

5 - Debtor AmendmentParties If AmendmentAction Starts with “Debtor”

5 - Secured Party AmendmentParties If AmendmentAction Starts with “SecuredParty”

5 - Change AmendmentParties If AmendmentAction Ends with “Change”

5 - Add AmendmentParties If AmendmentAction Ends with “Add”

5 - Delete AmendmentParties If AmendmentAction Ends with “Delete”

8 AmendmentCollateral

8 - Collateral Add AmendmentCollateral CollateralAdd

8 - Collateral Delete AmendmentCollateral CollateralDelete

8 - Collateral Restate AmendmentCollateral CollateralRestate

8 - Collateral Assign AmendmentCollateral CollateralAssign

Box 9 should be set when the XML document has values in the <AuthDebtor> elements


May 9, 2013 Page 61 of 99

Filing Document Type Definition

<?xml version="1.0" encoding="UTF-8"?>            <!ELEMENT Acknowledgement (FileNumber, FileDate, FileTime, LapseDate?, FeeAmount, AdditionalFees?,

FilingOffice, FileStatus, Errors?)> <!ELEMENT ActionCode (#PCDATA)> <!ELEMENT AdditionalFees (#PCDATA)> <!ELEMENT AltFilingType (#PCDATA)> <!ELEMENT AltFilingType1 (#PCDATA)> <!ELEMENT AltNameDesignation (#PCDATA)> <!ELEMENT AmendmentAction (#PCDATA)> <!ELEMENT AmendmentType (#PCDATA)> <!ELEMENT Assignor (Names+)> <!ELEMENT Attachment (MIMEType, TextData)> <!ELEMENT AuthDebtor (OrganizationName | IndividualName)> <!ELEMENT AuthSecuredParty (OrganizationName | IndividualName)> <!ELEMENT AuthorizingParty (AuthSecuredParty?, AuthDebtor?)> <!ELEMENT City (#PCDATA)> <!ELEMENT ClientAccountNum (#PCDATA)> <!ELEMENT ColText (#PCDATA)> <!ELEMENT Collateral (ColText?, FSAProducts?, Attachment?)> <!ELEMENT CollateralDesignation (#PCDATA)> <!ELEMENT ContactEmail (#PCDATA)> <!ELEMENT ContactFax (#PCDATA)> <!ELEMENT ContactName (#PCDATA)> <!ELEMENT ContactPhone (#PCDATA)> <!ELEMENT Counties (County+)> <!ELEMENT Country (#PCDATA)> <!ELEMENT County (#PCDATA)> <!ELEMENT CurrentName (OrganizationName | IndividualName)> <!ELEMENT DebtorAltCapacity (#PCDATA)> <!ELEMENT DebtorName (Names, DebtorAltCapacity?, Not-Indexed-Reason?, Trust?, TrustDate?)> <!ELEMENT Debtors (DebtorName+)> <!ELEMENT Description (#PCDATA)> <!ELEMENT Designation (#PCDATA)> <!ELEMENT Document (XMLVersion?, Header, Record+, FileSignature?)> <!ELEMENT ErrorText (#PCDATA)> <!ELEMENT Errors (ErrorText+)> <!ELEMENT FeeAmount (#PCDATA)> <!ELEMENT FileDate (#PCDATA)> <!ELEMENT FileInRealEstate (Designation, RealEstateDescription, Names+)> <!ELEMENT FileNumber (#PCDATA)> <!ELEMENT FileSignature (#PCDATA)> <!ELEMENT FileStatus (#PCDATA)> <!ELEMENT FileTime (#PCDATA)> <!ELEMENT Filer (Names, ClientAccountNum, ContactName, ContactPhone, ContactEmail, ContactFax, ReturnURL?,

ReturnUserID?, ReturnUserPWD?)> <!ELEMENT FilingOffice (#PCDATA)> <!ELEMENT FirstName (#PCDATA)> <!ELEMENT FSAProducts (Name-Code+)> <!ELEMENT Header (Filer, PacketNum?, Test)> <!ELEMENT IndividualName (LastName, FirstName, MiddleName, Suffix)> <!ELEMENT InitialFileDate (#PCDATA)>


May 9, 2013 Page 62 of 99

<!ELEMENT InitialFileNumber (#PCDATA)> <!ELEMENT LastName (#PCDATA)> <!ELEMENT LapseDate (#PCDATA)> <!ELEMENT Location (#PCDATA)> <!ELEMENT MailAddress (#PCDATA)> <!ELEMENT Mark (#PCDATA)> <!ELEMENT MiddleName (#PCDATA)> <!ELEMENT MIMEType EMPTY> <!ELEMENT MiscInfo (#PCDATA)> <!ELEMENT Name-Code (Years, Counties, Unit, Quantity, Location, Description)> <!ELEMENT Names ((OrganizationName | IndividualName), MailAddress, City, State, PostalCode, County?, Country, TaxID?, OrganizationalType?, OrganizationalJuris?, OrganizationalID?, Mark?)> <!ELEMENT Not-Indexed-Reason (#PCDATA)> <!ELEMENT OrganizationName (#PCDATA)> <!ELEMENT OrganizationalID (#PCDATA)> <!ELEMENT OrganizationalJuris (#PCDATA)> <!ELEMENT OrganizationalType (#PCDATA)> <!ELEMENT PacketNum (#PCDATA)> <!ELEMENT PostalCode (#PCDATA)> <!ELEMENT Quantity (#PCDATA)> <!ELEMENT RealEstateDescription (#PCDATA)> <!ELEMENT Record (SeqNumber?, TransType, AmendmentType?, AmendmentAction?, InitialFileNumber?, InitialFileDate?, SubmitterRef?, ActionCode?, AltNameDesignation?, AltFilingType?,

AltFilingType1?, FileInRealEstate?, SearchToReflect?, MiscInfo?, CurrentName?, Debtors?, Secured?, Assignor?, Collateral?, collateralDesignation?, AuthorizingParty*, Acknowledgement?)>

<!ELEMENT ReturnURL (#PCDATA)> <!ELEMENT ReturnUserID (#PCDATA)> <!ELEMENT ReturnUserPWD (#PCDATA)> <!ELEMENT SearchToReflect (#PCDATA)> <!ELEMENT Secured (SecuredName+)> <!ELEMENT SecuredName (Names, Not-Indexed-Reason?)> <!ELEMENT SeqNumber (#PCDATA)> <!ELEMENT State (#PCDATA)> <!ELEMENT SubmitterRef (#PCDATA)> <!ELEMENT Suffix (#PCDATA)> <!ELEMENT TaxID (#PCDATA)> <!ELEMENT TextData (#PCDATA)> <!ELEMENT Test (#PCDATA)> <!ELEMENT TransType (#PCDATA)> <!ELEMENT Trust (#PCDATA)> <!ELEMENT TrustDate (#PCDATA)> <!ELEMENT Unit (#PCDATA)> <!ELEMENT Year (#PCDATA)> <!ELEMENT Years (Year+)> <!ELEMENT XMLVersion EMPTY> <!ATTLIST XMLVersion Version (02162013 | 05052010 | 06232003 | 07242002 | 04252002 | 03172002 | 08172001) "02162013" > <!ATTLIST Test Choice (Yes | No) "No" > <!ATTLIST TransType Type (Initial | Amendment) "Initial" > <!ATTLIST SearchToReflect Type (AllDebtors | Debtor1 | Debtor2) "AllDebtors" > <!ATTLIST AltFilingType AltType (AgLien | NonUCCFiling | TransmittingUtility | ManufacturedHome | PublicFinance | FoodSecurityAct | FederalLien | StateLien | JudgementLien | NOAltType) "NOAltType" > <!ATTLIST AltFilingType1 AltType (AgLien | NonUCCFiling | NOAltType) "NOAltType" >


May 9, 2013 Page 63 of 99

<!ATTLIST AltNameDesignation AltName (Lessee-Lessor | Consignee-Consignor | Bailee-Bailor | Seller-Buyer | Licensee-Licensor | Beneficiary | Trustee | Creditor | NOAltName) "NOAltName" > <!ATTLIST AmendmentAction Action (DebtorAdd | DebtorChange | DebtorDelete | SecuredPartyAdd | SecuredPartyChange | SecuredPartyDelete | CollateralAdd | CollateralChange | CollateralDelete | CollateralRestate | CollateralAssign | NOAction) "NOAction" > <!ATTLIST AmendmentType Type (AmendmentCollateral | AmendmentParties | Assignment | Continuation | Correction | TerminationDebtor | TerminationSecuredParty | OfficerStatement | NOType) "NOType" > <!ATTLIST CollateralDesignation Type (Trust | PersonalRepresentative | NODesignation) "NODesignation" > <!ATTLIST DebtorAltCapacity AltCapacity (Estate | Trust | Trustee | NOAltCapacity) "NOAltCapacity" > <!ATTLIST Designation Type (Timber | AsExtractedCollateral | Fixture | NOType) "NOType" > <!ATTLIST FileStatus Status (Accepted | Rejected | AcceptedWithErrors | NOStatus) "NOStatus" > <!ATTLIST OrganizationalType Type (Corporation | ForeignAssociation | GeneralPartnership | LimitedLiabilityCompany | LimitedLiabilityLimitedPartnership | LimitedLiabilityPartnership | LimitedPartnership | RegisteredLimitedLiabilityLimitedPartnership | SoleProprietorship | UnincorporatedAssociation | UnincorporatedNonprofitAssociation | NOType) "NOType" > <!ATTLIST MIMEType Type (PDF) "PDF" >


May 9, 2013 Page 64 of 99

Sample Filing

The following section includes some example XML filings. Represented are an Initial filing , and

Amendment (Termination) and the acknowledgements for the initial filings. Filings for real-estate

and FSA filings are not in the examples and these elements are not in the XML document since

they are not required and most states do not have these types of filings on the state level.

Initial

The following is an initial filing


<Document>

<Header>

<Filer>

<Names>

<OrganizationName>Some Filing Company</OrganizationName>

<MailAddress>Some Street</MailAddress>

<City>Springfield</City>

<State>IL</State>

<PostalCode>62703</PostalCode>

<County/>

<Country>USA</Country>

</Names>

<ClientAccountNum>2A</ClientAccountNum>

<ContactName>Tommy Filer</ContactName>

<ContactPhone>(217)444-1234</ContactPhone>

<ContactEmail>[email protected]</ContactEmail>

<ContactFax>(217)123-5678</ContactFax>

</Filer>

<PacketNum>001</PacketNum>

<Test>No</Test>

</Header>

<Record>

<SeqNumber>1</SeqNumber>

<TransType>Initial</TransType>

<SubmitterRef>123456-098</SubmitterRef>

<Debtors>

<DebtorName>

<Names>

<OrganizationName>Dizzy Izzys NY Bagels Inc</OrganizationName>

<MailAddress>408 West 14th Street</MailAddress>

<City>New York</City>

<State>NY</State>


<County/>


</Names>


May 9, 2013 Page 65 of 99

<Not-Indexed-Reason/>

</DebtorName>

</Debtors>

<Secured>

<SecuredName>

<Names>

<OrganizationName>Key Bank</OrganizationName>

<MailAddress>445 Broadhollow Road</MailAddress>

<City>Melville</City>

<State>NY</State>


<County/>


</Names>

</SecuredName>

</Secured>

<Collateral>

<ColText>Two dozen bagels and a pint of peanut butter schmear</ColText>

</Collateral>

</Record>

</Document>


May 9, 2013 Page 66 of 99

Termination by Secured Party

The following is a secured party termination


<Document>

<Header>

<Filer>

<Names>




<State>IL</State>


<County/>


</Names>






</Filer>


<Test>No</Test>

</Header>

<Record>


<TransType>Amendment</TransType>

<AmendmentType>TerminationSecuredParty</AmendmentType>

<AmendmentAction>NOAction</AmendmentAction>

<InitialFileNumber>123456789</InitialFileNumber>

<InitialFileDate>19990504</InitialFileDate>


<ActionCode/>

<AltNameDesignation/>

<AltFilingType/>

<AuthorizingParty>

<AuthSecuredParty>

<OrganizationName>First Secured Party</OrganizationName>

</AuthSecuredParty>

</AuthorizingParty>

</Record>

</Document>


May 9, 2013 Page 67 of 99

Acknowledgment

The following are examples of acknowledgements returned by a filing request or status request.

Accepted filing

The following in an excepted initial filing


<Document>

<Header>

<Filer>

<Names>




<State>IL</State>


<County/>


</Names>






</Filer>


<Test>No</Test>

</Header>

<Record>




<Debtors>

<DebtorName>

<Names>




<State>NY</State>


<County/>



</DebtorName>

</Debtors>

<Secured>

<SecuredName>

<Names>





May 9, 2013 Page 68 of 99

<State>NY</State>


<County/>


</Names>

</SecuredName>

</Secured>

<Collateral>


</Collateral>

<Acknowledgement>

<FileNumber>12345678</FileNumber>

<FileDate>050502008</FileDate>

<FileTime>0800</FileTime>

<FeeAmount>20.00</FeeAmount>

<FilingOffice>NY</FilingOffice>

<FileStatus>Accepted</FileStatus>

</Acknowledgement>

</Record>

</Document>


May 9, 2013 Page 69 of 99

Rejection

The following example is a rejected initial filing due to insufficient funds.


<Document>

<Header>

<Filer>

<Names>




<State>IL</State>


<County/>


</Names>






</Filer>


<Test>No</Test>

</Header>

<Record>




<Debtors>

<DebtorName>

<Names>




<State>NY</State>


<County/>


</Names>

<DebtorAltCapacity/>


</DebtorName>

</Debtors>

<Secured>

<SecuredName>

<Names>




<State>NY</State>



May 9, 2013 Page 70 of 99

<County/>


</Names>

</SecuredName>

</Secured>

<Collateral>


</Collateral>

<Acknowledgement>

<FileNumber>12345678</FileNumber>

<FileDate>050502008</FileDate>

<FileTime>0800</FileTime>

<FeeAmount>20.00</FeeAmount>

<FilingOffice>NY</FilingOffice>

<FileStatus>Rejected</FileStatus>

<Errors>

<ErrorText>Failure to provide sufficient filing fees</ErrorText>

</Errors>

</Acknowledgement>

</Record>

</Document>


May 9, 2013 Page 71 of 99

Receipt and Status XML

The following section details the Receipt and Status XML file structure. Both functions share the

same format but return different information. For a receipt the XML document is returned after the

submitted XML filing has been accepted. For a status request the XML document is returned with

the current status of the filing identified by the DocumentReceiptID provided by the requesting URL.

In neither case will this XML format be submitted to the filing office for processing.


value

Length Occurrence

Document Container element NA 1

XMLVersion Contains the version of this XML document See

XMLVersion

attributes

NA 1

Header Container element NA 1

Date Date this is being processed CCYYMMDD 8 1

Record Container element NA 1 or more

PacketNumber The packet Number provided by the filer 32 1

SeqNumber The sequence number provided by the filer 5 1

DocumentReceiptID The filing offices identifier for this filing 25 1

SubmitterRef The reference information provided by the filer 200 1

Status The status of the filing See status

attributes

NA 1

StatusDate The date of the returned status CCYYMMDD 8 1


May 9, 2013 Page 72 of 99

XMLVersion

Element Name XMLVersion

Description Version Number for this DTD

Attribute Values 1.06

1.07 (default)

Status

Element Name AltFilingType


Attribute Values OK

InternalProcessingError

EmptyDocument

InvalidXML

InProcess

IDNotFound

SendingACK

Default NoValue


May 9, 2013 Page 73 of 99

Status Messages

Since the Receipt and Status Return share the same XML structure the following table is a list of

possible error messages, their meaning and where it applies.

Error Message Description Usage

OK Everything worked as expected Document Receipt

InternalProcessingError The filing system had an internal error processing

the filing that is not related to the submitted filing

All

EmptyDocument A filing was submitted that had no XML information All

Invalid XML A filing was submitted that did not contain a valid

XML document

All

InProcess The submitted filing has not finished the filing

process

Status Request

SendingACK The filing system will be resending the

acknowledgment

Status Request

IDNotFound The filing system did not find the information

associated with the provided DocumentReceiptID

Status Request


May 9, 2013 Page 74 of 99

Receipt Document Type Definition

The following the DTD for the receipt and Status XML Document

<?xml version="1.0" encoding="UTF-8"?>  <!ELEMENT Document (XMLVersion, Header, Record+)> <!ELEMENT Record (PacketNum, SeqNumber, DocumentReceiptID, SubmitterRef, Status, StatusDate)> <!ELEMENT Header (Date)> <!ELEMENT PacketNum (#PCDATA)> <!ELEMENT SeqNumber (#PCDATA)> <!ELEMENT Date (#PCDATA)> <!ELEMENT DocumentReceiptID (#PCDATA)> <!ELEMENT SubmitterRef (#PCDATA)> <!ELEMENT Status (#PCDATA)> <!ATTLIST Status value (OK | InternalProcessingError | EmptyDocument | InvalidXML | InProcess | IDNotFound | SendingACK | NoValue) "NoValue" > <!ELEMENT StatusDate (#PCDATA)> <!ELEMENT XMLVersion EMPTY> <!ATTLIST XMLVersion info (1.06 | 1.07) "1.07" >


May 9, 2013 Page 75 of 99

Sample Receipt

The following is a sample receipt document returned by a submission

<?xml version="1.0" encoding="UTF-8"?> <Document> <XMLVersion info="1.07"/> <Header> <Date>20100505</Date> </Header> <Record> <PacketNum>003</PacketNum> <SeqNumber>1</SeqNumber> <DocumentReceiptID>201005050230000000001</DocumentReceiptID> <SubmitterRef>1234567</SubmitterRef> <Status value="OK"/> <StatusDate>20100505</StatusDate> </Record> </Document>


May 9, 2013 Page 76 of 99

XML Searching

The following section outlines one of the possible searching recommendations. The XML search is

intended to automate normal searching and return to the searcher the same information that would

be available from a normal or standard search. the results set has to be the same as defined in the

states standard search logic.

The search process is broken down into two distinct steps. The first is the request for a search on

debtor name and return the Search Result XML. The second part of the search would be use the

file number provided in the Search Result XML to request detail information for a specific file

number. The returned format would be the same as the Acknowledgement XML document

previously described.

In order to retrieve images, an Image retrieval service that will return the PDF Image for a specific

filing must also be available.

The following diagram outlines the search sequence


May 9, 2013 Page 77 of 99

Search Request

The post request for the "Search Request" is a follows:

http://<state baseURL>/<searchRequest>

or

https://<state baseURL>/<searchRequest>


POST Variable Description

uid The user id provided by the state when the account was set up

pwd The password provided by the state

searchString The search string to apply to a debtor search

This will return the search result XML as outlined later in this document


May 9, 2013 Page 78 of 99

Search Detail Request

The post request for the "Search Detail " is a follows

http://<state baseURL>/<searchDetail>

or

https://<state baseURL>/<searchDetail>





fileNumber The search string to apply to a debtor search

The result would be the return of the Acknowledgement XML for that file number.


May 9, 2013 Page 79 of 99

PDF Image Retrieval

A state should provide the ability to allow a filer to electronically request a PDF copy of a filing.

The process is similar to the Acknowledgement request but instead of requesting by document

receipt id the file number is submitted for the request.

The searcher will send the jurisdiction a request for the PDF using the following URL.

http://<state baseURL>/UCCXML/RetrieveImage

or

https://<state baseURL>/UCCXML/RetrieveImage

The following POST variables are required for the request:




FileNumber The value is provided in the results XML




May 9, 2013 Page 80 of 99

Search Result XML Explained

The following section explains the XML structure for the search results XML

Document

This is the base element for the SearchResults Container.


value

Length Occurrence

Document Container element NA 1

SearchName The name as it was presented by the searcher 300 1

SearchDate The date the search was provided YYYYMMDD 8 1

SearchResult The search result record container NA 1 or more


May 9, 2013 Page 81 of 99

SearchResult

This is the main element group for the results. It contains the found name as well as the initial file

number and date. If there were any subsequent fillings then these are presented in the optional

<Amendments> element loop.

This element grouping can be repeated as many times as needed


value

Length Occurrence

SearchResult Container element NA 1

NameResult Container element for the name found NA 1

InitialFileNumber The Initial (UCC1) filing number 1

InitialFileDate The date of the initial filing YYYYMMDD 8 1

Amendments Container for the subsequent filings NA Optional

Max 1


May 9, 2013 Page 82 of 99

NameResult

This element group identifies the name result for the requested search name. It can either be an

Organization name or an individual name.


Value

Length Occurrence

NameResult Container element NA 1



<IndividualName> elements are allowed in a single

<Names> container element

300 Optional

Max 1

IndividualName Container element for the individual name information.

See note under <OrganizationName>

NA Optional

Max 1



MiddleName Individuals middle name or initial 60 Optional

Max 1

Suffix Individuals name suffix 40 Optional

Max 1


May 9, 2013 Page 83 of 99

Amendments

If the filing has subsequent filings then these are described in this element loop. Multiple

subsequent filings are represented by multiple Amendment loops.


Value

Length Occurrence

Amendments Container element NA 1

Amendment Container element for each subsequent filing NA 1 or more

AmendmentType The type of amendment See attribute

list

NA 1

AmendmentAction The action performed for the amendment See attribute

list

NA 1

FileNumber The filing number assigned to the amendment 20 1

FileDate The amendment filing date YYYYMMDD 8 1


May 9, 2013 Page 84 of 99

Attribute Values

The following is a breakdown of all the attribute elements and values for the search results.

AmendmentAction

Element Name AmendmentAction

Description Specifies the action to be taken by this amendment being filed

Attribute Values DebtorAdd

DebtorChange

DebtorDelete

SecuredPartyAdd

SecuredPartyChange

SecuredPartyDelete

CollateralAdd

CollateralChange

CollateralDelete

CollateralRestate

CollateralAssign

Default NOAction

AmendmentType

Element Name AmendmentType

Description Specifies the type of amendment being filed

Attribute Values AmendmentCollateral

AmendmentParties

Assignment

Correction

Continuation

TerminationDebtor

TerminationSecuredParty

OfficerStatement

Default NOType


May 9, 2013 Page 85 of 99

Search Result Document Type Definition

The following is the DTD for the search results.

<?xml version="1.0" encoding="UTF-8"?>     <!ELEMENT AmendmentType EMPTY> <!ELEMENT AmendmentAction EMPTY> <!ELEMENT FirstName (#PCDATA)> <!ELEMENT FileDate (#PCDATA)> <!ELEMENT FileNumber (#PCDATA)> <!ELEMENT InitialFileDate (#PCDATA)> <!ELEMENT InitialFileNumber (#PCDATA)> <!ELEMENT LastName (#PCDATA)> <!ELEMENT MiddleName (#PCDATA)> <!ELEMENT OrganizationName (#PCDATA)> <!ELEMENT SearchDate (#PCDATA)> <!ELEMENT SearchName (#PCDATA)> <!ELEMENT Suffix (#PCDATA)>  <!ELEMENT Amendment (AmendmentType, AmendmentAction, FileNumber, FileDate)> <!ELEMENT Amendments (Amendment+)> <!ELEMENT Document (SearchName, SearchDate, SearchResult+)> <!ELEMENT IndividualName (LastName, FirstName, MiddleName, Suffix)> <!ELEMENT NameResult (OrganizationName | IndividualName)> <!ELEMENT SearchResult (NameResult, InitialFileNumber, InitialFileDate, Amendments*)>  <!ATTLIST AmendmentAction Action (DebtorAdd | DebtorChange | DebtorDelete | SecuredPartyAdd | SecuredPartyChange | SecuredPartyDelete | CollateralAdd | CollateralChange | CollateralDelete | CollateralRestate | CollateralAssign | NOAction) "NOAction" > <!ATTLIST AmendmentType Type (AmendmentCollateral | AmendmentParties | Assignment | Continuation | Correction | TerminationDebtor | TerminationSecuredParty | OfficerStatement | NOType) "NOType" >


May 9, 2013 Page 86 of 99

Sample Search Result XML

The following is an example of a simple search result

<?xml version="1.0" encoding="UTF-8"?> <Document> <SearchName>Some Debtor</SearchName> <SearchDate>20050405</SearchDate> <SearchResult> <NameResult> <OrganizationName>Some Debtor</OrganizationName> </NameResult> <InitialFileNumber>19950001000</InitialFileNumber> <InitialFileDate>19950425</InitialFileDate> <Amendments> <Amendment> <AmendmentType Type="TerminationSecuredParty"/> <AmendmentAction Action="NOAction"/> <FileNumber>199900001</FileNumber> <FileDate>19990505</FileDate> </Amendment> </Amendments> </SearchResult> </Document>


May 9, 2013 Page 87 of 99

Appendix A – State Codes

State Code

Alabama AL

Alaska AK

Arizona AZ

Arkansas AR

California CA

Colorado CO

Connecticut CT

Delaware DE

Dist. of Columbia DC

Florida FL

Georgia GA

Guam GU

Hawaii HI

Idaho ID

Illinois IL

Indiana IN

Iowa IA

Kansas KS

Kentucky KY

Louisiana LA

Maine ME

Maryland MD

Massachusetts MA

Michigan MI

Minnesota MN

Mississippi MS

Missouri MO

Montana MT

Nebraska NE

Nevada NV

New Hampshire NH

New Jersey NJ

New Mexico NM


May 9, 2013 Page 88 of 99

State Code

New York NY

North Carolina NC

North Dakota ND

Ohio OH

Oklahoma OK

Oregon OR

Pennsylvania PA

Puerto Rico PR

Rhode Island RI

South Carolina SC

South Dakota SD

Tennessee TN

Texas TX

Utah UT

Vermont VT

Virginia VA

Virgin Islands VI

Washington WA

West Virginia WV

Wisconsin WI

Wyoming WY


May 9, 2013 Page 89 of 99

Appendix B – Provincial Codes

Province Code

Alberta AB

British Columbia BC

Manitoba MB

New Brunswick NB

Newfoundland and Labrador * NL *

Nova Scotia NS

Northwest Territories NT

Nunavut NU

Ontario ON

Prince Edward Island PE

Quebec QC

Saskatchewan SK

Yukon YT

* Note: Canada Post announced that, effective October 21, 2002, Newfoundland and Labrador

would be recognized by the postal symbol NL


May 9, 2013 Page 90 of 99

Appendix C – Country Codes

The following is a list of all the 3 character country codes

Country Code

AFGHANISTAN AFG

ALBANIA ALB

ALGERIA DZA

AMERICAN SAMOA ASM

ANDORRA AND

ANGOLA AGO

ANGUILLA AIA

ANTARCTICA ATA

ANTIGUA AND BARBUDA ATG

ARGENTINA ARG

ARMENIA ARM

ARUBA ABW

AUSTRALIA AUS

AUSTRIA AUT

AZERBAIJAN AZE

BAHAMAS BHS

BAHRAIN BHR

BANGLADESH BGD

BARBADOS BRB

BELARUS BLR

BELGIUM BEL

BELIZE BLZ

BENIN BEN

BERMUDA BMU

BHUTAN BTN

BOLIVIA BOL

BOSNIA AND HERZEGOWINA BIH

BOTSWANA BWA

BOUVET ISLAND BVT


May 9, 2013 Page 91 of 99

Country Code

BRAZIL BRA

BRITISH INDIAN OCEAN TERRITORY IOT

BRUNEI DARUSSALAM BRN

BULGARIA BGR

BURKINA FASO BFA

BURUNDI BDI

CAMBODIA KHM

CAMEROON CMR

CANADA CAN

CAPE VERDE CPV

CAYMAN ISLANDS CYM

CENTRAL AFRICAN REPUBLIC CAF

CHAD TCD

CHILE CHL

CHINA CHN

CHRISTMAS ISLAND CXR

COCOS (KEELING) ISLANDS CCK

COLOMBIA COL

COMOROS COM

CONGO, Democratic Republic of (was Zaire) COD

CONGO, People's Republic of COG

COOK ISLANDS COK

COSTA RICA CRI

COTE D'IVOIRE CIV

CROATIA (local name: Hrvatska) HRV

CUBA CUB

CYPRUS CYP

CZECH REPUBLIC CZE

DENMARK DNK

DJIBOUTI DJI

DOMINICA DMA

DOMINICAN REPUBLIC DOM

EAST TIMOR TLS


May 9, 2013 Page 92 of 99

Country Code

ECUADOR ECU

EGYPT EGY

EL SALVADOR SLV

EQUATORIAL GUINEA GNQ

ERITREA ERI

ESTONIA EST

ETHIOPIA ETH

FALKLAND ISLANDS (MALVINAS) FLK

FAROE ISLANDS FRO

FIJI FJI

FINLAND FIN

FRANCE FRA

FRANCE, METROPOLITAN FXX

FRENCH GUIANA GUF

FRENCH POLYNESIA PYF

FRENCH SOUTHERN TERRITORIES ATF

GABON GAB

GAMBIA GMB

GEORGIA GEO

GERMANY DEU

GHANA GHA

GIBRALTAR GIB

GREECE GRC

GREENLAND GRL

GRENADA GRD

GUADELOUPE GLP

GUAM GUM

GUATEMALA GTM

GUINEA GIN

GUINEA-BISSAU GNB

GUYANA GUY

HAITI HTI

HEARD AND MC DONALD ISLANDS HMD


May 9, 2013 Page 93 of 99

Country Code

HONDURAS HND

HONG KONG HKG

HUNGARY HUN

ICELAND ISL

INDIA IND

INDONESIA IDN

IRAN (ISLAMIC REPUBLIC OF) IRN

IRAQ IRQ

IRELAND IRL

ISRAEL ISR

ITALY ITA

JAMAICA JAM

JAPAN JPN

JORDAN JOR

KAZAKHSTAN KAZ

KENYA KEN

KIRIBATI KIR

KOREA, DEMOCRATIC PEOPLE'S REPUBLIC OF PRK

KOREA, REPUBLIC OF KOR

KUWAIT KWT

KYRGYZSTAN KGZ

LAO PEOPLE'S DEMOCRATIC REPUBLIC LAO

LATVIA LVA

LEBANON LBN

LESOTHO LSO

LIBERIA LBR

LIBYAN ARAB JAMAHIRIYA LBY

LIECHTENSTEIN LIE

LITHUANIA LTU

LUXEMBOURG LUX

MACAU MAC

MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF MKD

MADAGASCAR MDG


May 9, 2013 Page 94 of 99

Country Code

MALAWI MWI

MALAYSIA MYS

MALDIVES MDV

MALI MLI

MALTA MLT

MARSHALL ISLANDS MHL

MARTINIQUE MTQ

MAURITANIA MRT

MAURITIUS MUS

MAYOTTE MYT

MEXICO MEX

MICRONESIA, FEDERATED STATES OF FSM

MOLDOVA, REPUBLIC OF MDA

MONACO MCO

MONGOLIA MNG

MONTSERRAT MSR

MOROCCO MAR

MOZAMBIQUE MOZ

MYANMAR MMR

NAMIBIA NAM

NAURU NRU

NEPAL NPL

NETHERLANDS NLD

NETHERLANDS ANTILLES ANT

NEW CALEDONIA NCL

NEW ZEALAND NZL

NICARAGUA NIC

NIGER NER

NIGERIA NGA

NIUE NIU

NORFOLK ISLAND NFK

NORTHERN MARIANA ISLANDS MNP

NORWAY NOR


May 9, 2013 Page 95 of 99

Country Code

OMAN OMN

PAKISTAN PAK

PALAU PLW

PALESTINIAN TERRITORY, Occupied PSE

PANAMA PAN

PAPUA NEW GUINEA PNG

PARAGUAY PRY

PERU PER

PHILIPPINES PHL

PITCAIRN PCN

POLAND POL

PORTUGAL PRT

PUERTO RICO PRI

QATAR QAT

REUNION REU

ROMANIA ROU

RUSSIAN FEDERATION RUS

RWANDA RWA

SAINT KITTS AND NEVIS KNA

SAINT LUCIA LCA

SAINT VINCENT AND THE GRENADINES VCT

SAMOA WSM

SAN MARINO SMR

SAO TOME AND PRINCIPE STP

SAUDI ARABIA SAU

SENEGAL SEN

SEYCHELLES SYC

SIERRA LEONE SLE

SINGAPORE SGP

SLOVAKIA (Slovak Republic) SVK

SLOVENIA SVN

SOLOMON ISLANDS SLB

SOMALIA SOM


May 9, 2013 Page 96 of 99

Country Code

SOUTH AFRICA ZAF

SOUTH GEORGIA AND THE SOUTH SANDWICH ISLANDS SGS

SPAIN ESP

SRI LANKA LKA

ST. HELENA SHN

ST. PIERRE AND MIQUELON SPM

SUDAN SDN

SURINAME SUR

SVALBARD AND JAN MAYEN ISLANDS SJM

SWAZILAND SWZ

SWEDEN SWE

SWITZERLAND CHE

SYRIAN ARAB REPUBLIC SYR

TAIWAN TWN

TAJIKISTAN TJK

TANZANIA, UNITED REPUBLIC OF TZA

THAILAND THA

TOGO TGO

TOKELAU TKL

TONGA TON

TRINIDAD AND TOBAGO TTO

TUNISIA TUN

TURKEY TUR

TURKMENISTAN TKM

TURKS AND CAICOS ISLANDS TCA

TUVALU TUV

UGANDA UGA

UKRAINE UKR

UNITED ARAB EMIRATES ARE

UNITED KINGDOM GBR

UNITED STATES USA

UNITED STATES MINOR OUTLYING ISLANDS UMI

URUGUAY URY


May 9, 2013 Page 97 of 99

Country Code

UZBEKISTAN UZB

VANUATU VUT

VATICAN CITY STATE (HOLY SEE) VAT

VENEZUELA VEN

VIET NAM VNM

VIRGIN ISLANDS (BRITISH) VGB

VIRGIN ISLANDS (U.S.) VIR

WALLIS AND FUTUNA ISLANDS WLF

WESTERN SAHARA ESH

YEMEN YEM

YUGOSLAVIA YUG

ZAMBIA ZMB

ZIMBABWE ZWE


May 9, 2013 Page 98 of 99

Appendix D - Error or Rejection Codes

The following table lists the recommended error codes

Text

The record has not been communicated by a method or medium authorized by this filing

office.

Failure to provide sufficient filing fees.

Failure to provide name of Debtor.

Failure to indicate whether the Debtor is an individual or an organization.

Failure to provide last name of Debtor, if identified as in individual.

Failure to provide organizational information for Debtor, if identified as an organization.

A type of organization for the Debtor,

A jurisdiction of organization for the Debtor, or

Organization identification number for the Debtor or an indication that the Debtor has

none.

Failure to provide a mailing address for the Debtor.

Failure to provide a name for the Secured Party.

Failure to provide a mailing address for the Secured Party.

Failure to identify a file number of an initial financing statement to which it relates.

Failure to provide an active file number to which it relates.

Failure to file within the prior to lapse six-month window.

Failure to provide a name for the Assignee.

Failure to provide a mailing address for the Assignee.

Other


May 9, 2013 Page 99 of 99

Appendix E - HTML (XML) Encoding

There are a number special characters that are reserved and cannot be used directly in XML

element or attribute data, they must be replaced with what are called XML Entity references or XML

Encoded. These special characters act as flags to the parser; they delimit the document’s actual

content, and tell the parser to take specific actions. These special characters, therefore, must be

represented in their encoded format as follows if they are included in the XML Document so that the

parser does not misinterpret them:

Reserved Character Entity Reference Character Name

& & Ampersand

‘ ' Apostrophe

“ " Quote

< < Less Than

> > Greater Than

Most development languages have a function called HTML-Encoding that typically accomplishes

the encoding process. It is advisable that the complete XML document is HTML Encoded prior to

placing them into the POST variable and submitting.

If this is not done unexpected result could have and the document may not be accepted or received

and therefore not properly filed. Typically you will get an “Invalid XML” message when this occurs.

Documents

XML Technical Specifications · Document Type Definition A Document Type Definition (DTD) is where a set of custom tags, and attributes are defined. These are the rules that define