Version 3.10 XML Technical Specifications
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XML Technical Specifications
For
Uniform Commercial Code
Revised Article 9
Version 3.10
Thursday, May 09, 2013
Thomas M. Ose
Ose Micro Solutions, Inc.
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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
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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
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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:
<?xml version="1.0" encoding="UTF-8"?>
<!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:complexType mixed="true"/>
</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:complexType mixed="true"/>
</xs:element>
<xs:element name="last_name">
<xs:complexType mixed="true"/>
</xs:element>
<xs:element name="first_name">
<xs:complexType mixed="true"/>
</xs:element>
<xs:element name="fax">
<xs:complexType mixed="true"/>
</xs:element>
<xs:element name="e_mail">
<xs:complexType mixed="true"/>
</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:
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
DocumentReceiptID String The value is provided in the receipt sent after the filing was submitted
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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:
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
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>
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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.
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
DocumentReceiptID String The document to request status on.
<?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>
<GetStatus xmlns="http://SomeURL/">
<userID>string</userID>
<password>string</password>
<DocumentReceiptID>string</DocumentReceiptID>
</GetStatus>
</soap12:Body>
</soap12:Envelope>
The following diagram shows the processing sequence of the status request.
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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.
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
FileNumber String The filing number to retrieve the image on
<?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>
<GetImage xmlns="http://SomeURL/">
<userID>string</userID>
<password>string</password>
<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.
Element Description Attribute
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
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Element Description Attribute
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.
Element Description Attribute
value
Length Occurrence
Names Element container for name information NA 1
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Element Description Attribute
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
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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>
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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.
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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.
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Element Description Attribute
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
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Element Description Attribute
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.
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FileInRealEstate
This element set is used to define the real estate description and owner for real estate related
filings.
Element Description Attribute
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
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CurrentName
On amendments that alter a name this container element specifies the current or previous name
information.
Element Description Attribute
value
Length Occurrence
CurrentName Container Element NA 1
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 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>
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Debtors
This container element contains all the debtors associated with this filing. The <DebtorName>
container element is used to address multiple debtor names.
Element Description Attribute
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
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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>
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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.
Element Description Attribute
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>
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Assignor
This container element contains all the assignors associated with this filing. The <Names>
container element is used to address multiple assignor names.
Element Description Attribute
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>
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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.
Element Description Attribute
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.
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Sample XML Block
<Collateral> <ColText>Some text collateral</ColText> <Attachment> <MIMEType Type="PDF"/> <TextData>Base64 encoded PDF document</TextData> </Attachment> </Collateral>
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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.
Element Description Attribute
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
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AuthorizingParty
This container element contains all the information regarding the party that is authorized to perfect
this filing.
Element Description Attribute
value
Length Occurrence
AuthorizingParty Container element NA Optional
Max 1
AuthSecuredParty Container element NA Optional
Max 1
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 100 1
FirstName Individuals first name 100 1
MiddleName Individuals middle name or initial 60 1
Suffix Individuals name suffix 40 1
AuthDebtor Container element NA Optional
Max 1
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Element Description Attribute
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 100 1
FirstName Individuals first name 100 1
MiddleName Individuals middle name or initial 60 1
Suffix Individuals name suffix 40 1
Note: only one <AuthDebtor> or <AuthSecuredParty> element is allowed.
Sample XML block
<AuthorizingParty> <AuthSecuredParty> <OrganizationName>Some Secured Party</OrganizationName> </AuthSecuredParty> </AuthorizingParty>
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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.
Element Description Attribute
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
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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>
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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
Description Specifies other non UCC filings that use this DTD
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
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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
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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
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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
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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
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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
Termination Debtor SP Collateral
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
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Sub-Loop
or
Element
Original
Amendment
Assignment
Continuation
Termination Debtor SP Collateral
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
Termination Debtor SP Collateral
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
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Sub-Loop
or
Element
Original
Amendment
Assignment
Continuation
Termination Debtor SP Collateral
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
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Sub-Loop
or
Element
Original
Amendment
Assignment
Continuation
Termination Debtor SP Collateral
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.
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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
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Filing Document Type Definition
<?xml version="1.0" encoding="UTF-8"?> <!-- edited by Thomas M Ose (Ose Micro Solutions, Inc.) --> <!--This DTD is for the IACA suggested Electronic Filing of UCC documents using XML--> <!--Version: 02162013 Released: 02-16-2013 Author: Thomas M. Ose--> <!--02/16/2013 tmo Made changes required for new forms as of 7/1/2013--> <!-- 05/05/2010 tmo Added attachment information --> <!-- 06/23/2003 tmo Added additional fee element and also defined the attachment element with a MIME type--> <!-- 07/24/2002 tmo Added LapseDate as an optional element, also removed Trust and TrustDate from the --> <!-- SecuredName and Assignor elements since they really do not apply to these name references--> <!-- 04/25/2002 tmo Added ReturnURL, ReturnUserID and Return UserPWD to the Filer Element--> <!-- 03/17/2002 tmo Removed Statement element form this DTD since it applies to Searching Only--> <!-- 08/17/2001 tmo Initial release of this DTD level. This supersedes all previous versions--> <!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)>
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<!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" >
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<!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" >
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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
<?xml version="1.0" encoding="UTF-8"?>
<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>
<PostalCode>10014</PostalCode>
<County/>
<Country>USA</Country>
</Names>
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<Not-Indexed-Reason/>
</DebtorName>
</Debtors>
<Secured>
<SecuredName>
<Names>
<OrganizationName>Key Bank</OrganizationName>
<MailAddress>445 Broadhollow Road</MailAddress>
<City>Melville</City>
<State>NY</State>
<PostalCode>11747</PostalCode>
<County/>
<Country>USA</Country>
</Names>
</SecuredName>
</Secured>
<Collateral>
<ColText>Two dozen bagels and a pint of peanut butter schmear</ColText>
</Collateral>
</Record>
</Document>
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Termination by Secured Party
The following is a secured party termination
<?xml version="1.0" encoding="UTF-8"?>
<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>Amendment</TransType>
<AmendmentType>TerminationSecuredParty</AmendmentType>
<AmendmentAction>NOAction</AmendmentAction>
<InitialFileNumber>123456789</InitialFileNumber>
<InitialFileDate>19990504</InitialFileDate>
<SubmitterRef>123456-098</SubmitterRef>
<ActionCode/>
<AltNameDesignation/>
<AltFilingType/>
<AuthorizingParty>
<AuthSecuredParty>
<OrganizationName>First Secured Party</OrganizationName>
</AuthSecuredParty>
</AuthorizingParty>
</Record>
</Document>
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Acknowledgment
The following are examples of acknowledgements returned by a filing request or status request.
Accepted filing
The following in an excepted initial filing
<?xml version="1.0" encoding="UTF-8"?>
<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>
<PostalCode>10014</PostalCode>
<County/>
<Country>USA</Country>
<Not-Indexed-Reason/>
</DebtorName>
</Debtors>
<Secured>
<SecuredName>
<Names>
<OrganizationName>Key Bank</OrganizationName>
<MailAddress>445 Broadhollow Road</MailAddress>
<City>Melville</City>
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<State>NY</State>
<PostalCode>11747</PostalCode>
<County/>
<Country>USA</Country>
</Names>
</SecuredName>
</Secured>
<Collateral>
<ColText>Two dozen bagels and a pint of peanut butter schmear</ColText>
</Collateral>
<Acknowledgement>
<FileNumber>12345678</FileNumber>
<FileDate>050502008</FileDate>
<FileTime>0800</FileTime>
<FeeAmount>20.00</FeeAmount>
<FilingOffice>NY</FilingOffice>
<FileStatus>Accepted</FileStatus>
</Acknowledgement>
</Record>
</Document>
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Rejection
The following example is a rejected initial filing due to insufficient funds.
<?xml version="1.0" encoding="UTF-8"?>
<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>
<PostalCode>10014</PostalCode>
<County/>
<Country>USA</Country>
</Names>
<DebtorAltCapacity/>
<Not-Indexed-Reason/>
</DebtorName>
</Debtors>
<Secured>
<SecuredName>
<Names>
<OrganizationName>Key Bank</OrganizationName>
<MailAddress>445 Broadhollow Road</MailAddress>
<City>Melville</City>
<State>NY</State>
<PostalCode>11747</PostalCode>
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<County/>
<Country>USA</Country>
</Names>
</SecuredName>
</Secured>
<Collateral>
<ColText>Two dozen bagels and a pint of peanut butter schmear</ColText>
</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>
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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.
Element Description Attribute
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
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XMLVersion
Element Name XMLVersion
Description Version Number for this DTD
Attribute Values 1.06
1.07 (default)
Status
Element Name AltFilingType
Description Specifies other non UCC filings that use this DTD
Attribute Values OK
InternalProcessingError
EmptyDocument
InvalidXML
InProcess
IDNotFound
SendingACK
Default NoValue
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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
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Receipt Document Type Definition
The following the DTD for the receipt and Status XML Document
<?xml version="1.0" encoding="UTF-8"?> <!-- =================================================================== UCC_Receipt. DTD =================================================================== Receipt Packet returned from Jurisdiction on a successful XML transmission This format is also used as a response to the Status request =================================================================== Last modified on 02/14/2010 by Thomas M. Ose =================================================================== History 1.06 tmo Initially started tracking file versions 1.07 tmo Changed Status element to allow for passing of error details in the element =================================================================== --> <!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" >
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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>
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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
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Search Request
The post request for the "Search Request" is a follows:
http://<state baseURL>/<searchRequest>
or
https://<state baseURL>/<searchRequest>
As part of the POST message in the HTTP packet the following POST variables are required:
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
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Search Detail Request
The post request for the "Search Detail " is a follows
http://<state baseURL>/<searchDetail>
or
https://<state baseURL>/<searchDetail>
As part of the POST message in the HTTP packet the following POST variables are required:
POST Variable Description
uid The user id provided by the state when the account was set up
pwd The password provided by the state
fileNumber The search string to apply to a debtor search
The result would be the return of the Acknowledgement XML for that file number.
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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:
POST Variable Description
uid The user id provided by the state when the account was set up
pwd The password provided by the state
FileNumber The value is provided in the results XML
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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.
Element Description Attribute
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
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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
Element Description Attribute
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
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NameResult
This element group identifies the name result for the requested search name. It can either be an
Organization name or an individual name.
Element Description Attribute
Value
Length Occurrence
NameResult Container element NA 1
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 100 1
FirstName Individuals first name 100 1
MiddleName Individuals middle name or initial 60 Optional
Max 1
Suffix Individuals name suffix 40 Optional
Max 1
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Amendments
If the filing has subsequent filings then these are described in this element loop. Multiple
subsequent filings are represented by multiple Amendment loops.
Element Description Attribute
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
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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
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Search Result Document Type Definition
The following is the DTD for the search results.
<?xml version="1.0" encoding="UTF-8"?> <!--This DTD is for the IACA suggested Electronic Searching of UCC documents using XML--> <!--Version: 05052010 Released: 05-05-2010 Author: Thomas M. Ose--> <!-- 05/05/2010 tmo Initial Release --> <!-- Individual Elements --> <!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 groups --> <!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*)> <!-- Attribute definitions --> <!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" >
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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>
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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.