111:1-3-02 Means to deliver UCC records; time of filing.

 

 

 

111:1-3-02                   Means to deliver UCC records; time of filing.

 

 

 

UCC records may be tendered for filing at the filing office as follows.

 

(A)Personal delivery by Remitter, at the filing office's street address. The file time for a UCC record delivered by this method is 9:00am on the business day on which it was delivered (even though the UCC record may not yet have been accepted for filing and subsequently may be rejected).

 

(B)Courier delivery by a person other than a Remitter, at the filing office's street address. The file time for a UCC record delivered by this method is, notwithstanding the time of delivery, 9:00am on the business day on which it was delivered (even though the UCC record may not yet have been accepted for filing and may be subsequently rejected). A UCC record delivered after regular business hours or on a day the filing office is not open for business, if not examined for processing sooner, will have a filing time of the 9:00am on the next day the filing office is open for business.

 

(C)Postal service delivery, to the filing office's mailing address. The file time for a UCC record delivered by this method is 9:00am on the business day on which it was delivered (even though the UCC record may not yet have been accepted for filing and may be subsequently rejected). A UCC record delivered after regular business hours or on a day the filing office is not open for business will have a filing time of 9:00am on the next day the filing office is open for business.

 

(D)Electronic mail and telefacsimile delivery, to the filing office's e-mail address or the filing office's fax filing telephone number. The file time for a UCC record delivered by this method is, notwithstanding the time of delivery, is 9:00am on the business day on which it is received by the filing office (even though the UCC record may not yet have been accepted for filing and may be subsequently rejected). A UCC record delivered after regular business hours or on a day the filing office is not open for business will have a filing time of 9:00am on the next day the filing office is open for business.

 

(E)Electronic filing.

 

UCC records, excluding information statements and filing officer statements, may be transmitted electronically using the XML Format approved by the International Association of Commercial Administrators. At the request of an authorized XML Remitter, the filing office shall identify which versions and releases of the XML Format are acceptable to the filing office. The filing office publishes an implementation guide that prescribes the use of the XML Format. The implementation guide shall be available to the public upon request. The file time for a UCC record delivered by this method is the time that the filing office's UCC information management system analyzes the relevant transmission and determines that all the required elements of the transmission have been received in a required format and are machine-readable.

 

 

 

(F) Direct on-line and web page data entry. UCC records may be delivered by on-line data entry using the filing office's website on the internet. The file time for a UCC record delivered by this method is the time the entry of all required elements of the UCC record in the proper format is acknowledged by the on-line entry system.

(G) Means of communication. Regardless of the method of delivery, information submitted to the UCC filing office must be communicated only in the form of characters that appear on the American standard keyboard or such information will be modified, upon entry into the UCC information management system, as provided in rule 111:1-3-33. A financing statement or amendment form that does not designate separate fields for organization and individual names, and separate fields for the surname, first personal name, additional name(s)/initial(s) and suffixes for individual names is not an acceptable means of communication to the filing office.

(H) Transmitting utility, manufactured-home and public-finance transactions. The only means to indicate to the filing office that an initial financing statement is being filed in connection with a manufactured-home or public-finance transaction, or that a financing statement is being or has been filed against a debtor that is a transmitting utility is to check the appropriate box on, or to transmit the indication in the proper field in, the related initial financing statement.

Replaces:                                                              111-11-02

Effective:                                                             01/25/2016

Five Year Review (FYR) Dates:                         01/15/2021

CERTIFIED ELECTRONICALLY
Certification
01/12/2016
Date
Promulgated Under:	119.03
Statutory Authority:	1309.526
Rule Amplifies: Prior Effective Dates:	1309.501 7/3/01 (Emer.), 9/20/01