UCC XML API

Implementation Guide
 Table of Contents

1 Introduction .................................................................................................................. 3
2 Who Should Use This Guide? ......................................................................................... 3
3 What is XML? ................................................................................................................ 3
4 File Guidelines ............................................................................................................... 3
4.1 File Size ............................................................................................................................... 3
4.2 Reserved Characters .......................................................................................................... 3
4.3 HTTP Post Limitation .......................................................................................................... 4
4.4 Texts and Characters .......................................................................................................... 4
5 Setting Up Your Interface Integration ............................................................................ 4
5.1 Onboarding......................................................................................................................... 4
5.2 Testing an XML Transaction ............................................................................................... 4
5.3 Testing ................................................................................................................................ 5
5.4 Setting up XML in Production............................................................................................. 5
5.5 Prerequisites....................................................................................................................... 5
6 Using UCC XML API ........................................................................................................ 6
6.1 XML API Overview .............................................................................................................. 6
6.2 Submitting a Document ..................................................................................................... 6
6.3 Checking Status of a Document ......................................................................................... 8
6.4 Retrieving the PDF Document ............................................................................................ 9
6.5 Retrieving the XML Document ......................................................................................... 11
7 Filing Number Generation Logic ................................................................................... 12
8 Appendix A – XML Sample of a UCC1 ........................................................................... 13
9 Appendix B – XML Sample of UCC3’s ............................................................................ 14
10 Appendix C – XML Document DTD (Document Type Definition) ................................... 15
10.1 Document Specifications.................................................................................................. 16
10.2 Header Specifications ....................................................................................................... 17
10.3 Record Specifications ....................................................................................................... 19
11 Appendix D – XML Rejection Error Messages ............................................................... 35
12 Appendix E - State Codes ............................................................................................. 36
13 Appendix F - Country Codes ......................................................................................... 38
14 Appendix G – IACA 3.1 to 4.0 Updates Summary .......................................................... 44
14.1 Header & Record .............................................................................................................. 44
[Link] Page 1 of 50
 14.2 Header .............................................................................................................................. 44
14.3 Record .............................................................................................................................. 44
15 Appendix H – File Number Formats ............................................................................. 47
16 Appendix I – Summary of Updates 06/04/2020 ............................................................ 48
17 Appendix J – Valid Error Messages ............................................................................... 50
18 Appendix K – Base Url ................................................................................................. 50

[Link] Page 2 of 50
1 Introduction
This document is intended to clarify the function, structure and usage of the Uniform
Commercial Code (UCC) eXtensible Markup Language (XML) Interface, by using Representational
State Transfer (REST) Web Services.

This guide provides instruction on how to initiate an XML transaction, the options available, as
well as essential information required to initiate XML transactions. Finally, this document
provides the technical information necessary for a customer to implement XML transactions
within his or her own technical environment.

2 Who Should Use This Guide?

This document is intended to serve as an implementation guide for business and technical
people who intend to file UCC documents electronically/remotely.
The document can be used by technical implementers that need to know how to implement and
integrate DOS UCC XML interface in their environment.

3 What is XML?
XML is an eXtensible Markup Language derived from the Standard Generalized Markup Language
(SGML). Among its many purposes, XML is designed to make it easy to share and transmit
documents across the Web. XML and SGML are text-based formats that are easy to read and edit
using standard text-editing tools. XML is commonly referred to as an extensible, platform-
independent, and fully Unicode compliant language. It is called extensible because it is not a fixed
format like HyperText Markup Language (HTML). XML is not tied to any programming language,
operating system, or software vendor. It is actually a ‘metalanguage’ (a language for describing
other languages) that lets you design your own customized markup languages for different types
of documents.

4 File Guidelines
4.1 File Size

The payload size cannot exceed 10 MB.

4.2 Reserved Characters

There are five special characters that are reserved and cannot be used directly in XML element
or attribute data. They must be replaced with what is called as XML Entity References. These
special characters act as flags to the parser; they delimit the actual content of the document
and tell the parser to take specific actions. In order to prevent misinterpretation by the parser,
if these special characters are used, they must be represented using the Entity References
shown in the following table.

[Link] Page 3 of 50
 Reserved Character Entity Reference Character Name
& & Ampersand
‘ ' Apostrophe
“ " Quote
< &lt; Less Than
> &gt; Greater Than

For example, the debtor name of Crate & Barrel would be represented as:
<OrganizationName>Crate &amp; Barrel</OrganizationName>
Customers should account for the conversion of reserved characters into equivalent Entity
References when determining OrganizationName length. If the OrganizationName of a
submitted XML has one or more reserved characters, then the length of the
OrganizationName in the returned XML may exceed the 300-character limit after conversion
of reserved characters.

4.3 HTTP Post Limitation

 There is a maximum of 10 MB.

4.4 Texts and Characters

 The xmlData needs to be HTML encoded to encode characters that may interfere with the
HTTP (see Section 4.2).
 The text must conform to the 8-bit Unicode Transformation Format (UTF8) text format and
special characters must either be converted or removed.


5 Setting Up Your Interface Integration

5.1 Onboarding

Customers need to have a web account and know the username and password for the use with
this interface. They will need to contact the DOS to have that web account marked as an XML
Filer. Customers will then need to set up a prepaid account linked to that web account and then
add funds. The Uniform Resource Locator (URL) for the API will also be provided at that time.

5.2 Testing an XML Transaction

It is recommended that customers test their automated exchange applications prior to

submitting documents in production using XML. A testing environment will be provided to
allow customers to test their transactions to help ensure compliance with applicable
standards established by the DOS and to facilitate a successful file transfer process.

[Link] Page 4 of 50
 5.3 Testing

Once API Access is confirmed, testing can begin.

1) What to Test
a. The table below outlines the scenarios in the XML API implementation guide and
those tested during System Integration Test (SIT). Customers are encouraged to
create with their own scenarios that align with typical day-to-day activities.
# Scenario
1 Verify XML API access
2 Verify submitting a document
3 Verify the status of a document
4 Retrieve a pdf document
5 Retrieve an XML document

2) Reach out to UCC Support Center, for any questions.

5.4 Setting up XML in Production

To use XML in production, the following is required:

 A Web User Profile in Production enabled for XML
 A pre-funded customer account

Payment for XML filings must be made via a pre-funded customer account. Please contact the
UCC Support Center for more information.

5.5 Prerequisites

The steps below must be completed as a prerequisite to participating in the UCC XML API UAT.
1) Read The Department of State’s UCC XML API Implementation Guide.
a. This guide provides instruction on how to initiate an XML transaction, the options
available, as well as essential information required to initiate XML transactions.
Finally, this document provides the technical information necessary for a customer
to implement XML transactions within his or her own technical environment.
2) Subscribe/self-register to the system.
a. Record your Web User Profile “User-Name” and “Password” for API XML
submissions.

[Link] Page 5 of 50
6 Using UCC XML API
6.1 XML API Overview

Display
Document (PDF
generate form)
using Document
Receipt Id
Display Filing
Approved (Y) or Check Document Success (Y) or Number and
Submit Document Rejected (N)?
Y (Doc Receipt Id)
Status Reject (N)
Y
Acknowledge
Information
Display Receipt
(Acknowledge
N (Display error message) PDF) usi ng
N (Rejection Response) Document
Receipt Id

6.2 Submitting a Document

A document must first be submitted to the Department of State’s UCC system via a secured
HTTP POST to [Link] See Appendix K for <baseURL> Upon successful
submission, a DocumentReceiptID will be returned in the response XML with a Status of
“Received”. All API calls will return an HTTP Status code listed below. The details of the
submission are part of the XML response.

Note: Your web site is made up a series of web pages. Each web page has a full Uniform Resource
Locator (URL) something like [Link] Your web page URLs will usually
start with the same set of letters, eg [Link] in this case. This common prefix is
what we call your Base URL.

The following variables are required for submission:

Required Variables Type Description

User-Name String Web User Account Username.

Password String The password used to log into your account on the
website.
xmlData String The XML of the UCC filing being submitted. See
Appendix A – XML Sample of UCC 1 for XMLData
sample filings.

The following HTTP Status Codes will be returned for this API call:

HTTP Status Code Explanation

[Link] Page 6 of 50
 200 (Ok) The xmlData was valid and is in the queue for processing.
401 (Unauthorized) Invalid User-Name or Password provided, or keys not found
in request headers.
400 (BadRequest) No xmlData submitted or submission failed.
500 (InternalServerError) Unknown server error has occurred.

C# Code Sample:
private static string SubmitFiling(string username, string password, string _xmlData)
{
var client = new HttpClient { BaseAddress = new Uri(_url) };
[Link]("User-Name", username);
[Link]("Password", password);

var obj = new StringContent(_xmlData, Encoding.UTF8, "application/xml");

[Link].Expect100Continue = false;

var response = [Link](_subUrl + "FilingAsync", obj).Result;

byte[] data = [Link]().Result;
string value = [Link](data);

_httpStatusCode = [Link];
return value;
}

Response - Ok (200):
<?xml version="1.0" encoding="UTF-8"?>
<Document>
<XMLVersion info="1.07"/>
<Header>
<Date>12/20/2013 11:26:49 AM</Date>
<PacketNum>5</PacketNum>
</Header>
<Record>
<SeqNumber>1</SeqNumber>
<DocumentReceiptID>cbb2e789-9658-467f-b53d-1bfcbcbf22ba</DocumentReceiptID>
<OptionalFilerReference>[Link]</ OptionalFilerReference >
<Status value="Received">Submission has been received and is in queue for processing at the
DOS Office </Status>
<StatusDate>12/20/2013 11:32:22 AM</StatusDate>
</Record>
</Document>

Notes:
 If a submission is refused for any reason, a valid error message will be returned. (see Appendix
J -Valid Error Messages)
 A DocumentReceiptID does not mean that the filing has been completed; only that it has
been received. It is placed into the Processing Queue and will be processed accordingly and
could still be rejected for some reason. The Status method needs to be called in order to find
out when the document has been processed and if it is ready for retrieval.
[Link] Page 7 of 50
 6.3 Checking Status of a Document

Calling [Link] will provide feedback to the submitter on the

document and whether it was processed and filed or rejected. If filed correctly, the Status will
return filing information such as date/time and the UCC1 / UCC3 number.

The following variables are required for submission:

Required Variable Type Description

User-Name String Web User Account Username.

Password String The password used to log into your account on the
website.
id String The id (DocumentReceiptID) that was returned
when the document was first submitted.

The following HTTP Status Codes will be returned for this API call:

HTTP Status Code Explanation

200 (OK) The filing has been processed and filed.

401 (Unauthorized) Invalid User-Name or Password provided or keys not found
in request headers.
500 (InternalServerError) Unknown server error has occurred.

C# Code Sample:

private static string GetStatus(string username, string password, string id)

{
var client = new HttpClient {BaseAddress = new Uri(_url)};
[Link]("User-Name", username);
[Link]("Password", password);

var response = [Link](_subUrl + "Status/?id=" + id).Result;

_httpStatusCode = [Link];

byte[] data = [Link]().Result;

string status = [Link](data);
return status;
}

Response - OK (200):
<?xml version="1.0" encoding="UTF-8"?>
<Document>
<XMLVersion info="1.07"/>

[Link] Page 8 of 50
 <Header>
<Date>12/20/2013 11:26:49 AM</Date>
<PacketNum>5</PacketNum>
</Header>
<Record>
<SeqNumber>1</SeqNumber>
<DocumentReceiptID>cbb2e789-9658-467f-b53d-1bfcbcbf22ba</DocumentReceiptID>
<OptionalFilerReference>[Link]</OptionalFilerReference>
<Status value="OK">Filing completed</Status>
<StatusDate>12/20/2013 11:32:22 AM</StatusDate>
<Acknowledgement>
<FileNumber>20160191550278</FileNumber>
<FileDate>01/01/2016</FileDate>
<FileTime>11:26:49</FileTime>
<FeeAmount>20.0000</FeeAmount>
<LapseDate>01/01/2021</LapseDate>
<FilingOffice>CA</FilingOffice>
<FileStatus Status=”Accepted”/>
</Acknowledgement>
</Record>
</Document>


6.4 Retrieving the PDF Document

Calling [Link] will provide the submitter

with a pdf of the document. The document will be available for a to-be determined number of
days for download.

Note: Following submission, the submitter will need to wait for a minimum of 30 minutes prior to
retrieving their document. The processing time of XML submissions is dependent upon the XML
queue’s load.

The following variables are required for submission:

Required Variable Type Description

User-Name String Web User Account Username.

Password String The password used to log into your account on the
website.
PacketNum String The Customer Provided unique PacketNum from
the XML when the document was first submitted.

The following HTTP Status Codes will be returned for this API call:

[Link] Page 9 of 50
 HTTP Status Code Explanation

200 (OK) Byte[] of document will be returned

401 (Unauthorized) Invalid User-Name or Password provided or keys not found
in request headers.
400 (BadRequest) No xmlData submitted or submission failed.
500 (InternalServerError) Unknown server error has occurred.

C# Code Sample:
private static object GetFiling(string username, string password, string packetNum, ref string contentType)
{
var client = new HttpClient { BaseAddress = new Uri(_url) };
[Link]("User-Name", username);
[Link]("Password", password);

var response = [Link](_subUrl + "Filing/" + packetNum + ”/AcknowledgmentPdf”).Result;

_httpStatusCode = [Link];

contentType = [Link];
if (contentType == "text/xml")
{
byte[] data = [Link]().Result;
string xml = [Link](data);
return xml;
}
else
{
byte[] data = [Link]().Result;
return data;
}
}

Response - OK (200):
The pdf document in byte array format.
<?xml version="1.0" encoding="UTF-8"?>
<Document>
<XMLVersion info="1.07"/>
<Header>
<Date>12/20/2013 11:26:49 AM</Date>
<PacketNum>5</PacketNum>
</Header>
<Record>
<SeqNumber>1</SeqNumber>
<DocumentReceiptID>cbb2e789-9658-467f-b53d-1bfcbcbf22ba</DocumentReceiptID>
<OptionalFilerReference>[Link]</OptionalFilerReference>
<Status value="Received">Submission has been received and is in queue for processing at the
DOS Office </Status>
<StatusDate>12/20/2013 11:32:22 AM</StatusDate>
</Record>
</Document>

[Link] Page 10 of 50
 Notes:
 If [Link] is called and the document is
not available, the submitter will receive a 400 (BadRequest) error.

6.5 Retrieving the XML Document

Calling https:/<baseURL>/Filing/<PackNum> will provide the submitter with the submitted XML
along with a completed Acknowledgement Element.

The following variables are required for submission:

Required Variable Type Description

User-Name String Web User Account Username.

Password String The password used to log into your account on the
website.
PacketNum String The Customer Provided unique PacketNum from
the XML when the document was first submitted.

The following HTTP Status Codes will be returned for this API call:

HTTP Status Code Explanation

200 (OK) Byte[] of document will be returned

401 (Unauthorized) Invalid User-Name or Password provided or keys not found
in request headers.
500 (InternalServerError) Unknown server error has occurred.

C# Code Sample:

private static object GetFilingXml(string username, string password, string packetNum, ref string
contentType)
{
var client = new HttpClient { BaseAddress = new Uri(_url) };
[Link]("User-Name", username);
[Link]("Password", password);

var response = [Link](_subUrl + "Filing/" + packetNum).Result;

_httpStatusCode = [Link];

contentType = [Link];

[Link] Page 11 of 50
 if (contentType == "application/json")
{
byte[] data = [Link]().Result;
string json = [Link](data);
return json;
}
else
{
byte[] data = [Link]().Result;
return data;
}
}
Response – OK (200):
The pdf document in byte array format.

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

<Document>
<XMLVersion info="1.07"/>
<Header>
<Date>12/20/2013 11:26:49 AM</Date>
<PacketNum>5</PacketNum>
</Header>
<Record>
<SeqNumber>1</SeqNumber>
<DocumentReceiptID>cbb2e789-9658-467f-b53d-1bfcbcbf22ba</DocumentReceiptID>
<OptionalFilerReference>[Link]</OptionalFilerReference>
<Status value="Received">Submission has been received and is in queue for processing at the
DOS Office </Status>
<StatusDate>12/20/2013 11:32:22 AM</StatusDate>
</Record>
</Document>

7 Filing Number Generation Logic

Filing number generation will follow the same format used in the past. Please refer to Appendix
H for File Number Formats based on date ranges.

[Link] Page 12 of 50
8 Appendix A – XML Sample of a UCC1
<Document>
<XMLVersion Version="08172001" />
<Header>
<Filer>
<Names>
<OrganizationName>ABC COMPANY</OrganizationName>
<MailAddress>P.O. BOX 100</MailAddress>
<City>HYDE PARK</City>
<State>UT</State>
<PostalCode>84418</PostalCode>
<Country>USA</Country>
</Names>
<ContactName>JOHN DOE CONTACT</ContactName>
<ContactPhone>800-111-0000</ContactPhone>
<ContactEmail>ABC@[Link]</ContactEmail>
</Filer>
<PacketNum>abc packet 123</PacketNum>
</Header>
<Record>
<SeqNumber>1</SeqNumber>
<TransType Type="Initial" />
<AmendmentType Type="NOType" />
<AmendmentAction Action="NOAction" />
<OptionalFilerReference>[Link]</OptionalFilerReference>
<OptionalIndicators>
<OptionalIndicator Type=”NoOptionalIndicator” />
</OptionalIndicators>
<Debtors>
<DebtorName>
<Names>
<OrganizationName>DEBTOR ORG 1</OrganizationName>
<MailAddress>3800 N 50 W</MailAddress>
<City>HYDE PARK</City>
<State>UT</State>
<PostalCode>84418</PostalCode>
<Country>USA</Country>
</Names>
</DebtorName>
</Debtors>
<SecuredParties>
<SecuredName>
<Names>
<OrganizationName>BIG BANK</OrganizationName>
<MailAddress>200 RICHARDS BLVD</MailAddress>
<City>SACRAMENTO</City>
<State>CA</State>
<PostalCode>95814</PostalCode>
<Country>USA</Country>
</Names>
</SecuredName>
</SecuredParties>
<Collateral>
<ColText>Certain pieces of property. .. </ColText>
</Collateral>
<CollateralDesignation Type="NODesignation" />
</Record>
</Document>

[Link] Page 13 of 50
 9 Appendix B – XML Sample of UCC3’s
<Document>
<XMLVersion Version="08172001" />
<Header>
<Filer>
<Names>
<OrganizationName>ABC COMPANY</OrganizationName>
<MailAddress>P.O. BOX 100</MailAddress>
<City>SMITHFIELD</City>
<State>UT</State>
<PostalCode>84335</PostalCode>
<Country>USA</Country>
</Names>
<ContactName>JOHN DOE CONTACT</ContactName>
<ContactPhone>800-111-0000</ContactPhone>
<ContactEmail>ABC@[Link]</ContactEmail>
<ContactFax>800-112-0000</ContactFax>
</Filer>
<PacketNum>abc packet 123</PacketNum>
</Header>
<Record>
<SeqNumber>1</SeqNumber>
<TransType Type="Amendment" />
<AmendmentType Type="AmendmentParties" />
<AmendmentAction Action="DebtorChange" />
<OptionalFilerReference>[Link]</OptionalFilerReference>
<InitialFileNumber>[UCC1 Num goes here]</InitialFileNumber>
<CurrentName>
<OrganizationName>DEBTOR ORG 1</OrganizationName>
</CurrentName>
<Debtors>
<DebtorName>
<Names>
<OrganizationName>CHANGED DEBTOR ORG 1</OrganizationName>
<MailAddress>136 E 800 S</MailAddress>
<City>SMITHFIELD</City>
<State>UT</State>
<PostalCode>84335</PostalCode>
<Country>USA</Country>
</Names>
</DebtorName>
</Debtors>
<AuthorizingParty>
<AuthSecuredParty>
<OrganizationName>ABC COMPANY</OrganizationName>
</AuthSecuredParty>
</AuthorizingParty>
</Record>
</Document>

[Link] Page 14 of 50
 Tecuity UCC XML API Implementation Guide

10 Appendix C – XML Document DTD (Document Type Definition)

The following table describes each element and its application in detail. The container elements are marked in bold and indicate that
the data elements are made up of sub-elements and will not contain data. The definition column also describes the attribute value of
the element.

Note: The data types are alphanumeric unless specified for the element.

Bold text in the Element Location column or O = Optional

Element column indicates data elements that R = Required
are made up of sub- elements, and will not
- = N/A
contain data
R/O – Required, for Filing Office Use

O/O = Optional, for Filing Office Use

[Link] Page 15 of 50
 Tecuity UCC XML API Implementation Guide

10.1 Document Specifications

Document Specifications Amendment

Secured Party

Continuation

Termination
Max Length

Assignment
Occurrence
Location Element Definition

Collateral
Original

Debtor
The system will allow an Attribute Value of
06232003.
XMLVersion Attribute: Version - 0 or 1 R R R R R R R
If the XML file contains any other version
number or is empty, XML file will be refused.
The Tag value will be discarded.

Header - 1 Global information for all filing records R R R R R R R

1 or
Record - Contains all the information for a filing R R R R R R R
More

[Link] Page 16 of 50
 Tecuity UCC XML API Implementation Guide

10.2 Header Specifications

Header Specifications Amendment

Secured Party

Continuation

Termination
Max Length

Assignment
Occurrence
Location Element Definition

Collateral
Original

Debtor
Filer - 1 R R R R R R R

The OrganizationName or the

IndividualName is required.
 If the OrganizationName is blank,
IndividualName is required.
Names - 1 R R R R R R R
 If the OrganizationName is present,
IndividualName must be blank.
 Failure to enter filer name will be
grounds for refusal of the XML File.

Designates an entity having a legal identity

OrganizationName 300 1 R R R R R R R
separate from its owner

For the IndividualName, the Surname is

required.
IndividualName - 0 or 1  The FirstPersonalName, O O O O O O O
AdditionalNamesInitials, and Suffix
are optional.

Surname 100 1 Family name or surname of the Individual. R R R R R R R

[Link] Page 17 of 50
 Tecuity UCC XML API Implementation Guide

FirstPersonalName 100 1 First given name of the Individual. O O O O O O O

All additional given names for an individual

AdditionalNamesInitials 60 0 or 1 excluding the family name and the first O O O O O O O
given name

Suffix 40 0 or 1 A title of lineage for an Individual O O O O O O O

MailAddress 150 1 Mailing Address of the designated party O O O O O O O

MailAddress2 150 0 or 1 Mailing Address of the designated party O O O O O O O

Optionally used only with foreign address to

replace the city, state, and postal code.
MailAddress3 150 0 or 1 O O O O O O O
Note: See Appendix F – Country Codes
City of the designated party
City 100 0 or 1 O O O O O O O
Note: Optional only outside of USA
2 character US postal identification code.

Values:
State 2 0 or 1 O O O O O O O
See Appendix E – State Codes

Note: Optional only outside of USA

The postal code for the party
PostalCode 9 0 or 1 O O O O O O O
Note: Optional only outside of USA
3 character Country Code of the party.
Country 3 0 or 1 O O O O O O O
Values:
See Appendix F – Country Codes

ClientAccountNum 7 1 Note: Tecuity does not use this element. O O O O O O O

[Link] Page 18 of 50
 Tecuity UCC XML API Implementation Guide

ContactName 35 1 Contact person for the XML filer. O O O O O O O

ContactPhone 12 1 Contact phone for the XML filer. O O O O O O O

ContactEmail 254 1 Email for the XML filer. R R R R R R R

208
ReturnURL 0 or 1 Note: Tecuity does not use this element. - - - - - - -
3
ReturnUserID 255 0 or 1 Note: Tecuity does not use this element. - - - - - - -

ReturnUserPWD 255 0 or 1 Note: Tecuity does not use this element. - - - - - - -

Unique identifying alpha-numeric for the
file.
PacketNum 32 1 R R R R R R R
Note: Must be unique for each file
submitted by a filer.
Test 1 1 Note: Tecuity does not use this element. - - - - - - -

10.3 Record Specifications

Record Specifications Amendment

Secured Party

Continuation

Termination
Max Length

Assignment
Occurrence

Collateral
Location Element Definition

Original

Debtor
Unique sequential number identifying the
SeqNumber 5 0 or 1 record. Must be numeric. R R R R R R R

[Link] Page 19 of 50
 Tecuity UCC XML API Implementation Guide

Note: Must be unique for each filing in the

document.

Indicates whether the Filing is an Initial

Filing or a Change Filing.

TransType Attribute: Type - 1 R R R R R R R

Values:
 Initial
 Amendment
Identifies the type of Change Filing.

Values:
 AmendmentParties
 AmendmentCollateral
 Assignment
 Continuation
 TerminationDebtor
 TerminationSecuredParty
 TerminationErroneous
AmendmentType Attribute: Type - 0 or 1 - R R R R R R
 NOType

Note:
 Value “NOType” applies only for the
Initial Filing.
 Only one AmendmentType per
record is allowed.
 Only State Liens use
“TerminationErroneous”.

The Filing DTD allows for only one

AmendmentType and AmendmentAction
per record. Information statements are not
AmendmentAction Attribute: Action - 0 or 1 - R R R R - -
part of the XML filing.

Identified the type of Change Requested

[Link] Page 20 of 50
 Tecuity UCC XML API Implementation Guide

Values:
 DebtorAdd
 DebtorChange
 DebtorDelete
 SecuredPartyAdd
 SecuredPartyChange
 SecuredPartyDelete
 CollateralAdd
 CollateralChange
 CollateralDelete
 CollateralRestate
 CollateralAssign
 NOAction

Note:
 Value ‘NOAction’ applies only for
AmendmentType of Assignment,
Continuation and Termination.

 If AmendmentType =
"AmendmentParties", values
allowed will be "DebtorAdd",
"DebtorChange", "DebtorDelete",
"SecuredPartyAdd",
"SecuredPartyChange" and
"SecuredPartyDelete".

 If AmendmentType =
“AmendmentCollateral”, values
allowed will be “CollateralAdd”,
“CollateralChange”,
“CollateralDelete”, and
“CollateralRestate”.

[Link] Page 21 of 50
 Tecuity UCC XML API Implementation Guide

 If AmendmentType =”Assignment”,
values allowed will be
“CollateralAssign”, and “NOAction”.

Note:
 If TranType = “Initial”, this field is
blank.
InitialFileNumber 100 0 or 1  If TranType = “Amendment”, this - R R R R R R
field contains the file number for the
financing statement.

The reference information provided by the

OptionalFilerReference 80 1 O O O O O O O
filer

Used to further indicate the type of lien.

Value:
 NoOptionalIndicator (default)
OR (one of the following)
 TransmittingUtility
 ManufacturedHome
0 or  PublicFinance
OptionalIndicators Attribute: Type - O - - - - - -
More AND/OR (one of the following)
 Lessee-Lessor
 Consignee-Consignor
 Bailee-Bailor
 Seller-Buyer
 Licensee-Licensor

Note: Multiple Indicators may be used.

Identifies additional information not
provided for the Filing
MiscInfo 300 0 or 1 - O O O O O O
Note: This field can be used on a UCC1 to
note assignor information. See Assignor
below.
[Link] Page 22 of 50
 Tecuity UCC XML API Implementation Guide

The system will accept the values only for

DebtorChange, DebtorDelete,
SecuredPartyChange or SecuredPartyDelete
Amendment Action. Otherwise the data will
be discarded.

CurrentName - 0 or 1 The OrganizationName or the - O O - - - -

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

Identifies the affected party in an

Amendment.

Note: If the OrganizationName of a

OrganizationName 300 0 or 1 - R R - - - -
submitted XML has one or more reserved
characters, then the length of the
OrganizationName in the returned XML may
be greater than 300 characters.
For the IndividualName, the Surname is
required.
IndividualName - 1  The FirstPersonalName, - O O - - - -
AdditionalNamesInitials, and Suffix
are optional.
Surname 100 1 Family name or surname of the Individual. - R R - - - -

FirstPersonalName 100 1 First given name of the Individual. - O O - - - -

All additional given names for an individual

AdditionalNamesInitials 60 0 or 1 excluding the family name and the first - O O - - - -
given name

Suffix 40 0 or 1 A title of lineage for an Individual - O O - - - -

[Link] Page 23 of 50
 Tecuity UCC XML API Implementation Guide

Debtors - 1 R R - - - - -

 System will accept only 1 name for

Amendment Action =
1 or DebtorChange.
DebtorName - R R - - - - -
more  System will accept multiple names
for TransType = Initial, and
Amendment Action = DebtorAdd.
The OrganizationName or the
IndividualName is required.
 If the OrganizationName is blank,
IndividualName is required.
Names 1 R R - - - - -
 If the OrganizationName is present,
IndividualName must be blank.
 Failure to enter filer name will be
grounds for refusal of the XML File.

Designates an entity having a legal identity

OrganizationName 300 1 R R - - - - -
separate from its owner

For the IndividualName, the Surname is

required.
IndividualName - 0 or 1  The FirstPersonalName, O O - - - - -
AdditionalNamesInitials, and Suffix
are optional.
Surname 100 1 Family name or surname of the Individual. R R - - - - -

FirstPersonalName 100 1 First given name of the Individual. O O - - - - -

All additional given names for an individual

AdditionalNamesInitials 60 0 or 1 excluding the family name and the first O O - - - - -
given name

Suffix 40 0 or 1 A title of lineage for an Individual O O - - - - -

[Link] Page 24 of 50
 Tecuity UCC XML API Implementation Guide

MailAddress 150 1 Mailing Address of the designated party R R - - - - -

MailAddress2 150 0 or 1 Mailing Address of the designated party O O - - - - -

Optionally used only with foreign address to
replace the city, state, and postal code.
MailAddress3 150 0 or 1 O O - - - - -
Note: See Appendix F – Country Codes
City of the designated party
City 100 0 or 1 O O - - - - -
Note: Optional only outside of USA
2 character US postal identification code.

Values:
State 2 0 or 1 O O - - - - -
See Appendix E – State Codes

Note: Optional only outside of USA

The postal code for the party
PostalCode 9 0 or 1 O O - - - - -
Note: Optional only outside of USA
3 character Country Code of the party.
Country 3 1 R R - - - - -
Values:
See Appendix F – Country Codes
Not-Indexed-Reason 100 0 or 1 Note: Tecuity does not image or index it - - - - - - -
Note:
 System will accept only 1 name for
AmendmentAction =
SecuredPartyChange.
1 or  System will accept multiple names
SecuredParties - R - R - R - -
More for TransType = Initial and
AmendmentAction =
SecuredPartyAdd.
 Name is required for
AmendmentType = Assignment.
[Link] Page 25 of 50
 Tecuity UCC XML API Implementation Guide

1 or R - R - R - -
SecuredName -
more
The OrganizationName or the
IndividualName is required.
 If the OrganizationName is blank,
IndividualName is required.
Names - 1  If the OrganizationName is present, R - R - R - -
IndividualName must be blank.
 Failure to enter filer name will be
grounds for refusal of the XML File.

Designates an entity having a legal identity

OrganizationName 300 1 R - R - R - -
separate from its owner

For the IndividualName, the Surname is

required.
IndividualName - 0 or 1  The FirstPersonalName, O - O - O - -
AdditionalNamesInitials, and Suffix
are optional.
Surname 100 1 Family name or surname of the Individual. R - R - R - -

FirstPersonalName 100 1 First given name of the Individual. O - O - O - -

All additional given names for an individual

AdditionalNamesInitials 60 0 or 1 excluding the family name and the first O - O - O - -
given name

Suffix 40 0 or 1 A title of lineage for an Individual O - O - O - -

MailAddress 150 1 Mailing Address of the designated party R - R - R - -

[Link] Page 26 of 50
 Tecuity UCC XML API Implementation Guide

MailAddress2 150 0 or 1 Mailing Address of the designated party 0 - 0 - 0 - -

Optionally used only with foreign address to
replace the city, state, and postal code.
MailAddress3 150 0 or 1 O - O - O - -
Note: See Appendix F – Country Codes
City of the designated party
City 100 0 or 1 O - O - O - -
Note: Optional only outside of USA
2 character US postal identification code.

Values:
State 2 0 or 1 O - O - O - -
See Appendix E – State Codes

Note: Optional only outside of USA

The postal code for the party
PostalCode 9 0 or 1 O - O - O - -
Note: Optional only outside of USA
3 character Country Code of the party.
Country 3 1 R - R - R - -
Values:
See Appendix F – Country Codes
Not-Indexed-Reason 100 0 or 1 Note: Tecuity does not image or index it - - - - - - -

On a UCC1, if the filer wishes to add an

assignor, an additional secured party can be
added and the MiscInfo element can be
used to notate that secured party is an
Assignor - 0 O - - - O - -
Assignor.

On a UCC3 or UCC5, the Assignor

information will be discarded.

[Link] Page 27 of 50
 Tecuity UCC XML API Implementation Guide

The OrganizationName or the

IndividualName is required.
 If the OrganizationName is blank,
1 or
Names - IndividualName is required. R - - - R - -
More
 If the OrganizationName is present,
IndividualName must be blank.

Identifies the affected party in an

OrganizationName 300 1 R - - - R - -
Amendment.

For the IndividualName, the Surname is

required.
IndividualName - 0 or 1  The FirstPersonalName, O - - - O - -
AdditionalNamesInitials, and Suffix
are optional.

Surname 100 1 Family name or surname of the Individual. R - - - O - -

FirstPersonalName 100 1 First given name of the Individual. O - - - O - -

All additional given names for an individual
AdditionalNamesInitials 60 0 or 1 excluding the family name and the first O - - - O - -
given name

Suffix 40 0 or 1 A title of lineage for an Individual O - - - O - -

MailAddress 150 1 Mailing Address of the designated party. R - - - O - -

MailAddress2 150 0 or 1 Mailing Address of the designated party. O - - - O - -

Optionally used only with foreign address to
replace the city, state, and postal code.
MailAddress3 150 0 or 1 O - - - O - -
Note: See Appendix F – Country Codes
City of the designated party.
City 100 0 or 1 O - - - O - -
Note: Optional only outside of USA

[Link] Page 28 of 50
 Tecuity UCC XML API Implementation Guide

2 character US postal identification code.

Values:
State 2 0 or 1 O - - - O - -
See Appendix E – State Codes

Note: Optional only outside of USA

The postal code for the party
PostalCode 9 0 or 1 O - - - O - -
Note: Optional only outside of USA
3 character Country Code of the party.

Country 3 1 R - - - R - -
Values:
See Appendix F – Country Codes
Either ColText or Attachment can be
provided, but both elements cannot be
provided together. If both are provided, the
Collateral - 0 or 1 O - - O - - -
system will index the Collateral information
provided in ColText and discard the
attachment
Provide the entire collateral description for
all collateral covered by the Financing
ColText 10000 0 or 1 O - - O O - -
Statement in one ColText data element. The
Collateral will be indexed in the system.

Attachment - 0 or 1 Contains Base64 Encoded PDF document(s). O - - O - - -

The attachment files should be encoded

using Base 64 prior to being inserted into
the xml document. The DOS system will
decode the data to create the image
10
TextData 1 attachment. O - - O - - -
MB*
*Total filing submission size including
attachment cannot exceed 10MB. The size
limit is in binary and the maximum filing
size is 10485760 bytes.

[Link] Page 29 of 50
 Tecuity UCC XML API Implementation Guide

Values:
 NODesignation
CollateralDesignation Attribute: Type 1 R O - - O O -
 Trust
 PersonalRepresentative

0 or
AuthorizingParty - - O O O O O O
More

The OrganizationName or the

IndividualName is required.
 If the OrganizationName is blank,
AuthSecuredParty - 0 or 1 - - O O O O O
IndividualName is required.
 If the OrganizationName is present,
IndividualName must be blank.

Name of the Secured Party authorizing the

OrganizationName 300 1 - - R R R R R
change filing.

For the IndividualName, the Surname is

required.
IndividualName - 1  The FirstPersonalName, - - O O O O O
AdditionalNamesInitials, and Suffix
are optional.

Surname 100 0 or 1 Family name or surname of the Individual. - - R R R R R

FirstPersonalName 100 1 First given name of the Individual. - - O O O O O

All additional given names for an individual

AdditionalNamesInitials 60 1 excluding the family name and the first - - O O O O O
given name

Suffix 40 0 or 1 A title of lineage for an Individual - - O O O O O

The OrganizationName or the

IndividualName is required.
AuthDebtor - 0 or 1 - O - O - - O
 If the OrganizationName is blank,
IndividualName is required.
[Link] Page 30 of 50
 Tecuity UCC XML API Implementation Guide

 If the OrganizationName is present,

IndividualName must be blank.

Name of the Debtor authorizing the change

OrganizationName 300 1 - R - R - - R
filing.

For the IndividualName, the Surname is

required.
IndividualName - 1  The FirstPersonalName, - O - O - - O
AdditionalNamesInitials, and Suffix
are optional.
Surname 100 0 or 1 Family name or surname of the Individual. - R - R - - O

FirstPersonalName 100 1 First given name of the Individual. - O - O - - O

All additional given names for an individual

AdditionalNamesInitials 60 1 excluding the family name and the first - O - O - - O
given name

Suffix 40 0 or 1 A title of lineage for an Individual - O - O - - O

JurisdictionSpecificData - 0 or 1 Addendum and Real Estate information. O - - - - - -

FileInRealEstate - 1 O - - - - - -

Values:
 NOType
Designation
50 0 or 1  Timber O - - - - - -
Attribute: Type
 AsExtractedCollateral
 Fixtures
RealEstateDescription 2000 0 or 1 Description of Real Estate. O - - - - - -

[Link] Page 31 of 50
 Tecuity UCC XML API Implementation Guide

The OrganizationName or the

IndividualName is required.
 If the OrganizationName is blank,
0 or
Names - IndividualName is required. O - - - - - -
More
 If the OrganizationName is present,
IndividualName must be blank.

Identifies the affected party in an

OrganizationName 300 0 or 1 O - - - - - -
Amendment.

For the IndividualName, the Surname is

required.
IndividualName - 0 or 1 The FirstPersonalName, O - - - - - -
AdditionalNamesInitials, and Suffix are
optional.

Surname 100 1 Family name or surname of the Individual. O - - - - - -

FirstPersonalName 100 0 or 1 First given name of the Individual. O - - - - - -

All additional given names for an individual

AdditionalNamesInitials 60 0 or 1 excluding the family name and the first O - - - - - -
given name

Suffix 40 0 or 1 A title of lineage for an Individual O - - - - - -

FSAProducts - 1 Note: Tecuity does not use this element. - - - - - - -

1 or
Name-Code - Note: Tecuity does not use this element. - - - - - - -
more
Years - 1 Note: Tecuity does not use this element. - - - - - - -
1 or
Year 4 Note: Tecuity does not use this element. - - - - - - -
more
Counties - 1 Note: Tecuity does not use this element. - - - - - - -

[Link] Page 32 of 50
 Tecuity UCC XML API Implementation Guide

1 or
County 50 Note: Tecuity does not use this element. - - - - - - -
more
Unit 50 1 Note: Tecuity does not use this element. - - - - - - -

Quantity 10 1 Note: Tecuity does not use this element. - - - - - - -

Location 100 1 Note: Tecuity does not use this element. - - - - - - -

Description 100 1 Note: Tecuity does not use this element. - - - - - - -

Acknowledgement - 0 or 1 R/O R/O R/O R/O R/O R/O R/O

Unique Identifying number assigned by the

FileNumber 20 1 R/O R/O R/O R/O R/O R/O R/O
Filing Office to an accepted UCC document.

File Date the Filing Office accepted the

Initial or Change Filing.

Note: The date the filing would have been

FileDate 8 1 R/O R/O R/O R/O R/O R/O R/O
filed is returned for Rejected documents.

Format:
YYYYMMDD
The File Time the Filing Office accepted the
Initial or Change Filing.

Note: The date the filing would have been

FileTime 4 1 filed is returned for Rejected documents. R/O R/O R/O R/O R/O R/O R/O

Format:
HHMM

[Link] Page 33 of 50
 Tecuity UCC XML API Implementation Guide

The Date on which the Initial Filing will

Lapse.
LapseDate 8 0 or 1 R/O - - - - - -
Format:
YYYYMMDD
The Fee for the Initial or Change Filing as
charged by the Filing Office. The amount is
deducted from either client’s ACH account
FeeAmount 7 1 or customer account. R/O R/O R/O R/O R/O R/O R/O

Format:
[Link] (7.2)
Any additional fee on top of the Filing Fee as
charged by the Filing Office. The amount is
deducted either from the client’s ACH
AdditionalFees 5 0 or 1 account or customer account. R/O R/O R/O R/O R/O R/O R/O

Format:
[Link] (7.2)

The Filing Office where the document was

FilingOffice 100 1 R/O R/O R/O R/O R/O R/O R/O
filed.

Indicates whether the Filing was accepted or

rejected.

Values:
 Accepted
FileStatus - 1  Rejected R/O R/O R/O R/O R/O R/O R/O
 AcceptedWithErrors

Note: The Status of AcceptedWithErrors will

be returned if not all debtors or secured
parties were indexed.

[Link] Page 34 of 50
11 Appendix D – XML Rejection Error Messages

Error Message Description

OK Filing was approved and filed.
Received Filing has been received and is still in queue to be processed.
The filing system had an internal error processing the filing that is
InternalProcessingError
not related to the submitted filing
InvalidXml A filing was submitted that did not contain a valid XML document

InProcess The submitted filing has not finished the filing process
The filing system did not find the information associated with the
IDNotFound
provided DocumentReceiptID
Various reasons including invalid account, bad xml values, insufficient
Rejected
funds, etc.

[Link] Page 35 of 50
12 Appendix E - State Codes

State Code State Name Country

AA Armed Forces Americas, except Canada. USA
AB Alberta CAN
AE Armed Forces Europe, the Middle East, & Canada. USA
AK Alaska USA
AL Alabama USA
AP Armed Forces Pacific USA
AR Arkansas USA
AS American Samoa USA
AZ Arizona USA
BC British Columbia CAN
CA California USA
CO Colorado USA
CT Connecticut USA
DC District of Columbia USA
DE Delaware USA
FL Florida USA
FM Federated States of Micronesia USA
GA Georgia USA
GU Guam USA
HI Hawaii USA
IA Iowa USA
ID Idaho USA
IL Illinois USA
IN Indiana USA
KS Kansas USA
KY Kentucky USA
LA Louisiana USA
MA Massachusetts USA
MB Manitoba CAN
MD Maryland USA
ME Maine USA
MH Marshall Islands USA
MI Michigan USA
MN Minnesota USA
MO Missouri USA
MP Northern Mariana Islands USA
MS Mississippi USA
MT Montana USA
NB New Brunswick CAN
NC North Carolina USA
ND North Dakota USA
NE Nebraska USA
NL Newfoundland and Labrador CAN
NH New Hampshire USA
NJ New Jersey USA
[Link] Page 36 of 50
NM New Mexico USA
NN Commonwealth of Northern Mariana Islands USA
NS Nova Scotia CAN
NT Northwest Territories CAN
NU Nunavut CAN
NV Nevada USA
NY New York USA
OH Ohio USA
OK Oklahoma USA
ON Ontario CAN
OR Oregon USA
PA Pennsylvania USA
PE Prince Edward Island CAN
PQ Province of Quebec (Alternate for 'QC') CAN
PR Puerto Rico USA
PW Palau USA
QC Quebec CAN
RI Rhode Island USA
SC South Carolina USA
SD South Dakota USA
SK Saskatchewan CAN
TN Tennessee USA
TX Texas USA
UT Utah USA
VA Virginia USA
VI Virgin Islands USA
VT Vermont USA
WA Washington USA
WI Wisconsin USA
WV West Virginia USA
WY Wyoming USA
YT Yukon Territory CAN

[Link] Page 37 of 50
 13 Appendix F - Country Codes

The Country Codes are based on ISO standard 1366. Some modifications have been made to
accommodate countries not included in ISO 1366. These are indicated by a double asterisk, “**”.

To support foreign addresses, a MailAddress3 element is supported when the Country Code is not
USA. As there is a variety of different display styles for city, state/province, and postal codes for
foreign countries, it is up to the filer to render the appropriate foreign address correctly. City, State,
and PostalCode are not used when capturing and displaying a foreign address. As an example,
when filing a Canadian address, the following would be submitted:

<MailAddress>300 Ward Street</MailAddress>

<MailAddress2>101A</MailAddress2>
<MailAddress3>Balfour BC V1L 123</MailAddress3>
<Country>CAN</Country>
OR
<MailAddress>300 Ward Street</MailAddress>
<MailAddress2>Balfour BC V1L 123</MailAddress2>
<Country>CAN</Country>

Country Code Country Description

ABW Aruba
AFG Afghanistan
AGO Angola
AIA Anguilla
ALB Albania
AND Andorra
ANT Netherlands Antilles
ARE United Arab Emirates
ARG Argentina
ARM Armenia
ASM American Samoa
ATA Antarctica
ATF French Southern Territories
ATG Antigua and Barbuda
AUS Australia
AUT Austria
AZE Azerbaijan
BDI Burundi
BEL Belgium
BEN Benin
BFA Burkina Faso
BGD Bangladesh
BGR Bulgaria
BHR Bahrain
BHS Bahamas
BIH Bosnia and Herzegovina
BLR Belarus
BLZ Belize
BMU Bermuda
BOL Bolivia
[Link] Page 38 of 50
BRA Brazil
BRB Barbados
BRN Brunei Darussalam
BTN Bhutan
BVT Bouvet Island
BWA Botswana
BWI ** British West Indies
CAF Central African Republic
CAN Canada
CHE Switzerland
CHL Chile
CHN China
CIV Cote D'Ivoire
CMR Cameroon
COD Democratic Republic of Congo (was Zaire)
COG People’s Republic of Congo
COK Cook Islands
COL Columbia
COM Comoros
CPV Cape Verde
CRI Costa Rica
CUB Cuba
CXR Christmas Island
CYM Cayman Islands
CYP Cyprus
CZE Czech Republic
DEU Germany
DJI Djibouti
DMA Dominica
DNK Denmark
DOM Dominican Republic
DZA Algeria
ECU Ecuador
EGY Egypt
ERI Eritrea
ESH Western Sahara
ESP Spain
EST Estonia
ETH Ethiopia
FIN Finland
FJI Fiji
FLK Falkland Islands (Malvinas)
FRA France
FRO Faeroe Islands
FSM Micronesia
GAB Gabon
Country Code Country Description
GBC **Channel Islands
[Link] Page 39 of 50
GBG **Guernsey
GBI **Isle of Man
GBR United Kingdom
GEO Georgia
GHA Ghana
GIB Gibraltar
GIN Guinea
GLP Guadeloupe
GMB Gambia
GNB Guinea-Bissau
GNQ Equatorial Guinea
GRC Greece
GRD Grenada
GRL Greenland
GTM Guatemala
GUF French Guiana
GUM Guam
GUY Guyana
HKG Hong Kong Special Administrative Region of China
HMD Heard and McDonald Islands
HND Honduras
HRV Croatia
HTI Haiti
HUN Hungary
IDN Indonesia
IND India
IOT British Indian Ocean Territory
IRL Ireland
IRN Iran
IRQ Iraq
ISL Iceland
ISR Israel
ITA Italy
JAM Jamaica
JOR Jordan
JPN Japan
KAZ Kazakhstan
KEN Kenya
KGZ Kyrgyzstan
KHM Cambodia
KIR Kiribati
KNA Saint Kitts and Nevis
KOR Republic of Korea
KWT Kuwait
LAO Lao People's Democratic Republic

[Link] Page 40 of 50
 Country Code Country Description
LBN Lebanon
LBR Liberia
LBY Libyan Arab Jamahiriya
LCA Saint Lucia
LIE Liechtenstein
LKA Sri Lanka
LSO Lesotho
LTU Lithuania
LUX Luxemborg
LVA Latvia
MAC Macao
MAR Morocco
MCO Monaco
MDA Moldova
MDG Madagascar
MDV Maldives
MEX Mexico
MHL Marshall Islands
MKD The former Yugoslav Republic of Macedonia
MLI Mali
MLT Malta
MMR Myanmar
MNG Mongolia
MNP Northern Mariana Islands
MOZ Mozambique
MRT Mauritania
MSR Montserrat
MTQ Martinque
MUS Mauritius
MWI Malawi
MYS Malaysia
MYT Mayotte
NAM Namibia
NCL New Caledonia
NER Niger
NFK Norfolk Island
NGA Nigeria
NIC Nicaragua
NIU Niue
NLD Netherlands
NOR Norway
NPL Nepal
NRU Nauru
NZL New Zealand
OMN Oman
PAK Pakistan

Country Code Country Description

[Link] Page 41 of 50
PAN Panama
PCN Pitcairn
PER Peru
PHL Philippines
PLW Palau
PNG Papua New Guinea
POL Poland
PRI Puerto Rico
PRK Democratic People's Republic of Korea
PRT Portugal
PRY Paraguay
PSE Palestinian Territory
PYF French Polynesia
QAT Qatar
REU Reunion
ROU Romania
RUS Russian Federation
RWA Rwanda
SAU Saudi Arabia
SCG Serbia and Montenegro
SCO **Scotland
SDN Sudan
SEN Senegal
SGP Singapore
SGS South Georgia and the Ssouth Sandwich Islands
SHN St. Helena
SJM Svalbard and Jan Mayen Islands
SLB Solomon Islands
SLE Sierra Leone
SLV El Salvador
SVN Slovenia
SMR San Marino
SOM Somalia
STP Sao Tome and Principe
SUR Suriname
SVK Slovakia
SVN Slovenia
SWE Sweden
SWZ Swaziland
SYC Seychelles
SYR Syrian Arab Republic
TCA Turks and Caicos Islands
TCD Chad
TGO Togo
THA Thailand
TJK Tajikistan

Country Code Country Description

TKL Tokelau

[Link] Page 42 of 50
TKM Turkmenistan
TLS East Timor
TON Tonga
TTO Trinidad and Tobago
TUN Tunisia
TUR Turkey
TUV Tuvalu
TWN Taiwan
TZA Tanzania
UGA Uganda
UKR Ukraine
UMI United States Minor Outlying Islands
URY Uruguay
USA United States of America
UZB Uzbekistan
VAT Vatican City State (Holy See)
VCT Saint Vincent and the Grenadines
VEN Venezuela
VGB British Virgin Islands
VIR United States Virgin Islands
VNM Viet Nam
VUT Vanuatu
WLF Wallis and Futuna Islands
WSM Samoa
YEM Yemen
ZAF South Africa
ZMB Zambia
ZWE Zimbabwe
ZZZ Other Country

[Link] Page 43 of 50
14 Appendix G – IACA 3.1 to 4.0 Updates Summary
The below information provides a list of XML elements that are either modified or removed
based on IACA 4.0 (International Association of Commercial Administrators) standard, for
Tecuity’s UCC implementation.

14.1 Header & Record

IACA 3.1 IACA 4.0 Notes

LastName Surname

FirstName FirstPersonalName

MiddleName AdditionalNamesInitials

Surname is required. The FirstPersonalName,

IndividualName Updated
AdditionalNamesInitials, and Suffix are optional

Mailing Address of the designated party

MailAddress2
additional line (optional)

If the country is not the United States to support

MailAddress3
foreign addresses

14.2 Header

IACA 3.1 IACA 4.0 Notes

TaxID Removed

OrganizationType Removed

OrganizationJuris Removed
Names
OrganziationID Removed

Mark Removed

County Removed

Test Test Tecuity does not use this element

ReturnURL Tecuity does not use this element

ReturnUserID Tecuity does not use this element

Filer
ReturnUserPWD Tecuity does not use this element

ContactEmail Updated Up to 254 Length

14.3 Record

IACA 3.1 IACA 4.0 Notes

[Link] Page 44 of 50
 SubmitterRef OptionalFilerReference

InitialFileDate Removed

ActionCode Removed

AltNameDesignation Removed

AltFilingType Removed

AltFilingType1 Removed

SearchToReflect Removed

Secured SecuredParties

InitialFileDate Removed

JurisdictionSpecificData Placeholder for any jurisdiction-specific changes

FileInRealEstate Removed Child element under JurisdictionSpecificData

FSAProducts Removed Child element under JurisdictionSpecificData

MiscInfo Updated Up to 300 Length

InitialFileNumber Updated Up to 100 Length

TransmittingUtility

ManufacturedHome

PublicFinance

FederalLien

StateLien

JudgementLien
OptionalIndicators
Lessee-Lessor

Consignee-Consignor

Bailee-Bailor

Seller-Buyer

Licensee-Licensor

NoOptionalIndicator (Default)

DebtorAltCapacity Removed

Debtors Trust Removed

TrustDate Removed

Correction Removed
AmendmentType
OfficerStatement Removed

Collateral FSAProducts Removed Child element under JurisdictionSpecificData

[Link] Page 45 of 50
 MIMEType Removed

TextData Updated Up to 10MB

Acknowledgement ErrorText Updated Up to 1024 Length

[Link] Page 46 of 50
15 Appendix H – File Number Formats

File Number:
Total digits 14
Year 4 digits
Month 2 digits
Day 2 digits
Sequential Number 6 digits
Example: 20220829021099

[Link] Page 47 of 50
16 Appendix I – Summary of Updates 06/04/2020

Section Segment Update

6.2
HTTP Status code 406
Submitting a Document Invalid xmlData or filing is rejected.
(NotAcceptable)

C# Code – Response Accepted (202)

6.3
Checking Status of a HTTP Status code 200 (OK) The filing has been processed and filed.
Document
C# Code Response – Accepted (202)
Response – OK (200)
Response – OK <Status value="OK">Filing completed</Status>
InvalidXml (406)
<Status value="InvalidXml">
Response – InvalidXml
*InvalidXml is the right status value. Also, error message is
now just a string, not an xml document
Response – Not Found (404)
Response – NotFound <Status value="IDNotFound">DocumentReceiptID not
found</Status>
Response – Rejected (406)
<?xml version="1.0" encoding="UTF-8"?>
<Document>
<XMLVersion info="1.07"/>
<Header>
<Date>01/01/2016 11:33:47 AM</Date>
Response – Rejected </Header>
<Record>
<DocumentReceiptID>2a5dbae4-0046-4de3-888c-
78bb137e54d7</DocumentReceiptID>
<Status value="Rejected">Lapsed Record</Status>
</Record>
</Document>
Possible Status values are Received, Rejected, IDNotFound,
Notes
InvalidXml, InProcess, InternalProcessingError, and OK
6.4 HTTPS Status Code 200 (OK) Byte[] of document will be returned
Retrieving the Response – OK (200)
Document Response – Accepted (202)
C# Code Sample Response – NotFound (404)
<Status value="IDNotFound">DocumentReceiptID not
found</Status>
Possible Status values are Received, Rejected, IDNotFound,
Notes
InvalidXml, InProcess, InternalProcessingError, and OK.
6.5 HTTP Status Code 200 (OK) Byte[] of document will be returned
Retrieving the Receipt Response – OK (200)
Response – Accepted (202)
C# Code Response – NotFound (404)
<Status value="IDNotFound">DocumentReceiptID not
found</Status>
Possible Status values are Received, Rejected, IDNotFound,
Notes
InvalidXml, InProcess, InternalProcessingError, and OK.
10 10.1 Header Specifications ClientAccountNum Not Used
XML Document DTD 10.2 Record Specifications FileNumber Max Length 20

[Link] Page 48 of 50
 FeeAmount Max Length 7
AdditionalFees Max Length 5
FilingOffice Max Length 100
10.3 OptionalIndicators Removed AgLien
Removed NonUCCFiling

[Link] Page 49 of 50
 17 Appendix J – Valid Error Messages

HTTP Status Code Explanation

102 (Processing) The xmlData is being processed.

200 (OK) The filing has been processed and filed.

400 (BadRequest) No xmlData submitted or submission failed.
Invalid User-Name or Password provided, or keys not found
401 (Unauthorized)
in request headers.
404 (NotFound) Invalid id (Document Receipt ID) provided.
500 (InternalServerError) Unknown server error has occurred.

18 Appendix K – Base Url

Note: These base urls will need to updated to reflect each state.

Testing Base Url: [Link]

Production Base Url: [Link]

[Link] Page 50 of 50