- Consolidated Laws - Uniform Commercial Code
SUBPART 2. DUTIES AND OPERATION OF FILING OFFICE
Section 9--519. Numbering, Maintaining, and Indexing Records;
Communicating Information Provided in Records.
(a) Filing office duties. For each record filed in a filing office,
the filing office shall:
(1) assign a unique number to the filed record;
(2) create a record that bears the number assigned to the filed
record and the date and time of filing;
(3) maintain the filed record for public inspection; and
(4) index the filed record in accordance with subsections (c),
(d), and (e).
(b) File number. A file number must include a digit that:
(1) is mathematically derived from or related to the other digits
of the file number; and
(2) aids the filing office in determining whether a number
communicated as the file number includes a single-digit or
transpositional error.
(c) Indexing: general. Except as otherwise provided in subsections (d)
and (e), the filing office shall:
(1) index an initial financing statement according to the name of
the debtor and index all filed records relating to the
initial financing statement in a manner that associates with
one another an initial financing statement and all filed
records relating to the initial financing statement; and
(2) index a record that provides a name of a debtor which was not
previously provided in the financing statement to which the
record relates also according to the name that was not
previously provided.
(d) Indexing: real-property-related financing statement. If a
financing statement is filed as a fixture filing or covers as-extracted
collateral, or timber to be cut, or a cooperative interest, the filing
office shall index it:
(1) under the names of the debtor and of each owner of record
shown on the financing statement as if they were the
mortgagors under a mortgage of the real property described;
and
(2) to the extent that the law of this state provides for
indexing of records of mortgages under the name of the
mortgagee, under the name of the secured party as if the
secured party were the mortgagee thereunder, and;
(3) if the real estate is in the City of New York or in Nassau,
Onondaga, or any other county where the block system of
recording or registering and indexing conveyances is in use,
according to the block in which the real estate is situated;
the filing officer may index such statements according to the
names of the record owners of the real estate in a single
consolidated index installed and maintained by him pursuant
to section five hundred twenty-nine of the county law.
(e) Indexing: real-property-related assignment. If a financing
statement is filed as a fixture filing or covers as-extracted
collateral, timber to be cut or a cooperative interest, the filing
office shall index an assignment filed under Section 9--514(a) or an
amendment filed under Section 9--514(b):
(1) under the name of the assignor as grantor; and
(2) to the extent that the law of this state provides for
indexing a record of the assignment of a mortgage under the
name of the assignee, under the name of the assignee; and
(3) if the real estate is in the City of New York or in Nassau,
Onondaga, or any other county where the block system of
recording or registering and indexing conveyances is in use,
according to the block in which the real estate is situated;
the filing officer may index such assignments according to
the names of the record owners of the real estate in a single
consolidated index installed and maintained by him pursuant
to section five hundred twenty-nine of the county law.
(f) Retrieval and association capability. The filing office shall
maintain a capability:
(1) to retrieve a record by the name of the debtor and:
(A) if the filing office is described in Section
9--501(a)(1), by the file number assigned to the initial
financing statement to which the record relates and the
date and time that the record was filed or recorded; or
(B) if the filing office is described in Section
9--501(a)(2), by the file number assigned to the initial
financing statement to which the record relates; and
(2) to associate and retrieve with one another an initial
financing statement and each filed record relating to the
initial financing statement; and
(3) if the real estate is in the City of New York or in Nassau,
Onondaga, or any other county where the block system of
recording or registering and indexing conveyances is in use,
to retrieve a record according to the block in which the real
estate is situated.
(g) Removal of debtor`s name. The filing office may not remove a
debtor`s name from the index until one year after the effectiveness of a
financing statement naming the debtor lapses under Section 9--515 with
respect to all secured parties of record.
(h) Timeliness of filing office performance. The filing office shall
perform the acts required by subsections (a) through (e) at the time and
in the manner prescribed by filing-office rule, but not later than two
business days after the filing office receives the record in question.
(i) Inapplicability to real-property-related filing office.
Subsections (b) and (h) do not apply to a filing office described in
Section 9--501(a)(1).
Section 9--520. Acceptance and Refusal to Accept Record.
(a) Mandatory refusal to accept record. A filing office shall refuse
to accept a record for filing for a reason set forth in Section
9--516(b) and may refuse to accept a record for filing only for a reason
set forth in Section 9--516(b).
(b) Communication concerning refusal. If a filing office refuses to
accept a record for filing, it shall communicate to the person that
presented the record the fact of and reason for the refusal and the date
and time the record would have been filed had the filing office accepted
it. The communication must be made at the time and in the manner
prescribed by filing-office rule but, in the case of a filing office
described in Section 9--501(a)(2), in no event more than two business
days after the filing office receives the record.
(c) When filed financing statement effective. A filed financing
statement satisfying Section 9--502(a) and (b) is effective, even if the
filing office is required to refuse to accept it for filing under
subsection (a). However, Section 9--338 applies to a filed financing
statement providing information described in Section 9--516(b)(5) which
is incorrect at the time the financing statement is filed.
Section 9--521. Uniform Form of Written Financing Statement; Amendment;
and Cooperative Addendum.
(a) Initial financing statement form. A filing office that accepts
written records may not refuse to accept a written initial financing
statement in the form promulgated by the department of state except for
a reason as set forth in Section 9--516(b).
(b) Amendment form. A filing office that accepts written records may
not refuse to accept a written financing statement amendment in the form
promulgated by the department of state except for a reason as set forth
in Section 9--516 (b).
(c) Cooperative addendum form. A filing office that accepts written
records may not refuse to accept a written cooperative addendum in the
form promulgated by the department of state except for a reason as set
forth in Section 9--516 (b).
Section 9--522. Maintenance and Destruction of Records.
(a) Post-lapse maintenance and retrieval of information. The filing
office shall maintain a record of the information provided in a filed
financing statement for at least one year after the effectiveness of the
financing statement has lapsed under Section 9--515 with respect to all
secured parties of record. The record must be retrievable by using the
name of the debtor and:
(1) if the record was filed in the filing office described in
Section 9--501(a)(1), by using:
(A) the file number assigned to the initial financing
statement to which the record relates and the date and
time that the record was filed; and
(B) in the case of collateral which is a cooperative
interest, the real property tax designation associated
with the real property in which the cooperative unit is
located as assigned by the local real property tax
assessing authority; or
(2) if the record was filed in the filing office described in
Section 9--501(a)(2), by using the file number assigned to
the initial financing statement to which the record relates.
(b) Destruction of written records. Except to the extent that a
statute governing disposition of public records provides otherwise, the
filing office immediately may destroy any written record evidencing a
financing statement. However, if the filing office destroys a written
record, it shall maintain another record of the financing statement
which complies with subsection (a).
Section 9--523. Information from Filing Office; Sale or License of
Records.
(a) Acknowledgment of filing written record. If a person that files a
written record requests an acknowledgment of the filing, the filing
office shall send to the person an image of the record showing the
number assigned to the record pursuant to Section 9--519(a)(1) and the
date and time of the filing of the record. However, if the person
furnishes a copy of the record to the filing office, the filing office
may instead:
(1) note upon the copy the number assigned to the record pursuant
to Section 9--519 (a) (1) and the date and time of the filing
of the record; and
(2) send the copy to the person.
(b) Acknowledgment of filing other record. If a person files a record
other than a written record, the filing office shall communicate to the
person an acknowledgment that provides:
(1) the information in the record;
(2) the number assigned to the record pursuant to Section
9--519(a)(1); and
(3) the date and time of the filing of the record.
(c) Communication of requested information. The filing office shall
communicate or otherwise make available in a record the following
information to any person that requests it:
(1) whether there is on file on a date and time specified by the
filing office, but not a date earlier than three business
days before the filing office receives the request, any
financing statement that:
(A) designates a particular debtor or, if the request so
states, designates a particular debtor at the address
specified in the request;
(B) has not lapsed under Section 9--515 with respect to all
secured parties of record; and
(C) if the request so states, has lapsed under Section 9--515
and a record of which is maintained by the filing office
under Section 9--522(a);
(D) is filed in the filing office described in Section
9--501(a)(1), if the request indicates the real property
tax designation associated with the real property as
assigned by the local real property tax assessing
authority.
(2) the date and time of filing of each financing statement,
(3) the information provided in each financing statement,
(4) whether there is on file any notice of federal tax lien, or a
certificate or notice affecting such lien, on the date and
time specified in such record naming a particular debtor; and
(5) the date and time of filing of each such notice or
certificate of or affecting a federal tax lien.
(d) Medium for communicating information. In complying with its duty
under subsection (c), the filing office may communicate information in
any medium. However, if requested, the filing office shall communicate
information by issuing its written certificate.
(e) Timeliness of filing office performance. The filing office, except
by a filing office described in Section 9--501 (a) (1), shall perform
the acts required by subsections (a) through (d) at the time and in the
manner prescribed by filing-office rule, but not later than two business
days after the filing office receives the request.
(f) Public availability of records. At least weekly, the secretary of
state shall offer to sell or license to the public on a nonexclusive
basis, in bulk, copies of all records filed in it under this part, in
every medium from time to time available to the filing office.
Section 9--524. Delay by Filing Office.
Delay by the filing office beyond a time limit prescribed by this part
is excused if:
(a) the delay is caused by interruption of communication or computer
facilities, war, emergency conditions, failure of equipment, or other
circumstances beyond control of the filing office; and
(b) the filing office exercises reasonable diligence under the
circumstances.
Section 9--525. Fees.
Fees for filing and services under this chapter shall be determined in
accordance with section ninety-six-a of the executive law.
Section 9--526. Filing-office Rules.
(a) Adoption of filing-office rules. The secretary of state shall
adopt and publish rules to implement this article. The filing-office
rules must be consistent with this article.
(b) Harmonization of rules. To keep the filing-office rules and
practices of the filing office in harmony with the rules and practices
of filing offices in other jurisdictions that enact substantially this
part, and to keep the technology used by the filing office compatible
with the technology used by filing offices in other jurisdictions that
enact substantially this part, the secretary of state, so far as is
consistent with the purposes, policies, and provisions of this article,
in adopting, amending, and repealing filing-office rules, shall:
(1) consult with filing offices in other jurisdictions that enact
substantially this part; and
(2) consult the most recent version of the Model Rules
promulgated by the International Association of Corporate
Administrators or any successor organization; and
(3) take into consideration the rules and practices of, and the
technology used by, filing offices in other jurisdictions
that enact substantially this part.
Section 9--527. Duty to Report.
The secretary of state shall report to the governor, the temporary
president of the senate and the speaker of the assembly on the first day
of July, two thousand two, on the first day of July, two thousand three
and biennially on the first day of July thereafter, on the operation of
the filing office. In addition to a statement on the operation of the
filing office, the report shall contain a statement of the extent to
which:
(a) the filing office rules are not in harmony with the rules of the
filing offices in other jurisdictions that enact substantially this part
and the reasons for such variation; and
(b) the filing office rules are not in harmony with the most recent
version of the Model Rules promulgated by the International Association
of Corporate Administrators, or any successor organization, and the
reasons for these variations.
