513.1Scope
These regulations are to document filing procedures for Uniform Commercial Code filings pursuant to D.C. Law 13-201 effective immediately.
513.2Place to File
A financing statement to perfect a security interest shall be filed with the Recorder of Deeds.
513.3Filing Office Identification
In addition to the promulgation of these rules, the Recorder of Deeds shall disseminate information on its location, mailing address, telephone numbers at the Office of Tax and Revenue Internet site. The filing office offers on-line information at the agency's web site. Additionally, electronic filing of UCC documents is available.
513.4Office Hours
Although the Recorder of Deeds maintains regular office hours (8:30am-4:00pm), it receives transmissions electronically 24 hours per day, 365 days per year, except for scheduled maintenance and unscheduled interruptions of service. Electronic communications may be retrieved and processed periodically (but no less often than once each day the filing office is open for business) on a batch basis.
513.5UCC Document Delivery
UCC documents may be tendered for filing at the Recorder of Deeds.
(a) Electronic filing: UCC documents may be submitted electronically via the agency's online services portal. The filing time for a UCC document delivered by this method is the time that the filing office's 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.(b) Personal delivery: The file time for a UCC document delivered by this method is effective from the date and time of recording provided the record satisfies the requirements for a financing statement in this section.(c) Courier delivery: The filing time for a UCC document delivered by this method is, notwithstanding the time of delivery, the date and time of recording provided the record satisfies the requirements for a financing statement in this section. A UCC document delivered after the close of business as described in section 513.4 (Office Hours) or on a day the recording office is not open for business will have filing time of the close of business on the next day the recording office is open for business.(d) Postal service delivery: The file time for a UCC document delivered by this method is the next close of business day following the time of delivery provided the record satisfies the requirements for a financing statement in this section. A UCC document delivered after the close of business as described in section 513.4 (Office Hours) or on a day the filing office is not open for business will have a recording time of the close of business on the next day the recording office is open for business.513.6Filing Fees
9 DCMR § 336.3 sets basic fees for filing and indexing initial financing statements and other related documents for both, paper or electronic filings. These documents include, but are not limited to:
Security Agreements (chattels)
Financing Statements
Continuation Statements
Termination Statements
Assignment of Financing Statements
Partial Release of Financing Statements
Release of Financing Statements
Statements of Release
Amendments, re-recordings and corrections to security, financing, continuation, termination, assignments, and release statements
513.7Method of Payments-Filing fees and fees for public records services may be paid by the following methods:
(a) Cash - The Recorder of Deeds discourages cash payment unless made in person to the cashier at the filing office;(b) Checks - Checks made payable to the D.C. Treasurer will be accepted for payment;(c) Credit Cards - The Recorder of Deeds accepts payments using credit cards. Filing parties shall provide the recording office agent with the card number, expiration date of the card, the name of the card issuer, the name of the person or entity to whom the card was issued and the billing address for the card. Payments will not be deemed tendered until the issuer or its agent has confirmed to the recording office or its agent that payment will be forth coming.
513.8The Duties and Responsibilities of the Recording Office with respect to the administration of the UCC are ministerial - In accepting for filing or refusing to file a UCC document pursuant to these rules, the filing office does not determine the legal sufficiency or insufficiency of a document; Determine whether or not a security interest in collateral exists; Determine that information in the document is correct or incorrect, in whole or in part.
513.9Grounds for Refusal of UCC Documents - The grounds for refusal by the filing office are set forth in Revised UCC Section 28: 9-516(b).
513.10Time Limit - The recording office shall determine whether criteria exist to refuse acceptance of any UCC Article 9 document recording not later than the second business day after the date the document would have been filed had it been accepted for filing and shall index a UCC document not so refused within the same time period.
513.11Procedure Upon Refusal - If the recording office finds grounds under the rules to refuse acceptance of a UCC document, the filing office shall return the document to the filing party. The recording office shall send a notice that contains the date and time the document would have been filed had it been accepted for filing and a brief description of the reason for refusal to accept the document under the rules. The notice shall be sent to a secured party or the filing party no later than the second (2nd) business day after the determination to refuse acceptance of the document. A refund may be delivered with the notice or under separate cover.
513.12Recorder of Deeds Discretion - The Recorder of Deeds shall have the discretionary authority to refuse to file a document which is determined to be in non-compliance under DC Law 13-201 Section 28: 9-502.
513.13UCC Information Management System - The recording office uses an automated information management system to store, index, and retrieve information relating to financing statements. The information management system includes an index of the names of debtors and secured parties. The rules in this subsection describe the UCC information management system.
513.14Primary Data Elements - The primary elements used in the UCC information system are the following:
(a) Each initial financing statement is identified by its file number. Identification of the initial financing statement is applied to written UCC documents or otherwise permanently associated with the record maintained for UCC documents in the UCC information management system. A record is created in the information management system for each initial financing statement and all information comprising such record is maintained in such system. A UCC record other than an initial financing statement is identified by a unique acknowledgment number assigned by the recording office. In the information system, records of all UCC documents other than initial financing statements are linked to the record of their related initial financing statement.
(b) Type of document - The type of document from which data is transferred is identified in the information management system from information supplied by the remitter.(c) Filing date and time - The filing date and time of UCC documents are stored in the information management system.(d) Identification of parties - The names of debtors and secured parties are transferred from UCC documents to the information management system using one or more data entry or transmittal techniques.(e) Status of financing statement - In the information management system, each financing statement has a status of active unless designated terminated or lapsed.(f) Page count - The total number of pages in a UCC record is maintained in the information management system.513.15Individual Debtors - For the purpose of this rule "individual" means a human being, or a decedent in the case of a debtor that is such decedent's estate. This rule applies to the name of a debtor or a secured party on a UCC document who is an individual.
(a) Individual name fields - The names of individuals are stored in fields that include only names of individuals, and not the names of organizations. Separate data entry fields are established for first, middle and last names. The filing officer assumes no responsibility for the accurate designation of the components of a name but will accurately enter the data in accordance with the filer's designation.(b) Titles and prefixes - Title and Prefixes, such as "Doctors", "Reverend," "Mr.," and "Mrs.," should not be entered in the UCC information system.(c) Title and suffixes after names - Title, suffixes or indications of status such as "M.D." and "Esquire" and "Senior, Junior, III, etc." shall not be entered in the UCC information management system.(d) Truncation Individual names - Personal names fields in the UCC database are fixed in length. Filers should provide full names on their UCC documents. A name that exceeds the fixed length is indexed as presented to the recording office up to 50 characters - the maximum length of the data entry field, and the filing party should check each name field after filing to assure that it is indexed properly.513.16Organization Debtors - This subsection applies to the name of an organizational debtor or a secured party on a UCC document.
(a) Single field - The names of organizations are stored in fields that include only the names of organizations and not names of individuals.(b) Truncation Organization names - The organization name field in the UCC database is fixed in length. Filing parties should provide full names on their UCC documents and should check each name field after recording to assure that it is indexed properly. The maximum length is 50 characters. A name that exceeds the fixed length is entered as presented to the recording officer.513.17Processing and Data Entry Procedures - This section contains a description of the indexing procedure and correspondence procedures followed by the recording office prior to archiving a UCC document or returning the UCC document to the filing party.
(a) Date and Time stamp - The date and time of receipt are noted on the document or otherwise permanently associated with the record maintained for a UCC document in the UCC information management system at the earliest possible time.(b) Cash management - Transactions necessary for payment for the filing fee are performed.(c) Document review - The recording office determines whether a basis exist to refuse the document under (D.C. Code § 28.9 -101 et seq.)(d) File stamp - If there is no ground for refusal of the document, the document is deemed filed, with a unique document number and the file time and date. All such information is permanently associated with the record maintained in the UCC information management system.(e) Lapse date and time - A lapse date is calculated for each initial financing statement. The lapse date is the same date of the same month as the filing date in the fifth year after the filing date or relevant subsequent fifth anniversary thereof if timely continuation statement is filed. The lapse takes effect at midnight at the end of the lapse a date. The relevant anniversary for a February filing date shall be the March 1 in the fifth year following the year of the filing date.(f) Errors of the Filing Office - The recording office may correct the errors of the recording office personnel in the UCC information management system at any time. If the correction is made after the filing office has issued a certification date that indicates the recording date of a corrected document, the filing office shall proceed as follows. A record relating to the relevant initial financing statement will be placed in the UCC information management system stating the date of correction and explaining the nature of the corrective action taken. The record shall be preserved for so long as the record of the initial financing statement is preserved in the UCC information management system.(g) Errors Other than Filing Office Errors - An error by a filing party is the responsibility of such filing party. It can be corrected by filing an amendment.513.18Initial Financing Statement - A new record is opened in the UCC information management system for each initial financing statement that bears the file number of the financing statement and the date and time of filing.
(a) The name and address of each secured party set forth in the financing statement are entered into the record of the financing statement.(b) The record is indexed according to the name of the debtor(s) and is maintained for public inspection.(c) A lapse date is established for the financing statement, unless the initial financing statement indicates it is filed against a transmitting utility, and the lapse date is maintained as part of the record.513.19Amendment - A record that bears the acknowledgment number for the amendment and the date and time of filing is created for the amendment.
(a) The record of the amendment is associated with the record of the related initial financing statement in a manner that causes the amendment to be retrievable each time a record of the financing statement is retrieved.(b) The name of the debtor and the name and address of each secured party are entered into the UCC information management system in the record of the financing statement. Each such additional debtor name is added to the searchable index and is not removed from the information management system of the recording office even after the financing statement lapses. An amendment that changes a debtor's name is cross-indexed in the UCC information management system so that a search under either the debtor's old name or debtor's new name will reveal the initial financing statement and such related UCC records. If the amendment is a continuation, a new lapse date is established for the financing statement and maintained as part of its record.513.20Termination statement - A termination statement shall cause the recording office to designate the financing statement as terminated.
D.C. Mun. Regs. tit. 9, r. 9-513
Final Rulemaking published at 46 DCR 8264 (October 15, 1999); as amended by Final Rulemaking published at 48 DCR 10046 (November 2, 2001); as amended by Final Rulemaking published at 61 DCR 4717 (May 9, 2014)Authority: Section 317 of the District of Columbia Deed Recordation Tax Act of 1962, approved March 2, 1962, as amended (76 Stat. 11; D.C. Official Code § 42-1117 (2012 Repl.)); Section 2(c)(3) of the District of Columbia Recordation of Economic Interests in Real Property Tax Amendment Act of 1989, effective September 9, 1989 (D.C. Law 8-20; 36 DCR 4564 (June 30, 1989)); Section 201(a) of the 2005 District of Columbia Omnibus Authorization Act , approved October 16, 2006 (120 Stat. 2019; Pub.L. 109-356, D.C. Official Code § 1-102.24 d (2012 Repl.)); and the Office of the Chief Financial Officer Financial Management and Control Order No. 00-5, effective June 7, 2000.