(a) General requirements.

1. (1) The filing officer maintains for public inspection a searchable index for all active records in the UCC information management system.
2. (2) Active records will be retrievable by the name of the debtor or by the file number of the related initial financing statement, and each active record related to an initial financing statement is retrieved with the initial financing statement using either retrieval method.

(b) Search request delivery.

1. (1) UCC search requests may only be made using a UCC11 form and may be delivered to the filing office by any of the means by which UCC records may be delivered to the filing office.
2. (2) A UCC11 form may include only one (1) debtor per form.
3. (3) Multiple search requests may be submitted at the same time, but each debtor must be listed on a separate UCC11 form.
4. (4) If a search request is delivered at the same time as the initial financing statement, the search will be processed after the initial financing statement is filed.

(c) Search requests — Required information. Search requests shall include the following:

1. (1)

   1. (A) Name searched. A search request must set forth the name of the debtor to be searched using designated fields for organization and individual first personal name, additional name or names/initial or initials, and surname.
   2. (B) A search request will be processed using the data and designated fields as submitted, including the submission of no data in a given field, without regard to the nature or character of the debtor that is the subject of the search;
2. (2) Requesting party. The name and address of the person to whom the search results are to be sent; and
3. (3) Fee. The appropriate fee shall be tendered by a method described in 4 CAR § 31-107.

(d) Search requests — Optional information. Search requests may include the following:

1. (1) Copies. The request may limit copies of UCC records that would normally be provided with a search report by requesting that no copies be provided;
2. (2) Scope of search. A search request may ask for a search that reports all active records retrieved by the search rather than only unlapsed records retrieved by the search;

3. (3) Mode of delivery. A search request may specify a mode of delivery for search results and that request will be honored if:

   1. (A) The requested mode is made available by the filing office; and
   2. (B) All requisite fees are tendered; and

4. (4) Search request with filing.

   1. (A) If a filer requests a search at the time an initial financing statement is filed by submitting a search request with the initial financing statement at the time it is tendered for filing, the search request shall be deemed to request a search to be conducted as soon as practicable such that it would include all relevant UCC records filed on or prior to the date the initial financing statement is filed.
   2. (B) A search request may only be made using a UCC11 form.

(e) Search methodology.

1. (1)

   1. (A) Search results are produced by the application of search logic to the name presented to the filing officer.
   2. (B) Human judgment does not play a role in determining the results of the search.

2. (2) Standard search logic. The following rules describe the filing office’s standard search logic and apply to all searches:

   1. (A) There is no limit to the number of matches that may be returned in response to the search criteria;
   2. (B) No distinction is made between upper and lower case letters;
   3. (C) The character “&” (the ampersand) and the characters “and” are interchangeable;
   4. (D)

(i) Punctuation marks and accents are disregarded.

1. (ii) For the purposes of these rules, punctuation includes all characters other than the numerals 0 through 9 and the letters A through Z (in any case) of the English alphabet;

   1. (E) The following words and abbreviations at the end of an organization name that indicate the existence or nature of the organization are disregarded to the extent practicable as determined by the filing office’s programming of its UCC information management system:

      1. (i) Agency;
      2. (ii) Association;
      3. (iii) Assn;
      4. (iv) Associates;
      5. (v) Assc;
      6. (vi) Assoc;
      7. (vii) Attorneys at law;
      8. (viii) Bank;
      9. (ix) National bank;
      10. (x) Business trust;
      11. (xi) Charter;
      12. (xii) Chartered;
      13. (xiii) Company;
      14. (xiv) Co;
      15. (xv) Corporation;
      16. (xvi) Corp;
      17. (xvii) Credit union; (xviii) CU;
      18. (xix) Federal savings bank;
      19. (xx) FSB;
      20. (xxi) General partnership;
      21. (xxii) Genpart; (xxiii) GP;
      22. (xxiv) Incorporated;
      23. (xxv) Inc;
      24. (xxvi) Limited; (xxvii) Ltd; (xxviii) Ltee;
      25. (xxix) Limited liability company;
      26. (xxx) LC;
      27. (xxxi) LLC; (xxxii) LLLP; (xxxiii) Limited liability partnership; (xxxiv) Limited liability limited partnership;
      28. (xxxv) LLP; (xxxvi) Limited partnership; (xxxvii) LP; (xxxviii) Medical doctors professional association; (xxxix) MDPA;
      29. (xl) Medical doctors professional corporation;
      30. (xli) MDPC;
      31. (xlii) National association; (xliii) NA;
      32. (xliv) Partners;
      33. (xlv) Partnership;
      34. (xlvi) Professional association; (xlvii) Prof Assn; (xlviii) PA;
      35. (xlix) Professional corporation;
      36. (l) Prof Corp;
      37. (li) PC;
      38. (lii) Professional limited liability company;
      39. (liii) Professional limited liability co.;
      40. (liv) PLLC;
      41. (lv) Railroad;
      42. (lvi) RR;
      43. (lvii) Real estate investment trust; (lviii) REIT;
      44. (lix) Registered limited liability partnership;
      45. (lx) RLLP;
      46. (lxi) Savings association;
      47. (lxii) SA; (lxiii) Service corporation;
      48. (lxiv) SC;
      49. (lxv) Sole proprietorship;
      50. (lxvi) SP; (lxvii) SPA; (lxviii) Trust;
      51. (lxix) Trustee;
      52. (lxx) As trustee; and
      53. (lxxi) OD;
   2. (F) The word “the” at the beginning of an organization debtor name is disregarded;
   3. (G) All spaces are disregarded;

   4. (H)

      1. (i) For first personal names, additional name or names, and initial or initials of individual debtor names, initials are treated as the logical equivalent of all names that begin with such initials, and first personal name and no additional name or names/initial or initials is equated with all additional name or names/initial or initials.
      2. (ii) For example, a search request for “John A. Smith” would cause the search to retrieve all filings against all individual debtors with “John” or the initial “J” as the first personal name, “Smith” as the surname, and with the initial “A” or any name beginning with “A” in the additional name or names/initial or initials field.
      3. (iii) If the search request were for “John Smith” (first personal and surnames with no designation in the additional name or names/initial or initials name field), the search would retrieve all filings against individual debtors with “John” or the initial “J” as the first personal name, “Smith” as the surname and with any name or initial or no name or initial in the additional name or names/initial or initials field;
   5. (I) If the name being searched is the surname of an individual debtor without any first personal name or additional name or names/initial or initials provided, the search will retrieve from the UCC information management system all unlapsed records or, if requested by the searcher, all active records that pertain to financing statements with individual debtor names that consist of such surname, additional name or names/initial or initials, and no first personal name; and
   6. (J) After using the preceding rules to modify the name being searched, the search will retrieve from the UCC information management system all unlapsed records, or, if requested by the searcher, all active records that pertain to financing statements with debtor names that, after being modified as provided in this section, exactly match the modified name being searched.

(g) Search responses. Response to a search request shall include the following:

1. (1) UCC record request acknowledgment. The record request acknowledgement shall contain the following:

   1. (A) Filing office identification. Identification of the filing office responsible for the search report;
   2. (B) Requester. The name and address to which the request is to be returned;
   3. (C) Document number. The document number of the information request form (UCC11); and
   4. (D) Record request items. List of request items, item fee and total fee charged for search;
2. (2) Copy of information request. File marked copy of information request form (UCC11);

3. (3) UCC filing search records report. The filing office shall include the following information on a report for each search:

   1. (A) Filing office identification. Identification of the filing office responsible for search report;
   2. (B) Through date. The date at or prior to which a UCC record must have been filed with the filing office in order for it to be reflected on the search;
   3. (C) Search date and time. The date and time the report was generated;
   4. (D) Search criteria. A summary of the search criteria used to complete the search;

   5. (E)

      1. (i) Identification of financing statement. Identification of each initial financing statement, including a listing of all related amendments, information statements, or filing officer notices, filed on or prior to the through date corresponding to the search criteria (including whether the searcher has requested active records or only unlapsed records).
      2. (ii) Financing statement information shall include, but is not limited to the following:

(b) (b) Filing type;

1. (c) (c) Initial financing statement filing date and time;

   1. (d) (d) Lapse date as calculated as of the through date and time;

(h) (h) The secured party name or names that appear or appears of record;

1. (i) (i) The secured party address or addresses that appear or appears of record;

(k) (k) The date and time each amendment, if any, was filed;

1. (l) (l) The amendment file number of each amendment, if any;

   1. (m) (m) The date and time an information statement, if any, was filed; and

(n) (n) The date and time a filing officer statement, if any, was filed; and

1. (F) Certification language. A report created by the filing officer in response to a request shall contain the following statement:

   1. (i) If the search returned results (copies request): “The undersigned, as Secretary of State, hereby certifies that the above is a listing of all available documents now in my lawful custody and possession, as the same are filed in the Uniform Commercial Code section of my office as of mm/dd/yyyy at hh:mm a.m./p.m. and which name the above debtor. My acceptance for filing and custody of these documents in no way confirms, denies, or implies, the legal effect, or enforceability of the attached documents.”

      1. (ii) If the search returned results (no copies request): “The undersigned, as Secretary of State, hereby certifies that the above is a listing of all available documents now in my lawful custody and possession, as the same are filed in the Uniform Commercial Code section of my office as of mm/dd/yyyy at hh:mm a.m./p.m. and which name the above debtor. My acceptance for filing and custody of these documents in no way confirms, denies, or implies, the legal effect, or enforceability of the attached documents.”
      2. (iii) If the search returned no results: “The undersigned, as Secretary of State, hereby certifies that there are no documents filed in the Uniform Commercial Code section of my office as of mm/dd/yyyy at hh:mm a.m./p.m. which name the above debtor.”; and
2. (4) Copies. Copies of all UCC records retrieved by the search unless no copies are requested.

(h) Search responses for specific copies only. Response to a search request for specific copies only shall include the following:

1. (1) UCC record request acknowledgement. The record request acknowledgement shall contain the following:

   1. (A) Identification of the filing office responsible for search report;
   2. (B) The name and address to which the request is to be returned;
   3. (C) The document number of the information request form (UCC11); and
   4. (D) List of request items, item fee and total fee charged for search;
2. (2) Copy of information request. File marked copy of information request form (UCC11);

3. (3) Certificate. The filing office shall include the following information on a certificate for each request:

   1. (A) Identification of the filing office responsible for the certificate;
   2. (B) A summary of the search criteria used to complete the search;
   3. (C) The file number of the document;
   4. (D) The date the document was filed;
   5. (E) The time the document was filed;
   6. (F) The type of document filed;
   7. (G) A certificate created by the filing officer in response to a request shall contain the following statement: “In testimony whereof, I have hereunto set my hand and Affixed hereto the seal of the Secretary of State.”; and
   8. (H) The date and time the certificate was generated; and
4. (4) Copies. Copies of all UCC records retrieved by the request for specific copies only.