Province of Alberta GOVERNMENT ORGANIZATION ACT PERSONAL PROPERTY REGISTRY ACCREDITATION AND DOCUMENT HANDLING REGULATION Alberta Regulation 235/2007 With amendments up to and including Alberta Regulation 68/2015 Office Consolidation Published by Alberta Queen s Printer Alberta Queen s Printer 7 th Floor, Park Plaza 10611-98 Avenue Edmonton, AB T5K 2P7 Phone: 780-427-4952 Fax: 780-452-0668 E-mail: qp@gov.ab.ca Shop on-line at www.qp.alberta.ca
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(Consolidated up to 68/2015) ALBERTA REGULATION 235/2007 Government Organization Act PERSONAL PROPERTY REGISTRY ACCREDITATION AND DOCUMENT HANDLING REGULATION Table of Contents 1 Interpretation Part 1 Designation of Registry 2 Designation of registry Part 2 Accreditation 3 Accredited person 4 Application for accreditation 5 Examination 6 Accreditation of applicant 7 Duty to inform applicant of accreditation Part 3 Document Handling 8 Assigning user ID 9 Requirement to be employed by transmitting party 10 Use of user ID 11 Transmittal of designated documents 12 Effect of authorization and transmittal 13 Duty of Registrar on receiving transmittal 14 Responsibility re user ID Part 4 Suspension and Cancellation of Accredited Person s Access to Registry 15 Inspections and audits 16 Suspension or cancellation of access to registry 17 Objection process following suspension or cancellation
Section 1 AND DOCUMENT HANDLING REGULATION AR 235/2007 Part 5 General Provisions 18 Personal Property Registry 19 Effect of using user ID 20 Forms 21 Service charges 22 Powers of Registrar under other enactments 23 Expiry Schedule Interpretation 1(1) In this Regulation, (a) accredited person means a person who successfully obtains accreditation pursuant to this Regulation; (b) designated document means an electronic version of a form, including a financing statement and a financing change statement, that has been designated by the Registrar under section 7(2) of Schedule 12 as a designated document for the purposes of this Regulation; (c) electronic access agreement means an agreement referred to in section 3(1) or 6(1) of Schedule 12, pursuant to which a registry agent or other person (i) is provided electronic access to the Personal Property Registry, and (ii) is authorized to transmit in accordance with this Regulation and the terms of that agreement; (d) information includes data in an electronic format; (e) other applicable enactment means any enactment other than Schedule 12, this Regulation and the Personal Property Security Act that governs or affects the operation of the Personal Property Registry; (f) Registrar means the Registrar of Personal Property under the Personal Property Security Act; (g) registry has the meaning given to it in section 1 of Schedule 12; (h) Schedule 12 means Schedule 12 to the Government Organization Act; 2
Section 2 AND DOCUMENT HANDLING REGULATION AR 235/2007 (i) transmitting party means a registry agent or other person who is authorized by the Registrar pursuant to an electronic access agreement to effect the registration of designated documents in the Personal Property Registry; (j) user ID means a unique identifier assigned to an accredited person pursuant to section 8, which may include but is not limited to a password, token, card or biometrics. (2) Any reference in this Regulation to transmit, transmitted or transmittal is to be taken to refer to the sending by a transmitting party of a designated document to the Registrar in order to effect the registration of the document in the Personal Property Registry. (3) Any reference in this Regulation to the authorizing of a designated document for processing is to be taken to refer to the document s being authorized for processing within the meaning of section 7(1)(f) of Schedule 12. Part 1 Designation of Registry Designation of registry 2 The Personal Property Registry is designated as a registry to which section 7 of Schedule 12 applies. Part 2 Accreditation Accredited person 3 For the purposes of Schedule 12, a person may become accredited to carry out functions respecting document authorization, including a transmittal, by obtaining accreditation in accordance with this Regulation. Application for accreditation 4(1) A person may obtain accreditation by applying to the Registrar in the form and manner set by the Registrar. (2) An application under subsection (1) must include (a) the applicant s name, (b) the applicant s residential and business addresses and telephone numbers, 3
Section 5 AND DOCUMENT HANDLING REGULATION AR 235/2007 (c) the name of the employer for whom the applicant will be carrying out functions respecting document authorization, including a transmittal, and (d) any other information requested by the Registrar. Examination 5(1) The Registrar may require an applicant to write an examination set by the Registrar. (2) An applicant who is required to write an examination or who challenges an examination must achieve a score on the examination that is acceptable to the Registrar. (3) The Registrar is authorized to collect and retain (a) an applicant s completed examination, and (b) an applicant s score on the examination. Accreditation of applicant 6 Where an applicant achieves an acceptable score on the examination, the Registrar may accredit the applicant. Duty to inform applicant of accreditation 7 Where the Registrar accredits an applicant, the Registrar must (a) confirm in writing to the applicant that the applicant is an accredited person, and (b) advise the applicant of the specific designated documents in respect of which the applicant is accredited to carry out functions respecting document authorization, including a transmittal. Part 3 Document Handling Assigning user ID 8 The Registrar may assign a user ID to an accredited person and provide the user ID to the accredited person. Requirement to be employed by transmitting party 9 Before an accredited person is eligible to carry out functions respecting document authorization, including a transmittal, the accredited person must be employed by a transmitting party. 4
Section 10 AND DOCUMENT HANDLING REGULATION AR 235/2007 Use of user ID 10 When carrying out functions respecting document authorization, including a transmittal, the accredited person must use the accredited person s user ID to enable the Registrar (a) to identify the accredited person, and (b) to ensure that the accredited person is accredited to carry out those functions. Transmittal of designated documents 11(1) If designated documents are required or permitted by or under the Personal Property Security Act or any other applicable enactment to be registered by or sent or delivered to the Registrar, the designated documents must be registered, sent or delivered by being transmitted. (2) An accredited person must ensure that a designated document that is to be transmitted (a) is transmitted in the manner and in the electronic format established by the Registrar, and (b) contains the information required by the Registrar, this Regulation and the Personal Property Security Act or other applicable enactment. Effect of authorization and transmittal 12 The authorization of a designated document for processing, including a transmittal, constitutes a request to the Registrar that the Registrar, in accordance with the Personal Property Security Act or other applicable enactment, as modified by Schedule 12 and this Regulation, register, maintain or otherwise deal with the designated document authorized or transmitted. Duty of Registrar on receiving transmittal 13(1) On receiving a transmittal, the Registrar must (a) issue by electronic or other means the appropriate verification statement or other document authorized by the Personal Property Security Act or other applicable enactment, and (b) maintain in the electronic database of the Personal Property Registry the designated document and the information contained in the transmittal and the verification statement or other document for the life of the registration plus 90 days. 5
Section 14 AND DOCUMENT HANDLING REGULATION AR 235/2007 (2) A verification statement or other document referred to in subsection (1)(a) may be printed out by the accredited person. (3) If a verification statement or other document is issued under subsection (1)(a) and provided to an accredited person, the accredited person must provide that verification statement or other document to the secured party who is entitled to receive it. Responsibility re user ID 14(1) An accredited person is responsible for the security and use of that person s user ID. (2) An accredited person is responsible for all transmittals that include that person s user ID. Part 4 Suspension and Cancellation of Accredited Person s Access to Registry Inspections and audits 15 The Registrar or a person on the Registrar s behalf may conduct regular inspections and audits of any or all functions carried out by an accredited person (a) to determine whether any training that may be provided to accredited persons is appropriate to enable accredited persons to carry out those functions in a manner that complies with this Regulation and any other applicable enactment, and (b) to determine whether an accredited person is competent and is carrying out all functions in a manner that complies with this Regulation and any other applicable enactment. Suspension or cancellation of access to registry 16 The Registrar may suspend or cancel an accredited person s access to the Personal Property Registry if, as a result of an inspection or audit under section 15, the Registrar is of the opinion that the accredited person (a) fails to carry out all functions in a manner that complies with this Regulation and any other applicable enactment, (b) has in a period of 18 months carried out fewer than 10 functions respecting document authorization, 6
Section 17 AND DOCUMENT HANDLING REGULATION AR 235/2007 (c) engages in activities that are harmful to the operation or reputation of the Registrar or the Personal Property Registry, (d) alters the accreditation of the accredited person, (e) has obtained accreditation on the basis of (i) misrepresentation or fraud, (ii) an error in the information provided to the Registrar, or (iii) an irregularity in writing the examination under section 5, (f) permits any other person to use the accredited person s user ID for any purpose, or (g) uses another accredited person s user ID for any purpose. Objection process following suspension or cancellation 17(1) Where the Registrar suspends or cancels an accredited person s access to the Personal Property Registry under section 16, the Registrar must provide a notice, in writing, to the accredited person (a) advising that the accredited person s access to the Personal Property Registry has been suspended, for a specified period or until further notice, or cancelled, as the case may be, (b) setting out the reasons for the suspension or cancellation, (c) setting out the conditions that apply to the accredited person during a suspension, if any, and (d) advising that the accredited person has a period of 30 days following the date of the notice to object to the suspension or cancellation. (2) An objection must be in the form set by the Registrar and must include reasons why the accredited person s access to the Personal Property Registry should be reinstated. (3) On receiving an objection, the Registrar must reconsider the decision to suspend or cancel in light of the accredited person s objection. (4) The Registrar may 7
Section 18 AND DOCUMENT HANDLING REGULATION AR 235/2007 (a) reinstate or vary the accredited person s access to the Personal Property Registry following a review, or (b) uphold the suspension or cancellation. (5) The Registrar must notify the accredited person, in writing, of (a) the decision, (b) the reasons for the decision, and (c) where the decision is to uphold a suspension, the period of the suspension and any conditions that apply to the accredited person during the suspension. (6) An accredited person whose access to the Personal Property Registry is cancelled may re-apply in accordance with section 4 to obtain accreditation. Part 5 General Provisions Personal Property Registry 18 All designated documents that have been transmitted to the Registrar for registration in the Personal Property Registry, the information contained in a transmittal and any verification statement or other document issued under section 13(1)(a) form part of the Personal Property Registry. Effect of using user ID 19 The use of a user ID to transmit a designated document or to authorize a designated document for processing in accordance with this Regulation has the same evidentiary force as if the accredited person had signed a paper document containing the information transmitted or authorized for processing. Forms 20 The forms to be used in respect of the Personal Property Registry and in carrying out functions respecting document authorization and transmittals are the electronic forms established by the Registrar. Service charges 21(1) The service charges payable to the Registrar with respect to a transmittal, a search and any other related services are those set out in the Schedule. 8
Section 22 AND DOCUMENT HANDLING REGULATION AR 235/2007 (2) The Registrar may waive a service charge referred to in subsection (1) that is payable (a) by a department or an agency of the Government, or (b) by a Provincial agency as defined in the Financial Administration Act where the Registrar is satisfied that the department, agency or Provincial agency will not recover the service charge from another person. Powers of Registrar under other enactments 22 Nothing in this Regulation is to be construed so as to restrict any of the powers of the Registrar under the Personal Property Security Act, Schedule 12 or any other applicable enactment. Expiry 23 For the purpose of ensuring that this Regulation is reviewed for ongoing relevancy and necessity, with the option that it may be repassed in its present or an amended form following a review, this Regulation expires on October 31, 2020. AR 235/2007 s23;68/2015 Registrations 1 To register a financing statement covering Schedule Service Charges (a) a security agreement under the Personal Property Security Act or a registration under the Sale of Goods Act or the Factors Act $2 per year for optional registration life from 1 to 25 years, or $400 for infinity registration life (b) any other registration authorized under any Act to be made at the Personal Property Registry $5 9
Schedule AND DOCUMENT HANDLING REGULATION AR 235/2007 2 To register a writ of enforcement under the Civil Enforcement Act $10 3 To register a financing change statement covering (a) a renewal of a registration relating to a security agreement under the Personal Property Security Act or a registration under the Sale of Goods Act or the Factors Act (b) an amendment other than a renewal or total discharge (c) a renewal referred to in clause (a) and an amendment referred to in clause (b) (d) a total discharge $2 per year for optional renewal registration life from 1 to 25 years, or $400 for infinity renewal registration life the greater of the fee for the renewal or the amendment 4 To register (a) a status report to renew a writ of enforcement $5 (b) a status report, other than one referred to in clause (a), to amend a writ of enforcement 5 To register a stay 6 To register (a) a civil enforcement agency report in respect of a seizure $5 (b) an amendment to a civil enforcement agency report in respect of a seizure 10
Schedule AND DOCUMENT HANDLING REGULATION AR 235/2007 (c) a civil enforcement agency report in respect of a sale or distribution or an amendment to a civil enforcement agency report in respect of a sale or distribution 7 To register (a) a maintenance order $5 (b) a status report to amend a maintenance order 8 To register a Global Financing Change Statement 9 To register (a) a writ of seizure and sale (federal writ) $10 (b) a status report to renew a writ of seizure or sale (federal writ) $5 (c) a status report to amend a writ of seizure or sale (federal writ) (d) a disposition of land $5 (e) an amendment report of disposition of seized land Search Requests 1 To obtain a distribution seizure search for the purposes of the Civil Enforcement Act $1 2 To obtain any other search result Miscellaneous 1 To obtain periodic reports or secured party search reports $1 for each name, serial number or registration number searched $0.50 for each registration disclosed 11
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