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(a) Assignment of Process to Individual Process Servers. A process serving agency must not assign or distribute process for service to an individual process server who:
(1) is not licensed to serve process;
(2) has not complied with the requirements of § 20-406.1 of the Administrative Code;
(3) does not display integrity and honesty in his or her process serving activities; and
(4) does not comply with the recordkeeping requirements applicable to the service of process in the City of New York, including maintaining an electronic record of service.
(b) Compliance Plan. A process serving agency must develop and implement policies and procedures set forth in a written Compliance Plan to ensure that an individual process server acts with integrity and honesty and complies with the recordkeeping requirements applicable to process servers. Such Compliance Plan must include, but not be limited to, the following requirements for process serving agencies:
(1) The process serving agency must take appropriate disciplinary action against an individual process server who fails to comply with the law, including, but not limited to, suspending or terminating its employment, agency or other relationship with the individual process server;
(2) To ensure each process server's compliance with recordkeeping requirements, the process serving agency must:
(i) at least once each month, review for completeness and accuracy the records of each individual process server to whom it assigns or distributes process;
(ii) prepare a monthly written report of its review of the records maintained pursuant to 6 RCNY § 2-233 of each individual process server to whom it assigns or distributes process during that month;
(iii) maintain each monthly report for at least seven years;
(iv) maintain records of any disciplinary actions taken against the individual licensed process server;
(v) report to the Department in writing the name and license number of each individual licensed process server who does not comply with the law governing process servers within ten (10) days of learning of such non-compliance;
(vi) make available, upon request, to the Department a copy of its record review procedures, any written reports of the reviews it maintains, and copies of any referrals of individual process servers to the Department.
(c) Implementation Affirmation. A process serving agency in possession of a license issued by the Department on the effective date of this Rule must submit an affirmation to the Department that it has adopted a written Compliance Plan within sixty (60) days of such effective date. After the effective day of this Rule, no license will be issued or renewed until the process serving agency files with the Department an affirmation that it has adopted a Compliance Plan.
(d) Persons to Whom the Agency Assigns Service.
(1) A process serving agency must notify the Department in a manner designated on its website at the time of its application or renewal, or at such times as requested by the Department of:
(i) the names, addresses, and Department license numbers of each process server who serves process exclusively as an employee of the process serving agency; and
(ii) the names, addresses, and Department license numbers of each process server who serves process on behalf of the process serving agency.
(2) If additional process servers are assigned process by the process serving agency or a new process server is hired to serve process exclusively as an employee of the process serving agency after the date of such application or renewal, the licensee must notify the Department in a manner designated on its website within five (5) days of the new assignment or employee with the names, addresses and Department license numbers of such additional process servers.
(3) If a process server ceases to serve process exclusively as an employee of a process serving agency after the date of such application or renewal, the process serving agency must notify the Department in a manner designated on its website within five (5) days that the process server ceases to serve process exclusively as an employee with the name, address and Department license number of such process server.
(4) The process serving agency must advise the Department of any process server who is misrepresenting his or her license status or his or her compliance with the requirements of § 20-406.1 of the Administrative Code.
(Amended City Record 9/23/2022, eff. 10/23/2022)
(a) A process server must notify the Department in a manner designated on its website of the name and license number of the process serving agency for whom he or she serves process exclusively as an employee when applying for a license or renewal thereof.
(b) A process server must notify the Department in a manner designated on its website of when he or she ceases to exclusively serve process as an employee of a process serving agency within five (5) days that he or she ceases such employment. The process server must include the name and license number of any other process serving agency that he serves process exclusively as an employee.
(c) When applying for a license or renewal thereof, a process server must notify the Department in a manner designated on its website of the name and license number of every process serving agency which he or she has reason to believe assigns process for service to the applicant.
(d) A process server applying for a renewal of a licensee must notify the Department in a manner designated on its website of the name and license number of every process serving agency from which it has accepted assignment of service of process within the previous two years.
(e) A process server must keep a list of the name and address of each process serving agency that assigns service to the process server. The process server must maintain the list for seven years and produce it upon request by the Department.
(Amended City Record 9/23/2022, eff. 10/23/2022)
(a) A licensee may not sign an affirmation of service or notarize or cause to be signed or notarized an affidavit of service until all factual averments have been set forth. The licensee must include their license number on all affidavits of service and affirmations of service signed by them. On each affidavit of service and affirmation of service, the licensee must: (1) specify the papers served; the person who was served; the individual who was delivered service; the date, time and address or place of service; and the manner of service; and (2) set forth facts showing that service was made in an authorized manner. A process server purporting to serve a business entity by delivery of papers to an individual that the process server, upon personal knowledge, avers in the affidavit of service or affirmation of service to be the “agent,” “managing agent” or “general agent,” or other individual authorized to accept service, also must state in the affidavit of service or affirmation of service, at a minimum: (1) that the process server inquired if that individual was authorized to accept service and received an affirmative response; (2) that the process server inquired of the individual their name and job or responsibilities and the individual’s responses; and (3) facts confirming or explaining the statement that the process server knew the individual served was the type of agent specified in the affidavit of service or affirmation of service. The licensee must maintain a copy of each affidavit of service and affirmation of service for at least seven years in electronic form or as a paper copy.
(b) A licensee must not make any false statement in an affidavit of service or affirmation of service.
(c) The commissioner may deny any license application or refuse to renew any license, and, after due notice and opportunity to be heard, may suspend or revoke such license, if the applicant or person holding such license, or where applicable, any of its officers, principals, directors, members, managers, employees, or stockholders owning ten percent or more of the outstanding stock of the corporation, has been found, in connection with the applicant’s or licensee’s business, to have made a false statement in an affirmation of service or affidavit of service.
(Amended City Record 9/23/2022, eff. 10/23/2022; amended City Record 12/31/2024, eff. 3/1/2025)
(a) A licensee may not make any other false statement orally or in writing under oath or affirmation before any court, body, agency, public servant, or other person authorized by law to administer an oath, where the false statement is material to the action, proceeding or matter in which it is made.
(b) The commissioner may deny any license application or refuse to renew any license, and, after due notice and opportunity to be heard, may suspend or revoke such license, if the applicant or person holding such license, or where applicable, any of its officers, principals, directors, members, managers, employees, or stockholders owning ten percent or more of the outstanding stock of the corporation, has been found, in connection with the applicant’s or licensee’s business, to have made such a false statement.
(Added City Record 12/31/2024, eff. 3/1/2025)
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