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(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)
(a) Whenever a process server or process serving agency receives any type of notice, including an oral communication, that a court has scheduled a hearing to determine whether service of process made or assigned by such licensee was effective, the licensee must submit a report to the Department in the manner designated by the Department on its website within ten days of receiving such notice. Such written report must include:
(1) the title and index number of the action;
(2) the court and the judge before whom the hearing is scheduled;
(3) the date(s) of the hearing; and
(4) the name and license number of every licensee who effected service or assigned or distributed the process for service.
(b) On request, such licensee must provide copies of all records, including but not limited to, routing sheets, the pages of the licensee's log book for each day on which service of the process in issue was attempted or effected, and all affidavits of service and affirmations of service, pertaining to the contested service.
(c) (1) The licensee must attempt to learn the result of such hearing, including any judicial order or voluntary settlement resolving the challenge to service of process, by making a written or email request to the party on whose behalf the challenged service of process was made or the party's attorney for a written report of the result of the hearing. Sixty days after the date of the scheduled hearing, if the party or its attorney has not provided to the licensee a written report of the result of such hearing, the licensee must search for the result in the file in the office of the clerk of the court where such hearing was scheduled to occur. If the clerk's file does not contain a result sixty days after the hearing, the licensee must search for the result in the clerk's file ninety days after the scheduled date of such hearing.
(2) The licensee must report to the Department in the manner designated by the Department on its website (i) within ten days of learning the result, or (ii) that it made attempts to learn the result and was unable to do so not later than one-hundred days after the scheduled date of such hearing.
(Amended City Record 9/23/2022, eff. 10/23/2022; amended City Record 12/31/2024, eff. 3/1/2025)
(a) Pursuant to subdivision c of § 20-406.3 of the Administrative Code, the Department may audit any process server that has served at least one summons, subpoena, notice, citation or other process, directing an appearance or response to a legal action, legal proceeding or administrative proceeding that is subject to the provisions of section 110 of the civil court act. In conducting such an audit, the Department may issue a subpoena by email to a process server for the period identified by the Department in such subpoena for the following records no longer than two months:
(1) Records that a process server is required to maintain pursuant to 6 RCNY § 2-233(a);
(2) Affidavits of service and affirmations of service filed with a court by a process server or on behalf of a process server related to service;
(3) Records of the GPS location, time and date of attempted or effected service of process made pursuant to 6 RCNY § 2-233b(a)(2); and
(4) Documents sufficient to identify all traverse hearings scheduled to occur, whether or not held, by any court, including courts outside of New York City, concerning process served or attempted to be served, and any result of such hearings.
(b) Records described by paragraphs one through three of subdivision a of this section must be produced in electronic form, unless otherwise specified by the Department, and records described by paragraph four of subdivision a of this section may be produced in paper or electronic form. Records described in paragraph two of subdivision a of this section must be produced in chronological order.
(c) A process server must comply with each document production demand in a subpoena from the Department within 20 days of the date on which the subpoena was issued, provided that the monetary penalties authorized by 6 RCNY § 6-30 for violation of 6 RCNY § 2-240 will not apply while such subpoena is the subject of a pending judicial proceeding. Each failure to comply with a document production demand in a subpoena is a separate violation.
(d) By February 1st and August 1st of each calendar year, a process server must submit, by electronic means, a certification to the Department stating whether it has served at least one summons, subpoena, notice, citation or other process, directing an appearance or response to a legal action, legal proceeding or administrative proceeding that is subject to the provisions of section 110 of the civil court act in the most recent six-month period, as follows: the February 1st certification must cover the six-month period from July through December of the previous year; the August 1st certification must cover the six-month period from January through June of the current year.
(e) Nothing in this section limits the Department's authority to request or inspect records or information pursuant to any other provisions of law or rule, including, but not limited to, the Commissioner's authority to conduct audits of process servers and process serving agencies pursuant to the first sentence of subdivision c of § 20-406.3 of the Administrative Code.
(f) A process server or process serving agency must produce each subpoenaed or requested document and record they are required to maintain pursuant to law or rule, even where they maintain their records with a third party. Each failure to comply is a separate violation.
(Added City Record 5/11/2020, eff. 6/10/2020; amended City Record 9/23/2022, eff. 10/23/2022; amended City Record 12/31/2024, eff. 3/1/2025)
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