§ 2-233 Records.

   (a)   Duty of individual process server to keep records. Each process server must maintain records of all service made by them in compliance with the provisions of section 89-cc of the New York General Business Law and § 20-406.3 of the Administrative Code of the City of New York, as follows:

      (1)   Maintenance of records of service. Process servers must maintain records of all service and attempted service by keeping bound paginated volumes or by storing electronic records with a third party contractor.

         (i)   Bound paginated volumes. Where a process server maintains records in bound paginated volumes, the process server must record each entry separately in chronological order contemporaneous with service or attempted service. The process server must make entries in only one volume at a time, which must contain every attempted and effected service made by the process server, until all of the available space in the volume is filled. A process server who maintains records in bound paginated volumes must also maintain an electronic copy of such volumes by scanning records into an image file that legibly reproduces in all details the original record the process server maintains in bound paginated volumes. Such electronic record must be kept as follows:

            (A)   the image file must be named with the date of the service or attempted service recorded in the bound paginated volume and the process server's license number, and must be date and time stamped with the date and time that the file was created; and

            (B)   such scanning must be done within three business days from the last event recorded in the records; and

            (C)   the process server must save the scanned image file in a manner that:

               (I)   ensures the authenticity, reliability and integrity of the scanned image file;

               (II)   permits the efficient retrieval of the scanned image file;

               (III)   contains a backup support system such that the scanned image file must be capable of being reconstructed if an electronic or computer malfunction or unforeseen incident resulting in the destruction of the system or the information contained therein; and

            (D)   where the process server stores scanned image files on a portable media device, such portable media device must be labeled with the process server's last name, license number and the date range of the records stored on the device;

         (ii)   Electronic records with a third party contractor. Where a process server maintains electronic records with a third party contractor, the process server must submit recorded entries in chronological order to such contractor within three business days of service or attempted service. The process server must enter a contract with a contractor pursuant to which such contractor must be required to provide services and perform functions consistent with 6 RCNY § 2-233(c), provided, however, the process server may use the services and functions for electronic record storage that a process serving agency has made available to process servers under a contract with a third party contractor.

      (2)   Content of records of service. Each record of service and attempted service must include, at a minimum, the following information:

         (i)   name of the process server, which will be entered as last name, first name, provided, however, that where a process server keeps records in bound paginated volumes, the name of such process server may be entered on the first page of each bound paginated volume, rather than each record;

         (ii)   the license number of the process server, which will be specified as a seven-digit number, where the first number must be zero if the process server's license number is less than seven digits, provided, however, that where a process server keeps records in bound paginated volumes, the license number of such process server may be entered on the first page of each bound paginated volume, rather than each record;

         (iii)   the name and license number of the process serving agency from whom the process served was received, or, if not received from a process serving agency, of such other person or firm from whom the process served was received;

         (iv)   whether service was effected, as indicated by a Y for yes or N for no;

         (v)   the title of the action or proceeding or a reasonable abbreviation thereof;

         (vi)   the name of the intended recipient of the process, which must be entered in two data fields such that the first data field is the last name of the intended recipient, or, if not a natural person, the name of the entity, and the second data field is the first name of the intended recipient if a natural person;

         (vii)   the name of the individual to whom process was delivered, which must be entered in two data fields such that the first data field is the last name of the individual, and the second data field is the first name of the individual;

         (viii)   the date that service was attempted or effected, which must be entered as MM/DD/YYYY;

         (ix)   the time service was attempted or effected, which must be entered as military time;

         (x)   the address where service was attempted or effected, which must be entered in five different fields: the first field will be for the building number; the second field will be for the street name; the third field will be for address details, e.g., apartment, suite, floor or room number; the fourth field will be for the city or borough; and the fifth field will be for the ZIP code;

         (xi)   the nature of the papers served;

         (xii)   the court in which the action has been commenced, which must be entered as either Civil Court NYC, Civil Supreme, Criminal, Housing (L/T), or District Court, followed by the county of the court, the judicial department if appellate, or the federal district;

         (xiii)   the full index number, which must be entered with all information necessary to identify the case, such as XXXXX/XX, unless the case is a Civil Local matter, in which case, it will include the prefix of CV, CC, LT, MI, NC, RE, SC, or TS;

         (xiv)   if service was effected pursuant to subdivisions (1) through (3) of CPLR § 308, a description of the person served which must consist of seven fields, including sex, color of skin, hair color, approximate age, height, weight, and any other identifying features provided by the process server;

         (xv)   the type of service delivery, which must be entered as a P for personal delivery service, an S for substituted service, a C for conspicuous service delivery, a CO for corporate service, a PA for partnership service, and a V for VTL service;

         (xvi)   if service was effected pursuant to subdivision (4) of CPLR § 308 or subdivision (1) of RPAPL § 735, a description of the door and the area adjacent including the color and composition of hallway walls, color and composition of hallway floor or doorstep, and location of premises in relation to stairs, elevator or entranceway;

         (xvii)   if service is effected pursuant to RPAPL § 735(1) using registered or certified mail, the postal receipt number of registered or certified mail; and

         (xviii)   if an affidavit or affirmation of service is filed with the court by the process server, the record shall include the date of such filing.

   (b)   Duty of licensed process serving agencies to keep records. Every process serving agency must keep complete and accurate records for each individual process server to whom it assigns or distributes process to be served. Such records must be kept in a searchable manner that permits ready identification of (i) the daily activity of each such individual process server and (ii) any or all process assigned or distributed for service by the name of the person or entity from whom the process serving agency received such papers for service.

      (1)   Maintenance of records. Process serving agencies must maintain electronic records by copying records to an electronic records management system or by submitting records to a third party contractor.

         (i)   Electronic records management system. If the process serving agency elects to store records itself rather than through a third party contractor, it must save the record to an electronic records management system within three business days from the last event recorded in the record. Such electronic records management system must maintain electronic records, including the required records described in 6 RCNY § 2-233(b)(2), in a manner that:

            (A)   ensures the authenticity, reliability and integrity of the electronic records;

            (B)   permits the efficient retrieval of electronic records;

            (C)   contains a backup support system such that the electronic records must be capable of being reconstructed if an electronic or computer malfunction or unforeseen incident results in the destruction of the system or the information contained therein.

         (ii)   Third party contractor. Where a process serving agency maintains its records with a third party contractor, the process serving agency must submit records to such contractor within three business days from the last event recorded in the record. The process serving agency must enter into a contract with such contractor pursuant to which such contractor must be required to provide services and perform functions consistent with 6 RCNY § 2-233(c).

      (2)   Required records. Process serving agencies must maintain, at a minimum, the following records:

         (i)   An electronic file that legibly reproduces the original record of service or attempted service containing all of the individual process server's records maintained pursuant to 6 RCNY § 2-233(a) of this rule for each day on which the individual process server attempted or effected service of the process assigned or distributed to the individual process server by the process serving agency;

         (ii)   A copy of every routing sheet, work order or other written instruction given to the individual process server;

         (iii)   Copies of any notes, memoranda or other writings submitted by the individual process server containing information related to the attempted or effected service of process assigned by the process serving agency;

         (iv)   A copy of every affidavit of service and affirmation of service signed by the individual process server for service assigned by the process serving agency;

         (v)   If an affidavit or affirmation of service is filed with the court by the process serving agency, the record must also include the date of such filing.

   (c)   Storage of records with a third party contractor. Where a process server or process serving agency uses a third party contractor to maintain records consistent with 6 RCNY § 2-233(a)(1)(ii) or 6 RCNY § 2-233(b)(1)(ii), respectively, such process server or process serving agency must enter a contract with such contractor pursuant to which such contractor must be required to provide services and perform functions that include, but are not limited to:

      (1)   maintain a daily backup of all submitted data, and ensure all data is available for review upon request of any and all interested parties;

      (2)   maintain the original electronic record submitted by the process server unaltered for a period of not less than seven years;

      (3)   prohibit the process server, the process serving agency, or any person to alter the original record;

      (4)   maintain the records in a manner that will permit retrieval by the DCWP license number of the process server, the DCWP license number of the process serving agency that has distributed the process for service, the name of the plaintiff or petitioner, the name of the defendant or respondent, the docket number (if any), the name of the person to whom process is delivered and a unique file identifier of the process being served;

      (5)   maintain the records in a manner that will ensure that their integrity is adequate for admissibility in a judicial proceeding under the rules of evidence applicable in the state of New York;

      (6)   provide a backup support system such that the electronic records must be capable of being reconstructed if an electronic or computer malfunction or unforeseen incident results in the destruction of the system or the information contained therein;

      (7)   produce upon request by the Department, a copy of the electronic records, or any reasonably described part involved, certified to be true and accurate;

      (8)   produce to the Department upon request the electronic records containing required information set forth in 6 RCNY § 2-233(a)(2) in the format provided by the Department on its website.

   (d)   Integrity of records. Corrections to bound paginated volumes and electronic records with a third party contractor must be made only as follows:

      (1)   Bound paginated volumes. A process server may make corrections in bound paginated volumes only by drawing a straight line through the inaccurate entry and clearly printing the accurate information directly above the inaccurate entry. All other methods of correction, including but not limited to erasing, opaquing, obliterating or redacting, are prohibited.

      (2)   Electronic records with a third party contractor. A process server and process serving agency must ensure that permissions pertaining to electronic records submitted to a third party contractor will be secured so that the data cannot be deleted upon submission to such contractor. No process server or process serving agency may tamper with data or properties of any electronic record kept pursuant to this section after a file is made by modifying, amending, deleting, rearranging or in any other way altering any such data or properties including, but not limited to, using a meta data scrubber or similar device or program. If a typographical error has occurred or if data contained in the process server or process serving agency's record was accidentally omitted from the electronic data entry, the process server or process serving agency must promptly make an amendment to their records of service with the third party contractor. A process server who attempted or effected process may make other corrective amendment, or supplement (such as concerning filing or additional mailing), to the record of service with the third party contractor. Any amendment must be made by creating a new entry in which the original record must be identified by reference in italics within the new entry.

   (e)   Retention and production of records. 

      (1)   Process servers and process serving agencies must retain all records required to be maintained pursuant to this section for a period of seven years from the date of service. Where a process server is employed as a process server by any person, a copy of such records must also be maintained by such person at such person's principal office for the same period;

      (2)   Upon request by the Department, process servers and process serving agencies must produce a copy of any record they are required to maintain pursuant to this section, or any reasonably described part involved, certified to be true and accurate;

      (3)   Except where a process server maintains records in bound paginated volumes, process servers must produce, upon request by the Department, the information required to be maintained pursuant to 6 RCNY § 2-233(a)(2) in the format provided by the Department on its website;

      (4)   Upon request by the Department, process serving agencies must produce the information required to be maintained pursuant to 6 RCNY § 2-233(a)(2) in the format provided by the Department on its website.

(Amended City Record 9/23/2022, eff. 10/23/2022; amended City Record 12/31/2024, eff. 3/1/2025)

§ 2-233a Electronic Records. [Repealed]

(Repealed City Record 9/23/2022, eff. 10/23/2022)

§ 2-233b Electronic Record of Service / GPS Requirements.

   (a)   General Requirements for GPS. A process server licensed pursuant to this subchapter must comply with the requirement of § 20-410 of the Administrative Code to carry at all times during the commission of their licensed activities, and operate at the time process is served or attempted, a device to establish electronically and record the time, date, and location of service or attempted service as follows:

      (1)   Equipment.

         (i)   The process server must obtain a mobile device, such as a telephone or personal digital assistant, that utilizes the software necessary to make an electronic record of the location where, and the time and date when, the record is made as determined by Global Positioning System ("GPS") technology or Assisted-Global Positioning System ("A-GPS") technology, and labels the record with the network date and time maintained by the mobile device, the DCWP license number of the process server, the DCWP license number of the process serving agency that has distributed the process for service, the name of the plaintiff or petitioner, the name of the defendant or respondent, the docket number (if any), the name of the person to whom process is delivered and a unique file identifier of the process being served.

         (ii)   The mobile device must be equipped with the software necessary to make an electronic record of the location where and time and date when the record is made, as determined by triangulated cell tower signals, if at the time of the effected or attempted service of process a GPS signal is not available.

         (iii)   The mobile device software must automatically add that location, time and date information to the electronic record as soon as a GPS or cellular signal reaches the device if neither a GPS nor a cellular signal is present at the time the process server causes the electronic record to be made.

      (2)   Operation of Equipment.

         (i)   On every occasion that a process server attempts or effects service of process, the process server must ensure that the mobile device makes an electronic record of the GPS location, time and date of the attempted or effected service immediately after attempting or effecting service. If no GPS signal is available at the time of attempted or effected service of process, the location, time and date will be determined by triangulated cell tower signals. The process server is not in compliance with this provision if its electronic record was made before the time of attempted or effected service. There shall be a rebuttable presumption that the process server was not in compliance with this provision if its electronic record is made more than five minutes after the time of attempted or effected service.

         (ii)   Reserved.

         (iii)   Each electronic record must include, at a minimum, the following information:

            (a)   a unique file identifier of the process being served;

            (b)   the name of the plaintiff or petitioner;

            (c)   the name of the defendant or respondent;

            (d)   the full index number, entered with all information necessary to identify the case, such as XXXXXX/XX, unless the case is a Civil Local matter, in which case, it will include the prefix of CV, CC, LT, MI, NC, RE, SC, or TS;

            (e)   the date that service was effected or attempted according to GPS or cellular signals, entered as MM/DD/YYYY;

            (f)    the time that service was effected or attempted according to GPS or cellular signals, entered as military time;

            (g)   the location where service was effected or attempted, which must include building number, street name, address details, e.g., apartment, suite, floor or room number, city or borough, ZIP code, which must be five digits, and latitudinal and longitudinal coordinates returned by the GPS device in decimal degree format;

            (h)   the name of the person to whom process is delivered;

            (i)   the DCWP license number of the process server; and

            (j)   the DCWP license number of the process serving agency that distributed the process for service.

      (3)   Contract for Services. The process server must enter into a contract with an independent third party who will provide services and perform functions described in paragraph (4) of this subdivision that enable the process server to meet the data storage and retrieval requirements set forth in such paragraph ("the GPS Contractor"), provided, however, that if the process server performs process serving activities distributed to them by a licensed process serving agency, the process server may utilize the device and facilities for the electronic record of service that the process serving agency obtains under a contract with a GPS Contractor.

      (4)   Data Storage and Retrieval. The electronic record must be automatically transmitted electronically from the mobile device to the GPS Contractor as soon as a GPS or cellular signal is available and location, date and time are entered into the electronic record. The GPS Contractor must store the electronic record according to the following terms:

         (i)   the original digital file must be maintained by the GPS Contractor unaltered for a period of not less than seven years;

         (ii)   neither the process server nor the process serving agency will be permitted to alter the original data, but may obtain copies of the original data file;

         (iii)   the GPS Contractor must maintain the records in a manner that will permit retrieval by the DCWP license number of the process server, which will be specified as a seven-digit number, where the first number must be zero if the process server's license number is less than seven digits, the DCWP license number of the process serving agency from whom the process served was received, or, if not received from a process serving agency, the name of such other person or firm from whom the process served was received, the name of the plaintiff or petitioner, the name of the defendant or respondent, the docket number (if any), the name of the person to whom process is delivered and a unique file identifier of the process being served;

         (iv)   the GPS Contractor must maintain the records in a manner that will ensure that their integrity is adequate for admissibility in a judicial proceeding under the rules of evidence applicable in the state of New York;

         (v)   the GPS Contractor must produce upon request by the process server or the Department, and to any other party according to an appropriate order or subpoena, a copy of the electronic records, or any reasonably described part involved, certified by the GPS Contractor to be true and accurate;

         (vi)   the GPS Contractor must provide to the process server or the Department upon request a street map in hard copy format and access to an interactive electronic street map that display the locations where the digital records were recorded with a date and time provided by GPS or cellular date and time;

         (vii)   the GPS Contractor must provide to the process server or the Department upon request, and to any other party according to an appropriate order or subpoena, the process server’s electronic record in the format provided by the Department on its website.

   (b)   Provision of Equipment and Services by Process Serving Agency. A process serving agency licensed according to this subchapter may provide to licensed process servers the device and services required by subparagraph (a) according to a contract with an independent third party. For purposes of this Rule, a third party will not be considered independent if any officer or owner of ten percent or more of the shares of the licensed process serving agency has any interest, direct or indirect, in the third party.

   (c)   Report to Department.

      (1)   Within sixty days after the effective date of this Rule a licensed process server must submit to the Department in a form approved by the Commissioner a certification that he or she has secured the contract required by this Rule and identifying the name, address and account number of the GPS Contractor(s) providing the required device and services. After sixty days after the effective date of this Rule, no process server license will be issued or renewed unless the applicant submits such a certificate.

      (2)   A licensed process server must submit to the Department an amended certification within two days of entering into a contract with a different GPS Contractor.

      (3)   In place of submitting the certificates required by the preceding provisions, the licensed process server may submit a certification in a form approved by the Commissioner affirmed by an owner or officer of a licensed process serving agency that the device and services the process server is required to obtain are provided by the agency under a contract with an independent third party.

   (d)   Compliance with all laws. Compliance with the requirements of this Rule does not relieve a licensed process server of the obligation to make or maintain records required by any other federal, state, or local law, rule or regulation.

(Amended City Record 9/23/2022, eff. 10/23/2022; amended City Record 12/31/2024, eff. 3/1/2025)

§ 2-234 Duty to Comply with Law.

The licensee shall at all times strictly and promptly conform to all laws, rules, regulations and requirements of the federal, state and municipal authorities relating to the conduct of licensees and the service of process in the State of New York and the preparation, notarization and filing of affidavits of service; and the preparation and filing of affirmations of service and other documents, now in force or hereafter adopted during any license period.

(Amended City Record 12/31/2024, eff. 3/1/2025)

§ 2-234a Duties of Process Serving Agencies.

   (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)

§ 2-234b Duty of Process Servers to Report Agencies That Assign Service.

   (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)