(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 as three different fields such that one field will be for the street address and any apartment, suite, or room number, the second field will be for the city or borough, and the third 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 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 signed by the individual process server for service assigned by the process serving agency;
(v) If an affidavit 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 an MS Excel spreadsheet of the electronic records containing the fields and data format set forth in 6 RCNY § 2-233(a)(2).
(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) as an MS Excel spreadsheet in a 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) as an MS Excel spreadsheet in a format provided by the Department on its website.
(Amended City Record 9/23/2022, eff. 10/23/2022)