(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)