CLPS Ethics and Laws 3 — Questions and Answers
Question 1: A defendant barricades themselves inside a home and refuses to open the door. Under most state laws, a process server may:
- Break down the door to complete service
- Leave the documents at the door after announcing the purpose and noting the refusal (Correct answer)
- Wait indefinitely until the defendant emerges
- Slide documents under the door and claim personal service
Correct answer: Leave the documents at the door after announcing the purpose and noting the refusal
Many states allow 'nail and mail' or constructive service after a defendant refuses to accept service, with the server documenting the refusal.
Question 2: Which federal law restricts process servers from using deceptive tactics such as impersonating police officers?
- The Lanham Act
- 18 U.S.C. § 912 (impersonating a federal officer) (Correct answer)
- The Fair Debt Collection Practices Act
- The Electronic Communications Privacy Act
Correct answer: 18 U.S.C. § 912 (impersonating a federal officer)
18 U.S.C. § 912 makes it a federal crime to impersonate a federal officer, and state analogues prohibit impersonating any law enforcement officer during process service.
Question 3: When serving a corporation, to whom is service typically directed under state statutes and FRCP 4(h)?
- Any employee present at the business address
- The registered agent, officer, managing agent, or general agent (Correct answer)
- The company's attorney of record only
- The highest-ranking employee on duty at the time
Correct answer: The registered agent, officer, managing agent, or general agent
FRCP 4(h) authorizes service on a corporation by delivering papers to a registered agent, officer, managing agent, or general agent.
Question 4: A proof of service affidavit that contains false statements exposes the process server to liability for:
- Civil contempt only
- Perjury and potential loss of certification (Correct answer)
- Regulatory fines only with no criminal exposure
- A private reprimand from the court
Correct answer: Perjury and potential loss of certification
Because affidavits are sworn statements, false entries constitute perjury and can result in criminal charges, civil liability, and loss of process server certification.
Question 5: What is the primary purpose of the Hague Service Convention for U.S. process servers?
- Standardizing domestic substitute service rules
- Governing the service of process on parties located in foreign member countries (Correct answer)
- Setting minimum fees for international service
- Authorizing email service for cross-border cases
Correct answer: Governing the service of process on parties located in foreign member countries
The Hague Service Convention establishes the procedures for transmitting judicial documents between member countries when parties are located abroad.
Question 6: A process server learns that a subject is in a hospital as a patient. Under most state rules, service:
- Cannot be made in any medical facility
- May be made but should be conducted sensitively and in compliance with HIPAA visitor rules (Correct answer)
- Requires a court order in every state
- Is automatically valid if left with the charge nurse
Correct answer: May be made but should be conducted sensitively and in compliance with HIPAA visitor rules
Most states permit hospital service but servers must comply with facility access rules and state statutes; simply leaving papers with nursing staff may not constitute valid service.
Question 7: Which ethical principle requires a process server to treat all parties equally regardless of which side retained them?
- Confidentiality
- Impartiality and neutrality (Correct answer)
- Fiduciary duty to the client
- Attorney-client privilege by proxy
Correct answer: Impartiality and neutrality
Process servers are officers of the court process and must remain neutral, serving documents accurately without favoritism toward the hiring party.
CLPS Ethics and Laws 3
A defendant barricades themselves inside a home and refuses to open the door.
Under most state laws, a process server may: