What is an OATH Summons?

Immediately Hazardous Summons (Class 1) are those where the violating condition(s) poses a threat that severely affects life, health, safety, property, the public interest, or a significant number of persons so as to warrant immediate corrective action, or are those specified as such by the NYC Construction Codes.

Class 1 summonses must be corrected immediately and a Certificate of Correction must be filed with DOB to prove the violating condition(s) have been corrected. Immediately Hazardous (Class 1) Summonses that are not corrected and certified as corrected in a timely manner, face additional DOB civil penalties of at least $1,500 and re-inspections every 60 days.

Upon re-inspection, if it is determined the condition remains or an acceptable Certificate of Correction has not been filed with DOB, additional summonses may be issued. To avoid the $1,500 civil penalty and further re-inspections of the condition, certify the summons as corrected with the Department's Administrative Enforcement Unit (AEU).

Major Violations (Class 2) are those where the violating condition(s) affect life, health, safety, property, or the public interest but do not require immediate corrective action, or those specified as such by the Construction Codes.

Lesser Violations (Class 3) are those where the violating condition(s) has a lesser affect than an Immediately Hazardous (Class 1) or Major (Class 2) violation on life, health, safety, property, or the public interest. To determine whether your summons is an Immediately Hazardous (Class 1), Major (Class 2) or Lesser (Class 3) Violation, refer to the OATH Summons or Notice of Violation received or consult the DOB Penalty Schedule.

An OATH Summons may require the person/entity named on the summons to appear at a hearing. If a hearing is required, attend the scheduled hearing at the OATH Hearings Division (Office of Administrative Trials and Hearings).

NOTE: OATH is the City's central independent administrative law court. The OATH Hearings Division is responsible for holding hearings on summonses issued by DOB. OATH is not part of DOB and does not issue summonses/violations.

Unless the summons has been dismissed as a result of a hearing held at OATH, a Certification of Correction must be submitted to Department's Administrative Enforcement Unit (AEU).

• Obtain the required permits to correct the violating condition(s).
• Correct all violating condition(s) and pay all applicable DOB civil penalties.
• Certify the summons/violation as corrected with AEU.

NOTE: Certificates of Correction (AEU2) can be submitted any time after the summons is issued, except summonses issued for filing a Certificate of Correction containing materially false statement(s). In such a case, you must attend your hearing before you can certify correction with DOB.

If a hearing is required, attend the scheduled hearing at the OATH Hearings Division. Get additional information on resolving an OATH summons.

Curing the Summons: Zero Penalty, No Hearing

If the DOB Penalty Schedule indicates a summons is eligible for a CURE, the summons may be cured. To do so, correct all violating condition(s) and submit an acceptable Certificate of Correction on or before the CURE Date. If approved, you do not have to attend the hearing or pay a penalty. To determine CURE eligibility, see the DOB Penalty Schedule (1 RCNY 102-01).

Stipulation (Pre-Hearing): Reduced Penalty Imposed

For certain summonses/violations, DOB will offer a stipulation agreement that allows a respondent to admit guilt in exchange for additional time to correct the violating condition(s). If the summons/violation is certified as corrected by the stipulation compliance due date, the respondent is not required to attend the hearing and a reduced penalty is imposed by OATH.

Default: Maximum Penalty Imposed

• Summonses/violations require a response. Possible responses are:
• admit to the violation by curing the summons;or
• admit to the violation by accepting a stipulation agreement;or
• admit to the violation by paying the penalty prior to the scheduled hearing;or
• attend the scheduled hearing to dispute the summons.

NOTE: Those who do not cure, stipulate, pay the penalty or attend the hearing face higher default penalties, up to $25,000, depending on the violation.

All violating condition(s) must be corrected and certified as corrected with the NYC Department of Buildings. To certify correction, you must use an eFiling account to log into DOB NOW and select the BIS portal.

From the DOB NOW BIS portal, select +Certificate of Correction Review Request and enter the required fields including the Summons number. Select Save and then in the Documents section, upload completed applicable AEU2, AEU3321, or AEU20 forms and any other required documents. After completing the Statements & Signature section, select Submit. The request will not be reviewed by AEU until the Submit button is selected and confirmation is given for it to be submitted.

An email notification will be sent to the applicant with the status of the review. If the request is disapproved, a new request must be submitted.

To get OATH forms and for general information relating to a Certificate of Correction submission or OATH Summonses about summonses, contact the AEU Customer Service Team through the online help form or call (212) 393-2405 between 8:30 am to 4:00 pm, Monday through Friday (except Holidays).

The paper Certificate of Correction affidavit and statement forms (AEU2, AEU3321 and AEU20) can no longer be sent or delivered in person to the Administrative Enforcement Unit. To submit a Certificate of Correction request, use an eFiling account to log into DOB NOW and select the BIS Options portal. See the Certificate of Correction Request User Guide for more information.

For information on about Hearing Options, OATH imposed penalties Stipulation Agreements, contact the OATH Hearings Division at 844-OATH-NYC (844-628-4692) or visit the OATH website.

No. Summonses issued for illegal conversions are subject to additional daily penalties. To limit the imposition of additional daily penalties ($1,000/day), certify correction as soon as possible. Daily penalties continue to accrue until the summons is certified as corrected. These penalties are imposed by OATH. The maximum allowable penalty is $45,000.

Work Without a Permit

If a summons/violation was issued for Work Without a Permit, DOB civil penalties apply. These penalties must be paid or waived before a Certificate of Correction will be approved. Proof of payment or an approved waiver must be submitted with the Certificate of Correction application.

NOTE: Work Without a Permit civil penalties must be paid in the DOB borough office where the summons/violation was issued.

Immediately Hazardous (Class 1) Summonses

Class 1 summonsesmust be corrected immediately and a Certificate of Correction must be filed with AEU to prove the violating condition(s) have been corrected. Immediately Hazardous (Class 1) Summonses that are not corrected and certified as corrected in a timely manner, face additional DOB civil penalties of $1,500 and re-inspections every 60 days.

Upon re-inspection, if it is determined the condition remains or an acceptable Certificate of Correction has not been filed with DOB, additional summonses may be issued.

To avoid the $1,500 civil penalty and further re-inspections of the condition, certify the summons as corrected with AEU.

DOB accepts a Certificate of Correction (AEU2 Form) any time after the summons is issued, except summonses issued for filing a Certificate of Correction containing materially false statement(s). In such a case, you must attend your hearing before you can certify correction with DOB.