OATH Summons FAQs

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I received an OATH summons, what happens next?

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.

Do I need to attend a hearing?

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.

Do daily penalties apply for all summonses?

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.

Do I need to pay DOB Civil Penalties?

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 summonses must 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 that have been issued at construction sites larger than four families and have not been certified as corrected in a timely manner, face additional DOB civil penalties of $5,000with 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 civil penalty and further re-inspections of the condition, certify the summons as corrected with AEU.

Additional Resources