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 $5,000 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 $5,000 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. 

Certificate of Correction requests are submitted in DOB NOW: Safety. Use an NYC.ID account to login to DOB NOW at nyc.gov/dobnow. Select the DOB NOW: Safety module and then Violations & Notices of Deficiency. If you need to create an NYC.ID account, visit nyc.gov/dobnowtips for more resources and step-by-step instructions. See the Certification of Correction Request User Guide for step-by-step instructions on submitting a Certificate of Correction.

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.

The AEU2, AEU20 and AEU3321 forms are no longer required to be submitted. Instead of uploading these forms, stakeholders will enter the required information directly into the COC request using DOBNOW: Safety. See the Documents section in the Certificate of Correction Request User Guide for a list of required and supporting documents.

If AEU approves the COC submission, the process is complete, and the Summons is resolved. However, if the initial COC submission is disapproved, the Submitter may choose to Resubmit the COC or Dispute AEU’s decision.

Failure to submit a COC for a DOB issued Summons, may result in additional violations, DOB Civil Penalties and/or re-inspections. Summonses remain open (active) on the property’s public profile until they have either been Dismissed at an OATH hearing or Resolved through the COC review process.

See the Certificate of Correction Request User Guide for more information. For questions about a DOB issued summons, contact AEU's Customer Service Team at (212) 393-2405 or nyc.gov/dobhelp. 

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. Class 1 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 summonses must be corrected immediately and an acceptable Certificate of Correction must be filed with AEU to prove the violating condition(s) have been corrected. Immediately Hazardous (Class 1) Summonses that have been issued at construction sites larger than four families and have not been certified as corrected in a timely manner, face an additional DOB civil penalty of $5,000 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 $5,000 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.