OATH Hearings Lawyer

The most commonly issued violation is an OATH Summons. DOB inspectors issue OATH summonses when a property or construction does not comply with the Construction Codes. There are three classes of OATH summonses:

  • Class 1 (Immediately Hazardous)
  • Class 2 (Major Violations)
  • Class 3 Lesser Violations)

Read on to learn more about these features.

Class 1 (Immediately Hazardous)

Immediately Hazardous Summons 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. When you get a Class 1 summons, it 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 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). Our law office can help with the handling of an OATH hearing where you get a Class 1 summons.

Class 2 (Major Violations)

Major Violations 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.

Class 3 (Lesser Violations)

A Class 3 summons is categorized under "Lesser Violations." These are violations where the violating condition(s) has a lesser effect than a Class 1 or Class 2 violation on life, health, safety, property, or the public interest. To determine whether your summons is an Immediately Hazardous, Major or Lesser Violation, refer to the OATH Summons or Notice of Violation received or consult the DOB Penalty Schedule. In general, 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). If you need an OATH hearings lawyer, then please reach out to our law office today. We help many clients within the greater NYC area.

Steps to Correct an OATH Summons

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 portal, you must select +Certificate of Correction Review Request and enter the required fields, which includes the Summons number. Select Save. Then, in the Documents section, you must upload completed applicable forms and any other required documents. After completing the Statements & Signature section, select Submit. The request will not be reviewed until the Submit button is selected and confirmation is given for it to be submitted. Once 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, you can 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). 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. If you need any help with this process, please contact our law office today.

Contact Us

As an OATH hearings lawyer in NYC, we have years of experience navigating this process and settling it in a timely manner. Other similar areas we cover at our law office includes DOT violations and TLC violations. Check out our FAQs page for more regarding OATH hearings.

FAQs

About Certificate of Occupancy

A Certificate of Occupancy (CO) states a legal use and/or type of permitted occupancy of a building. New buildings must have a Certificate of Occupancy and existing buildings must have a current or amended one when there is a change in use, egress or type of occupancy. No one may legally occupy a building until the Department has issued a Certificate of Occupancy or Temporary Certificate of Occupancy (TCO).

In general, a CO confirms the following:

  • All paperwork has been completed.
  • All fees owed to the Department have been paid.
  • Completed work complies with all applicable laws.
  • All relevant violations have been resolved.
  • All necessary approvals have been received from other City Agencies.

The Department issues a final CO when the completed work matches the submitted plans for new buildings or major alterations. A Letter of Completion may be issued for any minor alterations that do not require a new or amended CO.

Certificate of Occupancy Process

A Certificate of Occupancy has no expiration date. In order to obtain a certificate of occupancy, there cannot be any open applications or violations on the property. Here is a general rundown of the process.

  1. CO Requirements
  2. Final Construction inspection Sign-off
  3. Final Plumbing inspection Sign-off
  4. Final Elevator Sign-off
  5. Final Electrical Inspection Sign-off
  6. Final Building survey
  7. Final Builders Pavement Plan (BPP)
  8. No open applications
  9. No open violations
  10. Owner’s Cost Affidavit (PW3)
  11. An approved Schedule of Occupancy in DOB NOW: Build.

A Certificate of Occupancy (CO) Request is submitted through DOB NOW: Build for projects listed in both the Buildings Information System (BIS) and the DOB NOW system. Once submitted, the request is reviewed by the Department of Buildings’ technical and operations staff. If all necessary documentation and requirements are met, the Certificate of Occupancy is issued.

When to Certify Correction to AEU

The DOB allows you to submit a Certificate of Correction at any point after a summons has been issued, except in cases where the summons involves submitting a Certificate of Correction with materially false statements. In those situations, you must first appear at your scheduled hearing before the correction can be certified with the DOB.

OATH Glossary

Here are some terms that an OATH hearings lawyer may use when discussing a legal situation.

Aggravated I

Aggravated I penalties may be imposed when the same condition has been charged in a prior enforcement action against the same party during the previous three years. A violation with aggravating conditions may result in higher than standard penalties.

Aggravated II

Aggravated II penalties may be imposed if the following conditions are met:

  1. The respondent is found in violation of any law or rule enforced by the Department of Buildings where the violation of law is accompanied by or results in a fatality or serious injury or where the violating condition affects a significant number of people.
  2. The respondent refuses to give the Department of Buildings requested information necessary to determine the condition of a building or site.
  3. The respondent has demonstrated a pattern of noncompliance with laws and regulations enforced by the Department of Buildings at one or more locations. This includes, but is not limited to, repeated unreasonable delays in correcting violations, failure to comply with Stop Work Orders, submission of false documentation, and multiple defaults.

Cure

The hearing and associated penalty will be waived if the respondent admits liability and has properly corrected the violation by the Cure Date specified on the notice.

Default Penalty

A default penalty is imposed by OATH for failure to appear at a scheduled hearing for the violation. Default penalties are generally five times the board approved standard.

Infraction Code

An infraction code is the specific infraction cited by the Department of Buildings inspection unit. There is at least one infraction code for every violation cited.

Mitigated Penalty

This is a reduced penalty (generally one-half) imposed for a violation when the respondent has satisfactorily corrected the violation prior to the first scheduled hearing.

Penalty

This is the board-approved amount owed for the violation.

Remedy

A remedy is a suggestion on how to correct the violation. However, there may be other ways to correct the violation, which is where an OATH hearings lawyer comes in.

Section of Law

This is the section of the NYC Construction Codes, Zoning Resolution, or Rules of the City of New York which the respondent has violated.

Stipulation

The stipulation is the agreement with the Department whereby the respondent admits guilt in exchange for additional time (75 days) to correct the violation. If the respondent agrees to the stipulation prior to the scheduled hearing, a reduced penalty (one-half standard penalty) will be imposed. If eligible, a Stipulation Offer will be mailed by OATH to the respondent.

Violation Description

A violation description includes detailed information on the violating condition(s) as well as specific locations of where the Inspector observed the condition(s).