How To Prepare for an OATH Hearing: Evidence, Strategy, Outcomes

If you're facing an OATH (ECB) hearing for a DOB, HPD, or FDNY violation, proper preparation can mean the difference between a dismissed violation and thousands of dollars in fines. This guide provides a step-by-step strategy for gathering evidence, building your defense, presenting your case, and achieving the best possible outcome.

Pre-Hearing Preparation (30–60 Days Before)

Step 1: Understand the Violation

Review the Notice of Violation (NOV) carefully:

Violation Code: Identifies the specific law or code violated (e.g., NYC Building Code §28-204.1)
Description: Inspector's narrative of what they observed
Photos: Attached images showing the violation
Penalty: Fine amount if found guilty
Hearing Date/Time/Location: When and where you must appear

Action: Request full violation documentation from OATH or DOB, including inspector's report and any supporting evidence.

Step 2: Gather Evidence

Strong evidence is critical to winning your case. Collect the following:

A. Photos and Videos

Before/After: Show the condition before and after correction (date-stamped)
Wide-Angle Views: Provide context (entire room, building exterior)
Close-Ups: Highlight specific compliance (smoke detectors, repaired brickwork, posted permits)
Video: Walkthrough videos can demonstrate compliance more effectively than still images

Pro Tip: Use timestamp apps (e.g., Timestamp Camera) to embed date/time in photos.

B. Permits and Approvals

DOB-approved permits (if work was legal)
Sign-off certificates (if permit was closed)
LPC (Landmarks) approval (for historic buildings)
FDNY inspections and certificates (for fire safety violations)

C. Invoices and Receipts

Contractor invoices showing work completed and paid
Material receipts (lumber, bricks, detectors, etc.)
Inspection reports from third-party engineers or architects
Boiler service records (for heat violations)
Pest control logs (for infestation violations)

D. Timeline Documentation

Work orders and repair requests (showing proactive response)
Email/text correspondence with contractors or tenants
Proof of ordering materials or scheduling repairs before violation was issued

E. Witness Statements

Contractors or superintendents who performed repairs
Tenants or neighbors who can verify facts
Engineers or architects who can testify about compliance

⚠️ Important: Witnesses must appear in person or submit notarized affidavits.

Step 3: Build Your Defense Strategy

Choose the strongest defense based on your evidence:

Defense 1: Violation Was Corrected Before NOV Issued

When to Use: You fixed the issue before the Notice of Violation was sent.
Evidence Needed: Photos, invoices, and receipts dated before the NOV.

Defense 2: Inspector Error

When to Use: Inspector cited wrong address, incorrect violation code, or misidentified condition.
Evidence Needed: Photos showing no violation exists, proof of correct address, permit documents.

Defense 3: Permit Existed

When to Use: Work was legal and permitted, but inspector didn't see permit.
Evidence Needed: Approved DOB permit, sign-off certificate, or permit history from BIS.

Defense 4: Not the Property Owner

When to Use: You didn't own the property when violation occurred.
Evidence Needed: Deed, closing documents, or ACRIS property records showing ownership timeline.

Defense 5: Force Majeure (Emergency Circumstances)

When to Use: Extraordinary circumstances (fire, flood, pandemic) prevented correction.
Evidence Needed: FDNY/NYPD reports, insurance claims, documentation of emergency.

Defense 6: De Minimis (Violation Is Technically True But Insignificant)

When to Use: Violation exists but is so minor it doesn't warrant penalty.
Evidence Needed: Photos showing minimal impact, expert testimony that condition poses no safety risk.

Defense 7: Correction Completed (Request Fine Reduction)

When to Use: You admit violation but corrected it quickly.
Evidence Needed: Photos, invoices, and receipts showing timely correction. Request 50% fine reduction for good-faith correction.

Week Before Hearing: Final Preparation

Step 4: Organize Your Evidence

Create exhibit packets: Label each piece of evidence (Exhibit A, Exhibit B, etc.)
Print 3 copies: One for you, one for ALJ (Administrative Law Judge), one for City prosecutor
Create timeline chart: Visually show when violation was issued vs. when correction was completed

Step 5: Prepare Your Presentation

Structure your argument clearly:

Opening (30 seconds): "Good morning, Your Honor. My name is [Name], owner of [Address]. I'm here to contest violation #[Number] issued on [Date] for [Description]."
Statement of Facts (2 minutes): Briefly explain what happened. Stick to facts, not emotions. "On [Date], I received a violation for [Issue]. However, as Exhibit A shows, I had already corrected this issue on [Earlier Date]."
Present Evidence (3–5 minutes): Walk through each exhibit. "Exhibit A is a photo taken on [Date] showing [Condition]. Exhibit B is the contractor invoice dated [Date] for $[Amount]."
Witness Testimony (if applicable): Call contractor, engineer, or tenant to testify. "I'd like to call [Name], the contractor who performed the repairs, to testify."
Defense (2 minutes): Explain why the violation should be dismissed or reduced. "For these reasons, the violation was corrected before the Notice was issued. I respectfully request dismissal."
Closing (30 seconds): "Thank you for your time, Your Honor. I'm available for any questions."

Pro Tip: Practice your presentation out loud 3–5 times before the hearing. Time yourself to stay within 10 minutes total.

Step 6: Consider Hiring an Attorney or Expeditor

When to Hire Help:

Fines over $5,000
Complex technical violations (structural, zoning, landmark)
Multiple violations
Default judgment (you missed original hearing)

Cost: $1,500–$5,000 for attorney representation. Often worth it for high-stakes cases.

Day of Hearing: What To Expect

Arrive Early (30 Minutes Before)

Location: OATH Hearings Division, 66 John Street, 11th Floor, Manhattan
Check-In: Bring ID and NOV. Check in at reception desk.
Waiting Room: Cases are called in order. Average wait: 15–45 minutes.

Hearing Room Procedures

Swearing In: You'll be sworn in under oath.
City Presents Case: DOB/HPD/FDNY prosecutor presents violation details (typically 2–5 minutes).
Your Turn: Present your defense and evidence.
Cross-Examination: City may ask questions. Answer honestly and concisely.
Closing Arguments: Final statements from both sides.
ALJ Decision: Judge may rule immediately or issue written decision within 30 days.

Tips for Testimony

Be Respectful: Address judge as "Your Honor." Remain calm and polite.
Stick to Facts: Avoid emotional arguments ("This is unfair!"). Focus on evidence.
Answer Only What's Asked: Don't volunteer extra information that could hurt your case.
Admit When You Don't Know: Don't guess. Say "I don't know" if you're unsure.

Possible Outcomes

1. Dismissed (Victory)

Result: No fine. Violation removed from property record.
When It Happens: Inspector error, violation corrected before issuance, strong evidence of compliance.

2. Sustained (Guilty)

Result: Full fine imposed. May include per-diem penalties for late correction.
When It Happens: Insufficient evidence, clear violation with no mitigation.

3. Penalty Reduced (Partial Victory)

Result: Fine reduced by 25–75%.
When It Happens: Violation proven but corrected promptly, first-time offender, good-faith efforts shown.

4. Adjourned (Postponed)

Result: Hearing rescheduled to allow more time for correction or evidence gathering.
When It Happens: Work in progress, additional evidence needed, inspector unavailable.

After the Hearing

If You Win (Dismissed):

No further action required
Violation is removed from BIS and DOB records
Keep OATH decision for your records

If You Lose (Sustained):

Pay Fine: Within 30 days to avoid interest and liens
Appeal: File appeal within 30 days if you believe ALJ made legal error (not factual dispute)
Request Payment Plan: Contact OATH Finance for 6–24 month installment plan

Frequently Asked Questions

Can I request a remote (virtual) hearing?

Yes. OATH offers video hearings via Webex. Request when scheduling.

What if I miss my hearing?

OATH issues default judgment with maximum fine. File Motion to Vacate Default within 30 days (must show good cause + meritorious defense).

Can I bring a lawyer?

Yes. You can represent yourself or hire an attorney/expeditor.

How long does the hearing take?

15–45 minutes per case. Simple cases can be resolved in 15 minutes; complex cases may take 1+ hours.

Key Takeaways

Gather strong evidence: photos, invoices, permits, witness testimony
Choose best defense strategy: correction before NOV, inspector error, permit exists
Organize evidence into labeled exhibits (A, B, C...)
Practice presentation and stay within 10 minutes
Be respectful, factual, and concise during testimony
Consider hiring attorney for high-value or complex cases

Resources

Related Resources

Last updated: October 2025. This guide is for informational purposes only and does not constitute legal advice. Consult a licensed attorney for specific cases.