The NYC Construction Codes require owners to build and maintain their properties in safe condition. Inspectors issue Department of Buildings (DOB) Violations or Environmental Control Board (ECB) Notices of Violation when property or construction doesn’t comply with the Construction Codes, NYC Zoning Resolution and other applicable laws and rules. Open violations can prevent an owner from selling or refinancing.
As with OATH violations, DOB violation information is public and will appear in a property title search. Open violations can prevent an owner from selling or refinancing. The Department will not issue new or amended Certificates of Occupancy or Letters of Completion when DOB violations remain active.
Some DOB violations may have fines attached, such as failure to file required annual boiler or elevator reports. However, there is no court appearance associated with a DOB violation. DOB violations issued for serious conditions may result in a Criminal Court summons being issued and prosecution.
The most commonly issued violation is the OATH/ECB Notice of Violation. There are three classes of OATH violations:
To resolve OATH violations/summonses:
You must correct the violating condition(s) and certify correction with the Department. To resolve OATH Violations/Summonses:
If construction differs from the last-approved set of drawings and a violation has been issued, there is a procedure to be followed for resolving violations.
AEU2 - Certificate of Correction
Use this form to certify correction of a violation/summonses issued by Department of Buildings and scheduled for a hearing at the Office of Administrative Trials and Hearings (OATH).
AEU6 - Multiple Submission Form
Use this form when certifying correction of multiple violation/summonses issued by Department of Buildings and scheduled for a hearing at the Office of Administrative Trials and Hearings (OATH). Individual violation certifications must be attached.
AEU20 - Statement in Support of Certificate of Correction
Use this form when preparing the required statement(s) to accompany the Certificate of Correction (AEU2 Form)
AEU3321 - Certificate of Correction and Statement in Support of Site Safety Training
Effective November 13, 2018, the AEU3321 form must be used to certify the correction of summonses issued for failing to comply with training requirements pursuant to BC Section 3321.1 and/or Section 3321.2. The new form combines the AEU2 (Certificate of Correction) and the AEU20 (Statement in Support). The AEU2 and AEU20 forms will not be accepted for summonses related to the site safety training requirements.
You may submit a Certificate of Correction once the violating condition is corrected. The hearing and certification processes are separate. Certificates of Correction may be submitted in-person or by mail.
Submit all documents in-person or by mail to:
NYC Department of Buildings
Attn: Administrative Enforcement Unit
280 Broadway, 5th Floor
New York, NY 10007
8:30 am to 4:00 pm
The Certificate of Correction can be completed by the:
If you are a new owner, and not the named respondent, you must also attach a copy of a deed showing the transfer of ownership. Online copies of some deeds are available from the Department of Finance’s Office of the City Register at http://acrisweb.csc.nycnet/CP/LookUp/Index.
If you receive an immediately hazardous (Class 1) violation/summons, you must immediately correct the violating condition(s) and certify correction forthwith. Failure to certify correction will result in the issuance of a DOB violation (AEUHAZ) with a $1,500 civil penalty. This civil penalty is in addition to penalties assessed as a result of hearings held at OATH.
To limit the imposition of additional daily penalties ($1,000/day), certify correction as soon as possible. You do not have to wait until the hearing.
You must pay additional DOB civil penalties before your Certificate of Correction will be approved, or provide proof of a penalty waiver.
Mailed certificates of correction are subject to a preliminary review to determine if the Certificate of Correction package contains the minimum required documents and/or notarizations. Certificates that do not meet minimum requirements will not be reviewed to determine acceptability. Neither an approval or disapproval will be issued if the minimum requirements are not met. Instead, a “Preliminary Rejection Checklist” will be mailed to the customer. If you receive a preliminary rejection you must correct the submission and resubmit. Common reasons for preliminary rejection include:
The Department’s Administrative Enforcement Unit (AEU) reviews all Certificates of Correction and accompanying documents to determine their acceptability. If your Certificate of Correction is approved, the violation will appear as Resolved in BIS. Unless you received a CURE, a stipulation or have admitted to the violation/summons, you may still need to attend the hearing at OATH or pay default penalties. Check your violation on BISWEB or contact OATH for hearing information.
Mailed certificates of correction are subject to a preliminary review to determine if the Certificate of Correction package contains the minimum required documents and/or notarizations. Certificates that do not meet minimum requirements will not be reviewed to determine acceptability. Neither an approval or disapproval will be issued if the minimum requirements are not met. Instead, a “Preliminary Rejection Checklist” will be mailed to the customer.
If your Certificate of Correction is disapproved, you must resubmit your Certificate of Correction after addressing the reasons for the disapproval printed on the disapproval letter. Common reasons for disapproval are:
NOTE: The violation will continue to appear as ‘open’ in BIS until acceptable proof is submitted that the violating condition(s) have/has been corrected even if the penalty imposed at OATH has been paid. (Violations/summonses dismissed at OATH court also show as “resolved” and do not require certification or payment.)