Building Permits Enforcement Project Guidelines Business Resources

Resolving Violations

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.

DOB Violations

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.

OATH/ECB Violations

The most commonly issued violation is the OATH/ECB Notice of Violation. There are three classes of OATH violations:

Class 1 (Immediately Hazardous);
Class 2 (Major); and
Class 3 (Lesser).

To resolve OATH violations/summonses:

You must correct the violating condition(s) and certify correction with the Department. To resolve OATH Violations/Summonses:

Correct the conditions and submit an original Certificate of Correction (AEU2 Form) to the Department’s Administrative Enforcement Unit; All submissions must include a notarized statement attesting how the violation was corrected, proof of payment (DOB invoice) of all applicable DOB civil penalties relating to the violation/summons (do not send checks) and any supporting documentation (example: photographs, receipts, permits, inspection results, etc.).
Admit to the violation or attend the OATH hearing to contest the violation. An Owner or respondent’s failure to attend a hearing or send a representative to attend the hearing may result in default penalties up to $25,000, depending upon the violation/summons.
Pay any applicable penalties, including DOB civil penalties. Violations/summonses remain open in BIS until the Department approves an acceptable Certificate of Correction submitted.

Energy Code Violations

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.

Certificate of Correction Forms

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).

AEU2 Form - Rev. 11/16
AEU2 Instructions

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.

AEU6 Form - Rev. 11/16

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)

AEU20 Form - Rev. 5/17

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.

AEU3321 Form - Rev. 11/18
AEU3321 Instructions

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
(212) 393-2405
8:30 am to 4:00 pm

The Certificate of Correction can be completed by the:

Respondent named in the violation
Officer, Director of named respondent corporation
Managing Agent of the named respondent (with a notarized letter of designation signed by named respondent)
Owner of Property, but not named respondent (if you are a new owner, attach a copy of deed)
Authorized Agent of the place of occurrence (attach a notarized letter of designation signed by the property owner)
Partner of named respondent partnership
Contractor or other agent (with written authorization from the named respondent or property owner)

New Owners

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.

Immediately Hazardous (Class 1) Violations/Summonses

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.

Immediately Hazardous Illegal Conversion Violations/Summonses

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.

Work Without a Permit Violations/Summonses

You must pay additional DOB civil penalties before your Certificate of Correction will be approved, or provide proof of a penalty waiver.

Preliminary Rejections (Mail ONLY)

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:

Certificate of Correction (AEU2 Form) is missing. Please obtain a Certificate of Correction form and resubmit.
Certificate of Correction Form (AEU2 Form) was not completed. The required sections of the Certificate of Correction form are incomplete. Please complete all sections and resubmit.
Certificate of Correction (AEU2 Form) is not notarized. Please have the Certificate of Correction form notarized and resubmit.
Certificate of Correction (AEU2 Form) is missing signature. Please sign the Certificate of Correction form and have it notarized, then resubmit.
The Statement in Support (AEU20 Form) is missing. Please complete a statement detailing what actions were taken to correct the violating conditions and resubmit.
The Statement in Support (AEU20 Form) needs to be notarized. Please have the Statement in Support notarized and resubmit.
Notary expired. Please have the documents notarized by a currently licensed notary public.
A notarized letter of designation or authorization to certify correction is required. Please provide a notarized letter of designation or authorization and resubmit.

Approval

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.

Preliminary Rejections (mail ONLY)

Disapproval

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:

Additional proof of correction is not submitted (e.g., permits)
Respondent is raising a defense to the violation and must appear at OATH
DOB Civil penalties are not paid (class 1 violations or work without permit violations)

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.)