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Resolving Violations/Summonses: OATH


The paper Certificate of Correction affidavit and statement forms (AEU2, AEU3321 and AEU20) can no longer be sent or delivered in person to the Administrative Enforcement Unit. To submit a Certificate of Correction request, use an eFiling account to log into DOB NOW at www.nyc.gov/dobnow and select the BIS Options portal. See the April 2020 Service Notice or Certificate of Correction Request User Guide.

OATH violation/summons information is included in the online Buildings Information System (BIS) and appears in property title searches. Open – or uncorrected – violations/summonses can prevent an owner from selling, refinancing, obtaining a new Certificate of Occupancy or Letter of Completion for their property.


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 a Certificate of Correction application to the Department’s Administrative Enforcement Unit in the DOB NOW BIS Options portal at www.nyc.gov/dobnow; All submissions must include AEU2 and AEU20 or AEU3321 forms  attesting how the violation was corrected, proof of payment (DOB invoice) of all applicable DOB civil penalties relating to the violation/summons 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. A Certificate of Correction will not be approved unless the civil penalties are paid. Violations/summonses remain open in BIS until the Department approves an acceptable Certificate of Correction submitted.

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).


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)


You may submit a Certificate of Correction once the violating condition is corrected. Partial correction is not acceptable.

The hearing and certification processes are separate. Submit a Certificate of Correction request online in the DOB NOW BIS Options portal at www.nyc.gov/dobnow.

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 upload 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.

To pay an Immediately Hazardous civil penalty, log into eFiling, select Express Cashier  Payments and Hazardous Violation Fees. Payment can be made by eCheck or credit card, which includes a 2% service charge. In-person payments will no longer be accepted. A copy of the receipt must be submitted with a Certificate of Correction request.


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.


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 up to five time the original penalty amount. Check your violation on BISWEB or contact OATH for hearing information.


Disapproval

If your Certificate of Correction is disapproved, you must submit a new Certificate of Correction request in the DOB NOW BIS Options portal. 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/ECB court also show as “resolved” and do not require certification or payment.)


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