VIOLATIONS

The NYC Construction Codes require owners to build and maintain their properties in safe condition. Inspectors issue violations when property or construction does not comply with NYC Construction Codes, Zoning Resolution and other applicable laws and rules.

SUMMONSES

The Office of Administrative Trials and Hearings (OATH) is an administrative tribunal that provides hearings on notices of violation issued by City agencies. As it relates to the Department of Buildings, all violating condition(s) must be corrected and certified as corrected with DOB to resolve a summons in the DOB record.

Certificate of Correction Documents

The AEU2, AEU20 and AEU3321 forms are no longer required to be submitted. Instead of uploading these forms, stakeholders will enter the required information directly into the COC request. See the Documents section in the Certificate of Correction Request User Guide for a list of required and supporting documents.

If AEU approves the COC submission, the process is complete, and the Summons is resolved. However, if the initial COC submission is disapproved, the Submitter may choose to Resubmit the COC or Dispute AEU’s decision.

Failure to submit a COC for a Summons, may result in additional violations. Violations remain open (active) on the property’s public profile until they have either been Dismissed at an OATH hearing or Resolved through the COC review process.

Steps to Resolve a Summons

STEP 1: Correct the Violating Condition(s)

Correct the violating condition(s) listed in the summons, which may require obtaining permits.

STEP 2: Certify Correction

A Certificate of Correction can be submitted once the violating condition is corrected. To submit a Certificate of Correction request, use an NYC.ID account to login to DOB NOW at nyc.gov/dobnow. If you need an NYC.ID account, visit nyc.gov/dobnowtips for step-by-step instructions. On the main dashboard, go to DOB NOW: Safety and select Violations & Notices of Deficiency. From the Violations dashboard, select +Certificate of Correction Review Request, and then enter the summons number to search and add it to the request.

Certificate of Correction Stakeholder Roles & Responsibilities

• Submitter: The person who is submitting the COC Request. The Submitter can be the Property  Owner,  Respondent (the  person  named  on  the Summons), Contractor, Licensed                                                                                   Professional, Filing               Representative or the Preparer.

If the Submitter is not the Property Owner or Respondent, the Property Owner or Respondent must separately log in and attest on the Statements & Signatures tab indicating they have authorized the submitter to complete part of the Certificate of Correction request.

• Certifier: The person who has personal knowledge of how the violating condition(s) was corrected and will certify to that correction. The Certifier can be the Property Owner, Respondent, Contractor, Licensed Professional, or Other authorized representatives.
• Corrector: The person who performed the work to correct the violating condition(s). The Corrector can be a Contractor, Licensed Professional, or Other authorized representative.

Immediately Hazardous (Class 1) Summonses

Class 1 summonses must be corrected immediately, and a Certificate of Correction must be filed with AEU to prove the violating condition(s) have been corrected. Immediately Hazardous (Class 1) Summonses that have been issued at construction sites larger than four families and have not been certified as corrected in a timely manner, face additional DOB civil penalties of

$5,000, with 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

$5,000 DOB civil penalty and further re-inspections of the condition, certify the summons as corrected with AEU.

Tips & Additional Information

• Comply with NYC Construction Codes, Zoning Resolution, and other applicable rules and laws.
• Always obtain permits when necessary.
• Work within the scope of your permit. Hire registered/licensed design professionals.
• Hire registered/licensed contractors. Perform regular or scheduled maintenance on buildings.
• Comply with required inspection and reporting requirements for façades, boilers, and elevators.
• Stay current with new requirements by signing up for the Department’s monthly newsletter, Buildings News.

DOB VIOLATIONS

To remove a DOB violation from a property record, the condition must be corrected and proof of that correction must be provided to the issuing unit. Visit the Unit Descriptions page for the location of each unit.

Applicable DOB civil penalty payments must also be made. To view violations on your property, access the Buildings Information System (BIS). Refer to the BIS Property Profile Overview for the number of open DOB violations. DOB violations are shown without an asterisk next to the violation number; dismissed DOB violations are shown with an asterisk, e.g., V*7052-18P.

Detailed information on certain DOB violations is available in BIS. If detailed information is not available, you may request copies of DOB violations from the issuing unit. The processing fee is $8.00 per copy for each violation; each additional duplicate copy of a violation is $5.00. You may also file a Freedom of Information Law (FOIL) request through NYC OpenRecords.

RESOLVING 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.

To correct the violating condition in accordance with the approved plans:

• Email energycodeinspections@buildings.nyc.gov (with the property address, job #(s) and BIN (s) in the subject line) to inform the department that the condition will be corrected. The body of the email should include the violation #, complaint #, property address, job #(s) and BIN(s),the intended date of completion, and a contact name and phone number of the responsible party.
• When ready for re-inspection, email energycodeinspections@buildings.nyc.gov to request an inspection (the date and time will be assigned by the Department and will be communicated in an email response). Attach photos of the remedial work to demonstrate that the condition has been corrected and is visible so that a re-inspection can take place.
• Once the inspection has been completed and corrected conditions have been verified, an email will be sent that should be attached to the AEU2: Certificate of Correction to be submitted to the Administrative Enforcement Unit (AEU) – be sure to do this prior to the cure date printed on the violation.

To correct the violating condition by amending the plans to match the field conditions and/or amended field conditions:

• File a Post Approval Amendment (PAA) citing Drawings amended to address energy code violation # . Do not include other work types that do not apply to the violation being resolved)
• Notify  energycodeinspections@buildings.nyc.gov

• of the open PAA and attach the Drawings being amended for Review & Approval by Sustainability Enforcement.
• Do not include any other work types in the PAA that do not apply to the violation being resolved.
• Once you have been notified by Sustainability Enforcement that the PAA drawings are ready for approval, send an AI1 citing violation #, PAA Doc #, and drawing numbers with violation details (i.e. nature of violation and amendments).
• Once the PAA is approved you will receive stamped drawings and Al1. Drawings and AI1 should be kept on site.
• If there is no additional remedial work needed, Sustainability Enforcement will send an email stating your submission has resolved the violation. This email, with the Certificate of Correction (COC), should be submitted with your AEU2: Certificate of Correction Form to the Administrative Enforcement Unit for certification of the violation.
• If the site requires additional remedial work, the work must be performed as per the approved amendment.
• If a Partial Stop Work Order (PSWO) is in effect, the PSWO will be lifted once site conditions are verified.

MOBILE ELECTRONIC VIOLATIONS

The Department of Buildings is piloting mobile electronic violations for OATH Summonses and DOB Violations. Following are the notable changes:

• Violations are electronically generated, signed and printed by the inspector onsite
• Information is typed instead of handwritten
• OATH Summons number starts with 039; DOB Violation number starts with VIO
• Penalty amounts are provided on OATH Summons

View the new format. The process for respondents to cure conditions and respond to violations has not changed and the violation and summons information is still available in the Buildings Information System (BIS).