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The Certificate of Correction form plays a crucial role in addressing violations issued by the Department of Buildings through OATH summonses. Specifically designed for individuals and businesses cited for existing code violations, this form allows those responsible to officially document their corrections. Key components of this form include the identification of the violation and the declaration of the person's relationship to the property, whether the respondent, property owner, mortgagee, or an authorized agent. Moreover, detailed information is required about the corrective actions taken, including the name and qualifications of the person who completed the work. Additional documentation, such as a notarized Statement in Support and photographs displaying the conditions before and after the corrections, must also accompany the form. An essential aspect of submitting the Certificate is its potential to lead to penalty waivers or reductions, should the corrections be recognized as satisfactory by the Department of Buildings. Understanding each element of the Certificate of Correction is vital for ensuring compliance and navigating potential penalties effectively.
Certificate Of Correction Example
AEU2: Certificate of Correction
Required for all open Department of Buildings OATH Summonses
A F F I D A V I T
1 VIOLATION INFORMATION
Summons Number
Place of Occurrence:
(House Number and Street) |
(Borough, State, and Zip Code) |
I,
(Must be the name of an individual, do not list a business entity)
, duly swear under penalty of perjury that I am the: (check one)
Respondent named on the violation (if the named respondent is an individual)
Officer, Director, Partner or Managing Member of the named respondent (if the named respondent is a business entity)
Owner of Property but not the named respondent (if you are a new owner, attach copy of deed)
Current Mortgagee of place of occurrence (attach proof of mortgage agreement and a notarized authorization letter)
Other Agent of the respondent or place of occurrence (attach a notarized authorization letter from the respondent or property owner)
My mailing address:
(Insert the certifier’s mailing address, indicate the House Number, Street, City, State and Zip Code)
2 PERSON WHO PERFORMED WORK
I have complied with the order of the Commissioner to correct each violating condition cited on this summons. The work described in the attached
sworn statement was completed on |
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and was performed by: (check one) |
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(insert date) |
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Myself |
My Employee |
Contractor |
Licensed Professional |
Name of the person who perfomed the work:
Company:
Address:
License or Registration Number (for licensensed professionals and contractors):
ADDITIONAL REQUIREMENTS
A notarized Statement in Support (AEU20) and documentary proof of correction must also be provided. This statement must describe the steps taken to correct the violating condition(s) and reference all relevant permit numbers, job applications or other records that substantiate correction. The standard AEU20 form may be used or submit a notarized statement on a separate piece of paper. If work was performed on an elevator or boiler, the statement must be on the letterhead of the licensed professional who did the work. All photographs must be labeled with the date the photograph was taken, the location and the summons number. Photographs of Before and After must be labeled as such.
3 PENALTY WAIVERS & REDUCTIONS
If the violation is admitted and certified as corrected, it may be eligible for a penalty waiver or reduction. Penalty waivers and reductions are outlined in the DOB Penalty Schedule found in Title 1 of the Rules of the City of New York, Section
Cure (waiver): If the summons states a Cure Date, submit an acceptable Certificate of Correction to DOB by the Cure Date. If the Certificate of Correction is approved, a hearing will not be held, and no penalty will be imposed by OATH. If the Certificate of Correction is not approved, attend the hearing to dispute the violation or admit to the violation by paying the penalty before the scheduled hearing date.
CURE. I admit the existence of the violation(s) charged. The cure date is: _______________. (refer to the face of summons for date)
Stipulation (reduction): If a
STIPULATION. I admit the existence of the violation(s) charged. The stipulation compliance due date is: _______________. (refer to the stipulation offer for the date)
4 STATEMENT OF SIGNATURE
I have personal knowledge the violating condition(s) have been corrected as per this affidavit and statement(s) attached.
Name (print) |
Notarization State of New York, County of: |
Notary Seal |
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Signature |
Sworn to or affirmed under penalty of perjury |
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day of |
20 |
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Date |
Notary Signature |
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False certification is a criminal misdemeanor under sections
To submit this form, use an eFiling account to login to DOB NOW at www.nyc.gov/dobnow and select the BIS Options portal. If you need to create an eFiling account visit www.nyc.gov/DOBNOWtips. Reminder, when submitting this form include all supporting documents.
nyc.gov/buildings |
Rev. 7/21 |
File Breakdown
| Fact Name | Description |
|---|---|
| Purpose of the Certificate | The Certificate of Correction is required for all open Department of Buildings OATH Summonses to verify that the violating conditions have been corrected according to established guidelines. |
| Eligibility for Waivers | If the violation is admitted and certified as corrected, it may be eligible for a penalty waiver or reduction under the NYC Administrative Code, specifically Title 1, Section 102-01. |
| Required Documentation | The submission must include a notarized Statement in Support (AEU20), plus documentary proof of correction detailing the steps taken and relevant permit numbers or job applications. |
| Submission Process | To submit the certificate, users must log in to DOB NOW using an eFiling account and select the BIS Options portal, ensuring that all supporting documents are included with the form. |
Guide to Using Certificate Of Correction
Completing the Certificate of Correction form is an important step toward addressing a violation related to a Department of Buildings summons. This form not only requires specific information but also necessitates supporting documentation. Following the steps below will help ensure that you fill out the form accurately and completely.
- Begin by entering the Summons Number in the designated field.
- Provide the Place of Occurrence. Include the house number, street address, borough, state, and zip code.
- In the first section of the affidavit, fill in your name. Ensure it is the name of an individual rather than a business entity.
- Indicate your relationship to the violation by checking the appropriate box. Options include:
- Respondent named on the violation
- Officer, Director, Partner, or Managing Member of the named respondent
- Owner of Property (include a copy of the deed if applicable)
- Current Mortgagee of the place of occurrence (attach proof of mortgage agreement and a notarized authorization letter)
- Other Agent of the respondent or place of occurrence (attach a notarized authorization letter from the respondent or property owner)
- Next, provide your mailing address. Include house number, street, city, state, and zip code.
- Identify who performed the corrective work by checking the relevant option:
- Myself
- My Employee
- Contractor
- Licensed Professional
- Enter the name of the person who performed the work, as well as the company name, and license or registration number if applicable.
- Provide the date the work was completed.
- Prepare a notarized Statement in Support and include proof of correction, such as photographs, as required.
- If applicable, indicate whether you seek a Cure or Stipulation by checking the appropriate box and filling in the relevant dates from the summons or stipulation offer.
- Finally, print your name in the Statement of Signature section and sign. Ensure to have this signature notarized.
Upon completion, review your form for accuracy. Gathering all necessary supporting documents is critical before submitting. The form and its attachments can be submitted through the eFiling process at the DOB NOW portal, ensuring compliance with any deadlines specified in your summons.
Get Answers on Certificate Of Correction
What is the Certificate of Correction form used for?
The Certificate of Correction form is required for all open Department of Buildings OATH Summonses. It certifies that the cited violating conditions have been corrected, allowing property owners to request penalty waivers or reductions for admitted violations. This form must be completed and submitted with supporting documentation to verify that all necessary corrections have been made.
Who can certify the corrections on the Certificate of Correction form?
The individual completing the form must be one of the following:
- The respondent named on the violation (if an individual).
- Officer, Director, Partner, or Managing Member of the named respondent (for business entities).
- Property owner (if you are a new owner, attach a copy of the deed).
- Current mortgagee of the place of occurrence (attach proof of the mortgage agreement and a notarized authorization letter).
- Other agent of the respondent or property owner (attach a notarized authorization letter).
What additional documents are needed to submit with the Certificate of Correction?
You must include a notarized Statement in Support, along with documentary proof of the correction. This statement must detail the steps taken to correct the violation and reference all relevant permit numbers or records. If the work involved an elevator or boiler, the statement should be on the official letterhead of the licensed professional who performed the work. All photographs submitted must be clearly labeled.
How does the penalty waiver or reduction work?
If the violation is acknowledged and the Certificate of Correction is properly submitted and approved, it may be eligible for a penalty waiver or a reduced penalty. For a waiver, submit the certificate by the cure date listed on the summons. If accepted, no hearing will occur and no penalty will be applied. If not approved, attendance at the hearing is required to either contest or admit the violation. Following a stipulation, submitting an acceptable Certificate of Correction by the compliance due date can lead to a penalty reduction by half. Failure to do so will result in an increased penalty based on the standard or aggravated penalties outlined by the Department of Buildings.
Common mistakes
Filling out the Certificate of Correction form can be straightforward, but many people make common mistakes that can lead to delays or complications. One frequent error is failing to provide accurate violation information. The summons number is crucial for processing your form. If it’s incorrect or missing, the Department of Buildings may not be able to match your submission with their records.
Another mistake involves the individual filling out the form. It’s essential that the name listed in the affidavit section be that of a person, not a business entity. This might seem like a small detail, but it can cause the submission to be rejected. Always double-check that the person signing is in a position to certify the corrections made.
People often overlook the importance of including their mailing address. Omitting this information can create communication barriers. If the Department of Buildings needs to reach you for further information or clarification, they won’t be able to do so without your correct address.
Documenting the work performed is also critical. Some individuals incorrectly assume they can simply mark "myself" without providing the necessary details, such as the name and qualifications of the person who did the work. If a contractor or licensed professional completed the work, their details need to be provided to validate the corrections.
Many people neglect to attach the required supporting documents. The Certificate of Correction must be accompanied by a notarized Statement in Support and proof of the corrective actions taken. Failing to include these documents can halt the process and may even lead to penalties.
When it comes to photographs, clarity matters. It’s not uncommon for individuals to submit images without proper labeling. Each photograph should include the date taken, the location, and the summons number. This labeling helps the review process go smoothly and verifies that the corrections were made.
Time sensitivity is another area where mistakes are made. Applicants often miss the cure or stipulation dates. If you don’t submit your Certificate of Correction by these deadlines, you risk facing penalties. Always pay close attention to the dates indicated on the summons or stipulation.
Lastly, not carefully reviewing the entire document before submission can lead to various issues. Missing signatures or incorrect notary seals can cause delays. Always take a moment to ensure everything is correctly filled out to avoid unnecessary complications.
Documents used along the form
When submitting a Certificate of Correction, several other documents may be required or beneficial to provide a complete and effective response to violation issues. Having the following forms ready can streamline the process and ensure all necessary components are in order.
- Affidavit of Work Completed (AEU20): This document provides a sworn statement supporting the Certificate of Correction. It details the steps taken to correct violations and references any relevant permits or job applications.
- Proof of Correction Documentation: Photographic evidence illustrating the successful correction of the violation is essential. These images should clearly show before and after conditions, with appropriate labels including the date, location, and summons number.
- Notarized Authorization Letter: If the Certificate of Correction is submitted by an agent, an authorization letter from the property owner or named respondent must accompany the submission. This letter should be notarized to verify its legitimacy.
- Submittal Receipt (eFiling Confirmation): It’s crucial to retain a copy of the eFiling receipt once the Certificate of Correction and supporting documents are submitted. This serves as proof of compliance and is essential for any potential follow-ups if disputes arise.
Gathering these documents not only strengthens your submission but also demonstrates a commitment to compliance and resolution. By being proactive and organized, you can navigate the process more effectively, reducing stress and potential penalties.
Similar forms
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Affidavit of Correction: Similar to the Certificate of Correction, this document serves to affirm that certain violations have been rectified. However, it specifically includes an oath from the individual stating that corrections were made, hence emphasizing personal accountability.
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Notice of Violation: This document is issued when a violation is identified. It serves as a precursor to the Certificate of Correction, outlining the specific issues that need to be addressed to maintain compliance with local regulations.
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Certificate of Compliance: After the necessary corrections are made, a Certificate of Compliance is issued to confirm that all applicable codes and regulations have been satisfied. This contrasts with the Certificate of Correction, which primarily focuses on the resolution of specific violations.
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Building Permit: This document is required before starting construction or renovation work. While a Building Permit allows the work to begin legally, the Certificate of Correction signifies that any violations related to that work have been properly resolved.
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Stipulation Agreement: Used often in legal settlements, a Stipulation Agreement may include terms for resolving violations. It outlines the mutually agreed actions to rectify any infractions, similar to how the Certificate of Correction formalizes the correction process.
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Final Inspection Report: After a violation has been corrected, a Final Inspection Report may be issued to verify that all corrective measures are satisfactory. This document complements the Certificate of Correction by providing external validation of the corrections made.
Dos and Don'ts
When filling out the Certificate Of Correction form, there are important guidelines to follow. Here are some things you should and shouldn't do:
- Should: Ensure that your name is clearly printed, and that it is the name of an individual, not a business entity.
- Should: Provide the correct summons number and detailed violation information accurately.
- Should: Attach all necessary relevant documents, such as proof of completion and the required notarized statement.
- Should: Label all photographs with the date, location, and summons number.
- Should: Check off the appropriate boxes regarding your status in relation to the violation.
- Should: Review your form for completeness and accuracy before submission.
- Shouldn't: Leave any fields blank unless specifically indicated as optional.
- Shouldn't: Ignore deadlines or submission dates outlined on the form.
- Shouldn't: Provide false information or fail to notarize the required statements.
- Shouldn't: Forget to include all supporting documents required for your claim.
- Shouldn't: Submit the form without thoroughly reading the accompanying instructions.
- Shouldn't: Neglect to keep a copy of your submitted form and all attachments for your records.
Misconceptions
The Certificate of Correction form is often misunderstood. Here are six common misconceptions clarified:
- It can be submitted by anyone. Only specific individuals can submit this form. The person completing the form must be directly associated with the violation, such as the owner or a designated agent.
- The Certificate guarantees dismissal of penalties. Submitting a Certificate of Correction does not automatically waive penalties. If the correction is approved, a waiver may be applicable, but it is not guaranteed.
- Any evidence can support the correction. Not all documentation will suffice. You need to provide specific evidence, such as photographs labeled with relevant details and a notarized Statement in Support.
- The deadline for submission is flexible. There are strict deadlines associated with the submission. Failure to submit by the stipulated dates will result in a hearing being scheduled.
- Correction work can be self-certified. While you can perform the work yourself, a clear affidavit and supporting documents are required to verify that the work has been completed according to standards.
- Only licensed professionals can conduct correction work. While licensed professionals may be preferred for certain types of violations, property owners or their employees may also complete repairs, subject to documentation and affidavit requirements.
Being accurate and proactive in understanding these points will facilitate a smoother correction process when dealing with violations.
Key takeaways
Ensure you complete the Certificate of Correction form accurately. Incorrect or incomplete information can delay the processing of your submission.
All required documentation must accompany your submission. This includes a notarized Statement in Support and proof of correction, detailing the steps taken to resolve the violation.
Submitting the form by the designated Cure Date is critical. Doing so may prevent a hearing and possible penalties, provided your Certificate of Correction is approved.
Be mindful of the potential for penalty waivers or reductions. If you've corrected the violation and meet the criteria, your penalties may be lowered or waived entirely.