How to Clear DOB, ECB/OATH and HPD Violations for Facades, Leaks and Masonry

Open violations can hold up a sale or refinance, bring penalties and lead to more enforcement. For exterior and water problems — loose brick, failed parapets, leaks, damaged sidewalks — the fix is usually physical repair work followed by paperwork that proves it was done. This guide explains the main types of violations NYC owners see for these conditions and the steps to close each one, based on guidance from the Department of Buildings (DOB) and the Department of Housing Preservation & Development (HPD).

General information, not legal advice. Follow the instructions on your notice and from the issuing agency, and consult an expediter, attorney or design professional where needed.

Which violation do you have?

• DOB violations relate to the building code and construction — for example, a defective facade or parapet.
• OATH summonses (formerly ECB violations) are civil summonses issued by DOB and other agencies and heard by the Office of Administrative Trials and Hearings. They can carry penalties and require the condition to be corrected.
• HPD violations relate to housing maintenance conditions in residential buildings — such as leaks, water damage or mold — and are classed A, B or C by hazard.
• DOT sidewalk violations have their own process — see our DOT sidewalk guide.

You can look up DOB records through the DOB Building Information System and DOB NOW, and HPD records through HPDONLINE.

Clearing an OATH (formerly ECB) summons issued by DOB

DOB’s OATH summons guidance lays out two steps:

1. Correct the violating conditions listed in the summons — which may require obtaining permits.
2. Certify the correction by submitting a Certificate of Correction (COC) review request in DOB NOW: Safety. From the dashboard, go to Violations & Notices of Deficiency, select +Certificate of Correction Review Request, and add the summons number.

Key points from DOB:

• Paying the penalty doesn’t close it. A summons remains open on the property’s public profile until it’s dismissed at an OATH hearing or resolved through the COC review — even if the penalty was paid.
• No more AEU2 uploads. DOB says the AEU2, AEU20 and AEU3321 forms are no longer required; the information is entered directly into the COC request. See DOB’s COC user guide for the documents it expects.
• Some summonses need penalties paid first. For work without a permit, stop work orders, vacate orders and certain hazardous violations, penalties must be paid (or a waiver approved) before a COC will be approved.
• Disapproved? You can resubmit or dispute AEU’s decision.
• Timing. DOB accepts a COC any time after the summons is issued (with a narrow exception for summonses about false statements). Failing to submit a COC can lead to additional violations.

What evidence to collect during the repair

The person who did the work is the “corrector” on the COC. The paperwork goes faster when the contractor provides:

• Dated before-and-after photos that clearly show the cited location
• An itemized invoice describing the work performed, and where
• Copies of any permits pulled for the work
• Any inspection or professional reports that apply

Facade and parapet conditions

Facade conditions on buildings higher than six stories are handled through the Facade Inspection & Safety Program — repairs, amended reports and public protection follow FISP rules (see our Local Law 11 / FISP guide). Parapets on many other buildings fall under the annual parapet observation rule (see our parapet guide). If a DOB inspector has issued a violation, follow the correction instructions on the violation and in DOB NOW; certifying some conditions requires a registered design professional.

Clearing HPD violations

HPD issues a Notice of Violation (NOV) with a correction and certification due date. According to HPD, the time to correct depends on the class:

• Class A (non-hazardous): 90 days
• Class B (hazardous): 30 days
• Class C (immediately hazardous): 24 hours for most conditions, with different periods for some — for example, 21 days for lead-based paint, window guards, mold and pests; 14 days for self-closing doors; and immediately for heat and hot water

Then:

1. Correct the condition properly. For a leak, that means fixing the source (roof, facade, parapet or plumbing), not just repainting a stain.
2. Certify the correction within the time on the NOV, on paper or through HPD’s eCertification (except lead-based paint, mold and pest violations, which can’t be eCertified). Certification is free.
3. Expect a possible audit. Tenants are notified and can challenge a certification. HPD says properly certified violations (except lead-based paint) are deemed complied and closed 70 days after HPD receives the certification, unless a reinspection finds the condition still exists.

HPD warns that false certification leaves the violation open, can lead to civil penalties and can put an owner on the Certification Watchlist. If you miss the certification window, HPD describes options such as a dismissal request (with a fee) or violation re-issuance.

Why leak violations keep coming back

Repeat leak violations usually mean the source was never fixed. Common culprits on NYC buildings: open parapet and coping joints, failed roof flashing, deteriorated brick joints and missing window caulking. Fixing those at the source is what keeps the violation from being written again.

Owner checklist

• Pull the full list of open violations for the property.
• Group them by condition and location, and note every deadline and hearing date.
• Get one scope of work that fixes the underlying causes.
• Collect documentation during the work.
• Certify promptly and keep copies of everything.

How PrimeCity can help

We perform the repair work behind DOB, HPD and OATH/ECB violations — masonry and facades, roofing and waterproofing — and provide the photos and invoices you or your expediter need. We coordinate with your engineer, architect or expediter on filings. Property managers can see our commercial page; we work throughout the Bronx, Manhattan, Brooklyn and the other boroughs.

Frequently asked questions

Official sources

• NYC DOB — OATH Summonses
• NYC DOB — Certificate of Correction Requests user guide (PDF)
• NYC DOB — Steps to Correct an OATH Summons
• NYC HPD — Clear Violations
• NYC HPD — HPDONLINE
• NYC DOB — Building Information System

General information only — not legal advice. Requirements change; confirm details with the issuing agency.