A Tenant Protection Plan Notice to Occupants must be clearly displayed in the lobby and on each floor within ten feet of the elevator, or in the main stairwell, if no elevator is present.
Protecting the safety and well-being of residents during construction and renovation projects is not only a fundamental responsibility, it's also a legal requirement.
In New York City, Tenant Protection Plans (TPPs) and TPP Special Inspections are required for maintaining the safety and comfort of residents in residential and mixed-use buildings during construction and renovation projects. Once a Department of Buildings (DOB) application for proposed work is approved, a registered design professional—such as a Registered Architect or Professional Engineer—must prepare a TPP for review. Additionally, property owners are responsible for engaging a Special Inspection Agency to conduct periodic inspections and ensure compliance with the TPP.
What is a Tenant Protection Plan? (TPP)
A Tenant Protection Plan is a document outlining the details and measures contractors and building owners must implement to safeguard the well-being of tenants residing in a building during construction or renovation activities. The primary goal of TPPs is to minimize service disruptions and mitigate the negative impacts of construction on tenants.
The key elements of a TPP include provisions for:
- Egress: Ensuring adequate exits are maintained during construction.
- Fire Safety: Identifying safety measures to maintain fire safety for tenants.
- Health Requirements: Specifying methods for dust control, debris disposal, pest control, and sanitary facilities maintenance, along with compliance measures related to lead and asbestos.
- Compliance with Housing Standards: Demonstrating adherence to the NYC Housing Maintenance Code and the New York State Multiple Dwelling Law during construction.
- Structural Safety: Ensuring no structural work endangers occupants.
- Noise Restrictions: Identifying measures to limit noise in accordance with NYC Noise Control Code and specifying construction hours.
- Maintaining Essential Services: Describing how heat, hot water, cold water, gas, electricity, or other utilities will be maintained, notifying affected tenants of any disruptions, and outlining alternative arrangements.
When is TPP Required?
A TPP is required when a DOB application indicates occupied dwelling units, even if residential space isn't within the proposed construction area (e.g., work on commercial spaces in a mixed-use building). This requirement applies before obtaining a construction, alteration, or partial demolition permit in New York City. It's important to note that each permit application for such projects requires its own specific TPP tailored to the scope of work involved.
Are co-ops and condos exempt from TPP requirements because they have shareholders or unit owners rather than traditional tenants?
No, co-ops and condos are not exempt from TPP requirements solely because they involve shareholders or unit owners rather than “tenants,” a term traditionally associated with rental apartments. The key factor is whether there are occupied units within the building. If a co-op or condo building has occupied units during construction or renovation, a TPP is required for the safety and well-being of all residents, regardless of their ownership status.
Who prepares and files the TPP?
The contractor is responsible for retaining a registered design professional, such as a Registered Architect or Professional Engineer, to prepare and submit the TPP. The design professional does not need to be directly involved as a stakeholder on the filing.
What are the posting requirements for TPPs?
To keep tenants informed and safe, building owners are required to:
- Distribute a TPP Notice to Occupants. The DOB provides a checklist of items the notice must include.
- Display the TPP Notice prominently in the building's lobby.
- Post the TPP Notice on each floor within ten feet of the elevator (or main stairwell if no elevator is present).
- Provide a paper copy of the TPP to tenants upon request.
- Certify that specific apartments will be occupied during construction.
- Notify the DOB at least 72 hours before commencing work with a TPP in place.
A Safe Construction Bill of Rights must also be displayed on every floor of the building. The work permit, TPP Notice, and Safe Construction Bill of Rights should be prominently posted at the main entry or lobby. Depending on the specifics of the project and the approved TPP, additional project-specific documents may also be required.
What are Special Inspections for TPP Compliance?
Special Inspections conducted by a Special Inspections Agency must be performed throughout the course of work at sufficient periodic intervals to verify compliance with a tenant protection plan. A Special Inspection for TPP compliance is required if the work necessitates a Tenant Protection Plan. It's not required for specific cases within owner-occupied units or three-family homes.
When are TPP Special Inspections required?
At a minimum, TPP Special Inspections must be performed:
- Prior to the start of construction and/or demolition to document conditions prior to work;
- At the start of construction and/or demolition;
- Once per week during construction and/or demolition;
- After a tenant protection plan violation has been issued to verify that the violation was corrected;
- When the location of the alteration or construction operations performed in conjunction with the tenant protection plan has moved to another location; and
- Whenever construction or demolition operations have changed, requiring changes in methods of protection.
Who can be the Special Inspector on the TPP compliance Special Inspection?
Special Inspection Agencies registered for Luminous Exit Path Markings can perform TPP compliance Special Inspections.
When is a Special Inspector for TPP compliance required to report a condition to DOB?
Hazardous conditions should be reported immediately to the DOB via 311.
Who is responsible for hiring the Special Inspector for TPP compliance?
The owner is responsible for hiring an independent special inspector.
Are weekly TPP Special Inspections required for interior work in owner-occupied units without service disruption?
No, weekly TPP special inspections are not required in such cases.
What are the consequences for non-compliance with TPPs?
Failing to comply can result in the following penalties and actions by the DOB:
- Failure to File a Tenant Protection Plan (TPP): First Offense: $10,000; Second Offense: up to $25,000.
- Inadequate TPP: OATH violation with penalty of $1,600; Referred for TPP audit.
- Failure to Comply with TPP: OATH violation with penalty of $1,600; FTM-No Fire Stopping (if applicable) penalty of $2,500.
- Failure to Post TPP Notice and/or Safe Construction Bill of Rights: OATH violation with penalty of $1,250 for each.
- Failure to Notify the Department 72 hours prior to start of work: OATH violation with penalty of $1,250.
- Stop Work Order is issued if dangerous conditions are present.
Is a TPP required for a one-family home?
Yes, if the home is occupied during applicable work.
Can a TPP be waived for work that doesn't affect tenants?
No, a TPP cannot be waived if there are occupied dwelling units.
When can I request a TPP?
TPP review requests can only be created and submitted after the job filing is approved.
Do subsequent filings require separate TPPs?
Yes, every filing needs a TPP unless it's an Alt-CO subsequent filing with an approved TPP on the initial filing.
Is a TPP required for commercial or community facility buildings without residential units?
A TPP is not required, but an Occupant Protection Plan (OPP) may be necessary.
Contact RAND
The answers to more Frequently Asked Questions on TPPs can be found here.
As a Registered Design Professional firm and Special Inspections Agency, RAND provides various services that include Special Inspections to help owners navigate the process of requesting, submitting, and maintaining compliance with Tenant Protection Plans to stay in compliance and protect the safety and comfort of tenants during construction or renovation. Contact us today at (212) 675-8844 or info@randpc.com to learn more about our services and how we can assist you.
