Building Confidence and Reputation with AHJs
John Ivison, P.Eng, FSFPE
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All Fire Protection Engineers will deal with Authorities Having Jurisdiction (AHJs) at some stage in their careers. Yet little is published on how FPEs should interact and manage relationships with AHJs.
For a successful career in FPE it is essential to deal confidently with others. Following some basic principles can encourage FPEs to improve their effectiveness in communicating with all others in the field. While many organizations help support personnel at many levels, what I learned at an early stage of my career did not include much, if anything, on this subject, and it was not until I went into private practice that I started on the learning curve of improving my skills in this area.
While communication in recent decades has improved through enhanced electronic communication systems, such as email and other tools, positive results/project milestones are often expected. This typically necessitates direct interaction rather than one-way communication with authorities.
Types of Interaction
The terms of reference/mandate of different AHJs can be fundamentally different depending on the industry. Typically, the authority is either:
· Of a regulatory nature: for example, administration of building/health and fire safety regulations.
· Acting for the purposes of qualification/underwriting: for instance, obtaining insurance coverage.
Whereas at one time, insurance companies dealt with the process of qualification comprehensively- covering all required areas of fire safety to a degree incorporating some regulatory provisions- the vast majority of applications today involve a blend of both regulatory approval as well as qualification for other purposes. As many regulations provide some mechanism for Alternative Solutions or Equivalencies, allowing other means of meeting regulatory acceptance, there is likely to be a parallel discussion that satisfies both purposes, particularly with industrial projects. The management of the balance required to satisfy both or multiple parties often lies with the FPE.
Under statutory requirements, FPEs have a responsibility to meet the established regulation. However, this is not their only responsibility; the duty to the public is a standard of care defined broadly by what action should be taken by a reasonable engineer operating under similar circumstances. That may go beyond the statutory duty. Some legal decisions have deemed that the standard of reasonable care was breached due to not following a more recent standard referenced in the regulations. Some decisions were made on the basis that a ‘reasonable engineer’ would have been familiar with the latest changes, particularly if they had a significant impact on the fire.
This means that whether an FPE is working towards acceptance for insurance, regulatory compliance or a blend of both, there must be an approach that, while satisfying both criteria, makes rational sense and satisfies the duty to protect the consumer and the public at large.
Common Interactions with AHJs
There may be routine feedback from an AHJ following any submission- flagging an issue with an application, for instance- but this can happen at any project stage. Typical stages of submissions for fire protection designs are:
- Discussions on general approach/design concept
- Comprehensive agreement- for instance, on the scope of the project/requirements
- Design deviations/ Alternative Solutions/Performance- Based Designs
- Detailed submission/design, e.g., fire protection or other drawings.
- Permit applications/processing
- Inspections/testing and commissioning
- Final Documentation/Occupancy
- Fire Safety Planning
- Fire Protection Management/Fire Risk Assessment over time.
As there are wide varieties of submissions, the above is just a general guideline and may require variation in particular situations. However, while some submissions may seem relatively routine, such as sprinkler or fire alarm permits, there may be the need to communicate effectively with the delegated person at the AHJ to ensure a smooth application and, hopefully, to achieve acceptance/approval with minimum complications.
Testing and Commissioning significant fire pump system.
Remit of AHJs
Simply put, the reference of the authority is almost always aligned with the regulation, whether prescriptive or performance-based. For relatively simple projects, this may be a question of submitting something that meets the prevailing building code and is either accepted or a permit issued. Even relatively complex buildings, such as new high-rise buildings, can achieve the same result relatively easily.
As buildings become more complex and challenging in terms of design, the application of the code becomes more involved, and the code intent may not always be clear. In renovating significant existing/heritage buildings, alignment with the stipulated regulation is particularly challenging. While some authorities have comprehensive guidance on the degree of application of new codes to existing buildings, this is not always the case. Almost all the existing building projects I have undertaken in the last 40 years have been dealt with by ‘agreement’ with the AHJ, even when comprehensive guidance exists.
The evolution of communities means that new occupancies evolve that may not be dealt with under existing codes. In Canada, over the last few decades, the creation of more public markets, live-work as well as residential condominiums, and residential conversions have necessitated new approaches to regulation. Much of the background work to establish new guidance has come from the private sector.
Role of Owner/Architect
The owner and often the architect will typically operate in a sector they feel comfortable with, new residential, existing office conversions, etc. Many designs may challenge the prevailing code document. The assumptions underlying the code reflect largely past/conventional designs rather than new designs- including new occupancies which emerge from time to time.
The duty of the engineer is to develop the design to meet the ‘acceptable’ level of fire safety through some acceptable means. In this role, the engineer is trying to meet their common law duty, in addition to satisfying the AHJ that the designs meet or exceed the code intent. Conflict can occur where:
· Stipulated requirements or feedback from the AHJ are inconsistent with the proposed design of the building or space.
· The design challenges the ‘assumed’ or ‘anticipated’ level of safety under the code -- often due to inconsistency with prescriptive solutions.
This structure posed key fire safety and exiting challenges due to its nature and function.
Fundamentally, the building/design element may be demanding a new approach. Once the strategy is resolved and accepted, all parties- the owner, the architect, FPE and AHJ are all happy.
Perspective of User
While the user may be a purchaser, owner, renter, or customer who attends the premises for the purposes of obtaining a service, the building should likely be appropriate to its role in the community. For residential properties for instance, what the building offers should be appropriate to expectations of comfort, affordability, convenience, access to transportation, and community services. Renovated buildings are popular due to their established character and existing community.
The user may also have expectations that timely building or other permits will be obtained. The complexity of building regulations has put pressure on authorities who check applications for conformance to regulations. Traditionally, one- and two-family dwellings were relatively easy to process and construct in order to meet demand. More complexity of regulation has tended to slow the process of permitting down. The renovation of existing houses can also be more difficult due to retrospective upgrading for energy performance. In Vancouver, Canada, the need to improve the energy performance of residential conversions has sometimes necessitated the demolition of historic houses back to the studs. This is somewhat inconsistent with the strategy for commercial buildings where more reasonable energy provisions apply retroactively.
Points of Disconnection
Problems through the design process have been touched on briefly in the preceding sections.
Building fire risk evolves over time. Buildings age in place, and fire risk assessment plays a key role in monitoring that risk and amending strategies for risk/building control.
The regulation of new building construction should ideally rely on feedback from building and fire inspectors who have to address practical problems in the field. This can then be used to adapt regulations to meet new needs. Disconnects may occur in many situations where:
· There is a lack of expertise of the engineer/AHJ. Whereas traditionally, the authority played a significant role in guiding the design- sometimes on an iterative basis- the trend is for the FPE to help facilitate the process of alignment with codes and standards either individually or through the design team. This enables a more proactive approach to be taken in support of a specific design. The duty of the FPE is to have the skills necessary to deal with the problem at hand.
· The actual risk is different from the assumed risk. Where the risk can be interpreted to be greater based on the interpretation of the code to a specific situation, it then becomes important to present an analysis that identifies code conformance issues and assesses the proposed measures in comparison with the Acceptable Solutions in the code. It may be essential to draw on other evidence in support of the proposed strategy where the regulation is lacking in appropriate guidance.
· You are not dealing with the correct AHJ or person. These situations require you to seek out the person with authority to act. Sometimes this may be a higher authority within the same jurisdiction. There are also cases where the problem does not exist
· Is there a challenge in explaining/presenting/understanding the problem?
· There are difficult characters. These last two situations are dealt with in the next section.
Presenting/Negotiating Agreements
Before we get started on how to obtain an agreement with AHJs we have to discuss basic communication skills 101. While experience tends to help FPEs in their dealings with others, it helps to understand the basic elements of ‘pitching’ ideas in ways that lead to a successful outcome. Most meetings require the following steps:
· Introductions. You will need to identify others in your team and their role before settling into the meeting.
· Talking point. This can simply be an opening statement or issue of interest to the other party. It can be something of relevance and interest that is likely to establish rapport or break the ice. This becomes easier as you build a relationship with the other party. As you get to know the interests of the other party, this becomes easier but try to bring fresh ideas to the discussion.
· Features and benefits. As you go through various issues or features of the project, you should be clear on what benefits they bring to the project, as this is logged with the listener. For instance, a common objection to upgrading buildings is the potential disruption to normal operations. This can sometimes be overcome by carrying work out after normal business hours when disruption is minimized, and interference with work is less likely to occur.
· As you present your proposal, you will probably get feedback or objections. These have to be anticipated when you plan a meeting as, if you deal with them effectively, this helps support the whole proposal and likelihood of acceptance by the AHJ.
· Many people rely on what others are doing, and this validates your approach and is called providing ‘proof’. For instance, if the project is a hotel renovation, you could point out that other developers have been in the same situation and are installing automatic sprinklers in their property's buildings to align with international standards. Proof may also be available through reference to other standards/publications.
· Summary: when you have been through your presentation, you need to summarise the features and benefits of the proposal while summarising how objections will be dealt with and what others are doing.
· Finally, you need to close the presentation. This needs to be short and sweet and should be a logical outcome of the meeting. You might have agreed to submit minutes of the meeting to formalize the agreement with the AHJ. Other actions, such as special reports that are required, should be covered. In certain cases, it may be agreed to fast-track the permit or phase it to speed up the proposal.
Leadership and Organisation
The challenge in establishing positive long terms relationships with authorities demands transparency as well as organization. The FPE must be open and not place undue pressure on the AHJ. For existing buildings, reliance is placed on a comprehensive assessment of the existing structure to see how the building can be adapted to achieve reasonable alignment with the intent of codes and standards rather than literal compliance. Exposing all the conditions to the AHJ, builds confidence in the strategy but also gives more understanding of elements that could work together as a more effective fire protection strategy for the building.
For new construction, more fundamental analysis may enable the FPE to deviate from the literal application of the code using first principles. Some areas of innovation in this regard can be explored, including:
· More detailed analysis of building performance/systems as a result of new heat transfer, modeling techniques, evacuation, and other techniques that can quantify performance and feed into an assessment of Acceptable Solutions.
· In some cases, authorities have posed questions about fire risks associated with building arrangements that they were uncertain of and asked us to analyze the fire risk by developing new radiation heat transfer programs.
In terms of negotiating an agreement with authorities, good practice demands formalizing the presentation by either writing out the presentation in note form or drafting the minutes of the meeting in advance of the meeting and using that as your guide to the discussions. This works effectively where the actual presentation takes at least an hour to present. The advantage of this approach is that following feedback from the AHJ at the meeting, it is relatively easy to get the minutes out within a few days of the actual meeting.
Organizing the meeting in advance includes ensuring that all required consultants attend and understand that the FPE is leading the meeting and will ask for their input when needed. Without this clarification, the FPE may find that certain disciplines may take the discussion in the wrong direction leading to acceptance or uncontrollable objections by the AHJ.
Difficult Characters
Some individuals within AHJs may push back unnecessarily, and sometimes there may be hostile behavior. This is usually due to the following causes:
1. Lack of confidence with the subject.
2. Lack of experience with FPE.
3. Lack of flexibility of the individual/ the AHJ.
We have discussed some possible solutions already. The tendency for most FPEs is to try to work with the individual. This means taking the time to explain the project and going through the features and benefits of the program. If an individual resists you in presenting the details, it is likely that you will have to use other options such as:
· Reverting to review by a higher authority such as the Chief Building Official.
· Obtaining the support of other parties to the discussion. For instance, the fire service may have an interest and be able to offer support for a proposal.
· Lodging a formal appeal. Keep in mind that appeal bodies usually rule on the wording of the code rather than the assessment of a proposal on its merits.
· Certain individuals enjoy ‘’sounding off and may enjoy an altercation. Once they have vented their frustrations, they are often more reasonable and will be willing to compromise.
As you build up confidence and experience, you will probably find less resistance from the key officials. They will be familiar with your way of operating to the point that you establish some long terms relationships and eventually friendly relations with most people in the business. Your key asset is your professional expertise which gains more and more respect over time.
John Ivison is with Celerity Engineering Limited