Permit Issuer Notes

Permit Issuers
Alberta Regulation (204/2007)
100075 v4.00
100075
STATEMENT OF PURPOSE AND DISCLAIMER
This learning package and any course utilizing it is intended to provide basic information relating to the proper use of the
Alberta Regulation (204/2007). This learning package is not intended to be an instruction book applicable to all codes
and regulations under all circumstances. This learning package does not address all current revisions and addenda to
the Alberta Regulation (204/2007) and cannot anticipate what might be introduced. The Safety Codes Council
emphasizes that the user must evaluate the specific situation under which the Alberta Regulation (204/2007) is being
applied, local regulations, guidelines, and conditions. This learning package cannot anticipate all the variables. While
reasonable efforts have been made to ensure the accuracy of the interpretation of the Alberta Regulation (204/2007),
the Safety Codes Council does not claim that all information in this learning package and/or course is accurate in all
respects.
The Safety Codes Council hereby disclaims:
(a) any implied warranty for a particular purpose and

(b) any and all liability of every kind and nature related to this learning package and its use. The exclusive remedy
of any user or purchase, and the limit of liability of the Safety Codes Council for any and all losses, injuries, or
damage resulting from the use of this learning package and/or course (including claims based on contract,
negligence, strict liability, other tort, or otherwise), shall be the return of the learning package and/or course
and the refund of the purchase price. In no event shall the Safety Codes Council be liable for any incidental or
consequential damages.
SAFETY CODES COUNCIL © 2009
This learning material may not be reproduced in whole or in part without the written permission of the Safety Codes
Council:
Suite 1000, 10665 Jasper Avenue, Edmonton, Alberta T5J 3S9

Toll-Free Phone in Alberta: 1-888-413-0099
Local Phone: 780-413-0099
Local Fax: 780-424-5134
Website: www.safetycodes.ab.ca
Email: training@safetycodes.ab.ca
v1.00 Published September 2009

v2.00 Second Edition December 2009
v3.00 Third Edition October 2010
v4.00 Fourth Edition May 2011
Note : Version 2.00 never went to print. Any changes between version 1.00 and 2.00 were released as an errata to
Version 1.00. Version 3.00 reflects all changes up to and including changes for 2011 delivery of this course.
Acknowledgements
We acknowledge and thank the following individuals and organizations that have contributed to
the preparation of this course:
Maggie Burch Leduc County

Diane Camponi County of Stettler
Chris Contenti Alberta Municipal Affairs
John Descent Alberta Municipal Affairs
Alex Morrison Alberta Municipal Affairs
David Ramsay Alberta Municipal Affairs
Jill Walker Base Corp. Learning Systems
SYLLABUS
PERMIT ISSUERS
Facilitated Course 100075
Delivery Method
Course 100075 is a two-part course. The first section is a self-paced, print-based correspondence
course. You may work through this learning material at your own pace but must complete the
course within six months.
The second section of this course is a class seminar, offered both online and in-classroom. The
seminar will refer to material from the correspondence section, which must be completed before
attending the seminar.
Required Reference Resources
Along with the course materials, the following resource is provided:
The Uniform Quality Management Plan.
You will also need to access the following documents from Queen‟s Printer. They may be
viewed online at no charge or downloaded for a small fee. They are also available for purchase
in hard-copy.
The Safety Codes Act;

Permit Regulation (AR 204/2007).
Access the Queen‟s Printer online at:

http://www.qp.alberta.ca/570.cfm?frm_isbn=9780779723652&search_by=link
Course Description
This course is for non-Safety Codes Officer Permit Issuers. It deals with their responsibilities
under the Safety Codes Act and Permit Regulation AR 204/2007.
Objectives
After completing this course, you should be able to:
Describe the Development of the Safety System and Current Legislation;

Explain the Safety Codes System;
Explain Permits, Permit Types and Purposes and the Permitting System;
Explain the Application Process;
Provide Information to Applicants;
Calculate and Explain Permit Fees and Explain Refunds;
Explain Requirements for Records;
Explain Refusal to Issue and Cancellation of Permits;
Explain Compliance Monitoring;
Explain Permit Extensions and Transfers;
Prepare for a Permit Application;
Complete a Permit Application;
Process a Permit Application;
Permit Application Outcome;
Describe Good Customer Service;
Deliver Good Customer Service;
Answer Frequently Asked Questions;
Deal with Applicant Complaints;
Explain Meetings and Proper Meeting Behaviour.
Course Structure
Each module includes a rationale, learning outcomes, and enabling objectives to provide an
overview of what you will be learning. Any prerequisites that may be required before you begin
each module will be identified. To help you navigate your way through the course, under each
enabling objective you will find a “What to do” and “Where to go” table. You will be directed to
study the learning material, complete the self-test, and compare your answers to the answer key.
When these have been completed you then proceed to the next objective. This course is divided
into five Bands and 19 modules. When you have successfully completed these modules you will
be ready to take the seminar.
The seminar is a facilitated session where you will review and apply the concepts you covered in
this course package. You may attend either a classroom or online session. After completing the
seminar, you will be ready to take the exam.
Evaluation
To receive credit for this course you must complete a multiple-choice final examination and
receive a mark of at least 80%. The length of the examination is two hours and will contain 40
multiple-choice questions. The examination is “open book,” which means you may take your
course materials and any related documents, such as the Uniform Quality Management Plan, into
the exam.
The exam may be written at the Safety Codes Council office or at another location under the
supervision of a proctor. To receive an exam, you and the proctor must complete a Proctor
Consent form and mail or fax it to the Safety Codes Council office at least one week prior to the
date you wish to write the exam. The exam will be sent directly to the proctor. An online
version of the exam is also available upon request.
PERMIT ISSUERS
Course 100075
TABLE OF CONTENTS
BAND A – DESCRIBE ALBERTA’S SAFETY SYSTEM AS ESTABLISHED BY THE

SAFETY CODES ACT
Module A-1 ................................................................................................................ Page 1

Describe the Development of the Safety System and Current Legislation
Module A-2 .............................................................................................................. Page 15

Explain the Safety Codes System
BAND B – PERMITTING SYSTEM
Module B-1 .............................................................................................................. Page 71

Explain Permits and Their Purpose
Module B-2 .............................................................................................................. Page 91

Explain the Permit Application
Module B-3 .............................................................................................................. Page 99

Provide Information to Applicants
Module B-4 ............................................................................................................ Page 107

Explain Fees and Refunds
Module B-5 ............................................................................................................ Page 117

Explain Requirements for Records
BAND C – PERMIT PROBLEMS
Module C-1 ............................................................................................................ Page 127

Explain Refusal to Issue, Suspension and Cancellation of Permits
Module C-2 ............................................................................................................ Page 135

Explain Compliance Monitoring
Module C-3 ............................................................................................................ Page 143

Explain Permit Extensions and Transfers
BAND D – COMPLETING A PERMIT APPLICATION
Module D-1 ............................................................................................................ Page 151

Prepare for a Permit Application
Module D-2 ............................................................................................................ Page 169
Complete a Permit Application
Module D-3 ............................................................................................................ Page 179

Process a Permit Application
Module D-4 ............................................................................................................ Page 189

Permit Application Outcome
BAND E – CUSTOMER SERVICE AND OTHER RESPONSIBILITIES
Module E-1 ............................................................................................................ Page 205

Describe Good Customer Service
Module E-2 ............................................................................................................ Page 213

Deliver Good Customer Service
Module E-3 ............................................................................................................ Page 227

Answer Frequently Asked Questions
Module E-4 ............................................................................................................ Page 235

Deal with Applicant Complaints
Module E-5 ............................................................................................................ Page 251

Explain Meetings and Proper Meeting Behaviour
APPENDICES AND REFERENCES
Appendix A – Uniform Quality Management Plan ................................................ Page 38
Appendix B – Partners Newsletter 02/04/09 ........................................................ Page 198
Appendix C – Porcupine County Plumbing and Gas Permit Application Form .. Page 199
Appendix D – Completed Application Form ........................................................ Page 200
Appendix E – Notice of Building Permit – 2 versions ......................................... Page 201

NON-SAFETY CODES OFFICER PERMIT ISSUER
Course 100075
Permit Issuers, Permit Regulation 204/2007
July 2009
ALBERTA REGULATION (204/2007)
DESCRIBE ALBERTA’S SAFETY SYSTEM as

ESTABLISHED by the SAFETY CODES ACT
BAND A
DESCRIBE ALBERTA’S SAFETY SYSTEM as ESTABLISHED by the
SAFETY CODES ACT
BAND A
TABLE OF CONTENTS
Module A-1 ................................................................................................................ Page 1

Describe the Development of the Safety System and Current Legislation
Module A-2 .............................................................................................................. Page 15

Explain the Safety Codes System
Appendix A – Uniform Quality Management Plan ................................................ Page 38

MODULE A-1
DESCRIBE the DEVELOPMENT the SAFETY SYSTEM

and CURRENT LEGISLATION
Permit Issuers, Alberta Regulation (204/2007)

Safety Codes Council 1
RATIONALE
The intent of this module is to provide you with an introduction to Alberta‟s safety system and
the laws, rules and roles of organizations that form it so you will understand how your role as a
Permit Issuer functions as a part of the larger system.
LEARNING OUTCOMES
At the conclusion of this module, you will be able to list significant events in the development of
Alberta‟s safety system, describe the Safety Codes Act and define the responsibilities of various
stakeholders under the Act.
INTRODUCTION
When issuing permits, you will play a vital role in Alberta‟s safety system. This module will
provide you with the information about that system that you will need to understand and fulfill
your responsibilities in that system.
ENABLING OBJECTIVES
1. List significant events that contributed to the development of a safety system covering
buildings, structures and their construction in Alberta and describe the reasons for
developing such a system.
2. Describe the Safety Codes Act and define the responsibilities of the following groups
under the Safety Codes Act: government, owners, design, manufacturers, contractors,
vendors and professionals.
PREREQUISITES
None.
PERFORMANCE EVALUATION
A minimum score of 80% is required on a final exam, which will include questions from this
module.

2 Safety Codes Council
ACTIVITY GUIDE
A-1, OBJECTIVE #1
List significant events that contributed to the development of a safety system covering buildings,
structures and their construction in Alberta.
WHAT TO DO WHERE TO GO
1. Study the learning material. Pages 4 – 6

2. Complete Self-test #1. Page 7
3. Compare your answers with the Page 13
Answer Key.
4. When you are successful, go on to the Page 8
next objective.

LEARNING MATERIAL
THE EVOLUTION OF PUBLIC SAFETY LEGISLATION IN ALBERTA
The development of a public safety system in Alberta has been a gradual process. Government
involvement in this area was triggered by public demand. Most early public safety legislation
simply responded to specific dangers as they arose. Later, focus shifted to the development of a
more cohesive system with the ability to predict, rather than simply respond to risks to public
safety. Alberta‟s Safety Codes Act is one of the outcomes of this process.
1897 – Steam Boiler Ordinance
Steam power was vital to nineteenth-century industry and agriculture. As demand for steam
power increased, so did boiler explosions and the consequent injuries and deaths. Public outcry
for regulation of boilers lead to the proclamation of the Steam Boilers Ordinance (North West
Territories) in 1897. The ordinance established the Boilers Branch, which was responsible for a
system of inspection for steam boilers.
1904 – Electrical Inspections
In 1904, municipal governments took the idea of public safety standards and inspections a step
further. Calgary, Edmonton, Red Deer and Lethbridge each developed an electrical inspection
program.
1917 – Electrical Workers Protection Act
As electricity became more widespread, its dangers became more apparent. The Electrical
Workers Protection Act, under the jurisdiction of the Board of Public Utilities Commissioners,
was enacted to establish safety precautions to protect workers from high voltage electrocution
and to minimize the risk of fire.
1937 – Plumbing
The first provincial regulations concerning plumbing were developed. They were designed to
address concerns about communicable diseases spread by faulty plumbing and sewage systems.

Late 1930s
The province assumed jurisdiction over electrical inspections.
1942 – National Building Code
The first edition of the National Building Code was published. Canada‟s Model Building Code
was recommended for use by municipalities.
1952 – Electrical Installations in Oil Fields
Five years after the discover of oil in Leduc, the need for wiring standards on drilling rigs and oil
production facilities had become apparent. After numerous meetings with oil companies in
1948, 1949 and 1951, the regulation governing Electrical Installations in Oil Fields was adopted.
1955 – Gas Protection Act and Boilers and Pressure Vessels Act
The Gas Protection Act was passed to provide protection to gasfitters and other related workers
dealing with gas equipment and installations.
The Boilers and Pressure Vessels Act was passed to apply to all pressure plants. The Act
provided detailed regulations on the design, construction and installation of pressure vessels.
1957 – Red Book and Gas Protection Branch
Regulations were adopted governing the certification of electrical workers, and the Electrical
Protection Act and its regulations are published in the “Red Book.” This book was used as a
reference tool in the electrical industry for years.
A number of serious gas-related accidents resulted in the establishment of the Gas Protection
Branch and the development and administration of gas codes and regulations.
1968 – Master Electrician
The Master Electrician‟s certificate program was put into effect province-wide.

1974 – Alberta Building Code
Under the Alberta Building Code – 1974, training for building inspectors was introduced for the
first time, and uniformity in their practices was promoted through twice-yearly full-day technical
sessions at their conferences.
The Barrier-Free Design Advisory Committee was established to advise the department on
building code issues related to access for persons with disabilities and to assist in the
development of the Barrier-Free Design Guide.
1988 – General Safety Services Division Mission
The General Safety Services Division defined its mission to “promote public safety through
programs that encourage and facilitate the acceptance of safety standards and responsibilities by
industry and the general public respecting fuel gas, plumbing, buildings, elevators and fixed
conveyances, fire prevention, electrical protection and fire equipment.”
1993 – Safety Codes Council
The Safety Codes Council was established as a partner in the province‟s safety system and
delegated the responsibility to formulate and oversee the development of safety codes and
standards throughout the province.
1994 – Safety Codes Act
The Safety Codes Act came into full effect in 1994. It consolidated and replaced a number of
pieces of legislation governing safety in the nine disciplines covered by Safety Services.
2003 – Safety System Review
The Safety System Review Final Report was released to the public. Based on feedback from
extensive consultations conducted in 2001 and 2002, this report became the primary long-term
strategic document for the department and the Safety Codes Council in guiding the province‟s
safety system.

A-1, SELF-TEST #1
Compare your answers with the Answer Key at the end of this Module.
1. Why did government first become involved in public safety matters?
2. What document determines the strategy for long-term development of Alberta‟s safety
system, and how was it developed?

ACTIVITY GUIDE
A-1, OBJECTIVE #2
Describe the Safety Codes Act and define the responsibilities of the following groups under the
Safety Codes Act: government, owners, design, manufacturers, contractors, vendors and
professionals.
1. Study the learning material. Pages 9 - 11

Answer Key.
4. When you are successful, continue to Page 15
module A-2.

LEARNING MATERIAL
THE SAFETY CODES ACT
By the late 1980s, the government of Alberta began to consult with stakeholders in an effort to
build a more cohesive safety system out of the many different safety acts and regulations that
were current in Alberta. The Safety Codes Act was a result of this consultative process. The Act
consolidated and updated seventeen different Safety Acts and regulations. It also established the
Safety Codes Council as part of a system to continuously maintain and update various safety
codes and oversee their implementation.
The coverage and scope of the Safety Codes Act is stated in section 2:
Application of Act
2(1) This Act applies to fire protection and applies to the design, manufacture, construction,
installation, operation and maintenance of
(a) buildings,
(b) electrical systems,
(c) elevating devices,
(d) gas systems,
(e) plumbing and private sewage disposal systems, and
(f) pressure equipment.
(2) The Minister may, by order, exempt any person or municipality or any thing, process or activity from
any or all provisions of this Act and attach terms and conditions to the exemption.
(2.1) This Act is to be applied in a manner consistent with the principles of barrier-free design and
access to allow persons with physical and sensory disabilities to access and use buildings and facilities to which this
Act applies.
(3) An order under this section may be made to apply generally or specifically and to apply to all or a
particular area of Alberta.
Regulations
The government of Alberta has the authority to make regulations under the Safety Codes Act.
Regulations, which can refer to and require adherence to codes and other standards, also have the
force of law. Permit issuers must be familiar with the Safety Codes Act, the Permit Regulation
and some of the terms of the Administrative Items Regulation. The Permit Regulation is the
most significant regulation to Permit Issuers. It establishes guidelines for when permits are
necessary and criteria for issuing permits. It is the primary reference for Permit Issuers when
determining when permits are required and the criteria for each permit.

While Permit Issuers do not need to know the terms of other codes and regulations, their
requirements will affect the work of Permit Issuers. Relevant codes include, but are not limited
to:
Alberta Building Code;

National Building Code of Canada;
Canadian Electrical Code;
Natural Gas and Propane Installation Code (CAN/CSA B149.1-05);
National Plumbing Code of Canada;
Alberta Private Sewage Systems Standard of Practice.
The Alberta Building Code, for example, contains considerable information about when building
permits are required or not required. When issues concerning these codes arise, Permit Issuers
are expected to turn to Safety Codes Officers who have expertise in the technical areas of these
codes.

Responsibilities under the Safety Codes Act
The Safety Codes Act defines the responsibilities of several groups involved in activities under
its jurisdiction. Sections 4 – 9 and 11 state:
Government
4(1) The Minister shall, in accordance with this Act, co-ordinate and encourage the safe management
and control of any thing, process, activity to which this Act applies.
(2) The Minister shall, in accordance with this Act, co-ordinate and encourage the principles of
barrier-free design an access for any thing, process or activity to which this Act applies.
Owners, care and control

5 The owner of any thing, process or activity to which this Act applies shall ensure that it meets the
requirements of this Act, that the thing is maintained as required by the regulations and that when the process or
activity is undertaken it is done in a safe manner.
Design duties
6 A person who creates, alters, has care and control of or owns a design or offers a design for use
by others shall ensure that the design complies with this Act and that it is submitted for review or registered if
required by this Act, and if the design is deregistered, the person shall provide notice of its deregistration in
accordance with the regulations.
Manufacturers’ duties
7 A person who manufactures any thing or undertakes a process or activity to which this Act
applies shall ensure that the thing, the process or the activity complies with this Act.
Contractors’ duties
8 A contractor who undertakes construction, operation or maintenance of or builds or installs any
thing to which this Act applies shall ensure that this Act is complied with.
Vendors’ duties
9(1) A person who is a vendor in the ordinary course of business, other than as an employee or an
agent, shall not advertise, display or offer for sale, for lease or for other disposal, or sell, lease or otherwise dispose
of, any thing to which this Act applies unless that thing complies with this Act.
(2) A person who sells, leases or otherwise disposes of a thing referred to in subsection (1) shall
provide any warnings or instructions required by this Act.
(3) No person shall advertise, display or offer for sale, for lease or for other disposal, or sell, lease or
otherwise dispose of, any thing that is prohibited from being sold by the regulations.
Professional Services
11 A person permitted to affix stamps or seals pursuant to the Architects Act or the Engineering,
Geological and Geophysical Professions Act shall ensure that any professional service the person renders to which
this Act applies, including the affixing of stamps and seals, complies with this Act.

A-1, SELF-TEST #2
1. Name the seven systems, devices or issues the Safety Codes Act applies to.
a. __________________________________________
b. __________________________________________
c. __________________________________________
d. __________________________________________
e. __________________________________________
f. __________________________________________
g. __________________________________________
2. Which of the following should Permit Issuers use as their primary resource for
determining when permits are necessary?
a. Building Code
b. Administrative Regulation
c. Permit Regulation
d. Safety Codes Act
3. According to the Safety Codes Act, who is responsible for co-ordinating and encouraging
the safe management and control of any thing, process, activity to which the Act applies?
a. The Minister of Municipal Affairs

b. The owner of the thing, process or activity
c. The designer of the thing, process or activity
d. The manufacturer of the thing, process or activity
4. Describe owners‟ responsibilities under the Safety Codes Act.

A-1 ANSWER KEY
MODULE A-1 SELF-TEST #1
1. Government became involved in public safety because of public demand. Specifically,

boiler explosions triggered public demand for regulation.
2. The Safety System Review Final Report is the primary long-term strategic document for
the department and the Safety Codes Council in guiding the province‟s safety system. It
is based on feedback from extensive consultations conducted in 2001 and 2002.
1. a. fire protection
b. buildings
c. electrical systems
d. elevating devices
e. gas systems
f. plumbing and private sewage disposal systems
g. pressure equipment
2. c. Permit Regulation
3. a. The Minister of Municipal Affairs
4. The owner of any thing, process or activity to which this Act applies shall ensure that it
meets the requirements of this Act, that the thing is maintained as required by the
regulations and that when the process or activity is undertaken it is done in a safe manner.

MODULE A-2
EXPLAIN the SAFETY CODES SYSTEM

RATIONALE
The intent of this module is to explain the safety codes system. This will allow you to
understand the importance of your role as a permit issuer.
LEARNING OUTCOMES
At the conclusion of this module, you will be able to explain basic elements of the safety codes
system, the roles of Alberta Municipal Affairs, the Safety Codes Council and Safety Codes
Officers, the distinction between accreditation and jurisdiction and the purpose and use of
Quality Management Plans.
INTRODUCTION
As a Permit Issuer, you are expected to fill a role within the safety codes system. This module
will provide you with background information about that system so you can identify your role
and the specific responsibilities and requirements that pertain to it.
ENABLING OBJECTIVES
1. Explain elements of the safety codes system.
2. Explain the role of:
Alberta Municipal Affairs (Safety Services);
the Safety Codes Council;
Safety Codes Officers;
distinguish between Safety Codes Officers and non-Safety Codes Officer
Permit Issuers.
3. Explain accreditation and jurisdiction.
4. Explain Quality Management Plans.
PREREQUISITES
None.
A minimum score of 80% is required on a final exam which will include questions from this
module.

ACTIVITY GUIDE
A-2, OBJECTIVE #1
Explain elements of the safety codes system.

3. Compare your answers with the Page 36 - 37
Answer Key.
next objective.

LEARNING MATERIAL
ELEMENTS OF THE SAFETY CODES SYSTEM
The Safety Codes Act does not merely establish required standards and responsibilities for
maintaining them; it creates an entire system for supporting and enforcing them. The
participants in this system are shown below.
Figure 1 - Safety Codes System
Minister of Municipal Affairs
The Minister of Municipal Affairs has a responsibility to the Legislature, the Caucus, the
Cabinet, and all Albertans for:
appropriate public policy;

providing reasonable assurance that public safety is being maintained; and
administering the Act.

Alberta Municipal Affairs
Alberta Municipal Affairs has a responsibility to the Minister for:
providing technical support;

ensuring the delivery of safety programs is appropriate, effective and reflects
government policies;
maintenance of a regulatory framework;
management of issues;
managing the quality of the overall system;
administering the Act in non-accredited areas;
monitoring the delivery of safety programs.
Safety Codes Council
The Safety Codes Council is responsible to the Minister of Municipal Affairs for:
the accreditation process;

the certification and designation of powers processes;
the training program;
the appeals process.
Together, Municipal Affairs and the Safety Codes Council are responsible for recommending
appropriate codes and standards and facilitating the development of partnerships to support the
safety codes system.
Accredited Entities
Accredited entities have responsibility for administering the safety codes system in accordance
with their accreditation, the accepted Quality Management Plan, and legislation under the Act.

Safety Codes Officers
Safety codes officers are responsible for conducting compliance monitoring and investigation
services under the Act. They provide Albertans with a reasonable assurance of compliance with
Alberta codes and standards by providing:
code advice;
permit issuance;
plans examinations;
site inspections;
variances;
orders;
reviews of verifications of compliance;
investigations.
Other Groups
As discussed earlier, the Safety Codes Act also sets out specific responsibilities for:
owners;
designers;
manufacturers;
contractors;
vendors;
other professionals.
Their responsibilities can be reviewed in sections 5-9 and 11 of the Safety Codes Act.

A-2, SELF-TEST #1
1. Who is responsible for administering the Safety Codes Act in unaccredited areas?
a. Minister of Municipal Affairs

b. Alberta Municipal Affairs
c. The Safety Codes Council
d. Safety Codes Officers
2. When accredited entities administer the safety codes system, which three things must
they work in accordance with?
a. __________________________________________
b. __________________________________________
c. __________________________________________
3. Which two entities are responsible for recommending appropriate codes and standards?
a. __________________________________________
b. __________________________________________
4. Who is responsible for conducting site inspections?
a. Minister of Municipal Affairs

b. Safety Codes Officers
c. Owners
d. Contractors

ACTIVITY GUIDE
A-2, OBJECTIVE #2
Explain the role of Alberta Municipal Affairs (Safety Services), the Safety Codes Council and
Safety Codes Officers.

2. Complete Self-test #2. Pages 27 - 28
Answer Key.
next objective.

LEARNING MATERIAL
ALBERTA MUNICIPAL AFFAIRS SAFETY SERVICES BRANCH
The Safety Services branch of Alberta Municipal Affairs provides technical advice and program
support to municipalities, corporations, inspection agencies, the Safety Codes Council,
contractors, industry and the public. The branch monitors and evaluates the performance of
organizations that administer the Safety Codes Act. It also co-ordinates and encourages the
principles of barrier-free design and access for anything regulated by the Safety Codes Act and
participates in the development of national and international codes and standards.
Alberta Municipal Affairs is sometimes responsible for the local administration of the Safety
Codes Act. Many municipalities are accredited to administer the Act or part of the Act
themselves, but where municipalities are not accredited, Alberta Municipal Affairs is responsible
for tasks such as permit issuing and providing inspections and oversight. The ministry contracts
with agencies to provide the actual services, but remains responsible for administering the Safety
Codes Act through the terms of the contracts.
To be accredited, municipalities must submit Quality Management Plans (QMPs) to the Safety
Codes Council (SCC) that detail their responsibilities under the Act. Municipal Affairs monitors
accredited municipality‟s adherence to their QMPs on behalf of the Safety Codes Council.
Alberta Municipal Affairs uses Authorization Agreements to contract with accredited agencies to
provide services in unaccredited areas of the province and monitors the files of the agencies.
Monitoring ensures that files are being properly maintained and that, as far as can be reasonably
determined, proper procedures are being followed.
The ministry also provides general support on matters relating to the Safety Codes Act. It
maintains a toll-free information line providing technical advice about applying various codes
and develops and distributes supporting publications. Current publications are available from
the ministry‟s website: http://municipalaffairs.alberta.ca/am_safety_tips.cfm.
Alberta Municipal Affairs is also responsible for certifying private sewage installers. Any
contractor applying for a private sewage disposal system permit must be certified by Alberta
Municipal Affairs.

SAFETY CODES COUNCIL
The second major organization in the safety codes system is the Safety Codes Council. The
council is a non-government statutory organization created by the Safety Codes Act that reports
to the Minister of Municipal Affairs. It includes both full-time employees and expert volunteers
in all the disciplines covered by the Safety Codes Act:
Amusement Rides;
Barrier Free Accessibility;
Boilers and Pressure Vessels;
Building;
Electrical;
Elevators;
Fire;
Gas;
Passenger Ropeways;
Plumbing.
One of the major roles of the Safety Codes Council is to review codes pertaining to certain areas
of construction and make recommendations to government for updating and maintaining those
codes. It also has the following five areas of responsibility:
1. Accreditation – Municipalities, corporations and agencies that wish to carry out activities
under the Act must be accredited. The Council requires each organization wishing to be
accredited to submit a Quality Management Plan (QMP). The QMP sets out the detail
about how the organization plans to deliver safety services, allowing the Council to
monitor their success and provide guidance as necessary.
2. Certification/ Designations of Power – Safety Codes Officers (SCOs) must be certified

and designated powers to carry out their duties for accredited organizations. The Council
assesses the qualifications of potential Safety Codes Officers, recommending and
providing training and direction as necessary. SCO certification must be renewed every
five years. Council staff is responsible for processing these applications. Qualified
SCOs receive a Certificate of Competency showing their level of certification, the
discipline they are certified in and their SCO number.
The Safety Codes Act also allows non-Safety Codes Officers to issue permits when
authorized by the Safety Codes Council. Non-SCO Permit Issuers are granted
Designations of Power (DoP) to issue certain permits under the authority of an accredited
agency or municipality.
3. Education and Training – Safety Codes Officers need training, both to become certified
and to maintain their certification. Council staff update existing courses, develop new
courses and code, update training, publish a course calendar, develop exams and arrange
and supervise testing.

4. Appeals – Orders and written notices may be issued when the Safety Codes Act is not
complied with. The recipient of an Order or written notice has the right to appeal to the
Council. The Council coordinates appeals and appeal hearings. Technical Council
Members from the discipline concerned hear the appeal and provide a decision.
5. Electronic Permit System (ePS) – The Safety Codes Council is responsible for managing
and sustaining ePS. The Council provides training and technical support to
municipalities and agencies that use this service.
SAFETY CODES OFFICERS
Most Permit Issuers will find they often work with Safety Codes Officers (SCOs). Refer to
sections 31 to 37 of the Safety Codes Act for a complete list of SCO responsibilities. These
responsibilities include:
providing advice and interpretation of codes to permit applicants, permit holders and
Permit Issuers.
reviewing plans and providing written reports as required by the Safety Codes Act,
related regulations, codes and standards and the relevant QMP and local practices.
issuing permits.
issuing orders to comply when required under the Act.
performing inspections and following up on code contraventions.
reviewing requests for alternative solutions (variances) and supporting documentation.
issuing variances in accordance with the Act.
conducting investigations and issuing written reports about:
building/installation failures;
complaints;
accidents;
fires.
Safety Codes Officers, like Permit Issuers, have a vital role in Alberta‟s safety codes system.
They have a fundamental duty to uphold the Safety Codes Act and all regulations, contracts and
agreements made under it. All their actions must therefore be taken in accordance with:
the Safety Codes Act;

relevant regulations;
applicable codes;
applicable Quality Management Plans;
Designations of Power;
Designations of Power and terms of employment may limit the authority of
Safety Codes Officers. For example, the Safety Codes Act grants Safety Codes
Officers the power to issue variances. However, designations of power or terms
of employment may restrict that power to only certain specialist Safety Codes
Officers.
certificates of competency;
terms of employment.
Non-Safety Codes Officer Permit Issuers
Safety Codes Officers are trained and certified in their discipline, giving them the expertise to
offer advice about technical issues and interpret codes and standards. Non-SCO Permit Issuers
do not have the technical training, knowledge and skills of SCOs.
A Designation of Power authorizes a person to engage in certain activities under the Safety
Codes Act. In the case of non-SCO Permit Issuers, the Designation of Power connects them to a
certain jurisdiction and allows them to issue permits under the authority of that jurisdiction. The
types of permits a Permit Issuer may issue can be restricted by any of the following:
the Permit Issuer‟s Designation of Power;

the scope of accreditation of the jurisdiction they work for;
the Permit Issuer‟s terms of employment.

A-2, SELF-TEST #2
1. List six responsibilities of Alberta Municipal Affairs.
a. _________________________________________________________
b. _________________________________________________________
c. _________________________________________________________
d. _________________________________________________________
e. _________________________________________________________
f. _________________________________________________________
2. How do Safety Codes Officers differ from non-Safety Codes Officer Permit Issuers?
3. List the Safety Codes Council‟s areas of responsibility.
a. _________________________________________________________
b. _________________________________________________________
c. _________________________________________________________
d. _________________________________________________________
e. _________________________________________________________
4. How often must SCO certification be renewed?
a. annually
b. every two years
c. every five years
d. every ten years

ACTIVITY GUIDE
A-2, OBJECTIVE #3
Explain accreditation and jurisdiction.

Answer Key.
next objective.

LEARNING MATERIAL
ACCREDITATION
The Safety Codes Council, acting on behalf of the Minister of Municipal Affairs, can grant
accreditation to various entities. Accreditation gives an entity the authority to administer the
Safety Codes Act or part of Act, or to provide certain services covered by the Safety Codes Act
within specific bounds. There are several types of accreditation, including:
stand-alone municipal accreditation,

joint accreditation;
regional service commission accreditation;
corporate accreditation;
agency accreditation.
Stand-alone municipal accreditation is one of the most common types of accreditation. An

accredited municipality is delegated the obligation to administer the Safety Codes Act within the
municipality. The Safety Codes Council provides some oversight.
Joint accreditation is similar. It occurs when two or more municipalities join together to
administer the Act within the municipalities.
A regional services commission may be accredited in the same manner.
Corporations can also be accredited, allowing them to administer the Act on properties owned or
under the care and control of the corporation. Corporate accreditation often overlaps with other
types of accreditation. When this occurs, the Minister of Municipal Affairs determines which
entity retains jurisdiction.
Agency accreditation is distinct from other forms of accreditation. Accredited agencies do not
have the authority or obligation to administer the Safety Codes Act; accreditation simply allows
them to enter into agreements to provide services to accredited municipalities, regional services
commissions, corporations and Alberta Municipal Affairs.

Jurisdiction
The obligation and authority to administer the Safety Codes Act is called jurisdiction. It should
not be confused with accreditation. While accredited municipalities and corporations do receive
jurisdiction, agencies do not. When agencies provide services to unaccredited municipalities,
they are working under the jurisdiction of Alberta Municipal Affairs. When they contract with
accredited municipalities, the municipalities retain jurisdiction.
Some areas of the province, such as First Nations lands and national parks, fall under federal
jurisdiction. Permit Issuers cannot issue permits in federal jurisdictions. These areas are exempt
from the Safety Codes Act and therefore exempt from permitting requirements.
Accreditation Process
When applying for accreditation, municipalities must provide a Quality Management Plan
(QMP). The QMP outlines the procedures the municipality will follow to administer the Safety
Codes Act and the extent of the municipality‟s authority. It states many of the requirements that
Permit Issuers must follow in their duties. Before accreditation can be granted, the Safety Codes
Council must approve the QMP. If an agency is providing services to an accredited
municipality, they must follow the municipality‟s QMP as a minimum standard. The agency‟s
contract with the municipality may establish further requirements.
In unaccredited areas of the province, agencies must sign a contract called an Authorization
Agreement with Alberta Municipal Affairs to provide services. The agreement details the
agency‟s responsibilities and contains many of the same terms as QMPs.

A-2, SELF-TEST #3
1. Name five types of accreditation.
a. _______________________________________
b. _______________________________________
c. _______________________________________
d. _______________________________________
e. _______________________________________
2. List the types of accreditation that confer jurisdiction.
3. Define jurisdiction.

ACTIVITY GUIDE
A-2, OBJECTIVE #4
Explain Quality Management Plans.

3. Compare your answers with the Pages 36 - 37
Answer Key.
Band B.

LEARNING MATERIAL
UNIFORM QUALITY MANAGEMENT PLAN
The Uniform Quality Management Plan (UQMP), included in your course material, is the
preferred Quality Management Plan created by the Safety Codes Council. It is promoted as a
standard, and municipalities are encouraged to adopt the terms of the UQMP.
QUALITY MANAGEMENT PLANS
To be accredited, a municipality must develop a Quality Management Plan (QMP) and have it
approved by both the municipal council and the Safety Codes Council. QMPs must include a
description of:
Scope of service – Among other things, this will determine which permits the
municipality may issue. See page 3 of the UQMP.
Documentation required for each type of permit – Required documentation will vary
with the type of permit. See page 10 and the appendices of the UQMP.
Inspection schedules – Required inspections depend on the type of work being done.
See the appendices of the UQMP.
A general records management and records retention policy – The QMP provides
general guidelines. Specific filing practices will depend on municipal policies. See
page 5 of the UQMP.
AGENCIES
Agencies‟ Quality Management Plans (QMPs) are submitted to the Safety Codes Council to
support the agency‟s request for accreditation. Since the agencies have no inherent jurisdiction,
their QMPs are silent on service delivery. When doing work for an accredited municipality, the
agency must follow the municipality‟s QMP. When doing work in unaccredited municipalities,
agencies must follow the terms of their Authorization Agreement with Alberta Municipal
Affairs.
PERMIT ISSUERS
It is essential for Permit Issuers to have access to and be familiar with the terms of any Quality
Management Plan (QMP) or Authorization Agreement they may work under. These agreements
determine many of the specific requirements that a permit application must meet before a permit
can be issued.

Quality Management Plan Activity
Obtain a copy of all Quality Management Plans and, if applicable, the Authorization Agreement
that you may be required to follow. Use the space below to make notes about the documentation
requirements for the permits you will be issuing. If you will be using more than one QMP, take
special notice of how requirements differ.
After completing this activity, discuss your notes with your supervisor.

A-2, SELF-TEST #4
You may refer to the Uniform Quality Management Plan while you complete this self-test.
1. According to the Uniform Quality Management Plan, what happens to files when
accredited agencies are involved in providing services?
2. Under the Uniform Quality Management Plan, what documentation is required and what
else must be done before a building permit can be issued?
3. What site inspection(s) does the UQMP require for an electrical permit held by a
homeowner when the value of work is over $500?

A-2, ANSWER KEY
1. b. Alberta Municipal Affairs
2. a. their accreditation
b. their Quality Management Plan
c. legislation under the Safety Codes Act
3. a. Alberta Municipal Affairs

b. Safety Codes Council
4. b. Safety Codes Officers
1. a. provides technical advice and program support

b. co-ordinates and encourages the principles of barrier-free design and access
c. administers the Safety Codes Act in unaccredited municipalities
d. monitors accredited municipality‟s adherence to their QMPs
e. provides general support on matters relating to the Safety Codes Act
f. certifies private sewer installers
2. SCOs have Certificates of Competency and Designations of Power, while non-SCO

Permit Issuers have only Designations of Power.
SCOs are trained in the technical aspects of their field, while non-SCO Permit Issuers do
not have the same knowledge and expertise.
SCOs have a much greater range of responsibilities under the Safety Codes Act than non-
SCO Permit Issuers.
3. a. Accreditation
b. Certification/ Designations of Power
c. Education and Training
d. Appeals
e. Electronic Permitting System (ePS)
4. c. every five years

1. a. stand-alone municipal accreditation

b. joint accreditation
c. regional service commission accreditation
d. corporate accreditation
e. agency accreditation
2. a. stand-alone municipal accreditation

b. joint accreditation
c. regional service commission accreditation
d. corporate accreditation
NOTE: agency accreditation does not confer jurisdiction.
3. Jurisdiction is the authority and obligation to administer the Safety Codes Act in a certain
area or situation.
1. All files remain the property of the municipality. They must be returned to the
municipality within a reasonable time or upon request.
2. See the UQMP, page 13

two sets of any construction documents required by the Alberta Building Code (ABC)
any letters or schedules required by the ABC
construction documents must be reviewed for code compliance and to determine
whether professional involvement is required
documents must have the seal and signature of a registered architect and/or professional
engineer as required by the ABC
3. completed rough-in inspection

final inspection

Appendix A - Uniform Quality Management Plan

Appendix A – (continued)





























Course 100075
July 2009
PERMITTING SYSTEM
BAND B
PERMITTING SYSTEM
BAND B
TABLE OF CONTENTS
Module B-1 .............................................................................................................. Page 71

Explain Permits and Their Purpose
Module B-2 .............................................................................................................. Page 91

Explain the Permit Application
Module B-3 .............................................................................................................. Page 99

Provide Information to Applicants
Module B-4 ............................................................................................................ Page 107

Explain Fees and Refunds
Module B-5 ............................................................................................................ Page 117

Explain Requirements for Records

MODULE B-1
EXPLAIN PERMITS and THEIR PURPOSE

RATIONALE
The primary role of a Permit Issuer is to help applicants through the application process, review
the applications and, if appropriate, issue a permit. As permits are a vital part of Alberta‟s safety
code system, Permit Issuers must understand the types of permits available and the requirements
for issuing each to promote compliance with the Safety Codes Act and Regulations.
LEARNING OUTCOMES
At the conclusion of this module you will be able to define permits in relation to the Safety
Codes Act, explain the term of permits and explain why permits are issued. You will also be
able to describe and differentiate between different types of permits and explain when they are
required.
INTRODUCTION
This module is the first in a series of five modules introducing permits and the permitting
system.
The first module will provide an overview of safety codes permits, describe the types of permits
available and when they should be issued and identify some of the varying requirements for
different types of permits.
ENABLING OBJECTIVES
1. Explain permits under the Safety Codes Act.
2. Explain the term of permits.
3. Explain the reasons for issuing permits.
4. Explain when each type of permit is required.
5. Explain elements of the permitting system.
PREREQUISITES
Module A-2 “Explain the Safety Codes System”
module.

ACTIVITY GUIDE
B-1, OBJECTIVE #1
Explain permits under the Safety Codes Act.

2. Complete Self-test #1. Pages 78 – 79
Answer Key.
the next objective.

LEARNING MATERIAL
THE PERMITTING SYSTEM: SAFETY CODE PERMITS
Permits issued under the Safety Codes Act are documents providing written permission to
proceed with work that the Permit Regulation stipulates requires a permit. Safety codes permits
must be issued by an authorized person and must have an identifier that is unique in the
jurisdiction.
A written application must be submitted before permit can be issued. Supplemental

documentation is also necessary for certain permits. In some jurisdictions, the approved
application form becomes the physical permit. In others, the permit is a separate document.
All permits are issued with the belief on the part of the Permit Issuer that the proposed work
complies with applicable code, and that the information on the application form and all
supplemental documentation is true and correct.
Reasons for Issuing Permits
The province of Alberta, in developing the safety codes system, had several reasons for
including a permitting process. A regulated system for issuing permits:
alerts responsible authority that work is being contemplated;

limits who can obtain a permit;
allows for a preliminary design review for Building and Private Sewage Disposal System
permits;
provides a record of the work;
initiates the inspection process;
give permission to proceed with the installation or construction when a permit is issued;
ensures that the proposed work is not manifestly unsafe, though does not guarantee that
work will be done safely and according to code.
Permit Terms
There are provisions in the Permit Regulation to deal with permits when the work is never
started or where the project shows no sign of being completed. Permits expire if work is:
not started within 90 days;

suspended or abandoned for 120 days;
suspended or abandoned for 240 days on a seasonal residence.

Permits may also expire after a set period of time. The term of permits may be determined by
the jurisdiction, and if so must be stated in the jurisdiction‟s Quality Management Plan or in
other policy material. To find standard permit terms in your jurisdiction, consult your
supervisor.
In the absence of a formal policy in the jurisdiction, the provisions of the Permit Regulation
apply.
The Permit Regulation gives Permit Issuers the authority to extend the term of a permit. All
extensions must be made in writing. In practice, Permit Issuers are more likely to be responsible
for processing permit extensions than for making decisions about extending permits. In some
jurisdictions, workplace policy requires decisions about permit extensions to be made by Safety
Codes Officers. Also, these decisions are most often made during inspections, which must be
conducted by SCOs.
Annual permits are also available for the electrical, gas and plumbing disciplines. Annual
permits tend to be issued to larger organizations and cover regular repair or maintenance work
for a single site. They do not cover new construction, major alterations and additions. Separate
permits must be obtained for each instance of this type of work. Annual permits are either valid
for one year from the date of issue or until December 31 of the current year, depending on the
policies of the jurisdiction that issues them.
PERMIT TYPES
Safety code permits are issued for various types of work. Permit Issuers may be involved in
issuing or facilitating applications for permits listed in the Permit Regulation, including:
building permits;
electrical permits;
fire permits;
gas permits;
plumbing permits;
private sewage disposal system permits.
Fire permits are usually issued by fire departments and will not be discussed in any detail here.
If you require more information about fire permits, contact Alberta Municipal Affairs at 1-866-
421-6929.
Jurisdictions have some freedom in deciding what types of permits to issue. They may, if they
choose, issue „partial‟ permits in the building discipline. Such permits often include those for
heating, ventilation and air conditioning systems, or for fire sprinklers.
There is some confusion over the definition of partial permits. Some people refer to permits with
conditions or limitations as partial permits. For example, a building permit could be issued with
a condition that allows construction only to ground level. Local usage might refer to such a
permit as a partial permit. However, using proper terminology, it would simply be considered a
permit that has a condition. Partial permits are permits in the building discipline that require
specific qualifications.
Only the above permits, which are stipulated in the Permit Regulation, may be issued in these
disciplines under the Safety Codes Act. Only permits named in the Safety Codes Act and related
legislation can be issued as safety codes permits. Partial permits outside of the building
discipline and permits relating to other aspects of the disciplines named above are not safety
codes permits. For example, permits for connecting a residence to water or sewage service are
not required by the Safety Codes Act and are not to be issued as or referred to as safety codes
permits.
Activity
Does your jurisdiction use partial permits? To find out, talk to your supervisor or a building
Safety Codes Officer in your jurisdiction. If you do use partial permits, make notes about them
below. What permits are used? Who can apply for them, and what documentation do they need?
When you have completed this section, discuss your answers with your supervisor.

Development Permits
Development permits are not safety code permits, although they are often confused with building
permits. Development permits are municipally-issued permits that relate to land use and land
use by-laws, not safety codes.
See the table below for a comparison of development permits and safety codes permits.
Development Permits Safety Codes Permits
issued by Development Officers issued by Safety Codes Officers or

non-Safety Codes Officer Permit
Issuers
municipally legislated and provincially legislated, although they
administered may be municipally administered
requirements may vary from one requirements are similar throughout
municipality to the next – some do not the province
even require Development Permits
ensure that plans comply with local check that plans are compatible with
land use bylaws applicable safety codes
Table B-1 - Development Permits
Permit applicants may wonder why they need both a development permit and a building permit.
The answer is that the permits relate to different issues. Development permits concern the use of
the land, while building permits concern the construction and use of the building itself.
Some municipalities require applicants to obtain necessary development permits before they can
be issued a building permit. Check with your supervisor or local policy documents to determine
the position of your jurisdiction.

B-1, SELF-TEST #1
1. What should a building permit with a condition allowing construction only to ground
level be called?
a. Partial Permit
b. Conditional Permit
c. Restricted Permit
d. Permit
2. List the six permit types covered in the Permit Regulation.

a. __________________________________________________
b. __________________________________________________
c. __________________________________________________
e. __________________________________________________
f. __________________________________________________
g. __________________________________________________
3. If work is suspended on a seasonal residence, when does the permit expire according to
the Permit Regulation?
a. 60 days
b. 90 days
c. 120 days
d. 240 days
4. Explain why Safety Codes Officers are more likely to make decisions about extending
the term of a permit than Permit Issuers.

5. List the disciplines that always require a preliminary design review before a permit can
be issued.

ACTIVITY GUIDE
B-1, OBJECTIVE #2
Explain when each type of permit is required.

3. Compare your answers with the Answer Pages 88 - 89
Key.
4. When you are successful, continue to the Page 85
next objective.

LEARNING MATERIAL
WHEN PERMITS ARE REQUIRED
The Permit Regulation is the authoritative source for determining when a permit of any type is
required and who is eligible to obtain a permit. Many permit-issuing entities have handbooks
and other resources designed to help guide you through the process. Great care should be taken
when using these resources. They are difficult to keep up-to-date and often remain in circulation
long after they have been superseded. When in doubt, always refer to the Permit Regulation –
and remember that printed copies of the Regulation may also be outdated.
The latest version of the Permit Regulation is available on Alberta Municipal Affair‟s website:
http://www.municipalaffairs.gov.ab.ca/CP_Permit_Reg_and_Guidelines.cfm
At this website, you can also find a copy of the “Permit Regulation Guidelines”, a line-by-line
explanation of the Permit Regulation. These guidelines are also referred to as the “Permit
Regulation Handbook” and “guidelines handbook”.
When issuing permits, you will often have to refer to the Permit Regulation. A copy has been
included in your course material. Turn to it now and examine the sections on requirements for
permits, as listed below. You will need to refer to the Regulation to answer the questions at the
end of this section.
Permit Regulation Updates
Sometimes, policies and requirements change between versions of the Permit Regulation. These
updates will be published in the Safety Codes Council newsletter, „Partners.‟ It is strongly
recommended that all Permit Issuers subscribe to the newsletter, and all offices maintain a file of
„Partners‟ issues containing information relevant to Permit Issuers.
Subscribe to „Partners‟ on the Publications section of the Safety Codes Council website:
http://www.safetycodes.ab.ca/default.aspx?PageID=1003
Building Permits
Building permits are discussed in section 6 of the Permit Regulation and section C of the “Permit
Regulation Guidelines.”
Building permits are the one area in which a jurisdiction may require safety codes permits not
specifically mentioned in the Permit Regulations. If your jurisdiction uses partial permits,
consult your Quality Management Plan for a description of when such permits are required.

Issuing a building permit does not mean that the planned work complies with electrical,
plumbing, gas or any other safety codes. If the construction will involve other disciplines, the
necessary permits must be issued separately.
Building permits tend to be more complicated than other permit types. If you have any questions
about the requirement for a building permit or any other permit, you should consult with a local
Safety Codes Officer.
FARM BUILDING EXEMPTIONS
Building permits are not required for certain buildings on farms, although permits in other
disciplines may be needed. Farm building exemptions are complicated, and Permit Issuers are
not expected to determine when the exemption applies. A Permit Issuer‟s role is to recognize that
exemptions might apply to farm buildings, and to ask a Safety Codes Officer in the building
discipline about specific instances.
Electrical Permits
Electrical permits are covered in section 8 of the Permit Regulation and section D of the “Permit
Regulation Guidelines”.
Gas Permits
Gas Permit requirements are addressed in Permit Regulation section 12 and “Permit Regulation
Guidelines” section F.
Plumbing Permits
Plumbing permit requirements are covered in section 14 of the Permit Regulation and section G
of the Guidelines.
Private Sewage Disposal System Permits
Private sewage disposal system permits are covered in section 15 of the Permit Regulation and
section H of the Guidelines.

B-1, SELF-TEST #2
1. Which of the following installations would require an electrical permit?
a. communication system
b. electrical installation for an elevator
c. an extra low voltage, Class 2 circuit for lighting
d. replacing electrical equipment with a similar unit to maintain an installation
without modifying it
2. Which of the following gas system changes requires a permit?
a. installing a propane tank with a water capacity of 375 l

b. replacing a water heater with minor changes to the gas piping
c. a gas utility moving a gas meter and changing the piping
d. installing a natural gas system for a motor vehicle
3. What is the sole exception to the permit requirement for a private sewage disposal system
undertaking?
4. What should you do if an applicant asks about a permit for work to be done in a farm
building?
a. review the requirements in the Permit Regulation

b. check local policy documents
c. refer the issue to a Development Officer
d. refer the issue to a Safety Codes Officer

5. Why can relying on handbooks and similar material present a serious problem?
6. List the four exemptions to building permit requirements.
a. _______________________________________________________________
_______________________________________________________________
_______________________________________________________________
b. _______________________________________________________________
_______________________________________________________________
_______________________________________________________________
c. _______________________________________________________________
_______________________________________________________________
_______________________________________________________________
d. _______________________________________________________________
_______________________________________________________________
_______________________________________________________________

ACTIVITY GUIDE
B-1, OBJECTIVE #3
Explain elements of the permitting system.
1. Study the learning material. Page 86

Answer Key.
Module B-2.

LEARNING MATERIAL
THE PERMITTING SYSTEM
Some applicants will approach Permit Issuers knowing exactly which permits they want, while
others will need you to use your knowledge of permits to help them determine what they need.
Once the applicant and Permit Issuer have identified the required permits, they will follow the
permitting system below.
1. The permit applicant requests a permit.

2. The Permit Issuer helps the applicant complete the application.
Ensure the application form is filled out completely.
Determine what additional documentation is required and ensure it is
present.
3. The Permit Issuer takes the application and calculates and charges the fee.
Note: In some jurisdictions, the permit fee is charged at the time of issuance rather than
time of application.
4. The Permit Issuer issues the permit.
or
The completed application and attached documents are sent to a Safety Codes Officer for
review.
or
If the application does not meet requirements, the Permit Issuer or SCO refuses the
permit.
5. The Permit Issuer files the application and either the permit or the refusal notice.
6. If a permit is issued, Safety Codes Officers conduct inspections and follow up on
deficiencies as appropriate.

B-1, SELF-TEST #3
1. What two things should a Permit Issuer do while helping an applicant complete their
application?
a. ___________________________________________________________
b. ___________________________________________________________

B-1, ANSWER KEY
MODULE B-1 SELF-TEST #1
1. d. Permit
2. a. building permits
b. electrical permits
c. fire permits
d. gas permits
e. plumbing permits
f. private sewage disposal system permits
3. d. 240 days
4. Some jurisdictions allow only Safety Codes Officers to extend permits. Additionally,
permits are often extended during inspections, which are conducted by Safety Codes
Officers.
5. Building Permits
1. c. an extra low voltage, Class 2 circuit for lighting
2. b. replacing a water heater with minor changes to the gas piping
3. A permit is not required for the replacement of any equipment of a private sewage
disposal system with units of a similar type if the replacement is made for the purpose of
maintaining the system and does not modify the design of the system. (Permit Regulation
16 (2))
4. d. refer the issue to a Safety Codes Officer
5. Handbooks and other printed material quickly become outdated. It is essential to ensure
that you are using the most current – and only valid – version of the Permit Regulation.
6. Permit Regulation 6(3) and 6(4)

1. a. Ensure the form is filled out completely.

b. Determine what additional documentation is needed and ensure it is present.

MODULE B-2
EXPLAIN the PERMIT APPLICATION

RATIONALE
Many Permit Issuers spend most of their time helping applicants through the application process.
It is therefore essential that Permit Issuers be familiar with the application form and related
requirements.
LEARNING OUTCOMES
At the conclusion of this module, you will be able to describe permit application forms and
application requirements.
INTRODUCTION
This module is the second in a series of five modules introducing permits and the permitting
system.
This module will provide information about permit application forms and requirements.
ENABLING OBJECTIVES
1. Explain the application form.
2. Explain application requirements.
PREREQUISITES
Module B-1, Explain Permits and their Purpose
module.

ACTIVITY GUIDE
B-2, OBJECTIVE #1
Explain the application form and requirements.
Answer Key.
Module B-3.

LEARNING MATERIAL
THE APPLICATION FORM
The Safety Codes Act and Permit Regulations establish basic requirements for application forms.
Specific form design and setup will vary by entity, as shown by the samples in the appendices.
Regardless of appearance, all application forms must include the following information:
use or proposed use of the premises;

address or location of the premises;
owner‟s name and mailing address;
any information needed to determine the permit fee;
description of the work the permit is for;
the permit applicant‟s:
name;
address;
phone number;
relevant credentials; and
signature.
Application forms for building permits must also list the type of occupancy of the building and
the market value of the proposed work.
The Permit Regulation application form requirements are a minimum. Some jurisdictions
require more information on their applications. Application form specifications are often
detailed in Quality Management Plans.
In some jurisdictions, the completed and approved application form may become the permit,
while in others a separate document is issued.
APPLICATION REQUIREMENTS
Further documentation is often required to complete a permit application. Exact requirements

depend on:
the Safety Codes Act and Permit Regulation;

the jurisdiction‟s Quality Management Plan or an Authorization Agreement;
the judgement of the Permit Issuer.
The Act and Regulation set the absolute minimum requirements. They require an application
form for electrical, plumbing and gas permits and both an application form and construction
documents for building and private sewage disposal system permits. These construction
documents must be reviewed by Safety Codes Officers before a permit is issued.

Permit applications involving professionals must include a copy of the design that is stamped or
sealed according to the terms of the Architects Act or Engineering, Geological and Geophysical
Professions Act.
Quality Management Plans and other local policies may require more documentation. For
example, the Uniform Quality Management Plan requires not just a site plan but also the
following information in an application for a private sewage disposal system permit:
a site plan;
the expected volume of sewage per day;
the criteria used to determine the expected volume of sewage per day;
description and details of sewage system treatment and effluent disposal component(s);
details of the method(s) used to determine the soil effluent loading rate, including the
results of the method(s) and who they were conducted by; and
the depth to the water table if less than 2.4 m from ground surface.
To be complete, an application must include a completed and signed application form and all the
supplemental information and documentation required by the Safety Codes Act, the Permit
Regulation, the jurisdiction‟s Quality Management Plan or Authorized Agreement, any relevant
contracts with accredited municipalities and local policies. The person responsible for issuing
the permit may also require further information.
Reviewing Applications
Permit Issuers are responsible for reviewing applications for completeness. To do this, you will
need to determine the specific requirements for each type of permit at your location. Start by
checking copies of any Quality Management Plan or Authorized Agreement you work under.
Next, ask your supervisor and any Safety Codes Officers you work with if they know of any
other requirements.

Activity
When you have completed the following activities, discuss your answers with your supervisor.
Also, have this activity completed and available when you attend your seminar. Your results and
those of Permit Issuers working in other jurisdictions will be discussed and compared.
1. List all QMPs, Authorized Agreements and/or policy documents that affect application
requirements at your location.
2. List your application requirements for building permits.

B-2, SELF-TEST #1
1. If the Permit Regulation and your Quality Management Plan contain different application
requirements, which should you follow? Why?
2. List the six sources of application requirements.
a. ____________________________________________________
b. ____________________________________________________
c. ____________________________________________________
d. ____________________________________________________
e. ____________________________________________________
f. ____________________________________________________
3. The basic requirements for building permit application forms include two items not
necessary for other types of permits. What are those items?
a. ____________________________________________________
b. ____________________________________________________

B-2, ANSWER KEY
1. Follow the requirements of the QMP. The Permit Regulation lists minimum
documentation necessary for each permit. QMPs may outline additional requirements.
2. a. Safety Codes Act

b. Permit Regulation
c. Quality Management Plan
d. Authorization Agreement
e. Contracts with municipalities
f. Local policies
3. a. type of occupancy of the building

b. market value of the proposed work

MODULE B-3
PROVIDE INFORMATION to APPLICANTS

RATIONALE
Permit Issuers are often the primary point of contact with the public. Permit Issuers need an
understanding of all parts of the permit process, including those they are not personally involved
with, so they can answer questions and provide information to applicants and to the general
public.
LEARNING OUTCOMES
At the conclusion of this module, you will be able to explain the permit process, plan reviews
and inspection schedules and direct people to information resources.
INTRODUCTION
This module is the third in a series of five modules introducing permits and the permitting
system.
This module will provide information about permit processes and information resources.
ENABLING OBJECTIVES
1. Provide information to the public concerning permit process requirements, codes and
inspection procedures.
2. Refer customers to appropriate resources (SCOs, codes, acts, forms, pamphlets).
3. Explain the site plan review, building plan review and PSDS plan review.
PREREQUISITES
Module B-2, Explain application forms and requirements
module.

ACTIVITY GUIDE
B-3, OBJECTIVE #1
Provide information to applicants.
Answer Key.
4. When you are successful, go on to Page 107
Module B-4.

LEARNING MATERIAL
PROVIDING INFORMATION
Permit applicants, or those thinking of applying for a permit, may have many questions about
permits, the permitting process and the safety codes system as a whole. As a primary point of
contact, it will often be your responsibility to answer their questions or point them to someone
who can.
Some questions will be easy to answer. You may be asked about your role, the application
process or application requirements. Other questions may require some research. Applicants
will want to know about what happens to their application after it is submitted. They may ask
about plan reviews or inspection schedules.
Plan Reviews
Building plans, site plans and private sewage disposal system plans must be reviewed by a
Safety Codes Officer (SCO) before a permit is issued. In some locations, plans from other
disciplines must also be reviewed. The SCO will check the plans to see that they are essentially
code-compliant. If applicants have questions about technical issues or specific codes, refer them
to the SCO who will be doing the review.
Inspection Schedules
The permit process includes one or more inspections or verifications of compliance after the
permit is issued. Inspection schedules and acceptable circumstances for accepting a verification
of compliance in lieu of an inspection are usually outlined in your Quality Management Plan or
Authorization Agreement, although some local procedures and practices may be recorded
elsewhere. Check your QMP or Authorization Agreement to answer questions about:
how many inspections are needed for a specific project;

when during construction inspections occur;
what your timeframe is between requests for inspections and the actual inspection.
Again, technical or detailed questions should be referred to a Safety Codes Officer.
Information Resources
Some of the questions you will be asked will be well outside your area of expertise. Others will
be general questions about the safety codes system. Often, the best thing you can do is refer
applicants to other resources.

When an applicant wants detailed information about specific codes, refer them to the codes
themselves or to a Safety Codes Officer for help with interpretation.
Many locations with a Permit Issuer will have pamphlets and other handouts that provide basic
information and answer common questions. Other sources of information include:
Alberta Municipal Affairs website - http://www.municipalaffairs.gov.ab.ca/;

Regulations;
tips and brochures;
guidelines for requesting changes to codes;
directions for purchasing copies of codes;
Safety Codes Council website - http://www.safetycodes.ab.ca/;

information about the safety codes system and permit-related processes;
Municipal or agency website;

check out your website to see what‟s available.
Activity
Look around your office, check your website and speak to your supervisor. Use the space
provided below to list the resources you found.

B-3, SELF-TEST #1
1. If an applicant asks you about how a code applies to their project, what should you do?
a. Use your own experience to provide the best answer you can.
b. Use your own experience and refer to the code to answer the question.
c. Refer the question to a Safety Codes Officer.
d. Refer the question to the Safety Codes Council.
2. Where would you direct a customer who wants to recommend changes to the Electrical
Code?
a. Alberta Municipal Affairs website

b. Safety Codes Council website
c. Minister of Municipal Affairs
d. Electrical Safety Codes Officer
3. List four types of information that can be found on Alberta Municipal Affairs‟ website.
a. _________________________________________________
b. _________________________________________________
c. _________________________________________________
d. _________________________________________________
4. Please refer to the Uniform Quality Management Plan. When will inspections occur for
an annual electrical permit?
a. _________________________________________________
b. _________________________________________________

B-3, ANSWER KEY
1. c. Refer the question to a Safety Codes Officer.
2. a. Alberta Municipal Affairs website
3. a. text of Regulations
b. tips and brochures
c. guidelines for requesting changes to codes
d. directions for purchasing copies of codes
4. a. mid-term
b. within 60 days of permit expiry

MODULE B-4
EXPLAIN FEES and REFUNDS

RATIONALE
Determining fees and arranging for charges is part of the permit process and a responsibility of
Permit Issuers.
LEARNING OUTCOMES
At the conclusion of this module, you will be able to explain some common fee structures, the
Safety Codes Council levy and refund policies.
INTRODUCTION
This module is the fourth in a series of five modules introducing permits and the permitting
system.
This module will provide information about fees, fee structures, the Safety Codes Council levy
and refunds.
ENABLING OBJECTIVES
1. Explain determination of fees including Safety Codes Council fee.
2. Explain when refunds are given.
PREREQUISITES
Module B-3, Provide Information to Applicants
module.

ACTIVITY GUIDE
B-4, OBJECTIVE #1
Explain fees and refunds.

2. Complete Self-test #1. Pages 114
3. Compare your answers with the Pages 115
Answer Key.
Module B-5.

LEARNING MATERIAL
FEE STRUCTURE
Each jurisdiction sets it own fee structure. In accredited municipalities, the fee structure is
established by council. In unaccredited areas, Alberta Municipal Affairs sets the fee structure.
Agencies must follow the fee structure set by the jurisdiction with which they are working under
contract. Your supervisor will tell you what your fee structure is.
Common Fee Structures
Fees and fee structures vary widely across the province. Fee structures are usually based on
some measure of the size or value of the proposed structure. For example, a jurisdiction might
change a certain amount per square foot for a building permit. Another jurisdiction might charge
a percentage of the market value of the construction. For gas permits, fees might be based on the
number of outlets, the value of the work or BTUs.

Activity
Determine your fee structures and list them below.
Building Permits
Gas Permits
Electrical Permits
Plumbing Permits

SAFETY CODES COUNCIL LEVY
The Safety Codes Council is funded by a levy on permit fees. The levy is 4% of the permit fee,
with a minimum of $4.50 per permit and a maximum of $560.00.
Sample Levy Calculations
EXAMPLE 1:
Permit fee = $75.00

Levy = 4% of $75.00
$75.00 x (0.04) = $3.00
Since $3.00 is less than $4.50, the levy for this permit would be $4.50. The permit applicant
would be charged $79.50, and $4.50 of that fee would be sent to the Safety Codes Council.
EXAMPLE 2:
Permit fee = $800.00

Levy = 4% of $800.00
$800.00 x (0.04) = $32.00
As $32.00 is between $4.50 and $560.00, the levy would remain $32.00.
REFUND POLICIES
Applicants often request refunds because:
a project is cancelled;
a contractor gets a permit for a job they are bidding for, but doesn‟t get the job; or
duplicate permits are obtained, perhaps because both an owner and a contractor applied.
Refund policies, like fees, are determined by each jurisdiction. Depending on your jurisdiction,
your refund policy could be as simple as no refunds. Most jurisdictions do offer refunds,
especially when work on the project has not begun. Full or partial refunds may be available.
Partial refunds are common with large projects, when the jurisdiction has expended considerable
time and effort processing the application and reviewing plans before the refund is requested.

SCC Levy Refunds
The SCC allows jurisdictions to refund the SCC levy in most cases when permit fees are
refunded. The jurisdiction should refund the levy to the permit applicant, and deduct the amount
of the levy from its next payment to the SCC.
The SCC levy cannot be refunded or waived for certain special projects. For example, many
jurisdictions reimburse all or part of building permit fees for buildings that receive Built Green,
R-2000 or LEED (Leadership in Energy and Environmental Design) certification. In these
cases, the full SCC levy is still due to the SCC.

B-4, SELF-TEST #1
You may use a calculator to complete the following questions.
1. List three common reasons for refund requests.
a. _________________________________________________
b. _________________________________________________
c. _________________________________________________
2. If a permit fee is $1000.00, what is the Safety Codes Council levy for that permit?
a. $4.50
b. $35.00
c. $40.00
d. $500.00
3. Assume the fee structure for plumbing permits in your jurisdiction is $20.00 per
plumbing fixture. Someone applies for a permit to install a toilet, a bathtub and two
sinks. What is the permit fee before the Safety Codes Council levy is added?
a. $20.00
b. $40.00
c. $60.00
d. $80.00
4. What are the minimum and maximum Safety Codes Council levies?
min: _________________
max: _________________

B-4, ANSWER KEY
1. a. a project is cancelled
b. a contractor gets a permit for a job they are bidding for, but does not get the job
c. there are duplicate permits.
2. c. $40.00
3. d. $80.00
4. min: $4.50
max: $560.00

MODULE B-5
EXPLAIN REQUIREMENTS for RECORDS

RATIONALE
Proper record-keeping is required both to comply with the Safety Codes Act and to protect the
jurisdiction in the case of litigation.
LEARNING OUTCOMES
At the conclusion of this module, you will be able to explain document storage and retention and
file ownership.
INTRODUCTION
This module is the last in a series of five modules introducing permits and the permitting system.
This module will provide information about document retention and record ownership.
ENABLING OBJECTIVES
1. Explain requirements for records.
PREREQUISITES
Module B-4, Explain Fees and Refunds
module.

ACTIVITY GUIDE
B-5, OBJECTIVE #1
Explain requirements for records.

Answer Key.
Band C.

LEARNING MATERIAL
DOCUMENT RETENTION
Permit documentation, including permit applications, permits, inspection reports and other
documents related to the permitting process must be retained for at least three years. Local
policies or Quality Management Plans may specify a longer retention period, but not a shorter
one.
The collection and retention of all records are subject to the Freedom of Information and
Protection of Privacy Act.
FILING PRACTICES
All files related to the provision of services under the Safety Codes Act are the property of the
responsible jurisdiction. The official file should contain original documents, not copies.
Your jurisdiction‟s filing and file naming system will determine where applications, permits and
accompanying material should be filed and how to assign a unique number to each permit.
It is essential that all documentation be filed quickly and stored for the appropriate period.
Alberta Municipal Affairs may audit the files of any accredited entity. If files are not kept
properly, the entity could face penalties or even lose accreditation.
The decisions of Permit Issuers and Safety Codes Officers are open to appeal. Safety codes
records are necessary to defending appeals.
When Files Go Missing
Missing information has been identified as a problem in many permit offices. This is a particular
problem when more than one person is using the same file.
Here are some solutions to this problem:
Electronic files:
update version number after each use;
Hard copy;
put file where it belongs;
create master file;
update master files regularly;
file all material promptly – it is most likely to go astray while waiting to be
filed.

Electronic Permitting System
Many jurisdictions use the electronic permitting system, or ePS, available through the Safety
Codes Council. The ePS manages data and facilitates communication between and within
jurisdictions, allowing files and information to be shared electronically.
Entities that do not use ePS will have their own procedures and policies for electronic file
naming and storage.
DOCUMENT OWNERSHIP
All documents are owned by the jurisdiction. Agencies are often required to house files while
they are active and turn them over to the appropriate jurisdiction within a reasonable time period
once the files are complete.

B-5, SELF-TEST #1
1. What is the minimum amount of time that records must be kept?
a. 1 year
b. 2 years
c. 3 years
d. 4 years
2. Who owns permit files?
a. the entity who created the file

b. whoever has jurisdiction
c. the municipality the file relates to
d. Alberta Municipal Affairs.
3. What should be done with original documents?
a. They should be placed in the official file.

b. They should be placed in the working file.
c. They should be sent to the Safety Codes Council.
d. They should be destroyed in accordance with the FOIPP Act.
4. Why is it so important to file information promptly?
5. Explain the role of accredited agencies in relation to permit files.

B-5, ANSWER KEY
1. c. 3 years
2. b. whoever has jurisdiction
3. a. They should be placed in the official file.
4. Documents are most likely to be lost while they are waiting to be filed. Missing
information has been a problem, and can lead to serious consequences for the entity
responsible for maintaining the file.
5. Accredited agencies house and maintain files while they are active, but they do not own
the files. They must send the files to the entity with jurisdiction within a reasonable time
period after closing the file or at the request of the entity with jurisdiction.

Course 100075
July 2009
PERMIT PROBLEMS
BAND C
PERMIT PROBLEMS
BAND C
TABLE OF CONTENTS
Module C-1 ............................................................................................................ Page 127

Explain Refusal to Issue, Suspension and Cancellation of Permits
Module C-2 ............................................................................................................ Page 135

Explain Compliance Monitoring
Module C-3 ............................................................................................................ Page 143

Explain Permit Extensions and Transfers

MODULE C-1
EXPLAIN REFUSAL TO ISSUE, SUSPENSION and

CANCELLATION of PERMITS

RATIONALE
The permit issuing process does not always go smoothly. As a Permit Issuer, you will need to
know when to refuse to issue a permit and suspend or cancel a permit that has already been
issued.
INTRODUCTION
This module is the first in a series of three modules concerning some of the problems and
uncommon issues that can develop during the permitting process.
The first module will describe refusal to issue and suspension and cancellation of permits.
LEARNING OUTCOMES
At the conclusion of this module you will be able to explain why and when you should refuse to
issue or cancel a permit.
ENABLING OBJECTIVES
1. Explain refusal to issue permits.
2. Explain suspension of permits.
3. Explain cancellation of permits.
PREREQUISITES
Module B-5 “Explain Requirements for Records”
module.

ACTIVITY GUIDE
C-1, OBJECTIVE #1
Explain refusal to issue, suspension and cancellation of permits.
Answer Key.
Module C-2.

LEARNING MATERIAL
REFUSAL TO ISSUE
During the course of your work helping applicants with their applications, you may be in a
position where you have to refuse to issue a permit. You might encounter the following
situations, which would require you to refuse a permit:
the applicant does not meet the eligibility criteria,

the proposed work is unsafe;
the work contravenes the Safety Codes Act:
Safety Codes Officers completing a plan review may determine the plans do not
comply with the relevant codes and refuse to issue a permit;
proper documentation has not be submitted; and
the permit fee has not been paid, and the applicant will not agree to acceptable payment
terms as required by your jurisdiction.
In other words, if any of the conditions set out in the Safety Codes Act, related regulations,
Quality Management Plan, Authorization Agreement or any other jurisdictional policy are not
met, Permit Issuers must refuse to issue the permit.
Refusal to issue, suspension and cancellation are all covered in section 26 of the Permit
Regulation.
SUSPENSION AND CANCELLATION
If problems develop after a permit is issued, Safety Codes Officers may suspend or cancel the
permit. Reasons for suspension and cancellation are listed in the Safety Codes Act section 46
and Permit Regulation section 26. Review these sections now, and refer to them when you
complete the self-test at the end of this module.
Suspension
When possible, most Safety Codes Officers try to use orders to get the permit holder to comply
with the Safety Codes Act and avoid a suspension. If the permit holder does not comply with
orders to remedy the situation, the Safety Codes Officer may tell a Permit Issuer to suspend the
permit until the permit holder complies with orders from the SCO or provides accurate plans.

Reinstatement
Safety Codes Officers are responsible for decisions to reinstate a suspended permit. Permits are
reinstated when the permit holder complies with the SCO‟s order or request to remedy the
problem that led to the suspension.
Cancellation
Permits can be cancelled by Safety Codes Officers or at the request of the permit holder.

C-1, SELF-TEST #1
1. Which of the following may a non-Safety Codes Officer Permit Issuer do on their own
authority?
a. refuse to issue a permit

b. suspend a permit
c. cancel a permit
d. issue an order
2. List the situations that may cause a Safety Codes Officer to suspend or cancel a permit.
a. ______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
b. ______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
c. ______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
d. ______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
e. ______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________

f. ______________________________________________________________
______________________________________________________________
______________________________________________________________
______________________________________________________________
3. A permit can be suspended or cancelled if the plans submitted in the application are not
followed. Where in the Permit Regulation is the justification for such a suspension or
cancellation, and why is such action justified?

C-1, ANSWER KEY
MODULE C-1, SELF-TEST #1
1. a. refuse to issue a permit
2. See Permit Regulation section 26, a – f.
3. Permit Regulation section 26 (b): “incorrect or insufficient information is submitted with

respect to the permit or the undertaking to be governed by the permit”
If the plans are not followed, they are inaccurate and the permit is not valid.

MODULE C-2
EXPLAIN COMPLIANCE MONITORING

RATIONALE
The safety codes system does not end when permits are issued. Permit Issuers must be familiar
with the events and activities in the permit process after the permit is issued, so they can
understand the significance of the permit and provide information to permit applicants and
permit holders.
LEARNING OUTCOMES
At the conclusion of this module, you will be able to explain compliance monitoring and
compare it to ensuring compliance, and explain various features of the compliance monitoring
process, including inspections, verification of compliance, deviation from design, orders and
variances.
INTRODUCTION
This module is the second in a series of three modules concerning some of the problems and
uncommon issues that can develop during the permitting process.
This module will describe the purpose and process of monitoring for compliance.
ENABLING OBJECTIVES
1. Explain the difference between compliance monitoring and ensuring compliance.
2. Explain the function of inspections and verification of compliance.
3. Explain deviation from design.
4. Explain orders and variances.
PREREQUISITES
Module C-1, Explain Refusal to Issue and Suspension and Cancellation of Permits
module.

ACTIVITY GUIDE
C-2, OBJECTIVE #1
Explain compliance monitoring.
Answer Key.
Module C-3.

LEARNING MATERIAL
COMPLIANCE MONITORING
Compliance monitoring is a process of document review and one or more comprehensive spot
checks at predetermined stages for compliance with the Safety Codes Act, regulations and codes
that usually begins at the time of permit application; however, compliance monitoring may also
be required for work carried out without a permit or when a permit is not required. The steps for
the compliance monitoring process include, but are not limited to:
1. Application review (application is checked for compliance)

2. Plans examination (as applicable – plans are checked for compliance)
3. Permit issuance (if proposed work appears to be in compliance)
4. Site inspections (comprehensive spot checking to verify that the work is being carried out
in compliance)
5. Follow up inspections or verifications of compliance (checks that non compliant work
identified during site inspections is being resolved)
Ensuring Compliance
Compliance monitoring must not be mistaken for ensuring compliance. Ensuring compliance is
neither practical nor even possible. It would require constant surveillance of all work sites and
all possible work sites. Under the Safety Codes Act, the owner, defined in section 1(1)(v) of the
Act as the “person in charge, person who has care and control” of the project is ultimately
responsible for compliance.
INSPECTIONS AND VERIFICATION OF COMPLIANCE
Inspections
Inspections are conducted by Safety Codes Officers in the appropriate discipline. Inspection
schedules are established by the jurisdiction‟s Quality Management Plan or an Authorization
Agreement with Alberta Municipal Affairs. The purpose of an inspection is to check that the
plans submitted with the permit application are being followed and that all work completed at
the time of inspection is in compliance with all applicable legislation, standards and codes.
If an inspector finds something that is not in compliance, the inspector may request changes,
issue orders or suspend or cancel the permit.

Verification of Compliance
The Uniform Quality Management Plan defines a verification of compliance as “reasonable

assurance provided from a third party that work complies”. When permitted by a Quality
Management Plan or Authorization Agreement, Safety Codes Officers have the discretion to
accept a verification of compliance in lieu of a site inspection or as confirmation that problems
noted in an earlier inspection have been resolved. Most QMPs limit the situations where
verification of compliances are acceptable.
ORDERS
Orders are issued by Safety Codes Officers when they believe the Safety Codes Act or associated
regulations, standards or codes are being contravened or when there is a risk of injury or damage.
Orders state what must be done to come into compliance with the Act and set a deadline for
completion of the work required by the order.
DEVIATION FROM DESIGN
„Deviation from design‟ most often applies to building and private sewage disposal system
permits, although it can be an issue in any situation when plans were required as part of the
permit application. A deviation is defined as building anything significantly different from what
the initial plans show. As permits are issued based on the plans submitted with the application,
any deviation from those plans may invalidate the permit.
It is not uncommon for changes to become desirable or necessary during the course of a project.
When the need for changes becomes apparent, permit holders should request permission for a
deviation and submit revised plans to the permit issuer. Deviations are acceptable when
authorized in writing by the Permit Issuer.
When permit holders fail to request deviations or the requested deviations are not approved, the
deviation may be discovered during a site inspection. The inspector may choose to cancel the
permit because the deviation has made it invalid, but in most cases inspectors will attempt to
resolve the problem through other means. They may:
suspend the permit or order the permit holder to stop work until revised plans are
submitted and approved; or
issue an order to return the work to the original design.

ALTERNATIVE SOLUTIONS/ VARIANCES
The ultimate goal of the Safety Codes Act and the system it establishes is to promote and protect
public safety. Situations may occur where public safety is as well or better served by deviating
from certain specific requirements of the Act or other safety codes. In these cases, permit
applicants may request an alternative solution.
Applicants must request a variance in writing by proposing an alternative solution. The

application must clearly show how the alternative solution will meet or exceed code
requirements. A Safety Codes Officer will then evaluate the request, and, if the SCO agrees that
the alternative solution offers equal or greater safety, will issue a variance allowing the
alternative solution to be used on the specific project at a specific location.
Alternative Solution/ Variance request forms are available from most Permit Issuers and from
the Safety Codes Council website. Alternative Solutions/ Variances must be issued in writing,
with copies provided to the:
owner,
contractor (if applicable),
Safety Codes Council, and
official file of the jurisdiction.

C-2, SELF-TEST #1
1. List the steps in the compliance monitoring process.
a. ________________________________________
b. ________________________________________
c. ________________________________________
d. ________________________________________
2. Why does the safety codes system monitor compliance and not ensure compliance?
3. When might a Safety Codes Officer issue an order?
a. ______________________________________________________________
b. ______________________________________________________________
4. List four places copies of variances must be sent.
a. ________________________________________
b. ________________________________________
c. ________________________________________
d. ________________________________________

C-2, ANSWER KEY
1. a. Plans examination
b. Permit issuance
c. Site inspections
d. Follow-up inspections or verification of compliance
2. Ensuring compliance is not practical or even possible. The Safety Codes Act stipulates
that the owner, rather than Safety Codes officials, is responsible for overall compliance.
3. a. the Safety Codes Act or other legislation is being contravened

b. there is a risk of injury or damage
4. a. to the owner
b. to the contractor, if there is one
c. to the official file
d. to the Safety Codes Council

MODULE C-3
EXPLAIN PERMIT EXTENSIONS and TRANSFERS

RATIONALE
Permit Issuers may be responsible for extending and transferring permits.
LEARNING OUTCOMES
At the conclusion of this module, you will be able to explain why and how to extend and transfer
permits
INTRODUCTION
This final module concerning the problems and uncommon issues that can develop during the
permitting process.
This module will describe extending and transferring permits.
ENABLING OBJECTIVES
1. Explain extending a permit.
2. Explain transferring a permit.
PREREQUISITES
Module C-2, Explain Compliance Monitoring
module.

ACTIVITY GUIDE
C-3, OBJECTIVE #1
Explain permit extensions and transfers.
1. Study the learning material. Page 146
Answer Key.
Band D.

LEARNING MATERIAL
PERMIT EXTENSIONS
Permit Issuers and Safety Codes Officers have the authority under the Safety Codes Act and
Permit Regulation to extend permit terms, although this authority may be restricted by their
jurisdictions‟ policies. Permit Issuers may grant extensions in response to requests from permit
holders. Safety Codes Officers are likely to be in more regular contact with permit holders, and
may agree to grant an extension during a site inspection or a discussion of inspection results.
Permit extensions must be documented in writing.
TRANSFERS
Permit Issuers may transfer permits if the jurisdiction allows and if the Permit Issuer deems the
transfer appropriate. Authority to transfer permits comes from the Permit Regulation, section 28.
Jurisdictional policies about permit transfers may be more difficult to determine. Policies may
be recorded in a Quality Management Plan or Authorized Agreement, or they may be found
elsewhere. Permit transfers are not common, and many jurisdictions do not allow permits to be
transferred.
Permits are transferred, when allowable, at the request of the current permit holder. An owner
who holds the permit in their own name may ask to transfer a permit because the property has
been sold and the new owner plans to continue with the project. Contractors holding permits
may request that a permit be transferred to another contractor or to the owner if they leave the
project.
Before transferring a permit, the Permit Issuer must review the permit details to ensure that the
transfer is appropriate. For example, if an owner holding an electrical permit wants to transfer
the permit to a contractor, the Permit Issuer is responsible for ensuring that the contractor has the
necessary qualifications to hold an electrical permit.
All permit transfers must be authorized in writing.

C-3, SELF-TEST #1
1. According to the Permit Regulation, what happens if a homeowner who holds a permit
sells the home before work is completed and there is no written permit transfer?
2. Who must first request a permit transfer?
a. a Safety Codes Officer

b. any Permit Issuer
c. the current permit holder
d. the prospective permit holder
3. Which of the following activities might jurisdictional policy prohibit?
a. permit extensions
b. permit transfers
c. permit suspensions
d. permit cancellation

C-3, ANSWER KEY
1. The permit is terminated. See Permit Regulation 28(1).
2. c. the current permit holder
3. b. permit transfers

Course 100075
July 2009
COMPLETING a PERMIT APPLICATION
BAND D
COMPLETING A PERMIT APPLICATION
BAND D
TABLE OF CONTENTS
Module D-1 ............................................................................................................ Page 151

Prepare for a Permit Application
Module D-2 ............................................................................................................ Page 169

Complete a Permit Application
Module D-3 ............................................................................................................ Page 179

Process a Permit Application
Module D-4 ............................................................................................................ Page 189

Permit Application Outcome
Appendix B – Partners Newsletter 02/04/09 ........................................................ Page 198
Appendix C – Porcupine County Plumbing and Gas Permit Application Form .. Page 199
Appendix D – Completed Application Form ........................................................ Page 200
Appendix E – Notice of Building Permit – 2 versions ......................................... Page 201

MODULE D-1
PREPARE for a PERMIT APPLICATION

RATIONALE
The process of issuing a permit begins when an applicant first contacts a Permit Issuer. In order
to ensure that applications are properly completed and all permits issued are legal and
appropriate, Permit Issuers must begin by gathering information to ensure that the applicant is
eligible to hold the requested permit, the Issuer‟s office has jurisdiction to issue the permit, and
to determine the process and documentation that will be required to apply for the particular
permit..
LEARNING OUTCOMES
At the conclusion of this module you will be able to explain how to verify your jurisdiction with
regard to a permit application, how to determine whether a customer is authorized to hold a
permit and whether the permit‟s scope or terms should be restricted and how to identify the
applicable permit issuance process and required permit documents for a permit application.
INTRODUCTION
Filling out an application form is seldom the first step in the permitting process. Experienced
contractors who have held many permits may know exactly what they need, but for other
applications, certain questions must be asked first.
When an applicant requests an application, the Permit Issuer must first make sure that the
applicant is in the correct jurisdiction, and then determine which permit or permits the applicant
needs. Next, the Permit Issuer will ensure that the applicant is eligible to hold the requested
permit. Finally, the Permit Issuer will identify the appropriate permit issuance process and
necessary documents, and explain the process to the applicant.
This module will provide you with the information you need to prepare yourself and your
customers to apply for a permit.
ENABLING OBJECTIVES
1. Look up jurisdiction.
2. Determine customer needs.
3. Check status of development permit if appropriate.
4. Determine customer‟s eligibility for a permit.
5. Assess customer‟s proposed activity and project scope.
6. Identify the applicable permit issuance process.
7. Determine required permit documents.
8. Walk the customer through the permit application process.

PREREQUISITES
Band C “Permit Problems”
module.

ACTIVITY GUIDE
D-1, OBJECTIVE #1
Prepare for a permit application.
Answer Key.
Module D-2.

LEARNING MATERIAL
JURISDICTION
Permit Issuers have the authority to issue permits only for their jurisdictions or, in agencies, for
the jurisdictions to whom they are contracted. Since the application process varies between
jurisdictions, there is little you can do for applicants working on projects outside your
jurisdiction. The first thing you must establish with an applicant is whose jurisdiction their
proposed project falls under.
Accredited municipalities, joint accreditations and regional services commissions have

jurisdiction over their own municipal areas. Agencies do not have jurisdiction, but do provide
service to unaccredited municipalities on the authority of their contracts with Alberta Municipal
Affairs and to certain accredited municipalities when they have contracts do to so.
You will need to rely on local records to determine the scope of your jurisdiction or the areas
where you are authorized to provide services. Most offices will have maps and other documents
that define municipal boundaries. Permit Issuers working for agencies will also need to establish
the extent of services they provide for each municipality they work with. For example, an
agency may accept all permit applications, accept only certain types of permit application or
only process applications received from a municipality they work with. Service terms may be
different for each municipality, and will be defined in their contracts with those municipalities.
Accredited corporations may have jurisdiction over sites within the geographic boundaries of
another jurisdiction. Check with a supervisor or local policies to find out whether any corporate
jurisdictions overlap with your own.
To determine whether you have the authority to issue a permit for a proposed project, you can
ask some of the following questions:
Who does the property owner pay property taxes to?

What is the address, legal land description, or lot, block and plan number of the property?
If accredited, the municipality that receives property taxes for a property will have the authority
to issue permits for that location. Permit Issuers working for accredited municipalities often
have access to tax records, and can check or verify questions about property taxes.

Alberta Registries
If you have a legal land description or a lot, block and plan number for the property, you may be
able to look up the municipality at Alberta Registries‟ Spin2 website using the following
procedure:
1. Go to the Spin2 website: https://alta.registries.gov.ab.ca/spinii/logon.aspx

2. Login to the website.
a. If your employer has an account, use that login information.
b. If you do not have access to an account, click on “Guest Login”.
3. Select „Search‟.
4. Select „Titles and Registered Documents‟.
5. Select „Plan/Block or Unit/Lot‟ if you have the property‟s lot, block and plan number or
„Standard ATS‟ if you are using a legal land description.
6. Enter your information and click „Search‟.
7. When the results are displayed, click on the „Title Preview‟ icon under „View‟.
8. The title preview will show the municipality.
If you cannot access SPIN2 or cannot find the property there, you will have to check the location
of the property against a map of the municipality.
LEGAL LAND DESCRIPTIONS
Any section of land in Alberta can be located by its legal land description.
The Alberta Township System (ATS) designates land as being west of the 4th Meridian (110
degrees west longitude), 5th Meridian (114 degrees west longitude) or 6th Meridian (118
degrees west longitude). Between meridians are a series of columns, each six miles wide, called
ranges. They are numbered consecutively from east to west, beginning west of the meridian.
Townships are also six miles wide and are numbered from south to north. The southern Alberta
border with Montana is township 1, up to the northern border with the Northwest Territories at
township 126.
Township also describes the six mile by six mile square formed when the range and township
lines intersect. These townships are further divided into 36 sections, each measuring one mile by
one mile (one square mile). One section contains 640 acres. A section can be further divided into
quarters (NE, NW, SE, SW) of 160 acres each or into 16 legal subdivisions (LSDs).

Legal land descriptions are written as follows:
SW 21-38-20-W5 - southwest quarter of section 21, township 34, range 12, west of the 5th
Meridian
The figure below shows township 512034 or 34-12-W5 in the centre, surrounded by
neighbouring townships.
35-13-W5 35-12-W5 35-11-W5
31 32 33 34 35 36
34-13-W5 30 29 28 27 26 25 34-11-W5
19 20 21 22 23 24
18 17 16 15 14 13
7 8 9 10 11 12
6 5 4 3 2 1
33-13-W5 33-12-W5 33-11-W5
Figure D-1: Alberta Township System
The grey section in figure D-1 is 21-34-12-W5. That is, section 21, township 34, range 12 west
of the fifth meridian.
Make note of the how the section numbers within a township progress. Section 1 is in the south-
eastern corner. In the southernmost row, section numbers increase as you go west. The next row
to the north curves around, with numbers increasing from west to east.

There are two ways to further divide sections that you may encounter. Each section is divided
into quarter-sections: the NE, NW, SW and SE. Legal land descriptions start with the quarter
section. The NW quarter of section 21, township 38, range 20 west of the fifth meridian is
therefore: NW21-12-34-W5. Section 21-12-34-W5, divided into quarter sections, is as follows:
NW21-12-34-W5 NE21-12-34-W5
SW21-12-34-W5 SE21-12-34-W5
Figure D-2: Quarter Sections in 21-12-34-W5

Alternately, sections can be divided into 16 legal subdivisions (LSDs). The same section,
divided into LSDs, is as follows:
13-21-12-34-W5 14-21-12-34-W5 15-21-12-34-W5 16-21-12-34-W5
12-21-12-34-W5 11-21-12-34-W5 10-21-12-34-W5 9-21-12-34-W5
5-21-12-34-W5 6-21-12-34-W5 7-21-12-34-W5 8-21-12-34-W5
4-21-12-34-W5 3-21-12-34-W5 2-21-12-34-W5 1-21-12-34-W5
Figure D-3: Legal Subdivisions in 21-12-34-W5
By comparing a legal land description against a map of the area you cover, you can determine
whether you have the authority to issue a permit to an applicant.
If the applicant is at the wrong office, you can direct them to the Alberta Municipal Affairs
website (http://www.municipalaffairs.gov.ab.ca/cp_index.cfm). The site has a search feature for
locating the correct Permit Issuer.
IDENTIFY REQUIRED PERMIT(S)
Once you have established that you have the authority to help the applicant, the next step is to
find out which permit or permits the customer will need to complete their project. Ask the
customer:
What are you planning? Does the project involve building, plumbing, electrical work,
gas and/or a private sewage disposal system?
If it is a building project, will it involve work in any of the other disciplines as well?

If your jurisdiction uses partial permits, you will also need to ask building permit applicants if
any of the processes requiring partial permits are involved.
After indentifying the disciplines involved with the project, apply the permit criteria discussed
earlier in this course and established in the Permit Regulation to determine what permits are
required.
Development Permits
Many municipalities encourage building permit applicants to first obtain any necessary
development permits. Permit Issuers at accredited municipalities can ask the Development
Officer whether a development permit is needed and whether it has been issued.
PERMIT HOLDER ELIGIBILTY
There are restrictions on who can obtain a permit. The two major groups who can apply for
permits are homeowners and contractors. Homeowners have a vested interest in their properties,
while contractors have the technical expertise to perform the work. Permit Issuers are
responsible for verifying an applicant‟s eligibility to hold a safety codes permit.
When identifying an owner for the purposes of determining permit holder eligibility, you must
define owner as stipulated in the Safety Codes Act. Section 1(1)a states that the term owner
“includes a lessee, a person in charge, a person who has care and control and a person who holds
out that the person has the powers and authority of ownership or who for the time being
exercises the powers and authority of ownership.”
Owners of single family residential dwellings are allowed to hold permits. Section 1(1)(u) of the
Permit Regulation defines a single family residential dwelling as “a residential dwelling for a
single family that includes, if applicable, a residential garage or accessory structure associated by
use to the dwelling, if the garage or structure is situated on the same parcel of land as the
dwelling.”
BUILDING PERMITS
There are few restrictions on the holders of building permits. According to the Permit
Regulation section 7(1), the owner of a building or any agent of the owner may hold a building
permit.

Partial Building Permits
When partial permits are required, trade qualifications are necessary. Partial permits may require
evidence of certification in the following trades:
electrician;
gasfitter;
plumber;
refrigeration and air conditioning mechanic;
sheet metal worker; and
steamfitter – pipefitter.
For more information about partial permits and trade qualifications, see Page C4 of the Permit
Regulation Guidelines.
Electrical Permits
The requirements for holding electrical permits are listed in the Permit Regulation, section 9(1)
and section 23. Depending on the specific undertaking, permit holders may be required to hold
the following certifications:
master electrician;
restricted master electrician;
rural wireman; or
sign installing technician.
Anyone certified in these trades must provide proof of their certification to a Permit Issuer on
request. To verify the status of master electricians and restricted master electricians, Permit
Issuers can contact the Safety Codes Council (SCC):
Suite 1000-10665 Jasper Ave NW

Edmonton, Alberta T5J 3S9
Toll Free: 1-888-413-0099
Fax: 1-888-424-5134
Email: SCCInfo@safetycodes.ab.ca
www.safetycodes.ab.ca/
Read the sections of the Permit Regulation mentioned above to see what undertakings people
with various electrical certifications may hold permits for. You will need to refer to the
Regulation to determine whether a given certification is an appropriate qualification for the
specific electrical permit requested.
Alberta Municipal Affairs is working towards increasing mobility for those working in trades.
As a result of this initiative, electricians with certification from British Columbia can obtain
authorization to hold Alberta safety codes permits. Alberta‟s Chief Electrical
Administrator/Inspector can grant site-specific variances to B.C. Field Safety Representatives
(FSRs) who complete an exam. The FSR is then authorized to hold an electrical permit for the
site. As a Permit Issuer, you must check the following before issuing a permit:
site-specific variance (the FSR should have a copy of a signed variance naming the site);
and
a valid B.C. FSR card.
See Appendix B for the issue of “Partners” outlining the above change. The effort to standardize
trade certifications across provinces is ongoing. Any further changes to permit holding
requirements will also be published in “Partners”.
Gas Permits
Permit Regulation sections 13(1) and 23 outline the requirements for gas permit holders. Apart
from owner/occupiers and the owners of farm buildings applying for permits for their own
properties, the following groups may hold gas permits:
Gas Fitters - A gas permit may be issued to a first-class or second-class gasfitter;

however, the gasfitter must comply with the Apprenticeship and Industry Training Act by
doing only work for which he or she is qualified under their certification.
A person who has successfully completed the Propane Gas Association of Canada
Container Training and applied to Alberta Municipal Affairs for a special permission
number.
A person who has successfully completed the plastic fusion course or aluminum joining
course and applied to Alberta Municipal Affairs for a special permission number.
Refer to the Regulation to determine what activities people with the above certifications may
receive permits for.
Permit Issuers may request proof of status as a gasfitter or the special permission number granted
to others to verify an applicant‟s eligibility to hold a permit.
Plumbing Permits
Permit Regulation sections 15(1) and 23 describe required qualifications for plumbing permits.
Journeymen plumbers must provide Permit Issuers with proof of their qualifications and their
journeyman number on request.
Permit Regulation section 17(1) outlines the requirements for private sewage disposal system
(PSDS) permit holders. Remember that plumbers are not certified private sewage installers, and
may not hold PSDS permits unless they also obtain private sewage certification.
Alberta Municipal Affairs maintains a list of certified private sewage installers. It is available at
the Alberta Municipal Affairs website: http://municipalaffairs.gov.ab.ca/.
Efforts to increase mobility for private sewage disposal system installers are described in
Appendix B.
ASSESS PROJECT SCOPE
Homeowners and farm owners are issued permits because the Safety Codes Act follows the
philosophy that a person should be permitted to do work on their own home or property.
Homeowners, however, are not experts, and Permit Issuers may be concerned about the safety of
homeowners completing certain projects on their own.
The Safety Codes Act gives Permit Issuers the authority to restrict the scope and terms of a
permit or even refuse the permit if the issuer is concerned about the permit holder‟s ability to
complete the work safely.
This authority should be exercised judiciously. Any decision to restrict a permit must be made
on a case-by-case basis after carefully questioning the applicant about the scope of the project
and the applicant‟s understanding of the issues involved.
It is strongly recommended that Permit Issuers consult with Safety Codes Officers and their
Quality Management Plan manager before refusing or restricting a permit.
Example
Permit Issuers might consider restricting permits when a project is unusually complicated.
Residential electrical services are typically rated at 120/240V, single phase. Installation requiring
higher voltages or three phases are more complicated and may require special expertise beyond
the scope of a typical homeowner. If a homeowner applies for a permit with a larger service, the
homeowner could be asked questions to determine whether they have adequate knowledge to
complete this undertaking, and if they do not, the scope of the permit could be limited to
120/240V, single phase.
PERMIT ISSUANCE PROCESS
Once you have established your ability to issue a permit and any restrictions on the applicant‟s
eligibility to hold it, you next step is to identify the appropriate permit issuance process. The
process will depend on the type of permit requested and your jurisdiction‟s Quality Management
Plan (QMP) or Authorization Agreement and local policies.
The QMP or Authorization Agreement is your primary resource for determining the process and
requirements for permits in each discipline. Your employer may also have other policies or
procedures you are required to follow. To identify these practices, contact your supervisor.
Required Permit Documents, Plans, and Construction Documents
The same resources will detail the additional documents required for each type of permit. Along
with a completed application form, applicants may be asked to provide:
plans;
information sheets;
schedules;
soil testing records; and
any other documents requested by a Permit Issuer or Safety Codes Officer.
It may require some knowledge of the relevant discipline to determine exactly which documents
are required. For example, your QMP may provide a list of documents required for all building
permits, but extra documentation may be required for some projects within the building
discipline. If you have any questions about specific requirements, speak to a Safety Codes
Officer in the discipline.
Activity
Speak with your supervisor about any local policies, procedures or practices unique to your
jurisdiction or contract. In the space below, list all documents you will need to refer to
determine additional documentation requirements for your jurisdiction.
WALK THE APPLICANT THROUGH THE PROCESS

The final step before beginning a permit application is to walk the applicant through the process
and let them know what to expect during and after the application process. To provide a brief
overview of the process, tell the applicant:
the application form must be completed;

supporting documents, if necessary, must be provided;
about any plan reviews that will be required for their particular permit;
what the approval process will entail and when they can expect the permit to be issued if
it is approved; and
what inspections will occur after a permit is issued.
If you have not yet done so, this is a good opportunity to direct the applicant to any resources
that could help them, including:
pamphlets;
websites;
regulations and codes; and
Safety Codes Officer contact information.
CONCLUSION
By properly preparing yourself and your customers for the permit application process, you can
ensure that the process will move smoothly without any unexpected hitches or wasted effort.
Begin by making sure that the applicant is at the right office and you have the authorization to
help them and the ability to guide them through the appropriate process.
Next, find out whether the applicant is eligible for a permit. Time and effort can be saved by
making sure you are working with the right person from the beginning.
Finally, identify the specific processes and requirements that will apply for the given permit
application and explain them to the applicant. The applicant can then gather all necessary
information before beginning the application so the process will not be disrupted by missing
information and other complications.
Preparation will make the permitting process easier for both the issuer and the applicant, and
reduce the risk of conflicts and frustration.

D-1, SELF-TEST #1
1. Who is eligible to hold an annual plumbing permit?
_________________________________________________
2. What can you do to check the eligibility of a contractor applying for a private sewage
disposal system permit?
a. request proof of certification and a journeyman number

b. request an FSR card and a site specific variance
c. request the applicant‟s special permission number
d. check AMA‟s list of approved private sewage installers
3. If an applicant asks for a Building Permit, what other permits might they need?
4. How does the Safety Codes Act define the term „owner‟?

5. List three ways of checking whether a property is under the jurisdiction of an accredited
municipality.
a. ______________________________________________________________
______________________________________________________________
b. ______________________________________________________________
______________________________________________________________
c. ______________________________________________________________
______________________________________________________________

D-1, ANSWER KEY
MODULE D-1 SELF-TEST #1
1. the owner or operator of the premises – although they must ensure that work is completed
by a journeyman plumber (See Permit Regulation section 23)
2. d. check AMA‟s list of approved private sewage installers
3. The applicant could also require partial building permits, if they are used in your
jurisdiction, and electrical, gas, plumbing and private sewage disposal system permits if
the planned construction will require work in those disciplines.
4. An owner “includes a lessee, a person in charge, a person who has care and control and a
person who holds out that the person has the powers and authority of ownership or who
for the time being exercises the powers and authority of ownership.” Safety Codes Act
1(1)(v).
5. a. Determine whether property taxes are paid to the municipality by checking tax
records or asking the owner.
b. Look up the legal land description or lot, block and plan number on the Spin2
website.
c. Look up the address or legal land description on a map of the municipality.

MODULE D-2
COMPLETE a PERMIT APPLICATION

RATIONALE
While applicants are primarily responsible for completing their own applications, Permit Issuers
play a vital role in streamlining the process and ensuring that applications are complete and
correct.
LEARNING OUTCOMES
At the conclusion of this module you will be able to assist permit applicants to complete their
applications and complete a sample gas permit application yourself based on information
provided in a case study.
INTRODUCTION
This module will provide you with the information you need to help your customers apply for a
permit. At the end of the module, you will be asked to complete a sample application form.
ENABLING OBJECTIVES
1. Assist permit applicants in completing applications for permits.
2. Review application with applicant.
3. Notify applicant if additional information is necessary.
4. Verify that application, project information and necessary documents are complete and
acceptable.
5. Verify professional and/or contractor licensing where appropriate.
6. Calculate permit fee.
7. Collect or arrange for fee collection.
PREREQUISITES
Module D-1 “Preparing for a Permit Application”
module.

ACTIVITY GUIDE
D-2, OBJECTIVE #1
Complete a permit application.
Answer Key.
Module D-3.

LEARNING MATERIAL
COMPLETE THE PERMIT APPLICATION
Permit applicants are responsible for filling out application forms and completing their
applications. In practice, most Permit Issuers are required by their terms of employment to
provide information and assistance. It is ultimately much easier to ensure that applications are
complete from the outset than to try to correct things later. When completing an application with
a customer:
go through each section of the form with the applicant, and ask if they have any
questions;
go through the form step-by-step, and ensure all blanks are completed;
if you can, look up any information the applicant requests – you may have access to site
plans and legal locations.
ADDITIONAL INFORMATION
Review the application form, the Permit Regulation and your Quality Management Plan or
Authorized Agreement to determine any additional information required for the application.
If you need additional information and cannot find it in your usual reference material, check with
a Safety Codes Officers. SCOs can help you and your applicants by providing information
about:
which permits you can approve;

which permits can only be approved by SCOs at your location;
what documentation is needed with a specific application; and
specific codes and code requirements.
VERIFY APPLICATION INFORMATION
Before accepting an application, Permit Issuers should verify that the application package is
complete and that the customer is eligible to hold the permit. A complete application package
includes:
the completed application form – all blanks are filled out and the form is signed by the
applicant; and
all supplemental documentation is attached.
Most application forms include a section requiring a certification number of some sort. Certified
professionals and people in the trades must provide proof of their certification if it is necessary to
hold the permit they are applying for. In many cases, there are also ways for you to verify that
certification if you deem it necessary.
Electrical Discipline
Master Electricians
o Ask the applicant to provide their Master Electrician‟s card.
o Contact the Safety Codes Council of Alberta for verification of electricians‟
status.
Rural Wiremen
o Ask the applicant for proof of certification.
o Contact Alberta Municipal Affairs for verification.
Sign Installation Technician
o Ask the applicant to provide their Alberta Electrical Sign Certificate.
BC Field Safety Representatives (FSRs)
o Ask the applicant to provide their FSR card and the site-specific variance
issued by Alberta‟s Chief Electrical Administrator/Inspector.
Gas Discipline
First-Class or Second-Class Gasfitter
o Ask the applicant to provide their trade certificate.
A person who has completed Propane Gas Association of Canada Container Training
and received a special permission number from Alberta Municipal Affairs
o Ask the applicant for their special permission number.
o Contact Alberta Apprenticeship and Industry Training for verification.
A person who has completed a plastic fusion course or aluminum joining course and
received a special permission number from Alberta Municipal Affairs.
o Ask the applicant for their special permission number.
o Contact Alberta Apprenticeship and Industry Training for verification.
Plumbing Discipline
Plumber
o Ask the applicant to provide their trade certificate and journeyman number.
Private Sewage Discipline

Private Sewage Installer or Restricted Private Sewage Installer
o Ask the applicant to provide their certificate of competency.
o Check Alberta Municipal Affairs‟ list of certified private sewage installers at:
http://www.municipalaffairs.gov.ab.ca/CP_PrivateSewageContractorList.cfm
BC Private Sewage Practitioners
o BC Private Sewage Practitioners must also provide proof of Alberta
certification. If a BC Private Sewage Practitioner applies for an Alberta permit
without Alberta certification, direct them to the Alberta Onsite Wastewater
Management Association.

PERMIT FEES
Permit fees and fee structures vary by jurisdiction, as discussed earlier. Do not forget to add the
Safety Codes Council levy to all permit fees. The levy is 4% of the permit fee, with a minimum
of $4.50 and a maximum of $560.00.
Permit fee collection practices also vary by jurisdiction. Fees may be collected by the Permit
Issuer or by another department. Some jurisdictions also require immediate payment, while
others are willing to invoice applicants.
ACTIVITY 1
Find out how fees are collected in your jurisdiction, and describe the process below. If Permit
Issuers collect fees, what forms of payment are accepted?
ACTIVITY 2: CASE STUDY
Now that you know the theory and background behind permit applications, try filling one out.
Appendix A contains a sample application form for gas and plumbing permits. Use the
following scenario to complete the application.
George Pedersen walks into the Porcupine County Office and asks for the Permit Issuer. He asks
for a plumbing permit application, explaining that he has been hired by Jacob Brown to complete
the plumbing for a new bathroom a customer has built. When you ask him about his
qualifications, he tells you that he is a certified plumbing contractor and his journeyman number
is 1234. You question him about the extent of the project, and he tells you that he will be
installing a sink, a toilet and a shower. He also provides the following information:

His address is:
Box 456
Prickly Bluff, AB T1T 1T1
(403) 555-5555
fax: (403) 555-5556
The work will be performed at his customer‟s main residence. The customer‟s mailing address
is:
Box 123
Prickly Bluff, AB T1T 1T1
(403) 555-5551
His home is located in SE 8-42-18-W4. This location has not been further subdivided by plan.
Porcupine County‟s fee structure for plumbing permits is based on the number of fixtures
involved:
1-6 fixtures $75.00

7 fixtures $80.00
8 fixtures $90.00
9 fixtures $100.00
10 fixtures $105.00
10+ fixtures – additional $5.00 per fixture
George plans to complete the work by 08/07/08. He would like to pay the permit fee
immediately, with his Visa #1234 5678 9012 3456.
This is the first plumbing permit you have issued in 2008. According to your methods for
determining unique qualifiers, the qualifier for this application will be S08-P01.
You now have all the information you need to complete an permit application with George.
Complete the form in Appendix A. When you are finished, compare your form to the completed
version of Appendix B. Did you fill in all the entries needed? If not, what did you miss and
why?

D-2, SELF-TEST #1
1. What two things can you do to verify the status of a Master Electrician?
a. __________________________________________________
b. __________________________________________________
2. What should you do if a BC Private Sewage Practitioner who does not have Alberta
certification requests a PSDS Permit?
3. What should you ask to see to verify the status of an Alberta Sign Installation
Technician?
a. Electrician‟s card
b. trade certificate
c. special permission number
d. Alberta Electrical Sign Certificate

D-2, ANSWER KEY
1. a. Check their Master Electrician‟s card.

b. Contact the Safety Codes Council of Alberta
2. Refuse the permit and refer the BC Private Sewage Practitioner to the Alberta Onsite
Wastewater Management Association.
3. d. Alberta Electrical Sign Certificate

MODULE D-3
PROCESS a PERMIT APPLICATION

RATIONALE
Permit Issuers are responsible for receiving and processing permit applications as they pass
through various stages.
LEARNING OUTCOMES
At the conclusion of this module you will be able assign unique qualifiers, describe your
organization‟s permit information tracking system, identify a permit issuer for an application,
process documents for review, track permit status when necessary and process returned permit
documents.
INTRODUCTION
This module will provide you with the information you need process documents once a permit
application is completed.
ENABLING OBJECTIVES
1. Assign permit a unique qualifier.
2. Input and access data according to organization‟s chosen method.
3. Follow permit issuance process according to the scope and limitations as set out in the
terms of employment.
4. Determine who must review permit applications.
5. Process documents for required approvals.
6. Track status of permit application.
7. Receive returned permit documents.
PREREQUISITES
Module D-2, “Complete a Permit Application”
module.

ACTIVITY GUIDE
D-3, OBJECTIVE #1
Process a permit application.
Answer Key.
Module D-4.

LEARNING MATERIAL
ASSIGNING A UNIQUE QUALIFIER
The first thing a Permit Issuer must do after accepting an application is to assign it a qualifier
that is unique in the jurisdiction. Each organization has its own method for determining
qualifiers. Some form qualifiers based on the permit discipline, the year issued and a
consecutive number for each permit issued that year. Other organizations use electronically
assigned numbers. The Electronic Permitting System (ePS) assigns a unique number to each
permit application entered, and many organizations who use the ePS use its number for the
unique qualifier, while others use the number only for filing and search purposes.
Activity 1
Find out what process your organization uses to assign qualifiers, and describe it here.
FILING AND TRACKING SYSTEMS
The application and related information must be filed and entered in a tracking system before a
permit is issued. Tracking systems may be electronic, such as the ePS, or paper-based.
Tracking system data and other files must be updated as necessary, including when the permit is
issued or refused, when inspections are booked and when inspection reports become available.

Activity 2
Describe how your organization tracks permit information.
PERMIT ISSUERS and REVIEWERS
Before you can identify the next step in the issuance process, you will need to identify who can
issue the permit that has been applied for. The types of permits that you, as a Permit Issuer, have
the authority to issue on your own will depend on your designation of power and the specific
terms of your employment. Most Permit Issuers can issue some permits directly, but must pass
other applications on to Safety Codes Officers for review before a permit is issued.
Since electrical, plumbing and gas permits do not require reviews in most jurisdictions, they are
often issued by Permit Issuers. Building and private sewage disposal system permits always
require review, and may be issued by Safety Codes Officers or by Permit Issuers once the SCO
review has been completed.
Your Quality Management Plan or Authorized Agreement and organizational policies and
procedures will determine which applications must be reviewed and who must review them.
Some municipalities have internal Safety Codes Officers who conduct all plan reviews, while
others contract with agencies for Safety Codes Officer reviews.

Activity 3
Describe your terms of employment – which permits can you issue, and which can only be
issued by Safety Codes Officers? Check your contract and contact your supervisor if you have
any questions about the extent of your authority.
PROCESS DOCUMENTS FOR REQUIRED APPROVALS
When you receive applications for permits you cannot issue, you must pass the application on to
the appropriate party. Specific process will vary by organization, but, in general, you will be
expected to ensure that the application form is complete and all necessary documentation is
present. Then you will take or send the complete file, or a copy of the file, to the appropriate
reviewer.
TRACK APPLICATION STATUS
The Permit Issuer‟s role in processing applications they cannot issue or can only issue after a
review has been completed includes tracking the application through the issuance process.
When applications are sent for review, you should check with the reviewer after two or three
days to ensure that the application is progressing and has not been mislaid or neglected.

RETURNED PERMIT DOCUMENTS
When reviews and approvals are complete, the original documents and approvals are returned to
the Permit Issuer. After receiving the documents, you must ensure the following steps are
completed:
file all documents;

record updates in your tracking system;
issue the permit, if it is approved;
give the applicant a copy of the permit and any examined plans and review documents;
and
send copies of any review documents to other parties (such as engineers or architects) as
directed by the reviewer or required by your Quality Management Plan or Authorized
Agreement.
Depending on local office procedures, Permit Issuers may be responsible for filing and managing
documents, or you may pass them on to someone else for these steps.

D-3, SELF-TEST #1
1. What are the first two steps you should take after receiving an application for a permit
that will require a plans review?
a. _________________________________________________________
b. _________________________________________________________
2. How can you determine who should review plans for an application that requires a plan
review?
3. What should a permit holder receive when a permit is issued?
a. _________________________________________________________
b. _________________________________________________________

D-3, ANSWER KEY
1. a. Check that the application form is complete and all required supporting
documents are attached..
b. Pass the application on to the reviewer.
2. Check your Quality Management Plan or Authorization Agreement and local policies.
3. a. a copy of the permit

b. plans examination report, examined plans and other review documents

MODULE D-4
PERMIT APPLICATION OUTCOME

RATIONALE
After an application has been processed, the Permit Issuer will issue or refuse the permit.
LEARNING OUTCOMES
At the conclusion of this module, you will be able to issue permits, help applicants correct permit
applications, refuse permits, provide information about the appeals process and transfer permits.
INTRODUCTION
This module will provide you with the information you need to complete the permit issuance
process, including issuing, refusing and transferring permits and providing information to
applicants about fixing their applications and appealing your decisions.
ENABLING OBJECTIVES
1. Complete the permitting process.
2. Issue a permit.
3. Discuss necessary changes.
4. Refuse a permit.
5. Explain the appeal process.
6. Authorize permit transfer.
PREREQUISITES
Module D-3, “Process a Permit Application”
module.

ACTIVITY GUIDE
D-4, OBJECTIVE #1
Complete the issuance process.
Answer Key.
Band E.

LEARNING MATERIAL
PERMIT ISSUANCE
By this point in the permitting process, you will have accepted the completed application,
assigned it a unique qualifier, passed on applications or plans for review as appropriate and
retained applications for permits you are authorized to issue without review.
When reviewers approve necessary documents or you approve an application on your own
authority, you can then proceed to issue the permit by completing the following steps:
1. Tell the permit applicant that the permit has been approved. If appropriate, ask whether
they would like to come in and pick it up, or if they would prefer you to mail, fax or
email it to them.
2. Prepare the permit. Depending on your jurisdiction, this may mean:

signing the permit application, which then becomes the permit;
completing a separate permit document; or
printing a permit out from an electronic permitting system.
3. Prepare any additional documents your jurisdiction issues with permits.

Many organizations provide two copies of electrical and gas permits. The
permit holder can use the second permit to establish service with the relevant
utility.
Some jurisdictions issue a „Notice of Building Permit‟ or Permit Placard with
all building permits. The notice is to be displayed at the building site while
work is occurring. Sample notices are included in Appendix C.
4. Give the permit and related document to the permit holder. With a simple permit with no
reviews, the permit holder may still be in the office. If not, mail, fax or email the permit
and related documents to the permit holder, or file the documents in a location that will
be easily accessible when the permit holder comes to pick up the permit.
REQUEST CHANGES
If a permit cannot be issued based on the application, you have two options. You can refuse the
permit or request further information or changes to the application. Safety Codes Officer
reviewers may also ask you to contact the applicant to request changes or more information.
Many jurisdictions strongly prefer having Permit Issuers help applicants correct their
applications to refusing permits. You may find it helpful to discuss your jurisdiction‟s approach
to problem applications with a supervisor.

If changes to the application are necessary before it can be accepted, contact the permit applicant
and discuss the necessary changes. If the applicant does what is necessary to correct the
application, the permit can then be issued. If an applicant is unable or unwilling to fix their
application, you will have to refuse the permit.
REFUSE PERMIT
When you decide or are obliged to refuse a permit, you must provide a written Notice of Refusal
explaining the specific reason the permit was refused. Section 44(3) of the Safety Codes Act
states that:
(3) If a safety codes officer or other person designated by an Administrator refuses to issue a permit,
the safety codes officer or other person designated by an Administrator shall serve the applicant with a written
notice of the refusal.
Administrative Items Regulation section 5(1) provides more detail about how notice is to be
served.
5(1) An order issued, confirmed, revoked or varied under the Act and a written notice required by the
Act to be issued must be served
(a) in the case of an individual,
(i) by personal service,
(ii) by leaving it for the individual with a person apparently at least 18 years of age at the
individual's current or most usual dwelling place,
(iii) by sending it by registered mail to the individual's last known address, or
(iv) by sending it by facsimile or other form of electronic transmission to the individual's last
known facsimile number or electronic address, if there is a record of so sending it,
and
(b) in the case of a corporation,
(i) by leaving it with a director, manager or officer of the corporation, or the president,
chairperson or other head officer, by whatever name that person is known, of the corporation,
(ii) by leaving it at the corporation's registered office,
(iii) by sending it by registered mail to the corporation's registered office, or
(iv) in the case of an extra-provincial corporation, by leaving it with, at the address of, or by
sending it by registered mail to the address of, the corporation's attorney for service appointed as required by the
Business Corporations Act.
The person refusing the permit is responsible for sending the written Notice of Refusal to the
applicant.

Appeals
The Safety Codes Act also gives any person who is refused a permit the right to appeal that
decision. When you refuse a permit, you are responsible for providing the failed applicant with
the information they need to appeal your decision.
Inform such applicants that appeals must:
be in writing and submitted to:

Safety Codes Council
1000, 10665 Jasper Ave
Edmonton, AB
T5J 3S9
be signed by the appellant or his agent and contain the appellant‟s name, address and
phone number;
contain a copy of the order or written decision being appealed (the Notice of Refusal, in
this case);
contain a concise statement of the matter being appealed setting out the grounds for the
appeal;
be accompanied by the appropriate fee; and
be received by the Safety Codes Council within 30 days of the refusal.
The above directions can also be found on the Safety Codes Council website at
www.safetycodes.ab.ca.
Permit Issuers should notify the Safety Codes Council and forward a copy of the Notice of
Refusal when a permit is refused.
PERMIT TRANSFERS
Permit Issuers may be asked to adjust the permit after it is issued. When an applicant asks you to
transfer a permit:
Identify your jurisdiction‟s policy on permit transfers. Can they be transferred, and, if so,
are you authorized to complete a transfer?
Review the permit. Is a transfer appropriate? Is the new permit holder eligible to hold
the permit?
Authorize the transfer in writing, if appropriate. Send a copy of the transfer to the
original permit holder, new permit holder and the permit file.

CONCLUSION
This module has completed the discussion of permit-specific requirements and activities. The
next band will introduce the topic of general office activities and customer service, providing
many tips you can use to make sure your interactions with applicants and permit holders are as
agreeable and cooperative as possible.

D-4, SELF-TEST #1
1. What responsibilities do Permit Issuers have concerning appeals when a permit is

refused?
a. Permit Issuers must discourage appeals.

b. Permit Issuers must encourage appeals.
c. Permit Issuers must help failed applicants through the appeals process.
d. Permit Issuers must provide information about the appeals process.
2. Describe the documentation you must provide to applicants when a permit is refused.
3. Within what time after a refusal must an appeal be received?
a. 7 days
b. 30 days
c. 60 days
d. 90 days
4. Who should appeals be sent to?
a. The office of the jurisdiction refusing the permit

b. The Safety Codes Council
c. Alberta Municipal Affairs
d. The Court of Queen‟s Bench

D-4, ANSWER KEY
1. d. Permit Issuers must provide information about the appeals process.
2. When you refuse a permit, you must send the applicant a written Notice of Refusal that
explains the reason the permit was refused.
3. b. 30 days
4. b. The Safety Codes Council

Appendix B - Partners Newsletter 02/04/09
Thursday, April 02, 2009 Unsubscribe | Printable Version | Send this to a friend
Notice for permit issuers in Electrical Group A and PSDS regarding

TILMA
The implementation deadline for the Alberta-B.C. Trade, Investment and Labour Mobility Agreement was on April 1, 2009.
Alberta Municipal Affairs would like to clarify how implementation of TILMA will affect the permit issuers.
Please ensure that affected permit issuers and safety codes officers have this information.
Electrical Work
Alberta Municipal Affairs, B.C. Office of Housing and Construction Standards, and the B.C. Safety Authority have reached an
agreement to provide mobility for electrical contractors in accordance with TILMA. This agreement maintains a high level of
public safety in both provinces while recognizing the ability of Alberta Master Electricians and B.C. Field Safety
Representatives (FSRs) to obtain electrical permits in either province.
Municipal Affairs and Alberta Employment and Immigration are examining regulatory options to recognize B.C. FSRs. Until
these regulatory amendments are in place, the Electrical Administrator / Chief Inspector will issue site specific variances
that allow FSRs to obtain electrical permits for work that falls within their scope of practice in B.C.
An FSR will be required to successfully complete a jurisprudence exam that is less than half a day in length and
administered by the Chief Electrical Administrator/Inspector before being issued their first site-specific variance. Once an
FSR has successfully completed the jurisprudence exam, they are eligible to be issued additional site-specific variances to
obtain electrical permits for work in Alberta.
For permit issuers, should a B.C. FSR apply for an electrical permit, please ensure that they have the site-specific variance
from the Electrical Administrator / Chief Inspector and a valid FSR card from B.C. before issuing the permit.
If you have any questions about this process, please contact Pierre McDonald, Electrical Administrator / Chief Inspector, or
Tyler Wightman, Policy Advisor with the Public Safety Division, at 1-866-421-6929.
In accordance with the labour mobility provisions of TILMA, eligible B.C. registered onsite wastewater practitioners will be
recognized to obtain permits to install private sewage disposal systems in Alberta. B.C. practitioners must apply to the
Chief Inspector / Administrator and successfully complete a jurisprudence exam administered by the Alberta Onsite
Wastewater Management Association (AOWMA) before being certified as an Alberta Private Sewage System Installer.
B.C practitioners must provide proof of Alberta certification to obtain a permit for a private sewage disposal system. Should
a B.C. practitioner apply for a permit without providing their Alberta certification, please direct them to AOWMA to complete
jurisprudence testing prior to applying to the Administrator for certification. AOWMA can be contacted by phone at 780-
489-7471 or by fax at 780-486-7414.
If you have any questions about this process, please contact Alf Durnie, Private Sewage Systems Administrator / Chief
Inspector, or Tyler Wightman, Policy Advisor with the Public Safety Division, at 1-866-421-6929.
Partners e-Newsletter
Please pass this information on to colleagues and if you are have not done so, sign up for the Partners e-Newsletter by
following this link! http://www.safetycodes.ab.ca/default.aspx?PageID=1003 or use the links at the top or bottom of this
newsletter.

Appendix C - Porcupine County Plumbing and Gas Permit Application
Form

Appendix D - Completed Plumbing Permit Application Form

Appendix E - Notice of Building Permit, Version 1

Appendix E – (Continued) - Version 2

Course 100075
July 2009
CUSTOMER SERVICE and OTHER RESPONSIBILITIES
BAND E
CUSTOMER SERVICE and OTHER OFFICE RESPONSIBILITIES
BAND E
TABLE OF CONTENTS
Module E-1 ............................................................................................................ Page 205

Describe Good Customer Service
Module E-2 ............................................................................................................ Page 213

Deliver Good Customer Service
Module E-3 ............................................................................................................ Page 227

Answer Frequently Asked Questions
Module E-4 ............................................................................................................ Page 235

Deal with Applicant Complaints
Module E-5 ............................................................................................................ Page 251

Explain Meetings and Proper Meeting Behaviour

MODULE E-1
DESCRIBE GOOD CUSTOMER SERVICE

RATIONALE
Knowing what customer service means and the principles of good customer service will help you
to better assist applicants with their permit requirements.
LEARNING OUTCOMES
At the conclusion of this module you will be able to describe customer service and the principles
of good customer service.
INTRODUCTION
This module is the first of a series of five modules that deal with customer service and other
office responsibilities for Permit Issuers.
This first module will help you understand what is meant by “customer service”. You will also
learn the principles of good customer service.
ENABLING OBJECTIVES
1. Describe Customer Service.
2. Describe the Principles of Good Customer Service.
PREREQUISITES
Module D-4, “Permit Application Outcome”
module.

ACTIVITY GUIDE
E-1, OBJECTIVE #1
Describe customer service.
Answer Key.
Module E-2.

LEARNING MATERIAL
INTRODUCTION
The Need for Customer Service
As consumers, we all need some degree of customer service. However, at a Permit office, the
nature of the business is such that every customer needs service.
For those who have the necessary forms and payment ready, the level of customer service
required may be a quick review of their application and a simple smile while processing their
transaction and accepting payment. For those who are not prepared, or who do not understand
the requirements of the safety codes system, the service required may take a lot of time and
effort. In either case, the customer wants to feel that they have received good customer service.
Describe Customer Service

Customer service is the art of interacting with the people who come to you for service. Permit
applicants and permit holders are not customers in the traditional sense, but in many ways your
business with them is like a transaction with a customer. They come to you seeking a specific
product, a permit. Some will know exactly what they need, while others will need your help to
determine exactly what they need, and what is required from them to receive it. The manner in
which you interact with your clients while identifying and helping to fill their needs is the
customer service you provide.
Issuing permits has aspects that distinguish it from more common types of customer service.
Your clients have no choice but to come to you, and some may resent that fact. Also, your
primary responsibility is to the safety codes system, not to please the customer. Finally, every
transaction requires personal interaction with a customer.
The success of those transactions revolves largely around how well customers are being served,
based on the customer‟s perception of the quality of service.
In other words, it is not how well you think applicants are being treated; it‟s how well they feel
they are being treated.

Describe the Principles of Customer Service
Following the principles of good customer service can go a long way to ensuring that
interactions with your clients remain pleasant and efficient. Keep the following principles in
mind for each transaction you perform:
The customer is entitled to the best possible service – this includes being courteous, friendly and
helpful.
The customer deserves to be served with respect and care and attention to detail – although they
may seem similar, each customer transaction is different and needs to be treated that way.

E-1, SELF-TEST #1
1. List the principles of good customer service.
a. ___________________________________________________________
___________________________________________________________
b. ___________________________________________________________
___________________________________________________________
2. How is permit issuing different from more common types of customer service?
a. ___________________________________________________________
___________________________________________________________
___________________________________________________________
b. ___________________________________________________________
___________________________________________________________
___________________________________________________________
c. ___________________________________________________________
___________________________________________________________

E-1, ANSWER KEY
MODULE E-1 SELF-TEST #1
1. a. The customer is entitled to the best possible customer service.

b. The customer deserves to be served with respect and care and attention to detail.
2. a. Permit applicants have no choice but to come to you, and may resent that fact.
b. Maintaining the integrity of the safety codes system comes before pleasing the
customer.
c. Every transaction requires personal interaction with the customer.

MODULE E-2
DELIVER GOOD CUSTOMER SERVICE

RATIONALE
Delivering good customer service will help the application process run more smoothly, improve
the workplace environment and improve the morale of workers and applicants alike.
LEARNING OUTCOMES
At the conclusion of this module you will be able to deliver good customer service.
INTRODUCTION
This module is the second of a series of five modules that deal with customer service and other
In it, you will learn to apply the principles of good customer service in delivering service to
permit applicants.
ENABLING OBJECTIVES
1. Deliver good customer service.
PREREQUISITES
Module H-1, “Describe Good Customer Service”
module.

ACTIVITY GUIDE
E-2, OBJECTIVE #1
Deliver good customer service.
Answer Key.
Module E-3.

LEARNING MATERIAL
DELIVER GOOD CUSTOMER SERVICE
Delivering good customer service is a matter of treating the customer with respect. When you
treat permit applicants in the manner in which you would like to be treated, they respond by
treating you with respect.
Some key points to remember are to:
be polite;
listen to the customer – be an active listener;
use positive body language;
use good communication skills;
use exceptional phone skills;
be approachable; and
follow up with your customer.
Be Polite
Being polite to your customers shows them that you respect them and that you are glad to have
their business.
Saying “No” to a customer can be difficult, but it is often necessary because you cannot always
give customers what they want. They will ask for services that are not available or that are not
allowed. When you have to say no to a customer, do so politely, and honestly. Explain to the
customer that following Safety Codes Act requirements and your jurisdiction‟s policy are
mandatory. Tell him or her that you have no choice in the matter.
Listen to the Customer – Use Active Listening
From an applicant‟s point of view, nothing is worse than taking the time to explain what he or
she wants and then finding that the permit issuer has not been listening. Using the following
active listening techniques will let applicants know that you are really listening and trying to
help them.
The five steps involved in active listening are:
1. Be ready to listen – have a pen and paper handy, or make sure that your computer is on
the proper screen for beginning the application process.

2. Be ready to take notes – use this method when appropriate. During a phone call, let the
customer know you are making notes. This reassures him or her that you are getting the
important points.
3. Show you are listening – for in-person contacts, use body language (direct eye contact,
attentive stance, nod your head). On the phone, use attentive words such as “I see” or “I
understand”.
4. Ask questions – for clarification and to understand a customer‟s needs or concerns.
5. Restate what has been said – don‟t repeat it; instead, put what has been said in your own
words. Capture the main points. This technique gives your customer the opportunity to
correct your understanding of the situation if necessary.
ACTIVE LISTENING – QUESTIONING TECHNIQUES
Active listening is also a questioning technique, where you, as the listener, demonstrate attention
to the speaker by asking the following types of questions or making the following types of
statements:
Encouraging – used to convey interest and to keep the person talking – for example,
“Can you tell me more?”
Clarifying – used to make the meaning of what is said clear and/or to obtain more
information – for example, “Are you living in the house at the moment?”
Restating – used to show that you are listening and understand what is being said – for
example, “So, as I see it, you want a permit for a house you own but are not living in. Is
that correct?”
Reflecting statement – used to show that you understand how the speaker feels – for
example, “It seems that you‟re very frustrated that the contractor told you to apply for
the permit yourself.”
Summarizing statement – used to review progress; to pull important ideas, facts and
feelings together and to establish a basis for further discussion – for example, “So, if I
understand correctly, you need to get a permit by the end of the week to have the work
finished on time.”
Validating statement – used to acknowledge the worth of the speaker and their feelings –
for example, “I can see why you would be upset.”
Review the table below as an aid for improving your active listening skills.

Question or Statement Purpose What to do Examples
Type
Encouraging 1. To convey interest 1. Don't agree or 1. Can you tell me
2. To encourage the disagree more?
other person to 2. Use neutral words 2. What happened
keep talking 3. Use varying voice next?
intonations
Clarifying 1. To help you clarify 1. Ask questions 1. Are you saying ...?”
what is said 2. Restate wrong 2. ”Would you say
2. To get more interpretation to more about that?”
information force the speaker to 3. ”What does that
3. To help the speaker explain further look like?”
see other points of
view
Restating 1. To show you are 1. Restate basic ideas 1. "I thought I heard
listening and and facts to you say..."
understanding what demonstrate your 2. "So you would like
is being said understanding to know more
2. To check your about marketing
understanding and strategies. Is that
interpretation right?"
3. "We may need to
check this out
further..."
Reflecting 1. To show that you 1. Reflect the 1. “You seem very
understand how speaker's basic bothered by the
the person feels feelings plant’s safety
2. To help the person statistics.”
evaluate their own
feelings after
hearing them
expressed by
someone else
Summarizing 1. To review progress 1. Restate major ideas 1. "These seem to be
2. To pull together expressed including the key ideas you've
important ideas feelings expressed..."
and facts
3. To establish a basis
for further
discussion
Validating 1. To acknowledge the 1. Acknowledge the 1. "We appreciate
worth of the other value of their issues your willingness to
person and feelings delve into this
2. Show appreciation difficult issue."
for their efforts and 2. "I think I
actions understand why
you'd be confused."
Table H-1: Active Listening Guide

ACTIVE LISTENING – USE POSITIVE BODY LANGUAGE
Creating a positive image through your body language will help you to communicate with
applicants and inspire customer confidence in you. To create a positive image through body
language:
Stand Straight and Relax – Keep your head up and smile. Relax, and keep your arms free of
tension. This will give applicants the impression that you are used to listening and confident in
your job.
Show Animation – Use your hands while you speak. Being animated helps the listener stay
interested in what you are describing.
Pay Attention – Look as though you are paying attention when spoken to. Nodding your head
occasionally and making positive remarks will let applicants know that you are interested in
what he or she is saying.
Make Eye Contact – Try not to meet the applicant‟s eye for too long, as prolonged eye contact
may be misinterpreted as aggressive behaviour. Remember that in many cultures, all eye contact
is seen as aggressive or dominating. If someone seems uncomfortable with eye contact, it may be
better to avoid it.
Use Decisive Movements – The more you appear to be in charge, the more confident your
applicants will be in your ability to do the job.
Use Good Communication Skills

The way in which you communicate with your applicants is the key to delivering first-class
customer service.
The first thing you need to do when starting with an applicant is to establish a rapport with him
or her. Use his or her name and title (e.g. Mr Allen, Ms Singh). If the applicant gives you
permission to use his or her first name, do so.
You also need to make it easy for the applicant to communicate with you. This can be done by
keeping the following points in mind:
Don‟t use industry jargon or acronyms with applicants. It may make them
uncomfortable and they may not understand what you mean.
Be friendly. Give applicants the type of service that you enjoy receiving. Smile (even if
your customer is on the phone – it will show in your voice).
Appear confident and competent. Applicants will want to deal with you because you
inspire confidence.

Good communication also involves being able to see things from the applicant‟s point of view.
This is called being empathetic and is an excellent way to understand your customer‟s problem
or concern and help them solve it. Show sincere concern for applicants and respond with a sense
of urgency. They will appreciate it.
Finally, good communication means paying attention to the applicant‟s rate and style of speech.
Some people, for example the elderly, may speak at a slower rate or may have difficulty hearing.
Others may not speak English that well and may not understand complex language. Speak at a
moderate pace and use clear, straightforward language.
USE EXCEPTIONAL PHONE SKILLS

The telephone is a key first-line-of-contact for any office. Applicants use the phone to find out
what services you provide, to complain, and to compliment a service person on the service
they‟ve received (this last point happens, but not as often as it should).
Four essential telephone skills used in customer service are:
Answering phone calls – but don‟t ignore the customer at your counter;
Be the only voice the applicant hears;
Transferring the applicant‟s call; and
Putting the applicant on hold.
Answering Phone Calls
Answer the phone pleasantly and professionally. Identify yourself and your office location. Be
courteous and efficient.
Listen to what the applicant has to say and be sure you thoroughly understand the purpose of his
or her call. Respond as well as you can. If there is information that you do not have at the
moment, let the client know that you‟ll need some time to get the information and that you will
call them back. Then, make sure you do.
When the phone rings and an applicant is at your counter, what do you do? The simple answer
is: serve the applicant in front of you first. After all, that person has taken the time to come into
the office. He or she deserves to be served first. This shows that you respect the applicant and
value his or her time.

Be The Only Voice The Applicant Hears
Applicants appreciate it when they can deal with just one person to answer their needs. It makes
things simple for them. They are likely to be more satisfied when the first person they speak to is
the ONLY person they have to speak to. In fact, some will insist that they not be transferred to
another person. When this happens:
Stay on the line with the caller – find out what he or she wants and then solve the
problem. This may mean putting the applicant on hold while you talk to someone with
the answers, but it will still be you that the he or she is dealing with, and that‟s what is
important.
If you need time to find answers:
o collect as much information as you can and tell the caller that you will call back;
and
o find the solution, get as much information for the applicant as you can and call
him or her back.
Applicants will appreciate your efforts on their behalf.
Transferring the Applicant’s Call
Transferring an applicant‟s call is sometimes necessary. For example, the applicant may need
specialised, complicated information from a Safety Codes Officer. However, not all applicants
are comfortable with this practice and some see it as a way of being avoided.
When transferring a client‟s call:
State what you can and cannot do – try to turn a negative into a positive and let the
applicant know that you are acting on his or her behalf.
Avoid the word transfer – it sounds as though you are trying to get rid of the applicant.
Instead say, “Let me put you in touch with…” or “I‟ll let you speak to…”. Tell the
applicant why you are transferring their call.
Pass along applicant information – tell the person to whom you are transferring the call
the applicant‟s name and briefly explain the nature of the call.
Stay on the line – introduce the applicant to the next employee if possible. Make sure
that the transfer was successful.
Whenever possible, do not transfer applicants to someone‟s voicemail. They may feel as if they
are being ignored. If you must do so, let the applicant know they are being transferred to voice
mail.

Putting the Applicant on Hold
For some people, the only thing worse than being transferred is being put on hold. They worry
that they are being put off while the person who answered their call is looking after someone else
or is simply choosing to ignore them in hopes that they will hang up.
The best solution is not to use the hold button at all. Answer their questions and try to solve the
problem. If you need some time to find a solution, ask for a number where the applicant can be
reached, find the information they require, and then call him or her back.
If you cannot solve the applicant‟s problem or can only find some of the information needed, call
him or her and let them know what you have done. That way, the client knows you‟ve been
working on a solution and will appreciate the news.
If you must put an applicant on hold:
Ask him or her if you may do so.

o Always ask, “Will you hold?” or “May I put you on hold while I …?”
o Wait for the applicant‟s response before pushing the hold button.
Get back to the applicant within 45 seconds.

o Give a brief update on what you‟ve found out.
Thank the applicant for holding.
Offer to call back rather than putting the applicant on hold again.
o Give the applicant a time frame for when to expect your call (e.g. ten minutes, by
1:30, etc).
Be Approachable
Nothing says bad customer service more than when an applicant is ignored. Be approachable.
Let applicants know that you are ready, willing and able to help them by smiling and saying, “I
can help you here.”
This is especially important in a busy office where applicants have had to wait for a while.

Activity
Think about a time when you have been the customer received poor service. Answer the
following questions and be prepared to share your answers with the rest of the class.
What happened?
How did you feel?
How could the person serving you have made your experience better?

E-2, SELF-TEST #1
1. What type of active listening statement is the following an example of?
“So, as I see it, you would like to know more about obtaining an electrical permit. Is that
right?”
a. Restating
b. Reflecting
c. Encouraging
d. Clarifying
2. What are reflecting statements used for?
a. They show that you understand how the speaker feels.

b. They search for clarification.
c. They draw out information.
d. They review what has been said.
3. Why is it important to avoid the use of industry jargon and acronyms when
communicating with a customer?
a. You could give away industry secrets.

b. The customer will just take up more of your time.
c. The customer may not understand what you mean.
d. They limit customer involvement.
4. When making eye contact with a customer, why is it important to keep the contact for a
short period of time only?
a. Lengthy contact would show too much enthusiasm.

b. The customer would consider it overly friendly if eye contact lasted too long.
c. A longer time would cause neck strain.
d. Eye contact may be considered aggressive behaviour if held for a long time.
5. What should you do when you answer the phone?
a. State the time of day.

b. Wait until the third ring.
c. Identify yourself and the office for which you work.
d. Screen calls using voicemail.

6. It has been a busy day at the office and applicants have been waiting in line for up to 20
minutes. An applicant approaches your counter and utters, “Finally”. Just then, the phone
rings. What should you do?
a. Pick up the phone and deal with that applicant quickly.

b Serve the applicant at your counter first.
c. Answer the phone and serve both applicants at the same time.
d. Bang the receiver on the counter.

E-2, ANSWER KEY
1. a. Restating
2. a. They show that you understand how the speaker feels.
3. c. The customer may not understand what you mean.
4. d. Eye contact may be considered aggressive behaviour if held for a long time.
5. c. Identify yourself and the office for which you work.
6. b Serve the applicant at your counter first.

MODULE E-3
ANSWER FREQUENTLY ASKED QUESTIONS

RATIONALE
Knowing the answers to questions that are frequently asked by applicants is an important tool in
providing good customer service. Knowing the limits of your expertise is also essential.
LEARNING OUTCOMES
At the conclusion of this module you will be able provide the answers to frequently asked
questions and identify situations where you should refer questions to someone else.
INTRODUCTION
This module is the third of a series of five modules that deal with customer service and other
In it, you will learn how to deal with a variety of questions asked by applicants.
ENABLING OBJECTIVES
1. Answer frequently asked questions.
2. Identify questions you should not answer.
PREREQUISITES
Module E-2, “Deliver Good Customer Service”
module.

ACTIVITY GUIDE
E-3, OBJECTIVE #1
Answer frequently asked questions.
Answer Key.
Module E-4.

LEARNING MATERIAL
ANSWER FREQUENTLY ASKED QUESTIONS
Here is a list of common questions that are frequently asked by permit applicants:
When do I need a permit?

What other permits do I need?
Who should apply for the permits, me or my contractor?
What services do I get with my permit?
Can I build my garage on a slab?
Do I need a permit for my new residential furnace?
When dealing with customers‟ questions, always remember that Permit Issuers need to be very
careful when giving out information about codes and technical specifications unless you have
received specific training for this task. It requires knowledge and experience not only to know
the answers, but also to identify the information you need to provide an answer.
Now, let‟s take a few minutes to look at the answers to these questions.
When do I need a permit?
A variety of provincial regulations govern when you need a permit. This may also vary with
specific circumstances surrounding your project. Generally speaking, whenever building or
renovating a structure, you will require one or all of the following permits: Building, Electrical,
Gas, Plumbing and/or Private Sewage .
I know I need a building permit, but what other permits do I require?
Depending on the nature and scope of your project, you may also require partial permits and
electrical, gas, plumbing and private sewage permits.
Who should apply for the permits? Should it be me or my contractor?
If you have hired contractors to do the work, the contractors will usually obtain the permits.
However, as an owner, you are responsible for ensuring that proper permits are obtained,
regardless of who the permit applicant is for any residential construction or installations. If you
are doing the work yourself, you should obtain the permit provided you are the owner and you
live or will be living at the premises (some restrictions may apply).
Any commercial electrical, plumbing, gas, or private sewage work requires that a certified
contractor obtain the permit.
What services do I get with my permit?
Services may include, but are not limited to, a plans review and report, technical advice, site
inspections and reports and a final status report (Permit Services Report).
I am building a garage; can I build it on a slab?
Maybe, or maybe not. This is a question that Permit Issuers should refer to Safety Codes
Officers. Although it appears straightforward - a garage can usually be built on a slab providing
it is no larger than 55 square meters – you really do not have enough information to answer it.
For example, what if the applicant plans to build a two storey garage with a residential suite or
office on the second floor?
I require a new residential furnace, do I require a permit?
Again, this question is more complicated than it appears. The easy answer is that if you have to
make alterations to your gas piping and/or venting, you will require a gas permit. However, the
Alberta Building Code contains code items relating to residential furnace installations. A
building permit might also be required.
As you can see, technical and code-related questions are often more complicated than they first
appear. Unless you have special training, these questions should always be referred to a Safety
Codes Officer. As a Permit Issuer, you have access to specialists and other technical resources.
Part of your skill set is knowing when to use them.

E-3, SELF-TEST #1
1. When a contractor has been hired to perform renovations on a home prior to it being put
up for sale, who is responsible for obtaining the permit?
a. the owner
b. the contractor
c. the real estate agent
d. the buyer
2. Which of the following questions should you refer to a Safety Codes Officer?
a. What is the difference between a Development Permit and a Building Permit?

b. Who should apply for this permit?
c. How can I appeal your decision?
d. Do I need a permit for my deck?

E-3, ANSWER KEY
1. b. the contractor
2. d. Do I need a permit for my deck?

MODULE E-4
DEAL WITH COMPLAINTS

RATIONALE
For those with customer service-related duties, the difficult customer is an unavoidable part of
the job. Knowing why some people are difficult and how to deal with them satisfactorily is
important in keeping both the customer and the customer service provider happy.
LEARNING OUTCOMES
At the conclusion of this module you will be able to describe effective techniques for dealing
with applicant complaints and for calming an angry applicant.
INTRODUCTION
This module is the forth of a series of five modules that deal with customer service and other
In it, you will learn about dealing with applicant complaints and about how clients feel when
things do not go the way they had anticipated. You will learn how to help them, explain what it
is they need to do, and to explain that there are only certain things that you can do as described
by the Safety Codes Act and jurisdictional policies. You will also learn some techniques for
calming down an angry applicant.
ENABLING OBJECTIVES
1. Deal with applicant complaints.
2. Describe techniques for calming an angry applicant.
PREREQUISITES
Module E-3, “Answer Frequently Asked Questions”
module.

ACTIVITY GUIDE
E-4, OBJECTIVE #1
Deal with customer complaints.
Answer Key.
next objective.

LEARNING MATERIAL
DEAL WITH CUSTOMER COMPLAINTS
Difficult Customers
For Permit Issuers, some applicants are unhappy about coming to the office before they enter it.
Why? Because, unlike other customer service experiences, they MUST come to a Permit Office
in order to have their needs met.
Some applicants will resent the office because it is an agent of the government, and they simply
resent the government.
Others will be unhappy because they are being told to pay for something that they see as a
personal right (e.g. having to apply for a permit to build a garage on their own property).
Other reasons that applicants become difficult include:
a transaction that did not go as expected (e.g. they do not qualify for the permit);
customers having the impression that they have been treated wrongly;
applicants thinking that they have been treated with indifference or have been ignored
completely; or
applicants not understanding why so much documentation must be produced.
You may encounter difficult applicants in person or on the phone. They may be difficult at the
beginning of your transaction or become that way if things do not go 100% their way while you
are dealing with them.
In either case, you still have to deal with them, and it is important that you do so in the right way.
Dealing with Difficult Applicants
When applicants are upset, their emotions come into play. They can become difficult, frustrated
and quick to anger. At this point, they do not respond to logic. In fact, trying to use logic will
most likely make them angrier.
There are six steps you can use to diffuse an applicant‟s anger and move toward solving the
problem. They are:
1. Stay calm – relax, take a deep breath. Getting excited will not help the situation.
Remember, you are a professional.
2. Let the applicant vent – Listen carefully and let him or her know that you are listening,
but don‟t interrupt. Let the applicant finish before saying anything.
3. Deal with the applicant‟s emotions first – acknowledge his or her emotions.
Let him or her know that you understand that they are angry.
Restate what he or she has said.
Empathize with the applicant and show genuine concern (this is not the same as
agreeing with him or her).
Identify the problem and make that the real issue – not the applicant‟s anger.
Ask the applicant for more information.
4. Avoid emotional trigger phrases. These are words or phrases that applicants do not want
to hear as they usually have a negative connotation. Instead, use a calming phrase. The
table on the following page offers some suggestions.
5. Gently set limits with abusive applicants – make sure your voice sounds like you want to
help. Use the applicant‟s name if you know it. If the abuse continues or becomes physical,
walk away and get help.
6. Delay action and get a second opinion – sometimes, you and the applicant will need a “time
out”. By delaying action, you are taking a few minutes to let both of you settle down. Use
this only as a last resort.
Let the applicant know that you are taking the issue to a higher level.
Get back to the applicant as promised – if necessary, bring your manager or
supervisor or a Safety Codes Officer into the discussion.
If your applicant calms down any time during these six steps, move toward solving the problem.

Emotional Trigger Phrases Calming Phrases
Don’t say: Say:
It’s not our policy… Here’s what we can do…
Can’t … Can…
Sorry… Thank you…
But… And…
You should have… I can understand why you…
Why didn’t you… I can see why…
The only thing we can do… I think the best option…
No, I don’t know… I can find out…
Table H-2: Avoiding Trigger Phrases

E-4, SELF-TEST #1
1. An applicant who is emotionally upset does not respond to:
a. indifference.
b. interruptions.
c. anger.
d. logic.
2. What type of phrase would likely begin “you should have…” ?
a. calming
b. emotional trigger
c. instigating
d. supportive
3. What type of phrase might begin with “here‟s what we can do…”
a. calming
b. emotional trigger
c. instigating
d. supportive

ACTIVITY GUIDE
E-4, OBJECTIVE #2
Describe techniques for calming an angry applicant.
Answer Key.
Module E-5.

LEARNING MATERIAL
TECHNIQUES FOR CALMING AN ANGRY APPLICANT
Difficult applicants are not necessarily nasty or angry people. In fact, they are most likely just
like any other person. But, because the transaction is not going the way they expected, they
become difficult. Calming a difficult applicant down is really a matter of:
1. Treating the applicant with respect

2. Identifying the problem
3. Empathizing with the applicant
4. Building rapport with the applicant
5. Resolving the problem
1. Treat the Applicant with Respect
Show respect for the applicant regardless of what is said. The applicant is usually emotionally
involved in the problem and may make remarks about your office, the government and perhaps
even about you. Don‟t allow yourself to be drawn into the problem. Instead, take control of the
situation.
How? Unlike the applicant, you are not angry, you are in control, and your only problem at the
moment is helping the applicant with the problem.
If you move yourself out of this position and start reacting to the applicant in an emotional way,
you'll lose control of the situation and it will likely escalate.
The easiest way to show respect is to listen to the applicant. Make sure that you look and sound
as though you are listening. More often than not, once the applicant has had an opportunity to
vent his or her frustration, it will die down a little. This is when you take the opportunity to
explore what has happened, identify the problem and work toward a solution.
So, when faced with a difficult applicant, start out thinking, "No matter what, I will respect this
person."
Now that you have decided how to deal with the applicant, it‟s time to learn why he or she is so
upset.

2. Identify the Problem
Sometimes, while the angry applicant is venting, you'll be able to understand the problem
because it's clear-cut. For example, he or she was not aware of the documentation requirements
for a permit, did not know that additional permits were also required, or that there was an
additional fee for a particular service.
At times like these, you need to talk to the applicant and explain that there are strict laws
regarding what you may and may not do.
This information usually forces the applicant to think about facts instead of feelings. You now
have a chance to begin a more rational conversation.
The next step is to restate the problem to ensure that you‟ve got it right. This also shows the
applicant that you have been listening. He or she will either agree with what you‟ve said or
explain further so that you understand. Either way, you will come away with a clear idea of what
is wrong.
3. Empathize with the Applicant
Using empathy is an effective way to deal with how the applicant is feeling. This does not mean
that you have to agree with him or her. Rather, it is showing that you accept what they are
feeling and recognize that those feelings are valid.
Be careful of saying that you know how the applicant feels unless you have been in a very
similar position yourself. It is better to tell him or her that you understand that she is upset and
that you want to work on solving the problem. Use phrases such as:
I can see why you are upset.

I know you‟re disappointed.
I see what you mean.
Your empathy must be an honest and genuine response to be effective. If not, it may appear
patronizing and will further upset the applicant.

4. Build a Rapport with the Applicant
Now that you‟ve identified the problem and calmed the applicant by being empathetic, it‟s time
to bring yourself into the picture by building a rapport with him or her. Put yourself onside with
the applicant. For example, telling him or her, “I understand how you feel” shows empathy.
Saying, “I understand how you feel. I don‟t like it when surprises happen.” shows the applicant
that he or she is not alone.
Remember, there‟s only so much that you can do to help applicants with their permit
requirements, but you can help an upset applicant to calm down.
5. Resolve the Problem

The final step is to find a solution if one is available. Unlike other customer service businesses,
you cannot offer the applicant an alternate product or a discount. The best you can do is to
remain calm, explain what needs to be done next and give him or her any additional information
that will help them.
For example, suppose an applicant wants to subdivide a lot and build a new home on the new
subdivision. When you tell her that she will need to apply for a development permit and a
building permit as well as a number of other permits, she becomes upset, claiming that no one
told her about that and she needs to have this done now. The best thing you can do is to calmly
explain that the law requires her to have these permits and you cannot change that. Then, let her
know your office hours and tell her how long it will take to process her applications. This
solution may not be what the applicant had in mind, but the information you have given her will
help solve her problem.
WHAT TO DO WHEN AN APPLICANT INSISTS ON SPEAKING WITH A

MANAGER
There are some applicants for whom speaking with a Permit Issuer is just not enough. They want
to speak with the manager. The best thing you can do in such a situation is to let them do just
that – if it‟s possible. But, before you involve your manager, there are some things you can do to
help the situation go smoothly.
On the Phone
Acknowledge the applicant‟s request – “Certainly” or “Yes, of course.”

Ask for information about the nature of the problem before you direct the call to the
manager.
Transfer the call to the manager – but only after ensuring that he or she can take the call
and that you have given the manager the information you have collected from the
applicant. Avoid transferring the call to voice mail.
If the manager is not available, try handling the call yourself – after assuring the
applicant that you can help.
In Person
Ask the applicant to wait while you go and get the manager – then go get the manager.
Tell your manager everything you know before he or she meets the applicant, including:
The applicant‟s name
The nature of the problem
What has been done to this point
Remember: Don‟t leave anything out
Offer a solution – managers don‟t like problems, they want solutions
Stay with your manager and LISTEN – do not interrupt or speak unless asked to. The
applicant does not want to feel that he or she is being ganged up on.
When There Is No Manager
In smaller municipal offices in particular, there may be no manager. Applicants demanding a

“manager” are generally often seeking a second opinion; preferably one they see as having a
higher status. You may be able to satisfy the applicant by explaining that as the only Permit
Issuer in your jurisdiction, you have the authority to make all necessary decisions and should be
able to help them. Alternately, you might offer to transfer the applicant to a Safety Codes
Officer, if the issue is technical, or to a government official who could explain that you are
responsible for the permitting process.
If the above solutions are not available to you or if the applicant refuses them, explain the
situation, tell the applicant what options are available and leave the decision to them. For
example, you might tell the applicant that you are the only one who can help them, offer to do
so, and explain that if they are not satisfied with your decision they may appeal it to the Safety
Codes Council.
SAYING “NO” TO AN APPLICANT
We have all heard the old saying, “The customer is always right”. And, while it may apply in
most customer service-oriented businesses, it does not apply to Permit Issuers.
Applicants are sometimes poorly informed or poorly prepared when they come to a permit office
and cannot complete the business they intended. They may insist that they are right, that they
weren‟t told all of the requirements, that the rules don‟t make sense, or that they have a lot of
money invested in a project and had better be served.
Despite your best efforts to explain that they are wrong, the simple answer to those demands is
“No”.

When you must say no to an applicant:
deal with emotions first – let the applicant vent;

establish the facts – listen, ask questions for clarification if necessary;
say no in a way that lets the applicant know that you mean it;
explain why you cannot do what the applicant is asking you to do;
offer what help, additional information or advice you can;
remember that you must provide information about the appeal process when a permit is
refused; and
treat the applicant fairly and with respect.

E-4, SELF-TEST #2
1. What is the best thing to do when you have to say no to an applicant?
a. Assign blame to the government.

b. Explain why you cannot do what the customer is asking you to do.
c. Blame the applicant.
d. Trivialize the applicant‟s issue.
2. An applicant who is applying for a building permit becomes upset when you tell him he
will also have to apply for a development permit. Which of the following responses
shows empathy with the applicant?
a. It‟s no big deal, just fill out another application.

b. There‟s no point yelling at me, you should have known about it.
c. Hey, there‟s nothing I can do about it.
d. I can see you are upset, but you do need both permits.
3. When a Permit Issuer tells an applicant that he understands why she is upset because he
has had a similar experience, what is the Permit Issuer doing?
a. avoiding blame
b. identifying a problem
c. building a rapport with the applicant
d. assigning responsibility
4. Which of the following is a good strategy to use to identify an applicant‟s problem?
a. Ask specific questions about the problem.

b. Defend policy and argue with the applicant.
c. Blame the applicant for the problem.
d. Explain that the situation is normal.
5. When you are faced with an applicant with a problem or complaint, what should you do
right from the start?
a. Ignore the applicant.

b. Distract the applicant so that they forget about the problem.
c. Treat the applicant with respect, no matter what happens.
d. Pretend that you are busy with another applicant.

E-4, ANSWER KEY
1. d. logic
2. b. emotional trigger
3. a. calming
1. b. Explain why you cannot do what the customer is asking you to do.
2. d. I can see you are upset, but you do need both permits.
3. c. building a rapport with the applicant
4. a. Ask specific questions about the problem.
5. c. Treat the applicant with respect, no matter what happens.

MODULE E-5
EXPLAIN MEETINGS and PROPER MEETING BEHAVIOUR

RATIONALE
Meetings are an important part of the way any office operates. Meetings are where information is
shared, plans are made and performance is reviewed. Knowing the reasons for meetings, how to
prepare for them and what is expected of you will make those meetings more meaningful.
LEARNING OUTCOMES
At the conclusion of this module you will be able to describe the purpose of meetings and the
expectations of employees around preparation for, and attendance at, meetings.
INTRODUCTION
This module is the last of a series of five modules that deal with customer service and other
In it, you will learn about meetings and the expectations of employees regarding attendance at
meetings.
ENABLING OBJECTIVES
1. Describe the need for meetings and what is expected of employees regarding preparation
and attendance.
PREREQUISITES
Module H-4, “Deal With Complaints”
module.

ACTIVITY GUIDE
E-5, OBJECTIVE #1
Describe the need for meetings and what is expected of employees regarding preparation and
attendance.
Answer Key.

LEARNING MATERIAL
WHY ARE MEETINGS NECESSARY?
Business meetings are an important function in any organization. They take time and use
valuable resources. For example, a meeting of ten people whose time is valued at $30 per hour
costs $5.00 a minute. It is important the business of the meeting be done, but with an eye to
saving time and cost.
Effective meetings should begin with a clearly defined, detailed agenda. Meeting goals should be
articulated to all those invited. Participants should be invited because they need to know about
the information that will be discussed or because they may make valuable contributions and can
move the meeting to its expected result. Every meeting should have an agenda which is given to
the participants well in advance of the meeting. The agenda outlines:
the time and place of the meeting;

times for specific meeting tasks;
participant responsibilities or assignments; and
minutes from a previous meeting if necessary.
The Purpose of Business Meetings
The reasons for holding a business meeting are fairly standard, and meetings rarely address only
one issue. The following are examples of different types of business meetings and an explanation
of their purpose:
Communication meetings provide information to a group that requires instruction or

awareness for their work. These meetings also build team spirit, provide a forum for
two-way communication and immediate feedback, and can be used to develop plans.
Team Building meetings are critical for establishing and maintaining working
relationships, even though this is seldom the only purpose of the meeting. These
meetings help team members to understand and appreciate individual strengths and
behaviour.
Problem solving meetings bring together people with the talent and experience to solve a
problem and develop solutions. They can often have innovative results.
Goal setting meetings are important for an organization or project group that needs to
agree on a purpose. They are not held very often, but they are important to establish
direction.
Training meetings are well-prepared and managed to provide an effective learning

event.
Prepare to Attend a Meeting
Whether you are the person who has organized the meeting or someone who has been asked to
attend, you should be prepared to attend and to contribute.
You should:
Know the purpose of the meeting.

Know your purpose for attending the meeting.
Gather all data that you need to bring to the meeting.
Read the agenda and ensure your agenda coincides with it.
Know your role and the path that you are going to follow.
Arrive on time and be prepared to stay until at least the planned stop time.
Above all, take the meeting seriously, but do have some fun while attending.
Attend a Meeting
Meetings are important business functions that should not be used as social occasions. It is easy
to become distracted or involved in a sideline conversation. However, this wastes valuable time.
When you are asked to attend a meeting, remember to:
Stay focused on the agenda topics. Do not wander off topic or become distracted.
Contribute in a meaningful manner – say something only if it is worth saying and will
add to what is being said at the meeting.
Ask questions if you need to – meetings are held to share information.
Listen – you can miss important information if you lose your focus.
Take notes – especially on action items that are assigned to you. Review your notes later
and ask for clarification when necessary.
Be professional.
Behave in an appropriate manner:
o Be polite.
o Use appropriate language.
o Turn off your cell phone.
o Avoid eating during the meeting.

E-5, SELF-TEST #1
1. What type of meetings provide information to a group that requires instruction or

awareness for their work?
a. Communication
b. Team Building
c. Problem Solving
d. Goal Setting
2. What type of meetings are important for a company or a project group that needs to agree
on a purpose?
a. Communication
b. Team Building
c. Problem Solving
d. Goal Setting
3. What type of meetings are critical for establishing and maintaining working relationships.
a. Communication
b. Team Building
c. Problem Solving
d. Goal Setting
4. What should a meeting agenda include?
a. __________________________________________________________
b. __________________________________________________________
c. __________________________________________________________
d. __________________________________________________________

E-5, ANSWER KEY
1. a. Communication
2. d. Goal Setting
3. b. Team Building
4. a. the time and place of the meeting

b. times for specific meeting tasks
c. participant responsibilities or assignments
d. minutes from a previous meeting


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Permit Issuers

Alberta Regulation (204/2007)

The Safety Codes Council hereby disclaims:

(a) any implied warranty for a particular purpose and

SAFETY CODES COUNCIL © 2009

Suite 1000, 10665 Jasper Avenue, Edmonton, Alberta T5J 3S9

v1.00 Published September 2009

Maggie Burch Leduc County

Required Reference Resources

Along with the course materials, the following resource is provided:

The Uniform Quality Management Plan.

The Safety Codes Act;

Access the Queen‟s Printer online at:

After completing this course, you should be able to:

Describe the Development of the Safety System and Current Legislation;

BAND A – DESCRIBE ALBERTA’S SAFETY SYSTEM AS ESTABLISHED BY THE

Module A-1 ................................................................................................................ Page 1

Module A-2 .............................................................................................................. Page 15

BAND B – PERMITTING SYSTEM

Module B-1 .............................................................................................................. Page 71

Module B-2 .............................................................................................................. Page 91

Module B-3 .............................................................................................................. Page 99

Module B-4 ............................................................................................................ Page 107

Module B-5 ............................................................................................................ Page 117

BAND C – PERMIT PROBLEMS

Module C-1 ............................................................................................................ Page 127

Module C-2 ............................................................................................................ Page 135

Module C-3 ............................................................................................................ Page 143

BAND D – COMPLETING A PERMIT APPLICATION

Module D-1 ............................................................................................................ Page 151

Module D-3 ............................................................................................................ Page 179

Module D-4 ............................................................................................................ Page 189

BAND E – CUSTOMER SERVICE AND OTHER RESPONSIBILITIES

Module E-1 ............................................................................................................ Page 205

Module E-2 ............................................................................................................ Page 213

Module E-3 ............................................................................................................ Page 227

Module E-4 ............................................................................................................ Page 235

Module E-5 ............................................................................................................ Page 251

APPENDICES AND REFERENCES

Appendix A – Uniform Quality Management Plan ................................................ Page 38

Appendix B – Partners Newsletter 02/04/09 ........................................................ Page 198

Appendix D – Completed Application Form ........................................................ Page 200

Appendix E – Notice of Building Permit – 2 versions ......................................... Page 201

ALBERTA REGULATION (204/2007)

DESCRIBE ALBERTA’S SAFETY SYSTEM as

Module A-1 ................................................................................................................ Page 1

Module A-2 .............................................................................................................. Page 15

APPENDICES AND REFERENCES

Appendix A – Uniform Quality Management Plan ................................................ Page 38

DESCRIBE the DEVELOPMENT the SAFETY SYSTEM

Permit Issuers, Alberta Regulation (204/2007)

Permit Issuers, Alberta Regulation (204/2007)

1. Study the learning material. Pages 4 – 6

Permit Issuers, Alberta Regulation (204/2007)

THE EVOLUTION OF PUBLIC SAFETY LEGISLATION IN ALBERTA

1897 – Steam Boiler Ordinance

1904 – Electrical Inspections

1917 – Electrical Workers Protection Act

Permit Issuers, Alberta Regulation (204/2007)

The province assumed jurisdiction over electrical inspections.

1942 – National Building Code

1952 – Electrical Installations in Oil Fields

1957 – Red Book and Gas Protection Branch

1968 – Master Electrician