Filing Manual - Chapter 1 - Introduction

1.1 BACKGROUND

The National Energy Board's (NEB or the Board) purpose is to promote safety, security, environmental protection and economic efficiency in the Canadian public interest through its regulation of pipelines, energy development and trade as mandated by Parliament. As a result, companies regulated by the National Energy Board Act (NEB Act) are required to obtain the Board's approval to, among other things:

  • add new facilities or modify or abandon existing facilities;
  • export or import oil and gas products; and
  • set tolls and tariffs.

When seeking approval, applicants must submit applications or information filings (collectively referred to as filings) to the Board that are complete and that enable the Board to:

  • evaluate the overall public good that the request can create as well as its potential negative aspects;
  • weigh the various impacts; and
  • make an informed decision that balances, among other things, the economic, environmental and social interests at that point in time.

While it is ultimately the responsibility of the applicant to make its case before the Board, this manual has been developed to provide direction regarding the information the Board would typically expect to see addressed in a filing. The goal is to provide applicants with a clear definition of the Board's expectations for complete filings. Complete filings should allow the Board to carry out more consistent assessments with fewer information requests and therefore, shorten timelines required to make a decision.

As will be seen in the detailed requirements, in the process of assessing proposed projects, the Board uses a risk-oriented approach to evaluate issues, considering the probability and consequence of potential issues.

The contents within this document are based on the requirements outlined within the National Energy Board Rules of Practice and Procedure, 1995 (Rules). It is the Board's expectation that applicants will use this document to the extent necessary. Checklists of all the filing requirements (summarized) are included in Appendix I. The Board encourages applicants to submit completed checklists with each application. The Board may consider making the inclusion of the checklists mandatory in the future.

1.2 PURPOSE

This manual is designed to:

  • assist NEB-regulated companies to identify the instances where a filing is necessary, pursuant to the NEB Act and NEB regulations;
  • outline the Board's responsibilities pursuant to the Canadian Environmental Assessment Act (CEA Act);
  • outline the filings needed for most applications within the jurisdiction of the NEB; and
  • provide guidance as to the type of information the Board would typically need to make a decision.

Where a project does not appear to be addressed by this manual, the applicant is encouraged to contact the NEB for assistance.

This manual is not explicitly applicable to:

  • oil and gas activities regulated under other Acts for which the Board has responsibility, e.g., the Canada Oil and Gas Operations Act and the Canada Petroleum Resources Act;
  • international and designated interprovincial electric power lines; or
  • offshore pipelines.

Any party requiring NEB approval for these activities can refer to this manual for some guidance; however, it does not provide a comprehensive list of requirements for their filings.

1.3 ORGANIZATION

This manual is organized to easily identify the information required for each type of filing that is being made. In addition to the introductory information provided in Chapter 1, this manual is divided into the following chapters:

  • Chapter 2 describes how to use this manual and includes a flowchart that applicants can use to determine what elements are required in their filing.
  • Chapter 3 is the initial chapter for all applications and identifies the information which must be addressed in every application. After completing the requirements of Chapter 3, the applicant must then determine whether to proceed to Chapter 4 (physical projects) or Chapter 5 (non-physical projects).
  • Chapter 4 identifies the information required for physical project applications.
  • Chapter 5 identifies the information required for non-physical project applications.
  • Chapter 6 identifies the information required for filings other than applications.
  • Chapter 7 lists the NEB documents referenced throughout this manual.
  • Appendix I includes the filing requirement checklists which applicants are encouraged to complete and submit with each application.

1.4 CONTENT STRUCTURE

The Filing Manual has been designed to assist applicants to clearly understand the information and level of detail required for a filing. It is presented in a format similar to the NEB's Onshore Pipeline Regulations, 1999 (OPR) and OPR Guidance Notes with:

  • a goal statement that clarifies the purpose of providing the information;
  • filing requirements that specify the information details that are needed;
  • a guidance section that provides direction regarding, for example, the level of detail, potential issues and information references; and
  • grey boxes that provide direction to help determine if further information is required or not.

1.5 CONFIDENTIAL FILING

Sections 16.1 and 16.2 of the National Energy Board Act

In respect of a filing related to:

  • Any regulatory proceeding (i.e. applications filed under the NEB Act or any other public hearing process under the NEB Act);
  • Matters related to condition compliance where the condition is a "for approval" condition of the Board; or
  • Any other matter where there is significant third party interest;

an applicant may request that the NEB treat that filing as confidential, in accordance with section 16.1 of the NEB Act. In order for such a request to be successful, the NEB must be satisfied that the filing meets the conditions set out in subsection 16.1(a) or subsection 16.1(b) of the NEB Act.

Where a request to treat filing as confidential is due to a potential risk to the security of a facility, applicants may apply under section 16.2 of the NEB Act. In order for such a request to be successful, the NEB must be satisfied that the filing meets the conditions set out in section 16.2, and that the filing was made:

  • in respect of any order of the Board made under the NEB Act;
  • in any regulatory proceeding (i.e. applications filed under the NEB Act or any other public hearing process under the NEB Act);
  • in respect of a matter relating to condition compliance where the condition is a “for approval” condition of the Board; or
  • any other matter where there is significant third party interest.

Applicants for all requests made pursuant to section 16.1 or section 16.2 of the NEB Act must provide:

  1. A cover letter containing the request and reasons for the requests, as well as a summary of the nature of the information to be treated confidentially;
  2. If possible, a redacted version of the filing (which does not contain the information requested to be kept confidential); and
  3. Three unredacted copies of the filing that the applicant requests to be kept confidential. The filings must be provided via hand delivery, ordinary mail, registered mail or courier to the Secretary of the Board in a double sealed envelope under confidential cover.

If the NEB is satisfied that the filing meets the conditions set out in subsections 16.1(a) or 16.1(b) or in section 16.2, it may take measures that it considers necessary. One such measure is that only select NEB staff and Members responsible for the consideration of the filing would have access to the information, and the information would not be available to the public. The Board may also issue an order for rulings made pursuant to section 16.1 or 16.2.

Security Organization and Administration Standard

In respect of filings which are unrelated to:

  • regulatory proceedings;
  • matters relating to condition compliance where the condition is a "for approval" condition of the Board; or
  • any other matter where there is a significant third party interest;

such filings may be designated in accordance with the Security Organization and Administration Standard. The NEB protects sensitive information under its control in accordance with this standard. In order for a filing to be classified in accordance with this standard, it must be considered sensitive. That is, if it was compromised, it could reasonably be expected to cause injury outside the national interests, for example, damage to an individual's reputation. Applicants may wish to provide information which may assist the NEB in classifying a filing pursuant to the Security Organization and Administration Standard. Further information about the standard, particularly in regards to the levels of designation contained in the standard, can be obtained by viewing the standard online at: http://www.tbs-sct.gc.ca/pol/doceng.aspx?id=12333&section=text

Note: The Board will continue to treat all Emergency Response Manuals in accordance with the Security Organization and Administration Standard, even if treatment is not specifically requested. Therefore, no specific information is necessary for the filing of Emergency Response Manuals where such a filing is made in the following circumstances:

  • outside of a regulatory proceeding (and where there is no significant third party interest); or
  • condition compliance where the condition is not a "for approval" condition of the Board.

Emergency Response Manuals being filed in the course of a regulatory proceeding, or during condition compliance where the condition is a "for approval" condition of the Board, or during any other matter where there is significant third party interest, must be accompanied by a request that the NEB treat a filing as confidential pursuant to section 16.1 or 16.2 of the NEB Act.

1.6 PREVIOUSLY FILED MATERIAL

If an applicant wishes to refer to documents previously filed with the Board (e.g., company manuals, programs, standards or procedures) and those documents are still current, rather than resubmitting the documents, the applicant may:

  • indicate when, under what circumstances and under what Board file number (if known) the information was filed;
  • identify the version of the document referenced to indicate that it matches the previously filed version; and
  • identify the section of the document being referenced (if applicable).

1.7 PRE-APPLICATION MEETINGS GUIDANCE NOTES

Applicants may request a pre-application meeting to clarify filing requirements with the NEB. The Pre-Application Meetings Guidance Notes describe the process for requesting a meeting.

1.8 UPDATES

It is the Board's intent to update this document on a scheduled basis and when updates are necessary. The Board would appreciate any comments readers might have with respect to the content, usability or other matters associated with this document that could assist with future updates and revisions.

All comments may be directed to the Board by:

E-mail: filingmanual@neb-one.gc.ca

Facsimile: Secretary at 403-292-5503

Mail:

Secretary
National Energy Board
444 Seventh Avenue SW
Calgary, Alberta
T2P 0X8

The Board will communicate its future revision process and schedule and any interim updates at www.neb-one.gc.ca.

1.9 SECURITY

In April 2005, the NEB Act was amended to explicitly include "security" within the Board's mandate. With that amendment, the Board is responsible for regulating the security of the energy infrastructure under its jurisdiction.

Under the National Energy Board's 'Proposed Regulatory Change (PRC-2010-01), the National Energy Board (Board) is proposing an amendment to both the National Energy Board Onshore Pipeline Regulations, 1999 and National Energy Board Processing Plan Regulations (collectively "the regulations"). The proposed amendment which will apply to the regulations, is meant to replace PRC 2006-01 and now references CSA Z246.1-09, Security Management for Petroleum and Natural Gas Industry Systems. The PRC 2010-01 is in effect as of 1 April 2011. Prior to the amendments to the regulations, the new PRC will form the basis of the Board's interim expectations regarding pipeline security programs, and requires companies to develop, document, implement and maintain a security program that is in accordance with CSA Z246.1- 09.

It is the Board's expectation that a security program be systematic, comprehensive and proactive in managing security risks and will be appropriately integrated into a company's overall management system to provide for safe and secure practice in the design, construction, operation and maintenance of a pipeline system.

CSA Z246.1-09 provides a framework to protect energy infrastructure from malicious damage through risk-based and performance based management processes. The standard allows users to make decisions based on their internal assessment of the risks. While the requirements of the Standard are applicable to all regulated companies regardless of their size, the Board recognizes that a security program will vary depending on factors such as type, size, location and criticality of the assets being protected. CSA Z246.1-09 was developed to be scalable, ensuring it may be used by small operators as well as large companies.

1.10 MEASUREMENT, CONVERSION FACTORS AND COMMODITY DESCRIPTION

Where possible, the Board would prefer that information within applications be presented in the International System of Units (SI), although it is helpful to include the imperial equivalent as well.

The following conversion factors should be used:

  • millimetre (mm) = 0.0394 inches
  • metre (m) = 3.28 feet
  • kilometre (km) = 0.62 miles
  • cubic metre (m3) = 35.3 cf
  • cubic metre = 6.29 bbl
  • kilopascal (kPa) = 0.145 psi

If other conversion rates are used, indicate this fact and provide the rates used.

Gas

For gas volumes, market requirements, estimates of reserves, and productive capacity estimates will be at a temperature of 15oC and an absolute pressure of 101.325 kPa. Gas composition should be expressed in mole percent, and the heating value of the gas should be expressed in megajoules per cubic metre (MJ/m3). Volumes are requested to be in metric units as cubic metres (m3) and production rates as cubic metres per day (m3/d). The imperial equivalent would be cubic feet (cf) and cubic feet per day (cf/d) respectively.

Liquids

Descriptions of crude oil and equivalents will include, at a minimum:

  • classification of the crude oil;
  • specific gravity;
  • sulphur content upon which the classification is based; and
  • other properties when they are important to the design of the facilities or third party interests, for example:
    • viscosity or water content could be important to the design of the facilities; or
    • impurities could be of concern to third parties if more than one product is transported on the same pipeline.

Natural gas liquids (NGL) composition should be expressed as a percent and vapour pressure will be at a specified temperature.

Descriptions of refined hydrocarbons must include the type of product and any properties that might be important to the design of the facilities or third party interests.

All other liquid commodities must be described in sufficient detail for the NEB to understand the nature of the commodity and how it might affect the design of the proposed facilities or third party interests.

All liquids volumes, with the exception of NGL and cryogenic liquids, will be submitted as the volume such product would occupy at a temperature of 15oC and an absolute pressure of 101.325 kPa, unless otherwise stated in the application. For NGL and cryogenic liquids, the temperature and pressure at which the submitted volumes are measured will be provided.

Liquid volumes are requested to be expressed as m3 and production rates as m3/d. The imperial equivalent would be in barrels (bbl) and barrels per day (bbl/d), respectively.

1.11 FILING WITH THE NATIONAL ENERGY BOARD

Parties who have the ability to file documents electronically are expected to file documents through the Board's electronic document repository at www.neb-one.gc.ca. Any person who has the ability to access documents through the repository must accept service of a notification that the document is in the repository rather than requiring a hard copy of the document be served.

For more information about filing electronically, please refer to the "Filers Guide to Electronic Submission" and the "Memorandum of Guidance on Electronic Filing". Both of these documents are available on the Board's Internet site at www.neb-one.gc.ca. Please note that e-mails are not considered electronic filing and will not be accepted in a hearing.

The Board's electronic document repository will contain the full text of only those documents filed electronically (following the procedures mentioned above) and in hard copy. When documents are filed by hard copy or facsimile, the Board will undertake to file the documents on the submitters behalf. However, in some cases, the Board may choose to create an electronic placeholder for documents too large to submit electronically to the repository. In cases such as this, it will not be possible to view or search these documents. T hey will be made available for viewing in the Board's library.

Companies are reminded not to file their security documents electronically. For further information please refer to the"National Energy Board Security Advisory - NEB SA 2007-03 Security Sensitive Documents".

If you are filing an application by hard copies, you must file 25 copies. If you file electronically, one hard copy must be subsequently filed[2]. The hard copy must have attached to it a signed copy of the Electronic Filing Receipt that the system will return to the filer upon receipt of the electronic document. Please file your completed application with the NEB and address it to:

Secretary
National Energy Board
444 Seventh Avenue SW
Calgary, AB T2P 0X8
Telephone: 403-292-4800
Facsimile: 403-292-5503

[2] There is an exception to this requirement for export order applications filed in the Online Application System.

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Date Modified:
2011-10-28