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Filing Manual - Chapter 3 - Common Information Requirements

While each application is unique, the Board expects to see the following common elements:

  • a description of the action being sought by the applicant;
  • a description of the purpose of the application;
  • details regarding consultation activities and outcomes; and
  • details regarding notification made to commercial third parties.

The following sections describe these common information requirements. For further details on information required in applications, see Chapter 4 and Chapter 5.

3.1 ACTION SOUGHT BY APPLICANT

Goal

The application states the request being made and what action is being requested of the Board.

Filing Requirements

Section 15 of the Rules requires the following information in an application:

15.(1) Every application shall

(a) contain a concise statement of the relevant facts, the provisions of the Act or any regulations made under the Act under which the application is made and the nature of, and justification for, the decision or order sought;

(b) contain, in addition to the information that is required by the Act and any regulations made under the Act, any other information that explains or supports the application, including information referred to in published policies and guidelines of the Board; and

(c) set out the name, address, telephone number and any other telecommunications numbers of the applicant and the applicant's authorized representative, if any.

(2) Every application shall be divided into consecutively numbered paragraphs, each of which shall be confined as nearly as is practicable to a distinct portion of the subject-matter of the application.

Guidance

Applicants must, in addition to looking at the Filing Manual, have regard to the NEB Act and regulations relevant to the filing for direction on what needs to be included.

3.2 APPLICATION OR PROJECT PURPOSE

Goal

The application provides clearly articulated reasons for the application.

Filing Requirement

Provide a description of the purpose of the proposed project.

Guidance

Explain the reason for the application, including a discussion of the need that would be addressed by the project.

3.3 CONSULTATION

The Board expects applicants will consider consultation for all projects. Depending on the project scope, that could mean carrying out a very extensive consultation program or a very simple program such as notifying a single landowner. Applicants are responsible to justify the extent of consultation carried out for each application.

The following information is required within the application:

  • principles and goals of the consultation program;
  • design details of the consultation program; and
  • outcome of implementation of consultation.

Each of these information requirements is discussed in further detail in the following sections.

If a consultation program will not be implemented, an explanation is also required.

3.3.1 Principles and Goals of the Consultation Program

Goal

The application outlines the corporate policy or vision with respect to consultation and the principles and goals that guide the applicant's consultation for the specific project.

Filing Requirements

Provide an overview of the company's consultation philosophy, which should include, but not be limited to:

  • the corporate policy or vision with respect to consultation.
  • the principles and goals established for the consultation program; and
  • a copy of the Aboriginal consultation protocol, if established, along with any documented policies and principles for collecting traditional knowledge or traditional use information, if applicable.

Guidance

When establishing principles and goals for a consultation program, consider that the Board expects a consultation program will, at a minimum:

  • be initiated as soon as possible in the planning and design phase of a project;
  • provide clear, relevant and timely information to potentially affected persons or groups;
  • be accessible to and inclusive of all potentially affected persons or groups;
  • be responsive to the needs, input and concerns of potentially affected persons or groups; and
  • continue throughout the regulatory process, as well as the construction and operation phases of a project.

When consultation includes Aboriginal groups, consider establishing a consultation protocol in collaboration with these groups that takes into consideration their needs and cultural elements.

3.3.2 Design of the Consultation Program

Goal

The application indicates why the design of the consultation program is appropriate for the nature of the project.

Filing Requirement

Provide a description of the consultation program design including the factors that influenced the design.

Guidance

Project-Specific Consultation Program

Develop a project-specific consultation program. At a minimum describe the:

  • potentially affected persons or groups to be consulted, including:
    • local residents and land users;
    • government authorities; and
    • Aboriginal groups;
  • potential information needs of the persons or groups;
  • the process by which potentially affected parties can comment to the Board before the Board makes its decision;
  • methods and timing of consultation;
  • procedure for responding to issues and concerns; and
  • plans for future consultation and follow-up throughout the operations phase of a project, which may include activities such as public awareness programs, continuing education and consultation with persons regarding proposed operations that may potentially affect them.
Design Factors

Consider the following factors, where appropriate, in the consultation program design:

  • the nature, magnitude and aereal extent of the project;
  • the potential environmental and socio-economic effects of the project;
  • potential broad impacts of the project that may extend beyond the project boundaries (e.g., noise and air emissions);
  • all registered and non-registered interests held in the lands that may be affected by the project, which may include individuals or organizations identified through the consultation process;
  • the specific or distinct needs of various potentially affected persons and groups;
  • the location of Indian reserve lands, Métis settlements and traditional territories;
  • existing local community concerns or sensitive issues that may be exacerbated by the project;
  • the availability of emergency services;
  • the compatibility of the project with current land use and zoning;
  • the proximity of the project to urban centres;
  • alternatives to the project and their potential impacts on persons and groups; and
  • any other relevant factors not included in this list.
Government Authorities

Ensure the appropriate government authorities (local, provincial and federal) are included in the consultation process. In some cases, regulatory approval from another authority will be required. Contact that authority to determine their information requirements.

Table 3-1 (located at the end of Chapter 3) while not exhaustive, identifies federal authorities that might need to be contacted for certain projects. The list is intended for assistance and guidance only - applicants are responsible for obtaining all necessary approvals for any project. The Board accepts no responsibility for the accuracy or completeness of this list.

3.3.3 Implementing a Consultation Program

Goal

The application describes the results of the public consultation conducted to-date for the project, in sufficient detail to demonstrate:

  • that all parties potentially affected by the project are aware of: the project, the project application to the Board, and their right to comment to the Board before the Board makes its decision;
  • that those potentially affected by the project have been adequately consulted, and
  • that any concerns raised have been considered, and addressed as appropriate.

Filing Requirement

Provide confirmation that the information provided to potentially affected parties described:

  • the Applicant's intention to apply to the Board for approval of its project, and
  • how they can raise outstanding application-related concerns with the Board before the Board makes its decision on the application.

Describe the outcomes of the consultation program conducted for the project, including, but not limited to:

  • the persons or groups consulted;
  • the methods, dates and locations of consultation activities;
  • the information that was distributed to persons or groups, which in most cases will include:
    • the location, starting and ending points, route and main components of the project;
    • a map or maps at appropriate scale that show all major components of the project, the routing of the project, the location of proposed facilities such as pump and compressor stations, and the location of any major towns, roads, water bodies or other landmarks in the area of the project;
    • the proposed timing and duration of construction;
    • the potential environmental and socio-economic effects of the project and how those effects will be addressed;
    • how public safety will be addressed;
    • the emergency response information;
    • how comments or concerns raised by potentially affected persons or groups will be addressed throughout the consultation process;
    • how interested persons can participate further in the consultation process;
    • company contact information;
    • the proposed timing of filing the application with the Board; and
    • a copy of the NEB brochure, A Proposed Pipeline or Power Line Project - What You Need to Know- 2011;
  • a summary of the comments and concerns expressed by potentially affected persons or groups;
  • a summary of the response made regarding each of the concerns or comments, including:
    • the measures taken, or that will be taken to address those concerns or an explanation of why no further action is required to address the concerns or comments; and
    • the methods and dates that the response was made to the person(s) who raised the concern(s);
  • how outstanding concerns will be addressed;
  • how input from persons or groups has influenced the design, construction or operation of the project;
  • details regarding discussions with Aboriginal groups, which includes each of the items listed above and:
    • the identity of all Aboriginal groups contacted, how they were identified, when and how they were contacted and who was contacted;
    • any relevant, non-confidential written documentation regarding consultations;
    • any concerns about the project raised by Aboriginal groups that you have discussed with any government department or agency, including when contact was made and with whom; and
    • if you are aware of any involvement of the Crown in consultations with the Aboriginal groups with respect to the project, describe the Crown involvement; and
  • the details and results of the consultation undertaken with all persons who may be affected by any changes to the project.

Guidance

Notice To Those Potentially Affected

The Applicant should provide confirmation of adequate notice by providing a description of:

  • the process by which potentially affected parties can comment to the Board before the Board makes its decision; and
  • the methods and timing of notification and consultation.

The Applicant should maintain records and be prepared to further demonstrate the adequacy of the notice that was provided to all potentially affected parties.

See Guidance in 3.3.2.

For consultation programs that could involve a large number of people, it might not be practical to list all individuals that were consulted. It may be more practical to describe the main groups and why they are identified. For example, where a group has a common concern or association, describe:

  • the group;
  • their location;
  • their common concern; and
  • the authority of any representatives of the group.
Consultation Methods

Communicate the project information in a format and manner that is appropriate to the audience. Determine the means of communicating project information in conjunction with the potentially affected persons or groups, if possible.

Consultation methods can include:

  • project brochures, either mailed or hand delivered;
  • periodic newsletters;
  • advertisements in local newspapers;
  • radio spots;
  • a project Web page;
  • telephone calls;
  • open house meetings;
  • project questionnaires;
  • facility tours;
  • on-site meetings;
  • personal visits; or
  • workshops.
Concerns

To close the loop in consultation activities and address concerns before they become complaints, the Board expects applicants to:

  • seek to understand the full nature of concerns expressed by persons or groups;
  • consider the feasibility of any mitigation proposed by persons or groups to address those concerns;
  • respond to concerns; and
  • work with persons or groups to jointly resolve concerns.
Identifying Aboriginal Groups

Aboriginal groups potentially affected by the project can be identified by:

  • considering the location of Indian reserve lands, Métis or other Aboriginal populations, and the traditional territory that may be claimed by one or more Aboriginal groups;
  • contacting regional Aboriginal organizations or government agencies familiar with local Aboriginal groups; and
  • taking into consideration past experience working in the area.

Consider augmenting the application with local and traditional knowledge and integrating the information and knowledge, where appropriate, into the design of the project. Where local and traditional knowledge is obtained, provide an opportunity for the individual who provided the information to confirm the interpretation of the information and how it was used in the project design.

3.3.4 Justification for Not Undertaking a Consultation Program

Goal

The application provides justification of why it was not necessary to carry out a consultation program with respect to the proposed project.

Filing Requirement

Explain why a consultation program was considered unnecessary.

Guidance

A consultation program might not be necessary if the applicant can demonstrate that one or more of the following scenarios applies:

Equivalent Consultation Program

In the event that the project has been the subject of an equivalent consultation process carried out under the auspices of another agency, or conducted by another company or agency:

  • describe the alternative consultation program;
  • provide evidence that this program identified the project that is being applied for and its potential impacts; and
  • demonstrate that this alternative program meets the requirements of this section of the manual.

For example, where a road widening requires that an existing NEB-regulated pipeline be relocated, the responsible transportation authorities might conduct a consultation program for the road widening that includes consultation regarding the relocation of the pipeline. The pipeline application would then include a description of this consultation program and how it meets the requirements of this manual.

No or Negligible Environmental or Socio-economic Effects

Applicants will be conducting environmental and socio-economic assessments of the project in accordance with the requirements of the NEB Act, the CEA Act and this manual (see Guide A within Chapter 4).

Through this assessment process, applicants will determine the potential adverse effects of the project. If the project's potential environmental and socio-economic effects are negligible, a public consultation program might be unnecessary. A project with negligible effects might exist where the following conditions are met:

  • the proposed project is of a small scale and is localized;
  • all construction is to occur on previously disturbed land;
  • the land acquisition process is complete and landowner concerns have been addressed;
  • there are no residents near the proposed project;
  • no other land uses or interests would be affected;
  • there is no potential for traditional use activities to be affected by the project;
  • there is no potential for cumulative environmental effects; and
  • there would be negligible environmental effects associated with construction and operation of the project.

Additional information...

Be sure to demonstrate how any environmental and socio-economic effects of the project are negligible.
Facilities within Company Owned or Leased Lands

The application is a facilities application that relates to:

  • work contained within the confines of land the applicant owns or leases (not including land upon which the applicant holds an easement only), except where those facilities or activities:
    • relate to an increase in the storage or disposal of toxic substances;
    • could result in increased noise emissions;
    • could result in increased emissions of air contaminants; or
    • could result in local nuisance, including the potential for increased dust or traffic.
Other Scenarios

A consultation program may not be feasible if

  • additional acquisitions required to support the day-to-day operations of a pipeline or international power line (e.g., standby plant, or materials and supplies); or
  • work performed as part of a contingency project such as emergency repairs.

3.4 NOTIFICATION OF COMMERCIAL THIRD PARTIES

Notification of commercial third parties is normally required when the outcome of the application will affect such matters as:

  • tolls or tariffs;
  • the ability of third parties to receive, transport or deliver commodities; and
  • supply, transportation or sales contracts.

The Board must be assured that all commercial third parties who could be affected by the decision are aware of the application and have had the opportunity to comment should they wish to do so.

Goal

The application includes evidence that all interested commercial third parties that could be potentially affected by the outcome of the application have been advised of the application.

Filing Requirements

1. Confirm that all commercial third parties who could potentially be affected in any way by the outcome of the application have been notified and include:

  • the method used to notify those parties; and
  • when the parties were notified.

2. Provide details regarding the concerns of third parties. This might include:

  • confirmation that no concerns were raised;
  • confirmation that concerns raised have been resolved; or
  • a list of the commercial third parties who have outstanding concerns and a discussion of their unresolved concerns.

3. List the self-identified interested third parties and confirm they have been notified.

4. Provide an explanation in the event that notification of commercial third parties was considered unnecessary.

Guidance

Identifying Commercial Third Parties

Commercial third parties include those who could be directly or indirectly commercially affected by the outcome of an application. This should include shippers and could also include commodity suppliers, end users and other pipelines. The following are examples of when to consider certain commercial third parties to be affected by an application:

  • consider all shippers to be affected parties requiring notification of all tolls and tariff applications filed pursuant to Part IV of the NEB Act and all applications that could significantly affect tolls or tariffs;
  • consider all shippers, suppliers and end users to be affected parties when the outcome of the application would significantly affect service on the pipeline; and
  • consider operators of competitive facilities, whether regulated by the NEB or not, to be affected commercial third parties when the outcome of the application could reasonably be expected to have a significant adverse impact on their operations.

Third parties involved in physical construction activities (e.g., contractors, material vendors, consultants) or that supply food and accommodation would not normally be considered to be affected commercial third parties.

Notification

Inform the commercial third parties that an application has been, or will be, submitted to the NEB and provide a brief description. Notification should normally be done no later than the filing date of the application with the NEB. A copy of the application may be provided with the notification, be provided upon request or may constitute notification.

When determining the level of detail in the notification, consider the:

  • scope of the project;
  • potential impact on commercial third parties;
  • nature of any concerns raised by commercial third parties; and
  • resolution of concerns raised.

In general, the greater the scope of the project and the potential impact on commercial third parties the more information would be required. Further, more detailed information would normally be required when concerns have been raised by commercial third parties and remain unresolved at the time of filing.

Where the outcome of the application could affect specific commercial third parties, notify the individual parties. However, where a group with similar interests might be affected, such as western Canada producers or a group of end users, the applicant may choose to notify a recognized organization representative of the group such as the Canadian Association of Petroleum Producers or the Industrial Gas Users Association.

Concerns

Where concerns have been raised and resolved, include a discussion of the resolution when it would assist the NEB in making a decision. When providing a list of unresolved concerns, provide any other information that would assist the NEB to understand the issues, including a discussion of any attempts to reach agreement, such as a summary of the consultative process that was used prior to filing the application.

Self-identified, Interested Third Parties

Self-identified, interested third parties refers to third parties who have indicated to the applicant that they have an interest in the application or one or more types of applications filed with the NEB.

Whether any commercial third parties could be affected by the application or not, the NEB expects that the applicant will notify all self-identified interested third parties.

When Notification is Not Required

Notification might not be required if the outcome of the application is not expected to result in any significant impacts on commercial third parties, for example:

  • facilities applications for routine operational maintenance and repair where:
    • access to facilities might be temporarily interrupted during construction, but service will not be interrupted; or
    • the toll impact would be immaterial or considered to be a routine adjustment in a negotiated tolls agreement;
  • applications for construction on an owner-operated pipeline where the owner is the sole shipper;
  • applications concerning crossing matters, leave to open, deviation, change in class location or right of entry that would not affect tolls or the operation of the pipeline; and
  • applications to change the name of a pipeline owner that does not involve the sale of the pipeline or a change in operation.

The requirements for consultation, described in Section 3.3 - Consultation, continue to apply even if it is decided there are no commercial third parties to notify of an application.

Next Steps

Table 3-1:
Other Potential Federal Contacts

Project Considerations Contact
Does the project occur in a National Park or National Historic Site or is it likely to affect a National Park or National Historic site? Parks Canada Agency
Is the project likely to take place on, involve dredge or fill operations in, draw water from or discharge water to a historic canal administered by and operated by Parks Canada?

Parks Canada Agency
Public Works and Government Services
Is the project likely to affect Indian reserve lands? Indian and Northern Affairs Canada
Will the project occur on lands in the Yukon or the Northwest Territories that are under the control, management and administration of Indian and Northern Affairs and require the issuance of a Class A or Class B permit? Indian and Northern Affairs Canada
Is the project likely to result in international air pollution? Environment Canada
Is the project likely to result in the deposition of materials into the marine environment? Environment Canada
Does the project occur in a wildlife area as defined in the Wildlife Area Regulations? Environment Canada
Could the project affect wildlife species at risk or their critical habitat or the residences of individuals of those species?

Environment Canada
Fisheries and Oceans Canada
Parks Canada Agency

Is the project likely to result in:

  • killing, capturing, taking or possessing a migratory bird or its nest or eggs;
  • collecting eiderdown or depositing oils or other harmful substance in areas frequented by migratory birds;
  • an effect on migratory bird habitat within a bird sanctuary; or
  • the release of a species of bird not indigenous to Canada?
 Environment Canada
Will the project affect the natural flow of an international river (i.e., water flowing from any place in Canada to any place outside Canada) or affect the actual or potential use of that river outside Canada? Environment Canada
Is the project likely to result in the release of a deleterious substance? Environment Canada
Is the project likely to affect wetland function? Environment Canada
Fisheries and Oceans Canada
Parks Canada Agency
Is the project likely to affect the navigability of a water body or does it involve removing or destroying a wreck or abandoned vessel found in a water body? Transport Canada
Is the project likely to affect fish or fish habitat, affect the quantity or quality of water available for fish, or result in the destruction of fish by means other than fishing? Fisheries and Oceans Canada
Is the project likely to affect the operation of a railway company or property owned or leased by a railway company, or require the installation of telephone, electricity, telegraph or other wire services for a railway facility?

Canadian Transportation Agency

Transport Canada if Railway Safety Act is involved
Will the project result in cutting timber or constructing roads in a Federal Forest Experimental Area? Natural Resources Canada
Does the project involve producing or holding explosives in a magazine? Natural Resources Canada
Does the project involve replacing or repairing a bridge? Public Works and Government Services

 

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Date Modified:
2011-10-28