Chapter 4906-5 Certificate Applications

4906-5-01 Preapplication conference.

An applicant considering construction of a major utility facility or wind farm may request a preapplication conference with the board staff prior to submitting an application. The results of such conference(s) shall in no way constitute approval or disapproval of a particular site or route, and shall in no way predetermine the board's decision regarding subsequent certification or approval.

Effective: 05/07/2009
R.C. 119.032 review dates: 11/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03 , 4906.20
Rule Amplifies: 4906.03 , 4906.13 , 4906.20
Prior Effective Dates: 12/27/76, 6/10/89, 8/28/98, 12/13/03, 1/25/09

4906-5-02 Letter of notification and construction notice application requirements: form, content, and processing.

(A) A letter of notification shall be submitted for those projects listed under "letter of notification application (BLN) required" in appendix A or B of rule 4906-1-01 of the Administrative Code, or where otherwise directed by the board or its representatives. If a project falls under the requirements of both a"letter of notification application (BLN) required" and a "construction notice application (BNR) required" in appendix A or B to rule 4906-1-01 of the Administrative Code, a letter of notification application shall be filed.

(1) A letter of notification shall be filed not less than sixty-three days before planned commencement of construction. A letter of notification for which the applicant requests expedited processing shall be filed not less than twenty-eight days before planned commencement of construction. For good cause shown, such sixty-three or twenty-eight day time period may be waived by the board, its executive director, or an administrative law judge.

(2) The information contained within the letter of notification shall contain the information requested by rule 4906-11-01 of the Administrative Code.

(3) If the board does not act upon a letter of notification or any waiver requests filed with it within sixty-three days of the filing date, the letter of notification and/or waiver requests shall be deemed automatically approved, subject to any conditions contained in the board's staff report, on the sixty-fourth day after the filing date. If the board does not act upon an expedited letter of notification or any waiver requests filed with it within twenty-eight days of the filing date, the expedited letter of notification and/or waiver requests shall be deemed automatically approved, subject to any conditions contained in the board's staff report, on the twenty-ninth day after the filing date. Upon good cause, the board, its executive director, or an administrative law judge assigned by the board may suspend consideration of a letter of notification for up to ninety days. At the expiration of such time period, the letter of notification shall be deemed automatically approved unless the board, its executive director or the administrative law judge orders otherwise during the suspension period. If the board, its executive director, or an administrative law judge assigned by the board acts to suspend a letter of notification, the board, its executive director, or an administrative law judge will:

(a) Docket its decision and notify the applicant of the reasons for such suspension and may direct the applicant to furnish any additional information as the board, its executive director, or the administrative law judge deems necessary to evaluate the letter of notification.

(b) If no time period is specified, act to approve or deny the letter of notification within ninety days from the date that the letter of notification was suspended.

(c) At its discretion, set the matter for hearing.

(4) Applicants who file letters of notification with the board may commence construction of projects reported in such letters upon the approval by the board. If a continuous course of construction has not commenced within two years of the letter of notification approval date, the board's approval of the letter of notification project shall automatically expire. After the expiration of the board's approval, the applicant must submit the project for approval under the board's rules that exist at that time to commence construction.

(5) Applicants shall file a notice with the board at least seven days in advance of beginning construction of the involved letter of notification project if construction will begin on a different date from that contained in the application.

(6) Applicants shall file a notice with the board within seven days following completion of the involved letter of notification project.

(B) A construction notice shall be submitted to the board for any project listed under "construction notice application (BNR) required" in appendix A or B to rule 4906-1-01 of the Administrative Code, or where otherwise directed by the board or its representatives. If a project falls under the requirements of both a"letter of notification application (BLN) required" and a "construction notice application (BNR) required" in appendix A or B to rule 4906-1-01 of the Administrative Code, a letter of notification application shall be filed.

(1) A construction notice shall be filed not less than forty-two days before planned commencement of construction. A construction notice for which the applicant requests expedited processing shall be filed not less than twenty-one days before planned commencement of construction. For good cause shown, such forty-two or twenty-one day time period may be waived by the board, its executive director, or an administrative law judge.

(2) The information contained within the construction notice shall include the information requested by rule 4906-11-02 of the Administrative Code.

(3) If the board does not act upon a construction notice or any waiver requests filed with it within forty-two days of the filing date, the construction notice and/or waiver requests shall be deemed automatically approved, subject to any conditions contained in the board's staff report, on the forty-third day after the filing date. If the board does not act upon an expedited construction notice or any waiver requests filed with it within twenty-one days of the filing date, the expedited construction notice and/or waiver requests shall be deemed automatically approved, subject to any conditions contained in the board's staff report, on the twenty-second day after the filing date. Upon good cause, the board, its executive director, or an administrative law judge assigned by the board may suspend consideration of a construction notice for up to sixty days. At the expiration of such time period, the construction notice shall be deemed automatically approved unless the board, its executive director, or the administrative law judge orders otherwise during the suspension period. If the board, its executive director, or an administrative law judge assigned by the board acts to suspend a construction notice, the board, its executive director, or an administrative law judge will:

(a) Docket its decision and notify the applicant of the reasons for such suspension and may direct the applicant to furnish any additional information as the board, its executive director, or the administrative law judge deems necessary to evaluate the construction notice.

(b) If no time period is specified, act to approve or deny the construction notice within sixty days from the date that the construction notice was suspended.

(c) At its discretion, set the matter for hearing.

(4) Applicants who file construction notices with the board may begin construction of projects reported in the construction notices upon the approval by the board. If a continuous course of construction has not commenced within two years of the construction notice approval date, the board's approval of the construction notice project shall automatically expire. After the expiration of the board's approval, the applicant must submit the project for approval under the board's rules that exist at that time to commence construction.

(5) Applicants shall file a notice with the board at least seven days in advance of beginning construction of the involved construction notice project if construction will begin on a different date from that contained in the application.

(6) Applicants shall file a notice with the board within seven days following completion of the involved construction notice project.

Effective: 01/25/2009
R.C. 119.032 review dates: 11/10/2008 and 11/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03
Rule Amplifies: 4906.02 , 4906.03 , 4906.06 , 4906.10
Prior Effective Dates: 12/27/76, 6/10/89, 8/28/98, 12/15/03

4906-5-03 Form and content of certificate applications.

(A) In addition to the requirements of Chapter 4906-1 of the Administrative Code, the following conditions apply to certificate applications:

(1) Each page of the certificate application shall be numbered.

(2) Copies of the certificate application shall be submitted in hard-cover, loose-leaf binders labeled with the following information.

(a) Name of applicant.

(b) Name of the proposed facility or wind farm.

(c) Year of submittal of the certificate application.

(3) Each certificate application shall be accompanied by a cover letter containing the following information:

(a) Name and address of the applicant.

(b) Name and location of the proposed facility or wind farm.

(c) Name and address of the applicant's authorized representative.

(d) An explanation of any information that was presented by the applicant in the preapplication notification letter that has been revised by the applicant since the issuance of the letter.

(e) Notarized statement that the information contained in the certificate application is complete and correct to the best knowledge, information and belief of the applicant.

(B) The information contained within the certificate application shall conform to the requirements of Chapter 4906-13, 4906-15, or 4906-17 of the Administrative Code, whichever is applicable, except that a certificate application for a major utility facility which is related to a coal research and development project as defined in section 1555.01 of the Revised Code, or to a coal development project as defined in section 1551.30 of the Revised Code, submitted to the Ohio coal development office for review under division (B)(8) of section 1551.33 of the Revised Code, shall be the full final proposal as accepted by the Ohio coal development office.

(C) The scale of all maps required by Chapters 4906-13, 4906-15, and 4906-17 of the Administrative Code may be reduced in a scale not to exceed a factor of four times the required scale provided that the applicant supplies:

(1) For staff review, five full-scale copies of all maps required by Chapters 4906-13, 4906-15, and 4906-17 of the Administrative Code to the board at the time of submitting the certificate application.

(2) A full-scale copy of all maps required by Chapters 4906-13, 4906-15, and 4906-17 of the Administrative Code to:

(a) All persons referenced in rule 4906-5-06 of the Administrative Code.

(b) All persons who shall thereafter become parties to the proceedings.

(3) All copies of the application that contain reduced-size maps shall also contain information on how to request full-size maps (e.g., name, address, telephone number, e-mail address).

(D) For purposes of Chapters 4906-13, 4906-15, and 4906-17 of the Administrative Code, the costs and benefits of the direct and indirect effects of siting decisions shall be expressed in monetary and quantitative terms whenever doing so is practicable. All responses shall be supported by:

(1) An indication of the source of data.

(2) The assumptions made.

(3) The methods of reaching the conclusions.

(4) The justification for selection of alternatives.

Effective: 05/07/2009
R.C. 119.032 review dates: 11/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03 , 4906.20
Rule Amplifies: 4906.03 , 4906.20
Prior Effective Dates: 12/27/76, 6/10/89, 8/28/98, 12/15/03, 1/25/09

4906-5-04 Alternatives in certificate applications.

(A) All certificate applications for gas and electric power transmission facilities shall include fully developed information on two sites/routes. Applicants for electric power generating facilities (other than a major utility facility which is related to a coal research and development project as defined in section 1555.01 of the Revised Code, or a coal development project as defined in section 1551.30 of the Revised Code, submitted to the Ohio coal development office for review under division (B)(8) of section 1551.33 of the Revised Code) may choose to include fully developed information on two or more sites. Each proposed site/route shall be designated as a preferred or an alternate site/route. Each proposed site/route shall be actual and a viable alternative on which the applicant could construct the proposed facility. Two routes shall be considered as alternatives if not more than twenty per cent of the routes are in common. The percentage in common shall be calculated based on the shorter of the two routes. Certificate applications may include information on additional alternatives, which may include site, route, major equipment, or other alternatives.

(B) For good cause shown, the board or the administrative law judge may waive the requirement of fully developed information on the alternative site or route designated as alternate.

(C) The information contained within the certificate application, including information on alternatives as required by this rule, shall conform to the requirements of Chapters 4906-13, 4906-15, and 4906-17 of the Administrative Code, where applicable.

Effective: 05/07/2009
R.C. 119.032 review dates: 11/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03 , 4906.20
Rule Amplifies: 1551.01 , 1551.30 , 4906.03 , 4906.06
Prior Effective Dates: 12/27/76, 6/10/89, 8/28/98, 12/15/03, 1/25/09

4906-5-05 Completeness of certificate applications and staff investigations and reports.

(A) Upon receipt of a certificate application for a wind farm or major utility facility which is not related to a coal research and development project as defined in section 1551.01 of the Revised Code, or to a coal development project as defined in section 1551.30 of the Revised Code, submitted to the Ohio coal development office for review under division (B)(8) of section 1551.33 of the Revised Code, the chairman shall examine the certificate application to determine compliance with Chapters 4906-1 to 4906-17 of the Administrative Code. Within sixty days following receipt, the chairman shall either:

(1) Accept the certificate application as complete and complying with the content requirements of section 4906.06 of the Revised Code and Chapters 4906-1 to 4906-17 of the Administrative Code.

(2) Reject said certificate application as incomplete, setting forth specific grounds on which the rejection is based.

The chairman shall mail a copy of the completeness decision to the applicant.

(B) Upon receipt of a certificate application for a major utility facility which is related to a coal research and development project as defined in section 1551.01 of the Revised Code, or to a coal development project as defined in section 1551.30 of the Revised Code, submitted to the Ohio coal development office for review under division (B)(8) of section 1551.33 of the Revised Code, the chairman shall promptly accept the certificate application as complete and shall notify the applicant to file the accepted, complete application in accordance with the provisions of rules 4906-5-06 and 4906-5-07 of the Administrative Code.

(C) Upon accepting a certificate application as complete, the chairman shall promptly notify the applicant to serve and file a certificate of service for the accepted, complete application in accordance with rules 4906-5-06 and 4906-5-07 of the Administrative Code.

(D) The chairman shall direct the staff to conduct an investigation of each accepted, complete application and to submit a written report as provided by division (C) of section 4906.07 of the Revised Code not less than fifteen days prior to the beginning of public hearings.

(1) The staff report for a wind farm or major utility facility which is not related to a coal research and development project as defined in section 1551.01 of the Revised Code, or to a coal development project as defined in section 1551.30 of the Revised Code, submitted to the Ohio coal development office for review under division (B)(8) of section 1551.33 of the Revised Code, shall set forth the nature of the investigation, and shall contain recommended findings with regard to division (A) of section 4906.10 of the Revised Code and all applicable rules contained in Chapters 4906-1 to 4906-17 of the Administrative Code.

(2) The staff report for a major utility facility which is related to a coal research and development project as defined in section 1551.01 of the Revised Code, or to a coal development project as defined in section 1551.30 of the Revised Code, submitted to the Ohio coal development office for review under division (B)(8) of section 1551.33 of the Revised Code, shall set forth the nature of the investigation and shall contain recommended findings with regard to divisions (A)(2), (A)(3), (A)(5), and (A)(7) of section 4906.10 of the Revised Code.

(3) The staff report shall become part of the record.

(4) Copies of the staff report shall be served upon the board members, the administrative law judge assigned to the case, the applicant, and all persons who have or shall thereafter become parties to the proceedings. Copies shall be made available to any person upon request.

(5) The chairman shall cause either a copy of such staff report or a notice of the availability of such staff report to be placed in the main public library of each political subdivision as referenced in division (B) of section 4906.06 of the Revised Code. If a notice is provided, that notice shall state that an electronic or paper copy of the staff report is available from the board staff (with instructions as to how to obtain an electronic or paper copy) and available for inspection at the board's main office. The staff will also maintain on the board's web site information as to how to request an electronic or paper copy of the staff report. Upon request for a paper copy of the staff report, the staff shall supply the report without cost.

Effective: 05/07/2009
R.C. 119.032 review dates: 09/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03 , 4906.20
Rule Amplifies: 4906.06 , 4906.03 , 4906.13 , 4906.20
Prior Effective Dates: 12/27/76, 6/10/89, 8/28/98, 12/15/03

4906-5-06 Service and public distribution of accepted, complete certificate applications.

Upon receipt of notification from the chairman that the certificate application is accepted and in compliance with the content requirements of section 4906.06 of the Revised Code and Chapters 4906-1 to 4906-17 of the Administrative Code, the applicant shall serve a copy of the accepted, complete application on the chief executive officer of each municipal corporation, county, township, and the head of each public agency charged with the duty of protecting the environment or of planning land use in the area in which any portion of such facility is to be located. As used in this rule, "any portion" includes site or route alternatives as provided in paragraph (A) of rule 4906-5-04 of the Administrative Code. The applicant shall also either place a copy of the accepted, complete application or place a notice of the availability of such application in the main public library of each political subdivision as referenced in division (B) of 4906.06 of the Revised Code. If a notice is provided, that notice shall state that an electronic or paper copy of the accepted, complete application is available from the applicant(with instructions as to how to obtain an electronic or paper copy), available for inspection at the applicant's main office, available for inspection at the board's main office, and available at any other sites at which the applicant will maintain a copy of the accepted, complete application.

The applicant will also maintain on its web site, if it has a web site, information as to how to request an electronic or paper copy of the accepted, complete application. Upon request for a paper copy of the accepted, complete application, the applicant shall supply the copy within five business days and at no more than cost.

Effective: 05/07/2009
R.C. 119.032 review dates: 09/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03 , 4906.20
Rule Amplifies: 4906.03 , 4906.06 , 4906.20
Prior Effective Dates: 12/27/76, 6/10/89, 8/28/98, 12/15/03

4906-5-07 Filing of accepted, complete certificate applications.

(A) Upon receipt of notification from the chairman that the certificate application is accepted and in compliance with the content requirements of section 4906.06 of the Revised Code and Chapters 4906-1 to 4906-17 of the Administrative Code, the applicant shall promptly:

(1) Supply the board with such additional copies of the accepted, complete application as the board shall require.

(2) Supply the board with a certificate of its service of such accepted, complete application, which shall include the name, address, and official title of each person so served, together with the date on which service was performed and a description of the method by which service was obtained.

(B) For purposes of Chapters 4906-1 to 4906-17 of the Administrative Code, the accepted, complete application shall be deemed filed in a decision of the board or administrative law judge filed after the applicant has complied with paragraph (A) of this rule.

(C) Upon an accepted, complete application being deemed filed, the board or administrative law judge shall promptly fix the date(s) for the public hearing(s) and notify the parties.

Effective: 05/07/2009
R.C. 119.032 review dates: 09/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03 , 4906.20
Rule Amplifies: 4906.03 , 4906.06 , 4906.07 , 4906.13 , 4906.20
Prior Effective Dates: 12/27/76, 6/10/89, 8/28/98, 12/15/03

4906-5-08 Public notice of accepted, complete certificate applications.

(A) At least fifteen days prior to the date of any public informational meeting held pursuant to paragraph (B) of this rule, the applicant shall file a pre-application notification letter with the board. The pre-application notification letter shall include the following information:

(1) A basic description of the project that shall include information about the anticipated function, equipment size, approximate areal extent, general location, and purpose of the project.

(2) The date, time, and location of the public informational meeting to be held pursuant to paragraph (B) of this rule.

(3) A list of any anticipated waivers of the board's rules that the applicant will be requesting for the project.

(B) Prior to submitting a certificate application to the board, the applicant shall conduct at least one informational meeting open to the public to be held in the area in which the project is located. The applicant will give one public notice of the informational meeting in newspapers of general circulation in the project area, to be published not more than fourteen days or fewer than seven days before the date for the meeting. The notice shall occupy not less than one-fourth of a standard newspaper page, with letters not less than ten-point type, and shall bear the heading "Notice of Public Information Meeting for Proposed Major Utility Facility" in bold letters not less than one-fourth inch high or thirty-point type. The information provided shall address the need for the project, the project schedule, the design of the facility, and other pertinent data.

(C) After filing an accepted, complete application with the board, the applicant shall give at least two public notices of the proposed utility facility in newspapers of general circulation in those municipal corporations and counties in which the chief executive received service of a copy of the application pursuant to rule 4906-5-06 of the Administrative Code.

(1) The initial public notice shall be published within fifteen days of the filing of the accepted, complete application and shall include the publication of a summary of the accepted, complete application. The notice shall occupy not less than one-fourth of a standard newspaper page, with letters not less than ten-point type, shall bear the heading "notice of proposed major utility facility" in bold letters not less than one-fourth inch high or thirty-point type, and shall contain the following information.

(a) The name and a brief description of the proposed facility, including type and capacity.

(b) A map showing the location and general layout of the proposed facility.

(c) A list of officials served with copies of the accepted, complete application pursuant to rule 4906-5-06 of the Administrative Code.

(d) A list of public libraries that were sent paper copies or notices of availability of the accepted, complete application, and other readily accessible sites (including any web sites and the address of the board) where copies of the accepted, complete application are available for public inspection.

(e) A statement, including the assigned docket number, that an application for a certificate to construct, operate, and maintain said facility is now pending before the board.

(f) A statement setting forth the eight criteria listed in division (A) of section 4906.10 of the Revised Code used by the board to review an application.

(g) Section 4906.07 of the Revised Code, including the time and place of the public hearing.

(h) Division (C) of section 4906.08 of the Revised Code, including the deadline for filing a notice of intervention or petition for leave to intervene as established by the board or administrative law judge.

(2) The second public notice shall be published at least seven days but no more than twenty-one days before the public hearing. The notice shall be published with letters not less than ten-point type, shall bear the heading "notice of proposed major utility facility" in bold type not less than one-fourth inch high or thirty-point type and shall contain the following information:

(a) The name and a brief description of the project.

(b) A map showing the location and general layout of the proposed facility.

(c) A statement, including the assigned docket number, that an application for a certificate to construct, operate, and maintain said facility is now pending before the board.

(d) The date, time, and location of the public hearing.

(e) A statement that the public will be given an opportunity to comment on the proposed facility.

(f) A reference to the date of the first public notice.

(3) At least thirty days before the public hearing, the applicant shall send a letter describing the facility to each property owner and affected tenant. The letter shall briefly describe the certification process and shall include the date of the public hearing. The letter shall be sent by first class mail. The name and address of each landowner on the mailing list shall be submitted to the board and to each public official entitled to service of the application pursuant to rule 4906-5-06 of the Administrative Code. The letter shall be sent to each property owner and affected tenant:

(a) Within the planned site or along the preferred or alternate route(s) of the proposed facility.

(b) Contiguous to the planned site or along the preferred or alternate route(s) of the proposed facility.

(c) Who may be approached by the applicant for any additional easement necessary for the construction, operation, or maintenance of the facility.

(d) If the property owner's address is not the same as the address affected by the proposed facility, then the applicant shall also send a letter to the affected property.

(D) Inability or inadvertent failure to notify the persons described in this rule shall not constitute a failure to give public notice, provided substantial compliance with these requirements is met.

Effective: 01/25/2009
R.C. 119.032 review dates: 11/10/2008 and 11/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03
Rule Amplifies: 4906.03 , 4906.06
Prior Effective Dates: 12/27/76, 6/10/89, 8/28/98, 12/15/03, 6/17/05

4906-5-09 Proof of publication of accepted, complete certificate applications.

(A) The applicant shall file proof of the first public notice, together with a copy of the notice, with the board within fourteen days of publication.

(B) The applicant shall provide proof of the second public notice to the board at least three days before the public hearing by providing a copy of the actual notice from the newspaper(s) in which the notice was published.

(C) Inadvertent failure of service on, or notice to, any of the persons entitled to receive service pursuant to rules 4906-5-06 , 4906-5-07 and 4906-5-08 of the Administrative Code, may be cured pursuant to orders of the board or the administrative law judge, designed to afford such persons adequate notice to enable their effective participation in the proceeding. In addition, the board or the administrative law judge may, after filing, require the applicant to serve notice of the accepted, complete application or copies thereof, or both, upon such other persons, and file proof thereof, as the board or the administrative law judge considers appropriate.

Replaces: 4906-5-08; Eff 12-27-76; 6-10-89; 8-28-98; 12-15-03
Rule promulgated under: RC 111.15
Rule authorized by: RC 4906.03
Rule amplifies: RC 4906.03 , 4906.06
R.C. 119.032 review dates: 11/10/2008 and 09/30/2013

4906-5-10 Amendments of accepted, complete certificate applications and of certificates.

(A) The applicant shall submit to the board any applications for amendment to a pending accepted, complete application in accordance with rule 4906-5-03 of the Administrative Code.

(1) Each application for amendment shall specifically identify the portion of the pending accepted, complete application which has been amended.

(2) The applicant shall serve a copy of the application for amendment upon all persons previously entitled to receive a copy of the application, and shall supply the board with proof of such service, pursuant to rules 4906-5-06 and 4906-5-07 of the Administrative Code.

(3) The applicant shall place a copy of such application for amendment or notice of its availability in all libraries consistent with of rule 4906-5-06 of the Administrative Code, and shall supply the board with proof of such action.

(4) Upon review, the board or the administrative law judge may require such additional action as is determined necessary to inform the general public of the proposed amendment, including, but not limited to:

(a) Ordering the applicant to issue public notice pursuant to rule 4906-5-08 of the Administrative Code.

(b) Postponing public hearings on the pending, accepted, complete application and/or application for amendment up to ninety days after receipt of said application for amendment.

(5) The board staff shall review the application for amendment pursuant to paragraph (D) of rule 4906-5-05 of the Administrative Code.

(6) Unless otherwise ordered by the board or administrative law judge, modifications to a proposed route that are introduced into the record by the applicant during review of the accepted, complete application and during the hearing process shall not be considered amendments if such modifications are within the two thousand foot study corridor and do not impact additional landowners by requiring easements for construction, operation, or maintenance or create further impacts within the planned right-of-way of the proposed facility.

Unless otherwise ordered by the board or administrative law judge, modifications to the footprint of an electric power generating facility that are introduced into the record by the applicant during review of the accepted, complete application and during the hearing process shall not be considered amendments if such modifications do not create further impacts for each property owner or within the planned site, or within the right-of-way of the proposed facility.

(B) Applications for amendments to certificates shall be submitted in the same manner as if they were applications for a certificate, unless such amendment falls under a letter of notification or construction notice pursuant to the appendices to rule 4906-1-01 of the Administrative Code.

(1) The board staff shall review applications for amendments to certificates pursuant to rule 4906-5-05 of the Administrative Code and make appropriate recommendations to the board and the administrative law judge.

(a) If the board, its executive director, or the administrative law judge determines that the proposed change in the certified facility would result in any significant adverse environmental impact of the certified facility or a substantial change in the location of all or a portion of such certified facility other than as provided in the alternates set forth in the application, then a hearing shall be held in the same manner as a hearing is held on a certificate application.

(b) If the board, its executive director, or the administrative law judge determines that a hearing is not required, as defined in paragraph (B)(1)(a) of this rule, the applicant shall be directed to take such steps as are necessary to notify all parties of that determination.

(2) The applicant shall:

(a) Serve a copy of the application for amendment to a certificate upon:

(i) The persons entitled to service pursuant to rule 4906-5-06 of the Administrative Code.

(ii) All parties to the original certificate application proceedings.

(b) File with the board proof of service and, if required, proof of notice pursuant to rules 4906-5-06 to 4906-5-08 of the Administrative Code.

(C) Unless otherwise ordered by the board, its executive director, or administrative law judge, the filing, notifications, informational requirements and processing timelines for a letter of notification or construction notice application for an amendment to a certificate issued for a transmission facility shall be determined by referring to the appropriate appendix to rule 4906-1-01 of the Administrative Code. Such application shall use the letter of notification or construction notice docketing code. In such application, the applicant shall reference the case docket in which the certificate was granted.

Effective: 06/19/2009
R.C. 119.032 review dates: 11/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03
Rule Amplifies: 4906.03 , 4906.06 , 4906.07
Prior Effective Dates: 12/27/76, 6/10/89, 8/28/98, 12/15/03, 1/25/09

4906-5-11 Application fees and board expenses.

(A) The board's expenses associated with the review, analysis, processing, and monitoring of applications made pursuant to Chapters 4906-1 to 4906-17 of the Administrative Code shall be borne by the person submitting the application and shall include all expenses associated with monitoring, construction, operation of the facility and compliance with certificate conditions. Application fees submitted to the board shall be utilized for all direct expenses associated with the consideration of an application and granting of a certificate and monitoring of construction and initial operation of the facility. The chairman shall provide, annually to each applicant, a current summary of the applicant's active cases showing case numbers, fees received, and board expenses.

(B) The application filing fee for a certificate for a single or multiple unit electric power generating plant and associated facilities, or substantial additions thereto, shall consist of the product of fifty cents times the maximum kilowatt electric capacity, as determined by the estimated net demonstrated capability of the highest capacity alternative. The maximum application filing fee shall be one hundred thousand dollars.

(1) After accepting an application as complete, the chairman, using paragraph (B) of this rule, shall determine the amount of the application filing fee, advise the applicant of the fee amount and advise the applicant that it is payable upon filing the accepted, complete application.

(2) Board expenses associated with a preapplication conference will be included as part of the application review expenses. If applicant fails to file an application within twelve months of the preapplication conference, the chairman shall invoice the applicant for the board's expenses incurred as a result of the preapplication conference.

(C) The application filing fee for a certificate for a gas or natural gas transmission line and associated facilities or an electric power transmission line and associated facilities shall consist of:

(1) An amount based on the estimated construction cost of the most costly alternative route as follows:

Construction cost Fee

up to - $500,000 $10,000

$500,000 -1,000,000 20,000

1,000,001 -2,000,000 30,000

2,000,001 -5,000,000 40,000

5,000,001 - up 50,000

(2) After accepting an application as complete, the chairman, using paragraph (C)(1) of this rule, shall determine the amount of the application filing fee, advise the applicant of the fee amount, and advise the applicant that it is payable upon filing the accepted, complete application.

(3) Board expenses associated with a preapplication conference will be included as part of the application review expenses. If applicant fails to file an application within twelve months of the preapplication conference, the chairman shall invoice the applicant for the expenses the board incurred as a result of the preapplication conference.

(D) The application filing fee for an amendment to a certificate shall consist of:

(1) An amount based on the estimated construction cost of the amended portion of the facility estimated as follows:

Construction cost Fee

up to - $500,000 $ 3,000

$500,000 -1,000,000 6,000

1,000,001 -2,000,000 9,000

2,000,001 -5,000,000 12,000

5,000,001 - up 15,000

(2) After accepting an amendment application as complete, the chairman, using paragraph (D)(1) of this rule, shall determine the amount of the application filing fee, advise the applicant of the fee amount, and advise the applicant that it is payable upon filing the accepted, complete amendment application.

(E) If the chairman determines that the initial application fee paid under paragraph (B), (C) or (D) of this rule will not be adequate to pay for the board's expenses associated with the application prior to the end of the year in which the certificate is issued, the chairman may charge the applicant a supplemental application fee in an amount necessary to cover such expenses.

(F) At the end of the calendar year in which the certificate is issued, the chairman shall determine if the application filing fee was adequate to pay the actual expenses for review of the application. If the fee was inadequate, the chairman shall invoice the applicant for the amount of the shortage, and shall do so, at least, annually thereafter to cover the board's expenses until the project has been completed. If there are adequate funds, no annual invoicing will be required until a shortage occurs. The review will be done annually. Final reconciliation, including refunds in cases where fees paid exceed the amount needed to cover the board's expenses, will be done at the end of the calendar year in which the applicant notifies the board that the project has been completed. If a certificate application is withdrawn, the chairman shall cause a refund to be issued in the amount of the application fee in excess of the costs incurred to date.

(G) For purposes of this rule, "construction cost" shall include all costs of the project including rights-of-way, land acquisition, clearing, material and equipment, erection of the facility and any other capital cost applicable to that project.

(H) Except as set forth in paragraph (I) of this rule, board expenses for the resolution of jurisdictional issues, letters of notification, construction notices, and all other incidental services will be invoiced at cost. Payment shall be due upon receipt of an invoice.

(I) An applicant requesting expedited processing of a letter of notification or construction notice shall pay a fee of two thousand dollars due at the time of the filing. This payment is in addition to the payment due pursuant to paragraph (H) of this rule.

(J) The board shall publish annually a report accounting for the collection and expenditure of fees. The annual report shall be published not later than the last day of June of the year following the calendar year to which the report applies.

Effective: 06/19/2009
R.C. 119.032 review dates: 11/30/2013
Promulgated Under: 111.15
Statutory Authority: 4906.03
Rule Amplifies: 4906.03 , 4906.06
Prior Effective Dates: 12/27/76, 7/12/82, 5/17/84, 2/17/84 (Emer.), 9/27/86, 1/8/87, 7/4/87, 6/10/89, 8/6/94, 8/28/98, 12/15/03, 1/25/09