330-210-0030 Preliminary Certification Application (1) Any person may apply for preliminary certification by submitting a complete preliminary certification application. The application must meet requirements provided by applicable statutes, these rules and the current Opportunity Announcement. A preliminary certification application is not required for applicants submitting an informational filing under the small premium project process. (a) The application must be in the form specified in the Opportunity Announcement and these rules. (b) An applicant must submit a complete application during the opportunity period. For the purposes of this rule, the department considers an application “submitted” when the department receives the application accompanied by the fee specified in these rules. (c)The department will not review applications received outside of an opportunity period and will return the application fee received. (2) The application must be accompanied by the application fee specified in these rules. The department will not process applications received without fee payment. (3) An applicant may withdraw an application and submit a replacement application during the opportunity period. Replacement applications may be submitted without an additional application fee during an open opportunity period. (4) The application must include the following information, unless the department specifies otherwise in the Opportunity Announcement. (a) The name of the applicant. (A) If the applicant is a partnership, joint venture or association, the application must include the names of each person participating in the partnership, joint venture or association. The department may use this information to ensure compliance with ORS 469B.288(3). (B) If the applicant is a corporation or limited liability company, the application must include the name of the corporation, or LLC and its parent corporations, members, and any close affiliates or subsidiaries. The department may use this information to ensure compliance with ORS 469B.288(3). (C) If the applicant is a public or governmental entity, the application must include written authorization from the entity’s governing body allowing submission of the application. (b) The name, address, email address and telephone number of the responsible party for the applicant. (c) The applicant’s federal tax identification number or social security number, which may be shared with the Oregon Department of Revenue to facilitate the administration of state tax law. (d) A statement verifying that the applicant will be the owner, contract purchaser or lessee of the energy conservation project at the time of installation or construction of the project. (e) A description of the personnel and teams that will be working on the energy conservation project’s development, implementation and operation. (f) If the applicant has received final certification of tax credits or payment of grants issued by the department within the last 5 years, the application must contain a statement about the operational status of the projects awarded such grants or tax credits. (g) The location of the energy conservation project. (h) A statement explaining how and in what amount the energy conservation project will reduce the consumption of purchased energy or use energy more efficiently. (A) The statement must identify the annual energy use separated by fuel type of the energy conservation project at the following conditions: proposed conditions, baseline conditions, along with existing conditions, if the project involves a retrofit. (i) Annual energy use at proposed conditions must be calculated using energy engineering methods as outlined in the Opportunity Announcement. (ii) Baseline conditions and assumptions must be described in detail. (iii) For retrofit projects, existing annual energy usage must be supported by a minimum of 24 consecutive monthly utility bills or a calculation approved by the department. (B) If applicable, provide information about the expected level of sustainable building practices project performance. (i) A detailed description of the energy conservation project, including information that demonstrates how the project will be technically feasible and how the project will operate for at least five years as represented in the application. This may require documentation in addition to the application form. (j) The expected operational life of the energy conservation project. (k) A statement of compliance with applicable state and local regulations and that the applicant will obtain required licenses and permits. (L) The number and type of new jobs that will be created by the energy conservation project and the number of existing jobs that will be sustained throughout the construction, installation and operation of the project. Job estimates should be submitted in hours. These hours must directly relate to the energy conservation project. (m) The energy conservation project’s anticipated total project cost, including the energy conservation project’s incremental cost, if applicable. (n) The amount of anticipated or received incentives directly related to the energy conservation project. (o) A project schedule. (p) All research and development projects must include a recommendation from a qualified third party that the project demonstrates innovation. (q) A description of the applicant’s installation or construction financing plan. (r) The dollar amount of tax credit requested by the applicant. (s) If the applicant has already started installation or construction of the energy conservation project, a written description of the special circumstances that rendered the filing of an application prior to the start of construction or installation unreasonable. (t) Other information the department considers necessary. Statutory/Other Authority: ORS 469.040 & 469B.306 Statutes/Other Implemented: ORS 469B.270 - 469B.306 & 315.331 History: DOE 4-2016, f. & cert. ef. 11-14-16 DOE 6-2012, f. & cert. ef. 6-19-12 DOE 12-2011(Temp), f. & cert. ef. 12-23-11 thru 6-19-12