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level. Programs must be developed for potential energy emergency situations calling for reductions of 10 percent, 15 percent and 20 percent for up to 12 months. Emergency plans must be tested to ascertain their effectiveness.

(9) Budgetary and Fiscal Support. Resources necessary for the energy conservation program must be planned and provided for, and the fiscal systems adjusted to support energy management investments and information reporting.

(10) Environmental Considerations. Each agency shall fulfill its obligations under the National Environmental Policy Act in developing its plan.

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to carry out a program of weatherization assistance for low-income persons established by Part A of the Energy Conservation in Existing Buildings Act of 1976, 42 U.S.C. 6861 et seq., enacted as Title IV of the Energy Conservation and Production Act, Pub. L. 94-385, 90 Stat. 1150 et seq., and amended by Title II, Part 2 of the National Energy Conservation Policy Act, Pub. L. 95619, 92 Stat. 3206 et seq., and by the Energy Security Act, Pub. L. 96-294, 94 Stat. 611 et seq.

§ 440.2 Administration of grants.

Grant awards under this part shall comply with applicable law including, without limitation, the requirements of:

(a) Executive Order 12372 entitled "Intergovernmental Review of Federal Programs", 48 FR 3130, and the DOE Regulation implementing this Executive Order entitled "Intergovernmental Review of Department of Energy Programs and Activities" (10 CFR Part 1005);

(b) Office of Management and Budget Circular A-97, entitled "Rules and Regulations Permitting Federal Agencies to Provide Specialized or Technical Services to State and Local Units of Government under Title III of the Inter-Governmental Coordination Act of 1968;"

(c) Unless in conflict with provisions of this part, the DOE Financial Assistance Rule (10 CFR Part 600); and

(d) Such other procedures applicable to this part as DOE may from time to time prescribe for the administration of financial assistance.

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20-032 0-88--8

assess, design, operate, finance, and oversee antipoverty programs.

"Cooling Degree Days" means a population-weighted annual average of the climatological cooling degree days for each weather station within a State, as determined by DOE.

"DOE" means the Department of Energy.

"Dwelling Unit" means a house, including a stationary mobile home, an apartment, a group of rooms, or a single room occupied as separate living quarters.

"Elderly Person" means a person who is 60 years of age or older.

"Family Unit" means all persons living together in a dwelling unit.

"Governor" means the chief executive officer of a State, including the Mayor of the District of Columbia.

"Grantee" means the State or other entity named in the Notification of Grant Award as the recipient.

"Handicapped Person" means any individual (1) who is a handicapped individual as defined in Section 7(6) of the Rehabilitation Act of 1973, (2) who is under a disability as defined in Section 1614(a)(3)(A) or 223(d)(1) of the Social Security Act or in Section 102(7) of the Developmental Disabilities Services and Facilities Construction Act, or (3) who is receiving benefits under Chapter 11 or 15 of Title 38, U.S.C.

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"Heating Degree Days" means population-weighted seasonal average of the climatological heating degree days for each weather station within a State, as determined by DOE.

"Incidental Repairs" means those repairs necessary for the effective performance or preservation of weatherization materials. Such repairs include, but are not limited to, framing or repairing windows and doors which could not otherwise be caulked or weather-stripped and providing protective materials, such as paint, used to seal materials installed under this program.

"Indian Tribe" means any tribe, band, nation, or other organized group or community of Native Americans, including any Alaskan native village, or regional or village corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act,

Pub. L. 92-203, 85 Stat. 688, which (1) is recognized as eligible for the special programs and services provided by the United States to Native Americans because of their status as Native Americans, or (2) is located on, or in proximity to, a Federal or State reservation or rancheria.

"JTPA" means the Job Training Partnership Act, 29 U.S.C. 1501 et seq.

"Local Applicant" means a CAA or other public or non profit entity unit of general purpose local government.

"Low Income" means that income in relation to family size which:

(1) Is at or below 125 percent of the poverty level determined in accordance with criteria established by the Director of the Office of Management and Budget, except that the Secretary may establish a higher level if the Secretary, after consulting with the Secretary of Agriculture and the Secretary of Health and Human Services, determines that such a higher level is necessary to carry out the purposes of this part and is consistent with the eligibility criteria established for the weatherization program under section 222(a)(12) of the Economic Opportunity Act of 1964;

(2) Is the basis on which cash assistance payments have been paid during the preceding twelve month-period under Titles IV and XVI of the Social Security Act or applicable State or local law; or

(3) If a State elects, is the basis for eligibility for assistance under the Low Income Home Energy Assistance Act of 1981, provided that such basis is at least 125 percent of the poverty level determined in accordance with criteria established by the Director of the Office of Management and Budget.

"Native American" means a person who is a member of an Indian tribe.

"Number of Low-Income, Owner-Occupied Dwelling Units in the State" means the number of such dwelling units in a State, as determined by DOE.

"Number of Low-Income, Renter-Occupied Dwelling Units in the State" means the number of such dwelling units in a State, as determined by DOE.

"Operations Office Manager” means the manager of a DOE Operations Office or his or her designee.

"Percentage of Total Residential Energy Used for Space Cooling" means the national percentage of total energy used for space cooling, as determined by DOE.

"Percentage of Total Residential Energy Used for Space Heating" means the national percentage of total energy used for space heating, as determined by DOE.

“Relevant Reporting Period” means the Federal fiscal year beginning on October 1 and running through September 30 of the following calendar year.

"Rental Dwelling Unit" means a dwelling unit occupied by a person who pays rent for the use of the dwelling unit.

"Secretary" means the Secretary of the Department of Energy.

"Separate Living Quarters" means living quarters in which the occupants do not live and eat with any other persons in the structure and which have either (1) direct access from the outside of the building or through a common hall or (2) complete kitchen facilities for the exclusive use of the occupants. The occupants may be a single family, one person living alone, two or more families living together, or any other group of related or unrelated persons who share living arrangements.

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purpose political subdivision of a State.

"Vestibule' means an enclosure built around a primary entry to a dwelling unit.

"Weatherization Materials" mean: (1) Caulking and weatherstripping of doors and windows;

(2) Furnace efficiency modifications, including, but not limited to

(i) Replacement burners, furnaces, or boilers or any combination thereof; (ii) Devices for minimizing energy loss through heating system, chimney, or venting devices; and

(iii) Electrical or mechanical furnace ignition systems which replace standing gas pilot lights.

(3) Clock thermostats;

(4) Ceiling, attic, wall, floor, and duct insulation;

(5) Water heater insulation;

(6) Storm windows and doors, multiglazed windows and doors, heat-absorbing or heat-reflective window and door materials; and

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"Weatherization Project" means a project conducted in a single geographical area which undertakes to weatherize dwelling units that are energy inefficient.

[49 FR 3629, Jan. 27, 1984, as amended at 50 FR 712, Jan. 4, 1985; 50 FR 49917, Dec. 5, 1985]

§ 440.10 Allocation of funds.

(a) DOE shall allocate finanical assistance for each State from sums appropriated for any fiscal year, only upon annual application.

(b) DOE shall determine the tentative allocation for each State from available funds as follows:

(1) The first $5,100,000 appropriated shall be divided equally among the States; an additional $100,000 shall be allocated to Alaska.

(2) The percentage of the remaining available funds tentatively allocated to each State shall be determined by the following formula:

(i) The square of the number of heating degree days in a State multiplied by the percentage of total residential energy used for space heating;

(ii) Plus the square of the number of cooling degree days in the State multiplied by the percentage of total residential energy used for space cooling;

(iii) Multiplied by the sum of the number of low-income, owner-occupied dwelling units in the State and onehalf of the number of low-income, renter-occupied dwelling units in the

State;

(iv) Divided by the sum of the result produced for all States by the computation outlined in paragraphs (b)(2) (i), (ii) and (iii) of this section; and

(v) Multiplied by 100.

(c) DOE may reduce the tentative allocation for a State by the amount DOE determines cannot be reasonably expended by a grantee to weatherize dwelling units during the budget period for which financial assistance is to be awarded. In reaching this determination, DOE will consider the amount of unexpended financial assistance currently available to a grantee under this part and the number of dwelling units which remain to be weatherized with the unexpended financial assistance.

(d) DOE may increase the tentative allocation of a State by the amount DOE determines the grantee can expend to weatherize additional dwelling units during the budget period for which financial assistance is to be awarded.

(e) The Operations Office Manager shall notify each State of the tentative allocation for which that State is eligible to apply.

§ 440.11 Native Americans.

(a) Notwithstanding any other provision of this part, the Operations Office Manager may determine, after taking into account the amount of funds made available to a State to carry out the purposes of this part, that:

(1) The low-income members of an Indian tribe are not receiving benefits under this part equivalent to the assistance provided to other low-income persons in the State under this part and

(2) The low-income members of such tribe would be better served by means of a grant made directly to provide such assistance.

(b) In any State for which the Operations Office Manager shall have made the determination referred to in paragraph (a) of this section, the Operations Office Manager shall reserve from the sums that would otherwise be allocated to the State under this part not less than 100 percent, or more than 150 percent, of an amount which bears the same ratio to the State's allocation for the fiscal year involved as the population of all low-income Native Americans for whom a determination under paragraph (a) of this section has been made bears to the population of all low-income persons in the State.

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(3) Files an application which DOE determines, in accordance with the procedures in § 440.30, not to make adequate provision for the low-income members of an Indian tribe residing in the State; or

(4) Has received grant funds and DOE determines, in accordance with the procedures in § 440.30, that the State has failed to implement the procedures required by § 440.16(6).

(d) Any sums reserved by the Operations Office Manager pursuant to paragraph (b) of this section shall be granted to the tribal organization serving the individuals for whom the determination has been made, or where there is no tribal organization, to such other entity as the Operations Office Manager determines is able to provide adequate weatherization assistance pursuant to this part. Where the Operations Office Manager intends to make a grant to an organization to perform services benefiting more than one Indian tribe, the approval of each Indian tribe shall be a prerequisite for the issuance of a notice of grant award.

(e) Within 30 days after the Operations Office Manager has reserved funds pursuant to paragraph (b) of this section, the Operations Office Manager shall give written notice to the tribal organization or other qualified entity of the amount of funds reserved and its eligibility to apply therefor.

(f) Such tribal organization or other qualified entity shall thereafter be treated as a unit of general purpose local government eligible to apply for funds hereunder, pursuant to the provisions of § 440.13.

§ 440.12 State application.

(a) To be eligible for financial assistance under this part, a State shall submit an application to DOE in conformity with the requirements of this part not later than 60 days after the date of notice to apply is received from the Operations Office Manager. The Operations Office Manager shall review each timely State application and, if the submission otherwise complies with the applicable provisions of this part, approve a budget and issue a notice of financial assistance award.

(b) Each application shall include:

(1) The name and address of the State agency or office responsible for administering the program;

(2) A copy of the final State plan prepared after notice and a public hearing in accordance with § 440.14(a), except that an application by a local applicant need not include a copy of the final State plan;

(3) The budget for total funds applied for under the Act, which shall include a justification and explanation of any amounts requested for expenditure pursuant to § 440.18(d) for State administration;

(4) The total number of dwelling units proposed to be weatherized with grant funds during the budget period for which assistance is to be awarded, (i) with financial assistance previously obligated under this part, and (ii) with the tentative allocation to the State;

(5) A recommendation that a tribal organization be treated as a local applicant eligible to submit an application pursuant to § 440.13(b), if such a recommendation is to be made;

(6) A monitoring plan which shall indicate the method used by the State to insure the quality of work and adequate financial management control at the subgrantee level;

(7) A training and technical assistance plan which shall indicate how funds for training and technical assistance will be used; and

(8) Any further information which the Secretary finds necessary to determine whether an application meets the requirements of this part.

(Approved by the Office of Management and Budget under control number 19040047)

[49 FR 3629, Jan. 27, 1984, as amended at 50 FR 712, Jan. 4, 1985]

§ 440.13 Local applications.

(a) The Operations Office Manager shall give written notice to all local applicants throughout a State of their eligibility to apply for financial assistance under this part in the event:

(1) A State, within which a local applicant is situated, fails to submit an application within 60 days after notice in accordance with § 440.12(a) or

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