Sec.

PARTS 400-417-(RESERVED)

PART 420-STATE ENERGY CONSERVATION PROGRAM

§ 420.1 Purpose and scope.

(a) This part prescribes requirements for program measures included in plans and guidelines for the development, modification, and funding of plans. It is the purpose of this part to promote the conservation of energy and to reduce the rate of growth of energy demand through the development and implementation of a comprehensive State energy conservation program and the provision of Federal financial and technical assistance to States in support of such program.

(b) DOE has the responsibility to foster and promote comprehensive State energy conservation plans by providing technical and financial assistance for specific State initiatives to conserve and improve efficiency in the use of energy and to encourage the use of renewable resources. Because of the diversity of conditions among the various States and regions of the Nation, a wholly Federally administered program would not be as effective as one

which is tailored to meet local requirements and to respond to local opportunities.

(c) Each State energy conservation plan with respect to which assistance is made available under this part on or after October 1, 1991, shall contain a goal, consisting of an improvement of 10 percent or more in the efficiency of use of energy in the State concerned in the calendar year 2000, as compared to the calendar year 1990, and may contain interim goals.

[48 FR 39360, Aug. 30, 1983, as amended at 57 FR 52944, Nov. 5, 1992]

$420.2 Definitions.

As used in this part:

Act means title III, part C, as amended, of the Energy Policy and Conservation Act, 42 U.S.C. 6321 et seq.

ASHRAE 90-75 means those designated standards developed by the American Society of Heating, Refrigerating and Air-Conditioning Engineers, Incorporated, as approved by its Board of Directors on August 11, 1975, to provide design requirements for improvements of energy utilization in new buildings.

ASHRAE/IES 90.1-1989 means the building design standard published in December 1989 by the American Society of Heating, Refrigerating, and AirConditioning Engineers, Incorporated, titled "Energy Efficient Design of New Buildings Except Low-Rise Residential Buildings."

Assistant Secretary means the Assistant Secretary for Conservation and Renewable Energy or any official to whom the Assistant Secretary's functions may be redelegated by the Secretary.

Btu means British thermal unit.

British thermal unit means the quantity of heat necessary to raise the temperature of one pound of water one degree Fahrenheit at 39.2 degrees Fahrenheit and one atmosphere of pressure.

Building means any structure which includes provision for a heating or cooling system, or both, or for a hot water system.

CABO MEC-89 means the model building code published in 1989 by the Council of American Building Officials, titled "CABO Model Energy Code/1989."

Carpool means the sharing of a ride by two or more people in an automobile.

Carpool matching and promotion campaign means a campaign to coordinate riders with drivers to form carpools and/or vanpools.

Commercial building means any building other than a residential building, including any building constructed for industrial or public purposes.

Commercially available means available for purchase by the general public or target audience in the State.

Deputy Assistant Secretary means the Deputy Assistant Secretary for Technical and Financial Assistance or any official to whom the Deputy Assistant Secretary's functions may be redelegated by the Assistant Secretary.

DOE means the Department of Energy.

Energy audit means a survey of a building or buildings that is conducted in accordance with §420.7(d) and subpart B of 10 CFR part 450 and which:

(a) Identifies the type, size, energy use level and the major energy using systems of such building or buildings;

(b) Determines appropriate energy conservation maintenance and operating procedures; and

(c) Indicates the need, if any, for the acquisition and installation of energy conservation measures.

Energy conservation means efficient energy use or the utilization of renewable energy resources which results in energy savings based upon a net reduction in the use of non-renewable energy

resources.

Environmental residual means any pollutant or pollution causing factor which results from any activity.

Exempted building means:

(a) Any building whose peak design rate of energy usage for all purposes is less than one watt (3.4 Btu's per hour) per square foot of floor area for all purposes;

(b) Any building with neither a heating nor cooling system;

(c) Any mobile home; or

(d) Any building owned or leased in whole or in part by the United States.

Exterior envelope physical characteristics means the physical nature of those elements of a building which enclose conditioned spaces through which thermal energy may be transferred to or from the exterior.

Governor means the chief executive officer of a State and the Mayor of the District of Columbia, or a person duly designated in writing by the Governor to act upon his or her behalf.

Grantee means the State or other entity named in the notice of grant award as the recipient.

Heating, ventilating and air-conditioning means a system that provides heating, ventilation and/or air conditioning within or associated with a building.

HUD minimum property standards means any of the rules and regulations adopted by the Department of Housing and Urban Development establishing minimum acceptable levels of site design, site preparation, exterior and interior appurtenances which standard is applied to single or multifamily housing units which seek assistance under one or more programs administered by the Assistant Secretary for Housing and Mortgage Credit of the Department of Housing and Urban Development.

HVAC means heating, ventilating and air-conditioning.

Industrial plant means any fixed equipment or facility which is used in connection with, or as part of, any process or system for industrial production or output.

Institution of higher education has the same meaning as such term is defined in section 1201(a) of the Higher Education Act of 1965 (20 U.S.C. 1141(a)).

Major building type means a class of buildings within which similar functions occur such as hospitals, restaurants, hotels and supermarkets.

Metropolitan Planning Organization means that organization required by the Department of Transportation, and designated by the Governor as being responsible for coordination within the State, to carry out transportation planning provisions in a Standard Metropolitan Statistical Area.

National energy conservation program means a program which is authorized by Federal statute and is wholly implemented by the Federal Government,

without the active participation of a State or local government, other than for usual coordination or acknowledgement.

Park-and-ride lot means a parking facility generally located at or near the trip origin of carpools, vanpools and/or mass transit.

Petroleum violation escrow funds. For purposes of exempting petroleum violation escrow funds from the matching requirements of § 420.3(e) and §420.12(b), "petroleum violation escrow funds" means any funds distributed to the States by the Department of Energy or any court and identified as Alleged Crude Oil Violation funds, together with any interest earned thereon by the States, but excludes any funds designated as "excess funds" under section 3003(d) of the Petroleum Overcharge Distribution and Restitution Act, subtitle A of title III of the Omnibus Budget Reconciliation Act of 1986, Pub. L. 99-509, and the funds distributed under the "Warner Amendment," section 155 of Pub. L. 97-377.

Plan means a State energy conservation plan including required program measures in accordance with §420.6 and otherwise meeting the applicable provisions of this part.

Political subdivision means a unit of government within a State, including a county, municipality, city, town, township, parish, village, local public authority, school district, special district, council of governments, or any other regional or intrastate governmental entity or instrumentality of a local government exclusive of institutions of higher learning and hospitals.

Preferential traffic control means any one of a variety of traffic control techniques used to give carpools, vanpools and public transportation vehicles priority treatment over single occupant vehicles other than bicycles and other two-wheeled motorized vehicles.

Program measure means one or more State actions, in a particular area, designed to effect energy conservation, excluding actions in areas specifically covered by national energy conservation programs.

Public building means any building which is open to the public during normal business hours, except exempted buildings, including:

(a) Any building which provides facilities or shelter for public assembly, or which is used for educational office or institutional purposes;

(b) Any inn, hotel, motel, sports arena, supermarket, transportation terminal, retail store, restaurant, or other commercial establishment which provides services or retail merchandise;

(c) Any portion of an industrial plant building used primarily as office space;

or

(d) Any building owned by a State or political subdivision thereof, including libraries, museums, schools, hospitals, auditoriums, sport arenas, and university buildings.

Public transportation means any scheduled or nonscheduled transportation service for public use.

Renewable-resource energy measure means a measure which is identified as a renewable resource energy measure in accordance with subpart D of 10 CFR part 450.

Residential building means any structure which is constructed for residential occupancy.

Secretary means the Secretary of DOE.

Small business means a private firm that does not exceed the numerical size standard promulgated by the Small Business Administration under section 3(a) of the Small Business Act (15 U.S.C. 632) for the Standard Industrial Classification (SIC) codes designated by the Secretary of Energy.

Start-up business means a small business which has been in existence for 5 years or less.

State means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States. State economic product means State gross national product (GNP).

State ΟΥ local government building means any building owned and primarily occupied by offices or agencies of a State; and any building of a unit of local government or a public care institution which could be covered by part H, title III, of the Energy Policy and Conservation Act, 42 U.S.C. 6372-63721.

Support Office Director means the director of a DOE support office with responsibility for grant administration