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 or 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

or any official to whom that function may be redelegated.

Transit level of service means characteristics of transit service provided which indicate its quantity, geographic area of coverage, frequency and quality (comfort, travel, time, fare and image).

Urban area traffic restriction means a setting aside of certain portions of an urban area as restricted zones where varying degrees of limitation are placed on general traffic usage and/or parking.

Vanpool means a group of riders using a vehicle, with a seating capacity of not less than eight individuals and not more than fifteen individuals, for transportation to and from their residences or other designated locations and their place of employment, provided the vehicle is driven by one of the pool members.

Variable working schedule means а flexible working schedule to facilitate carpool, vanpool and/or public transportation usage.

[48 FR 39360, Aug. 30, 1983, as amended at 53 FR 52394, Dec. 27, 1988; 55 FR 41324, Oct. 10, 1990; 57 FR 52944, Nov. 5, 1992]

$420.3 Financial assistance.

(a) The Support Office Director shall provide financial assistance to each State having an approved annual application from funds available for any fiscal year to develop, modify, or implement a plan.

(b) Financial assistance to develop, implement or modify plans shall be allocated among the States from funds available for any fiscal year, based on the following formula:

(1) Forty percent of available funds will be divided on the basis of the population of the participating States as contained in the most recent census documents available from the Bureau of the Census, Department of Commerce, for all participating States at the time DOE needs to compute State formula shares;

(2) Twenty-five percent of available funds will be divided among the participating States equally; and

(3) Thirty-five percent of available funds will be divided on the basis of estimated energy savings in calendar year 1980 resulting from the implementation of State energy conservation

plans; provided, however, that no State shall receive more than twenty percent of the funds available to be divided on the basis of the estimated energy savings in calendar year 1980.

(c) The budget period covered by the financial assistance provided to a State according to § 420.3(b) will be set by the State within parameters established by DOE.

(d) Each State shall provide cash, in kind contributions, or both for SECP activities in an amount totalling not less than 20 percent of the financial assistance allocated to the State under paragraph (b) of this section. Cash and in-kind contributions used to meet this State cost-sharing requirement are subject to the limitations on expenditures described in §420.12(a), but are not subject to the 20 percent limitation in §420.12(b). The type and amount of State cost sharing shall be identified in the annual application with respect to a plan. Nothing in this paragraph shall be read to require a match for petroleum violation escrow funds used under this part.

(e) Subawards which are included in a State's approved SECP plan are authorized under this part.

[48 FR 39360, Aug. 30, 1983, as amended at 53 FR 52394, Dec. 27, 1988; 57 FR 52945, Nov. 5, 1992]

$420.4 Annual State applications.

(a) To be eligible for financial assistance under this part, a State shall submit to the Support Office Director an original and two copies of the annual application executed by the Governor. The date for submission of the annual State application shall be set by DOE.

(b) With respect to a plan, an application shall include, or incorporate by reference to a previously submitted plan:

(1) A description of the energy conservation goals to be achieved, including wherever practicable, an estimate of the energy to be saved by implementation of the State plan, why they were selected, how the attainment of the goals will be measured by the State, and how the program measures included in the State plan represent a strategy to achieve these goals.

(2) For the budget period for which financial assistance will be provided:

(i) A total program budget broken out by object class category and by source of funding;

(ii) A narrative statement detailing the nature of amendments and of new program measures;

(iii) For each program measure, a budget and listing of milestones; and

(iv) An explanation of how the minimum criteria for required program measures prescribed in §420.6 shall be satisfied.

(3) A detailed description or the increase of decrease in environmental residuals expected from implementation of a plan defined insofar as possible through the use of information to be provided by DOE and an indication of how these environmental factors were considered in the selection of program measures.

(4) For program measures involving purchase or installation of materials or equipment for energy conservation or weatherization of low-income housing or schools and hospitals, an explanation of how these measures would supplement and not supplant the two existing DOE programs in these areas.

(5) Each State receiving Federal financial assistance pursuant to this section shall provide reasonable assurance to DOE that it has established policies and procedures designed to assure that Federal financial assistance under this part and under part G of this title will be used to supplement, and not to supplant, State and local funds, and to the extent practicable, to increase the amount of such funds that otherwise would be available, in the absence of such Federal financial assistance, for those programs set forth in the State energy conservation plan approved pursuant to this part.

(6) Effective October 1, 1991, to be eligible for Federal financial assistance pursuant to this section, a State shall submit to DOE, as a supplement to its energy conservation plan, an energy emergency plan for an energy supply disruption, as designed by the State consistent with applicable Federal and State law. The contingency plan provided for by the program shall include an implementation strategy or strategies (including regional coordination) for dealing with energy emergencies. The submission of such plan shall be

for informational purposes only and without any requirement of approval by DOE.

(7) Federal financial assistance made available under this part to a State may be used to develop an energy emergency plan for dealing with energy emergencies referred to in paragraph (b)(6) of this section.

(c) The Governor may request an extension of the annual submission date by submitting a written request to the Support Office Director not less than 15 days prior to the annual submission date. The extension shall be granted only if, in the Support Office Director's judgment, acceptable and substantial justification is shown, and the extension would further objectives of the Act.

(Approved by the Office of Management and Budget under control numbers 1904-0026 and 1901-0127)

[48 FR 39360, Aug. 30, 1983, as amended at 53 FR 52395, Dec. 27, 1988; 57 FR 52945, Nov. 5, 1992]

$420.5 Review and approval of annual State applications and State plans.

(a) After receipt of an application for financial assistance or for approval of an amendment to a State plan, the Support Office Director may request the State to submit within a reasonable period of time any revisions necessary to make the application complete to bring the application into compliance with the requirements of this part. The Support Office Director shall attempt to resolve any dispute over the application informally and to seek voluntary compliance. If a State fails to submit timely appropriate revisions to complete an application, the Support Office Director may reject the application as incomplete in a written decision, including a statement of reasons, which shall be subject to administrative review under § 420.9 of this part.

(b) on or before 60 days from the date that a timely filed application is complete, the Support Office Director shall decide whether DOE shall approve the application. The Support Office Director may

(1) Approve the application in whole or in part to the extent that

(1) The application conforms to the requirements of this part;

(ii) The proposed program measures are consistent with a State's achievement of its energy conservation goals in accordance with §420.4; and

(iii) The provisions of the application regarding program measures satisfy the minimum requirements prescribed by §420.6 and § 420.7 as applicable;

(2) Approve the application in whole or in part subject to special conditions designed to ensure compliance with the requirements of this part; or

(3) Disapprove the application if it does not conform to the requirements of this part.

[55 FR 41324, Oct. 10, 1990, as amended at 57 FR 52945, Nov. 5, 1992]

$420.6 Minimum criteria for required program measures for plans.

A plan shall satisfy all of the following minimum criteria for required program measures.

(a) Mandatory lighting efficiency standards for public buildings shall:

(1) Be implemented throughout the State, except that the standards shall be adopted by the State as a model code for those local governments of the State for which the State's constitution reserves the exclusive authority to adopt and implement building standards within their jurisdictions;

(2) Apply to all public buildings above a certain size, as determined by the State;

(3) For new public buildings, be no less stringent than the provisions of section 9 of ASHRAE 90-75, and should be updated by enactment of, or support for the enactment into local codes of standards, which, at a minimum, are comparable to provisions of ASHRAE/ IES 90.1-1989; and

(4) For existing public buildings, contain the elements deemed appropriate by the State.

(b) Program measures to promote the availability and use of carpools, vanpools, and public transportation shall:

(1) Have at least one of the following actions under implementation in at least one urbanized area with a population of 50,000 or more within the State or in the largest urbanized area within the State if that State does not have an urbanized area with a population of 50,000 or more:

(1) A carpool/vanpool matching and promotion campaign;

(ii) Park-and-ride lots;

(iii) Preferential traffic control for carpoolers and public transportation patrons;

(iv) Preferential parking for carpools and vanpools;

(v) Variable working schedules; (vi) Improvement in transit level of service for public transportation;

(vii) Exemption of carpools and vanpools from regulated carrier status;

(viii) Parking taxes, parking fee regulations or surcharge on parking costs; (ix) Full-cost parking fees for State and/or local government employees; (x) Urban area traffic restrictions; (xi) Geographical or time restrictions on automobile use; or

(xii) Area or facility tolls; and

(2) Be coordinated with the relevant Metropolitan Planning Organization, unless no Metropolitan Planning Organization exists in the urbanized area, and not be inconsistent with any applicable Federal requirements.

(c) Mandatory standards and policies affecting the procurement practices of the State and its political subdivisions to improve energy efficiency shall—

(1) With respect to all State procurement and with respect to procurement of political subdivisions to the extent determined feasible by the State, be under implementation; and

(2) Contain the elements deemed appropriate by the State to improve energy efficiency through the procurement practices of the State and its political subdivisions.

(d) Mandatory thermal efficiency standards for new and renovated buildings shall

(1) Be implemented throughout the State, with respect to all buildings other than exempted buildings, except that the standards shall be adopted by the State as a model code for those local governments of the State for which the State's constitution reserves the exclusive authority to adopt and implement building standards within their jurisdictions;

(2) Take into account the exterior envelope physical characteristics, HVAC system selection and configuration, HVAC equipment performance and

E

service water heating design and equipment selection;

(3) For all new commercial and multifamily high-rise buildings, be no less stringent than provisions of sections 49 of ASHRAE 90-75, and should be updated by enactment of, or support for the enactment into local codes of standards, which, at a minimum, are comparable to provisions of ASHRAE/ IES 90.1-1989; and

(4) For all new single-family and multifamily low-rise residential buildings, be no less stringent than either HUD minimum property standards or a standard consistent with sections 4-9 of ASHRAE 90–75, and should be updated by enactment of, or support for the enactment into local codes of standards, I which, at a minimum, are comparable to CABO MEC-89;

(5) For renovated buildings:

(1) Apply to those buildings deterImined by the State to be renovated buildings; and

(ii) Contain the elements deemed appropriate by the State regarding thermal efficiency standards for renovated buildings.

(e) A traffic law or regulation which permits the operator of a motor vehicle to make a right turn at a red light after stopping shall:

(1) Be in a State's motor vehicle code and under implementation throughout all political subdivisions of the State, except as provided in paragraph (e)(3) of this section;

(2) Permit the operator of a motor vehicle to make a right turn (left turn with respect to the Virgin Islands) at a red traffic light after stopping except where specifically prohibited by a traffic sign for reasons of safety or except where generally prohibited in an urban enclave for reasons of safety; and

(3) For any State without such traffic law or regulation in effect before December 31, 1978, be ready for implementation by June 27, 1979, and fully meet the requirements of paragraphs (e)(1) and (2) of this section thereafter.

(f) Procedures must exist for ensuring effective coordination among various local, State, and Federal energy conservation programs within the State, including any program administered within the Office of Technical and Financial Assistance of the De

partment of Energy and the Low Income Home Energy Assistance Program administered by the Department of Health and Human Services.

[48 FR 39360, Aug. 30, 1983, as amended at 57 FR 52945, Nov. 5, 1992]

§ 420.7 Optional elements of State energy conservation plans.

(a) Other appropriate measures or programs to conserve and to promote efficiency in the use of energy may be included in the State plan. These measures or programs may include, but are not limited to, the following:

(1) Programs of public education to promote energy conservation;

(2) Programs to increase transportation energy efficiency, including programs to accelerate the use of alternative transportation fuels for State government vehicles, fleet vehicles, taxis, mass transit, and privately owned vehicles;

(3) Programs for financing energy efficiency and renewable energy capital investments, projects, and programs

(1) Which may include loan programs and performance contracting programs for leveraging of additional public and private sector funds and programs which allow rebates, grants, or other incentives for the purchase and installation of eligible energy efficiency and renewable energy measures; or

(ii) In addition to or in lieu of programs described in paragraph (a)(3)(i) of this section, which may be used in connection with public or nonprofit buildings owned and operated by a State, a political subdivision of a State or an agency or instrumentality of a State, or an organization exempt from taxation under section 501(c)(3) of the Internal Revenue Code of 1986;

(4) Programs for encouraging and for carrying out energy audits with respect to buildings and industrial facilities (including industrial processes) within the State;

(5) Programs to promote the adoption of integrated energy plans which provide for:

(1) Periodic evaluation of a State's energy needs, available energy resources (including greater energy efficiency), and energy costs; and

(ii) Utilization of adequate and reliable energy supplies, including greater