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.

Energy conservation measure means a measure which is identified as an energy conservation measure in accordance with Subpart D of 10 CFR Part 450.

Energy measure means an energy conservation measure or a renewableresource energy measure as prescribed in Subpart D of 10 CFR Part 450.

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.

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.

Operations Office Manager means the manager of a DOE Operations Office or the manager's designee, or any official to whom the manager's functions may be redelegated by the Secretary.

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.

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.

State means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States.

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. 63726372i.

Supplemental plan means a supplemental State energy conservation plan including required program measures in accordance with § 420.7 and otherwise meeting the applicable provisions of this part.

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 a 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]

§ 420.3 Financial assistance.

(a) The Operations Office Manager 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, a supplemental plan, or both.

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

(1) Seventy-five 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; and

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

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

(e) 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.

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

[48 FR 39360, Aug. 30, 1983, as amended at 53 FR 52394, Dec. 27, 1988]

§ 420.4 Annual State applications.

(a) To be eligible for financial assistance under this part, a State shall submit to the Operations Office Manager 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) An application shall include with respect to either a plan or supplemental plan or both:

(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 for plans and § 420.7 for supplemental plans shall be satisfied.

(3) A detailed description of the increase or decrease in environmental residuals expected from implementation of either a plan or supplemental plan, or both, 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.

(c) The Governor may request an extension of the annual submission date by submitting a written request to the Operations Office Manager not less than 15 days prior to the annual submission date. The extension shall be granted only if, in the Operations Office Manager'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 19040026 and 1901-0127)

[48 FR 39360, Aug. 30, 1983, as amended at 53 FR 52395, Dec. 27, 1988]

§ 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 Operations Office Manager 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 Operations Office Manager 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 Operations Office Manager 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 Operations Office Manager shall decide whether DOE shall approve the application. The Operations Office Manager may—

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

(i) 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]

§ 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 provisions of Section 9 of ASHRAE 90-75; 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:

(i) 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 service water heating design and equipment selection;

(3) For all new commercial buildings, be no less stringent than a standard consistent with provisions of Sections 4-9 of ASHRAE 90-75, unless the operation of section 327 of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6297, renders reliance on such standard to be impracticable;

(4) For all new residential buildings, be no less stringent than either the HUD minimum property standards or a standard consistent with the provisions of Sections 4-9 of ASHRAE 9075, unless the operation of Section 327 of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6297, renders reliance on such standards to be impracticable; and

(5) For renovated buildings:

(i) Apply to those buildings determined 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