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merce, 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 diIvided 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 sup

plemental 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) The Operations Office Manager shall review each timely annual application and provide financial assistance if he or she determines that:

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

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

(3) The provisions of the application regarding program measures satisfy the minimum program requirements prescribed by § 420.6.

(b) If the annual application is not approved according to paragraph (a) of this section, the Operations Office Manager shall return it to the State together with a written statement describing why the annual application fails to meet the requirements of this part. The State will be given a reasonable period of time, as determined by the Operations Office Manager, to amend its annual application and submit it for reconsideration according to paragraph (a) of this section.

§ 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 (e)(1) and (2) of this section thereafter.

§ 420.7 Minimum criteria for required program measures for supplemental plans. A supplemental plan shall satisfy all of the following minimum criteria for required measures.

(a) Procedures for carrying out a continuing public education effort to increase significantly public awareness of the energy and cost savings which are likely to result from the implementation, including implementation through group efforts, of energy measures shall:

(1) Be under implementation; and

(2) Provide a public awareness program regarding energy audits with respect to buildings and industrial plants which at least includes a campaign publicizing the availability of energy audits in at least one urbanized area with a population greater than 50,000 or in the largest urbanized area within a State if the State does not have an urbanized area with a population of 50,000 or more. The campaign must make clear reference to the range of technical assistance available to the owner or occupant of the building or industrial plant and provide a point of contact with the organization administering the energy audits, including a telephone number;

(b) Procedures for carrying out a continuing public education effort to increase significantly public awareness of information and other assistance,

including information as to available technical assistance, which is or may be available with respect to the planning, financing, installing, and monitoring the effectiveness of measures likely to conserve, or to improve efficiency in the use of energy, including energy measures shall:

(1) Be in place and under implementation; and

(2) Contain the elements considered appropriate by a State.

(c) Procedures for ensuring that effective coordination exists among various local, State and Federal energy conservation programs within and affecting such State, including the comprehensive energy extension service program, under 10 CFR Part 465, shall:

(1) Be in place and under implementation; and

(2) Contain provisions for activities considered appropriate by a State such as coordinating local and State agencies to prevent duplication of energy conservation activities or conducting public hearings to ensure that individuals and groups concerned with program measures to be incorporated in a plan or supplemental plan and all other energy conservation programs in the State, shall be afforded the opportunity to paricipate in their development, implementation, and modification.

(d) Procedures for encouraging and for carrying out energy audits with respect to buildings and industrial plants shall:

(1) Be under implementation throughout all political subdivisions of the State;

(2) Be in accordance with Subpart B of the 10 CFR Part 450; and

(3) Provide and make available, to the extent feasible, Class A energy audits in at least one political subdivision for the buildings or industrial plants in at least one of the following categories and as many Class C energy audits as are practicable within the State in the remaining categories:

(i) Apartment buildings;
(ii) Educational institutions;
(iii) Hospitals;

(iv) Hotels and motels;

(v) Industrial plants;

(vi) Office buildings;

(vii) Restaurants; (viii) Retail stores;

(ix) Transportation terminals; and (x) Warehouses and storage facilities; and

(4) Make available Class B or C audits to all individuals, as requested by such individuals, who are occupants of residential dwelling units in a State at no direct cost to those persons.

§ 420.8 Extensions for compliance with required program measures.

An extension of time by which a required program measure must be ready for implementation may be granted if DOE determines that the extension is justified. A written request for an extension, with accompa nying justification and an action plan acceptable to DOE for achieving compliance in the shortest reasonable time, shall be made to the appropriate Operations Office Manager. Any extension shall be only for the shortest reasonable time that DOE determines necessary to achieve compliance. The action plan shall contain a schedule for full compliance and shall identify and make the most reasonable commitment possible to provision of the resources necessary for achieving the scheduled compliance.

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(1) A statement of the reasons for the intended denial, termination or suspension of financial assistance, including an explanation of whether any amendments or other actions would result in compliance with this part;

(2) The date, place and time of a public hearing to be held by a review panel concerning the intended denial, termination or suspension of financial assistance, the hearing to be held within 15 working days after the date of receipt by the Governor of the notice; and

(3) The manner in which views may be presented.

(d) The Governor may submit written views with supporting data to the Operations Office Manager on or prior to the date of the public hearing and shall be offered an opportunity to make an oral presentation at the public hearing.

(e) No person who is a member of the SECP office shall be a member of the review panel. The review panel shall be appointed by the Operations Office Manager and shall consist of:

(1) One person generally representative of State interests other than a person who represents the interests of the State whose application is being considered;

(2) One person representative of DOE; and

(3) One person representative of the SECP target audiences in the State affected.

(f) The review panel shall consider all relevant views and data submitted on or prior to the date of the public hearing. The review panel shall submit a written report containing its findings and recommendations to the Operations Office Manager within 10 working days after the date of the public hearing.

(g) The Operations Office Manager shall submit the report, together with his or her recommendations, to the Secretary within 5 working days after receipt of the report.

(h) The Secretary shall issue a final determination, accompanied by a statement of the reasons for the actions taken, within 10 working days after receipt of the submission from the Operations Office Manager.

(i) Upon issuance of the notice referred to in paragraphs (a) and (b) of this section, the Secretary may suspend financial assistance to the grantee pending a final determination. If the Secretary makes a final determination adverse to the grantee, the Operations Office Manager may terminate continued financial assistance to the grantee.

§ 420.10 Technical assistance.

At the request of the Governor of any State to DOE and subject to the availability of personnel and funds, DOE will provide information and technical assistance to the State in connection with effectuating the purposes of this part.

§ 420.11 Reports.

Each State receiving financial assistance under this part shall submit to the Operations Office Manager:

(a) A quarterly program performance report and a quarterly financial status report. The reports shall contain such information as the Secretary may prescribe in order to monitor effectively the implementation of a plan or supplemental plan. The reports shall be submitted within 30 days following the end of each calendar year quarter.

(b) An annual energy savings report. The report shall contain such information concerning energy savings as the Secretary may prescribe and shall be submitted once a year at a time determined by the Secretary.

(Approved by the Office of Management and Budget under control numbers 19040026 and 1901-0127)

§ 420.12 Prohibited expenditures.

(a) No financial assistance provided to a State under this part shall be used:

(1) For construction, such as construction of mass transit systems and exclusive bus lanes, or for construction or repair of buildings or structures;

(2) To purchase land, a building or structure or any interest therein;

(3) To subsidize fares for public transportation;

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