tions to alternative energy sources, including coal;

(8) Caulking and weatherstripping; (9) Replacement or modification of lighting fixtures to increase the energy efficiency of the lighting I system without increasing the overall illumination of a building, unless such E increase in illumination is necessary to conform to any applicable State or local building code or, if no such code applies, the increase is considered appropriate by the Secretary;

(10) Energy recovery systems; (11) Cogeneration systems which : produce steam or forms of energy such as heat, as well as electricity for use primarily within a building or a complex of buildings owned by a school or hospital and which meet such fuel efficiency requirements as the Secretary may by rule prescribe;

(12) Such other measures as the Secretary identifies by rule for purposes of this part, as set forth in Subpart D of this part; and

(13) Such other measures as a grant application shows will save a substantial amount of energy and as are identified in an energy audit in accordance with Subpart C of this part.

"Fuel" means any commercial source of energy used within the building or complex being surveyed such as natural gas, fuel oil, electricity or coal.

"Gross square feet" means the sum of all heated or cooled floor areas enclosed in a building, calculated from the outside dimensions, or from the centerline of common walls.

"Heating or cooling system" means any mechanical system for heating or cooling areas of a building. For purposes of this subpart, any mechanical system for distributing air throughout the building is considered a cooling system.

"Hospital" means a public or nonprofit institution which is a general hospital, tuberculosis hospital, or any other type of hospital, other than a hospital furnishing primarily domiciliary care; and is duly authorized to provide hospital services under the laws of the State in which it is situated.

"Hospital facilities" means buildings housing a hospital and related facilities, including laboratories, laundries, outpatient departments, nurses' home

and training facilities and central service facilities operated in connection with a hospital, and also includes buildings housing education or training facilities for health professions personnel operated as an integral part of a hospital.

"Indian tribe" means any tribe, band, nation, or other organized group or community of Indians, including any Alaska 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 (a) is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians; or (b) is located on, or in proximity to, a Federal or State reservation or rancheria.

"Local educational agency" means a public board of education or other public authority or a non-profit institution legally constituted within, or otherwise recognized by, a State for either administrative control or direction of, or to perform administrative services for, a group of schools within a State.

"Maintenance" means activities undertaken in a building to assure that equipment and energy-using systems operate effectively and efficiently.

"Operating" means the operation of equipment and energy-using systems in a building to achieve or maintain specified levels of environmental conditions or service.

"Preliminary energy audit" means a determination of the energy consumption characteristics of a building, including the size, type, rate of energy consumption, and major energy-using systems of such building.

stay of at least 30 days for at least 10 minor persons who are in the care of such institution as a result of a finding of abandonment or neglect or of being persons in need of treatment or supervision.

"Public or nonprofit institution" means an institution owned and operated by

(1) A State, a political subdivision of a State or an agency or instrumentality of either;

(2) A school or hospital which is, or would be in the case of such entities situated in America Samoa, Guam, Puerto Rico and the Virgin Islands, exempt from income tax under section 501(c)(3) of the Internal Revenue Code of 1954; or

(3) A unit of local government or a public care institution which is, or would be in the case of such entities situated in America Samoa, Guam, Puerto Rico and the Virgin Islands, exempt from income tax under section 501(c)(3) or 501(c)(4) of the Internal Revenue Code of 1954.

"School" means a public or nonprofit institution which

(1) Provides, and is legally authorized to provide, elementary education or secondary education, or both on a day or residential basis;

(2)(A) Provides, and is legally authorized to provide, a program of education beyond secondary education, on a day or residential basis;

(B) Admits as students only persons having a certificate of graduation from a school providing secondary education, or the recognized equivalent of such certificate;

(C) Is accredited by a nationally recognized accrediting agency or association; and

(B), and (C) of paragraph (2) of this definition; or

(4) Is a local education agency.

"School facilities" means buildings housing classrooms, laboratories, dormitories, athletic facilities, or related facilities operated in connection with a school.

"State" means, in addition to the several States of the Union, the District of Columbia, Puerto Rico, Guam, American Samoa, and the Virgin Islands.

"Unit of local government" means the government of a county, municipality, parish, borough, or township, which is a unit of general purpose gov. ernment below the State, determined on the basis of the same principles as are used by the Bureau of the Census for general statistical purposes; the District of Columbia, American Samoa, Guam and the Virgin Islands; the recognized governing body of an Indian tribe which governing body performs substantial governmental functions; libraries owned by any of the foregoing; and public libraries which servce all residents of a political subdivision below the State level, such as a community, district or region, free of charge and which derive at least 40 percent of their operating funds from tax revenues of a taxing authority below the State level.

§ 450.42 Contents of a preliminary energy audit.

(a) A preliminary energy audit shall provide a description of the building or complex audited and determine its energy-using characteristics, including

(1) The name or other identification, and address of the building;

(2) A statement that the building meets the requirements of one of the following categories

(i) A school facility;

(ii) A hospital facility; or

(iii) A building owned and primarily occupied either by offices or agencies of a unit of local government or by a public care institution, neither of which shall include any building intended for seasonal use or any building used primarily by a school or hospital;

(3) A description of the functional use made of the building identifying whether it is a(i) School

(A) Elementary;

(B) Secondary;

(C) College or university;

(D) Vocational;

(E) Local education agency administrative building; or

(F) Other;

(ii) Hospital

(A) General;

(B) Tuberculosis; or

(C) Other;

(iii) Local government building—

(A) Office;

(B) Storage;

(C) Service;

(D) Library;

(E) Police station;

(F) Fire station; or

(G) Other; or

(iv) Public care building

(A) Nursing home;

(B) Long term care other than a nursing home;

(C) Rehabilitation facility;
(D) Public health center; or

(E) Residential child care center;

(4) The name and address of the owner of record, indicating whether owned by a public institution, private nonprofit institution or an Indian tribe;

(5) The size of the building, expressed in gross square feet;

(6) The age of the building;

(7) Approximate daily hours of operation, including periods of partial use if applicable;

(8) An indication of whether the building is partially used during vacation periods or other times when the building is not fully utilized, for periods of a week or more, by quarter; (9) An identification of major energy-using systems, including(i) Type of heating system or cooling system or both;

(ii) Fuel used for heating system, cooling system;

(iii) Fuel used for domestic hot water, such as electric or natural gas; (iv) Special energy using systems, such as food service or laundry; and (v) Lighting, such as incandescent or fluorescent;

(10) Fuel use in physical units and cost data by type for a preceding 12

month period, by month if practicable, using actual data or an estimate if actual figures are unavailable;

(11) Total annual energy use expressed in Btu's per gross square foot and energy cost per gross square foot. Energy use shall be calculated using the conversion factors set forth below

(i) Electricity-11,600 Btu per kilowatt hour.

(ii) Natural gas-1,030 Btu per cubic foot.

(iii) Distillate fuel oil-138,690 Btu per gallon.

(iv) Residual fuel oil-149,690 Btu per gallon.

(v) Coal-24.5 million Btu per standard short ton.

(vi) Liquified petroleum gases including propane and butane-95,475 Btu per gallon.

(vii) Steam-1,390 Btu per pound. Conversion factors may be taken from engineering reference manuals for fuels not listed.

(b) A preliminary energy audit shall provide a brief description of activities which have been undertaken to conserve energy in the building or complex being audited, including wheth

er

(1) A person has been designated to monitor and evaluate energy use;

(2) Work partially or fully satisfying the requirements of an energy audit has been performed;

(3) Detailed studies have been conducted by architects, engineers or architect-engineer teams of energy use and energy conservation; and

(4) Any major energy conservation measures have been implemented, together with a listing of such measures, and estimates of their costs and energy savings if available.

(c) A preliminary energy audit shall provide information regarding site, building, and heating and hot water systems related to solar energy or other renewable resource potential including

(1) An indication of whether open land, such as fields, yards and parking areas, is available within the immediate vicinity of the building which is not heavily shaded by tall buildings, trees or other obstructions;

(2) A statement of whether the building is located generally within an urban, suburban or rural area;

(3) An approximation of whether more than half the building's roof area or southern oriented wall surface is heavily shaded by shrubs, trees, buildings or other obstructions for more than about four hours per day; (4) The number of stories;

(5) A general description of the building's shape, such as square, rectangular, E-shaped, H-shaped or Lshaped;

(6) An indication of whether the roof is flat or pitched, and if pitched whether it has a southern orientation;

(7) Whether there are existing rooftop obstructions, such as chimneys, space conditioning equipment, water towers, mechanical rooms, stairwells or other permanent structures;

(8) An indication of the exterior material of the southern facing wall, such as masonry, wood, aluminum;

(9) An approximation of the proportion of glass area of the southern facing wall, such as less than 25 percent, 25-75 percent, more than 75 percent;

(10) Location of primary space heating and water heating systems

(i) Whether outside of or within the building;

(ii) If within the building, whether on the ground floor, in the basement, or on the roof; and

(iii) If within the building, whether centrally located, in multiple units, or a combination thereof.

§ 450.43 Contents of an energy audit.

(a) An energy audit shall contain the information required for a preliminary energy audit, in accordance with § 450.42, and shall also include a description of

(1) Major changes in functional use or mode of operation planned in the next fifteen years, such as demolition, disposal, rehabilitation, or conversion from office to warehouse;

(2) For a building in excess of 200,000 gross square feet, if available(i) Peak electric demand for both daily and annual cycles; and

(ii) Annual energy use by fuel type of the major mechancial or electrical

systems if the information is available or can be reasonably estimated;

(3) Terminal heating or cooling, or both, such as radiators, unit ventilators, fancoil units, or double-duct reheat systems;

(4) Building site and structual characteristics related to solar energy or other renewable resource potential, including but not limited to

(i) Climatic factors, specifically— (A) Average annual heating degree days and cooling degree days;

(B) Average solar insolation by month;

(C) Average monthly wind speed; and

(ii) Roof characteristics, including(A) An identification of primary structural component such as steel, wood, concrete; and

(B) Type of roofing material such as shingles, slate, or built-up materials; and

(5) A description of general building conditions.

(b) An energy audit shall

(1) Indicate that appropriate energy conservation maintenance and operating procedures have been implemented for the building, supported by a demonstration based on actual records, that energy use has been reduced in a given year through changes in maintenance and operating procedures, by not less than 20 percent from a corresponding base period having a degree day variance of less than 10 percent;

or

(2) Recommend appropriate energy conservation maintenance and operating procedures, on the basis of an onsite inspection and review of any scheduled preventive maintenance plan, together with a general estimate or range of energy and cost savings if practical, which may result from

(i) Effective operation of ventilation systems and control of infiltration conditions, including—

(A) Repair of caulking or weatherstripping around windows and doors;

(B) Reduction of outside air intake, shutting down ventilation systems in unoccupied areas, and shutting down ventilation systems when the building is not occupied; and

(C) Assuring central or unitary ventilation controls, or both, are operating properly;

(ii) Changes in the operation of heating or cooling systems through(A) Lowering or raising indoor temperatures;

(B) Locking thermostats;

(C) Adjusting supply or heat transfer medium temperatures; and

(D) Reducing or eliminating heating or cooling at night or at times when a building or complex is unoccupied;

(iii) Changes in the operation of lighting systems through

(A) Reducing illumination levels; (B) Maximizing use of daylight; (C) Using higher efficiency lamps; and

(D) Reducing or eliminating evening cleaning of buildings;

(iv) Changes in the operation of water systems through

(A) Repairing leaks;

(B) Reducing the quantity of water used, e.g., flow restrictors;

(C) Lowering settings for hot water temperatures;

(D) Raising settings for chilled water temperatures; and

(v) Changes in the maintenance and operating procedures of the utility plant and distribution system through

(A) Cleaning equipment;
(B) Adjusting air/fuel ratio;
(C) Monitoring combustion;

(D) Adjusting fan, motor, or belt drive systems;

(E) Maintaining steam traps; and (F) Repairing distribution pipe insulation; and

(vi) Such other actions as the State may determine useful or necessary, consistent with the purposes of the energy audit and acceptable cost constraints of § 450.46.

(c) Based on information gathered under paragraphs (a) and (b) of § 450.42, and paragraphs (a)(1) and (3) of this section, an energy audit shall indicate the need, if any, for the acquisition and installation of energy conservation measures and shall include an evaluation of the need and potential for retrofit based on consideration of one or more of the following

(1) An energy use index or indices, for example, Btu's per gross square foot per year;

(2) An energy cost index or indices, for example, annual energy costs per gross square foot; or

(3) The physical characteristics of the building envelope and major energy-using systems.

(d) Based on information gathered under paragraph (c) of § 450.42 and paragraph (a)(4) of this section, an energy audit shall include an indication of whether building conditions or characteristics present an opportunity for use of solar heating and cooling systems or solar hot water systems.

(e) An energy audit may include an assessment of the estimated costs and energy and cost savings likely to result from the purchase and installation of one or more energy conservation meas

ures.

[44 FR 19351, Apr. 2, 1979; 44 FR 61317, Oct. 24, 1979]

§ 450.44 Auditor qualifications.

Subject to the approval of the Secretary, a State shall develop procedures for establishing the qualifications of auditors who will conduct energy audits in accordance with Subpart B of 10 CFR Part 455 which

(a) Ascertain that a person conducting the energy audit is qualified by virtue of successful completion of an approved training program or demonstration of equivalent skills gained by prior training and experience, together with familiarity with the systems and operations of the types of buildings being audited.

(b) Assure that the person responsible for the energy audit is not the person directly responsible for the day-to-day operation of the building being audited.

(c) Assure disclosure by an auditor of her or his financial interests relating to the energy audit or any energy conservation measures, including solar energy or renewable resource measures, reviewed or recommended by the audit.

§ 450.45 Audit reports.

(a) The results of a preliminary energy audit or an energy audit, con