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Alaska State Plan Instititional Conservation Program 1994
Alaska State Plan for Technical Assistance Programs and Energy Conservation Measures under the Institutional Conservation Program Prepared for and Approved by: U.S. Department of Energy Seattle Regional Support Office 800 Fifth Avenue, Suite 3950 Seattle, Washington 98104 August, 1993 Updated October, 1994 STATE OF ALASKA Department of Community and Regional Affairs Division of Energy 333 West Fourth Avenue, Suite 220 Anchorage, Alaska 99503 ALASKA STATE PLAN INSTITUTIONAL CONSERVATION PROGRAM Table of Contents Page INTRODUCTION .- -© «© © © © © © © © © © ee ww 1 SECTION 1 STATE PLAN DEVELOPMENT 7 A. New Regulation B. Soliciting Comments c. Copies of the State Plan and Amendments D. Program Manager SECTION 2 GRANT APPLICATIONS FROM ELIGIBLE INSTITUTIONS ... 3 A. Procedures for Soliciting Grant Applications B. Schedule of Events c Submittal of Grant Applications to the State SECTION 3 REQUIREMENTS FOR APPLICATIONS FOR TECHNICAL ASSISTANCE STUDIES (TAS) AND ENERGY CONSERVATION MEASURES (ECM) 4 A. Requirements for Applications for Technical Assistance Studies (TAS), and Energy Conservation Measures (ECM) B. Workshop Sessions SECTION 4 STATE EVALUATION, SCORING AND RANKING OF APPLICATIONS . 4 AS Evaluation of Applications B. Scoring TAS and ECM Applications Cs Engineer's Review of TAS D. Economic Hardship E. Ranking Grant Applications F. Insufficient Funds G. Preparing and Forwarding Lists to USDOE H. Letters to Applicants SECTION 5 EQUITABLE ALLOCATION OF PROGRAM FUNDS. ... . a 7 SECTION 6 SEVERE HARDSHIP. . . . . .- 1. 2 © © © ee we we we ee ew we 8 SECTION 7 RENEWABLE RESOURCES. .. . . 2. - + e+ 2 © ee ee we eee 9 SECTION 8 COMPLIANCE WITH REQUIREMENTS .... +... s+ + e+ e+ eee 10 A. Complying with Federal Regulation and State Plan B. Compliance Monitoring SECTION 9 MARKETING, PROGRAM, AND TECHNICAL ASSISTANCE PROGRAMS. . 10 SECTION 10 ENERGY AUDIT AND ENERGY USE EVALUATION. .......-. 10 SECTION SECTION SECTION SECTION SECTION SECTION SECTION SECTION SECTION SECTION 11 12 13 14 15 16 oY) 18 13 20 A. Energy Audit B. Energy Use Evaluation OPERATIONS AND MAINTENANCE (O&M) PROCEDURES .. IN Operations and Maintenance Procedures B. Justification for Nonimplementation SUPPLEMENTAL FUNDING ele se) ce ere 6 GRANT MANAGEMENT, COMPLIANCE, AND EVALUATION . A. Grant Management B. Grant Monitoring UPDATED TECHNICAL ASSISTANCE STUDIES (TAS) AND REQUIREMENTS FOR TAS ANALYSTS .......-. A. Updated Technical Assistance Studies (TAS) B. Requirements for TAS Analysts ACCEPTING PREVIOUS APPLICATIONS ........ CONVERSION FACTORS AND COST-EFFECTIVENESS TEST . A. Conversion Factors B. Cost-Effective Test COORDINATING AGENCY. . . . . 2+ + 2+ s+ e+ © se we ee CREDIT FOR TAS AND ECM... .. +--+ s+ © es ee LIMIT OF FEDERAL SHARE ........+ + + +4646 STATE ADMINISTRATIVE GRANT APPLICATION. ... . A. Submission of State Administrative Grant Application B. Amendments to the State Application 11 12 13 15 15 16 16 16 17 17 ALASKA STATE PLAN INSTITUTIONAL CONSERVATION PROGRAM INTRODUCTION The National Energy Conservation Policy Act of 1978, P.L. 95-619, established the Institutional Conservation Program (ICP). This program is administered at the federal level by the U.S. Department of Energy (USDOE), under terms of Title 10, Code of Federal Regulations, Part 455. A copy of the regulation is contained in Appendix B. The program's basic goal is to reduce energy use and costs in institutional buildings. In the State of Alaska, the Affordable Housing and Energy Efficiency Department of the Alaska Housing Finance Corporation is the agency given the responsibility for administering the Program in accordance with Federal regulations. The State of Alaska has administered the ICP in Alaska since 1979. The State is also participating in the other three federal energy conservation programs which are the State Energy Conservation Program, the Energy Extension Service, and the Low-Income Weatherization Program. ICP along with these other programs encompass the major extent of the State's efforts to improve the energy efficiency of existing and future buildings. This State Plan is governed by the new revision of the Federal program regulations, 10 CFR 455, dated February 19, 1993. The Institutional Conservation Program objectives in Alaska are: as To reduce energy consumption in institutional buildings; Zr To demonstrate the cost-effectiveness and technical viability of implementing energy conservation and renewable energy measures; 25 To encourage implementation of effective energy conservation measures without program grant funds; and 4. To provide education and training of engineers, personnel of the participating institutions, and others in the community who are affected by the improvements in ways that they can increase the energy-saving benefits. The format of this plan is designed to provide the users easy access to the information they need. All the Federal and State requirements for the energy use evaluation (EUE) and the technical assistance study (TAS) are contained in two separate complete packages in Appendices A and B. Appendix C provides the scoring method for energy conservation measure grant applications by building. SECTION 1 STATE PLAN DEVELOPMENT 455.20 Each State shall develop and submit to DOE a State Plan for technical assistance programs and energy conservation measures, including renewable resource measures and, to the extent appropriate, program assistance, and/or marketing. A. New ICP Regulation: The State of Alaska has developed this State Plan to implement the provisions of the Institutional Conservation Program as required by 10 CFR 455, Grant Programs for Schools and Hospitals and Buildings Owned by Units of Local Governments and Public Care 4 Institutions; Final Rule, dated February 19, 1993. This plan replaces all previously approved plans in their entirety. Throughout the State Plan, wherever relevant, the corresponding citation from 10 CFR 455.20 and 455.21, is shown in boxes. 455.20(a) A statement setting forth the procedures by which the views of eligible institutions or coordinating agencies representing such institutions, or both, were solicited and considered during development of the State Plan and any amendment to a State Plan; B. Soliciting Comments: In developing this plan, comments were solicited from the representative agencies representing the eligible institutions. The following are the representative agencies whose views were solicited during this plan development: Representative State Agency Representing Division of Municipal and Local Governments Regional Assistance, Department of Community and Regional Affairs Educational Finance & Support Schools Services, Department of Education Division of Planning, Hospitals, Public Care, Department of Health and Nursing Homes, Rehabili- Social Services tation Centers, Schools for Mentally Retarded University of Alaska University system Comments have been solicited from these agencies, but none have been received 455.20(b) The procedures the State will follow to notify eligible institutions and coordinating agencies of the content of the approved State Plan or any approved amendment to a State Plan; . Copies of the State Plan and Amendments: Copies of this approved State Plan and future amendments will be sent to the representative agencies listed above. Eligible institutions will be informed of any changes relevant to them when they apply for ICP grants. Copies of the entire State Plan and amendments will be provided to any eligible institution, technical assistance analyst, architect, or engineer upon request, by contacting the State ICP Manager, at the following address: ICP Manager Department of Community and Regional Affairs Division of Energy 333 West Fourth Avenue, Suite 220 Anchorage, AK 99503 (907) 269-4631 D. Program Manager: The State shall designate a Program Manager (PM) in the Alask ger is responsible for developing the State Plan and ensuring that the approved State Plan is adhered to. The PM shall ensure that financial assistance provided under the program is expended in compliance with this Plan and with 10 CFR 455. 5 SECTION 2 GRANT APPLICATIONS FROM ELIGIBLE INSTITUTIONS 455.20(c) The procedures the State will follow to notify eligible | institutions and coordinating agencies of the availability (each funding | cycle) of funding under this program and related funding available from non- | Federal sources to fund technical assistance programs and energy conservation measures consistent with this part; A. Procedures for Soliciting Grant Applications a Notifying Eligible Institutions: At the beginning of the funding cycle, the State will notify eligible institutions of the current grant cycle. This mailing will include notification of the current grant cycle, percentage of available funding for TAS and ECM grants, as well as severe hardship, and other types of funding under this program, application form, procedures for submitting applications, schedules, and requirements. 2) Outreach to Institutions: It will be the responsibility of the Program Manager to identify and contact potential institutions which have not previously participated in the program in order to encourage implementation of effective energy conservation measures B. Schedule of Events: The general schedule of events for a grant cycle are conta for submittal of grant applic 14 Application Forms: The State uses the application form approved by the USDOE and included with this Plan for use in Alaska. Copies of the application documents for a funding cycle will be available at any time during the funding cycle by writing to the ICP Manager: ICP Manager Department of Community and Regional Affairs Division of Energy 333 West Fourth Avenue, Suite 220 Anchorage, AK 99503 (907) 269-4631 2) Submitting Applications: All completed institutional grant applications must be postmarked or received at the above address before the application deadline established for each grant cycle. The State will receive, date, and log all applications. The State will then review, evaluate, and rank the applications as detailed in Sections 3 and 4 of this Plan. 3. Application Corrections and Amendments: Grant applicants can make corrections and amendments to their applications anytime during the review process in order to ensure the submission of correct applications to the USDOE. Corrections and amendments to applications will be received at the same address as the initial submission at any time before the deadline established by the 6 State. 4. Deficient or Ineligible Applications: The applicant of a deficient application will be notified by letter or telephone of the application deficiencies and of the deadline for submitting amendments and corrections. Ineligible applications will be returned to the applicant with a letter stating the reasons for the ineligibility. SECTION 3 REQUIREMENTS FOR APPLICATIONS FOR TECHNICAL ASSISTANCE STUDIES (TAS) AND ENERGY CONSERVATION MEASURES (ECM) A. Requirements for Applications for Technical Assistance Studies, and Energy Conservation Measures: Applications for technical assistance study (TAS) grants and energy conservation measures (ECM) grants must meet the requirements of 10 CFR 455, Subparts E, F, and J, dated February 19, 1993, and of this Plan. Additional requirements include: 1. TAS Grants: All applications for technical assistance study grants require an energy use evaluation (EUE) using the approved form (See Appendix A) and with information that is current within the most recent 12-month period (preferably July lst to June 30th) . 2a ECM Grants: All applications for implementing capital improvement energy conservation measures (ECM) require a technical assistance study (TAS) as detailed in Appendix B with information that is current within the most recent 12-month period and an energy use evaluation (EUE) as described above. B. Workshop Sessions: The State may conduct workshop sessions to inform the participating institutions and their technical analysts on the application procedures, technical requirements, and the review process. The State PM will be available during the grant cycle to provide advice in filling out the application. SECTION 4 STATE EVALUATION, SCORING AND RANKING OF APPLICATIONS 455.20(e) The procedures to be used by the State for evaluating and ranking technical assistance and energy conservation measure grant applications pursuant to Section 455.130 and Section 455.131, including the weights assigned to each criterion set forth in Sections 455.131 (c)(1) thru (c) (5). In addition, the State shall determine the order of priority given to fuel types that includes oil, natural gas, and electricity under Section 455.131(c) (2). A. Evaluation of Applications: The State will provide an evaluation of the following areas to determine whether the applicant is eligible to participate in an ICP activity: i. Compliance with ICP Rule and State Plan: Verify that the application is in compliance with 10 CFR 455, Subparts E, F, and J, subparagraph 455.130(b), and this State Plan including the determination of an institution's eligibility and whether the application indicates that Federal funds are supplementing, and 7 not supplanting, the applicant's matching share. 2. State Agency Certification: Applications from schools and hospitals, that are in compliance with 10 CFR 455, Subparts E, F, and J, will be forwarded to the appropriate State agency for certification as required by 10 CFR 455.130(b). For more detail, see SECTION 13 of this State Plan. Scoring TAS and ECM Applications: All eligible applications that are determined to be complete following the above evaluation process by the State will be scored by the State. a Scoring TAS Applications: Applications for funding for technical assistance studies will be scored for each building using the total annual energy cost per square foot from question 15b of the energy use evaluation report (EUE). For example, an annual cost of $2.50 per gross square foot would equal a score of 250. (This score would rank higher than a score of 225.) 2. Scoring ECM Applications: Applications for funding to implement energy conservation measures will be reviewed to determine that they meet the requirements of 10 CFR 455.71 and then evaluated and scored as described in Appendix C, "Energy Conservation Measure Application Evaluation" for each building. Several buildings may be grouped as a single building for evaluation purposes if a single energy conservation measure (ECM) involves all those buildings. Engineer's Review of TAS: A consultant engineer may be used by the State to review TAs for accuracy and completeness. This consultant may complete the evaluation of the TAS quality. The TAS quality evaluation will be done before any corrections or amendments (received after the deadline for the submission of applications) are included with a TAS. Severe Hardship: Severe (economic) hardship will be determined in accordance with SECTION 6 of this State Plan. ki Licati ZT Review Committee: The State shall convene a review committee to rank all the eligible applications that have been evaluated and scored by the State. The State ICP Manager and the State's consultant engineer (if used) will be on the review committee. Separate lists will be developed for TAS, ECM, and severe hardship. 2. Cut-Off Points: Applying the funding ratios to the annual Federal allocation, the review committee will determine the cut-off points in the ranking lists to obligate all the available Federal funding. 3. Ranking Grant Applications: a. Ranking TAS Grant Applications: All the TAS grant applications will be ranked by building in descending priority based upon the energy conservation potential, on a savings basis, of the building as determined in the energy audit or energy use evaluation pursuant to 455.20(k). b. Ranking ECM Grant Applications: All the ECM grant applications will be ranked on a building-by-building basis in descending priority using the score from Appendix C, "Energy Conservation Measure Application Evaluation". Several buildings will be ranked as a single building if the applicant proposes a single ECM which is physically connected to all of the buildings. ce Ranking of Severe Hardship: An application that includes a request for economic hardship may be recommended for funding only if the institution has been recommended for either TAS or ECM funding. All applications for hardship will be ranked according to their hardship percent score in the application. Hardship funds will be allocated from the highest to lowest rank application until all funds are exhausted or all requests for hardship are met. a. Minimum Allocation of Funds: If the requirements of 10 CFR 455.131(f) are not met, at least 30 percent of the Federal funds allocated for a given grant cycle go to schools and at least 30 percent to hospitals, then the review committee will adjust the ranking. It will elevate the highest ranking school or hospital application, whichever is appropriate, that is below the funding cutoff to a ranking above the lowest hospital or school application, as appropriate, that is above the funding cutoff. The review committee will decide whether the TAS ranking list or the ECM ranking list will be modified for this adjustment. This will be done until the requirements of 10 CFR 455.131(f) are met. If there are insufficient applications to meet the requirements of 10 CFR 455.131(f), then no further ranking adjustments are necessary. These ranking adjustments take precedence over previous ranking decisions. Insufficient Funds: In the event there remains only a portion of the funds for the application at the bottom of the TAS, ECM, or hardship, recommended funding lists, the State will contact the next applicant to determine if they are willing to be funded at a percentage level lower than requested. If the institution is not willing, they will be given the option of being funded for only a portion of the activities requested. If this option is not selected, the institution will not be considered further for funding. The next lower ranked application will be offered the same options. This process will be repeated until all the available funds are utilized or there are no more applications. Insufficient Number of Applications: If there are insufficient applications in the funding allocation categories of economic hardship, ECM or TAS, then the remaining funds may be used for either TAS or ECM funding in accordance with 10 CFR 455.142. Preparing and Forwarding Lists to USDOE: The review committee will create four lists for the USDOE: funding recommendations for TAS, ECMs, Economic Hardship, and by Applicant. The lists will provide the building name, the applicant, the ranking score, the requested grant and match amounts, the recommended grant and match amounts, the total recommended amount, and comments or reasons for any differences between requested and recommended amounts for each building or applicant. The four lists will be forwarded to the USDOE along with the corresponding applications recommended for funding and the State coordinating agencies' certifications. TL Letters to Applicants: After forwarding the funding recommendations to the USDOE, the State will send letters to all applicants informing them of their application's ranking and the State's recommendations to the USDOE including any deletions or reductions, and the reasons why. SECTION 5 EQUITABLE ALLOCATION OF PROGRAM FUNDS 455.20(£) The procedures that the State will follow to insure that funds will be allocated equitably among eligible applicants within the State including procedures to insure that funds will not be allocated on the basis of size or type of institution, but rather on the basis of relative need, | taking into account such factors as cost, energy consumption, and energy savings, in accordance with Section 455.132; A. Equitable Allocation of Funds: The state has established the following procedure to insure that funds will be allocated equitably among eligible applicants within the State including procedures to insure that funds will not be allocated on the basis of size or type of institutions, but rather on the basis of relative need, taking into account such factors as cost, energy consumption, and energy savings, in accordance with 455.131. Percentages of funding that The State of Alaska will apply to its ICP activities are as follows: a Funding for Economic Hardship: Ten percent of the State's allocated program funds, before the State administrative funds are taken out, shall be made available for economic hardship funding. This shall be used for funding that portion above 50% Federal share not exceeding the 90% level for an application. Zi, Funding for Technical Assistance Studies (TAS): Fifteen percent of the State's allocated program funds, before the State's administrative share has been taken out, shall be made available for funding Technical Assistance Study (TAS) applications. If additional funds are available after the recommendation of Energy Conservation Measure (ECM) applications, then TAS applications may be recommended until all funds are expended. 3). Funding for State Program Administration: Funding for program administration is normally $50,000. The State is further entitled to 5% of the amount obligated to eligible institutions for each program year above $50,000. 4. Funding for Energy Conservation Measures (ECM): The amount of funding available for energy Conservation Measure (ECM) implementation equals the total State's allocated funds minus the amounts for TAS funding, economic hardship funding, and the State's administrative expenses. Ss. Funding from Petroleum Violation Escrow (PVE) and Other State Funds: The amount of funding available under PVE and other State funds, if available and designated for use in the ICP program, will be "rolled into" the total program amount available for TAS and ECM grants in respective amounts sited above. 10 SECTION 6 SEVERE HARDSHIP 455.20(g) The procedure that the state will follow for identifying schools and hospitals experiencing severe hardship and for apportioning the funds that are available for schools and hospitals in a case of severe hardship. Such policies and procedures shall be in accordance with 455.132; Severe Hardship Assistance; Severe hardship financial assistance will be initially available for schools and hospitals experiencing severe hardship based upon an applicant's inability to provide the non-Federal share as specified in this section of the State Plan. This financial assistance will be available only to the extent necessary to enable such institutions to participate in the program. The procedure that the State will follow for identifying schools and hospitals experiencing sev a Identifying Applicants for Hardship Funds: a. Competing for 50/50 Match: Institutions are not automatically recommended for hardship funding. Each evaluation for a grant will not be altered by a request for hardship consideration or the actual hardship need established by the evaluation. A successful application selected for a 50% matching Federal grant will then be evaluated for severe hardship consideration. Des Determining Amount of Hardship: The primary consideration shall be Federal share of the project cost. Eligible institutions ask will be determined in a accordance with Appendix D (page D1.8) of this S c. Recent Audit: Applications from schools and hospitals requesting additional Federal funding based on severe hardship agency operating expenses and energy expenses from the latest au Ze Severe Hardship Score: The score for economic hardship applications is the ratio of the total annual energy expenses divided by the total annual operating expenses for the most recent audited fiscal year. The applicant can determine how much economic funding above the normal 50 percent funding level it qualifies for by determining the hardship funding in the table below that corresponds to the calculated ratio: o& 0 to 4.9% 5.0 to 9.9% 10% 10.0 to 14.9% 20% 15.0 to 19.9% 30% Over 20.0% 40% fe Ranking of Hardship Applicants: The state shall indicate, for those schools and hospitals with the highest ranking, determined pursuant to 455.131(b) and (c): a. The amount of additional hardship funding requested by each eligible applicant for each building determined to be in a class of severe hardship, and; b. The amount of hardship funding recommended by the ii State based upon relative need, as determined in accordance with the State Plan, to the limit of the hardship funds available. The State will decide ona case-by-case basis whether, and to what extent, it will recommend hardship funding. 4. Source of Funds: The State shall recommend funds for severe hardship applications wholly or partially from the funds set aside, specifically, for hardship. The State shall make available up to 10 percent of its allocation for schools and hospitals in each grant program cycle to provide financial assistance, not to exceed a 90% Federal share, for TAS and ECM grants for schools and hospitals determined to be in a class of severe hardship. Si Ineligible Institutions: In developing the hardship classification procedure, the State of Alaska has determined that the following institutions were ineligible for hardship: state supported colleges and universities, and State supported hospitals. The minimum amount of additional Federal funding necessary for the applicant to participate in the program will be determined in accordance with the State Plan. 8. Insufficient Applications for Hardship Funds: If there are insufficient applications from hardship applicants to cover the maximum 10 percent allocation provided for this activity, then the State will recommend use of the remaining funds for other qualified applicants. SECTION 7 RENEWABLE RESOURCES 455.20(h) A statement setting forth the extent to which, and by which methods, the State will encourage utilization of solar space heating, cooling and electric systems, and solar water heating systems; The State of Alaska will, to the extent possible, encourage the development of cost-effective renewable resources, including solar space heating, cooling and electric systems and solar water heating systems. The State requires a review of renewable resources in the TAS. SECTION 8 COMPLIANCE WITH REQUIREMENTS 455.20(i) The procedures to assure that all financial assistance under this part will be expended in compliance with the requirement of the State Plan, in compliance with the requirements of this part, and in coordination with other State and Federal energy conservation programs: A. Complying with Federal Regulation and State Plan The entire ICP grant process (applying for the grant, awarding the grant, and implementing the grant project) requires adherence to and compliance with several Federal energy conservation program regulations and the State Plan. in order to apply for ICP TAS or ECM grants, applicants must meet eligibility requirements contained in 455.61 or 455.71. When a grant is awarded, USDOE documentation which accompanies the award package contains several requirements, specifically General Conditions and 12 Special Conditions which grantees must adhere to in order to remain in compliance. B. Compliance Monitoring: Whenever the state believes a questionable practice exists, it will follow through with either a letter requesting further information and/or conduct an onsite monitoring trip to determine whether the financial assistance under this part is being expended in compliance with appropriate Federal regulations and the State Plan. SECTION 9 MARKETING, PROGRAM, AND TECHNICAL ASSISTANCE PROGRAMS 455.20(j) If a State is eligible and elects to use up to 100 percent of the funds provided by DOE under this part for any fiscal year for program and technical assistance and/or up to 50 percent of such funds for marketing: A. Marketing, Program, and Technical Assistance Programs: This State Plan addresses the administrative responsibilities of the State as required under 10 CFR 455.20 and 455.21. The new regulations allow for special components of marketing, program assistance, and technical assistance are not being addressed at this time since the State has elected not to pursue these activities at this time. If and when the State elects to pursue any of these alternate applications, an amendment to the Plan will be made to address the new direction of the State. The State will continue to provide marketing, program assistance, and technical assistance to eligible institutions within its application for administration. SECTION 10 ENERGY AUDIT AND ENERGY USE EVALUATION 455.20(k) The requirements for an energy audit or an energy use evaluation, and the requirements for qualifications for auditors or persons who will conduct energy use evaluations in the State; A. Energy Audit: An energy audit means a determination of the energy consumption characteristics of a building which identifies the type, size, and rate of energy consumption of such building and the major energy-using systems of such building; 1 Determines appropriate energy conservation maintenance and operating procedures; 25 Indicates the need, if any, for the acquisition and installation of energy conservation measures; and Ze If paid for with financial assistance under this part, complies with 10 CFR 450.43. B. Energy Use Evaluation: All applications for technical assistance require an energy use evaluation (EUE) using the approved form (Appendix A) and with information that is current within the most recent 12-month period. An energy use evaluation means a determination of functional use (type) of facility: information on the owner of record; the building's potential suitability for renewable resource applications; anticipated major changes in functional use in next 15 years; identification of maintenance and operating procedures which have been 13 implemented; the need, if any, for the acquisition and installation of energy conservation measures including the estimated costs, and energy and cost savings likely to result, and; an evaluation of the need for retrofit based on a variety of factors. All applications to implement capital improvement energy conservation measures (ECMs) require a technical assistance study (TAS) as detailed in Appendix B with information that is current within the most recent 12-month period and an every use evaluation (EUE) as described above. SECTION 11 OPERATIONS AND MAINTENANCE (O&M) PROCEDURES (1) (2) (3) [ 455.20(1) procedures: financial assistance is requested under this part; recommended in an energy audit pursuant to Section 455.20(k), or ina technical assistance report under Section 455.62, or a combination of these are implemented as provided under this part; or implemented in the future, or a reasonable justification for not implementing such procedures, as appropriate: With regard to energy conservation maintenance and operating The procedures to insure implementation of energy conservation maintenance and operating procedures in those buildings for which A provision that all maintenance and operating procedure changes An assurance that the maintenance and operating procedures will be Qperations and Maintenance Procedures: ICP applications for either TAS or ECM grants shall indicate whether the grantee has implemented the recommended maintenance and operating procedures (O&M) identified in either the Energy Audit, Energy Use Evaluation, or the Technical Assistance Study, or justify why they were not implemented. Maintenance means activities undertaken in a building to assure that equipment and energy-using systems operate effectively and efficiently. Operating procedures means the operation of equipment and energy-using systems in a building to achieve or maintain specified levels of environmental conditions of service. Justification for Nonimplementation: If any of the O&Ms have not been implemented, the institution must provide one of the following types of reasons: 1. The applicant provides an assurance that the O&M changes will be implemented in the future; 2c A justification for not implementing an O&M because a. The recommendation is not feasible for reasons that were not considered in the EUE or TAS, or; b. There is a cost involved which would exceed the institution limit on operating expenditures, provided it is shown a budget request has been made to implement the recommendation and assurance is given that change will be effected at some future date. 14 SECTION 12 SUPPLEMENTAL FUNDING 455.20(m) The procedures to assure that financial assistance under this part will be used to supplement, and not supplant, State, local, or other | funds... A. Supplemental Funding: The State has a procedure to assure that financial assistance under this part will be used to supplement, and not to supplant, State, local or other funds, including at least: lis The screening of applicants for eligibility for available State funds; Oe The identification of applicants which are seeking or have obtained private sector funds, and, ac Limiting or excluding (at the option of the State) the availability of financial assistance under this part for funding particular measures for which funding is being provided by other sources in the State (such as utility rebates) together with any requirements for potential applicants to first seek other sources of funding and document the results of that attempt before seeking financial assistance under this part and a description of the State's plan to assist potential applicants in identifying and obtaining other sources of funding. SECTION 13 GRANT MANAGEMENT, COMPLIANCE, AND EVALUATION 455.20 (p) The procedures for State management, monitoring , and evaluation of technical assistance programs and energy conservation measures receiving financial assistance under this part. This includes any State requirements for hospital certifications from a State agency with descriptions of the review procedures and coordination process applicable in such cases. If there is no school facilities agency in the State, or if the existing agency does not certify all types of schools, it also includes any State requirements for an alternative review and certification process for schools; A. Grant Management re Grantee Reports: The State PM is responsible for ensuring that all TAS and ECM grantees submit timely reports. The PM will receive review, and forward to the USDOE all required reports from ICP grant recipients. The specific reports are detailed in 10 CFR 455.113(b). The State will review these reports to ensure that they contain required information. This information will also be used for developing a data base for management and evaluation purposes. The State shall ensure that ECM grantees submit the annual energy use reports required for three years following completion of the project or life of the program, whichever comes first. Ze State Reports: The State PM shall provide reports to the USDOE in accordance with 10 CFR 455.123. De Review of Completed TAS: The State PM shall review all completed as) TAs to ensure that they are in compliance with 10 CFR 455 and this State Plan, and of acceptable quality. The institution is encouraged to provide a requirement in TAS contracts that if the TAS is not done in compliance with 10 CFR 455 and Appendix B of this Plan that the contractor will make the changes to meet the requirements. Certification of Schools and Hospitals: Applications from schools and hospitals, that are in compliance with 10 CFR 455, Subparts E, F, and J, will be forwarded to the appropriate State agency for certification as required by 10 CFR 455.130(b). a. Hospitals: An application from a hospital will be certified by the Alaska Department of Health and Social Services (HSS) that the hospital application "is consistent with the Alaska State Health Plan under sections 1524(c) (2) and 1603 of the Public Health Service Act (42 U.S.C. 300m-3 and 3000-2, respectively). The activity proposed within the application has been coordinated through review mechanisms under section 1523 of the Public Health Service Act (42 U.S.C. 300m-2) and applicable requirements of Section 1122 of the Social Security Act". b. Schools: An application from a school district or a school will be certified by the Department of Education that the school application "is consistent with related State programs and requirements for educational facilities". Estimates for O&Ms, ECMs, and TAS Square Foot Costs: a. Estimate for O&Ms: The State estimates the energy savings that can result from the modification of operating and maintenance (O&M) procedures can vary from about 2 percent to 30 percent. bs Estimate for ECMs: The State estimates that the installation of energy conservation measures can provide an additional energy savings up to 20 percent. These estimates may be modified as the State is able to collect data before and after installation of the ECMs. c. Estimate for TAS Square Foot Cost: The total cost of technical assistance studies range from about $.15 per square foot (with no travel costs) to $1.26 per square foot (for a study on the Pribilof Islands). The average for the state is about $.40 per square foot when travel costs are involved. The total cost for energy conservation measure projects has ranged from $7,500 to $277,000 per institution in recent years. The average has been about $170,000. Eligibility of ECMs: Energy conservation measures are defined in 10 CFR 455.2. Of the measures allowed under the Federal regulations, the State has identified those types of ECMs that are considered appropriate in Alaska in Appendix B, section B6.4. The State continues to encourage and support additional innovative ECMs and O&M procedures to reduce the energy consumption of institutional facilities. ECMs listed as ineligible in section B6.5 are either considered too short a payback to be under the t~- 16 year minimum payback or far exceed the fifteen year maximum payback. ; . 1. Types of Monitoring: a. Telephone Monitoring: The State PM will monitor institutions through telephone contacts as often as needed and document these contacts in the grant file. Onsite Monitoring: The State PM shall provide onsite monitoring visits to institutions that have received financial assistance to determine the grantee's adherence to the terms and conditions of the award. These visits will be made, depending on available funding, with the following priorities: i) Institutions which, in the judgment of the State PM, are experiencing major problems and require on-site assistance; ii) Institutions that can be visited in one day at minimal expense; iii) Institutions with the largest funding levels for ECMs, iv) Institutions with the smaller funding levels for ECMs, and lastly, v) Institutions receiving technical assistance funding. Monitoring Report: A monitoring report will include, but not be limited to, the following topics (when applicable) and will be completed for each ICP grant project visited: eonaadnoaa Project status Administrative and financial performance Procurement procedures (including formal bids) Contract provisions Compliance to Federal and State requirements Submitting Report to USDOE: Copies of monitoring reports for Federal grants will be forwarded to DOE at least semi-annually. Monitoring reports for State awarded grants will be placed in the State's grant file. ae SECTION 14 UPDATED TECHNICAL ASSISTANCE STUDIES (TAS) AND REQUIREMENTS 455.20(q) The circumstances under which the State requires an updated technical assistance program report to accompany an application for an energy conservation measure grant and the scope and contents of such an The circumstances under which the State will require an updated technical assistance study TAS to apply for an energy conservation measure ECM are when the original TAS meets any of the following criteria: 1. The original TAS is more than twenty-four (24) months old, or; 2. The building has undergone recent construction, or significant change in utilization which has altered the energy use within the building more than 10%, or; 3a Economic inflation has raised the prices of products or services more than 10%, or; 4. Changes in eligibility requirements for ECMs. B. Requirements for TAS Analysts [455.20(r) A description of the State's policies for establishing and insuring compliance with qualifications for technical assistance analysts. Such policies shall require that technical assistance analysts be free from financial interests which may conflict with the proper performance of their duties and have experience in energy conservation and; The State's policies for establishing compliance with qualifications for insuring compliance with qualifications for technical assistance analysts are described in Appendix B: Technical Assistance Study (TA), Section entitled "Technical Assistance (TA) Analyst". SECTION 15 ACCEPTING PREVIOUS APPLICATIONS f455.20(s) The circumstances under which the State will or will not consider | accepting applications for technical assistance programs or energy conservation measures which were included in earlier approved grant awards, but which were not implemented and for which no funds were expended after the original grant award; - The State of Alaska will consider accepting applications for TAS or ECM grants which were included in earlier approved grant awards, but which were not implemented and for which no funds were expended after the original grant award. 18 SECTION 16 CONVERSION FACTORS AND COST-EFFECTIVENESS TEST [ 455.20(u) For purposes of the technical assistance program pursuant to | Section 455.62; (1) A statement setting forth uniform conversion factors to be used by all grant applicants in the technical assistance analysis for conversion of fuels to British Thermal Unit (Btu) equivalents.... (2) A statement setting forth the cost-effectiveness testing approach to be used to evaluate energy conservation measures pursuant to Section 455.63.... | (3) A statement setting forth that 50 percent (or a higher percent) of total cost savings (used in calculating cost effectiveness pursuant to Section 455.63(a) (1) for simples payback, or 455.64(c) for life-cycle costing) must be from the cost of the energy to be saved. Re Conversion Factors: The State will use 3,413 for the conversion of kilowatt hours to Btus, representing consumption at the consumer's end, or 11,600, representing consumption at the producer's end, or may assign 3,413 to some types of measures in which case the State shall specify the conversion factor to be used for each type of measure, providing a rationale and citing the sources used in making this decision, and the State shall always apply the specified factor consistently to all ECMs of a particular type; Btu Conversions: The uniform conversion factors to be used in the EUE and TA studies for conversion of fuels to Btu equivalents are identified in Appendix A, Energy Use Evaluation Form, on page A3, question 15. B. Cost-Effectiveness Test: The State of Alaska elects to use Life Cycle Cost Analysis Factors: The uniform life cycle cost factors to be used to calculate energy conservation measure eligibility shall comply with 10 CFR 455.64. The discount rate and energy cost escalation rate shall be provided by the State annually. These rates shall be as stated in 10 CFR 436 or as determined by the State and approved by USDOE. SECTION 17 COORDINATING AGENCY 455.20(v) For any coordi The State of Alaska elects not to act as a coordinating agency. If, in the future, it decides to pursue this status, it will submit an amendment to its State Plan to USDOE for approval. SECTION 18 CREDIT FOR TAS AND ECM 455.20(w) If a State elects to allow credit toward the cost share for an energy conservation measure for the costs of technical assistance programs, technical assistance program updates, or energy conservation measures previously incurred and wholly paid for with non-Federal Funds, the policies regarding such credit, including any time limits for the age of the earlier- funded work being proposed for credit. The State will allow reasonable credit toward the cost share for an energy 19 conservation measure (ECM) for the costs of technical assistance studies (TAS), technical assistance study updates (TAS-Update), and energy conservation measures previously incurred and wholly paid for with non-federal funds. All activities, for which credit is sought must meet the applicable program requirements contained in Section 455.61, 455.62, and 455.71. Credit for ECMs will be considered only when supported by a TAS (and the TAS Update, if applicable) that meets the requirements of Section 455.62, is reasonable, and which was performed prior to the installation of the ECM(s). SECTION 19 LIMIT OF FEDERAL SHARE 455.20(x) The limit to the Federal share to be provided to applicants in the State if a State elects to provide less than a 50 percent Federal share |_to its applicants that do not qualify for severe hardship. If the State elects to provide less than a 50 percent federal share to its applicants that do not qualify for severe hardship, the modified percentage shall be stated annually, in the annual administrative grant application and in the invitation to institutions to apply for grants. Such a modification in limiting the Federal share will be dependent on the number of grant applications received and the need to expand the number of eligible institutions. Section 20 STATE ADMINISTRATIVE GRANT APPLICATION 455.143 Grant awards for State administrative expenses. 445.143 (a) For the purpose of defraying State expenses in the administration of technical assistance programs in accordance with subpart E | and energy conservation measures in accordance with subpart F or energy conservation measures non-Federally funded pursuant to 455.121, DOE may make grant awards to a State: A. Submission of the State Administrative Grant Application: Each year the State must submit an application to the U.S. Department of Energy (USDOE) requesting funding for program administration. The application must be approved by USDOE prior to awarding institutional grants. B. Amendments to the Application: In the future, the application may be amended to include marketing activities, program assistance activities, technical assistance activities, and other activities when the State elects to provide assistance efforts beyond the scope of the current State administration grant. SECTION 20 PETROLEUM VIOLATION ESCROW (PVE) AND OTHER STATE FUNDS A. Utilization of Funds: The State of Alaska has received oil overcharge funds (referred to as PVE funds) from the USDOE which may be used at the State legislature's direction in the ICP. Because these funds must be utilized in complete accordance with the federal program regulations through which they are funded, this section provides the detail for the use of PVE or State funds in the Institutional Conservation Program in Alaska. Activities under this section include the following: 1. Recommending Applications: The State will receive, review, rank and recommend applications for funding following the procedures 20 in this State Plan. The State will provide to the USDOE the State's funding recommendations along with the applications. USDOE will review and approve or disapprove applications for individual institutions from the recommended list provided by the State. Arrangements Between the State and Institutions; If a grant is totally funded with non-Federal funds, the State will enter into a grant with the institution for the approved ECMs. The State will keep USDOE informed on the progress of the grant. Under an approved Authority to Seek Grant Applications (ASGA), the State will fund the approved applications for individual institutions through issuance of a Notice of Award followed by the approval of a State grant using normal State grant procedures. The grant will include a budget, energy conservation measure (ECM) list, general conditions, special conditions, and reporting requirements as provided by USDOE. Monitoring and Technical Assistance: The State will monitor the grants and provide technical assistance to the institutions. 21 INSTITUTIONAL CONSERVATION PROGRAM ALASKA STATE PLAN APPENDIX A: ENERGY USE EVALUATION FORM (EUE) STATE OF ALASKA Department of Community and Regional Affairs Division of Energy 333 West Fourth Avenue, Suite 220 Anchorage, AK 99503 (907) 269-4631 July 1, 1994 to June 30, 1995 APPENDIX A ENERGY USE EVALUATION (EVE) FORM ALASKA INSTITUTIONAL CONSERVATION PROGRAM (ICP) This form is designed to be completed by employees or agents of the applying institution or agency without requiring specific training in energy conservation. If the answers to required questions are not known, photographs identifying the answer will suffice in most cases. This form is required by the Alaska ICP State Plan to be used when applying for funding. Technical assistance funding applications will be scored by building using the answer to question 15b. PART L. BUILDING DESCRIPTION 1. Building Name and Number: 2. Address: City: Zip 99 Phone 907- 3. Building Caretaker: 4. Building Owner of Record: 5. Owner’s Address: City: Zip 99 Phone 907- 6. ___ School Facility ___ Hospital 7. Year of Construction Age ___years 8. Estimated Remaining Useful Building Life years 9. Gross Floor Area Square Feet 10. Energy Use Evaluation Prepared By: a) Name: Position: Employer: Phone: b) Name: Position: Employer: Phone: Date (revised 6/30/93) -Al- 11. 12. 13. 14. Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Building Renovations or Additions To Date Type: Year: Type: Year: Type: Year: Planned major changes in functional use or mode of operation in the next twenty years, such as demolition, disposal, rehabilitation, conversion from office to warehouse, or none: Type: CE pected Year: Type: CE pected Year: The overall condition of the building is as follows (also provide any special information that should be considered): Approximate Daily Hours of Occupied Use. (Indicate with an asterisk(*) those months the building is partially or not fully used such that rooms, lighting systems, or heating zones not being used can be isolated from rooms or zones being used for a week or more. Total 8766 hours per year) Multiply X 4.35 X 4.35 X 4.35 X 4.35 X 4.35 X 4.35 X 4.35 X 4.35 X 4.35 X 4.35 X 4.35 X 4.35 TE t+ tteeteeteest EE ee ee FE EE LVATE tet teeteteeest te teeteeteeteest a Ue tet teeteteest EU etleleatee feeble t+eeeeeteeeteest ouounnnnnnnno TOTAL HOURS USED PER YEAR (revised 6/30/93) -A2- 15. Total Annual Energy Use: ___ Building ___ Complex of Buildings mor Source Annual Usage Conversion Btu’s Annual Cost | Factor, Btu Consumed | Etectcity Unity Suppiod | kw | xizes0- | | s [NawwralGas | ce] xtooo= | ts [#1 diesen | Gat] x134000- | ts a A X 92,000 = [Coal Healy | ton | x16,000,000=-{ ts [omer specity | x Ts Related Heating Degree Total | Days A) —_Total Btu's = er? = Btu/Ft? Gross square footage B) Total Eneray Cost = $ =1|$ /Ft? Gross square footage C) Time Period for energy use data above: to 16. Potential for energy conservation through purchase and installation of energy conservation measures is: From Question 15b above Potential Cost/Gross Square Foot ($/Ft*) Very High $5.00 and over High $3.00 to $4.99 Moderately High $2.00 to $2.99 Moderate $1.00 to $1.99 Low $0 to $.99 17. Types of Lighting in Use Incandescent __ Fluorescent ___Mercury Vapor __ High Pressure Sodium __ Metal Halide Other: 18. Special Energy Using Systems. Provide make, model, use, energy input, and other important information. These may include food service or laundry equipment: (revised 6/30/93) - A3 - PART Il, MECHANICAL SYSTEMS If more than two heaters, make copies of this page before entering any information and number the pages A4.1, A4.2, etc. for all heaters. 19a. _ Furnace ___Boiler (Hot water) ___Boiler(Steam) ___Hot Water Heater 20a. Type of fuel: #1 Diesel _ #2 Diesel ___#4 Diesel __ Natural Gas___Coal ___Purchased Steam ___Wood __Waste Heat __Electric 21a. Radiators, fancoil units, unit ventilators, and air-to-air heat exchangers. List the following, if available: Type of Unit Make Model Size Rating Eneray Use Rate 19b. __ Furnace ___ Boiler (Hot Water) ___Boiler (Steam) ___Hot Water Heater 20b. Type of fuel: _ #1 Diesel _ #2 Diesel ___ #4 Diesel ___Natural Gas __Coal ___Purchased Steam _ Wood __Waste Heat —__ Electric 21b. Radiators, fancoil units, unit ventilators, and air-to-air heat exchangers. List the following, if available: (revised 6/30/93) -A4._- QUESTIONS 22 THROUGH 31 on this page are REQUIRED FOR ECM APPLICATIONS and OPTIONAL FOR TA APPLICATIONS (When used, this page should be repeated for each heating and hot water unit. Make copies of this page before entering any information and number the pages A5.1, A5.2, etc. for each heater.): 22. Heater Make: Model: 23. Rated Input(Btu/hr): Location: 24. Make of Burner: Model: Nozzle Size Pump Pressure____psi Actual Fuel Input in __gal/nr ___ cubic ft/hr 25. Controls: a) Make: Model: b) Make: Model: c) Make: Model: 26. Pumps: a) Make: Model: Horsepower: sss Quantity: b) Make: Model: Horsepower: ss Quantity: 27. Fan Motors: a) Make: Type: HP: b) Make: Type: HP: 28. Is outside combustion air provided? __ Yes _ No 29. Does the outside air intake cause snow or cold air problems in the mechanical room or building? __Yes __No 30. List major items that have been replaced on the mechanical system since the building was completed(i.e. burner or pump) Item Date 31. Combustion test at high fire: Draft .___ inches Smoke #__-s CO, ~——C Hr 0, % Net stack temp___—o°F Overall Steady State Efficiency % CO ppmigas only) (revised 6/30/93) -A5.__- PART Ill, OPERATING AND MAINTENANCE (O&M) PROCEDURES 32. 33. 34. Has a person been designated to monitor and evaluate energy use? __No Yes: Name , Position Have detailed studies of energy use and energy conservation been conducted by architects, engineers or architect-engineer teams? __ Yes ___No Have any major energy conservation measures (ECMs) been implemented? __No _ Yes __If yes, list these measures and the actual or estimated energy and cost savings, if available: Energy Savings Cost Savinas $ $ $ $ HAVE THE FOLLOWING OPERATION AND MAINTENANCE (O&M) PROCEDURES BEEN IMPLEMENTED(Questions 35 through 54)? 35. 36. 37. 38. 39. 40. 41. 42. 43. 44, 45. 46. Are broken windows and caulking and weatherstripping around windows and doors repaired regularly? Yes ~___No Is the corresponding ventilation system shut off for times an area is unoccupied? _ Yes _ No __N/A Is the ventilation system shut down when the building is unoccupied? ___ Yes No N/A Are ventilating controls checked regularly to ensure that they are operating properly and that the outside air intake is reduced to the minimum required? __ Yes __No _ N/A Is the indoor temperature maintained no higher than 70°F during use? Yes No When the building is unoccupied, is the indoor temperature reduced as low as possible without causing freeze up? ~__—s Yes __No Are locking thermostats installed? Yes No N/A Are furnace or boiler temperatures lowered for unoccupied periods and warmer weather? —_ Yes No Are lighting levels kept no higher than needed and daylight used as much as possible so that lights can then be turned off? __ Yes __No Are higher efficiency lamps in use throughout and fixtures cleaned at least annually? __ Yes __No Is evening cleaning of the building minimized? Yes __No Are water leaks repaired regularly? _ Yes No N/A (revised 6/30/93) - A6- 47. Are flow restrictors installed on faucets and showers? Yes No N/A 48. Is the domestic water heater temperature as low as possible? __ Yes No N/A 49. Are chilled drinking water settings as high as possible? __Yes No N/A 50. Is the heating system cleaned semi-annually or annually? | Yes _ No _ N/A 51. Is a combustion test of each heating system done annually to maximize efficiency? __ Yes _ No N/A 52. Are fan, motor, or belt drive systems adjusted at least annually? ___‘Yes No N/A 53. Are steam traps cleaned regularly? __—‘Yes No N/A 54. Is distribution pipe insulation repaired when needed? Yes No N/A 55. From the "Yes" answers in questions 35 through 54, the annual energy and cost savings are recorded as follows for the prior year and the year following the start of the procedures: Year 19 : KWH, Fuel Oty, $ Year 19 ; KWH, Fuel Qty, $ 56. From questions 35 through 54, the following were answered "No" and are recommended O&M’s for future implementation: NOTE: A prerequisite to submitting an application for TA funding is that the applicant must certify that all recommended O&M procedure changes from question 56 have been implemented. If all of the O&M changes have not been implemented, the institution may still apply under one of two conditions: a) The applicant provides an assurance that the O&M procedure changes will be implemented in the future, or, b) A justification for not implementing such procedure because: ii) there is a cost involved which would exceed the institution’s limit on operating expenditures, provided it is shown a budget request has been made to implement the fecommendation and assurance is given that change will be affected at some future date. 57. Energy Conservation Measure (ECM) installations being considered are: (revised 6/30/93) -A7- PART 1V, RENEWABLE RESOURCE POTENTIAL 58. To determine the potential opportunity for solar heating or solar hot water systems, add up the points beside answers to questions 64, 65, 67, 71, 72, and 74): ___(7) High ____(5-6) Moderate _ (4 and below) Low REFER TO PAGES AQ THR H A-13 FOR TION 2 59. Climate Region 1 2 3 4 60. Average Annual Heating Degree Days HDD 61. Mean Annual Temperature °F. 62. Mean Annual Wind Speed MPH Prevailing Direction 63. Locality is _ Urban — Suburban __ Rural 64. Is the south roof of the building shaded from the sun for more than 4 hours per day? ___Yes (0) _ No (1) 65. Is the south wall of the building shaded from the sun for more than 4 hours per day? __Yes (0) __No (1) 66. Number of stories 1 2 3. __ More than 3 67. Roofis _ Flat(i) _ Pitched If pitched, is the roof facing toward the south? ___Yes (1) __No (0) 68. Roof beams and rafters are | Wood _ Metal _ Concrete 69. Roofing is _ Shingles _ Metal _ Built-up ___ upside down flat roof 70. South-facing wallis __Wood _ Metal _ Masonry 71. Percentage of glass area to wall area on the south wall is _less than 25 percent (2) ___25-75 percent (1) ___more than 75% (0) da: Space heating and water heating systems are located ___Within the building (1) __ Outside the building(0) 73. If within the building, located: __ On the ground floor ___Inthe basement __ On the roof 74. If within the building: ___Centrally located (1) ___Different locations (0) ___More than one heater at a location (0) 75. Attach a floor plan with outside dimensions for each floor (including basements) that shows where the mechanical equipment room(s), electric or gas meters, and oil tanks are located. Include the north direction. The "Fire Evacuation Plan" with the dimensions added may be adequate if more detailed plans cannot be provided in 8% by 11 inch size. 76. Photographs of the outside of the building from at least four directions must accompany this energy audit. The complete exterior must be shown. Also, photographs of each heating system must be shown. Photographs should be dated and labeled with sufficient identification of direction and location. Significant items that are not visible in the photographs should be noted. (revised 6/30/93) -A8- Alaska Climate Data Region Name Degree Days AvgTemp Design Temp Wind Speed Elevation 4/Angoon | 8450) 42.2| 1 10.6| 10! \Auke Bay 8461) 41.6) 1 8.3} 40/ \Coffman Cove 8104) 42.6| | 10] Craig 7487) 44.9) 9 10! Kake | 8527) 42.8] 11.5) 10} |Kasaan 10} Ketchikan 7165) 45.9 10.6| 80) Klukwan 10476| 3.3} 9.8 Labouchere Bay_| Sid Cd Cr CS 7 Long Island 10 Metiakatia 7000) 45.6 10] 10 Meyers Chuck 10} Naukati Bay Pekan D Z Petersburg aaa], SSSSCSCSid SSSS—S 15 { qT i16.7| Anchor Point 10115] 37.2 asi 10 Anchorage tooo] TC CCC‘ 7 114) Ata TCT OT Attu 9490 38.9 a 60 Big Lake 11796 32.4] [4G 180 g CO CT Chickaloon TC t00of eC“ s:C:=“‘cRSCS $30) (Chigni 9612 38.4 Lt 5) 30 [Chinak |S a Chistochina (revised 6/30/93) -A9- Region Name Degree Days AvgTemp Design Temp Wind Speed Elevation 2\Chitina 13200) 29.4) 9) 570} \Clam Guich 11375) -21| 7.1] Cold Bay | 9733} 38.1) 9) 17| 100} 10527) 157 (revised 6/30/93) Naknek 11773 325) 10.6 50} New Stuyahok | 125 [Newnalen 0 t30) 9.6 190) Nondaiton 11130) 34.2) 96} —_—_——250 Pedro 8 11130 34.2 9.6 45] Perryville 9612 38.4) 11. 25 Pilot Point 37 50} Port Alsworth 11206 34] 9) 260 Port Heiden 10415} 36.2 6 14.6 92! ‘South Naknek 11772 32.5] | 106 50} Togiak 12 Twin Hills 25 Ugashi 2s 4)Akiachak 13213 29] 9 13 25] a | - Alatna 16625} 19.5} 5 63 600 [Atakaket | tees} tS, 7.9) 600 fAnvi eg] CSC 65 a Atmauthiuek | toe] 17 [Beaver] SB, CAT 63 365 Bethel sso] tt 13 10 Botton ee 63 670 Big Deka 154] 9 1268 [Bich Creek | tesa} 7.9) 450 Boundary 1sqiqt 2800) Cantwell 13003] 9.8) 2150) Central tes) 9 870 Chaikyitaik teove] 9.4 79) 560 |Chandater take | 72a} 173] 79) 1900 Chefornak 1000 a Chena Hot Springs isso] 5.2 1200 [Chevek] SOC SCSC~C~C 3 5 Chicken 15951 17 1360) (revised 6/30/93) egion Name Degree Days AvgTemp Design Temp Wind Speed Elevation | 4|Chuathbaluk | | 16) | 300} Circle 16349| 20.5 | 700} | 40) 10 ; 443 ; 120) Goodnews Bay 12107) 31.8] | i 14253} 22.2) 90 Healy 12582| 30.1| : 9.8 1490) Holy Cross 13462) 28.7 65| 150 |Hooper Bay 30.5) 40 Hughes 14942 23.7’ 550 Husiia ; 180 Kaltag 200 Kasigiuk 13106 29.1 13 40 Kipnuk 20) Kotik 5 oyun 115) Kwethluk 28) Kwigilling 20) Lime §52| Lower ag So Manley Hot 14593) 24.6) 5.2| 275 Marshall 90) McGrath 14424 25.3 | Mekoryuk 13575) 279 6.1 46) Minchumina 13858 27 700 Minto 460 Mountain 13448] 27.8 40) a 200 Newtok 3 Nightmute [Nikolai 15214 23.1 48) 430 Northway Pres} tS 3.8 1713) Nulato 148 25.9) 510) INunaptchak SNOB] CG 12 Oscarvile 308) 10 Pilot Station Ps are Pitas Port i 20 Patino | ator] tC 2 Quinhag io7] te Rampart 1s} act Red Devil 13339) 8 210 Roy dd 710 [Russian Mission [13362] 8S Saint Mary's 12785 29.7 9.8 2 (revised 6/30/93) 15675 221 9 14138 % 2a 16462 25 8 vas] a] Sid 1396288 2a 16758) 18.8 9.8 15716) 21.6) 15870 21.4 12.1 (revised 6/30/93) INSTITUTIONAL CONSERVATION PROGRAM ALASKA STATE PLAN APPENDIX B: TECHNICAL ASSISTANCE STUDY (TA) STATE OF ALASKA Department of Community and Regional Affairs Division of Energy 333 West Fourth Avenue, Suite 220 Anchorage, AK 99503 (907) 269-4631 July 1, 1994 to June 30, 1995 APPENDIX B TABLE OF CONTENTS Page No. en ixeye [Ver Fe acgeciacnrcx cies) CRORCRCRG NONCITINONONCE GRO RONONCIONCNORCNCRIORO, OxORCHONCNCRDCNOnDICH ONORDECEORCED Bi Technical Assistance (TA) Analyst ........ 0... eee eee eee ee eens B3 wel lee 5600050050000 0000000000000000000000000000 B4 Operation and Maintenance (O&M) Recommendations ..............5045 B8 Energy Consumption at Optimum Efficiency .......... 0.0 eee eee eee BS Renewable Resource Potential ... 10... 0. eee ee tee eee B10 Feasible Energy Conservation Measures (ECMs) ........- 0+ eee eeeuee B10 Technical Assistance (TA) Study Reference Material ................4. B16 Federal Register 10 CFR 455, dated February 9,1993 ................ B19 Required Technical Assistance (TA) Study Forms ............04. B37 - B49 INTRODUCTION applications for funding ECMs.—For ore information, contact the ICP Manager in Anchorage at (907) 561- 1900. B1.1 Application for funding through the Institutional Conservation Program (ICP) consists of three basic steps: 1) an energy use evaluation (EVE), 2) B1.3 urposes of the Technical an application for funding a technical Assistance (TA) study are: assistance (TA) study, and 3) the application for funding energy a) To identify and document energy conservation measures (ECMs). conservation operating and Appendix A contains the required maintenance (O&M) procedure Energy Use Evaluation form. changes and energy conservation Appendix B= provides all the measures (ECMs) in sufficient detail requirements for a TA study. to support an application for financial assistance. The information must B1.2 Funding cycles are announced enable the review committee to annually. Funding for a TA study is assess the reasonableness of the available for any building of which application. the original building (with or without additions) was completed before b) To provide the institution with a May 1, 1989. ECMs may be funded thorough evaluation of the only for those portions of a building opportunities for conserving energy completed before May 1, 1989. with O&M changes. Appendix C is utilized for evaluating revised 6/30/93 B1 B1.4 B1.5 c) To provide the institution with sufficient information to make decisions on ECMs regardless of funding from this program. d) To provide the building owner, caretaker and users with a useful document describing the physical and operating characteristics of the building and its energy using systems. The TA study must be conducted by a technical assistance (TA) analyst who meets the requirements of Section B2.0 in this appendix. In performing the TA study, the TA analyst shall: a) Perform a thorough on-site survey of each building and its energy using systems utilizing all available resources such as the Energy Use Evaluation, construction documents, equipment specifications, fuel consumption data, site weather data, combustion tests, power factor measurements, lighting Measurements, someone familiar with the operation of the building, etc. b) Consider all feasible energy conservation O&M procedure changes and ECMs for each building analyzed. c) Estimate the cost of, energy use, and energy cost savings from implementing each O&M procedure and each ECM. d) For each feasible ECM identified above, which indicates a significant potential for energy savings, a detailed engineering analysis is required specifying the cost of, energy use, and energy cost savings from, the acquisition and installation of that ECM. The TA study must be sufficiently revised 6/30/93 B2 B1.6 B1.7 B1.8 B1.9 comprehensive to permit its use as an energy guide for those responsible for the energy and _ financial management of the building. ECMs that may not be competitive for grant funding may still be viable ECMs or may become viable if conditions change. All ECMs should be included so that the institution has a planning guide for the future. All feasible ECMs must be considered and evaluated. Several publications are available that-contain thorough lists-of ECMs, see page B16. These are available for check-out from the State’s Energy Library in the ICP office. If an ECM was considered in initi sis but found to be non-competitive for grant funding or undesirable for other reasons, a detailed engineering analysis is not required. However, adequate documentation must be provided to justify this conclusion. Related activities may be grouped together and considered as one ECM, provided there is justification for doing so. Activities cannot be unrelated. When _ identifying and analyzing feasible ECMs, it should be noted that every building is unique. Although buildings may appear to be similar, there may be significant differences due to variations in mechanical equipment, utilization, number of occupants, O&M procedures, etc. which will affect energy consumption. Consequently, there must be adequate analysis for recommending each ECM for individual buildings within a group of buildings. All feasible ECMs must be considered and documented in the TA study. Constraints of time and money may make it appear expedient to shortcut the consideration of all feasible ECMs. Specialization (emphasis on ECMs most familiar to the analyst) can result in the tendency to force certain ECMs upon a building. Other ECMs may be overlooked which produce greater savings at lower costs. TECHNICAL ASSISTANCE ANALYST B2.1 A Technical Assistance (TA) Analyst in Alaska conducting and certifying a TA study must meet the following criteria: a) Be a professional engineer registered in the State of Alaska in accordance with Title 8, Chapter 48 of the Alaska Statutes, or Be an architect-engineer team, the principal members of which are registered in the State of Alaska in accordance with Title 8, Chapter 48 of the Alaska Statutes. b) Have two years of experience in Alaska in heating, ventilating and air conditioning (HVAC) engineering. An architect that is a TA analyst may have an engineer (either registered or degreed) with this experience provide the mechanical portions of the analysis to meet this requirement. c) The TA analyst must attend a four hour training session provided by the State at the beginning of the TA study development, if offered. Each individual engineer or architect participating in the TA study may attend the training session. d) Must be free from financial interests which may conflict with the proper performance of the TA study. This also applies to those working on the TA study under the supervision of revised 6/30/93 B3 B2.2 the TA analyst. e) Must belong to a_ firm possessing a current Alaska business license and insured in the State of Alaska. f) EXCEPTION: In order to reduce the TA cost for smaller buildings, with prior approval from the State, a TA analyst with a baccalaureate or higher degree in electrical or mechanical engineering, architecture, or energy management may be exempted from the requirements of section B2.1a for buildings under 12,000 square feet. The appropriate school transcript must be provided by the analyst to the State. g) EXCEPTION: With prior approval from the State, a TA analyst with a baccalaureate or higher degree in electrical or mechanical engineering, architecture, or energy management may be exempted from the requirements of section B2.1a and B2.1e when the TA analyst is an employee of the institution owning the building. The appropriate school transcript and a statement of experience must be provided by the analyst to the State for consideration of this exemption. (TA) Technical Assistance Study Certification The technical assistance analyst must sign, date, and stamp with the professional registration seal the TA certification form required. The form which must be used is on page B48. If the TA study is completed under an exemption as noted above, the professional registration seal stamp is not required. BUILDING DESCRIPTION B3.1 B3.2 The TA Study must define all data, including energy balance and proposed ECMs, on a building-by- building basis. A building envelope is defined by contiguous volumes of heated and/or air conditioned rooms. This does not include connecting unheated enclosed corridors or utility tunnels. Two exceptions: A building with over 100,000 square feet attached to other buildings by heated corridors may be treated as a separate building. A boiler building or generator building supplying one building can be considered as a part of that building. Otherwise, a boiler building (or generator building) and the distribution lines are considered a building. The energy consumption of such a building is the Btu’s of the fuel supplied minus the gross Btu's supplied to other buildings divided by the average steady state efficiency of the heating system. The information for each building component should include observations, subjective and/or objective, about its condition at the time of the survey, including good photographs. Current Energy Use and Fuel Rates - Tables Ill, IV, and V a) The energy use and cost data for each fuel type used in the building must be detailed on Tables lil, IV, and V (pages B40-B42) on a monthly basis, if possible, for the most recent 12-month period from July through June. If the information is available for the past three years, the forms should be repeated. The electric utility or fuel supplier and principle generating fuel should be identified. If the heating degree days is available revised 6/30/93 B4 B3.5 for the corresponding years, it should be provided. b) Estimates should be used only if the necessary information is not available. If estimates are used, an explanation must be provided on why actual records were not available. In addition, the procedure used to estimate monthly consumption figures must be presented and explained. Demand charges should be included. c) The current energy rate must be determined by dividing the yearly cost of the energy (including demand charges) by the yearly energy use in Btu's or by the metered use. Use the format at the bottom of Tables Ill, IV, and V. The following information should be verified for accuracy and completeness in the Energy Use Evaluation (EUE) which must be included with the TA study: a) The date of construction and remaining useful life; b) The gross square footage for the main building and ail additions, and the floor plan of the building and its orientation. In addition, the square footage should be documented for the additions completed before and the additions completed after May 1, 1989; and c) | The EVE recommendations. Building Occupancy Patterns a) List the principal functional uses of the building based upon occupancy and similar HVAC requirements. Include an estimate of the corresponding areas (ft?) of the building usec for those purposes. b) c) Expanding on question 14 in the Energy Use Evaluation, determine the hours the building and portions of the building are occupied during a year. It may be necessary to categorize this information by functional uses in order to account for all major occupancy patterns. Identify major variations which occur daily or monthly in the occupancy patterns. A floor plan schematic may be helpful to define the different occupancy-pattern areas. Identify the environmental conditions at which the building is currently maintained. At a minimum, include the summer and winter temperature settings for both occupied and unoccupied periods. It may be necessary to break this down by functional uses to account for major differences which occur. B3.6 Building Envelope (provide vertical section drawings) Exterior Walls i) For each exterior wall section that is different, identify where this wall assembly is used and provide the wall orientation and construction detail with component materials. Include observations about the condition of the walls. Indicate the thickness and material of the wall components, including the insulation, vapor retarder, and the spacing of the structural members. Provide the R-values of each material. ii) Calculate the area (ft?) and U-values for the exterior walls. A separate area and U- value should be identified for revised 6/30/93 BS b) c) d) the structural portion and for the insulated portion of the wall sections. Windows/Doors i) Giving the building section and _ orientation, describe the make and types of windows in the building noting the number of panes, the air space between the panes, the type of framing, and the condition. Talk to the building and room_ occupants, if possible, to document their concerns with the windows. ii) Describe the types and sizes of exterior doors. Indicate the materials of the door, framing, weatherstripping, _ insulation, and condition. If there are windows, note the _ size, number of panes and the air space between the panes. Also note the frequency of use and whether there is a vestibule or arctic entry. iii) Calculate the area (ft?) and U-value of the windows and doors by orientation and type. Roof i) Provide the construction detail for the roof and ceiling. Include observations about the existing condition and the thickness and type of the insulation and vapor retarder. ii) Calculate the area (ft?) and U-value of the roof for each section, wing or addition that is different. Foundation/Flooring i) Describe the type and materials of the foundation Describe the insulated floor, skirting, or foundation wall with the material thicknesses and types, including whether there is a vapor retarder. ii) Calculate the area and U- value of the portions between heated, and unheated spaces, and/or the outside. B3.7 Mechanical, HVAC, and Electrical Systems a) Heating System i) Provide all the information required on page AS of the Energy Use Evaluation for each boiler, furnace or heater, including the age and general condition. ii) |The combustion test should be done unless the furnace has a triple wall chimney or safety would be compromised in some other way. iii) The flow rate for gas should be measured from the gas meter. For oil, the flow rate can be determined from the rating on the nozzle and the actual measured pump pressure. If the pump pressure is not measured, it should be noted what the burner’s rated pump pressure is (100 psi or 300 psi). iv) Describe all important boiler auxiliaries, such as feed water pumps, method of water treatment, flash tanks, economizers, meters installed, excess air controls, etc. v) Describe the distribution system along with a drawing. vi) Detail the present boiler instrumentation scheme(s), revised 6/30/93 B6 b) control systems, temperature set points, and operation schedule(s) with a schematic drawing. vii) Discuss the condition of the heating equipment, and current O&M procedures. viii) Although it cannot be funded under this program, monitoring equipment can be installed by the institution to keep track of the fuel consumption for each heating unit and for large energy consuming systems. The consumption data on a heating system can be collected for as few as three months before the ECMs are implemented and for three months afterward. If only three months are used, they should be the three "swing" months of the year, either February, March, and April or September, October, and November. The State will help to analyze the data. Cooling System i) Describe each chiller, package cooling unit or other piece of refrigeration equipment, detailing size, age, general condition, energy source, and Coefficient of Performance at various loads, if available. ii) Describe the heat rejection system used for each refrigeration system (evaporator condenser, air- cooled condenser, cooling towers). iii) Describe auxiliaries for each system, including chilled water pumps, condensate return pumps, cooling tower fans, evaporator blowers, or air-cooled condenser fans. c) d) iv) Detail the distribution system with a drawing. v) Detail the instrumentation scheme(s), control system(s), and operation schedule(s) with a schematic. vi) Briefly identify unitary, free standing or window units used in the building. vii) Discuss the condition of the cooling equipment, and current O&M procedures. Air HVAC System i) Describe each major air handling system, detailing the type of system, areas served, the valid CFM and percent of outside air, instrumentation and controls, and the schedule of operation. If available, use the results from a _ recent air balance analysis performed on the air distribution system. Otherwise, temperature measurements should be made on both sides of heating or cooling coils and dampers, as appropriate. Use information from janitors and people that maintain the system. ii) Describe the building's exhaust and make-up air system. Include information about the locations served, CFM rating, source of make-up air, controls and schedule of operation. iii) Include observations about the conditions of the air handling and exhaust equipment and current O&M procedures. Water and Domestic Hot Water i) Describe all domestic water heaters and their burners revised 6/30/93 B7 e) f) and distribution systems including locations served, energy source, inlet water temperature, and temperature of delivered water. ii) Describe present instrumentation, controls, and operating schedules with a schematic drawing. iii) Discuss the condition of the system(s) and current O&M procedures. iv) List principal uses of hot water in the facility and identify all opportunities for conserving water. Lighting Detail all the interior lighting and the lighting attached to the exterior of the building. Include the type of fixtures, bulb types and sizes, controls and their availability, the measured lighting levels, the required lighting levels, and their operation schedule. Other Electrical Equipment List other special equipment or systems such as_ kitchen equipment, computer facilities, laundry equipment, and office equipment, noting the schedule of operation. B3.8 Building Energy Use Profile a) Proper evaluation of potential ECMs requires that the entire pattern of building energy consumption, including occupancy and use, equipment efficiencies, and system interaction, be analyzed and understood. This analysis accounts for the energy actually used to operate the mechanical and _ electrical b) c) d) e) f) equipment in the building. If done properly, this analysis should closely approximate the actual energy consumption of the building. Equipment efficiencies must be determined and used. For example, boiler fuel use includes the delivered heat, the operating losses, the standby radiant and stack losses, and the distribution losses. System interaction must be considered. For example, lighting also supplies heat to a building. All significant factors must be considered when developing a building energy profile. The calculations for this analysis must be clearly presented, with all inputs identified. In addition, all assumptions made in the performance of this analysis must be provided. The major systems to include in the energy use profile model, using measured, collected, and calculated data, are: Heating Systems Cooling Systems Transport Equipment (Pumps, Fans) Domestic Hot Water Systems Water Systems Lighting Systems Special Equipment Systems and A brief narrative discussion of this model must be included. The calculated annual energy use should be compared to the actual historic energy consumption of the building. Any significant discrepancies must be explained. If assumptions orf computer variables are modified to adjust revised 6/30/93 B8 the model to the actual, the changes should be identified. OPERATION AND MAINTENANCE (O&M) RECOMMENDATIONS B4.1 B4.3 Since no facility is operated and maintained in an ideal manner, there is a continual need for attention to the O&M of a building. The scope of the building survey performed for a TA study provides a _ unique opportunity to examine a facility and identify improvements which the building owner may have overlooked or not have the ability to identify. In addition, the importance of thorough on-going O&M efforts cannot be over stressed. These efforts will not only result in direct energy savings but also directly impact the effectiveness of any capital improvements implemented to conserve energy. To meet the objectives of the TA study, all opportunities which exist for conserving energy through changes and/or improvements in the O&M of a facility are to be considered. A master list of a few hundred potential O&M energy conservation procedures should be included in the TA study. Three columns for each potential O&M should allow for marking whether the O&M _ is currently being done, recommended to be done, or not recommended or not applicable. Table VI A more detailed description of each recommended energy conserving O&M procedure change identified from the master list of O&M’s must be listed in Table VI (page B43). Each description must provide the owner of the facility a clear understanding of actions to be taken. B4.5 B4.6 B4.7 An estimate of the cost of implementation of each O&M procedure change must be provided, if none, so state. The energy use savings and energy cost savings for each O&M procedure change must be calculated and the calculations shown (supported by all data and assumptions used). If the O&M procedure changes recommended in the Energy Use Evaluation were not carried out adequately, the TA study should include these O&M recommendations also. It is sometimes difficult to determine whether an action is an O&M or an ECM. Payback is not the criteria. The Federal regulations define Energy Conserving Operating and Maintenance (O&M) Procedures as "modifications in the O&M’s in a building, and any installation therein, which are designed to reduce the energy use in such building and which require no_ significant expenditure of funds.” (Page B20) A prerequisite to submitting an application for ECM funding is that the applicant must certify that all recommended O&M _ procedure changes have been or will be implemented. If all the O&M changes have not been implemented, the institution must provide one of the following types of reasons in question 21.8 of the funding application: a) The applicant provides an assurance that the O&M procedure changes will be implemented in the future, or, b) A justification for not implementing a procedure because: i) the recommendation is revised 6/30/93 BS B4.10 not feasible for reasons that were not considered in the energy use evaluation or TA study, or, ii) there is a cost involved which would exceed _ the institution’s limit on operating expenditures, provided it is shown a budget request has been made to implement the recommendation and assurance is given that change will be effected at some future date. Energy Consumption at Optimum Efficiency - Tables | and II a) The calculated annual energy consumption of the building by fuel type (in Btu/yr and in Btu/ft?-yr) at "Optimum Efficiency” must be provided in Tables | and II (pages B38 and B39). The row is highlighted on the two forms. Optimum Efficiency is defined as operating the building after all energy conserving O&M procedures recommended in both the Energy Use Evaluation and the TA study have been implemented and the energy savings from these changes are being realized. The Optimum Efficiency will be used as the base energy consumption for determining the savings and paybacks for potential ECMs found by the TA analyst. The energy conversion factors to use are in question 15, page A3 of the Energy Use Evaluation, Appendix A. b) If the total historical heating degree days (hdd) corresponding to the latest annual energy consumption data is available, the heating load Btu/ft?-yr-hdd must be calculated. Using the location’s average heating degree days from pages AQ A13, the actual consumption in Tables | and Ii must be calculated and used for an average year using acceptable engineering calculations. The Optimum Efficiency is then calculated based on the total Btu. consumption for the average heating year. RENEWABLE RESOURCE POTENTIAL B5.1 An evaluation of a building’s potential for renewable resource conversion potential must be provided by the TA study. The following are minimum constraints that if they are not met, the analyst can identify this fact and end the analysis for that particular renewable resource ECM: a) Wind Systems - Average Wind Speed at least 13 miles per hour b) Active Solar Heating and Cooling - Analysis Not Required in Alaska c) Photovoltaics - The building must be used through the summer months d) Solar Domestic Water Heating - The building must be open and use hot water through the summer months e) Passive Solar - May be cost effective, but usually only when done during new construction or major renovations. If other constraints are found that make renewable resource conversion impracticable, they should be identified in the TA study and no further effort put in this analysis. If there are changes in current technology which improve the revised 6/30/93 B10 BS.2 viability of these alternative systems, they should be considered within the requirements of the program. Utilization of passive solar heating, domestic hot water solar heating, and photovoltaics, however, is economically viable in some installations within Alaska. Wind electric systems and_ small hydroelectric systems are also economically viable in Alaska, but typically do not have a fifteen year or less life cycle cost necessary for ECM eligibility. The State encourages the utilization of these systems through information from the State Energy Conservation Program. FEASIBLE ENERGY CONSERVATION MEASURES (ECMs) B6.1 Feasible ECM Description a) Identifying all feasible energy conservation measures (ECMs) requires a three step process. For the first step, a master list of at least 100 possible ECMs must be used. On this list, the analyst will check whether the ECM is applicable or not and whether it is already installed. b) The second step is to do a simple calculation for each ECM checked on the master list in order to narrow the window of the payback range. These calculations can be summarized briefly on the master list or a separate listing. c) The third step is to provide a detailed analysis of all the ECMs in step two which seem the most economically viable. (SIR) must be deté addition to the simple payback. The SIR will determine the eligibility of the ECM for d) e) f) funding under the ICP. The SIR must be greater than 1 based on period of 2 to 15 years. If the life of the ECM is greater than 15 years, 15 years must be used for this calculation. The SIR is: the ratio of the present value of the energy saved over the life of the measure to the present value of the ECM investment, maintenance and _ operating, and replacement costs less salvage value or disposal cost over the life of the measure. The discount rate and fuel escalation rate to be applied can be obtained from 10 CFR 436, the most recent update. Refer to page 8B?? for instructions on how to calculate the SIR. A clear, thorough description of each energy conservation measure being considered in step three must be presented. The description must include sufficient information § to provide a clear understanding of the action to be taken. Engineering personnel other than the analyst will need to be able to understand the action from the description. Show how the ECM will affect the component of the building to be modified and how this action will interrelate with other building systems. Evidence must be provided, if appropriate, to show that the ECM will not violate any state or local building codes or ordinances. An ECM like an_ energy Management control system or central heating system which affects more than one building requires a TA study be done for each building affected as well as one for the complex as revised 6/30/93 B11 9) h) i) k) though it were a building. An estimate of the total cost of each ECM analyzed must be provided with all assumptions adequately discussed. This cost shall include the design and other professional service (excluding the cost to produce a TA study), acquisition, and installation. Materials and labor must be identified separately. If the institution is going to ask for indirect or other costs in their funding application, these must be included as a part of the ECM costs. Documentation of cost estimates may include the company name and contact person(s) for all manufacturers and contractors who have provided proposals, bids, or price estimates. In cases where cost estimates are made using a reference source, a complete citing of such source shall be provided. The labor rates required under the federal Davis-Bacon Act must be used. This applies to a project having a total cost of more than $5,000, and any construction contract in excess of $2,000 using grant funds under this program. Contingency costs may not be used, but a reasonable amount of inflation may be included to the time of grant award notice. These incremental costs must be clearly identified and used when computing the life cycle benefit. An estimate of the useful life, in years, of each ECM must be provided. This is the number of years the ECM is expected to return energy savings. It is not tax or depreciation life. B6.2 ) m) ECM An estimate must be made of any increase or decrease in O&M costs that will result from the installation of each feasible ECM. This will oe the average annual cost over the useful life. An estimate must be made of the salvage value and disposal cost, if any, of each ECM at the end of its useful life. The interrelationship of each ECM with the other ECMs for which an analysis is being performed must be identified and discussed. Energy Use Saving and Energy Cost Saving Calculations a) b) c) When calculating the energy use savings and energy cost savings for each ECM, the optimum building efficiency shown in the highlighted row on Tables | and || must be used as the base that energy savings are derived from. The energy use and cost savings, by fuel type, must be determined for each feasible ECM being considered in units and Btu’s. Sometimes one ECM will increase the energy use of one type of fuel or energy using system. This increase must be taken into account when determining the energy savings. For electrical savings, any resultant increase in heating costs must be subtracted to obtain net energy use and cost savings. Vill When calculating the energy use, energy cost and energy demand savings for each ECM, initially make a_ savings estimate without considering any other savings from other revised 6/30/93 d) e) f) ECMs. Current energy rates from Tables III, |\V and V must be used. The energy cost savings for electricity is the energy savings in units of Btu or KWH times the current rate from Table Iil. Cost savings which are not energy saving in terms of Btu or KWH--for example, savings on the demand charge--are not considered as part of the total cost savings for payback considerations under _ this program. The demand charge savings may be shown for the benefit of the institution. For an ECM converting from one fossil fuel to another, the energy cost savings is determined by calculating the change in annual Btu input for the same required annual output (or efficiency) and calculating the dollar savings with the original fuel for this savings in Btu’s. The exceptions are conversion to coal from oil, natural gas, electricity, or other petroleum product or to renewable resources. Either of these ECMs can be calculated on actual energy cost savings. Calculate the simple payback for each ECM using the implementation cost figures estimated in B6.1g through j and the savings determined under B6.2a through e. This simple payback period, in years, is calculated by dividing the estimated total implementation cost by the total annual energy dollar savings. Table IX 9) This table is completed after the final draft TA study has B6.3 been reviewed by the state and the institution. The institution will identify for the analyst the ECMs on Table VIII which will be a part of the next ECM grant application. The analyst will then include only these ECMs in Table IX. In Table IX the simple payback period and SIR must be recalculated with the interaction between the ECMs taken into account. The total energy savings from several ECMs will generally be less than the sum of the savings from each ECM when calculated as though only one ECM were implemented. h) The ECMs in Table IX must be listed in order of the one with the highest to lowest SIR. Interaction calculations should be shown in the detailed engineering analysis section for each ECM. Table X i) On Table X, all the remaining ECMs not listed on Table |X will be listed with the interactive savings calculated in the order of the ECM with the highest to lowest SIR from Table Vill. Assume that all the ECMs on Table IX have been installed. Interaction calculations should be shown in the detailed engineering analysis section for each ECM. Energy Use and Energy Cost Saving Calculation Procedures and Requirements a) Manual Calculation Procedures When manual calculation procedures are employed, the _ following guidelines are applicable: i) The calculations used to derive the energy use profile revised 6/30/93 B13 must be shown in detail; ii) The formula used to estimate the savings for each ECM must be provided; iii) All symbols used in formulas and all units must be shown; iv) All assumptions must be clearly presented; v) Formula input parameters must be clearly identified. vi) The calculations must be presented in a clear and precise manner. b) Computer Models An established and _ recognized computer program may be the only approach which can be used to evaluate effectively the energy savings that will result from the implementation of an ECM. These situations involve either a building which is complex in nature and/or a Capital modification which is complex in nature. If computer modeling is used, the name of the program must be indicated and the following information must be provided in the TA study: i) A brief presentation of the manipulations which the program will accomplish. ii) The input data for the building and for each ECM should be presented in a clear, precise manner to allow identification of each parameter. In addition, on a separate sheet, each input parameter which was changed must be identified and a justification for the change must be provided. This could also include any changes made to the input parameters for the c) purpose of either taking interaction into account or the effect of recommended O&M procedure changes. ii) Clear and precise presentation of the results of the analysis. This must be supplemented with a_ brief discussion and summarization of the results. iv) Concrete evidence must be provided to verify that interaction was taken into account. Specific Calculation Requirements and Procedures (Computer and Manual) i) When weatherstripping is considered an O&M, it must be assumed that windows have already been properly caulked and weatherstripped when estimating the energy savings, due to infiltration reduction, for any window modification, such as storm windows, replacement windows, etc. Only the incremental reduction in infiltration may be used to estimate energy savings. ii) Calculation procedures must be documented and referenced (for example, ASHRAE_ 1985 Fundamentals Handbook, Chapter 25). Calculations will be checked using established procedures and publications. Sufficient data must be provided to permit verification of the energy savings. iii) | Manufacturer’s data on a product may not be acceptable unless documented by a recognized independent laboratory. Calculations must be applied in strict compliance with all limitations stated in the revised 6/30/93 B14 B6.4 published data. Recommended ECMs Appropriate in Alaska a) b) c) d) e) The definition for Energy Conservation Measure (ECM) in 10 CFR 455.2 is “an installation or modification of an installation in a building, which is primarily intended to maintain (in the case of load Management systems) or reduce energy consumption, or allow the use of an alternative energy source ...” (Page B20). A list then follows in the federal regulations of eligible ECMs. The State has a list of recommended ECMs appropriate in Alaska. However, some of the ECMs permissible under the federal regulations may not be appropriate in most of Alaska. Others need to have constraints identified. Funding for stack dampers is limited to only those that provide 99 percent (full) closure. For example, a damper that only provides 90 percent closure cannot be funded in Alaska’s ICP program. grantees should ensure that the __ installed steady-state efficiency of replacement oil burners is 80 to 84 percent and of replacement gas burners is 80 to 83 percent. This efficiency must be verified by combustion testing after the burner is installed. Institutional Caulking is not a fundabie ECM. Weatherstripping is onty a fundable ECM when the ECM meets the other program requirements and it involves major modifications of windows or doors that were Not originally designed for weatherstripping. B6.5 ECMs Ineligible for Funding Modifications generally not eligible for ECM funding include, but are not limited to, the following: a) b) c) d) e) f) 9) h) i) k) i) m) Demolishing an entire building The repair or replacement of weatherstripping and/or caulking of doors and windows except as noted above Draperies and similar window treatments Cost of new ceiling/roofing when adding insulation (The cost of the insulation and other integral items are eligible) Flue dampers that are not 99 percent closure type Maintaining steam traps Combustion monitoring equipment (portable test equipment) Flow meters, demand limiters, etc., unless an integral part of an ECM Locking thermostat covers Repairing or replacing pipe and/or duct insulation Cleaning equipment Replacement appliances and equipment such as washers, dryers, dishwashers, typewriters The correction of problems which arise primarily from revised 6/30/93 B15 0) p) q) r) s) t) u) v) w) y) 2) deferred maintenance Leased equipment Actions such as_ cleaning, lubricating, adjusting, reconnecting, etc., which are predominantly labor costs and result only in restoration of the building nominal level of efficiency (for example, assuming all building construction and equipment are in good condition) Reducing illumination levels or disconnecting ballasts Use of higher efficiency lamps (watt miser fluorescent lamps, phantom tubes, screw type fluorescent lamps) Lighting and lighting control systems with harmonic content over 25 percent in either the 3rd, 5th or 7th harmonic Exterior lighting (not attached to the building) modifications Ceiling and destratification fans ECMs which do not reduce energy consumption Spare parts purchased in connection with an eligible ECM Window glazing with an R- value below R-2.8 Wall insulation if the average R- value of the newly insulated wall will be below R-30 Roof insulation if the average R-value of the newly insulated roof will be below R-38 Pipe insulation with an R-value below R-4 TECHNICAL ASSISTANCE STUDY REFERENCE MATERIAL The following selected references may be useful when performing a TA study, particularly as sources of potential energy conserving O&M procedure changes and ECMs. TITLE ASHRAE 1984 Systems Handbook ASHRAE 1985 Fundamentals Handbook Retrofitting of Commercial, Institutional, and Industrial Buildings for Energy Conservation Energy Engineering Fundamentals for Residential and Commercial Buildings Total Energy Management: A_ Practical Handbook on Energy Conservation and Management The Professional Energy AnalysisWorkbook, Professional Energy Analysis Calculation and the Professional Energy Analysis Manual Wisconsin Educational Facilities Energy Conservation Manual Energy Sourcebook for Educational Facilities New Mexico Energy Audit Training Manual for Hospitals and Public Care Facilities BLCC Life Cycle Cost Computer Program #12-506085-61 for MSDOS #12-506085-62 for TRSDOS #12-506085-63 for CPM revised 6/30/93 AVAILABLE FROM American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc 1791 Tullie Cir NE Atlanta Georgia 30329 Van Nostrand Reinhold Co. VNR Order Processing 7625 Empire Dr Florence Kentucky 41042 Same as above National Electrical Contractors Assoc 7315 Wisconsin Ave NW Bethesda MD 20814-3299 National Electrical Manufacturers Assoc. 2101 L St NW Washington DC 20037 Department of Natural Resources P.O. Box 44396 Baton Rouge, Louisiana 70804 Wisconsin Division of State Energy 101 S Webster St 8th FI PO Box 7868 Madison Wisconsin 53707 Council of Educational Facility Planners, Internat. 29 W Woodruff Ave Columbus OH 43210 New Mexico Energy & Minerals Department 525 Camino de los Marquez Santa Fe NM 87501 National Technical Information Service U.S. Department of Commerce Springfield, VA 22161 Life Cycle Cost Manual for the Federal Energy Management Prgm (cost code A11, NBS HANDBOOK-135(rev) Appendices A, B and C updates (cost code A- 06, DOE/CE-0101) Advances in Energy Cost Savings for Industry & Buildings Energy Management Energy Engineering Journal 1985 Catalog of Publications & VideotapesResources in Facilities Management revised 6/30/93 B17 National Technical Information Service U.S. Department of Commerce Springfield, VA 22161 AEE Energy Books-Dept 22 Association of Energy Engineer 4025 Pleasantdale Rd Ste 340 Atlanta GA 30340 Same as above Energy Subscription Service Dept 22 PO Box 14227 Atlanta GA 30324 American Association of Physical Plant Administrators of Universities and Colleges 1446 Duke St Alexandria VA 22314-3942 (703) 684-1446 ALASKA ENERGY LIBRARY Alaska Housing Finance Corporation 520 E. 34th Avenue Anchorage, Alaska 99503-4199 Anchorage Telephone: (907) 564-9170 Outside Anchorage Telephone: (800) 478-4636 TECHNICAL ASSISTANCE STUDY REFERENCE MATERIAL The following selected references are available for loan from the Alaska Energy Library. Alaska Institutional Energy Auditor Training Manual (1980) ASHRAE 1984 Systems Handbook ASHRAE 1985 Fundamentals Handbook Energy Conservation in Health Care Facilities Energy Conservation in Public Sector Purchasing Energy Education For The Hospital Industry Energy Engineering Fundamentals For Residential & Commercial Buildings Energy Management Energy Management & Control Systems Handbook Energy Management For Maintenance & Custodial Staff Energy Sourcebook For Educational Facilities Financial Evaluation of Energy Costs & Projects Fundamentals of Energy Engineering ICP Workshop Improved Maintenance & Operations Mgmt For Energy Conservation Institutional Manager’s Guide To Technical Assistance Audits Introduction To Life Cycle Costing Lighting Energy Management For Colleges & Universities Life Cycle Cost Manual For the Federal Energy Management Program ( Cost code All, NBS Handbook-135 Appendices A,B,C updates, Cost Code A-O06-DOE/CE 0101) Performing A Lighting System Audit Retrofitting of Commercial, Institutional & Industrial Buildings For Energy Conservation Technical Analysis For Valdez Senior High School Total Energy Management:A Practical Handbook on Energy Conservation & Management Wisconsin Educational Facilities Conservation Manual Also available for use or copying are the following computer programs: Federal Building Life Cycle Cost (FBLCC) For IBM PC/XT/AT or compatible revised 6/30/93 B18 9438 Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations Today's regulatory amendments are intended to simplify the management of the program by providing the States with clearer, more specific guidance in a number of areas and greater flexibility in other areas. They will not, therefore, have a substantial direct effect on the traditional rights and prerogatives of States in relationship to the Federal Government. IX. Review Under the Federal Energy Administration Act The NOPR was submitted for comment to the Administrator of the Environmental Protection Agency under section 7(c)(2) of the Federal Energy Administration Act, as amended, 15 U.S.C. 766(c)(2). The Administrator did not submit any comments. X. Catalog of Federal Domestic Assistance The Catalog of Federal Domestic Assistance number for the Grant Program for Schools and Hospitals is 81.052. List of Subjects in 10 CFR Part 455 Buildings, en conservation, grant ergy, health facilities, In consideration of the ing, DOE hereby amends Chapter I, title 10, Code of Federal Regulations, as set forth below: Issued in Washington, DC on February 5, 1993. Robert L. San Martin, Acting Assistant Secretary, Conservation and Renewable Energy. Part 455 of chapter II; title 10, Code of Federal Regulations is revised to read as set forth below: PART 455—GRANT PROGRAMS FOR SCHOOLS AND HOSPITALS AND BUILDINGS OWNED BY UNITS OF nae GOVERNMENT AND PUBLIC INSTITUTIONS Subpart A—General Provisions Sec. 455.1 Purpose and scope. 455.2 Definitions. 455.3 Administration of grants. - 455.4 Recordkeeping. 455.5 Suspension and termination of grants. Subpart B—State Pien Development and Approval 455.20 Contents of State Plan. 455.21 Submission and @ of State Plans and State Plan amendments. Subpart C—Allocation of Appropriations Among the States 455.30 Allocation of funds. 455.31 Allocation formulas. 455.32 Reallocation of funds. Subpart D—Preliminary Energy Audit and Energy Audit Grants (Reserved) Subpart E—Technical Assistance Programs for Schoois, Hospitais, Units of Local Government, and Public Care institutions 455.60 Purpose. 455.61 Bligibility. 455.62 Contents of a technical assistance program. 455.63 Cost-effectiveness testing. 455.64 Life-cycle cost methodology. Subpert F—Energy Conservation Measures for Schoots and Hoepitais 455.70 Purpose. 455.71 Eligibility. 455.72 Scope of the grant. Subpart G—State Administrative Expenses 455.80 Purpose. 455.81 Eligibility. 455.82 Scope of the grant. Subpert H—State Grants for Technical Assistance, Program Assistance, and Marketing 455.90 Purpose. 455.91 Bligibility.. 455.92 State technical assistance awards. Subpert }—Cost Sharing 455.100 Limits to Federal share. 455.101 Borrowing the non-Federal share/ title to 455.102 Energy conservation measure cost- share credit. 455.103 Requirements for applications for credit. 455.104 Rebates from utilities and other entities. Subpart J—Applicant Responsibilities— Grants to institutions and Coordinating Agencies 455.110 Grant application submittals for technical assistance and energy Conservation measures. 455.111 Applicant certifications for assistance and energy conservation measure grants to institutions and coordinating agencies. 455.112 Devis-Bacon wage rate requirement. 455.113 Grantee records and reports for technical assistance and energy Conservation measure grants to institutions and coordinating agencies. Subpart K—Applicant Responsibilities— Grants to States 455.120 Grant applications for State administrative expenses. 455.121 Grant applications for State technical assistance, program assistance, and marketing programs. 455.122 Applicant certifications for State grants for technical assistance, program assistance, and marketing. B19 455.123 Grantee records and reports for State grants for administrative expenses. technical assistance, program assistance, and marketing. Subpart L—State Responsibilities 455.130 State evaluation of grant applications. 455.131 State ranking of grant applications 455.132 State evaluation of requests for severe hardship assistance. 455.133 Forwarding of applications from institutions and coordinating agencies for technical assistance and energy conservation measure grants. 455.134 Forwarding of applications for State grants for technical assistance. program assistance, and marketing ~ 455.135 State liaison, monitoring, and reporting. Subpart M—Grant Awards 455.140 Approval of applications from institutions and coordinating agencies for technical assistance and energy conservation measures. 455.141 Grant awards for units of local government, public care institutions, and coordinating agencies. 455.142 Grant awards for schools, hospitals. and coordinating es. 455.143 Grant awards for State administrative 455.144 Grant awards for State programs to provide technical assistance, program assistance, and Subpert N—Administrative Review 455.150 Right to administrative review. 455.151 Notice requesting administrative review. 455.152 Transmittal of record on review 455.153 Review by the Deputy Assistant Secretary. 455.154 Discretionary review by the Assistant Secretary. 455.155 Finality of decision. Authority: 42 U.S.C. 6371 et seq., and 42 U.S.C. 7101 et seq. Subpart A—Generai Provisions $455.1 Purpose and scope. (a) This part establishes programs of financial assistance pursuant to Title I of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6371 et seq (b) This part authorizes grants to States or to public or non-profit schools and hospitals to assist them in conducting preliminary energy audits and audits, in identifying and implementing energy conservation maintenance and operating procedures. and in evaluating, acquiring, and installing energy conservation measures. including renewable resource measures. to reduce the energy use and anticipated energy costs of buildings owned by schools and hospitals. (c) This part authorizes grants to States or units of local government and public care institutions to assist them in conducting preliminary energy audits “NN Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations and energy audits, in identifying and implementing energy conservation maintenance and operating procedures, and in evaluating energy conservation measures, including renewable resource measures, to reduce the en use and anticipated energy costs of buildings owned by units of local government and public care institutions. §455.2 Definitions. Act, as used in this part, means the Energy Policy and Conservation Act, Public Law 94-163, 89 Stat. 871.(42 U.S.C. 6201, et seq.), as amended by title II of the National Energy Conservation Policy Act, Public Law 95-619, 92 Stat. 3238 (42 U.S.C. 6371), and the State Energy Efficiency Programs Improvement Act of 1990, Public Law 101-440, 104 Stat. 1011. Assistant Secretary means the Assistant Secretary for Conservation and Renewable Energy or any official to whom the Assistant — functions may be redelegated by the Secretary. Auditor means any person who is qualified in accordance with 10 CFR 450.44 and with State requirements pursuant to § 455.20(k), to conduct an energy audit. = crane means - ae os including a group of closely situat arate units that are centrally metered or served by a central utility plant, or an eligible portion thereof, the construction of which was completed on or before May 1, 1989, which —— a heating or cooling system, or Civil rights requirements means civil rights responsibilities of applicants and grantees pursuant to the Nondiscrimination in Federally Assisted regulation of the a of Energy (10 CFR part 1040). lanap pa —— a closely situated group o! ings on a contiguous site such as a school or college campus or multibuilding hospital. Construction means the date of issuance of an occupancy it for a building or the date the buili is ready for occupancy as ined by col ing d d the 1 ling degree days means the annua! ro of 7 a of Fahrenheit jegrees of ea y’s mean temperature above 65° for a given locality. Coordinating agency means a State or any public or — it organization legally constituted within a State which provides either administrative control or services for a group of institutions within a State and which acts on behalf of such institutions with respect to their participation in the program. 9439 Deputy Assistant Secretary means the (i) Repairing leaks; Deputy Assistant Secretary for (ii) Reducing the quantity of water Technical and Financial Assistance or _—used, e.g., using flow restrictors; any official to whom the Deputy (iii) Lowering settings for hot water Assistant ’s functions maybe temperatures; and — by the Assistant 5 (iv) Raising settings for chilled water DOE means the Department of Energy. temperatures; Energy audit means a determination (5) Changes in the maintenance and of the energy consumption operating procedures of the building's characteristics of a building which: mechanical systems through: (1) Identifies the type, size, and rate (i) Cleaning equipment; of energy consumption of such building —_—_(ij) Adjusting air/fuel ratio; and the major energy-using systems of such building; (2) Determines appropriate energy conservation maintenance and operating procedures; (3) Indicates the need, if any, for the acquisition and installation of energy conservation measures; and (4) If paid for with financial assistance under this part, complies with 10 CFR 450.43. Energy conservation maintenance and operating procedures means modifications in the maintenance and operations of a building and any installation therein which are designed to reduce the energy consumption in such building and which ire no significant expenditure of funds, including, but not limited to: (1) Effective operation and . maintenance of ventilation systems and control of infiltration conditions, including: (i) Repair of caulking or weatherstripping around windows and joors; (ii) Reduction of outside air intake, shutting down ventilation systems in unoccupied areas, and shutting down ventilation — when the building is not occupied; and (iii) Assuring central or unitary ventilation haan ag or both, are ° TO} 3 F(Z) Changes in the operation and maintenance of heating or cooling (i) Lowering or raising indoor tures; tem ; (ii) Locking thermostats; (iii) Adjusting supply or heat transfer medium temperatures; and (iv) Reducing or eliminating heating or cooling at night or at times when a building or complex is unoccupied; (3) Changes in the operation and —— of lighting systems (i) Reducing illumination levels; (ii) Maximizing use of daylight; a Using higher efficiency lamps; ani (iv) Reducing or eliminating evening cleaning of buildings; (4) Changes in the operation and maintenance of water systems through: B20 (iii) Monitoring combustion; (iv) Adjusting fan, motor, or belt drive systems; (v) Maintaining steam traps; and (vi) Repairing distribution pipe insulation; and (6) Such other actions relating to operations and maintenance procedures as the State may determine useful or necessary. In general, energy conservation maintenance and operating procedures involve cleaning, repairing or adjusting existing equipment rather than acquiring new equipment. En conservation measure means an in tion or modification of an installation in a building which is primarily intended to maintain (in the case of load management systems) or reduce energy consumption and reduce energy costs, or allow the use of an alternative energy source, including, but not limited to: (1) Insulation of the building structure and systems within the building; (2) Storm windows and doors, multi; windows and doors, heat- absorbing or heat-reflective glazed and coated windows and door systems, additional glazing, reductions in glass area, and other window and door systems modifications; (3) Automatic energy control systems which would reduce energy consumption; (4) Load ent 8 which would shift demand for energy from hours to hours of low demand and jower cost; 4 (5) Equipment required to operate variable steam, hydraulic, and ventilating systems adjusted by automatic energy control systems; (6) Active or passive solar heating or cooling systems, electric generating systems, or any combination thereof; (7) Active or passive solar water heating systems; (8) Furnace or utility plant and distribution system modifications including: (i) Rep! ent burners, furnaces, boilers, or any combination thereof which substantially increase the energy efficiency of the heating system. 5440 Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations (ii) Devices for modifying flue (6) The need, if any, for the hospital services under the laws of the épenings which will increase the energy acquisition and installation of energy State in which it is situated. efficiency of the heating system; conservation measures including an Hospital facilities means buildings (iii) Electrical or mechanical furnace ignition systems which replace standing gas pilot lights; and (iv) Utility plant system conversion measures including conversion of existing oil- and gas-fired boiler installations to ahevatien energy sources; {9) Addition of caulking and weatherstripping; (10) Replacement or modification of lighting teres (including Sa fixtures which are physically ai to, or connected to, the building) to increase the energy efficiency of the lighting —_ without increasing the overall illumination of a facility, unless such 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 DOE; (11) Energy recovery systems; (12) 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 pe by an eligi ible institution and which meet such fuel efficiency requirements as DOE may by rule prescribe; (13} Such other measures as DOE identifies by rule ve urposes of this Sea wes ee part D of 10 CFR tet 450; and (14) Such other measures as a grant applicant shows will save a substantial amount of energy and as are identified in an energy audit or energy use evaluation in accordance with § 455.20(k) or a technical assistance report in accordance with § 455.62. Energy use evaluation means a determination of: (1) Whether the building {fs a school facility, aoa facility, or a building owned and occupied and used throughout the year a ale a = of local government or by a public care institution. (2) The name and address of the owner of record, indicating whether owned by a public institution, private nonprofit institution, or an Indian tribe; (3) The building’s potential suitability for renewable resource applications; (4) Major changes in functional use or mode of o; on planned in the next 15 years, such as demolition, disposal, rehabilitation, or conversion from office to warehouse; (5) Appropriate energy conservation maintenance and procedures which have been implemented for the building; assessment of the estimated costs and energy and cost savings likely to result from the purchase and installation of one or more energy conservation measures and an evaluation of the need and potential for retrofit based on consideration of one or more of the following: (i) An energy use index or indices, for example, Btu's per gross square foot per ear; (ii) An energy cost index or indices, for at aeniet annual energy costs per uare foot; or oi) physical characteristics of the building envelope and major energy- using systems; ani (7) Such other information as the State has determined useful or necessary, in accordance with § 455.20(k). Fuel means any commercia! source of ene: used within the building or complex surveyed such as natural gas, fuel oil, electricity, or coal. Governor means the chief executive officer of a State including the Mayor of the District of Columbia or s person duly designated in writin, ag the Governor to act on her or his behalf. Grant program cycle means the period of time specified by DOE which re! to the fiscal year or years for which monies are et pe ome for under this part swith one complete Pe of DO DOE t activity occurs including fund allocations to ihe States; a prea receipt, ons ' app! or ; and award o grants by DOE but which does not include the grantee’s performance period. Grantee means the ertity or organization named in the Notice of Financial = gear Award as the recipient of the Gross square feet ithe the sum of all heated or cooled floor areas enclosed in a building, catculated from the outside ‘dimensions or from the centerline of common walls. Heating or cooling system means any mechanical system for heating, cooling, or ventilating areas of a buildin including a system of through- Seat apie Sees the annual jeat legree days means the ann sum of rd pe grate of Fahrenheit d e y's mean temperature a a 6S° for a given locality. Hospital means a public or nonprofit institution which is a genera! hospital, tuberculosis hospital, or any other type of hospital other a a hospital pee primarily domiciliary care and whi i duly eciberiand to provide B21 housing a hospital and related facilities including laboratories, laundries, outpatient de ents, nurses’ residence and training facilities, and central service facilities operated in connection with a hospital; it also includes buildings containing education or training facilities for health profession personnel operated as an integral part cf a hospital. Indian tribe means any tribe, band. nation, or other organized group or community of fatheuns includi Alaska native village or regi or village a: as defined in or established pursuant to, the Alaska Native Claims Settlement Act, Public Law 92-203; 85 Stat. 688, which (a) is recognized as eligible for the i 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. Load management system means a device or devices which are desi; to shift energy use to hours of low demand in order to reduce energy costs and which do not cause more energy to be used than was used before their installation. Local educational agency means a public board of education or other public authority or a nonprofit instution y = a Hip or otherwise recognized by, a State either for administrative control or direction of, or to perform administrative services fot, a group of schools within a State. Maintenance means activities undertaken in a building to assure that equipment and energy- systems operate elfectively and “mee Marketing means a p activity managed or parkeroed by the State eluding but not limited to: (1) Obtaining non-Federal funds to finance en conservation measures consistent with this part; (2) Making site visits to school and hospital officials to review program op) 3) Giving p: sresentations to groups such as sda or hospital board officials and Secnaaioete and (4) Preparin; paring and disseminating articles in publications directed to school and P hospital personnel. Native American means is a member of an Indian tribe. Non-Federal funds means financing sources obtained or for by a State as a result of the State enact ursuant to § 455.20(j), to be used to pay e energy conservation measures for institutions eligible under this part. and mn who Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations 9441 a Se includes petroleum violation escrow funds except for those funds required to be treated as if they were Federal funds by statute, court order, or settlement agreement. Operating means the operation of equipment and energy-using systems in a building to achieve or maintain specified levels of environmental conditions of service. Owned or owns means property interest including without limitation a leasehold interest which is or shall become a fee simple title in a building or complex. 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 which if paid for with financial assistance under this part, complies with 10 CFR 450.42. Primarily occupied means that in excess of 50 percent of a building's square footage or time of occupancy is occupied by a public care institution or an office or agency of a unit of local government. Program assistance means a program ’ or activity or performed by the State and designed to provide support to eligible ‘esinaions to help ensure the thane of energy conservation programs carried out consistent with this part including such relevant activities as: (1) Evaluating the services and reports of consulting engineers; (2) Training school or hospital el to energy accounting and to identify and implement energy conservation maintenance and operating procedures; (3) Monitoring tue implementation and operation of energy conservation measures; and (4) Aiding in the procurement of energy-efficient equipment. Public care institution means a public or nonprofit institution which owns: (1) A facility for care, rehabilitation facility, or public health center, as described in section 1624 of the Public Health Service Act (42 U.S.C. 300s-3; 88 Stat. 2270); or (2) A residential child care center which is an institution, other than a foster home, operated by a public or nonprofit institution. It is primarily intended to provide full-time residential care, with an a’ length of stay of at least 30 days, for at least 10 minor 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; or (2) A school or hospital which is, or would be in the case of such entities situated in American Samoa, Guam, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, and the U.S. 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 public care institution which is, or would be in the case of such entities situated in American Samoa, Guam, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, and the U.S. Virgin Islands, exempt from income tax under section 501(c)(3) or 501(c)(4) of the Internal Revenue Code of 1954. Renewable resource energy conservation measure means an energy conservation measure which produces at least 50 percent of its Btu's from a non-depletable energy source. 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) Provides, and is legally authorized to provide, a program of education beyond secondary education, on a day or residential basis and: we Admits as students only as a certificate of graduation from a providing mcoery education, or —« Tecognized equivalent of such certificate; (ii) Is accredited by a nationally Tecognized accrediting agency or association; and (iii) Provides an educational program for which it awards a bachelor's degree or higher degree or provides not less than a 2- program which is acceptable for full credit toward such a degree at any institution which meets the Ly papers tee none a and which provides program; (3) Provides not less than a 1-year of training to prepare students = gainful employment in a recognized occupation and which meets the provisions cited in paragraph (2), and subparagraphs (2)(i), and (2)(ii) of this definition; or (4) Is a local educational agency. School facilities means buildings housing classrooms, laboratories, dormitories, administrative facilities, athletic facilities, or related facilities operated in connection with a school. B22 Secretary means the Department of Energy or his/her designee. State means, in addition to the several States of the Union, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, and the U.S. Virgin Islands. State energy agency means the State agency responsible for developing State energy conservation plans pursuant to section 362 of the Energy Policy and Conservation Act (42 U.S.C. 6322) or, if no such agency exists, a State agency designated by the Governor of such State to prepare and submit the State Plan required under section 394 of the Energy Policy and Conservation Act. State hospital facilities agency means an existing agency which is broadly representative of the public hospitals and the nonprofit hospitals or, if no such agency exists, an agency designated by the Governor of such State which conforms to the requirements of this definition. State school facilities agency means an existing agency which is broadly representative of public institutions of higher education, nonprofit institutions of higher education, public elementary and secondary schools, nonprofit elementary and secondary schools, public vocational education institutions, nonprofit vocational education institutions, and the interests of handicapped persons in a State or, if no such agency exists, an agency which is designated by the Governor of such State which conforms to the requirements of this definition. Support office director means the Director of the DOE field support office with the responsibility for grant administration or any official to whom that function may be redelegated. Technical assistance means: (1) The conduct of studies to identify and specify energy savings or of the energy cost savings that are likely to be realized asa t of the modification of maintenance and operating procedures in a building, the acquisition and installation of one or more specified energy conservation measures in a building, or both; and (2) the planning or administration of such 8 studies. For schools and hospitals which are eligible to receive grants to carry out energy conservation measures, the term also means the planning or administration of specific remodeling, renovation, repair, replacement, or insulation projects related to the installation of energy conservation or renewable resource measures in a building. 9442 Federal Register / Vol. 58, No. 32 / Friday. February 19, 1993 / Rules and Regulations Technical assistance progrom update means a brief revision to an existing technical assistance program report designed to provide current information such as that relating to energy use, equipment costs, and other data needed to substantiate an application for an energy conservation measure grant. Such an update shall be limited to the particular measures included in the related grant application with any relevant data regarding interections or relationships to previously installed energy Conservation measures. Unit of local government means the government of a county, municipality, parish, borough, or township which isa unit of general government below the State (determined on the basis of the same principles as are used by the Bureau of the Census for general statistical purposes) and the District of Columbia. Such term also means the recognized governing body of an Indian tribo which governing body performs substantial governmental functions and includes libraries which serve all residents of a political subdivision below the State level (such as a pester , district, or region) free of charge and which derive at least 40 percent of thsir funds from tax revenues of a taxing suthority below the State level. —~ $455.3 Administration of grants. Grants provided under this part shall comply with epplicable law, ion, or procedure including, without limitation, the requirements of: (a) The DOE Financial Assistance Rules (10 CFR part 600 as amended) at as otherwise provided in this 8; (b) Executive Order 12372 entitled “Intergovernmental Review of Federal Programs” (48 FR 3130, January 24, 1983; 3 CFR, 1982 on .» p. 197) and the DOE regulation ting this Executive ica oneitied : “In tal Review of Department of and Activities” (10 CFR part 5 (c) Office of and Budget Regulati os Pe pee in ions Permitting les to Provide Specified or Technica! Services to State and Local Units of Government under title III of the Inter- Governmental! Coordination Act of 1968" available from the Office of Management and Budget, Office of Publication Services, 725 17th Street, NW., Washington, DC 20503; (d) DOE regulation entitled “Nondiscrimination in Federally Assisted ” (10 CFR part 1040) which implements the following public laws: Title VI of the Civil Rights, He of 1964; section 16 of the Federal Energy Administration Act of 1974; section 401 of the Energy Reorganization Act of 1974; title IX of the Education Amendments of 1972; The Age Diserimination Act of 1975; and section 504 of the Rehabilitation Act of 1973; and {e) Such other procedures applicable to this part as DOE may from time to time prescribe for the administration of financial assistance. $455.4 Recordkeeping. Each State or other entity within a State receiving financial assistance under this part shall make and retain records ired and specified by the DOE Financia! Assistance Rules, 10 CFR part 600, and this part. §455.5 Suspension and termination of grants. Suspension and termination procedures shall be as set forth tn the DOE Financia! Assistance Rules, 10 CFR part 600. Subpart B—State Pian Development and Approval $455.20 Contents of State Pian. Each State shall develop and submit to DOE a State Plan for technical assistance programs and en conservation measures, inch renewable resource measures to the extent a program assistance, and/or . The State Plan shall include: = (a) A statement setting forth the by which is views of eligible institutions or coordinating agencies representing such institutions, or both, were ya eoliciint and considered during development of the State Plan and any amendment to a State Plan; (b) The procedures the State will follow to tify eligible institutions and coordinating agencies of the content of = epproved State Plan or any ed ameridment to a State Plan; (c) The procedures the State will follow to notify eligible institutions and ies of the availability coordinating agencies (each funding cycle) of funding under this and related funding available from non-Federal sources to fund technica! assistance programs and energy Conservation measures consistent with this part; (d) The procedures for submittal of plications to the State; og) The procedures to be used by the State for evaluating and ranking technical assistance and energy conservation measure grant applications pursuant to § 455.130 and § 455.131, including the weights assigned to each criterion set forth in §§ 455.131 (c)(1), B23 (c)(2), (cH{3), (c)(4) and (c)(5). In addition, the State shall determine the order of priority given to fuel types that inchude oil, natural gas, and electricity, under § 455.131(c)(2); () The that the State will follow to insure that funds will be allocated equitably among eligible applicants within the State including procedures to insure that funds will not be allocated on the basis of size or type of institution, but rather on the basis of relative need, taking into account such factors as cost, energy consumption, and energy savings, in accordance with § 455.131; (g) The procedures that the States will follow for identifying schools and hospitals experiencing severe hardship and for apportioning the funds that are available for schools and hospitals in a case of severe hardship. Such policies and procedures shall be in accordance with § 455.132; (h) A statement setting forth the extent to which, and by which methods, the State will encourage utilization of solar space heating, cooling and electric systems, and solar water heating systems; (i) The procedures to assure that all financial assistance under this part will be expended in com with the Baan with ae of e ts iron: and in coadheeees ois other State and Federal energy conservation 0 If a State is eligible and elects to use up to 100 percent of the funds provided by DOE under this part for any fiscal year for program and technical assistance and/or up to 50 percent of such funds for bec sh (1) A description of poi activity the State proposes, including the procedures for program operation, ty eee evaluation; (2) The of funding to be used for eech program and the source of those funds; (3) The amount of the State's allocated = State proposes to use for (4) A descri of the non-Federal financing mi to be used to fund conservation measures in the State the fiscal year; (5) A description of the evaluation, selection criteria to be used by the State in det: which institutions receive funding for energy conservation measures; (6) The procedures for assuring that all ceabe te of the State's eligible institutions, including religiously affiliated institutions receive an equitable share of the assistance provided both for program and technical Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations 9443 LE AE EN A RR TE SR, SSS assistance, marketing, and energy conservation measures; (7) A description of how the State will track: the amount of total available funds by source; the amount of funds obligated against those funds; and any limits on types of institutions eligible for particular funding sources; and {8) The procedures for assi: institutions which initially receive program, technical, or marketing assistance (as part of the State's special program(s)) in later participating in the State's program(s) to provide energy conservation measure (k) The requirements for an energy audit or an energy use evaluation, and the requirements for qualifications for auditors or persons who will conduct energy use evaluations in the State; (1) With regard to energy conservation maintenance and operating procedures: (1) The procedures to insure implementation of energy conservation maintenance and operating procedures in those buildings for which financial assistance is requested under this part; (2) A provision that all maintenance and operating procedure changes Tecommended in an en audit pursuant to § 455.20(k), or in a technical assistance report under § 455.62, ora combination of these are implemented as provided under this part; or 3) An assurance that the maintenance and operating procedures will be implemented in the future, or a reasonable justification for not implementing such procedures, as appropriate; m) The procedures to assure that financial assistance under this part will be used to supplement, and not to supplant, State, local or other funds, including at least: (1) The screening of applicants for eligibility for available State funds; 2) The identification of applicants which are seeking or have ana private sector funds; and, (3) Limiting or excluding (at the option of the State) the availability of financial assistance under this part for funding particular measures for which funding is being provided by other sources in the State (such as utility rebates) together with any requirements for potential applicants to first seek other sources of funding and document the results of that attempt before seeking financial assistance under this part and a description of the State's picn to assist potential applicants in identifying and obtaining other sources of funding; (n) The procedures for determining that technical assistance programs performed without the use of Federal funds and used as the basis for energy conservation measure grant applications have been performed in compliance with the requirements of § 455.62, for the purposes of satisfying the eligibility requirements contained in § 455.71(a)(3); (o) The State's policy regarding reasonable selection of energy conservation measures for study in a technical assistance program including any restrictions based on category of building or on groups of structures where measures may, or may not, be appropriate for all the structures and any additional State requirements for the conduct of such a p ; (p) The procedures for State management, monitoring, and evaluation of technical assistance programs and energy conservation measures receiving financial assistance under this part. This includes any State requirements for hospital certifications from a State agency with descriptions of the review procedures and coordination process applicable in such cases. If there is no school facilities agency in the State, or if the existing agency does not certify all types of schools, it also includes any State requirements for an alternative review and certification process for schools; (q) The circumstances under which the State requires an updated technical assistance program report to accompany an application for an energy conservation measure grant and the and contents of such an update; (r) A description of the State's policies for establishing and insuring compliance with qualifications for technical assistance analysts. Such policies shall require that technical assistance analysts be free from financial interests which may conflict with the proper performance of their duties and have experience in energy conservation and: (1) Be a registered professional engineer licensed under the regulatory authority of the State; (2) Be an architect-engineer team, the cipal members of which are icensed under the regulatory authority of the State; or (3) Be otherwise qualified in accordance with such criteria as the State may prescribe in its State Plan to insure that individuals conducting technical assistance programs possess the appropriate training and experience in energy systems; (s) The circumstances under which the State will or will not consider accepting applications for technical assistance programs or energy conservation measures which were included in earlier approved grant awards but which were not implemented and for which no funds B24 were expended after the original grant award; (t) A statement setting forth: (1) An estimate of energy savings : which may result from the modification of maintenance and operating procedures and installation of energy conservation measures; (2) A recommendation as to the types of energy conservation measures ra appropriate within the State; ani (3) An estimate of the costs of carryin: out technical assistance and energy : conservation measure programs; (u) For purposes of the technical assistance program pursuant to § 455.62: (1) A statement setting forth uniform conversion factors to be used by all grant applicants in the technical assistance analysis for conversion of fuels to Btu equivalents. For the conversion of kilowatt hours to Btus, the State may use 3,413, representing consumption at the consumer's end, or 11,600, representing consumption at the producer's end, or may assign 3,413 to some types of energy conservation measures and 11,600 to other s of measures in which case the State shall specify the conversion factor to be used for each type of measure, providing a rationale and citing the sources used in making na os and the State shall always apply the specified factor consistently to all CMe of a perticulas type; (2) A statement setting forth the cost- effectiveness testing approach to be used to evaluate energy conservation measures pursuant to § 455.63. States may select either the simple paybeck approach or the life-cycle costing approach. Only one approach may be used for all technical assistance programs in the State. If the State elects to use the life-cycle costing approach, it must specify, consistent with ; Sain Reomn, it will use DOE- provi or its own en cost escalation rate or sameadl iiecmenk rate, together with any other procedures to be used (in addition to those specified in § 455.64); and QA et forth on so percent (ora eT percent) of total cost savings (used in calculating cost effectiveness pursuant to § 455.63(e)(1) for simple payback, or § 455.64(c) for costing) must be from the cost of the energy to be saved. (v) For any coordinating agency. « description of how it will operate including but not limited to: (1) Name and address; (2) Type of institutions covered. (3) Application processing procedures; 9444 Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations (4) Whether TA applications, ECM Office Director determines that a Any special provisions for return the amendment to the State with applications, or both are covered; proposed State Plan amendment fails to 5) Intended schedule for soliciting comply with the requirements of this i processing applications; part, or is not reasonable, DOE shall religiously affiliated institutions; a statement setting forth the reasons for (7) Nature of subagreement to be used disapproval. with institutions; (8) Whether TA or ECM contractors Subpart C—Allocation of selected by the coordinating agency will Appropriations Among the States be offered incident to, or as a condition (w) If a State elects to allow credit award grants to schools, hos me units c care in, subagreements; and $455.30 Allocation of funds. (9) Other significant policies and (a) DOE will allocate available funds procedures; among the States for two purposes: to toward the cost share for an energy of local government, and p e conservation measure for the costs of institutions and coordinating agencies technical assistance programs, technical representing them to implement assistance program scdues, orenergy technical assistance and energy conservation measures previously conservation measures grant programs incurred and wholly paid for with non- and to award grants to eligible States for Federal funds, the policies regarding administrative expenses, technical such credit, including any time limits assistance programs, program for the age of the earlier-funded work — Fea expenses in being pro for credit; and accordance with this part. (x) The limit to the Federal share to (b) DOE shall noti be provided to applicants in the State if the total amount allocated for grants a State elects to provide less thana50 —_— within the State for any grant program percent Federal share to its applicants cycle: that di ualify hardship. (1) For schools and hospitals, the ont a asian P allocation amount shall be for technical §455.21 Submission and approval of State assistance 8, subject to any Plans and State Pian amendments. limitation placed on technical (a) Proposed State Plans or Plan assistance, and energy conservation amendments necessitated by a change in measures; regulations shall be submitted to DOE (2) For States that are eligible within 90 days of the effective date of pursuant to § 455.91, up to 100 this subpart or any amended of the funds allocated to the State by regulations. Upon request by a State, DOE may be used for technical and for good cause shown, DOE may assistance programs and/or for program grant an extension of time. assistance and up to 50 percent of the (b) The Support Office Director shall, funds allocated to the State within 60 days of receipt ofa proposed _be used for marketing as defined in State Plan, review each plan and, ifitis § 455.2; reasonable and found to conform to the (3) For States eligible under § 455.81, requirements of this part, approve the a portion of the allocation may be used State Plan. If the Support Office Director for a grant to tho State for administrative does not disapprove a State Plan within ts the 60-day period, the State Plan will be ) For unit of local government and deemed to have been approved. public care institutions, the allocation (c) Lf the Support Office Director amount shall Be solely for technical determines that a pro) State Plan assistance programs; and fails to comply wah ea of (5) For inating agencies, the this part or is not » DOE shall allocation amount shail be for either return the plan to tne Sta.e with a technical assistance programs subject to statement setting forth the reasons for any limitation placed on technical disapproval. assistance, or energy conservation (d) Except for State Plan amendments measures, or both depending on how covered by paragraph (a) of this section, the coordinating agency elects to if a State wishes to deviate from its operate. approved State Plan, the State must (c) DOE shall notify each Governor of submit and obtain DOE approval of the _ the period for which funds allocated for State Plan amendment. a grant program cycle will be made (e) The Support Office Director shall, available for grants within the State. within 60 days or less of receipt of a (d) Each State shall make available wu proposed State Plan amendment review to 10 percent of its allocation for schoo! each amendment and, if it is found to and hospitals in each grant p conform to the requirements of this part, cycle to provide financial assistance, not a 90 percent Federal share, for approve the amendment. If the Support toe: fy each Governor of by DOE may as described in § 455.120; technical assistance programs and energy conservation measures for schools and hospitals determined to be 6 in a class of severe hardship. Such determinations shall be made in accordance with § 455.132. § 455.31 Allocation formulas. (a) rome assistance for conducting technical assistance programs for units of local government iad public care institutions shall be allocated among the States by multiplying the sum available by the allocation factor set forth in paragraph (c) of this section. (b) Financial assistance for conducting technical assistance programs and acquiring and installing energy conservation measures, including renewable resource measures, for schools and hospitals, shall be allocated among the States by multiplying the sum available by the allocation factor set forth in paragraph (c) of this section. (c) The allocation factor (K) shall be determined by the formula: 0.07 (Sfc) (SP)(SC) K = — +01 40.83 —— N (Nic) (NPC) where, as determined by DOE: (1) Sfc is the projected average retail . cost per million Btu's of energy 6 consumed within the region in which ° the State is located as contained in current regional energy cost projections obtained from DOE. (2) Nfc is the summation of the Sfc numerators for all States; (3) N is the total number of eligible States; (4) SP is the population of the State; (5) SC is the sum of the State’s heating and cooling degree days; and (6) NPC is the summation of the (SP)(SC) numerators for all States. (d) Except for the District of Columbia, Puerto Rico, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, and the U.S. Virgin Islands, no allocation available to any State may be less than 0.5 per-sn. of all amounts allocated in any grant program cycle. No State will be allocated more than 10 percent of the funds allocated in any grant program cycle. $455.32 Reallocation of funds. (a) If a State Plan has not been approved and implemented by a State by the close of the period for which allocated funds are available as set forth in the notice issued by DOE pursuant to @: § 455.30(c), funds allocated to that State for technical assistance and energy conservation measures will be Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations 9445 reallocated among all States for the next t program cycle, if available. Fo) Funds which have been allocated to States in a grant program cycle but which have not been obligated to eligible State, school, or hospital grant applicants by the end of that cycle shall be reallocated by DOE among all States in the next t program cycie. (c) Funds which become available due to deobligations resulting from funds returned by grantees due to cost underruns or scope-of-work reductions on completed projects shall be reallocated by DOE among all States in the next grant program cycle. (d) Funds whick become available because of declined grants to schools and hospitals within a State may be reobligated to other eligible applicants in the State until the December 31 following the close of the cycle for which the funds were allocated to the State. Such funds which have not been reobligated by that deadline shall be reallocated by DOE among all States in the next grant program cycie. (e) Funds whiclt Gieoee available because of declined or deobligated financial assistance provided coordinating agencies to schools and hospitals within a State may be reobligated to other eligible applicants in the State until the December 31 following the close of the cycie for which the funds were allocated to the coordinating agency. Such funds which have not been reobligated by that deadline shall be reallocated by DOE among all States in the next grant program cycle. (f) Funds granted to States for technical assistance, program assistance, and marketing pursuant to § 455.144 are subject to reallocation by DOE among all the States in the next program cycle if such funds are not committed by the State to their intended purposes by means of grants, contracts, or other legaily binding obligations, or redirected to schools and hospitals grant applications pursuant to § 455.144(d), by the December 31 following the close of the cycle for which the funds were allocated to the State. Subpart O—Preliminary Energy Audit and Energy Audit Grants [Reserved] Subpart E—Technical Assistance Programs for Schools, Hospitais, Units of Local Government, and Public Care institutions $455.60 Purpose. This subpart specifies what constitutes a technical assistance program eligible for financial assistance under this part and sets forth the eligibility criteria for schoois, hospitals, units of local government, and public care institutions to receive grants for technical assistance to be performed in buildings owned by such institutions. $455.61 Eligibility. To be eligible to receive financial assistance for a technical assistance Pp , an applicant must: (a) Be a school, hospital, unit of local government, public care institution, or coordinating agency representing them except that financial assistance for units of local government and public care institutions will be provided only for buildings which are owned and primarily occupied by offices or agencies of a unit of local government or public care institution and which are not intended for seasonai use and not utilized primarily as a school or hospital eligible for assistance under this rogram; i (b) Be located in a State which has an approved State Plan as described in subpart B of this part; (c) Have conducted an energy audit or an energy use evaluation required pursuant to § 455.20(k) and adequate to estimate energy conservation potential for the building for which financial assistance is to be requested, subsequent to the most recent construction, reconfiguration, or utilization which significantly modified energy use within the building; (d) If an energy audit has been performed, give assurance that it has implemented all energy conservation maintenance and operating procedures required pursuant to § 455.20(k) or provide a written justification for not implementing them pursuant to § 455.20(1)(3); and (e) Submit an application in accordance with the provisions of this part and the approved State Plan. $455.62 Contents of a technical assistance program. (a) The purpose of a technical assistance program is to provide a report based on an on-site analysis of the building which meets the requirements of this section and the State's procedures for implementing this section. (b) A technical assistance p shall be designed to identify an document energy conservation maintenance and operating procedure changes and energy conservation measures in sufficient detail to support possible application for an energy Conservation measure grant and to ply reviewers and decision makers dling such applications sufficient information upon which to base a B26 judgment as to their reasonableness and a decision whether to pursue any or all of the recommended improvements. (c) A technical assistance p shall be conducted by a technical assistance analyst who has the qualifications established in the State Plan in accordance with § 455.20(r). (d) At the conclusion of a technical assistance is hea . the technical assistance analyst shall pre a report which shall include: eT (1) A description of building characteristics and energy data including: (i) The results of the energy audit or energy use evaluation of the building together with a statement as to the accuracy and completeness of the energy audit or energy use evaluation data and recommendations; (ii) The operation characteristics of energy-using systems; and (iii) The estimated remaining useful life of the building; (2) An analysis of the estimated energy consumption of the building, by fuel type in total Btus and Btu/sq.ft./yr., using Conversion factors prescribed by the State in the State Plan, at optimum efficiency (assuming implementation of all energy conservation maintenance and operating procedures); (3) A description and analysis of all identified energy conservation maintenance and operating procedure changes, if any, and energy conservation measures selected in accordance with . the State Plan, including renewable Tesource measures, setting forth: (i) A description of each energy conservation maintenance and operating procedure change and an estimate of the costs of adopting such energy conservation maintenance and operating procedure changes; (ii) An estimate of the cost of design, acquisition and installation of each energy conservation measure, discussing pertinent assumptions as necessary, (iii) Estimated useful life of each energy Conservation measure; (iv) An estimate of any increases or decreases in maintenance and operating Costs that would result from each conservation measure, if relevant to the cost effectiveness test applicable under this 7 ap estimate of any significant salvage value or disposal cost of each energy conservation measure at the end of its useful life if relevant to the cost effectiveness test applicable under this (vi) An estimate, supported by all dats and assumptions used in arriving at the estimate, of the annual energy savings. the annual cost of energy to be saved, 9446 Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Reguiations and total annual cost savings using current energy prices including demand charges expected from each energy conservation maintenance and operating procedure change and the acquisition and installation of each energy conservation measure. In calculating the potential annual energy savings, annual cost of energy to be saved, or total annual cost savings of each energy conservation measure, including renewable resource measures, the technical assistance analyst shall: (A) Assume that all energy savings obtained from energy conservation maintenance and operating procedures have been realized; (B) Calculate the total annual energy savings, annual cost of en to be saved, and total annual cost savings, by fuel type, expected to result from the acquisition and installation of the energy conservation measures, taking into account the interaction among the various measures; (C) Calculate that portion of the total annual energy savings, annual cost of energy to be saved, and total annual cost savings, as determined in paragraph (d)(3)(vi)(B) of this section, attributable to each individual energy conservation measure; and (D) Consider climate and other variables; (vii) An analysis of the cost effectiveness of each energy conservation measure consistent with § 455.63 and, if applicable, § 455.64 of this part; (viii) The estimated cost of the measure, which shall be the total cost for design and other professional service (excluding the cost of a technical assistance program), it any, and acquisition and installation costs. If required by the State in its State Plan, or if requested by the applicant, the technical assistance report shall provide a life-cycle cost analysis which is consistent with § 455.64 and states the discount and energy cost escalation rates that were used; (ix) The simple payback period of each energy conservation measure, calculated pursuant to § 455.63(a); (4) Energy use and cost data, actual or estimated, for each fuel type used for the prior 12-month period, by month, if possible; (5) Documentation of demand charges paid by the institution for the prior 12- month period, by month if possible, when demand charges are included in current energy prices or when the technical assistance report recommends an energy conservation measure that shifts energy usage to periods of lower demand and cost; and (6) A signed and dated certification that the technical assistance program has been conducted in accordance with the requirements of this section and that the data presented is accurate to the best of the technical assistance analyst's knowledge. §455.63 Cost-effectiveness tasting. (a) This paragraph applies to calculation of the simple payback period of energy conservation measures. (1) The simple payback period of each energy conservation measure (except measures to shift demand, or renewable resource measures) shall be calculated, taking into account the interactions among the various measures, by dividing the estimated total cost of the measure, as determined pursuant to § 455.62(d)(3)(ii), by the estimated annual cost savings accruing from the measure (adjusted for demand charges), as determined pursuant to § 455.62(d)(3)(vi), provided that: (i) At least 50 percent of the annual cost savings used in this calculation shall be from the cost of the energy to be saved or a higher percent if required by a State in its State Plan pursuant to § 455.20(u)(3); and (ii) No more than 50 percent of the annual cost savings used in this calculation shall be from other cost savings, such as those resulting from energy conservation maintenance and operating procedures related to particular energy conservation measures, or from changes in type of fuel used, or a lower percent if required by a State in its State Plan pursuant to § 455.20(u)(3). (2) The simple payback period of each renewable resource energy conservation measure shall be calculated, taking into account the interactions among the various measures, by dividing the estimated total cost of the measure, as determined pursuant to § 455.62(d)(3)(ii), by the estimated annual cost savings accruing from the measure taking into account at least the annual cost of the non-renewable fuels displaced less the annual cost of the renewable fuel, if any, and the annual cost of any backup non-renewable fuel needed to operate the system, adjusted for demand charges, as determined pursuant to § 455.62(d)(3)(vi). (3) The simple payback period of each energy conservation measure designed to shift demand to a period of lower demand and lower cost shall be calculated, taking into account the interactions among the various measures, by dividing the estimated total cost of the measure, as determined pursuant to § 455.62(d)(3)(ii), by the estimated annual cost savings accruing B27 from the measure taking into account at least the annual cost of the energy used before the measure is installed less the estimated annual cost of the energy to be used after the measure is installed, adjusted for demand charges, as determined pursuant to § 455.62(d)(3)(vi). (b) This paragraph applies, in addition to paragraph (a) of this section, if the State plan requires the cost effectiveness of an energy conservation measure to be determined by life-cycle cost analysis or if the applicant requests such an analysis. (1) A life-cycle cost analysis, showing a savings-to-investment ratio ter than or equal to one over the useful life of the energy conservation measure or 15 years, whichever is less, shall be conducted in accordance with the requirements set forth in the State Plan pursuant to §§ 455.20(u)(2), 455.20(u)(3) and § 455.64. (2) The resulting savings-to- investment ratio shall be used for the purpose of ranking applications. $455.64 Life-cycle cost methodology. (a) The life-cycle cost methodology under § 455.63(b) of this part is a systematic comparison of the relevant significant cost savings and costs associated with an energy conservation measure over its expected useful life, or other appropriate study period with future cost savings and costs discounted to present value. The format for displaying life-cycle costs shall be a savings-to-investment ratio. (b) An energy conservation measure must be cost effective, and its savings- to-investment ratio must be greater than or equal to one no earlier than the end of the second year of the study period. (c) A savings-to-investment ratio is the ratio of the present value of net cost savings attributable to an energy conservation measure to the present value of the net increase in investment, maintenance and operating, and replacement costs less salvage value or disposal cost attributable to that measure over a study period. (d) Except for energy conservation measures to shift demand or to use renewable energy resources, the numerator of the savings-to-investment ratio shall include net cost savings, appropriately discounted and adjusted for energy cost escalation consistent with paragraph (g) of this section, subject to the limitation that the cost of the energy to be saved shall constitute at least 50 percent of the net cost savings unless the State specifies a higher percent in its State plan pursuant to § 455.20(u)(3). @. Federal Register / Vo! 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations 9447 (e) With respect to energy conservation measures to shift demand or to use renewable energy resources, the numerator of the savings-to- investment ratio shall be net cost savings appropriately discounted and adjusted for energy cost escalation consistent with paragraph (g) of this section. (f) The study period for a life-cycle cost analysis, which may not exceed 15 years, shall be the useful life of the energy conservation measure or of the energy conservation measure with the longest life (for purposes of ranking buildings with multiple energy conservation measures). (g) The discount rate must equal or exceed the discount rate annually provided by DOE under 10 CFR part 436. The energy cost escalation rates must not exceed those annually provided by DOE under 10 CFR part 436. (h) Investment costs may be assumed to be a lump sum occurring at the beginning of the base year, or to the extent that there are future investment costs, discounted to present value. (i) The cost of energy and maintenance and operating costs may be assumed to to accrue at the beginning of the base year or when they are actually projected to occur. (j) It may be assumed that costs occur in a lump sum at any time within the year in which they are incurred. Subpart F—Energy Conservation Measures for Schools and Hospitals $455.70 Purpose. This subpart sets forth the eligibility criteria for schools and hospitals to receive grants for energy conservation measures, including renewable resource measures, and the elements of an energy conservation measure program. § 455.71 Eligibility. (a) To be eligible to receive financial assistance for an energy conservation measure, including renewable resource measures, an applicant must: (1) Bea echos . hospital, or coordinating agency representing them as defined in § 455.2; (2) Be located in a State which has an approved State-Plan as described in subpart B of this part; (3) Have coaipleted. a technical assistance program consistent with § 455.62, as determined by the State in accordance with the State Plan, for the building for which financial assistance is to be requested subsequent to the most recent construction, reconfiguration, or utilization change to the building which significantly modified energy use within the building; (4) Have completed an updated technical assistance program if required in the State Plan as specified in § 455.20(q); (5) Have implemented all energy conservation maintenance and operating procedures which are identified as the result of a technical assistance program or have provided pursuant to the State plan a satisfactory written justification for not implementing any specific maintenance and operating procedures so identified; (6) Have met any requirements set forth in the State Plan pursuant to § 455.20(m) regarding the avoidance of supplanting other funds in the financing of energy conservation measares under this 3 (7) Have no plan or intention at the time of application to close or otherwise dispose of the building for which financial assistance is to be requested within the simple payback period or useful life (depending on the State's requirement for determining cost effectiveness) of any energy conservation measure recommended for that building; and (8) Submit an application in accordance with the provisions of this part and the approved State Plan; (b) To be eligible for financial assistance: (1) In States where simple payback has been selected as the cost- effectiveness test pursuant to § 455.20(u)(2), the simple payback period of each energy conservation — for which financial assistance requested shall not be less than 2 _ va nor greater than 10 years, and the estimated useful life of the measure shall be greater than its simple payback period; or (2) In States where life-cycle costing has been selected as the cost- effectiveness test pursuant to § 455.20(u)(2), the savings-to-investment ratio of each energy conservation measure must be greater than or equal to one under § 455.63(b)(1), over a period for analysis which does not exceed 15 years, and the useful life of the energy conservation measure must be at least 2 years. (c) Leased equipment is not eligible for financial assistance under this part. Equipment which becomes the property of the grantee at the conclusion of a long-term purchase agreement without any additional payment is eligible. $455.72 Scope of the grant. Financial assistance awarded under this subpart may be expended for the design (excluding design costs funded B28 under the technical assistance program), acquisition, and installation of energy conservation measures to reduce energy consumption or measures to allow the use of renewable resources in schools and hospitals or to shift energy usage to periods of low demand and cost. Such measures include, but are not necessarily limited to, those included in the definition of “energy conservation measure” in § 455.2. Subpart G—State Administrative Expenses $455.80 Purpose. This subpart describes what constitutes a State administrative expense that may receive financial assistance under this part and sets forth the eligibility criteria for States to receive grants for administrative expenses. §455.81 Eligibility. To be eligible to receive financial assistance for administrative expenses, a State must: (a) Have in place a State Plan approved by DOE pursuant to § 455.21 and (b) Be operating a program to provide technical assistance and energy conservation measure grants, or technical assistance, program assistance, and marketing (where energy conservation measures are funded non- Federally) to eligible institutions pursuant to this part. § 455.82 Scope of the grant. A State's administrative expenses shall be limited to those directly related to administration of technical assistance programs, program assistance and marketing programs, and energy conservation measures including costs associated with: (a) Personnel whose time is expended directly in support of such administration; (b) Supplies and services expended directly i. support of such administration; (c) Equipment purchased or acquired a for oll utilized directly in port of such administration, subject to 1D DCR 600.436; (d) Printing, directly in support of such administration; and (e) Travel, directly related to such administration. Subpart H—State Grants for Technical Assistance, Program Assistance, and Marketing $455.90 Purpose. This subpart describes what constitutes a State program for technica! 9448 Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations assistance, program assistance, and marketing that may receive financial assistance under this part and sets forth the eligibility criteria for States to receive grants for technical assistance, program assistance, and marketing. § 455.91 Eligibimty. To be eligible to receive financial assistance for technical assistance, program assistance, and marketing, a State must: (a) Have in place a State Plan approved by DOE which includes a description of the State’s program or programs to provide technical assistance, pro} assistance, and marketing, pursuant to § 455.20(j)(1); (b) Have established a consistent with this part to fund, from non-Federal sources, energy conservation measures for eligible institutions; and (c) Provide to DOE a certification pursuant to § 455.122. § 455.92 State technical assistance awards. Technical assistance awards by States under this subpart are subject to all requirements of this part which apply to DOE-awarded technical assistance P m grants except that States: (a) Are not required to award the funds in grant instruments; (b) May award the funds out an! fiscal year subject to § 455.144(a)(3); ani ~(c) Are not required to rank applications under § 455.131(b) of this part. Subpart Cost Sharing §455.100 Limits to Federal share. Amounts made available under this part, together with any other amounts made available from other Federal sources, may not be used to pay more than 50 percent of the costs of technical assistance programs and energy conservation measures unless the grantee qualifies for the ions specified in §§ 455.141(a), 455.142(a), 455.142(b), or for severe hardship assistance specified in § 455. 142\c). In cases of severe hardship, the Federal share of the cost cannot exceed 90 percent. § 455.101 Borrowing the non-Federal shere/ title to equipment. The non-Federal share of the costs of acquiring and installing energy conservation measures may be provided by using financing or other forms of borrowed funds, such as those provided by loans and performance contracts, even if such financing does not provide for the grantee to receive clear title to the equipment being financed unti! after the grant is closed out. However, grantees in such cases must otherwise meet all the requirements of this part, and financing and loan agreements and performance contracts under this section are subject to the requirements of 10 CFR Part 600 and the certification Tequirements under § 455.111(e). Grantees must receive clear title to the equipment when the loan is paid off. §455.102 Energy conservation measure cost-ehare credit. To the extent a State ides in its State Plan, DOE may wholly or partially credit the costs of the following: with respect to a building, toward the required cost-share for an en conservation measure grant in that building: (a) A non-Federally funded technical assistance program; (b) A now-Federaily funded technical assistance program update to comply with § 455. ae and (c) The non-Federally funded implementation of one or more energy conservation measures, which complies with the eligibility criteria set forth in § 455.71. §455.103 Requirements for applications for credit. (a) If a State has provided for credit in its State Plan pursuant to § 455.20(w), applications for credit will be considered only when the technical assistance programs or updates and the energy conservation measure projects for which credit is sought meet the applicable program requirements, such as those specified in § 455.61, § 455.62, § 455.71, and the relevant sections of 10 CFR part 600, except that the project need not comply with the Devie-Bacon Act regarding labor standards or wage rates. (b) Credit for energy conservation measures will be considered only when supported by a technical assistance ace is that meets the requirements of § 455. 3.62 and that was performed prior to the installation of the energy conservation measures. $455,104 Rebates from utilities and other entities. (a) Grantees which receive rebates or other monetary considerations from utilities or other entities for installing the energy conservation measures funded by a grant under this part may use such funds to meet their cost- sharing obligations pursuant to § 455.100. (b) Where the rebate or monetary consideration does not exceed the non- Federal share of the cost of the measures applied for in a grant application, B29 grantees are not required to deduct the amount of the rebate or monetary consideration from the cost of the measures, and DOE does not consider such rebates or monetary considerations to be program income which would wo to be rae to DOE upon receipt ie 1 Where ie rebate or monetary consideration does exceed the non- Federal share of the cost of the measures applied for in a grant application, grantees may use the excess to fund additional measures if such measures have been recommended in the technical assistance report. If it is not possible to use the excess funding in this way, the grantee must reduce the cost—and DOE will reduce the Federal share—by the amount of the excess above the non-Federal share. Subpart J—Applicant Responsibilities—Grants to Institutions and Coordinating Agencies §455.110 Grant application submittals for technical essistance and energy (a) Each eligible applicant desiring to receive financial assistance (either from rganiza' coordinating agency) shall file an application in accordance with the provisions of this subpart and the approved State Plan of the State in which such building is located. The application, which may be amended in accordance with epplicable State procedures at any time prior to the State's final determination thereon, shall be filed with the State energy roa designated in the State Plan. Coordinating agencies shall file a single application with DOE which includes 1 of the information required below for each building for which assistance has been canes and to which is attached . be : each en from each en from schools, hos wAgP units of local government. public care institutions, and coordinating agencies for financial assistance for ee orca programs shall include the certificauons contained in § 455.111 and: (1) The applicant’s name and mailing address; (2) The energy audit or energy evaluation required by the State pursuant to § 455.20(k) for each building for which financial assistance is Oa) A project budget, by building which stipulates the intended use of «1 Federal and non-Federal funds. € Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations 9449 LE including in-kind contributions (valued in accordance with the guidelines in 10 CFR part 600), to be used to meet the cost-sharing requirements described in subpart I of this part; (4) A brief description, by building, of the proposed technical assistance program, including a schedule, with appropriate milestone dates, for completing the technical assistance program; (5) Additional information required by the applicable State Plan and any other information which the applicant desires to have considered, such as information to support an application from a school or hospital for financial assistance in excess of the 50 percent Federal share on the basis of severe hardship or an application which proposes the use of Federal funds, paid under and authorized by another Federal agreement to meet cost sharing requirements. (c) Applications from schools and hospitals and coordinating agencies for financial assistance for energy conservation measures, including renewable resource measures, shall include the certifications contained in § 455.111 and: (1) The applicant's name and mailing address; (2) A description of each building for which financial assistance is requested sufficient to determine the building's eligibility, ownership, use, and size in gross square feet; (3) A project budget, by measure or building, as provided in the State Plan which stipulates the intended use of all Federal and non-Federal funds and identifies the sources and amounts of non-Federal funds, including in-kind contributions (valued in accordance with the guidelines in 10 CFR part 600) to be used to meet the cost-sharing requirements described in subpart I of this part; (4) A schedule, including appropriate milestone dates, for the completion of the design, acquisition, and installation of the proposed en: conservation measures for each (5) For each en conservation measure proposed for funding, the projected cost, the projected simple payback period, and if aicueaatear the life-cycle cost sa -to-investment ratio calculated under § 455.64. Applications with more than one energy conservation measure per building shall include projected costs and paybacks, and if appropriate, the savings-to- investment ratios for each measure and the average simple payback period or overall savings-to-investment ratio for ail measures proposed for the building: (6) The report of the technical assistance analyst (uniess waived by DOE because the report is already in its possession). This report must have been completed since the most recent construction, reconfiguration, or utilization change to the building which significantly modified energy use, for each building; (7) An update of the technical assistance program report if required by the State in its State Plan and as specified in § 455.20(q); (8) If the applicant is aware of any adverse environmental impact wah may arise from adoption of any ~— conservation measure, an analysis o that impact and the applicant's plan to minimize or avoid such impact; and (9) Additional information peed by the applicable State Plan, an additional information which the applicant desires to have considered, such as information to support an application for financial assistance in excess of the non-Federal share set forth in the State plan on the basis of severe hardship, or an application which proposes the use of Federal funds paid under and authorized by another Federal agreement to meet cost sharing requirements. §455.111 Applicant certifications for technical assistance and energy conservation measure grants to institutions and coordinating agencies. Applications for financial assistance for technical assistance programs and energy Conservation measures, including renewable resource measures, shall include certification that the applicant: ‘a) Is eligible under § 455.61 for technical assistance or § 455.71 for energy conservation measures; (b) Has satisfied the requirements set forth in § 455.110; (c) For applications for technical assistance, has implemented all energy conservation maintenance and operating procedures recommended in the energy audit pursuant to § 455.20(k), if done, and for applications for energy conservation measures, those recommended in the report obtained under a technical assistance program pursuant to § 455.62. If any such procedure has not been implemented, th application shall contain a tisfactory written justification coualiaan with the State plan for not implementing that p’ jure; (d) Will obtain from the technical assistance analyst, before the analyst performs any work in connection with a technical assistance program or energy conservation measure, a signed statement certifying that the technical B30 assistance analyst has no conflicting financial interest and is otherwise qualified to perform the duties of technical assistance analyst in accordance with the standards and criteria established in the approved State Plan; (e) When using borrowed funds for the non-Federal share of an energy conservation project where a lien is placed by the lender on equipment funded under the grant, will obtain clauses in the financing contract: (1) Stating the percent of DOE interest in the equipment (i.e., the percent of the total cost provided by the grant); and (2) Requiring lender notification, with certified return receipt requested, to the applicable Support Office Director of the filing of a lawsuit seeking a remedy for a default; and (f) Will comply with all reporting requirements contained in § 455.113. §455.112 Davis-Bacon wage rate requirement. When an energy conservation measure or group of measures in a building, funded under this part, has a total estimated cost for acquisition and installation of more than $5,000, any construction contract or subcontract in excess of $2,000, using any grant funds awarded under this must include: (a) Those contract labor standards provisions set forth in 29 CFR 5.5 and (b) A provision for payment of laborers and mechanics at the minimum wage rates determined by the Secretary of Labor in accordance with the Davis- Bacon Act (40 U.S.C. 276a) as set forth in 29 CFR part 1. §455.113 Grantee records and reports for technical assistance and energy conservation measure grants to institutions and coordinating agencies. (a) Each unit of local government or public care institution which receives a grant for a technical assistance program and each school, hospital, and coordinating agency which receives a grant for a technical assistance program or an energy Conservation measure, including renewable resource measures, shall keep all the records required by § 455.4 in accordance with this part and the DOE Financial Assistance Rules (b) Each grantee shall submit reports as follows: (1) For technical assistance programs, two copies of a final report of the analysis completed on each building for which financial assistance was provided shall be submitted, either both to the State energy agency, or one to the State energy agency, and one to DOE as agreed upon between the State and the DOE Support Office no later than 90 9450 Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations days following completion of the analysis. These reports shall contain: (i) The report submitted to the institution by the technical assistance analyst, and (ii) The institution's plan to implement energy conservation maintenance and operating procedures; (2) For energy conservation measure projects: (i) Semi-annual p: Ss reports. Two copies shall be submitted, either both to the State energy agency or one to the State energy agency and one to DOE, as agrecd upon between the State and the DOE Support Office, no later than the end of July (for the period January 1 through June 30), and Jan’ (for the period july 1 through December 31) and shall detail and discuss milestones accomplished, those not accomplished, status of in-progress activities, and remedial actions if needed to achieve project objectives. Reports of coordinating agency grantees shall include financial assistance which an institution declines or does not use as a result of a change in scope. A final report may be submitted in lieu of the last semi-annual report if it satisfies the semi-annual p ss report and final report designated time frames; ii) A final report. Two copies shall be submitted, either both to the State energy agency or one to the State energy agency and one to DOE, as a; between the State and the DOE Suyeert Office, within 90 days of the completion of the project and shall list and describe the energy conservation measures acquired and installed, contain a final actual cost and a final estimated simple payback period for each measure an the project as a whole, or a final savings- to-investment ratio for each measure and the project as a whole (depending on the State-requirement), and include a statement that the completed energy conservation — conform to the approved t application; Py Antal oneee use reports from a representative sample to be selected by the State which will reflect the grantee’s actual post-retrofit energy use experiences for 3 years after project completion. Two copies of these shall be submitted, either both to the State energy agency or one to the State energy agency and one to DOE, as agreed upon between the State and the DOE Support Office within 60 days after the end of each 12-month period covered in the reports and shall identify each building and provide data on energy use for that building for the relevant 12-month period. To the extent feasible, energy consumption data in each annual report should be the monthly usage data by fuel or energy type, and the reports should include brief descriptions of any changes in building usage, equipment, or structure ao per the reporting period. (3) copy of any technical assistance or energy conservation measure report shall be accompanied by a financial status report completed in 7 with the documents listed in 455.3; (4) In cases where both copies of the grantee technical assistance, energy conservation measure, and financial status are submitted to the State, as upon between the State and the DOE Support Office, the State shall in turn submit copies to DOE on a mutually agreed-upon schedule; and (5) Such other information as DOE may from time to time request. Subpart K—Applicant Responsibilities—Grants to States § 455.120 Grant applications for State administrative expenses. Each State desiring to receive grants to help defray State administrative expenses shall file an application in accordance with the provisions of this section. (a) hidape . State is operating a program solely to provide grants to schools and hospitals, the maximum amount of administrative expenses the State may apply for is $50,000 or 5 percent of the Federal share of its schools and hospitals grant awards, whichever is greater. (1) At any time after notice by DOE of the amounts allocated to each State for a grant program cycle, each State may apply to DOE for an amount for administrative expenses not exceeding $50,000. (2) After making a submittal to DOE as required under § 455.133, each State may apply for a further grant not ae 5 percent of the total Federal share of all grant awards for technical assistance and energy conservation measures ee State, =——_ 0 $50,000 provi r in paragraph (a)(1) of this section if that oan oitinly awarded to the State for administrative expenses in the same grant program cycle. (b) Where a State is eligible and elects to apply to use its appropriated allocation for grants for technical assistance, assistance, and/or marketing pursuant to § 455.121, the maximum amount of administrative expenses the State may apply for is $50,000 or 5 it of the total amount obligated or legally committed to eligible recipients in the State pursuant to the State's program under this part, whichever is greater. B31 (1) At any time after notice by DOE of amounts allocated to each State for a grant program cycle, each State may apply to DOE for an amount for administrative expenses not exceeding $50,000. (2) Once the total amount obligated or legally committed to the program in the cycle is known, a State may subsequently apply for a further grant, not exceeding 5 percent of the total amount (less the $50,000 provided for in paragraph (b)(1) of this section if that was previously awarded to the State for administrative expenses in the same fiscal year) obligated or legally committed to eligible recipients in the State during the fiscal year for technical assistance, program assistance, and marketing, and for energy conservation measures which are funded with non- Federal funds but which meet the certification and other requirements of this part for such energy conservation measures. (3) The aggregate amount applied for to cover State administrative expenses, technical assistance, program assistance, and marketing cannot exceed the State's allocation for the fiscal year. (c) In the event that a State cannot, or decides not to use the amount available to it for an administrative grant under this section for administrative purposes, these funds may, at the discretion of the State, be used for technical assistance and energy conservation measure grants to eligible institutions within that State in accordance with this part. (d) Applications for financial assistance to defray State administrative enses shall include: 1) The name and address of the designated by the State to be responsible for the State’s functions under this part; (2) An identification of intended use of all Federal and non-Federal funds to be used for the State administrative enses listed in § 455.82; and 3) Any other information required by DOE. $455.121 Grant applications for State technical assistance, program assistance, and marketing programs. (a) A State may apply for up to 100 percent of the amount allocated to it for @ grant program cycle to fund administrative expenses under § 455.120 and technical ee assistance or for up cmon of the amount allocated to it for a grant program cycle to fund Kk programs provided that: mi) The Suate has established a program to fund technical assistance. program assistance, or marketing programs, and has described its program Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations 9451 or progran s in its State Plan, as specified in § 455.20(j); (2) The State has a program or programs established consistent with this part of that fund, from non-Federa! sources, energy conservation measures eligible under this part; (3) Not more than 15 percent of the aggregate amount of Federal and non- Federa! funds legally committed or obligated to eligible recipients in the State to provide program assistance, marketing and technical assistance programs, implement energy conservation measures consistent with this part, and otherwise carry out a program pursuant to this part for the fiscal year concerned are expended for program assistance, technical assistance and marketing costs for such program: (4) The energy conservation measures funded from non-Federal sources under this section would be eligible for ee ternal § 455.71; and (5) The institutions undertaking the non-Federally funded energy conservation measures do so in accordance with all applicable Federal, State, and local laws and regulations with particular attention paid to applicable Federal and State non- discrimination laws and regulations. (>) Applications for financial assistance to defray State technical assistance, p! assistance, or marketing expenses shall include: (1) The name and address of the person designated by the State to be responsible for the State's functions under this part; (2) An identification of intended use of all Federal and non-Federal funds for the State administrative expenses listed in § 455.82, or the technical assistance, program assistance, or marketing programs pursuant to this section; (3) Descriptions of the activities to be implemented together with a description of the State's program to provide non-Federal sources of funding to carry out the State’s program(s) for energy conservation measures consistent with this part; (4) A certification that the 15 percent limit specified in subparagraph (a)(3) of this section will not be exceeded; and (5) Any other information required by DOE. §455.122 Applicant certifications for State grants for technical assistance, program assistance, and marketing. Applications from States for financial assistance for technical assistance programs, program assistance, and marketing shall include certifications that the State: (a) Has established a program or programs to fund, from non-Federal sources, energy conservation measures for eligible buildings consistent with this part: (b) Will not expend, for technical assistance, program assistance, and marketing, more than 15 percent of the aggregate amount of Federal and non- Federal funds legally obligated or committed to eligible recipients in the State to provide technical assistance, program assistance, marketing programs, implement energy conservation measures consistent with this part, and otherwise carry out a program pursuant to this part for the fiscal year concerned; and (c) Has provided for regular DOE- funded grants to eligible religiously affiliated institutions if the State has a State constitutional or other legal prohibition on providing State assistance to such institutions and if such institutions wouid be ineligible to apply for the non-Federally funded energy Conservation measures or State- funded technical assistance. § 455.123 Grantee records and reports for State grants for administrative expenses, technical assistance, program assistance, and marketing. (a) Each State which receives a grant for administrative expenses, or a grant for technical assistance programs, rogram assistance, or marketing shall keep all the records required by § 455.4 in accordance with this part and the DOE Financial Assistance Rules. (b) Each State shall submit a semi- annual program performance report to DOE by the close of each February and August, including, but not limited to: (1) A discussion of administrative activities pursuant to § 455.82, if a State has received a grant to fund such activities, and a discussion of milestones accomplished, those not accomplished, status of in-progress activities, problems encountered, and remedial actions, if any, planned pursuant to § 455.135(f); (2) A discussion of technical assistance, program assistance, and/or marketing programs pursuant to § 455.121, if the State has received grants to fund such activities, including a discussion of the results of the State's program to non-Federally fund energy conservation measures consistent with this part pursuant to § 455.121, with a list of buildings receiving assistance for technical assistance s and a list of buildings which obtained energy conservation measures using non- Federal funds, including the name and address of each building, the amount and type of funding provided to each, and for energy conservation measures, the types of measures funded in each B32 building together with each measure's total estimated cost and estimated annual cost savings, annual energy savings, and the annual cost of the energy to be saved (determined pursuant to § 455.62(d)) consistent with the data currently pravided to DOE on all ICP grants; (3) A summary of grantee reports received by the State during the report period pursuant to §§ 455.113(b)(1) and (b)(2); (4) For the report due to be submitted -to DOE by the close of each August, an estimate of annual energy use reductions in the State, by energy source, attributable to implementation of energy conservation maintenance and operating procedures and installation of energy conservation measures under this part. Such estimates shall be based upon a sampling of institutions participating in the technical assistance phase of this program and upon the energy use reports submitted to the State pursuant to § 455.113(b)(2)(iii); and (5) Such other information as DOE may from time to time request. (c) Each copy of any report covering grants for State administrative, technical assistance, program assistance, or marketing expenses shall be accompanied by a financial status report completed in accordance with the documents listed in § 455.3. In addition, States shall file quarterly financial status reports for the quarters which occur between the semi-annual report periods covered in their program performance reports. These quarterly reports are due within 30 days following the end of the applicable quarters. Subpart L—State Responsibilities §455.130 State evaiuation of grant applications. (a) If an application received by a State is reviewed and evaluated by that State and determined to be in compliance with subparts E, F, and J of this part, § 455.130(b), any additional Tequirements of the approved State Plan, State environmental laws, and other applicable laws and regulations, then such application will be eligible for financial assistance. (b) Concurrent with its evaluation and ranking of grant applications pursuant to § 455.131, the State will forward applications for technical assistance or for energy conservation measures for schools to the State school facilities agency for review and certification that each school application is consistent with related State programs for educational facilities. For hospitals the certification requirement applies only it 9452 Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations there is a State requirement for it in which case the procedure should be described in the State Plan. § 455.131 State ranking of grant applications. (a) Except as provided by § 455.92 of this part, all eligible applications received by the State will be ranked by the State in accordance with its approved State Plan. aay For technical assistance p buildings shall be ranked in fee ene priority based upon the energy conservation potential, on a savings percentage basis, of the building as determined in the energy audit or energy use evaluation pursuant to § 455.20(k). Each State shall develop separate rankings for all buildings covered by cligbie. applications for: (1) Technical assistance programs for units of local government and public care institutions and (2) Technical assistance programs for schools and hospitals. (c) All eligible applications for energy conservation measures received will be tanked by the State on building-by- building or a measure-by-measure basis. If a State ranks on a building-by- building basis, several buildings may be ranked as a single building if the application proposes a single energy conservation measure which is hysically connected to all of the Leer s. If a State ranks on a measure- by-measure basis, a measure that is physically y connected to a number of uildings may be ranked as a single measure. Buildings or measures shall be ranked in eee with the procedures established by the State Plan on the basis of the information developed during a technical assistance program (or its equivalent) for the building and the criteria for ranking applications. The criterion set forth in paragraph (1) of this subsection shall receive at least 50 percent of the weight given to the criteria used to rank applications. Each State may assign weights to the other criteria as set forth in the State Plan to § 455.20(e). The criteria for ranking applications are: (1) Simple — ora cost analysis, calculated in accordance with § 455.63 and § 455.64, as sla ns (2) The Temas and quantities of oa aeeey to be save or electricity, in a aoe as sci sau pa in the approved State Plan; (3) The types of energy sources to which conversion is proposed, including renewable yn. (4) The quality of the ical assistance program re} and (5) Other factors as determined by the State. (d) A State is exempt from the ranking requirements of this section when: a) The total amount requested by all applications for schools and hospitals for technical assistance and energy conservation measures in a given grant program cycle for grants up to 50 percent is less than or equal to the funds available to the State for such grants and the total amount recommended for hardship funding is less than or equal to the amounts available to the State for such grants and (2) The total amount requested by all applications for buildings owned by units of local government and public care institutions in a given grant program cycle is less than or equal to the total amount allocated to the State for technical assistance program grants in the State; (e) If a State elects to permit applications for credit pursuant to § 455.102, such applications for completed or partially completed energy conservation measures shall reflect both the work done and the work to be done and will be reviewed and ranked on the basis of the cost of all of the measures in the project. The credit shall not exceed the a share of the proposed additional energy conservation measures (and the Federal share shall not exceed the cost of the work remaining to be done). (f) Within the rankings of school and hospital buildings for technical assistance and energy conservation measures including renewable resource measures to the extent that approvable applications are submitted, a State shall initially assure that: (1) Schools recsive at least 30 percent of the total funds allocated for schools and hospitals to the State in any grant and Pre Hoopitals receive at least 30 percent of the total funds allocated for = and wane to the State in any 7 kha ae at are insufficient applications from schools or hospitals to cover the respective 30 percent ments specified in paragraph (f) of this section, then the State may recommend use of the funds in those allocations for other qualified applicants. $455.132 State evaluation of requests for severe hardship assistance. (a) To the extent provided in § 455.30(d), Souncisl assistance will be initially available for schools and itals experiencing severe hardship ey upon an applicant’s inability = provide the non-Federal share as ed in the State plan pursuant to § 455.20(g). This financial assistance B33 will be available only to the extent necessary to enable such institutions to participate in the program. (b) The State shall recommend funds for severe hardship applications wholly or partially from the funds reserved in accordance with § 455.30(d) and as stated in an approved State Plan. (c) Applications for Federal funding in excess of the non-Federai share in the State plan pursuant to § 455.20(x) based on claims of severe hardship shall be given an additional evaluation by the State to assess on a quantifiable basis to the maximum extent practicable the relative need among eligible institutions. The minimum amount of additional Federal funding necessary for the applicant to participate in the program will be determined by the State in accordance with the procedures established in the State Plan. The primary consideration shall be the institution’s inability to provide the non-Federal share of the project cost as specified in the State plan pursuant to § 455.20(x). Secondary criteria such as climate, fuel cost and fuel availability, borrowing capacity, median family income in the area, and other relevant factors as determined by the State may be addressed in the State Plan as specified in § 455.20 (d) A State shall indicate, for those schools and hospitals with the highest @ determined pursuant to § 455.131(b) and (c): (1) The amount of additional hardship funding by each eligible applicant for each building daersiaad to be in a class of severe hardship and (2) The amount of hardship funding recommended by the State based upon relative need, as determined in accordance with the State Plan, to the limit of the hardship funds available. The State must decide on a case-by-case basis whether, and to what extent, it will recommend hardship funding. (e) If there are insufficient applications from hardship applicants to cover the 10 it allocation provided for in § 455.30(d), then the State may ee use of oe = Temaining fun other quali applicants. The total amount recommended for hardship grants cannot exceed the 10 percent limit. §456.133 Forwerding of applications from institutions and coordinating agencies for technical assistance and energy conservation measure grants. (a) Except as provided by § 455.92 of Sel inaicecnreant jorward all Tecommended for funding vanin its allocation to DOE once each rogram cycle along with a listing of Gaittings or measures covered by Federai Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations 9453 nS eligible applications for schools, hospitals, units of local government, and public care institutions ranked by the State if nece: pursuant to the provisions of § 455.131. If ranking has been employed, the list shall include the standings of buildings or measures. (1) Measure-by-measure rankings will be recombined for the respective buildings with more than one recommended measure and (2) Buildings will be consolidated under one grantee aj plication. (b) The State shall indicate the amount of financial assistance requested by the applicant for each eligible building and, for those buildings recommended for funding within the limits of the State’s allocation, the amount recommended for funding. If the amount recommended is less than the amount requested by the applicant, the list shall also indicate the reason for that recommendation. (c) The State shall indicate that it has reviewed and evaluated all of the submitted applications and that those applications meet the relevant requirements of the program, and shall certify that applications submitted are eligible pursuant to § 455.130(a). §455.134 Forwarding of applications for State grants for technical assistance, program assistance, and marketing. A State eligible to apply for grants for technical assistance, program assistance, or marketing, as described in § 455.121, may submit such an application to DOE any time after the allocations have been announced as part of, or in lieu of, an application for a grant for State administrative expenses. Such applications shall provide separate narrative descriptions, budgets and appropriate milestone dates, covering each activity or program, that are sufficiently detailed to enable DOE to reasonably evaluate the application. § 455.135 State liaison, monitoring, and reporting. ’ Each State shall be ble for: (a) Consulting with eipible, institutions and coordinating cies representing such institutions in the development of its State Plan; (b) Notifying eligible institutions and coordinating agencies of the content of the approved State Plan and any amendment to a State Plan; (c) Notifying each applicant how the applicant's building or measure ranked among other applications, and whether and to what extent its application will be recommended for funding or if not to be recommended for funding, the specific reasons(s) therefor; (d) Certifying that each institution has viven its assurance that it is willing and able to participate on the basis of any changes in amounts recommended for that institution in the State ranking pursuant to § 455.131; (e) Reporting requirements pursuant to § 455.113; and (f) Direct program oversight and monitoring of the activities for which grants are awarded as defined in the State Plan. States shall immediately notify DOE of any noncompliance or indication thereof. Subpart M—Grant Awards § 455.140 Approval of applications trom institutions and coordinating agencies for technical assistance and energy conservation measures. (a) DOE shall review and approve applications submitted by a State in accordance with § 455.133 if DOE determines that the applications meet the objectives of the Act, and comply with the applicable State Plan and the requirements of this part. DOE may disapprove all or any portion of an application to the extent funds are not available to carry out a program or measure (cr portion thereof) contained in the application, or for such other reason as DOE may deem appropriate. (b) DOE shal! notify a State and the applicant of the final approval or disapproval of an application at the earliest practicable date after the DOE receipt of the application, and, in the event of disapproval, shall include a statement of the reasons therefor. (c) An application which has been disapproved for reasons other than lack of funds may be amended to correct the cause of its disapproval and resubmitted in the same manner as the original application at any time within the same grant program cycle. Such an application will be considered to the extent funds have not already been designated for applicants by the ranking process at the time of resubmittal. However, notbing in this provision shall obligate either the State or DOE to take final action regarding a resubmitted application within the grant program cycle. An application not acted upon may be resubmitted in a subsequent grant program cycle. (d) DOE shall not provide supplemental funds to cover cost overruns or other additional costs beyond those provided for in the original grant award for technical assistance projects and shall fund only one technical assistance project per building. (e) DOE shall not provide supplemental funds to cover cost overruns or other additional costs beyond those provided for in the B34 original grant award for energy conservation measures funded under a grant in a given grant program cycle. DOE shall not provide funds to cover energy conservation measures intended to replace energy conservation measures funded in an earlier grant cycle unless the State has funds remaining after all applications for new energy conservation measures have been evaluated and submitted to DOE for funding. (f) If provided for in the State Plan, an applicant may reapply for a technical assistance program or an energy conservation measure grant which was included in a prior grant application but which was not implemented and for which no funds were expended. (g) An applicant may apply for, and DOE may make, grant awards in another grant program cycle for additional energy conservation measures which relate to a building which previously received grants for other energy conservation measures. (h) Funds which become available to a grantee after the installation of all approved measures, due to cost underruns in the installed measures, may be used by the grantee for additional measures if such measures are approved in writing by the State and DOE. (i) DOE may fund costs incurred by an applicant for technical assistance and energy conservation measure projects after the date of the grant application, so long as that date is no earlier than the close of the preceding grant pro; cycle. Such costs may be funded when. in the judgment of DOE, the applicant has complied with program requirements and the costs incurred are allowable under applicable cost principles and the approved project budget. The applicant bears responsibility for the entire project cost unless the application is approved by DOE in accordance with this part. (j) ln addition to the prior approval! requirements for project changes as specified in the DOE Financial Assistance Rules (10 CFR part 600). « grantee shall request prior written approval from DOE before: (1) Transferring DOE or matching amounts between buildings included in an approved application when the Sute ranks applications on a building-by building basis or (2) Transferring DOE or matching amounts between energy conservatioc measures included in an approvec application when the State ranks oo « measure-by-measure basis. 9454 Federal Register / Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations § 455.141 Grant awards for units of local government, public care institutions, and coordinating agencies. (a) DOE may make grants to units of local government, public care institutions, and coordinating agencies representing them for up to 50 percent of the costs of performing technical assistance programs for buildings covered by an application approved in accordance with § 455.140 except that in the case of units of local government and public care institutions a majority of whose operating and capital funds are provided by the Government of the U.S. Virgin Islands, Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands, a grant may be made for up to 100 percent of such costs. (b) Total grant awards within any State to units of local government and public care institutions are limited to funds allocated to each State in accordance with § 455.30. (c) Units of local government and public care institutions are not eligible for financial assistance for severe hardship. § 455.142 Grant awards for schools, hospitais, and coordinating agencies. (a) DOE may make grants to schools, hospitals, and coordinating agencies for up to 50 percent of the costs of performing technical assistance programs for buildings covered by an application approved in accordance with § 455.140; except that in the case of schools and hospitals a majority of whose operating and capital funds are provided by the Government of the U.S. Virgin Islands, Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands a grant may be made for up to 100 percent of such costs. Grant awards for technical assistance programs in any State within any grant program cycle shall be limited toa portion of the total allocation as specified in § 455.30(b)(1). (b) DOE may make grants to schools, hospitals and agencies for up to 50 percent of the costs of acquiring and conservation measures, including renewable resource measures, for buildings covered by an application approved in accordance with § 455.140, except that in the case of schools and hospitals a majority of whose operating and capital funds are provided by the Government of the U.S. Virgin Islands, Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands, a grant may be made for up to 100 percent of such costs. (c) DOE may award up to 10 percent of the total amount allocated to a State for schools and hospitals in cases of severe hardship, ascertained by the State in accordance with the State Plan for buildings recommended and in amounts determined by the State pursuant to § 455.132(d)(2). §455.143 Grant ewards for State administrative expenses. (a) For the purpose of defraying State expenses in the administration of technical assistance programs in accordance with subpart E and energy conservation measures in accordance with subpart F or energy conservation measures non-Federally funded pursuant to § 455.121, DOE may make grant awards to a State: (1) Immediately following public notice of the amounts allocated to a State for the grant program cycle, and upon approval of the application for administrative costs, in an amount not exceeding $50,000; ~ (2) Concurrent with grant awards for approved applications for technical assistance or energy conservation measures for institutions in that State and upon approval of an application for administrative costs, in an amount not exceeding the difference between the amount granted pursuant to paragraph (a)(1) of this section and 5 percent of the Federal share of the total amount of grants awarded within the State for technical assistance programs and energy conservation ao in the applicable t program le; or *B) Spairendse by DOE of documentation from the State demonstrating that sufficient non- Federal funding has been obligated or legally committed to schools and hospitals for energy conservation measures pursuant to § 455.121(a) and § 455.123(b)(2), and upon approval of an application for administrative costs, in an amount not exceeding the difference between the amount granted pursuant to paragraph (a)(1) of this section and 5 percent of the aggregate Federal and non-Federal funds obligated or legally committed to eligible recipients in the State to provide technical assistance, program assistance, and marketing programs and implement energy conservation measures consistent with this pat. for the fiscal year concerned. (b) Grants for such purposes may be made for up to 100 percent of the projected administrative s, not to exceed the State’s allocation or the $50,000 or 5 percent limit, as approved by DOE. (c) The total of all grants for State administrative costs, technical assistance programs, and energy conservation measures (or for State administrative costs, technical assistance, program assistance, and B35 marketing, if the State elects and is eligible to apply for such grants) in that State shall not exceed the total amount allocated for that State for any grant program cycle. (d) In the event that a State cannot or decides not to use the amount available to it for an administrative grant under this section for administrative purposes, these funds may, at the discretion of the State, be used for technical assistance and energy conservation grants to eligible institutions within that State in accordance with this part. §455.144 Grant awards for State programs to provide technical assistance, program assistance, and marketing. (a) For the purpose of defraying State expenses in the administration of special programs to provide technical assistance and program assistance pursuant to § 455.121, DOE may make a grant award to a State for up to 100 percent of the funds allocated to the State for the grant program cycle, provided that the State meets the requirements described in § 455.121(b). In addition: (1) Funds for individual technical assistance programs provided by the State pursuant to this section shall not exceed 50 percent of the cost of the .echnical assistance program; (2) Grants for program assistance may be made for up to 100 percent of a State's projected program assistance expenses; and (3) Grants for State technical assistance, and pi assistance programs may be awarded by DOE upon approval of an application from the State. (b) For the purpose of defraying State expenses in the administration of a marketing program pursuant to § 455.121, DOE may make a grant award to a State for up to 50 percent of the funds allocated to the State for the grant program cycle, provided that the State meets the requirements described in § 455.121(b). In addition: (1) Grants for marketing may be made for up to 100 percent of a State's projected marketing expenses; and (2) Such grants may be awarded by DOE upon approval of an application from the State. (c) If a State provides a certification under section 455.121(b) and is unable to document that the required non- Federal funding levels for eee conservation measures were eved substantially for the previous fiscal veer for which a similar certification was submitted, DOE may deny the application, accept it after the percentage of allocated funds is recuce:! Federal Register , Vol. 58, No. 32 / Friday, February 19, 1993 / Rules and Regulations 9455 in light of past performance, or take other appropriate action. (d) In the event that a State, after receiving a grant under this section, cennot or decides not to use all or part of the amount available to it for technica] assistance, program assistance, and marketing, these funds may, at the discretion of the State and after appropriate application to and approval of DOE, be used for technical assistance and energy conservation grants to eligible institutions within that State in accordance with this part. Subpart N—Administrative Review § 455.150 Right to administrative review. (a) A State shall have a right to file a notice requesting administrative review of a decision under § 455.143 by a Support Office Director to disapprove an application for a grant award for State administrative expenses subject to special conditions or a decision under § 455.21 of this part by a Support Office Director to disapprove a State Plan or an amendment to a State Plan. (b) A State shall have a right to file a notice requesting administrative review of a decision under § 455.144 by a Support Office Director to disapprove an application for a grant award for State technical assistance, program assistance, or marketing programs. (c) A school, hospital, Foordinating agency, or State acting as an institution's duly authorized agent shall have a right to file a notice requesting administrative review of a decision under § 455.140 by a Support Office Director to disapprove an application for a grant award to perform technical assistance programs or to acquire and instal] an energy conservation measure if the disapproval is based on a determination that: (1) The applicant is ineligible, under § 455.61 or § 455.71 or for any other reason; or (2) An energy use evaluation submitted in lieu of an energy audit is unacceptable under the State Plan; or (3) A technical assistance program equivalent performed without the use of Federal funds does not comply with the requirements of § 455.62 for purposes of satisfying the eligibility requirements of § 455.71(a)(3). §455.151 Notice requesting administrative review. (a) Any applicant shall have 20 days from the date of receipt of a decision subject to administrative review under § 455.150 to disapprove its application for a grant award to file a notice requesting administrative review. If an applicant does not timely file such a notice, the decision to disapprove shall become final for DOE. (b) A notice requesting administrative review shall be filed with the Support Office Director and shall be accompanied by a written statement containing supporting arguments. (c) Ifthe acelicant hi is a State appealing pursuant to paragraph (a) of § 455.150, the State shall have the right to a public hearing. To exercise that right, the State must request such a hearing in the notice filed under paragraph (b) of this section. A public hearing under this section shall be ingeendl and legislative in nature. (d) A notice or any other document shall be deemed filed under this subpart upon receipt. § 455.152 Transmittal of record on review. On or before 15 days from receipt of a notice requesting administrative review which is timely filed, the Support Office Director shall forward to the Deputy Assistant Secretary the notice requesting administrative review, the decision to disapprove as to which administrative review is sought, a draft recommended final decision for concurrence, and any other relevant material. §455.153 Review by the Deputy Assistant Secretary. (a) If a Stato requests a public hearing pursuant to paragraph (a) of § 455.150, the Deputy Assistant Secretary, within 15 days, shall give actual notice to the State and Federal Register notice of the date, place, time, and procedures which shall apply to the public hearing. Any lager hearing under this section shall informal and legislative in nature. B36 (b) The Deputy Assistant Secretary shail concur in, concur in as modified, or issue a substitute for the recommended decision of the Support Office Director: (1) With respect to a notice filed pursuant to paragraph (a) of § 455.150, on or before 60 days from receipt of documents under § 455.152 or the conclusion of a public hearing, whichever is later; or (2) With respect to a notice filed pursuant to paragraph (b) of § 455.150, on or before 30 days from receipt of documents under § 455.152. §455.154 Discretionary review by the Assistant Secretary. On or before 15 days from the date of the determination under § 455.153(b), the applicant for a grant award may file an application, with a supporting statement of reasons, for discretuonary review by the Assistant Secretary. If administrative review is sought pursuant to paragraph (a) of § 455.150, the Assistant Secretary shall send a notice granting or denying discretionary review within 15 days and upon granting such review, shall issue a decision no later that 60 days from the date discretionary review is granted. If administrative review is sought pursuant to paragraph (b) of § 455.150, the Assistant Secretary shall send a notice granting or denying discretionary review within 15 days and upon granting such review shall issue a decision no later than 30 days from the date discretionary review is granted. The Assistant Secretary may not issue a notice or decision under this paragraph without the concurrence of the DOE Office of Genera] Counsel. $455.155 Finality of decision. A decision under § 455.153 shall be final for DOE if there is no review sought under § 455.254. If there is review under § 455.154, the decision thereunder shall be final for DOE, and no appeal shall lie elsewhere in DOE. {FR Doc. 93-3696 Filod 2-18-93; 8:45 am] BILLING CODE 6450-01-P REQUIRED TECHNICAL ASSISTANCE (TA) STUDY FORMS IV. Vi. Vil. vill IX. The TA Study Index shown below must be at the front of the TA Study with the appropriate page numbers filled in. Everything listed in this index must be included in the TA study. The required summary forms are on pages following. TECHNICAL ASSISTANCE (TA) STUDY INDEX Narrative Executive Summary with Graphs & Charts............ Summary Forms Present and Projected Energy Use - Tables! andll .......... Energy Consumption for Prior Year - Tables Ill, IV, andV...... Operation and Maintenance Recommendations - Table VI ..... Energy Conservation Measure Summaries - Tables VII, VIII, IX, and X Technical Assistance Analyst Certification .............04. UO Oe Building Description Asa Generali Description! scc-nsusncncaoxoncatn-nousaenen-meneuenenene (heneneancaeuone B= OCCUPANCY POttONINS see crorcsep er om erremrer or oneh or meneeeher net ewememettonerenone Cam BuildingliEnvelope s-n-c-n-n-ncncncmcmcucn-n-n-u-utn ese taca ti neem renters D. Mechanical, HVAC, Electrical and Water Systems ........... Energy Use Profile and Calculations ........... 0. eee eens Current and Recommended Operation and Maintenance Procedures and Calculations ......... Energy Conservation Measures and Calculations .............. Renewable Resource Potential Calculations and other Considerations Accuracy of Energy Use Evaluation ......... 0.0. e eee eens Energy Use Evaluation ........ 0... cee cece rece eee eeeeees Original Photographs, Floor Plans, and Drawings ...........+.+5 revised 6/30/93 B37 PRESENT AND PROJECTED ENERGY USE IN BTU’S TABLE | Most Recent 12-month Period from July 1, 19___ to June 30, 19___ Ee Total Total [ume [ewer | MMew | ewer | wMew | ewer? | meu _| Btu! | (a) Actual Consumption } (b) Projected O&M Savings (c) Consumption After O&M a Pf ff ff } (a-b) (d) Selected ECM Savings Projected (e) Projected Consumption After ECMs, (c-d) (f) % Reduction From Present Consumption, (b + d)/(a) H (g) % Reduction | From Optimum Consumption (d)/(c) nsert fuel type used MMBtu = million Btu revised 6/30/93 B38 PRESENT AND PROJECTED ENERGY COST AND USE TABLE II Most Recent 12-month Period from July 1,19 to June 30, 19___ SS Total Cost (a) Actual Consumption (b) Projected O&M Savings (c) Consumption After O&M Implementation, (a-b) (d) Selected ECM Savings Projected H Consumption 14 (d)c) . aL nsert fuel type used (e) Projected Consumption After ECMs, (c-d) (f) % Reduction From Present Consumption (b + d)/(a) (g) % Reduction From Optimum revised 6/30/93 B39 ELECTRICAL CONSUMPTION FOR MOST CURRENT 12-MONTH PERIOD - TABLE Ill Measured Billed Demand Energy PCE Total Cost | Demand Demand Charge $ Cost $ Credit $ $ (a+b) Kw | Billing Dates | | i rE y xz i | i} TOTALS Utility Company. Current Electric Rate: Applicable Rate Located on Page TotalCost _ $ __s=_ 4 /Kwh Total Kwh Kwh ana Principle Generating Fuel Oil Gas Coal Total Cost. _ $ A Hydroelectric Total MMBtu ~ MMB > © fans MMBtu = million Btu revised 6/30/93 B40 OIL, PROPANE, AND COAL CONSUMPTION FOR MOST CURRENT 12-MONTH PERIOD - TABLE IV BILLING DATES HEATING | OIL PROPANE COAL ]} DEGREE _||_pays__|{ GALLONS _ COST TONS MMBtu COST d | | | | J } 4 ; | | | | | ae “N wp WIN TOTALS = rrent Oil ni : ren’ | Rate: Total Cost = $ = $ /Gal Total Cost = $ = § /Ton Total Gal Gal Total Ton Ton Total Cost = $ = $ /MMBtu Total Cost = $ = §$ /MMBtu Total MMBtu MMBtu Total MMBtu MMBtu Supplier _ Supplier revised 6/30/93 B41 NATURAL GAS AND PURCHASED STEAM FOR MOST CURRENT 12-MONTH PERIOD - TABLE V PURCHASED UTILITIES HEATING NATURAL GAS DEGREE STEAM HOT WATER DAYS cost UNITS BILLING DATES EEE + ° COST ele TOTALS Current Natural Gas Rate: Current Purchased Steam or Hot Water Rate: Total Cost = $ = $_ _/MCF Total Cost = $ = § / Total MCF MCF Total Units and = $ /MMBtu Total Cost . $ = $ /MMBtu Total MMBtu MMBtu Supplier Supplier revised 6/30/93 B42 RECOMMENDED OPERATION AND MAINTENANCE PROCEDURES - TABLE VI Implem ‘Savings eee Recommendations $ Cost MMBtu/Yr | $/Yr | | | | IL — revised 6/30/93 B43 ENERGY CONSERVATION MEASURE (ECM) DESCRIPTIONS - TABLE VII [esse revised 6/30/93 B44 PART 1 FOR TABLES VIII, IX, AND X : eT =e i“ | teem | | ean ' Acquisition Design Estimated | O&M Cost Salvage Disposal | Cost Cost Total Cost | Value Cost | (a) (b) (a+b) } ; 7 ECM # revised 6/30/93 B45 Part 2, Table VIII Savings To Investment Payback Years Total Savings Estimated SUMMARY OF ECM SAVINGS AND COSTS WITH NO INTERACTION Annual Fuel Costs Savings aa {Total Cost) Total Savings Ratio (c+d+e) a ns — a B46 revised 6/30/93 Part 2, Table IX SUMMARY OF ECM SAVINGS AND COSTS WITH INTERACTION TO BE IMPLEMENTED THROUGH ICP Payback Years Savings To Investment {Total Cost) Ratio Total Savings Estimated Total Savings Annual Fuel Costs Savings ECM Cost Cost (c+d+e) | ” ib oe iL H (d) Ween i = = ECM Description ECM E revised 6/30/93 B47 Part 2, Table X SUMMARY OF ECM SAVINGS AND COSTS WITH INTERACTION NOT TO BE IMPLEMENTED THROUGH ICP Annual Fuel Costs Savings com eee | i i i |__ oo} PT PTT PT Po, pot pot of OT PTE PTT ef ae ee ee ees eres eee Ses eee eee Poof pot Tf pf tT OT po | COT revised 6/30/93 B48 TECHNICAL ASSISTANCE ANALYST CERTIFICATION STATEMENT Organization Name and Address Building or Complex Name As Technical Assistance Analyst responsible for conducting this study, | hereby certify that: 1. This Technical Assistance Study and Report have been performed in accordance with 10 CFR 455, dated February 9, 1993, and the Alaska State Plan for the Institutional Conservation Program, dated June 30, 1993. 2. The Technical Assistance Analyst requirements of the State Plan are met and the members of the team performing the Technical Assistance Study are qualified to perform the analysis, investigations and duties assigned them. 3. This Technical Assistance Study has thoroughly examined this building for the purpose of identifying the opportunities which exist for reducing energy consumption. 4. The data, recommendations, and analysis contained in this Technical Assistance Report are correct to the best of my knowledge. 5. The members of this Technical Assistance Study team have no conflicting financial interests in completing the Technical Assistance Study and Report for this facility. Typed Name of TA Analyst Typed Names of TA Study Team Members Signature of Certifying TA Analyst Date Business Name, Address and Telephone # Business License Number (Seal) revised 6/30/93 B49 INSTITUTIONAL CONSERVATION PROGRAM ALASKA STATE PLAN APPENDIX C: ENERGY CONSERVATION MEASURE APPLICATION EVALUATION STATE OF ALASKA Department of Community and Regional Affairs Division of Energy 333 West Fourth Avenue, Suite 220 Anchorage, AK 99503 (907) 269-4631 July 1, 1994 to June 30, 1995 APPENDIX C c1.0 Y¥ CONSERVATION MEASUR. CATION 1. BLDG SIMPLE PAYBACK: Years Points Years Points Years Points 2.00-4.00 22 4.01-4.50 21 4.51-5.00 20 5-.01—-5.50 19 §.51-6.00 18 6.01-6.50 17 6.51-7.00 16 7.01-7.50 15 7.51=-8.00 14 8.01-8.50 13) 8.51-9.00 12 9.01-9.50 ay 9.51-10.0 10 2. CONVERSION TO NEW FUEL(Maximum 21 Points): e New Points Renewable (Must save at least 50 MMBtu’s per year) a Coal (for entire building) 10 3. RATIO OF ANNUAL BTU SAVINGS TO CURRENT ANNUAL BTU USE REDUCED BY CALCULATED SAVINGS FROM RECOMMENDED OPERATION AND MAINTENANCE (O&M) PROCEDURES (Maximum 20 Points): Electricity Generated Mostly With All Other Natural Oil Oil Electricity Gas Points -01 to .03 2 -01 to .03 -031 to .06 2 -01 to .03 -031 to .06 -061 to .09 3 -01 to .03 -031 to .06 -061 to .09 -091 to .12 4 -031 to .06 -061 to .09 -091 to .12 -121 to .15 5 -061 to .09 -091 to .12 «i2@i to .15 -151 to .18 6 -091 to .12 2121 to .15 -151 to .18 -181 to .21 7 sl2i ‘to <15 -151 to .18 -181 to .21 -211 to .24 8 -151 to .18 Led tO 2d: -211 to .24 -241 to .27 9 -181 to .21 -211 to .24 -241 to .27 -271 to .30 10 -211 to .24 .241 to .27 -271 to .30 ~302 ‘to! 733 11 -241 to .27 -271 to .30 -301 to .33 Over .33 12 -271 to .30 -301 to .33 Over .33 13 -301 to .33 Over .33 14 Over .33 15 Score + - + = 4. QUALITY OF TECHNICAL ASSISTANCE (TA) STUDY (Maximum 19 Points): This score will be the total from page C2. 5. TRAINING ATTENDANCE (Maximum 10 Points): This is the total score from page C2 6. TOTAL SCORE: 1 +2 +3 +4 + 5 = (revised 6/30/93) =Cl\ = Cc2.0 TRAINING ATTENDANCE 2/51: Scoring will be given for training in the listed categories attended by employees of the applicant, the TA analyst, or principle members of the TA study team. C22 Units will be assigned according to the length of training: & day - & units 1 day - 1 units over 1 day - 1% units C273) To determine the points, the units will be divided by the number of years (rounded up to the nearest whole number) since the training was taken. C254 Categories of energy conservation training related to: a) Building Envelopes b) Heating Systems c) Electrical Equipment da) Energy Management Control Systems e) Energy Management £) Cooling Systems g) Ventilation h) Heat Recovery Systems i) Low cost/No Cost Energy Conservation Measures j) Performance contracting for energy conservation k) Third-party financing C225 The following information must be provided on the funding application: Attendee Employer Training Course Category Given by Location Dates _ 5-Day __1-Day _ Over 1-Day Fee $ C3.0 QUALITY OF TECHNICAL ASSISTANCE (TA) STUDY Building Name Institution Subtract the number of "No" answers from 19 to equal the total score for question 4 on page Cl. 19 From the questions below, total the number of "No" answers: —- Total Score (revised 6/30/93) = C2 = C3.0 QUALITY OF TECHNICAL ASSISTANCE (TA) STUDY, scoring questions Yes No N/A 1. Is the TA study signed and certified by the TA analyst as required by Appendix B? 2. Does the TA study use the required forms (Tables I through X and TA Analyst Certification) ? 3. Is the information in the TA study well organized and easy to follow without extraneous material? 4. Does the TA study use data that was current when the TA study was prepared or that has been made current for this application? 5. If the TA study is more than one year old, has the data been updated? 6. Does the TA study provide a good description of the current building characteristics? 7. Does the TA study use the fuel rates from Tables III, IV and V? 8. Does the TA study use marginal prices where applicable? 9. Is actual energy use provided on Tables III, IV, and V from the most recent 12-month period? 10. If actual data is not provided in question 9, is estimated energy use and cost data provided for each fuel type used for the prior 12-month period? 115 If historical heating degree data is available, is the actual consumption, (a), on Tables I and II calculated for an average year? 12. Does the TA study give a good description of the operation characteristics of the energy using systems? 13. Is the energy use evaluation included with the TA study completed as required on the currently approved energy use evaluation form? 14. Is the energy use evaluation information current within the last year oor updated information provided? 15. Does the TA study give a good analysis of the accuracy of the energy use evaluation data? (revised 6/30/93) - C3 - (revised 16. Does the TA study give a good analysis of the completeness of the energy use evaluation recommendations? 17. Is a comprehensive master list of O&M procedures used? 18. Are the current operating and maintenance (O&M) procedures documented well in the TA study? 19. Were all feasible energy O&M procedure changes identified and considered? 20. Does the TA study provide a good description and analysis of all identified O&M procedure changes including an estimate of the costs of implementation (if none, so state)? 21. Is an accurate estimate provided--supported by all data and assumptions used in arriving at the estimate--of the annual energy and energy cost savings (using current energy prices including demand charges) expected from each O&M procedure change?, 22. Does the TA study provide an energy use profile that is detailed and informative? 23. Does the TA study include an evaluation of the building’s potential for renewable resource conversions including domestic water heating systems? 24. Was a comprehensive master list of energy conservation measures (ECMs) used for the step one consideration of ECMs? 25. Are the simple calculations provided in step two of the ECM considerations? 26. Does step three provide a detailed analysis of all the ECMs from step two which indicate a significant potential for energy savings (15 year or less payback) ? 27. Is an accurate estimate of the total cost of each ECM provided in step three, with a11l assumptions adequately discussed? This cost shall include the design and other professional service (excluding cost of a technical assistance program) , if any, and acquisition and installation? Do these figures match the grant application? 28. Is an accurate estimated useful life of eacn ECM provided? 6/30/93) - c4 - 29. Are accurate estimates provided of the average annual increases or decreases in O&M costs that would result from each ECM? 30. Are accurate estimates provided of the salvage value and disposal cost of each ECM at the end of its useful life? 31. Is an accurate estimate provided--supported by all data and assumptions used in arriving at the estimate-- of the annual energy savings and energy cost savings (using current energy rates from Tables III, IV, and V) expected from the acquisition and installation of each feasible ECM? 32. Have the calculations in question 31 assumed that the energy savings from the O&M procedure changes have been realized? 33. Have the calculations in question 31 used the procedures required in Appendix B for determining the order of the ECMs on Tables IX and X for making the calculations? 34. Are the energy savings for ECMs already calculated in question 31 considered realized before calculating the savings for the next ECM for the ECM calculations for Tables IX and xX? 35. Are the energy cost savings calculated by fuel types for question 31? 36. Have climate and other variables’ been considered in the calculations for question 31? 37. Has the simple payback been calculated for each ECM using the procedures required in Appendix B? 38. If the ECM is a conversion from oil, electricity or natural gas to coal, is the simple payback calculated using the annual cost savings (using current energy prices) associated with the change in fuels? 39. If the ECM is a renewable resource, is the simple payback calculated using the cost of the fuels displaced(using current energy costs) as the annual cost savings? — Evaluator’s Signature Date (revised 6/30/93) - C5 - INSTITUTIONAL CONSERVATION PROGRAM ALASKA STATE PLAN APPENDIX D: ICP Grant Applications with Instructions, TA and ECM STATE OF ALASKA Department of Community and Regional Affairs Division of Energy 333 West Fourth Avenue, Suite 220 Anchorage, AK 99503 (907) 269-4631 July 1, 1994 to June 30, 1995 ECM APPLICATION INSTITUTIONAL CONSERVATION PROGRAM STATE OF ALASKA GRANT APPLICATION FOR SCHOOLS AND HOSPITALS ENERGY CONSERVATION MEASURES (ECMs) REMINDERS: 1. Has the authorized official signed each of the two copies in blue ink on pages 1, 3 and 4? Each copy submitted must have original signatures. Have two copies of the Technical Assistance (TA) study been enclosed for each building for which Energy Conservation Measure (ECM) funding is requested? If the State already has copies, contact the State for a waiver. Enclose a copy of the applicant's Drug Free Workplace Certification. If indirect costs are included, enclose a copy of the negotiated agreement approved by the Cognizant Agency. If Economic Hardship Funding is requested, have available the most recent audit for verification of operating expenses. If the Non-Federal funds are from shared savings and a contract has been signed for this financing, include a copy of the contract. Or, indicate if shared savings is being planned. APPLICATION DUE DATE: MARCH 1, 1994 The original and one copy of this application must be submitted to the following address: ICP Manager Alaska Department of Community and Regional Affairs Division of Energy 333 West Fourth Avenue, Suite 220 Anchorage, AK 99503 (907)269-4631 This Application is composed of pages 1 through 13 with additional Instructions on pages 14 through 17. OMB Aocprovai No. 0348-0043 APPLICATION FOR Scare SUG Mcican Gaasied FEDERAL ASSISTANCE 1. TYPE OF SUBMISSION: 2. DATE RECEIVED BY STATE State Appiication identitver Aopiication Preapolicanon C1 Construction » J Construction GATE RECEIVED BY FEDERAL AGENCY Legai Name: Organizational Unit: ] Non-Constructon a Non-Construction S. APPLICANT INFORMATION Agdress (give city. county, state. and zip code): Name and teleonone number of the person to be contacted on matters involving this appncauon (give area code) 6. EMPLOYER IDENTIFICATION NUMBER (EIN): 7. TYPE OF APPLICANT: (enter appropnaie etter in box) J A uw A Sute H. Independent Schoot Oist. 8. County |. State Controtied insutution of Higher Learning C. Mumepat J. Private University Se eon 0. Townsno Indian Tribe wm New 0 Continuation O Revision E interstate Lo indmdual : F imermumcroat M. Profit Organwauon it Revision. enter appropriate ietter(s) im box(es): oO oO G. Special Oistnct N. Other (Soecity) A increase Award 8. Decrease Awara C. Increase Ouration © Oecrease Ouration Other (specify): | 9. NAME OF FEDERAL AGENCY: US Department of Energy : SLAP, Seattle, WA 11. DESCRIPTIVE TITLE OF APPLICANTS PROJECT: Technical assistance (TA) under the Institu- me: Institutional Conservation Program tional Conservation Program to complete TA studies on buildings identified in this [a AREAS AFFECTED BY PROJECT (cities. countes, states. etc.): application. Economic hardship funding is is not requested. The TA Analyst will be contracted ____in house. 12. PROPOSED PROJECT: 14. CONGRESSIONAL DISTRICTS OF: Start Oate 8. Apolcant 2b. Proyect 1 i 1 1$. ESTIMATED FUNDING: 16. [S APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 12372 PROCESS? a = YES. THIS PREAPPLICATIONW/APPLICATION WAS MADE AVAILABLE TO THE STATE EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON Dept. Community & Reg. Affairs will comply with a. Federai ¢. State b NO. ([] PROGRAM IS NOT COVERED BY EO. 12372 4. Local (1) OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR REVIEW @ Other t Program income 17, 1S THE APPLICANT OELINQUENT ON ANY FEDERAL DEST? : No Sone CO Yes it "Yes." attach an expiananon. oO 18. TO THE BEST OF MY KNOWLEDGE ANO GELIEF. ALL DATA IN THIS APPLICATION PREAPPLICATION ARE TRUE ANO CORRECT. THE DOCUMENT HAS BEEN OULY AUTHORIZED BY THE GOVERNING BOOY OF THE APPLICANT ANO THE APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCES IF THE ASSISTANCE [3 AWAanoED a. Typed Name of Autnonzed Representstve ¢. Signature of Authonzed Reoresentauve - DI.1l- TA Applic: TA APPLICATION OMB Approval No. 0348-0040 19.0 ASSURANCES - NON-CONSTRUCTION PROGRAMS Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency. As the duly authorized representative of the applicant | certify that the applicant: 1. Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non-Federal share of project costs) to ensure proper planning, management and completion of the project described in this application. 2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. 3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. Sections 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM’s Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F). 6. Will comply with all Federal statutes relating to nondiscri- mination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. Sections 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. Section 794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. Sections 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title Vill of the Civil Rights Act of 1968 (42 U.S.C. Section - 01.2 - 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the requirements of any other nondiscrimination statute(s) which may apply to the application. 7. Will comply, or has already complied, with the requirements of Titles Il and Ill of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. 8. Will comply with the provisions of the Hatch Act (5 U.S.C. Sections 1501-1508 and 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9. Will comply, as applicable, with the provisions of the Davis- Bacon Act (40 U.S.C. Sections 276a and 272a-7), the Copeland Act (40 U.S.C. Section 276c and 18 U.S.C. Section 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. Sections 327-333), regarding labor standards for federally assisted construction subagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. 11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facuities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with tne approved State management program developed under ine Standard Form 424B (4-88) Prescribed by OMB Circular A ° TA Application: 6/30 33 TA APPLICATION Coastal Zone Management Act of 1972 (16 U.S.C. Sections 1451 et seq.); (f) conformity of Federal actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Section 7401 et seq.); (g) protection of underground sources of drinking ‘water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93-205). 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. Sections 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.). 14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm-blooded animals held for research, teaching, or other activities supported by this award of assistance. 16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. Sections 4801 et seq.) which prohibits the use of lead based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1984. 18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program. ADDITIONAL REQUIREMENTS REQUIRED BY 10 CFR PART 455: 19. Meets the eligibility requirements set forth in 10 CFR 455.41 and 455.51 (conceming applications for technical assistance and energy conservation measures, respectively). 20. Has or will satisfy the requirements set forth in 10 CFR 455.60, published in the Federal Register of April 30, 1985, and listed as Applicant Responsibilities. 21. Has implemented and will continue to implement all energy conservation operating and maintenance changes identified in an energy use evaluation (for applications for technical assistance), or identified in an energy use evaluation and technical assistance study, (for applications for energy conservation measures), WITH EXCEPTIONS LISTED IN ITEM 21.8. 22. Will expend funds granted under 10 CFR 455 for the - 01.3 - purpose stated in this application and in compliance with the requirements of 10 CFR Part 455 and approved State Plan. 23. Has or will obtain from the technical assistance analyst, prior to the analyst performing work in connection with a technical assistance study or energy conservation measure, a signed statement certifying that the technical assistance analyst has no conflicting financial interest and is otherwise qualified to perform the functions of a technical assistance analyst in accordance with the requirements set forth in the State Pian. 24. Will comply will all reporting requirements contained in 10 CFR 455.63. 25. Will not enter into any project having a total cost of more than $5,000, and construction contract or subcontract in excess of $2,000 using any grant funds awarded that does not include contract labor standards provisions set forth in 29 CFR 5.5 and a provision for payment of laborers and mechanics at the minimum wage rate determined by the Secretary of Labor in accordance with the Davis-Bacon Act (40 U.S.C. 276a) as set forth in 29 CFR Part 1. For the purpose of this section “project” means an undertaking to acquire and install one or more energy conservation measures in a building. 26. Will provide the required matching non-Federal funds, including in-kind contributions (limited to the goods and services described in the Department of Energy Financial Assistance Rules, 10 CFR Part 600), and assure that such funds or contributions are directly related to the project. Note: Signature of this form indicates that the applicant agrees to all assurances outlined in items 1-18 and items 19-26 (as contained in 10 CFR Part 455). SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL APPLICANT ORGANIZATION 1807) DATE SUBMITTED TELEPHONE Standard Form 424B (4-88) Prescribed by OMB Circular A-102 TA Application: 6/30/93 TA APPLICATION DOE F 1600.5 (5-85) OMB Control No. 1310-0400 20.0 U.S. Department of Energy 1. Nondiscrimination in Federally Assisted Programs. The Applicant whose name is given at the end of this Assurance (Hereinafter called the “Applicant") HEREBY AGREES to comply with Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352), Section 16 of the Federal Energy Administration Act of 1974 (Pub. L. 93-275), Section 401 of the Energy Reorganization Act of 1974 (Pub. L. 93-438), Title IX of the Education Amendments of 1972, as amended, (Pub. L. 92-318, Pub. L. 93-568, and Pub. L. 94-482), Section 504 of the Rehabilitation Act of 1973 (Pub. L. 93-112), the Age Discrimination Act of 1975 (Pub. L. 94-135), and Title Vill of the Civil Rights Act of 1968 (Pub. L. 90- 284), the Department of Energy Organization Act of 1977 (Pub. L. 95- 91), and the Energy Conservation and Production Act of 1976, as amended, (Pub. L. 94-385). In accordance with the above laws and regulations issued pursuant thereto, the Applicant agrees to assure that no person in the United States shall, on the ground of race, color, national origin, sex, age, or handicap, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity in which the Applicant receives Federal assistance from the Department of Energy. 2. Applicability and Period of Obligation. In the case of any service, financial aid, covered employment, equipment, property, or structure provided, leased, or improved with Federal assistance extended to the Applicant by the Department of Energy, this assurance obligates the Applicant for the period during which Federal assistance is extended. In the case of any transfer of such service, financial aid, equipment, property, or structure, this assurance obligates the transferee for the period during which Federal assistance is extended. If any personal property is so provided, this assurance obligates the Applicant for the period during which it retains ownership or po sion of the property. In all other cases, this assurance obligates the Applicant for the period during which the Federal assistance is extended to the Applicant by the Department of Energy. 3. Employment Practices. Where a primary objective of the Federal assistance is to provide employment or where the Applicant’s employment practices effect the delivery of services in programs or activities resulting from Federal assistance extended by the Department, the Applicant agrees not to discriminate on the ground of race, color, national origin, sex, age, or handicap, in its employment practices. Such employment practices may include, but are not limited to, recruitment, recruitment advertising, hiring, layoff or termination, promotion, demotion, transfer, rates of pay, training and participation in upward mobility programs, or other forms of compensation and use of facilities. 4. Subrecipient Assurance. The Applicant shall require any individual, organization, or other entity with whom it subcontracts, subgrants, or subleases for the purpose of providing any service, financial aid, equipment, property, or structure to comply with laws cited above. To this end, the subrecipient shall be required to sign a written assurance form, however, the obligation of both recipient and subrecipient to ensure compliance is not relieved by the collection or submission of written assurance forms. 5. Date Collection. The Applicant agrees to compile and maintain information pertaining to programs or activities developed as a result of the Applicant's receipt of Federal assistance from the Department of Energy. Such information shail include, but is not limited to, the following: (1) the manner in which services are or will be provided and related data necessary for -D1.4- Assurance of Compliance determining whether any persons are or will be denied such services on the basis of prohibited discrimination; (2) the population eligible to be served by race, color, national origin, , age and handicap; (3) data regarding covered employment including use or planned use of bilingual public contact employees serving beneficiaries of the program where necessary to permit effective participation by beneficiaries unable to speak or understand English; (4) the location of existing or proposed facilities connected with the program and related information adequate for determining whether the location has or will have the effect of unnecessarily denying access to any person on the basis of prohibited discrimination; (5) the present or proposed membership by race, color, national origin, sex, age and handicap, in any planning or advisory body which is an integral part of the program; and (6) any additional written data determined by the Department of Energy to be relevant to its obligation to assure compliance by recipients with laws cited in the first paragraph of this assurance. 6. Access to Records. The Applicant agrees to submit requested data to the Department of Energy regarding programs and activities developed by the Applicant from the use of Federal assistance funds extended by the Department of Energy. Facilities of the Applicant (including the physical plants, buildings, or other structures) and all records, books, accounts, and other sources of information pertinent to the Applicant’s compliance with the civil rights laws shall be made available for inspection during normal business hours on request of an officer or employee of the Department of Energy specifically authorized to make such inspections. Instructions in this regard will be provided by the Director, Office of Equal Opportunity, U.S. Department of Energy. This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts (excluding procurement contracts), property, discounts or other Federal assistance extended after the date hereto, to the Applicant by the Department of Energy, including installment payments on account after such date of application for Federal assistance which are approved before such date. The Applicant recognizes and agrees that such Federal assistance will be extended in reliance upon the representations and agreements made in this assurance and that the United States shall have the right to seek judicial enforcement of this assurance. This assurance is binding on the Applicant, its successors, transferees, and assignees, as well as the person whose signature appears below and who is authorized to sign this assurance on behalf of the Applicant. NAME OF APPLICANT ADDRESS SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL ae TELEPHONE NUMBER DATE SUBMITTED TA Application: 6/30/93 TA APPLICATION CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS A. The grantee certifies that it will or will continue to provide a drug-free workplace by: 1. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the grantee’s workplace and specifying the actions that will be taken against employees for violation of such prohibition; 2. Establishing an ongoing drug-free awareness program to inform employees about: a. the dangers of drug abuse in the workplace; b. the grantee’s policy of maintaining a drug-free workplace; c. any available drug counseling, rehabilitation, and employee assistance programs; and, d. the penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; 3. Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph A.1; 4. Notifying the employee in the statement required by paragraph A.1 that, as a condition of employment under the grant, the employee will: a. Abide by the terms of the statement; and, b. Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace not later than five calendar days after such conviction; 5. Notifying the agency, in writing, within ten calendar days after receiving notice under subparagraph A.4.b from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; 6. Taking one of the following actions within 30 days of receiving notice under subparagraph A.4.b, with respect to any employee who is so convicted: a. Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or, b. Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; 7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs A.1, 2, 3, 4, 5, and 6. The grantee may insert in the space provided below the site(s) for the performance of work done in connection with the specific grants. Place of Performance: As the duly authorized representative of the applicant, | hereby certify that the applicant will comply with the above certifications. PROJECT NAME: Institutional Conservation Program Technical Assistance Applicant Name Printed Name and Title of Authorized Representative Signature Date - 01.5 - TA Application: 6/30/93 TA APPLICATION 21.0 Building Data and Eligibility Summary Fill in the appropriate information and use the reference keys at the bottom of the page to identify the code to put in columns 21.2 and 21.3. Explain asterisk answers on page 7. 21.4 21.5 Was Construction | Have All Energy of This Building Use Evaluation and Additions Recommended Completed Before | Operating and May 1, 1989? Maintenance Changes Been Implemented? *Explain "No” answers on Page 7, Section 21.7 **Explain "No" answers on Page 7, Section 21.6 Note: safer [Selene [Sela SCHOOL TYPE { HOSPITAL TYPE J CATEGORY _—i| | A1 [Elementary cS | A2 |Secondary [8 _[ Private Non-Profit | A3 |College/University | Other (specify): Indian Tribe or [As [Vocational see os [tesa Other (specify): A building completed after May 1, 1989 is not eligible for technical assistance (TA) funding However, if a building was completed by May 1, 1989 and later had an addition added to it. the building and the addition are eligible for TA funding. The TA study must be done for an entve building including all additions. - 01.6 - TA Application: 6/30/93 TA APPLICATION 21.6 Justification for Non-Implementation of Qperating and Maintenance (O&M) Changes If any answer to 21.5 was "No", identify and address every O&M change that has not been implemented. See Page AQ of the Energy Use Evaluation for valid reasons for not having implemented recommended O&M changes. Use additional pages, if necessary. Building j Number of O&M from | Reason(s) for O&M Non-implementation | Expected Date of | Name/Number Energy Use Evaluation Implementation CARLA OA AO AACA AACA AA A 21.7 Building Additions or Changes If there were any building additions completed after May 1, 1989, provide additional information below: Building Name/Number | Descriptions and Dates of Additions and Building Changes and Proposed a Changes -D1.7- TA Application: 6/30 33 22.1 22.2 23.1 23.2 23.3 TA APPLICATION 22.0 Narrative Are any buildings more than 50 years old or have any of these buildings been listed on the National Register of Historic Places? ___No __ Yes: If yes, indicate which building(s) and refer to Page 2, Item 13: Activity Schedule Start Date Finish Date Prepare Request for Qualifications (RFQ) (1-2 months) PO Solicitation for TA Engineering Services 7 -2 months) } Review Bids/Negotiate Contract (2-4weeks)| Award and Approve Contract* (1-2months)| Start and Complete TA Study Final Draft (2-4 months) PY Institution and State Review of Final (1-2 months) Draft TA Study Final TA Study completed and Institution (1-2 months) Review/Approval for use with energy conservation measure (ECM) grant application *The beginning date may not be earlier than the date this application is received by the Alaska Housing Finance Corporation, Affordable Housing and Energy Efficiency Department. 23.0 Economic Hardship Funding Is Economic Hardship funding requested as a part of this grant? Yes No If no, skip to Section 24.0 below. If yes, contact the program manager at 564-9274. If Yes, provide the Applicant's total energy expenses divided by the total operating expenses (for all buildings and programs) for the most recently audited fiscal year. A copy of the appropriate audit material may be requested by the program manager. Total Energy Expenses ___ So _ Total Operating Expenses ~ $ x 100 = Percent Score Economic Hardship Funding above the 50 percent funding level may be requested in this application's budget up to the percentage corresponding to the Percent Score from 23.2 above: IfP S is Tt ip Eundi 0to4.9% 0% 5.0 to 9.9% 10% 10.0 to 14.9% 20% 15.0to 19.9% 30% Over 20.0% 40% -D1.8- TA Application: 6/30/93 TA APPLICATION 24.0 Budget Detail By Building Complete this page if the TA Study will be done by in-house personnel. Provide budget detail for all expenses by building. The total for a category should be transferred by building to the corresponding Object Class Category on page 11, Section 27.0. f Object | Building | Class Name/Number 24.1 Personnel ecoetcy tele INI GeCTTTE esa oo coeur NINN] OOP LO OCG OAT Rate of Pay/Hour a Total Personnel LT 24.2 Fringe Benefits Rate (%) eae LT Total Fringe Benefits eM 24.3 Travel Number of Trips Airfare Per Diem Total Travel 24.4 Supplies/-Materials Total Supplies/- Materials 24.5 Indirect Charges Indirect Cost Rate (%) Direct Costs Indirect Rate Times (x) Direct Costs Cognizant Agency For Indirect Rate - D1.9 - TA Application: 6/30/93 TA APPLICATION 24.0 Budget Detail By Building, Continued Complete this budget if a contract with an engineering firm will be used to perform the technical assistance (TA) study. Complete the budget detail for each building. [ Object | Building | ll Name/Number} 24.6 [24.6 Other) 1) Advertising, Telephone, etc. 24.7 Contractual for Engineer(s) Building Gross Square Feet TA Cost per Square Foot Cost for Bldg TA Esco eevee NO ee RU eee Transportation SUNN A a TA ETT Per Diem SNE UNL ST OTP TTT OO LO Total TA Contractual Sci eve TT esc |e ec ee 25.0 Non-Federal Funds Show the source and total amount of all Non-Federal funds, including in-kind contributions, for all the buildings included in this application. Applicants must guarantee the availability of Non-Federal matching funds prior to the Department of Energy (DOE) awarding the grants. 25.3 Are These Funds Available Without 25.1 Source of Non-Federal Funds Further Authorization? ese os EE Pe Will the Federal funds requested SUPPLEMENT rather than SUPPLANT Non-Federal funds? Yes No, if no, explain: 25.5 Do the answers to 25.1 - 25.4 apply to all buildings listed in Section 21.1? Yes No, if no, explain: - 01.10 - TA Application: 6/30/93 TA APPLICATION 26.0 mary - ion A Fill out 27.0, Section B - Budget Categories first by taking the information from pages 9 and 10. Put 50 percent of the Total from 27.(6)k into column 26.(e) and 50 percent into column 26.(f) of rows 26.1 and 26.5 and total these amounts again in column 26.(g). If economic hardship is requested, contact the ICP manager at 564-9274. 27.0 Budget Categories - Section B Transfer the amounts from pages 9 and 10 of Section 24.0 with a separate column for each building. SECTION A- BUDGET SUMMARY Grant Program Federal Estimated Unobligated Funds New or Revised Budget Function or Catalog No. Activity Non-Federal SECTION B - BUDGET CATEGORIES Grant Program, Function or Activity (Building Name/No.) -D1.11 - TA Application: 6/30/93 TA APPLICATION INSTRUCTIONS Page 1, Standard Form 424 Fill in information for the items listed below only. Use a blue pen or typewriter. The following information is provided for the required items: Item No. 2 Date application submitted to State. 5 Legal name of applicant/recipient (such as: Kodiak Borough School District), name of primary organizational unit which will undertake the assistance activity, complete address of applicant, and name and telephone number of person who can provide further information about this application. 6 Number assigned by IRS. 7 Enter the appropriate letter in the space. 11. Mark an "x" by the appropriate words. 12 Name the largest political entities affected such as the state of Alaska, a borough, or a city. 13 These dates should correspond to the dates on page 8, item 22.2. 15a This amount should be the same as on page 11, item 26.5.(e). 15b This amount should be the same as on page 11, item 26.5.(f). 15g This amount should be the same as on page 11, item 26.5.(g). 17. The applicant is the organization, not the person who signs as the authorized representative. Categories of debt include delinquent audit disallowances, loans, and taxes. 18 To be signed by the authorized representative of the applicant. A copy of - 01.12 - the governing body’s authorization for you to sign this application as official representative must be on file in the applicant’s office. Drug-Fr Workplace Certification Sign pages 3, 4, and 5 after reading all assurances and certifications. These must be signed by the same individual as page 1, item 18. These assurances apply to this application and subsequent modifications or amendments. ~ i ildin Enter at the top of each column the name and number of each building for which funding for a Technical Assistance (TA) study is being requested. If the TA study will be contracted out, expenses should be shown only on page 10 for contractual and possibly for “Other” which includes advertising costs for the solicitation and telephone calls related to the solicitation or subsequent contract. It is best to get bids for the budget from two or three firms to make sure that the budget is adequate. If the work is to be done by in-house personnel, the lead engineer will have to be approved by the program manager and receive training from the program. Detail the in-house costs by the different categories necessary. 24.1 Personnel. This is only direct charges for employees of the institution. If more than one position will be involved, an addendum giving position titles, tasks, rate of pay, and estimated hours may be necessary Number of hours can also be given as percent of time. Only hours worked after the effective date of the grant award can be included. Time sheets must be kept to document the hours daily. 24.2 Fringe. If personnel expenses are considered, the corresponding fringe must be included. Enclose an itemization of tne TA Application: 6/30 33 TA APPLICATION INSTRUCTIONS fringe benefit rate as backup. 24.3 Travel. Itemize all travel by employees of should correspond to information in Section 24.0, Budget Detail. the institution. Conferences and trips to 26.0 Section A - Budget Summary the Alaska Energy Programs office are not allowed. Travel by contractors should not be included here. It goes under 24.7. 24.4 Supplies/Materials. Itemize anticipated institution purchases for the TA study. (not by a contractor) 24.5 Indirect Costs. If the work is to be done by in-house personnel, indirect expenses may be charged at the rate approved by the cognizant agency for the applicant. If the applicant has no approved Indirect Cost Negotiation Agreement signed by the cognizant agency, contact the program manager at 564-9274. 24.6 Other. Include any allowable costs not specifically identified on other lines such as advertising or telephone costs and provide written justification. 24.7 Contractual. If an engineering firm will be hired to do the TA study, show the basis of the budgeted amount by giving a cost 1e/5e Federal Share. Normal grant funding is 50 percent of the project total. Enter 50 percent of the total project cost from section 27.6(k)(6) in the bottom right corner. Exception: If Economic Hardship funding is being requested, this amount may be greater than 50 percent. The funding formulas for different types of applications are shown below using the total project cost from item 27.6(k)(6). The percentage for hardship funding is from Section 23.3 on page 8. The Federal share is calculated as follows: Normal = (.50)x(6k) w/Hardship = (.50)x(6k) + (% from 23.3)x(6k) 1f/5f The difference between the amounts in items 6k and 1e. 1g/5g This total should equal the total in item 6k which should equal the total in item per square foot for performing the study 15g on page 1. without including transportation or per diem cost. Multiply this by the building 28.0 Technical Assistance Reporting gross square footage to determine the TA Requirements cost without including transportation or per diem. Add this to the transportation and per diem costs to give the total TA contractual cost. Page 11 27.0 Section B - Budget Categories Fill out this section first, and then go back to section 26.0, Section A - Budget Summary. Use a separate column for each building as in section 24.0. Transfer the appropriate line item totals from section 24.0 on pages 9 and 10 to the corresponding line items here. The columns and information in each column - 01.13 - The following Final Reports are due within 90 days of the completion of a TA study or the end date of the grant, whichever comes first: a) b) c) Two copies of the final TA study done by the TA analyst for each building; Financial Status Report (FSR), OMB Form 269 or equivalent; A report on the institution’s plans to implement operating and maintenance (O&M) procedures recommended in the TA study. TA Application: 6/30/93 ECM APPLICATION INSTITUTIONAL CONSERVATION PROGRAM STATE OF ALASKA GRANT APPLICATION FOR SCHOOLS AND HOSPITALS ENERGY CONSERVATION MEASURES (ECMs) REMINDERS: ub Has the authorized official signed each of the two copies in blue ink on pages 1, 3 and 4? Each copy submitted must have original signatures. 2; Have two copies of the Technical Assistance (TA) study been enclosed for each building for which Energy Conservation Measure (ECM) funding is requested? If the State already has copies, contact the State for a waiver. 3. Enclose a copy of the applicant’s Drug Free Workplace Certification. 4. If indirect costs are included, enclose a copy of the negotiated agreement approved by the Cognizant Agency. 5. If Economic Hardship Funding is requested, have available the most recent audit for verification of operating expenses. 6. If the Non-Federal funds are from shared savings and a contract has been signed for this financing, include a copy of the contract. Or, indicate if shared savings is being planned. APPLICATION DUE DATE: The original and one copy of this application must be submitted to the following address: Institutional Conservation Program Affordable Housing and Energy Efficiency Department Alaska Housing Finance Corporation 520 E. 34th Avenue Anchorage, AK 99503 Attn: Frank D’Elia 564-9274 This Application is composed of pages 1 through 13 with additional Instructions on pages 14 through 17. OMB Aocprovai No. 0348-0043 APPLICATION FOR on FEDERAL ASSISTANCE Apoucant identifier 1. TYPE OF suBMISSIONE 3. OATE RECEIVED BY STATE State Appiication identifier Applicauon : Preappucatzon OO Construction » © Construcuon 4. DATE RECEIVED BY FEDERAL AGENCY | Fecerai dentitier [A Non-Construction (C0 Non-Construction S$. APPLICANT INFORMATION { | Lega! Name: Organwzationai Unit: Address (give city. county, state. and 21D code): Name and teeonone number of the person to be contacted on matters involving thts appucauon (give area code) 6 EMPLOYER IDENTIFICATION NUMBER (EIN}: 7. TYPE OF APPLICANT: (enter appropmate /etter in box) ete eee ey lela B. County |. State Controtied insutution of Higher Learning C. Mumepet J. Private University & TYPE OF APPLICATION: 0. Townsmp Indian Tribe . EX New © Continuanon O Revision E interstate L indmduai . F intermumcpai M. Profit Orgamzauon tt Revision. enter aporoonate ietter(s) im boxes): oO | G. Soeciai Oistnet N. Other (Soecity) A increase Award 8. Decrease Award C. Increase Ouration ©. Oecrease Ouration Other (specify): ee §. NAME OF FEDERAL AGENCY: US Department of Energy SLAP, Seattle, WA 11. OESCRIPTIVE TITLE OF APPLICANT'S PROJECT: Installation of Energy Conservation Measures me, Institutional Conservation Program (ECMs) under the Institutional Conservation Program as listed in this application and 12. AREAS AFFECTED BY PROJECT (c/Nes. counnes. states. etc. ): detailed in each TA study on buildings iden- tified in this application. Economic hard- ship funding is is not requested. TA credit is _is not requested. ECM [12 PROPOSED PROJECT. _—_—_—_—_| 14. CONGRESSIONAL DISTRICTS OF. credit is is not requested. @ Apoucant ¢ D. Proyect Peet it 16. 1S APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE OROER 12372 PROCESS? & YES. THIS PREAPPLICATION/APPLICATION WAS MADE AVAILABLE TO THE STATE EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON: Dept. Community & Reg. Affairs will comply with c State b NO. ([] PROGRAM IS NOT COVERED BY EO. 12372 d. Locat PT (1) OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR REVIEW t Program income eee 17. 1% THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT? tt "Yes." No elie eckenkeonkail hastened 18. TO THE BEST OF MY KNOWLEDGE ANO SELIEF. ALL DATA IN THIS APPLICATION/PREAPPLICATION ARE TRUE ANO CORRECT. THE DOCUMENT HAS BEEN OULY AUTHORIZED BY THE GOVERNING BOOY OF THE APPLICANT ANO THE APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCES IF THE ASSISTANCE IS AWARDED a Typed Name of Authonzed Representatve OMe ¥ a» 34 - D2.1 - ECM Saree “Rr ECM APPLICATION OMB Approval No. 0348-0040 19.0 ASSURANCES - NON-CONSTRUCTION PROGRAMS Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency. As the duly authorized representative of the applicant | certify that the applicant: 1. Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non-Federal share of project costs) to ensure proper planning, management and completion of the project described in this application. 2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. 3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. Sections 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM’s Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F). 6. Will comply with all Federal statutes relating to nondiscri- mination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. Sections 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. Section 794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. Sections 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. Section 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the requirements of any other nondiscrimination statute(s) which may apply to the application. 7. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons - D2.2 - displaced or whose property is acquired as a result of Federal or federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. 8. Will comply with the provisions of the Hatch Act (5 U.S.C. Sections 1501-1508 and 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. Sections 276a and 272a-7), the Copeland Act (40 U.S.C. Section 276c and 18 U.S.C. Section 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. Sections 327-333), regarding labor standards for federally assisted construction subagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients ina special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. 11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. Sections 1451 et seq.); (f) conformity of Federal actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Section 7401 et seq.); (9) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93-205). 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. Sections 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification end protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.). Standard Form 4248 (4-88) Prescribed by OMB Circular 4 102 ECM APPLICATION: 6/30/93 ECM APPLICATION 14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm-blooded animals held for research, teaching, or other activities supported by this award of assistance. 16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. Sections 4801 et seq.) which prohibits the use of lead based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1984. 18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program. ADDITIONAL REQUIREMENTS REQUIRED BY 10 CFR PART 455: 19. Meets the eligibility requirements set forth in 10 CFR 455.41 and 455.51 (concerning applications for technical assistance and energy conservation measures, respectively). 20. Has or will satisfy the requirements set forth in 10 CFR 455.60, published in the Federal Register of April 30, 1985, and listed as Applicant Responsibilities. - 02.3 - 21. Has implemented and will continue to implement all energy conservation operating and maintenance changes identified in an energy use evaluation (for applications for technical assistance), or identified in an energy use evaluation and technical assistance study, (for applications for energy conservation measures), WITH EXCEPTIONS LISTED IN ITEM 21.8. 22. Will expend funds granted under 10 CFR 455 for the purpose stated in this application and in compliance with the requirements of 10 CFR Part 455 and approved State Plan. 23. Has or will obtain from the technical assistance analyst, prior to the analyst performing work in connection with a technical assistance study or energy conservation measure, a signed statement certifying that the technical assistance analyst has no conflicting financial interest and is otherwise qualified to perform the functions of a technical assistance analyst in accordance with the requirements set forth in the State Plan. 24. Will comply will all reporting requirements contained in 10 CFR 455.63. 25. Will not enter into any project having a total cost of more than $5,000, and construction contract or subcontract in excess of $2,000 using any grant funds awarded that does not include contract labor standards provisions set forth in 29 CFR 5.5 and @ provision for payment of laborers and mechanics at the minimum wage rate determined by the Secretary of Labor in accordance with the Davis-Bacon Act (40 U.S.C. 276a) as set forth in 29 CFR Part 1. For the purpose of this section “project” means an undertaking to acquire and install one or more energy conservation measures in a building. 26. Will provide the required matching non-Federal funds, including in-kind contributions (limited to the goods and services described in the Department of Energy Financial Assistance Rules, 10 CFR Part 600), and assure that such funds or contributions are directly related to the project. Note: Signature of this form indicates that the applicant agrees to all assurances outlined in items 1-18 and items 19-26 (as contained in 10 CFR Part 455). SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE APPLICANT ORGANIZATION (907). DATE SUBMITTED TELEPHONE WUMBER Standard Form 4248 (4-88) Prescribed by OMB Circular A-102 ECM APPLICATION: 6/30 33 ECM APPLICATION DOE F 1600.5 (5-85) 20.0 U.S. Department of Energy —___Assurance of Compliance 1. Nondiscrimination in Federally Assisted Programs. The Applicant whose name is given at the end of this Assurance (Hereinafter called the “Applicant") HEREBY AGREES to comply with Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352), Section 16 of the Federal Energy Administration Act of 1974 (Pub. L. 93-275), Section 401 of the Energy Reorganization Act of 1974 (Pub. L. 93-438), Title IX of the Education Amendments of 1972, as amended, (Pub. L. 92-318, Pub. L. 93-568, and Pub. L. 94-482), Section 504 of the Rehabilitation Act of 1973 (Pub. L. 93-112), the Age Discrimination Act of 1975 (Pub. L. 94- 135), and Title VIII of the Civil Rights Act of 1968 (Pub. L. 90-284), the Department of Energy Organization Act of 1977 (Pub. L. 95-91), and the Energy Conservation and Production Act of 1976, as amended, (Pub. L. 94-385). In accordance with the above laws and regulations issued pursuant thereto, the Applicant agrees to assure that no person in the United States shall, on the ground of race, color, national origin, sex, age, or handicap, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity in which the Applicant receives Federal assistance from the Department of Energy. 2. Applicability and Period of Obligation. In the case of any service, financial aid, covered employment, equipment, property, or structure provided, leased, or improved with Federal assistance extended to the Applicant by the Department of Energy, this assurance obligates the Applicant for the period during which Federal assistance is extended. In the case of any transfer of such service, financial aid, equipment, property, or structure, this assurance obligates the transferee for the period during which Federal assistance is extended. If any personal property is so provided, this assurance obligates the Applicant for the period during which it retains ownership or possession of the property. In all other cases, this assurance obligates the Applicant for the period during which the Federal assistance is extended to the Applicant by the Department of Energy. 3. Employment Practices. Where a primary objective of the Federal assistance is to provide employment or where the Applicant's employment practices effect the delivery of services in programs or activities resulting from Federal assistance extended by the Department, the Applicant agrees not to discriminate on the ground of race, color, national origin, sex, age, or handicap, in its employment practices. Such employment practices may include, but are not limited to, recruitment, recruitment advertising, hiring, layoff or termination, promotion, demotion, transfer, rates of pay, training end participation in upward mobility programs, or other forms of compensation and use of facilities. 4. Subrecipient Assurance. The Applicant shall require any individual, organization, or other entity with whom it subcontracts, subgrants, or subleases for the purpose of providing any service, financial aid, equipment, property, or structure to comply with laws cited above. To this end, the subrecipient shall be required to sign a written assurance form, however, the obligation of both recipient and subrecipient to ensure compliance is not relieved by the collection or submission of written assurance forms. 5. Data Collection. The Applicant agrees to compile and maintain information pertaining to programs or activities developed as a result of the Applicant’s receipt of Federal assistance from the Department of Energy. Such information shall include, but is not Limited to, the following: (1) the manner in which services are or will be provided and related data necessary for - 02.4 - OMB Control No. 1310-0400 determining whether any persons are or will be denied such services on the basis of prohibited discrimination; (2) the population eligible to be served by race, color, national origin, sex, age and handicap; (3) data regarding covered employment including use or planned use of bilingual public contact employees serving beneficiaries of the program where necessary to permit effective participation by beneficiaries unable to speak or understand English; (4) the location of existing or proposed facilities connected with the program and related information adequate for determining whether the location has or will have the effect of unnecessarily denying access to any person on the basis of prohibited discrimination; (5) the present or proposed membership by race, color, national origin, sex, age and handicap, in any planning or advisory body which is an integral part of the program; and (6) any additional written data determined by the Department of Energy to be relevant to its obligation to assure compliance by recipients with laws cited in the first paragraph of this assurance. 6. Access to Records. The Applicant agrees to submit requested data to the Department of Energy regarding programs and activities developed by the Applicant from the use of Federal assistance funds extended by the Department of Energy. Facilities of the Applicant (including the physical plants, buildings, or other structures) and all records, books, accounts, and other sources of information pertinent to the Applicant’s compliance with the civil rights laws shall be made available for inspection during normal business hours on request of an officer or employee of the Department of Energy specifically authorized to make such inspections. Instructions in this regard will be provided by the Director, Office of Equal Opportunity, U.S. Department of Energy. This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts (excluding procurement contracts), property, discounts or other Federal assistance extended after the date hereto, to the Applicant by the Department of Energy, including installment payments on account after such date of application for Federal assistance which are approved before such date. The Applicant recognizes and agrees that such Federal assistance will be extended in reliance upon the representations and agreements made in this assurance and that the United States shall have the right to seek judicial enforcement of this assurance. This assurance is binding on the Applicant, its successors, transferees, and assignees, as well as the person whose signature appears below and who is authorized to sign this assurance on behalf of the Applicant. NAME OF APPLICANT ADDRESS SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL 7- DATE SUBMITTED TELEPHONE NUMBER ECM APPLICATION: 6/30/93 ECM APPLICATION 21.0 Building D { Eligibility S Fill in the appropriate information and use the reference keys at the bottom of the page to identify the code to put in columns 21.2 and 21.3. Explain asterisked answers on pages 6 and 7. 21.4 21.5 21.6 21.7 Was Have ALl Energy Construction of Use Evaluation Have ALL Technical Will This Building Be This Building Recommended Assistance Study Closed, Disposed of, and Additions Operating and Recommended Or Have a Change of Building | Building | Completed Maintenance Operating and Use Within The Payback Before Changes Been Maintenance Changes Period of Any ECM Imp| emented? Been Implemented? Being Applied For? *Explain answers on Page 7, Section 21.9 **Explain "No" answers on Page 6, Section 21.8 «2 Building Type and Function Codes: 21.3 Building Owner Category Code: Elementary School B7 General Hospital A Public Secondary School B8 Tuberculosis Hospital 8B Private Non-Profit Col lege/University B89 Other Hospital (specify): C Indian Tribe or Native Village Vocational School Other School (specify): Note: A building or a building addition completed after April 30, 1989 is not eligible for Energy Conservation Measure (ECM) funding. However, a technical assistance (TA) study for a building completed before May 1, 1989 must include an addition built after this date. - 02.5 - ECM APPLICATION: 6/30/93 ECM APPLICATION 21.8 Justification for Non-implementation-of nd Maintenan M) Chan If any answers to 21.5 or 21.6 were "No", identify and address every O&M change that has not been implemented. See Page AQ of the Energy Use Evaluation or paragraph B4.9 of the ICP State Plan, Appendix B, for valid reasons for not having implemented recommended O&M changes. Use additional pages, if necessary. Number of Number of O&M from Expected O&M from Technical Date of Building Energy Use Assistance Reason(s) for O&M Implemen- Name/Number Evaluation Study Non-Implementation tation - D2.6 - ECM APPLICATION: 6/30/93 ECM APPLICATION 21.9 Building Additions or Changes If any questions from 21.4 were answered "No" or from 21.7 were answered "Yes", provide additional information below: Building Descriptions and Dates of Additions and "| Name/Number Building Changes and Proposed Changes , 5 ‘ - D2.7 - ECM APPLICATION: 6/30/93 ECM APPLICATION 22.0 Narrative 22.1 Are any buildings more than 50 years old or have any of these buildings been listed on the National Register of Historic Places? ___No ___Yes: If yes, indicate which building(s) and refer to Page 2, Item 13: Prepare Request for Qualifications (RFQ Ae Solicitation For Design (RFQ a} Review Bids/Negotiate Design Contract q-2mo) 14 Veit IL I] TAL Award and Approve Design Contract | (1-2mo.) _| Start and Complete Prelimin Design | (2-6 mo.) _| Institution Review/Approval Final Design and Bid Specs Bid Period for Installation of ECMs Select and Finalize Contracts 1-2 mo.) Begin and End ECM Installation 1 mo. - ? * The start date may not be earlier than the date this application is received by the State of Alaska Department of Community and Regional Affairs, Division of Energy, 23.0 Economic Hardship Funding 23.1 Is Economic Hardship funding requested as a part of this grant? Yes No If no, skip to Section 24.0 below. If yes, contact the program manager at 564-9274. 23.2 _ If Yes, provide the Applicant's total energy expenses divided by the total operating expenses (for all buildings and programs) for the most recently audited fiscal year. A copy of the appropriate audit material may be requested by the State. Total Energy Expenses = $ sx 100 = Total Operating Expenses $ Percent Score 23.3Economic Hardship Funding above the 50 percent funding level may be requested in this application's budget up to the percentage corresponding to the Percent Score from 23.2 above: fp S ; Then H hip Fund 0to4.9% 0% 5.0to9.9% 10% 10.0 to 14.9% 20% 15.0to 19.9% 30% Over 20.0% 40% -D2.11- EC ECM APPLICATION 24.0 Budget Detail By Building Provide budget detail for all expenses by building. The totals for each category should be transferred by building to the corresponding Object Class Categories on page 12, Section 28.0. Name /Numbe: No. of Hours Rate of fits ee = Trips Loe Per Die: Other: Total Travel ~ ~~ 24.5 ae rial Total Supplies/ Materials - D2.9 - ECM APPLICATION: 6/30/93 ECM APPLICATION 24.0 Budget Detail By Building, Continued Building Number WN Credit Square Feet Square Foot da TA my In me] wy 24.7 Contractual For ECM _ Design = lation fame | tallation So { } tallatio heanaieiay stallatio ~ | Ai TTT . Advertising, 8 5 IS a + Indirect Rate El a a on x Cognizant Agency For Indirect Rate - D2.10 - ECM APPLICATION: 6/30/93 ECM APPLICATION 25.0 Credit For Completed Technical Assistance Study 25.1 Is credit for a TA study, completed solely at the Applicant’s expense, without the use of Federal funds, requested? Yes No 25.2 If Yes to 25.1, provide the following information: *Show the Total Amount in a separate column in Section 30.0, Page 13. 26.0 Credit for Completed Energy Conservation Measures (ECMs) 26.1 Is credit for ECM work, completed solely at the Applicant’s expense, without the use of Federal funds, requested? Yes No 26.2 If Yes to 26.1, indicate the building names and the individual ECM numbers from Section 28.0, Table IX, for the appropriate building. Show the total cost for previously completed ECMs by building in separate columns in Section 30.0, Page 13. 27.0 Non-Federal Funds Show the source and total amount of all Non-Federal funds, including in-kind contributions, for all the buildings included in this application. Applicants must guarantee the availability of Non-Federal matching funds prior to the Department of Energy (DOE) awarding the grants. Source of 27.4 Will the Federal funds requested SUPPLEMENT rather than SUPPLANT Non-Federal funds? Yes No: If No, Explain: 27.5 Do the answers to 27.1 - 27.4 apply to all buildings listed in Section 21.1? Yes No: If No, Explain: - 02.11 - ECM APPLICATION: 6/30/93 ECM APPLICATION 28.0 PART 1 FOR TABLE IX | = Implementation Costs Future Costs | EM Acquisition | Material Labor | Estimated | O&M | Salvage Disposal | Cost Cost Cost Total Cost Value Cost (a) (b) (c) Cost a+ + b +c) - D2.12 - ECM APPLICATION: 6/30/93 ECM APPLICATION 28.0 Part 2, Table IX SUMMARY OF ECM SAVINGS AND COSTS WITH INTERACTION TO BE IMPLEMENTED THROUGH ICP Estimated Payback Years Total Savings To Total Savings Ratio Cost (c+d+e) $ (e) [ecm [or crnton a - 02.13 - ECM APPLICATION: 6/30/93 ECM APPLICATION 29.0 Budget Summary - Section A Fill out 30.0, Section B - Budget Categories first by taking the information from pages 9 and 10. Put 50 percent of the Total from 30.(6)k into column 29.(e) and 50 percent into column 29.(f) of rows 29.1 and 29.5 and total these amounts again in column 29.(g). If economic hardship is requested, contact the ICP manager at 564-9274. 30.0 Budget Categories - Section B Transfer the amounts from pages 9 and 10 of Section 24.0 with a separate column for TA or ECM credit requests on page 11 and for each building. OMB Approval No. 0348-0044 SECTION A - BUDGET SUMMARY Grant Program Federal Function or Catalog No. Activity (a) SECTION B - BUDGET CATEGORIES Grant Program, Function or Activity (Building Name/No.) Prescribed by OMB Circular A-102 - D2.14- ECM APPLICATION: 6/30/93 ECM GRANT APPLICATION INSTRUCTIONS Page 1, Standard Form 424 Fill in information for the items listed below gnly. Use a blue pen or typewriter. The following information is provided for the required items: Item No. 2 Date application submitted to State. 5 Legal name of applicant/recipient (such as: Kodiak Borough School District), name of primary organizational unit which will undertake the assistance activity, complete address of applicant, and name and telephone number of person who can provide further information about this application. 6 Number assigned by IRS. 7 Enter the appropriate letter in the space. 11. Mark an "x" by the appropriate words. 12 Name the largest political entities affected such as state, a borough, or a city. 13. These dates should correspond to the dates on page 8, item 22.2. 15a This amount should be the same as on page 13, item 29.5.(e). 15b This amount should be the same as on page 13, item 29.5.(f). 15g This amount should be the same as on page 13, item 29.5.(g). 17 ‘The applicant is the organization, not the person who signs as the authorized representative. Categories of debt include delinquent audit disallowances, loans, and taxes. - D2.15 - 18 To be signed by the authorized representative of the applicant. A copy of the governing body’s authorization for you to sign this application as official representative must be on file in the applicant's office. Pages 2, 3, and 4, Assurances. Sign both pages 3 and 4 after reading all assurances. These must be signed by the same individual as page 1, item 18. These assurances apply to this application and subsequent modifications or amendments. Pages 9-10, Budget Detail by Building All costs shown in Sections 24.1 through 24.9 for ECM projects must be included in the simple payback calculation in Section 28.0, page 12. Enter at the top of each column the name and number of each building for which ECM funding is being requested and for which a Technical Assistance (TA) study has been completed. If TA or ECM credit is being requested, use a separate column for each by building. 24.1 Personnel. This is only direct charges for employees of the institution. Number of hours can also be given as percent of time. If volunteer labor is charged, it can only be valued at a rate consistent with similar work in other activities of the grantee or the going rate for that particular occupation in the community. Volunteer time must also be documented by position title, number of hours, rate per hour and task. Time sheets must be kept to document the time daily by ECM and building. Only hours worked after the effective date of the grant award can be included. 24.2 Fringe. If personnel expenses are considered, the corresponding fringe must be included. Enclose an itemization of the fringe benefit rate as backup. 24.3 Travel. Itemize all travel by employees of the institution. Conferences and trips to the ICP program office are not allowed ECM APPLICATION: 6/30/93 ECM GRANT APPLICATION INSTRUCTIONS 24.4 24.5 24.6 24.7 24.8 24.9 Travel by contractors should not be included here. It goes under 24.7. Equipment. Itemize anticipeted equipment purchases. Use more space if required. Do not list equipment to be purchased by a contractor. This should be included under 24.7. Costs for the installation of leased equipment or costs for monthly lease charges for equipment installed as part of the ECM project are not allowable. Supplies/Materials. Itemize anticipated institution purchases (not by a contractor). Credit for a TA Study. If a Technical Assistance (TA) study was completed with no grant assistance under this program, up to 50 percent of the cost of the TA study can be credited toward the required match by the applicant for this ECM application. Contact the program manager at 564-9274, if this credit can be used. Contractual. Any tasks not performed by an employee of the applicant should be included here. Estimated personnel/labor, travel, equipment, material, and subcontracting costs of a contractor should be shown with the costs allocated to either design or acquisition/installation for each ECM separately. The acquisition/installation is the total of the labor and materials as shown on page 12, item 28.0. Other. Include any allowable costs not specifically identified on other lines such as advertising or telephone costs and provide written justification. Indirect Costs. If work is to be done by in-house personnel, the indirect rate can be applied to all costs except contractual. If Indirect expenses are to be charged and the applicant has no approved Indirect Cost Negotiation Agreement signed by the cognizant agency, contact the program manager at 564-9274. Page 11 25.0 26.1 26.2 - D2.16 - TA Credit. If a TA study has been completed with no grant funds from this program and credit is desired, contact the contact the program manager at 564- 9274. Copies of all supporting TA cost documents must be submitted with the application. ECM Credit. For credit, a previously completed ECM must meet the following criteria: a) The ECM for which credit is requested must have been performed on the same building for which funding for the new ECM(s) is requested; b) The ECM must have been recommended in the approved TA study for that building; c) The TA study must have been conducted prior to the commencement of work on the credit ECM; d) The ECM must meet the requirements of the Alaska ICP State Plan dated June 30, 1993; e) All financial and engineering records for the completed ECM must be retained for 3 years; f) The funds used to implement the ECM must not have been Federal funds, excluding revenue sharing. ECM Credit Costs. Copies of all supporting cost documents for the ECM credit must be submitted with this application. Original copies must be retained and available for inspection by the U.S. Department of Energy. The Federal and State grant funding cannot exceed 100 percent of the cost of the new ECM project. ECM APPLICATION: 6/30/93 ECM GRANT APPLICATION INSTRUCTIONS Page 14 Pages 12 and 13 28.0 Table IX. This form should be completed by the TA analyst as a part of the TA Study. It should include all costs shown on pages 9 and 10 of the budget detail. A separate Table |X should be completed for each building. If credit is requested for previously completed ECMs, these ECMs must be included. 30.0 Section B - Budget Categories Fill out this section first, and then go back to section 29.0, Section A - Budget Summary. Use a separate column for each building as in section 24.0. Transfer the appropriate line item totals from section 24.0 on pages 9 and 10 to the corresponding line items here. If TA or ECM credit is requested, use a separate column heading. The columns and information in each column should correspond to information in Section 24.0, Budget Detail. 29.0 Section A - Budget Summary 1e/S5e Federal Share. Normal grant funding is 50 percent of the project total. Enter 50 percent of the total project cost from section 30.6(k)(6) in the bottom right corner. Exception: If Economic Hardship funding or TA credit or ECM credit are being requested, this amount may be greater than 50 percent. The funding formulas for different types of applications are shown below using the total project cost from item 30.6(k)(6). The percentage for hardship funding is from Section 23.3 on page 8. The Federal share is calculated as follows: Normal = (.5) x (6k) W/Hardship = (.5)x(6k) + (% from 23.3)x(6k) ECM or TA Credit w/Hardship = [(.5)x(6k)] + [(% from 23.3) x (6k - cost of credits)] 1f/5f The difference between the amounts in items 6k and 1e. 1g/5g This total should equal the total in item 6k which should equal the total in item 15g on page 1. 31.0 Energy Conservation Measure (ECM) Project Reporting Requirements 31.1 31.2 31.3 - D2.17 - Two copies of the semi-annual reports are due every July 31st for the preceding period January 1 to June 30 and every January 31st for the preceding period July 1 to December 31 until the project is complete. The following are the reports: a) Financial Status Report (FSR), OMB Form 269 b) Progress report which shall detail and discuss milestones accomplished, those not accomplished, status of in- progress activities, and remedial actions if needed to achieve project objectives. Grants over $120,000 - Federal Share One copy of a Report of Federal Cash Transaction, SF-272, is due fifteen days after the end of the following quarters: September 30, December 31, March 31, and June 30 directly to the U.S. Department of Energy, Seattle, Washington. If no advance payments are desired, the grantee may request DOE to waive this reporting requirement. The Final Reports required under 31.4 may be submitted in lieu of the July 31st semi-annual report if the project is completed by the previous April 30th, or in lieu of the January 31st semi-annual report if the project is completed by the previous October 31st. ECM APPLICATION: 6/30/93 ECM GRANT APPLICATION INSTRUCTIONS 31.4 31.5 31.6 The following Final Reports are due within 90 days of the completion of a project or the end date of the grant, whichever comes first: a) Financial Status Report (FSR), OMB Form 269 b) Final report narrative and the following information: 1. A list and description of each ECM acquired and installed; 2. The actual cost of each ECM; 3. The projected simple payback period for each ECM using the actual cost figures divided by the estimated dollar savings and also for all the ECMs as a whole funded under the grant; 4. A statement that the completed ECMs conform to the approved grant application; 5. A property inventory; 6. A copy of the latest financial audit report or a statement as to when an audit will be performed. Annual Energy Use Reports By August 29th of the three years following the completion of an ECM grant project, annual energy use reports are due for the preceding 12-months from July 1 to June 30th. These reports may be prepared on forms provided and shall provide energy use by building, when possible, for all fuel sources. Two copies of all reports and payment requests should be submitted to: Institutional Conservation Program Affordable Housing and Energy Efficiency Department Alaska Housing Finance Corporation 520 E. 34th Avenue Anchorage, AK 99503-4199 - 02.18 - ECM APPLICATION: 6/30 33 INSTITUTIONAL CONSERVATION PROGRAM ALASKA STATE PLAN APPENDIX E: GENERAL SCHEDULE OF ICP EVENTS STATE OF ALASKA Department of Community and Regional Affairs Division of Energy 333 West Fourth Avenue, Suite 220 Anchorage, AK 99503 (907) 269-4631 July 1, 1994 to June 30, 1995 INSTITUTIONAL CONSERVATION PROGRAM The Institutional Conservation Program (ICP) offers grants for e detailed energy audits called technical assistance (TA) studies ¢ building installations or modifications called energy conservation measures (ECM). This document outlines how to participate in the program. Note that dates are subject to change and notice. Contact the ICP manager in Anchorage at 269-4631 for more details and application forms. APPLYING FOR A TECHNICAL ASSISTANCE (TA) GRANT DATES Nov 1 to April 30 May 1 May 1 to 31 June 1 to July 31 August 1 ACTIVITY T T PP T . Applications are available to schools and hospitals for TA grant funding. Assistance in filling out the application and Energy Use Evaluation (EUE) form is provided by telephone or in the ICP office for all applicants requesting it. If applicants notify the ICP Manager early enough, it is sometimes possible to provide on-site assistance to applicants. Application preparation costs cannot be reimbursed by the program. TA APPLICATIONS DUE. Two copies of the application and, for each building, two copies of the EUE must be submitted. The application must be received by the program office by 4:30 pm. TA APPLICATION REVIEW. The applicant must respond to questions and requests for additional information during this review period. Applications are reviewed by the ICP manager then forwarded to the U.S. Department of Energy (USDoE) for final review and approval. Copies of the ICP funding recommendations forwarded to DOE are also sent to all applicants. USDOE TA GRANT REVIEW. USDOE completes its review of the TA grant applications submitted and recommended for funding by the Alaska ICP office. TA GRANT AWARD. Two copies of the Notice of Award are sent to each selected TA grant recipient. One copy must be signed and returned to the Department of Energy in Seattle, WA. The other copy is retained by the grantee. El COMPLETING THE TECHNICAL ASSISTANCE (TA) STUDY DATE June 15 to July 15 July 16 to Aug 31 Sept 1 to 30 Oct 1 to 31 Oct 1 to Nov 30 ACTIVITY GRANTEE SOLICITS TA ANALYST. The first step is to contact engineering firms or advertise for engineering firms to submit a letter of interest and a statement of qualifications. A sample Request for Qualifications (RFQ) and a sample contract between the grantee and selected engineering firm may be obtained from the ICP manager. At least three engineering firms must be contacted and at least two letters of interest and statements of qualifications must be received. This process can begin prior to the grant award date, but no commitment can be made before the date of the Notice of Award. No costs are allowed prior to the Notice of Award unless preaward costs requested in the application are provided in the grant award. The grantee can provide copies of their RFQ to the ICP office. SELECTION OF TAANALYST. After the grantee receives the Notice of Award, the three top ranked TA firms can be invited to walk through the buildings for an on-site inspection and interview. The final selection can then be made. NOTICE OF TA ANALYST SELECTION/CONTRACT NEGOTIATION. A Notice of Intent to Award must be sent to all respondents to the RFQ. The notice should identify the names and addresses of the selected firm and of each of the unsuccessful respondents. The final contract must be negotiated to the satisfaction of both parties. Negotiations should establish a fixed contract cost for each building. If satisfactory terms are not reached, the Notice of Intent to Award is canceled and reissued listing the next highest ranking firm as the successful respondent. Negotiations would then proceed with this firm. TA ANALYST TRAINING. After the TA analyst contract has been approved, the analyst must schedule training for all the analyst team members with the ICP office. This training takes from 3 to 5 hours, and may be provided at the analyst's location. The grantee may attend this meeting to better understand what the current requirements are for the TA study. DRAFT TA STUDY BEGINS. It may take from two to four months for the TA analyst to complete the final draft study. The timing should be planned to allow this work to start as early as possible. By starting in September or October, the building may be viewed before the outside is covered with snow. By November it can be observed how the building performs in cold weather. E2 Nov 30 Dec 1 to Jan 31 Feb 1 to 28 FINAL DRAFT TA STUDY DUE. The TA analyst must provide a copy of the final draft TA study to the grantee and ICP manager for review and critique. The final draft must be a complete TA study except for Table IX. ICP AND GRANTEE REVIEW OF FINAL DRAFT TA STUDY. The ICP manager and the ICP consultant engineer critique the final draft and provide a written summary to the TA analyst and grantee. The final TA study must be prepared to address all these comments. The grantee will decide from the recommended energy conservation measures (ECMs) which will be requested in their ECM grant application. For these ECMs, the TA analyst will complete the savings calculations with interaction between the ECMs considered. This will be summarized in Table IX. FINAL TA STUDY SUBMITTED. The final TA Study must be submitted to the Grantee by the analyst in the number of copies required by the contract. It is the responsibility of the grantee to ensure that the ICP manager gets three copies. TA GRANT CLOSEOUT. Once the final TA study is approved and accepted by the ICP manager, a final billing can be submitted by the grantee. Upon receipt of final payment, the grant will be closed. E3 APPLYING FOR AN ENERGY CONSERVATION MEASURE (ECM) GRANT DATE Feb 1 to April 30 April 30 May 1 to 31 June 1 to July 31 Aug 1 ACTIVITY PREPARE ECM GRANT APPLICATION. Applications are provided by the ICP office when requested. Application assistance can be provided by telephone, and in some cases on-site. Three copies of the TA study must be included with the application unless already provided to the ICP manager. The applicant must provide 50 percent of the project funding identified in the grant application. No ECM application preparation costs can be paid from any ICP grant. ECM GRANT APPLICATION DUE DATE. The ECM grant application must be received in the ICP office by 4:30 pm. A Notice of Award may provide for reimbursement of ECM design or installation costs incurred/obligated after the application submittal if the application identified the anticipated costs and requests these preaward costs. This should not be pursued without prior consultation with the ICP manager. ECM APPLICATION REVIEW. The applicant and the TA analyst must respond to questions and requests for additional information during this review period. The application and TA study are reviewed by the ICP manager and the ICP consultant engineer then forwarded to the U.S. Department of Energy (USDOE) for final review and approval. Copies of the ICP recommendations to DOE for funding are sent to all applicants. USDOE ECM GRANT REVIEW. USDOE completes its review of the ECM grant applications submitted and recommended for funding by the Alaska ICP office. ECM GRANT AWARD. A Notice of Award is sent to each selected ECM grant recipient. One copy must be signed and returned to the Department of Energy in Seattle, WA. The other copy is retained by the grantee. E4 COMPLETING THE ENERGY CONSERVATION MEASURE (ECM) GRANT DATE June 1 to July 15 July 16 to 31 ACTIVITY ECM GRANTEE SOLICITS DESIGN ENGINEERING. Solicitation procedures for the selection of a design engineering firm is similar to those used for selecting a TA analyst. If an “option to renew" clause is included in both the RFQ and the contract with the TA analyst, the grantee may exercise this option for the design of the ECM. In that case, the grantee does not need to solicit for the ECM design. The ICP manager has a sample Special Conditions section that can be used in the contract with the design firm to help ensure that all grant requirements are met. ECM DESIGN CONTRACT NOTICE OF AWARD AND CONTRACT NEGOTIATIONS. A notice of award must be sent to all respondents to the RFQ used for selecting the design firm. If the option to renew clause was used, the grantee will go right to the negotiations stage for the design contract. The grantee must report the three cost categories of design, installation labor, and materials for each ECM. The negotiations can determine whether these costs will be established by the contract or, if not, how costs will remain within budget. ES ENERGY CONSERVATION MEASURE (ECM) GRANTS: GENERAL GUIDELINES | P il The contract for ECM design should provide for the creation of bid documents used for the solicitation and selection of the contractor(s) to install the ECMs. The ICP manager has a sample Special Conditions section that can be used with the installation bid solicitation documents and resulting contract to help ensure that all grant requirements for the solicitation and contract are met. INSTALLATION BID SOLICITATION AND AWARD The solicitation can occur in a number of different ways, but standards for competition must be met. At least two bids must be received. If only one bid is received, the bid should be reissued. If this is not feasible, a special approval must be received from the Department of Energy. Normally, the lowest bid must be selected unless other selection criteria is identified in the bid document. Standard AIA contract forms may be used with special conditions added as attachments. INSTALLATION AND COMPLETION Installation of ECMs are scheduled by the grantee. Any grant extension must be requested in writing to the State ICP manager. Grant extensions of up to 18 months can be provided when necessary. FINAL REPORTS AND ANNUAL ENERGY USE REPORTS Final reports are due within 90 days after completion of ECM installations. For each of the following three years, the grantee is required to submit annual energy use data on forms provided by the State or in a similar format. GRANT CLOSE OUT The ECM grant is closed out upon final payment and submittal of all required documents. E6