Editorial Note on Part 420
Editorial Note: Nomenclature changes to part 420 appear at 64 FR 46114, Aug. 24, 1999.

§ 420.13 Annual State applications and amendments to State plans. ( a ) To be eligible for financial assistance under this subpart, a State shall submit to the cognizant Regional Office Director an original and two copies of the annual application executed by the Governor, including an amended State plan or any amendments to the State plan needed to reflect changes in the activities the State is planning to undertake for the fiscal year concerned. The date for submission of the annual State application shall be set by DOE.
( b ) An application shall include: ( 1 ) A face sheet containing basic identifying information, on Standard Form (SF) 424;
( 2 ) A description of the energy efficiency, renewable energy, and alternative transportation fuel goals to be achieved, including wherever practicable: ( i ) An estimate of the energy to be saved by implementation of the State plan;
( ii ) Why the goals were selected;
( iii ) How the attainment of the goals will be measured by the State; and
( iv ) How the program activities included in the State plan represent a strategy to achieve these goals;
( 3 ) With respect to financial assistance under this subpart, a goal, consisting of an improvement of 25 percent or more in the efficiency of use of energy in the State concerned in the calendar year 2012, as compared to the calendar year 1990, and may contain interim goals;
( 4 ) For the budget period for which financial assistance will be provided: ( i ) A total program budget with supporting justification, broken out by object category and by source of funding;
( ii ) The source and amount of State matching contribution;
( iii ) A narrative statement detailing the nature of State plan amendments and of new program activities.
( iv ) For each program activity, a budget and listing of milestones; and
( v ) An explanation of how the minimum criteria for required program activities prescribed in § 420.15 have been implemented and are being maintained.
( 5 ) If any of the activities being undertaken by the State in its plan have environmental impacts, a detailed description of the increase or decrease in environmental residuals expected from implementation of a plan defined insofar as possible through the use of information to be provided by DOE and an indication of how these environmental factors were considered in the selection of program activities.
( 6 ) If a State is undertaking program activities involving purchase or installation of materials or equipment for weatherization of low-income housing, an explanation of how these activities would supplement and not supplant the existing DOE program under 10 CFR part 440.
( 7 ) A reasonable assurance to DOE that it has established policies and procedures designed to assure that Federal financial assistance under this subpart will be used to supplement, and not to supplant, State and local funds, and to the extent practicable, to increase the amount of such funds that otherwise would be available, in the absence of such Federal financial assistance, for those activities set forth in the State Energy Program plan approved pursuant to this subpart;
( 8 ) An assurance that the State shall comply with all applicable statutes and regulations in effect with respect to the periods for which it receives grant funding; and
( 9 ) For informational purposes only, and not subject to DOE review, an energy emergency plan for an energy supply disruption, as designed by the State consistent with applicable Federal and State law including an implementation strategy or strategies (including regional coordination) for dealing with energy emergencies.
( c ) The Governor may request an extension of the annual submission date by submitting a written request to the cognizant Regional Office Director not less than 15 days prior to the annual submission date. The extension shall be granted only if, in the cognizant Regional Office Director's judgment, acceptable and substantial justification is shown, and the extension would further objectives of the Act.
( d ) The Secretary, or a designee, shall, at least once every three years from the submission date of each State plan, invite the Governor of the State to review and, if necessary, revise the energy conservation plan of such State. Such reviews should consider the energy conservation plans of other States within the region, and identify opportunities and actions that may be carried out in pursuit of common energy conservation goals.
[61 FR 35895, July 8, 1996, as amended at 62 FR 26727, May 14, 1997; 64 FR 46114, Aug. 24, 1999; 71 FR 57887, Oct. 2, 2006]