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§ 1606. Filing by Manufacturers; Listing of Appliances in the MAEDbS.

20 CA ADC § 1606BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS

Barclays Official California Code of Regulations Currentness
Title 20. Public Utilities and Energy
Division 2. State Energy Resources Conservation and Development Commission
Chapter 4. Energy Conservation
Article 4. Appliance Efficiency Regulations (Refs & Annos)
20 CCR § 1606
§ 1606. Filing by Manufacturers; Listing of Appliances in the MAEDbS.
(a) Filing of Statements.
Each manufacturer shall electronically file with the Executive Director through the MAEDbS a statement for each appliance that is sold or offered for sale in California. The statement shall contain all of the information described in paragraphs (2) through (4) of this subsection and shall meet all of the requirements of paragraph (1) of this subsection and all other applicable requirements in this Article.
The effective dates of this section shall be the same as the effective dates shown in section 1605.1, 1605.2 or 1605.3 of this Article for appliances for which there is an energy efficiency, energy consumption, energy design, water efficiency, water consumption, or water design standard in section 1605.1, 1605.2, or 1605.3 of this Article. For appliances with no energy efficiency, energy consumption, energy design, water efficiency, water consumption, or water design standard in section 1605.1, 1605.2, or 1605.3 of this Article, the effective date of this section shall be one year after they are added to section 1601 of this Article, unless a different effective date is specified.
EXCEPTIONS to Section 1606(a) of this Article: Section 1606(a) of this Article is not applicable to:
1. external power supplies,
2. small electric motors,
3. à la carte chargers meeting the EXCEPTION noted in section 1605.3(w)(2) of this Article, or
4. general service lamps.
(1) General Rules.
(A) Format and Categories. Each statement shall be in a format (including but not limited to computer formats) and in categories specified by the Executive Director.
(B) When Different Statements are Required. The Executive Director may establish, modify, and enforce schedules for the submittal of statements where it is reasonably necessary for orderly processing of submittals, for example when manufacturers or third parties often submit many statements simultaneously.
(C) Asterisks in Model Numbers. In filing any statement, the manufacturer may use asterisks as a substitute for letters, numbers, blanks, or other characters in the model number, provided that an asterisk (i) shall be used only for a part of the model number that does not indicate energy consumption, energy efficiency, water consumption, or water efficiency, or a design or feature affecting such efficiency or consumption; (ii) shall represent a single letter, number, blank, or other character at the asterisk's location in the model number; and (iii) shall not be used for any of the first four letters, numbers, blanks, or other characters in the model number.
(D) Different Functions. Except as provided in section 1606(a)(1)(G) of this Article, if the same appliance is sold or offered for sale as more than one type of appliance shown in Table X (for example, if the appliance can serve both water heating and pool heating functions), the manufacturer shall submit a separate statement for each model of that appliance type. Each appliance type for which a statement is submitted must match all the common identifiers shown in Table X.
(E) Multiple Statements. A manufacturer may electronically file statements through the MAEDbS for more than one appliance in a single submittal to the Executive Director. If a submittal contains statements for more than one appliance, there shall be only one statement for each appliance, except as provided in sections 1606(a)(1)(D) and 1606(a)(1)(G) of this Article. The Executive Director shall allow multiple statements to be submitted in the same electronic file under conditions she or he determines are reasonably necessary to ensure accuracy and compatibility with the MAEDbS.
(F) Split System Central Air Conditioners. The statement for split system air conditioners shall be for the combination of the compressor-containing unit and the non-compressor-containing unit tested under section 1604(c) of this Article.
(G) Combination Space-Heating and Water-Heating Appliances. Manufacturers of combination space-heating and water-heating appliances shall file two statements for each such appliance. The first statement shall contain the information listed in Table X for combination space-heating and water-heating appliances, and all other information shown in Table X for “all appliances;” and the second statement shall contain the information listed in Table X for the primary function of the appliance according to the determination required by sections 1605(e) and 1605(f) of this Article, and containing all other information shown in Table X for “all appliances.” Each appliance type for which a statement is submitted must match all the common identifiers shown in Table X.
(H) Portable Air Conditioners. A manufacturer shall file two statements for a single model of portable air conditioner if the model is sold or offered for sale in California with both single-duct and dual-duct configuration options. One statement shall be for the single-duct configuration, and the other statement shall be for the dual-duct configuration.
(2) Manufacturer Information.
(A) The name, address, telephone number, e-mail address, and, if available, fax number and URL (web site) address of the manufacturer; provided, however, that if a parent entity is filing on behalf of a subsidiary entity, if a subsidiary entity is filing on behalf of a parent entity, or if an affiliate entity is filing on behalf of an affiliate entity, then each entity shall be clearly identified and the information shall be provided for both entities.
(B) The name, address, telephone number, e-mail address, and, if available, fax number of the individual to contact concerning the statement pursuant to section 1606(a)(4) of this Article. There shall be only one individual to contact for each category (box) in the “Appliance” column of Table X, except that the individual may, during his or her absence, delegate his or her duties in this regard.
(C) The name, address, telephone number, e-mail address, and, if available, fax number of the person signing the declaration pursuant to section 1606(a)(4) of this Article.
(3) Testing and Performance Information.
(A) A statement that the appliance has been tested in accordance with all applicable requirements of sections 1603 and 1604 of this Article. If section 1604 of this Article provides more than one test method that may be used, the manufacturer shall identify which method was used.
EXCEPTION 1. to Section 1606(a)(3)(A) of this Article:
For state-regulated compressors, the manufacturer shall submit a statement that the appliance has been tested in accordance with all applicable requirements of sections 1603 and 1604 of this Article, or that the appliance has been rated according to an alternative efficiency determination method (AEDM) in accordance with all applicable requirements of section 1604(s) of this Article.
(B) The name and address and, if available, telephone number, fax number, URL (web site) address, and e-mail address of the laboratory or other institution where the testing required by sections 1603 and 1604 of this Article was performed.
(C) The applicable information listed in Table X; provided, however, that submittal of information marked with “1” is voluntary for federally regulated appliances, and that submittal of information marked with “2” is voluntary for state-regulated appliances. Where there is text in the “Permissible Answers” column, the information provided must be one of the answers shown. If the text in the “Permissible Answers” column states “other (specify),” the information provided must be a specific response for the “Required Information” category (e.g., a response of “other” is not acceptable).
EXCEPTION 1. to Section 1606(a)(3)(C) of this Article:
If an appliance has an alternative test procedure pursuant to section 1603(c)(1) of this Article, or an alternative assessment method specified pursuant to section 1603(c)(2)(A) of this Article, then the statement shall include:
(1) the following information from Table X: Manufacturer's Name, Brand Name, Model Number, and Regulatory Status; and
(2) all information from Table X that is applicable to the appliance and that is produced during the alternative test procedure or the alternative assessment method; and
(3) all other energy performance information produced during the alternative test procedure or the alternative assessment method.
EXCEPTION 2. to Section 1606(a)(3)(C) of this Article:
If the Executive Director has specified that there is no test method for an appliance pursuant to section 1603(c)(2)(B) of this Article, then the statement shall include the following information from Table X: Manufacturer's Name, Brand Name, Model Number, and Regulatory Status.
EXCEPTION 3. to Section 1606(a)(3)(C) of this Article:
Manufacturers of state-regulated LED lamps and LED versions of state-regulated small-diameter directional lamps may certify estimated values for rated lifetime until testing per section 1604 is complete. When reporting estimated values, the certification report shall describe the prediction method, which must be generally representative of the methods specified in 10 C.F.R. Appendix BB to subpart B of part 430, “Uniform Test Method for Measuring the Input Power, Lumen Output, Lamp Efficacy, Correlated Color Temperature (CCT), Color Rendering Index (CRI), Power Factor, Time to Failure, and Standby Mode Power of Integrated Light-Emitting Diode (LED) Lamps.” Manufacturers shall maintain records of the development of all estimated values and any associated initial test data. Manufacturers shall update the certification in the MAEDbS upon completion of the required test procedures for rated lifetime.
(D) How Tested Data Must Be Reported.
1. For any numerical value required by Table X that is produced by a test specified in section 1604 of this Article, the reported value shall be no higher for the value for which the consumer would prefer a high number, and no lower for the value for which the consumer would prefer a low number, than the values obtained by testing; unless different specific instructions are specified in the test method specified in section 1604 of this Article.
2. For any numerical value required by Table X that is produced by calculation from measured numerical test results, the reported value shall be no higher for the values where the consumer would prefer a high number than the exact result of the calculation, and no lower than the exact result of the calculation where the consumer would prefer a low number, than the values obtained by calculating, unless different specific instructions are specified in the test method specified in section 1604 of this Article.
3. Manufacturers may report:
a. numbers higher than tested values, where the consumer would, all other things being equal, prefer lower values (or is indifferent); and
b. numbers lower than tested values, where the consumer would, all other things being equal, prefer higher values (or is indifferent).
Example: An air conditioner is tested using the appropriate test method specified in section 1604 of this Article, and the test method does not include specific instructions about the precision of reporting.
• Cooling capacity is measured as: 36,014 Btu per hour.
• For cooling capacity, consumers prefer higher values.
• The manufacturer may not report any value over 36,014 Btu per hour.
• The manufacturer chooses to report 36,000 Btu per hour.
• Electrical energy use is measured at 3,487 watts.
• For electrical energy use, consumers prefer lower values.
• The manufacturer may not report any value under 3,487 watts.
• The manufacturer chooses to report 3,500 watts.
• Using the data the manufacturer chooses to report, EER = 36,000/3,500 = 10.285714.
• For EER, consumers prefer higher values.
• The manufacturer may not report any value of EER over 10.285714 (if EER is reported with only one decimal place, the maximum value would be 10.2).
• The manufacturer chooses to report EER = 10.2 Btu per watt hour.
• If the manufacturer had chosen to report the cooling capacity as 36,014 Btu per hour, and the electrical energy use as 3,487 watts, the calculated EER would have been 36,014/3,487 = 10.328076. In this case the manufacturer could not report any value of EER over 10.328076 (if EER is reported with only one decimal place, the maximum value would be 10.3).
Table X
Data Submittal Requirements
(4) Declaration.
(A) Each statement shall include a declaration, executed under penalty of perjury of the laws of California, that
1. all the information provided in the statement is true, complete, accurate, and in compliance with all applicable provisions of this Article;
2. the requirements of section 1606(g) of this Article have been and are being complied with;
3. for appliances for which there is an energy efficiency, energy consumption, energy design, water efficiency, water consumption, or water design standard in section 1605.1, 1605.2, or 1605.3 of this Article, that the appliance complies with the applicable standards;
4. the appliance was tested under the applicable test method specified in section 1604 of this Article, and, for the following appliances, was tested as follows:
a. for other self-contained commercial refrigerators, refrigerator-freezers, and freezers with doors that are pass-through and roll-through refrigerators and freezers, that the back (loading) doors remained closed throughout the test;
b. for all refrigerators, refrigerator-freezers, and freezers were tested using alternating current electricity only;
c. for all split system central air conditioners and compressor-containing units, these models were tested with the combination of compressor-containing and non-compressor containing unit specified in 10 C.F.R. section 429.16(b)(2);
d. for all gas-fired air conditioners and gas-fired heat pumps, all appliances were tested to ANSI Z21.40.4-1996 as modified by CEC, Efficiency Calculation method for Gas-Fired Heat Pumps as a New Compliance Option (1996);
e. for evaporative coolers, all appliances were tested to the applicable test method referenced in Table D-3 with the modifications appearing in Table D-3;
f. for whole house fans, all appliances were tested to HVI-916, and if equipped with louvers were tested with manufacturer-provided louvers in place;
g. for battery charger systems for which certification is based on testing of representative battery charger system models, the models tested as representative are those known or expected to have the poorest performance characteristics such that the data generated meets the requirements of section 1606(a)(3)(D) of this Article for all associated models; and
h. for kitchen faucets that utilize an optional and temporary higher flow rate than 1.8 gpm, the higher flow rate has been tested utilizing the test procedure identified for kitchen faucets in section 1604(h) at 60 psi and verified to have a flow rate less than or equal to 2.2 gpm.
i. for state-regulated compressors that are rated using an alternative efficiency determination method (AEDM) in lieu of testing, that the represented value of efficiency, consumption, or other non-energy metrics for the basic model was determined through the alternative efficiency determination method specified in section 1604(s).
EXCEPTIONS to section 1606(a)(4)(A)4 of this Article: Section 1606(a)(4)(A)4 of this Article is not applicable to the following types of appliances that have no test methods found in section 1604 of this Article:
(1) federally regulated organic light emitting diode (OLED) lamps,
(2) federally regulated candelabra base incandescent lamps,
(3) federally regulated intermediate base incandescent lamps,
(4) traffic signal lamps,
(5) torchieres,
(6) portable luminaires showing compliance with Sections 1605.3(n)(3)(A)1., 1605.3(n)(3)(A)2., or 1605.3(n)(3)(A)5. of this Article, and
(7) self-contained lighting controls.
5. all units of the appliance are marked as required by section 1607 of this Article, and, for the following appliances, are marked as follows:
a. for all air conditioners, heat pumps, furnaces, boilers, and water heaters that are not subject to NAECA and that comply with the October 29, 2001 provisions in Tables 6.2.1 A through G of ASHRAE/IES Standard 90.1-1999, they are marked, permanently and legibly on an accessible and conspicuous place on the unit, with a statement that the equipment complies with the 2001 requirements of ASHRAE Standard 90.1;
b. for all other air conditioners, heat pumps, furnaces, boilers, and water heaters that are not subject to NAECA and that comply with the October 29, 1999 provisions (but not with the October 29, 2001 provisions) in Tables 6.2.1 A through G shall be marked, permanently and legibly on an accessible and conspicuous place on the unit, with a statement that the equipment complies with the 1999 requirements of ASHRAE Standard 90.1;
c. for all distribution transformers, each appliance has a label or nameplate which states “DOE Compliant” or equivalent;
d. for all illuminated exit signs meeting the criteria of section 1605.1(l) of this Article, each appliance is marked by the manufacturer with a block E inside a circle; the mark commonly referred to as “Circle E.” The size of the mark shall be commensurate with other markings on the sign, but not smaller than 1/4”;
e. for all torchieres, each unit of torchieres and each package containing a torchiere is marked, permanently and legibly on an accessible and conspicuous place on the unit, in characters no less than 1/8” on the inner surface of the reflector bowl of the torchiere, and 1/4” on the packaging, “LAMPS MUST TOTAL NO MORE THAN 190 WATTS-TORCHIERE IS NON-COMPLIANT IF IT IS ABLE TO DRAW MORE THAN 190 WATTS.”;
f. for commercial pre-rinse spray valves, each unit is marked, permanently and legibly on an accessible and conspicuous place on the unit, in characters no less than 1/8”, the flow rate of the unit, in gallons-per minute (gpm) at 60 psi;
g. for residential pool pumps, each pool pump is marked permanently and legibly on an accessible and conspicuous place on the unit, in characters no less than 1/4”, with the nameplate HP of the pump and, if manufactured on or after January 1, 2010, with the statement, “This pump must be installed with a two-, multi-, or variable-speed pump motor controller”;
h. for residential pool pump motors, each pool pump motor is marked permanently and legibly on an accessible and conspicuous place on the unit, in characters no less than 1/4”, with the pool pump motor capacity of the motor.
(B) If the manufacturer is a corporation, partnership, or other business entity, the declaration shall be electronically signed by an individual authorized to make the declaration and file the statement on behalf of the business entity, and the declaration shall contain an affirmation that the individual signing is so authorized.
(C) The declaration shall be submitted electronically through the MAEDbS and maintained by the Executive Director for a period of at least ten years, pursuant to the requirements in section 1606(j) of this Article.
(b) Review of Statements by the Executive Director.
In this subsection, “manufacturer” also includes a third party filing a statement under section 1606(f) of this Article.
(1) Determination. The Executive Director shall determine whether a statement is complete, accurate, and in compliance with all applicable provisions of this Article, and whether the appliance for which the statement was submitted complies with all applicable standards in sections 1605.1, 1605.2, and 1605.3 of this Article.
(2) Informing Manufacturer and Third Party of Determination.
(A) The Executive Director shall inform the manufacturer's MAEDbS-designated contact person or the third party's MAEDbS-designated contact person, as described in section 1606(f) of this Article, of the determination within 30 calendar days after receipt by the Executive Director.
(B) The Executive Director's determination shall be sent electronically through the MAEDbS to the manufacturer's MAEDbS-designated contact person.
(3) Nature of Determination.
(A) Statement is Incomplete. If the Executive Director determines that a statement is not complete, or that the statement does not contain enough information to determine whether it is accurate or whether the appliance complies with an applicable standard, the Executive Director shall return the statement through the MAEDbS to the manufacturer's MAEDbS-designated contact person with an explanation of its defects and a request for any necessary additional information. The manufacturer shall refile the statement through the MAEDbS with all information requested by the Executive Director. The Executive Director shall review the refiled statement according to the time limits in section 1606(b)(2) of this Article.
(B) Statement is Inaccurate or Appliance Does Not Comply. If the Executive Director determines that the statement is inaccurate or that the appliance does not comply with an applicable standard, the Executive Director shall reject the statement and return it through the MAEDbS to the manufacturer's MAEDbS-designated contact person with an explanation of its defects. The manufacturer may submit a revised statement through the MAEDbS for the appliance at any time.
(C) Statement is Complete and Accurate and Appliance Complies. If the Executive Director determines that the statement is complete and accurate and that the appliance complies with all applicable standards, the Executive Director shall immediately include the appliance in the MAEDbS and shall so inform the manufacturer's MAEDbS-designated contact person. (section 1608(a) of this Article states that no appliance within the scope of these regulations may be sold or offered for sale in California unless the appliance is in the MAEDbS.)
(c) Modernized Appliance Efficiency Database of Appliance Models.
(1) Creation of the MAEDbS. The Executive Director shall maintain a database known as the Modernized Appliance Efficiency Database (MAEDbS). The MAEDbS shall consist of two parts:
(A) ”Approved MAEDbS.” The Approved MAEDbS shall contain, at least, information on all appliances that are currently in production, for which complete and accurate statements have been received pursuant to section 1606(a) of this Article, and that have not been removed from the MAEDbS pursuant to sections 1606(c)(3), 1606(d)-(e), or 1608(c)-(e) of this Article.
If basic models are certified using an alternate test procedure established pursuant to section 1603(c)(1) of this Article or for which the Executive Director has made a specification under either section 1603(c)(2)(A) or section 1603(c)(2)(B) of this Article, the Approved MAEDbS shall contain a second section which shall contain only those basic models for which certification to an applicable alternate test procedure is made.
(B) “Archived MAEDbS.” The Archived MAEDbS shall contain, at least, information on all appliances that:
1. are no longer in production, for which complete and accurate statements have been received pursuant to section 1606(a) of this Article or
2. have been removed from the Approved MAEDbS pursuant to sections 1606(e)(2) or 1608(c) of this Article.
(2) Status of the MAEDbS. The MAEDbS is the directory published by the Energy Commission within the meaning of Title 24, California Code of Regulations, part 6, Subchapter 1, Section 100(h). The MAEDbS in existence on the effective date of this paragraph is the directory referred to in this paragraph, until that existing MAEDbS is modified by the Executive Director pursuant to this Article.
(3) Confirmation of the MAEDbS Listings. The Executive Director may, by electronically writing (either via e-mail or directly through the MAEDbS) to the most recent electronic address filed pursuant to section 1606(a)(2)(B) of this Article, request each manufacturer of an appliance listed in the MAEDbS to confirm the validity, or to correct in compliance with this Article, all of the information in each of its MAEDbS listings. If within 30 calendar days of the electronic mailing there is no such reply, the appliance shall be removed from the Approved MAEDbS and moved into the Archived MAEDbS, and it may be presumed that the appliance is no longer in production.
(A) If the lack of compliance with any requirements of this Article is strictly limited to non-compliance with standards adopted since the most recent filing by the manufacturer, after initially notifying the manufacturer under the requirements found in section 1606(c)(3) of this Article, all affected models will be moved from the Approved MAEDbS to the Archived MAEDbS without providing any additional electronic notice to the manufacturer. The effective date for moving such affected models to the Archived MAEDbS will be the effective date of the new standard.
(d) Assessment of Completeness, Accuracy, and Compliance of Manufacturer Statements.
(1) Notwithstanding any other provision of these regulations, the Executive Director may at any time challenge the completeness, accuracy, and compliance with the requirements of this Article, of any statement or confirmation filed pursuant to this Section. If the statement is incomplete or inaccurate, or if the Executive Director determines that the statement otherwise fails to comply with any of the requirements of this Article then he or she shall, ten working days after providing electronic notice via e-mail or directly through the MAEDbS to the person designated in section 1606(a)(2)(B) of this Article, remove the appliance from the MAEDbS described in section 1606(c) of this Article.
(A) If the lack of compliance with any requirements of this Article is strictly limited to non-compliance with standards currently in effect, but not in effect when the statement was filed, all affected models will be moved from the Approved MAEDbS to the Archived MAEDbS without providing any advance electronic notice to the manufacturer. The effective date for moving such affected models to the Archived MAEDbS will be the effective date of the new standard.
(e) Modified and Discontinued Appliances.
(1) If any of the characteristics listed in Table X are changed, the manufacturer shall file a statement containing the identifiers and all the information for the appliance, including all the characteristics that have been changed for the appliance. Upon receipt of such a statement, the Executive Director shall review the statement under section 1606(b) of this Article. If the statement is complete, accurate, in compliance with all applicable standards, the Executive Director shall modify the MAEDbS accordingly.
(A) If no data currently certified for a specific appliance has changed, no notification of modification is necessary, nor will it be accepted in MAEDbS.
(2) After any appliance has ceased being sold or offered for sale in California the manufacturer shall file a statement so stating and only containing the identifiers shown in Table X for the appliance. Upon receipt of such a statement, the Executive Director shall review the statement under section 1606(b) of this Article. If the statement is complete, accurate, and in compliance with all applicable provisions of this Article, the Executive Director shall move the appliance from the Approved MAEDbS to the Archived MAEDbS.
(A) Section 1606(e)(2) of this Article applies either when:
1. a manufacturer or third-party certifier provides information about deleting a model, or
2. Energy Commission Appliance Efficiency Program staff independent of any manufacturer or third-party certifier determine that an appliance has ceased being sold or offered for sale in California.
(3) If a manufacturer of a computer fails to obtain two ISV certifications within 60 days of certifying a computer model or loses ISV certifications such that the computer model no longer meets the definition of a workstation or mobile workstation, that manufacturer shall either file to remove the appliance from the database as described in Section 1606(e)(2) or shall modify the model certification as described in Section 1606(e)(1) to comply as a different computer type.
(f) Filing by Third Parties.
(1) A third party may file on behalf of a manufacturer the information required by sections 1606(a)(2), 1606(a)(3), 1606(a)(4), 1606(c)(3), or 1606(e) of this Article if:
(A) before or with its first submittal, the third party submits to the Executive Director through the MAEDbS a declaration, under penalty of perjury, that:
1. the third party has read and understood all the provisions of this Article, of federal law, and of all other documents applicable to each appliance category in sections 1601(a)-(w) of this Article for which the third party will file information, including but not limited to updated test procedures, standards and filing requirements; and
2. the third party is financially and technically capable of complying with the applicable provisions of this Article;
(B) before or with the first submittal made by the third party, the manufacturer submits to the third party and Executive Director through the MAEDbS:
1. a declaration under penalty of perjury,
a. that all information provided to the third party by the manufacturer is true, complete, accurate, and in compliance with all applicable provisions of this Article,
b. that no unmodified model data is being submitted,
c. that on behalf of the manufacturer, the third party is authorized to file information in compliance with the provisions of this Article, and
d. for appliances for which there is an energy efficiency, energy consumption, energy design, water consumption, water efficiency, or water design standard in section 1605.1, 1605.2, or 1605.3 of this Article, that the model complies with the current applicable standards.
(C) the third party submits to the Executive Director through the MAEDbS, in compliance with the requirements of this Article applicable to manufacturer-filed submittals:
1. the information that is required; and
2. a declaration under penalty of perjury that:
a. to the best of the third party's knowledge and belief, the information submitted to the Energy Commission is the same as the information submitted by the manufacturer to the third party;
b. the information is true, complete, accurate, and in compliance with all applicable provisions of this Article; and,
c. for appliances for which there is an energy efficiency, energy design, water consumption, or water efficiency standard in section 1605. 1, 1605.2, or 1605.3 of this Article, the appliance complies with the applicable standards.
(D) the third party provides, upon ten days' written notice from the Executive Director, all information provided by the manufacturer.
(2) Whether a manufacturer files information required by this Section by itself or via a third party, the manufacturer remains responsible for the truth, accuracy, completeness, and timeliness of all required filings.
(3) Upon a finding of noncompliance with an applicable provision of this Article, the Executive Director may suspend a third party from making filings, allow continued filings under specific conditions or remove affected appliances from the MAEDbS.
(4) If the Executive Director has suspended or revoked the approval of a trade association directory under section 1606(h)(2)(B) of this Article, that trade association is prohibited from being approved as a third party until it has obtained re-approval under section 1606(h)(2)(B) of this Article.
(5) The provisions of this Article are applicable to all submittals and filings, whether made by a manufacturer directly or by a third party on behalf of a manufacturer.
(g) Electronic Filing.
(1) Unless otherwise stated in this Article, the statements and other submittals required or allowed by this Article shall be filed electronically to the MAEDbS by all third parties acting under section 1606(f) of this Article so that the electronic filing to the MAEDbS uses a format and characteristics, including without limitation appropriate formatting, that are specified by the Executive Director, and includes a declaration that complies with section 1606(a)(4) of this Article.
(2) Any electronic filing to the MAEDbS constitutes a representation by the person making the filing that:
(A) all applicable requirements of this Article have been met;
(B) the person will electronically acknowledge receipt through the MAEDbS of all electronic communications concerning the filing from the Executive Director through the MAEDbS to the person;
(C) all electronic communications concerning the filing from the Executive Director through the MAEDbS to the person shall be deemed received by the person upon notification to the Executive Director, by the computer from which the Executive Director communication has been sent, that the communication has been sent; and
(D) all electronic communications concerning the filing from the person to the Executive Director shall be deemed received by the Executive Director only upon actual receipt.
(3) At any time the Executive Director may forbid electronic filings by any person, or generically, and may remove affected appliance models from the MAEDbS, if he or she finds that an applicable requirement of this Article is not being met.
(h) Trade Association Directories.
(1) A paper or electronic directory, or a part thereof, published by an appliance trade association may be used for any purpose that the MAEDbS established pursuant to section 1606(c) of this Article is used for, if the Executive Director approves the directory, or part thereof, by determining and confirming that:
(A) the trade association is an approved industry certification program within the MAEDbS and meets all requirements shown in section 1603(b) for each appliance listed in the directory;
(B) all of the applicable requirements of section 1606(f) of this Article for third party submittals are met for the directory;
(C) the entity submits to the Executive Director:
1. all of the information in the directory, within three working days of the approval of the directory;
2. all of the information in the directory that has changed since the previous submittal, at the end of each month during which there has been any change;
3. a declaration, signed under penalty of perjury of the laws of California, that to the best of the trade association's knowledge and belief:
a. the information in the directory is the same as the information submitted by manufacturers to the trade association;
b. the information is true, complete, accurate, and in compliance with all applicable provisions of this Article;
c. each appliance complies with the applicable standards in section 1605.1 of this Article; and
d. for any appliance for which there is a standard in section 1605.3 of this Article, that the appliance meets all applicable standards unless the directory states, in a format approved by the Executive Director (including without limitation font, type size, and placement in the directory), that it is illegal in California to sell the appliance or offer it for sale.
(D) for each appliance that is listed in a trade association directory, the directory includes all of the following information, where applicable to the appliance:
1. manufacturer 2. brand 3. model number as it appears on the appliance 4. type 5. fuel type 6. voltage 7. electrical phase 8. capacity or other size measurement 9. input 10. output 11. standby consumption, loss, or other similar measurement; and energy efficiency,
12. energy consumption, water efficiency, or water consumption;
(E) the directory contains no appliance in the following categories:
1. an appliance that fails to meet an applicable energy efficiency, energy consumption, energy design, water efficiency, or water consumption standard established in or pursuant to NAECA or EPAct;
2. an appliance for which the manufacturer has stated or certified that the appliance meets an energy efficiency, energy consumption, energy design, water efficiency, or water consumption standard not applicable to it; or
3. an appliance that does not, or an appliance whose manufacturer does not, meet an applicable requirement of this Article, unless the directory states, in a format approved by the Executive Director (including without limitation font, type size, and placement in the directory), that it is illegal in California to sell the appliance or offer it for sale; and
(F) each paper or electronic directory contains the following statement, in at least 20 point bolded type and on the front cover or first page, or in another format and with other characteristics as specified by the Executive Director:
“This directory [insert parts if appropriate] has been approved by the California Energy Commission (Energy Commission) for determining compliance with its appliance efficiency regulations (Title 20, California Code of Regulations, sections 1601-1609) and its building standards (Title 24, California Code of Regulations, part 6). UNLESS INDICATED OTHERWISE, any appliance listed in this directory [insert parts if appropriate] may be sold, offered for sale, or installed in new construction in California. For appliances manufactured by manufacturers participating in this directory, but who have not given authorization for data submittal to the Energy Commission, this directory cannot be used for determining compliance. For information about such appliances, appliances that are beyond the scope of this directory, or appliances produced by manufacturers who do not participate in this directory, please contact the Appliance Efficiency Program at: <appliances@energy.ca.gov>. Manufacturers not granting authorization for data submittal to the Energy Commission as of the publication date of this directory include [list all affected manufacturers]”; and
(G) at the end of each calendar quarter, the trade association provides, at no cost to recipients, an electronic copy of the current directory or supplement or part thereof to the Executive Director and to all California building officials as specified by the Executive Director, and provides to the Executive Director a list of the building officials to whom the directory or supplement was sent.
(2) If the Executive Director at any time determines that an approved trade association directory does not comply with an applicable provision of this Article, or that any information in a trade association directory is substantially incomplete, inaccurate, or not in compliance with an applicable provision of this Article, then:
(A) upon written notice from the Executive Director the trade association shall immediately indicate in the directory, in a format approved by the Executive Director (including without limitation font, type size, and placement in the directory), that it is illegal in California to sell the appliance. In addition, the Executive Director shall remove the appliance from the Energy Commission's MAEDbS established under section 1606(c) of this Article or indicate in the MAEDbS that the appliance cannot legally be sold or offered for sale in California. The appliance shall be removed from, or indicated in, the Energy Commission's MAEDbS and the trade association directory, for at least sixty days, until the end of a proceeding held to consider the matter pursuant to Sections 11445.10-11445.60 of the California Government Code (or, at the third party or affected manufacturer's option, pursuant to Sections 11425.10-11425.60 of the California Government Code); and
(B) the Executive Director may suspend or revoke the approval of the trade association directory; if approval is revoked, the trade association may not seek re-approval for two years after the revocation.
(3) If the Executive Director takes action under sections 1606(b)(3)(A) or (B), or 1608(c), (d), or (e) of this Article, he or she shall direct that all trade association directories be modified accordingly.
(4) There may be more than one third-party directory for the same appliance.
(i) Retention of Records.
Manufacturers, and third parties or trade associations acting under sections 1606(a), 1606(f), and 1606(g) of this Article, shall retain all data, forms, information, and all other records required by this Article concerning each appliance:
(1) for at least 2 years after the manufacturer informs the Executive Director, in writing, of the cessation of production of the appliance; and
(2) in a manner allowing ready access by the Executive Director on request.
The Executive Director shall retain all data, forms, information, and all other records required by this Article concerning each appliance for at least 10 years after the record is initially filed or reconfirmed.
(j) Small Volume Manufacturers.
(1) Entities seeking to be designated as a “small volume manufacturer” for purposes of Section 1605.3(v)(7) shall certify and retain records to demonstrate the following information:
(A) Gross revenues from the 12-month period preceding the certification from all of the entity's operations, including operations of any other person or business entity that controls, is controlled by, or is under common control of the entity, is $2,000,000 or less; and
(B) The manufacturer assembles and sells the computers at the same location.
(2) If a small volume manufacturer no longer meets one of the requirements to be a small volume manufacturer, the entity shall file to remove itself from the database as a small volume manufacturer within 90 days.
The following documents are incorporated by reference into section 1606.
Number
Title
CALIFORNIA ENERGY COMMISSION
California Title 24, part 6,
Qualification Requirements
Joint Appendix 8 JA-8 - 2015
for High Efficacy Light Sources
Copies available from:
CALIFORNIA ENERGY COMMISSION
ENERGY HOTLINE
1516 NINTH STREET, MS-25
SACRAMENTO, CALIFORNIA 95814
PHONE: (916) 654-5106
FAX: (916) 654-4304
FEDERAL STATUTES AND REGULATIONS
C.F.R., Title 10, section
Uniform Test Method for Measuring
430.23(ee) (Appendix BB to
The Input Power, Lumen Output,
subpart B of part 430)
Lamp Efficacy, Correlated Color
(Jan. 1, 2017)
Temperature (CCT), Color Rendering
Index (CRI), Power Factor, Time to
Failure, and Standby Mode Power of
Integrated Light-Emitting Diode
(LED) Lamps
Copies available from:
SUPERINTENDENT OF DOCUMENTS
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON, DC 20402
http://www.ecfr.gov
NATIONAL ELECTRICAL MANUFACTURER'S ASSOCIATION (NEMA)
NEMA SSL 7A (2013)
Phase Cut Dimming for Solid State
Lighting: Basic Compatibility
Copies available from:
NATIONAL ELECTRIC MANFACTURERS
ASSOCIATION
1300 N. 17TH STREET, SUITE 1847
ROSSLYN, VA 22209
WWW.NEMA.ORG
PHONE: (703) 841-3200
FAX: (703) 841-3300
Note: Authority cited: Sections 25213, 25218(e), 25401.9, 25402(a)-25402(c) and 25960, Public Resources Code; and Sections 16, 26 and 30, Governor's Exec. Order No. B-29-15 (April 1, 2015). Reference: Sections 25216.5(d), 25401.9, 25402(a)-25402(c), 25402.5.4 and 25960, Public Resources Code; and Section 16, Governor's Exec. Order No. B-29-15 (April 1, 2015).
HISTORY
1. Order of Repeal of subsections (c)(7)(F)1, (c)(7)(F)2 and (d) filed 6-3-85 by OAL pursuant to Government Code section 11349.7; effective thirtieth day thereafter (Register 85, No. 26). For prior history, see Register 83, No. 18.
2. Amendment of subsection (c)(7)(C) filed 3-3-86; effective thirtieth day thereafter (Register 86, No. 10).
3. Amendment filed 7-20-87; operative 8-19-87 (Register 87, No. 30).
4. Amendment filed 8-29-88; operative 9-28-88 (Register 88, No. 37).
5. Amendment filed 6-5-90; operative 7-5-90 (Register 90, No. 31).
6. Amendment of subsections (a), (b), (d) and (f) filed 11-6-91; operative 12-6-91 (Register 92, No. 9).
7. Amendment of Table J and subsection (b)(9) filed 7-23-92; operative 8-24-92 (Register 92, No. 35).
8. Repealer and new section filed 10-28-2002; operative 11-27-2002 (Register 2002, No. 44).
9. Amendment of subsections (a) and (a)(3)(D)-(a)(3)(E)3.b., Table U and subsection (b)(2)(A) filed 4-1-2003 as an emergency; operative 4-1-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 7-30-2003 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 4-1-2003 order, including amendment of Table U footnote, transmitted to OAL 7-8-2003 and filed 8-19-2003 (Register 2003, No. 34).
11. Amendment of Table U, subdivision P, filed 7-29-2004; operative 8-28-2004 (Register 2004, No. 31).
12. Amendment filed 3-16-2005; operative 4-15-2005 (Register 2005, No. 11).
13. Amendment of Exceptions to subsection (a) and subsection (a)(2)(A), repealer of Exception and new Exceptions 1-3 to subsection (a)(3)(D), amendment of Table V, parts A, C, D, G, K, N and U, new subsections (a)(4)(A)4.-(a)(4)(A)5.h., amendment of subsection (c)(1)(A) and new subsections (f)(1)(F)-(f)(1)(F)4. filed 12-30-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 52).
14. Amendment of Table V-D, V-F, V-G, V-K and V-N and subsection (a)(4)(A)5.f., and amendment of Note filed 12-14-2006; operative 12-14-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 50).
15. Amendment of subsection (a) - Table V and subsections (b)(2)-(b)(2)(A) filed 8-22-2007; operative 9-17-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 34).
16. Amendment of subsection (a) - Table V filed 11-29-2007; operative 12-29-2007 (Register 2007, No. 48).
17. Amendment of subsection (a), and subdivisions thereof, including redesignation of former Table V as new Table X, amendment of subsections (c)(1)(A)-(c)(2), (e)(1)-(2), (f)(1)(A)1. and (f)(1)(F) filed 7-10-2009; operative 8-9-2009 (Register 2009, No. 28).
18. Amendment of subsection (a) - Table X-K and X-N, new subsection (j) and amendment of Note filed 7-10-2009; operative 8-9-2009 (Register 2009, No. 28).
19. Amendment of subsection (a) - Table X-V and new subsections (a)(4)(A)5.j.-k. filed 9-1-2010; operative 1-1-2011 (Register 2010, No. 36).
20. New Exception 4 to subsection (a)(3)(D), amendment of subsection (a) - Table X-L and X-W and new subsection (a)(4)(A)4.m. filed 10-26-2012; operative 1-1-2013 (Register 2012, No. 43).
21. Amendment filed 4-22-2014; operative 7-1-2014 (Register 2014, No. 17).
22. Amendment of subsection (a) - Table X-H and Table X-I, new subsection (a)(4)(A)4.j. and amendment of Note filed with the Secretary of State by the Office of Administrative Law on 5-15-2015. Submitted to OAL for printing only pursuant to Governor's Executive Order No. B-29-15 (4-1-2015); operative 5-15-2015 (Register 2015, No. 20).
23. Amendment of subsection (a)(3)(E) - Table X-H filed 8-20-2015; operative 8-20-2015 pursuant to Governor's Executive Order No. B-29-15, directive 30 (4-1-2015) (Register 2015, No. 34).
24. Amendment of subsection (a)(3)(E) -Table X filed 6-30-2016; operative 7-1-2016 pursuant to Government Code section 11343.4(b)(3) (Register 2016, No. 27).
25. Amendment of subsection (k) and list of documents incorporated by reference filed 11-1-2016; operative 1-1-2017 (Register 2016, No. 45).
26. Amendment of subsection (a)(3)(E) -Table X-G filed 3-27-2017 as an emergency; operative 3-27-2017 (Register 2017, No. 13). A Certificate of Compliance must be transmitted to OAL by 9-25-2017 or emergency language will be repealed by operation of law on the following day.
27. Amendment of subsection (a)(3)(E) -Table X-C filed 3-27-2017 as an emergency; operative 3-27-2017 (Register 2017, No. 13). A Certificate of Compliance must be transmitted to OAL by 9-25-2017 or emergency language will be repealed by operation of law on the following day.
28. Amendment of Table X, part V and new subsections (e)(3) and (k)-(k)(2) filed 8-22-2017; operative 10-1-2017 (Register 2017, No. 34).
29. Change without regulatory effect amending subsection (a)(4)g. filed 9-11-2017 pursuant to section 100, title 1, California Code of Regulations (Register 2017, No. 37).
30. Certificate of Compliance as to 3-27-2017 order transmitted to OAL 8-25-2017 and filed 10-5-2017 (Register 2017, No. 40).
31. Amendment of subsection (a)(3)(E)3.b., Table X-V and subsection (k)(2) filed 1-25-2018; operative 1-25-2019 pursuant to Government Code section 11343.4(b)(3) (Register 2018, No. 4).
32. Amendment of Table X-G filed 7-19-2018; operative 10-1-2019 (Register 2018, No. 29).
33. Amendment of section heading, section and Note filed 9-26-2018; operative 10-1-2019 pursuant to Government Code section 11343.4(b)(3) (Register 2018, No. 39).
34. Editorial correction of subsections (a) and (a)(3)(C) and Table X - sections C, G, J, S and T (Register 2018, No. 45).
35. Editorial correction of Table X (Register 2019, No. 11).
36. Change without regulatory effect amending subsection (a), Table X and list of documents incorporated by reference filed 3-18-2019 pursuant to section 100, title 1, California Code of Regulations (Register 2019, No. 12).
37. Amendment of subsection (a)(1), new subsection (a)(1)(H) and amendment of Table X filed 3-18-2019; operative 3-18-2019 pursuant to Government Code section 11343.4(b)(3) (Register 2019, No. 12).
38. Amendment of subsections (a), (a)(3)(A) and (a)(3)(C) and Table X and new subsection (a)(4)(A)4.i. filed 6-10-2019; operative 6-10-2019 pursuant to Government Code section 11343.4(b)(3) (Register 2019, No. 24).
39. Amendment of Table X adding new section (X) and amendment of Note filed 10-7-2019; operative 10-1-2020 pursuant to Government Code section 11343.4(b)(2) and Public Resources Code section 25402(c)(1) (Register 2019, No. 41).
40. Amendment of EXCEPTIONS to subsection (a) and Table X - section K filed 12-24-2019; operative 1-1-2020 (Register 2019, No. 52).
This database is current through 2/7/20 Register 2020, No. 6
20 CCR § 1606, 20 CA ADC § 1606
End of Document© 2020 Thomson Reuters. No claim to original U.S. Government Works.