DOCKETED  
Docket Number:  20-AAER -01 
Project Title:  Amendments to the Title 20 Appliance Efficiency Regulations 
Rulemaking  
TN #:  235149  
Document Title:  Notice of Proposed Action (NOPA)  
Description:  Notice of Proposed Action (NOPA) for the 2020 Repeal of Self -
Contained Lighting Controls and Other Amendments 
Rulemaking  
Filer:  Carlos Baez  
Organization:  California Energy Commission  
Submitter Role:  Commission Staff   
Submission Date:  10/8/2020 10:51:06 AM  
Docketed Date:  10/8/2020  
 STATE OF CALIFORNIA — NATURAL  RESOURCES AGENCY                                                                                                       Gavin Newsom, Governor  
CALIFORNIA ENERGY COMMISSION  
1516 Ninth Street  
Sacramento, California 95814  
Main w ebsite: www.energy.ca.gov  
CEC -57 (Revised 1 /19) 
 
NOTICE OF PROPOSED ACTION 
Title 20. Public Utilities and Energy  
Division 2. State Energy Resources Conservation and Development Commission 
Chapter 4. Energy Conservation  
Article 4 . Appliance Efficiency Regulations  
 
2020 Repeal of Self -Contained Lighting Control s and Other Amendments  
Docket No. 20-AAER -01 
Notice Published on October  9, 2020 
INTRODUCTION 
The Californi a Energy Commission (CEC) proposes to repeal the self -contained 
lighting control  requirement s, provide updates to reflect current federal law , remove 
the outdated m inimum lumen output requirement  for portable luminair es, and modify  
data submittal requirements  for certain appliances  in the Appliance Efficiency 
Regulations after considering all com ments, objections, and recommendations 
regarding the proposed action.  
PUBLIC HEARING  
The CEC  will hold a public hearing for the pr oposed regulations on the following date 
and time. Interested persons, or his or her authorized representative, may present  oral 
and written statements, arguments, or contentions relevant to the proposed 
regulations at the public hearing. The record for this hearing will be kept open until 
every person has had an opportunity to provide comment.  
 
The public hearing will be hel d remotely, consistent with Executive Orders N -25-20 
and N -29-20 and the recommendations from the California Department of Public 
Health to encourage physical distancing to slow the spread of COVID -19. Instructions 
for remote participation are provided below.  
       
Thursday , December 3, 2020 
 10:00 a.m. (Pacific Time)  
 
REMOTE PARTICIPATION 
Remote Attendance Participants may join by accessing Zoom at: 
https://energy.zoom.us/j/95873994727?pwd=c2d1OXNqMWtCcDRQTlJYODRNbDBT
Zz09  and enter the unique Webinar ID and password for eac h session (listed below). 
Zoom technical support is available at 1- 888- 799-9666 ext. 2, or you may contact the 
CEC’s Pub lic Advisor’s Office via e mail or phone. To comment or ask a question, dial 
*9 to use the “raise hand” feature in Zoom.  2  
Meeting ID: 958 7399 4727  
 
Password:  342552   
 
To participate by telephone, call Zoom at 1 -877-853-5257 or 1 -888-475-4499 (toll 
free). When prompted, input the unique Webinar ID and password listed above. To 
comment or ask a question over the telephone, dial *9 to “raise your hand” and *6 to 
mute/unmute your phone line.  
  
PUBLIC ADVISO R 
The CEC’s Public Advisor’s Office provides the public assistance in participat ing in 
CEC pro ceedings. For information on how to participate in this forum, or to request 
language services or other reasonable accommodations, please contact the Public 
Advisor, Noemi O. Gallardo, at publ icadvisor@ener gy.ca.gov , or by phone at (916) 
654-4489, toll free at (800) 822- 6228, or by fax at (916) 654- 4493. Requests for 
language services and  reasonable accommodations shoul d be made at least five days 
in advance. The CEC will work diligently to ac commodate late requests.  
 
Zoom: If you experience difficulties with the Zoom platform, please contact the Public 
Advisor’s office via email or phone.  
NEWS MEDIA INQUIRIES  
Direct n ews me dia inquiries  to the Media and Public Communications Office at (916) 
654-4989, or by  email  at mediaoffice@energy.ca.gov . 
WRITTEN COMMENT PERIOD  
Any inte reste d person, or his or her authorized representative, may submit written 
comments to th e CEC for consideration on or prior to Nove mber 23, 2020.  The CEC 
appreciates  receiving written comments at the earliest possible date.  
 
Please submit comments using t he CEC’s  e-commenting feature by going to the web 
page found at https://www.energy.ca.gov/rules -and-regulations/appliance- efficiency -
regulations -title-20/amendments -title-20-appliance , Docket Num ber 20-AAER- 01, then 
select the “Submit e- comment” link. A full name, e- mail address, comment title, and 
either a comment or an attached document (.doc, .docx, or .pdf format) is ma ndatory. 
After a challenge- response test used  by the system to ensure that responses are 
generated by a human user, click on “Agree & Submit Your Com ment” to submit the 
comment to the CEC’s  Docket Unit.  
 
Please note that written comments, attachments, and associated contact information 
included within the written comments and att achments (e.g., your address, phone, 
email, etc.) become part of the viewab le public record.  
 3 You are encouraged to use the electronic filing system, described above, to submit 
comm ents. All written comments submitted prior to the hearing must be submitted to 
the docket. If you are unable to submit electronically, a paper copy of  your comments 
may be sent to:  
Docket Unit  
California Energy Commission  
Docket No. 20-AAER -01 
1516 9th Street, MS -4 
Sacramento, CA 95814  
Telephone: (916) 654 -5076 
Or by email  to docket@energy.ca.gov .  
Or fax them  to Dockets at (916) 654- 4354.  
 
All written comments shall comply with the requirements of 20 C.C.R. § 1208.1.  
STATUTORY AUTHORITY AND REFERENCE  
Public Resources Code Secti on 25213,  25218(e) , and 25402(c)  authorize t he Energy 
Commission to adopt rules or r egulations, as necessary, to implement Public 
Resources Code Sections  25216.5(d) and 25402(c) . 
INFORMATIVE DIGEST/POLICY STATEMENT OVERVIEW  
The Warren- Alquist Act establishes the CE C as California’s primary energy policy and 
planning agency. Sections 2521 3, 25218(e), and 25402(c) of the Public Resources 
Code mandates and/or authorizes that the Energy Commission adopt rules and 
regulations, as necessary, to reduce the inefficient cons umption of energy and water 
by pres cribing efficiency standards and other cost -effective measures for appliances 
whose use requires a significant amount of energy or water statewide.  
 
One of the ways the CEC satisfies this requirement is through the Appliance Efficiency 
Regulations (Califor nia Code of Regulations  (CCR) , Title 20,  Sections 1601- 1609), 
which contain definitions, test procedures, efficiency st andards, and marking and 
certification requirements for state and federally regulated appliances. Furt her, the 
regulations require that appliance manufacturers certify to the C EC that their products 
meet all applicable state and federal appliance efficienc y regulations before their 
products can be included in the CEC’s Modernized Appliance Efficiency Database 
System (MAEDbS)  of appliances approved to be sold or offered for sale w ithin 
California.  
 
In January 2012, the requirements for self -contained lighting controls were moved 
from the California Building Energy Efficiency Standards  (Title 24) to the Calif ornia 
Appliance Ef ficiency Regulati ons (Title 20) . These regulations establ ished energy 
design standards, data submittal requirements, and marking requirements for self -
contained li ghting controls. However, since then the manufacture and operation of 
lighting controls began to shift towards  a group of devices working as a system , rather 
than a group of independent, discrete devices, making it more appropriate to regulate 4 these appliances through building energy efficiency standards rather than appliance 
efficiency standards.  
 
During developm ent of the 2019 Building Energy Efficien cy Standards  the CEC 
included r equirements for lighting control devices, whether they work as a system or 
independently. These requirements became effective January 1, 2020,  and supersede 
those in the Title 20 Applia nce Efficiency Regulations.  
 
Therefore,  with the 2019 B uilding  Energy Efficiency  Standards effective on January  1, 
2020, the CEC is proposing to repeal the self-contained lighting control s in the 
Appliance Efficiency Regulations  to avoid duplicative regul ations . In addition, t he CEC 
is providi ng updates to reflect current  mandatory  federal law s, removing the outdated 
minimum lumen output requirements for portable luminair es, modifying data submittal 
requirements  for certa in appliances , and making non-subst antive changes to 
effectively communicat e the regulations in a precise and clear manner .  
Difference from existing comparable federal regulation or statute  
The Energy Commission has determined that there are no existing comparable federal 
regulations or s tatutes. 
Broad objectives of the regulat ions and the specific benefits anticipated by the 
proposed amendments  
The broad objective of this rulemak ing is to provide updates to the A ppliance 
Efficiency Regulations. This inc ludes the repeal of the self -contai ned lighting control 
requirements, updat es to reflect current federal laws , modifications to data submittal 
requirement s for certain appliances , the removal of the outdated minimum lumen 
output requirement  for portable luminair es, and non- substantive changes for clarity  
and consistency . 
 
The spe cific benefits of the proposed regulation will be to eliminate duplicative and 
outdated information and enhance the clarity  and regulatory certainty  of the 
regulations.  We are repealing the self -contained lighting requirements as these 
requirements have be en moved to the 2019 Building Energy Efficiency Standards  
(Title 24) effective January 1, 2020. As such, t he requirements in the Appliance 
Efficiency Regulations for this appliance type are duplicative and unnecessar y. The 
CEC is also providing updates to reflect current federal laws. The Appliance Efficiency 
Regulations are designed to provide manufacturers, retailers, and consumers of 
appliances with a clear and comprehensive set of both federal and state regulations in 
a single location.  These updates  will ensure the A ppliance Efficiency Regulations will 
reflect current federal law , providing clarity and regulatory certainty to regulated 
parties. Third, the modifications to data submittal requirements for certain appliances 
will ensure that manufacturers  can properly certify to MAEDbS that their regulated 
products are compliant with the most current energy performance standards and 
testing requirements.  Finally, the removal of the outdated minimum lumen output 
requir ement for portable luminaires  allows  for manufactu rers to design portable 
luminaires that provide less than 200 lumens,  if desired, leading to bet ter product 5 availability for consumers.  The CEC is also proposing to make n on-substantive 
numbering, ordering,  cross -reference,  and grammatical change s to Title 20 to 
effectively communicate the regulation in a precise and clear manner . None of the 
proposed non- substantive changes materially alter  any requirement, right, 
responsi bility, condition, prescription,  or other regulatory element of any CCR 
provision , nor do they have any other regulatory effect .  
Determination of inconsi stency or incompatibility w ith existing state regulations  
The Energy Commission has conducted an eval uation for other regulations in thi s 
area. As previously mentioned, the 201 9 Building  Energy Efficiency  Standards  now 
include requirements for lighting controls , whether they work as a system or 
independentl y, that became effective January 1, 2020 and supersede those in Title 20 
Appliance Efficiency  Regulations . As such, the CEC proposes to repeal the regulations 
for self -contained lighting controls in Title 20,  the Appliance Efficie ncy Regulations, to 
avoid duplicative regulation and public confusion.  
 
The CEC has determined that the propos ed regulations are neither inconsis tent nor 
incompatible with existing state regulations but necessary to avoid duplicative 
regulation on self -contained lighting controls.   
DOCUMENTS INCORPORATED BY REFERENCE  
None  
MANDATED BY FEDERAL LAW OR REGULATIONS  
None  
OTHER STATUTORY REQUIREMENTS  
None  
FISCAL IMPACTS  
The Energy Commission has made the following initial determinat ions:  
 
• Mandate on local agen cies or school districts: None  
• Cost to any local agency or school distri ct requiring reimbursement pursuant  to 
17500 et seq.: None  
• Cost or sa vings to any state agency: None   
• Non- discretionary cost or savings imposed upon loca l agencies: None 
• Cost or savings in fede ral funding to the state: None 
SIGNIFICANT EFFECT ON HOUSING COSTS  
None  6 SIGNIFICANT STATEWIDE ADV ERSE ECONOMIC IMPACT DIRECTLY 
AFFECTING  BUSINESS, INCLUDING ABILITY OF CALIFORNIA BUSINESSES TO 
COMPETE WITH BUSINESSES  IN OTHER STATES  
The CEC has made an initial determination that th e proposed regulations are unlikely to 
have a statewide adverse economi c impact directly affecting business, i ncluding the 
ability of California businesses to compete with businesses in other states.  
 
During development of the 2019 Building Energy Efficiency Standards  the CEC 
included r equir ements for lighting control devices . These requirements became 
effective J anuary 1, 2020 and supersede those requirements in the Title 20 Appliance 
Efficiency Regulations. As such, t he CEC is proposing to repeal  self-contained lighting 
controls in Title 20 to avoid duplicative regulations . There may be a small cost  benefit 
to ma nufacturers of self -contained lighting controls , as they will no longer be requi red 
to certify self -contained lighting controls to the CEC’s Modernized Appliance Efficiency 
Database System (MAEDbS).  
 
The CEC is also p roviding updates to reflect current fed eral laws  and modifying data 
submittal requirements  for certain appliances . The proposed changes will ensur e the 
Appliances Efficiency Regulations will reflect current federal law  and ensure that 
manufacturers can pro perly certify to MAEDbS that their regul ated products are 
compliant with the most current energy performance standards and testing 
requirements,  providing clarity and regulatory certainty to the regulated parties.  
 
Ceiling fans  and dehumidifiers are not being added as new appliances  to Table X  in 
Section 1606. Rather, the specific data fields required for these appliance types are 
being updated in order for manufacturers to certify compliance with current standards 
to MAE DbS. As such, this will have no economic impact since manufacturers had to 
certify these appliances before and will continue doing so.  
 
Miscellaneous ref rigeration products are the only new appliance type that is being 
added to Table X for data submittal requirements . Although this is a new appliance 
type in Table X , it is not a  newly regulated product. The federal standards had  already 
been added to the Title 20 A ppliance Efficienc y Regulations through a rulemaking that 
became effective on October 28,  2019. Requiring submittal to MAEDb S may have a 
small impact on manufacturers w ho have not previously had to certify these to 
MAEDbS.  However, any economic im pact is expected to be insi gnificant compared to 
the total sales of these entities, and insufficient t o support the creation or cause the 
elimination of any business including t he ability of businesses to compete with other 
states.   
 
The removal of the minimum lumen output requirement for portable luminaires allows 
for manufacturers to design portable lumi naires that provide less than 200 l umens, if 
desired. The economic impact h ere is also expected to be insignificant compared to 
the total sales of these entities and insufficient to support the creation or cause the 
elimination of any business including the ability of businesses to compete with other 
states.  7  
Under the A ppliance Efficiency Regulations, retailers are responsible for ensuring that 
the regulat ed products they sell are c ertified to the CEC and appear in the CEC’s 
MAEDbS before they are sold or offered for sale in California. Bec ause data submittal 
requirements have be en added to certify  miscellaneous refrigeration products , the 
CEC assumes that retailers  of these products  will experience some additional costs 
associated with checking MAEDbS to ensure that the products they sell appear in the 
MAEDbS and are therefore c ompliant and lawful to sell in the state.  
 
Some retailers may choose to incur additional costs if they rebrand a regulated 
appliance that is not certified to MAEDbS and wish to sell  it in California. These 
retailers  would be required to certify the applian ces to the CEC; therefore, they will 
incur costs associated with reporting to t he MAEDbS.  
RESULTS OF THE ECONOMIC IMPACT ANALYSIS/ASSESSMENT  
The CEC concludes that: (1) it’s unlikel y the proposal will create jobs wit hin California, 
(2) it’s unlikely the pr oposal will eliminate jobs within California, (3) it’s unlikely the 
proposal wi ll create new businesses in California, (4) it’s unlikely the proposal will 
eliminate existing busines ses within California, (5) it’s unl ikely the proposal will result in 
the ex pansion of businesses currently doing business within the state.  
 
Benefit of t he Proposed Action: The benefits of the proposed regulations will be to 
eliminate duplicative and outdated information and enhance the cl arity and regulatory 
certainty of the r egulations.  
 
The proposed regulations  will not affect  the health and welfare of  California residents, 
work er safety, or the state’s environment.  
COST IMPACTS ON REPRESENTATIVE PERSON OR BUSINESS  
The CEC  is not aware of any significant cost impacts that a  representative private person 
or business would necessarily incur in reasonable  compliance with the propos ed action.  
 
There are no cost impacts to a representative private person, as individuals are not 
required to comply with the regulations.   
  
During development of the 2019 Building Energy Efficiency Standards  the CEC 
included r equirements for lighting control devices. These requirements became 
effective January 1, 2020 and super sede those requirements in the Titl e 20 Appliance 
Efficiency Regulations. A s such, t he CEC is proposing to repeal  self-contained lighting 
controls in the Title 20 to avoid duplicati ve regulations . There may be a small cost  
benefit to manufacturers of  self-contained lighting controls as they  will no longer be 
required to certify  self-contained lighting controls to the CEC’s Modernized Appliance 
Efficiency Da tabase System (MAEDbS).  
 
The CEC is also providing updates to reflect current federal laws and modifyi ng data 
submittal requirements  for certain appliances . The proposed changes will ensure the 8 Appliance Efficiency Regulations will reflect current federal law and ensure that 
manufac turers can properly certify to MAEDbS that their regulated products are 
compliant with the most current energy  performance standards and testing 
requi rements, providing clarity and regulatory certainty to the regulated parties.  
 
Ceiling fans  and dehumidif iers are not being added as new appliances  to Table X . 
Rather, the specific  data fields required for these appliance types are being updated in 
order  for manufacturers to certify compliance with current standards . As such, this will 
have no economic impact  since manufacturers had to certify these appliances before 
and will contin ue doing so.  
 
Miscellaneous refrigeration products are the only new appli ance type that is being 
added to Table X, for data certification requirements . Although this is a new appli ance 
type in Table X , it is not a newly regulated product. The federal standards have 
already been added to the Title 20 A ppliance Efficiency Regulat ions that became 
effective on October 28,  2019. Submittal to MAEDbS will have a small impact on 
manufacturers who have not previously had to certify these to MAEDbS.  However, the 
economic impact is expected to be insi gnificant compared to the total sales of  these 
entities, and insufficient to support the creation or cause the eliminat ion of any 
business  including the ability of businesses to compete with other states.    
 
The removal of the minimum lumen output requirem ent for portable luminaires  allows  
for manufacturers  to design portable luminaires that provide less than 200 lumens, i f 
desired. The economic impact here is also expected to be insignificant compared to 
the total sales of these entities  and insufficient t o support the creation or cause the 
elimination of any business  including the ability of businesses to compete with other 
states.  
 
Under the A ppliance Efficiency Regulations, retailers are responsible for ensuring that 
the regulated products they sell are certified to the CEC and appear in the CEC’s 
MAEDbS before they are sold or offered for sale in California. Because dat a submittal 
requirements have been added to certify  miscellaneous refrigeration products , the 
CEC assu mes that retailers of these product s will experience some additional costs  
associated with checking MAEDbS to ensure that the products they sell appear in the 
MAEDbS and are therefore compliant and lawful to sell in the state.  
 
Some retailers may choose t o incur additional costs if they rebrand a regulated 
appliance that is not  certified to MAEDbS and wish to sell it in California. These 
retailers would be required to certify the rebranded appliances to the CEC; therefore, 
they will incur costs associated with reporting to the MAEDbS.  
BUSIN ESS REPORT  
The regulations impose a new  reporting requirement fo r manufacturer s of 
miscellaneous refrigeration products . However, although this is  a new appliance type 
in Table X , it is not a newly regulated product. The federal standards have already 9 been added to the Title 20 A ppliance Efficiency Regulations that became effective on 
October 28,  2019.  
 
State law (Public Resources Code Section 25402(c)(1)) requires manufacturers to 
certify to  the CEC that their appliances  comply with the applicable energy efficiency 
standards before they are sol d or offered for sale in the state. The Appliance Efficiency 
Regulations requir e manufacturers to provide specified information for this purpose to 
the MAEDbS. MAEDbS is used by man ufacturers and maintained by the CEC  to list 
the appliances  authorized to b e sold or  offered for sale in California. This is necessary 
to help the CEC and consumers verify complianc e with applicable federal and state 
efficiency standards. Some retailers may choose to act as a manufacturer w hen they 
rebrand a product and assume t he certification burden for that pool pump model.   
 
It is necessary for the heal th, safety, or welfare of t he people of the state that  these 
regulations, which require a report, appl y to businesses.   
SMALL BUSINESS  
The proposed regulation may affect small business. However,  the CEC is not aware of 
any significant c ost impacts that a small business  would incur i n reasonable 
compliance with the proposed action.   
CONSIDERATION OF ALTERNATIVES  
In accordance with Government C ode Section 11346.5, subdivision (a)(13) , the 
Energy Commission must determine that no reasonable alternative considered by the 
agency, or that  has otherwise been identified and brought to the attention of the 
agency, would be more effective in carrying out the purpose f or which the action is 
proposed;  would be as effective and less burdensome to affected private persons t han 
the proposed action;  or would be more cost -effective to affected private persons and 
equally ef fective in implementing the statutory policy or other provision of law.  
 
The Energy Commission invites interested persons to present statement s or 
arguments  concerning alternatives  to the proposed regulations at the scheduled 
hearing or during the written comment period.  
CONTACT PERSON  
Pleas e direct inquiries concerning all aspec ts of the rulemaking process including 
requests for copies of the proposed text (express terms ), the ini tial statement  of 
reasons (ISOR), any modified version of the regulations, the substance of the 
proposed regulati ons, or any other information upon whic h the rulemaking is based to:  
 
Corrine Fishman 
Regulations Manager, Efficiency D ivision  
1516 Ninth Street  
Sacramento, CA 95814- 5512  
(916) 654- 4976  
corrine.fishman@en ergy.ca.gov  10  
If Corrine Fishman is unavailable, you may contact Carlos Ba ez at (916) 654- 4719 or 
carlos.baez@energy.ca.gov . 
COPIES OF THE INITIAL STATEMENT OF REASONS, THE EXPRESS TERMS, 
AND RULEMAKING FILE  
The Energy Commission will have the en tire rulemaking file available for inspection 
and copying throughout the rulema king process  at the abov e address. As of the date 
this notice is published in the Notice Register, the rulemaking file consists of this 
notice, the Economic and Fiscal Impact S tatement (399), express terms, the ISOR , 
and documents relied upon.  Copies may be obtained by contacting Corrine Fishman at 
the address or phone number  above or accessed through t he Energy Commission’s 
website at  https://www.energy.ca.gov/rules -and-regulations/appliance- efficiency -
regulations -title-20/amendments -title-20-appliance . 
AVAILABILITY OF SUBSTANTIAL CHANGES TO ORI GINAL PROPOSAL FOR AT 
LEAST 15 DAYS PRIOR TO AGENCY ADOPTION/REPEAL/AMENDMENT OF  
RESULTING REGULATIONS  
Participants should be aware that any of the proposed regulations could be 
substantively changed as a result of public comment, staff recommendation, or  
recommendations from commissioners. Moreover, changes to the proposed 
regulations not indicated in the exp ress terms could be considered if they improve the 
clarity or effectiveness of the regulations. If the Energy Commission considers 
changes to the prop osed regulations pursuant to Government Code Section 11346.8, 
a full copy of the text will be available for review at least 15 days prior to the date on 
which the Energy Commissi on adopts or amends the resulting regulations.  
COPY OF THE FINAL STATEMENT OF  REASONS  
At the conclusion of the rulemaking, persons may obtain a copy of the Final Statement 
of Reasons (FSOR), once it has been prepared, by visiting the Energy Commission’s 
website at https://www.energy.ca.gov/rules -and-regulations/appliance- efficiency -
regulations -title-20/amendments -title-20-appliance  or contacting the contact person 
above.  
AVAILABILITY OF DOCUMENTS O N THE INTERNET  
The Energy Commissi on maintains a website to facilitate public access to documents 
prepared and considered as part of this rulemaking proceeding. Documents prepared 
by the Energy Commission for this rulemaking can be found at:  
https://www.energy.ca.gov/rules -and-regulations/appliance- efficiency -regulations -title-
20/amendments -title-20-appliance