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406.4(D)(4) & (7) Exception Disallowing AFCI Receptacles Deleted and Installation Requirements of Controlled Receptacles

Revision and New

Change Summary

  • Previous Exception No. 1 to AFCI replacements was deleted as it is no longer relevant. Products that comply with the main requirement are now available.
  • Automatically controlled receptacles are required to be replaced with equivalently controlled receptacles. Markings for these receptacles are still in place at 404.3(E). A new 406.4(D)(7) was added requiring automatically controlled receptacles to be replaced with equivalently controlled receptacles.
NEC® Text

406.4 General Installation Requirements.
Receptacle outlets shall be located in branch circuits in accordance with Part III of Article 210. General installation requirements shall be in accordance with 406.4(A) through (F).
(D) Replacements. Replacement of receptacles shall comply with 406.4(D)(1) through (D)(6)(7), as applicable. Arc-fault circuit-interrupter type and ground-fault circuit-interrupter type receptacles shall be installed in a readily accessible location.
(4) Arc-Fault Circuit-Interrupter Protection.
Where If a receptacle outlet is located in any areas specified in 210.12(A), or (B), or (C) is replaced, a replacement receptacle at this outlet shall be one of the following:
(1)A listed outlet branch-circuit type arc-fault circuit- interrupter receptacle
(2)A receptacle protected by a listed outlet branch-circuit type arc-fault circuit-interrupter type receptacle
(3)A receptacle protected by a listed combination type arc- fault circuit-interrupter type circuit breaker
Exception No. 1: Arc-fault circuit-interrupter protection shall not be required where all of the following apply:
(1)The replacement complies with 406.4(D)(2)(b).
(2)It is impracticable to provide an equipment grounding conductor as provided by 250.130(C).
(3)A listed combination type arc-fault circuit-interrupter circuit breaker is not commercially available.
(4)GFCI/AFCI dual function receptacles are not commercially available.
Exception No. 2: Section 210.12(D), Exception, shall not apply to replacement of receptacles.
(7) Controlled Receptacles. Automatically controlled receptacles shall be replaced with equivalently controlled receptacles. If automatic control is no longer required, the receptacle and any associated receptacles marked in accordance with 406.3(E) shall be replaced with a receptacle and faceplate not marked in accordance with 406.3(E).

Material taken from the National Electric Code® is reprinted with permission from NFPA 70®, 2020 edition.
National Electrical Code®, Copyright 2019, National Fire Protection Association, Quincy, MA. All rights reserved.

Expert Analysis

For the 2020 NEC, Exception No. 1 to 406.4(D)(4) was deleted as it is no longer needed or applicable. Commercially obtainable devices (such as a dual- function AFCI/ GFCI receptacle outlet) are readily available that can satisfy the main rule rendering the exception irrelevant. This exception therefore would never be able to be applied, making it removable. It should be noted that these receptacle replacement AFCI requirements now apply to 210.12(C) (Guest Rooms, Guest Suites, and Patient Sleeping Rooms in Nursing Homes and Limited-Care Facilities). The question has been asked more than once in the past few years if these occupancies are covered by this rule along with dwelling units and dormitory units.

406.4(D)(7) Replacement of Automatically Controlled Receptacles

For the 2017 NEC, 406.3(E) was revised to provide necessary clarity for the identification of controlled receptacles by providing the user with further information that the receptacle outlet can be activated or deactivated by an energy management system or other means of automatic control. One of these revisions was to require the word “Controlled” be placed on the controlled receptacle along with the symbol identified in Figure 406.3(E).

For the 2020 NEC, a new List Item (7) was added to 406.4(D) dealing with replacement of controlled receptacles. If a receptacle that is managed by an energy management system is replaced, the automatically controlled receptacles will now be required to be replaced with equivalently controlled receptacles. If a remodel or renovation results in the automatically controlled receptacle no longer being required to be automatically controlled by an energy management system, the receptacle and any associated receptacle markings in accordance with 406.3(E) would be required to be replaced with a receptacle and faceplate not marked in accordance with 406.3(E). This addresses a marking concern related to the removal of the control feature.

Leviton Solution
The Leviton SmartlockPro® Dual Function AFCI/GFCI Outlet offers a National Electrical Code (NEC) compliant option for AFCI/GFCI protection in residential kitchens and laundry areas for new construction, modifications/ extensions and replacement receptacles. They are also ideal as a replacement for ungrounded outlets, satisfying NEC requirements for both AFCI and GFCI protection. The Dual Function AFCI/GFCI is available in 15- and 20-Amp with 20-Amp Feed-Through. They are Tamper-Resistant, are back and side wired and include a self-grounding clip included. Available in several colors.

Cat. No. AGTR2-W

To meet the requirements for identifying receptacles that will be automatically de-energized by a mechanical switch or as part of an overall plug load control program, Leviton offers a complete line of receptacles with the “Controlled Receptacle Marking Symbol” and the word “CONTROLLED” on the receptacle face. Available in 15- and 20-Amp ratings and in many colors for both standard duplex and Decora® configurations.

Leviton ‘Controlled’ Receptacles

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