DOCKETED  
Docket Number:  23-FDAS -01 
Project Title:  Pool Controls Rulemaking  
TN #:  248921  
Document Title:  Proposed Regulatory Language  
Description:  Proposed regulatory language updating the existing regulation 
for flexible demand standards for pool controls.  
Filer:  Amber Beck  
Organization:  California Energy Commission  
Submitter Role:  Commission Staff   
Submission Date:  2/23/2023 8:48:53 AM  
Docketed Date:  2/23/2023  
 Proposed Regulatory Language  
 
Title 20. Public Utilities and Energy  
Division 2. State Energy Resources Conservation and Development Commission  
New Chapter 4.1. Flexible Demand  
New Article 1. Flexible Demand Appliance Standards  
New Sections 1690, 1691, 1692, 1693, 1694, 1695, 1696, and 1697  
 
Adopt New Chapter 4.1, Article 1, and the following new sections 1690, 1691, 
1692, 1693, 1694, 1695, 1696, and 1697 into Title 20, California Code of 
Regulations, to read as follows:  
Section 1690. Scope . 
(a) This Article applies to the following types of new appliances sold or offered for 
sale, rented, imported, distributed or leased for use in California as consumer 
products regardless of the physical location of the seller and includes, without limitation tra nsactions conducted over telephone or the internet. Unless 
otherwise specified, each provision applies only to units manufactured on or after the effective date of the provision.  
(1) Pool controls.  
Note: 
Authority cited: Sections 25213, 25218, 25402(f) and  25402.11, Public Resources Code.  
Reference: Sections 25216.5(d), 25402(f) and 25402.11, Public Resources Code.  
Section 1691. Definitions.  
 In this Article the following definitions apply.  
(a) General Definitions.  
“Accessible place” means a place on an appliance that can be easily seen without 
the need for tools to remove any covering.  
“Authorized entities” means the owner of the equipment, the user of the 
equipment, or the owner’s or user’s delegated agent.  
“Authentication” means a method of verifying the authority of a user, process, or 
device to access resources in an information system.  
“Authentication credentials” means a temporary certificate of clearance or a 
credential, certificate, or permit authorizing service.  
"Basic model" means all  units of a given type of appliance (or class thereof) that 
are manufactured by the same manufacturer or manufacturers, have the same primary energy source, and have the same electrical, physical, or functional 
characteristics that affect compliance with a  flexible demand standard.  
“Connected device” means any device that is capable of receiving TCP/IP signals from the internet, with or without the connections through common home 
network equipment or radio broadcasting, by means of integrated or separate 
communications module.  
“TCP/IP signal” means a type of data format used to carry data through the network.  
“Consent” means a customer’s permission or agreement to use the capabilities of an appliance subject to this Article to schedule, shift, or curtail its  use through 
direct action by the customer or by a third party, load -serving entity, or a grid -
balancing authority. Consent may be express or implied.  
“Consumer product” means any appliance or device that consumes energy, controls the energy consumption of another device or appliance, or charges a 
battery and is distributed in commerce for personal use by individuals.  
“Energy Commission” means the State Energy Resources Conservation and Development Commission.  
“Executive Director” means the executive direct or of the Energy Commission or 
their designee.  
“FAD” means the Flexible Appliance Database established pursuant to section 1695(c) of this Article and maintained by the Energy Commission.  
“Flexible demand” means the capability to schedule, shift, or curtai l the electrical 
demand of a load- serving entity’s customer through direct action by the 
customer or through action by a third party, the load -serving entity, or a grid 
balancing authority, with the customer’s consent.  
“Load- serving entity” for purposes of this chapter, means an electric utility, 
electric service provider, or community choice aggregator. “Load- serving entity” 
does not include any of the following:  
(1) The State Water Resources Development System commonly known as the 
State Water Project; or  
(2) Customer generation located on the customer’s site or providing electric 
service through arrangements authorized by Public Utilities Code section 
218, if the customer generation, or the load it serves, meets one of the 
following criteria:  (A) It takes  standby service from the electrical corporation on a California 
Public Utilities Commission- approved rate schedule that provides for 
adequate backup planning and operating reserves for the standby 
customer class;  
(B) It is not physically interconnected to  the electrical transmission or 
distribution grid, so that, if the customer generation fails, backup electricity is not supplied from the electrical grid; or  
(C) There is physical assurance that the load served by the customer 
generation will be curtailed concurrently and commensurately with an 
outage of the customer generation.  
“Logical” means accessible through a hardware or software interface.  
“Manufacturer” means any person engaged in the production or assembly of an appliance or commercial and industri al equipment, or any person that has 
responsibility for the production or assembly of an appliance, including but not limited to private brand packagers and re -assemblers.  
“Model” means any collection of appliance units to which the manufacturer has assign ed the same model number.  
“Model number” means a combination of letters, digits, or characters 
representing the manufacturer, brand, design, or performance of an appliance.  
“Security feature” means a collection of functions used to protect the connected 
device from unauthorized use or disclosure of data.  
“Sold or offered for sale in California” means any sale of or offer to sell an appliance for end use in the state, regardless of the seller’s physical location, and includes, without limitation, internet, telephone, and mail order transactions. For 
purposes of this Article, the Uniform Commercial Code –Sales (Division 2 
(commencing with Section 2101) of the Commercial Code) does not define “sold or offered for sale” or determine where sales or offe rs for sale occur.  
“Special character” means a ny non- alphanumeric character that can be rendered 
on a standard, American -English keyboard.  The list of ASCII special characters 
follows: !"#$%&'()*+, -./:;<=>?@[ \]^_`{|}~  
“Security feature” means a collection of functions used to protect the connected 
device from unauthorized use or disclosure of data.  
(b) Pool Controls . 
“Dedicated -purpose pool pump” comprises self -priming pool filter pumps, non -
self-priming pool filter pumps, waterfall pumps, pressure cleaner booster pumps, integral sand -filter pool pumps, integral -cartridge filter pool pumps, storable 
electric spa pumps,  and rigid electric spa pumps. 
“Electric pool heater” means an appliance designed for heating non -potable 
water contained at atmospheric pressure, including heating water in swimming 
pools, spas, hot tubs, and similar applications. The heat source is elect ricity.  
“Pool equipment” means electrical appliances found around the pool including, 
but not limited to, dedicated- purpose pool pumps, electric pool heaters, 
electrolytic chlorinators, lights, cleaners, and water features.  
“Pool control” and “pool control s” mean any component or group of components 
including software that:  
(1) Has the capability to start or stop the operation of a pool filter pump and 
other pool equipment, and 
(2) Uses single- phase AC power as input power. 
“Pool control ” and “pool controls” exclude controls marketed exclusively for 
use as a control for pool filter pumps with a rated hydraulic horsepower (hhp) 
greater than 2.5 hhp.  
“Pool filter pump” means an end suction pump that:  
(1) Either:  
(A) Includes an integrated basket strainer; or  
(B) Does not include an integrated basket strainer but requires a basket 
strainer for operation, as stated in manufacturer literature provided with the pump; and  
(2) May be distributed in commerce connected to, or packaged with, a sand 
filter, removable cartrid ge filter, or other filtration accessory, provided that 
the filtration accessory is connected with consumer -removable 
connections that allow the filtration accessory to be bypassed.  
“Pressure cleaner booster pump” means an end suction dry rotor pump designed 
and marketed for pressure -side pool cleaner applications.  
“Pump Priming” means an operation that initiates water circulation by pulling 
water from the pool into the pool circulation system with a duration time less 
than or equal to 15.0 minutes.  
Note: 
Authority cited: Sections 25213, 25218, 25402(f) and 25402.11, Public Resources Code.  Reference: Sections 25216.5(d), 25402(f) and 25402.11, Public Resources Code.  
Section 1692. General Requirements.  
(a) Testing.  If section 1693 of this Article requires that a specific appliance type be 
tested, then the manufacturer shall cause the testing of units of each basic 
model of appliance within the scope of this Article and comply with the applicable provisions of this s ection.  
(1) The testing shall be at a laboratory that:  
(A) has conducted tests using the applicable test method within the previous 
12 months;  
(B) agrees to and does interpret and apply the applicable test method set 
forth in section 1693 of this Article p recisely as written;  
(C) has, and keeps properly calibrated and maintained, all equipment, 
material, and facilities necessary to apply the applicable test method precisely as written;  
(D) agrees to and does maintain copies of all test reports, and provides  any 
such report to the Executive Director on request, for all basic models that are still in commercial production; and  
(E) agrees to and does allow the Executive Director to witness any test of 
such an appliance on request, up to once per calendar year for each basic model. 
(b) Marking.  The following information shall be permanently, legibly, and 
conspicuously displayed on an accessible place on each unit of every appliance within the scope of this Article.  
(1) manufacturer's name or brand name or tradema rk; 
(2) model number; and 
(3) date of manufacture, indicating (i) year and (ii) month or smaller (e.g., week) 
increment.  
If the date is in a code, the manufacturer shall immediately, on request, provide 
the code to the Energy Commission.  
(c) Cybersecurity.  Where applicable, appliances subject to this Article shall meet 
or exceed the requirements of state law s relating to  reliability and cybersecurity, 
and shall comply, at a minimum, with the following North American Electric 
Reliability Corporation’s (NERC) Critical Infrastructure Protection standards : (1) Device Identification.  The manufacturer shall assign a unique logical 
identifier to the connected device.  
(A) The device identification shall be in a logical location access ible to 
authorized entities.  
(2) Device Configuration.  The configuration of the connected device’s 
software shall be changed by authorized entities only.  
(A) The connected device shall include the capability to allow the authorized 
entities  to restore the device’s default settings.  
(3) Data Protection. The connected device shall not display the credentials and 
personal data in plaintext on the user interface.  
(4) Passwords.  The connected device shall contain a security feature that 
requires a user to genera te a new means of authentication before access is 
granted to the device for the first time, and shall support the use of 
passwords meeting the NERC password  strength requirements listed below:  
(A)  Each password shall be a minimum of six characters.  
(B)  Each password shall consist of a combination of alpha, numeric, and 
special characters.  
(5) Software Update.  The manufacturer shall have an update policy that 
informs the consumer how the manufacturer will support software updates 
and informs the consumer that the device is capable of being updated 
whenever new vulnerabilities are discovered.  
(A) On initial connection to the internet, the connected device shall attempt 
to receive update notice from the manufacturer’s update service and 
attempt to download, verif y, and apply any available patches.  
(B) The manufacturer shall provide an estimated security expiration date or 
end of life policy that informs the consumer when the manufacturer will be discontinuing the connected ready device support.  
(6) Restart Setting s. Upon device restart, the device shall automatically restore 
the most recently programmed settings, including reconnection to a network.  
(7) Automatic Rejoin.  When physical or logical communication is lost, the 
connected device shall automatically attemp t to rejoin the physical or logical 
communication.  
(8) Override Function.  The connected device shall allow consumer to change 
the event responses and connected device settings at any time.  (d) See section 1693  of this Article for additional requirements for specific 
appliances.  
Note: 
Authority cited: Sections 25213, 25218, 25402(f) and 25402.11, Public Resources Code.  
Reference: Sections 25216.5(d), 25402(f) and 25402.11, Public Resources Code.  
Section 169 3. Appliance Specific Standards and 
Requirements.  
(a) Every unit of every applia nce within the scope of this Article shall comply with 
the applicable provisions of this section.  
(b) Pool controls.  
(1) Pool controls shall meet the flexible demand appliance standards, testing, 
marking, and cybersecurity requirements enumerated in this s ection no later 
than one year after they are adopted or updated. 
(2) Flexible demand appliance standards.  
(A) Pool controls shall be a connected device as defined in section 1691 of 
this Article.  
(B) Clock Requirements.  
1. Pool control s shall have the following capabilities:  
a.  in the event of a loss of power, the system settings, including 
operating schedules, and local clock, shall be retained for at least 
72 hours ; and 
b.  pool controls that are configured by or communicate with a separate device shall have the ability to automatically synchronize 
their system clock to the local time specified by that device . 
2. Pool control s shall support both local and remote setup, selection, and 
update of its operating schedule. Local and remote s etup, selection, 
and update shall be possible through a user interface.  
(C) Default Operating Schedule.  
1. Pool control s shall be preprogrammed with a preconfigured or  default 
operating schedule  that shall:  
a. start no earlier than 9 a.m. local time and finish no later than 3  
p.m. local time for the following operations:  i.  any automatic  operation of the pool filter pump at more than 50 
percent of the maximum operating speed of the pool filter 
pump,  
ii.  any operation of the pressure cleaner booster pump, and  
iii.  any operation of the electric pool water heater ; and 
b. not automatically operate the pool filter pump, pressure cleaner 
booster pump, or electric pool water heater between 4 p.m.  local 
time and 9 p.m. local time; and 
c. automatically operate the pool filter pump at 50 percent of the 
maximum operating speed of the pool filter pump or less during all remaining hours and  may perform pump priming at any time.  
2. Pool controls may contain multiple preconfigured schedules that may be 
selected by the user. If so, the pool controls shall be preprogrammed 
with a preconfigured or default operating schedule that complies with 
the requirements of section 1693(b)(2)(C)( 1) of this Article . 
(3) Testing.  There are no testing  requirements for pool controls. 
(4) Marking.  The general marking requirements shown in section 16 92(b) of 
this Article must be met. There are no additional marking requirements specific to  pool controls. 
(5)
 Cybersecurity.  The general cybersecurity standards in section 1692(c) of 
this Article must b e met. There are no additional cybersecurity standards 
specific to pool controls. 
Note: 
Authority cited: Sections 25213, 25218, 25402(f) and 25402.11, Public Resources Code.  
Reference: Sections 25216.5(d), 25402(f) and 25402.11, Public Resources Code.  
Section 169 4. Customer Consent.  
(a) Appliances subject to this Article shall provide mechanisms for obtaining 
customer consent that maximize customers’ use of the appliances’ flexible 
demand capabilities. T hese mechanisms shall include, but need not be limited to, 
the following:  
(1) the manufacturer shall provide notifications with the appliance packaging 
materials that inform customers of the appliance’s flexible demand capabilities, including, where applicable, that t he
 appliance also has features that allow energy providers or other entities to control the appliance’s flexible 
demand capabilities with the customer’s consent.  
(2) a manufacturer shall provide information on the manufacturer’s website of 
the flexible demand capabilities of the appliance.  
(3) the manufacturer shall provide electronic consent functions, opt -in, or opt -
out features, for the flexible demand capabilities  consistent with the 
appliance -specific requirements.  
(4) the manufacturer shall obtain customer consent prior to the collection of 
customer data.  
(5) the manufacturer shall provide information on the manufacturer’s website to 
tell customers  of the acceptable use policies of customer data.  
Note: 
Authority cited: Sections 25213, 25218, 25402(f) and 25402.11, Public Resourc es Code.  
Reference: Sections 25216.5(d), 25402(f) and 25402.11, Public Resources Code.  
Section 169 5. Certification Requirements.  
(a) Filing of Statements.  
(1) Each manufacturer shall electronically file with the Executive Director through 
the Flexible Appl iance Database (FAD) a statement for each appliance that is 
sold or offered for sale in California.  
(2) The manufacturer statement shall contain the following information:  
(A) each statement shall be a single and complete line of data for a specific 
model and end -use, containing all the data required in section 169 6 of this 
Article for that appliance type.  
(B) 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:  
1. shall be used only for a part of the model number that does not 
indicate flexi ble demand appliance design or performance;  
2. shall represent a single letter, number, blank, or other character at the 
asterisk's location in the model number; and  
3. shall not be used for any of the first four letters, numbers, blanks, or 
other characte rs in the model number.  (C) 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 subsi diary 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.  
(D) the name, address, telephone number, e -mail address, and, if available, 
fax number of the individual to contact concerning the statement pursuant 
to section 1695 (a)(2)(H) of this Article.  
(E) the name, address, telephone number, e -mail address, and, if available, 
fax number of the person signing the declaration pursuant to section 
1695(a)(2)(H) of this Article. 
(F) 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 test ing required by section 16 92 of this Article was 
performed. 
(G) the statement shall include testing and performance information required 
for that appliance as listed in section 169 6 of this Article.  
(H) 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 1695(a)(2) of this Arti cle have been and 
are being complied with;  
3. for appliances for which there is a flexible demand appliance standard 
in section 1693 of this Article, that the appliance complies with the 
applicable standards;  
4. the appliance was tested under the applicabl e test method specified in 
section 1693 of this Article. If section 1693 of this Article provides more than one test method that may be used, the manufacturer shall identify which method was used; and  
5. all units of the appliance are marked as required by section 1693  of this 
Article.  (I)  identifiers, when referenced in relation to section 169 6 of this Article for 
data submittal requirements, means those fields shown in section 169 6 of 
this Article for each specific appliance type that, when taken in 
combination for a specific model of a specific appliance type, represent the criteria for designating a model. At a minimum, each specific appliance type's model “identifiers” will include (a) manufacturer, (b) brand, and (c) 
model number. Individual appliance  types may include additional fields as 
identifiers. All identifiers are represented in section 169 6 of this Article by 
an asterisk (“*”). For purposes of compliance with section 1695 (e)(1) of 
this Article, the identifiers represent fields that cannot be m odified  
(3) Any electronic filing to the FAD constitutes a representation by the person 
making the filing that:  
(A) the person will electronically acknowledge receipt through the FAD of all 
electronic communications concerning the filing from the Executive  
Director through the FAD to the person;  
(B) all electronic communications concerning the filing from the Executive 
Director through the FAD to the person shall be deemed received by the 
person upon notification to the Executive Director, by the computer f rom 
which the Executive Director communication has been sent, that the communication has been sent; and  
(C) 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.  
(b) Review of Statements by the Executive Director.  
(1) The Executive Director may 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 section 169 3 of this Article.  
(2) In this subsection, “manufacturer” also includes a third -party certifier filing a 
statement under section 1695(f) of this Article.  
(3) Complete and Accurate Statement. 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:  
(A) immediately include the appliance in the F AD; and  
(B) inform the manufacturer's FAD- designated contact person or the third-
party certifier’s FAD -designated contact person electronically of the determination within 30 calendar days after receipt by the Executive 
Director.  
(4) Incomplete Statement. 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: 
(A) return the statement through the FAD to the manufacturer's FAD-
designated contact person with an explanation of its defects and a request for any necessary additional information within 30 calendar days after 
receipt by the Executive Director.  
(B) the manufacturer shall refile the statement through the FAD with all 
information requested by the Executive Director.  
(C) the Executive Director shall review the refiled statement.  
(5) 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: 
(A) reject the statement and return it through the FAD to the manufacturer's 
FAD-designated contact person with an explanation of its defects within 
30 calendar days after receipt by the Executive Director , to the extent 
practicable . 
(B) the manufacturer may submit a revised statement through the FAD for 
the appliance.  
(c) Flexible Demand Databas e of Appliance Models.  
(1) The Executive Director shall maintain a database of appliance models 
complying with flexible demand standards known as the “Flexible Appliance 
Database ” or “FAD” and consist ing of two parts:  
(A) ”Approved FAD.” The Approved FAD shall contain information on all 
appliances that are currently in production, for which complete and accurate statements have been received and approved pursuant to this Article, and that have not been removed from the FAD pursuant to 
sections 1695(c)(2), 1695(d) -(e), or 1697 of this Article.  
(B) “Archived FAD.” The Archived FAD shall contain, at least, information on 
all appliances that:  1. are no longer in production, for which complete and accurate 
statements have been received pu rsuant to section 1695 (a) of this 
Article; or  
2. have been removed from the Approved FAD pursuant to sections 
1695( c)(2) or 1695( e)(2) of this Article.  
(2) Confirmation of FAD Listings. The Executive Director may, by electronically 
writing to the most rece nt electronic address filed pursuant to section 
1695(a)(2)(D) of this Article and request each manufacturer of an appliance 
listed in the FAD to confirm the validity of the information in each of its FAD 
listings.  
(A) If within 30 calendar days of the elec tronic mailing there is no such reply, 
the appliance may be removed from the Approved FAD and moved into 
the Archived FAD.  
(B) If the lack of compliance with any requirements of this Article is strictly 
limited to non- compliance with standards adopted sinc e the most recent 
filing by the manufacturer:  
1. all affected models may be moved from the Approved FAD to the 
Archived FAD. After the models have been moved, all affected 
manufacturers will be notified through the FAD or via email.  
2. the effective date for moving such affected models to the Archived FAD 
will be the effective date of the new standard.  
(3) Records Retention. Notwithstanding any other provision of this Article, FAD 
listings that have not been confirmed within ten (10) years o f original 
submittal or subsequent confirmation shall be presumed to be for products no longer in production and shall be automatically removed from the Approved 
FAD and moved into the Archived FAD.  
(d) Assessment of Completeness, Accuracy, and Compliance of 
Manufacturer Statements.  
(1) 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 the Executive Director may, no sooner than ten working days after providing electronic notice to the person designated in section 169 5(a)(2)(D) of this Article, remove the appliance from the FAD.  
(e) Modified and Discontinued Appliances.  
(1) Modified Appliances. (A) If any of the appliance characte ristics listed in FAD do not match the 
characteristics of the appliance being sold  or offered for sale, rented, 
imported, distributed or leased for use  in California  the manufacturer shall 
file a new statement for the appliance, including all the character istics 
needing update. 
(B) Upon receipt of such a statement, the Executive Director shall review the 
statement under section 169 5(b) of this Article. If the statement is 
complete, accurate, and in compliance with all applicable standards, the 
Executive Dir ector shall modify the FAD.  
(2) Discontinued Appliances.  
(A) After any appliance has ceased being  sold or offered for sale, rented, 
imported, distributed or leased for use  in California , the manufacturer 
shall file a statement only containing the identifiers shown section 169 6 of 
this Article for the appliance.  
(B) Upon receipt of such a statement, the Executive Director shall review the 
statement under section 169 5(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 
FAD to the Archived FAD.  
(f) Filing by Third -Party Certifier.  
(1) A third party may file a statement on behalf of a manufacturer as required in 
section 169 5(a) of this Article.  
(2) Whether a manufacturer files information required by this section by itself or 
via a third -party certifier, 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 certifier from making filings, 
allow continued filings under specific conditions, or remove affected 
appliances from the FA D. 
Section 169 6. Data Submittal Requirements.  
The data submittal requirements shown in this section are required pursuant to section 169 5 of this Article.  
(a) All appliances.  
(1) The data submittal requirements shown in Table A -1 are required for all 
 appliances  subject to this Article . Table A -1: Data Submittal Requirements for All Applia nces  
Required Information  Permissible Answers  
*Manufacturer’s Name   
*Brand Name   
*Model Number   
Manufacture date   
Is a connected device  True, false  
*Identifier information as described in section 
1695(a)(2)(I) of this Article. 
(2) The data submittal requirements shown in Table A -2 are required for any 
appliance that is a connected device, as defined in section 16 91 of this 
Article.  Table A -2: Data Submittal Requirements for All Connected Devices  
Required Information  Permissible Answers  
Unit complies with listed smart grid open standards  True, false  
Unit has a unique logical identification  True, false  
Only a uthorized users are allo wed to change the 
software configuration True, false  
Unit supports NERC password strength and has a 
unique password from the factory True, false  
Unit does not display credentials in plaintext on the 
user interface  True, false  
Unit does not display personal data in plaintext on the 
user interface  True, false  
Software updates through remote means such as a n 
internet download  True, false  
Manufacturer has security  update policy  True, false  
Manufacturer gives end of security support date  True, false  
On initial setup the unit attempt s to execute  software 
updates  True, false  
At restart, unit automatically restores recently saved 
settings  True, false  
At restart, unit automatically restores recently saved 
network connection  True, false  
Unit automatically attempts to reconnect after loss of 
connection True, false  
Unit allows the local users to override the schedule 
and/or delay timer  True, false  
The unit allows authorized users to change its settings 
at any time  True, false  
Unit allows  the user to restore the factory default 
settings  True, false  
 (b) Pool controls.  
The data submittal requirements shown in Table B-1 are required for pool controls.  
Table B-1: Data Submittal Requirements for Pool Controls  
Required Information  Permissible Answers  
Local and remote  control  possible through a user 
interface  True, false  
Unit retain s memory  for at least 72 hours without 
external power  True, false  
System clock  has ability to sync  with local time  
automatically  True, false  
The pool control is preprogrammed with  a default 
operating schedule setting  True, false  
Default  operation of pool filter pump at 50+% of 
max rpm starting  at 9 a.m. and ending  by 3 p.m. 
local time  True, false  
Default  operation of pressure cleaner booster 
pump starting  at 9 a.m. and ending  by 3 p.m. 
local time  True, false  
Default  operation of electric pool water heater  
starting  at 9 a.m. and ending  by 3 p.m. local time  True, false  
No default operation  between 4 p.m. and 9 p.m. 
local time  True, false  
 
Note: Authority cited: Sections 25213, 25218, 25402(f) and 25402.11, Public Resources Code.  
Reference: Sections 25216.5(d), 25402(f) and 25402.11, Public Resources Code.  
Section 169 7. Compliance, Enforcement, and Administrative 
Civil Penalties.  
(a) Compliance and Enforcement.  
(1) Any unit of any appliance subject to this Article may be sold or offered for 
sale, rented, imported, distributed or leased for use  in California regardless of 
the physical location of the seller and includes, without limitat ion, transactions conducted over telephone or the internet, only if it complies with 
the requirements of this Article, including, but not limited to the following:  
(A) the appliance appears in the most recent active FAD established pursuant 
to section 1695(c) of this Article;  
(B) the manufacturer has:  
1. tested the appliance as required by section 1693 of this Article;  
2. marked the unit as required by section 1693 of this Article;  
3. for any appliance for which there is an applicable standard in section 
1693 of this Article, certified under section 1695(a) of this Article that 
the appliance complies with the standard;  
(C) the unit has the same components, design characteristics, and all other 
features that affect flexibility, as applicable, as the units tha t were tested 
under section 169 3 of this Article or for which information was submitted 
under section 1695(a) of this Article; and  
(D) for any appliance for which there is an applicable standard in section 
1693 of this Article, the unit complies with the standard.  
(2) The Executive Director and Energy Commission may take any action 
authorized by statute or Energy Commission regulations to address or 
prevent any violation of this Article.  
(3) All Appliances: Submittal of Reports of Manufacturers' Certification 
Testing.  
(A) For any appliance, the Executive Director may at any time request from a 
manufacturer a copy of the test report that describes the results of the 
testing that was performed pursuant to section 1692  of this Article and 
that provides the basis for the information submitted under section 
1695(a) of this Article.  
(B) The request shall be sent to the e- mail address designated in section 
1695(a)(2)(D) of this Article.  
(C) If the Executive Director includes with the request information that, in 
their opinion, constitutes evidence that the appliance or the manufacturer:  
1. is not in compliance with an applicable provision of this Article, or  
2. that the flexibility of the appliance is not as certified under section 
1695(a)  of this Article, or  3. is not as required by an applicable standard in section 1693 of this 
Article, then 
4. the manufacturer shall provide a copy of the applicable test report to 
the Executive Director within 5 working days of the manufacturer's 
receipt of the request.  
(D) If the Executive Director does not receive the test report within the 
required time, the Executive Director may remove the appliance from the 
FAD. 
(E) If the test report indicates that the appliance model does not comply with 
an applicable standard in section 1693  of this Article, the Executive 
Director shall, ten working days after providing electronic notice via e -mail 
or directly through the FAD to the person designated in section 1695(a)(2)(D) of this Article, remove the model from the FAD.  
(4) Inspectio n by the Executive Director of Appliances Subject to 
Flexible Demand Appliance Standards, Certification, Marking, and 
Other Requirements of this Article.  
(A) The Executive Director may periodically inspect appliances sold or offered 
for sale, rented, impor ted, distributed or leased for use  in California , to 
determine whether they conform with the applicable flexible demand 
appliance standards, certification, marking, and other requirements of this 
Article.  
(B) Inspection of an appliance may consist of inspe ction of one or more units.  
1. If the inspection indicates that the unit or units comply with the 
applicable requirements, the matter may be closed.  
2. If the inspection indicates that the unit or units do not comply with an 
applicable requirement, the Exe cutive Director and Energy Commission 
may take any actions that are authorized by statute or Energy Commission regulations to address or prevent any violation of this 
Article, including removing the appliance from the FAD.  
(b) Administrative Civil Penalties.  
(1) No person, including a manufacturer, retailer, contractor, importer, 
distributor, or lessor, may sell, rent, import, distribute, lease, or offer for sale, 
rent, import, distribution, or lease for use in California, rega rdless of the 
physical location of the seller or whether the transaction takes place over telephone or the internet, a new appliance subject to this Article unless it 
meets the requirements of this Article. No person shall violate the cybersecurity requirements of this Article. Violations of this Article are subject 
to an administrative civil penalty not to exceed two thousand five hundred 
dollars ($2,500) for each violation each unit of the appliance is involved in.  
(2) Notices of Violation.  
The Executive Director, or their designee, may send a written Notice of Violation by certified mail (registered mail to non- U.S. destinations) or other 
means that provide actual notice to the person in violation of this Article. The 
Notice of Violation shall contain the  following information:  
(A) the name and address of the person responsible for the violation;  
(B) a statement indicating the statute, regulation, order, or decision upon 
which the Notice of Violation is based, including any provisions relating to 
the assessment of administrative civil penalties;  
(C) a statement of facts upon which the Notice of Violation is based, including 
a description of the appliances or units of appliances at issue and a 
reference to model numbers.  
(3) Settlement.  
(A) Consistent with California Government Code Section 11415.60, the Energy Commission, or upon delegation, the Executive Director,  may at any time 
issue a decision by settlement with a responsible person. The settlement agreement may include appropriate sanctions and remedies to address violations and promote compliance.  
(4) Administrative Proceedings.  
(A) No earlier than 30 calendar days after issuing a Notice of Violation, the 
Executive Director may initiate an adjudicative proceeding to impose 
administrative civil penalties if the Executive Director determines that the 
responsible person has not made sufficient prog ress in addressing the 
violations identified in the Notice of Violation.  
(B) The proceeding shall be initiated by filing and serving a complaint as 
specified in California Code of Regulations, title 20, section 1233.1. The 
complaint shall include an assessment of penalties based on the factors 
set forth in Public Resources Code section 25402.11 and may include 
other information from the Notice of Violation.  
(C) The proceeding shall be conducted in a manner consistent with California 
Code of Regulation s title 20, section 1233.1.  (D) The proceeding shall be heard directly by the Energy Commission as set 
forth in Public Resources Code sections 25210 and 25211.  
(E) After the hearing referenced in this Article, the Energy Commission shall 
issue or adopt a decision on whether a violation of this Article has been 
committed, and assess penalties based on application of the factors set 
forth in section 25402.11 of the Public Resources Code.  
(5) Other Enforcement Procedures.  
The Executive Director, their designee  and Energy Commission may take any 
actions that are authorized by statute or Energy Commission regulations to address or prevent any violation of this Article.  
(6) Judicial Review.  
An order of the Energy Commission imposing an administrative civil penalty shall be subject to judicial review pursuant to Public Resources Code Sections 
25534.2(a) and 25534.2(b).  
Note: Authority cited: Sections 25213, 25218, 25402(f) and 25402.11, Public Resources 
Code. Reference: Sections 25216.5(d), 25402(f), 25402.11, 25534.2 Public Resources Code. Sections 11415.60, 11505 and 11517, Government Code.