DOCKETED  
Docket Number:  23-FDAS -01 
Project Title:  Pool Controls Rulemaking  
TN #:  250722  
Document Title:  15 Day Proposed Regulatory Language  
Description:  This document supersedes TN # 250702 and makes 
typographical corrections to three sections: 1691(b) “Pool filter 
pump” added strikethrough, 1692(c)(8) added struck words 
“connected device”, 1694(a)(2) corrected struck “the” to “a”.  
Filer:  Nicholaus Struven  
Organization:  California Energy Commission  
Submitter Role:  Commission Staff   
Submission Date:  6/23/2023 1:00:58 PM  
Docketed Date:  6/23/2023  
 15 Day  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 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 . 
The new sections  to the code th at were made public with the Notice of Proposed 
Action on February 23 , 2023 , are as shown in plain text (example). Additional 
amendments being proposed for a 15 -day public comment period are shown in 
double strike ( example ) for deletions and double underline ( example ) for 
additions and read s 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 transactions conducted over telephone or the internet. Unless 
otherwise specified, each provision applies only to units manufactured on or after 
the effective date of the p rovision.  
(1) Pool controls  that are consumer products  designed to use  single -phase AC 
power as input power . 
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 1 690.1. Rules of Construction  
 
(a) The following rules of construction apply to this Article:  
1. Where the context requires, the singular includes the plural and the plural 
includes the singular.  
2. The use of “and” in a conjunctive provision means that all elements in the 
provision must be complied with or must exist in order to make the provision 
applicable. “Or” (rather than “and/or”) is used where compliance with one or more elements suffices, or where the existence of one or more elements 
makes the provision applicable.  
3. “Shall” is mandatory and “may” is permissive.  
 
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 co vering.  
“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 a connected  device  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 manuf actured 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.  
“Communication layers” mean the organization of communication into separate 
functio nal components that interact in a sequential and hierarchical way.  
“Communication link” means the mechanism  for bidirectional data transfers 
between the connected device and one or more external applications, devices , or 
systems.  
“Connected device” means any device that can wirelessly communicate via open 
standards with entities outside the device by means of i ntegrated or separate 
communications hardware or software . A device that is able to receive but not 
send  communication is not a connected device. 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.  
“Connected ready device”  mean s a device that is designed to perform  as a 
connected device by means of separate communications hardware or software, 
where any separate hardware or software needed for communication is not 
included with the device and must be purchased or acquired separately . For the 
purpose of this Article a  device that includes all  communications hardware and 
software  needed  to perform as a connected device is not considered connected 
ready ; a device including all hardware and software needed for connectivity is a 
connected device , even if the included hardware or software is separable  or 
requires installation . See also “connected device” . 
“TCP/IP signal” means a type of data format used to carry data through the 
network.  
“Consent” means a customer’s  or consumer’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 consumer  or by a third party, 
load-serving entity, or a grid -balancing authority. Consen t 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 director 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 curtail the electrical 
demand of a load -serving entity’s customer through direct action by the customer 
or through action by a t hird 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 al utility  
corporation as defined in  Section 218 of the Public Utilities Code , an electric 
service provider  as defined in Section 218.3 of the Public Utilities Code , a local 
publicly owned electric utility as defined in Section 224.3 of the Public Utilities 
Code,  or a 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 Cod e 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 
adequat e 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 ele ctrical 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 interfac e. 
“Manufacturer” means any person engaged in the production or assembly of an 
appliance or commercial and industrial equipment, or any person that has 
responsibility for the production or assembly of an appliance, including but not 
limited to private bran d packagers and re -assemblers . 
“Model” means any collection of appliance units to which the manufacturer has 
assigned the same model number.  
“Model number” means a combination of letters, digits, or characters 
representing the manufacturer, brand, design, or performance of an appliance.  
“Open standards” mean s standards  adopted or published, individually or jointly, 
by one or more of the following organizations:  the National Institute of Standards 
and Technology (NIST) , American National Standards Institute (ANSI) , 
International Organization for Standardization (ISO) , International 
Electro technical Commission (IEC) , International Telecommunication Union 
(ITU) , Institute of Electrical and Electronics Engineers (IEEE), or Internet 
Engineerin g Task Force (IETF) . 
"Personal information" means any information that identifies, relates to, 
describes, or is capable of being associated with, a particular individual, 
including, but not limited to, name, signature, social security number, physical 
characteristics or description, address, telephone number, passport number, 
driver's license or state identification card number, insurance policy number, 
education, employment, employment history, bank account number, credit card number, debit card number, or  any other financial information, medical 
information, or health insurance information. "Personal information" does not 
include publicly available information that is lawfully made available to the 
general public from federal, state, or local government re cords.  
“Radio broadcast data system  receiver ” or “radio data system receiver”  means a 
communication s protocol standard for receiving  digital information embedded in 
conventional FM radio broadcasts  using IEC 62106 -9:2021  or an equivalent open 
standard , combined with the hardware and software needed to receive and 
interpret the embedded digital  information . 
“Security feature” means a collection of functions used to protect the connected 
device from unauthorized use or disclosure of data.  
“Sold o r 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 th is 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 offers for sale occur.  
“Special character” means any non -alphanumeric ch aracter that can be rendered 
on a standard, American -English keyboard . The list of , and includes the following  
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 Control  Definition s. 
“Dedicated -purpose pool pump  motor ” has the meaning specified in 10 CFR 431 
Subpart Z  (2021) 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 . 
“Direct load control switch” means a clock -operated switch device that is 
designed, marketed , or sold to  start or stop the operation of pool filter pump s or 
electric pool heater s. 
“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 electricity.  
“Heater switch ” means a clock operated switch device that is designed, 
marketed , or so ld to start or stop the operation of electric pool heater s. “Integral”, when used with respect to pool controls, means controls that are an 
integral part of a pump or pump motor. Integral controls may be capable of being 
removed and may be sold separately from the pump or pump motor.  
“Pool equipment” means electrical appliances used to provide services or 
features to pools  found around the pool  including, but not limited to,  dedicated -
purpose  pool pumps, electric pool heaters, electrolytic chlori nators, lights, 
cleaners, and water features.  
“Pool control” and “pool controls”  means equipment with the capability to start , 
stop, or otherwise c ontrol  the operation of a pool filter pump and includes, but is 
not limited to, a pool timer, pool pump switch, heater switch, direct load control 
switch, or any component or group of components , including software , that : has 
the capability to independently schedule the operation or control the start or stop 
times of a pool filter pump . Pool controls may control other pool equipment in 
addition to a pool filter pump.  
(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.  
1. “Pool control ” and “pool controls”  exclude s controls marketed exclusively 
for use as a control for pool filter pumps with a rated hydraulic horsepower 
(hhp) greater than 2.5 hhp , and excludes  safety interlock or  shutoff 
controls . 
“Pool filter pump” means an product using a dedicated purpose pool pump  motor 
or other type of  end suction pump motor for the purpose of circulating pool water 
through a filter or strainer .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 manufactur er literature provided with 
the pump; and  
(2) May be distributed in commerce connected to, or packaged with, a sand 
filter, removable cartridge filter, or other filtration accessory, provided that 
the filtration accessory is connected with consumer -removab le 
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 . 
“Pool pump switch” means a clock operated switch device that is designed, 
marketed , or sold to  start or stop the operation of a pool filter pump.  
“Pool timer” means a clock operated device that is designed, marketed , or sold to  
start or stop the operation of pool filter pump s or electric pool heater s. 
The following documents are incorporated by reference in section 1691 : 
Number  Title 
FEDERAL STATUES AND 
REGULATIONS   
Code of Federal Regulations 
Title 10, Part  431, Subpart Z  
(2021)  Energy Efficiency Program for Certain 
Commercial and Industrial Equipment 
Subpart Z —Dedicated -Purpose Pool Pump 
Motors  
  
Copies available from:  SUPERINTENDENT OF DOCUMENTS  
 U.S. GOVERNMENT PRINTING OFFICE  
 WASHINGTON, DC 20402  
 www.ecfr.gov  
  
INTERNATIONAL 
ELECTROTECHNICAL 
COMMISSION   
IEC 62106 -9:2021  Radio Data System (RDS) - VHF/FM sound 
broadcasting in the frequency range from 
64,0 MHz to 108,0 MHz - Part 9: RBDS - 
RDS variant used in North America  
  
Copies available from:  IEC Regional Centre for North America  
 446 Main Street , 16th Floor  
 Worcester, MA 01608  
 https://webstore.iec.ch/  
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 f or 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 accessible 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 def ault settings.  
(3) Data Protection. The connected device shall provide consumer data 
protection  for any and all collected personal information , consistent with state 
and federal law not display the credentials and personal data in plaintext on 
the user interface . 
(A) The connected device  shall not collect categories of personal information 
unrelated to or not  necessary for the function of the device , nor shall the 
connected device transmit or use personal information collected for 
purposes other than for the function of the device . 
(4) Authentication Passwords . The connected device shall contain a security 
feature that requires a user to generate a new means of authentication before 
access is granted to the device for the first time, and if a plain text-based 
password is used  it shall support the use of passwords meeting the NERC 
password strength requirements listed below:  
(A)  Each The device shall  support  password s shall be a minimum  of six 
characters  or longer . 
(B)  Each password shall The device shall support passwords that  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 consum er that the device is capable of being updated whenever 
new vulnerabilities are discovered.  
(A) On initial connection to the internet, the cConnected device s shall attempt 
to receive update notice  provide the consumer  with the ability to check for 
updates  from the manufacturer’s update service and attempt to download, 
verify, 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 Settings.  Upon device restart, the device shall automatically restore 
the most recently programmed settings, including reconnection to a networ k. 
(7) Automatic Rejoin.  When physical or logical communication is lost, the 
connected device shall automatically attempt to rejoin the physical or logical 
communication.  
(8) Override Function.  The connected device shall allow  the consumer to 
change the event responses and  connected device event response  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 1693. Appliance Specific Standards and Requirements.  
(a) Every unit of every appliance within the scope of this Article shall comply with the 
applicable provisions of this section.  
(b) Pool controls.  
(1) Effective date.  The standards for  pool controls shall be effective beginning 
on September 13, 2024 . Pool controls shall meet the flexible demand 
appliance standards, testing, marking, and cybersecurity requirements 
enumerated in this section no later than one year after they are adopted or 
updated.Pool controls shall meet the flexible demand appliance standards, 
testing, marking, and cybersecurity requirements enumerated in this section 
no later than one year after they are adopted or updated.  
(2) Flexible demand appliance standards.  
(A) Communication Requirements .Pool controls shall be  a connected 
device  as defined in section 1691 of this Article : 
1. Pool controls manufactured on or after September 13, 2024 , and prior 
to December 31, 2026 , shall be connected ready  devices or connected 
devices , and may contain a radio broadcast data system receiver . 2. Pool controls manufactured on or after January 1, 2027 , shall be 
connected devices and shall contain a radio broadcast data system  
receiver . 
(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 connected devices or contain radio broadcast 
data system receivers configured by or communicate with a 
separate device  shall have the ability to automaticall y and 
continuously  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  via a user interface . Local and remote 
setup, selection, and update shall be possible through a user interface.  
a. The user interface for local setup shall be integrated into or 
supplied with the control , for installation at the same location or 
premises as the control . 
3. Pool controls that are connected devices shall also support remote 
setup, selection, and update of its operating schedule  via a user 
interface . 
a. The user interface for remote setup may be located on a separate 
device able to communicate with the connected device  via a 
wireless communications format , and may include additional 
features beyond those provided by the user interface for local 
setup . 
(C) Default Operating Schedule.  
1. Pool controls 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 1692(b) of this 
Article must shall 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 shall be met. There are no additional cybersecurity standards 
specific to pool controls.  
(6) Communication.  
(a) Manufacturers of pool controls  sold or offered for sale in California  and 
subject to the standards stated in Section 1693  shall comply with Section 
1694 (a). 
(b) Connected devices shall communicate with entities outside the device 
using open standards for all communication layers for th e consumer 
consent functions listed in section 1694(b) -(d). 
(c) Devices that contain a radio broadcast data system  receiver  shall receive 
digital information from entities outside the device for the consumer 
consent functions listed in section 1694(e) . 
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 1694. Customer  and Consumer  Consent.  
(a) Manufacturers of  Aappliances that are connected  devices  subject  to this Article 
or of components that enable connectivity in connected ready devices subject to 
this Article  shall provide mechanisms for obtaining customer  consent that maximize s customer s’ use of the appliances’ flexible demand capabilities. T hese 
mechanisms shall include, but need not be limited to, the following:  
(1) the manufacturer shall provid inge notifications with the appliance device’s  
packaging materials that describe its inform customers  of the appliance’s 
flexible demand capabilities, including, where applicable, that t he appliance 
also has device includes features that allow energy providers or other entities 
to control the appliance device’s  flexible demand capabilities with the 
customer’s  or consumer ’s consent.  
(2) a manufacturer shall  provid inge information on the manufacturer’s website of 
the device’s  flexible demand capabilities  of the appliance . 
(3) the manufacturer shall  provid inge electronic consent functions, opt -in, or opt -
out features , for the flexible demand capabilities consistent with the 
appliance -specific requirements required by this Article . 
(4) the manufacturer shall  obtain ing customer consent prior to the collection of 
customer  or consumer  data.  
(5) the manufacturer shall  provid inge information on the manufacturer’s website 
to tell customer s of describing  the acceptable use policies of customer  data 
collected by the device . 
(b) Appliances that are connected devices and are subject to this Article shall be 
capable of receiving , acting upon , and responding to authorized remote requests 
via a communication link , similar to consumer controllable fu nctions on the 
appliance. At a minimum, the appliance shall be capable of acting upon and 
responding  to authorized signals received via a communication link requesting:  
(1) the start or stop of operation ; and  
(2) changes to equipment operation or schedule . 
(c) Appliances  that are connected devices and are subject to this Article shall be 
capable of  providing the following information to  customers or consumer s and to 
authorized third parties via a communication link : 
(1) operation status including, On, Off, and Standby, and  
(2) program schedule including schedule times and scheduled operation . 
(d) Appliances  that are connected devices and  are subject to this Article shall be 
capable of transmitting measured or estimated data representative of its real-time 
power draw to customers or  consumers and to authorized third parties via a 
communication link . 
(1) Real -time power draw shall b e reported in watts.  (e) Appliances that include  radio broadcast data system receivers  and are subject to 
this Article shall be capable of receiving and act ing upon authorized remote 
requests via a radio broadcast data system, similar to consumer controllable 
functions on the appliance. At a minimum, the appliance shall be capable of 
acting upon authorized signals received via a radio data system receiver  
requesting:  
(1) the start or stop of operation ; and  
(2) changes to equipment operation or schedule.  
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 1695. Certification Requirements.  
(a) Filing of Statements.  
(1) Each manufacturer shall electronically file with the Executive Director through 
the Flexible Appliance 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 1696 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 
flexible 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 characters 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 
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 informati on 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, t elephone 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 testing required by section 1692 of this Article was 
performed.  
(G) the statement shall include testing and performance information required 
for that appliance as listed in section 1696 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 Article have been and are 
being complied with;  
3. for applianc es 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 applicable test method specified in 
section 1693 of this Article. I f 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 refe renced in relation to section 1696 of this Article for 
data submittal requirements, means those fields shown in section 1696 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 i dentifiers are represented in section 1696 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 modified  (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 electroni c 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 from 
which the Executive Director communication has been se nt, 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 Exe cutive 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 applica ble standards in section 1693 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 FAD; and  
(B) inform the manufacturer's FAD -designated contact person or th e 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 
inform ation 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 Database of Appliance Models.  
(1) The Executive Director shall maintain a database of a ppliance models 
complying with flexible demand standards known as the “Flexible Appliance 
Database” or “FAD” and consisting 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 pursuant to section 1695(a) of this 
Article; or  
2. have been removed from the Approved FAD pursuant to sect ions 
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 recent electronic address filed pursuant to section 
1695(a)(2)(D) of this Article and request each manufactur er 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 electronic 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 since the most recent 
filing by the manufacturer:  
1. all affected models may be moved from the Approved FAD t o 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) Re cords Retention. Notwithstanding any other provision of this Article, FAD 
listings that have not been confirmed within ten (10) years of 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 1695(a)(2)(D) of thi s Article, remove the appliance from the FAD.  
(e) Modified and Discontinued Appliances.  
(1) Modified Appliances.  
(A) If any of the appliance characteristics listed in FAD do not match the 
characteristics of the appliance being sold  or offered for sale, ren ted, 
imported, distributed or leased for use in California  the manufacturer shall 
file a new statement for the appliance, including all the characteristics 
needing update.  
(B) Upon receipt of such a statement, the Executive Director shall review the 
statem ent under section 1695(b) of this Article. If the statement is 
complete, accurate, and in compliance with all applicable standards, the 
Executive Director shall modify the FAD.  
(2) Discontinued Appliances.  
(A) After any appliance has ceased being  sold or o ffered for sale, rented, 
imported, distributed , or leased for use in California , the manufacturer 
shall file a statement only containing the identifiers shown section 1696 of 
this Article for the appliance.  (B) Upon receipt of such a statement, the Executive Director shall review the 
statement under section 1695(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 1695(a) of this Article.  
(2) Whether a manufacturer files information required by this section by itsel f 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 m ay suspend a third -party certifier from making filings, 
allow continued filings under specific conditions, or remove affected 
appliances from the FAD.  
Section 1696. Data Submittal Requirements.  
The data submittal requirements shown in this section are requ ired pursuant to 
section 1695 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  or connected ready device  Connected Device, 
Connected Ready 
Device , Both, True, 
false  
Is a radio broadcast data system capable 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 1691 of this 
Article.  Table A -2: Data Submittal Requirements for All Connected Devices  
Required Information  Permissible Answers  
Unit connects using open standards  Unit complies with listed 
smart grid open standards  True, false  
Unit communicates using open standards  True, false  
Unit has a unique logical identification  True, false  
Only authorized users are allowed to change the software 
configuration  True, false  
Unit has data protection for personal information  Unit 
supports NERC password strength and has a unique 
password from the factory  True, false  
Unit requires a user to generate a new means of 
authentication before access is granted to the device for the 
first time 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 an internet 
download  True, false  
Manufacturer has security update policy  True, false  
Manufacturer gives end of security suppo rt date  True, false  
On initial setup the unit attempts 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  
Remote control possible through a user interface  True, false  
Unit retains 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% 
50+% of max rpm starting  atno earlier than  9 a.m. 
and ending by 3 p.m. local time  True, false  
Default operation of pressure cleaner booster 
pump starting atno earlier than  9 a.m. and ending 
by 3 p.m. local time  True, false  
Default operation of electric pool water heater 
starting atno earlier than  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) an d 25402.11, Public Resources 
Code.  
Reference: Sections 25216.5(d), 25402(f) and 25402.11, Public Resources Code.  Section 1697. 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 limitation, transactions 
conducted over telephone or th e 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 that were tested 
under section 1693 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 C ommission 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 16 95(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 applia nce 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 sha ll, 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) Inspection by the Executive Director of Appliances Subject t o 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, imported, distributed or leased for use in California, t o 
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 inspection of one or more units.  
1. If the inspection in dicates 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 Executive 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, retaile r, contractor, importer, distributor, 
or lessor, may sell, rent, import, distribute, lease, or offer for sale, rent, import, 
distribution, or lease for use in California, regardless of the physical location 
of the seller or whether the transaction takes pl ace 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 
administrativ e 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 civi l 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 Se ction 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 p romote 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 progress 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 Regulations 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 refe renced 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 the 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.