California Code of Regulations
Title 20 - Public Utilities and Energy
Division 2 - State Energy Resources Conservation and Development Commission
Chapter 4.1 - Flexible Demand
Article 1 - Flexible Demand Appliance Standards
Section 1697 - Compliance, Enforcement, and Administrative Civil Penalties

Universal Citation: 20 CA Code of Regs 1697

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(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 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 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 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 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, regardless 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 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 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 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 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 and 25534.2, Public Resources Code.

Disclaimer: These regulations may not be the most recent version. California may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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