California Code of Regulations
TITLE 16. Professional And Vocational Regulations
Division 33.1 Arbitration Certification Program
Article 3: Minimum Standards for Arbitration Programs
3398.1. Organization of Arbitration Program:
(a) The arbitration program shall be funded and competently staffed at a level sufficient to ensure fair and expeditious resolution of all disputes.
(b) The arbitration program shall not charge consumers any fee for use of the program.
(c) The manufacturer, and the sponsor of the arbitration program (if other than the manufacturer), shall take all steps necessary to ensure that the arbitration program, and its arbitrators and staff, are sufficiently insulated from the manufacturer and the sponsor, so that the decision of the arbitrators and the performance of the staff are not influenced by either the manufacturer or the sponsor.
(d) Steps necessary to insulate the arbitration program from influence by the manufacturer or sponsor shall include, at a minimum: (1) committing funds in advance, (2) basing personnel decisions solely on merit, and (3) not assigning conflicting manufacturer or sponsor duties to program staff persons.
(e) Steps necessary to insulate the arbitration program from influence by the manufacturer or sponsor also shall include steps necessary to insulate the program's arbitrators from influence. At the very least, no employee, agent or dealer of the manufacturer shall communicate directly or otherwise participate substantively regarding the merits of any dispute with the arbitrator who is to decide that dispute, except: (1) the information that is communicated is disclosed to the consumer and the consumer is afforded an opportunity to explain or rebut the information and to submit additional information before a decision is rendered, or (2) as permitted by Section 3398.8.
(f) The arbitration program shall impose any other reasonable requirements necessary to ensure that the members and staff act fairly and expeditiously in each dispute.
(g) An arbitration program shall maintain both the fact and appearance of impartiality.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.3(a), (b) and (c); and Section 1793.22(d)(1), (6) and (8), Civil Code.
3398.2 Qualification, Selection and Training of Arbitrators
(a) Arbitrators shall be persons interested in the fair and expeditious resolution of consumer disputes.
(b) No arbitrator deciding a dispute shall be a party to the dispute, or an employee or agent of a party other than for purposes of deciding disputes.
(c) No arbitrator deciding a dispute shall be a person who is or may become a party in any legal action, including but not limited to a class action in which the arbitrator is a representative of the class that relates to the product or complaint in dispute, or an employee or agent of such person other than for purposes of deciding disputes.
(d) For purposes of subdivisions (b) and (c) of this section, a person shall not be considered a "party" solely because he or she acquires or owns an interest in a party solely for investment, and the acquisition of ownership of an interest which is offered to the general public shall be prima facie evidence of its acquisition or ownership solely for investment.
(e) When one or two arbitrators are deciding a dispute, all shall be persons having no direct involvement in the manufacture, distribution, sale or service of any product. When three or more arbitrators are deciding a dispute, at least two-thirds shall be persons having no direct involvement in the manufacture, distribution, sale or service of any product. Direct involvement" shall not include acquiring or owning an interest solely for investment, and the acquisition or ownership of an interest which is offered to the general public shall be prima facie evidence of its acquisition or ownership solely for investment.
(f) A person who is otherwise qualified to serve as an arbitrator under subdivisions (a) through (e) of this section shall not be disqualified solely because the person is a dealer of the manufacturer.
(g) Where arbitrators are selected from a list of arbitrators, selection shall be on a random basis.
(h) The arbitration program shall provide each arbitrator who is assigned to decide disputes with the text and an explanation of the applicable law (Section 3396.1(a)).
(i) The arbitration program shall provide each arbitrator with relevant training, including periodic updates and refresher courses, which shall include training in the principles of arbitration; training in the applicable law including the rights and responsibilities of arbitrators under this subchapter (including the right to request an inspection or other action under Section 3398.5(f)); and training in what a decision must and may include (Sections 3398.9 and 3398.10).
(j) An arbitrator who does not meet the qualifications in this section or who cannot demonstrate both the fact and appearance of fairness and impartiality in deciding disputes shall disqualify himself or herself.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.3(a) and (b) and 703.4(a), (b) and (c); and Section 1793.22(d)(1), (4), and (8), Civil Code.
3398.3. Written Operating Procedures
(a) The arbitration program shall establish written operating procedures which shall include all of the arbitration program's policies and procedures that implement the standards set forth in this subchapter. The written procedures shall be updated at reasonable intervals to reflect the procedures in effect.
(b) The arbitration program shall provide one copy of the written operating procedures without charge to a consumer who (1) has notified the program of a dispute and (2) either has requested more information about the arbitration program or has requested a copy of the program's written operating procedures, and also to each of the program's arbitrators.
(c) The arbitration program shall provide one copy of the written operating procedures for a reasonable charge to any other person upon request.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Section 703.5(a); and Section 1793.22(d)(1), Civil Code.
3398.4 Duties on Receipt of Dispute
(a) Upon notification of a dispute, including a dispute over which the program believes it does not have jurisdiction, the arbitration program shall immediately notify both the manufacturer and the consumer of its receipt of the dispute.
(b) Notification shall be deemed to have occurred when the arbitration program has received notice of the consumer's name and address, the brand name and vehicle identification number of the vehicle (if requested by the program), and a statement of the nature of the problem or other complaint.
(c) At the time the arbitration program notifies the consumer of its receipt of the dispute, the program shall provide the consumer with the following information in clear and readily understood language:
(1) The information specified in Section 3397.2(a) on how to use the arbitration program.
(2) A statement of any other steps that the consumer must take, including the submission of additional information or materials, to enable the arbitration program to investigate and decide the dispute.
(3) A statement of the kinds of additional information and materials, such as copies of repair invoices, reports of inspection, technical service bulletins and other relevant information and documents, that the arbitration program will consider in investigating and deciding the dispute, and of the consumer's right to provide additional information or materials.
(4) A statement of the consumer's right to obtain a copy of the arbitration program's written operating procedures upon request and without charge.
(5) A description of the steps the arbitration program will take and the time periods within which those steps normally are taken.
(6) Any limits on the scope of the decision, if authorized by Section 3398.10(d).
(7) A toll-free telephone number to obtain information on the status of the dispute.
(d) If authorized by the arbitration program's written operating procedures (Section 3398.3(a)), the staff of the arbitration program may decide that the program does not have jurisdiction to decide a dispute. In this event, the program: (1) shall explain to the consumer in writing the reasons that the program has so decided, (2) shall inform the consumer that an arbitrator will consider a written appeal of this decision made by the consumer within 30 days after the date the written notification of the decision was transmitted to the consumer, and (3) shall explain how to file a written appeal.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.4(b), 703.5(c) and (e)(1); and Section 1793.22(d)(1), Civil Code.
3398.5 Investigation of Facts
(a) The arbitration program shall investigate, gather and organize all information necessary for a fair and expeditious decision in each dispute.
(b) The arbitration program shall not require from any party any information not reasonably necessary to decide the dispute.
(c) When the consumer's complaint, or the manufacturer's response, or any evidence gathered by or submitted to the arbitration program, raises any of the following issues, the program shall investigate those issues:
(1) Whether the program has jurisdiction to decide the dispute.
(2) Whether there is a nonconformity (Section 3396.1(l)).
(3) Whether the nonconformity is a substantial nonconformity (Section 3396.1(m))
(4) The cause or causes of a nonconformity.
(5) Whether the causes of a nonconformity include unreasonable use of the vehicle.
(6) The number of repair attempts.
(7) The time out of service for repair.
(8) Whether the manufacturer has had a reasonable opportunity to repair the vehicle.
(9) Factors that may affect the reasonableness of the number of repair attempts.
(10) Other factors that may affect the consumer's right to a replacement of the vehicle or restitution under Civil Code Section 1793.2(d)(2).
(11) Facts that may give rise to a presumption under Civil Code Section 1793.2(d)(2).
(12) Factors that may rebut any presumption under Civil Code Section 1793.22(b).
(13) Whether a further repair attempt is likely to remedy the nonconformity.
(14) The existence and amount of any incidental damages, including but not limited to sales taxes, license fees, registration fees, other official fees, prepayment penalties, early termination charges, earned finance charges, and repair, towing and rental costs, actually paid, incurred or to be incurred by the consumer.
(15) Factors that may affect the manufacturer's right to an offset for mileage under Civil Code Section 1793.2(d).
(16) Facts for determining the amount of any offset for mileage under Civil Code Section 1793.2(d) if an offset is appropriate.
(17) Factors that may affect any other remedy under the applicable law.
(18) Any other issue that is relevant to the particular dispute.
(d) The investigation required by this section may be conducted by the arbitrator or arbitrators who decide the dispute, or by other program staff, or by the arbitrator or the arbitrators and other program staff.
(e) If the arbitration program determines that the program does not have jurisdiction to decide the dispute, the program's investigation of the dispute need not include other issues.
(f) The arbitrator or a majority of the arbitrators may at any time request of the arbitration program any or all of the following at no cost to the consumer:
(1) An inspection and written report on the condition of the vehicle by an independent automobile expert (Section 3396.1(i)).
(2) Consultation with any other person or persons knowledgeable in the technical, commercial or other areas relating to the vehicle, provided that the consultation does not violate Sections 3398.1(c) and (e).
(3) An opportunity for the arbitrator, or one or more of the arbitrators, to personally inspect and test drive the vehicle.
(4) Further investigation and report by the arbitration program on any issue relevant to a fair and expeditious decision.
(g) The staff of the arbitration program may arrange for a visual inspection and test drive of the vehicle or an inspection and report on the vehicle by an independent automotive expert or a consultation with any other expert at no cost to the consumer.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.4(b), 703.5(c); and Sections 1793.22(d)(1), (6), and(7), Civil Code.
3398.6 Resolution of Contradictory Information
(a) When information which will or may be used in the decision, submitted by one party or by a consultant, independent automobile expert or any other source, tends to contradict facts submitted by the other party, the arbitration program shall clearly, accurately, and completely disclose to both parties the contradictory information (and its source), and shall provide to both parties an opportunity to explain or rebut the information and to submit additional information or materials.
(b) If it appears to the arbitrator at a meeting held to decide a dispute that one party to the dispute or a consultant, independent automobile expert or any other person has submitted information that contradicts facts submitted by the other party (whether submitted prior to the meeting or at the meeting), and that this fact has not been disclosed to that other party, the arbitrator may (and at the request of the other party shall) defer any decision until the arbitration program has complied with subdivision (a) of this section and both parties have had a reasonable opportunity to explain or rebut the information and to submit additional information or materials.
(c) The arbitration program shall develop and implement fair procedures by which any party may correct an error in the proceeding, provided that the other party has a reasonable opportunity to comment on the correction.
(d) The time limit for deciding disputes (Section 3398.9(a)) shall not be extended during any exchange, rebuttal or explanation of contradictory information under subdivision (a) of this section, but the Arbitration Certification Program may take into account circumstances leading to reasonable delays.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.3(b), 703.5(c); and Section 1793.22(d)(1) and (8), Civil Code.
3398.7 Meetings to Decide Disputes
(a) Meetings of the arbitrator or panel of arbitrators held to hear and decide disputes shall be open to observers on reasonable and nondiscriminatory terms. The identity of the parties and products involved in disputes need not be disclosed at these meetings.
(b) The arbitration program shall give the consumer and the manufacturer at least five days advance notice of the date, time and location of any meeting at which their dispute will or may be decided.
(c) The arbitration program shall furnish to each arbitrator, at least five days before the meeting, a copy of all of the program's records pertaining to the dispute that are available to the program at that time. Upon the Arbitration Certification Program's request, the program also shall furnish a copy of those records to the Arbitration Certification Program.
(d) Upon request by the Arbitration Certification Program, the arbitration program shall notify the Arbitration Certification Program of the date, time and location of the meeting or meetings held to decide particular disputes or classes of disputes.
(e) Only the arbitration program's staff and the arbitrator may participate in a meeting held to hear and decide disputes, except that the parties to the dispute or their representatives may make oral presentations or correct errors when permitted under Section 3398.8.
(f) If a request is made under Section 3398.5(f), the meeting may be continued for a reasonable period not to exceed 30 days; the arbitration program, as part of its investigation of the facts (Section 3398.5(a)), shall take all steps reasonable and necessary to comply with the request, and shall gather and organize the resulting information for use by the arbitrator in deciding the dispute.
Note: Authority cited: Sections 472.1(b) and (c) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.2(h), 703.3(a)-(c), 703.5(c), 703.5(d)(1), 703.5(f) and 703.8(d); Section 472.4(c), Business and Professions Code; and Section 1793.22(d)(1), Civil Code.
3398.8. Oral Presentations by Parties to Disputes
(a) The arbitration program may allow an oral presentation by a party to a dispute (or a party's representative) only if:
(1) Both the manufacturer and the consumer expressly agree to the presentation.
(2) Prior to the agreement, the arbitration program fully discloses to the consumer the following information:
(A) That the presentation by either party will take place only if both parties so agree, but that if they agree, and one party fails to appear at the agreed upon time and place, the presentation by the other party may still be allowed.
(B) That the arbitrator will decide the dispute whether or not an oral presentation is made.
(C) The proposed date, time and place for the presentation.
(D) A brief description of what will occur at the presentation, including the parties' rights to bring witnesses and/or counsel.
(3) Each party has the right to be present during the other party's oral presentation.
(b) Nothing contained in this section shall preclude the arbitration program from allowing an oral presentation by one party, if the other party fails to appear at the agreed upon time and place, as long as all of the requirements of subdivision (a) of this section have been satisfied. In that event, the arbitrator may either decide the dispute or give the absent party an opportunity to explain or rebut any contradictory information and submit additional materials before a decision is made.
(c) Notwithstanding subdivision (a) of this section, a party may correct an error at a meeting if all parties are personally present or represented and all parties expressly consent.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.3(a) and (c), 703.5(f)(2) and (3); and Section 1793.22(d)(1), Civil Code.
3398.9 Decision-Making Timelines and Procedures
(a) If the dispute has not been settled (subdivision (b) of this section), the arbitration program shall, as expeditiously as possible but at least within 40 days after receiving notification of the dispute, and except where extensions are permitted under subdivision (c) of this section, disclose to the consumer and the manufacturer its decision and the reasons therefor (Section 3398.10(e))
(b) For purposes of subdivision (a) of this section, a dispute shall be deemed settled when the arbitration program has ascertained from the consumer that: (1) the manufacturer and the consumer have entered into an agreement settling the dispute, (2) the consumer is satisfied with the terms of the settlement agreement, and (3) the agreement contains a specified reasonable time for performance. Section 3398.12(b) on the program's duty to verify performance shall apply in the event of a settlement made after the program has received notification of the dispute.
(c) The arbitration program may delay the performance of its duties under subdivision (a) of this section beyond the 40-day standard in the following situations:
(1) For a seven-day period in those disputes in which the consumer has made no attempt to seek redress directly from the manufacturer.
(2) If and to the extent that the delay is due solely to failure of a consumer to provide promptly his or her name and address, the brand name and vehicle identification number (VIN) of the vehicle, and a statement of the nature of the defect or other complaint.
(3) For a reasonable period not to exceed 30 days to enable the arbitration program to respond to a request made under subdivision (f) of Section 3398.5.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Sections 703.2(e)(3)(F), 703.3(c), 703.4(b), 703.5(d)(2) and (4), and 703.5(e)(1) and (2); and Section 1793.22(d)(1) and (6), Civil Code.
3398.10. Content of Decision
(a) The arbitrator shall render a fair decision based upon the information gathered by the arbitration program in its investigation of the facts (Section 3398.5) and upon any information submitted by the parties under Section 3398.8 at the meeting to decide disputes.
(b) The decision shall take into account all legal and equitable factors, including but not limited to the written warranty, the applicable law, and any other equitable considerations appropriate in the circumstances.
(c) The decision shall include any remedies which the arbitrator finds appropriate under the circumstances, including repair, replacement, refund, reimbursement for expenses, compensation for damages, and any other remedies available under the written warranty or the applicable law, and need not be limited to the specific relief sought by the consumer.
(d) Nothing in this section requires that decisions must consider or provide remedies in the form of awards of punitive damages or multiple damages under Civil Code Section 1794(c), attorney's fees under Civil Code Section 1794(d), or consequential damages other than (1) incidental damages to which the consumer is entitled under Civil Code Section 1793.2(d)(2), or (2) any other remedies provided under Civil Code Section 1794(a) and (b), provided that any limit on the scope of the remedies, pursuant to this subdivision, shall be limited to those authorized in this subdivision, and shall be disclosed with the information required under Sections 3397.2(a) and 3398.4(c).
(e) The decision shall be in writing and shall include a brief statement of the reasons therefor. The statement of reasons shall include the arbitrator's determination of each issue identified in Section 3398.5(c) relevant to the particular dispute.
(f) The decision shall prescribe a reasonable time, not to exceed 30 days after the manufacturer (or its agents) is notified that the consumer has accepted the decision, within which the manufacturer or its agents must perform the terms of the decision.
(g) No agreement to arbitrate shall limit an arbitrator's authority to provide any remedies, except as authorized by this section.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: 16 CFR Section 703.5(d)(1); and Sections 1793.2(d)(2), 1792.22(d)(3), (5), (6) and (7), Civil Code.
3398.11 Replacement and Refund
(a) If the dispute involves the fact or allegation of a substantial nonconformity (Section 3396.1(m)) that has not been rectified, this section shall apply.
(b) In determining whether the consumer is entitled to a replacement or refund, the arbitrator shall take into account the standards expressed in Civil Code Section 1793.2(d) and 1793.22, if those standards are applicable under the circumstances of the dispute. For purposes of this section, "take into account" means to be aware of the standards; to understand how they might apply to the circumstances of the particular dispute; and to apply them if it is legally proper and fair to both parties to do so.
(c) If the decision provides for a replacement or refund, and is subject to Civil Code Section 1793.2(d), the decision shall require the manufacturer to replace the motor vehicle or make restitution in accordance with Civil Code Sections 1793.2(d)(2)(A), (B) and (C). The decision shall include payment of incidental damages to the extent authorized by the applicable law including Commercial Code Sections 2711 to 2715 inclusive, and Civil Code Sections 1793.2(d)(2) and 1794(a) and (b); and shall include all reasonable repair, towing and rental car costs, any sales or use tax, license fees, registration fees, other official fees, prepayment penalties, early termination charges and earned finance charges, if actually paid, incurred or to be incurred by the consumer (but need not include charges for which the consumer is justly responsible). If the arbitrator decides that the manufacturer is entitled to an offset for mileage, the offset shall be calculated in conformance with Civil Code Section 1793.2(d)(2)(C).
(d) The arbitration program may adopt procedures by which the staff of the program may calculate the exact amount of the mileage offset and any damages in conformance with the decision of the arbitrator and Civil Code Section 1793.2(d)(2)(A), (B) and (C). In the exercise of these duties, the staff may only act in a clerical or ministerial capacity, and may not exercise any decision-making function, which shall be performed by the arbitrator only.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: Sections 1793.2(d)(2), 1793.22(c), 1793.22(d)(5) and (7) and 1794 (a) and (b), Civil Code.
3398.12 Acceptance and Performance of Decision
(a) The arbitration program shall inform the consumer, at the time of the disclosure of the decision (Section 3398.9(a)), in clear and readily understood language, of each of the following:
(1) The consumer may either accept or reject the decision.
(2) If the consumer accepts the decision, the manufacturer is bound by the decision.
(3) If the consumer rejects the decision, or accepts the decision and the manufacturer does not promptly perform the terms of the decision, the consumer may seek redress by pursuing his or her legal rights and remedies, including use of the small claims court.
(4) The consumer has 30 calendar days after the arbitration program transmits the notification described in Section 3398.9(a) in which to accept the decision. If no decision is made within that period, the consumer's failure to accept the decision will be considered a rejection of the decision and the manufacturer shall not be bound to perform it.
(5) If the decision provides for a further repair attempt or any other action by the manufacturer, the program will ascertain from the consumer whether performance has occurred.
(6) The arbitration program's decision and findings are admissible in evidence in any court action.
(7) The consumer may obtain a copy of the arbitration program's written operating procedures upon request and without charge.
(8) The consumer may obtain copies of all of the arbitration program's records relating to the dispute, at a reasonable cost.
(9) The consumer may regain possession without charge of all documents which the consumer has submitted to the program, except where good accounting practice requires that the manufacturer retains original documents upon which disbursements have been made.
(10) If the consumer has a complaint regarding the operation of the arbitration program, the consumer may register a complaint with the Arbitration Certification Program.
(11) The address and telephone number of the Arbitration Certification Program.
(c) If the consumer asserts that the manufacturer's performance of a further repair attempt has not occurred to the consumer's satisfaction, the arbitration program shall promptly inform the arbitrator who decided the dispute of all of the pertinent facts. In that event the arbitrator (or a majority of the arbitrators) may decide to reconsider the decision. A decision under this subdivision to reconsider a decision may be made at any time and need not be made at a meeting to decide disputes (Section 3398.7).
(d) If the arbitrator decides to reconsider the decision, the decision to reconsider shall be deemed to constitute notification of the dispute (Section 3398.4), and the program shall investigate the dispute and in all respects treat it as a new dispute, except that the program shall expedite all phases of the process, and the same arbitrator or arbitrators, if reasonably possible, shall decide the dispute.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: Sections 1793.22(c) and 1793.22(d)(2) and (3), Civil Code; 16 CFR Sections 703.3(a), 703.5(a), 703.5(d)(1), 703.5(g)(1)-(3), 703.5(h); and Section 472.4(c)(2) Business and Professions Code.
3398.13 Recordkeeping by Arbitration Programs
(a) The arbitration program shall maintain records on each dispute of which it has received notification, which shall include all of the following:
(1) Name, address and telephone number of the consumer.
(2) Name, address, and telephone number of contact person of the manufacturer.
(3) Make and vehicle identification number of the vehicle involved.
(4) The date of receipt of the dispute and the date of disclosure to the consumer of the decision.
(5) All letters and other written documents submitted by either party.
(6) All other evidence collected by the arbitration program relating to the dispute, including summaries of relevant and material portions of telephone calls and meetings between the program and any other person (including any experts or consultants described in Section 3398.5(f), and any letter and summaries of any oral communication by the program to the parties to resolve contradictory information (Section 3398.6).
(7) A summary of any relevant and material information presented by either party at an oral presentation under Section 3398.8.
(8) The decision of the arbitrator, with information as to date, time and place of meeting, the identity of arbitrators voting, and the reasons for the decision, with the reasons for any dismissal for lack of jurisdiction or decision to reconsider, and information on any voluntary settlement.
(9) A copy of the disclosure to the parties of the decision.
(10) The fact and date of completion of any performance required by the decision or by any settlement made after the program has received notification of the dispute.
(11) Copies of follow-up letters (or summaries of relevant and material portions of follow-up telephone calls) to the manufacturer and the consumer and responses thereto.
(12) Any other documents and communications (or summaries of relevant and material portions of oral communications) relating to the dispute.
(b) The arbitration program shall maintain a current index of each manufacturer's disputes grouped under brand name and subgrouped under product model.
(c) The arbitration program shall maintain a current index for each manufacturer which shows:
(1) All disputes in which the manufacturer has promised some performance (either by settlement or in response to a program decision) and has failed to comply.
(2) All disputes in which the manufacturer has refused to abide by a program decision.
(3) All disputes in which the consumer has registered a complaint regarding the decision, its performance by the manufacturer, or the operation of the program.
(d) The arbitration program shall maintain a current index which shows all disputes delayed beyond the time allowed under Section 3398.9.
(e) The arbitration program shall compile semiannually and maintain statistics which show the number and percentage of disputes in each of the following categories:
(1) Resolved by staff of the arbitration program and manufacturer has complied.
(2) Resolved by staff of the arbitration program, time for compliance has occurred, and manufacturer has not complied.
(3) Resolved by staff of the arbitration program and time for compliance has not yet occurred.
(4) Decided by arbitrator and manufacturer has complied.
(5) Decided by arbitrator, time for compliance has occurred, and manufacturer has not complied.
(6) Decided by arbitrator and time for compliance has not yet occurred.
(7) Decided by arbitrator with no relief to the consumer.
(8) No jurisdiction.
(9) Decision delayed beyond 40 days under Section 3398.9(c)(1).
(10) Decision delayed beyond 40 days under Section 3398.9(c)(2).
(11) Decision delayed beyond 40 days under Section 3398.9(c)(3).
(12) Decision delayed beyond 40 days for any other reason.
(13) Decision still pending.
(14) Decision accepted by consumer.
(15) Decision rejected by consumer.
(16) Reconsideration requested by consumer per Section 3398.12(d) granted, and the results.
(17) Reconsideration requested by consumer per Section 3398.12(d) not granted.
(f) The individual dispute records, indexes and statistics required by this section shall be organized and maintained so as to facilitate ready access and review by the Arbitration Certification Program at any time, including access to and review of individual dispute files and other program materials.
(g) The arbitration program shall retain all records specified in subdivisions (a)-(c) of this section for at least four years after final disposition of the dispute.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: Sections 472.4(b) and (c), Business and Professions Code; 16 CFR Sections 703.5(h) and 703.6; and Section 1793.22(d)(1), Civil Code.
3398.14 Confidentiality of Records
(a) The statistical summaries specified in Section 3398.13(e) shall be available to any person for inspection and copying.
(b) Except as provided under subdivisions (a), (d) and (e) of this section and Sections 3398.7(a) and 3399.5, all records of the arbitration program may be kept confidential, or made available only on such terms and conditions, or in such form, as the arbitration program shall permit.
(c) The policy of the arbitration program with respect to records made available at the program's option shall be set out in the program's written operating procedures (Section 3398.3); the policy shall be applied uniformly to all requests for access to or copies of such records.
(d) Upon request, the arbitration program shall provide to either party to a dispute:
(1) Access to all records relating to the dispute.
(2) Copies of any records relating to the dispute, at reasonable cost.
(e) The arbitration program shall make available to any person, upon request, information relating to the qualifications of program staff and the qualifications and method of selection of arbitrators.
(f) Nothing in this section affects the right of any party under any applicable statute to subpoena any records relating to the dispute.
Note: Authority cited: Sections 472.1(b) and 472.4 Business and Professions Code. Reference: 16 CFR 703.8; and Section 1793.22(d)(1), Civil Code.
3398.15 Compliance by Program
(a) An arbitration program shall promptly take reasonable action to correct violations of the minimum standards prescribed in this subchapter whenever violations become known to the program.
(b) An arbitration program shall:
(1) Investigate each complaint concerning the operation of the program, whether directed to the program by or for a consumer or by the Arbitration Certification Program;
(2) Furnish the Arbitration Certification Program with a copy of every written complaint concerning the operation of the program; and
(3) Inform both the Arbitration Certification Program and the consumer of the facts of the complaint, the results of the investigation, and any corrective steps taken.
(c) The manufacturer and the arbitration program shall establish written policies and procedures for referring unresolved complaints from consumers regarding the operation of the program to the Arbitration Certification Program.
(d) An arbitration program shall cooperate in good faith with the Arbitration Certification Program and its staff in all matters within the purview of this subchapter.
Note: Authority cited: Sections 472.1(b) and 472.4(f), Business and Professions Code. Reference: Sections 472.3(c)and 472.4, Business and Professions Code.
