Section 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.(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.Cal. Code Regs. Tit. 16, § 3398.13
1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3).
2. Change without regulatory effect amending NOTE filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsection (f) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5). 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.
1. New section filed 1-3-90; operative 2-2-90 (Register 90, No. 3).
2. Change without regulatory effect amending Note filed 8-31-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 35).
3. Change without regulatory effect amending subsection (f) filed 1-25-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 5).