Circular No. 3.370

CIRCULAR N. 003370 ------------------ Provides for complementary procedures relating to the implementation of an organizational ombudsman component. The Collegiate Board of the Central Bank of Brazil, in a session held on 23 October 2007, based on arts. 33 of Law No. 8.177, of 1 March 1991, and 10 of Resolution No. 3.477, of 26 July 2007, D E C I D E D: Art. 1 The reports of the director or administrator responsible for the ombudsman, referred to in arts. 4, § 4, of Resolution No. 3.477, of 26 July 2007, and of Circular No. 3.359, of 23 August 2007, must be prepared containing, at a minimum: I - descriptive section, addressing the following aspects: a) assessment of the effectiveness of the ombudsman's work, including the institution's commitment to the satisfactory development of the ombudsman's mission; b) adequacy of the ombudsman's structure to meet legal and regulatory requirements, with disclosure of the deficiencies detected for the development of its activities, including the number of employees and attendants, the logistics implemented, the equipment, the facilities and routines used, taking into account the nature of the services and the clients of the institution; c) detailing of the proposals forwarded by the ombudsman to the board of directors or the executive board, under the terms of arts. 2, item V, of Resolution No. 3.477, of 2007, and of Circular No. 3.359, of 2007, mentioning the frequency and the form of their forwarding, specifying the proposals not accepted and their respective justifications, those accepted and not yet implemented and their respective deadlines for implementation, and those already implemented; d) assessment of compliance with the provisions relating to the mandatory submission of the members of the ombudsman to the certification examination established in arts. 5 of Resolution No. 3.477, of 2007, and of Circular No. 3.359, of 2007; II - statistical section, containing consolidated information on the complaints registered with the ombudsman in the period: a) segmented by institution, in the case of a report by the director responsible for the ombudsman of a conglomerate, by natural person and legal person, by state to which the agency or branch involved in the complaint is linked, and segregated by themes, as well as qualified as unfounded, founded solved and founded unsolved, informing the criteria used for this classification; b) segregated by month and totaled comprising the period of the twelve previous months, compared with the same period of the previous year, with presentation of the respective evolution percentage. Art. 2 The reports referred to in arts. 2, item VI, of Resolution No. 3.477, of 2007, and of Circular No. 3.359, of 2007, as well as the information and documentation cited in arts. 6, sole paragraph, of Resolution No. 3.477, of 2007, and of Circular No. 3.359, of 2007, must be kept at the disposal of the Central Bank of Brazil at the headquarters of the institutions. Art. 3 The telephone
number relating to the toll-free direct dialing service 0800 (DDG 0800) of the ombudsmen of financial institutions, other institutions authorized to operate by the Central Bank of Brazil and consortium administrators, referred to in arts. 1, § 4, item III, of Resolution No. 3.477, of 2007, and of Circular No. 3.359, of 2007, must be: I - disclosed and kept permanently updated, in a location and format visible to the public in the premises of its branches, in the premises of correspondents in the Country and in the premises of the contracted companies of consortium administrators, under the terms of Circular No. 2.332, of 7 July 1993, as well as on their respective websites on the internet and through the communication channels used to disseminate the products and services of the institution; II - registered on statements, electronic or paper receipts, contracts formalized with clients, advertising and publicity materials and other documents intended for clients and users of the institution's products and services; III - registered in the Information System on Entities of Interest to the Central Bank (Unicad), in the Basic Data module, and kept permanently updated. Sole paragraph. The provisions of this article must be observed, including, by institutions that are part of a financial conglomerate that have opted to use a single organizational ombudsman component, under the terms of arts. 1, § 2, of Resolution No. 3.477, of 2007, and of Circular No. 3.359, of 2007. Art. 4 The reports referred to in art. 1 must be forwarded to the Central Bank of Brazil by transmission of an electronic file via the internet using the PSTAW10 application, referred to in Carta-Circular No. 2.847, of 13 April 1999, available for download at the electronic address http://www.bcb.gov.br. Sole paragraph. The Department of Supervision of Banks and Banking Conglomerates (Desup) and the Department of Supervision of Cooperatives and Non-Banking Institutions (Desuc) are authorized to disclose the layout of the file. Art. 5 This circular enters into force on the date of its publication. Brasília, 23 October 2007. Alexandre Antonio Tombini Paulo Sérgio Cavalheiro Director Director