Circular No. 3.503

CIRCULAR No. 003503 ------------------ Provides for complementary procedures relating to the operation of the ombudsman organizational component in financial institutions, in the other institutions authorized to operate by the Central Bank of Brazil and in consortium administrators. The Collegiate Board of the Central Bank of Brazil, in a session held on 23 July 2010, based on arts. 6 and 7 of Law No. 11.795, of 8 October 2008, and on art. 8 of Resolution No. 3.849, of 25 March 2010, D E C I D E D : Art. 1 The semiannual report of the director or administrator responsible for the ombudsman, referred to in arts. 4, § 5, of Resolution No. 3.849, of 25 March 2010, and 5 of Circular No. 3.501, of 16 July 2010, must: I - contain, at a minimum: a) descriptive section, addressing the following aspects: 1. assessment as to the effectiveness of the ombudsman's work, including as to the institution's commitment to the satisfactory development of the ombudsman's mission; 2. 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 as to the number of employees and attendants, the logistics implemented, the equipment, the facilities and routines used, taking into consideration the nature of the institution's services and clients; 3. detailing of the proposals forwarded by the ombudsman to the board of directors or to the executive board, under the terms of art. 2, item V, of Resolution No. 3.849, of 2010, and of Circular No. 3.501, of 2010, mentioning the periodicity and the form of their forwarding, specifying the proposals not accepted and respective justifications, those accepted and not yet implemented and respective deadlines for implementation and those already implemented; 4. assessment as to compliance with the provisions relating to the mandatory submission of the ombudsman's members to the certification examination established in arts. 6 of Resolution No. 3.849, of 2010, and 7 of Circular No. 3.501, of 2010; and 5. information on the criteria used to qualify the merits of the complaints registered in the period and their classification as resolved or not, under the terms of the provisions of subitem "b", item 2, of this item; b) statistical section, containing consolidated information on the complaints registered with the ombudsman in the period: 1. segmented by institution or consortium administrator, in the cases provided for in art. 1, §§ 6 and 9, of Resolution No. 3.849, of 2010, or in art. 1, § 5, of Circular No. 3.501, of 2010, by natural person and legal entity and by themes; 2. qualified as unfounded, founded resolved and founded unresolved; and 3. segregated by month and totaled for the semester to which it corresponds; and II - be forwarded to the Central Bank of Brazil within sixty days after the base date. § 1 The Department of Monitoring of the Financial System and Information Management (Desig) is authorized to
establish the procedures for forwarding the report referred to in this article. § 2 The provisions of item II of the caput of this article apply only to base dates as of June 2011. Art. 2 The report referring to a relevant occurrence referred to in arts. 4, § 5, of Resolution No. 3.849, of 2010, and 5 of Circular No. 3.501, of 2010, must: I - contain a detailed description of the occurrence; and II - be forwarded to the Central Bank of Brazil within thirty days after the occurrence is identified, by means of correspondence sent to the component of the Supervision area responsible for supervising the sender. Art. 3 The telephone number for free access to the ombudsman, as well as the data relating to the director or administrator responsible for the ombudsman and to the ombudsman, must be registered in the Information System on Entities of Interest of the Central Bank (Unicad), in the Basic Data module. Sole paragraph. The provisions of this article must be observed, including, by institutions that do not establish their own ombudsman component as a result of the option provided for in arts. 1, §§ 6 to 10, of Resolution No. 3.849, of 2010, and 1, §§ 5 and 6, of Circular No. 3.501, of 2010. Art. 4 This circular enters into force on the date of its publication. Art. 5 Circular No. 3.370, of 23 October 2007, is revoked. Brasília, 26 July 2010. Alexandre Antonio Tombini Alvir Alberto Hoffmann Director of Standards and Organization Director of Supervision of the Financial System