PART 1213—OFFICE OF THE OMBUDSMAN Authority: 12 U.S.C. 4511(b)(2), 4517(i), and 4526. Source: 76 FR 7481, Feb 10, 2011, unless otherwise noted. § 1213.1 Purpose and scope. (a) Purpose. (b) Scope. (2) The establishment of the Office does not alter or limit any other right or procedure associated with appeals, complaints, or administrative matters submitted by a person regarding any matter relating to the regulation and supervision of a regulated entity or the Office of Finance under any other law or regulation. § 1213.2 Definitions. For purposes of this part, the term: Business relationship business relationship Director FHFA Office of Finance Person person Regulated entity § 1213.3 Authorities and duties of the Ombudsman. (a) General. (1) Conduct inquiries and submit findings of fact and recommendations to the Director concerning resolution of the complaint or appeal, and (2) Act as a facilitator or mediator to advance the resolution of the complaint or appeal. (b) Other duties. (1) Establish procedures for carrying out the functions of the Office, (2) Establish and publish procedures for receiving and considering complaints and appeals, and (3) Report annually to the Director on the activities of the Office, or more frequently, as determined by the Director. § 1213.4 Complaints and appeals from a regulated entity or the Office of Finance. (a) Complaints. General. (2) Matters subject to complaint. (b) Appeals. General. (2) Matters subject to appeal. (3) Matters not subject to appeal. (4) Effect of filing an appeal. § 1213.5 Complaints from a person. (a) General. (b) Matters subject to complaint. § 1213.6 No retaliation. Neither FHFA nor any FHFA employee may retaliate against a regulated entity, the Office of Finance, or a person for submitting a complaint or appeal under this part. The Ombudsman shall receive and address claims of retaliation. Upon receiving a complaint, the Ombudsman, in coordination with the Inspector General, shall examine the basis of the alleged retaliation. Upon completion of the examination, the Ombudsman shall report the findings to the Director with recommendations, including a recommendation to take disciplinary action against any FHFA employee found to have retaliated. § 1213.7 Confidentiality. The Ombudsman shall ensure that safeguards exist to preserve confidentiality. If a party requests that information and materials remain confidential, the Ombudsman shall not disclose the information or materials, without approval of the party, except to appropriate reviewing or investigating officials, such as the Inspector General, or as required by law. However, the resolution of certain complaints (such as complaints of retaliation against a regulated entity or the Office of Finance) may not be possible if the identity of the party remains confidential. In such cases, the Ombudsman shall discuss with the party the circumstances limiting confidentiality.