Broad-Based Black Economic Empowerment Act, 2003 (Act No. 53 of 2003)RegulationsBroad-Based Black Economic Empowerment Regulations, 2016Regulating the Administration and Implementation of the Broad-Based Black Economic Empowerment Act and the Functions of the CommissionPart 4 - Complaint Process15. Lodging a Complaint |
| (1) | In terms of section 13J, the Commission has the power on its own initiative or on receipt of a complaint in the prescribed form to investigate any matter arising from the application of the Act, any B-BBEE initiative or category of B-BBEE initiatives. |
| (2) | Any person may lodge a complaint with the Commission by filing a completed prescribed FORM B-BBEE 7, and specifically providing the following information:— |
| (a) | a description of the conduct or practice alleged to be in contravention of the Act; |
| (b) | particulars of a person, sphere of government, entity or organ of state alleged to be in contravention of the Act; |
| (c) | name and contact details of any person that may provide information that is relevant to the complaint to the Commission; |
| (d) | information on measures taken by the complainant to attempt to resolve the complaint, including alternative dispute resolution measures, prior to lodging the complaint; and |
| (e) | the way in which the alleged contravention may in the opinion of the complainant be addressed. |
| (3) | The Commission must acknowledge the complaint in writing within five (5) days of receipt of a complaint, allocate a distinctive case number, and notify the complainant of the case number. |
| (4) | The Commission must within one (1) year of receipt of the complaint— |
| (a) | conduct an assessment of the merit of the complaint; |
| (b) | request any further information from the complainant by issuing FORM B-BBEE 8; |
| (c) | investigate the complaint if it is justifiable to do so; |
| (d) | notify the respondent of the complaint; |
| (e) | issue summons in a prescribed FORM B-BBEE 20, in terms of section 13K of the Act, as may be necessary; |
| (f) | hold a formal hearing in terms of section 13J(2) of the Act, as may be necessary, in accordance with the procedures of the Commission; and |
| (g) | make a finding, with or without recommendations. |
| (5) | Where the Commission has requested additional information from the complainant, the complainant must provide such information within fourteen (14) days of receipt of the notice of request for additional information. |
| (6) | If the complainant fails to provide the additional information within the prescribed period, the Commission may close the complaint, or continue to investigate it as if the Commission initiated it. |
| (7) | If the Commission has reasonable ground to believe that a document filed in respect of an investigation contains false information, the Commission may issue a demand for correct information in FORM B-BBEE 9 to the person who filed the document, for such corrected information to be submitted to the Commission within fourteen (14) days of receipt of the notice of demand to correct information. |
| (8) | Where the Commission initiates an investigation on its own, the Commission shall initiate an investigation by issuing a notice to investigate in the prescribed FORM B-BBEE 10 and follow the process in subregulation 4(d)-(f) above. |
| (9) | The Commission shall issue a notice of non-investigation to the complainant in FORM B-BBEE 11, if the Commission is of the view that– |
| (a) | it has no jurisdiction to hear the matter; or |
| (b) | a complaint does not warrant an investigation. |
| (10) | If the Commission is of the view that it is justifiable to investigate a matter, the Commission may in terms of section 13J(2) hold a formal hearing in accordance with the format and procedures of the Commission, before a Panel chaired by the Chairperson. |
| (11) | If the Commission upon investigation is of the view that a complaint can be resolved through alternative dispute resolution mechanism, the Commission— |
| (a) | may facilitate the resolution of the matter or refer, in a prescribed FORM B-BBEE 12, such a matter to any appropriate dispute resolution process or forum in terms of its procedures; and |
| (b) | where the appropriate alternative dispute resolution process failed to resolve the dispute between the parties, the Commission may continue to investigate the matter if it is justifiable to do so. |
| (12) | Any finding(s) or recommendation(s) made by the Commission in respect of an investigation in terms of the Act must be:— |
| (a) | in writing; |
| (b) | communicated to the complainant; and |
| (c) | published in a manner it deems appropriate, including on its website subject to section13J(7)(b) of the Act. |
| (13) | Before making its final finding(s) in term of section 13J(3) of the Act in respect of an investigation, the Commission must notify the respondent in writing of the details of any adverse finding against the respondent, and provide the respondent with thirty (30) days to respond to each or any of the findings against the respondent. The Commission may, based on the merit of a request from a respondent, extend the 30 days period by a further once off period not exceeding ten (10) days. |
| (14) | If the respondent fails to respond to each or any adverse finding within the stipulated time after being notified of such by the Commission, the Commission shall proceed to make its finding(s) in terms of section 13J of the Act. |
| (15) | If the Commission is of the view that more time is warranted to conclude its process in respect of an investigation as contemplated in subregulation (8), the Commission must inform the complainant of the need to extend the time, the circumstances warranting a longer period, and the exact period required as an extension. |
| (16) | The Commission may, if it has investigated a matter and justifiable reasons exist, refer any concern to the South African Revenue Services, or any regulatory authority, as the case may be, in terms of section 13J(6) of the Act by issuing a FORM B-BBEE 13. |
| (17) | Any investigation conducted by the Commission shall be in accordance with its procedures that are in accordance with the Act, and conform to all the rules relating to fair administration of justice processes applicable to investigations. |