| (a) | a complaint from any person who is aggrieved by an action taken in terms of the code of conduct or an omission to take such action; or |
| (b) | reasonable grounds to suspect that a person has acted contrary to, or has omitted to act in terms of, the code of conduct, |
the Board must appoint an investigating officer to investigate that complaint or suspicion.
| (2) | If the complaint or the suspicion implicates a person who is employed by an organ of state other than the Board, the Board must- |
| (a) | refer that complaint or suspicion to the accounting officer or accounting authority or any other supervisory person or body, having control over that person, of the organ of state concerned for the purpose of dealing with the complaint in terms of the applicable disciplinary procedure and submit a copy of the referral to the Audit Committee of the organ of state concerned and the Auditor-General; or |
| (b) | if the person against whom the complaint is lodged or the suspicion exists is the accounting officer or a member of the accounting authority, refer that complaint or suspicion to the Audit Committee of the organ of state concerned and the Auditor-General. |
| (3) | The investigating officer must, before commencing with the preliminary investigation, verify whether the following criteria have been met: |
| (a) | the Board has jurisdiction to investigate the complaint or suspicion; and |
| (b) | reasonable grounds exist for the complaint or suspicion. |
| (4) | If, after the verification contemplated in subregulation (3), the investigation officer finds that any of the criteria in that subregulation have not been met, he or she must inform the Board thereof, together with the reasons for his or her finding. |
| (5) | Upon receipt of the finding of the investigation officer contemplated in subregulation (4), the Board must inform the complainant of its finding, if the identity of the complainant is known. |
| (6) | If the investigating officer is satisfied that any of the criteria referred to in subregulation (3) have been met, he or she must- |
| (a) | investigate the matter; and |
| (b) | obtain evidence to determine whether the Board may take any action as contemplated in the Act and these Regulations against the person implicated by the complaint or suspicion. |
| (7) | An investigating officer may not question the person implicated by the complaint or suspicion unless he or she informs that person that he or she— |
| (a) | has the right to be assisted or represented by another person; |
| (b) | has the right to be assisted by an interpreter; |
| (c) | is not obliged to make any statement; and |
| (d) | that any statement so made may be used in evidence against him or her. |
| (8) | The investigating officer must, after the conclusion of the investigation, submit a report to the Board which contains at least— |
| (a) | the evidence obtained; |
| (b) | his or her conclusions and the reasons therefore; |
| (c) | whether, in the opinion of the investigating officer, the person implicated by the complaint or suspicion or any other person failed to comply with the provisions of the code of conduct; and |
| (d) | a recommendation regarding the action that the Board should take. |
| (9) | The Board must, after due consideration of the report of the investigating officer referred to in subregulation (8), act in accordance with the recommendation of the investigating officer if the Board is satisfied that sufficient grounds exist for such action. |
| (10) | If an organ of state, other than the Board, undertakes an investigation and the finding of that organ of state indicates that a person acted contrary to or has omitted to act in terms of the code of conduct, that organ of state must provide the Board with its findings and all other documentation relevant to its investigation. |
| (11) | Upon receipt of the findings and documentation contemplated in subregulation (10) the Board must refer the matter to the investigating officer appointed by the Board as contemplated in subregulation (1). |
| (12) | The investigation officer must, within 30 days of the referral by the Board referred to in subregulation (11) submit a report to the Board which contains at least— |
| (a) | a statement on whether, in the opinion of the investigating officer, the person implicated by the investigation of the organ of state has acted contrary to or has omitted to act in terms of the code of conduct or failed to comply with the provisions of the Code of Conduct; and |
| (b) | a recommendation regarding the action that the Board should take. |
[Regulation 28 substituted by regulation 24 of Notice No. 1224 dated 14 November 2008]
