| (1) | A person who intends to submit a charge with reference to a security service provider must deliver the charge to the director by means of an affidavit essentially containing the particulars contemplated in subregulation (2). |
| (2) | An affidavit referred to in subregulation (1) must contain the following particulars insofar as they are within the knowledge of the complainant— |
| (a) | the full name, employment or business address and residential address of the complainant and of the respondent and, where the complaint is directed against a company, close corporation, partnership, business trust, foundation or other security business, the name, employment or business address and residential address of a director of the company, a member of the close corporation, a partner of the partnership, a trustee of the business trust, an administrator or person in control of the foundation, or a person performing executive or managing functions in respect of such a security business, who may be cited as representative of the respondent; and |
| (b) | such particulars of the alleged improper conduct of which the respondent is said to be guilty, including particulars as to the date and place of the alleged improper conduct, as may be reasonably necessary to inform the respondent of the nature of the charge. |
| (3) | The director may take the steps that he or she deems necessary in the circumstances to establish whether there is prima facie evidence to support a charge that has been submitted to him or her in terms of subregulation (1). |
| (4) | If the director is satisfied that the requirements contemplated in subregulations (2) and (3) have been met, he or she may direct a prosecutor in writing to— |
| (i) | a copy of the charge as contained in a charge sheet; |
| (ii) | a summons under the signature of the director to appear at an enquiry, at a date, time and place referred to in the summons, and to produce at the enquiry any document so referred to which may be relevant to the enquiry, and which is, or presumably is, in possession of the respondent; and |
| (iii) | all the other notices and documentation contemplated in this subregulation, to be served on the respondent; |
| (b) | [Regulation 3(4)(b) deleted] |
| (c) | request the respondent in writing to give written notice to the director within the period stated in the request of whether the respondent intends to plead guilty or not guilty to the charge as contained in the charge sheet; |
| (d) | notify the respondent in writing that if the respondent intends to plead not guilty to the charge, the respondent may make substantiated submissions to the director within the stated period, indicating the basis of the defence in such a manner and with such detail that it will enable the director to make a decision on whether the enquiry should proceed on the basis set out in the summons, should proceed in respect of certain charges only, or which may shorten the proceedings at an enquiry; |
| (e) | notify the respondent in writing that if the respondent intends to plead guilty to the charge, the respondent must submit an affidavit to that effect within the stated period to the director and may also submit substantiated representations in connection with the imposition of an appropriate penalty; |
| (eA) | notify the respondent in writing that the respondent may, within the stated period, contact the prosecutor with a view to agreeing the terms and conditions of a settlement in respect of the alleged improper conduct with the prosecutor; |
| (f) | notify the respondent in writing that the affidavit contemplated in paragraph (e), submitted on behalf of a respondent which is a security business, must be accompanied by a certified resolution or other adequate proof that the person acting on behalf of the respondent is authorised to plead guilty and submit representations in connection with the imposition of a penalty; |
| (g) | inform the respondent in writing of the respondent's rights as contemplated in subregulation (6); |
| (h) | request the respondent in writing to give written notice to the director within the period mentioned in the request of whether the respondent intends to be present at the enquiry or not, and whether the respondent will be represented by a legal practitioner or assisted by a person appointed by him or her; and |
| (i) | notify the respondent in writing of the possible penalties provided for in the Code of Conduct if the respondent is found guilty of improper conduct. |
[Regulation 3(4) substituted by regulation 3 of Notice No. R.753, GG 40091, dated 24 June 2016]
| (5) | A direction to a prosecutor in terms of these regulations may be executed by any other prosecutor. |
| (5A) | A summons referred to in subregulation (4)(a)(ii) is in the form that the director determines from time to time, and may be amended, substituted or withdrawn at any time by service of a notice to that effect under the signature of the director on the respondent. |
[Regulation 3(5A) inserted by regulation 4 of Notice No. R. 753, GG 40091, dated 24 June 2016]
| (5B) | The date for the enquiry contemplated in subregulation (4)(a)(ii) may not be less than 20 days from the date of the serving of the summons, unless the respondent agrees to an earlier date. |
[Regulation 3(5B) inserted by regulation 4 of Notice No. R. 753, GG 40091, dated 24 June 2016]
| (6) | A respondent has, subject to these regulations, the following rights in regard to an enquiry— |
| (a) | to be present at the enquiry or any part thereof, |
| (b) | not to be present at the enquiry or any part thereof, |
| (c) | to be represented by a legal practitioner or assisted by a person appointed by him or her; |
| (d) | to call a witness and to give or submit evidence; |
| (f) | to cross-examine any person called as a witness in support of the charge; |
| (g) | to dispute any evidence submitted in support of the charge; |
| (h) | to inspect any document or object produced as evidence; and |
| (i) | to exercise any other right provided for in these regulations. |
| (7) | A legal practitioner who represents a respondent at an enquiry or part thereof while the respondent is absent, must submit proof to the satisfaction of the presiding officer that he or she has been duly authorised to represent the respondent. |
