PAIA Manual

 

PAIA MANUAL 

Prepared in terms of section 51 of the Promotion of Access to Information Act 2 of 2000 (as amended)

Last Review Date 

19/01/2023

Frequency of Review 

Annually 

Next Review Date 

19/01/2024

Policy Owner 

Justin Els

POLICY STATEMENT 

  • This policy forms part of the policy owner’s internal business processes and procedures. 
  • Any reference to the “organisation” shall be interpreted to include the “policy owner”. 
  • The organisation’s governing body, its employees, consultants, contractors, suppliers and any other persons acting on behalf of the organisation are required to familiarise themselves with the policy’s requirements and undertake to comply with the stated processes and procedures. 
  • Risk owners and control owners are responsible for overseeing and maintaining control procedures and activities.

 

DEFINITIONS 

    • Data Subject 

  The person to whom personal information relates. 

    • Deputy Information Officer 

  The person to whom any power or duty conferred or imposed on an Information Officer by POPI has been delegated. 

    • Head 

In relation to a private body means: 

    • in the case of a natural person, that natural person or any person duly authorised by that natural person; ▪ in the case of a partnership, any partner of the partnership or any person duly authorised by the partnership; 
    • in the case of a juristic person: 
      • the chief executive officer or equivalent officer of the juristic person or any person duly authorised by that officer; or 
      • the person who is acting as such or any person duly authorised by such acting person 
    • Information Officer 

 The head of a private body. (Justin Els)

    • Information Regulator 

The Regulator established in terms of Section 39 of POPI. 

    • PAIA 

The Promotion of Access to Information Act 2 of 2000. 

    • Person 

A natural person or a juristic person. 

    • Personal Information 
  • Information relating to an identifiable, living, natural person, and where it is applicable, an identifiable, existing juristic person, including, but not limited to: information relating to the race, gender, sex, pregnancy, marital status, national, ethnic or social origin, colour, sexual orientation, age, physical or mental health, well-being, disability, religion, conscience, belief, culture, language and birth of the person; 
  • Information relating to the education or the medical, financial, criminal or employment history of the person; 
  • Any identifying number, symbol, e-mail address, physical address, telephone number, location information, online identifier or other particular assignment to the person, the biometric information of the person;  
  • The personal opinions, views or preferences of the person; correspondence sent by the person that is implicitly or explicitly of a private or confidential nature or further correspondence that would reveal the contents of the original correspondence;  
  • The views or opinions of another individual about the person; and the name of the person if it appears with other personal information relating to the person or if the disclosure of the name itself would reveal information about the person. 
    • Personal Requester 

A requester seeking access to a record containing personal information about the requester. 

    • POPI 

The Promotion of Personal Information Act 4 of 2013. 

    • Private body 
  • a natural person who carries or has carried on any trade, business or profession, but only in such capacity  
  • a partnership which carries or has carried on any trade, business or profession; or 
  • any former or existing juristic person, but excludes a public body 
    • Processing 

Any operation or activity or any set of operations, whether or not by automatic means, concerning personal information, including the collection, receipt, recording, organisation, collation, storage, updating or modification, retrieval, alteration, consultation or use, dissemination by means of transmission, distribution or making available in any other form, or merging, linking, as well as restriction, degradation, erasure or destruction of information. 

    • Requester 

 In relation to a private body, means any person, including, but not limited to public body or an official thereof, making a request for access to a record of the organisation or a person acting on behalf of such person. 

    • Request for access 

  A request for access to a record of the organisation in terms of Section 50 of PAIA. 

    • Record 

 Any recorded information regardless of the form or medium, in the possession or under the control of the organisation irrespective of whether or not it was created by the organisation. 

    • Third Party 

  In relation to a request for access to a record held by the organisation, means any person other than the requester. 

POLICY PURPOSE 

The Promotion of Access to Information Act, 2000, gives effect to section 32 of the Constitution, which provides that everyone has the right to access information held by the State or any other person (or private body), when that information is required for the exercise or protection of any rights. 

The purpose of PAIA is to: 

  • foster a culture of transparency and accountability in public and private bodies by giving effect to the right of access to information, and to 
  • actively promote a society in which the people of South Africa have effective access to information to enable them to more fully exercise and protect all of their rights 

The organisation recognises everyone’s right to access to information and is committed to provide access to the organisation’s records where the proper procedural requirements as set out by PAIA and POPI have been met. 

The organisation’s PAIA manual is compiled in accordance with section 51 of the Act and contains the following provisions: 

Annexure A: Contact Details & Business Type 

This section provides the organisations postal and street address, phone and fax number and, if available, the e-mail address of the head of the organisation  

Annexure B: Section 10 PAIA Guide 

This section provides a description of the guide referred to in Section 10 of PAIA and how you may obtain access to it 

Annexure C: Statutory Records 

This section provides a description of the various statutes in terms of which the organisation is required to maintain records  

Annexure D: Availability of Records 

This section provides a list of records held by the organisation along with an indication of whether the record is freely available or only accessible by way of a formal request in terms of the provisions of PAIA. The section also provides a description of the category of data subject(s) to who the respective records relates along with an indication of the purpose for which the record is being kept. Records that are indicated as “Freely Available” can be accessed by contacting the Deputy Information Officer (see Annexure A), without having to follow any formal procedures. Records that are indicated as a “PAIA Request”, requires the requester to lodge a formal request as provided for in Annexure E 

Annexure E: Request Procedure 

This section sets out the procedure required to obtain access to a record indicated as a “PAIA Request” in Annexure D 

 

Annexure F: Prescribed Fees 

This section sets out the fees that are payable to the organisation prior to processing a request to obtain access to a record held by the organisation 

 

Annexure G: Processing of Personal Information 

This section sets out the applicable aspects for the processing of personal information 

Annexure H: Deputy Information Officer Appointment 

This section provides for the formal appointment of a Deputy Information Officer where so required 

At this moment in time TVC Wealth and Health Managers has not appointment a Deputy Information Officer

 

DUTIES OF THE INFORMATION OFFICER 

The Information Officer and/or the Deputy Information Officer of the organisation are responsible for: 

  • Publishing and proper communication of the manual i.e., creating policy awareness 
  • The facilitation of any request for access 
  • Providing adequate notice and feedback to the requester 
  • Determining whether to grant a request for access to a complete/full record or only part of a record 
  • Ensuring that access to a record, where so granted, is provided timeously and in the correct format 
  • Reviewing the policy for accuracy and communicating any amendments

Right of Access 

The Information Officer (Justin Els) may only provide access to any record held by the organisation to a requester if: 

  • The record is required for the exercise or protection of any right, and 
  • The requester complies with the procedural requirements relating to a request for access to that record, and 
  • Access to that record is not refused in terms of any of the grounds for refusal listed below Grounds for Refusal

Unreasonable disclosure

Commercial harm

Duty of confidence

Public interest

Safety and security

Police dockets

Privileged documents for legal proceedings

Defence, security, or international relations of SA

Examples of grounds refusal (PAIA):

Unreasonable disclosure

Commercial harm

Duty of confidence

Public interest

Safety and security

Police dockets

Privileged documents for legal proceedings

Defence, security, or international relations of SA

Examples of grounds refusal (PAIA):

A: Mandatory Protection of privacy of a Third Party who is a Natural Person 

Grounds for Refusal: 

The disclosure would involve the unreasonable disclosure of personal information about a third party that is a natural person (including a deceased individual) 

No Grounds for Refusal: 

  • The record consists of information that concerns an individual who has already consented in writing to its disclosure to the requester concerned 
  • The record consists of information that is already publicly available 
  • The record consists of information that was given to the organisation by the individual to whom it relates and the individual was informed by or on behalf of the organisation, before it is given, that the information belongs to a class of information that would or might be made available to the public 
  • The record consists of information about an individual’s physical or mental health, or well-being, who is under the care of the requester and who is under the age of 18; or incapable of understanding the nature of the request, and if giving access would be in the individual’s best interest 
  • The record consists of information about an individual who is deceased, and the requester is the individual’s next of kin or making the with the written consent of the individual’s next of kin 
  • The record consists of information about an individual who is or was an official of the organisation and which relates to the position or functions of the individual, including, but not limited to the title, work address, work phone number, the classification, salary scale or remuneration and responsibilities of the position heled or services performed by the individual 
  • and the name of the individual on a record prepare by the individual in the course of employment 

 

 

B: Mandatory Protection of Commercial Information of a Third Party 

Grounds for Refusal 

  • The record consists of information that contains trade secrets of a third party 
  • The record consists of information that contains financial, commercial, scientific or technical information, other than trade secrets, of a third party, the disclosure of which would be likely to cause harm to the commercial or financial interests of that third party
  • The record consists of information supplied in confidence by a third party, the disclosure of which could reasonably be expected to put that third party at a disadvantage in contractual or other negotiations or to prejudice that third party in commercial competition 

 

No Grounds for Refusal 

The Information Officer, Justin Els, must assess whether there are any grounds for refusing a request for access.  

Where any grounds for refusal are found, a request for access will not be granted.  

However, despite finding any grounds for refusal, access to the record(s) will be provided where: 

  • the disclosure of the record would reveal evidence of a substantial contravention of, or failure to comply with the law or imminent and serious public or environmental risk, and 
  • the public interest in disclosing record, will clearly outweigh the harm contemplated in the provision in question. 

Where there are no grounds for refusal, request for access will be granted.  

If a request for access is made with regards to a record containing information that would justify a ground for refusal, every part of the record which 

  • does not contain, and 
  • can reasonably be severed from any part that contains, any such information must, despite any other provision of PAIA, also be disclosed. 

The grounds for refusal, or absence thereof, are set out below: 

  • The record consists of information about a third party who has consented who has already consented in writing to its disclosure to the requester concerned 
  • The record consists of information about the results of any product or environmental testing or other investigation supplied by a third party or the results of any such testing or investigation carried out by or on behalf of a third party and its disclosure would reveal a serious public safety or environmental risk (the results of any product or environmental testing or other investigation do not include the results of preliminary testing or other investigation conducted for the purpose of developing methods of testing or other investigation.

C: Mandatory Protection of certain Confidential Information of a Third Party 

Grounds for Refusal 

 

▪ The record consists of information the disclosure of which would constitute an action for breach of a duty of confidence owed to a third party in terms of an agreement 

 

D: Mandatory Protection of Safety of Individuals and Protection of Property 

Grounds for Refusal 

  • The record consists of information that if disclosed could reasonably be expected to endanger the life or physical safety of an individual 
  • The record consists of information that if disclosed would likely prejudice or impair the security of a building, a structure or system, a computer or communication system, a means of transport, any other property 
  • The record consists of information that if disclosed would likely prejudice or impair the security of methods, systems, plans or procedures for the protection of an individual in accordance with a witness protection scheme, the safety of the public, or any part of the public, or the security of property  

 

 

E: Mandatory Protection of Records privileged from Production in Legal Proceedings  

 

Grounds for Refusal 

 

▪ The record consists of information privileged from production in legal proceedings unless the person entitled to the privilege has waived the privilege 

 

F: Commercial Information of the Organisation 

 

Grounds for Refusal 

 

  • The record consists of information that contains trade secrets of the organisation 
  • The record consists of information that contains financial, commercial, scientific or technical information, other than trade secrets, of the organisation, the disclosure of which would likely cause harm to the commercial or financial interests of the organisation 
  • The record consists of information, the disclosure of which, could reasonably be expected to put the organisation at a disadvantage in contractual or other negotiations or prejudice the organisation in commercial competition 
  • The record is a computer program as defined in section 1(1) of the Copyright Act (Act 98 of 1978), owned by the organisation, except insofar as it is required to give access to a record to which access is granted in terms of PAIA 

 

No Grounds for Refusal 

The record consists of information about the results of any product or environmental testing or other investigation supplied by the organisation or the results of any such testing or investigation carried out by or on behalf of the organisation and its disclosure would reveal a serious public safety or environmental risk (the results of any product or environmental testing or other investigation do not include the results of preliminary testing or other investigation conducted for the purpose of developing methods of testing or other investigation) 

G: Mandatory Protection of Research Information of a Third Party and the Organisation 

Grounds for Refusal 

  • The record consists of information that contains information about research being or to be carried out by or on behalf of a third party, the disclosure of which would be likely to expose the third party, a person that is or will be carrying out the research on behalf of the third party, or the subject matter of the research to serious disadvantage 
  • The record consists of information that contains information about research being or to be carried out by or on behalf of the organisation, the disclosure of which would be likely to expose the organisation, a person that is or will be carrying out the research on behalf of the organisation, or the subject matter of the research to serious disadvantage 

 

NOTICE 

Where a request for access has been received the Information Officer (Kathryn Gobey) will notify the requester of receipt and the prescribed fee (if any) that is payable prior to processing the request. Please refer to Annexure F for a full breakdown of fees payable. Personal requesters will not be charged a request fee. 

The notice must state: 

  • The amount of the deposit payable (if any) 
  • That the requester may lodge a complaint with the Information Regulator or an application with a court against the tender or payment of the request fee, or the tender or payment of a deposit, as the case may be 
  • The procedure (including the period) for lodging the complaint with the Information Regulator or the applicatio

Except to the extent that the provisions regarding third party notification may apply, the Information Officer and/or Deputy Information Officer to whom the request is made, must as soon as reasonably possible, but in any event within 30 days, after the request has been received in the prescribed format: 

  • Decide in accordance with PAIA whether to grant the request, and 
  • Notify the requester of the decision and, if the requester stated that he or she wishes to be informed of the decision in any other manner, inform him or her in that manner, if it is reasonably possible 

If the request for access is granted, the notice must state: 

  • The access fee (if any) to be paid upon access 
  • The form in which access will be given, and 
  • That the requester may lodge a complaint with the Information Regulator or an application with a court against the access fee to be paid or the form of access granted, and the procedure, including the period allowed, for lodging a complaint with the Information Regulator or the application 

If the request for access is refused, the notice must: 

  • State adequate reasons for the refusal, including the relevant provision of PAIA that was relied on 
  • Exclude, from any such reasons, any reference to the content of the records’ and 
  • State that the requester may lodge a complaint with the Information Regulator or an application with a court against the refusal of the request, and the procedure (including the period) for lodging a complaint with the Information Regulator or the application 
  • Should all reasonable steps have been taken to find a record requested, and there are reasonable grounds for believing that the record: 
  • Is in the organisation’s possession, but cannot be found, or 
  • Simply does not exist, the head of the organisation must, by way of affidavit or affirmation, notify the requester that it is not possible to provide access to that record. The affidavit or affirmation must provide full account of all steps taken to find the record in question or to determine whether the record exists, as the case may be, including all communication with every person who conducted the search on behalf of the head. 

AVAILABILITY OF THE MANUAL 

A copy of the Manual is available-  

On our website https://tvc.co.za for public inspection; – to any person upon request and upon the payment of a reasonable prescribed fee; and – to the Information Regulator upon request. 

A fee for a copy of the Manual, as contemplated in annexure B of the Regulations, shall be payable per each A4-size photocopy made.  

 

ANNEXURE A: CONTACT DETAILS & BUSINESS 

 

  • Organisation Contact Details 

Postal address: 

P.O. Box 4305, Tygervalley, 7536

Street address: 

4 Bridal Close, Tygerfalls, Tygervalley, Bellville, 7530

Phone number: 

+27 21 914 7480

 

  • Information Officer 

Full names & surname: 

Justin Els 

Email address: 

justin@tvc.co.za

  • Business Type 

TVC Wealth and Health Managers (FSP Number: 10923) is an Authorised Financial Services Provider as defined by the FAIS ACT 

 

 

 

TVC Wealth and Health Managers (FSP Number: 10923) is an Authorised Financial Services Provider as defined by the FAIS ACT 

 

 

 

 

 ANNEXURE B: SECTION 10 PAIA GUIDE 

 

The Regulator has, in terms of section 10(1) of PAIA, as amended, updated and made available the revised Guide on how to use PAIA (“Guide”), in an easily comprehensible form and manner, as may reasonably be required by a person who wishes to exercise any right contemplated in PAIA and POPIA. 

 

The Guide is available in each of the official languages and in braille. 

 

The aforesaid Guide contains the description of- 

  • the objects of PAIA and POPIA; 
  • the postal and street address, phone and fax number and, if available, electronic mail address of- 

the Information Officer of every public body, and 

designated in terms of section 17(1) of PAIA and section 56 of POPIA ; 

the manner and form of a request for- access to a record of a public body contemplated in section 11; and access to a record of a private body contemplated in section 50 ; 

the assistance available from the IO of a public body in terms of PAIA and POPIA; 

the assistance available from the Regulator in terms of PAIA and POPIA; 

all remedies in law available regarding an act or failure to act in respect of a right or duty conferred or imposed by PAIA and 

  • POPIA, including the manner                 of lodging- an internal appeal;            
  • a complaint to the Regulator; and  

an application with a court against a decision by the information officer of a public body, a decision on internal appeal or a decision by the Regulator or a decision of the head of a private body; 

  • the provisions of sections 14 and 51 requiring a public body and private body, respectively, to compile a manual, and how to obtain access to a manual; 
  • the provisions of sections 15 and 52 providing for the voluntary disclosure of categories of records by a public body and private body, respectively; 
  • the notices issued in terms of sections 22 and 54 regarding fees to be paid in relation to requests for access; and – the regulations made in terms of section 92 . 

 

Members of the public can inspect or make copies of the Guide from the offices of the public and private bodies, including the office of the Regulator, during normal working hours.  

The Guide can also be obtained- 

  • upon request to the Information Officer. 
  • from the website of the Regulator (https://www.justice.gov.za/inforeg/). 

 

PAIA grants a requester access to records of a private body, if the record is required for the exercise or protection of any rights. 

Where a public body lodges a request, the public body must be acting in the public interest. 

Requests in terms of PAIA shall be made in accordance with the prescribed procedures at the rates provided. 

 

ANNEXURE C: STATUTORY RECORDS 

 

 Oakridge Financial Services maintains statutory records and information in terms of the following legislation: 

Basic Conditions of Employment Act

 

 

Companies Act

 

 

Employment Equity Act

 

 

Financial Advisory & Intermediary Services Act

 

 

Financial Intelligence Centre Act

 

 

Income Tax Act

 

 

Labour 

Relations Act

 

 

Long

–

term Insurance Act / Pension Fund Act

 

 

 

 

Prevention of Organised Crime Act

 

 

Short

–

term Insurance Act

 

 

Skills Development Act

 

 

Unemployment Insurance Act

 

 

Value

 

Added Tax Act

 

 

Basic Conditions of Employment Act

 

 

Companies Act

 

 

Employment Equity Act

 

 

Financial Advisory & Intermediary Services Act

 

 

Financial Intelligence Centre Act

 

 

Income Tax Act

 

 

Labour 

Relations Act

 

 

Long

–

term Insurance Act / Pension Fund Act

 

 

 

 

Prevention of Organised Crime Act

 

 

Short

–

term Insurance Act

 

 

Skills Development Act

 

 

Unemployment Insurance Act

 

 

Value

 

Added Tax Act

 

 

 

ANNEXURE D: AVAILABILTY OF RECORDS 

 

The organisation maintains the following categories of records and related subject matter. The status of the record’s availability, the purpose for its processing and the relevant data subject category to who the record relates are set out below: 

 

Category: 

Record: 

Availability: 

Purpose: 

Data Subject: 

Public Affairs 

Public Product Information 

Freely Available 

Convey Public Information 

Organisation 

 

Public Corporate Records 

Freely Available 

Convey Public Information 

Organisation 

 

Media Releases 

Freely Available 

Convey Public Information 

Organisation 

 

Published Newsletters  

Freely Available 

Convey Public Information 

Organisation 

 

Magazine Articles 

Freely Available 

Convey Public Information 

Organisation 

 

 

 

 

 

Regulatory & Administrative  

Permits, Licenses or Authorities 

Freely Available 

Statutory Requirement 

Organisation 

 

Conflict of Interest Management Policy 

Freely Available 

Statutory Requirement 

Organisation 

 

Complaints Policy 

Freely Available 

Statutory Requirement 

Organisation 

 

Financial Intelligence Centre Act Policy 

PAIA Request 

Statutory Requirement 

Organisation 

 

Health & Safety Plan 

PAIA Request 

Statutory Requirement 

Organisation 

 

Memorandum of Incorporation 

PAIA Request 

Statutory Requirement 

Organisation 

 

Minutes of Board or Directors Meetings 

PAIA Request 

Statutory Requirement 

Organisation 

 

Register of Members 

PAIA Request 

Statutory Requirement 

Organisation 

 

Register of Board of Directors 

PAIA Request 

Statutory Requirement 

Organisation 

 

Internal correspondence (e-mails/memos) 

PAIA Request 

Internal Communications 

Employees 

 

Insurance Policies held by organisation 

PAIA Request 

Risk Management 

Organisation 

 

 

 

 

 

Human 

Resources 

Employment Applications 

PAIA Request 

Internal Referencing 

Employees 

 

Employment Contracts 

PAIA Request 

Contractual Agreement 

Employees 

 

Personal Information of Employees 

PAIA Request 

Internal Referencing 

Employees 

 

Employment Equity Plan 

PAIA Request 

Statutory Requirement 

Organisation 

 

Medical Aid Records 

PAIA Request 

Internal Referencing 

Employees 

 

Pension Fund Records 

PAIA Request 

Internal Referencing 

Employees 

 

Disciplinary Records 

PAIA Request 

Statutory Requirement 

Employees 

 

Performance Management Records 

PAIA Request 

Internal Referencing 

Employees 

 

Salary Records 

PAIA Request 

Internal Referencing 

Employees 

 

Employee Benefit Records 

PAIA Request 

Internal Referencing 

Employees 

 

PAYE Records 

PAIA Request 

Statutory Requirement 

Employees 

 

Seta Records 

PAIA Request 

Statutory Requirement 

Employees 

 

Disciplinary Code 

PAIA Request 

Statutory Requirement 

Organisation 

 

Leave Records 

PAIA Request 

Internal Referencing 

Employees 

 

Training Records 

PAIA Request 

Internal Referencing 

Employees 

 

Training Manual 

PAIA Request 

Internal Referencing 

Organisation 

 

 

 

 

 

 

 

Financial 

Financial Statements 

PAIA Request 

Internal Referencing 

Organisation 

 

Financial and Tax Records 

PAIA Request 

Statutory Requirement 

Organisation 

 

Asset Register 

PAIA Request 

Internal Referencing 

Organisation 

 

Management Accounts and Reports 

PAIA Request 

Internal Referencing 

Organisation 

 

Vouchers, Cash Books and Ledgers 

PAIA Request 

Internal Referencing 

Organisation 

 

Banking Records and Statements 

PAIA Request 

Internal Referencing 

Organisation 

 

Electronic Banking Records 

PAIA Request 

Internal Referencing 

Organisation 

 

 

 

 

 

Marketing 

Market Information 

PAIA Request 

Internal Referencing 

Organisation 

 

Product Brochures 

PAIA Request 

Internal Referencing 

Organisation 

 

Advertisements 

PAIA Request 

Internal Referencing 

Organisation 

 

Field Records 

PAIA Request 

Internal Referencing 

Organisation 

 

Performance Records 

PAIA Request 

Internal Referencing 

Organisation 

 

Product / Service Sales Records 

PAIA Request 

Internal Referencing 

Organisation 

 

Marketing Strategies 

PAIA Request 

Internal Referencing 

Organisation 

 

 

 

 

 

Client 

Customer 

Customer / Client Database 

PAIA Request 

Internal Referencing 

Customers 

 

Customer / Client agreements 

PAIA Request 

Internal Referencing 

Customers 

 

Customer / Client Files 

PAIA Request 

Internal Referencing 

Customers 

 

Customer / Client Instructions 

PAIA Request 

Internal Communications 

Customers 

 

Customer / Client Correspondence 

PAIA Request 

External Communications 

Customers 

 

 

 

 

 

Third Party 

Rental agreements 

PAIA Request 

Contractual Agreement 

Third Party 

 

Non-disclosure agreements 

PAIA Request 

Risk Management 

Third Party 

 

Letters of Intent 

PAIA Request 

Contractual Agreement 

Third Party 

 

Supplier Contracts 

PAIA Request 

Contractual Agreement 

Third Party 

 

 

 

ANNEXURE E: REQUEST PROCEDURE 

 

To facilitate the processing of your request, kindly complete and submit the form below to the e-mail address of the Information Officer indicated in Annexure A.  

The Information Officer will notify the requester that a request for access has been received and that the prescribed fee (if any) is payable prior to processing the request. Please refer to Annexure F for a full breakdown of fees payable. Personal requesters will not be charged a request fee. 

A. Particulars of Private Body 

The Head: Information Officer

 

B. Particulars of person requesting access to the record 

  • The particulars of the person who requests access to the record must be recorded below 
  • Furnish an address and/or fax number in the Republic to which information must be sent 
  • Proof of the capacity in which the request is made, if applicable, must be attached 

Full names & surname: 

 

Identity number: 

 

Postal address: 

 

Fax number: 

 

Telephone number: 

 

Email address: 

 

 

C. Particulars of person on whose behalf request is made 

This section must be completed ONLY if a request for information is made on behalf of another person 

Full names & surname: 

 

Identity number: 

 

D. Particulars of Record 

  • Provide full particulars of the record to which access is requested, including the reference number if that is known to you 
  • If the provided space is inadequate, please continue on a separate page and attach to this form. Please sign any additional pages 

Description of record: 

 

Reference number: 

 

Any further particulars: 

 

E. Fees 

  • A request for access to a record, other than a record containing personal information about yourself, will be processed only after a request fee has been paid 
  • You will be notified of the amount required to be paid as the request fee 
  • The fee payable for access to a record depends on the form in which access is required and the reasonable time required to search for and prepare a record 
  • If you qualify for exemption of the payment of any fee, please state the reason therefor 

Reason for exemption: 

 

Once the request has been processed, the Information Officer will inform you of the outcome of your request and any additional fees that may fall due. 

Please be advised that PAIA provides a number of grounds on which a request for access to information must be refused. These grounds mainly comprise instances where: 

  • the privacy and interests of other individuals are protected 
  • where such records are already otherwise publicly available 
  • instances where public interest are not served 
  • the mandatory protection of commercial information of a third party ▪ the mandatory protection of certain confidential information of a third party 

When completing the form below please: 

  • indicate the identity of the person seeking access to the information 
  • provide sufficient particulars to enable the deputy information officer to identify the information requested 
  • specify the format in which the information is required 
  • indicate the contact details of the person requiring the information 
  • indicate the right to be exercised and/or to be protected, and specify the reasons why the information required will enable the person to protect and/or exercise the right 
  • where the person requesting the information wishes to be informed of the decision of the request in a particular manner, state the manner and particulars to be so informed  
  • if the request for information is made on behalf of another person, submit proof that the person submitting the request, has obtained the necessary authorisation to do so 

F. Form of access to record 

If you are prevented by a disability to read, view or listen to the record in the form of access provided hereunder, please state your disability and indicate in which form the record is required 

Disability: 

 

Form in which required: 

 

Mark the appropriate box with an “X” 

  • Your indication as to the required form of access depends on the form in which the record is available 
  • Access in the form requested may be refused in certain circumstances, In such a case you will be informed of access will be granted in another form 
  • The fee payable for access to the record, if any, will be determined partly by the form in which access is requested 

1) If the record is in written or printed form: 

▪ copy of record 

 

▪ inspection of record 

 

2) If record consists of visual images: 

▪ view the images 

 

▪ copy of the images 

 

▪ transcription of the images 

 

3) If the record consists of recorded words or information which can be reproduced in sound: 

▪ listen to the soundtrack  

 

▪ transcription of the soundtrack 

 

4) If the record is held on computer or in an electronic or machine-readable form: 

▪ printed copy of record 

 

▪ copy in computer readable form 

 

Please indicate the preferred method of delivery 

▪ By hand 

 

▪ Email 

 

▪ Post 

 

 

 

G. Particulars of right to be exercised or protected 

If the provided space is inadequate, please continue on a separate folio and attach it to this form. The requester must sign all additional folios. 

Indicate which right is to be exercised or protected: 

 

Explain why the record requested is required for the exercise or protection of the aforementioned right: 

 

H. Notice of decision regarding the request for access 

You will be notified in writing whether your request has been approved / denied. If you wish to be informed thereof in another manner, please specify the manner and provide the necessary particulars to enable compliance with your request 

How would you prefer to be informed of the decision regarding your request for access to the record? 

 

 

I. Signature page 

Signed at: 

Date: 

Signature of Requester / Person on whose behalf request is made: 

ANNEXURE F: PRESCRIBED FEES 

 

The following applies to requests (other than personal requests): 

 

  • A requester is required to pay a preliminary request fee before a request will be processed 
  • If the preparation of the record requested requires more than the prescribed hours (six), an additional deposit shall be paid (of not more than one third of the access fee which would be payable if the request was granted) 
  • A requestor may lodge an application with a court against the render / payment of the request fee and/or deposit 
  • Records may be withheld until the fees have been paid 
  • The fee structure is also available on the South African Human Rights Commission’s website at www.sahrc.org.za 

 

No. 

Description 

Fee 

1. 

The fee for a copy of the manual as contemplated in regulation 9(2)(c), for every photocopy of an A4-size page or part thereof 

R1.10 

 

 

 

2. 

The fees for reproduction referred to in regulation 11(1) are as follows: 

– 

 

a) For every photocopy of an A4 size page or part thereof 

R1.10 

 

b) For every printed copy of an A4 size page or part thereof held on a computer or in electronic readable form 

R0.75 

 

c) For a copy in a computer-readable form on stiffy disc 

R7.50 

 

d) For a copy in a computer-readable form on compact disc 

R70.00 

 

e) For a transcription of visual images, for an A4 size page or part thereof 

R40.00 

 

f) For a copy of a visual image 

R60.00 

 

g) For a transcription of an audio record 

R20.00 

 

h) For a copy of an audio record 

R30.00 

 

 

 

3. 

The request fee payable by a requester, other than a personal requester, referred to in regulation 11(2) 

R50.00 

 

 

 

4. 

The request fee payable by a requester, other than a personal requester, referred to in regulation 11(3): 

– 

 

a) For every photocopy of an A4 size page or part thereof 

R1.10 

 

b) For a printed copy of an A4 size page or part thereof held on a computer or in electronic readable form 

R0.75 

 

c) For a copy in a computer readable form on stiffy disc 

R7.50 

 

d) For a copy in a computer readable form on compact disc 

R70.00 

 

e) For a transcription of visual images, for an A4 size page or part thereof 

R40.00 

 

f) For a copy of a visual image 

R60.00 

 

g) For a transcription of an audio record, for A4 size page or part thereof 

R20.00 

 

h) For a copy of an audio record 

R30.00 

 

 

 

5. 

The actual postage fee is payable when a copy of a record must be posted to a requester 

– 

 

 

 

6. 

For purposed of section 54(2) of the Act, the following applies: 

– 

 

a) Six hours as the hours to be exceeded before a deposit is payable 

– 

 

b) One third of the access fee is payable as a deposit by the requester 

– 

 

ANNEXURE G : PROCESSING OF PERSONAL INFORMATION 

 

  • Purpose of Processing Personal Information 

To render financial service tour our clients as proscribed by the FAIS Act. 

  • Description of the categories of Data Subjects and of the information or categories of information relating thereto 

 

 

Categories of Data Subjects 

 

Personal Information that may be processed 

Customers / Clients 

Name, Last name, Identity number, Driver’s license number, Passport number, Birth certificate number, Date of birth (not age),Age (not date of birth),Gender, Nationality, Photographs Marital status, Education records, student grades and evaluations, etc. Home / residential address, First name of children under 18 years of age, Last name of children under 18 years of age, Birth information of children under 18 years of age, Identity number of children under 18 years of age, E-mail address, Home postal address, Home telephone number, Personal cellular, mobile or wireless number, Business e-mail address, Business postal address, Business telephone number, Business cellular, mobile or wireless number,(Medical record, including information about physical or psychological state of health, well-being, disability, disease state, medical history or medical treatment or diagnosis by a health care professional), Prescription information such as prescription number and prescribed drug, Health insurance identification or member number, (Drugs, therapies, or medical products or equipment used),  Patient Identification number, Family health or morbidity history, Pregnancy status, Insurance claim history, Medical Aid number, Financial institution account number, credit or debit card number [NB: Note Section 105 – 107 Offences and Penalties!]Income/Salary/Service Fees/Other Compensation, User Identification and/or Employee number as assigned by an employer, Employer or taxpayer identification number, Background checks (Sanction List)

 

Service Providers  

names, registration number, vat numbers, address, and bank details 

Employees  

address, qualifications, gender and race, banking details, id number, Name, Surname, contact number, email address, previous employment, Tax Number, drivers’ licence

 

 

  • The recipients or categories of recipients to whom the personal information may be supplied 

Specify the person or category of persons to whom the body may disseminate personal information. Below is an example of the category of personal information which may be disseminated and the recipient or category of recipients of the personal information.  

 

Category of personal information  

 

Recipients or Categories of Recipients to whom the personal information may be supplied 

 

Identity number and names, for criminal checks  

South African Police Services  

 

Category of personal information  

 

Please list you product providers

Qualifications, for qualification verifications

South African Qualifications Authority 

 

Credit and payment history, for credit information 

Credit Bureaus 

 

  • Planned transborder flows of personal information 

No transborder flows take palce

 

  • General description of Information Security Measures to be implemented by the responsible party to ensure the confidentiality, integrity and availability of the information 

Specify the nature of the security safeguards to be implemented or under implementation to ensure the confidentiality and integrity of the personal information under the care of the body. This may, for example, include Data Encryption, Antivirus and Anti-malware Solutions. 

Our laptops are password protected; we also make use of anti-virus software.

Hardcopy files are locked in file cabinets, when sending information via email we make use of password protection. Documents saved on our laptops are password protected, we make use of Office 365 which means our emails are also encrypted