POPI

Implementation Date: 1 July 2021

TABLE OF CONTENTS
1.Introduction3
2.Definitions3
3.Policy Scope4
4.Policy Statement4
5.Appointment of Information Officer4
6.Processing of Personal Information4
7.Access to Personal Information7
8.Implementation Guidelines9
9.Eight Processing Conditions9
10.Direct Marketing15
11.Destruction of Documents16
12.Statutory Retention Periods16
ANNEXURES
1.Annexure 1 – Information Officer’s Registration Form
2.Annexure 2 – Request for Access to Record of Private Body
3.Annexure 3 – Notification to Object the Processing of Personal Information
4.Annexure 4 – Customer Register
5.Annexure 5 – Notification of Collection of Personal Information
6.Annexure 6 – Request for Correction, Amendment or Deletion of Personal Information

 

  1. INTRODUCTION 

1.1 This protection of personal information policy (“Policy”) describes the way that Barrisford Brent Petersen Law Incorporated (“BBP Law”) will meet its legal obligations and the requirements concerning confidentiality and information security of its Data Subjects.

1.2 The requirements within the Policy are primarily based upon the Protection of Personal Information Act, No 4 of 2013, as that is the key piece of legislation covering security and confidentiality of Personal Information, which aims to give effect to the constitutional right of privacy and dignity, by ensuring that the appropriate measures are in place to protect these rights of Data Subjects.

1.3 This Policy sets out the manner on how personal information is stored, regulated, promoted, enforced and processed. Further, it seeks to ensure compliance with relevant South African and international standards.

1.4 Contact Details:

Managing Director: Barrisford Petersen
Information Officer: Ilana Snyman
Office Address: 32 Blomvlei Road, Pinati Estate, Lansdowne
Telephone Number: 021 054 6310
Email Address: info@bbplaw.attorney

  1. DEFINITIONS

2.1 Consent means the voluntary, specific and informed expression of will;

2.2 Data Subject means the natural or juristic person to whom the personal information relates;

2.3 Direct Marketing means offering the Data Subject legal services in accordance with the scope of BBP Law’s services;

2.4 POPI means the Protection of Personal Information Act, No4 of 2013;

2.5 Personal Information means information relating to an unidentifiable, living, natural person, or an identifiable, existing juristic person, as defined in POPI;

2.6 Processing means an operation or activity, whether or not by automatic means, concerning Personal Information.

 

  1. POLICY SCOPE

This Policy applies to all BBP Law employees, directors, agents, clients, service providers and consultants. The provisions of the Policy are applicable to both on and off-site processing of Personal Information.

  1. POLICY STATEMENT

BBP Law collects and uses from time to time the Personal Information of the Data Subjects with whom it engages, receives and renders legal services, to operate and carry out its business effectively. BBP Law regards the lawful and appropriate processing of all Personal Information as a essential aspect to successfully service and maintain confidence between BBP Law and its Data Subjects.  BBP Law therefore fully endorses and adheres to the principles of POPI.

  1. APPOINTMENT OF INFORMATION OFFICER

5.1 The duly appointed Information Officer at BBP Law is set out below:

Information Officer: Ilana Snyman
Contact Number: 021 054 6310
Email address: info@bbplaw.attorney

5.2 We confirm that the Information Officer duly completed the registration form as set out in Annexure 1.

  1. PROCESSING OF PERSONAL INFORMATION

6.1 Purpose of Processing

BBP Law uses Personal Information in its possession in the following ways:

6.1.1 Compliance with the Financial Intelligence Centre Act for client onboarding;

6.1.2 Providing legal services to clients;

6.1.3 Complying with legal and regulatory requirements;

6.1.4 Keeping of accounts and records;

6.1.5 In connection with legal proceedings;

6.1.6 Detecting and prevention of fraud, crime, money laundering and other malpractice;

6.1.7 Administration of agreements;

6.1.8 Staff administration; and

6.1.9 Profiling data subject for the purposes of direct marketing.

6.2 Categories of Data Subjects and their Personal Information

6.2.1 BBP Law records comprises of Personal Information of the following types of Data Subjects:

Entity Type Personal Information Processed
Natural PersonsNames; contact details; physical and postal addresses; date of birth; ID number; tax related information; nationality; gender; confidential correspondence
Juristic Persons / EntitiesNames of contact persons; name of legal entity; physical and postal address and contact details; financial information; registration number; founding documents; tax related information; authorised signatories; beneficiaries; ultimate beneficial owners; shareholding information; BBBEE information
Service ProvidersNames of contact persons; name of legal entity; physical and postal address and contact details; financial information; registration number; founding documents; tax related information; authorised signatories; beneficiaries; ultimate beneficial owners; shareholding information; BBBEE information
Employees / Consultants / DirectorGender; pregnancy; marital status; colour, race; age; language; education information; financial information; employment history; ID number;

physical and postal address; contact details; opinions; criminal record; well-being

 

6.3 Categories of Recipients For Processing The Personal Information

6.3.1 BBP Law may share the Personal Information with its shareholders, directors, employees, consultants, agents, affiliates, and associated companies, who may use this information to send the Data Subject information on products and services. BBP Law may supply the Personal Information to any party to whom BBP Law may have assigned or transferred any of its rights or obligations under any agreement, and/or to service providers who render the following services:

6.3.1.1 Capturing and organizing of data;

6.3.1.2 Storing of data;

6.3.1.3 Sending of emails and other correspondence to clients; and

6.3.1.4 Conducting due diligence checks.

6.4 Actual or Planned Transborder Flows of Personal Information

Personal Information may be transmitted transborder and may be stored in data servers hosted outside South Africa, which may not have adequate data protection laws. BBP Law will endeavour to ensure that its dealers and suppliers will make all reasonable efforts to secure said data and Personal Information.

6.5 Retention of Personal Information Records

BBP Law may retain Personal Information records indefinitely, unless the Data Subject objects thereto. If the Data Subject objects to indefinite retention of its Personal Information BBP Law shall retain the Personal Information records to the extent permitted or required by law as detailed under paragraph 12.

6.6 General Description of Information Security Measures

BBP Law employs up to date technology to ensure the confidentiality, integrity and availability of the Personal Information under its care is appropriately secured, these measures include:

6.6.1 Firewalls;

6.6.2 Virus protection software and update protocols;

6.6.3 Logical and physical access control;

6.6.4 Secure setup of hardware and software making up the IT infrastructure; and

6.6.5 Outsourced Service Providers who process Personal Information on behalf of BBP Law are contracted to implement security controls.

 

  1. ACCESS TO PERSONAL INFORMATION

All individuals and entities may request access to Personal Information held by BBP Law. Any requests should be directed to the Information Officer in accordance with the prescribed form, as per Annexure 2.

7.1 Remedies available if the request for access to Personal Information is refused

7.1.1 Internal Remedies

BBP Law does not have internal appeal procedures. As such, the decision made by the Information Officer pertaining to a request is final, and requestors will have to exercise such external remedies at their disposal if a request is refused, and the requestor is not satisfied with the response provided by the information officer.

7.1.2 External Remedies

A requestor that is dissatisfied with the Information Officer’s refusal to disclose information, may within 30 days of notification of the decision, apply to a court for relief. Likewise, a third party dissatisfied with the Information Officer’s decision to grant a request for information, may within 30 days of notification of the decision, apply to a court for relief. For purposes of the Act, courts that have jurisdiction over these applications are the Constitutional Court, the High Court or another court of similar status.

7.2 Grounds for Refusal

BBP Law may legitimately refuse to grant access to a requested record that falls within a certain category. Grounds on which BBP Law may refuse access include:

7.2.1 Protecting personal information that BBP Law holds about a third person (who is a natural person) including a deceased person, from unreasonable disclosure;

7.2.2 Protecting commercial information that BBP Law holds about a third party or BBP Law (for example trade secret: financial, commercial, scientific or technical information that may harm the commercial or financial interests of the organization or the third party);

7.2.3 If disclosure of the record would result in a breach of a duty of confidence owed to a third party in terms of an agreement;

7.2.4 If disclosure of the record would endanger the life or physical safety of an individual;

7.2.5 If disclosure of the record would prejudice or impair the security of property or means of transport;

7.2.6 If disclosure of the record would prejudice or impair the protection of a person in accordance with a witness protection scheme;

7.2.7 If disclosure of the record would prejudice or impair the protection of the safety of the public;

7.2.8 The record is privileged from production in legal proceedings, unless the legal privilege has been waived;

7.2.9 Disclosure of the record (containing trade secrets, financial, commercial, scientific, or technical information) would harm the commercial or financial interests of BBP Law;

7.2.10 Disclosure of the record would put BBP Law at a disadvantage in contractual or other negotiations or prejudice it in commercial competition;

7.2.11 The record is a computer programme;

7.2.12 The record contains information about research being carried out or about to be carried out on behalf of a third party or BBP Law; and

7.2.13 Records that cannot be found or do not exist after a search has been conducted. The requester will be notified by way of a confirmatory affidavit.

The notice of BBP Law’s refusal shall be provided in accordance with prescribed form as per Annexure 3.

  1. IMPLEMENTATION GUIDELINES

8.1 Training & Dissemination of Information

This Policy has been put in place throughout BBP Law, training on the Policy and POPI will take place with all affected employees.  All new employees will be made aware at induction, or through training programmes, of their responsibilities under the terms of this Policy and POPI.  Modifications and updates to data protection and information sharing policies, legislation, or guidelines will be brought to the attention of all staff.

8.2 Employee Contracts

8.2.1 Each new employee will sign an Employment Contract containing the relevant consent clauses for the use and storage of employee information, and a confidentiality undertaking as part and will be personally responsible for ensuring there are no breaches of confidentiality in relation to any Personal Information, however it is stored. Failure to comply will result in the instigation of a disciplinary procedure.

8.2.2 Each employee currently employed within BBP Law will sign an addendum to their Employment Contract containing the relevant consent clauses for the use and storage of employee information, and a confidentiality undertaking as part and will be personally responsible for ensuring there are no breaches of confidentiality in relation to any Personal Information, however, it is stored. Failure to comply will result in the instigation of a disciplinary procedure.

 

  1. EIGHT PROCESSING CONDITIONS

POPI is implemented by abiding by eight processing conditions. BBP Law shall abide by these principles in all its possessing activities of Personal Information. In addition to the above, BBP Law maintains for its own internal records a customer register in accordance with Annexure 4.

9.1 Accountability

BBP Law shall ensure that all processing conditions, as set out in POPI, are complied with when determining the purpose and means of processing Personal Information and during the processing itself. BBP Law shall remain liable for compliance with these conditions, even if it has outsourced it processing activities.

9.2 Processing Limitation

9.2.1 Lawful grounds

The processing of Personal Information is only lawful if, given the purpose of processing, the information is adequate, relevant and not excessive.  BBP Law may only process Personal Information if one of the following grounds of lawful processing exists:

9.2.1.1 The Data Subject consents to the processing;

9.2.1.2 Processing is necessary for the conclusion or performance of a contract with the Data Subject;

9.2.1.3 Processing complies with a legal responsibility imposed on BBP Law;

9.2.1.4 Processing protects a legitimate interest of the Data Subject; and

9.2.1.5 Processing is necessary for pursuance of a legitimate interest of BBP Law, or a third party to whom the information is supplied.

9.2.2 Special Personal Information Includes

9.2.2.1 Religious, philosophical, or political beliefs;

9.2.2.2 Race or ethnic origin;

9.2.2.3 Trade union membership;

9.2.2.4 Health or sex life;

9.2.2.5 Biometric information (including blood type, fingerprints, DNA, retinal scanning, voice recognition, photographs);

9.2.2.6 Criminal behaviour; and

9.2.2.7 Information concerning a child.

9.2.3 BBP Law may only process Special Personal Information under the following circumstances:

9.2.3.1 The Data Subject has consented to such processing;

9.2.3.2 The Special Personal Information was deliberately made public by the Data Subject;

9.2.3.3 Processing is necessary for the establishment of a right or defence in law;

9.2.3.4 Processing is for historical, statistical, or research reasons; and

9.2.3.5 If processing of race or ethnic origin is in order to comply with affirmative action laws.

All Data Subjects have the right to refuse or withdraw their consent to the processing of their Personal Information, and a Data Subject may object, at any time, to the processing of their Personal Information on any of the above grounds, unless legislation provides for such processing. If the Data Subject withdraws consent or objects to processing then BBP Law shall forthwith refrain from processing the Personal Information.

9.2.4 Collection directly from the Data Subject

Personal Information must be collected directly from the Data Subject in accordance with the prescribed form as set out in Annexure 5, unless:

9.2.4.1 Personal Information is contained in a public record;

9.2.4.2 Personal Information has been deliberately made public by the Data Subject;

9.2.4.3 Personal Information is collected from another source with the Data Subject’s consent;

9.2.4.4 Collection of Personal Information from another source would not prejudice the Data Subject;

9.2.4.5 Collection of Personal Information from another source is necessary to maintain, comply with or exercise any law or legal right;

9.2.4.6 Collection from the Data Subject would prejudice the lawful purpose of collection; and

9.2.4.7 Collection from the Data Subject is not reasonably practicable.

9.3 Purpose Specification

BBP Law shall only process Personal Information for the specific purposes as set out and defined above at paragraph 6.1.

9.4 Further Processing

New processing activity must be compatible with original purpose of processing. Further processing will be regarded as compatible with the purpose of collection if:

9.4.1 Data Subject has consented to the further processing;

9.4.2 Personal Information is contained in a public record;

9.4.3 Personal Information has been deliberately made public by the Data Subject;

9.4.4 Further processing is necessary to maintain, comply with or exercise any law or legal right; and

9.4.5 Further processing is necessary to prevent or mitigate a threat to public health or safety, or the life or health of the Data Subject or a third party.

9.5 Information Quality

BBP Law shall take reasonable steps to ensure that Personal Information is complete, accurate, not misleading and updated. BBP Law shall periodically review Data Subject records to ensure that the Personal Information is still valid and correct.

9.5.1 Employees should as far as reasonably practicable follow the following guidance when collecting Personal Information:

9.5.2 Personal Information should be dated when received;

9.5.3 A record should be kept of where the Personal Information was obtained;

9.5.4 Changed to information records should be dated;

9.5.5 Irrelevant or unneeded Personal Information should be deleted or destroyed; and

9.5.6 Personal Information should be stored securely, either on a secure electronic database or in a secure physical filing system.

9.6 Openness

BBP Law shall take reasonable steps to ensure that the Data Subject is made aware of:

9.6.1 What Personal Information is collected, and the source of the information;

9.6.2 The purpose of collection and processing;

9.6.3 Where the supply of Personal Information is voluntary or mandatory, and the consequences of a failure to provide such information;

9.6.4 Whether collection is in terms of any law requiring such collection; and

9.6.5 Whether the Personal Information shall be shared with any third party.

9.7 Data Subject Participation

Data Subject have the right to request access to, amendment, or deletion of their Personal Information.  All such requests must be submitted in writing to the Information Officer in accordance with the prescribed form as set out in Annexure 6.

Unless there are grounds for refusal as set out in paragraph 7.2, above, BBP Law shall disclose the requested Personal Information:

9.7.1 On receipt of adequate proof of identity from the Data Subject, or requester;

9.7.2 Within a reasonable time;

9.7.3 On receipt of the prescribed fee, if any;

9.7.4 In a reasonable format; and

9.7.5 BBP Law shall not disclose any Personal Information to any party unless the identity of the requester has been verified.

9.8 Security Safeguards

BBP Law shall ensure the integrity and confidentiality of all Personal Information in its possession, by taking reasonable steps to:

9.8.1 Identify all reasonably foreseeable risks to information security; and

9.8.2 Establish and maintain appropriate safeguards against such risks.

9.9 Written Records

Personal Information records should be kept in locked cabinets or safes;

9.9.1 When in use Personal Information records should not be left unattended in areas where non-staff members may access them;

9.9.2 BBP Law shall implement and maintain a “Clean Desk Policy” where all employees shall be required to clear their desks of all Personal Information when leaving their desks for any length of time and at the end of the day;

9.9.3 Personal Information which is no longer required should be disposed of by shredding.

9.9.4 Any loss or theft of, or unauthorized access to, Personal Information must be immediately reported to the Information Officer.

9.10 Electronic Records

All electronically held Personal Information must be saved in a secure database;

9.10.1 As far as reasonably practicable, no Personal Information should be saved on individual/personal computers, laptops or hand-held devices;

9.10.2 All computers, laptops and hand-held devices should be access protected with a password, fingerprint or retina scan, with the password being of reasonable complexity and changed frequently;

9.10.3 BBP Law shall implement and maintain a “Clean Screen Policy” where all employees shall be required to lock their computers or laptops when leaving their desks for any length of time and to log off at the end of the day; and

9.10.4 Electronic Personal Information which is no longer required must be deleted from the individual laptop or computer and the relevant database. The employee must ensure that the information has been completely deleted and is not recoverable.

Any loss or theft of computers, laptops or other devices which may contain Personal Information must be immediately reported to the Information Officer, who shall notify the IT department, who shall take all necessary steps to remotely delete the information, if possible.

  1. DIRECT MARKETING

As far as Direct Marketing may apply to BBP Law, all Direct Marketing communications shall contain BBP Law’s, and/or the Company’s details, and an address or method for the customer to opt-out of receiving further marketing communication.

10.1 Existing Customers

Direct Marketing by electronic means to existing customers is only permitted:

10.1.1 If the customer’s details were obtained in the context of a sale or service;

10.1.2 For the purpose of marketing the same or similar products; and

10.1.3 The customer must be given the opportunity to opt-out of receiving direct marketing on each occasion of direct marketing.

10.2 Consent

BBP Law may send electronic Direct Marketing communication to Data Subjects who have consented to receiving it.  BBP Law may approach a Data Subject for consent only once.

10.3 Record Keeping

BBP Law shall keep record of:

10.3.1 Date of consent;

10.3.2 Wording of the consent;

10.3.3 Who obtained the consent;

10.3.4 Proof of opportunity to opt-out on each marketing contact; and

10.3.5 Record of opt-outs.

  1. DESTRUCTION OF DOCUMENTS

11.1 Documents may be destroyed after the termination of the retention period specified herein, or as determined by BBP Law from time to time.

11.2 Each department is responsible for attending to the destruction of its documents and electronic records, which must be done on a regular basis. Files must be checked in order to make sure that they may be destroyed and also to ascertain if there are important original documents in the file. Original documents must be returned to the holder thereof, failing which, they should be retained by the Company pending such return.

11.3 The documents must be made available for collection by an approved document disposal company.

11.4 Deletion of electronic records must be done in consultation with the IT Department, to ensure that deleted information is incapable of being reconstructed and/or recovered.

  1. STATUTORY RETENTION PERIODS

LegislationApplicable ProvisionsPeriod
COMPANIES ACT
  • Any documents, accounts, books, writing, records or other information that a company is required to keep in terms of the Act;
  • Notice and minutes of all shareholders meeting, including resolutions adopted and documents made available to holders of securities;
  • Copies of reports presented at the annual general meeting of the company;
  • Copies of annual financial statements required by the Act;
  • Copies of accounting records as required by the Act;
  • Record of directors and past directors, after the director has retired from the company;
  • Written communication to holders of securities and
  • Minutes and resolutions of directors’ meetings, audit committee and directors’ committees.
7 years
  • Registration certificate;
  • Memorandum of Incorporation and alterations and amendments;
  • Rules;
  • Securities register and uncertified securities register;
  • Register of company secretary and auditors and
  • Regulated Companies (companies to which chapter 5, part B, C and Takeover Regulations apply) – Register of disclosure of person who holds beneficial interest equal to or in excess of 5% of the securities of that class issued.
Indefinitely
CONSUMER PROTECTION ACT
  • Full names, physical address, postal address and contact details;
  • ID number and registration number;
  • Contact details of public officer in case of a juristic person;
  • Service rendered;
  • Cost to be recovered from the consumer;
  • Frequency of accounting to the consumer;
  • Amounts, sums, values, charges, fees, remuneration specified in monetary terms;
  • Conducting a promotional competition refer to Section 36(11)(b) and Regulation 11 of Promotional Competitions;
3 years
FINANCIAL INTELLIGENCE CENTRE ACT
  • Whenever a reportable transaction is concluded with a customer, the institution must keep record of the identity of the customer;
  • If the customer is acting on behalf of another person, the identity of the person on whose behalf the customer is acting and the customer’s authority to act on behalf of that other person;
  • If another person is acting on behalf of the customer, the identity of that person and that other person’s authority to act on behalf of the customer;
  • The manner in which the identity of the persons referred to above was established;
  • The nature of that business relationship or transaction;
  • In the case of a transaction, the amount involved and the parties to that transaction;
  • All accounts that are involved in the transactions concluded by that accountable institution in the course of that business relationship and that single transaction;
  • The name of the person who obtained the identity of the person transacting on behalf of the accountable institution;
  • Any document or copy of a document obtained by the accountable institution
5 years
BASIC CONDITIONS OF EMPLOYMENT ACT
  • Section 29(4):
  • Written particulars of an employee after termination of employment;
  • Section 31:
  • Employee’s name and occupation;
  • Time worked by each employee;
  • Remuneration paid to each employee;
  • Date of birth of any employee under the age of 18 years.
3 years
EMPLOYMENT EQUITY ACT
  • Records in respect of the company’s workforce, employment equity plan and other records relevant to compliance with the Act;
  • Section 21 report which is sent to the Director General
3 years
LABOUR RELATIONS ACT
  • Records to be retained by the employer are the collective agreements and arbitration awards.
3 years
  • An employer must retain prescribed details of any strike, lock-out or protest action involving its employees;
  • Records of each employee specifying the nature of any disciplinary transgressions, the actions taken by the employer and the reasons for the actions
Indefinite
UNEMPLOYMENT INSURANCE ACT
  • Employers must retain personal records of each of their current employees in terms of their names, identification number, monthly remuneration and address where the employee is employed
5 years
TAX ADMINISTRATION ACTSection 29 documents which:

  • Enable a person to observe the requirements of the Act;
  • Are specifically required under a Tax Act by the Commissioner by the public notice;
  • Will enable SARS to be satisfied that the person has observed these requirements
5 years
INCOME TAX ACT
  • Amount of remuneration paid or due by him to the employee;
  • The amount of employee’s tax deducted or withheld from the remuneration paid or due;
  • The income tax reference number of that employee;
  • Any further prescribed information;
  • Employer Reconciliation return.
5 years
VALUE ADDED TAX ACT
  • Where a vendor’s basis of accounting is changed the vendor shall prepare lists of debtors and creditors showing the amounts owing to the creditors at the end of the tax period immediately preceding the changeover period;
  • Importation of goods, bill of entry, other documents prescribed by the Custom and Excise Act and proof that the VAT charge has been paid to SARS;
  • Vendors are obliged to retain records of all goods and services, rate of tax applicable to the supply, list of suppliers or agents, invoices and tax invoices, credit and debit notes, bank statements, deposit slips, stock lists and paid cheques;
  • Documentary proof substantiating the zero rating of supplies;
  • Where a tax invoice, credit or debit note, has been issued in relation to a supply by an agent or a bill of entry as described in the Customs and Excise Act, the agent shall maintain sufficient records to enable the name, address and VAT registration number of the principal to be ascertained.
5 years