PAIA Manual

Promotion of Access to Information (PAIA) Manual

Prepared in accordance with Section 51 of the Promotion of Access to Information Act, No. 2 of 2000.

This Manual applies to Omega Compliance Solutions (Pty) Ltd (hereafter referred to as “Omega Compliance Solutions”).

Definitions

Data Subject: Person to whom the personal information relates
Minister: Minister of Justice and Correctional Services
Private Body: A natural person, partnership, or any former or existing juristic person who carries or has carried on any trade, business, or profession
Regulator: Information Regulator of South Africa

Purpose of the PAIA Manual

This guide to accessing records held by Omega Compliance Solutions is intended to provide guidelines to members of the public who wish to exercise their constitutional right to access to information.

Below is information on how to lodge a request, a description of the types of records that will be made available, grounds for refusal, what procedure will be followed in considering a request, the applicable fee structure, and information on the appeals procedure should applicants not be satisfied with the outcome of the request.

Introduction

Omega Compliance Solutions conducts business as a compliance practice and consultancy, and is registered with the Financial Sector Conduct Authority. The compliance practice number is: 7375.

The Promotion of Access to Information Act, No. 2 of 2000 (“the Act”) gives effect to the constitutional right of access to any information in records held by private bodies that is required for the exercise or protection of any rights. The Act grants a requester access to records of a private body if the record is required for the exercise or protection of any rights. If a public body lodges a request, the public body must be acting in the public interest. The Act sets out the requisite procedural issues attached to a request for access to information, the requirements which such request must meet, as well as the grounds for refusal or partial refusal of such request.

This Manual informs requesters of procedural and other requirements which requests must meet as prescribed by the Act.

The Act recognises that the right to access to information cannot be unlimited and should be subject to justifiable limitations, including, but not limited to limitations aimed at the reasonable protection of privacy, commercial confidentiality, and effective, efficient, and good governance in a manner which balances that right with any other rights, including such rights contained in the Bill of Rights in the Constitution.

Contact details and information

All requests for access to records in terms of the Act must be in writing, and must be addressed to the Information Officer or Deputy Information Officer.

Information Officer

Bryan Thomas
Postal address: P O Box 3368, Pinegowrie, 2123
Tel: +27 11 568 5454
Email: bryan@omegacs.co.za
Website: www.omegacs.co.za

Deputy Information Officer

Chenjerai Muzorewa
Postal address: P O Box 3368, Pinegowrie, 2123
Tel: +27 11 568 5454
Email: chenj@omegacs.co.za
Website: www.omegacs.co.za

Access to information general contacts

Email: info@omegacs.co.za

Purpose of processing personal information

Omega Compliance Solutions collects personal information so as to provide financial compliance and consulting services. The company also processes personal information for employment of staff and outsourcing of specialised services.

Records of applicable legislation which are available in accordance with any other legislation

A table of legislation setting out a description of the records of Omega Compliance Solutions which are available in accordance with other legislation:

No.	Ref	Act
1	No. 71 of 2008	Companies Act
2	No. 95 of 1967	Income Tax Act
3	No. 66 of 1995	Labour Relations Act
4	No. 89 of 1991	Value Added Tax Act
5	No. 75 of 1997	Basic Conditions of Employment Act
6	No. 25 of 2002	Electronic Communications and Transactions Act
7	No. 2 of 2000	Promotion of Access of Information Act
8	No. 54 of 2002	Promotion of Access of Information Amendment Act
9	No. 30 of 1996	Unemployment Insurance Act
10	No. 78 of 1998	National Payment System Act
11	No. 38 of 2001	Financial Intelligence Centre Act
12	No. 85 of 1993	Occupational Health and Safety Act
13	No. 9 of 1999	Skills Development Levies Act
14	No. 4 of 2013	Protection of Personal Information Act
15	No. 26 of 2000	Protected Disclosures Act
16	No. 130 of 1993	Compensation for Occupational Injuries and Diseases Act
17	No. 12 of 2004	Prevention and Combating of Corrupt Activities Act
18	No. 53 of 2003	Broad-based Black Economic Empowerment Act
19	No. 36 of 2005	Electronic Communications Act
20	No. 37 of 2002	Financial Advisory and Intermediary Services Act
21	No. 68 of 2008	Consumer Protection Act
22	No. 55 of 1998	Employment Equity Act
23	No. 18 of 2017	Insurance Act
24	No. 34 of 2005	National Credit Act
25	No. 68 of 1969	Prescription Act

Category of records of Omega Compliance Solutions available without requiring access request

Omega Compliance Solutions has under its control or in its possession the following categories of records under the subjects described below. The categories of records are not exhaustive, and are subject to amendment from time to time. A request made for access to these records will not automatically be granted, but will be evaluated in accordance with the provisions of the Act, any other legal requirements, and Omega Compliance Solutions’ policies.

Category of record

Type of record

Available on website

Available on request

Marketing

Product offerings

External newsletters and circulars

Internal newsletters and circulars

Information on the company published by third parties

Subjects on which Omega Compliance Solutions holds records

Subjects on which Omega Compliance Solutions holds records	Categories of records
Company secretarial records	Company incorporation documents Names of directors Salaries of directors
Financial	Financial statements Management accounts Financial and tax records (company and employee) Asset register Statutory returns Financial agreements Banking details
Human Resources	Policies, procedures, and records Statutory employee records Performance records Key Individual and Representative register Payroll records Recruitment and termination List of employees Personal information of employees Employee contracts of employment Pension and provident funds Leave records
Insurance	Insurance policies held by the company Asset register
Marketing	Customer database Marketing strategy
Client records	Key Individual and Representative register Accounts Monitoring reports Financial statements Documented policies and procedures Profile changes CIPC documents Licence certificates Qualifications Complaints Contact details of individuals within customers Communications with customers
Company policies and directives	Internal relating to employees and the company External relating to clients and other third parties
Agreements or contracts	Standard agreements Contracts concluded with customers Non-disclosure agreements Letters of intent, memorandums of understanding Third party contracts such as joint venture agreements, and other agreements, etc. Office management contracts Supplier contracts
Regulatory	Licenses or authorities

Categories of data subjects and information

Categories of data subjects	Types of personal information processed
Customers / clients	Name, surname, address, registration number, identity number, identity document, bank details, cell phone number, email address, financial statements, application forms, VAT number, telephone number, website address
Service providers	Names, registration numbers, VAT numbers, addresses, email addresses, cell phone numbers, telephone numbers, and bank details
Employees	Addresses, qualifications, gender, race, identity numbers, passport numbers, bank account details, leave records

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

Category of personal information	Recipients or categories of recipients to whom the personal information may be supplied
ID and/or passport numbers	Regulatory Authorities in South Africa: Financial Services Conduct Authority (FSCA), Financial Intelligence Centre (FIC), South Africa Revenue Services (SARS), financial services providers (FSPs), Department of Labour, accounting service providers, verification agencies
Email addresses	Marketing service providers, FSCA
VAT numbers	SARS, accounting service providers
Payroll	Payroll service providers, banks
Representative registers	FSCA, FSPs
Company registration numbers	FSCA, CIPC, accounting service providers
Telephone and cell phone numbers	FSCA, FIC, FSPs, CIPC, accounting service providers
Addresses	FSCA, SARS, accounting service providers
Bank account details for payment details and FAIS registration	Clients, FSCA, accounting service providers
FSP service providers (accounting officers and auditors)	FSCA

Planned transborder flows of personal information

Omega Compliance Solutions stores records in data centres in South Africa and Ireland.

General description of information security measures to be implemented by the responsible party to ensure the confidentiality, integrity, and availability of the information

To safeguard personal information, Omega Compliance Solutions has implemented various state-of-the-art security measures and ensures these are maintained and upgraded.

Before submitting a formal request for access, the following needs to be considered:

Is the submission of the request for the exercise or protection of any of the requester’s legitimate rights?

The exercise of rights is subject to justifiable limitations, including the reasonable protection of privacy, commercial confidentiality, and effective, efficient, and good governance. This legislation may not be used for access to a record for criminal or civil proceedings or requested after the commencement of such proceedings.

Is the information required in record form, under the control of Omega Compliance Solutions?

The Act only applies to records that have already been created, at the date of the request, and that are under the control of Omega Compliance Solutions. Omega Compliance Solutions is not obliged to retrieve any records on behalf of a requester that are no longer under the company’s control, even where Omega Compliance Solutions created the record.

Does the requester have a legitimate right to access the record?

A request may only be made to exercise the right of a requester. Where the request is made on behalf of another person, the requester must submit proof of their capacity to act on behalf of the person in whose name the request is made. For example, a power of attorney must be submitted with the request where a legal representative makes the request on behalf of their client.

Grounds for refusal of access to records

The main grounds for Omega Compliance Solutions to refuse a request for information relates to the:

mandatory protection of the privacy of a third party who is a natural person, which would involve the unreasonable disclosure of personal information of that natural person
mandatory protection of the commercial information of a third party, if the record contains:
- trade secrets of that third party
- financial, commercial, scientific, or technical information which disclosure could likely cause harm to the financial or commercial interests of that third party
- information disclosed in confidence by a third party to Omega Compliance Solutions if the disclosure could put that third party at a disadvantage in negotiations or commercial competition
mandatory protection of confidential information of third parties if it is protected in terms of any agreement
mandatory protection of the safety of individuals and the protection of property
mandatory protection of records which would be regarded as privileged in legal proceedings
the commercial activities of Omega Compliance Solutions, which may include:
- trade secrets of Omega Compliance Solutions
- financial, commercial, scientific, or technical information which disclosure could likely cause harm to the financial or commercial interests of Omega Compliance Solutions
- information which, if disclosed, could put Omega Compliance Solutions at a disadvantage in negotiations or commercial competition
- a computer programme which is owned by Omega Compliance Solutions, and which is protected by copyright.

Requests for information that are clearly frivolous or vexatious, or which involve an unreasonable diversion of resources, shall be refused.

Internal remedies

Omega Compliance Solutions does not have internal appeal procedures. As such, the decision made by the Information Officer is final, and requesters will have to exercise such external remedies at their disposal if the request for information is refused, and the requester is not satisfied with the answer supplied by the Information Officer.

External remedies

Subject to the provisions of the Act, a requester who is dissatisfied with an Information Officer’s refusal to disclose information, may within 180 days of notification of the decision, apply to a court for relief.

Likewise, a third party dissatisfied with an Information Officer’s decision to grant a request for information, may within 180 days of notification of the decision, apply to a court with appropriate jurisdiction for relief.

Request procedure

The following procedural requirements serve as guidelines for requesters:

The requester must also comply with all the procedural requirements contained in the Act relating to the request for access to a record.
The requester must complete the prescribed form and submit same as well as payment of a request fee and a deposit, if applicable, to the Information Officer at the postal or physical address, or email address as stated above.
The prescribed from must be filled in with enough particularity to at least enable the Information Officer to identify:
- the record or records requested
- the identity of the requester
- which form of access is required, if the request is granted
- the requester (and if an agent is lodging the request, proof of capacity)
- the postal address or email address of the requester
The requester must state the nature of the right for which access to the requested records is required. The courts have indicated that access to the records must be “necessary” for the exercise or protection of the right so stated.
Subject to the provisions in the Act in respect of extensions, Omega Compliance Solutions will process the request within 30 days, unless the requester has stated special reasons which would satisfy the Information Officer that circumstances dictate that the above time periods not be complied with.
The requester shall be informed in writing whether access has been granted or denied. If, in addition, the requester requires the reasons for the decision in any other manner, he/she must state the manner and the particulars so required.
If a request is made on behalf of another person, the requester must submit proof of the capacity in which the requester is making the request to the reasonable satisfaction of the Information Officer.
If an individual is unable to complete the prescribed form because of illiteracy or disability, such person may make the request orally.

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.

The requester must pay the prescribed fee before any further processing can take place.

Description	Cost per A4-size page or part thereof/item	Number of pages/items	Total
The request fee payable by every requester	n/a	n/a	R140.00
Photocopy/printed black and white copy of A4-size page	R2.00
Printed copy of A4-size page	R2.00
For a copy in a computer-readable form on: a) Flash drive to be provided by requester b) Compact disc (i) if provided by requester (ii) if provided to the requester	R40.00 (i) R40.00 (ii) R60.00
For a transcription of visual images per A4-size page	Service to be outsourced. Will depend on quotation from service provider.
Copy of visual images
Transcription of an audio record, per A4-size page	R24.00
Copy of an audio record. (i) Flash drive to be provided by requester (ii) Compact disc (i) if provided by requester (ii) If provided to the requester	R40.00 R40.00 R60.00
To search for and prepare the record for disclosure for each hour or part of an hour, excluding the first hour, reasonably required for such search and preparation. To not exceed a total cost of	R145.00 R435.00
A deposit if payable if search exceeds six hours	Amount of deposit (calculated on one third of total amount per request)	Hours of search
Postage, email or any other electronic transfer	Actual costs if any

If a deposit has been paid in respect of a request for access, which is refused, then the Information Officer concerned must repay the deposit to the requester.

Access to records held by Omega Compliance Solutions

Records held by Omega Compliance Solutions may be accessed by requests only once the prerequisite requirements for access have been met.
A requester is any person making a request for access to a record of Omega Compliance Solutions. There are two types of requesters:

Personal requester

A personal requester is a requester who is seeking access to a record containing personal information about the requester.
Subject to the provisions of the Act and applicable law, Omega Compliance Solutions will provide the requested information, or give access to any record about the requester’s personal information. The prescribed fee for reproduction of the information requested will be charged.

Other requester

This requester (other than a personal requester) is entitled to request access to information on third parties. However, Omega Compliance Solutions is not obliged to grant access. The requester must fulfil the prerequisite requirements for access in terms of the Act, including the payment of a request and access fee.

Decision

Omega Compliance Solutions will, within 30 days of receipt of the request, decide whether to grant or decline the request, and give notice with reasons (if required) to that effect.
The 30-day period within which Omega Compliance Solutions has to decide whether to grant or refuse the request, may be extended for a further period of not more than 30 days if the request is for a large amount of information, or the request requires a search for information held at another office of Omega Compliance Solutions and the information cannot reasonably be obtained within the original 30-day period. Omega Compliance Solutions will notify the requester in writing should an extension be sought.

Availability of the Manual

This Manual is made available in terms of Regulation Number R. 187 of 15 February 2002.

A copy of the Manual is available:

on omegacs.co.za
from the head office of Omega Compliance Solutions for public inspection during normal business hours
to any person upon request and upon the payment of a reasonable prescribed fee
to the Information Regulator upon request

Updating of the Manual

The Information Officer of Omega Compliance Solutions will update this manual on a regular basis.

Omega Compliance Solutions

Truth, trust and transparency

With more than 35 collective years’ experience in providing compliance services, we pride ourselves on delivering simple and practical solutions to the financial services industry.

+27 11 568 5454

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