tel +27 (0)11 828 0427/8/9
fax +27 (0)11 828 0442

and all its subsidiaries (hereinafter referred to as “PH Projects”) (Registration number 2005/002205/07)

Last Updated: September 2015

A: Prepared in accordance with section 51 of the Promotion of Access to Information Act, No 2 of 2000 (Private Body)

In terms of Section 32 of the Bill of Rights in the Constitution of the Republic of South Africa, Act No.108 of 1996 every
person has a right to access information. In order to fulfil this constitutional obligation, the Promotion of Access to
Information Act No. 2 of 2000 ("the Act”) was assented to by Parliament.
The purpose of the Act is to give effect to the constitutional right of access to any information held by the state, public
and private companies as well as information held by another person that is required for the exercise or protection of any
The motivation for giving effect to the right of access to information is to:
- Foster a culture of transparency and accountability in both public and private bodies.
- Promote a society in which the people of the Republic of South Africa have effective access to information to enable
them to more fully exercise and protect all their rights.
Section 9 of the Act however recognises that such right of access to information cannot be unlimited and should be subject
to justifiable limitations, including, but not limited to:
- Limitation aimed at the reasonable protection of privacy;
- Commercial confidentiality; and
- Effective, efficient and good governance;and in a manner which balances that right with any other rights, including such
rights contained in the Bill of Rights in the Constitution.

The purpose of this manual is to facilitate requests for access to information of PH Projects and its subsidiaries.
This manual is not exhaustive of, nor does it comprehensively deal with, every procedure provided for in the Act.
Requesters are advised to familiarise themselves with the provisions of the Act before making any requests to PH Projects
in terms of the Act.
PH Projects makes no representation and gives no undertaking or warranty that the information in this manual or any
information provided by it to a requester is complete or accurate, or that such information is fit for any purpose. All
users of any such information shall use such information entirely at their own risk, and PH Projects shall not be liable
for any loss, expense, liability or claims, howsoever arising, resulting from the use of this manual or of any information
provided by PH Projects or from any error therein.
All users irrevocably agree to submit exclusively to the law of the Republic of South Africa and to the exclusive
jurisdiction of the Courts of South Africa in respect of any dispute arising out of the use of this manual or any
information provided by PH Projects.

Background information on PH Projects is available on the PH Projects
Website –

The main business of PH Projects is to produce turnkey solutions in the bulk materials handling field mainly for the mining

PH Projects Holdings (Pty) Limited (Holding company) 2005/002205/07
Hennop Crane Hire (Pty) Ltd 1997/00456/07
Croc Crane Hire (Pty) Ltd 1996/012554/07


Name: Andries du Plessis
Designation: Director
Postal address: P.O. Box 4181, Dalpark, 1543;
Telephone number: (011) 828 0427;
Facsimile number: (011) 828 0442;
E-mail address:
Name: James van Huyssteen;
Designation: Director
Postal address: P.O Box 4181
Telephone number: (011) 828 0427;
Facsimile number: (011) 828 0442;
E-mail address:

Name of Private Body: PH Projects Holdings (Pty) Ltd;
Physical Address: 22 Atlas Rd, Elandsfontein, Germiston, 1406;
Postal Address: P.O. Box 4181, Dalpark, 1543;
Telephone Number: (011) 828 0427;
Facsimile number: (011) 828 0442;


The guide referred to in Section 10 of the Act compiled by the South African Human Rights Commission contains such
information as may reasonably be required by a person who wishes to exercise any right contemplated in the Act. Any
enquiries regarding this guide should be directed to the: South African Human Rights Commission, 33 Hoofd Street, Forum III
– Braampark, Braamfontein, Johannesburg, Gauteng, 2041; Telephone Number:(011) +27 11 877 3600, Facsimile Number:(011) +27
11 403 0625,; E-mail Address:;;


PH Projects has records available in terms of the following legislation of the Republic of
South Africa:
* Basic Conditions of Employment Act, No. 75 of 1997;
* Companies Act, No. 71 of 2008
* Compensation for Occupational Injuries and Diseases Act, No. 130 of 1993;
* Constitution of the Republic of South Africa Act, No. 108 of 1996;
* The Criminal Procedure Act, No. 51 of 1977;
* Deeds Registries Act, No. 47 of 1937;
* Employment Equity Act, No. 55 of 1998;
* Identification Act, No. 68 of 1997;
* National Credit Act, No. 34 of 2005
* Insolvency Act, No. 24 of 1936;
* The Labour Relations Act, No. 66 of 1995;
* The Long Term Insurance Act, No. 52 of 1998;
* Pension Funds Act, No. 24 of 1956;
* Short Term Insurance Act, No. 53 of 1998;
* Skills Development Levies Act, No. 9 of 1999;
* Unemployment Insurance Act, No. 63 of 2001;
* Value Added Tax Act, No. 89 of 1991;
* Electronic Communication and Transactions Act, No. 25 of 2002;
* Patents, Designs and Copyright Merchandise Marks Act, No. 17 of 1941;
* Income Tax Act, No. 58 of 1962;
* Occupational Health and Safety Act No. 85 of 1993;
* Customs and Excise Act No. 91 of 1964;
* Road Transportation Act No. 74 of 1977;
* Transfer Duty Act No. 40 of 1949;
* Machinery and Occupational Safety Amendment Act No. 181 of 1993;
* National Water Act No. 36 of 1998;
* Prescription Act No. 68 of 1969;
* Trademark Act No. 194 of 1993;
* Intellectual Property Laws Amendment Act No.38 of 1997


Inspection of the company registers and records pertaining to:
- Directors and officers;
- Shareholders;
- Licences and permits;
- Trademarks and commodity brochures and relevant information; and
- Annual reports.


The description of the subjects and categories of records held by PH Projects are the following:
Incorporation documents
- The memorandum of association of PH Projects.
- The articles of association of PH Projects.
- The PH Projects Company registration forms.
Secretarial records
- The share register of PH Projects;
- Minutes of general meetings of the shareholders of PH Projects;
- Register or list of directors of PH Projects
- Power of attorney agreements and a list of persons authorised to bind PH Projects;
- Statutory registers of PH Projects;
Financial records of PH Projects
- Annual financial reports of PH Projects.
- Details of the auditors of PH Projects;
- Auditors' reports in respect of audits conducted on PH Projects.
- Tax returns of PH Projects.
- Other documents and agreements pertaining to tax;
- Financial records of PH Projects.
Human resources / employment records
- List of employees.
- Employee benefits.;
- Information pertaining to share options, share incentives, bonus or profit sharing agreements of each employee;
- Arbitration orders and agreements;
- Attendance registers at working stations and head office
- Any other information pertaining to employees of PH Projects.
Pension and provident funds
- A manual regarding the processes and rules of the pension fund;
- Lists of employees who belong to the respective funds;
- Minutes of meetings of trustees;
- Financial records of the pension and provident funds.
Insurance records
- Family insurance;
- Group life insurance;
- Spouse insurance;
- Disability insurance;
- Retirement insurance.
Immovable and movable property
- Asset register;
- Title deeds of any land owned by PH Projects.
- Agreements for the lease or sale of land and/or other immovable property by PH Projects.
- Agreements for the lease of movable property by PH Projects.
- Mortgage bonds, liens, notarial bonds or security interests on property.
- Other agreements for the purchase, ordinary sale, conditional sale, or hire of assets.
Client agreements
- Agreements for the supply of production and/or trading credit;
- Security agreements, deeds, guarantees, cession and bonds for credit;
- Details of clients and correspondence;
- Invoices, receipts, credit and debit notes.
Miscellaneous agreements of PH Projects
- Suretyship agreements.
- Agreements for the trading activities of PH Projects.
- Agency, management and distribution agreements.
- Agreements with suppliers of PH Projects.
- Agreements with clients of PH Projects.
- Credit facilities and letters of credit.
- Correspondence with clients and suppliers of PH Projects.


The above-mentioned records are available for public inspection at the offices of PH Projects during office hours, by
prior arrangement with the Information Officer, subject to the grounds of refusal mentioned in the Act.

Internal Remedies
PH Projects does not have internal appeal procedures, the Courts will have to be approached if the request for information
is refused. This would apply to any situation in which the requester wishes to appeal a decision made by the Information
External Remedies
A requester who is dissatisfied with an 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 an 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, the Courts that have jurisdiction over these applications are the
Constitutional Court, the High Court or another court of similar status and the Magistrates Court.

The requester must comply with all the procedural requirements contained in theAct relating to the request for access to a
The requester must complete the prescribed form, as well as payment of a request fee and a deposit, if applicable.
PH Projects will process the request within 30 days.
The requester shall be informed whether access is granted or denied.
The requester must indicate that he/she requires the information in order to exercise or protect a right.

Records held by PH Projects 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 PH Projects.

A personal requester is a requester who is seeking access to a record containing personal information about the requester.
PH Projects will voluntarily provide the requested information, or give access to any record with regard to the requester’s
personal information. The prescribed fee for reproduction of the information requested will be charged.
The requester (other than a personal requester) is entitled to request access to information on third parties. However, PH
Projects is not obliged to voluntarily 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.

A request for access to a record must be made on the prescribed form to the Information Officer at his/her address,
facsimile number or e-mail address.
The requester must provide sufficient detail on the request form to enable the Information Officer to identify the record
requested and the requester. When completing a request on the prescribed form, the requester should also indicate:
- the preferred language if applicable;
- whether the requester wishes to be informed of the decision in another manner in addition to a written reply; and
- a facsimile number and/or postal address.
If a request is made on behalf of another person, then 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 a person may make the
request verbally.
A request must be directed to the Information Officer or any authorised persons.
The prescribed form must be sent to PH Projects via mail, facsimile or may be provided to the requester by PH Projects.
The requester must pay the prescribed fee, before any further processing can take place.
The form must be adequately completed, with sufficient information particularly so that the official of PH Projects can
- From where and from whom the request is made;
- What record(s) are being requested;
- What the access fee will be should access be granted.

The Act provides for two types of fees, namely:
- A request fee, which will be a standard fee; and
- An access fee, which must be calculated by taking into account reproduction costs, search and preparation time and cost,
as well as postal costs.
When the request is received by the Information Officer, such officer shall by notice require the requester, other than a
personal requester, to pay the prescribed request fee (if any), before further processing of the request.
If the search for the record has been made and the preparation of the record for disclosure, including arrangement to make
it available in the requested form, requires more than the hours prescribed in the regulations for this purpose, the
information officer shall notify the requester to pay as a deposit the prescribed portion of the access fee which would be
payable if the request is granted.
The Information Officer shall withhold a record until the requester has paid the required fees.
A requester whose request for access to a record has been granted, must pay an access fee for reproduction and for
search and preparation, and for any time reasonably required in excess of the prescribed hours to search for and
prepare the record for disclosure including making arrangements to make it available in the requested form.
If a deposit has been paid in respect of a request for access, which is refused, then the Information Officer must repay
the deposit to the requester.

PH Projects will, within 30 days of receipt of the request, decide whether to grant or decline the request and give notice
with reasons to that effect.
The 30 day period within which PH Projects 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 PH Projects and the information cannot reasonably be obtained within the
original 30 day period. PH Projects will notify the requester in writing should an extension be sought.

The main grounds for PH Projects to refuse a request for information relate to the –
* mandatory protection of privacy of a third party who is a natural person
* mandatory protection of the commercial information of a third party
* mandatory protection of confidential information of third parties if it is protected in terms of any agreements
* mandatory protection of the safety of individuals and protection of property
* mandatory protection of records which would be regarded as privileged in legal proceedings
* mandatory protection of the commercial activities of PH Projects
* the research information of PH Projects or a third party, if its disclosure would disclose the identity of PH Projects,
the researcher or the subject matter of the research and would place the research at a serious disadvantage
* requests for information that are clearly frivolous or which involve an unreasonable diversion of resources shall be

Amendments to or a review of this Policy will take place on an ad hoc basis or at least once a year. Clients are advised to
access our website periodically to inform themselves of any changes. Where material changes take place clients will be
notified directly or it will be available on the PH Projects website.

This manual is made available in terms of Regulation Number R. 187 of 15 February 2002. The manual is available at the
offices of and on the website of the South African Human Rights Commission and shall be published in three of the official
languages in the Government Gazette.

If PH Projects searches for a record and it is believed that the record either does not exist or cannot be found, the
requester will be notified by way of an affidavit or affirmation. This will include the steps that were taken to try to
locate the record.

The prescribed forms and fees are available on the website of the Department of Justice and Constitutional Development at under the regulations section.


1.1.1 The main business of PH Projects is to produce turnkey solutions in the bulk materials handling field mainly for the
mining industry. PH Projects is obligated to comply with The Protection of Personal Information Act 4 of 2013.
1.1.2 POPIA requires the PH Projects Group to inform their personnel, suppliers and clients as to how their Personal
information is used, disclosed and destroyed.
1.1.3 The PH Projects Group guarantees its commitment to protecting their client’s privacy and ensuring their Personal
Information is used appropriately, transparently, securely and in accordance with applicable laws.
1.1.4 This Policy sets out how the PH Projects Group deals with their personnel’s, suppliers’ and clients’ Personal
Information in addition for what purpose said information is used. This Policy is made available on our company website, and by request from our head office.
Section 9 of POPIA states that “Personal Information may only be processed if given the purpose for which it is processed
is adequate, relevant and not excessive.”
The PH Projects Group collects and processes personnel’s, suppliers’ and clients’ Personal Information pertaining to
clients’ financial status, suppliers’ requirements and personnel’s personal information for management purposes. The type
of information will depend on the need for which it is collected and will be processed for that purpose only. Whenever
possible, we will inform the client, supplier or member of personnel what information they are required to provide us with
and what information is optional. Examples of personal information we collect include but is not limited to:
- Identity number, name, surname, address, postal code, marital status, and how many dependants they have
- Description of residence, business, assets; financial information, banking details
- Any other information required by us in order to fulfil our responsibilities in respect of our personnel, suppliers and
We aim to have agreements in place with all our Suppliers, Personnel, Clients and any third party Service Providers to
ensure there is a mutual understanding with regard to the protection of Personal Information. Our suppliers will be subject
to the same regulations as we are subjected to.
With consent, we may also supplement the information provided with information we receive from other providers in order to
better fulfil our responsibilities.
For purposes of this Policy, clients include potential and existing clients.
Personal Information will only be used for the purpose for which it was collected or agreed to.
This may include:
• Providing products or services to clients and to carry out the transactions requested
• Assessing and Processing claims
• Conducting credit reference searches or verification
• Confirming, verifying and updating client details
• For the detection and prevention of fraud, crime, money laundering or other malpractice
• Conducting market or customer satisfaction research
• For audit and record keeping purposes
• In connection with legal proceedings
• Providing our services to clients to carry out the services requested and to maintain and constantly improve the
• Providing communications in respect of The PH Projects Group and regulatory matters that may affect Information Providers
• In connection with and to comply with legal and regulatory requirements or when it is otherwise allowed by law.
According to section 10 of POPIA Personal Information may only be processed if certain conditions are met which are listed
below along with supporting information for PH Projects processing of Personal Information:
* Information Provider consents to the processing — consent is obtained from Information Provider during the introductory,
appointment and needs analysis stage of our relationship;
* The processing is necessary — in order to conduct an accurate analysis of clients needs for purposes of amongst other
things the supply of goods and services etcetera for which certain Personal information is required;
* Processing complies with an obligation imposed by law on the PH Projects Group;
* Processing protects a legitimate interest of the Information Provider — it is in the Information Provider’s best interest
to have a full and proper needs analysis performed in order to provide them with an applicable and beneficial product or
service that requires obtaining Personal Information;
* Processing is necessary for pursuing the legitimate interests of the PH Projects Group or of a third party to whom
information is supplied — in order to provide our clients with products and or services both ourselves and any of our
product suppliers need certain Personal Information from the clients to make an expert decision on the unique and specific
product and or service they require.
We may disclose clients’ Personal Information to any of our group companies or subsidiaries, joint venture companies and or
approved product or third party service providers whose services or products clients elect to use. We have agreements in
place to ensure that they comply with confidentiality and privacy conditions.
We may also share client Personal Information with, and obtain information about clients from third parties for the reasons
already discussed 3.2 above.
We may also disclose clients’ information where we have a duty or a right to disclose in terms of applicable legislation,
the law or where it may be necessary to protect our rights.
It is a requirement of POPIA to adequately protect the Personal Information we hold and to avoid unauthorised access and
use of your Personal Information. We will continuously review our security controls and processes to ensure that your
Personal Information is secure.
The following procedures are in place in order to protect your Personal Information:
i) The PH PROJECTS GROUP INFORMATION OFFICER is Andries du Plessis whose details are available below and who is responsible
for the compliance with the conditions of the lawful processing of Personal Information and other provisions of POPIA. He
is assisted by James van Huyssteen who will function as the Group’s Deputy Information Officer;
(ii) THIS POLICY has been put in place throughout the PH Projects Group and training on this policy and the POPI Act
have already taken place and will take place during 2015 and 2016 by PH Projects Group training third party service
providers and the Group Compliance function;
(iii) Each new employee will be required to sign an EMPLOYMENT CONTRACT containing relevant consent clauses for the use and
storage of employee information, or any other action so required, in terms of POPIA;
(iv) Every employee currently employed within the PH Projects Group will be required to sign an addendum to their
EMPLOYMENT CONTRACTS containing relevant consent clauses for the use and storage of employee information, or any other
action so required, in terms of POPIA;
(v) Our Product suppliers, Insurers and other Third Party Service Providers will be required to sign a SERVICE LEVEL
AGREEMENT guaranteeing their commitment to the Protection of Personal Information;
(vi) The PH Projects Group mostly stores its documents in electronic format. All files in electronic and hard copy format
are archived and stored off-site. All files are available;
(viii) All electronic files or data are BACKED UP by the Group IT Division who is also responsible for system security
which prevents third party access and protects against physical threats. Group IT Division are responsible for Electronic
Information Security;
(ix) A SECURITY INCIDENT MANAGEMENT REGISTER will be kept to log any security incidents and to report on and manage said
incidents this register will be maintained by an Appointed Security Manager.
(xi) CONSENT to process an Information Provider’s information is obtained from such Information Provider (or a person who
has been given authorisation from the such Information Provider to provide such Information Provider’s Personal
Information) at the outset of the relationship.
1.6.1. Information Providers have the right to access the Personal Information we hold about them. They also have the right
to ask us to update, correct or delete their Personal Information on reasonable grounds. Once an Information Provider
objects to the processing of their Personal Information, the PH Projects Group may no longer process said Personal
Information. We will take all reasonable steps to confirm our clients’ identity before providing details of their Personal
Information or making changes to their Personal Information.
1.6.2. The details of our Information Officer and head office are as follows:
Information Officer: Adv. Andries du Plessis
Deputy: James van Huyssteen
Head Office: 22 Atlas Rd, Elandsfontein, Germiston, 1406 PO Box 4181, Dalpark, 1543
Tel: 011 828 0427
Fax: 011 828 0442


1.1 To exercise effective control over the retention of documents and electronic transactions:
1.1.1 as prescribed by legislation; and
1.1.2 as dictated by business practice.
1.2 Documents need to be retained in order to prove the existence of facts and to exercise rights the Company may have.
They are also necessary for defending legal action. For establishing what was said or done in relation to business of the
Company and to minimize the Company’s reputational risks.
1.3 To ensure that the Company’s interests are protected and that the Company’s and clients’ rights to privacy and
confidentiality are not breached.
1.4 Queries may be referred to the Information Officer.
2.1 The Policy is applicable to all documents and electronic transactions generated within and/or received by the Company.
2.2 Definitions:
2.2.1 Clients includes, but are not limited to, shareholders, debtors, creditors and personnel of the Company and include
Client where so required by the context.
2.2.2 Confidential Information means all information or data disclosed to or obtained by the Company by any means
whatsoever and shall include, but not is limited to: financial information and records; and all other information including information relating to the structure, operations, processes, intentions, product
information, know-how, trade secrets, market opportunities, customers and business affairs but excluding the exceptions
listed in clause 4.1 hereunder.
2.2.3 Constitution: Constitution of the Republic of South Africa Act, 108 of 1996.
2.2.4 Data means electronic representations of information in any form.
2.2.5 Documents include books, records, security or accounts and any information that has been stored or recorded
electronically, photographically, magnetically, mechanically, electro-mechanically or optically, or in any other form.
2.2.6 ECTA: Electronic Communications and Transactions Act, 25 of 2002.
2.2.7 Electronic communication means a communication by means of data messages.
2.2.8 Electronic signature means data attached to, incorporated in, or logically associated with other data and which is
intended by the user to serve as a signature.
2.2.9 Electronic transactions include e-mails sent and received.
2.2.10 PAIA: Promotion of Access to Information Act, 2 of 2000.
All records created and received by the Company shall be managed in accordance with the records management principles
contained in ISO 9001
3.1 The following broad principles apply to the record keeping and records management practices of the Company:
3.1.1 The Company follows sound procedures for the creation, maintenance, retention and disposal of all records,
including electronic records;
3.1.2 The records management procedures of Company comply with legal requirements, including those for the provision of
3.1.3 The Company follows sound procedures for the security, privacy and confidentiality of its records;
3.1.4 Electronic records in the Company are managed according to the principles promoted by ISO 9001;.
3.1.5 The Company has performance measures for all records management functions and reviews compliance with these measures.
4.1 All Company and client information must be dealt with in the strictest confidence and may only be disclosed, without
fear of redress, in the following circumstances (also see clause 4.2 below):
4.1.1 where disclosure is compulsory under a provision of law;
4.1.2 where there is a duty to the public to disclose;
4.1.3 where the interests of the Company require disclosure; and
4.1.4 where disclosure is made with the express or implied consent of the client.
4.2 Disclosure to 3rd parties: All employees have a duty of confidentiality in relation to the Company and clients. In
addition to the provisions of clause 4.1 above, the following are also applicable:
4.2.1 Information on clients: Our clients’ right to confidentiality are protected in the Constitution and in terms of ECTA.
Information may be given to a 3rd party if the client has consented in writing to that person receiving the information.
4.2.2 Requests for company information: These are dealt with in terms of PAIA, which gives effect to the constitutional right of access to information held
by the State or any person (natural and juristic) that is required for the exercise or protection of rights. Private
bodies, like the Company, must however refuse access to records if disclosure would constitute a breach of the duty of
secrecy owed to a third party. In terms hereof, requests must be made in writing on the prescribed form to the Information Officer in terms of
PAIA. The requesting party has to state the reason for wanting the information and has to pay a prescribed fee. The Company’s combined manual in terms of PAIA and POPIA, which contains details of the prescribed forms and of
prescribed fees, is available on the intranet and the PH Projects website.
4.2.3 Confidential company and/or business information may not be disclosed to third parties. The affairs of the Company
must be kept strictly confidential at all times.
4.3 The Company views any contravention of this policy very seriously and personnel who are guilty of
contravening the policy will be subject to disciplinary procedures, which may lead to the dismissal of any guilty party.
5.1.1 Documents are stored in the archive at Head Office under control of Administration.
5.1.2 All documents stored are entered into the electronic filing system and requests for the retrieval of stored
documents must be sent to Administration who will forward the necessary information. The document(s) received must be
returned to Administration as soon as reasonably possible after use.
5.1.3 Companies Act, No 71 of 2008
With regard to the Companies Act, No 71 of 2008 and the Companies Amendment Act No 3 of 2011, hardcopies of the
documents mentioned below must be retained for 7 years:
Any documents, accounts, books, writing, records or other information that a company is required to keep in terms of the
- Notice and minutes of all shareholders meetings, including resolutions adopted and documents made available to holders of
- 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.
Copies of the documents mentioned below must be retained indefinitely:
- 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.
5.1.4 Consumer Protection Act, No 68 of 2008
The Consumer Protection Act seeks to promote fair, accessible and sustainable marketplace and therefore requires a
retention period of 3 years for information provided to a consumer by an intermediary such as:
- Full names, physical address, postal address and contact details;
- ID number and registration number;
- Contact details of the public officer in case of a juristic person;
- Service rendered;
- Intermediary fee;
- Cost to be recovered from the consumer;
- Frequency of accounting to the consumer;
- Amounts, sums, values, charges, fees, remuneration specified in monetary terms;
- Disclosure in writing of a conflict of interest by the intermediary in relevance to goods or service to be provided;
- Record of advice furnished to the consumer reflecting the basis on which the advice was given;
- Written instruction sent by the intermediary to the consumer ;
- Conducting a promotional competition refer to Section 36(11)(b) and Regulation 11 of Promotional
- Documents relating to Section 45 and Regulation 31 for Auctions.
5.1.5 Financial Intelligence Centre Act, No 38 of 2001:
Section 22 and 23 of the Act require a retention period of 5 years for the documents and records of the activities
mentioned below:
- Whenever an accountable transaction is concluded with a client, the institution must keep record of the identity of the
- If the client is acting on behalf of another person, the identity of the person on whose behalf the client is acting and
the clients authority to act on behalf of that other person;
- If another person is acting on behalf of the client, the identity of that person and that other person’s authority to act
on behalf of the client;
- 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. These documents may also be kept in
electronic format.
5.1.6 Compensation for Occupational Injuries and Diseases Act, No 130 of 1993:
Section 81(1) and (2) of the Compensation for Occupational Injuries and Diseases Act requires a retention period
of 4 years for the documents mentioned below:
- Register, record or reproduction of the earnings, time worked, payment for piece work and overtime and other prescribed
particulars of all the employees.
Section 20(2) documents with a required retention period of 3 years:
- Health and safety committee recommendations made to an employer in terms of issues affecting the health of employees and
of any report made to an inspector in terms of the recommendation;
- Records of incidents reported at work.
Asbestos Regulations, 2001, regulation 16(1) requires a retention period of minimum 40 years for the documents mentioned
- Records of assessment and air monitoring, and the asbestos inventory;
- Medical surveillance records;
Hazardous Biological Agents Regulations, 2001, Regulations 9(1) and (2):
- Records of risk assessments and air monitoring;
- Medical surveillance records.
Lead Regulations, 2001, Regulation 10:
- Records of assessments and air monitoring;
- Medical surveillance records.
Noise - induced Hearing Loss Regulations, 2003, Regulation 11:
- All records of assessment and noise monitoring;
- All medical surveillance records, including the baseline audiogram of every employee.
Hazardous Chemical Substance Regulations, 1995, Regulation 9 requires a retention period of 30 years for the documents
mentioned below:
- Records of assessments and air monitoring;
- Medical surveillance records.
5.1.7 Basic Conditions of Employment Act, No 75 of 1997:
The Basic Conditions of Employment Act requires a retention period of 3 years for the documents mentioned below:
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.
5.1.8 Employment Equity Act, No 55 of 1998:
Section 26 and the General Administrative Regulations, 2009, Regulation 3(2) requires a retention period of 3 years for the
documents mentioned below:
-Records in respect of the company’s workforce, employment equity plan and other records relevant to compliance with the
Section 21 and Regulations 4(10) and (11) require a retention period of 3 years for the report which is sent to the
Director General as indicated in the Act.
5.1.9 Labour Relations Act, No 66 of 1995:
Sections 53(4), 98(4) and 99 require a retention period of 3 years for the documents mentioned below:
- The Bargaining Council must retain books of account, supporting vouchers, income and expenditure statements, balance
sheets, auditor’s reports and minutes of the meetings;
- Registered Trade Unions and registered employer’s organizations must retain books of account, supporting vouchers,
records of subscriptions or levies paid by its members, income and expenditure statements, balance sheets,
auditor’s reports and minutes of the meetings;
- Registered Trade Unions and employer’s organizations must retain the ballot papers;
- Records to be retained by the employer are the collective agreements and arbitration awards.
Sections 99, 205(3), Schedule 8 of Section 5 and Schedule 3 of Section 8(a) require an indefinite retention period for the
documents mentioned below:
- Registered Trade Unions and registered employer’s organizations must retain a list of its members;
- 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;
- The Commission must retain books of accounts, records of income and expenditure, assets and liabilities.
5.1.10 Unemployment Insurance Act, No 63 of 2002:
The Unemployment Insurance Act, applies to all employees and employers except:
- Workers working less than 24 hours per month;
- Learners;
- Public servants;
- Foreigners working on a contract basis;
- Workers who get a monthly State (old age) pension;
- Workers who only earn commission.
Section 56(2)(c) requires a retention period of 5 years, from the date of submission, for the documents
mentioned below:
- 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.
5.1.11 Tax Administration Act, No 28 of 2011:
Section 29 of the Tax Administration Act, states that records of documents must be retained to:
- Enable a person to observe the requirements of the Act;
- Are specifically required under a Tax Act by the Commissioner by public notice;
- Will enable the SARS to be satisfied that the person has observed these requirements.
Section 29(3)(a) requires a retention period of 5 years, from the date of submission for taxpayers that have submitted a
return and an indefinite retention period, until the return is submitted, then a 5 year period applies for taxpayers who
were meant to submit a return, but have not
Section 29(3)(b) requires a retention period of 5 years from the end of the relevant tax period for taxpayers who were not
required to submit a return, but had capital gains/losses or engaged in any other activity that is subject to tax or would
be subject to tax but for the application of a threshold or exemption.
Section 32(a) and (b) require a retention period of 5 years but records must be retained until the audit is concluded or
the assessment or decision becomes final, for documents indicating that a person has been notified or is aware that the
records are subject to an audit or investigation and the person who has lodged an objection or appeal against an assessment
or decision under the TAA.
5.1.12 Income Tax Act, No 58 of 1962:
Schedule 4, paragraph 14(1)(a)-(d) of the Income Tax Act requires a retention period of 5 years from the date of submission
for documents pertaining to each employee that the employer shall keep:
- 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.
Schedule 6, paragraph 14(a)-(d) requires a retention period of 5 years from the date of submission or 5 years from the end
of the relevant tax year, depending on the type of transaction for documents pertaining to:
- Amounts received by that registered micro business during a year of assessment;
- Dividends declared by that registered micro business during a year of assessment;
- Each asset as at the end of a year of assessment with cost price of more than R 10 000;
- Each liability as at the end of a year of assessment that exceeded R 10 000.
5.1.13 Value Added Tax Act, No 89 of 1991:
Section 15(9), 16(2) and 55(1)(a) of the Value Added Tax Act and Interpretation Note 31 of 22 March 2013 requires a
retention period of 5 years from the date of submission of the return for the documents mentioned below:
- 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 Customs 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.
5.2.1 The internal procedure requires that all important information and documents be stored electronically on the company
servers at the appropriate place. IT assists with the maintenance of the hardware and the process.
5.2.2 If documents are scanned, the hard copy must be retained if such document contain information in respect of the
particulars of an employee, including an employee’s name and occupation, time worked by each employee, remuneration and
date of birth of an employee under the age of 18 years for a period of 3 years after termination of employment.
5.2.3 Section 51 of the Electronic Communications Act No 25 of 2005 requires that personal information and the purpose for
which the data was collected must be kept by the person who electronically requests, collects, collates, processes or
stores the information and a record of any third party to whom the information was disclosed must be retained for a period
of 1 year or for as long as the information is used.It is also required that all personal information which has become
obsolete must be destroyed.
6.1 Documents may be destroyed after the termination of the retention period specified in herein. Every department is
responsible to ensure destruction of old documents on a regular basis. Requests for destruction must be submitted to
Administration for approval.
6.2 Each department is responsible for attending to the destruction of its documents, which must be done on a regular
basis. Files must be checked to establish 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.
6.3 After completion of the process in 6.2 above, the relevant Director must determine that they may be destroyed
and also ascertain if the department shall, in writing, authorise the removal and destruction of the documents.These
records will be retained by Administration.
6.4 The documents are then made available for collection by the removers of the Company’s documents, who also ensure that
the documents are shredded before disposal which helps to ensure confidentiality of information.
6.5 Documents may also be stored off-site, in storage facilities approved by the Company.
7.1 Companies Act, 2008, Act 71 of 2008;
7.2 Income Tax Act, 1962, Act 58 of 1962;
7.3 Financial Intelligence Centre Act, 2001, Act 38 of 2001;
7.4 Electronic Communications and Transactions Act, 2002, Act 25 of 2002;
7.5 Regulation of Interception of Communications and Provision of Communication Related Information Act, 2002, Act 70
of 2002;
7.6 Second Hand Goods Act, 1955, Act 23 of 1955;
7.7 Firearms Control Act, 2000, Act 60 of 2000;
7.8 Basic Conditions of Employment Act, 1997, Act 75 of 1997;
7.9 Unemployment Insurance Act, 2001, Act 63 of 2001;
7.10 Unemployment Insurance Contributions Act, 2002, Act 4 of 2002;
7.11 National Credit Act, 2005, Act 34 of 2005;
7.12 Compensation for Occupational Injuries & Diseases Act, 1993, Act 130 of 1993;
7.13 Skills Development Levies Act, 1999, Act 9 of 1999;
7.14 Employment Equity Act, 1998, Act 55 of1998;
7.15 Labour Relations Act, 995, Act 66 of 1995;
7.16 Value-Added Tax Act, 1991, Act 89 of 1991;
7.17 Protection of Personal Information Act,2013, Act 4 of 2013;
7.18 Prevention and Combating of Corrupt Activities Act, 2004, Act 12 of 2004;
7.19 Protection of Constitutional Democracy against Terrorist and related Activities Act, 2004, Act 33 of 2004;
7.20 Prescription Act, 1969, Act 68 of 1969;
7.21 Organisational Health and Safety Act, 1993, Act 85 of1993.
7.22 Companies Regulations 2011, Notice R. 351 of 26 April 2011.
7.23 Tax Administration Act, 2011, Act 28 of 2011;
7.24 Promotion of Access to Information Act, 2000, Act 2 of 2000