POPIA — POPIA Standard / Guideline: Checklist for a Code of Conduct (source: https://inforegulator.org.za/wp-content/uploads/2020/07/InfoRegSA-Checklist-CodeOfConduct-20210303.pdf)
APPENDIX 1
CHECKLIST FOR SUBMISSION OF APPLICATION FOR APPROVAL OF A
PROPOSED CODE OF CONDUCT
Items Prior to submitting a proposed code of conduct, please ensure that the following information and/or
documents (if relevant to you) form part of your submission to the Information Regulator. This is not
an exhaustive list and serves as a guide to assist you. NB: in order to speed up the processing of
your application, please provide sufficient information and reference the relevant sections of the
proposed code.
Check the checkbox with a when a task is completed
1. Have you provided a clear explanatory statement outlining the purpose and scope of the
proposed code with relevant supporting documentation?
2. Have you defined your role? Identify if you belong to a specified body or class of bodies.
Do you belong to a specified industry, profession, vocation or class of industries?
3. Have you furnished information which shows evidence of sufficient representation?
4. Have you identified the members of the relevant body bound by a proposed code?
5. Have you identified the role of members of a relevant body that processes personal
information?
6. Have you illustrated how high risk processing of personal information is monitored?
7. Have you identified if the proposed code has national and/or international application?
8. Have you identified monitoring and reporting mechanisms to ensure compliance with the
proposed code?
9. Have you outlined the manner in which breaches of POPIA will be dealt with and the
mechanisms that will be available to data subjects in the event personal information is
compromised?
10. Have you included information on consultations with relevant stakeholders that you held
whilst developing your proposed code? Please reference the relevant sections of the
proposed code of conduct and specify the consultation period?
11. Have you attached the views of different stakeholders secured during consultations?
12. Have you confirmed that the proposed code is compliant with POPIA?
13. Is the relevant body responsible for administering the proposed code and monitoring the
effectiveness of the proposed code?
14. Which of the following is applicable to a) any specified information or class of
your proposed code of conduct? information;
b) any specified body or class of bodies;
c) any specified activity or class of activities;
or
d) any specified industry, profession, or
vocation or class of industries,
professions, or vocations
15. Have you specified the administrative mechanisms of the relevant body?
16. Have you notified the Regulator of your Yes
intention to develop a proposed code? If Click here to select the date
yes, please specify the date. No
17. Does your proposed code of conduct a) for information matching programmes if
specify appropriate measures- such programmes are used within a
specific sector; or
b) for protecting the legitimate interests of
data subjects insofar as automated
decision making is concerned;
18. Does the proposed code of conduct a) procedures that meet the prescribed
prescribe - standards in the guidelines issued by the
Regulator relating to the making of and
dealing with complaints;
b) procedures for the appointment of an
independent adjudicator to whom
complaints may be made;
c) procedures for the requirement of the
adjudicator to prepare and submit a report
to the Regulator-
i) on the operation of the proposed
code during that financial year; and
ii) specify the number and nature of
complaints made to an adjudicator
under the proposed code during the
relevant financial year.
19. Please reference the relevant parts of the proposed code of conduct that deal with the
expiry of the proposed code.
Trespass Act, 1959
