CDT and RDC matters
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Last updated: 5 December 2008
This version of the schedule covers conduct or hybrid (CDT) and redress conduct (RDC) matters entered into the RegIS Office Automation Development (ROAD) database. Investigation of these matters is managed by the SRA's Inspection & Investigation and Regulation Response directorate.
The schedule does not cover hard copy (paper) versions of complaint and conduct cases. These records are covered by a separate records disposal schedule for Regulation Response – Conduct Investigation Unit. The disposal provisions for hard copy and electronic versions of the same record are the same.
Disposal provisions
The disposal provisions which follow take into account legislative or regulatory retention requirements, business need, reference use and potential long-term research and/or legal or evidential value. The provisions give recommended dates for destruction only; records may always be held for a longer period upon review where it is agreed that there is a genuine regulatory requirement to do so.
The provisions of this schedule have been formally approved by Colin Quinney, Director of Inspection & Investigation and Regulation Response.
Signed, 6 December 2008
Note: Destruction of records should be suspended if it becomes apparent that there is any possibility of anticipated litigation or regulatory investigation. Deliberate destruction of relevant records in such cases could involve the criminal offence of obstructing or perverting the course of justice. A court is also likely to draw adverse inferences from such an exercise and it is unlikely that a court would be satisfied with any explanation for deliberate record destruction after the commencement of proceedings.
The schedule
ROAD data: CDT and RDC matters version 1.0 records covering the investigation and resolution of conduct or redress conduct matters by the Inspection & Investigation and Regulation Response Directorates
Disposal class 1. Professional misconduct investigations management
1.1 Assessing and investigating allegations of misconduct, incompetence or dishonesty referred from Legal Complaints Service (LCS) or received directly by the SRA.
1.1.1
Transaction
Conduct or hybrid investigation
Unique identifier (Matter Type)
CDT matter
Document type
Referral from LCS, Third party complaint, Initial investigation, ConciliationCorrespondence, Referral to other unit or Risk Assessment and Designation Centre (RADC) or predecessors investigation, Referral to adjudication, Appeal, Formal last action, Notification to LCS, Equality and Diversity (E & D) data
Recommended Disposal
Destroy 6 years after last action other than cases where external action is being taken e.g. by a court, police, employment tribunal or other regulatory body: these should be highlighted for review at further intervals of 2 years.
Statutory retention requirement or best practice
Limitation Act 1980: limitation of 6 years for the bringing of an action founded on tort or relating to breach of contract may apply. SRA policy is to retain such matters for 6 years for management information (MI) purposes irrespective of whether matter is summarily closed or whether further investigation is undertaken.
1.1.2
Transaction
Redress conduct investigation Unique identifier (Matter Type)
RDC matter Document type
Referral from LCS, Complaints details, Initial investigation, Risk assessment, Conciliation, Correspondence, Referral to other unit or RADC or predecessors, Formal investigation, Assessment, S12 applications (Applications for a practising certificate made under Section 12 of the Solicitors Act 1974), Referral to Adjudication, Appeal, Formal last action, Notification to LCS, Equality and Diversity E & D data Recommended Disposal
Destroy 6 years after last action other than cases where external action is being taken e.g. by a court, police, employment tribunal or other regulatory body: these should be highlighted for review at further intervals of 2 years. Statutory retention requirement or best practice
Limitation Act 1980: limitation of 6 years for the bringing of an action founded on tort or relating to breach of contract may apply.
SRA policy is to retain such matters for 6 years for MI purposes irrespective of whether matter is summarily closed or whether further investigation is undertaken.
1.2 Managing the resolution by adjudication of unsettled service or conduct cases
1.2.1
Transaction
Adjudication outcomes
Unique identifier (Matter Type)
CDT and RDC matters Document type
Final inspection report, First instance decision minute, Supplementary decision minute, Final investigation report and appendices Recommended Disposal
Retain permanently in HRH (a database attached to ROAD which contains scanned in historical or reference material) or successor database. Statutory retention requirement or best practice
Currently held permanently in hard copy and scanned into HRH database (appendices not always currently scanned).
Disposal class 3. Quality control and service standards management
3.1 Managing the collection and collation of management information for reporting and monitoring purposes
3.1.1
Transaction
Firm/individual synopsis report Unique identifier (Matter type)
CDT and RDC matters Document type
Firm ID, RegIS (Regulation and information system) ID, Firm name, Person ID, Subject individual's RegIS ID, Unique matter ID, Matter reference, Matter type, Matter outcome, Reason ID, Reason description. Recommended Disposal
Retain permanently in ROAD
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