Procedures and Protocols
The Inquiry will publish procedures and protocols that are to be adopted to assist those wishing to take part in the Inquiry. Procedures and protocols will be issued under the direction of the Chair, and will be kept under review through the life of the Inquiry. Copies of Procedures and Protocols will be available from this page in the form of a pdf download
The publication of a new or amended procedure will be highlighted through a News item
Standard of Proof: this Direction provides that the standard of proof that the Chair will adopt when considering evidence with a view to making a factual determination will be the civil standard of balance of probabilities.
Issued 16 June 2021
Directions - 1 - Standard of Proof - Final - PDF/2 pages/199kb
Opening Statements: this Direction, made under Rule 10 of the Inquiries (Scotland) Rules 2007, provides that no opening statements will be made by Counsel to the Inquiry or by, or on behalf of, core participants at the commencement of the first inquiry hearing.
Issued 16 June 2021
Directions - 2 - Opening Statements - Final - PDF/2pages/202kb
Opening Statements at Hearing Commencing 20 September 2021: this Direction provides that notwithstanding the terms of Direction 2, any core participant with leave to appear at the hearings due to commence on 20 September 2021 may submit a written statement and, if they have done so according to the terms of the Direction, make an opening oral statement in support of that written statement.
Issued 16 June 2021
Directions - 3 - Opening Statements 20 September - Final - PDF/3pages/210kb
Chair of the Scottish Hospitals Inquiry, Lord Brodie, has issued Directions regarding the submission of closing statements to the Inquiry in relation to the diet of hearings which commenced on 20 September 2021.
Issued 04 November 2021
Direction 4 - Closing Statements 20 September 2021
Individuals or Organisations wishing to apply for Core Participant Status must use the Protocol for Application for Core Participants. Applications for Core Participant Status must be received by the Inquiry no later than 31 December 2020
Issued 12 November 2020
Scottish Hospitals Inquiry - Application for Core Participant Status Protocol PDF/ 5 pages / 235 KB
Individuals wishing to apply for the Inquiry to fund their legal representation for proceedings of the Inquiry may do so in accordance with the Protocol for Funding of Legal Representation By The Inquiry. Applications must be made using the application form provided. Applications may be made at any time, although attention is drawn to Section 3 of the Protocol which makes it clear that an application must be made before any legal work is carried out, and that the Inquiry will not fund work carried out before an award of expenses other than in exceptional circumstances.
Issued 12 March 2021
Scottish Hospitals Inquiry - Protocol for Funding of Legal Representation by the Inquiry PDF / 12 pages / 453 KB
Scottish Hospitals Inquiry - Legal Representation Funded by the Inquiry - Application Form Docx / 3 pages / 37 KB
This protocol details the Chair's determination for core participants who wish to appear at hearings of the Inquiry and the process of obtaining leave from the Chair to do so.
Issued 14 June 2021
Leave To Appear At Inquiry Hearings PDF / 3 pages / 272 kb
Leave to Appear - Application Form Word/2 pages / 55 kb
This protocol sets out the Inquiry’s general approach to allowing access to evidence and information that is held by the Inquiry, and explains the principal circumstances in which disclosure may be restricted or even not made at all. The accompanying Statement of Intent: Redaction of Personal Data gives more guidance on the Inquiry’s approach to removing sensitive personal data from evidence and information that is disclosed by it.
Issued 18 August 2021
Protocol on Public Access to Information and Evidence - PDF, 307 kb, 6 pages
Statement of Intent: Redactions - PDF, 409 kb, 5 pages
This protocol explains how the Inquiry will gather information and how information should be supplied to the Inquiry. It also provides an explanation of the relevant legal provisions that enable it to require information to be provided to it and explains the arrangements for making information supplied to the Inquiry public.
Updated 03 June 2021
Protocols - Receipt and Handling of Information - v2 - As Published PDF / 5 pages / 308 KB
The Protocol on Witness Expenses deals with the following:
1. Claiming out-of-pocket expenses such as travel due to attending a hearing.
2. Compensation for loss of income due to attending a hearing.
The protocol sets out eligibility criteria for compensation and explains the application process.
Issued 09 July 2021
Protocol on Witness Expenses PDF/ 8 pages / 442 kb
Guidance on Travel and Subsistence Expenses PDF/ 3 pages / 351 kb
Application form - Travel and Subsistence Word/ 2 pages / 40 kb
Application form - Loss of Time Word/ 2 pages / 40 kb
The Protocol on Witness Statements explains the procedure that the Inquiry will adopt in relation to the taking of written statements of evidence from individuals. In particular, it explains what will happen at, and after, the interview, the Inquiry’s arrangement for publication of witness statements and how to contact the Inquiry’s witness support team.
Issued 16 March 2021
Scottish Hospitals Inquiry - Protocol on Witness Statements PDF / 4 pages / 227 KB
Restriction Order 1 applies to witness statements and other evidence shared by the Inquiry with core participants and others during the course of its investigations and prior to publication of the material by the Inquiry.
Broadly speaking, it restricts the categories of people to whom such material may be distributed and specifies the conditions on which it may be so distributed.
It will be of interest particularly to core participants and their legal representatives, as well as others who receive material from the Inquiry for comment or to assist the Inquiry’s investigations.
Restriction Order 1 - Material released by the Inquiry PDF/5 pages/229 kb
Restriction Order 2 restricts the publication of material that identifies the witnesses designated by the Inquiry as Witnesses 1, 2 and 3. They will be designated as such in all material published by the Inquiry.
The Order contains a list of some of the information that may identify the individuals concerned, but this list is not definitive and the Order applies to all information that may identify the witnesses.
The Order applies generally, including to the media and the Inquiry itself.
Restriction Order 2 - Witnesses 1, 2 and 3 PDF/3 pages/211 kb
Restriction Order 3 restricts the publication of material that identifies the witnesses designated by the Inquiry as Witnesses 4 and 5. They will be designated as such in all material published by the Inquiry.
The Order contains a list of some of the information that may identify the individuals concerned, but this list is not definitive and the Order applies to all information that may identify the witnesses.
The Order applies generally, including to the media and the Inquiry itself.
This Order was varied by Lord Brodie on 25 November 2021, and the variation is shown on the attached document.
Restriction Order 3 - Witnesses 4 and 5 PDF/ 3 pages / 212 kb
Restriction Order 4 restricts the publication of material that identifies the witnesses designated by the Inquiry as Witness 6. They will be designated as such in all material published by the Inquiry.
The Order contains a list of some of the information that may identify the individuals concerned, but this list is not definitive and the Order applies to all information that may identify the witnesses.
The Order applies generally, including to the media and the Inquiry itself.
Restriction Order 4 - Witness 6 PDF/ 3 pages /212 kb
Restriction Order 5 was revoked by Restriction Order 6 on 29 October 2021.
Restriction Order 5 - Evidence of Mr and Mrs Smith PDF/3 pages/208 kb
Restriction Order 6 applies to any information contained in the Witness Statements or evidence given in the course of the Inquiry’s proceedings by Mr and Mrs Smith.
The Order applies generally, including to the media and the Inquiry itself.
This Restriction Order revokes Restriction Order 5
Issued on 29 October 2021
Restriction Order 6 - Evidence by Matthew and Theresa Smith PDF/ 4 pages/ 220kb
The Data Protection Policy describes the approach, procedures, and duties of the Scottish Hospitals Inquiry regarding the appropriate handling of the data of all natural persons and fulfils the Inquiry’s obligation to have in place an appropriate policy document under and in terms of the Data Protection Act 2018.
Issued 19 March 2021
Reviewed 22 April 2022
Data Protection Policy - 19 March 2021 PDF / 11 pages / 228 kb
This note explains the process that will generally be followed by the Scottish Hospitals Inquiry in relation to the publication of Provisional Position Papers (PPPs) for comment. The Inquiry considers it important that those with an interest in the Inquiry’s investigations understand the factual basis on which the Inquiry is proceeding and have the opportunity to correct any misunderstandings or misapprehensions at as early a stage as possible. To help achieve this, the Inquiry has already, and will continue to publish PPPs.
Process followed by the Inquiry when publishing Provisional Position Papers
Lord Brodie has issued a statement on respecting anonymity of child identities.
Download the statement below.
Issued 20 September 2021
Respecting the anonymity of child identities PDF/ 2 Pages / 130 kb