Protocol on Rule 13 Warning Letters and the Opportunity to Respond Process [‘OTR’]

Introduction

1. This Protocol sets out the Inquiry’s approach to warning letters (under Rule 13 of the Inquiry Rules 2006 (the Inquiry Rules)) and a separate process – the Opportunity to Respond Process [‘OTR’], by which individuals are able to respond to perceived criticism and/or factual inaccuracies in evidence submitted about them to the Inquiry
2. The purpose of this Protocol is to explain how the Inquiry will comply with its obligations under the Rules and how it intends to ensure that certain individuals are afforded a reasonable opportunity to respond to evidence in which they are named. It should be read in conjunction with the relevant provisions of the Inquiries Act 2005 (the Inquiries Act) and the Inquiry Rules 2006 (the Inquiry Rules).

Legal Framework

3. The provisions relating to warning letters are contained in Rules 13 to 16 of the Inquiry Rules. It is for the Chair to determine the specific warning letter procedure that will be adopted in this Inquiry, taking account of those rules and her obligation under section 17(3) of the Inquiries Act to act with fairness and a need to avoid any unnecessary cost (whether to public funds, witnesses or others).

Sending a warning letter

4. Under Rule 13(1), the Chair may send a warning letter to any person –

• • she considers may be, or who has been, subject to criticism in the inquiry proceedings; or
  • about whom criticism may be inferred from evidence that has been given during the inquiry proceedings; or
  • who may be subject to criticism in the report, or any interim report.

5. Under Rule 13(3), the Chair must not include any explicit or significant criticism of a person in the report, or in any interim report, unless –

• • the Chair has sent that person a warning letter; and
  • the person has been given a reasonable opportunity to respond to the warning letter.

Confidentiality of warning letters

6. Under Rule 14, the contents of a warning letter are to be treated as confidential between the recipient and the Chair/Inquiry Team.
7. If the recipient has a recognised legal representative, they may disclose the warning letter to that person (Rule 13(2)).
8. The Chair can waive the obligation of confidentiality, at her discretion, by giving written notice (Rule 14(2)).

Contents of warning letters

9. Under Rule 15, if the criticism or proposed criticism is explicit, the warning letter must –

• • state what the criticism or proposed criticism is;

• • contain a statement of the facts that the Chair considers substantiate the criticism or proposed criticism; and

• • refer to any evidence which supports those facts.

10. If the criticism or proposed criticism may be inferred, the warning letter does not need to include the above, but it must still refer to the evidence from which it is said that criticism could be inferred.

Effect of warning letter on Chair’s determinations

11. Under Rule 16, when determining the weight to be given to any evidence, the Chair must disregard the fact that a warning letter was, or was not, sent to any person before the determination is made.

The Lampard Inquiry’s Warning Letter Process

Sending a warning letter

12. The Chair may send a warning letter in line with Rule 13(1) at any time prior to the publication of her final report. Where necessary and practicable, the Inquiry will provide intended recipients with reasonable notice of the warning in advance of it being sent.
13. If the recipient of a warning letter has a recognised legal representative, the Inquiry will send the letter to that person, unless requested otherwise.
14. If the recipient of a warning letter does not have a recognised legal representative, the Inquiry will, wherever possible, send the letter directly to the recipient. Where necessary, the Inquiry may seek a recipient’s contact details via their employer, former employer or pension provider. However, in doing so, the Inquiry will not share the specific reason for requesting the details or the contents of the warning letter itself.
15. The Inquiry will prepare warning letters in line with the requirements of Rule 15.
16. Warning letters will include a request for a response to the criticism(s). That request will constitute a request for evidence under Rule 9 of the Inquiry Rules.

Receiving and responding to a warning letter

17. Recipients must treat warning letters and any material disclosed with them as confidential and not share them with anyone other than a recognised legal representative, without express written permission from the Chair or the Solicitor to the Inquiry acting on her behalf.
18. If recipients wish to share a warning letter with someone other than their recognised legal representative, they should submit a written application to the Solicitor to the Inquiry identifying the person or persons to whom they wish to disclose the contents of the warning letter and giving reasons.
19. If the Chair is minded to waive the obligation of confidentiality, she may attach conditions and, in particular, may require any person in respect of whom permission to disclose is requested to give a written confidentiality undertaking to the Chair before the disclosure is made.
20. Warning letters will be issued alongside a proforma that should be used to respond. The proforma response should be verified by a statement of truth. The Chair may consider, at her discretion, whether it is necessary and appropriate to publish any proforma response to a warning letter.
21. All warning letters will provide a deadline for responding. The Inquiry will ensure that all recipients have been given a reasonable opportunity to respond. In determining what is a reasonable time to respond, the Inquiry will consider the extent to which the issues have already been ventilated in written submissions and/or at a public hearing.
22. The Chair will consider carefully all responses received before finalising any report. The Inquiry will generally not enter into correspondence regarding the Chair’s consideration of responses, for example to confirm whether any amendments to or removal of proposed criticisms will result.
23. In accordance with Rule 16 of the Inquiry Rules, in determining the weight to be given to any evidence, the Chair will disregard the fact that a warning letter was, or was not, sent to any person before the determination is made.

The Lampard Inquiry’s Opportunity to Respond [‘OTR’] Process

24. Where deemed appropriate, the Inquiry will make reasonable efforts to contact a person who is named in evidence provided to the Inquiry.
25. The Inquiry seeks to balance the requirement for transparency with the need for fairness. If a person is named in evidence provided to the Inquiry by another person and perceives that they have been criticised and/or that there is a factual inaccuracy in that evidence, then that person may draw such inaccuracy to the Inquiry’s attention and/or respond to any perceived criticism by way of the Inquiry’s Opportunity to Respond [‘OTR’] Process.
26. The Inquiry’s OTR process allows an individual to set out the nature of their concerns by completing and returning the OTR proforma, which includes further guidance.
27. All responses provided as part of the OTR process should be submitted by way of the OTR proforma, including a signed statement of truth, and be sent to legal@lampardinquiry.org.uk
28. The Inquiry’s OTR process is separate to the Inquiry’s Rule 13 process although it may precede and/or trigger the Inquiry’s Rule 13 process.
29. The Inquiry will consider carefully, and on a case-by-case basis, all responses received as part of its OTR process. Responses will be considered in line with the Inquiry’s ‘Protocol on Restriction Orders, Redaction, Anonymity and Special Measures’ and its stated position in relation to the interim redaction of staff names (see, for example, paragraph 67a of CTI’s Opening Statement of 13 October 2025).
30. On receipt of a response as part of the OTR process, the Inquiry may also issue requests for further evidence under Rule 9 if deemed necessary and proportionate.

Section 40 Funding

31. Recipients of warning letters and individuals submitting responses under the OTR process are entitled to apply for funding for legal representation in accordance with Section 40 of the Inquiries Act. Where a recipient wishes to do so, an application should be made in accordance with the Inquiry’s Protocol on Legal Costs and the Ministerial Determination under Section 40(4) of the Inquiries Act.
32. As per paragraph 7 of the Inquiry’s Protocol on Legal Costs, the Chair will generally not make an award in respect of the legal expenses of substantial bodies or those of individuals or organisations who could reasonably expect their legal expenses to be met by such bodies.

Review

33. If this Protocol requires amendment during the course of the Inquiry, an updated version will be published on the Inquiry’s website at the earliest opportunity. Any amendments will be subject to the review and approval of the Chair.

                                                                                                                                    13 January 2026