Multi-Agency Public Protection Arrangements (MAPPA): national guidance

9. MAPPA in Operation: Other Risk of Serious Harm Individuals

9.1 There are five key stages to the MAPPA process:

Stage 1 Identification of individual

Stage 2 MAPPA referral

Stage 3 Pre-meeting information sharing

Stage 4 MAPPA meeting

Stage 5 Exit from MAPPA

Stage 1: Identification of Other Risk of Serious Harm Individuals

9.2 The identification of the individuals who fall within the MAPPA framework

is the critical first stage of the MAPPA process. This chapter sets out the statutory basis and model to assist the Responsible Authorities to identify relevant Other Risk of Serious Harm individuals.

Statutory basis

9.3 Section 10 (1) of the Management of Offenders etc. (Scotland) Act 2005 sets out the categories of individual who can be subject to MAPPA. Other Risk of Serious Harm individuals are detailed under section 10(1)(e) as those who have been convicted of an offence and if, by reason of that conviction, are considered by the Responsible Authorities to be persons who may pose a risk of serious harm to the public at large. These MAPPA individuals may also be referred to informally as MAPPA Category 3 individuals.

Identification

9.4 This category may include:

• individuals who are not required to comply with the SONR or those who are not restricted patients.
• individuals who have been convicted of an offence, and by reason of that conviction are required to be subject to supervision in the community by any enactment, order or licence.
• individuals who are assessed by the Responsible Authorities as posing a high or very high risk of serious harm to the public at large.^[12]
• individuals whose risk is assessed as requiring active multi-agency management at MAPPA Level 2 or 3.^[13]

Pre-referral

9.5 Other Risk of Serious Harm individuals are only managed at either Level 2 or Level 3. Any consideration for referral into the MAPPA framework as a Category 3 (Other Risk of Serious Harm) individual must clearly support that active multi-agency risk management is required and that this level of collaboration and co-ordination is necessary and proportionate to the management of the risk of serious harm posed by the individual in order to protect the public.

9.6 As one of the key criteria for a MAPPA Category 3 is that active multi-agency management is required then prior to any referral (whether from custody or the community) discussions should be held by the lead Responsible Authority with the agencies.

9.7 The lead Responsible Authority should ensure information relevant to the risk posed by the individual is shared with these agencies to ascertain whether a referral should proceed, on what basis and what information (including the proposed Risk Management Plan) should be included in the referral.

9.8 Where discussion has taken place in advance of any formal referral and agencies are in agreement that the individual merits consideration of being brought under the MAPPA framework as a Category 3, the lead Responsible Authority should advise the MAPPA Co-ordinator as soon as possible that a formal referral is forthcoming.

9.9 Pre-referral information sharing by the lead Responsible ensures that all Responsible Authorities and relevant Duty to Co-operate agencies are aware of the proposal to refer the person as a MAPPA Category 3. It also ensures that all agencies have the opportunity to identify and share relevant information which may further evidence the merits of a referral including a review of the Risk Management Plan (RMP).

9.10 Further detail on assessment and management of risk for consideration at Level 2 or Level 3 can be found at Chapter 4 of this guidance.

Stage 2: MAPPA Referral for Category 3 (must involve multi-agency management at Level 2 or Level 3)

Key points and process for all MAPPA Category 3 referrals

9.11 All referrals seeking individuals to be considered for management under the MAPPA framework as a MAPPA Category 3 (Other Risk of Serious Harm) individual at either MAPPA Level 2 or 3 must be supported and informed by evidence. This should be reflected in the current risk of serious harm assessment and RMP. The RMP is a critical document in this process.

9.12 As detailed at 9.6 it is recommended that all referrals have been discussed in advance by the lead Responsible Authority and relevant agencies.

9.13 The MAPPA Co-ordinator for the relevant local authority is the Single Point of Contact for all Category 3 referrals. The MAPPA Co-ordinator will maintain a record of the numbers of individuals referred (accepted/not accepted) and managed by the Responsible Authorities in their area as MAPPA Category 3s.

9.14 In the absence of the MAPPA Co-ordinator (e.g. on annual leave/sick leave), the MAPPA Strategic Oversight Group (SOG) will ensure that there are mechanisms in place for such decisions to be made.

9.15 A copy of the MAPPA Referral form which should be used for all MAPPA Level 2 and Level 3 cases can be found within the MAPPA document set of this guidance.

Process

9.16 The lead Responsible Authority should complete the referral form providing all relevant information including the risk assessment and proposed RMP and submit to the MAPPA Co-ordinator within the agreed timescales.

9.17 On receipt the MAPPA Co-ordinator will review the referral on behalf of the SOG. A referral should only be accepted where the evidence provided clearly meets the criteria for inclusion in MAPPA at Level 2 or Level 3 as a MAPPA Category 3 individual.

9.18 Where the referral is accepted, the MAPPA Co-ordinator should confirm this to the referring Responsible Authority no later than five working days of receipt. This will allow the MAPPA Co-ordinator sufficient time to make arrangements to progress the case to the initial Level 2 meeting/Level 3 Multi-Agency Public Protection Panel (MAPPP).

9.19 Where the referral is not accepted, the MAPPA Co-ordinator should notify the referring Responsible Authority (if initially by phone this must be followed up in writing) no later than three working days of their decision, clearly outlining the reasons, for the non-acceptance into MAPPA as Category 3.

9.20 The leads for each Responsible Authority should always be sighted on the decision communicated back by the MAPPA coordinator as to whether a case is or is not being accepted.

9.21 Where there is disagreement as to the acceptance of a referral which cannot be resolved, the final decision will be made at a meeting of the local MAPPP designated leads from the local authority, police and health. Their rationale should be evidenced and accurately documented in the meeting minutes.

9.22 Where, after resolution, it is decided that the circumstances of the case do not meet the Category 3 criteria, the rationale and evidence for the decision will be recorded locally by the MAPPA Co-ordinator and notified to the referring Responsible Authority.

Community Referral

9.23 The lead Responsible Authority for a MAPPA Category 3 individual in the community is JSW. However, it should be noted that there will be cases that when the individual's statutory supervision by the local authority comes to an end, the role of lead Responsible Authority will transfer to Police Scotland. This may be where, for example the individual has been convicted of terrorism or terrorism related offences and the supervision element of their sentence has ceased but the person remains subject to terrorist registration requirements. These registration requirements are Police led.

9.24 For those individuals subject to a community disposal, or under supervision in the community, a referral can be made by JSW by completing the MAPPA Referral form found within the MAPPA document set, at either:

• the time of the first risk assessment and development/completion of the RMP where it is clear that the criteria for this MAPPA category is met; or
• at any point during the period of the community disposal or supervision where the level of risk appears to have significantly increased to require multi-agency management at Level 2 or Level 3 and meets criteria for this MAPPA category.

Custody Referral

9.25 SPS is the lead Responsible Authority for all prisoners who are subject to, or likely to be subject to MAPPA up until the point of release. This includes during periods of community access including escorted, unescorted and home leave up to the point of liberation. At this point the role of lead Responsible Authority for a MAPPA Category 3 individual will transfer to JSW.

9.26 The decision to refer an individual for consideration as a MAPPA Category 3 will be discussed at SPS Integrated Case Management (ICM) meetings and Risk Management Team (RMT) meetings where progression is being considered. It is essential that community partners (including Responsible Authorities) are invited to these meetings. Further detail on individuals within prison custody can be found at Chapter 15 of this guidance.

9.27 SPS will make the formal referral by completing the MAPPA Referral form found within the MAPPA document set no later than 12 weeks prior to the individual's release date or parole consideration. As indicated at 9.8 the MAPPA Co-ordinator should be advised early on that there is the likelihood of a formal referral. Community partners (including Responsible Authorities) will already have been invited to attend key meetings at the relevant SPS establishment where progression is being considered in order to contribute to the development of the person's RMP.

Counter Terrorism

9.28 Anyone in custody who will be subject to terrorist registration requirements upon release will be discussed at SPS counter-terrorism (CT) case management meetings. SPS will invite all Responsible Authorities to these meetings. Any indicators and evidence which demonstrate that the individual also meets the criteria for referral to be managed as a MAPPA Category 3 upon release should also be discussed at these meetings. SPS CT case management meetings will link in with SPS ICM and RMT processes. At the time of publication of this guidance, work continues between SPS and justice partners on how to enhance, align and streamline existing processes for these types of individuals whilst in custody.

9.29 Further information regarding counter terrorism processes can be found at

• Counter Terrorism Policing (UK) – this explains the four strands – Prevent, Pursue, Protect and Prepare.
• Counter terrorism - Police Scotland
• Revised Prevent duty guidance: for Scotland

Stage 3: Pre-MAPPA meeting - Information Sharing

9.30 Prior to Level 2 and 3 MAPPA meetings the agencies will share information held about the individual. The critical document is the individual's RMP. This will either have been developed by community based JSW if the individual is subject to a community order, or by prison based social work and the wider SPS RMT (which includes community partners and Responsible Authorities) if the individual is in custody. Further information around assessment of risk is detailed at Chapter 4.

9.31 The method of seeking and sharing information will be determined by local arrangements. The MAPPA Strategic Oversight Group (SOG) will determine such arrangements and keep these under review. The information sharing process is managed by the MAPPA Co-ordinator.

9.32 By sharing information in advance of the MAPPA meeting, it makes certain that all Responsible Authorities and relevant Duty to Co-operate (DTC) agencies are aware, and;

• all agencies have an opportunity to identify and share relevant and current information that they hold in advance of the meeting and review the RMP;
• the amount of time spent exchanging information at Level 2/Level 3 (MAPPP) meetings is reduced, allowing the focus to be on the issues of risk assessment and risk management; and
• there is clarification of the threshold for Level 3 (MAPPP).

Information sharing - General

9.33 The information included in the MAPPA Referral will be passed to identified contacts within the Responsible Authorities and relevant DTC agencies directly by the MAPPA Co-ordinator. This requires the receiving agencies to have a single point of contact through which this information can be securely passed. To support the statutory requirement for a Memorandum of Understanding (MoU), each MAPPA Strategic Oversight Group (SOG) should consider developing a set of agreed information sharing principles and/or an Information Sharing Agreement (ISA).

9.34 Information sharing needs to be considered on a case by case basis and must meet legislative requirements including, but not limited to, the Data Protection Act 2018 (DPA 2018). For detailed information on the legislative requirements including processing data for law enforcement purposes, please visit the Information Commissioner's Office website (ICO - DPA). Further detail on the MoU, information sharing principles and an ISA can be found at Chapter 3 (Duty to Co-operate) of this guidance. Further general detail on information sharing can be found at Chapter 12. Please note that the process detailed below is separate to that of a subject access request (SAR).

9.35 The receiving agency should search their agency records for all relevant information about the individual, or victim(s), or potential victims of the offence(s).

9.36 The receiving agencies' searches should be undertaken and the response completed as a priority task. Following the search, a response should be completed and returned to the MAPPA Co-ordinator no later than five working days prior to the scheduled meeting. Responses should be set out in the following terms:

• If nothing found – no trace/negative reply.
• If material found but not relevant - positive trace/negative reply.
• If material found and relevant - positive trace/positive reply and share the relevant information with either the managing agency or the MAPPA Co-ordinator (as directed) for the sole purpose of public protection and reducing the likelihood of reoffending.
• If material found and relevance not clear - positive trace/further consideration required.

Stage 4: MAPPA Meeting

9.37 A MAPPA meeting should be scheduled to review the RMP. The timing of this review should reflect the specific circumstances of the case and should be agreed at the initial meeting.

9.38 The frequency of these meetings is a matter for the lead Responsible Authority. Consideration of the frequency should be informed by the risks and any significant change in circumstances relating to the individual (where relevant). This should be highlighted in the RMP. However, setting regular meetings provides the opportunity for a systematic review of the risks and management levels identified in the RMP. All decisions require to be recorded and evidenced.

9.39 The Responsible Authorities and DTC agencies have an on-going responsibility to inform the lead Responsible Authority and the MAPPA Co-ordinator of any information they receive that indicates a change in the risk of serious harm posed by an individual, in either a positive or negative manner. A meeting must be arranged to review the circumstances.

9.40 Consideration of the frequency of these meetings should be informed by risk and any significant change in circumstances of the individual, where relevant. The minimum standards in respect of review meetings are as follows:

• MAPPA Level 2 – to be reviewed no less than once every 12 weeks
• MAPPA Level 3 – to be reviewed no less than once every 6 weeks

Initial Level 2 and Level 3 Meetings

9.41 The purpose of the meeting is to:

• bring additional information or assist agencies to assess the relevance of existing information;
• review and establish agreement regarding the development and implementation of the Risk Management Plan (RMP) including ensuring;
  • the assessment and analysis of the risk of serious harm has identified the risks and;
  • that the identified risk management strategies and activities are implemented in line with professional role and competence and;
  • that decisions are taken to address any obstacles to the delivery of the RMP and uninterrupted service provision; and
  • where an individual is leaving custody, agreement is reached in the respect of the implementation of the RMP developed and endorsed by the SPS Risk Management Team (to which community partners should have contributed). There must only be one Risk Management Plan for each individual.
• consider whether the MAPPA level requires to be amended (this may include discussing whether the person continues to meet the criteria for a MAPPA Category 3); and
• set a formal review date for the Risk Management Plan.

9.42 Where the individual is subject to an Order for Lifelong Restriction (OLR), the RMP must be reviewed at least once a year^[14] and the updated RMP and Annual Implementation Report (AIR) submitted to the Risk Management Authority (RMA) by the lead Responsible Authority.

9.43 Compilation of relevant and current pre-read materials should be provided by the MAPPA Co-ordinator in advance of the meeting to all agencies attending an initial Level 2 or Level 3 meeting to allow sufficient time for suitable preparation. The individual's RMP is a critical document in this process.

9.44 The Chair should make sure that the meeting is focused on systematic assessment based on identified risk factors. The Chair should summarise the risk factors and provide direction on the actions and resources required to appropriately manage the case.

Individual already in community

9.45 For individuals with a community referral at Level 2, an initial Level 2 meeting must be held no later than twenty working days from receipt of referral and the RMP being accepted by the MAPPA Co-ordinator. Where the initial Level 2 meeting determines the person should be managed at Level 3, a meeting should be scheduled thereafter as soon as practically possible.

9.46 For those individuals with a community referral at Level 3, an initial Level 3 must be held no later than five working days of receipt of referral.

Individual currently in custody – pre-release date/parole consideration

9.47 The initial community MAPPA meeting to discuss an individual referred and accepted as a MAPPA Category 3 should take place as a minimum, no later than four weeks prior to the individual's release into the community. However, it is recognised that timings for these initial meetings may vary case by case given the need to take into account the ability to undertake certain actions such as finding a suitable release address prior to the person's release/parole consideration.

9.48 These lead in times are to afford all Responsible Authorities and DTC agencies sufficient opportunity to put the necessary arrangements in place for the management of the individual's risk in the community.

Attendance

9.49 The MAPPA Co-ordinator in consultation with the lead Responsible Authority will identify which agencies/individuals are central to the delivery of the RMP and arrange for their attendance.

9.50 The MAPPA Co-ordinator can maximise agency involvement by organised scheduling of meetings, including use of video and tele-conferencing such as Microsoft (MS) Teams. All agencies should be represented by senior personnel (ideally the same person per agency per case for consistency) who understand the strategies for minimising or reducing risk of serious harm, and who have the authority to implement appropriate strategies agreed at the meeting on behalf of their agency.

9.51 As well as senior representatives from the Responsible Authorities, representatives at local level should also be included. Community partners including housing and children and families should also be invited to attend where appropriate.

Stage 5: Exit from MAPPA

9.52 An individual managed within Category 3 (Other Risk of Serious Harm) should only exit from MAPPA when a change in circumstances, including risk results in the criteria for this MAPPA category no longer being met.

9.53 When a MAPPA Category 3 individual is nearing the end of their supervision or order and about to exit the arrangements, a review of their circumstances to consider whether continued management through local arrangements (outwith this formal MAPPA Category 3 process) is required.