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

15. Individuals Subject to MAPPA within the Prison System

Introduction

15.1 The Scottish Prison Service (SPS) is the lead Responsible Authority for all prisoners while in custody who are subject to or likely to be subject to multi-agency public protection arrangements (MAPPA) on release. This includes during periods of community access including, escorted, unescorted and home leave up to the point of liberation.

15.2 All individuals convicted and sentenced to a period of imprisonment are managed via the Integrated Case Management (ICM) process which operates on two levels, Standard and Enhanced. The Enhanced ICM process applies to all MAPPA individuals, that is individuals who are subject to post-release supervision which includes:

• individuals who are convicted of a sexual offence and receive a custodial sentence of six months or more;
• individuals who receive a custodial sentence of four years or more; and
• individuals who receive a custodial sentence of less than four years but whose conviction includes an element of post-release supervision.

15.3 The Enhanced ICM process represents a joint approach to the assessment and management of risk. Full details of the ICM process can be found at ICM Practice Guidance Manual.

Individuals Subject to (or likely to be subject to) MAPPA

15.4 Where an individual has been convicted of a sexual offence and is subject to the Sex Offender Notification Requirements (SONR) on release, they will automatically be managed under MAPPA. More detailed information on individuals subject to the SONR can be found at Chapter 5.

15.5 The decision on whether someone is likely to require management under the MAPPA framework as an Other Risk of Serious Harm (Category 3) individual on release is informed initially by whether they meet the following criteria:

• they are not required to comply with the SONR; and
• they are not a restricted patient; and
• they 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; and
• they are assessed by the Responsible Authorities as posing a high or very high risk of serious harm to the public at large;^[16] and
• their risk is assessed as requiring active multi-agency management at MAPPA Level 2 or 3.

15.6 More detailed information on Other Risk of Serious Harm individuals can be found in Chapter 9.

Progression Through the Prison System and Community Access

Progression Pathway

15.7 The risk assessments carried out as part of ICM and Risk Management processes inform decisions on how the individual will be managed both during the custodial period and upon transition to the community. An important element of this transition is Progression Pathway though the prison system. Individuals may, as they approach their release date, progress to less secure conditions such as a "National Top-End' (NTE) facility or the Open Estate (OE), where gradual integration into the community is allowed to help prepare individuals for their release. Increased access to the community may take the form of special escorted leave, unescorted day release, temporary release for work (community work placements) and home leave.

15.8 The decision on whether an individual is suitable for progression to less secure conditions is made by a multi-disciplinary Risk Management Team (RMT) in accordance with the Risk Management, Progression & Temporary Release Guidance.^[17] The RMT remains the decision making forum throughout the time an individual is in custody and SPS remain the lead Responsible Authority for individuals managed, or likely to be managed under MAPPA until the point of their liberation. However, it is essential that community partners are involved in the decision making process for the progression of these individuals and so they must be invited to the RMT meetings where their progression is being discussed. This process starts from when an individual is in closed conditions and is being considered for progression to the "National Top End" (NTE) and/or OE.

Progression to National Top End (NTE) and Community Access

15.9 The purpose of NTE is primarily to provide individuals (where appropriate) the opportunity to start preparing for release by having increased self-responsibility and for their response to gradually increasing freedoms in the community to be monitored. It also assists them in being better prepared for transfer and success within open conditions. The ultimate aim of NTE is to allow gradual reintegration into the community and/or allow the individual to evidence reduction in their risk. Individuals in NTE may participate in special escorted leave^[18] (SEL) and unescorted temporary release which may take the form of "unescorted day release" and "temporary release for work"^[19] (known as Community Work Placements).

15.10 In making decisions about the progression of individuals managed or likely to be managed under MAPPA on release, the RMT must seek the views of community partners. The RMT must therefore ensure that community partners are represented at RMT meetings where progression is being discussed and should liaise with the relevant MAPPA Co-ordinator if they are unsure of whom to invite to these meetings. Community partners must have the opportunity to inform risk assessments and the Risk Management Plan (RMP).

15.11 The RMP must be up to date and reflect the agreed monitoring and supervision arrangements during any period of temporary release. It must be shared with all relevant community partners, including the relevant MAPPA Co-ordinator in advance of the first period of temporary release commencing. Thereafter it is expected that the RMP would only be shared where there has been or is likely to be a significant change such as where there have been adverse circumstances resulting in a return to closed conditions. SPS should advise the MAPPA Co-ordinator of the temporary release decision for all individuals subject to, or likely to be subject to MAPPA by using the MAPPA Notification form within the MAPPA document set of this guidance.

Progression to the Open Estate (OE) and Community Access

15.12 The purpose of the (OE) is to provide an opportunity where suitable, for individuals subject to long-term, life sentences, Orders for Lifelong Restriction (OLR) or Indeterminate Sentences for Public Protection (IPP) to have exposure to additional responsibilities associated with increased freedoms in the community. This allows the individual to further evidence reduction in their risk and demonstrate to the Parole Board for Scotland that they are suitable for release. For suitable Short Term individuals, it also provides the opportunity to serve a proportion of their sentence in conditions with less restrictive security arrangements, giving access to improved development opportunities and the capacity to build and maintain family and community relationships prior to release.

15.13 The OE therefore plays a vital role in preparing individuals for release, provided it is in the public interest in individual cases. When transferred to the OE, individuals may participate in unescorted temporary release, in the form of "temporary release for work"^[20] ("Work Placements"), "unescorted day release", and "Home Leave" provided a Home Background Report (HBR) is submitted by community-based JSW confirming that the required community supports are in place and suitable victim safety planning has been undertaken). Home leave allows an individual to remain at an address which has been approved by JSW for a period of up to 7 nights, as part of their preparation for release.

15.14 In cases where an RMT has been arranged to consider progression to the OE (where the individual may be granted unescorted temporary release), the RMT should also review whether the individual is likely to require management under MAPPA as a Category 3 individual on release. Further detailed information about MAPPA Category 3 can be found in Chapter 9.

15.15 In making these decisions for all individuals subject to, or likely to be subject to MAPPA, the RMT must seek the views of community partners prior to progression to the OE. The RMT must therefore ensure that community partners are represented at RMT meetings where progression is being discussed and should liaise with the relevant MAPPA Co-ordinator if they are unsure of whom to invite to these meetings.

15.16 The OE RMT is responsible for decisions relating to granting community access (i.e. home leave) and the frequency of such leave. However, community partners must have the opportunity to inform risk assessments and the RMP. The RMP should reflect the agreed monitoring and supervision arrangements during the period of home leave and an updated RMP must be shared with all relevant community partners. This includes the MAPPA Co-ordinator for the area where the home leave will take place in addition to the MAPPA Co-ordinator for the OE (if different), in advance of home leave commencing. SPS should advise the MAPPA Co-ordinator of the home leave decision for all individuals subject to, or likely to be subject to MAPPA by using the MAPPA Notification form within the MAPPA document set of this guidance.

15.17 It is expected that no parallel MAPPA meetings would take place in the community for Category 3 individuals until they have been accepted into MAPPA. SPS should complete the MAPPA Referral form (within the MAPPA document set of this guidance) and submit to the MAPPA Co-ordinator who will consider the referral on behalf of the MAPPA Strategic Oversight Group. The referral should be made by SPS no later than 12 weeks prior to the individual's earliest date of liberation(EDL)/ parole consideration. Community partners will have attended the relevant RMT meetings and so been involved in the development of the RMP prior to this point.

15.18 Decisions about whether to grant community access and to what extent are informed by the RMP.^[21] While the individual is in custody, the development of the RMP is led by the RMT but it should be developed with input from all partners, including community partners. This is particularly important for discussions around progression to less secure conditions (where unescorted community access may be granted) and temporary release.

15.19 There must only be one Risk Management Plan^[22] for each individual, which will transfer with the individual to the lead Responsible Authority in the community at the point of liberation. SPS should ensure that the MAPPA Co-ordinator (for the area where the person is being released to and the MAPPA Co-ordinator for the prison location if different) is kept informed of decisions relating to community access (including unescorted leave) for individuals subject to or likely to be subject to MAPPA. They should do this by completing the MAPPA Notification form within the MAPPA document set of this guidance.

15.20 The minutes of the RMT should contain a clear record of the discussion and management recommendations. As such, it is important that they are agreed as a true record by all attendees.

Pre-release/Release

15.21 As noted at 15.4, any individual convicted of a sexual offence and subject to the SONR is, upon release automatically included within MAPPA. SPS should ensure that the relevant MAPPA Co-ordinator is kept informed of the individual's progression towards liberation. A formal Notification or a MAPPA Referral (found within the MAPPA document set of this guidance) should be made to the relevant MAPPA Co-ordinator by SPS no later than 12 weeks in advance of the individual's EDL/parole consideration.

15.22 Where the RMT is of the view that an individual should be managed under the MAPPA framework as an Other Risk of Serious Harm (Category 3) individual on release, the relevant MAPPA Co-ordinator should be advised of the likelihood of a referral. SPS should make a formal referral (using the MAPPA Referral form within the MAPPA document set of this guidance) to the MAPPA Co-ordinator no later than 12 weeks in advance of the EDL/parole consideration. The referral will include the up to date RMP. If the individual has progressed to less secure conditions community partners will have attended relevant RMT meetings and been involved in the development of the RMP prior to this point.

15.23 The MAPPA flag on the Prisoner Records system should be activated when the decision to refer is made. This should be removed if any decision is made not to release by the Parole Board, therefore eliminating the requirement for MAPPA consideration and/or management until no later than 12 weeks ahead of their next parole consideration/release date. JSW will create the ViSOR nominal (for a Category 3 individual) on receipt of confirmation of the referral being accepted from the community MAPPA Co-ordinator.

15.24 On receipt, the MAPPA Co-ordinator will review the referral on behalf of the MAPPA Strategic Oversight Group (SOG). Where an individual is accepted, the MAPPA Co-ordinator should confirm this to the lead Responsible Authority no later than five working days of receipt. This should allow the MAPPA Co-ordinator sufficient time to make arrangements to progress the case to the initial Level 2/Level 3 Multi-Agency Public Protection Panel (MAPPP) meetings.

15.25 Where the referral is not accepted, the MAPPA Co-ordinator should notify SPS (if initially by phone this must be followed up in writing) no later than three working days of the decision) clearly outlining the reasons for the non-acceptance into MAPPA at the proposed Level of 2 or 3.

15.26 The leads for all the Responsible Authorities should always be sighted on the decision communicated back by the MAPPA Co-ordinator as to whether a case is or is not being accepted.

15.27 Where there is disagreement as to the acceptance of a referral or the MAPPA Level and this cannot be resolved, the final decision should be made by the local MAPPP designated leads from the relevant Local Authority, Health Board and Police Scotland. The rationale should be evidenced and accurately reflected in the minutes. The decision maker should record the outcome of their decision on ViSOR. This ensures clarity regarding the decision and that the rationale is suitably recorded and accessible to the Responsible Authorities (if required at any future point). Where the decision maker does not have access to ViSOR, the rationale for the decision should be recorded on ViSOR by the MAPPA Co-ordinator.

15.28 Where an individual has been accepted into MAPPA as a Category 3 and they are nearing liberation, a pre-release MAPPA meeting should take place in the community. This meeting should consider the RMP and how to implement this plan in the community.

15.29 At the point of liberation, responsibility for the management of the individual and the RMP transfers to the lead Responsible Authority in the community.

Further Information

15.30 Queries in relation to this chapter of the guidance should be directed to:

Greig.Knox@sps.pnn.gov.uk

MAPPA prisoners – progression to liberation process map

Assessment for Progression

• Full LS/CMI completed as per guidelines.
• Where LS/CMI highlights current indicators of serious harm a fuller risk of serious harm analysis should be completed as per guidelines.
• If no current indicators of serious harm but the individual is a registered sex offender (RSO) the expectation upon release is they will be routinely managed at Level 1.
• For Orders of Lifelong Restriction (OLR) subject to MAPPA – further guidance can be found in the Risk Management Authority (RMA) Standards and Guidelines for Risk Management.
• In all cases risk assessments and the Risk Management Plan (RMP/Level 1 case management plan) must be updated to reflect the current position and proposed progression for the individual.
• Integrated Case Management (ICM) case conference (CC) held. This meeting will seek to agree whether a referral should be made to the Risk Management Team (RMT) to consider progression.
• The ICM CC should include an initial discussion about whether a referral for MAPPA Category 3 consideration may be required at appropriate progression point.
• Where referral to RMT agreed, SPS will ensure that the RMP/Level case management plan is updated to reflect the current position. For an individual serving an OLR the referral will include the most recent RMP as approved by the RMA.
• Upon receipt of the referral, the SPS Public Protection Unit (PPU) are contacted and they review ViSOR for any relevant information which will be fed into the RMT.
• 8 weeks before the RMT a call for information is issued directly to all Responsible Authorities (RAs) and Duty – to Co-operate (DTC) agencies and local justice partners.
• Information to be provided no later than 2 weeks prior to the RMT meeting.
• Information received is reviewed. RMT meeting is scheduled and invitations to attend issued. The RMT meeting should not proceed where there is no community representation either in person or in writing.
• RMT held for the purpose of progression and if appropriate progression planned agreed for individual subject to MAPPA (or potential MAPPA as a Category 3). The RMT is the sole decision-making forum for progression through the final point of release.
• If progression is not agreed the RMT should document discussion and reason for decision. The MAPPA Co-ordinator will be informed of the decision.
• If progression is agreed the RMT should document and record out of discussion. They sign-off the individual's RMP/Level 1 case management plan, ensuring where appropriate a full risk of serious harm assessment has been completed and/or updated.
• The MAPPA Co-ordinator is informed of decision to progress and provided with the RMP/Level 1 case management plan.

Progression to National Top End (NTE) or Open Estate (OE) or Community Integration Unit (CIU)

• Individual transfers to National Top End, Open Estate or Community Integration Unit.
• Assurance RMT scheduled. Attendees invited will be core members and other MAPPA Responsible Authorities specific to the case such as Housing, Children and Families.
• The RMP/Level 1 case management plan must be reviewed and updated at every progression point.
• Assurance RMT held.
• Where community access is not agreed the MAPPA Co-ordinator will be informed of the decision.
• Where community access is agreed, licence conditions are set by SPS and arrangements for monitoring the individual's compliance agreed in discussion with community partners.
• MAPPA Co-ordinator informed of progression decision and provided with RMP/Level 1 case management plan.

Community Access: Unescorted Day Release

• Individual receives unescorted day release. This is monitored by the reporting of both positive and adverse circumstances. SPS remains the lead Responsible Authority.

Community Access: Home Leave – Open Estate

• RMT held to seek agreement for home leave to commence. All community partners involved in the case must attend or provide a written update with their views. Supervision and monitoring arrangements must be agreed at this meeting.
• If home leave is not agreed, alternative forms of testing are considered.
• If home leave is agreed, a note of the meeting with actions including the agreed monitoring and supervision arrangements and the RMP/Level 1 case management plan is shared.
• RMT held to review progress on home leave which must include representation from community partners. RMP/Level 1 case management plan is updated as required in line with any changes discussed with community partners.
• Home leave commences.

Pre-release/Pre-parole

• All MAPPA notifications (Level 1) and MAPPA referrals (Levels 2 and 3) will be sent by SPS to the MAPPA Co-ordinator no later than 12 weeks prior to the individual's earliest date of liberation (EDL) or parole consideration.
• Once the individual has been accepted into MAPPA and the final release date/parole consideration is confirmed, a Pre-release MAPPA meeting must be held in the community. SPS should be invited to the meeting.
• If parole (where eligible) is not granted the individual will continue to be managed through the RMT.
• At point of release or where parole is granted, the ownership and management of the case transfers from SPS to the lead Responsible Authority. SPS will provide them with the up to date risk assessment and the RMP/Level 1 case management plan.