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

2. The Responsible Authorities

2.1 Sections 10 and 11 of the Management of Offenders etc. (Scotland) Act 2005 place a statutory duty on the Responsible Authorities in a local authority area to jointly establish arrangements for assessing and managing the risk posed by certain categories of individuals as set out in section 10 (1).

2.2 Section 10 (7) of the 2005 Act details the Responsible Authorities for the area of a local authority as—

(a) The chief constable of the Police Service of Scotland (Police Scotland);

(b) The local authority;

(c) A Health Board or Special Health Board for an area any part of which is comprised within the area of the local authority; and

(d) Scottish Prison Service (SPS), an Executive Agency of the Scottish Government acting in exercise of their functions under the Prisons (Scotland) Act 1989 on behalf of the Scottish Minister.

MAPPA Responsible Authorities - Primary Roles and Responsibilities

Police Scotland

2.3 The police are responsible for the operation of the Sex Offender Notification Requirements (SONR). They will normally be the Responsible Authority for those individuals subject to the SONR, perhaps more commonly known/referred to publicly as registered sex offenders (RSOs) where:

• individuals are not subject to statutory supervision by the local authority; or
• individuals whose statutory supervision by the local authority has come to an end, but who are still subject to the SONR; or
• individuals who receive a community sentence disposal, but are not subject to licence conditions and there is no involvement by Justice Social Work.

2.4 Additionally, there may be occasions when an individual subject to SONR is being managed in the community by the police and they are subsequently convicted of another offence (for example non-sexual offending), and the sentence for that new offence includes statutory supervision either as part of a community or custodial sentence. The impact of this new sentence should be considered and discussed by police and justice social work (and the other Responsible Authorities), and an agreement reached on which agency is the lead Responsible Authority for that individual in the community (post release if they received a custodial sentence).

2.5 The responsibilities of the police in relation to people who are subject to MAPPA are:

• to create a record of those persons in the police force area who are required to register with the police in terms of SONR legislation;
• to initiate enquiries where such persons fail to comply with the requirements placed upon them; to participate in the multi-agency process established for assessing and managing the risk presented by individuals subject to the SONR; and
• to develop, in conjunction with partner agencies, Risk Management Plans (in addition to the routine Level 1 case management plans) for the purpose of managing the risks posed by those subject to MAPPA.

Scottish Prison Service (SPS)

2.6 While in custody SPS is the Responsible Authority for individuals who will be subject to MAPPA upon release, this includes periods of unescorted and escorted leave into the community as well as periods of home leave.

2.7 SPS is responsible for ensuring that accredited and relevant risk assessment tools (for example LS/CMI) are used in determining the management of the individual whilst in custody, and in preparation for pre-release planning and release. SPS is also responsible for pro-active joint working with community based social work and other relevant partners, including engagement with victims through the Victim Notification Scheme (VNS). Further detail on the impact on victims including VNS is contained in Chapter 14. This process of planning during periods of custody is referred to as Integrated Case Management (ICM). A key objective of ICM is to ensure that, along with the relevant justice (including other community) partners such as police, social work, housing, children and families, SPS meets statutory requirements to establish joint arrangements for assessing and managing the risk posed by individuals subject to MAPPA, including the sharing of information.

National Health Service (NHS) – Health Boards and the State Hospital

2.8 Health boards and the State Hospital are a Responsible Authority (within the meaning of section 10 of the 2005 Act) in relation to the establishment, implementation and review of arrangements for the assessment and management of restricted patients who meet the criteria in section 10(1) of the 2005 Act.

2.9 In addition to this Health Boards and the State Hospital have a duty to co-operate with other agencies for all individuals subject to MAPPA.

2.10 The role and responsibility of the NHS in MAPPA can be summarised as follows:

• Restricted Patients – For these individuals, Health Boards and the State Hospital are the lead Responsible Authorities in terms of assessment and management of risk posed.
• All individuals subject to MAPPA – All Health Boards and the State Hospital have a duty to co-operate with other agencies;
• Sharing information with other agencies - receiving and giving information so as to help protect the public (including NHS staff and patients) from serious harm;
• Representation and points of contact - the involvement of senior staff who can cover both management and clinical issues is expected;
• Involvement in strategic management of MAPPA; and
• Providing clinical knowledge and resources, where appropriate, to help other agencies in the assessment and management of risk of serious harm posed by other MAPPA individuals who are not Restricted Patients.

2.11 Further detail on Restricted Patients can be found at Chapter 10.

2.12 Further information on the Duty-to-Co-operate can be found in Chapter 3.

Residency principles

2.13 Identification of the relevant local authority area and therefore the lead Responsible Authority is a priority, particularly in cases where individuals are itinerant or have no fixed residence. Where it is not immediately clear which local authority area has responsibility and the individual is, or will be, subject to supervision by a local authority, the ordinary residence principles^[3] apply.

Cases concerning more than one area

2.14 There will be cases where an individual may legitimately be of concern, or interest, to Responsible Authorities in more than one area, for example, where an individual regularly visits an address in another area. In these circumstances the police will ensure that all relevant information concerning risk assessment and management is shared between the appropriate Sex Offender Policing Unit (SOPU) and updated regularly. This level of information sharing should be reflected when required between the relevant local authorities.

2.15 Similar issues of co-ordination may arise where a person who has been a victim of an offence committed by the individual concerned lives in a different area to the home area of the individual concerned. In such circumstances it is vital that similarly clear lines of communication are established and that there is joint planning, risk management and intervention planning. The level, nature and duration of any actions will vary depending on the needs of each individual case.

2.16 There may be instances where Health Boards and/or the State Hospital will be required to share information across Health Boards dependent upon the case and personal circumstances of the individual subject to MAPPA, as part of their statutory duty to co-operate. This information should be provided to agencies to assist with the overall assessment and management of risk posed by the person concerned.

Local Authority

General

2.17 The local authority is the Responsible Authority with primary responsibility for the management of individuals subject to statutory supervision in the community. The responsibility for the joint arrangements within a local authority lies primarily with the Chief Social Work Officer. However, other local authority services, such as housing, education and children and families, also have key responsibilities in relation to this function.

2.18 Social work services in the criminal justice system: national outcomes and standards - gov.scot (www.gov.scot) (National Outcome and Standards)^[4] set the minimum standards which local authorities are required to meet in respect of these services.

2.19 Where there has been further offending (resulting in a sentence with statutory supervision) and the individual is already subject to the SONR, there should be discussion with police to determine who the lead Responsible Authority should be for that case. Please see 2.4 for further detail.

Local Authority - Justice Social Work

Chief Social Work Officer

2.20 Each local authority has a designated Chief Social Work Officer who is responsible for overseeing social work services.

2.21 They are responsible for the assessment and management of certain categories of individuals who may pose a risk to the public under the 2005 Act.

2.22 Different local authorities have different departmental structures, they may provide services themselves or in partnership with other agencies. They also vary in which ancillary services they provide. Different local authorities may be involved in the provision of pilot schemes that are not available throughout the country for example, the provision of specialist courts or various community disposals.

2.23 Justice Social Work is also responsible under section 27 of the Social Work (Scotland) Act 1968 (as amended) for:

• provision of reports on individuals to the court, the Scottish Prison Service, Parole Board for Scotland or other agencies; e.g. the Criminal Justice Social Work Report (CJSWR), the Home Background Report (HBR), Home Leave Reports, Breach Reports etc.;
• assessment and management of individuals in relation to community sentences, including Community Payback Orders; and
• provision of statutory and voluntary throughcare services to prisoners.

Adults who commit offences

2.24 The local authorities provide a range of social work and social care services, including the provision of justice social work services. Justice Social Work is responsible for the statutory supervision of post-custodial licences, including individuals convicted of sexual offences sentenced to six months or more. All local authorities provide a voluntary throughcare service for those individuals with short-term custodial sentences (under 4 years) who apply for such a service up to 12 months after leaving custody.

2.25 National Outcomes and Standards lay down that reports to Court or the Parole Board for Scotland should include a risk assessment and that any action plan for someone subject to a community payback order or a post-custodial licence should include a risk management plan aimed at reducing the risk of re-offending and/or the risk of serious harm. Supervision of these orders or licences should be informed by the risk management plan (RMP).

Children and Young People who commit offences

2.26 Local authorities provide services to children and young people who offend or who are at risk of offending. This covers anyone up to the age of 16 who is offending, including sexual offences, and may cover those between 16 and 18. It may be that Child or Youth Justice Services, rather than the adult service, will supervise children and young people on community sentences.

2.27 Children and young people who offend are considered to be children in need and are governed in the main by the principle that the paramount consideration must be the welfare of the child. However, the Children's Hearings (Scotland) Act 2011 (sections 25 and 26) states there may be exceptions to this for the purposes of protecting members of the public from serious harm (whether or not physical harm). In such circumstances a local authority may act or take decisions which are not consistent with affording paramount consideration to the welfare of the child, but which place a greater emphasis on public safety; there remains a duty, however, the young person's welfare remains a primary consideration and cannot be disregarded.

2.28 Regardless of which system they are subject to, when assessing children and young people under 18, an understanding of the behaviour within its development and situational context is necessary. Risk management plans should outline clearly how risk is to be reduced as well as managed, and the plan for risk reduction should link to the assessment of how the child or young person's developmental needs can most appropriately be met. Further information on assessment can be found here Youth justice: risk assessment management framework and evaluation guidance (June 2021) .

2.29 Scottish Ministers have a statutory responsibility for placing and managing the sentences of children and young people under the age of 16, or those between 16 and up to age 18 who are subject to a Compulsory Supervision Order, and who have been convicted on indictment (i.e. under solemn procedure) by the courts and sentenced to detention. Scottish Ministers also place and manage all children under 18 who are convicted of murder.^[5]

2.30 Detailed information on this can be found in the Scottish Government's Custody of convicted Children and young people - practice guidance. This practice guidance:

• describes the legal framework;
• sets out Scottish Government policy;
• sets out the normal practice of the Scottish Government Youth Justice Team; and
• gives guidance to social work departments, managers of secure units and where relevant to Governors of Young Offenders Institutions (YOI).

2.31 Further guidance in relation to children and young people who offend can be found below:

• A Guide to Youth Justice in Scotland - Children and Young People's Centre for Justice (CYCJ)
• Interactive process map - The Child's Journey - A Guide to the Scottish Justice System
• Youth justice - Scottish Government
• Sentencing young people - Scottish Sentencing Council

Child Protection

2.32 All agencies, professional and public bodies and services which deliver services to children have a responsibility to recognise and actively consider potential child abuse. They require to identify and consider the individual's needs, share information and concerns with other agencies and work collaboratively with other services to improve positive outcomes. They must all treat the need to safeguard and promote the wellbeing of the child as a primary consideration as per Part 3 of the Child Protection: National Guidance 2021.

2.33 All services and professional bodies should have clear policies in place for identifying, sharing and acting upon concerns about risk of harm to a child or children without delay. The revised Child Protection National Guidance provides a checklist to support efficient communication of essential information required to initiate Child Protection procedures. Where children are particularly vulnerable and/or have complex needs, services must work together to take a collective and co-ordinated approach. Part 2 of the Youth justice: risk assessment management framework and evaluation guidance covers the Care and Risk Management (CARM) framework. Inter-Agency Referral Discussion (IRD) is the start of the formal process of information sharing, assessment, analysis and decision making following reported concern about abuse or neglect of a child or young person up to the age of 18 years, in relation to familial and non-familial concerns; and of siblings or other children within the same context. This includes an unborn child that may be exposed to current or future risk. An IRD discussion can be initiated by Police, Health or Social Work. IRDs are required to ensure co-ordinated inter-agency child protection processes up until the point a child protection case conference (CPCC) is held; or until a decision is made that a CPCC is not required.

2.34 In fulfilling the local authorities' responsibilities to children in need of protection, social work services have a number of key roles. These include:

• co-ordinating multiagency risk assessments;
• arranging Child Protection Case Conferences;
• maintaining the Child Protection Register;
• discharging the local authority's duty to refer children to the Reporter who may be in need of a compulsory supervision order; and
• supervising on behalf of the local authority as implementation authority, giving effect to the decisions of children's hearings.

2.35 A lead professional, who will be a qualified Social Worker, is required within a child protection investigation, to ensure co-ordination of assessment and next steps within a developing but coherent single plan. They provide a point of contact and information for family/carers/advocates/guardians and professionals (including justice social workers) who need support and information to gain sufficient understanding of what is happening stage by stage, and to inform risk assessment and risk management. They may provide a signpost for additional advice and support.

2.36 The IRD record should identify this person before closure.

2.37 Where urgent action is needed, social work services may apply to the Sheriff for emergency child protection measures:

• Under, Section 76 of the Children (Scotland) Act 1995, an Exclusion Order against the person who is likely to place the child at risk prohibiting the named individual from residing at a child's family home;
• Under Section 35 of the Children's Hearings (Scotland) Act 2011, an Assessment Order requiring a child to be made available for assessment purposes of assessing the state of a child's health or development, or the way in which he or she has been treated or neglected; and
• or under Section 37 of the Children's Hearings (Scotland) Act 2011, a Child Protection Order (CPO) to remove the child to a place of safety or prevent a child being removed from any place the child is staying.

2.38 Where it is considered necessary to remove a child from harm or risk of harm, consideration may be given by police to invoking statutory powers under the Children's Hearing (Scotland) Act 2011, to apply for a Child Protection Order (CPO) or, in an emergency situation, to remove a child to a place of safety.

2.39 Where the conditions for applying for a CPO are met, but it is not practicable for an application to be made or considered by a Sheriff a Constable may remove a child to a place of safety under section 56 of the Children's Hearings (Scotland) Act 2011. Before invoking their emergency powers, a constable must be satisfied that immediate removal of the child is necessary to protect the child from significant harm and it is not practicable in the circumstances to wait for an application for a CPO to made or considered by a sheriff.

2.40 It should be borne in mind that these measures are used in emergency situations and only last for 24 hours. When a child is removed to a place of safety the Constable must inform the Principal Reporter as soon as is practical thereafter. Where a child is removed to a place of safety, the local authority may seek a Child Protection Order to ensure the on-going protection and safety of that child.

2.41 A separate option, and one which should be attempted prior to seeking emergency child protection measures from a Sheriff, is for social work services to attempt to reach voluntary agreement under section 25 of the Children (Scotland) Act 1995 with the parents or guardians of the child that the child be looked after by the local authority or by another responsible person.

2.42 Child Protection Committees (CPCs) are the key local bodies for developing, implementing and improving child protection strategy across and between agencies, bodies and the local community. The roles, responsibilities and accountability of Chief Officers and Child Protection Committees have been reviewed and revised. They are outlined in the Scottish Government's publication. Protecting Children and Young People: Child Protection Committee and Chief Officer Responsibilities.

2.43 Full details on the Scottish Children's Reporter Administration (SCRA) and the role of the Principle Reporter can be found in Chapter 3.

2.44 Details on Children's Rights including the United Nations Convention on the Rights of the Child (UNCRC) can be found at Human rights: Children's rights - Scottish Government.

Getting it Right for Every Child (GIRFEC)

2.45 Getting it right for every child (GIRFEC) is Scotland's approach to promoting, supporting and safeguarding the wellbeing of children and young people. It provides a shared framework for all those working with children and young people to provide initial advice and support, to consider wellbeing holistically, and to plan and co-ordinate support across services.

2.46 The key components of the GIRFEC approach are:

• a named person or single point of contact;
• consideration of wellbeing of children and young people which covers all aspects of wellbeing in the context of their own family and unique circumstances, as well as their strengths and vulnerabilities; and
• co-ordination of support for identified needs through a single child's plan by a lead professional.

2.47 Where there is a need for co-ordination of support for identified needs or risks, this is delivered through a single child's plan, managed and reviewed by a lead professional, often a social worker. This approach is underpinned by principles to ensure that the child or young person is at the centre and involved in discussions and decision making, along with their parents or carers where appropriate; and that services will work jointly to meet identified needs or risks. The National Practice Model can support the process of assessment, analysis, action and review in partnership with children, young people, parents and carers. Where the child or young person has more than one plan, this should be integrated as part of a single planning process informed by a holistic and child centred assessment process in the context of their unique circumstances, strengths and vulnerabilities.

Adult Support and Protection

2.48 The Adult Support and Protection (Scotland) Act 2007 defines an "adult at risk of harm". An "adult at risk" is someone who is aged 16 or over and who:

• is unable to safeguard their own wellbeing, property, rights or other interests
• is at risk of harm; and
• because they are affected by disability, mental disorder, illness or physical or mental infirmity, are more vulnerable to being harmed than adults who are not so affected.

2.49 The general principle states that a person may intervene or authorise an intervention in an adult's affairs, only where the person is satisfied that the intervention will provide benefit to the adult and that it is the least restrictive option of those that are available which will meet the objective of the intervention. Guiding principles under Part 1 of the 2007 Act include:

• the wishes and feelings of the adult past and present;
• providing the adult with relevant support and information to enable them to participate; and
• the adult's abilities and background and characteristics be taken into account.

2.50 In terms of the 2007 Act, an adult is at risk of harm if:

• another person is causing (or is likely to cause) the adult to be harmed, or
• the adult' is engaging (or is likely to engage) in conduct which causes (or is likely to cause) self-harm.

2.51 Harm is defined as all harmful conduct and in particularly conduct which causes physical or psychological harm, unlawful conduct which appropriates or adversely affects property rights or interest ow which causes self-harm. The harm can be accidental or intentional, as a result of self-neglect or neglect by a carer, caused by self-harm and/or attempted suicide or other failures to act.

2.52 The 2007 Act provides a range of legal protection measures which can be used if necessary but the primary aim of the legislation is to identify risks and provide support to protect adults at risk from harm. As such it can be usefully described as providing a framework for support and protection for vulnerable people. A general principle on intervention in an adult's affairs requires action which is the least restrictive to the adult whilst providing benefit to him or her.

2.53 Local authorities have a duty to make the necessary inquiries and investigations to establish whether or not an adult is at risk from harm and further action is required to protect the adult's well-being, property or financial affairs.

2.54 It is important to recognise whether or not the individual subject to MAPPA is also an adult at risk of harm. Similarly, it will be as important that any risks an individual subject to MAPPA may pose to adults at risk of harm are communicated to the local health and social care partnership in terms of an adult protection referral or information sharing. Section 5 of the 2007 Act provides that certain bodies and office-holders must, in so far is consistent with the proper exercise of their functions, co-operate with a council making inquiries or each other and importantly report to the council the facts and circumstances where they know or believe an adult is at risk of harm.

2.55 In the absence of an identified adult protection contact person agencies should contact the Chief Social Work Officer or visit Adult Support and Protection - Act Against Harm website to find relevant referral information by local area.

2.56 The 2007 Act requires each council area to establish an Adult Protection Committee (APC) to bring together local key agencies and others they feel appropriate, to ensure effective multi-agency working, training and practice with the aim of improving co-operation between each of the public bodies in order to safeguard adults at risk present in the council's area. The APC produce a biennial report on key achievements and challenges with a view to improving support and protection.

Local Authority - Education Services

2.57 Local Authority Education Services must act in co-operation with other Responsible Authorities and DTC agencies in the management of individuals under Sections 10 and 11 of the Management of Offenders etc. (Scotland) Act 2005. This duty will be performed in the context of the local or relevant MAPPA but only insofar as this is compatible with existing statutory responsibilities.

General Responsibilities

2.58 Education Authorities are statutorily required to 'make adequate and efficient provision of school education' (Education Scotland Act 1980) for their area. They are further required to develop the 'personality, talents, mental and physical abilities' of children and young people to their 'fullest potential' (Standards in Scotland's Schools Act 2004). They have a duty to identify and keep under consideration any additional support needs of any kind that children and young people may have and to meet such needs, in co-operation with other authorities and bodies in certain circumstances ( Education Additional Support for Learning Scotland Act 2004), reinforcing their shared, corporate responsibilities under the Children Scotland Act 1995 to make provision for children 'in need'.

2.59 They have therefore a dual role in providing education, and in developing and nurturing children and young people.

Working Co-operatively

2.60 Increasingly, education services are working in an integrated way with social work, health, the voluntary sector and other relevant bodies (e.g. the police) in the following areas:

• Planning and delivery of services;
• Assessment and information sharing about individual children and families;
• Ensuring child protection;
• Significant incident review; and
• Quality assurance and inspection.

2.61 Community Planning Partnerships are required to prepare and publish plans for Children's Services, under Part 3 of the Children and Young People (Scotland) Act 2014 of the Children and Young People (Scotland) Act 2014, whilst integrated inspections of these services extend to all services for children. There is Statutory Guidance on Part 3 of the Children and Young People (Scotland) Act 2014 to assist.

2.62 Thus, national and local governance arrangements and practice; frameworks, protocols and procedures for partnership working and co-operation already exist across a number of the responsible authorities and DTC agencies.

2.63 Education authorities already co-operate with relevant bodies in relation to the provision of information and the assessment of risk for individuals. A further consideration for education services will be their duties under the Protection of Vulnerable Groups (Scotland) Act 2007 to refer onto the list of people disqualified from working with children, anyone with a relevant conviction, or anyone who has been dismissed or transferred or moved where there was judged to be risk of harm to children. Education authorities have a similar but wider ranging legal duty to refer matters concerning the conduct of certain staff to the General Teaching Council (Scotland).