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

5. MAPPA in Operation: Individuals Subject to the Sex Offender Notification Requirements (SONR)

5.1 There are five key stages to the MAPPA process for this category of individual:

Stage 1 – Identification and notification of individuals

Stage 2 – MAPPA risk management level/referral

Stage 3 – Pre-meeting information sharing

Stage 4 – MAPPA meeting

Stage 5 - Exit from MAPPA

Stage 1: Identification and Notification of Individuals

Statutory Basis

5.2 The identification of the individuals who fall within the MAPPA framework is the critical first stage of the MAPPA process.

5.3 Section 10(1) of the Management of Offenders etc. (Scotland) Act 2005 sets out the distinct categories of individual who can be subject to MAPPA. This includes individuals subject to the Sex Offender Notification Requirements (SONR) as described at section 10(1)(a). These individuals may also be more commonly known as registered sex offenders (RSOs). Individuals who are RSOs are automatically subject to MAPPA.

5.4 This MAPPA category relates to individuals who are required to comply with the SONR as set out in Part 2 of the Sexual Offences Act 2003 (the 2003 Act).

5.5 When a person is convicted of an offence listed in Schedule 3 of the 2003 Act, they automatically become subject to the SONR. Para 60 of Schedule 3 also gives further detail of when making someone subject to SONR can be applied.

5.6 Those made subject to certain preventative orders, and also those convicted of breaching certain preventative orders must also comply with the SONR. Further information detailing these types of preventative orders can be found at Annex 6 of this guidance.

5.7 Section 82 of the 2003 Act sets out the period of time an individual is required to comply with the notification requirements.

Identification and the role of the Scottish Courts and Tribunals Service (SCTS)

5.8 When an individual is subject to the SONR, the Court is required to issue the individual with a certificate of conviction or finding and a notice of requirement to register.

5.9 A copy of both the certificate of conviction and the notice of requirement to register must be copied to the police and also the relevant local authority, and must be attached to any extract warrant for imprisonment or detention in hospital.

Notification of Individuals required to comply with the SONR.

5.10 Once an individual has been identified as someone who is required to comply with the SONR, their details should be provided to the MAPPA Co-ordinator by the lead Responsible Authority.

5.11 The MAPPA process for an individual made subject to the SONR will commence for Police Scotland when the individual is convicted. This covers all those post-conviction (and subject to SONR) to pre-sentencing stage. Individuals remanded in custody may also be subject to the SONR.

5.12 The MAPPA Co-ordinator for the relevant Local Authority is the Single Point of Contact (SPoC) for all notifications (and referrals). The MAPPA Co-ordinator should maintain an accurate record of the number of individuals being managed by the Responsible Authorities in their area.

5.13 The MAPPA notification should be recorded on the Violent and Sex Offender Register (ViSOR) within an activity log.

Post-conviction up to pre-sentencing

5.14 Within 3 days of being made aware of a newly convicted RSO, Police Scotland should advise the MAPPA Co-ordinator. Please note that an RSO may be actively managed in the community by police for a considerable amount of time prior to being sentenced.

5.15 During this initial stage (post-conviction to pre-sentencing), Police Scotland as lead Responsible Authority (at this point) should issue a request for information to all relevant agencies which should be completed and returned within 3 months. This 3 month period facilitates information sharing and the building up of relevant information and evidence held by all agencies to better inform future risk assessment and management and forms part of the MAPPA notification and (if appropriate) referral process at the point of sentencing. Where the process is unable to be completed within the 3 month timescale, this should be recorded, and the reasons outlined.

Notification of individuals who receive custodial sentences

5.16 The Scottish Prison Service (SPS) should notify the MAPPA Co-ordinator of all individuals who will be subject to the SONR with a custodial sentence, within 10 working days of the individual's custodial sentence commencing. This should be done using the MAPPA Notification form found within the MAPPA document set of this guidance.

5.17 In addition, where the individual is subject to the SONR but not subject to statutory supervision upon release by Justice Social Work services (JSW), SPS should notify the police of the parole consideration/release date copying in the MAPPA Co-ordinator no later than five working days prior to the person's impending release. The MAPPA Notification form found within the MAPPA document set can be used for this purpose.

5.18 During the person's custodial journey, SPS should also use the MAPPA Notification form to notify the MAPPA Co-ordinator at the following points of progression:

• Following any Risk Management Team (RMT) meeting on progression and ahead of any transfer to less secure conditions and parole consideration.
• Parole Board for Scotland's decision on release.
• o where the decision is to release, SPS should advise the MAPPA Co-ordinator without undue delay but as a minimum no later than 24 hours prior to the agreed release date.
• o – where the decision is no release, deferred, or adjourned, SPS should notify the MAPPA Co-ordinator no later than within ten working days of the Parole Board's decision being communicated to SPS.

5.19 Further information on the Parole Board for Scotland can be found on their website: Parole Board for Scotland.

Notification of individuals who receive community sentences

5.20 To ensure all individuals subject to the SONR are included within the MAPPA framework, the lead Responsible Authority should notify the MAPPA Co-ordinator (irrespective of the proposed management level of 1, 2 or 3), no later than three working days from the date of the community disposal being determined by the Court.

5.21 Where the community disposal has been made by the Court with no statutory supervision and the person is to be routinely managed at Level 1, it is Police Scotland as the lead Responsible Authority who should complete the MAPPA Notification form found within the MAPPA document set of this guidance.

5.22 Where the person is also subject to statutory supervision and to be routinely managed at Level 1, it is JSW as the lead Responsible Authority who should complete the MAPPA Notification form.

Stage 2: MAPPA risk management level/Referral

Key points where the individual is being routinely managed - Level 1 (post sentence)

5.23 It should be noted that those individuals who are subject to both the SONR and statutory supervision may not necessarily require management at MAPPA Level 2 or 3. However Level 1 effective practice requires that Police Scotland and JSW co-ordinate their respective activities via an agreed plan to manage the person and the risk(s) posed in the community.

5.24 Where any significant change in risk or circumstances is identified, this should always be notified to and discussed with the lead Responsible Authority at the earliest opportunity. The lead Responsible Authority is required to consider, in conjunction with other agencies involved, whether any change is required to the proposed Risk Management Plan of that individual and/or whether a referral to MAPPA at Level 2 or 3 is required to be submitted for consideration by the MAPPA Co-ordinator. Further information on assessment and management of risk can be found in Chapter 4.

5.25 The lead Responsible Authority must have a process in place to ensure that the decision regarding Level 1 management is kept under review based on the risk posed by the individual.

Level 1 from custody

5.26 Where the individual is assessed in custody as requiring routine management at Level 1, SPS as lead Responsible Authority should inform the MAPPA Co-ordinator no later than 12 weeks prior to release or parole consideration, using the MAPPA Notification form found within the MAPPA document set. The latest Integrated Case Management (ICM) and/or SPS RMT agreed risk assessment and risk management paperwork should be included with the form. This allows sufficient time for the MAPPA Co-ordinator to consider the Level 1 notification and seek any further necessary information/paperwork if required, in particular where there is concern based on the risks presented and evidence provided that, upon release, the person should be managed at a higher Level.

5.27 As detailed at 5.17, SPS will inform Police Scotland and copy in the MAPPA Co-ordinator for all those individuals subject to the SONR with a short term custodial sentence (12 months or less) and no statutory supervision upon release.

Level 1 from the community (post sentence)

5.28 As detailed at 5.21 and 5.22, the lead Responsible Authority for any person subject to the SONR with a community disposal (which is Police Scotland if no statutory supervision and JSW where there is), and who is to be routinely managed at Level 1 should complete the MAPPA Notification form found within the MAPPA document set.

Key points for any referral to Multi-Agency Risk Management - Level 2 or Level 3

5.29 Multi-agency risk management should only be used where this level of collaboration and co-ordination is necessary and proportionate to the management of the specific risk of serious harm posed to the public by the individual. Any decision to refer an individual for Level 2 or Level 3 should be on the basis that a co-ordinated multi-agency response is required, and is proportionate to protect the public.

5.30 All referrals to MAPPA Levels 2 or 3 should be informed by the current risk assessment and the proposed Risk Management Plan (RMP).

Process

5.31 The lead Responsible Authority should complete the MAPPA Referral form (found within the MAPPA document set of this guidance), providing all relevant information including the current risk assessment and proposed RMP.

5.32 On receipt of the MAPPA Referral form, 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 multi-agency management required at MAPPA Level 2 or Level 3.

5.33 Where the referral is accepted, the MAPPA Co-ordinator should inform 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.

5.34 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 of management of the individual under MAPPA at Level of 2 or Level 3.

5.35 Where there is disagreement as to the MAPPA level and this cannot be resolved, the final decision should be made at a meeting of the local MAPPP designated leads from the relevant Local Authority, Health Board and Police Scotland. Their 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.

5.36 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.

Referral at Level 2 or 3 from custody

5.37 The decision to refer the individual for MAPPA management at Level 2 or Level 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 in Chapter 15 of this guidance.

5.38 SPS should send the MAPPA Co-ordinator the MAPPA Level 2/Level 3 referral with the current risk assessment and proposed RMP no later than 12 weeks prior to the release or parole consideration of relevant individual.

Referral at Level 2 or 3 from community

5.39 All community referrals should be made either by Police Scotland (if no statutory supervision) or JSW.

5.40 The referral should be made at the time of the first risk assessment and development of their RMP where it is clear that multi-agency management at either Level 2 or 3 is required.

5.41 A referral can also be made at any time during the person's SONR period, preventative order duration and/or statutory supervision period, when it becomes evident that the person's level of risk has increased and that has, along with other factors, determined that their management level requires to be increased.

5.42 Full details on assessing and managing risk at MAPPA Level 2 and 3 can be found in Chapter 4. The MAPPA Referral form can be found within the MAPPA document set of this guidance.

Stage 3: Pre-MAPPA meeting - Information Sharing

5.43 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 Police Scotland or 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.

5.44 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.

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

• for all new Level 1 cases, the rationale and defensible decisions for progressing (or not) to a meeting are recorded;
• 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

5.46 The information included in the MAPPA Referral should 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 of having 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).

5.47 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 also be found at Chapter 3 (Duty-to Co-operate) of this guidance. Further general detail on information sharing can be found at Chapter 12 of this guidance. Please note the process detailed below is separate to that of a subject access request (SAR).

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

5.49 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.

5.50 The lead Responsible Authority for managing the individual must liaise with the local authority Sex Offender Liaison Officer (SOLO) in relation to accommodation and environmental scanning arrangements as set out in the National Accommodation Strategy for Sex Offenders (NASSO).

Stage 4: MAPPA Meeting

5.51 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.

5.52 The frequency of these meetings is a matter for the lead Responsible Authority in liaison with the MAPPA Co-ordinator and partner agencies. 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 risk and management levels identified in the RMP.

5.53 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.

5.54 Consideration of the frequency of these meetings should be informed by risk and any significant change in circumstances of the individual, where relevant. A statement of the minimum practice standards for the management of Level 1 individuals can be found at page 31. The minimum standards in respect of review meetings for Levels 2 and 3 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/Routine Level 1 Meetings (community based)

5.55 The lead Responsible Authority should identify when a meeting/request for information sharing is necessary and should co-ordinate and inform the local Sex Offender Policing Unit (where the lead Responsible Authority is not Police Scotland) and facilitate activity. This is so that information is effectively shared commensurate with risk and significant change to inform risk management.

5.56 The lead Responsible Authority should have a process in place to ensure that the decision regarding Level 1 management is kept under review, based on the risk posed by the individual.

5.57 The lead Responsible Authority and partners should use appropriate risk assessment tools within the structured risk assessment process in order to evaluate the level of risk and relevant risk factors. For further information about appropriate risk assessment tools, please refer to the Risk Assessment Tools Evaluation Directory (RATED) – Risk Management Authority (RMA).

5.58 If the lead Responsible Authority's review, based on the risk of serious harm, indicates that management at Level 2 or 3 is required to manage the risks or needs of the individual, then it should be referred to the MAPPA Co-ordinator using the MAPPA Referral form found within the MAPPA document set.

Initial Level 2 and Level 3 Meetings

5.59 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 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; and
• set a formal review date for the Risk Management Plan.

5.60 Where the individual is subject to an Order for Lifelong Restriction (OLR), the RMP must be reviewed at least once a year^[11] and the updated RMP and Annual Implementation Report (AIR) submitted to the Risk Management Authority (RMA) by the lead Responsible Authority.

5.61 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.

5.62 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. Further information on the role of the Chair can be found in Chapter 11 of this guidance.

Initial MAPPA meeting – individual is in community

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

5.64 For individuals with a community referral at Level 3, an initial Level 3 meeting should be held no later than five working days of receipt of referral and the RMP being accepted.

Initial MAPPA meeting – individual is in custody

5.65 The initial Level 2 or Level 3 meeting 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 an Environmental Risk Assessment (ERA) prior to the person's release/parole consideration date.

5.66 These lead in times are 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

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

5.68 The MAPPA Co-ordinator can maximise agency involvement by organised scheduling of meetings, including use of video and tele-conferencing facilities 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.

5.69 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

5.70 It is recognised that the notification period under the SONR has no bearing on the risk presented and the need to manage that risk. However, the exit of an individual from MAPPA is determined by the length of the SONR. More information on individuals who are subject to an indefinite period and how that is reviewed can found at Chapter 6 of this guidance.

5.71 The lead Responsible Authority should notify the MAPPA Co-ordinator when an individual is nearing the end of their SONR and is about to exit the arrangements. This notice should be provided with sufficient time to allow for a review of the circumstances and consideration of whether there is criminal or on-going concerning behaviour which evidences that the risk they pose is so high that further law enforcement powers are justified and necessary.

5.72 Where an individual exits the arrangements the lead Responsible Authority should update the relevant ViSOR record accordingly.