MAPPA Guidance

Introduction

FOREWORD by Hilary Benn MP, Parliamentary Under Secretary for Community and Custodial Provision Protecting the public from potentially dangerous offenders is a priority for us all. The recent report by Lord Laming into the tragic death of Victoria Climbie highlighted the importance for agencies, whose job it is to protect the public, to work together. In many respects closer working has been the guiding principle of the Multi Agency Public Protection Arrangements (MAPPA). Created by the Criminal Justice and Court Services Act (2000), the arrangements require police and probation to work together to manage the risks posed by dangerous offenders in the community. This work now has a solid foundation, but we recognise there is more to do to strengthen the arrangements further. The workings of the MAPPA have been the subject of close scrutiny in the past year both from the joint Inspectorates’ report Safeguarding Children and through the publication of the first annual reports. While recognising the excellent work that has already been done, these reports have helped guide the planning for the further development of the arrangements. One of the key themes arising from this report and from experience over the past year is a need for greater consistency of practice across different Areas of the country. The sections in this guidance on the MAPPA framework and the Strategic Management Boards aim to help achieve such consistency. This represents phase two in the development of the arrangements. Phase three involves preparation to implement the provisions of the Criminal Justice Bill, which include making the Prison Service part of the Responsible Authority with the Police and the National Probation Service (NPS). The Bill also imposes a statutory duty to co-operate on those agencies which, although not part of the criminal justice system, work with offenders. Finally, we are already piloting arrangements in eight Areas of the country to involve members of the public more closely in this important public protection work. The Bill will enable the Home Secretary to appoint two ‘Lay Advisers’ to participate in the work of the MAPPA in each Area. The Government’s commitment to strengthen public protection is also reflected in legislation currently before Parliament to reform the laws on sexual offending. Among other things this Bill will tighten up sex offender registration; introduce a new offence of ‘grooming’; and enable sex offender orders and restriction orders to be imposed on violent offenders who pose a risk of causing serious sexual harm – and thereby extend sex offender registration to them.

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MAPPA Guidance

Introduction

Additionally, the Criminal Justice and Sentencing Bill will create two new prison sentences – one a special determinate, the other an indeterminate sentence – under which offenders convicted of serious sexual and violent offences will only be released when they are assessed as no longer presenting a serious risk to the public. There will be further changes ahead, but they will build upon the very sound achievement which police forces and the National Probation Service have established through the MAPPA. This Guidance is integral to underpinning what has been achieved so far and preparing for future developments. I am very grateful for the considerable efforts and the professionalism of all those involved in this important and valuable work.

Hilary Benn March 2003

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MAPPA Guidance Acknowledgements

Acknowledgements

The Public Protection Unit of the National Probation Directorate would like to thank all those practitioners and managers who have participated in the development of this Guidance, whether through the MAPPA Guidance workshop, direct consultation or the regional seminars. Their contributions and thoughtful feedback have been a real benefit to the unit in shaping this Guidance. They include the following; Russell A’Court, Prison Service Mark Bleasdale, Dyfed-Powys Police Service Rose Burgess, Youth Justice Board Lucy Derillo, Prison Service Pat Edwards, HM Inspectorate of Probation Helen Elliott, National Probation Service – London Keith Giles, Metropolitan Police Service Keith Gilfillan, Durham Police Service Fiona Harris, Essex Social Services Pat Hobbs, Leicester Housing Authority Alison Hooper, Department of Health Steve James, South Wales Police Service Roger Kennington, National Probation Service – Northumbria Alan Ladley, Sussex Police Service Simon Lomas, National Probation Service – West Midlands Gill Mackenzie, Consultant, NPD. Simon Page, Bradford Youth Offending Team Martin Rudenko, National Probation Service – Dorset David Watts, Essex Social Services Lyla Ward, National Probation Service – London Paul Wright, Wandsworth Prison Public Protection Unit Tim Bryan, Detective Chief Inspector, National Probation Directorate (NPD) Paddy Doyle, Assistant Chief Officer, NPD William Payne, MAPPA Project Manager, NPD Should you wish to contact the Public Protection Unit about any matters arising from this Guidance please use any of the following points of contact; Tim.bryan@homeoffice.gsi.gov.uk Public Protection & Courts Unit, National Probation Directorate, Horseferry House, Dean Ryle Street, London SW1P 2AW

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MAPPA Guidance

Contents

CONTENTS
Foreword Acknowledgements Contents Probation Circular SECTION 1. EXECUTIVE SUMMARY
Paragraphs

i - ii iii iv – vi vii

I. II. III. IV.

Introduction Status and Purpose of the Guidance The Three Phases of MAPPA Development The Four Features of MAPPA Good Practice Defensible decision-making Rigorous risk assessment Robust risk management Strategic Management of the MAPPA

1 2–6 7 – 13 14 – 29 16 19 23 27 – – – – 18 22 26 29

V.

Compiling the Guidance SECTION 2. THE MAPPA FRAMEWORK

30 – 31

I.

The Framework in Outline Four functions of the framework MAPPA co-ordination The Victim focus The Offender’s role

32 – 51 34 38 43 48 – – – – 37 42 47 51

II.

Identification of MAPPA Offenders Category 1: Registered sex offenders Category 2: Violent and other sexual offenders Category 3: Other offenders Juvenile offenders Recent research Identifying the Responsible Authority Transferring cases between Areas

52 – 77 54 – 60 61 – 63 64 – 68 69 70 – 72 73 – 75 76 – 77

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III.

Information Sharing and Disclosure Information sharing between MAPPA agencies Information sharing principles Disclosure for Parole Board purposes Disclosure to by Responsible Authority to other third parties

78 – 95 81 83 91 93 – – – – 82 90 92 95

IV.

Risk Assessment Offender Assessment System (OASys) Levels of risk of harm Risk Matrix 2000, ASSET and other sources of risk assessment

96 – 105 97 – 98 99 – 100 101 – 105 106 – 127 111 112 – 115 116 – 120 121 – 122 123 – 124 125 – 127 Pages p.42 p.43 p.44
Paragraphs

V.

Risk Management Level 1: ordinary risk management Level 2: local inter-agency risk management Level 3: MAPPP – Multi-Agency Public Protection Panels MAPPA meetings Records of meetings Importance of MAPPA links in custody

VI.

Diagrams of MAPPA framework Figure 1: The Four Core Stages of MAPPA Figure 2: RSOs and Violent and Other Sex Offenders (Categories one & two) Figure 3: Other Offenders (Category three) SECTION 3. THE STRATEGIC MANAGEMENT OF THE MAPPA

I.

The Purpose of the Strategic Management Board (SMB) Monitoring and evaluation Links with other public protection arrangements Annual reports and communication MAPPA development Training

128 – 139 130 – 131 132 133 – 135 136 – 137 138 – 139

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II. III.

Membership of the SMB SMB Meetings SECTION 4. The Prison Service; the Duty to Co-operate; and Lay Advisers

140 – 145 146 – 149

I.

The Prison Service’s Role as part of the MAPPA Responsible Authority Summary of the Prison Service’s MAPPA role The Prison Service’s role in SMBs The Prison Service’s High Security and Private Prisons The Prison Service’s Role in the operational, case related MAPPA functions The Prison Service role in risk assessment of MAPPA offenders in Prison The Prison Service role in MAPPA – Working definitions

Paragraphs

150 – 153 154 – 155 156 – 159 160 –166 167 – 171 172 Pages

Relationship between Prison and Police/Probation Areas (Area tables) II. The Duty to Co-operate Introduction What the Duty to Co-operate Means and Involves Information Sharing The ‘Duty to Co-operate’ Agencies (England) The ‘Duty to Co-operate’ Agencies (Wales) Home Office Units with Release and Recall Responsibilities The Memorandum defining the Duty to Co-operate III. Lay Advisers Summary The Lay Adviser’s Role The National Implementation Plan

pp.64 – 68
Paragraphs

173 – 178 179 – 200 201 – 222 223-254 255-287 288-314 315-318
Paragraphs

319-320 321-322 323-342

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Contents

APPENDICES 1. 2. 3. 4. 5. 6. 7. Criminal Justice Act 2003 sections 325 – 327, Thresholds to registration in Schedule 3, Schedule 15 - Specified offences. Glossary of Abbreviations Assessment of individuals convicted of child pornography offences (Probation Circular 14/2003) Sharing information to inform decisions on offender release and recall (Probation Circular 13/2003) The National Police Intelligence Model Parole, Licence and Recall arrangements (Probation Circular 42/2003) Lay Advisers‘ specification, Draft Letter, Case Study, Interview Questions, Shortlisting Criteria

Pages pp.124-138 p.139 pp.140-146 pp.147-158 pp. 159-160 pp. 161-171 pp. –172-181

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THE MAPPA GUIDANCE
PURPOSE
Revised guidance dealing with the provisions of the Criminal Justice Act (2003) that extend and strengthen the multi-agency public protection arrangements (MAPPA).

Probation Circular
REFERENCE NO: 54/2004 ISSUE DATE: 14 October 2004 IMPLEMENTATION DATE: Immediate EXPIRY DATE: March 2006 TO: Chairs of Probation Boards Chief Officers of Probation Secretaries of Probation Boards CC: Chief Constables Board Treasurers Regional Managers AUTHORISED BY: Liz Hill ATTACHED: MAPPA Guidance

ACTION
Chief Officers to implement in partnership with Chief Constables and the Prison Service Area Managers.

SUMMARY
The MAPPA Guidance issued in March 2003 has provided a national framework for the 42 areas of England and Wales to establish arrangements for the assessment and management of risk posed by sexual and violent offenders. Section 325 – 327 of the Criminal Justice Act (2003) has extended and strengthened these public protection arrangements in the following ways: o o By including the Prison Service as part of the Responsible Authority (RA) in each Area; By placing a duty to co-operate with the Responsible Authority on a number of social care agencies providing services to offenders including health, housing, social services, education, youth offending teams, jobcentre plus and electronic monitoring providers; and Increasing the public engagement with MAPPA by appointing two lay advisers to assist the Responsible Authority in each area to monitor and review those arrangements locally.

o

This revised guidance, issued under section 325(8) of the Criminal Justice Act, incorporates a new section detailing these new provisions and how they should be implemented. As such they will be of critical importance to members of the strategic management board, MAPPA co-ordinators and operational staff.

RELEVANT PREVIOUS PROBATION CIRCULARS
The MAPPA Guidance was issued in March 2003 under PC 25/2003. This is an extension of that guidance incorporating an additional section and new appendices. Hard copies of these supplementary pages will be sent out to all Areas.

CONTACT FOR ENQUIRIES
DCI Tim Bryan 020 7217 0747 (tim.bryan@homeoffice.gsi.gov.uk) Jas Bansal 0207 217 8547 (jaspreet.bansal@homeoffice.gsi.gov.uk)

National Probation Directorate
Horseferry House, Dean Ryle Street, London SW1P 2AW General Enquiries: 020 7217 0659 Fax: 020 7217 0660

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MAPPA Guidance

Section One: Executive Summary

SECTION 1: EXECUTIVE SUMMARY Eithne Wallis, Director General, National Probation Service, and Terence Grange, Chief Constable of Dyfed-Powys and ACPO Lead on Child Protection and Sex Offenders. Introduction

I.

1. This Guidance marks an important stage in the development of the multi-agency public protection arrangements (MAPPA). Its purpose is to consolidate the considerable work done since the introduction of the MAPPA in April 2001 and to prepare for the next phase of development, to which the Criminal Justice Bill will give significant impetus when it is enacted. This joint statement which introduces the detailed guidance contained in the following chapters, draws attention to: the the the the II. Status and Purpose of the Guidance; three phases of MAPPA development; four features of MAPPA good practice; and, composite nature of the Guidance.

Status and Purpose of the Guidance

2. This Guidance has statutory authority. Sections 67 and 681 of the Criminal Justice and Court Services Act (2000) imposed duties upon the police and probation services (the Responsible Authorities) in each of the 42 Areas of England and Wales to establish the MAPPA. The legislation (Section 67(6)) also empowered the Home Secretary to issue guidance to the Responsible Authorities on how their MAPPA duties should be discharged. To reinforce the importance of this Guidance to the Responsible Authorities, it is issued to the National Probation Service (NPD) as a Probation Circular; and to Police Forces with the full endorsement of Association Of Chief Police Officers (ACPO). 3. The publication of the first annual reports during the summer of 2002 reflected what had been achieved in developing the new statutory public protection arrangements. Having started from different points of experience and expertise in public protection work, Areas have developed at different speeds. Also, the nature of this work involves the establishment of some quite complex arrangements and cultural changes to enable co-operative working in practice as well as in name. Inevitably therefore, there is a lack of consistency in the MAPPA between Areas. This is not to argue for a slavish uniformity of process but for a commonality of approach and practice – a consistent
1

The legislation (contained in full in Appendix 1) requires the Responsible Authority in each Area (i) to establish arrangements to assess and manage the risks posed by sexual and violent offenders; (ii) to monitor those arrangements and make necessary changes; and, (iii) to prepare and publish an annual report on the MAPPA.

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definition of risks and the means of managing them; and a framework common to all Areas which enables a consistent approach to risk identification, assessment and management. 4. This consistency has been defined in the Guidance as the MAPPA framework. This framework is very important in supporting: (i) (ii) (iii) (iv) (v) (vi) greater professional confidence in the multi-agency management of risk; the work we will do to establish national standards to underpin and support the development of good practice; the more effective and efficient management of cases across Areas; consistency in the way we communicate public protection work to the public – and we all recognise the difficulties in explaining this complex but important part of our public service; the effective development and sharing of good practice; and, effective links with other agencies both within the MAPPA (as we anticipate the provision made to strengthen these in the Criminal Justice Bill) and outside, for example with Area Child Protection Committees (ACPCs).

5. This last issue was one that was further highlighted by the report eight Inspectorates jointly published on Safeguarding Children2, which also drew attention to the value MAPPA were adding to public protection. The subsequent separate report published jointly by the Inspectors of Constabulary and Probation3, dealt with the matter in more detail and helpfully included in its recommendations to ACPO and NPS that: a national framework for MAPPA be implemented as a matter of priority, including links with ACPCs; and, a set of national standards and performance measures be agreed. 6. Lord Laming’s report on the Victoria Climbie Inquiry amplified the theme of these issues when it highlighted the need for clearer accountability at a local level for child protection. And Ministers have already announced that local authorities will be required to produce, jointly with partners, a local strategy to prevent children from being harmed. Clearly the MAPPA have a role to play in these developments: the introduction of the ‘duty to cooperate’ will provide a formal mechanism for this but work now on consistency and MAPPA accountability is important too.

2 3

Protecting Children from Dangerous People Home Office December 2002

Department of Health October 2002

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III.

The Three Phases of MAPPA development

7. This Guidance substantially provides the framework, within which in the next phase of MAPPA development national standards and performance measures will be drawn up. It is helpful to clarify the process of the MAPPA development which we see as comprising three phases: (i) Phase 1 (April 2001 – Autumn 2002): the setting up of the MAPPA, which because they built upon the inter-agency co-operation that the Sex Offender Act (1997) prompted, began prior to their formal inception in April 2001; Phase 2 (Autumn 2002 – January 2004): distilling the learning from the first year’s operation and the first annual reports, preparing and implementing this Guidance; Phase 3 (January 2004 – Annual reports 2005): preparing and then implementing the ‘duty to co-operate’ and ‘lay Adviser’ provisions contained in the Criminal Justice Bill; and using the HMIC and HMIP inspection of public protection (scheduled for late 2003) to inform the development of national standards and performance criteria.

(ii) (iii)

8. It is also appropriate to make reference to some of the features of this phased development and specifically to the provisions which are contained in the Criminal Justice Bill. One of the most significant features of the first and second phases are the development of ViSOR (an electronic database of those violent and sexual offenders who fall within the MAPPA) and the roll-out of OASys (the offender risk assessment system), both of which will make a great difference to our ability to store, access and share information. 9. In addition to these developments, we are expecting to progress work on managing dangerous offenders returning from overseas. Work on this continues on a number of fronts, including: initiatives Home Office colleagues are taking forward with our partners in the European Union; the brokering of bilateral agreements with European partners, on which police and probation are working together; provisions contained within the Sexual Offences Bill; and, establishing better practical arrangements for managing offenders as they return to this country, on which NPD is working with the National Criminal Intelligence Service (NCIS) and Prisoners Abroad, among others. 10. The latter stream of work connects with a broader development which will see the establishment of a more proactive casework section within NPD’s Public Protection Unit. This casework section, whose complement will include experienced police and probation practitioners, will provide a point of Version 1.3 © Crown Copyright 2004 3

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reference for Areas seeking advice and assistance on the more problematic cases. Out of this, the Public Protection Unit will establish arrangements reflecting those which this Guidance requires Areas to develop. These include a National MAPPP and a National MAPPA Strategic Management Board. 11. The National MAPPP will not be a ‘higher tier’ to the Area MAPPPs but will formalise how Public Protection Unit manages its casework – Early Warning System referrals, and cases whose implications and management extend beyond the Area. The National MAPPA Strategic Management Board (SMB) will make permanent and more formal the ad hoc arrangements for consulting stakeholders and operational managers on MAPPA development which we have used in the initial phases. This forum will be of great importance in helping to prepare for the implementation of the two MAPPA provisions of the Criminal Justice Bill. 12. The first of these is the imposition on a number of other agencies of a duty to co-operate with the Responsible Authority in discharging its principal MAPPA duty to establish arrangements for assessing and managing the risks posed by sexual and violent offenders. The agencies upon whom this duty to co-operate will be imposed are local health authorities and trusts; housing authorities and registered social landlords; social services departments; social security and employment service departments; youth offending teams (YOTs); local education authorities; and electronic monitoring providers. The Prison Service is to become a part of the Responsible Authority. Guidance will be published later this year after the nature of these relationships has been clarified with these bodies’ central government departments. The Responsible Authority will be required to draw up and agree with each of the bodies concerned a memorandum setting out the ways in which they are to cooperate. 13. The second provision in the Bill is for the appointment by the Secretary of State of two ‘lay Advisers’ to each Responsible Authority in respect of its reviewing and monitoring functions. This is a further development which will increase public awareness and understanding of the MAPPA. Eight Areas (Dorset, Hampshire, Surrey, West Midlands, Durham, Cumbria, Greater Manchester and South Wales) are currently piloting arrangements for lay involvement in the MAPPA. These pilots are being formally evaluated by Manchester University and the next parts of the Guidance to be prepared will include sections on Lay Advisers and the duty to co-operate arrangements. IV. The Four Features of MAPPA Good Practice

14. The MAPPA have grown out of the development of closer working between Areas and agencies, principally the police and probation services, in the 1990s. A number of high profile cases and key pieces of legislation (culminating in the Criminal Justice and Court Services Act (2000)) gave

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impetus to that development. Moreover, various pieces of research4 into the development identified those features which were crucial to the effectiveness of public protection. In describing the framework of consistency, this Guidance has endeavoured to distil the learning from this body of research and from the advice and recommendations which the police and probation inspectorates have provided in a number of forms. 15. In outlining that framework, which the succeeding chapters detail, we have found it helpful to refer to the recent consideration of MAPPA good practice by Professor Hazel Kemshall (2003)5, in which she clarified that public protection depends upon: (i) defensible decisions; (ii) rigorous risk assessment; (iii) the delivery of risk management plans which match the identified public protection need; and, (iv) the evaluation of performance to improve delivery. Defensible Decision-making 16. Although the MAPPA represent a significant strengthening of public protection, they cannot provide an absolute protection: as recent research6 has shown, 32 per cent of the first-time murderers and 36 per cent of the serious sexual offenders had no previous convictions; and risk assessment is not an infallible science. As Hazel Kemshall has commented: “The desirable outcome of MAPPA is effective risk management. However this should not be understood as ‘zero risk’ as this position can never be achieved…..Risk management should be understood as harm reduction either through the reduction of the likelihood of a risk occurring or the reduction of its impact should it occur.”7 17. In many cases the decision-making involved in the assessment of risk and its management can, and indeed often does, prevent re-offending, but it is not infallible. Even the most diligent efforts of practitioners cannot always prevent serious harm. In place of infallibility we must put defensibility – making the most reasonable decisions and carrying them out professionally in a way which can be seen to be reasonable and professional.

Including, Home Office Special Conferences Unit (1997), Maguire,M., Kemshall,H., Noakes.L. and Wincup.E. (2001) Risk management of sexual and violent offenders: The work of Public Protection Panels. Police Research Series. Paper 139. London: Home Office; and, McIvor and Kemshall (2002). 5 Kemshall, H. (2003) The Community Management of High-Risk Offenders Prison Service Journal, March 2003. 6 Soothill, K. Francis,B. Ackerley,E. and Fligelstone. R (2002) Murder and Serious Sexual Assault: What criminal histories can reveal about future serious offending. Police Research Series. Paper 144) 7 Kemshall, H. (2003) ibid.

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18. The idea of defensible decisions is not about defensiveness: it is intended to embed risk assessment with rigour and risk management with robustness. Kemshall8 summarised its criteria as: all reasonable steps have been taken; reliable assessment methods have been used; information has been collected and thoroughly evaluated; decisions are recorded (and subsequently carried out); policies and procedures have been followed; and, practitioners and their managers adopt an investigative approach and are proactive. Rigorous risk assessment 19. Great strides have been made in improving risk assessment. The rollout of the electronic version of OASys will provide a swifter and common approach to risk assessment, building upon the value provided by Risk Matrix 2000. While this move towards a standardised form of risk assessment is important, it is understood that ‘one size does not fit all’ and that future developments must include assessment tools refined for more specialised use. Nevertheless, OASys provides a platform upon which sound practice must be based and forms part of the foundation of the MAPPA framework. 20. No risk assessment method is fully predictive yet good risk assessment practice is dependent upon those undertaking it having all the relevant information and time to consider it. For this reason the Guidance places great emphasis upon the identification of risk and information sharing to assess risk. Once identified and after the information has been shared, it is the skills of practitioners, enhanced by the involvement of other professionals, which give life to procedure. We know, for example, that while an offender’s past convictions and other ‘static’ factors are reliable indicators of risk, the risk assessment skill often lies in discerning the ‘dynamic’ risk factors and more importantly drawing up the risk management plan. 21. It is important too to draw attention here to the victim focus of MAPPA work (and more detailed mention is made in Section 2). While Section 69 of the Criminal Justice and Court Services Act (2000) imposed a statutory duty on Probation Areas with regard to victim contact, good practice already shows the wider benefits of this work. The victim is central to the offence and the risks to the victim must be properly assessed and managed. In addition, with proper care and support victims can provide vital information for the risk assessment and management processes. Indeed, the victim may be the person who best knows the true risk posed by an offender. 22. It is precisely because risk assessment can never become formulaic and because there will always be a place for using discretion and professional
8

Kemshall, H. (2003) ibid.

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Section One: Executive Summary

judgement, that we must ensure that this is a framework within which the complex analysis of risk can take place. This framework also supports the other key feature of risk assessment – that it is itself dynamic: it is not a ‘oneoff’ event but is a continuous process, especially with offenders who present the highest risk. Robust risk management 23. Robust risk management begins with planning how the assessed risks are to be managed by meeting criminogenic need and matching risk with lawful, necessary and proportionate responses to protect the public. The implementation, the delivery, of the risk management plan, like risk assessment, is dynamic: it must respond to changes in risk and in the circumstances likely to affect risk. This dynamic element of good practice in risk management is supported by drawing up the plan using clear objectives for the offender and for those managing the risk9. 24. Here is not the place to detail the various risk management strategies and specific means of achieving objectives but it is appropriate to highlight the principles of good practice in managing the higher risks. First, the strength of the MAPPA lies in co-ordinating how each agency fulfils its respective responsibilities and thereby makes the co-ordinated outcome greater than the sum of its parts. The extent to which this is already becoming a part of good practice is reflected in the greater interest and involvement of the police in offenders’ post-release arrangements, which is complemented by the sharper focus the National Probation Service is rightly placing upon its enforcement role. This principle will be of particular significance as the MAPPA engage other agencies less familiar and confident about this sharply focused public protection work. 25. Secondly, effective risk management should aim to integrate the measures used to promote the offender’s self-management (sometimes referred to as the ‘internal controls’) with those which are designed principally to constrain risk (sometimes referred to as the ‘external controls’). Very few management plans are constructed solely of only one or the other of these measures. Moreover, the two are rarely mutually exclusive. For example, while a Sex Offender Order or an exclusion condition of an offender’s licence are constraints (external controls), they are also the means by which boundaries are established; and the clarification of boundaries lies at the heart of therapeutic rehabilitation. External controls can therefore be seen as a means of structuring the offender’s expectations and encouraging his selfcontrol as well as protecting identified or potential victims. 26. The third principle of good risk management is to ensure that each case is managed at the lowest appropriate level. Using the principles of good
9

Kemshall H. (2001 and 2002) suggests these objectives are best defined using the SMART criteria: Specific, Measurable, Achievable, Realistic and Timely.

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defensible decision making will ensure that this is achieved and that the ‘inflation’ of low risk cases, with the consequent inappropriate use of resources, is avoided. Integral to this principle is of course the need for appropriate contingency plans in the event of a breakdown in risk management arrangements. The Strategic Management of the MAPPA 27. The fourth feature of MAPPA good practice is probably the feature in which some of the greatest challenges for development are to be found. While nothing can detract from the importance of high quality risk assessment and management, ultimately good and better practice is contingent upon the virtuous circle of planning, enacting, reviewing, evaluating and planning, which lead to better public protection. For this reason this Guidance has a section devoted to the establishment of the MAPPA Strategic Management Boards (SMBs) which each Area is required to operate. 28. The SMBs are the part of each Area’s MAPPA which have formal responsibility for the statutory duty10 to review, monitor and to make necessary changes to the risk assessment and management arrangements. In the third phase of MAPPA development this monitoring and evaluation will be supported by auditable standards, themselves informed by the outcome of the police and probation inspectorates’ joint inspection of public protection mentioned above, and by the contribution the Lay Advisers will make. Meanwhile, as Kemshall states11 “the absence of disaster is not enough as an evaluation strategy.” The work already in hand to review MAPPA operation for the purposes of the annual reports can form the basis for a closer look. For example, reviewing a sample of cases can support moves towards greater consistency as well as validating good practice. 29. Furthermore, evaluating performance is not only the preserve of SMBs - evaluation is part of good professional practice. Whether through formal supervision or in the continuous process of reconsidering risk and its management, evaluation is one of the core skills of MAPPA practitioners. Finally, evaluation is important because it helps identify more sharply where resources are best deployed and where more are most needed. V. Compiling the Guidance

30. Two brief remarks about the Guidance itself conclude this introduction. First, the Guidance has been compiled as a result of an extensive and thorough process of consultation with practitioners in Areas and with interested parties in the Home Office and other central government departments. The steering group which co-ordinated its development comprised operational police and probation advisers, Home Office policy and
10 11

Criminal Justice and Court Services Act (2000) Section 67(3) Kemshall, H. (2003) ibid.

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ACPO leads, and representatives of both HM Inspector of Constabulary and HM Inspector of Probation. The Guidance was the focus of briefing and extensive discussion at the MAPPA regional seminars in the autumn 2002 which a wide representation of professionals attended. The Guidance has also been the subject of rigorous scrutiny. We are therefore confident that it will greatly assist in its principal objective, by underpinning the development achieved to date, of bringing about greater consistency of improved practice in the MAPPA throughout the 42 Areas of England and Wales. 31. Secondly, the Guidance is designed to be comprehensive. Rather than issue a series of smaller pieces of Guidance we have advised Ministers, as urged by you, to publish a consolidated document. Inevitably further guidance will be required. To maintain this Guidance as the compendium of advice, it has been designed so that further chapters (one on the ‘duty to co-operate’ and another on ‘Lay Advisers’ we have already mentioned) can be added to it. Additionally, more detailed advice on specific aspects of MAPPA operation will be issued as a series of appendices to this Guidance.

Terence Grange Chief Constable Dyfed-Powys Police ACPO Lead on Child Protection and Sex Offenders

Eithne Wallis Director General National Probation Service March 2003

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MAPPA Guidance

Section Two: The MAPPA Framework

SECTION 2
THE MAPPA FRAMEWORK I. The Framework in Outline

32. The MAPPA are often understood as co-operation between police and probation locally, focused almost exclusively on the assessment and management of risk posed by offenders in the community. In fact the MAPPA are much broader and more complex than this. While much of their strength depends upon local police/probation joint working, the MAPPA form the basis of public protection through a genuinely multi-agency partnership throughout the 42 Areas of England and Wales. Public safety considerations are an increasingly important aspect of sentencing undertaken by courts and of sentence planning conducted by prisons and other custodial institutions, and the availability of criminal intelligence about offending behaviour has already provided assistance to the police in effecting early detection for serious sexual and violent offences. The MAPPA contribute significantly towards the integration of the work of a number of criminal justice agencies, together with social care agencies such as health, social services and housing, in order to reduce serious offending, minimise serious harm to the public and assist in the early detection of repeat offenders. This is the context in which the MAPPA framework and the Strategic Management Boards should be understood. 33. This framework has been developed from best practice in close consultation with operational practitioners. It encapsulates the core functions of the MAPPA. The framework clarifies what can be a complex set of arrangements for assessing and managing risk and provides the basis upon which more consistent public protection practice is established throughout England and Wales. The four functions of the framework 34. (i) (ii) The Framework comprises four core functions: identification of MAPPA offenders; sharing of relevant information among those agencies involved in assessment of that risk; assessment of the risk of serious harm; and, management of that risk.

the the the (iii) the (iv) the

Figure 1 illustrates these functions diagrammatically in a simplified linear form (See page 42). 35. An essential feature of the framework is that its functions are dynamic and overlap – they complement and are an integral part of one another. For Version 1.3 © Crown Copyright 2004 10

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instance the caseload of MAPPA offenders will be constantly changing: new cases are opened and some cases will be closed. Therefore the basic registration function, like risk assessment, is not a ‘one off’ but one which ensures that whenever any new information, relevant to the risk posed by the offender, becomes known to an agency it is shared to update the risk assessment. Thus risk assessment is itself a dynamic process which must be capable of responding to changing circumstances of the offender or his environment. 36. The integral and complementary nature of the framework’s functions extend to the dynamic nature of the three levels of risk management. It must not be thought that these levels are merely meetings or that that they exclusively concern either risk assessment or risk management functions. Each level encompasses the range of MAPPA activity involved in each case referred to it: the processes of risk assessment and analysis; the planning to manage that risk; and the implementation of those plans and their subsequent review and adjustment. While much of this activity may take place at formal meetings or case conferences, the concept of the MAPPA framework recognises that a great deal of the practical work is done day-today, week-to-week through a range of other formal and informal contacts and actions. 37. So, far from being a bureaucratic prescription, the emphasis placed in this guidance on meetings is in recognition that effective inter-agency working is achieved face-to-face. This is why some of the best good practice within the MAPPA has seen the co-location of police and probation colleagues in shared offices. While the engagement of other agencies may not extend to co-location, it is crucial that their involvement is enabled and supported by active participation in the multi-agency meetings when this is appropriate. In recognition of the importance of this element of the MAPPA and, again based upon existing good practice, the Guidance places great emphasis upon the creation of an efficient administrative function which we call MAPPA Co-ordination. MAPPA Co-ordination 38. The systematic co-ordination of MAPPA activity is key to ensuring that the functions of the MAPPA framework are coherent and meaningfully contribute to public protection. The co-ordination role begins with ensuring the identification and information sharing functions of the framework work effectively. The role extends to oiling the wheels of the administrative arrangements which support MAPPA activity, critically those involving the highest levels of case management and the MAPPP in particular (see paragraphs 116-120 below). The co-ordination role also comprises the provision of data and support to the Strategic Management Board (about which greater detail is given in Section 3 of this Guidance).

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39. Many Areas have begun to create a dedicated co-ordination role, using MAPPP co-ordinators, probation case supervisors and/or the expertise provided by police public protection/intelligence units. Experience shows that creating this dedicated role is a more efficient and more systematic way of managing the MAPPA. It simplifies arrangements for promoting and sustaining joint working between agencies by providing a central point of reference which pulls together the various streams of work and provides a source of advice within the Area. The police National Intelligence Model12 (NIM) will help the Responsible Authority locate the MAPPA within a wider frame of co-ordination and tasking which the roll-out of ViSOR13 will also strengthen. 40. Areas may find it helpful in establishing the co-ordination role to identify its component parts: providing, on behalf of the Responsible Authority, the central point(s) of contact within the Area for initial notification of, and the subsequent receipt and dissemination of relevant information about, all MAPPA offenders; (ii) maintaining a record (which ViSOR will substantially provide) of the level to which each offender is being referred and managed; (iii) co-ordinating the meetings of Level 2 management and the MAPPP, the top two levels of multi-agency management; and, (iv) collating data and providing analysis for the Strategic Management Board on the operation of MAPPA, which occur at least quarterly (see Section 3). 41. The initial notification part of MAPPA co-ordination (see (i) above) is extremely important. While ViSOR will become of invaluable assistance, rigour will still need to be applied in identifying to which category each MAPPA offender belongs (see paragraphs 54 – 68 below). It is also important to identify when an offender is no longer part of the MAPPA. The criteria for leaving MAPPA are straightforward and are different for each of the three categories of offenders. For Category 1 offenders it is the point at which the offender completes their registration requirement as determined by the Sex Offender Act 1997. For Category 2 offenders it is at the point of licence expiry and for Category 3 offenders it will be at a point, determined by the Responsible Authority, where the offender is considered no longer to pose a risk of serious harm that requires management either by the MAPPP or Level 2 local inter-agency risk management. 42. Before explaining the functions of the framework in greater detail it is important to highlight two important aspects of the development of the MAPPA which relate to activities across the scope of public protection work: the focus on victims and the role of the offender in risk assessment and risk
12 13

(i)

See Appendix 6. An Overview of the National Intelligence Model. The Violent & Sex Offender Register (ViSOR) is a database being developed for police and probation within England and Wales and is currently being piloted. It offers the real potential of providing a single database for all offenders under MAPPA.

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management. The emphasis this Guidance places on the process, procedure and structure of the MAPPA must not inhibit the positive role both victims and the offender can play. The Victim focus 43. Although the primary focus of the MAPPA is properly placed upon the risk and behaviour of the offender, it is vital that the MAPPA ensure an effective engagement with the victims and, where this is practicable and appropriate, with potential victims. Only by doing this can the Responsible Authority be satisfied that the risk assessment and risk management plans properly reflect victim concerns. The challenge for the MAPPA is, where the victim wants contact, to make the victim’s involvement more than passive (the receipt of information). In doing this it is however important not to raise unrealistic expectations in the victim. Victims can make an important contribution to risk assessment and may have a critical interest in the management of risk; but while active and important it is not an executive role. Thus, while the victim is central to the offence and may understand the risk the offender presents, they inform but do not decide the management plan because ultimately they are not responsible for it. 44. Before a positive engagement can take place the identity and interests of the victim(s) must be confidently established. The victim focus of the MAPPA includes not only those most easily identified as the victim(s) but those who, while not directly involved with the offence itself, have been seriously affected by it – the family of a murder victim, for example. This consideration must also include new or potential victims, and it is this which sharpens the focus of risk assessments. Indeed, risk assessment becomes an academic exercise unless those who are at risk are identified. In some cases these may not be any named individual(s) but people who are vulnerable by virtue of their location, age, gender, race, religion, sexuality or other distinguishing characteristic. 45. The identification and involvement of actual or potential victims maybe particularly important in identifying those offenders who fall into the third category of MAPPA offenders (see paragraphs 64 – 68 below) – that is, those designated as neither sexual or violent offenders by the MAPPA legislation but: “other persons who, by reason of the offences committed by them (wherever committed) are considered by the responsible authority to be persons who may cause serious harm to the public.” (Section 67(2)(b) Criminal Justice and Court Services Act(2000)) The risks an offender may pose to some particularly vulnerable people, such as children, will require effective links between the Responsible Authority and other agencies, such as social services departments, who have an interest and responsibility and therefore an important contribution to make. Liaising Version 1.3 © Crown Copyright 2004 13

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with victims, particularly those most vulnerable, will be a sensitive matter which requires careful handling. The expertise of probation victim contact officers and teams can be complemented by the excellent work agencies such as Victim Support undertake. 46. There are three reasons underlining the importance of the victim focus in the MAPPA. First, Probation Areas have a statutory duty14 to consult and notify victims of sexual or other violent offences about the release arrangements for the offender where he (or she) is sentenced to one year or more in prison. This statutory duty is supported by the requirements of the National Standards and guidance on the Victim Contact Scheme. The combined effect of these is that all 'eligible' victims should be contacted within two months of the sentence being passed and offered: face-to-face contact with the Probation Service; the opportunity to be kept informed about developments throughout the offender’s sentence, if they wish; and an opportunity to contribute to the eventual release plans, to have their views taken into account by the Parole Board or other decision-maker, and to receive information about licence conditions which are directly relevant to them or members of their families. Secondly, the Responsible Authority owes a duty of care to existing victims and should take all reasonable steps to protect people from becoming the subject of re-victimisation. 47. The third reason victim issues are important is based upon the practical contribution victims can make to the assessment and management of risk. As mentioned above, the victim may be the person who best knows the true nature of the risk posed by the offender. This is likely to be particularly relevant in cases in which the offender has been involved in an abusive relationship within the family or in other forms of domestic violence. The Offender’s role 48. While offenders are the ‘cause’ of the MAPPA, care must be taken to ensure that they do not become abstracted from the process of assessing and managing the risks they present. The MAPPA will fail to develop fully if it ignores the critical contribution that offenders make themselves to changing offending behaviour and for taking responsibility not to re-offend. This is likely to be the area in which some of the most exciting developments in the management of cases may be seen. It grows out of the recognition that in managing risk even those measures which impose external controls and prohibitions can provide the offender with a clearly understood and partly self-policed set of behaviour parameters. Such prohibitions which demarcate the boundaries of behaviour include exclusion conditions of licences, sex
14

Section 69 Criminal Justice and Court Services Act (2000) and Probation Circular 62/2001.

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offender order provisions and hostel rules. The experience of probation, YOT and mental health workers in working with the therapeutic benefits of such measures can enhance MAPPA practice. Developments have already been seen in, for example, the work police and probation have done making joint visits to registered sex offenders and in working closely to establish suitable licence conditions prior to release. 49. What may give this development impetus is the move on the part of some offenders to demand disclosure of information and the rationale for decisions made which affect them. What we do not foresee is offenders or their representatives becoming formal members of the MAPPA, attending MAPPPs etc; but we do envisage a healthy move to get offenders to contribute more to the risk assessment and management processes. To begin with offenders must be aware that they are being managed through the MAPPA, what MAPPA is and what that means for them as individuals. This responsibility should be discharged by case officer primarily involved with the offender.15 50. Clearly there would be sensitivities with disclosing to offenders risk management plans that contain or are based upon sensitive information. However, given that a number of MAPPA agencies operate an ‘open reporting’ policy with offenders there is already experience of dealing with these sensitivities. It is imperative that in developing MAPPA we are able to retain the confidence of all agencies and to a large degree this will begin with trust based upon the way in which information is shared and used. Confidential information will not be disclosed to the offender16. Information from victims, some third parties and details of police operations may be considered highly confidential and must be adequately protected by all agencies in receipt of it. 51. Finally, it is recognised that while many parts of the criminal justice system establish an adversarial relationship with the offender, some of the most effective practice in managing risk of serious harm is dependent upon overcoming the barriers of this adversarial relationship. The ‘them and us’ attitude can obstruct effective individual casework and treatment programmes. Engaging the offender in the reality of risk management can be very productive. Clearly, this will not work with every offender and encouraging this is not to invite the blurring of professional boundaries and responsibilities, which MAPPA seek to strengthen and support. The purpose in considering the potential active role of offenders is to highlight the fact that they need not only be ‘part of the problem’ but can be a very important part of the solution in protecting the public.

Through OASys the Prison and Probation Services have developed useful guidance on these issues. 16 Section 29 of Data Protection Act (1998) enables personal data to be stored within a confidential section if it is necessary to prevent or detect crime or apprehend or prosecute offenders; and where disclosing information to the offender would be likely to prejudice these purposes.

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MAPPA Guidance II.

Section Two: The MAPPA Framework

Identification of MAPPA Offenders

52. Effective multi-agency public protection starts with the efficient identification of relevant offenders. Prompt and accurate identification will allow agencies to gather and share relevant information and enable them to chose the appropriate risk management strategies. Without this initial accuracy there are real dangers that important information is not gathered and shared or shared inappropriately, and the energy of agencies diverted from those offenders posing the highest risk of serious harm. The population of relevant offenders falling within the remit of MAPPA in each Area comprise the following: Category 1: Category 2: Category 3: Registered sex offenders Violent and other sex offenders Other offenders

53. In the first year of operation of the MAPPA (2001/2) there were over 47,000 offenders in England and Wales considered by the Responsible Authorities under MAPPA. This comprised approximately 18,500 Category 1 offenders, 27,500 Category 2 offenders and 1,200 Category 3 offenders. As MAPPA develop this number is likely to rise significantly in the first instance as more offenders will be included in the arrangements than will leave. Category 1: Registered sex offenders (RSOs)17 54. Part I of the Sex Offender Act 1997 defines registered sex offenders as those offenders having been convicted or cautioned18 since September 1997 of certain sexual offences19, or who at that point were serving a sentence for a like offence. The Criminal Justice and Court Services Act 2000 amended the arrangements and requires offenders who are required to register to report to a police station prescribed by regulations within three days of the date of the conviction, caution etc. or their release from prison. They must also notify the police of their: name(s) (and any aliases); date of birth; and, home address. 55. They may be required to submit to having fingerprints and photograph taken at the time. Relevant offenders are also required to notify police of: any changes to their details (within 14 days);
17

As defined by Section 68(2) of the Criminal Justice and Court Service Act (2000), see Appendix

18

1.

Offenders found not guilty by reason of insanity or unfit to plead are also fall within the registration requirement. 19 Defined by Schedule 1 of the Sex Offender Act 1997.

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any address in addition to the home address at which they have stayed for a period of 14 days or for periods amounting to 14 days within a 12 month period (within 14 days); and, an intention to travel abroad for eight days or longer (no less than 24 hours before travelling). 56. The length of the registration period is directly related to the offender’s sentence and can last from a minimum of five years to life. The registration period begins at the date of conviction. For juvenile offenders (those aged under 18 years), the period of registration is half what it would be for all other offenders required to register except in the case of those juveniles whose sentence attracts a life-long registration requirement. 57. The provisions of the Sex Offender Act (1997) do not apply retrospectively. Therefore sex offenders who completed their sentence prior to the commencement date of this legislation are not required to register with police. However, where such offenders pose a continuing risk of serious harm, there are two ways of including them within the MAPPA. The first is where police consider the risks posed by such an offender to be sufficiently high to justify applying for a Sex Offender Order, under section 2 of the Crime and Disorder Act 1998. A Sex Offender Order is a civil order and can be imposed by a court on a convicted offender. It is a prohibitory order and cannot be used to require the offender to do something – only not to do what is proscribed in the order. Critically, the imposition of a Sex Offender Order automatically requires the offender to register as a sex offender. The court determines the duration of the Order and the registration requirement. Breach of the Order constitutes a criminal offence punishable by up to five years imprisonment. 58. The second means of placing an offender within the MAPPA whose sentence expired before the sex offender registration requirements were introduced, is by identifying them in the third category of MAPPA offenders (see paragraphs 64 - 68 below). 59. Sex Offences legislation is currently being radically revised and the resultant Sexual Offences Act will have an impact on the definition of what constitutes a registered sex offender, the registration requirements and the broader application of sex offender orders. Guidance explaining the detail and the implications of these legislative changes for MAPPA will be issued prior to the implementation of the Act. 60. As a result of the registration requirement the identification of Category 1 offenders is primarily the responsibility of the police, though where such offenders are on statutory supervision to the probation service or Youth Offending Teams, these agencies will hold the most comprehensive information, and must liaise with local police regarding assessment and management issues. Additionally, good liaison with health care trusts which run the special hospitals and local secure units will be needed to ensure the Version 1.3 © Crown Copyright 2004 17

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timely registration of offenders being released from those establishments. Where difficulty with the latter group of offenders is encountered, NPD’s Public Protection Unit, can assist through liaison with the Home Office’s Mental Health Unit. Category 2: Violent and other sex offenders20 61. Although the definition of this category is often summarised as violent offenders who receive a sentence of imprisonment of 12 months or more, the legislation is considerably more complex and includes those detained under hospital or guardianship orders and those who have committed specific offences against children. The detailed definition is contained in full as part of Appendix 1 62. Whilst these offences do not attract any requirement to register with police, all offenders will be under the statutory supervision of the probation service, with the exception of a small number of offenders sentenced prior to the Criminal Justice Act 1991. The Probation Area or, where relevant, the Youth Offending Team, will therefore have primary responsibility for identifying Category 2 offenders. Similarly, good liaison with health care trusts which run the special hospitals and local secure units will be needed to ensure the identification of offenders being released from those establishments. Again, NPD’s Public Protection Unit can assist in ensuring effective liaison with the relevant health authorities and the Mental Health Unit takes place. 63. As with Category 1 the legislation in respect of violent and other sex offenders is not retrospective and therefore only includes those offenders sentenced since 1st April 2001 or who were at that point serving a sentence for a like offence. Figure 2 illustrates how the MAPPA framework applies to Category 1 and Category 2 offenders (See page 43). Category 3: Other offenders21 64. This category comprises other offenders, not in either Category 1 or 2 but who are considered by the Responsible Authority to pose a risk of serious harm to the public. The identification of Category 3 offenders is challenging and significantly different from Categories 1 and 2, in that it is determined by the judgement of the Responsible Authority rather than automatically by the sentence or other disposal imposed by the court. That judgement is exercised in respect of two considerations. First, it must be established that the person has a conviction for an offence which indicates that he is capable of causing serious harm to the public. Secondly, the Responsible Authority must reasonably consider that the offender may cause serious harm to the public. It is to be noted particularly that under the first consideration the offence may
20 21

As defined by Section 68 (3)-(5) of the Criminal Justice and Court Services Act (2000). As defined by Section 67(2)(b) of the Criminal Justice and Court Services Act (2000) – see Appendix 1.

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have been committed anywhere, which means offenders convicted of a similar offence abroad fall within the MAPPA remit. 65. As Figure 3 (see page 44) illustrates, the responsibility for identifying Category 3 offenders lies with the agency that initially deals with them. 66. In those agencies that operate a care programme approach (CPA) the referral would be expected to have been considered and risk assessed in that system first. For agencies or individuals that are not formally part of the MAPPA, concerns about individuals posing a risk of serious harm must be taken seriously and should be referred directly to the Responsible Authority. Normally this will be a task best carried out by the police service determining which individuals may pose a risk and whether they have any relevant criminal history. 67. With a small proportion of offenders entering the MAPPA under either Category 1 or Category 2 it is anticipated that they will still pose a high risk of serious harm to the public at the point they would normally leave the MAPPA i.e. end of registration/ end of statutory supervision (which ever is the longer). It is NOT possible to extend their inclusion within the MAPPA under those categories, however, it is possible for the Responsible Authority to consider their inclusion under Category 3. 68. For all offenders included by the Responsible Authority under category 3 it will be necessary in the first instance to set a review date for determining whether continued inclusion within the MAPPA is justified. However, this date may be extended or shortened as a direct result of risk assessment and risk management action. Juvenile offenders 69. Youth Offending Teams are responsible for the supervision of all juvenile offenders (those aged under 18 years) on community sentences and during their resettlement following release from a custodial sentence. As such they may have crucial information about offenders in any of the three categories. However, with regard to Category 2 offenders they will have a similar role to Probation Areas in identifying relevant offenders and liaising with the Responsible Authority in respect of risk assessment and management issues. Recent Research 70. At the conclusion of this section of the Guidance which deals with the identification of MAPPA offenders, it is appropriate to summarise some of the recent research which helps counter the stereotypes of sexual offenders. Although the communication about the MAPPA is a responsibility of the Responsible Authority probably best exercised through the Strategic Management Board (see section 3 of this Guidance), much of the information Version 1.3 © Crown Copyright 2004 19

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needed to inform the public about pubic protection work in general and about sexual offending in particular, will be provided from the databases maintained for MAPPA co-ordination and from illustrative case histories. The following may provide a helpful context in which to provide that information. 71. The true nature of sexual offending and those responsible for it has often been obscured by popular stereotypes which portray the primary danger as being presented by “stranger danger” – dirty old men in raincoats, or violent young men prepared to abduct or attack vulnerable females. Whilst such offenders do exist, research indicates that as much as 80 per cent of sexual offending occurs in the context of a known relationship, either family, acquaintance or colleague22. Findings recently published in a Police Research Series Paper (144)23 indicate that a significant proportion of serious offences (32 per cent of murders and 36 per cent of serious sexual offences) were committed by people with no previous convictions. They also showed that of those convicted of a serious sexual offence who had previous convictions, only seven per cent had a conviction for a serious sexual offence. In addition, Appendix 3, a recent probation circular (PC14/2003) provides a practical insight into those convicted of child pornography offences recently associated particularly with internet access. 72. Other research24 indicates that only a very small proportion (under 12 per cent) of male child victims of sexual abuse subsequently committed sexual offences (in almost all cases with children and mainly outside their families). However, the research did identify the following other childhood experiences (i.e. in addition to childhood sexual abuse) as significantly increasing the risk of offending in later life: material neglect, lack of supervision and sexual abuse by a female. Also, ‘victim abusers’ had more frequently witnessed serious intra-familial violence. Identifying the Responsible Authority 73. In a small number of cases offenders may legitimately be of concern or interest to more than one Responsible Authority at the same time, for example where a registered sex offender regularly visits an address away from his home address and in another Area. In these circumstances, the Area that has registered the offender and in which the offender lives has responsibility to liaise with its counterpart to ensure that relevant information concerning risk assessment and management is shared and continually updated. Similar issues of co-ordination may also arise where the victim lives in an Area that is different from the Responsible Authority for the offender. In such circumstances clear lines of communication must be established.

Grubin. D (1998). Sex offending against children: understanding the risk. Police Research Series. Paper 99. Home Office 23 Soothill et al, (2002) ibid. 24 Skuse, D. et al Development of sexually abusive behaviour in sexually victimised males: a longitudinal study. Lancet (2003) 361: 471-476

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74. For the vast majority of offenders who are already in the community, identification of the Responsible Authority is self-evidently dependent upon place of residence. Aspects of public protection, such as sex offender registration and licence supervision with conditions of residence clarify this so that there is no doubt which Responsible Authority is indeed responsible for each case. However, in a small number of cases where offenders are itinerant, have no fixed residence or where there is some dispute over which Area has responsibility, identification of the Responsible Authority will not be so clear-cut. In these cases Areas will need to negotiate by reference to other factors such as previous statutory responsibility, knowledge of past offending or the current provision of services. Should agreement not be possible Areas should refer the matter to the Public Protection Unit of the National Probation Directorate who will determine the lead. 75. For offenders within the MAPPA who fall within Categories 1 and 2 and are sentenced to periods of custody, there are distinct advantages in formally determining the Responsible Authority at the point of sentence rather than the point of release into the community. This will ensure that the Responsible Authority is informed of and can be involved in aspects of sentence planning and treatment whilst the offender is in custody and that subsequent release plans properly integrate custodial and community concerns25. Therefore where a court imposes a sentence for either Category 1 or Category 2 offenders the Probation Area which prepares the pre sentence report (PSR) or, in the event of no PSR being prepared, the Area that would have been responsible for its preparation, will be designated the Responsible Authority. The offender will remain that Area’s responsibility unless subsequently transferred in the manner prescribed. Transferring cases between Areas 76. Just as lack of rigour in joint-working between agencies within Areas can weaken public protection, so the likelihood of such shortcomings are greater when cases are transferred from one Area to another. Experience has repeatedly shown that weaknesses in risk assessment and management arise when the case of an offender is transferred from one Area to another. Therefore it is critical to offset the potentially serious consequences of a breakdown in the case management arrangements by ensuring that any such move is carefully brokered. The responsibility for arranging the transfer lies with the Responsible Authority from whom the case is being transferred. This Authority must formally broker with the new Area, via the MAPPA co-ordination contact point, the transfer of all the relevant information. 77. The transfer of cases does however involve more than the transfer of files and papers. The effective transfer requires that the salient features of each case’s risk assessment and risk management plan are clearly communicated in good time – unless unexpected contingencies have arisen
25

OASys importantly integrates assessment with supervision and sentence planning.

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which prevent the timely hand-over arrangements. Generally, the receiving Area should be given time to consider the case. In cases which have been managed by reference to the MAPPP, it is good practice to convene a MAPPP with the receiving Area so that the case can be formally transferred using the MAPPA framework. III. Information Sharing and Disclosure

78. Public protection depends upon the effectiveness of the plans MAPPA agencies draw up to manage an offender’s risks. These plans are in turn dependent upon the quality of the risk identification and assessment processes; and the quality of both the risk assessment and the risk management plan are heavily determined by the effectiveness of information sharing arrangements. Unless all relevant information is available, in good time, to those making the assessments and drawing up the management plans, public protection may be compromised. 79. Given that the exchange of information is essential to effective public protection, this Guidance clarifies the principles upon which MAPPA agencies may exchange information amongst themselves, and where the Responsible Authority may disclose such information to other persons or organisations outside the MAPPA. 80. The Guidance only applies to information that relates to individuals, i.e. personal information, as it this type of information on which the law confers heightened protection. The principles contained in this Guidance on information sharing and disclosure take into account the common law duty of confidence, the Data Protection Act 1998 and the European Convention on Human Rights (as incorporated into domestic law by the Human Rights Act 1998). Information sharing between MAPPA agencies 81. Many Areas have already established information sharing protocols as part of the initial development of MAPPA. This Guidance simply sets out the basic principles upon which those protocols will have been drawn up, and will provide a useful checklist to help Responsible Authorities establish with other agencies formal understanding about sharing information for MAPPA purposes. The principles outlined in this Guidance not only ensure compliance with the law, but are also aimed at promoting trust between agencies. That trust must be nurtured and sustained by professional integrity and by procedures which ensure that the process of sharing information is safe and secure. 82. In addition to reinforcing existing good practice, this part of the Guidance anticipates the provisions of the Criminal Justice Bill which will impose a duty to co-operate on various agencies, including the exchange of information. More detailed guidance on the memoranda Responsible Version 1.3 © Crown Copyright 2004 22

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Authorities will be required to establish with them will be issued closer to the Bill’s enactment. Information sharing principles 83. (i) (ii) (iii) (iv) (v) Information sharing must: have lawful authority; be necessary; be proportionate; and done in ways which, ensure the safety and security of the information shared; and, be accountable.

The meaning of each of these principles is explained below. (i) Lawful authority requirement (vires)

84. Each MAPPA agency sharing information must have either a prima facie statutory or common law power to do so. The police and probation services, in respect of their wider criminal justice responsibilities as well as they specific, joint duties under the MAPPA, have clearly recognised statutory duties which will necessarily involve sharing information. Further, Section 115 of the Crime and Disorder Act 1998 confers on any person a power to pass information to certain relevant authorities (including police, probation, health and local authorities) if necessary to help implement the provisions of that Act, which includes local strategies to reduce crime and disorder. The new Criminal Justice Bill will also confer a statutory power to exchange information with the Responsible Authority on all MAPPA agencies subject to the duty of co-operation. Therefore, due to the above, all MAPPA agencies will have the prima facie legal power to exchange information with the Responsible Authority. 85. (ii) Necessity

86. Information should only be exchanged where necessary for the purpose of properly assessing and managing the risks posed by those offenders who are subject to the MAPPA provisions. The specific purposes of sharing information within the MAPPA are: to identify those offenders who present a serious risk of harm to the public; to ensure that the assessment of the risks they present are accurate; and, to enable the most appropriate plans to be drawn up and implemented to manage the assessed risks and thereby protect the public. (iii) Proportionality in information sharing 23

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87. In order to satisfy this criterion, it must be shown that the managing and assessing of the risk posed by the offender could not effectively be achieved other than by the sharing of the information in question. Clearly, in almost all cases of identifying, assessing and managing risk within MAPPA, this criterion will easily be met. (iv) The information is shared safely and securely

88. Common good practice should ensure that all information about offenders is kept securely and is shared with and available only to those who have a legitimate interest in knowing it – that is, agencies and individuals involved in the MAPPA processes. Essentially, arrangements must be in place which ensure that information is only shared with those with a legitimate interest and cannot by accident or design be accessed by others. (v) Accountable information sharing

89. So that information is shared accountably the Responsible Authority must ensure that the administrative procedures underpinning the efficient operation of MAPPA meetings and case conferences have the confidence of participants. The importance of accurate, clear and timely record keeping is stressed; as is safe and secure information storage and retrieval systems. More broadly, issues arising from the sharing of information in the MAPPA process should be referred to the Area Strategic Management Board, the role and function of which is described in Section 3 below. Summary 90. Using the principles outlined above, information sharing protocols and robust MAPPA arrangements which support the statutory work of MAPPA agencies and which help protect professional integrity, few difficulties with sharing information in this important arena of public protection should arise. The structure of the MAPPA provides a framework which supports and enables lawful, necessary, proportionate, secure and accountable information sharing. The detailed arrangements within MAPPA for multi-agency meetings and case conferences provide answers to the questions of to whom, when, how and where the information should be shared. Disclosures for Parole Board purposes 91. As discussed above, the Responsible Authority is under a statutory duty to establish arrangements for the purpose of assessing and managing the risks posed by certain offenders in their Area. It is part of that duty to share relevant risk assessment information with those persons (either the Secretary of State or the Parole Board) who have functions with respect to the release or recall arrangements for these offenders (e.g. parole, HDC, temporary release, licence conditions, recall and re-release). This is because failure to share such information with those persons may result, for example, in an Version 1.3 © Crown Copyright 2004 24

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inappropriate release decision, or the failure to impose essential licence conditions, which would clearly reduce public protection. Accordingly, assessments of risk that have informed risk management plans should, where appropriate, be disclosed to the Secretary of State and the Parole Board. 92. As these release and re-call decisions critically affect the offender’s liberty, fairness often requires as full a disclosure as possible to the offender of the material being considered by the decision-maker. It is appreciated that the nature of any MAPPA information to be disclosed in this context is likely to be highly sensitive, which may give rise to concerns about the offender having sight of the material. However, separate advice is available from the Prison Service’s Sentence Enforcement Unit (SEU), which works closely with NPD’s Public Protection Unit, about the circumstances under which some particularly sensitive information is not in turn disclosed to the offender. These circumstances include where withholding the information is necessary in the interests of national security, for the prevention of disorder or crime, or to protect the safety or physical or mental health of any individual. There are also a number of practical steps (such as gisting or anonymising sources) which can be carried out before the information is disclosed. Appendix 4 contains more detailed instruction and advice which has been issued as a Probation Circular 13/2003. Disclosures by Responsible Authority to other third parties 93. There may, exceptionally, be some cases where the management of an offender’s risk in the community cannot be carried out without the disclosure by the Responsible Authority of some information to a third party outside the MAPPA agencies. For example, where an employer, voluntary group organiser or church leader has a position of responsibility/control over the offender and other persons who may be at serious risk from the offender, the disclosure to them of certain information about the offender is the only way to manage that risk. 94. The principles underpinning disclosure to third parties are the same as for information sharing, but inevitably involve greater sensitivities given that disclosure may be to individual members of the public as opposed to central or local government or law enforcement bodies. Because of this, great caution should be exercised before making any such disclosure: it should be seen as an exceptional measure. If such a course of action is required, it must be part of a risk management plan which either of the two higher levels of risk management have formally agreed. 95. The lawful authority and necessity requirements described previously will be met in cases where the Responsible Authority is making a disclosure for the purposes of managing the risk of offenders subject to the MAPPA provisions. The critical ground, determining whether such a disclosure will be lawful, is therefore likely to be the proportionality requirement. In this

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respect, the following criteria should be met before disclosing information about an offender to a third party: (i) (ii) the offender presents a risk of serious harm26 to the person, or to those for whom the recipient of the information has responsibility (children, for example); there is no other practicable, less intrusive means of protecting the individual(s), and failure to disclose would put them in danger. Also, only that information which is necessary to prevent the harm may be disclosed, which will rarely be all the information available; the risk to the offender should be considered although it should not outweigh the potential risk to others were disclosure not to be made. The offender retains his rights (most importantly his Article 2 right to life) and consideration must be given to whether those rights are endangered as a consequence of the disclosure. It is partly in respect of such consideration that widespread disclosure of the identify and whereabouts of an offender is very, very rarely if ever justified; the disclosure is to the right person and that they understand the confidential and sensitive nature of the information they have received. The right person will be the person who needs to know in order to avoid or prevent the risks; consider consulting the offender about the proposed disclosure. This should be done in all cases unless to do so would not be safe or appropriate. Where consultation can be done, it can help strengthen the risk management plan. If it is possible and appropriate to obtain the offender’s consent then a number of potential objections to the disclosure are overcome. Equally, the offender may wish to leave the placement rather than have any disclosure made, and if this is appropriate, this would also avoid the need for any disclosure; ensure that whoever has been given the information knows what to do with it. Again, where this is a specific person, this may be less problematic but in the case of an employer, for example, you may need to provide advice and support; and before actually disclosing the information, particularly to an employer or someone in a similar position, first ask them whether they have any information about the offender. If they have the information then no disclosure is necessary. If they have some but possibly incorrect information your disclosure can helpfully correct it. Risk Assessment

(iii)

(iv)

(v)

(vi)

(vii)

IV.

96. The assessment of risk posed by an offender, and the identification of the factors that have contributed to the offending, are the starting points for all work with offenders. For sexual and violent offenders, the approved
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It may be helpful to bear in mind the OASys definition of such risk as “a risk which is life threatening and/or traumatic and from which recovery, whether physical or psychological, can be expected to be difficult or impossible.”

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assessment tools throughout England and Wales are OASys (Offender Assessment System) and Risk Matrix 2000. Detailed guidance as to the use of OASys has been agreed by both the Prison Service and the National Probation Service and will be in use in all Probation Areas by April 2003 and rolling out in all Prison Service establishments from April 2003. OASys is a comprehensive assessment tool that applies to all offenders but is particularly valuable for sexual and violent offenders as it will incorporate both static and dynamic aspects of risk posed by offenders. Risk Matrix 2000 is a complementary assessment tool for sexual and violent adult offenders that provides a high degree of accuracy with regard re-conviction rates within a two year period. Both assessment tools place offenders into levels of risk – low, medium, high and very high risk. While this is not the place for a detailed explanation of how OASys operates27 because it will increasingly have a significant impact on the MAPPA offenders it is worth providing an overview of its operation and structure. Offender Assessment System (OASys) 97. OASys is a central part of evidence-based practice and helps practitioners to make defensible decisions. It underpins ‘What Works’ practice with a pivotal role in assessment, case management, targeting of intervention treatment programmes, referrals to partnerships, resource allocation and risk management. OASys is designed to: assess how likely an offender is to be re-convicted; identify and classify offending related needs, including basic personality characteristics and cognitive behavioural problems; assess risk of serious harm, risks to the individual and other risks; assist with the management of the risk of harm; link the assessment to the supervision or sentence plan; indicate the need for further specialist assessments; and, measure change during the period of supervision/ sentence. 98. OASys assesses an offender’s risk of reoffending by systematically examining up to 13 offending-related factors which include offending history; accommodation, education/training and employment possibilities; relationships; drug and alcohol misuse; and emotional well-being, thinking and behaviour. The offender’s self-assessment, which is also a part of OASys, is a useful for two reasons. First, it reflects the accuracy of the offender’s selfperception. Secondly, the relationship between their ability to recognise their own problems is linked to the likelihood of their re-offending. However, it is in the analysis of the risk of serious harm that OASys brings significant benefits to the MAPPA. By quantifying that risk of serious harm, identifying to whom it applies and in what circumstances OASys will help prioritise public protection concerns and establish the basis for risk management plans.

27

See OASys Manual V2 2002

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The levels of risk of harm 99. The levels of risk of harm used by OASys are as follows; Low: no significant, current indicators of risk of harm Medium: there are identifiable indicators of risk of harm. The offender has the potential to cause harm but is unlikely to do so unless there is a change in circumstances, for example, failure to take medication, loss of accommodation, relationship breakdown, drug or alcohol misuse. High: there are identifiable indicators of risk of serious harm. The potential event could happen at any time and the impact would be serious. Very High: there is an imminent risk of serious harm. The potential event is more likely than not to happen imminently and the impact would be serious. This provides a standardised categorisation of risk for all MAPPA offenders. 100. The categorisation of risk is refined by reference to who may be the subject of that harm. This includes: the public: either generally or a specific group such as the elderly, women or a minority ethnic group; prisoners: within a custodial setting; a known adult: such as a previous victim or partner; children: who may be vulnerable to harm of various kinds, including violent or sexual behaviour, emotional harm or neglect;. staff: anyone working with the offender whether from probation, prison, police or other agency. This relates to all forms of abuse, threats and assaults that arise out of their employment; and, self: the possibility that the offender will commit suicide or self-harm. Risk Matrix 2000, ASSET and other sources of risk assessment 101. OASys cannot provide in-depth assessment of all aspects, especially the specialist aspects of risk. It is designed to trigger further assessments in some areas relating, for example, to sex offenders; violent offenders; basic skills, drugs and alcohol; mental health and dangerous and severe personality disorder; racially motivated offending and domestic violence. Importantly, Risk Matrix 2000, the specialist assessment for sex offenders which is triggered by OASys, is an evidenced-based actuarial risk assessment that has also been approved by the Association of Chief Police Officers for use by the Police Service within England and Wales. Risk Matrix 2000 uses the same classifications of risk of serious harm as OASys and where there is any disparity between the two assessment tools in respect of the likelihood of re-conviction, the Risk Matrix 2000 risk level should take predominance. Version 1.3 © Crown Copyright 2004 28

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102. It should be noted that OASys can only be used on offenders aged 18 years or over. Youth Offending Teams use ASSET assessments on young people up to the age of 18 years, and there are common elements between ASSET and OASys so that when an offender reaches 18 years information from ASSET can be drawn across to complete OASys. 103. It is important to recognise the contribution that other agencies will make to risk assessment by providing new information, their own interpretation of risk factors and their own risk or needs assessments. This is likely to be of particular importance in the context of mental health where there may be a mixture of actuarial and clinical assessments that informs the seriousness and nature of the risk posed from a mental health perspective. Clearly, access and use of this type information depends upon good information sharing arrangements with other agencies (see paragraphs 78 – 95, above). 104. The definitions of risk used in this Guidance to ensure greater consistency in the MAPPA are based upon OASys which is becoming the common basis of risk assessment throughout the National Probation Service and Prison Service. However, risk assessment must recognise differences – the purpose of OASys is not to pigeon-hole offenders for administrative convenience: it provides a common framework – a common language and system. Just as professional judgement must inform risk assessment, so it is understood that other systems of risk assessment may be used in addition to OASys. But this is not to suggest that any risk assessment tool can be used. Kemshall28 identified, the following criteria as essential in choosing a risk assessment tool: it should be validated against a relevant offender group; be empirically grounded in the risk factors with a proven track record in the research literature; differentiate risk categories; have inter-rater reliability; and, have been validated using a UK population. 105. The Responsible Authority may therefore use other assessment tools in addition to OASys. One of the benefits of closer working relationships with other agencies in the MAPPA is that access to other forms of needs assessment are made available which can complement formal risk assessment. These assessments will be of particular importance in assessing offenders with for example, mental health or learning difficulties. Needs assessments made by colleagues in other agencies, including those in the health, education, housing and social services, can critically inform the MAPPA’s assessment of the risk of harm. Ultimately formal risk assessments
28

Kemshall H. The Community Management of High-Risk Offenders: a consideration of best practice MAPPA. Prison Service Journal March 2003.

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inform professional judgements and underpin by defensible decision-making (see section I paragraph 16-18). The key principle for MAPPA is that risk assessments undertaken by individuals within agencies should be based on the use of the tools and procedures currently approved for use within that agency. Agency protocols and procedures must be carefully adhered to and current guidance on the use of the respective tools must be followed. V. Risk Management

106. The management of offenders posing a high risk of serious harm to the public is one of the most complex and difficult tasks currently facing agencies within MAPPA but it is central to the purposes of MAPPA and public protection. Therefore where an offender has been identified as coming within the remit of MAPPA and a risk assessment has been undertaken, the Responsible Authority has a duty to ensure that the risk identified is managed robustly. This is not to say that police and probation become the managing agency for all MAPPA offenders but rather that as the Responsible Authority they must ensure that arrangements exist for that management. In practice this means that the Responsible Authority must seek to ensure that strategies to address that risk are identified and plans developed, implemented and reviewed on a regular basis. Those plans must include action to monitor the behaviour and attitudes of the offender and to intervene in their life in order to control and minimise the risk of serious harm. Importantly those plans should relate to the risk situation as it is now and as it is likely to develop in the future, drawing upon information from all agencies within MAPPA. This section sets out the framework for that risk management. Thus the effective management of risk requires the continuity of risk assessment. 107. However, the ability of the Responsible Authority to ensure robust management will depend on a number of factors. Case specific detail such as the nature and severity of the risk posed and the factors that may trigger reoffending behaviour, the attitude of the offender and whether any statutory powers exist to modify or contain behaviour are all highly relevant in determining what risk management options are appropriate. So too is the engagement of a range agencies that are able to make a specific contribution to the development of appropriate strategies and to directly manage elements of the risk management plan. To date the strongest examples of MAPPA development reflect the ability of the Responsible Authority to engage other agencies, whether from criminal justice or social care settings, in this active case management. This aspect of risk management will be significantly developed by the Criminal Justice Bill and the creation of the duty to co-operate on a number of agencies. 108. The strategies proven to be effective in achieving a reduction of re-offending behaviour or minimising the risk of serious harm were identified by Hazel Kemshall (2001) and may be summarised as:

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cognitive-behavioural programmes, which address the causes of offending behaviour; interventions that emphasise self-risk management and which promote the use of internal controls over the longer term; appropriate external controls (as contained within licence conditions, sex offenders orders etc); interventions which combine intensive supervision (including surveillance and electronic monitoring) with the appropriate use of sanctions and enforcement for non-compliance; contingency plans in case of risk management failure, and rapid response arrangements to changing situations or deterioration in circumstances/behaviours; and, supportive and integrative approaches where risk assessments indicate their usefulness (such as ‘Circles of Support and Accountability’). The following case studies serve to illustrate the type of case management arrangements that have and can be used. They do not, inevitably, cover the full range of circumstances which may arise in every case, but they do make plain the necessary linkage between known information about an offender, risk assessment and the components of a risk management plan addressing that risk.

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CASE STUDY 1 - THE MENTAL HEALTH DIMENSION
This offender was referred to the MAPPP by the Forensic Mental Health Service prior to release from prison sentence. Background At a low secure Mental Health Unit he displayed aggressive, violent behaviour and extreme sexual disinhibition – grossly inappropriate verbal and physical sexual advances towards adult females, staff and fellow patients; he did not appear to hear or accept rejection; allegations of stalking behaviour. Involved in violent confrontation with staff at unit, and as a result was sentenced to 5 months imprisonment for affray and criminal damage (NB. no statutory post-custody licence) Subject to Enhanced Care Programme Approach (CPA), but psychological assessments confirmed unlikely to respond to further treatment and scored high on Psychopathy Checklist. Not suffering from treatable form of mental illness, but diagnosed as suffering from personality disorder. Therefore hospital re-admission was not an option and, since rejected by family, he was likely to be homeless on release. Risk Assessment High risk of serious sexual assaults on adult females, particularly vulnerable women. High risk of physical violence/assault towards staff dealing with him Risk Management Plan Housing Dept agreed to fast track application for Council Accommodation Case was allocated to high risk outreach team (jointly funded by Probation and city Council Housing Dept.) to support him through application process and during settling into tenancy – liaison with Benefits Agency, Public Utilities etc. Social Services agreed to expedite Social Care Assessment Psychiatric Social Worker & Community Psychiatric Nurse allocated to case Risks “flagged up” on Local Police Criminal Intelligence System (CIS) & Operational Order raised in relation to address, when known. Allocated to Police Sex and Dangerous Offenders Unit Police reviewed the investigation into alleged indecent assault on Psychiatric Unit patient To be informed of his MAPPP registered status and implications of this. Establishment of Core Group for operational risk management, chaired by Forensic Mental Health Team Manager Outcome In the event offender went to live with a young woman he had known previously and with whom he had been corresponding whilst in prison. This woman had a young child which necessitated the involvement of Social Services in child protection context. The Core Group also had to consider issues of disclosure to this woman. Offender was persuaded that he needed to disclose to her his MAPPP registered status (or the authorities would do so) and did so in presence of Social Worker – to whom he also admitted indecent assault on patient prior to prison sentence, as a result of which he was charged with this offence. Partner decided to terminate relationship – was assisted to move into independent council accommodation. Offender charged with public order offences in relation to threats to ex-partner, and criminal damage to Social Services office and a taxi, and going equipped for theft. Probation Officer who prepared the Pre-Sentence Report alluded to MAPPP registration and explained background to Court who imposed 6 month prison sentence. He was still awaiting Crown Court appearance in relation to offence of indecent assault. Also ongoing Police investigation in relation to allegations of harassment of a female neighbour.

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CASE STUDY 2 - SEX OFFENDER RELEASED WITHOUT SUPERVISION Background Offender had been subject to a Sex Offender Order, the conditions of which he breached, and as a consequence of which he was imprisoned for two years. This was reduced to 12 months on appeal – but he was released immediately without supervision having already served the time in custody. Risk Assessment Very high risk to children: particularly those not known to him – past behaviour included loitering around schools in a car and attempted abduction of a child from a school using the car. Offender has learning difficulties: for example, had no concept of distance – such as that referred to in the Sex Offender Order. Socially unskilled and mistrustful of authority. No accommodation. Risk Management Plan Hostel accommodation identified. Sex Offender Order strengthened to address particular risks associated with hostel accommodation – including prohibitions on driving a vehicle with anyone aged under 18 years and going within 40 metres of nearby playground. Close co-ordination between probation hostel, prison and police about arrangements for offender’s release and travel to hostel: police and hostel manager both met him and ensure sex offender registration completed immediately. Preparation with offender which resulted in (a) offender agreeing a ‘contract’ with hostel staff which includes hostel rules and additional curfew around local school start and finish times; and (b) offender agreeing to a tag – as a means to help him observe the time and location boundaries. Induction to hostel rules, relationships with other residents and revised Sex Offender Order very carefully explained because of learning difficulties: 40 metre condition in SOO paced out for him. Apparent difficulty in understanding was linked on day after arrival to hearing difficulties – arrangements to see doctor made who diagnosed severe wax build up which was removed which led greater ease in communication. Disclosure to local priest whose church the offender wants to attend with two church supporters. Arrangements for basic skills training. Outcome Successful stay at hostel: no untoward incidents or developments. Appropriate move on accommodation in supported housing identified. Potential involvement in ‘Circles of Support and Accountability’ project brokered. Offender became more positively responsive and responsible – learnt to wash and iron clothes.

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109. To enable strategies based upon these features to be drawn up, the MAPPA framework identifies three separate but connected levels at which risk is assessed and managed: Level 1: ordinary risk management; Level 2: local inter-agency risk management; Level 3: MAPPP – Multi-Agency Public Protection Panels. This structure of risk management is intended to enable resources to be deployed to manage identified risk in the most efficient and effective manner. The levels of risk management do not necessarily equate directly to levels of risk although generally the higher the assessed level of risk, the higher the level of management required. The level at which a case is managed is dependent upon the nature of the risk and how it can be managed – not all high risk will need to be managed by the MAPPP and the complexities of managing a medium risk might justify MAPPP referral. The risk management structure is based on the principle that cases should be managed at the lowest level consistent with providing a defensible risk management plan. 110. The three levels are important in establishing consistent arrangements throughout England and Wales. The issue of consistency was raised in research of the MAPPPs which existed before the introduction of the MAPPA; in the Joint Inspectorate’s report Safeguarding Children published in October 2002; and in the police and probation inspectorates’ follow-up report29. Areas will retain a margin of discretion in deciding which cases will be referred to which level because experience, expertise and resources will differ from Area to Area. But every Area must establish the three levels. Level 1: ordinary risk management 111. Level 1 risk management is the level used in cases in which the risks posed by the offender can be managed by one agency without actively or significantly involving other agencies. As figure 2 illustrates, Level 1 can only be used for Category 1 (registered sex offenders) or Category 2 (violent and other sexual offenders) offenders because by definition Category 3 offenders (see paragraphs 64 - 68, above) present a risk of serious harm which requires active, inter-agency management. Level 1 management will primarily involve probation, police, youth offending teams or the Prison Service as the lead agency. Generally, offenders managed at Level 1 will be assessed as presenting a low or medium risk; and the large proportion of all MAPPA offenders are likely to be managed at this Level.

29

Protecting Children from Dangerous People Home Office, December 2002.

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Level 2: local inter-agency risk management 112. Level 2 risk management should be used where the active involvement of more than one agency is required but where either the level of risk or the complexity of managing the risk is not so great as to require referral to the Level 3, the MAPPP. Cases may be referred to Level 2 after having been managed by referral to the MAPPP when for example, the seriousness of risk has diminished or where the complexity of the multi-agency management of the risks have been brokered and firmly established by the MAPPP. 113. This illustrates that just as risk can and will change, so the means of managing risk can and will change. The MAPPA provides the framework within which those changes, particularly when they concern the serious risks offenders can present, can be effectively and consistently managed. To reiterate: cases should be managed at the lowest appropriate level, determined by defensible decision-making. 114. The Responsible Authority will decide the composition of Level 2 arrangements but they will be influenced by the configuration of the organisational boundaries within the Area such as police operational command units or unitary authority areas. The essential feature of Level 2 arrangements is that their permanent membership should comprise those local agencies which have an active role to play in risk management. In addition, other agencies which maybe involved less frequently can be engaged on an ad hoc basis. The Responsible Authority, through MAPPA Co-ordination will convene and support the Level 2 arrangements. Good practice suggests that, depending upon the needs of the case, the following agencies can routinely play an active role in Level 2 management: social services departments; housing authorities/housing providers; youth offending teams; the relevant health authority, including the mental health trusts; and probation victim contact teams or appropriate victim agencies. Level 2 arrangements are more than ad hoc groups which change with each case. A permanent representation from the above agencies, supplemented by representatives from others as needed, will help ensure robust risk management. 115. Local inter-agency risk management will have a significant caseload of offenders that will require active management and review by the Responsible Authority. To achieve this the Responsible Authority must ensure that the meetings are effectively managed and supported – in which the role of the MAPPA co-ordination will be key. The Responsible Authority is charged with the statutory duty for the efficient and effective operation of MAPPA and for this reason it is important that the local risk meetings are either chaired independently or by a representative of either police or probation. Version 1.3 © Crown Copyright 2004 35

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That person should be somebody of sufficient standing and expertise to command respect and support of partner agencies, and who has a firm grasp of local operational issues. The frequency of these meetings is a matter for the Responsible Authority to decide, in conjunction with partner agencies and will reflect the number of cases being managed and their complexity. Setting regular monthly or fortnightly meetings will allow the opportunity for the systematic review of risk management plans. Level 3: MAPPP - Multi Agency Public Protection Panel 116. The MAPPP is responsible for the management of the ‘critical few’. This Guidance clarifies the definition of the ‘critical few’ in order to address the specific issues of inconsistency in definitions about the thresholds of risk referral made by both Kemshall (2001)30 and jointly by the eight Inspectorates in their report Safeguarding Children31. The criteria for referring a case to the MAPPP are defined as those in which the offender: (i) (ii) is assessed under OASys as being a high or very high risk of causing serious harm; AND presents risks that can only be managed by a plan which requires close co-operation at a senior level due to the complexity of the case and/or because of the unusual resource commitments it requires; OR

(iii) although not assessed as a high or very high risk, the case is exceptional because the likelihood of media scrutiny and/or public interest in the management of the case is very high and there is a need to ensure that public confidence in the criminal justice system is sustained. 117. Thus although the ‘critical few’ are not exclusively those assessed as high or very high risks, in almost all cases they will be. Also, while most will be offenders being released from prison, they may also include: an offender on discharge from detention under a hospital order; an offender returning from overseas (whether immediately following their release from custody or not); and, conceivably an offender who having been managed as a medium or even a low risk in the community through referral to the second or third level MAPPA meeting, comes to present a high or very high risk as the result of a significant change of circumstances. 118. The new definitions align the criteria for referral to the MAPPP more closely to the criteria used for referring cases to PPU under the Early Warning

30

31

Kemshall, H. (2001) Risk Assessment and Management of Known Sexual and Violent Offenders: A review of current issues. London: Home Office, Police Research Series Paper 140. Department of Health October 2002

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System (EWS) 32 and will therefore allow the greater national co-ordination of MAPPP cases. In due course, the development of the PPU casework section and the rationalisation of the three early warning systems which currently exist in various criminal justice agencies will result in more detailed guidance being issued about the relationship of these systems and the MAPPPs. 119. Key to the effectiveness of Level 2 and Level 3 (MAPPP) arrangements is the multi-agency representation and involvement. In determining the level of the representation and the nature of that involvement three factors must be considered. First, the representatives must have the authority to make decisions committing their agency’s involvement. If decisions are deferred then the effectiveness of the multi-agency operation is weakened. Secondly, they require relevant experience of risk/needs assessment and management and the analytical and team-playing skills to inform deliberations. This experience and these skills can usefully contribute both to specific case management and more broadly in providing advice on case management. Thirdly, the effectiveness of Level 2 and Level 3 arrangements depend in large part upon establishing continuity. Multi-agency work is often complex and benefits greatly from the continuity of personnel and their professional engagement. 120. Distinguishing representation at Level 2 and on the MAPPP (Level 3) will be determined by the nature of the ‘critical few’ which will require senior representatives of the agencies involved. As the management of the ‘critical few’ may require the deployment and use of special or a higher level of resources, representatives on MAPPPs must be able to make decisions about committing those resources. Therefore all agencies must be represented by senior personnel who: understand the strategies for minimising or reducing the risk of serious harm; and have the authority to implement appropriate strategies agreed by the MAPPP, on behalf of their agency. Given the imminence of serious harm associated with many offenders in MAPPP the resource implications of these strategies may be significant and occur at short-notice. In addition, there is likely to be a considerably higher media profile to many of the offenders considered and the Responsible Authority may wish to address media handling issues as a regular part of the risk management/ contingency plans. MAPPA meetings 121. It is important that MAPPA meetings are well organised and that accurate records of them are made and safely kept. Both, but particularly the records will enable and reflect defensible decision-making. The following advice is based upon established good practice and relates principally to the MAPPPs but is evidently good practice for meetings/case conferences at all
32

The Early Warning System was established in 1999 and its criteria redefined by Probation Circular 27/2000. Its principal purpose was to enable Ministers and the relevant MP to be informed about the release from prison of high risk offenders.

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levels of the MAPPA. Without imposing a bureaucratic straight-jacket, we strongly suggest you adopt arrangements as outlined in the draft standing agenda which we have annotated below. This or your own similar arrangement will help ensure you adopt consistency of approach to this important part of MAPPA practice which will support the confidence of ‘core’ or permanent members of the MAPPA meetings and nurture that of those who attend on a less routine basis. 122. In drawing up the standing agenda we have identified three broad purposes of the MAPPP and other level meetings: (i) initial case consideration; (ii) case review; and (iii) consideration of case-related issues. The agenda below is a draft that reflects all three purposes, not all of which may be the objective of every meeting, although parts I, II, III and IV are directly relevant to the initial case consideration and case review purposes. The record of every meeting must clarify whether it is an initial or a review meeting in every case. Proposed Standing Agenda for MAPPA meetings: I. Statement of confidentiality To remind and reassure those attending of the sensitive nature of some of the information shared at the meetings – reference to local protocols (and to paragraphs 78 – 95 on information sharing, above, may be helpful.) II. Sharing and Considering Information Preparation: all the written information relevant to the purpose of the meeting should be distributed in good time before the meeting so that discussion focuses upon the actual assessment and plans to manage risk. Updating and clarifying: the meeting will need to ensure that the information to hand is up to date and any unclear issues or information clarified. Validating: identify whether all those who need to inform the discussion and decision-making are represented or have at least shared the information they have. Diversity issues: identify and give due consideration to diversity issues – whether, in respect of either the offender or the actual or potential victim, there are gender, age, sexuality, racial, religious, disability or any other issues which may lead to unfair and unlawful discrimination which affect the assessment AND the management of risks. III. Assessment of Risks Identify the risks: their seriousness, likelihood and imminence and the relevant offending-related factors. Version 1.3 © Crown Copyright 2004 38

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Identify who is or might be at risk – it is recommended that victim issues are specifically considered and noted. Identify the compliance and motivation of the offender and what may promote and diminish these. IV. Planning Risk Management As is clear, this part of the meeting falls out of parts II and III. Emphasis here is placed upon making explicit the links between the conclusions reached in parts II and III and this section. Risk management plans cannot merely be generally informed by the consideration of the information shared and the assessment of risks but, to ensure a defensibility of decision-making, must be explicitly connected to them. Relating risk management to risk assessment: each feature of the management plan must relate directly to the features of the risks identified in the assessment of risks. It must link agreed actions to risk and/or the factors associated with risk. Involving the offender: consideration can be given here to involving the offender along the lines indicated in paragraphs 48 – 51. Clear definition of each agreed action: there are other means of providing this definition, S.M.A.R.T. (specific, measurable, achievable, realistic, and timed) is one. Accountability: the responsibility for each agreed action with the contributory roles of other individuals/agencies, must be clearly identified. Key contacts: this follows from the accountability principle – a single point of contact ensures that the delivery of the management plan, however many agencies it involves, is informed by new information or changes in any of the variables which affect risk and its management. In the most difficult and complex of cases, operational command procedures may replace single point of contact arrangements. V. Consideration of case-related Issues It is good practice to include at every case conference/MAPPA meeting time to consider issues which may have arisen from the cases specifically considered but which have a wider significance. At both the two higher levels (level 2 and the MAPPP) this part of the agenda may be used to address issues arising from the Strategic Management Board or which require referral to the SMB such as where difficulties occur with the local provision of services to assist in the management of risk. Records of meetings 123. These records will form the basis of much of the defensible decisionmaking. This does not mean that they are openly disclosed: this Guidance deals specifically with the issues of sharing information contained in these Version 1.3 © Crown Copyright 2004 39

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records in paragraphs 78 – 95 above. It is understood that MAPPA meetings can involve very sensitive information and that the trust between agencies upon which effective information sharing is based, depends upon confidence in the organisation and particularly the accuracy and safety of records of meetings. 124. Some Areas have found that to ensure accuracy of the records of the higher level meetings, meetings are tape-recorded. The tapes are used by the person writing the minutes to clarify/confirm what was said: tapes are NOT kept but erased once the record has been agreed. Time spent revising the record at subsequent meetings can be avoided by ensuring that the record, which should comprise a separate minute on each case considered, is prepared and distributed in draft as quickly as possible; and recipients should be required to suggest amendments within a short period. Importance of MAPPA links in Custody 125. For all MAPPA offenders who receive a custodial sentence, the Probation Area responsible for writing the PSR (whether one was written or not) is responsible for ensuring that all the information relevant for assessment purposes is shared with the prison in which the offender is held. Ultimately the common use of the electronic form of OASys will facilitate this exchange of information. At the time when release is being considered or prepared, the onus upon the exchange of information is reversed with the Prison Service needing to ensure that a timely exchange of all the relevant information with the Responsible Authority occurs. 126. The Responsible Authority has an important role to play in helping the Parole Board decide whether to release an offender and on what licence conditions. It is therefore important that the Responsible Authority, through the agency of seconded probation staff or other arrangements if more appropriate (such as the prison’s police liaison officer), works closely with the Prison Service to ensure that all the information relevant to assessing and planning the management of risk is shared in good time for it to be properly considered. The timing of that information exchange will vary according to the sentence length and circumstances (for example if they are a lifer or someone on extended supervision who has been recalled) of the offender. However, as a rule, the Responsible Authority should plan to assess and plan the release of offenders who are to be managed through a MAPPP at least three months – and usually six months where practicable – before that release. It is recognised that even with early planning, the actual release date can vary if prisoners seek remission of ‘added days’ or are credited with remand time. Early liaison with the prison establishment should enable the likelihood of these variables to be identified well in advance and to be anticipated. 127. Where a multi-agency meeting is required by the Responsible Authority prior to release the prison, hospital or YOI must ensure that any relevant Version 1.3 © Crown Copyright 2004 40

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information is presented to that meeting either by sending a representative or by submitting a report. It will be particularly important for a representative to be sent where there is an indication that there are specific actions which the prison may take to assist in the risk management plan.

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Figure 1: The Four Core Stages of MAPPA
Stage 2: Information sharing Stage 3: Risk Assessment Stage 4: Risk Management

Stage 1: Identification

Prison

Health

Housing

Agencies & individuals outside of MAPPA

MAPPA Agencies MAPPA Co-ordination

Risk Assessment

Risk Management Decisions

Probation

L E V E L 1

L E V E L 2

MAPPP 3

Social Services

YOT

Police

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Figure 2: RSOs and Violent and Other Sex Offenders (Categories One & Two)

Registered Sex Offenders (Category 1) Police

Prison Health

Police

MAPPA Co-ordination

Social Services

Risk Management Decision

L E V E L 1

L E V E L 2

MAPPP 3

Housing
Probation/YOT Violent & Other Sex Offenders (Category 2)

YOT

Probation/ YOT

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Figure 3: Other Offenders (Category Three)

Cases not accepted by MAPPA Prison
Agencies & individuals outside of

Health

Housing

Prison Health
Social Services

MAPPA Co-ordination

Housing

Probation

YOT Police

Responsible Authority Decision

L E V E L 2

MAPPP 3

Social Services

YOT

Police

Probation

Agency procedures for considering Category 3 offenders & referring to Responsible Authorities

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Section Three: Strategic Management of MAPPA

SECTION 3
THE STRATEGIC MANAGEMENT OF MAPPA I. The Purpose of the Strategic Management Board (SMB)

128. In the first phase of MAPPA development the emphasis was rightly placed upon establishing certain minimum requirements that would provide a basis for the effective multi-agency assessment and management of risk33. The fact that the success of these arrangements was founded upon the earlier working practices between the police and probation developed locally inevitably meant that those practices varied between Areas. The second phase of MAPPA development builds upon what has already been achieved by formalising the practical arrangements across all Areas, as described in Section 2, in order to introduce greater consistency in case management. However, this needs to be complemented by greater rigour and scrutiny in the review and monitoring of MAPPA. This is the role and purpose of the MAPPA Strategic Management Board (SMB). Some Areas have already begun to put SMB arrangements in place, and the following guidance reflects the good practice already developed. 129. The SMB will enable the Responsible Authority to discharge those duties imposed by the sub-sections (4) and (5), which concern the annual report; and, more particularly, sub-section (3) of Section 67 of the Criminal Justice and Court Services Act (2000), which requires that the Responsible Authority in each Area must: “keep the arrangements [i.e. the MAPPA] established by it under review with a view to monitoring their effectiveness and making any changes to them that appear necessary or expedient.” This is a broad brief and below are outlined five principal activities of the SMB. Overarching these activities is the role the SMB has to shape the MAPPA framework within the Area. This involves determining the role and representation of different agencies within the framework. It also includes brokering the protocols and memoranda of understanding which formalise those roles (further Guidance will follow on the new ‘duty to co-operate’). While some margin of discretion in defining the role will be left with Areas, the following core features will be common to all SMBs: (i) (ii) monitoring (on at least a quarterly basis) and evaluating the operation of the MAPPA, particularly that of the MAPPPs; establishing connections which support effective operational work with other public protection arrangements, such as Area Child Protection

33

Initial Guidance (March 2001). Home Office

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(iii) (iv) (v)

Committees, local Crime and Disorder Partnerships and local Criminal Justice Boards; preparing and publishing the Annual Report (as required by Section 67 (4) and (5)) and promoting the work of the MAPPA in the Area; planning the longer-term development of the MAPPA in the light of regular (at least annual) reviews of the arrangements, and with respect to legislative and wider criminal justice changes; and, identifying and planning how to meet common training and developmental needs of those working in the MAPPA.

Monitoring and evaluation 130. The monitoring and evaluation activities of the SMB will contribute to the annual report and provide the means of reviewing the MAPPA’s effectiveness. The SMB will be provided with the data it requires by the Area’s MAPPA co-ordination function. The SMB should analyse this data on at least a quarterly basis to allow some bench marking and the opportunity for timely intervention where issues are identified. Whilst national standards are yet to be developed, it is clear that there is both quantitive and qualitative data that should be examined. The statistical information concerning offenders in this year’s MAPPA annual report guidance34 establishes the minimum expectation for such quantitive data which SMBs should examine covering: offender totals, a more detailed breakdown of those referred to the MAPPP, orders obtained, enforcement action taken and those managed by the MAPPP who have been charged with further serious sexual or violent offences. 131. In addition to considering this quantitative data, the SMB must consider qualitative information, which can best be sourced from a review of individual cases. These reviews will help identify good practice, and operational and organisational difficulties and the means of overcoming them. It has been decided that this Guidance should not require the establishment of formal serious case review procedures. However, these will develop as a result of the reform of the NPD’s serious incident reporting and management review systems. In considering a sample of cases, SMBs can make use of the arrangements other agencies have for reviewing case management procedures and to this end they should make formal contact with the Probation Service, Area Child Protection Committees and Mental Health Authorities to facilitate access to these reports. Links with other public protection arrangements 132. Recent research into the MAPPA has highlighted the importance of establishing strong links within Areas with other public protection arrangements such as Area Child Protection Committees, local Crime and
34

Further Guidance (2), January 2003. Appendix 5

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Disorder Partnerships and the recently formed local Criminal Justice Boards. The purpose of this communication will be to ensure that these separate bodies recognise the commonality of some of the public protection issues they each face and establish effective mechanisms for jointly addressing them. This is particularly relevant given that a number of the same agencies are involved in each of these bodies though not always with the same personnel. A key measure of the effectiveness of this strategy will be the ability of these bodies to strengthen and support the work of operational units dealing with the different aspects of public protection and to adopt a holistic approach when dealing with children, families or offenders. The Annual MAPPA report and communication 133. The preparation and publication of the Area’s annual report is an important part of the function of the SMB, and a statutory requirement of each Responsible Authority. The MAPPA Annual Reports 2001/2 were the first annual reports and explained something of the developing practice of MAPPA and the number of offenders being considered within MAPPA by each Responsible Authority across England and Wales. A challenge for the SMB will be to reflect in the annual reports the development of the MAPPA in the coming years – changes incorporated in this guidance, the developing knowledge gathered about the assessment and management of risk posed by offenders through MAPPA agencies and the monitoring and review conducted by the SMB. 134. The content and style of these reports will continue in the short-term to be influenced by guidance issued by the Secretary of State (See Appendix 5). A critical aspect of the reports will remain the presentation of detailed figures for the number of offenders in each Area. This often complex information about how the effectiveness of risk assessment and risk management plans have contributed towards reducing offending and minimising further serious harm will continue to provoke high levels of media interest. The development of the ViSOR national database will have a significant impact on the availability this information and the analysis that will develop from it. 135. The annual report provides a valuable mechanism for raising public awareness and understanding of public protection issues and explaining the multi-agency work that is undertaken through MAPPA to increase public safety. Usefully it can also be seen as part of a wider strategy of communication and education with the public that the SMB should develop. Some Areas have used other means of communicating with the public, for example leaflets briefly explaining the operation of MAPPA which can inform victims, offenders and members of the public. As well as written information, SMBs can profitably consider meeting with key local interests groups and stakeholders on either a routine or an ad hoc basis. Because there is still so much misunderstanding among the general public, these meetings can be Version 1.3 © Crown Copyright 2004 47

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useful and help nurture public confidence in the excellent work the MAPPA agencies undertake. The MAPPA development 136. While the Secretary of State retains the power to issue guidance to Responsible Authorities on the discharge of the functions under MAPPA by virtue of Section 67(6) of the Act, the longer-term development of MAPPA is a matter for the SMB. The monitoring and evaluation activities of the SMB will provide the basis upon which MAPPA development can be planned, whether building upon good practice or addressing areas in need of development. The publication of an annual report will provide a cycle for the review of developments and this will need to take account of other legislative and criminal justice changes. 137. In support of this the Public Protection Unit will continue act as a conduit for the dissemination of good practice and will develop an advisory role to individual Responsible Authorities and the SMBs. The unit is committed to the continued sponsorship of the annual regional MAPPA conferences for Areas to enhance regional networks and to facilitate the development of best public protection practice. Additionally, the Unit can provide advice and support directly to Areas through visits and planning as well as through advice on the handling of complex case work. Training 138. Whilst agencies within MAPPA have a responsibility for the training and supervision of their own members of staff, the development of MAPPA, and this guidance in particular, is creating a more complex environment in which members of staff will undertake functions associated with MAPPA offenders. Work with offenders who pose a high risk of serious harm is recognised as being challenging and demanding and staff should be sustained and supported in this through proper supervision arrangements. 139. In this regard a number of MAPPA agencies have adopted National Standards around aspects of this work to ensure clear and accountable management35. It is therefore in the interests of the Responsible Authority and the SMB to consider the implications of MAPPA for their staff and how training needs are best addressed. Clearly there are different levels of skill and engagement required from different members of staff within MAPPA agencies but, as a number of Responsible Authorities move towards joint MAPPA units, it will be important that the experience of setting up other joint/ multi-agency units such as Youth Offending Teams is considered and applied appropriately to MAPPA.

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National Probation Service and the Prison Service both have national standards covering their work with high risk offenders.

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Membership of SMBs

140. It will be for the Responsible Authority to determine the precise composition of their SMB. While some will wish to replicate on the SMB the full diversity of multi-agency involvement in the risk assessment and management arrangements, it should be noted that the Criminal Justice Bill, which will impose the ‘Duty to Co-operate’ on various agencies, will define that duty with specific reference to the existing Section 67 (2). Therefore the duty to co-operate will not extend to the function of the SMB with respect to the monitoring and review functions. This would not necessarily exclude representatives of the duty to co-operate bodies from participating in the SMB but that participation would be distinct from their specific duty to co-operate. This Guidance strongly recommends that SMBs do include representatives from the key duty to co-operate bodies. 141. One of the factors that will help determine the precise membership of the SMB will be the local geography. While the Responsible Authority benefits from both the police and probation services having co-terminus boundaries, the same cannot be said for all the partner agencies that assist in the implementation and oversight of MAPPA. Several agencies within MAPPA operate by reference to different configurations such as county, district or unitary authority boundaries. In housing for instance whilst the local housing authority may be formed on a unitary authority basis, the housing providers, eg. housing associations and registered social landlords, may exist entirely within that authority or may spread across several authorities. Responsible Authorities, in developing their SMBs, will need to address this issue of effective representation from the key agencies within MAPPA but avoiding unwieldy management boards. 142. As a general principle the representatives of agencies on SMBs will be those whose seniority and responsibilities enable them to contribute to developing and maintaining strong and effective inter-agency public protection procedures and protocols on behalf of their agency and to address the practical implications of MAPPA. Where they are representing a group of agencies such as with housing then in addition to this they should have the confidence of colleagues to be able to represent their interests and relay decisions taken. It is critically important that members of the SMB have the authority within their own agency to ensure that their public protection arrangements for serious sexual and violent offenders are systematically addressed and adequately resourced. In the police and probation services the appropriate rank for effective SMB membership is generally regarded as Assistant Chief Constable (or equivalent) or Assistant Chief Officer respectively. 143. Eight Areas are piloting arrangements to involve lay members in their respective SMBs. The Criminal Justice Bill will extend these arrangements to all 42 Areas of England and Wales by providing the Secretary of State with powers to appoint two Lay Advisers to each Area. The purpose of the Lay Version 1.3 © Crown Copyright 2004 49

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Advisers is twofold. First, they enable the involvement of non-professionals which will provide greater public accountability. Secondly, their role is to contribute views to the monitoring and evaluation of MAPPA. 144. Membership of SMBs should include as a minimum;

Police & Probation – In addition to senior officers both services may wish to include senior operational officers as well as a representative of the MAPPA co-ordination function. Victim Liaison – The mixture of statutory and voluntary engagement with victims may result in different models of representation on SMBs. It is important however, that the representative is able to bring a broad victim perspective that will help shape the strategic development of MAPPA. Housing – Representation from the local authority and housing suppliers should be considered. Health Services (managerial & clinical) – Initial surveys by the Department of Health indicate the value of having both a senior managerial and clinical perspective on SMBs. Social Services – Although the primary focus for MAPPA engagement is with child protection, social services also offer invaluable input on all dangerous offenders for whom they provide social care be they elderly, disabled, young offenders or have mental health problems. Representation on the SMB should be from a senior manager that is able to communicate with all these spheres of work although there may be particular advantage in securing separate representation from a mental health social services manager. Prisons – The Prison Service is keen to develop its role within MAPPA and its representation on SMBs, even in those Areas where no prison establishment exists. The precise mechanisms for this if not already in existence will develop during 2003/4. Youth Offending Teams – The Youth Justice Board has indicated that YOTs should be represented on SMBs and where more than one YOT operates in the Area, YOT managers will need to agree the best way in which they might be represented. 145. The Responsible Authority should make appropriate arrangements to involve others in its work of the SMB as needed. This may involve co-opting or even full membership where there is a significant and sustained engagement with MAPPA, although in most instances it will be sufficient for the Responsible Authority to ensure there is effective dialogue and the agency is aware of MAPPA and pertinent public protection issues. Those with a relevant interest may include;

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Treatment providers Local Authority Education Department Employment Services Crown Prosecution Service Housing Associations Electronic Monitoring Providers The Court Service Other relevant voluntary organisations eg. NSPCC III. SMB Meetings

146. The SMB will be chaired by the Responsible Authority, either police or probation, and normally by the ACC or ACO representing those services. It is anticipated that such officers will have sufficient standing to command the respect and support of agencies, and have a firm grasp of operational and strategic issues for the Area. In keeping with existing practice, the role of chair may be shared between police and probation, though in a manner that seeks to encourage consistency and develop good practice. 147. The frequency and structure of the meetings will be a matter for the Responsible Authority in discussion with its MAPPA partners and will reflect how the SMB choose to organise itself with regard to active sub-groups. However, full SMB meetings should be no less frequent than quarterly and are expected to actively manage the full remit of the SMB be during the course of the year, as identified above. 148. Where SMBs have been recently formed or where new members join from agencies outside of the criminal justice arena, it will be important that the Responsible Authority considers how best to inform agencies of the full remit of the SMB and to most effectively engage with them so that the SMB becomes an effective mechanism for identifying difficulties within MAPPA, developing solutions and establishing best practice. 149. In addition to organising the arrangements within their own Area, the Responsible Authority may see value from broader discussions with neighbouring Authorities or within regional fora. The regional networking of the probation service, the Association of Chief Police Officers (ACPO), and the annual regional MAPPA seminars offer vehicles for such discussions and the opportunity of sharing best practice and some reciprocal resourcing, particularly in the areas of staff training and accommodation

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Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers

THE MAPPA GUIDANCE SECTION FOUR This fourth Section of the MAPPA Guidance is issued to assist the implementation of the changes to the MAPPA which Sections 325 and 32636 of the Criminal Justice Act (2003) introduced with effect from 5th April 2004. It is sub-divided into three sub-sections corresponding with each of the three changes the Act introduced: The Prison Service’s role as a part of the MAPPA ‘Responsible Authority’; The Duty to Co-operate; and, Lay Advisers. SUB-SECTION 1: THE PRISON SERVICE’s ROLE AS PART OF THE MAPPA RESPONSIBLE AUTHORITY Summary of the Prison Service’s MAPPA Role 150. Section 325(1) of the Criminal Justice Act (2003) (see Appendix 1 of the MAPPA Guidance) makes the Prison Service part of the MAPPA ‘Responsible Authority’ with Police and Probation in each of the 42 Areas of England and Wales. This change has been introduced because of the important public protection role the Prison Service performs by keeping offenders in custody; by helping them to address the causes of their offending behaviour; and by undertaking other work to assist their successful resettlement. The most important contribution the Prison Service will make to the MAPPA will be to help address the discontinuity of public protection work, which often occurs when offenders go into, and when they are released from custody. That discontinuity, and the breakdown in communication and weakness in risk management plans that might result, can seriously damage public protection, sometimes with tragic results. 151. The focus of the MAPPA remains the management of the risks posed by offenders in the community. Police and Probation will therefore continue to play the larger role in the MAPPA, because they are principally concerned with offenders in the community and the Prison Service with offenders in custody. This will be most noticeable in the reviewing/monitoring functions of the MAPPA, which are performed by each Area’s MAPPA Strategic Management Board (SMB). The lack of geographical congruity with Police and Probation, which share the same Area identities, will make different demands of the Prison Service in different parts of the country. The Prison Service Area Manager determines how these demands are met in consultation with Police and Probation MAPPA colleagues. 152. However, while the role the Prison Service plays in the SMB functions may not be as full as that of its Responsible Authority partners, that role must not be
Sections 325-327 of the Criminal Justice Act (2003) can be found as Annex A to this Section which replaces Appendix 1 (pages 52 – 58) of the published Guidance.
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seen as another administrative task. The Prison Service’s commitment to the MAPPA is important: the Prison Service Area Manager is required to ensure that consistent representation appropriate to its commitment and the type of contribution it can make, are in place. In addition to its role in the Area SMBs, the Prison Service has a key role to play in the operational as opposed to the reviewing/monitoring MAPPA functions. 153. In practical terms, it is in the operational functions that the Prison Service will have most to contribute. This contribution will principally involve prison establishments: identifying MAPPA offenders following reception and flagging their status as such on the Prison Service’s Local Inmate Database System (LIDS); accurate sentence calculation and early anticipation of additional remand time deductions from sentences; advising MAPPA colleagues on such prison systems and procedures as transfer between establishments, regime programmes etc; using the various systems of assessing prisoners in custody, not least sentence planning, to inform pre-release preparation including interventions to manage and reduce risk AND using MAPPA contacts to inform the production of parole reports; working with MAPPA colleagues as early as practicable before a higher risk offender is due to be released – this is likely to involve sharing information relevant to the risk assessment and risk management planning; and attending or convening MAPPP meetings; and, preparing and, where necessary, fine-tuning the details of release arrangements to fit post-release risk management plans. The Prison Service’s Role in SMBs 154. Police and Probation representation on SMBs is typically at Assistant Chief Constable and Assistant Chief Officer level respectively. It is therefore expected that Prison Service representation will need to be at a suitably senior level - and where this is not the Area Manager in person, as will often be the case, the person attending must represent the Area Manager. A table showing the relationship between Prison and Police/Probation Areas is attached on pages 64-68 of the Guidance. When deciding how to arrange participation in SMBs Area Managers will give full delegated authority to whoever represents them. 155. Whatever level of representation is decided, it is unlikely that the Prison Service could fulfil its statutory obligations without each Area being represented on at least one SMB meeting a year in each of its MAPPA Areas. This could most usefully be a meeting, which formally reviews MAPPA business. The Prison Service Order approved by Ministers makes clear that Area Managers must (i) ensure this minimum level of attendance and (ii) ensure that each Police and Probation MAPPA leads in each Area are consulted about the means by which the Prison Service will contribute to the Area SMB.

Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers

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The Prison Service’s High Security and Private Prisons

Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers

156. The Prison Service’s High Security Estate – those prisons which hold the most dangerous prisoners – and the ‘contracted-out’ or privately managed prisons are managed separately from the 12 geographical Prison Service Areas. The Director of High Security Prisons may decide to be represented at the SMB of a police/probation Area that has a high security prison, by a senior representative from that prison. In these cases agreement will be reached with the ‘geographical’ Area Manager to avoid ‘doubling-up’. For example, the Governor of Whitemoor might attend the SMB of the Cambridgeshire MAPPA instead of the Eastern Area Manager or his representative. Directors of contracted prisons will also be included in these agreements, but representatives of public prisons will not have delegated authority to act on their behalf at SMBs. 157. In addition to the contribution Director of High Security Prisons and Area Managers agree to make to SMBs, issues concerning the release of dangerous prisoners from high security prisons may from time to time arise. If these concern Category A prisoners and/or prisoners in the Close Supervision Centre (CSC) system, the governor of the prison will need to consider involving the relevant casework and policy sections of the Prison Service HQ. 158. Aside from the practical issues of arranging appropriate representation in SMB business, the contribution the Prison Service will make will be defined by the extent to which Prison Service matters of either an organisational or case-related operational nature fall within the five SMB functions which are described in the Guidance as: (i) (ii) (iii) (iv) (v) monitoring (on at least a quarterly basis) and evaluating the operation of the MAPPA, particularly that of the MAPPPs; establishing connections which support effective operational work with other public protection arrangements, such as Area Child Protection Committees, local Crime and Disorder Partnerships and local Criminal Justice Boards; preparing and publishing the Annual Report (as required by Section 67 (4) and (5)) and promoting the work of the MAPPA in the Area; planning the longer-term development of the MAPPA in the light of regular (at least annual) reviews of the arrangements, and with respect to legislative and wider criminal justice changes; and, identifying and planning how to meet common training and developmental needs of those working in the MAPPA.

159. In common with all the agencies involved in the MAPPA, the Prison Service has a role in providing advice as and when it is required to those other MAPPA agencies about Prison Service systems, procedures and arrangements. This practical contribution to the MAPPA may be required outside formal risk MAPPA meetings or case conferences. It is important therefore, for each police/probation Area to know to whom they should make contact. This might be someone in the Prison Service’s Area Manager’s office or nominated contact in prison establishments within the police/probation Area.

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The Prison Service’s Role in the operational, case-related MAPPA functions 160. to: (i) (ii) The Prison Service Order (PSO) on MAPPA requires prison establishments identify prisoners subject to MAPPA and feed this into sentence planning arrangements; ensure all the relevant information held by the prison is provided to inform a multi-agency meeting (at either level 2 or level 3 (MAPPP)) called by police or probation to plan an offender’s release. Where it is possible and appropriate for a representative of the prison to attend, that person will be someone who understands risk assessment issues and is able to contribute fully on behalf of the governor to the meeting; notify police and probation of the expected release dates of MAPPA offenders and, where these offenders are high-risk or present particular difficulties after release (i.e. they are referred to the MAPPP), that notification takes place well in advance (and at the very least three months before release); ensure all staff involved in sentence calculation, decisions to restore ’added days’ (lost through disciplinary awards), and discharge arrangements for high-risk offenders anticipate as far as is practicable any last minute changes to release plans.

Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers

(iii)

(iv)

161. In addition, where a MAPPA offender is being considered for Release on Temporary Licence (ROTL), liaison between the three agencies which comprise the Responsible Authority will be very important. In respect of this it is helpful to reiterate the principle which identifies which police/probation Area is responsible for an offender. Although this is often clear, sometimes the length of time an offender has been in custody or the breakdown in an offender’s links with his or her home community can suggest doubts. An offender remains the responsibility of the police/probation Area which was responsible for writing the PSR at the point of sentence, whether one was written or not. Until a formal transfer of responsibility has been agreed and notified to the prison in which the offender is being held, the original Area remains responsible. 162. These contributions critically inform the four main MAPPA processes: the identification of offenders, information sharing, risk assessment and the management of risks offenders pose. The contribution under (iii) is critical to effective risk management plans on release. Where late changes to release dates and arrangements are unavoidable, their early anticipation and notification is vital. Three scenarios illustrate the potential problems.

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Last minute early release due to sentence recalculation

Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers

163. This concerns offenders serving determinate sentences. Although most sentence calculations are completed and remain unaltered shortly after sentence is passed, changes in release dates can be caused either by restoration of days added to a sentence by a prison governor as a disciplinary award or by the deduction of days spent on remand in custody by the offenders before they were sentenced. Prison governors have no discretion about deducting remand time but the change in release date by just one day can seriously undermine the plans laid to manage the offender on release. To minimise the likelihood of last minute changes in release dates due to remand time deductions, the ‘custody’ or ‘discipline’ office in establishments can assist by identifying all eligible remand time deductions at the time when the sentence is first being calculated. A notice to prisoners and a reminder as part of the reception/induction procedures could help. 164. Prison governors have greater discretion in the restoration of ‘added days’. In order that late changes to release dates are not caused by this, arrangements to anticipate requests for restoration by offenders who are still high-risk should not be difficult to put in place. The situation must if at all possible be avoided in which a MAPPP-referred prisoner submits an application for restoration of ‘added days’ late and due process results in days being restored the consequence of which upset release/risk management plans. Appeal court releases 165. It is not often that high-risk offenders are unexpectedly released early as a consequence of a successful appeal against conviction or sentence length, but there have been one or two cases. Clearly, it is not possible to predict the outcome of an appeal; what is possible is for the relevant Responsible Authority to be informed as soon as is practicable: (i) (ii) that permission to appeal has been granted; and the date of the appeal hearing.

Some liaison with the court escort service provider is also key but properly documented hand-over can ensure this. Last-minute changes to arrangements for the release 166. The third scenario which can compromise carefully laid risk management plans is where changes to release time and travel arrangements occur last minute without all interested parties being aware. A case occurred where a high-risk offender for whom a detailed risk management plan had been agreed, had his travel warrant changed on the morning of his release from prison. This resulted in his return to a town 100 miles away from his approved release address. The change was made by the prison in good faith but without discussion with police and probation. The likelihood of such last-minute changes to licence conditions and/or travel and reporting arrangements is remote but potentially disastrous and must be avoided. Any last-minute changes must not be made without the key Version 1.3 © Crown Copyright 2004 56

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police and probation contacts being advised and, where possible, being consulted prior to any changes being made. The Prison Service role in risk assessment of MAPPA offenders in prison 167. The following paragraphs, which rely heavily on the content of the Prison Service Order (PSO) on the Prison Service’s role in the MAPPA, helpfully amplify aspects of the Prison Service’s contribution to the case-related work of the MAPPA, particularly of MAPPP-referred cases. Much of this contribution is a refocusing of mandatory requirements already made of Prison Governors by existing instructions and performance standards – for example, PSO 4400, which covers Child Protection and harassment issues, (now being replaced by the Safeguarding Children section of the new electronic Public Protection Manual) and the Public Protection Standard issued in PSO 0200 (being incrementally revised as the manual is developed). In addition to these requirements there is a range of prison activities or systems which can critically inform the contribution to the MAPPA, and Annex C of the MAPPA PSO provides a model of how these various systems can be co-ordinated by an interdepartmental risk assessment team within the prison. 168. The contribution to risk assessments is, as indicated above, most important in the case of prisoners who are referred to a MAPPP but where any multi-agency meeting is required under the MAPPA, the Governor must ensure that all relevant information is made available to the meeting. It will not always be possible to send a representative to the meeting (which may take place in an Area a great distance from the prison in which the prisoner is held) but the timely dispatch of the relevant information to the person co-ordinating the meeting is vital. Some discussion about the information provided may also be required, so points of contacts as well as the information must be provided. 169. It may sometimes be most practical to hold the multi-agency meeting in the prison holding the offender concerned. Where this is possible, the prisons involved have found this an effective way of contributing to the MAPPA process. If the meeting is a MAPPP meeting, wherever it is held, it will be particularly important for a representative from the prison to attend where there is an indication that there are specific actions which the prison may take to assist in the risk management plan. The measures which can be used to strengthen the management of risk on an offender’s release from the custody include: (i) (ii) (iii) (iv) (v) the imposition of additional licence conditions; the use of electronic monitoring (seek advice from NPD’s Public Protection Unit); transferring the prisoner to an establishment from which release can be better managed; arranging for the offender to be accompanied on release from the establishment to the designated accommodation and/or appointments; the use of Sex Offender Orders; 57

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(vi) (vii)

the use of a ‘contract’ agreed with the offender particularly in cases where there is a very short period of supervision on licence or none at all; and, in exceptional cases, the use of surveillance

170. The primary focus of the MAPPA, as indicated above, is on the effective management of the risks posed by sexual and violent offenders in the community. The most important contribution the Prison Service will make is in helping principally the police and probation services but also other agencies prepare to manage risks offenders pose when they are released – i.e. those offenders whose release has already been decided or required by the law. However, the MAPPA can also assist both the Prison Service and the Probation Service discharge their respective duties to compile reports for the Parole Board to help determine whether an offender should be released. 171. The National Probation Service and the Prison Service both have a clearly defined role to play in producing reports on MAPPA offenders for the Parole Board. It will not be practicable for formal MAPPA meetings at Level 2 or Level 3 (a MAPPP) to be called to inform the compilation of Parole reports. However, since the MAPPA is a set of arrangements which promotes inter-agency working and the appropriate sharing of information, it can clearly assist those writing reports. Particularly in the case of those offenders who are likely to continue to pose higher risk of serious harm on release, it is good practice for those writing parole reports to use the MAPPA network to ensure full and accurate parole reports are written 172. THE PRISON SERVICE ROLE IN MAPPA – WORKING DEFINITIONS
The following is designed to provide information and explanation of Prison Service terminology and procedures relevant to its role in the MAPPA. Convicted and Unconvicted Prisoners Unconvicted prisoners fall into two groups: Remands: Trials: Those waiting for their case to be heard at Magistrates Court; and, Those waiting for their case to be heard at Crown Court.

Convicted prisoners also fall into two groups: Convicted unsentenced: Convicted and Sentenced: also known as JR (Judgement Respited), where the court has called for reports before sentence is given; and, prisoner is serving the sentence.

Unconvicted prisoners may only fall within the remit of the MAPPA by virtue of previous convictions or their continuing requirement to register as a sex offender. Some may even still be on supervision (although if that is a parole licence supervision it is most likely that their return to custody on remand will have triggered their recall. Reception All prisoners entering a prison, whether for the first time, on transfer from another establishment, or on return from a court appearance etc., go through a Reception process. This involves confirmation of the prisoner's identity and the lawful authority for his/her detention, and

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Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers assessments of health, risk of self-harm and risk to others, and any special needs. Further interviews and assessments may take place during the Induction stage following Reception. To fulfil the first MAPPA function, the identification of MAPPA offenders, it is important when receiving a MAPPA offender that staff record the relevant information on the Local Inmate Data System (LIDS), and on the prisoner's personal record (F2050) for sentence planning purposes. Unless this is done, it is more likely that the release of a MAPPA offender will not be notified to the relevant police/probation Area well before release. Discharge Discharge’ refers to the process when a prisoner leaves the establishment for any reason; to go to court; for transfer to another establishment; for release on temporary licence; or for final conditional or unconditional discharge. Prisoners are identified by comparing them with their photograph, and if the identification is still in doubt, by checking other things such as signature, personal information and/or any distinguishing marks. The Prisoner Escort Record (PER) is used where relevant to pass on relevant information about individual prisoners (e.g. self-harm or escape risk) to interested parties (e.g. escorting staff). Prisoners who are for discharge on final release are asked to confirm by signing the licence/supervision notice, that they understand all the terms and conditions relating to their release. Prisoners sentenced to the relevant period are also required to sign and date a firearms certificate, to confirm their understanding that the possession of firearms is not permitted following release. In relation to MAPPA it is vital that all prison staff involved in discharge procedures are aware of the need to inform the relevant police/probation Area of the release dates of MAPPA prisoners well before that release, and of any proposed changes to release arrangements. Categorisation Every sentenced adult male prisoner is assessed and placed into one of four categorises, which will determine the type of prison in which he will be sent. Categorisation does not affect young offenders aged under 21 years or women prisoners unless they are deemed to be present a great danger if they were to escape, in which case they also can be assessed as ‘Category A’ (or Cat A). In addition, it is assumed that all unconvicted adult male prisoners should be held in establishments suitable for Cat B prisoners.

Category A

These are prisoners whose escape would be highly dangerous to the public or the police or the security of the state and for whom the aim must be to make escape impossible. This category is subdivided into Standard, High and Exceptional Risk according to the assessed intent and resources of the prisoner to escape. Exceptional Risk Cat A prisoners are help in one of the Special Secure Units (which are located in Whitemoor, Belmarsh and Full Sutton prisons). These units are not to be confused with the Close Supervision Centres (CSCs) in which prisoners who are so violent and/or disruptive that they cannot be held on an ordinary wing are located. Prisoners for whom the very highest conditions of security are not necessary but for whom escape must be made very difficult. Prisoners who cannot be trusted in open conditions but who do not have the resources and will to make a determined escape attempt. Prisoners who can be reasonably trusted in open conditions.

Category B Category C Category D

Sentence Management Having assessed the risk, OASys also provides a vehicle for managing the sentence, including what is needed to address offending behaviour by suitable interventions such as Sex Offender Treatment Programmes.

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Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers

Prison Rules (and the relevant Young Offender Institution Rules) 34, 35A, 36B, 36c and 36D authorise Governors to monitor prisoners’ communications by telephone or letter, particularly those who present a risk to children or are subject to anti-harassment procedures. Appropriate measures are taken to safeguard the public, which are proportionate to the risk identified. If MAPPA police and probation colleagues need information which may have been gleaned through monitoring of this sort, a formal approach to the Governor of the prison should first be made. A risk assessment model (contained in an Annex to PSO 4745 – The Prison Service and the MAPPA) is being promoted within the Prison Service to underpin its MAPPA role. The core element is an interdepartmental risk management team within the prison. The role of this team is to oversee the identification, assessment and management of prisoners who present a risk to the public, staff, other prisoners and to themselves. Team membership will vary but should include probation and the Police Liaison Officer. The former is likely to be a key point of contact for MAPPA purposes. The latter will deal with requests for information from police colleagues and ensure information is processed correctly under RIPA and the Memorandum of Understanding established between ACPO and the Prison Service. In addition all establishments are required to have a nominated Public Protection co-ordinator and a MAPPA co-ordinator. In some establishments these may be the same person. SUMMARY OF RELEASE ARRANGEMENTS AND RESPONSIBILITIES Types of Early Release Scheme A table showing the schemes for early release, automatic release and supervision periods for prisoners sentenced on or after 1 October 1992 is set out below. Type of Sentence AUTOMATIC UNCONDITIONAL RELEASE (AUR) Sentences of UNDER 12 months AUTOMATIC CONDITIONAL RELEASE (ACR) Adults and YOs - Sentences of 12 Months to Under 4 years DISCRETIONARY CONDITIONAL RELEASE (DCR) Sentences of 4 years and over CUSTODY (HDC eligibility if more than 3 months) CUSTODY (HDC eligibility) CUSTODY Release points Release at the half-way point (Automatic Release Date, ARD) for all offenders and ‘at risk’ for the remainder of the sentence. Only those aged Under 22 years are subject to supervision for a minimum of 3 months or until their 22nd birthday, whichever arrives first, even if that goes beyond the SED Release on licence at the half-way point (Conditional Release Date, CRD)

Eligible for consideration for early release on parole licence from ½ way point of sentence. Automatic conditional release on licence from 2/3ds point of sentence. No statutory supervision except for those aged Under 22 Years

SUPERVISION (until ¾ point) then at risk until SED – there is no at risk beyond SED PAROLE ELIGIBI-LITY SUPERVISION (from ½ way point until 2/3 (from 1/2 way point if released on parole point or from 2/3 point if released at NPD until ¾ point – at risk from ¾ point until SED

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Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers Young offenders serving less than 12 months are also subject to supervision. These arrangements are set out in more set out in Chapter 10 of Prison Service Order 6000. AUTOMATIC UNCONDITIONAL RELEASE – AUR Prisoners sentenced to less than 12 months are: • • Eligible to be placed on Home Detention Curfew (HDC) if serving more than 3 months Can be recalled to prison by the courts or the Early Release and Recall Section for breaching an HDC licence up to the halfway point of sentence Released at the half-way point of the sentence if not placed on HDC At risk of return to prison to serve all or part of the remainder of the sentence if a further imprisonable offence is committed before the end of the sentence (Sentence Expiry Date – SED).

• •

AUTOMATIC CONDITIONAL RELEASE – ACR Prisoners sentenced to 12 months or more but under 4 years are: • • • • Eligible to be placed on Home Detention Curfew Released on licence at the half-way point of the sentence if not placed on HDC. Subject to supervision by the Probation Service until the three-quarters point of the sentence (LED) or the equivalent period of supervision if placed on HDC. Can be recalled to prison either by the courts or the Early Release and Recall Section for breaches of the licence up to the three-quarters point of the sentence. Some prisoners are rereleased on a new licence following recall. At risk of return to prison to serve all or part of the remainder of the sentence if a further imprisonable offence is committed before the end of the sentence (Sentence Expiry Date – SED).

DISCRETIONARY CONDITIONAL RELEASE – DCR Prisoners sentenced to 4 years or more are: • • • • • Eligible to be considered for parole at the half-way point in the sentence If not released on parole, automatically released on licence at the two-thirds point of the sentence (the Non-Parole Date – NPD) Subject to supervision until the three-quarters point (LED) Can be recalled to prison if they breach a condition of their release licence. Some prisoners are re-released on licence following recall. At risk of return to prison to serve all or part of the remainder of the sentence if a further imprisonable offence is committed before the end of the sentence (Sentence Expiry Date – SED).

Prisoners sentenced before 1 October 1992 fall under the provisions of the CJA 1967 • Remain eligible for parole at the one-third point of their sentence

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Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers Are released unconditionally without supervision at the two-thirds point (Earliest Date of Release. (EDR)).

ARD – Automatic Release Date ACR – Automatic Conditional Release EDR – Earliest Date of Release CRD – Conditional Release Date PED – Parole Eligibility Date LED – Licence Expiry Date SED – Sentenced Expiry Date The Parole Board The Parole Board is an Executive Non-Departmental Public Body independent of the Prison Service. Its members include psychiatrists, probation officers, judges, criminologists and lay members appointed by the Secretary of State. The Board: • • • has delegated authority to make decisions on the early release of those sentenced after 1 October 1992 to between four and fifteen years. makes recommendations to the Secretary of State for the early release of determinate sentence prisoners serving 15 years or more considers applications for recall to prison of those who breach licence conditions

An assessment of the risk posed by the offender is vital to decision making on discretionary release. Because much of the information available to help the Board in making a decision is the same information which will help inform the MAPPA about management of the offender on release, it is particularly important that relevant information on risk is shared with MAPPA colleagues, and similarly that such information available to MAPPA is shared with the Board. Recall Efficient arrangements for the recall to prison of dangerous offenders are essential. These are now the responsibility of the Early Release and Recall section of the Home Office Sentencing Policy and Penalties Unit where a dedicated HQ Public Protection team is in place to deal with all high risk offenders identified as such by the Probation Service, or on OASys, or by the Public Protection & Courts Unit in the National Probation Directorate. All requests for revocation for offenders in those categories are dealt with on an immediate basis Home Detention Curfew (HDC) The HDC scheme allows (subject to risk assessment) the early release of prisoners sentenced to over three months but under four years to spend the final point of their sentence on curfew at an approved address. They are electronically monitored during the curfew period by means of a tagging device, and those who breach curfew conditions or commit another offence while on curfew are returned to prison. Release on Temporary Licence (ROTL) Subject to risk assessment, temporary release can be granted for compassionate reasons, employment, training and educational activities, job interviews, and to aid resettlement in terms of maintaining family ties and links with the community.

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Section 4: The Prison Service; the Duty to Co-operate; and Lay Advisers Implications of the Criminal Justice Act (2003) On sentences that: • • As the provisions of the 2003 Act are phased in, the new structure of sentences means all those serving sentences of under 12 months will be subject to supervision those serving 12 months and over will be automatically released at the half way point to serve the rest of the sentence under supervision with licence conditions designed to reduce re-offending those convicted of a sexual or violent offence and assessed as dangerous by the court will be eligible for either a determinate or indeterminate sentence of public protection. Release from both sentences will be only at the Parole Board’s discretion. It is therefore possible that some dangerous prisoners may never be released

On the Parole Board As the current sentencing arrangements are phased out, and the new ones in, the Board will eventually focus only on dangerous offenders and recalls Recalls Under the Act the recall process will be speeded up as all recall decisions will be taken executively by the Early Release and Recall section of the Home Office Sentencing Policy and Penalties Unit, and then referred to the Parole Board for scrutiny and a decision on re-release or further review.

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Prison Areas Police/Probation Areas Bedfordshire 1 High Security Estate Contracted Prisons HMP BEDFORD Prisons Establishments HMP LITTLEHEY Cambridgeshire 2 HMP WHITEMOOR Essex 2

Eastern Hertfordshire 1 Norfolk 2 Suffolk 5

HMP/YOI BULLWOOD HALL (F) HMP/YOI CHELMSFORD

HMP THE MOUNT

HMP/YOI NORWICH HMP WAYLAND

HMP BLUNDESTON HMP EDMUNDS HILL (F) HMP/YOI HIGHPOINT HMP HOLLESLEY BAY HMYOI WARREN HILL (J)

Prison Areas Police/Probation Areas High Security Estate Contracted Prisons HMP FOSTON HALL (F) HMP SUDBURY Prisons Establishments Derbyshire 2

East Midlands – North Lincolnshire 3 Nottinghamshire 4

East Midlands – South Leicestershire 5 Northamptonshire 3

HMP LINCOLN HMP MORTON HALL (F) HMP NORTH SEA CAMP

HMP LOWDHAM GRANGE (P) HMP NOTTINGHAM HMP RANBY HMP WHATTON

HMP RYE HILL (P) HMP ASHWELL HMP GARTREE HMYOI/RC GLEN PARVA HMP LEICESTER HMP STOCKEN HMP WELLINGBOROUGH HMYOI ONLEY

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Section Four: The Prison Service; the Duty to Co-operate; & Lay Advisers Kent Kent 9 Surrey & Sussex Surrey 4 Sussex 2 London Metropolitan 8 HMP BELMARSH HMP/YOI PARC (P) DyfedPowys 0 Gwent 2 Wales North Wales 0 South Wales 3

Prison Areas Police/Probation Areas High Security Estate Contracted Prisons

HMP BLANTYRE HOUSE HMP CANTERBURY HMP COOKHAM WOOD (F) HMP/YOI EAST SUTTON PARK (F) HMP ELMLEY HMP MAIDSTONE HMP SWALESIDE HMP STANDFORD HILL HMP ROCHESTER

HMP COLDINGLEY HMP DOWNVIEW (F) HMP HIGH DOWN HMP SEND (F)

HMP FORD HMP/YOI LEWES

HMP BRIXTON HMP/YOI FELTHAM HMP/YOI HOLLOWAY (F) HMP LATCHMERE HOUSE HMP PENTONVILLE HMP WANDSWORTH HMP WORMWOOD SCRUBS

HMP/YOI PRESCOED HMP USK

HMP/RC CARDIFF HMP SWANSEA

Prisons Establishments

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Prison Areas Cheshire 3 High Security Estate Contracted Prisons HMP RISLEY HMP/YOI STYAL (F) Prisons Establishments HMYOI THORN CROSS Cumbria 1

North West Greater Manchester 3 HMP MANCHESTER HMP/YOI FOREST BANK (P) HMP HMP BUCKLEY HAVERIGG HALL (F) HMP ALTCOURSE (P) HMP WYMOTT HMP GARTH HMYOI HINDLEY HMP KIRKHAM HMP LANCASTER HMP/YOI LANCASTER FARMS HMP PRESTON HMP LIVERPOOL Lancashire 7 Merseyside 2 Cleveland 2

North East Durham 3 HMP DURHAM, HMP FRANKLAND Northumbria 2

Police/Probation Areas

HMP HOLME HMYOI DEERBOLT HMP ACKLINGTON HOUSE HMP HMYOI LOW HMP/YOI C KIRKLEVINGTON NEWTON (F) ASTINGTON GRANGE

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Prison Areas Police/Probation Areas Avon and Somerset 3 High Security Estate Contracted Prisons HMP/YOI ASHFIELD (P) HMP SHEPTON MALLET HMP BRISTOL Prisons Establishments Devon & Cornwall 3

South West Dorset 5 Gloucestershire 3 Wiltshire 1

Thames Valley, Hampshire & IOW Hampshire 5 Thames Valley 6 HMP WOODHILL

HMP CHANNINGS HMP/YOI HMP DORCHESTER HMP ERLESTOKE WOOD EASTWOOD PARK (F) HMP/YOI GUYS HMP/YOI HMP DARTMOOR MARSH GLOUCESTER HMP/YOI EXETER HMYOI PORTLAND HMP THE VERNE HMP THE WEARE HMP LEYHILL

HMP ALBANY HMP CAMP HILL HMP KINGSTON HMP PARKHURST HMP WINCHESTER

HMYOI AYLESBURY HMP BULLINGDON HMP GRENDON/ SPRING HILL HMYOI HUNTERCOMBE (J) HMYOI & RC READING

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Prison Areas Police/Probation Areas Staffordshire 6 High Security Estate Contracted Prisons HMP DOVEGATE (P)

West Midlands Warwicks West Mercia hire 0 6 HMP LONG LARTIN HMP WOLDS (P) HMP HMP BLAKENHURST BIRMINGHAM HMP BROCKHILL (F) HMP HEWELL GRANGE HMP SHREWSBURY HMYOI STOKE HEATH HMYOI BRINSFORD HMP EVERTHORPE HMP HULL West Midlands 2 Humberside 3

Yorkshire & Humberside North Yorkshire 3 HMP FULL SUTTON HMP/YOI DONCASTER (P) HMP/YOU ASKHAM GRANGE (F) HMYOI NORTHALLERTON HMYOI HATFIELD HMP LEEDS HMP/YOI NEW HALL (F) HMP WEALSTUN HMYOI WETHERBY (J) South Yorkshire 4 West Yorkshire 5 HMP WAKEFIELD

HMP&YOI DRAKE HALL (F) HMP FEATHERSTONE Prisons Establishments HMP STAFFORD HMYOI SWINFEN HALL HMYOI WERRINGTON (J)

HMP LINDHOLME HMP/YOI MOORLAND

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Section Four: The Prison Service; the Duty to Co-operate; & Lay Advisers

THE MAPPA GUIDANCE SECTION FOUR SUB-SECTION 2: THE DUTY TO CO-OPERATE Introduction 173. Section 325(3) of the Criminal Justice Act (2003) - see Appendix I imposes a ‘duty to co-operate’ with the MAPPA Responsible Authority on various organisations providing public services. This Section of the Guidance: (i) (ii) (iii) defines the nature of the duty and explains what it can involve in practice; outlines the role of those organisations on which it is imposed and the type of involvement each may have in the MAPPA; and, provides advice about the ‘memorandum’ which Section 325(5) requires the Responsible Authority in each Area to draw up with those organisations about the ways they will co-operate. The section is divided into five parts: • • • • • Introduction What the Duty to Co-operate Means and Involves Information sharing The Duty to Co-operate Agencies The Memorandum defining the Duty to Co-operate

174.

175. The development of the duty and the preparation of this Section of the Guidance have helpfully been informed by the relevant government departments and interest groups. Those departments provide a principal point of contact for their respective organisations whose details are provided in the next part of the guidance. The Home Office will maintain contact with them to review implementation and address issues the operation of the duty raises. 176. The purpose of the duty to co-operate is to help strengthen the MAPPA. The principal responsibility for protecting the public from sexual and violent offenders rests with the criminal justice agencies. However, the effectiveness of public protection often depends on more than just a criminal justice response. It is well known that other agencies play an important role in helping offenders to resettle and avoid re-offending. For example, research has shown that offenders with jobs have one-third to one-half lower rates of re-offending than offenders without employment. Re-offending among offenders who have stable accommodation on release from custody is similarly lower. The important contribution other agencies can make is also highlighted in cases where offenders have mental health problems or where they pose a risk of harm to children.

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177. While the professional ‘starting points’ and ‘finishing points’ of all the agencies involved in the MAPPA may be different, a formal means of cooperation is required when their responsibilities and expertise cover some of the same ground. Without co-operation we get collision – agencies unintentionally frustrating or compromising, some times with dangerous consequences, the work of one another. Preventing that collision and enabling joint working is essentially what the MAPPA duty to co-operate is about. 178. Enabling the co-operation of all those agencies, which work with MAPPA offenders, is therefore vital. Placing that co-operation on a statutory basis underpins the good practice that has already developed; and locates it clearly within the established framework of the MAPPA. It will complement and reinforce existing arrangements and those in development – for example in relation to child protection and domestic violence - which require multiagency joint working. It will also ensure greater consistency across England and Wales in the way agencies work together in the MAPPA. What the Duty to Co-operate Means and Involves 179. The legislation does not define the activities the duty to co-operate involves. It requires that what co-operation is to mean is determined in each Area through the ‘memorandum’ drawn up by the Responsible Authority with the agencies upon which the duty is imposed. Paragraphs 314-317 provide guidance on the content of the memorandum which must be based upon the true nature of the duty to co-operate, of which Section 325 defines five characteristics: (i) It is imposed only in respect of the functions defined in Section 325 i.e. the operational, case-related work involved in assessing and managing the risks posed by MAPPA offenders.

180. The duty does NOT extend to the MAPPA review functions defined in Section 326, which each Area’s Strategic Management Board (SMB) carries out. This does not prevent the agencies on which the duty to co-operate is imposed from being involved in the SMB (as many already helpfully do) should they wish to, but the duty does not require that involvement. (ii) The duty is reciprocal.

181. It requires the Responsible Authority to co-operate with the DUTY TO CO-OPERATE agencies and those agencies to co-operate with the Responsible Authority in assessing and managing the risks posed by MAPPA offenders. (iii) It requires the DUTY TO CO-OPERATE agencies to cooperate only in so far as this is compatible with their existing statutory responsibilities.

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182. Therefore, the duty does not require the agencies on which it is imposed to do anything other than what they are already required to do. It requires them to carry out their responsibilities, where these relate to MAPPA offenders, collaboratively with the Responsible Authority and the other duty to co-operate agencies. (iv) The duty is imposed only on those agencies identified in Section 325(6) & (9) and can only be varied by order of the Secretary of State.

Section Four: The Prison Service; the Duty to Co-operate; & Lay Advisers

183. The duty can only be extended to other agencies, and it can only be removed from one of the specified agencies, by order of the Secretary of State. Such an order is more than an administrative procedure: it involves the proposed order being formally approved by Parliament. Therefore, the Responsible Authority cannot decide to include other agencies within the duty to co-operate arrangements or to exclude those stipulated in section 325(6). Equally, an agency included in Section 325 (6) cannot opt out of the arrangements it is required to agree in the form of the Memorandum. (See next). (v) The Responsible Authority and the duty to co-operate agencies must set out the ways in which they are to cooperate in a memorandum which they must draw up together.

184. The purpose of the memorandum is to enable the practicalities of cooperation to be agreed locally. This makes good sense because it allows due account to be taken of the variations in the structure and relationships between all the agencies concerned, which differ, from one part of the country to another. 185. The purposes of co-operation are: to co-ordinate the involvement of different agencies in assessing and managing risk to enable every agency, which has a legitimate interest, to contribute as fully as its existing statutory role and functions requires in a way that complements the work of other agencies 186. The duty to co-operate may impact in different ways on the Responsible Authority and DtC agencies in each Area. However, the fundamental nature of the duty, as defined above, will remain the same, as will the principles upon which it is based:

Respect for role
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this may cause representatives of those agencies to feel dis-empowered or professionally compromised – a result, which the statutory basis of the duty is explicitly designed to prevent. Without this clarity, agencies may assume that a referral of a case to either a level 2 or level 3 meeting somehow diminishes or even absolves them of any continuing responsibility, which is not the case.

Section Four: The Prison Service; the Duty to Co-operate; & Lay Advisers

188. The requirement to draw up a memorandum makes clear that the ways in which the MAPPA agencies are to co-operate is determined locally. But while the memorandum will helpfully clarify local arrangements, the precise detail of each agency’s co-operation will often depend upon the particular circumstances of a case. The collaborative nature of the meeting does not fetter the discretion the representative of each agency retains, nor does it detract from the responsibility each agency retains for making its decisions and carrying them out.

Informing and influencing not command and control of one agency by another
189. Co-operation in the MAPPA is based on the integrity of each agency’s existing statutory role and responsibilities it must be based upon informing and influencing partners. Co-operation cannot be based on the command and control of one agency by another.

Co-ordination not Conglomeration
190. The MAPPA, and the duty to co-operate specifically, is a means of enabling different agencies to work together – the MAPPA is not a legal entity in itself but a set of administrative arrangements. Authority rests with each of the agencies involved. While consensus may be reached and joint action agreed, that consensus and action remain the responsibility of each agency playing its legitimate role. The MAPPA does not aggregate the responsibility and authority of the agencies involved, it clarifies the roles each agency is to play. Co-operation in the MAPPA must therefore not blur the inherent differences of approach, which characterises the purpose and professionalism of each of the agencies bound by the duty to co-operate. Partnership Working and Primary responsibility 191. Together, the principles described above and the definition of the duty to co-operate provided by Section 325, shape and support the partnership which is central to the effectiveness of the MAPPA. Co-operation is most effective where agencies feel they are partners to joint working, not tools. Engaging an agency’s co-operation is therefore dependent upon identifying that an agency has a legitimate interest or specific responsibility; advising about how best it can become involved; and, helping it to co-ordinate its involvement with that of other agencies. Version 1.3 © Crown Copyright 2004 72

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192. Effective partnership needs strong leadership. The Responsible Authority, as its statutory role makes clear, has the primary responsibility for establishing and maintaining the MAPPA. Its leadership of the co-operative, multi-agency assessment and management of risk will involve tasks related to the four basic functions of the MAPPA model: the identification of MAPPA offenders and the agencies with a specific responsibility for or a broader interest in the offender; information sharing to confirm that responsibility/interest and to inform risk assessment; the formal assessment of risk and the contribution each agency can make to the interpretation of all the relevant information about an offender; and, co-ordinating the plans to manage the identified risks. 193. Optimising co-operation will invariably require that a lead agency be identified. This is important so that once the risk has been assessed and their management planned, implementation is clearly led by the agency which has the primary responsibility for a case. Usually the identification of this agency will be obvious. For example, probation will have primary responsibility for offenders released from prisons under statutory supervision. Where an offender is not subject to statutory supervision but is subject to the requirements of sex offender registration, the police generally will have primary responsibility. Where the primary responsibility may not be so clear is where an offender is neither subject to statutory supervision nor required to register as a sex offender. In those cases, the agency which is to play the largest part in managing the risk should take the lead. 194. The clarification of which agency has primary responsibility does not diminish the responsibility each agency has. Nor does it imply that the lead agency has authority over the other agencies co-operating in the management of risk and the review of the arrangements. 195. The agency which has primary responsibility may change as the nature of the risk management plan changes. For example, where a police covert operation is mounted, it is likely that the police will lead. Where the principal means of managing the risks is accommodation in an ‘approved premises’ (probation hostel) then it is more likely to be probation taking the lead. 196. Clarifying the primary responsibility helps preserve the principles of the duty to co-operate and helps ensure that lines of accountability, which can unintentionally become blurred when several agencies work together, are also kept clear. It also assists in the transfer of cases either between areas or within area from one agency to another when, as a consequence of a formal review, risk is lowered and the arrangements to manage risk adjusted accordingly.

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The practicalities of co-operation

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197. The duty to co-operate must therefore involve respect for each agency’s role; respect for all the authority (and the limitations of that authority) each role entails; and respect for the discretion in using its authority which each agency retains. While co-operation can be co-ordinated through the MAPPA referral systems and by the identification of the agency with primary responsibility, co-operation will not always be plain sailing. Partnerships of the sort embodied by the effective co-operation in the MAPPA can be problematic, particularly when they involve individual offenders who present considerable challenges to the professionals concerned. 198. The memorandum each Responsible Authority will draw up with the agencies in its area will describe the ways in which they agree to co-operate. The specific activities involved in co-operation will however be determined by the circumstances of each case. The type of activities co-operation will involve can be broken down into four areas: (i) Providing a point of contact for other agencies: While much of the formal business of co-operation will be conducted at level 2 or level 3 (MAPPP) meetings, co-operation will also entail informal contact. To enable that informal contact and to channel the more formal engagement, it is important that each agency provides a point of contact, someone who can at least signpost the direction to take if not help smooth the way by brokering introductions and other arrangements. Providing general advice about an agency’s role and the type of services it provides. This can helpfully involve advice about how those services can be accessed. Providing specific advice about the assessment and/or the management of the risks a particular offender poses. Co-ordination: this key partnership function requires each agency to perform its role, to carry out its responsibilities, in ways which at best complements the work of other agencies, or at the least does not frustrate or compromise their work.

(ii) (iii) (iv)

199. What these activities are and how they can best be organised - how co-operation is achieved – can be established by adopting the three-step approach. (i) (ii) (iii) Clarify what it is you would like an agency to do. Ask the agency whether that falls within the scope of its role – i.e. whether it is legitimate for it to do it. If it is, then ask: How would you do it? This will help clarify what the practical information AND who within the duty to co-operate agency will be responsible for co-operating.

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200. Clearly, one of the most important means by which co-operation is achieved is by sharing information. Given that importance and its potential sensitivity, the following part of this section of the Guidance expands upon the principles established as contained in paragraphs 78-95. Information Sharing 201. The purpose of this part of the Guidance is to give further advice about information sharing which is a potentially sensitive issue in implementing the duty to co-operate. What follows is based on the legal advice and principles contained in the Information Sharing section in paragraphs 78-95 of the original Guidance. The following must not be seen or interpreted as a departure from that guidance. As with much of the Guidance, this further advice does not seek to prescribe how all cases involving information sharing will be dealt with. Whether information should be shared and, if so, what information and to whom, must be decided on a case-by-case basis. 202. Confident, appropriate and effective sharing of information is a very important part of the duty to co-operate. The effectiveness of the information sharing arrangements will reflect the effectiveness of co-operation within the MAPPA as a whole. However, not all the information shared will be personal information, that is the information covered by privacy laws (the common law duty of confidentiality, the protection of personal information required by the Data Protection Act and Article 8 of the European Convention of Human Rights). This part of the Guidance relates only to sharing personal information. In doing so, particular attention has been taken of the policies on confidentiality and information sharing issued by or governing the duty to cooperate agencies. [These policies include the Department of Health’s NHS

Code of Practice on Confidentiality (issued in November 2003) and that contained in Chapter 5 of the Guidance on local statutory crime partnerships.]37
203. Information sharing is not an end in itself; and it is more than a protocol about how information and what information will be shared, important though those are. The use to which the information shared can be put and the interpretation of its significance is ultimately what is of greatest value. That interpretation or analysis will form the basis of risk assessment and the foundation of the plans to manage risk. The duty to co-operate should not only enable better sharing of information but better interpretation and analysis too. The duty will enable different professional insights to be brought to bear, which can make the assessment and understanding of risk more accurate and more complete. 204. In establishing the duty to co-operate, the emphasis must be placed as much upon the interpretative and analytical skills co-operation can bring, not just the mechanisms for sharing information, very important though they are.
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This italicised section is only relevant to areas in England and not those in Wales

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205. is is is is

The law requires that personal information: obtained and processed fairly and lawfully; only disclosed (shared) in appropriate circumstances; accurate, relevant and not held any longer than necessary ; and kept securely.

206. The lawful authority of criminal justices agencies in the context of information sharing in the MAPPA is readily understood. Moreover, the police, probation and prison services, although different in their own ways, have a common approach to information sharing. This approach can seem very different to duty to co-operate agencies whose responsibilities may not require or enable them to share information in the same way. Nevertheless, Section 325 makes clear their remit within the MAPPA and other statutes, for example, Section 115 of the Crime and Disorder Act (1998), creates legitimate expectations of their being able to share information. 207. Critical to the justification of information sharing are the twin requirements of necessity and proportionality. The necessity criterion requires that there is a pressing public protection need. The proportionality criterion requires the information shared must be only that information necessary to achieve the purpose for which it is being shared. Further explanation of this is provided below. 208. To reiterate, sharing information is not an end in itself. To identify the purpose of sharing information and to ensure that the agencies’ obligations to retain and use the information lawfully are fulfilled, it is helpful to keep the following in mind. The persons with whom information is shared must know: why they have been given it: i.e. the purpose for which the information has been given must be connected either to that person's authority and role as a representative of the duty to co-operate agency; or as someone to whom disclosure is justified because of the exceptional risks posed to them by the offender; that it must remain confidential, be kept safely and retained only for as long as necessary; and what they are expected to do with that information. 209. Clarity about these matters will help instil the confidence of the professionals representing the duty to co-operate agencies. Information sharing and health professionals 210. Particularly, attention will need to be paid to the way health professionals approach sharing information. The duty imposed by Section 325 does not create a requirement to disclose in all cases but provides a statutory gateway that permits disclosure when it is necessary, as does Section 115 of Version 1.3 © Crown Copyright 2004 76

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the Crime and Disorder Act. [This guidance is to be understood and interpreted as being consistent with the Department of Health’s Code of Practice on confidentiality (which was published in November 2003 and can be found at:

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http://www.dh.gov.uk/PolicyAndGuidance/InformationPolicy/Patie ntConfidentialityAndCaldicottGuardians/Caldicott/NHSCaldicottGua rdians/fs/en?CONTENT_ID=4015639&chk=xJEIeq ) (It should be noted, however, that Section 96 of the Sexual Offences Act 2003 contains specific provision to allow the Home Secretary to make regulations on the sharing of information on registered sex offenders. This would place a statutory requirement on those responsible for registered sex offenders (such as a prison or hospital) to inform others when the offender is transferred or released. Further guidance on this requirement will be issued by the Home Office when the regulations are made.)]38 the President of the General Medical Council and the Chairman of the Medical Ethics Committee of the British Medical Association]39 Note has also been
taken of the guidance the Royal College of Psychiatrists has issued about involvement in the MAPPA. It is important to highlight two aspects of information sharing involving health professionals. First, the issue of consent; and second the issue of disclosure before risk of harm to others has been identified. 211. [That Code was formally endorsed by the Information Commissioner,

212. Medical guidance generally emphasises the importance of receiving the consent of the individual concerned prior to any information sharing. It also describes the circumstances in which that may not be appropriate. The relevant health professional (a doctor where issues of medical confidentiality arise) will be able to advise the Responsible Authority on the implications based upon the circumstances of each case. It is important that all parties involved in information sharing are clear about their respective roles, authority and obligations before sensitive information is shared. This highlights the importance of the principle underpinning the duty to cooperate, which requires that the boundaries defining the role and authority of each agency, and its representative, is clearly understood.

helpful reference may usefully be made to the ‘disclosure model B3’ in the NHS Code of Practice on confidentiality. The following paragraphs are extracted from Annex B of the Code, which relate to the disclosure of information where the purpose is unrelated to health care or another medical purpose.]40

213.

[With regard to the specific issue of consent and information sharing,

This italicised section is not relevant to areas in Wales This italicised section is not relevant to areas in Wales 40 This italicised section and the subsequent extract are not relevant to areas in Wales
38 39

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“Common Law and disclosure in the Public Interest “27. The key principle of the duty of confidence is that information confided should not be used or disclosed further in an identifiable form, except as originally understood by the confider, or with his or her subsequent permission. NHS organisations should have, or be putting in place, procedures for reviewing the appropriateness and necessity of using confidential patient information to support specific purposes. They should also be developing staff codes of practice and putting in place information sharing protocols to govern working across organisational boundaries. “28. There are exceptions to the duty of confidence that may make the use or disclosure of confidential information appropriate. Statute law requires or permits the disclosure of confidential patient information in certain circumstances, and the Courts may also order disclosures. Case law has also established that confidentiality can be breached where there is an overriding public interest. “29. In some circumstances however, there is no reasonably practicable way of meeting these common law obligations whilst still effectively satisfying an important requirement. Where this is accepted to be the case by the independent statutory Patient Information Advisory Group (PIAG) it may be possible to use powers provided under section 60 of the Health & Social Care Act 2001 to set aside obligations of confidentiality, in effect replacing them with a regulatory code. When section 60 support is provided it is lawful to share information. “In the ‘public interest’/ to protect the public “30. Under common law, staff are permitted to disclose personal information in order to prevent and support detection, investigation and punishment of serious crime and/or to prevent abuse or serious harm to others where they judge, on a caseby-case basis, that the public good that would be achieved by the disclosure outweighs both the obligation of confidentiality to the individual patient concerned and the broader public interest in the provision of a confidential service. “31. Whoever authorises disclosure must make a record of any such circumstances, so that there is clear evidence of the reasoning used and the circumstances prevailing. Disclosures in the public interest should also be proportionate and be limited to relevant details. It may be necessary to justify such disclosures to the courts or to regulatory bodies and a clear record of the decision making process and the advice sought is in the interest of both staff and the organisations they work within. “32. Wherever possible the issue of disclosure should be discussed with the individual concerned and consent sought. Where this is not forthcoming, the individual should be told of any decision to disclose against his/her wishes. This will not be possible in certain circumstances, e.g. where the likelihood of a violent response is significant or where informing a potential suspect in a criminal investigation might allow them to evade custody, destroy evidence or disrupt an investigation.

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“33. Each case must be considered on its merits. Decisions will sometimes be finely balanced and staff may find it difficult to make a judgement. It may be necessary to seek legal or other specialist advice (e.g. from professional, regulatory or indemnifying bodies) or to await or seek a court order. Staff need to know who and where to turn to for advice in such circumstances. “Figure 7: Examples of Disclosure to Protect the Public

“Serious Crime21 and National Security “The definition of serious crime is not entirely clear. Murder, manslaughter, rape, treason, kidnapping, child abuse or other cases where individuals have suffered serious harm may all warrant breaching confidentiality. Serious harm to the security of the state or to public order and crimes that involve substantial financial gain or loss will also generally fall within this category. In contrast, theft, fraud or damage to property where loss or damage is less substantial would generally not warrant breach of confidence. “Risk of Harm “Disclosures to prevent serious harm or abuse also warrant breach of confidence. The risk of child abuse or neglect, assault, a traffic accident or the spread of an infectious disease are perhaps the most common that staff may face. However, consideration of harm should also inform decisions about disclosure in relation to crime. Serious fraud or theft involving NHS resources would be likely to harm individuals waiting for treatment. A comparatively minor prescription fraud may actually be linked to serious harm if prescriptions for controlled drugs are being forged. It is also important to consider the impact of harm or neglect from the point of view of the victim(s) and to take account of psychological as well as physical damage. For example, the psychological impact of child abuse or neglect may harm siblings who know of it in addition to the child concerned.

“Other disclosures in the public interest “34. Similarly, when the public good that would be served by disclosure is significant, there may be grounds for disclosure. The key principle to apply here is that of proportionality. Whilst it would not be reasonable and proportionate to disclose confidential patient information to a researcher where patient consent could be sought, if it is not practicable to locate a patient without unreasonable effort and the likelihood of detriment to the patient is negligible, disclosure to support the research might be proportionate. Other factors e.g. ethical approval, servicing and safeguards, anonymisation of records and/or clear deletion policies etc might also influence a decision on what is proportionate. It is important not to equate “the public interest” with what may be “of interest” to the public.” Serious Crime, as defined by the GMC is ‘a crime that puts someone at risk of death or serious harm and would usually be crimes against the person, such as abuse of children’ (GMC guidance ‘confidentiality: Protecting and Providing Information paragraph 37)

21

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The second aspect which it is important to highlight is that, as will be clear from above, disclosure or sharing of information by health professionals cannot precede justification. The ‘MAPPA model’ implies that all relevant information is collated so that an accurate assessment of risk will be undertaken. It is reasonable for health professionals to await justification based on assessed risk before disclosing information.

214.

Information sharing: MAPPP minutes 215. The MAPPA have proved an effective means of engaging the involvement of different agencies. Part of its effectiveness has been based on the strict observance of the confidentiality of the minutes of what are often sensitive MAPPA meetings. The status of these minutes and the extent to which they can and should be disclosed has been questioned. The following clarifies the general position and the approach to be adopted when disclosure of minutes to those not party to the meeting is made. 216. First, if, as they invariably will, the minutes contain personal information about individuals (victims, informants, as well as offenders), there is a requirement for that information to be kept confidential and not to be disclosed to third parties. MAPPP minutes must be treated by the duty to cooperate agencies receiving them as ‘third party information’. Secondly, the Data Protection Act also requires that a person to whom personal information relates has a right to disclosure of that information, subject to various exemptions and exceptions. Where requests for disclosure have been made, police and probation have successfully resisted disclosure by offering instead a formal, reasoned assessment of risk. Where disclosure has been required it has been on the basis of disclosing information about the level of risk posed by the offender and not all the plans to manage those risks. 217. Requests for disclosure of MAPPP minutes by an offender or their legal representative should be treated as a Subject Access Request (SAR) authorised under the Data Protection Act. The agency whose representative chaired the meeting to whom the minutes belong will consult with the other agencies which attended the meeting and consider whether the information can be withheld on the grounds provided by one of the exemptions and/or exceptions to the Data Protection Act. Where there is a lack of clarity about how to proceed, the Responsible Authority should seek legal advice. 218. The template of a protocol on information sharing under Section 115 of the Crime and Disorder Act (which can be accessed through this link www.crimereduction.gov.uk/toolkits/ui04.htm) may be adapted for inclusion in the Memorandum (see below). It also provides a reiteration of the key issues involved in information sharing among criminal justice and non-criminal justice agencies. 219. The development of the MAPPA has raised a number of questions about good practice in the production and use of the minutes of MAPPA meetings, principally MAPPP minutes. The following guidance is designed to Version 1.3 © Crown Copyright 2004 80

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address these issues. However, it is not the intention here to provide detailed instruction on the precise nature of the structure and content of minutes and their use – these should be matters of good practice already established by all the Responsible Authorities in respect of their other responsibilities, most obviously in the field of child protection.
220.

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It is important that an accurate record of the salient features of the discussions and of the decisions reached at MAPPA meetings are made and kept. These records will form part of the basis of defensible decision-making. It is advisable for minutes to make clear: that they are a record of a meeting held under the auspices of the MAPPA – and therefore that those attending understand the basis upon which the meeting is held – including the confidential nature of the proceedings and the minutes; who attends the meeting and in what capacity; the identity of the offender – it is good practice to record the deliberations on each offender separately – and whether the meeting is the initial, or further or review of the offender; those issues which are relevant to the assessment and the management of risk: for each risk factor identified there should be a correspondence response as to how that factor will be managed; and, the actions it is decided will be taken as a consequence of the discussion and who will take them.

221. The minutes of the meeting should be treated as confidential. This does not mean that the minutes can never be given to anyone else. The minutes should be given only to those attending the meeting and should be seen only by those persons and those who have the authority and duty to consider what was discussed and decided. The minutes should therefore be kept safely and securely so that their confidence is preserved. Although not every meeting will necessarily deal with the most sensitive issues, many will and inadvertent disclosure can cause very serious consequences. It is important therefore for those duty to co-operate agencies and their representatives who may be unfamiliar and less confident about handling information of the sort engagement with the MAPPA entails, may need clear and detailed advice about how minutes should be treated. Finally, MAPPA minutes are records made and kept for a specific purpose. They should not be used for any other purpose unless there is a clear and compelling reason to do so which does not compromise the integrity of professional practice and the law. The minutes may well contain personal information about third parties as well as offenders – including information about members of staff of the agencies involved. The minutes also record the activities of co-operation the duty to co-operate involves, and/or the agreement to collaborate in those activities. While not all of those activities will be very sensitive, many will and the confidence of all those involved depends upon the integrity with which the discussions and agreed actions were established remain confidential. There should rarely be a need to disclose minutes in their entirety to anyone not party to the meeting.
222.

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The ‘Duty To Co-Operate’ Agencies (England)

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223. This part of the Guidance clarifies which agency will discharge the duty to co-operate and outlines the type of role each can perform, the detail of which will be agreed locally in the Memorandum. It also contains a summary of the role of those Home Office units which play an important part in decisions to release and to recall offenders: the Mental Health Unit, the Lifer Review and Recall Section, the Parole Board and the Early Release and Recall Section (paragraphs 287-313). In a number of Areas ‘protocols’ or other formal agreements about other agencies’ involvement with the MAPPA have already been established. The implementation of the duty to co-operate and the requirement to draw up the Memorandum provides an opportunity to review those agreements and to establish them where they do not already exist. 224. Section 325(6) indicates which bodies have a duty to co-operate and the sections below (para 228 –254) identify which agency within each body will discharge that duty and the government department with overall interest. It also identifies the officials in each of those departments who have contributed to the development of the policy on the duty as it affects their agencies, helping to clarify each agency’s general role and the type of contribution the Responsible Authorities can expect each to make in their Areas. 225. The different organisation and structure of each of the duty to cooperate agencies means that co-operation cannot neatly be defined with each of the 42 police/probation Areas of England and Wales. This throws into sharper relief the importance of the Memorandum in which the lack of geographical congruity can be addressed and the relevant contacts within each agency identified. 226. It is also important to recognise that the powers devolved to the National Assembly for Wales cover several of the duty to co-operate functions. While the principles and general approach to co-operation will be the same, differences exist that will effect how the Responsible Authority in each of the four police/probation Areas in Wales proceeds. Guidance for Wales is therefore included at paragraphs 255-286. The following definitions of the duty to co-operate agencies therefore apply to England only. 227. From the following descriptions of the roles of the ‘duty to co-operate’ agencies, it can be seen that the nature of that co-operation will vary from one agency to another and from case to case. In approaching the establishment of the duty to co-operate arrangements, the Responsible Authority must distinguish these differences – and thereby give life to the principle of ensuring that the role and authority of each of the duty to cooperate agencies is duly respected.

NB The contact name and e-mail provided at the foot of each agency’s role definition should only be used when area-based representatives of the agency concerned have been unable to clarify the issues you raise. It is helpful to
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copy your e-mail correspondence to the NPD’s MAPPA team within the Public Protection & Courts Unit.
Youth Offending Teams

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228. Local authorities across England and Wales have a statutory duty to establish Youth Offending Teams (YOTs), which are themselves Multi-agency partnerships in which police and probation play an important role. The YJB recognises that an important part of the duty to co-operate which YOTs have requires them to agree the process by which offenders for whom the YOT has supervisory responsibility and who are MAPPA offenders are referred into the MAPPA at Level 2 or Level 3 (the MAPPP). The Responsible Authority should regard YOTs as performing the ‘single agency’ risk assessment and risk management at MAPPA Level 1. YOTs are responsible for the supervision of all young people on community orders, during the community element of the DTO and during the licence period of Section 90 and Section 91 sentences. 229. Most of the young offenders for whom YOTs have responsibility will not, by virtue of the type and length of sentence they receive (see Section 327), fall within MAPPA. There are three types of offenders for whom YOTs have responsibility that may require MAPPA involvement: (i) (ii) those who qualify as either Category 1 or Category 2 MAPPA offenders who cannot be appropriately managed by Level 1 (i.e. by the YOT alone); those who can be managed at Level 1 AND those identified in (i) above, whose supervision has be transferred to the Probation Service – generally those serving Section 91 sentences for very serious offences; and, those who are the responsibility of a YOT who fall into neither MAPPA Category 1 or 2 but do fall into Category 3.

(iii)

230. Although not required as part of the MAPPA ‘duty to co-operate’, the YJB strongly recommends that YOTs are represented on the Strategy Management Board (SMB) of MAPPA. Contact: Vicki.Castro-Spokes@yjb.gsi.gov.uk

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Jobcentre Plus 231. Jobcentre Plus is an executive agency of the Department for Work and Pensions. In April 2002, the Employment Service, which ran Jobcentres, and those parts of the Benefits Agency which provided services to people of working age through social security offices, were combined to form the Jobcentre Plus agency. The purpose of the agency is to help: more people into paid work; employers fill their vacancies; and, to give people of working age the help and support which they are entitled to if they cannot work. 232. It has been agreed with colleagues in the Head Office of Jobcentre Plus that the duty to co-operate in the MAPPA will be founded on the agreement established in Probation Circular (PC) 48/1999, Disclosure to the Employment Service of Restrictions that should be placed on the Employment of Potentially Dangerous Offenders. This circular is being updated and will make due reference to the MAPPA when it is reissued. 233. In notifying local Jobcentre Plus offices that restrictions should be placed on an offender’s employment, only the identity of the offender and the nature of the employment from which the offender should be restricted must be disclosed to Jobcentre Plus locally. Information should be provided on the agreed notification stencil operating in every National Probation Area and sent to the Business Manager at the local Jobcentre Plus office where the offender will be claiming benefits and/or accessing its services. No other information is needed by the Jobcentre Plus office to co-operate in the terms defined by Section 325. Disclosing information about an offender which the office does not need may be unlawful and compromises the ability of the Jobcentre Plus office to co-operate. 234. Of course, not all offenders will use Jobcentre Plus offices to seek employment. Informing those offices (exactly which will be informed must be agreed by the Responsible Authority and the managers of those offices in each Area) is therefore likely to form only a small part of a risk management plan. If consideration in drawing up the risk management plan is given to involving other employment agencies – the Jobcentre Plus agency has no responsibility for other employment agencies – then such involvement will be established outwith the duty to co-operate. Contacts: Mick.donelan@jobcentreplus.gsi.gov.uk joanne.coker@jobcentreplus.gsi.gov.uk

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management of schools and the local education service. Their ‘core business’ does not therefore involve them directly with the assessment and management of MAPPA offenders. It has been agreed with the DfES that the most likely involvement of LEAs in the MAPPA is in cases which involve, either: (a) (b) a MAPPA offender aged under 18 and who is referred by the YOT to the MAPPA at either Level 2 or Level 3; or in cases of those MAPPA offenders who pose risks to young people for whom the LEA has a responsibility/duty of care which may be affected by the arrangements to manage the risks the MAPPA offender poses.

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236. In both cases it is likely that the LEA will become involved through the auspices of either the YOT, of which the LEA is a statutory partner; or through their involvement in child protection arrangements. However, this cannot be taken for granted and it is agreed with the DfES that the conduit through which the Responsible Authority will establish contact with the LEA in England is the Investigation & Referral Support Co-ordinators (IRSCs), of whom there are 24 in England. There should be no need, save in a case of exceptional circumstances for the Responsible Authority to involve the LEAs senior statutory figure, the Chief Education Officer, whom each LEA has a duty to appoint under Section 532 of the Education Act 1996. 237. The LEA representative should be able to provide an insight into the workings of schools and the LEA and should have some knowledge of child protection, information sharing protocols and current arrangements for risk assessment. The education service, particularly schools, can make a helpful contribution to the work of MAPPA because: Schools are able to provide their pupils with programmes of child protection awareness training. i.e. Stranger Danger etc. This training can be re-enforced at times when there is a particular local risk. School staff are well placed to be alert and aware regarding activities within the locality that could provide a threat to pupils. In particular situations, and with the authorisation of the Police, schools are in a position to warn individuals or groups of pupils, or staff, regarding possible danger. Schools are able to provide a safe environment during the daytime for children and young people. The local school is often the first port of call for parents who want to voice their concern regarding worrying activities in the area. Schools are often able to provide helpful information to assist the work of MAPPPs. DfES contact: Terry.HEGARTY@dfes.gsi.gov.uk

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Local Housing Authorities 238. Local Housing Authorities have two functions that relate to the resettlement of offenders: the allocation of long-term accommodation and the provision of housing assistance for people who are homeless. It is important to make clear that the duty to co-operate on local housing authorities does NOT create a new duty to accommodate offenders. In determining the nature and shape of the duty of and to local housing authorities it may be helpful to understand the nature of these two housing functions. 239. Under homelessness legislation local housing authorities must ensure that advice and information about homelessness, and preventing homelessness, is available to everyone in their district free of charge. They must also ensure that suitable accommodation is available for people who apply to them for housing assistance and the authority are satisfied that they are eligible for assistance, have become homeless through no fault of their own and they fall within a priority need group. This is known as "the main homelessness duty". 240. The priority need groups are specified in legislation and include, among others, families with dependant children and households that include a pregnant woman or someone who is vulnerable for some reason. A person who is vulnerable as a result of time spent in custody has a priority need for accommodation under the homelessness legislation. Authorities must secure accommodation until a settled home becomes available, or some other circumstance brings the duty to an end. 241. Clearly, given the importance of accommodation in the resettlement of offenders and hence in the assessment and management of risk, local authority housing representatives can make an important contribution to the MAPPA. As indicated above, this will not necessarily mean that they have a specific duty to accommodate an offender but their advice about accommodation and the procedures by which it is allocated and the suitability of particular housing stock will provide a valuable contribution. Contact: Frances.Walker@odpm.gsi.gov.uk Registered Social Landlords (RSLs) 242. Registered Social Landlord (RSL) is the technical name for social landlords that are registered with the Housing Corporation — most are housing associations, but there are also trusts, co-operatives and companies. Housing associations are run as businesses but they do not trade for profit. Any surplus is ploughed back into the organisation to maintain existing homes and to help finance new ones. Housing associations are the main providers of new social housing. There are over 2,000 housing associations in England, currently managing around 1.45 million homes and housing at least twice that many people. Version 1.3 © Crown Copyright 2004 86

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243. Most associations are small and own fewer than 250 homes. However, the largest seven per cent of associations — those with 2,500 plus homes — own 78 per cent of all the sector’s homes. Some were founded centuries ago but many trace their origins to the 1960s and over the last decade, many new associations have been formed to manage and develop homes transferred to them by local authorities. The Housing Corporation is the Non-Departmental Public Body (NDPB), sponsored by the Office of the Deputy Prime Minister (ODPM), which regulates RSLs. 244. Not all RSLs provide accommodation for MAPPA offenders, and it is only those which do that are required to co-operate in the MAPPA. It is likely that as providers of accommodation, the duty to co-operate will only engage those RSLs when they are giving consideration to accommodating a MAPPA offender. However, the precise nature of the duty is determined by the RSLs with the Responsible Authority in each Area and may include the provision of general advice too. Contact: Deborah.Ilott@housingcorp.gsx.gov.uk Local Authority Social Services - Councils with Social Services Responsibilities 245. The links between the responsibilities of councils with social services responsibilities and the MAPPA are likely to be in the area of child protection and safeguarding. The MAPPA authorities are likely to be members of the Area Child Protection Committee (ACPC), and individual practitioners in police, probation and social services will also be working together to manage the risk posed to children by particular dangerous offenders. 246. Local authorities have a duty, under section 47 of the Children Act 1989, that where they have reasonable cause to suspect that a child who lives, or is found, in their area, is suffering, or likely to suffer, significant harm, they should make, or cause to be made [for example, by the MAPPA authorities], such enquiries as they consider necessary to enable them to decide whether they should take any further action to safeguard or promote the child’s welfare. A ‘reasonable cause to suspect’ may arise because of the known presence of a dangerous offender in the area, and local authority staff will need to work with staff from the MAPPA authorities to manage the risk that person poses to children. 247. If practitioners require further information about the sharing of information on either children or dangerous offenders, for the purposes of child protection, they should refer to the Information Sharing Appendix (Appendix 3) of the Government guidance ’What To Do If You’re Worried A Child Is Being Abused’. Contact: Melissa.Leffler@dfes.gsi.gov.uk Version 1.3 © Crown Copyright 2004 87

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Health bodies and the Duty to Co-operate

Section Four: The Prison Service; the Duty to Co-operate; & Lay Advisers

The following outline of the ‘constitution’ of the NHS, taken from the NHS website (www.nhs.uk/thenhsexplained/HowTheNHSWorks.asp) may help locate the duty to co-operate and clarify how its practical arrangements fit in the wider health service.
“The NHS “Through the ‘Shifting the Balance of Power’ programme of changes the Department of Health is reforming the way the NHS works. The aim is to design a service centred around patients, which puts them first. The main feature of the change has been to give locally-based Primary Care Trusts (PCTs) the role of running the NHS and improving health in their areas. This has also meant creating new Strategic Health Authorities which cover larger areas and have a more strategic role. “Strategic Health Authorities “In April 2002, 28 new, larger Strategic Health Authorities (SHAs) were set up to develop strategies for the NHS, and to make sure their local NHS organisations were performing well. The new health authorities have a strategic role. This means they are responsible for: • • • • developing plans for improving health services in their local area; making sure local health services are of a high quality and are performing well; increasing the capacity of local health services - so they can provide more services; and, making sure national priorities - for example, programmes for improving cancer services – are integrated into local health service plans. They manage the NHS locally and are a key link between the Department of Health and the NHS.

“Primary Care and Primary Care Trusts “Primary care is the care provided by people usually seen when you first have a health problem. It might be a visit to a doctor or dentist, an optician for an eye test, or just a trip to a pharmacist to buy cough mixture. NHS Walk-in Centres, and the phone line NHS Direct, are also part of primary care. All the people offering primary care are now managed by new local health organisations called Primary Care Trusts. “Primary Care Trusts (PCTs) are new local health organisations responsible for managing health services in your local area. They work with local authorities and other agencies that provide health and social care locally to make sure the community's needs are being met. PCTs are now at the centre of the NHS and disburse 75 per cent of the NHS budget. As they are local organisations, they are in the best position to understand the needs of

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their community, so they can make sure that the organisations providing health and social care services are working effectively. “For example, PCTs must make sure there are enough services for people in their area and that they are accessible to patients. They must also make sure that all other health services are provided, including hospitals, dentists, opticians, mental health services, NHS walk-in Centres, NHS Direct, patient transport (including accident and emergency), population screening, pharmacies and opticians. They are also responsible for getting health and social care systems working together to the benefit of patients “Care Trusts “Care Trusts are organisations that work in both health and social care. They may carry out a range of services, including social care, mental health services or primary care services. Care trusts are set up when the NHS and Local Authorities agree to work closely together, usually where it is felt that a closer relationship between health and social care is needed or would benefit local care services. At the moment there are only a small number of Care Trusts, though more will be set up in the future. “Secondary Care “If a health problem cannot be sorted out through primary care, or there is an emergency, the next stop is hospital. If you need hospital treatment, a GP will normally arrange it for you. NHS hospitals provide acute and specialist services, treating conditions which normally cannot be dealt with by primary care specialists. PCTs are responsible for planning secondary care. They look at the health needs of the local community and develop plans to improve health and set priorities locally. They then decide which secondary care services to commission to meet people’s needs. Therefore they work closely with the providers of the secondary care services that they commission to agree about delivering those services. “Mental Health Trusts “Mental health services can be provided through your GP, other primary care services, or through more specialist care. This might include counselling and other psychological therapies, community and family support, or general health screening. For example, people suffering bereavement, depression, stress or anxiety can get help from primary care or informal community support. If they need more involved support they can be referred for specialist care. “Specialist care is normally provided by specialist mental health services in NHS hospital trusts or local council social services departments. Services range from psychological therapy, through to very specialist medical and training services for people with severe mental health problems. About two in every thousand people need specialist care for conditions such as severe anxiety problems or psychotic illness.

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“NHS Trusts “Hospitals are managed by NHS Trusts, which make sure that hospitals provide high quality health care, and that they spend their money efficiently. They also decide on a strategy for how the hospital will develop, so that services improve. Trusts employ most of the NHS workforce, including nurses, doctors, dentists, pharmacists, midwives and health visitors as well as people doing jobs related to medicine – physiotherapists, radiographers, podiatrists, speech and language therapists, counsellors, occupational therapists and psychologists. There are many other nonmedical staff including receptionists, porters, cleaners, IT specialists, managers, engineers, caterers and domestic and security staff. Some trusts are regional or national centres for more specialised care. Others are attached to universities and help to train health professionals. Trusts can also provide services in the community, for example through health centres, clinics or in people’s homes.

248. Mental Health Trusts are the most significant health bodies on whom the duty to co-operate will fall because most instances will involve mentally disordered offenders. However, the duty does apply to all health bodies. There are particular sensitivities about working with health professionals because of the very different relationship they have with their patients. In establishing arrangements to co-operate with Mental Health Trusts it will be most important to observe the principles which underpin the duty to cooperate. 249. The process of establishing those arrangements should involve a mutual clarification of expectations based upon the role and authority of the role of each agency’s representative. Discussions with the Royal College of Psychiatrist’s Forensic Faculty have helpfully highlighted the importance of clarity of role and authority. The Royal College has helpfully signalled in the guidance it is issuing to its members the importance of senior representation. The guidance can be accessed through the following link: www.rcpsych.ac.uk/members/membership/public_protection.htm 250. Clearly, the sensitivities of information sharing in respect of cooperation with the health service can be acute. However, all the advice and published guidance indicates that clarity about roles and about the legal principles which enable information to be shared in certain circumstances, will avoid misunderstanding and disagreement. Reference is made in the section on information sharing to those principles and the published guidance and advice (Paragraphs 78-95 & 201-214). 251. The benefits for the health service of co-operation in the MAPPA have been summarised as providing: a source of information about patients; a conduit of referral and framework for joint working; a useful source of advice on the appropriateness and implications of various medical treatments/interventions; Version 1.3 © Crown Copyright 2004 90

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help in the management of risk in complex cases.

Section Four: The Prison Service; the Duty to Co-operate; & Lay Advisers

252. It is worth remembering that the history of multi-agency risk management predates the development of MAPPA and there will continue to be a need to make appropriate arrangements when an individual is not subject to MAPPA. Electronic Monitoring (EM) Providers 253. EM providers have been included in the duty to co-operate in acknowledgement of the important service they can provide as part of a highrisk management plan. Their duty to co-operate is to be understood as being synonymous with their contractual responsibilities. In practical terms this may involve EM providers: providing a point of contact for advice to the Responsible Authority on the available technology, explaining what it can and cannot do; and exceptionally, attending MAPPA meetings (generally only MAPPP meetings) when the needs of a particular case demands. 254. The larger part of the work of the EM providers concerns ‘tagging’ for the Home Detention Curfew scheme. Some MAPPA offenders are eligible and may be released early from custody under this scheme. However, it is unlikely that this work will lead to any involvement of the EM providers with the MAPPA in addition to that which already requires EM providers to work in conjunction with police and probation. This is because the criteria for release under the HDC scheme is that the offender has stable, suitable accommodation and that he/she poses no risk of harm or of re-offending. However, where a MAPPA offender has been released on HDC becomes a higher risk, the EM provider may helpfully contribute to the assessment and further management of that risk. Contact: Barry Snelgrove: Barry.Snelgrove@homeoffice.gsi.gov.uk

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The Duty To Co-Operate Agencies (Wales) 255. The National Assembly of Wales is responsible for a number of the duty to co-operate functions within Wales, including health, housing and education. While the principles and general approach to co-operation will be the same as in England, differences exist that will affect how the Responsible Authority in each of the four police/probation Areas in Wales engage with the duty to co-operate agencies. This will also be relevant to other areas where MAPPA offenders have come from or are moving to Wales. 256. This part of the Guidance clarifies which agency will discharge the duty to co-operate and outlines the type of role each can perform, the detail of which will be agreed locally in the Memorandum. It also contains a summary of the role of those Home Office units which play an important part in decisions to release and to recall offenders: the Mental Health Unit, the Lifer Review and Recall Section, the Parole Board and the Early Release and Recall Section (paragraphs 287-313). In a number of areas ‘protocols’ or other formal agreements about other agencies’ involvement with the MAPPA have already been established. The implementation of the duty to co-operate and the requirement to draw up the Memorandum provides an opportunity to review those agreements and to establish them where they do not already exist. 257. Section 325(6) indicates which bodies have a duty to co-operate And the sections below (paragraphs 260-286) identify which agency within each body will discharge that duty and the government department with overall interest. It also identifies the officials in each of those departments who have contributed to the development of the policy on the duty as it affects their agencies, helping to clarify each agency’s general role and the type of contribution the Responsible Authorities can expect each to make in their Areas. 258. The different organisation and structure of each of the duty to cooperate agencies means that co-operation cannot neatly be defined with each of the 42 police/probation Areas of England and Wales. This throws into sharper relief the importance of the Memorandum in which the lack of geographical congruity can be addressed and the relevant contacts within each agency identified. 259. From the following descriptions of the roles of the ‘duty to co-operate’ agencies, it can be seen that the nature of that co-operation will vary from one agency to another and from case to case. In approaching the establishment of the duty to co-operate arrangements, the Responsible Authority must distinguish these differences – and thereby give life to the principle of ensuring that the role and authority of each of the duty to cooperate agencies is duly respected.

NB The contact name and e-mail provided at the foot of each agency’s role definition should only be used when area-based representatives of the agency
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concerned have been unable to clarify the issues you raise. It is helpful to copy your e-mail correspondence to the NPD’s MAPPA team.
Youth Offending Teams 260. Local authorities across England and Wales have a statutory duty to establish Youth Offending Teams (YOTs), which are themselves multi-agency partnerships in which police and probation play an important role. The YJB recognises that an important part of the duty to co-operate which YOTs have requires them to agree the process by which offenders for whom the YOT has supervisory responsibility and who are MAPPA offenders are referred into the MAPPA at Level 2 or Level 3 (the MAPPP). YOTs should be regarded by the Responsible Authority as performing the ‘single agency’ risk assessment and risk management at MAPPA Level 1. YOTs are responsible for the supervision of all young people on community orders, during the community element of the DTO and during the licence period of Section 90 and Section 91 sentences. 261. Most of the young offenders for whom YOTs have responsibility will not, by virtue of the type and length of sentence they receive (see Section 327), fall within MAPPA. There are three types of offenders for whom YOTs have responsibility that may require MAPPA involvement: (iv) (v) those who qualify as either Category 1 or Category 2 MAPPA offenders who cannot be appropriately managed by Level 1 (i.e. by the YOT alone); those who can be managed at Level 1 AND those identified in (I) above, whose supervision has be transferred to the Probation Service – generally those serving Section 91 sentences for very serious offences; and, those who are the responsibility of a YOT who fall into neither MAPPA Category 1 or 2 but do fall into Category 3.

Section Four: The Prison Service; the Duty to Co-operate; & Lay Advisers

(vi)

262. Although not required as part of the MAPPA ‘duty to co-operate’, the YJB strongly recommends that YOTs are represented on the Strategy Management Board (SMB) of MAPPA. Contact: Vikki.Castro-Spokes@yjb.gsi.gov.uk Jobcentre Plus 263. Jobcentre Plus is an executive agency of the Department for Work and Pensions. In April 2002, the Employment Service, which ran Jobcentres, and those parts of the Benefits Agency which provided services to people of working age through social security offices, were combined to form the Jobcentre Plus agency. The purpose of the agency is to help: more people into paid work; employers fill their vacancies; and, to Version 1.3 © Crown Copyright 2004 93

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give people of working age the help and support which they are entitled to if they cannot work. 264. It has been agreed with colleagues in the Head Office of Jobcentre Plus that the duty to co-operate in the MAPPA will be founded on the agreement established in Probation Circular (PC) 48/1999, Disclosure to the Employment Service of Restrictions that should be placed on the Employment of Potentially Dangerous Offenders. This circular is being updated and will make due reference to the MAPPA when it is reissued. 265. In notifying local Jobcentre Plus offices that restrictions should be placed on an offender’s employment, only the identity of the offender and the nature of the employment from which the offender should be restricted must be disclosed to Jobcentre Plus locally. Information should be provided on the agreed notification stencil operating in every National Probation Area and sent to the Business Manager at the local Jobcentre Plus office where the offender will be claiming benefits and/or accessing its services. No other information is needed by the Jobcentre Plus office to co-operate in the terms defined by Section 325. Disclosing information about an offender which the office does not need may be unlawful and compromises the ability of the Jobcentre Plus office to co-operate. 266. Of course, not all offenders will use Jobcentre Plus offices or only those offices to seek employment. Informing those offices (exactly which will be informed must be agreed by the Responsible Authority and the managers of those offices in each Area) is therefore likely to form only a small part of a risk management plan. If consideration in drawing up the risk management plan is given to involving other employment agencies – the Jobcentre Plus agency has no responsibility for other employment agencies – then such involvement will be established outwith the duty to co-operate. Contacts: Andrew.Niblock@jobcentreplus.gov.uk Michael.Donelan@jobcentreplus.gov.uk

Section Four: The Prison Service; the Duty to Co-operate; & Lay Advisers

Local Education Authorities (LEA) 267. LEAs are responsible for securing efficient education to meet the needs of the population of its area and includes the strategic management of schools and the local education service. Their ‘core business’ is unlikely therefore to involve them directly with the assessment and management of MAPPA offenders. It has been agreed with the Welsh Assembly Government that the most likely involvement of LEAs in the MAPPA is in cases in which involve, either: (c) (d) a MAPPA offender aged under 18 and who is referred by the YOT to the MAPPA at either Level 2 or Level 3; or in cases of those MAPPA offenders who pose risks to young people for whom the LEA has a responsibility/duty of care which may be affected by the arrangements to manage the risks the MAPPA offender poses.

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268. In both cases it is likely that the LEA will become involved through the auspices of either the YOT, of which the LEA is a statutory partner; or through their involvement in child protection arrangements. However, this cannot be taken for granted and it is agreed with the Welsh Assembly Government that the conduit through which the Responsible Authority will establish contact with the LEA in Wales is the nominated officer with responsibility for child protection. There should be no need, save in a case of exceptional circumstances, for the Responsible Authority to involve the LEAs senior statutory figure, the Chief Education Officer, whom each LEA has a duty to appoint under Section 532 of the Education Act 1996. 269. The LEA nominated officer should be able to provide an insight into the workings of schools and the LEA and should have knowledge of child protection, information sharing protocols and current arrangements for risk assessment. The education service, particularly schools, can make a helpful contribution to the work of MAPPA because: Schools are able to provide their pupils with programmes of child protection awareness training, i.e. Stranger Danger etc. This training can be re-enforced at times when there is a particular local risk. School staff are well placed to be alert and aware regarding activities within the locality that could provide a threat to pupils. In particular situations, and with the authorisation of the Police, schools are in a position to warn individuals or groups of pupils, or staff, regarding possible danger. Schools are able to provide a safe environment during the daytime for children and young people. The local school is often the first port of call for parents who want to voice their concern regarding worrying activities in the area. Schools are often able to provide helpful information to assist the work of MAPPPs Welsh Assembly Government contact: David.Clayton@wales.gsi.gov.uk Local Housing Authorities 270. Local Housing Authorities have two functions which relate to the resettlement of offenders: the allocation of long-term accommodation the provision of housing assistance for people who are homeless. It is important to make clear that the duty to co-operate on local housing authorities does NOT create a new duty to accommodate offenders. In determining the nature and shape of the duty of and to local housing authorities it is may be helpful to understand the nature of these two housing functions.

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271. Under homelessness legislation local housing authorities must ensure that advice and information about homelessness, and preventing homelessness, is available to everyone in their district free of charge. (Homelessness Act 2002) They must also ensure that suitable accommodation is available for people who apply to them for housing assistance and the authority are satisfied that they are eligible for assistance, have become homeless through no fault of their own and they fall within a priority need group. This is known as "the main homelessness duty". 272. The Homeless Persons (Priority Need) (Wales) Order 2001, which came into force on the 1st March 2001 extended statutory protection to a range of vulnerable groups. The Local Authority has a statutory duty towards: • a care leaver or person at particular risk of sexual or financial exploitation. 18 yrs or over but under the age of 21; • a 16 or 17 year old; • a person fleeing domestic violence or threatened with domestic violence; • a person homeless after leaving the armed forces; • a former prisoner homeless after being released from custody. 273. In Wales, all prisoners who are homeless on or since leaving prison are in priority need provided they have a local connection. Authorities must secure accommodation until a settled home becomes available, or some other circumstance brings the duty to an end. 274. Clearly, given the importance of accommodation in the resettlement of offenders and hence in the assessment and management of risk, local authority housing representatives can make an important contribution to the MAPPA. As indicated above, this will not necessary mean that they have a specific duty to accommodate an offenders but their advice about accommodation and the procedures by which it is allocated and the suitability of particular housing stock will provide a valuable contribution. Contact: Geoff.Marlow@wales.gsi.gov.uk

Section Four: The Prison Service; the Duty to Co-operate; & Lay Advisers

Registered Social Landlords (RSLs) 275. Registered Social Landlord (RSL) is the technical name for social landlords that are registered with the Welsh Assembly Government — most are housing associations, but there are also trusts, co-operatives and companies. Housing associations are run as businesses but they do not trade for profit. Any surplus is ploughed back into the organisation to maintain existing homes and to help finance new ones. Housing associations are the main providers of new social housing. 276. Most associations are small and own fewer than 250 homes. However, the largest seven per cent of associations — those with 2,500 plus homes — own 78 per cent of all the sector’s homes. Some were founded centuries ago Version 1.3 © Crown Copyright 2004 96

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but many trace their origins to the 1960s and over the last decade, many new associations have been formed to manage and develop homes transferred to them by local authorities. The Welsh Assembly Government has responsibility for the registration and regulation of RSLs.

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277. Not all RSLs provide accommodation for MAPPA offenders, and it is only those that are required to co-operate in the MAPPA. It is likely that as providers of accommodation, the duty to co-operate will only engage those RSLs when they are giving consideration to accommodating a MAPPA offender. However, as the precise nature of the duty is determined by the RSLs with the Responsible Authority in each Area and may include the provision of general advice too. Contact: Maureen.Haire@wales.gsi.gov.uk Local Authority Social Services - Councils with Social Services Responsibilities 278. The links between the responsibilities of local authorities in Wales and the MAPPA are likely to be in the area of child protection and safeguarding. The MAPPA authorities are likely to be members of the Area Child Protection Committee (ACPC), and individual practitioners in police, probation and social services will also be working together to manage the risk posed to children by particular dangerous offenders. 279. Local authorities have a duty, under section 47 of the Children Act 1989, that where they have reasonable cause to suspect that a child who lives, or is found, in their area, is suffering, or likely to suffer, significant harm, they should make, or cause to be made [for example, by the MAPPA authorities], such enquiries as they consider necessary to enable them to decide whether they should take any further action to safeguard or promote the child’s welfare. A ‘reasonable cause to suspect’ may arise because of the known presence of a dangerous offender in the area, and local authority staff will need to work with staff from the MAPPA authorities to manage the risk that person poses to children. Contact: Jonathan.Corbett@wales.gsi.gov.uk Health Bodies and the Duty to Co-operate 280. The following outline of the structure of the NHS may help locate the duty to co-operate and clarify how its practical arrangements fit in the wider health service. Welsh Assembly Government The strategic direction for the NHS is set by the Welsh Assembly Government’s national policies, strategies and priorities

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Local Health Boards (LHBs) LHBs in partnership with local authorities and others are responsible for commissioning health promotion, primary care, community health services, secondary care, mental health and public health services for their resident population. LHBs cover an area that is co-terminus with a local authority. Local Health, Social Care and Well-being Strategies based on local assessment of need will be prepared and implemented by Local Health Boards and their partner Local Authorities. Health Commission Wales (HCW) HCW commission an agreed range of specialist, tertiary and national health services on an All-Wales basis. Primary Care Primary care services (general practitioners, general dental, pharmacy and optometry) are provided by independent contractors. NHS Trusts NHS Trusts are the providers of all hospital and community services (including mental health services) other than primary care provided by the independent contractors. 281. It is most likely that when dealing with the duty to co-operate with regard to health services will significantly concern mentally disordered offenders and therefore NHS Trusts. There are particular sensitivities about working with health professionals because of the very different relationships they have with their patients, some of whom may be MAPPA offenders. In establishing arrangements to co-operate with NHS Trusts it will be most important to observe the principles which underpin the duty to co-operate. 282. The process of establishing those arrangements should involve a mutual clarification of expectations based upon the role and authority of the role of each agency’s representative. Discussions with the Royal College of Psychiatrist’s Forensic Faculty have helpfully highlighted the importance of clarity of role and authority. The Royal College has helpfully signalled in the guidance it is issuing to its members the importance of senior representation. The guidance can be accessed through the following link: www.rcpsych.ac.uk/members/membership/public_protection.htm 283. Clearly, the sensitivities of information sharing in respect of cooperation with the health service can be acute. However, all the advice and published guidance indicates that clarity about roles and about the legal principles which enable information to be shared in certain circumstances, will avoid misunderstanding and disagreement. Reference is made in the section on information sharing to those principles and the published guidance and advice (Paragraphs 78-95 & 201-214). Version 1.3 © Crown Copyright 2004 98

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284. The benefits for the health service of co-operation in the MAPPA have been summarised as providing: a source of information about patients; a conduit of referral and framework for joint working; a useful source of advice on the appropriateness and implications of various medical treatments/interventions; help in the management of risk in complex cases; 285. It is worth remembering that the history of multi-agency risk management predates the development of MAPPA and there will continue to be a need to make appropriate arrangements when an individual is not subject to MAPPA. Electronic Monitoring (EM) Providers 286. EM providers have been included in the duty to co-operate in acknowledgement of the important service they can provide as part of a highrisk management plan. Their duty to co-operate is to be understood as being synonymous with their contractual responsibilities. In practical terms this may involve EM providers: providing a point of contact for advice to the Responsible Authority on the available technology, explaining what it can and cannot do; and exceptionally, attending MAPPA meetings (generally only MAPPP meetings) when the needs of a particular case demands. 287. The larger part of the work of the EM providers concerns ‘tagging’ for the Home Detention Curfew scheme. Some MAPPA offenders are eligible and may be released early from custody under this scheme. However, it is unlikely that this work will lead to any involvement of the EM providers with the MAPPA in addition to that which already requires EM providers to work in conjunction with police and probation. This is because the criteria for release under the HDC scheme is that the offender has stable, suitable accommodation and that he/she poses no risk of harm or of reoffending. However, where a MAPPA offender has been released on HDC becomes a higher risk, the EM provider may helpfully contribute to the assessment and further management of that risk. Contact: Barry Snelgrove: Barry.Snelgrove@homeoffice.gsi.gov.uk

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Home Office Units with Release and Recall Responsibilities Lifer Review and Recall Section (LRRS) 288. LRRS was until 1 December 2003, part of HM Prison Service. From that date, it became part of the Sentencing Policy and Penalties Unit (SPPU) within the Correctional and Rehabilitation Policy Directorate in the Home Office. It is responsible for the delivery of casework in relation to the parole review, release, supervision and recall of all life sentence prisoners in custody and on life licence. LRRS staff are also involved in some residual work arising from the Criminal Justice Act 2003 in relation to the setting of lifer tariffs by judges. The LRRS caseload as at 31 March 2004 stands at almost 7,000 lifers and life licensees. 289. Operational matters relating to the reception, sentence planning and transfer of individual lifers during sentence, including participation in Multi Agency Lifer Risk Assessment Panels (MALRAPS), remain the responsibility of HM Prison Service. 290. Key agencies and organisations with whom LRRS staff work closely include, the independent Parole Board, HM Prison Service, the National Probation Service and individual probation areas, and the Mental Health Unit in the Home Office. Staff are available to attend MAPPA meetings involving lifer cases where necessary. The core elements of LRRS work include: the preparation of Parole Board dossiers for the review, release and recall of lifers; making decisions on Parole Board recommendations for a lifer’s transfer to open conditions; the co-ordination of the release arrangements for all lifers, in conjunction with partner agencies; consideration of cancellation of the probation supervision element in life licences; and, executive decisions on whether to recall life licensees 291. In addition the LRRS has responsibility for policy, planning and advice on all lifer review and recall issues. Contact: Paul Jackson, Lifer Review and Recall Section Tel: 020 7217 5785 e-mail: paul.jackson@hmps.gsi.gov.uk

Early Release and Recall Section 292. The Early Release and Recall Section is part of the Home Office and is split into two areas: casework and policy concerning offenders who have yet to be released, and that concerning those who have been released onto Version 1.3 © Crown Copyright 2004 100

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supervision licence. In order to carry out this work, the Section maintains close links with the Probation Service, Prison Service and the Parole Board.

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Pre-Release 293. Much of this work comprises a help desk facility for the parole process and managing the sponsorship of the Parole Board, including facilitating the recruitment of new Parole Board members. Other responsibility in respect of parole is the consideration on behalf of the Secretary of State, for the early release of offenders subject to deportation orders, serving four years or more (DCR), the Early Release of offenders on compassionate grounds, and the management of the parole process for those offenders transferred under the Mental Health Act. In addition, this team deals with and approves where appropriate, requests for non-standard additional licence conditions for offenders subject to a sentence of more than 12 months, but less than 4 years (ACR). Post-Release 294. The main bulk of this work falls to the recall of offenders subject to one of the following licences: ACR, DCR, Extended Sentence or Home Detention Curfew (HDC). The ER&RS are responsible for consideration of breach notification forms sent by the supervising probation area, and either following a recommendation by the Parole Board, or making an executive decision where a case is more immediate, to issue the decision to revoke an offender’s licence on behalf of the Secretary of State. The ER&RS has a dedicated Public Protection Team, dealing with high or very high risk cases. The section is also responsible for processing appeals against revocation to the Parole Board, and for presenting the case for the Secretary of State at an oral hearing, in the case of extended sentence prisoners. In addition, requests for additional licence conditions or variations are processed to the Parole Board, as are requests from offenders subject to a DCR licence to travel or resettle abroad. 295. Useful Probation Circulars (PCs) on licence conditions and recalls are: PC 13/2003 and PC 42/2003. Contact: Kerry Adams e-mail: Kerry.Adams@homeoffice.gsi.go.uk

Mental Health Unit (MHU) 296. In addition to the co-operation the Responsible Authority will establish with the Mental Health Trusts locally, the Home Office’s Mental Health Unit (MHU) may also provide assistance. The role of the MHU is based on the provisions made in the Mental Health Act (1983) for the Home Secretary to take responsibility for certain types of mentally disordered offender. The following outlines the relevant background and the provisions of the MHA. 297. The MHA makes it possible for a court to make a hospital order (i.e. to send an offender to hospital rather than to prison) after convicting an offender of an imprisonable offence. In order to impose a hospital order the Version 1.3 © Crown Copyright 2004 101

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court has to be satisfied on the evidence of two doctors that the offender is suffering from one of four categories of mental disorder: (i)

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mental illness: undefined in the Act and therefore subject to definition by clinical judgement in each case. Examples of common forms of mental illness include schizophrenia, depression and manic depression. (ii) severe mental impairment: is defined as “a state of arrested or incomplete development of mind which includes severe impairment of intelligence and social functioning and is associated with abnormally aggressive or seriously irresponsible conduct on the part of the person concerned"; (iii) mental impairment: "a state of arrested or incomplete development of mind (not amounting to severe mental impairment) which includes significant impairment of intelligence and social functioning and is associated with abnormally aggressive or seriously irresponsible conduct on the part of the person concerned"; and, (iv) psychopathic disorder: “a persistent disorder or disability of mind (whether or not including significant impairment of intelligence) which results in abnormally aggressive or seriously irresponsible conduct on the part of the person concerned". 298. The terms "mental impairment" and "severe mental impairment" were introduced by the 1983 Act. In previous legislation, the equivalent terms were "subnormality" and "severe subnormality". The Home Secretary’s Responsibilities under the Mental Health Act 299. The Home Secretary is responsible only for mentally disordered offenders subject to restriction orders, restriction directions or hospital directions under the Mental Health Act 1983 or the Criminal Procedure (Insanity and Unfitness to Plead) Acts 1964 and 1991. Such offenders are generally collectively known as ‘restricted patients’. The next few paragraphs outline how the main provisions of the Act that the MHU deals with work. Hospital Orders (Sections 37 & 38) and Restriction Orders (Section 41) 300. A hospital order made under section 37 of the Act authorises the admission of the defendant to a specified psychiatric hospital and his compulsory detention there for treatment. Section 38 contains similar provisions to detain remand prisoners. The patient may be discharged by the hospital authorities or by a Mental Health Review Tribunal to which he/she may apply during each period of detention after the first six months have elapsed. The Home Secretary has no responsibility for a patient who is subject only to an order made under section 37 of the Act. 301. Section 41 of the Act enables a Crown Court (but not a Magistrates Court) when it makes a hospital order to make also a restriction order and it is this which places responsibilities on the Home Secretary. The effect of this order is to preclude the patient's discharge or his transfer from one hospital to another, or the grant of leave of absence, without the Home Secretary's Version 1.3 © Crown Copyright 2004 102

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consent (although a Mental Health Review Tribunal may also, in certain circumstances, discharge a patient). 302. A court may impose a restriction order only when it appears necessary for the protection of the public from serious harm. The duration of the restriction order is not linked in any way with the penal sentence available for the offence in question, and there is no tariff since the order is concerned with treating the offender's mental condition and associated dangerousness and how long that takes will depend on the case. A restriction order may be made for a limited period or without limit of time. Some restricted patients will always remain in secure institutions. 303. Under section 42 of the Mental Health Act, the Home Secretary has the power to bring a restriction order to an end at any time if he is satisfied that it is no longer needed for the protection of the public. This is known as an absolute discharge. Under the same section, the Home Secretary may by warrant discharge a patient subject to conditions at any time while a restriction order is in force. This is known as a conditional discharge. The Home Secretary may by warrant recall a conditionally discharged patient and after recall a patient once again becomes subject to detention in hospital with restrictions. Transfer directions made by the Home Secretary from prison to hospital (Sections 47,48 and 49 of the Mental Health Act 1983) 304. Sentenced Prisoners: Section 47 of the Act empowers the Home Secretary in certain circumstances to direct that a sentenced prisoner who is found to be suffering from any of the prescribed forms of mental disorder to a degree which warrants detention in hospital under the Act, should be removed from prison to hospital. Under section 49 the Home Secretary may impose restrictions until the time when the prison sentence would normally have ended. The latter power makes it possible to return the patient to prison if he/she recovers before his/her sentence expires. 305. Remand and other Prisoners: Section 48 of the Act provides similar powers (although limited to patients diagnosed as having a mental illness or severe mental impairment) in respect of prisoners awaiting trial or sentence who are so disordered that their treatment in hospital cannot be deferred until the conclusion of the court proceedings. Hospital and Limitation Direction (Sections 45A and 458) 306. When sentencing for an offence punishable with imprisonment, the Crown Court can pass a prison sentence and simultaneously direct the offender's admission to hospital. In case-working terms, it is as though the Court were making a section 37/41 restricted hospital order simultaneously: with a section 47 transfer direction. However, hospital direction offenders are prisoners sent to hospital for treatment and not patients who are being punished. Accordingly, the prison sentence takes priority in their management. When making a hospital direction, the court must always add a limitation direction. At present, the Court can only use this power where the Version 1.3 © Crown Copyright 2004 103

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offender has a diagnosis of psychopathic disorder but there is provision to extend the power, by an order of Parliament to cover other categories of disorder. Criminal Procedure (Insanity) Act 1964 and Criminal Procedure (Insanity and Unfitness to Plead) Act 1991

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307. These Acts deal with those mentally disordered persons who when they appear before the Crown Court are not convicted either because their mental disorder is too great to permit their trial ("under disability" or, commonly, "unfit to plead") or because the offence was committed in such a state of mental disorder as to negate criminal responsibility ("not guilty by reason of insanity"). 308. Following either of these findings the court is obliged under the 1964 Act to make an order for the person's admission to such hospital as may be specified by the Home Secretary .The patient was then regarded as though he/she were subject to a hospital order made under the Mental Health Act 1983, together with a restriction order without limit of time. Under the 1991 Act there is provision for a trial of the facts to determine whether the jury is satisfied beyond reasonable doubt that the accused did the act. Secondly, the court has a wider range of disposals and can choose: an admission order with or without a restriction order (except in the case of murder when the mandatory hospital disposal and restrictions order without limit of time is retained); a guardianship order under section 37 of the 1983 Act; a supervision and treatment order which requires the accused to cooperate with a social supervision and medical treatment for a maximum of two years; and, an order for absolute discharge. Powers of the Home Secretary 309. The Home Secretary's powers are derived from the position that the control of patients who are admitted to hospital following court proceedings and who are thought to be potentially dangerous should be vested in a central authority which has special regard to the protection of the public. In exercising these powers, the Home Secretary is responsible for protecting the public from unjustified risk. So case-working decisions taken in the Mental Health Unit need to give precedence to public safety while supporting the objectives of rehabilitation. Responsibility for the treatment of patients rests with the consultant psychiatrist and other members of the care team, not the Home Secretary. However, we need to be aware of the treatment programme and a patient's progress in order to fulfil our statutory duties. 310. In relation to all restricted patients the Home Secretary’s consent is required for: leave into the community Transfer between hospitals Version 1.3 © Crown Copyright 2004 104

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Discharge into the community (both conditionally and absolutely) Recall of a conditionally discharged patient Remitting a patient to stand trial who had previously been found unfit to plead, is subject to a restriction order and recovers sufficiently for the purpose and within a time which makes trial feasible. Mental Health Review Tribunals 311. Under the Mental Health Act 1983, a detained restricted patient may apply to have his case heard by a Mental Health Review Tribunal roughly once each year. If he does not apply, his case will be referred to a Tribunal by the Home Secretary every three years, under section 71(2). After a conditionally discharged patient has been recalled, the Home Secretary must, under section 75(1), refer the case to a Tribunal within one month of recall. Under section 75(2), conditionally discharged patients may apply to a Tribunal once during the second year of their discharge and once in every two-year period thereafter. 312. Under section 73 of the Mental Health Act 1983, Tribunals have the power to discharge a restricted patient absolutely or conditionally providing certain criteria are met. This power does not apply to prisoners who have been transferred to hospital under sections 47 and 48 of the Mental Health Act 1983 or equivalent earlier legislation. In these cases, under section 74, Tribunals may only advise the Home Secretary. 313. Where a Tribunal decides to direct the conditional discharge of a patient it may, under section 73(7), defer that direction until it is satisfied that adequate arrangements have been made for the discharge to take place. It may impose any conditions on discharge. After a Tribunal has directed the conditional discharge of a patient, the Home Secretary may vary those conditions under section 73(4). 314. Under section 75(3), a Tribunal may, on application by a patient conditionally discharged by either a Tribunal or the Home Secretary, vary any condition on discharge, impose fresh conditions or direct an absolute discharge. A Tribunal has no power to direct the recall of a conditionally discharged patient, nor to direct the leave from hospital or the transfer to another hospital of a detained restricted patient. MHU Contact: Richard Pickering

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e-mail: Richard.Pickering@homeoffice.gsi.gov.uk

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The Memorandum defining the Duty to Co-operate 315. Section 325(5) requires that the Responsible Authority in each Area and the duty to co-operate bodies draw up together a Memorandum setting out the ways in which they are to co-operate. The purpose of this requirement is to enable the practicalities of co-operation to be determined according to what suits local circumstances. The following advice on the content of the memorandum is distilled from the ‘protocols’ and the formal agreements police and probation have already established with partner agencies. Those protocols and agreements will need to be reviewed to ensure that they meet the requirements stipulated in Section 325(5). This guidance has also been prepared in the knowledge of other protocols or partnership agreements involving some if not all the agencies to which the Memorandum relates also already exist. It may be helpful to make reference to these to avoid unnecessary repetition and confusion. Above all the Memorandum should help enable co-operation and not serve as an end in itself. 316. The Memorandum should make clear the purpose of the duty; the principles upon which co-operation will take place; the activities involved in co-operating and the systems and procedures which support them; and the partners to the agreement. A great deal of this material, to which you may wish to refer, is contained in this section and other parts of the MAPPA guidance. The memorandum should not rewrite the Guidance – unless you think that necessary and helpful – and could be based on the structure outlined below.
I Purpose and Basis of Co-operation Statutory basis: Criminal Justice Act (2003) Section 325(1), (2), (3), (4) & (5); and possibly, reference to Sections 17 and 115 of the Crime and Disorder Act and, possibly, reference to other local protocols and agreement. Local statement of the broad purpose or objectives outlining the value of inter-agency joint working. You may, for example, wish to highlight the particular significance the Memorandum has in cementing the relationships and arrangements underpinning child protection and domestic violence. Principles: these can be determined in accordance with the significance given to particular features of public protection and the history of inter-agency co-operation. In addition/place of those contained in this Guidance, they might include a commitment to: ♦ Public Protection ♦ Joint working where the responsibilities and work of one agency affects another ♦ Information sharing in accordance with the law ♦ Establishing trust through respect for each agency’s role, authority and professionalism ♦ Seeking consensual resolution of difficulties where they arise ♦ Defensible decision making;

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♦ Prioritising the use of resources to protect those who are most vulnerable; ♦ Diversity/equal opportunity.

II.

Scope and Practice
Identify who the MAPPA offenders are by category; Outline the three levels of the MAPPA model; how level 2 and 3 operate and how referral is made and meetings arranged; Information sharing [reference to the legal principles and arrangements locally which give them life and the basis upon which information will be shared, used and retained]; Reference to the Annual Report and the process of preparing it; Specific reference to how cases involving Mentally Disordered Offenders and those who police child protection concerns are handled; Media handling: agreement on the way in which media enquiries/public interests will be handled; Review of the Memorandum.

III.

Partners
Identify the agencies party to the agreement of the Memorandum; Identify principal point of contact for operational/case-related matters as well as the ‘senior officer’ underwriting the agreement on behalf of the agency; Role of each agency, level of commitment that is practicable and appropriate.

317. It may help to determine the role of each agency and its level of commitment with each agency, by using the advice detailed elsewhere in this Section of the Guidance: (i) The four aspects of co-operation (see paragraph 198) (ii) The questions asked to clarify involvement (see paragraph 199) (iii) The role descriptions contained in The Duty to Co-operate Agencies (England) and the Duty to Co-operate Agencies (Wales) (Paragraphs 223 and 256 respectively) 318. Co-operation is not new and implementing the MAPPA ‘duty to cooperate’ may in several respects confirm existing good practice arrangements already in place. It may therefore be helpful if the process of agreeing the memorandum also involves the identification of those other public protection arrangements involving some or all of the duty to co-operate bodies. Such arrangements include those established for domestic violence, child protection and vulnerable adults. They may also include, depending upon local circumstances, the relationship of the MAPPA to Crime and Disorder Partnerships and Local Criminal Justice Boards.

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THE MAPPA GUIDANCE SECTION FOUR SUB-SECTION 3: Summary 319. Section 326 of the Criminal Justice Act (2003) requires the Home Secretary to appoint two ‘Lay Advisers’ to each police/probation area to assist in the review of the MAPPA. This guidance: (i) explains the process the Home Secretary has agreed which enables areas to select people for nomination as Lay Advisers – the Home Secretary will have appointed two Lay Advisers to all Areas before the end of March 2005; and defines the Lay Adviser role and advises how those appointed can best be helped to perform. LAY ADVISERS

(ii)

320. This has been prepared from the experience of the eight Areas which successfully piloted lay involvement (Durham, Cumbria, Greater Manchester, West Midlands, South Wales, Dorset, Hampshire and Surrey); and from the formal evaluation of the pilots conducted by Manchester University (a copy of the evaluation can be obtained from: http://www.probation.homeoffice.gov.uk/output/Page228.asp. The main learning points from the pilots were that the success of lay involvement depends upon: (i) (ii) (iii) (iv) (v) a rigorous selection based upon clearly identified competencies and a concept of role (see the person specification and job description below); how well developed and well run an Area’s Strategic Management Board (SMB) arrangements are; the formal training of Lay Advisers, which we will fund and organise; the care and attention which Areas invested in the induction and support of the Lay Advisers; and, a clear understanding and mutually shared set of expectations about the nature of the Lay Adviser role, not least that it is very much a parttime, non-executive role which nevertheless makes a valuable contribution to the deliberations of the SMB.

The Lay Adviser’s Role 321. Section 326(3) of the Criminal Justice Act 2003 requires the Secretary of State to appoint two Lay Advisers to each MAPPA Responsible Authority in the 42 Areas of England and Wales. The Act makes clear that the Lay Advisers will be appointed to assist in the MAPPA review functions not the operational decision making. Therefore Lay Advisers will operate as full members of the Area’s Strategic Management Board (SMB), the framework for which is set out within the MAPPA Guidance (Section 3). Version 1.3 © Crown Copyright 2004 108

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322. The role of the Lay Advisers is very much part-time. It is expected that they will attend each of the SMB meetings – at least four each year – and undertake such familiarisation and reading to enable them to understand and to contribute to those meetings. They are NOT expected to become experts – their value is as informed observers and as askers of questions which the professionals closely involved in the work would not necessarily think of asking. As such their role has proved to be valuable, even when as a Lay Adviser they challenge professionals as a ‘critical friend’. Their role is not however, akin to that of an independent auditor. Nor is it as a representative of the local community in the same way that an elected councillor is: they bring to the SMB their understanding and perspective of the Area but they have no role in reporting or briefing the community, except as part of the SMB’s own communication exercises. In those Areas with lay members wishing to transfer into the role of the Lay Adviser it will be important that there is clarity between them and the Responsible Authority about the new terms of reference as set out in the role description and terms and conditions. The National Implementation Plan 323. The national plan and much of the documentation contained within this pack reflects the learning from the eight pilot Areas (Durham, Cumbria, Greater Manchester, South Wales, West Midlands, Dorset, Surrey and Hampshire) and training events undertaken with the existing lay members. Based on this, we have established role and person specifications for lay Advisers, together with the terms and conditions of appointment (Appendix 7); a selection process (set out below); a national training programme; and the proposed time frame for the phased appointment of lay Advisers to areas across England and Wales. The following phased, regional process of recruitment and (following appointment) of training has been agreed by Ministers: Probation Regions Advertising and recruitment Area National Training

North West and North East April – June 04 (5 Areas) Yorkshire & Humberside, July – Oct 04 Wales, West & East Midlands (15 Areas) South West, South East, Nov – Feb 05 London, Eastern England (14 Areas)

From June Sept 04 04 From Oct Nov 04 04 Jan 05 From 05 Feb Mar 05 May 05

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Courts Unit (PPCU) at the outset to ensure adequate co-ordination of resources and the necessary provision of national training. 324. The responsibility for the selection of Lay Advisers rests with the Responsible Authority in each Area of England and Wales, advised and supported by the PPCU. 34 Areas will need to appoint two Lay Advisers; and two of the pilot lay member areas will each have to recruit one additional Lay Adviser, assuming all those recruited as part of the eight pilots and who are still in post are formally appointed as Lay Advisers. All appointments will be made before 31st March 2005. In order to achieve this the following process will be followed: For Areas with existing lay members, the Responsible Authority must consider the suitability of the lay member for appointment as lay Advisers. Such consideration will require consultation with the lay member and a review of their engagement with the SMB to date. (Letters to this effect, including the person specification, role description and terms and conditions, have been forwarded to the Areas and lay members.) When these Areas have made a decision as to suitability of their lay members they must formally notify the PPCU in order that the Secretary of State can be notified and appoint. While some Area will wish to undertake this immediately others may wish some time for consideration. In all the remaining Areas which have to recruit Lay Advisers (including Durham and Dorset which have currently one lay member) they will need to establish a selection process in accordance with the detailed instructions below. The Selection of Lay Advisers The lead officer 325. The Responsible Authority should in the first instance appoint a lead officer who will take responsibility for devising and implementing the plan to recruit two Lay Advisers for the Area. This is a function that must be discharged by the Responsible Authority although it is recommended that the implementation plan should be an agenda item for the Strategic Management Board (SMB) and subject to review. The lead officer will be the principle point of contact with the PPCU for Lay Advisers. Funding 326. It is recognised that Areas will require financial assistance in order to operate a rigorous, consistent and fair selection process for Lay Advisers. Such assistance will also help maximise the opportunity to inform local communities of the Lay Adviser scheme with the intention of attracting the right people to apply. The PPCU has therefore secured funds on the following basis for each Responsible Authority and will re-imburse the Responsible Authority for all expenses appropriately incurred: Version 1.3 © Crown Copyright 2004 110

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Up to £1000 – general expenses (suitable for administration, the costs of the selection centre and other costs associated with the recruitment and selection of lay Advisers) Up to £4000 – advertising expenditure necessary for recruitment. (It is recognised that not all areas will require this entire budget and that a few of the larger metropolitan areas may require more. Areas requiring funding additional to this amount must liaise with the PPCU and provide a costed proposal for funding agreement)
Cost of the occupation psychologist required for the selection centre.

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In addition the PPCU will also co-ordinate and fund all national training events. The lay Adviser role is unpaid although there is an entitlement to legitimate expenses such as travel and refreshments. Compensation for loss of earnings or child care expenses should also be available by prior agreement with the Responsible Authority. The Responsible Authority in each Area will meet these expenses and will need to establish arrangements in order to do so. Recruitment strategy 327. The recruitment of lay Advisers is part of the Home Secretary’s wider ‘active citizenship’ initiative and the start of the recruitment process in April 2004 will be supported by a national media strategy devised by the Home Office. (Currently this is anticipated in the week beginning 12th April 2004. The topic will also have some exposure around the intended publication date of the MAPPA Annual reports, currently ear-marked for the summer prior to the parliamentary recess (mid June – late July). We are also in discussion with the Active Community Unit, within the Home Office, to enlist their practical support in recruitment. The combined impact of these measures will highlight the real opportunity Lay Advisers offer to enhance public confidence in public protection work undertaken by the Responsible Authority and other agencies. In seeking to attract suitable people to apply, the Area will need to develop a local recruitment strategy that can use this national profile to best effect and combine it with local advertising and media coverage. (Press and public relation officers within the Responsible Authority will be well placed to advise on these matters). The existing lay member pilots successfully attracted a range of applicant in terms of age, gender, ethnicity and life experience and recruitment strategies should endeavour to replicate this. Application form and information pack 328. In order to attract suitable candidates for selection as Lay Advisers there is a significant challenge both locally and nationally to stimulate peoples interest and to encourage them to make genuine enquiries. That is why any media coverage will need to be supported by more detailed information sources through websites or directly from the Responsible Authority. 329. A briefing pack for members of the public interested in applying to Areas to become Lay Advisers could easily be compiled from the information contained within this advice. It is expected this would include a brief outline Version 1.3 © Crown Copyright 2004 111

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of the role and purpose of lay Advisers, including the role and person specification and terms and conditions of appointment, and a standard application form. (The application form is currently being devised by PPCU). Areas may wish to incorporate a copy of their most recent MAPPA annual report or other supporting material. The intention is that this information will also be available on the National Probation Service and ACPO website. Should the PPCU receive any enquiries about Lay Advisers these will be passed directly to the relevant Area. Short-listing & Selection centre 330. The role and selection process for Lay Advisers is demanding and as a result the response to any recruitment campaign may be variable across the country. Where necessary Areas will need to short-list candidates for the selection centre. Given the demanding nature of the selection process it is advised that Areas short-list up to a maximum of six candidates and ideally run a selection conference for between four and six candidates. Good practice principles must apply to all short-listing and selection processes and papers retained until Lay Advisers are appointed by the Secretary of State. (Appendix 7 includes a draft letter and some short-listing pro-formas) 331 The selection process is intended to be demanding and has two main components that will help identify individuals who are able and suitable to undertake the role of the lay Adviser. The first comprise psychometric tests to gauge ability and assess personality and which will need to be administered by an occupational psychologist. The second is a structured interview, part of which makes reference to a case study that will allow further examination of skills and motivation. (Appendix 7 includes the case study and some structured questions for the interview). The lead officer will therefore need to devise a programme for the day which allows successive candidates to complete both these components with some space for preparation and refreshment. 332. In setting up the selection centre the lead officer will need to engage an occupational psychologist confident in administering the following tests. • • MD5 (available from the Test Agency) - 15 minute test of general ability. Gives quick reassurance that someone can cope with the complex side of things. NEO-PIR. The personality questionnaire available from either ASE or the Test Agency. (55mins)

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333. Someone qualified to British Psychological Society Levels A (for the ability test) and B (for the personality questionnaire) would be suitable and they may have a forensic background. If Areas have difficulty identifying a suitable psychologist they should contact the PPCU who are in liaison with the Assessment & Consultancy Unit of the Home Office. 334. With regards the interview, this should be approximately 45 minutes duration and with 15 minutes preparation. It is suggested that the panel Version 1.3 © Crown Copyright 2004 112

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comprises three people who adequately represent the interests of the Responsible Authority, incorporating the specialist public protections skills associated with the MAPPA and a diverse community perspective. In most Areas it is anticipated that the panel will be chaired by the officer leading on Lay Advisers. (While the PPCU cannot be involved in the interview panel in all areas it may negotiate direct involvement with a small number of areas.) 335. It should be recognised that this selection process is very intensive for an unpaid position and although the research into the pilot sites indicated that people thought this was justified given the nature of the role, it places a responsibility on the Responsible Authority to handle this whole selection with integrity and respect. Therefore personalised letters of invitation, acceptance or rejection are critical as well as proper briefing and de-briefing during the selection centre itself. 336. Following the selection centre all candidates must be formally notified of the outcome and the two selected checked for suitability. Candidates must be reminded that a condition of appointment is a satisfactory enhanced Criminal Records Bureau (CRB) check and two satisfactory personal references. Only when these checks and references have been completed to the satisfaction of the Responsible Authority will the candidates be suitable for nomination to the Secretary of State for appointment. Notification of proposed lay Advisers to PPCU 337. Once the Responsible Authority has identified two people that it wishes to nominate to the Secretary of State as being suitable for appointment as lay Advisers it should write to the PPCU confirming this, including their full personal details and a biographical pen-picture. The PPCU will acknowledge the nominations and advise on the timescale for appointment. Appointment by Secretary of State 338. The administration of all appointments will be undertaken by the PPCU who will advise the Secretary of State of all nominations received from Areas. During the first year appointments will be made incrementally throughout the year as Areas complete their selection processes and there after as demand dictates. Once the Secretary of State has made an appointment he will write directly to the Lay Adviser and to the Responsible Authority informing them of that decision. Induction 339. Once the Responsible Authority has been formally notified of the appointment of the lay Adviser it is vital that a process of induction is undertaken. In simple terms this will be an opportunity for the lay Adviser and a nominated mentor from the Responsible Authority to get to know each other with a view to the Adviser understanding the context of public protection and the development of the MAPPA locally. The shape and duration of this period of induction will vary between individuals but it is an essential Version 1.3 © Crown Copyright 2004 113

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element in equipping the lay Adviser to undertake their role within the SMB. Prior to the lay Advisers attendance of national training it would be extremely helpful if they had had an opportunity to be informed of the basic structure of the criminal justice system and basic sentences as well as the roles of local duty to co-operate agencies. National Training weekends 340. Two national training weekends will be offered to each lay Adviser during the first two years of their appointment. These weekends will comprise two distinct but complementary training modules offering more detailed insight into the behaviour, risk and management of both sexual and violent offenders and the role of lay Advisers within the context of the strategic management board (SMB). They will be hosted and organised through the PPCU using specialist operational staff. It is intended that each module will be repeated a number of times during the year so that all Lay Advisers will have an opportunity to attend. While it is possible to acquire the knowledge from the weekends from other sources, experience from the pilots suggests that Advisers will appreciate the opportunity of sharing experiences and questions with other colleagues who have a similar role. Details of these weekends will be communicated to lay Advisers directly as well as to the Responsible Authority. In the first year the following dates have been agreed (venues to be confirmed): 17th – 19th September 2004 26th – 28th November 2004 14th – 16th January 2005 11th – 13th March 2005 13th – 15th May 2005 341. The PPCU has three important roles in relation to lay Advisers:

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a) Co-ordinating and directing the national recruitment of lay Advisers b) Advising the Responsible Authority on all appointments and de-selections of lay Advisers made by the Secretary of State. c) Maintaining a network of support and communication with the Responsible Authority and lay Advisers. 342. For the PPCU to undertake these roles successfully it is important that there is clear and consistent communication networks established and maintained. Given that the majority of communication will be by e-mail or phone, it is essential that the PPCU is regularly updated with any changes to e-mail addresses, telephone numbers of Lay Advisers or changes of Responsible Authority personnel. This will allow the rapid and reliable transfer of relevant information to all parties.

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Criminal Justice Act (2003) Section 325 - 327

Appendix 1

343. Arrangements for assessing etc risks posed by certain offenders (1) In this section — “relevant sexual or violent offender” has the meaning given by section 327; “responsible authority”, in relation to any area, means the Chief officer of police, the local probation board for that area and the Minister of the Crown exercising functions in relation to prisons, acting jointly. (2) The responsible authority for each area must establish arrangements for the purpose of assessing and managing the risks posed in that area by — (a) relevant sexual and violent offenders, and (b) other persons who, by reason of offences committed by them (wherever committed), are considered by the responsible authority to be persons who may cause serious harm to the public. (3) In establishing those arrangements, the responsible authority must act in cooperation with the persons specified in subsection (6); and it is the duty of those persons to co-operate in the establishment by the responsible authority of those arrangements, to the extent that such co-operation is compatible with the exercise by those persons of their functions under any other enactment. (4) Co-operation under subsection (3) may include the exchange of information. (5) The responsible authority for each area (“the relevant area”)and the persons specified in subsection (6) must together draw up a memorandum setting out the ways in which they are to co-operate. (6) The persons referred to in subsections (3) and (5) are — (a) every youth offending team established for an area any part of which falls within the relevant area, (b) the Ministers of the Crown exercising functions in relation to social security, child support, war pensions, employment and training, (c) every local education authority any part of whose area falls within the relevant area, (d) every local housing authority or social services authority any part of whose area falls within the relevant area, (e) every registered social landlord which provides or manages residential accommodation in the relevant area in which persons falling within subsection (2)(a)or (b) reside or may reside, (f) every Health Authority or Strategic Health Authority any part of whose area falls within the relevant area, (g) every Primary Care Trust or Local Health Board any part of whose area falls within the relevant area, (h) every NHS trust any part of whose area falls within the relevant area, and (i) every person who is designated by the Secretary of State by order for the purposes of this paragraph as a provider of electronic monitoring services.

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(7) The Secretary of State may by order amend subsection (6) by adding or removing any person or description of person. (8) The Secretary of State may issue guidance to responsible authorities on the discharge of the functions conferred by this section and section 326. (9) In this section — “local education authority ”has the same meaning as in the Education Act 1996 (.56); “local housing authority ”has the same meaning as in the Housing Act 1985 (.68); “Minister of the Crown ” has the same meaning as in the Ministers of the Crown Act 1975 (c.26); “NHS trust ”has the same meaning as in the National Health Service Act 1977 (.49); “prison ” has the same meaning as in the Prison Act 1952 ((c.52); “registered social landlord ” has the same meaning as in Part 1 of the Housing Act 1996 (c.52); “social services authority ”means a local authority for the purposes of the Local Authority Social Services Act 1970 (.42). 344. Review of arrangements (1) The responsible authority for each area must keep the arrangements established by it under section 325 under review with a view to monitoring their effectiveness and making any changes to them that appear necessary or expedient. (2) The responsible authority for any area must exercise their functions under subsection (1) in consultation with persons appointed by the Secretary of State as lay Advisers in relation to that authority. (3) The Secretary of State must appoint two lay Advisers under subsection (2) in relation to each responsible authority. (4) The responsible authority must pay to or in respect of the persons so appointed such allowances as the Secretary of State may determine. (5) As soon as practicable after the end of each period of 12 months beginning with 1st April, the responsible authority for each area must — (a) prepare a report on the discharge by it during that period of the functions conferred by section 325 and this section, and (b) publish the report in that area. (6) The report must include — (a) details of the arrangements established by the responsible authority, and

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Appendix 1

(b) information of such descriptions as the Secretary of State has notified to the responsible authority that he wishes to be included in the report. 345. Section 325: interpretation (1) For the purposes of section 325,a person is a relevant sexual or violent offender if he falls within one or more of subsections (2) to (5). (2) A person falls within this subsection if he is subject to the notification requirements of Part 2 of the Sexual Offences Act 2003 (c.42). (3) A person falls within this subsection if — (a) he is convicted by a court in England or Wales of murder or an offence specified in Schedule 15,and (b) one of the following sentences is imposed on him in respect of the conviction — (i) a sentence of imprisonment for a term of 12 months or more, (ii) a sentence of detention in a young offender institution for a term of 12 months or more, (iii) a sentence of detention during Her Majesty’s pleasure, (iv) a sentence of detention for public protection under section 226, (v) a sentence of detention for a period of 12 months or more under section 91 of the Sentencing Act (offenders under 18 convicted of certain serious offences), (vi) a sentence of detention under section 228, (vii) a detention and training order for a term of 12 months or more, or (viii) a hospital or guardianship order within the meaning of the Mental Health Act 1983 (.20). (4) A person falls within this subsection if — (a) he is found not guilty by a court in England and Wales of murder or an offence specified in Schedule 15 by reason of insanity or to be under a disability and to have done the act charged against him in respect of such an offence, and (b) one of the following orders is made in respect of the act charged against him as the offence — (i) an order that he be admitted to hospital, or (ii) a guardianship order within the meaning of the Mental Health Act 1983. (5) A person falls within this subsection if — (a) the first condition set out in section 28(2) or 29(2) of the Criminal Justice and Court Services Act 2000 (.43) or the second condition set out in section 28(3) or 29(3) of that Act is satisfied in his case, or (b) an order under section 29A of that Act has been made in respect of him. (6) In this section “court” does not include a service court, as defined by section 305(1).

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Appendix 1

Thresholds which must be met before an offender becomes subject to the notification requirements of Part 2 of the Sexual offences Act 2003. Offence Indecent photographs of children under 16 (Sec 1, POCA 1978) Threshold to registration in Schedule 3 Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • automatic registration Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • automatic registration Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • automatic registration Automatic registration

Importing indecent photographs of children under 16 (Sec 170, Customs and Excise Management Act 1979 and Sec 42 Customs Consolidation Act 1876) Possession of indecent photographs of children under 16 (Sec 160 CJA 1988) Rape (1)41, Assault by penetration (2), Sexual assault (3)

Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • the victim was under 18; or • the offender received a prison sentence; or • was detained in a hospital; or • was made the subject of a 12 month community sentence42 Automatic registration

Causing sexual activity without consent (4) Rape of a child under 13 (5) Assault of child under 13 by penetration (6) Sexual assault of a child under 13 (7)

Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • automatic registration Automatic registration

Causing or inciting a child under 13 to engage in sexual activity (8) Child sex offences committed by
41 42

Number in brackets denotes section number in the Sexual Offences Act 2003 A 12 month community sentence is the equivalent of 112 days Service detention

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Appendix 1 (The offender will always be under 18): • 12 months imprisonment Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • automatic registration Automatic registration Where the offender: • received a prison sentence; or • was detained in a hospital; or • was made the subject of a 12 month community sentence Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • automatic registration Automatic registration Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • received a prison sentence; or • was detained in a hospital; or • was made the subject of a 12 month community sentence Where the victim was under 16: • And the offender was under 18, 12 months imprisonment • And the offender was 18 or above, automatic registration Automatic registration Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • the victim was under 18; or • the offender received a prison sentence; or • was detained in a hospital; or • was made the subject of a 12 month community sentence Where the offender is under 18: • 12 months imprisonment

Meeting a child following sexual grooming (15) Abuse of a position of trust (16 – 19)

Familial child sex offences (25 – 26)

Offences against persons with a mental disorder (30 – 37) Care worker offences (38 – 41)

Paying for the sexual services of a child (47)

Administering a substance with intent (61) Committing an offence (62), or trespassing (63), with intent to commit a sexual offence

Sex with an adult relative (64 – 65)

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Appendix 1 • received a prison sentence; or was detained in a hospital Where the offender is under 18: • 12 months imprisonment Where the offender is 18 or above: • the victim was under 18; or • the offender received a prison sentence; or • was detained in a hospital; or • was made the subject of a 12 month community sentence Where the offender is under 18: • 12 months imprisonment

Voyeurism (67)

Where the offender is 18 or above: • the victim was under 18; or • the offender received a prison sentence; or • was detained in a hospital; or • was made the subject of a 12 month community sentence Intercourse with an animal (69) or Where the offender is under 18: sexual penetration of a corpse • 12 months imprisonment (70) Where the offender is 18 or above: • received a prison sentence; or • was detained in a hospital

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SCHEDULE 15 Section 224

Appendix 1

SPECIFIED OFFENCES FOR PURPOSES OF CHAPTER 5 OF PART 12 PART 1 SPECIFIED VIOLENT OFFENCES 1 2 3 Manslaughter. Kidnapping. False imprisonment.

4 An offence under section 4 of the Offences against the Person Act 1861 (c.100) (soliciting murder). 5 An offence under section 16 of that Act (threats to kill).

6 An offence under section 18 of that Act (wounding with intent to cause grievous bodily harm). 7 An offence under section 20 of that Act (malicious wounding).

8 An offence under section 21 of that Act (attempting to choke, suffocate or strangle in order to commit or assist in committing an indictable offence). 9 An offence under section 22 of that Act (using chloroform etc. to commit or assist in the committing of any indictable offence). 10 An offence under section 23 of that Act (maliciously administering poison etc. so as to endanger life or inflict grievous bodily harm). 11 An offence under section 27 of that Act (abandoning children).

12 An offence under section 28 of that Act (causing bodily injury by explosives). 13 An offence under section 29 of that Act (using explosives etc. with intent to do grievous bodily harm). 14 An offence under section 30 of that Act (placing explosives with intent to do bodily injury). 15 An offence under section 31 of that Act (setting spring guns etc. with intent to do grievous bodily harm). 16 An offence under section 32 of that Act (endangering the safety of railway passengers). 17 An offence under section 35 of that Act (injuring persons by furious driving).

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18 An offence under section 37 of that Act (assaulting officer preserving wreck). 19

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An offence under section 38 of that Act (assault with intent to resist arrest).

20 An offence under section 47 of that Act (assault occasioning actual bodily harm). 21 An offence under section 2 of the Explosive Substances Act 1883 (c.3) (causing explosion likely to endanger life or property). 22 An offence under section 3 of that Act (attempt to cause explosion, or making or keeping explosive with intent to endanger life or property). 23 An offence under section 1 of the Infant Life (Preservation) Act 1929 (c.34) (child destruction). 24 An offence under section 1 of the Children and Young Persons Act 1933 (c.12)(cruelty to children). 25 An offence under section 1 of the Infanticide Act 1938 (c.36) (infanticide).

26 An offence under section 16 of the Firearms A t 1968 (c.27) (possession of firearm with intent to endanger life). 27 An offence under section 16A of that Act (possession of firearm with intent to cause fear of violence). 28 An offence under section 17(1) of that Act (use of firearm to resist arrest).

29 An offence under section 17(2) of that Act (possession of firearm at time of committing or being arrested for offence specified in Schedule 1 to that Act). 30 An offence under section 18 of that Act (carrying a firearm with criminal intent). 31 An offence under section 8 of the Theft Act 1968 (c.60)(robbery or assault with intent to rob). 32 An offence under section 9 of that Act of burglary with intent to —

(a) inflict grievous bodily harm on a person, or (b) do unlawful damage to a building or anything in it. 33 An offence under section 10 of that Act (aggravated burglary).

34 An offence under section 12A of that Act (aggravated vehicle-taking) involving an accident which caused the death of any person. 35 An offence of arson under section 1 of the Criminal Damage Act 1971 (.48).

36 An offence under section 1(2) of that Act (destroying or damaging property) other than an offence of arson.

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37 An offence under section 1 of the Taking of Hostages A t 1982 (.28) (hostage-taking). 38 An offence under section 1 of the Aviation Security Act 1982 (c.36) (hijacking).

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39 An offence under section 2 of that Act (destroying damaging or endangering safety of aircraft). 40 An offence under section 3 of that Act (other acts endangering or likely to endanger safety of aircraft). 41 An offence under section 4 of that Act (offences in relation to certain dangerous articles). 42 An offence under section 127 of the Mental Health Act 1983 (.20) (illtreatment of patients). 43 An offence under section 1 of the Prohibition of Female Circumcision Act 1985 (c.38)(prohibition of female circumcision). 44 45 46 An offence under section 1 of the Public Order Act 1986 (c.64) (riot). An offence under section 2 of that Act (violent disorder). An offence under section 3 of that Act (affray).

47 An offence under section 134 of the Criminal Justice Act 1988 (c.33) (torture). 48 An offence under section 1 of the Road Traffic Act 1988 (c.52) (causing death by dangerous driving). 49 An offence under section 3A of that Act (causing death by careless driving when under influence of drink or drugs). 50 An offence under section 1 of the Aviation and Maritime Security Act 1990 (c.31) (endangering safety at aerodromes). 51 An offence under section 9 of that Act (hijacking of ships).

52 An offence under section 10 of that Act (seizing or exercising control of fixed platforms). 53 An offence under section 11 of that Act (destroying fixed platforms or endangering their safety). 54 An offence under section 12 of that Act (other acts endangering or likely to endanger safe navigation). 55 An offence under section 13 of that Act (offences involving threats).

56 An offence under Part II of the Channel Tunnel (Security) Order 1994 (S.I. 1994/570) (offences relating to Channel Tunnel trains and the tunnel system).

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57 An offence under section 4 of the Protection from Harassment Act 1997 (c.40)(putting people in fear of violence). 58 An offence under section 29 of the Crime and Disorder Act 1998 (c.37) (racially or religiously aggravated assaults).

Appendix 1

59 An offence falling within section 31(1) (a) or (b) of that Act (racially or religiously aggravated offences under section 4 or 4A of the Public Order Act 1986 (c.64)). 60 An offence under section 51 or 52 of the International Criminal Court Act 2001 (c.17) (genocide, crimes against humanity, war rimes and related offences), other than one involving murder. 61 An offence under section 1 of the Female Genital Mutilation A t 2003 (c.31) (female genital mutilation). 62 An offence under section 2 of that Act (assisting a girl to mutilate her own genitalia). 63 An offence under section 3 of that Act (assisting a non-UK person to mutilate overseas a girl ’s genitalia). 64 An offence of —

(a) aiding, abetting, counselling procuring or inciting the commission of an offence specified in this Part of this Schedule, (b) (c) 65 conspiring to commit an offence so specified, or attempting to commit an offence so specified. An attempt to commit murder or a conspiracy to commit murder.

PART 2 SPECIFIED SEXUAL OFFENCES 66 67 An offence under section 1 of the Sexual Offences Act 1956 (c.69)(rape). An offence under section 2 of that Act (procurement of woman by threats).

68 An offence under section 3 of that Act (procurement of woman by false pretences). 69 An offence under section 4 of that Act (administering drugs to obtain or facilitate intercourse). 70 71 An offence under section 5 of that Act (intercourse with girl under thirteen). An offence under section 6 of that Act (intercourse with girl under 16).

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72 73 74 75 76 77

An offence under section 7 of that Act (intercourse with a defective). An offence under section 9 of that Act (procurement of a defective). An offence under section 10 of that Act (incest by a man). An offence under section 11 of that Act (incest by a woman).

Appendix 1

An offence under section 14 of that Act (indecent assault on a woman). An offence under section 15 of that Act (indecent assault on a man).

78 An offence under section 16 of that Act (assault with intent to commit buggery). 79 An offence under section 17 of that Act (abduction of woman by force or for the sake of her property). 80 An offence under section 19 of that Act (abduction of unmarried girl under eighteen from parent or guardian). 81 An offence under section 20 of that Act (abduction of unmarried girl under sixteen from parent or guardian). 82 An offence under section 21 of that Act (abduction of defective from parent or guardian). 83 84 one). 85 An offence under section 22 of that Act (causing prostitution of women). An offence under section 23 of that Act (procuration of girl under twentyAn offence under section 24 of that Act (detention of woman in brothel).

86 An offence under section 25 of that Act (permitting girl under thirteen to use premises for intercourse). 87 An offence under section 26 of that Act (permitting girl under sixteen to use premises for intercourse). 88 An offence under section 27 of that Act (permitting defective to use premises for intercourse). 89 An offence under section 28 of that Act (causing or encouraging the prostitution of intercourse with or indecent assault on girl under sixteen). 90 An offence under section 29 of that Act (causing or encouraging prostitution of defective). 91 92 An offence under section 32 of that Act (soliciting by men). An offence under section 33 of that Act (keeping a brothel).

93 An offence under section 128 of the Mental Health Act 1959 (c.72) (sexual intercourse with patients).

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94 An offence under section 1 of the Indecency with Children Act 1960 (c.33) (indecent conduct towards young child). 95 An offence under section 4 of the Sexual Offences Act 1967 (c.60) (procuring others to commit homosexual acts). 96 An offence under section 5 of that Act (living on earnings of male prostitution). 97 An offence under section 9 of the Theft Act 1968 (c.60) of burglary with intent to commit rape. 98 An offence under section 54 of the Criminal Law Act 1977 (c.45)(inciting girl under sixteen to have incestuous sexual intercourse). 99 An offence under section 1 of the Protection of Children Act 1978 (c.37) (indecent photographs of children). 100 An offence under section 170 of the Customs and Excise Management Act 1979 (c.2) (penalty for fraudulent evasion of duty etc.) in relation to goods prohibited to be imported under section 42 of the Customs Consolidation Act 1876 (c.36)(indecent or obscene articles). 101 An offence under section 160 of the Criminal Justice Act 1988 (c.33) (possession of indecent photograph of a child). 102 103 104 An offence under section 1 of the Sexual Offences Act 2003 (c.42) (rape). An offence under section 2 of that Act (assault by penetration). An offence under section 3 of that Act (sexual assault).

105 An offence under section 4 of that Act (causing a person to engage in sexual activity without consent). 106 An offence under section 5 of that Act (rape of a child under 13).

107 An offence under section 6 of that Act (assault of a child under 13 by penetration). 108 An offence under section 7 of that Act (sexual assault of a child under 13).

109 An offence under section 8 of that Act (causing or inciting a child under 13 to engage in sexual activity). 110 An offence under section 9 of that Act (sexual activity with a child).

111 An offence under section 10 of that Act (causing or inciting a child to engage in sexual activity). 112 An offence under section 11 of that Act (engaging in sexual activity in the presence of a child).

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113 act).

An offence under section 12 of that Act (causing a child to watch a sexual

Appendix 1

114 An offence under section 13 of that Act (child sex offences committed by children or young persons). 115 An offence under section 14 of that Act (arranging or facilitating commission of a child sex offence). 116 An offence under section 15 of that Act (meeting a child following sexual grooming etc.). 117 An offence under section 16 of that Act (abuse of position of trust: sexual activity with a child). 118 An offence under section 17 of that Act (abuse of position of trust: causing or inciting a child to engage in sexual activity). 119 An offence under section 18 of that Act (abuse of position of trust: sexual activity in the presence of a child). 120 An offence under section 19 of that Act (abuse of position of trust: causing a child to watch a sexual act). 121 An offence under section 25 of that Act (sexual activity with a child family member). 122 An offence under section 26 of that Act (inciting a child family member to engage in sexual activity). 123 An offence under section 30 of that Act (sexual activity with a person with a mental disorder impeding choice). 124 An offence under section 31 of that Act (causing or inciting a person with a mental disorder impeding choice to engage in sexual activity). 125 An offence under section 32 of that Act (engaging in sexual activity in the presence of a person with a mental disorder impeding choice). 126 An offence under section 33 of that Act (causing a person with a mental disorder impeding choice to watch a sexual act). 127 An offence under section 34 of that Act (inducement, threat or deception to procure sexual activity with a person with a mental disorder). 128 An offence under section 35 of that Act (causing a person with a mental disorder to engage in or agree to engage in sexual activity by inducement, threat or deception). 129 An offence under section 36 of that Act (engaging in sexual activity in the presence, procured by inducement, threat or deception, of a person with a mental disorder). 130 An offence under section 37 of that Act (causing a person with a mental disorder to watch a sexual act by inducement, threat or deception).

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131 An offence under section 38 of that Act (care workers: sexual activity with a person with a mental disorder). 132 An offence under section 39 of that A t (care workers: causing or inciting sexual activity). 133 An offence under section 40 of that Act (care workers: sexual activity in the presence of a person with a mental disorder). 134 An offence under section 41 of that Act (are workers: causing a person with a mental disorder to watch a sexual act). 135 child). An offence under section 47 of that Act (paying for sexual services of a

136 An offence under section 48 of that Act (causing or inciting child prostitution or pornography). 137 An offence under section 49 of that Act (controlling a child prostitute or a child involved in pornography). 138 An offence under section 50 of that Act (arranging or facilitating child prostitution or pornography). 139 gain). 140 An offence under section 52 of that Act (causing or inciting prostitution for An offence under section 53 of that Act (controlling prostitution for gain).

141 An offence under section 57 of that Act (trafficking into the UK for sexual exploitation). 142 An offence under section 58 of that Act (trafficking within the UK for sexual exploitation). 143 An offence under section 59 of that Act (trafficking out of the UK for sexual exploitation). 144 An offence under section 61 of that Act (administering a substance with intent). 145 An offence under section 62 of that Act (committing an offence with intent to commit a sexual offence). 146 An offence under section 63 of that Act (trespass with intent to commit a sexual offence). 147 An offence under section 64 of that Act (sex with an adult relative: penetration). 148 An offence under section 65 of that Act (sex with an adult relative: consenting to penetration). 149 An offence under section 66 of that Act (exposure).

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150 151 152 An offence under section 67 of that Act (voyeurism).

Appendix 1

An offence under section 69 of that Act (intercourse with an animal). An offence under section 70 of that Act (sexual penetration of a corpse).

153

An offence of —

(a) aiding, abetting, counselling, procuring or inciting the commission of an offence specified in this Part of this Schedule, (b) (c) conspiring to commit an offence so specified, or attempting to commit an offence so specified.

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MAPPA Guidance Glossary Abbreviations ACC ACO ACPC ACPO ACR ASSET DCR EWS HDC HMIC HMIP MAPPA MAPPP NCIS NPD NSPCC OASys PPU PSR RSO ROTL SMB SOO VCO ViSOR YJB YOI YOT

Appendix 2

Assistant Chief Constable Assistant Chief Officer (Probation) Area Child Protection Committee Association of Chief Police Officers Automatic Conditional Release Assessment tool for Young Offenders Discretionary Conditional Release Early Warning System Home Detention Curfew Her Majesty’s Inspectorate of Constabulary Her Majesty’s Inspectorate of Probation Multi Agency Public Protection Arrangements Multi Agency Public Protection Panel National Criminal Intelligence Service National Probation Directorate National Society for the Prevention of Cruelty to Children Offender Assessment System Public Protection Unit Pre Sentence Report Registered Sex Offender Release on Temporary Licence Strategic Management Board Sex Offender Orders Victim Contact Officer Violent and Registered Sex Offender database Youth Justice Board Young Offender Institution Youth Offender Team

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Appendix 3

ASSESSMENT OF INDIVIDUALS CONVICTED OF CHILD PORNOGRAPHY OFFENCES
PURPOSE
To provide guidance to staff involved in the preparation of PreSentence Reports in cases involving the making, possessing or distribution of indecent images of children.

Probation

Circular
REFERENCE NO: 14/2003 ISSUE DATE: 17/02/03 IMPLEMENTATION DATE: Immediate EXPIRY DATE: March 2005 TO: Chairs of Probation Boards Chief Officers of Probation Secretaries of Probation Boards CC: Board Treasurers Regional Managers AUTHORISED BY: Liz Hill, Head of Public Protection ATTACHED: N/A

ACTION

Chief Officers to ensure that the contents of this Circular are forwarded to all staff involved in the preparation of Pre-Sentence Reports in cases involving these offences.

SUMMARY

This Circular contains a review of the literature concerning the link between use of pornography and other forms of sexual offending. It provides guidance notes on issues to be explored in interview with the offender and key dynamic risk factors used in the assessment of this offender group. It makes suggestions for appropriate proposals to Court that should be considered by the PSR writer.

RELEVANT PREVIOUS PROBATION CIRCULARS
None

CONTACT FOR ENQUIRIES
David Middleton Public Protection Unit Email: david.middleton2@homeoffice.gsi.gov.uk

National Probation Directorate
Horseferry House, Dean Ryle Street, London SW1P 2AW General Enquiries: 020 7217 0659 Fax: 020 7217 0660

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Appendix 3

This guidance on assessment is written primarily for Probation Officers writing PSRs on individuals convicted of possessing, making, and distributing indecent images via the Internet. Some of the more detailed assessment may be completed following sentence, for example to determine the treatment pathway through an accredited sex offender treatment programme. Key points ♦ Sex offenders, including those convicted of child pornography offences, are not a homogeneous group. Therefore generalisations or characteristics, which may apply to some of these individuals, will not apply to all and care should be taken to provide evidence from each individual case that justifies the assessment made. ♦ Actuarial measures may not be useful in assessing this type of offender since there is relatively little reconviction data on which to base such assessment systems ♦ Greater attention should be paid to dynamic risk factors in these assessments ♦ Indecent images of children are records of coercive and abusive acts against children and those downloading such images are contributing to the perpetuation of child abuse. Individual offenders will often deny this. ♦ Research has been unable to provide clear evidence for a causal link between viewing pornography and committing “hands on” offences. However there is evidence that those assessed with a predisposition to commit other sexual offences will also view pornography. The extent to which predisposing factors for sexual offenders, which are clusters of personality factors some of which are detailed in this briefing, are present, provides an opportunity to assess the likelihood of re-offending. Most of these offenders are likely to benefit from addressing their behaviour through participation in accredited treatment programmes. Do pornography users pose a risk to children? - lessons from research The COPINE Project, based at the University of Cork, is one of the leading European centres engaged in the study of Internet pornography. They categorise 5 Classes of Internet child pornography related offending behaviours namely: i. ii. iii. iv. Downloading child pornography Trading child pornography Distribution and production of child pornography Engagement with Internet seduction of children

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Appendix 3

The classes are not discrete and each requires particular conditions for expression. For example the production of child pornography necessarily involves the commission of a contact offence, but the latter does not automatically imply the former. This model does not imply that the person who engages in the downloading of child pornography will automatically go on to commit a contact offence against a child. But there is evidence to support the view that there are facilitating factors (environmental, such as access to children, as well as those pertaining to the individual, in terms of past history, etc.), these increase the likelihood of it being the case. There is clearly considerable evidence to support the suggestion that there is a relationship between pornography and sexual aggression, but as yet it is unclear as to what that relationship might be (Quayle, E. in press) Pornography has been found to be used as an aid in generating inappropriate sexual fantasy which in turn is reinforced through masturbation. (Wyre (1992; Eldridge (2000)) Users of pornography report that it normalises the fantasy and disinhibits the user. As the viewer becomes familiar and bored to the pornography, they seek out more ‘intense’ content. The combination of disinhibition, increased risk taking, entrenched cognitive distortions and the need to seek more intense experiences suggests the possibility of escalating behaviour into seeking opportunities for ‘real-life experiences’ and hands-on abuse. (Recognising that many images of child pornography are already images of hands-on abuse). Research by Marshall (1988) indicates that more than one third of child molesters had at least occasionally been incited to commit an offence by exposure to pornographic material. Such studies often rely on self report by sex offenders however a small scale study in the West Midlands Probation Area found that when asked during a polygraph examination, 86% of sex offenders admitted using pornography as a precursor to offending. (Second only to use of alcohol 93%). Samples of known child pornography users have contained varying numbers of convicted “hands-on” child abusers e.g. The U.S. Postal Survey found 40%; New Zealand Censorship Compliance Unit 10%. Given the relatively low rate of conviction for child abuse offences (estimated at 5% of reported incidences) it is reasonable to assume that regular viewers of child pornography will contain substantial numbers of hitherto unconvicted abusers. Check and Gullion (1989) found that “men who are predisposed to aggression are particularly vulnerable to negative influences from pornography”. Marshall (2000) states that it is possible to “infer from the available literature that pornography exposure may influence … the development of sexual offending in some men”. Such individuals would be those who have experienced childhood development of vulnerability that in turn leads to a variety of Version 1.3 © Crown Copyright 2004 133

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problems including “a greater focus on sex, and the need to control events during sex.” However Marshall cautions against ascribing a direct causal link between viewing pornography and other forms of sexual offending, rather that viewing pornography may accelerate a process already underway or may further justify an established set of antisocial beliefs. Itzin (1992) has argued that the research consistently produces correlations between pornography and harm such as negative effects on attitudes, beliefs and behaviour and should therefore be re-conceptualised as evidence of causal – although not solely causal – relationships. In summary pornography can be used to stimulate, develop and fuel sexual fantasy. Frequent use may be linked to sexual pre-occupation and attitudes that normalise deviant behaviour with potential victims. Many sex offenders appear to use pornography to increase arousal pre-offence. However many men who use pornography do not sexually assault others and assessment needs to focus on the context and meaning of pornography for each individual along with an assessment of other dynamic factors associated with sexual offence behaviours. What to look for in interview In assessing individuals who possess indecent images Probation Officers should explore The context in which material was accessed, the amount of time spent online and the frequency of downloading material (note that some users set their computer to download lengthy files overnight). An account of the variety of sites, bulletin boards, chat rooms visited with frequency should be obtained, together with information on participation in live sex talk or video link sessions. There are self-report questionnaire formats available to assist this aspect of data collection, which are available on request to NPD. This information is useful in gaining an insight into how entrenched the behaviour has become and the escalation of use. The efforts made by the offender to conceal his identity online and to conceal his activity from others. Of particular interest is the resultant deterioration in social relationships. Offenders may not be aware of the effect of increased time spent in isolation pursuing their online sexual interests, or conversely cite a breakdown in social and intimate relationships as the reason for increasing their time online. Carnes et al (2001) propose that online sexual activity is indicated as problematic for the individual in 3 areas Compulsivity – entrenched habits and routines; Continuation despite Consequences – e.g. effect on relationships and Obsession – preoccupied to the exclusion of other parts of life. They suggest the following 10 areas for discussion with the individual to help identify how these factors might apply. Clearly this could be a useful focus for assessment at PSR stage. Version 1.3 © Crown Copyright 2004 134

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1. Preoccupation with sex on the Internet. This is more than just thinking about online sex. It is finding that the offender regularly thinks about how they can arrange their time to spend more time online. Ruminating on past online sex experiences etc. 2. Frequently engaging in sex on the Internet more often and for longer than intended. 3. Repeated unsuccessful attempts to control, cut back on or stop engaging in sex on the Internet 4. Restlessness or irritability when attempting to limit or stop 5. Using sex on the Internet as a way of escaping from problems or relieving feelings such as helplessness, guilt, anxiety or depression 6. Seeking more intense or higher risk sexual experiences 7. Lying to family members, therapists or others to conceal involvement with sex on the Internet 8. Committing illegal acts online 9. Jeopardising or losing a significant relationship, job or educational or career opportunity because of online sexual behaviour 10. Incurring significant financial consequences as a result of engaging in online sexual behaviour They further suggest that people who have problematic behaviour with sex and the Internet tend to fall into three groups: i) ii) iii) Discovery Group – those who have no previous problem with online sex or any history of problematic sexual behaviour Pre-disposed Group – those who have had their first out-of-control sexual behaviour on the Internet after years of obsessing over unacted upon sexual fantasies and urges Lifelong Sexually Compulsive Group – those whose out-of-control sexual behaviour on the Internet is part of an on-going severe sexual problem.

It may be useful therefore to explore during assessment how far along a continuum an individual has moved in respect of their usage of pornography. Clearly most offenders at this stage will seek to minimise their behaviour and could be expected to wish to be seen as belonging to the Discovery Group.

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PSR writers should seek to gain evidence that may suggest a pre-disposition to sexually abuse. This information would cover known dynamic risk factors such as sexual pre-occupation, sexual entitlement beliefs, distorted attitudes concerning children and sex, emotional congruence with children rather than with adults, sexual arousal to children, poor self esteem, external locus of control, victim stancing (passive or active), impulsivity, poor problem recognition and problem solving skills. In addition the nature of sexual fantasy used by the individual and how this relates to Internet use, and possible contact offences should be explored. Included in this is an assessment of how the offender views their behaviour and how significant others view the behaviour. Finally writers should be checking for environmental factors and victim access behaviours that may make escalation of sexually abusive behaviour more likely. Proposals to the Court In most cases it is likely that there will be sufficient justification for a recommendation for a three year Community Rehabilitation Order with a condition of participation on an accredited sex offender treatment programme. All three of the currently accredited programmes will provide appropriate treatment, although some exercises may need slight adaptation. Discussions have been held with the STEP team to adapt the psychometric assessment tests for such offenders and these are now included in the latest version of the test battery. For offenders who are sentenced to custody of whatever length there should be a recommendation in the PSR for extended sentence to include at least a three year period of post release supervision to enable participation in the full programme on release. Consideration should also be given to the addition of a Restraining Order to prohibit activities, or the possession of equipment and materials, in order to protect the public (either in general or particular) from serious harm. Future Research Since this is a relatively new offender group it is proposed to take the opportunity provided by the expected increase in prosecutions to gather research data to further inform our assessment and intervention strategy. Further details will be notified in due course. Contact Questions or discussion regarding this document should be addressed to David Middleton, NPD, Public Protection Unit, 2nd Floor, Horseferry House, London, SW1P 2AW or David.Middleton2@homeoffice.gsi.gov.uk

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Appendix 3

Carnes, P., Delmonico, D.L., & Griffin, E. (2001) In the Shadows of the Net Hazeldine, Minnesota Check, J.V.P. and Gullion, T.H. (1989) Reported proclivity for coercive sex following repeated exposure to sexually violent pornography, non-violent pornography and erotica. In Zillmann, D. and Bryant, J. (Eds) Pornography: Research advances and policy considerations Hillsdale, NJ: Erlbaum Eldridge, H. (2000) “Patterns of sex offending and strategies for effective assessment and intervention” in Itzin, C. (Ed) Home Truths about Child Sexual Abuse: Influencing policy and practice London: Routledge Itzin, C. (1992) Pornography and civil liberties: Freedom, harm and human rights in Itzin, C. Pornography: Women, violence and civil liberties. OUP, Oxford. Marshall, W.L., (1988) “The Use of Sexually Explicit Stimuli by Rapists, Child Molesters and Non-offenders” The Journal of Sex Research Vol.25 (2) 267288 Marshall, W.L., Anderson, D. & Fernandez, Y. (1999) Cognitive Behavioural Treatment of Sexual Offenders Wiley, Chichester. Marshall, W.L. (2000) Revisiting the use of pornography by sexual offenders: Implications for theory and practice. The Journal of Sexual Aggression Vol 6 (1/2) Whiting & Birch Quayle, E. & Taylor, M. (in press) A Model of Problematic Internet Use in People with a Sexual Interest in Children CyberPsychology & Behavior Wyre, R. (1992) Pornography and sexual violence: Working with sex offenders, in Itzin, C. (Ed) Pornography: women, violence and civil liberties. OUP Oxford

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SHARING INFORMATION TO INFORM DECISIONS ON OFFENDER RELEASE AND RECALL
PURPOSE
To clarify the procedures to be used by Probation Areas to share information with the Secretary of State, the Parole Board and Prison Service to inform decisions on the release and recall of offenders.

Probation

Circular
REFERENCE NO: 13/2003 ISSUE DATE: 21 February 2003 IMPLEMENTATION DATE: 24 March 2003 EXPIRY DATE: March 2005 TO: Chairs of Probation Boards Chief Officers of Probation Secretaries of Probation Boards CC: MAPPA Co-ordinators Board Treasurers Regional Managers AUTHORISED BY: Liz Hill ATTACHED: N/A

ACTION

Chief Officers to draw this to the attention of their appropriate staff.

SUMMARY
Effective information sharing arrangements which have the confidence of those whose information is shared or disclosed to others are an important part of public protection arrangements. This PC explains how information can be shared without disclosing sensitive details.

RELEVANT PREVIOUS PROBATION CIRCULARS CONTACT FOR ENQUIRIES
Steve McCarthy 020 7217 5551 (Steve.McCarthy@hmps.gsi.gov.uk) Bettina Crossick 020 7217 0746 (Bettina.Crossick@homeoffice.gsi.gov.uk) William.Payne 020 7217 8018 (William.Payne@homeoffice.gsi.gov.uk)

No previous Probation Circulars have been issued on this subject.

National Probation Directorate
Horseferry House, Dean Ryle Street, London SW1P 2AW General Enquiries: 020 7217 0659 Fax: 020 7217 0660

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SHARING INFORMATION TO INFORM DECISIONS ON OFFENDER RELEASE AND RECALL 1. This Probation Circular (13/2003) provides specific instructions and advice for the Probation Areas (acting jointly with police as the Responsibility Authority in the Multi-Agency Public Protection Arrangements (MAPPA) about sharing information with the Parole Board or the Secretary Of State (in practice, Prison Service staff) making decisions on the release of offenders from prison and on their recall. Its purpose is to strengthen public protection by ensuring that the Parole Board or Secretary Of State has a clear and rigorously identified picture of the risk posed by offenders and thus can take decisions on release and recall that are reasonable robust. It is issued with the agreement of the Prison Service, the Parole Board, and the National Probation Directorate. 2. This PC is based on principles of information sharing that apply to many criminal justice processes; however, it focuses on: Pre-release work, including: • Parole and Life Licence applications and reviews for offenders serving four years or more • Release on Home Detention Curfew (HDC) • Licence conditions for prisoners serving 12 months or more but less than four years • Release on temporary licence (ROTL) Recall work, including: • Requests for recall • Representations against recall • Further review of recalled prisoners Who makes the decisions on release and recall? (i) Parole Board, or the Secretary of State acting on the Parole Board’s recommendation: • • • • • release of offenders sentenced to four years or more release of life sentenced offenders licence conditions of offenders whom they release recall of released offenders (other than those on HDC licence or temporary licence) release of recalled offenders

(ii) Governor (or controller of privately managed prison)acting as Secretary of State (without Parole Board recommendation) • • release of offenders on Home Detention Curfew and Temporary Licence recall of offenders from temporary licence

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MAPPA Guidance • (iii) • • • • licence conditions of offenders serving less than four years

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Secretary of State (without Parole Board recommendation) recall of prisoners from HDC immediate recall of prisoners on licence (subject to confirmation by the Parole Board) approval of unusual licence conditions for prisoners serving less than four years release on parole of prisoners subject to Immigration Service enforcement action (“deport” cases).

3. When deciding (or making recommendations on) whether to release or recall an offender, the Parole Board or Secretary of State has to decide if it is safe for the offender to be at liberty. Their decisions have important repercussions for public protection: if they were to release an offender who in fact posed a high risk of serious harm, the results could be very serious. It is therefore vital to the protection of the public that the Parole Board has before it all relevant information pertaining to risk. 4. In all the procedures outlined in is likely to be asked to provide some report describing the risk the offender recall, a request for additional licence ROTL, a home circumstances report the table above, the Probation Service kind of report. This will be either a would pose if at liberty, a request for conditions, or, in the case of HDC or

5. The Parole Board or Secretary of State is not bound by the normal rules of evidence when making decisions about release, recall or licence conditions. They may receive in evidence any document or information, even if that information would be inadmissible in a court of law. They may receive hearsay evidence and opinion, and they apply the civil test of the balance of probabilities. The decision-maker is likely to place more weight on reports that are objective supported by evidence. In some cases it will be hard or impossible for the decision-maker to reach a realistic view about risk without seeing documentary evidence to which you are privy. 6. Generally all information taken into account in reaching a decision about an offender’s conditions of release will be disclosed to the offender. However, the Prison Service (acting for the Secretary of State) the Parole Board have procedures in place for withholding information from offenders and, in some cases, their representatives, where this is necessary. When sharing information with the Prison Service, for its own use or for onward transmission to the Parole Board, you must follow the procedures outlined below, which are similar to those in place for victim information (see Guidance on Victim Contact Work, Section 9, which is under review). This will ensure that sensitive information is protected.

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Appendix 4

7. If you are a supervising officer or any other person writing a report to the Prison Service in connection with the release or recall of an offender, these are the procedures you should follow for sharing risk information with the Prison Service or Parole Board. 8. Whenever you are providing a parole report or home circumstances report, or a request for recall, you should consider whether you have any material which would shed light for the Parole Board or Secretary Of State on the risk this offender would pose if at liberty. Such material may originate from MAPPA procedures, for example, in the course of a MAPPP, or may be in the form of intelligence provided by the police. If such information exists, it will be considered good practice to provide it unless there are legal reasons that prevent its being shared. It may in some cases be necessary to get permission from the source of the information, e.g. the Police or the MAPPP chairperson. 9. Having decided that in principle the material should be shared, you must then determine the form in which it should be shared. In deciding this, you should consider whether the material, or information contained in it, should be disclosed to the offender and in what form. There are three options: Option A. Option B. Providing the material as it stands, with full disclosure to the offender (see paragraph 10 below); Incorporating a sanitised version of the information in the parole report, home circumstances report or request for recall, with full disclosure to the offender (see paragraphs 11-12 below); you should consider this option where there are sensitive details which can be omitted while still telling the Parole Board or governor what they need to know; or, Providing the information, whether by sharing the original material or in the form of a report, but making a written application for it to be withheld from the offender on the basis of one or more of the five withholding criteria (see paragraphs 13-16 below). A gist for the offender may be added. NB. The criteria for withholding information from an offender are different if the decision whether to release will be made at an oral hearing - see paragraphs 18-20 below. Providing the full information with full disclosure

Option C.

Option A.

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relevant part of Prison Service HQ) will pass this material to the Parole Board or Secretary of State. He or she will also disclose this material to the offender before any decisions are taken about the offender’s release, or licence conditions, to enable the offender to make representations. Option B. Providing a sanitised version as part of your report

11. If you are content for the core information to be disclosed to the offender, but you do not want to share sensitive details, and if the information that could be shared (and disclosed to the offender) still makes clear the degree of risk, you should write a sanitised version of the information as part of the parole or home circumstances report or request for recall. You may state the source of the material (MAPPP, Victim Contact Officer, etc.) or may simply attribute it to yourself if you prefer. 12. The information will be passed to the Parole Board, or to the person acting as the Secretary Of State, to help them make their decision. The report will also be disclosed to the offender before any decisions are taken about the offender’s release, or licence conditions, to enable the offender to make representations. Option C. Application to governor for non-disclosure

13. If you have information that you want to share with the Parole Board / Secretary of State, but you think it should not be disclosed to the offender, you may apply for the information to be withheld. The application should state clearly the withholding criterion or criteria under which the application is being made (see paragraphs and 18-20), and the reasons. You may use the form attached at Annex B. You must then: • • • mark the application and the material under consideration (in red ink) "NOT FOR DISCLOSURE - SUBJECT TO APPLICATION TO GOVERNOR/PAROLE BOARD/SECRETARY OF STATE”: attach it to your report or request for recall; forward the three documents to the prison in which the offender is serving his or her sentence, or, in the case of requests for recall, lifer panels, deport cases, ERCG cases, and parole cases where the offender is serving over 15 years, to the relevant part of Prison Service HQ (see notes at Annex A).

14. In order to safeguard sensitive information as far as possible, (and ensure against the possibility of an application being refused even where the information meets one of the withholding criteria,) the application should where possible contain one of the following: • a sanitised version that could be disclosed to the offender, the original being made available to the Parole Board or Secretary of State (and at an oral hearing, to the offender’s representative) only;

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a gist of the information, which could safely be disclosed to the offender, the full version being made available to the Parole Board or Secretary of State (and, at an oral hearing, the offender’s representative) only.

15. If you do not want the information to be disclosed in sanitised form or as a gist, you must include reasons in the application. The reasons should clearly and concisely express the concerns you have, including how the disclosure of their information in any form might compromise one of the five interests in paragraph 17 (or, for an oral hearing, the Parole Board Rules test in paragraph 18) below. This will ensure that the governor or other relevant person has all the available information to hand when deciding whether, in the interest of natural justice, the information (in full or limited form) should be disclosed. 16. The application should ask for a decision as soon as possible. The contact name, address, telephone number and fax of the person who should be informed of the governor’s decision must be spelled out clearly in the application. Cases decided without an oral hearing 17. Information used in reaching a decision about release, recall or licence conditions may be withheld from offenders only where this is necessary and proportionate in one of the following interests (but see paragraphs 18-20 below about oral hearings: the criteria are different): (i) (ii) (iii) (iv) in the interests of national security; for the prevention of disorder or crime; for the protection of information the disclosure of which may endanger the safety or physical or mental health of any individual; if, on medical or psychiatric grounds, it is felt necessary to withhold information where the mental and/or physical health of the offender could be impaired; where the source of the information is a victim, and disclosure without their consent would breach any duty of confidence owed to that victim, or would generally prejudice the future supply of such information.

(v)

Cases to be decided at an oral hearing 18. Where the decision whether or not to release an offender is taken at an oral hearing, material available to the Parole Board will be disclosed to the offender except in the following very limited circumstances laid down in Parole Board Rules:

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on the grounds that its disclosure would adversely affect the health & welfare of the offender or others.
19. In practice, this is treated as covering much the same ground as (i) to (iv) in paragraph 17. 20. Any information withheld from the offender will be disclosed to his or her representative, subject to the undertaking that he or she will not disclose it further without permission from the Secretary of State. Information whose disclosure would be likely to put an individual, such as a covert human intelligence source or victim, at risk, will generally be covered. You may well also be able to make out a case for information that might undermine a specific police operation whose failure would put individuals at risk. There may well be other information that would be covered. 21. You should be aware that the offender’s representative (who will have sight of all the material) can question you about your evidence at the hearing. You should ask at the start of the hearing for the offender to be excluded from the hearing if you are to be questioned on material that has been withheld from the offender. If at any time it becomes necessary to share information which you have not already shared in written form, and which you do not want to disclose to the offender, you should ask the panel chairperson to exclude the offender from the hearing. How your application will be considered 22. It is for the Secretary of State or, at oral hearings, the Parole Board panel, to decide whether it is appropriate to withhold any or all of the information from the offender. Even if one or more of these grounds in paragraphs or 17 and 18 apply, the application may still be refused (and the information disclosed in some form) if the contents of the information can be passed on to the offender in another way without damaging the interest being protected. Or, in the case of information falling only within criterion (v) at paragraph 17, there is an overriding public interest in favour of disclosure (for instance, where that information is the sole or main reason for a decision adversely affecting the liberty of an offender, fairness to the offender in being given the reason for that decision may outweigh the duty of confidence owed to the victim). It is for this reason that you are recommended to include a sanitised version or gist with any material that should not be disclosed (see paragraph 15 above).

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Appendix 4 Annex A1

WHO DEALS WITH WHICH CASES?

While the input from Probation Service staff is similar whether the case is a lifer panel, parole review, or request for recall (effectively, an assessment of risk), there is a number of different parts of the Prison Service to whom the information should be sent. Below is a guide. Type of Request Recall of offenders serving a determinate sentence Recall of offenders serving an extended sentence Recall of offenders serving a Life sentence offenders or a sentence of HMPs Annual review of recalled extended sentence offenders Parole applications Licence conditions for ACR offenders Life licence conditions Home circumstances reports for HDC or ROTL applications Part of Prison Service responsible Sentence Enforcement Unit, post release team, 1st Floor Abell House, John Islip St, London SW1P 4LH Sentence Enforcement Unit, ESR team, Amp House, Croydon Lifer Unit, 1st floor, Abell House, John Islip St, London, SW1P 4LH Governor of prison where offender is located Governor of prison where offender is located Governor of prison where offender is located Lifer Unit, 1st floor, Abell House, John Islip St, London, SW1P 4LH Governor of prison where offender is located

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NOT FOR DISCLOSURE TO OFFENDER
APPLICATION TO WITHHOLD ATTACHED INFORMATION FROM OFFENDER This application is made for your consideration under Parole Board Rule 5(2) (Oral hearings only) or under PSO 6000 paragraph 5.16, whichever applies in this case. Offender’s name Prison number

I am supplying the attached information in connection with the above offender’s: (tick one box only)

Parole application Lifer panel Representations against recall ROTL application HDC application Proposed ACR licence conditions Request for recall initiated by the Probation Service I wish the attached information to be made available to the Parole Board / the governor / Secretary Of State making the decision about release, licence conditions or recall. However, I do not wish it to be disclosed to the offender. Version 1.3 © Crown Copyright 2004 155

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I understand that it may be withheld in one of the five interests set out below, or, in the case of an oral hearing, under the test in Parole Board Rule 5(2). I have indicated below which of the interests this information engages. Oral hearings only For the reasons set out overleaf, its disclosure would adversely affect the health or welfare of (tick either or both boxes): The offender Other persons I accept that it will be disclosed to the offender’s representative subject to undertakings. Cases other than oral hearings For the reasons set out overleaf, the information should be withheld: Tick relevant box(es) (i) (ii) (iii) In the interests of national security For the prevention of disorder or crime For the protection of information the disclosure of which may endanger the safety or physical or mental health of any individual Because, on medical or psychiatric grounds, it is felt necessary to withhold information where the mental and/or physical health of the offender could be impaired Because the source of the information is a victim, and disclosure without their consent would breach any duty of confidence owed to that victim, or would generally prejudice the future supply of such information

(iv)

(v)

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Reasons why the attached information should not be disclosed: (use extra paper if necessary, mark “not for disclosure”)

I have/have not attached a sanitised version/a gist which can safely be disclosed to the offender. If you have not attached a sanitised version or gist:

I have not attached a sanitised version or a gist because:

Please let me know as soon as possible whether you agree to withhold this information from the offender. My name………………………………………………. My position……………………………………………..

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Contact tel:………………………………………………….. Contact fax:………………………………………………….

Signed ...................................................................................

Date………………………

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MAPPA Guidance THE NATIONAL POLICE INTELLIGENCE MODEL

Appendix 5

This appendix has been included because the MAPPA must engage effectively with existing and developing systems of analysis and management within MAPPA agencies. The National Criminal Intelligence Service produced the National Intelligence Model on behalf of the ACPO Crime Committee to professionalise the intelligence discipline within law enforcement. It is currently being implemented by all police forces in the UK. Law enforcement partners wishing to obtain a copy of the model should contact the NIM Team on 020 7238 8103. Professionalising intelligence Intelligence has lagged behind investigation in the codification of best practice, professional knowledge and in the identification of selection and training requirements of staff. The model is the collected wisdom and best practice in intelligence-led policing and law enforcement. It provides the picture that drives effective strategy, not just about crime and criminals, but for all law enforcement needs from organised crime to road safety. It may be used in relation to new or emerging problems within a force or operational command unit, to provide the strategic and operational focus to force, organisation or local command unit business planning. The model and management The model recognises the changing requirements of law enforcement managers, highlighting three needs:
• • •

to plan and work in co-operation with partners to secure community safety to manage performance and risk to account for budgets

The National Intelligence Model gives such managers, individually and collectively, the framework for meeting those needs. In the police context, it sets the requirements for the contribution of patrolling, reactive, proactive and intelligence staff. For the Police Service, the standards of the model are the intelligence standards endorsed by ACPO and ACPO(S). How the model works The model comprises four components:
• • •

tasking and co-ordination four key intelligence products knowledge products

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system products

Tasking and co-ordination takes account of business planning needs in the context of government and local objectives, performance management issues and business excellence. It identifies priorities and the resources required to deal with them, and directs activity in the most effective way. To achieve this, law enforcement managers must have a good view of the real problems they face. There are only four key intelligence products – the strategic assessment, the tactical assessment, the target profile and the problem profile – but they are extensive. A combination of the nine analytical techniques in the model forms their basis. The tasking and co-ordinating group is dependent upon the production of the four intelligence products. Standardisation of the intelligence products will allow their aggregation to inform a clearer, wider picture, not constricted by local or force boundaries, and can inform management decision-making and direction at a higher level. Knowledge products and system products underpin the tasking and coordination process, as the fundamental enablers of sound law enforcement intelligence work. Knowledge products (national or local) define the rules for the conduct of the business or the best practice by which skilled processes are completed, and under what conditions work between agencies may take place. System products relate to the systems and facilities necessary for the secure collection, recording, reception, storage, linkage, analysis and use of the information. There are three types of system product: data systems intelligence acquisition operational security and effectiveness

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1. (i) (ii) The purpose of this circular is to inform you about:

Appendix 6

(iii) (iv) (v) (vi) (vii) (viii) Action

the revised arrangements for handling requests for recall for determinate sentence prisoners; the new arrangements for handling recall requests and queries on licence conditions for offenders whose supervision includes referral to the Level 2, local inter-agency risk management meetings or Level 3 Multi-Agency Public Protection Panel (MAPPP), ; the decisive role Assistant Chief Officers (ACOs) now have in determining whether an offender should be recalled in immediate recall cases; the setting up of a “Recall Forum” to oversee and review procedures for recalls; the new procedures for considering a prisoner’s representations against recall; the common queries received from probation staff on parole release and recall issues including licence conditions; confirmation that Sentence Enforcement Unit (SEU) no longer needs to receive copies of warning letters; and, the SEU programme of open days.

2. This Circular replaces Circular 83/1999. It has been written by the Sentence Enforcement Unit of HM Prison Service in close consultation with all interested parties, including the Parole Board, Lifer Unit, NPD’s Policy Group, Home Office Legal Advisers and NPD’s Public Protection Unit (PPU). Very helpful advice about the content and policy of this PC was also received from senior practitoners in Northumbria, Leicestershire & Rutland and Merseyside Probation Areas. Chief Officers are asked to bring this Circular to the attention of staff with responsibility for the supervision of both long term and short term prisoners. 3. Chief Officers should also ensure that relevant staff have access to both the Prison Service Order 6000 (Parole Release and Recall Manual) and the Licence and Breach Guide. Neither document is subject to copyright and Chief Officers should make as many additional copies of the documents as they deem appropriate. If either of these documents is not readily available you should contact the Prison Service Sentence Enforcement Unit. The contact is Richard Modelly (telephone number 020 7217 5052). Recall Requests 4. The Crime and Disorder Act 1998 extended executive recall powers to short term prisoners whose offences were committed on or after the 1 January 1999. This has led to a substantial increase in the number of recall requests (SEU currently handles over 8,000 recall requests each year). In order for SEU to absorb the additional workload, recall procedures have been streamlined and the Unit’s casework section has been expanded. This has enabled us to create the Public Protection casework Team to which all cases which have been managed by reference to MAPPA (see explanation below) should be referred both for advice and for recall. Public Protection Casework Team 5. The Public Protection Casework Team will deal with requests for advice and recall about: (i) all offenders whose cases have been managed by referral to the Level 2 local interagency risk management meetings or Level 3 MAPPP, that is the two highest tiers of risk assessment and management within the MAPPA. These cases are those of offenders who present the highest risks or whose cases present complex supervisory and resettlement issues, and who therefore require MAPPP referral; any offender who, exceptionally, has not been managed through the MAPPP but who was registered with PPU under the Early Warning System The Public Protection casework Team will:

(ii) 6.

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(i) (ii) (iii) (iv) (v)

provide advice and support to probation officers on the use of additional licence conditions to manage risk; make the necessary arrangements, including drafting the protocol, for electronic monitoring as a licence condition; handle all recall requests; provide advice to prison establishments about sex offender registration, Schedule 1 status and child protection issues; and, maintain a database on all recall requests made in respect of MAPPP supervised offenders.

7. The contacts for the team are set out below. Where necessary, members of the team are willing to attend MAPPP meetings, or will provide written advice in advance of MAPPP meetings. As far as recalls are concerned, the Public Protection Casework Team caseworkers will follow the same procedures as other teams, other than: (i) (ii) the presumption will be that all recall requests made in respect of high risk or MAPPP supervised offenders will be treated as immediate; in cases where the SEU caseworker considers that there is insufficient information to support immediate recall, they will consult with the ACO. If the ACO remains of the view that immediate recall is the appropriate course of action, then SEU will act upon that advice.

Contact Details 8. The recall casework teams are now operating from two different sites. Casework teams are willing to offer advice to Supervising Officers before a recall request is submitted: contact should be made, if it is within office hours, with the appropriate team manager (or the duty officer for out of office hours). When making a request for a recall, supervising officers are asked to make note of the contacts set out in Annex B. Up to date contact lists will be circulated to Chief Officers Immediate recall action 9. The Secretary of State has the power to recall a prisoner immediately in cases where it is considered expedient in the public interest to return the prisoner to custody before a recommendation is made by the Parole Board. The circumstances under which staff in the Sentence Enforcement Unit will consider treating a recall as an immediate are as follows: (i) the Probation Service has requested an immediate recall, endorsed by an ACO and the offender has not been remanded into custody. Such cases will always be given immediate consideration. It should be pointed out that a request for immediate action will not be ruled out because the offender’s current whereabouts is not known. In cases where it is felt that there is insufficient evidence to support an immediate recall, the ACO will be contacted and advised of SEU’s concerns and informed that SEU intend to refer the case immediately to the Parole Board. If the ACO remains of the view that the delay arising from such a referral could jeopardise the safety of the public, the offender will be recalled immediately any recall request in respect of an offender registered with PPU under the Early Warning System will automatically be treated as an immediate, regardless of whether immediate action has been sought; the recall request for either a violent or sexual offender who was released on his non parole date will always be considered for immediate action. If immediate action has not been sought by the Probation Area concerned, the SEU caseworker will seek confirmation from the supervising officer that public safety would not be undermined by the delay in referring the case to the Parole Board;

(ii)

(iii)

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when it becomes apparent that a non-immediate recall request cannot be actioned within the five day target, consideration will always be given as to whether the delay will increase the risk to the public to an unacceptable level. The SEU caseworker will consult the relevant Probation Area’s ACO before taking such a decision. If it is concluded as a result of that consultation that the risk is unacceptable, the offender will be recalled immediately any offender who has either been convicted, cautioned or has a pending prosecution for an offence committed whilst subject to Home Detention Curfew will, unless the relevant ACO advises that there are exceptional circumstances, be recalled immediately.

(v)

Making a recall request 10. Chief Officers are asked to ensure that where requests for recalls are made to the SEU, contact details for all the officers involved are made clear on the request. A template form for requesting a recall is at Annex A. Please note that when making a request for recall, the supervising officer must explain why the recall request is being made AND state clearly: (i) (ii) (iii) (iv) (v) the nature of the breach and which licence condition(s) has (have) been broken; any earlier breaches and the action taken; whether the offender is subject to (a) sex offender registration requirements; (b) a Sex Offender Order or Restriction Order; and (c) multi-agency risk management; the offender’s general response to supervision; and the level and immediacy of risk of re-offending and/or of harm to others presented by the offender at the point the recall request is being made.

NB Where breach requests do not contain this information, it may be necessary for SEU staff to go back to the supervising officer and this could delay taking a decision on whether to recall. 11. The offender may well have access to this documentation. While arrangements exist to withhold particularly sensitive information, the presumption is that information on which a recall is made may be disclosed to the offender. Therefore, details of or provided by witnesses or victims should not be included43 without seeking permission from the parties concerned or seeking advice from SEU or PPU. 12. When making a written request for recall, a copy of the licence, together with details of any previous convictions, the pre-sentence report and any other relevant information (such as the summary or extract of recent risk assessments; the summary, gist or relevant extract of a MAPPP meeting; or, in the case of long term prisoners, the most recent PAR) should be sent to SEU at the same time as the recall request. Failure to do so could result in delays in recall action being taken. Requesting an immediate recall 13. When a request for immediate recall is being made, an appropriate probation officer, preferably the appropriate Assistant Chief Officer, is asked to be available for at least 30 minutes after sending the request in order to answer any queries from staff in the SEU. Whenever possible, requests for immediate recalls should be made during the standard office hours for SEU: 9.00 am to 5.00 pm. It may also be useful to give the contact details of the local police station so that an arrest can be made as soon as possible. Requests for immediate recall must always be initiated by a phone call, not by fax, although the SEU may well request that further details subsequently be faxed through.

SEU and PPU have prepared a separate Probation Circular on information sharing and disclosure within the context of recalls (PC 13/2003). Additionally, PPU prepared guidance of a more general sort on information sharing and disclosure which is included in the further Guidance on the MAPPA issued in March 2003.
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14. An SEU caseworker is on duty in the SEU office 9.00 am – 5.00 pm every day (including Saturdays and Sundays). Outside these times an out of hours service operates for immediate recall requests only. Chief Officers are asked to note that the out of hours service is only to be used for seeking immediate recall in those cases where the SEU has the authority to intervene and where the offender is thought to pose an immediate risk to the public. SEU cannot recall a short term offender whose original offence was committed before 1 January 1999. Therefore, the Probation Area making the recall request must ensure that the date of the original offence is known before requesting an immediate recall out of hours - the on-call officer is out of the office and therefore, does not have access to Prison Service records or files and cannot check this. This also applies to requests for information. Where the request for recall is made between the hours of 9am to 5pm on Saturday or Sunday, the weekend Duty Officer should always be contacted in the first instance. The direct telephone number is on the contact sheet attached. Processing a non-immediate recall request 15. The current SEU target turnaround time for non-immediate recalls is five working days. However, in cases which, although not sufficiently serious to warrant an immediate recall request, merit quicker consideration, the Probation Area can ask that a decision is made within 72 hours and SEU will do its best to meet this request. However, these types of request must not become routine or be used to speed up ordinary recall requests. Only when the circumstances of the case recommend it should a request for a ‘within 72 hours’ decision be made. Recalling an offender charged with a new offence 16. When an offender under supervision is charged with an offence committed whilst he was on licence, consideration must always be given to whether there has been a breach of the good behaviour condition and if so, whether it is sufficiently serious to warrant recall. In considering breach action, the Probation Area should disregard the charge, the plea and whether the offender has been remanded into custody and instead focus upon: (i) (ii) (iii) (iv) the behaviour of the offender surrounding the incident that resulted in the charge being laid; whether the behaviour is likely to bring the early release scheme into disrepute; whether the new offence is similar to the one for which the offender is on licence was originally sentenced; and, whether the new offence indicates any rise in the level and immediacy of the risk the offender presents to others.

17. If, having considered all the available information, the supervising officer considers that, on balance, there has been a breach of the good behaviour condition, the presumption must be to request recall. The only exception is where the breach is considered to be sufficiently minor as to warrant a warning. Secretary of State’s Directions to the Parole Board on the consideration of recall 18. The Secretary of State’s Directions to the Parole Board on the consideration of recall requests and representations against recall have been revised (Annex C). The new Directions: • clarify the Board’s role and the basis upon which it is asked to take decisions and make recommendations; • are in line with the new Probation National Standards on licence enforcement; • reflect Ministers’ views that the aim of licence enforcement should be not only to reduce the risk of further offending, but also to make clear that the licence period is an integral part of the sentence and compliance with licence conditions an important part of supervision; and

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• combine the three separate Directions on recall, in order to ensure consistency of approach. 19. The Directions also make explicit the fact that in considering representations against recall, the Parole Board can conclude that there was a breach of licence conditions but the further period already spent in custody is likely to ensure future compliance and therefore, rerelease is appropriate. This applies only where it is satisfied that the offender does not present an unacceptable risk of committing further offences. Offenders on a notice of supervision 20. In the case of a prisoner who is released on a notice of supervision, pursuant to Section 65 of the Criminal Justice Act 1991, breach action can only be pursued through the courts. Extended sentence prisoners 21. A request for recall in respect of an offender serving an extended sentence is made through the Sentence Enforcement Unit in the same way as any other offender. However, extended sentence prisoners are entitled to have their representations against recall considered at an oral hearing of the Parole Board, where he or she is entitled to be present and legally represented. The hearings take place at the prison in which the offender is held following recall. It is almost certain that in every case, the supervising officer at the time of recall will be called as a witness and will be questioned by the Secretary of State’s representative, the prisoner’s legal representative and the panel44. In cases where the prisoner opts for an oral hearing, staff from the Sentence Enforcement Unit Extended Sentence Team will contact the supervising officer to provide details of the hearing and discuss reports to be presented to the Board. Any queries relating to an extended sentence case should be referred to the Extended Sentence Team, details of which are included in the contact sheet attached. Request for recall of offenders already detained under the Mental Health Act 1983 22. An offender who has been released from custody on supervision licence, and is subsequently detained, or ‘sectioned’ under the Mental Health Act, and is in hospital, may still be considered for recall if there are sufficient reasons to do so. However, in these circumstances, (and following a successful legal challenge of this point), the fact that the offender is already detained in a hospital should be noted in the recall request report. This will enable Sentence Enforcement Unit to simultaneously seek the issue of a Section 47 transfer direction from the Governor of the releasing prison, which will enable the offender to remain in the hospital, while being considered as ‘in custody’ for the purposes of recall. Victims 23. When any offender is recalled the Probation Area responsible for the recall must ensure that the relevant Victim Liaison Officer or victim team are informed. The Victim Liaison Officer or victim team will decide whether the victim or victim’s family should be informed. Representations against Recall 24. Chief Officers are asked to note that the arrangements for handling a prisoner’s representations against recall have been reviewed. In future, supervising officers will be notified when a prisoner has made representations and will be advised of the date the representations will be considered by the Parole Board. Supervising officers must ensure that the appropriate victim liaison officer or victim team responsible for contacting the victim or victim's family is informed immediately when a prisoner makes representations about his A separate Probation Circular is being prepared offering advice and guidance to supervising officers about their role at these hearings and how SEU can assist them to prepare.
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recall, so that they can ensure that the victim is informed of this prior to the Parole Board hearing. It may also be advisable to make any relevant preliminary enquiries regarding release plans, particularly with regard to accommodation. 25. In cases where the Parole Board is minded to release and it is not clear whether the release address is still available, the Parole Board panel considering the case will be asked to adjourn its consideration until appropriate enquiries can be made. In these cases SEU will alert the Probation Area concerned. This is important given that in cases where the Board decides to recommend release, the Secretary of State is obliged to give immediate effect to the recommendation. Recall Forum 26. A ‘Recall Forum’ has been established to oversee and review recall arrangements and working practices, identify and tackle information gaps, improve liaison between the agencies involved in recall and review to collation and dissemination of management information. SEU, NPD, Lifer Unit, the Parole Board and a senior operational manager from NPS will be represented on the forum. 27. The forum will meet quarterly. If officers are interested in attending meetings or wish to identify issues for review, please contact the secretary of the Forum, on 020 7217 5763. Guidance on Licence Conditions 28. Prisoners are released on the standard licence containing the following amended conditions of supervision: While under supervision you must: (i) (ii) (iii) (iv) (v) (vi) keep in touch with your supervising officer in accordance with any instructions that you may be given; if required, receive visits from your supervising officer at your home ; permanently reside at an address approved by your supervising officer and notify him or her in advance of any proposed change of address or any proposed stay (even for one night) away from that approved address; undertake only such work (including voluntary work) approved by your supervising officer and notify him or her in advance of any proposed change; not to travel outside the United Kingdom without the prior permission of your supervising officer (which will be given in exceptional circumstances only); to be well behaved, not to commit any offence and to not to do anything which could undermine the purposes of your supervision, which are to protect the public, prevent you from re-offending and help you resettle successfully into the community.

29. The following conditions can also be imposed by the governor of a prison in the case of short term offenders or by the Parole Board in the case of long term offenders. All requests for additional conditions, whether to the Parole Board or to the governor, must be accompanied by a full explanation. While under supervision you must: (i) (ii) (iii) attend all appointments arranged for you with [....INSERT NAME....], who is a psychiatrist/psychologist/medical practitioner, and co-operate fully with any care or treatment they recommend not to take work or other organised activity which will involve a person under the age of .... either on a professional or voluntary basis; permanently reside at (name and address eg hostel) and must not leave to reside elsewhere without obtaining the prior approval of your supervising officer; thereafter you must reside as directed by your supervising officer;

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not to reside (nor even to stay for one night) in the same household as any children under the age of ...; not to seek to approach or communicate with [INSERT NAME OF VICTIM AND/OR FAMILY MEMBERS] without the prior approval of your supervising officer/and name of appropriate social services department; comply with any requirements specified by your supervising officer for the purpose of ensuring that you address, your alcohol/drug/sexual/gambling/solvent abuse/anger/debt/offending behaviour problems/at the name of course/centre where appropriate.

30. It is important to note that where a supervising officer requires an offender to attend upon a psychiatrist/psychologist/medical practitioner, he or she must be named and must be willing to treat the offender concerned. Similarly, where a supervising officer wants a condition preventing the offender from contacting his victims or victims’ families, the individuals must be named on the licence. In cases where the victim has changed his or her name, it is acceptable for the condition to use the name of the victim as known to the offender, as opposed to the current name. The test to be applied is whether it is sufficiently certain that it is quite clear to the offender “who” is being described in the condition (whatever name is used). In cases where a Probation Area has considered a reside “as directed” condition and ruled it out, it would be helpful to the Parole Board if a brief explanation why this condition is not being requested is included in the PAR. 31. Exceptionally, other conditions may be added to a licence. In the case of short term prisoners, such conditions can be added by the Governor but only after consultation with the Sentence Enforcement Unit. In the case of long term prisoners the Parole Board will consider requests for additional conditions. Please note that any additional condition in respect of a long term prisoner which has not been approved by the Parole Board is not lawful and cannot be enforced. In determining whether an extended sentence prisoner is a long term prisoner for the purpose of licence conditions, you are required to take into account the whole sentence, including the extension period. 32. All Requests for any non-standard additional conditions, for both short term and long term prisoners must be accompanied by a full explanation. SEU is willing to offer advice to supervising officers before a formal request is made. SEU can only grant a request for an additional non-standard condition if it is lawful. To be lawful the condition has to be both necessary and proportionate. Necessary means that no other means of managing a particular risk is available or appropriate; and proportionate means that the restriction on the offender’s liberty is the minimum required to manage the risk. It should be noted that the standard licence conditions already contain sufficient authority to manage most risks in the community. In the case of long term prisoners where an additional condition has been considered but rejected, it would be helpful if this could be highlighted in the report requesting approval for additional licence conditions and an explanation given to the Parole Board. In requesting additional conditions, Chief Officers are asked to bring the following advice to the attention of relevant staff. (a) Request for exclusion conditions 33. Requests for a licence condition which excludes an offender from a particular area or locality have to be carefully considered in order to be lawful. Once the exclusion is shown to be necessary, it is critical to establish that it is proportionate. In considering this it will be helpful to take into account such factors as whether, for example, the offender has family or friends whom he might visit who live within the exclusion area and where the exclusion would restrict his ability to work or to visit the doctor or dentist. Although the fact that an exclusion condition may have this effect might be relevant, it is not determinative in deciding whether the proposed condition is reasonable. 34. In addition, the exclusion area must be defined precisely to be lawful. A blanket ban on entering a large town, for example, will not necessarily always be acceptable. The exclusion zone should be no bigger than is reasonably necessary to achieve the objective sought, which will usually be to prevent contact with the victim or victim’s family. To define

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the exclusion area as clearly and precisely as possible it is necessary to draw the boundaries on a map or on a diagram. The area needs also to be clearly defined to the offender so that he is in no doubt where the exclusion zone begins and ends. 35. Where a request for an exclusion condition is granted, it should be worded as follows: “Not to enter..., which is defined in the attached map, without obtaining the permission of your supervising officer”. This will enable the offender to enter the area if it becomes necessary but only with the express permission of the supervising officer. (b) Offender whose risk levels increases by consuming alcohol

36. Conditions prohibiting the consumption of alcohol, either on or off hostel premises are very difficult to enforce and it is difficult to argue legally that limited alcohol consumption should lead to recall to prison. Condition (vi) of the standard licence already contains sufficient power to request recall in those case where risk is unacceptable after alcohol consumption or where an offender is ejected from the hostel for breaking hostel rules by consuming alcohol. Recall can also be requested in such circumstances for a breach of standard condition licence condition (iii). Offenders cannot be required to comply with an alcohol test. (c) Offender whose risk levels is increased by using illegal drugs.

37. Conditions requiring an offender to accept testing for drug misuse are currently being piloted. Subject to the results of the pilots, these conditions will be rolled out nationally over the next two years. Probation Circular 132/2001 refers. Until then, Probation Areas outside the pilot areas cannot request a drug testing licence condition. A condition specifically prohibiting the use of illegal drugs, either on or off hostel premises, should also be avoided. Condition (vi) of the standard licence already contains sufficient power to request recall in those cases where risk is unacceptable after drug misuse. Where an offender is ejected from a hostel for using drugs against hostel rules, recall can also be requested for a breach of condition (iii). There is scope under the additional condition (vi) to ensure that offenders comply with any reasonable request to undergo drug counseling. (d) Conditions requiring offenders to comply with approved premises (hostels) or other supervised accommodation rules. 38. Conditions requiring compliance with hostel or other accommodation rules should be avoided if possible. Hostel and other supervised accommodation rules are many and varied and it would be difficult to argue that an offender should be recalled to prison, for example, for a single failure to keep a room clean and tidy or missed payment of rent. However, if an offender’s consistent refusal to comply with accommodation rules, which would clearly have to be reasonable, presented a real risk to staff or other residents which could not be managed in any other way, then it would be reasonable to seek to recall him under standard conditions (iii) (vi). It is also possible that consistent non-compliance which did not cause a direct risk to staff or other residents could constitute grounds for seeking recall. It is not possible to give generic examples of these circumstances and supervising officers are advised to discuss such cases with SEU. (e) Offenders who pose an unacceptable risk to children “not to contact or associate with any child or young person under the age of 18 years”. 39. In principle there are no legal difficulties with this type of condition but it should only be used where it is considered to be both necessary and proportionate to risk. Even in those cases where it is considered appropriate, consideration may have to be given to practical exceptions, such as contact with family members under 18. When considering whether a no contact condition is necessary, supervising officers should bear in mind that there are already additional conditions which can be put into a licence which prohibit living or working with young persons and where a paedophile is suggesting by his behaviour that he poses a risk to the public, there is already power to recall on risk grounds using standard licence condition

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(vi). A no contact condition should therefore only be considered in cases where these conditions are considered to be insufficient to protect children. 40. Probation officers often ask whether to use 16 or 18 in licence conditions aimed at protecting children. This will depend upon the nature of the risk. Where the offender’s modus operandi is to groom the offender into agreeing to participate in sexual acts, the age should normally be 16 in line with the age of consent. In all other cases it should be 18, unless the only available hostel accommodation allows residents aged 17 and over and the supervising officer is satisfied that the offender presents an acceptable risk. (f) Electronic monitoring conditions “tagging” 41. The Criminal Justice and Court Services Act 2000 produced provisions to enable the Secretary of State to impose electronic monitoring curfew in support of other conditions of a licence (Probation Circular 115/2001 refers). This condition is available to any prisoner who was registered with PPU under the Early Warning System (EWS) as well as to all determinate sentenced prisoners released on licence into one of the pilot areas. It is not possible at this stage to impose an electronic monitoring condition upon a prisoner who is not registered under the EWS and is outside one of the pilot areas. Subject to the outcome of the pilots, the scheme will be rolled out nationally over the next two years and Chief Officers will be informed of progress. 42. In addition to licence conditions, supervising officers may find it helpful to use Sex Offender Orders (SOOs). Greater use is now being made of SOOs including cases in which the offender is released with a very lengthy period of licence supervision. The Home Office’s Sentencing and Offences Unit issued detailed guidance on the use of SOOs in December 2002. (g) Non-Association conditions 43. It is not possible to insert a general condition preventing an offender from associating with other ex-offenders. However, it is possible to require an offender not to associate with named individuals who are closely linked with his previous offending (for example, convicted members of a paedophile ring) or individuals with whom the supervising officer had good reason to believe that association could lead to future offending (for example, the offender is a paedophile and might have forged links with other paedophiles whilst in prison). In cases where the person’s offending is not linked to a restricted number of individuals, it is more difficult to claim that it is necessary to have a non association condition. 44. It should also be remembered that where an offender is associating with a criminal and we had reasonable grounds for suspecting that the association is likely to lead to reoffending, the offender could be in breach of the good behaviour condition. (h) Licence conditions which prevent offenders from using the internet 45. It is possible in certain cases to include a condition which requires offenders not to access the internet, although this is a difficult condition to monitor and can only be achieved by restricting the offender’s access to computers. This condition should only be used where it is necessary and proportionate to manage the risk (such as members of a paedophile ring who are known to use the internet to distribute indecent material). Consideration will have to be given to practical exceptions, such as use of a computer in a work environment. The condition should always, therefore, be subject to “...without the prior approval of your supervising officer”. Meaning of Reside 46. Recent court judgments have confirmed that licence conditions formulated in terms of “you must reside at” (see additional condition (iii)) have the clear effect of requiring that the licencee spends every night at the place in question. Probation staff should therefore note

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that they are able to insist that offenders stay each night in a particular address and offenders must ask for permission to stay elsewhere. Policy on Resettlement and Other Jurisdictions in the United Kingdom 47. Probation Circular 52/97 outlined the policy on resettlement in other parts of the United Kingdom. However, it stated that most transfers for supervision would be “unrestricted” meaning the receiving jurisdiction would assume responsibility for any action on the licence. In practice, almost all transfers have been on a restricted basis meaning that the sending jurisdiction keeps responsibility for any action on the licence. This is because an unrestricted transfer may only be made if, by making the offender subject to the receiving jurisdiction’s provisions, he or she would not be dealt with either more severely or more leniently than under the sending jurisdiction’s provisions (which, in practice, is rare). In practice this will have little effect on the day-to-day running of the probation services, but where an offender is being supervised by a Probation Area on behalf of another jurisdiction, any breach action must be pursued in that jurisdiction. Resettlement of foreign nationals (not subject to deportation) outside the UK 48. Part III of PC 52/97 contains guidance on dealing with requests from prisoners who wish to resettle permanently abroad. It sets out the criteria that should be met and explains that prisoners released on licence should undergo a “reasonable period” of post-release supervision in the UK before a request to resettle abroad may be granted. Set out below is additional guidance on what a “reasonable period” of supervision might be in the case of foreign national prisoners or other prisoners who do not normally live in the UK. 49. The Criminal Justice Act 1991 requires that all prisoners serving sentences of 12 months or more are released on a licence that includes conditions as to supervision. In order to satisfy this requirement, prisoners released on licence must report to the Probation Area which will supervise them. In the case of a prisoner who is a foreign national who is of no fixed abode in the UK, this would be the Probation Area in which the committing court is located. 50. What constitutes a “reasonable period” of supervision before resettlement may be permitted will depend upon the individual circumstances of the case. As a general rule, it should be a period of “sufficient duration to enable a proper assessment to be made of the offender’s response to being at liberty in the community”. However, in the case of a prisoner who has no ties in the UK - perhaps no accommodation, no family or friends and no means of support - it would not make much sense for such an offender to remain in this country following release. For example, foreign national prisoners released in these circumstances may be less likely to re-offend or put the public at risk if they are allowed to return to their home country. If this is considered to be the case, it would be acceptable for the licence supervision to comprise a single visit to the supervising service (to satisfy the minimum requirements of the legislation). Following this visit the supervision requirement may be removed and resettlement to the offender’s home country be permitted (this may happen on the same day as release, if circumstances permit). 51. Approval of resettlement requests should be in accordance with the instructions in PC52/97: decisions in the case of those foreign national prisoners serving between 12 months and 4 years are made by the Chief Officer. For offenders serving over 4 years SEU will decide based on a recommendation submitted by the Probation Area. Warning Letters 52. Chief Officers are reminded that SEU should no longer be sent copies of warning letters issued to offenders on licence. Although an instruction to this effect has already been issued, some warning letters are still being sent to SEU. SEU Open Days

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53. SEU runs a series of open days for probation and prison staff. The day is divided into a series of presentations on a range of issues, including recall, use of licence conditions, public protection issues, risk assessment and the work of the Parole Board. It is hoped that Chief Officers will encourage their staff to attend and participate. 54. In addition, SEU staff are willing to attend meetings organised by Probation Areas to talk about the work of the Unit. For more information please contact Lucy Derilo on 020 7217 5763. Contact for Enquiries 55. Any queries about this circular should be directed to Simon Greenwood (telephone number: 020 7217 5861) or Kerry Adams (on 020 7217 5848) in SEU.

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1. No formal educational qualifications necessary but must be able to understand complex information in written and numerical form. 2. Interested in community and social issues, preferably with a track record of involvement in them. 3. Able to make decisions based on and supported by the available information. 4. Capacity for emotional resilience, retaining sensitivity whilst dealing with tragic or painful human situations. In particular, this includes an ability to understand the needs and feelings of victims. 5. Able to understand the complexity of human behaviour. 6. Good social skills. Able to work effectively with people in groups and in formal meetings. 7. An awareness of and commitment to equality and diversity. 8. Able to challenge, constructively, the views and assumptions of senior professionals. 9. Able to maintain confidentiality appropriate to the circumstances and local protocols. Lay Advisers’ Role Description 1. The role of the Lay Adviser is defined by the duty of the Responsible Authority in each Area to: “keep the arrangements [the MAPPA] established by it….under review with a view to monitoring their effectiveness and making any changes to them that appear necessary or expedient.” (Section 326(1)) Section 326(2) requires the Responsible Authority to carry out its review functions in consultation with the Lay Advisers; and Section 326(3) requires the Secretary of State to appoint two Lay Advisers to each of the 42 Areas in respect of the MAPPA review functions. Section 326(4) enables the Secretary of State to determine what pay or allowances are to be paid to the Lay Advisers. 2. The value of the Lay Advisers’ role is essentially twofold. First, they represent a community interest in public protection. This does not mean that the Lay Advisers represent the public in the way, for example, that local councillors do: Lay Advisers cannot ‘report’ to the local community independently or canvass views in the way that elected representatives do. Secondly, their value lies in what they bring to the Responsible Authority, which is essentially a different perspective from that of the professional interests in the MAPPA. 3. This different perspective brings a freshness of view, a disinterested opinion which can, as the pilot arrangements have shown, provide what might Version 1.3 © Crown Copyright 2004 172

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be termed a ‘reality check’. This is not to suggest that the professional engaged in the MAPPA are anything other than diligent and high quality but that they cannot bring to bear the ordinary person’s point of view as well as exercising their professional judgement. This is why the Lay Advisers are described as being ‘lay’. 4. Section 326(3) describes the role of the Lay Adviser solely in terms of their contribution to the review of the MAPPA. This is a function of the statutory responsibility of the Responsible Authority but is effectively discharged through the strategic management board (SMB), as detailed in the National MAPPA Guidance. It is therefore the SMB that provides the focus and locus for the role of the Lay Adviser. The MAPPA Guidance identifies five functions of the SMB which enable the Responsible Authority to discharge its section 326 duties: (i) (ii) monitoring (on at least a quarterly basis) and evaluating the operation of the MAPPA, particularly that of the MAPPPs; establishing connections which support effective operational work with other public protection arrangements, such as Area Child Protection Committees, local Crime and Disorder Partnerships and local Criminal Justice Boards; preparing and publishing the Annual Report; planning the longer-term development of the MAPPA in the light of regular (at least annual) reviews of the arrangements, and with respect to legislative and wider criminal justice changes; and, identifying and planning how to meet common training and developmental needs of those working in the MAPPA.

(iii) (iv) (v)

5. Since the Lay Advisers’ role can be summarised by reference to the business of the SMB, the following indicates what the role means in practical terms: their preparation for and attendance at the quarterly (or, possibly, the more frequent) SMB meetings; asking questions of the Responsible Authority about the business under discussion, particularly the ‘why’ questions; commenting on the way the Responsible Authority discharges its responsibility by being the ‘critical friend’: offering constructive criticism and challenging assumptions which, while rooted in professional good practice, are not clearly understood by the lay person; and, by offering views as to how the Responsible Authority can communicate its work in the MAPPA to the local community, not just through the annual MAPPA Report but in other ways as well. 6. Two aspects of the SMBs’ business may help to sharpen the focus of the Lay Advisers’ role and contribution. The first of these is the SMBs’ consideration of the management information about the MAPPA, a summary of which is published as the statistics in the annual report. The MAPPA Guidance recommends that once a quarter the SMB should be considering an analysis of the data. Once the ViSOR database is established this sort of Version 1.3 © Crown Copyright 2004 173

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analysis will become much easier to produce. It is also recognised that the data that Areas currently produce is ‘new’: we probably need several years’ data to be able to make objective evaluations about the nature of MAPPA activity. However, in the meantime the data that is available can be used to promote consideration of activity. 7. The second aspect of SMBs’ business is ‘case reviews’. Already agencies involved in the MAPPA undertake either formal or internal reviews of operational practice. We see the development of the MAPPA review function to include consideration of a sample of cases which have had successful outcomes (for the purpose of identifying and disseminating good practice) and those which have not. These case reviews are an opportunity for a qualitative review of MAPPA practice, which paragraph 131 of the MAPPA Guidance, describes. 8. Clearly, the performance of the Lay Advisers’ role requires preparation and support. Bespoke training for the Lay Advisers is funded and organised by NPD and delivered by acknowledged specialist in this field. Importantly, however, Areas will have a key part to play themselves in introducing their Lay Advisers to the SMB, local MAPPA arrangements and the wider criminal justice and social care systems that operate locally. Should in the course of their duties Lay Advisers come into contact with case related material that could be distressing, additional support may be required. The selection and training of the Lay Advisers is described elsewhere. Terms and Conditions for Lay Advisers 1. Applicants for the post of Lay Adviser must meet the person specification and satisfy the selection panel of their suitability to fulfil the role description for the Lay Adviser. 2. All Lay Advisers will have been cleared through the Criminal Records Bureau vetting procedures. The Responsible Authority will conduct checks at the Enhanced Level. In addition two personal references must be obtained and verified as to suitability. 3. To be suitable for selection the person must be resident within Responsible Authority Area. In exceptional circumstances they may, at discretion of the Responsible Authority, live just outside their Area they must then exhibit strong and sustained connections with communities within that Area. the the but the

4. To preserve the “lay” status of those appointed certain categories of people will be ineligible for appointment due to their current or previous experience. These comprise: • • Members of Parliament or Welsh Assembly Local authority councillors

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Civil servants at Home Office or Department of Constitutional Affairs Members of staff from any criminal justice agency (and within eight years of leaving such employment) Anyone whose paid employment involves working with offenders that fall within the remit of the MAPPA. A similar exclusion may apply to voluntary work where the primary focus is with MAPPA offenders such as sex offenders. Former Lay Advisers who have already served two terms in any Area.

5. Following selection Lay Advisers will be formally appointed by the Secretary of State on the advice of the Responsible Authority. That appointment will be confirmed in writing and will be for a duration of 4 years. Where two Lay Advisers are appointed within an Area at the same time the Responsible Authority will determine that for one Lay Adviser the appointment will be for 3 years, thus allowing for phased induction of new Advisers. 6. Lay Advisers may be considered for appointment for a second term where there is mutual agreement between the Adviser and the Responsible Authority. This will be achieved by the Responsible Authority informing the Secretary of State 6 months prior to the completion of the first term. Lay Advisers are not eligible to complete more than two terms as an Adviser, regardless of Area. 7. Following appointment, the Responsible Authority must arrange with the Lay Adviser a plan of induction to the MAPPA and appoint an officer as the primary point of contact for the Adviser. 8. The Lay Adviser must attend two national weekend training events for Lay Advisers that will be available on a number of dates during the first two years of their appointment. In addition to this the Lay Adviser may wish to take advantage of training and conference opportunities that become available, in agreement with the Responsible Authority. Where an Adviser fails to meet the commitment to the two national training weekends their suitability for continuation in role may be referred to the Secretary of State by the Responsible Authority. 9. While the primary support for Lay Advisers will be through their Responsible Authority, the Public Protection and Courts Unit (PPCU) will also operate a contact and information service with Lay Advisers on key aspects of national training and national developments. 10. Lay Advisers will be expected to attend the majority of SMBs, which meet on at least a quarterly basis, and may also become involved in other related activity, for example the publication of the MAPPA annual report. 11. Confidentiality. Lay Advisers must not disclose information given to them in their role as members of the strategic management board in confidence, or information acquired by them in that role which they Version 1.3 © Crown Copyright 2004 175

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believe to be of a confidential nature, without the consent of a person authorised to give it, or unless required to do so by law. 12. The Lay Adviser role is unpaid although there is an entitlement to legitimate expenses such as travel and refreshments. Compensation for loss of earnings or child care expenses should also be available by prior agreement with the Responsible Authority. The Responsible Authority will meet these expenses and the procedures for payment should be addressed during the induction process. 13. Diversity. Lay Advisers must recognise and value diversity by ensuring inclusiveness, equality and fairness in the treatment of people and the discharge of their duties. They must ensure that they do not discriminate against individuals because of their gender, race, ethnicity, religious beliefs, age, disability or sexual orientation. They must treat others with respect. 14. Change of circumstances. Lay Advisers must notify the chair of the SMB of any change in circumstances that could effect their suitability to undertake their role. This would certainly involve being charged or summonsed for any criminal offence or a change of residence outside of the area. It would also include any circumstances, where a member of the public having knowledge of the relevant facts could reasonably regard it as so significant as to compromise the Lay Advisers ability to discharge his or her responsibilities. The chair of the SMB, in conjunction with the Responsible Authority will determine whether suspension or other action is appropriate. 15. Termination by Appointment. The Secretary of State retains the right to terminate the appointment of any Lay Adviser whose conduct is not felt to be of the required standard. Misconduct will encompass such matters as a lack of commitment, conviction for a criminal offence or abusing their position as a Lay Adviser. Recommendation for the termination of an appointment will require the endorsement of the chief officers of the Responsible Authority.

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MAPPA Guidance Responsible Authority (Area)

Appendix 7 Annex B

DRAFT Dear Lay Membership of Strategic MAPPP I am pleased to inform you that you have been shortlisted for this post. You are now invited to take part in the final selection event. This event will be held on (date), at (venue). A map is enclosed. You are asked to attend at (time) when you will be met by (colleague). There will be a short briefing on the format of the selection process. You can expect to have completed the process by (time) Briefly, the process will consist of three elements: • An interview with a panel of three members, including questions on a case study you will be given prior to the interview • A written test of ability • A personality assessment questionnaire conducted verbally. This is a challenging exercise, reflective of the importance attached to these new posts and to ensuring the best candidates are selected. I look forward to meeting you on (date). In the meantime, I would be grateful if you could contact the Personnel Department to confirm that you will be attending. Yours sincerely,

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MAPPA Guidance Case study Marcus McBride

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Some 2 months ago, the MAPPP created a supervision plan for Marcus McBride on his release from prison. McBride was convicted of 5 rapes and one attempted rape in the 1980s. His sentence has been reduced on appeal after psychiatrists expressed the view that he was unlikely to offend again and ‘no longer posed a danger to women’. He was not released on parole but had, by law, to be released at the end of the prison part of his sentence, subject to a short period of supervision in the community. McBride, a bodybuilder and fitness enthusiast had also acquired a reputation of extreme unprovoked violence. Unfortunately, his ability to intimidate witnesses meant that several ‘incidents’ had not resulted in prosecutions. However, when the MAPPP came to consider his case none of the organisations providing secure suitable accommodation for an offender of his type was willing to provide any space for him because of his violent reputation. In any case at the time there was a shortage of such accommodation. Superintendent Smith, representing the police on the MAPPP, voiced the police view that McBride was likely to re-offend and it was imperative that suitable accommodation be found irrespective of the cost. It is a matter of public record that McBride and the police have a well-publicised history of antagonism. This resulted in McBride winning damages for undue force being used on his arrest some years ago. The psychiatrists’ report submitted to the MAPPP was largely based on the findings of the psychiatrists who had already advanced the view that McBride was unlikely to re-offend. While the psychiatrist was careful to note that he had been unable to examine McBride personally owing to pressure of work, he did also provide professional support for the views of other psychiatrists. The MAPPP decision was to place McBride with United Care Homes, which was a new and untried organisation, set up by some former social workers. This decision was taken with some unease, but was a pragmatic one with few alternatives. Subsequently, it has been revealed that the local press that United Cares Homes have been using illegal Rumanian immigrants as staff, the majority of whom could not speak English. Within 3 weeks of going to stay at United Cares Homes, McBride had committed another serious sexual offence, which has been widely reported as a scandalous failing in terms of community protection in the local and national press. The Strategic Management Board, of which you are a member, is reviewing the handling of this case. Based on the information given, what lessons if any do you think can be learned from the case to inform future practice? What additional information, if any, would you seek? Version 1.3 © Crown Copyright 2004 178

MAPPA Guidance LAY ADVISERS INTERVIEW QUESTIONS UNDERSTANDING Start point of the interview using the Case Study 1. What were your views of the case study? ( open general question) 2. What additional information, if any, would you seek? (open question) 3. What lessons did you think might be learned from this? (open question) 4. Would you be critical of the MAPPP or supportive of what was done on this case? 5. How would you take forward any criticism? 6. How do you think the media criticism should be handled and by whom? Building on the Case Study – 7. Describe your understanding of the work of the MAPPA. 8. How do you think the strategic management board might oversee the work of the operational MAPPA? 9. What sort of procedures and processes would you hope to see in place to enable the SMB to operate?

Appendix 7

EXPERIENCE & THE LAY ROLE 1. Describe the contribution that you believe the Lay Adviser can make to the review and monitoring of the MAPPA? 2. How do you think a good Lay Adviser would work with the professional staff who make up the SMB? 3. What interests or groups of people do you think the Lay Adviser represents? 4. Can you provide an example of how you have handled serious differences of opinion? 5. What experience have you had that you believe enables you to make a contribution on the SMB? 6. [Assuming it does not emerge from 2. Above] – what managerial experience have you had in reviewing processes? – What experience have you had in related fields such as work with offenders, social work, mental health etc? 7. What development, training or learning do you think that you would need should you become a Lay Adviser?

MOTIVATION & ATTITUDES 1. This is a challenging role, why do you want to be a Lay Adviser? 2. Have you had any direct or indirect experience of abuse? If so has this been influential in your applying? 3. What attributes do you think a Lay Adviser on a SMB needs to be effective? 4. What are your views concerning the effectiveness of the CJS? 5. How do you think the CJS could be made more effective? 6. What are your views of the pros and cons of indeterminate sentences for those who pose a continuing threat to society? 7. The Lay Adviser is an unpaid role dealing with challenging and potentially difficult issues. Why do you want to take it on? 8. What do you hope to get personally from being a Lay Adviser? 9. What aspects of the role – if any – cause you some anxiety? 10. What qualities do you think you bring to the role? 11. From time to time there are likely to be upsetting cases to deal with either in terms of content or in terms of what has gone wrong. How would you handle this?

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MAPPA Guidance

Appendix 7 MAPPA Lay Advisers (Area) – Shortlisting Criteria

Candidate:……………………………………………………… TO WHAT EXTENT HAS THE CANDIDATE DEMONSTRATED… 1. An interest in/track record of involvement in community issues 2. An awareness of the nature and complexity of the case material 3. An awareness of the MAPPA and the role of the strategic management board. 4. How his/her qualities and experiences would fit the role of Lay Adviser and benefit the work of the SMB 5. An awareness of issues of diversity 6. An awareness of the importance of confidentiality 7. The ability to express facts, statements and ideas clearly Not at all (0)

Assessor:………………………………………………… Limited (1) Reasonable (2) Significant (3)

Total

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MAPPA Guidance MAPPA Lay Advisers (Area) – Shortlisting Criteria Name of Candidate Assessor 1 Assessor 2

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Total

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