12 Risk Management Plan

Elements of Risk Management

Standard - RMPs address supervision, monitoring and control, interventions and treatment, victim safety and contingency plans

12.11 SMBs are not obliged to adopt the MAPPA working arrangements promoted in the Four Pillars of Risk Management[1] but the headings below provide a useful framework for analysing risk and developing the RMP whether or not the Four Pillars framework is used. The headings are:

  • Supervision.
  • Monitoring and control.
  • Interventions and treatment.
  • Victim Safety.

The RMP must include contingency plans and record all licence conditions.


12.12 Supervision is not limited to statutory supervision by the NPS or YOT but also includes engagement with any other agency that has a role in helping offenders to lead law-abiding lives.

12.13 Examples of supervision:

  • Office-based supervision.
  • Home visits (by police and probation) and other regular visits to the offender's premises.
  • Contact with healthcare professionals.
  • Interaction with staff in Approved Premises.
  • Tenancy support from Housing Associations.
  • Help from the Department for Work and Pensions (DWP) in finding work.
  • Actions to build on offenders' strengths and protective factors.
  • Education.
  • Involvement of children's social care.

Monitoring and Control

12.14 Monitoring and control are strategies aimed at controlling and reducing opportunities for harmful behaviour.

12.15 Examples of monitoring and control:

  • The use of licence conditions (see PI 09/2015 for details).
  • A licence condition placing restrictions on residence - for example, residing at Approved Premises or residing as directed.
  • Restrictions on association, activities and movements.
  • Surveillance and electronic monitoring.
  • Polygraph examinations.
  • The use of restrictive orders.

12.16 Restrictive orders: where offenders pose a continuing risk of serious harm, the police will consider whether these risks are high enough to justify applying for a restrictive order. Examples include:

  • Notification Order (Sexual Offences Act 2003 (SOA 2003) sections 97 to 101).
  • Sexual Harm Prevention Order (SOA 2003 sections 103A to 103K).
  • Violent Offender Orders (Criminal Justice and Immigration Act 2008, Chapter 4, Part 8).

12.17 Sexual Risk Order (SOA 2003 sections 122A to 122K can be applied for restrictions as a preventative measure before a conviction. Please see appendix 5 for details of this and for the other civil orders for managing MAPPA offenders.

Interventions and Treatment

12.18 Interventions and treatment are activities that focus more on developing the offender's own ability to avoid and manage risk situations and to build strengths and protective factors that enable desistance from offending. They may be mandatory, such as complying with a licence condition, or voluntary. They may include, but will not be limited to, accredited programmes.

12.19 Examples of interventions and treatment:

  • Attendance at programmes that address the causes of offending behaviour.
  • Interventions that emphasise self-management of risk and which promote the use of internal controls over the longer term.
  • Interventions that combine intensive supervision with the appropriate use of sanctions and responding to non-compliance.
  • Supportive and integrative approaches where risk assessments indicate their usefulness, e.g. Circles of Support and Accountability.
  • Referral for medical or psychological interventions as required.
  • Co-operation with drug and alcohol advisory services.
  • Involvement in other activities to divert the offender from offending, such as appropriate employment or voluntary work.
  • Identifying a role for family, parents and carers.

Victim Safety

12.20 Victim safety strategies are designed to protect previous and potential victims from harm.

12:21 Examples of victim safety actions:

Contingency Plans

12.22 Contingency plans should be included in all RMPs to set out the action(s) to be taken if the RMP is no longer enough to manage the risk. They will include rapid response arrangements to changing situations or a deterioration in circumstances or behaviours. Contingency plans should consider what actions will be taken in the event of a change of circumstances. In particular it is helpful to consider the factors that are likely to indicate an increase in risk for an individual. The following factors are associated with escalating risk:

  • A change in situational risk - this could be because an offender has increased proximity to victims, or is behaving in ways that are likely to increase proximity or to increase opportunity to offend in other ways. It could also be because of a change to someone else's circumstances, such as a partner's pregnancy.
  • Deterioration in lifestyle - examples could be loss of accommodation, relapse into drug or alcohol use, or increased association with offending peers. The MAPPA meeting will need to consider which lifestyle factors would be associated with increased risk for each offender.
  • Psychological factors - examples may be an increased preoccupation with offending or offending-related issues (e.g. sexual preoccupation, offence-related sexual interests or emotional congruence with children) or it may be a deterioration in mental or psychological wellbeing (e.g. as a result of not taking medication).
  • Breakdown in supervision - this may be missing appointments, or where compliance is superficial, with the offender attending appointments but not engaging with the process, not engaging with wider interventions or treatment, or is Unlawfully at Large.

The MAPPA meeting needs to be alert to which changes are linked to an increase in risk in each individual case and provide contingency plans accordingly.

12.23 Victim(s) who have asked for victim contact under the statutory scheme must be informed by the Victim Liaison Officer (VLO) when an offender is subject to recall proceedings. The victim(s) must be kept informed where there is a delay between recall and the offender being returned to custody.

Foreign Travel

12.24 Travel outside the UK by MAPPA offenders can cause significant concern. Foreign travel restrictions and requirements vary according on the licence, order, notification requirements or post sentence supervision the offender is subject to. MAPPA meetings can share information to inform an assessment of suitability for foreign travel but decisions must always be made in line with all of the restrictions imposed on an offender by their licence, order, notification requirements and post sentence supervision and the policies of the agencies managing those restrictions.

12.25 Sexual Harm Prevention Orders and Sexual Risk Orders can contain foreign travel prohibitions, where they are necessary for the purpose of protecting children or vulnerable adults aboard. For offenders on licence, it may be necessary to apply for additional, or bespoke, licence conditions in some circumstances to further reduce the risk of foreign travel.

Approved Premises

12.26 Offender Managers should consider whether a period of residence in an Approved Premises (AP) would enhance the RMP for all Level 2 and 3 offenders (an AP may also be appropriate for Level 1 offenders). APs provide supported and supervised accommodation for appropriate offenders on licence or community supervision. They provide a structured environment to support offenders' rehabilitation, as well as restrictions, including a curfew, which place controls on their behaviour. AP staff play a significant role both in providing relevant risk information to the Offender Manager and in contributing to effective risk management. It is essential that they understand a resident's risks, are involved in the delivery of the RMP and are part of any MAPPA meeting relating to a resident. Consideration should be given to the location of APs in relation to known risk, previous offending and current and previous victims. Guidance on APs is set out in Probation Instruction (PI) 32/2014 - Approved Premises.[2]

Standard - Referral for CPPC is considered for all level 3 MAPPA offenders

12.27 All level 3 cases should be considered for referral to HMPPS for registration as a Critical Public Protection Case. Where referral is agreed, the lead agency will ensure that the paperwork is completed within a week and will inform the next meeting of the outcome of the decision. The minutes should record the fact that referral has been considered. For further guidance, see Chapter 19 - Critical Public Protection Cases and PI 06/2013.

Standard - The critical contribution that offenders make towards changing their behaviour is recognised and RMPs draw on the strengths, skills and resources of the offender

12.28 Offenders should know that they are being managed through MAPPA, what MAPPA is, and what this means for them. The MAPPA leaflet 'Information for Offenders' should be used for this purpose. This responsibility should be discharged by the Offender Manager or Case Manager primarily involved with the offender.

12.29 It may be helpful to invite the offender to write down, or to tell the offender manager, information they would like to be discussed at a level 2 or level 3 meeting. (See also 13a.24 and 26.48.)

12.30 Although the expectation is that offenders are told that they are being managed through MAPPA, there may be very exceptional cases where information about MAPPA management at level 2 or 3 may be withheld from them on the ground that it might increase their risk. This decision and the nature of the information to be withheld must be agreed at a MAPPA meeting and the reason(s) clearly recorded in the MAPPA meeting minutes and case record(s).

Standard -Public protection is the paramount consideration in the development of the Risk Management Plan

12.31 As a general principle, human rights must be balanced against public protection, which is the paramount consideration. However, restrictions, such as licence conditions, must still be necessary and proportionate. In other words, restrictions must be limited to the minimum necessary for effectively managing the risks presented by the offender (see PI 09/2015). Furthermore, there is a responsibility to consider the needs and vulnerabilities of an offender where he or she is a child or young person, but this should not take precedence over protecting the public. Proportionate protection of the public outweighs all other considerations when constructing an RMP.

Standard - The MAPPA Chair summarises the meeting and agrees the required level of MAPPA management

12.32 The Chair will summarise the issues raised during the meeting and agree with the attendees the MAPPA level at which the offender should be managed. The Chair will confirm whether the case requires active multi-agency management at level 2 or 3. Ideally, the Chair will facilitate agreement if there are initial differences in views. Where this is not possible the Chair will ask the lead agency to make the final decision and will ensure the range of views is recorded in the minutes.

12.33 The reasons for a decision to manage the case at a particular level must be clearly recorded, whether the level is different from the one for which the meeting was called or the same (see Chapter 7 - Levels of Management for more details on determining MAPPA levels).

Updated: Jul 2018

1. The 4 Pillars of risk Management is a new approach to the planning and delivery of risk management developed by Prof. Hazel Kemshall at De Montfort University. The model is based on the four pillars of Supervision, Monitoring & Control, Interventions and Treatment and Victim Safety Planning. [back]