NOTIFICATION OF CRITICAL Probation

PUBLIC PROTECTION CASES

PURPOSE
Circular
This circular sets out the National Probation Directorate's Public
REFERENCE NO:
Protection and Courts Unit (PPCU) casework notification registration
procedures. These will operate within the statutory framework 19/2004b
provided by the Multi-Agency Public Protection Arrangements
(MAPPA). It establishes a requirement for the Responsible Authority ISSUE DATE:
to notify the PPCU casework unit of Critical Public Protection Cases 1 April 2004
(CPPCs), and details the help and advice that Probation Areas can
expect to receive from the PPCU. IMPLEMENTATION DATE:
1 April 2004
ACTION
Chief Officers to ensure that the contents of this circular are brought EXPIRY DATE:
to the attention of all relevant staff. April 2009

SUMMARY TO:
These new procedures must be introduced with effect from 1 April Chairs of Probation Boards
2004. Chief Officers of Probation
Secretaries of Probation Boards
RELEVANT PREVIOUS PROBATION CIRCULARS
Chairs of Voluntary Management
This circular replaces the ‘Early Warning System’ set out in Committees
PC15/1999 updated in PC27/2000.
Please also see Annex E for a list of other circulars that may be CC:
relevant.
Board Treasurers
Regional Managers
CONTACT FOR ENQUIRIES
Janet Gregory, Casework Manager, PPCU
Tel: 020 7217 0750 Fax: 020 7217 0756 AUTHORISED BY:
E-Mail: Janet.Gregory@homeoffice.gsi.gov.uk Liz Hill, Head of Public Protection
Unit
Bettina Crossick, ACO Head of Casework, PPCU
Tel: 020 7217 0746 Fax: 020 7217 0756 ATTACHED:
E-Mail: Bettina.Crossick@homeoffice.gsi.gov.uk Annex A - Criteria for funding
exceptional cases, Annex B –
LHT beds, Annex C - Notification
Form (2 parts), Annex D –
Guidance on Licence Conditions,
Annex E - List of other Circulars

National Probation Directorate

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

Enforcement, rehabilitation and public protection

BACKGROUND

The new procedures described below will ensure that there is robust and consistent management of those
cases which present the highest risk of serious harm to the public and staff and are the most difficult to
manage, so that:

a) Ministers and the Director General are conversant with those cases that are assessed as very
high risk and/or are notorious with a significant national, or particularly sensitive, profile;

b) Ministers and the Director General can be satisfied that effective risk management is
implemented and good practice demonstrated, as contained in the four functions of the MAPPA
Framework:

i. the identification of MAPPA offenders;

ii. the sharing of relevant information among those agencies involved in the assessment of
risk;
iii. the assessment of the risk of serious harm; and,
iv. the management of that risk.

c) Statistical information relating to referrals can be collated and analysed to inform development of
good practice.

INTRODUCTION TO THE NOTIFICATION AND REGISTRATION PROCEDURES OF CRITICAL

PUBLIC PROTECTION CASES

The role of the PPCU is to assist the Probation Area as part of the Responsible Authority to manage offenders
within their areas, as defined in the MAPPA legislation. The Responsible Authority, in relation to any area,
means police, probation and prisons acting jointly.
The MAPPA framework identifies the three separate but connected levels at which risk is assessed and
managed:

Level 1 - Ordinary risk management, low/medium risk cases which are usually managed by a
single agency;
Level 2 - Local inter-agency management, high risk cases requiring the active involvement of
more than one agency;
Level 3 - Multi-Agency Public Protection Panels (MAPPPs), high/very high level of risk, cases
assessed as being high/very high risk of causing serious harm or highly likely to be
subject to media scrutiny and/or public interest.

The Responsible Authority has the duty to assess and manage the risks posed by sexual and violent
offenders. It must have effective multi-agency arrangements in place to identify the level 3 cases at the
earliest opportunity. These cases are sometimes referred to as the ‘critical few’.
In order to ensure that cases are not escalated to an unnecessarily high level, which would use resources
needed elsewhere, the casework team will seek to ensure that the management of cases is at the lowest
appropriate level, consistent with defensible management.

PC19/2004 - Notification of Critical Public Protection Cases 2

1. Criteria for notification of CPPCs to PPCU casework team

Area MAPPPs are responsible for co-ordinating the management of the ‘critical few’. These are offenders, as
defined in the Multi-Agency Public Protection Arrangements Guidance (PC 25/2003) as follows: -

(i) They are assessed under OASys (or other relevant, appropriate tools) as being a high or very
high risk of causing serious harm; and,
(ii) They present risks that can only be managed by a plan which requires close co-operation at a
senior level (MAPPP) due to the complexity of the case and/or because of the unusual resource
commitment required; or,
(iii) Where the case is exceptional because the likelihood of media scrutiny and/or public interest in
the management of the case is very high, although not necessarily assessed as high or very high
risk, and there is a need to manage the risks to the offender from public exposure.

The Responsible Authority must consider referral to PPCU (using the Notification attached at Annex C of this
Circular) at the point of inclusion in the MAPPP and at all subsequent MAPPP reviews of the offender, on all
those who meet the following criteria: -

(i) The offender presents an imminent risk of serious harm. This is where a potential event is more
likely than not to happen imminently and the impact would have very serious consequences; or,
(ii) The case is exceptional because the likelihood of national 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 maintained.

2. Profile of CPPCs

In almost all cases experience suggests that those notified to the PPCU have been assessed as high or very
high risk. Similarly, while most referrals will be offenders released from prison others may include: -

‰ a known very high risk or high profile offender returning from overseas (whether immediately
following their release from custody or not);
‰ 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 of MAPPA, comes to present a high or very high risk as the
result of a significant change of circumstances;
‰ an offender attracts significant national media interest;
‰ an offender on discharge from detention under a hospital order.

3. PPCU resources to manage CPPCs

Anecdotal evidence from areas indicates that a small group can be identified within the present MAPPP
population, ‘the critical few of the critical few’, who justify the additional oversight the PPCU can offer. In all
such cases additional resources may be applied for.
It is recognised that determining imminence of harm is primarily a professional judgment that is strongly
influenced by an understanding of triggers for offending, evidence of previous serious harm and accurate
information about an offenders current circumstances.
PPCU resources are: -

‰ Funding for temporary additional staff cover in an Approved Premises (for criteria see annex A)
‰ Langley House Trust Accommodation, Public Protection and Courts Unit Enhanced Supervision
Beds (for criteria see annex B)

PC19/2004 - Notification of Critical Public Protection Cases 3

4. Notification Process

The following process applies to every case notified and registered with the PPCU and should be followed at
least 2 months before release.

(i) The offender must be referred to MAPPA and managed at Level 3: arrangements contained in
Probation Circular PC25/2003;
(ii) The MAPPP meeting must consider notification to PPCU according to the criteria above;
(iii) When the Responsible Authority is unsure whether to notify a Level 3 case it should be discussed
initially with a PPCU caseworker;
(iv) A Notification Form for CPPCs must be completed by the Case Manager and sent via their
MAPPA Senior Manager / ACO / Head of Public Protection to the PPCU
(v) The PPCU will write to acknowledge registration of case and confirm any additional resources
and/or requirements as agreed;
(vi) The Responsible Authority will notify PPCU of reviews, changes in circumstances and the
outcome of further MAPPP meetings;
(vii) The PPCU will notify ministers and relevant MPs about the case and keep them advised of
developments.

When an offender is released from custody without a licence and presents a high or very high risk he/she
remains the responsibility of the Responsible Authority. If the offender meets the criteria set out in section 1 of
this circular, the prison-based probation officer will complete the CPPC Notification Form (annex C) in
consultation with prison colleagues and the designated field probation officer who will remain central to the
process.
Prisons will provide assistance by collating risk management information and any other information that is
required, with the prison’s Head of Public Protection co-ordinating the process and agreeing that the case
qualifies for notification.
Consideration should be given to accommodating offenders in Approved Premises who are released from
custody without a licence and are identified as MAPPP cases requiring management at level 3. This is under
the authority of The Criminal Justice and Court Services Act 2000 (Approved Premises) Regulations 2001.

5. Notifying and Briefing Ministers

To ensure that those who are ultimately accountable (i.e. in Parliament) are informed, the PPCU is responsible
for providing Ministers with timely information and re-assurance about the release and individual management
of the highest risk and most notorious offenders. Notification also provides the basis upon which Ministers’
understanding of, and confidence in, risk management is based.
Through the Minister, PPCU will also inform those MPs who have signed up to the confidentiality protocol,
when registered offenders move or return to their constituency.
The PPCU hold a list of the MPs signed up to this protocol. Areas can access this information relevant to
their area through the PPCU casework team.

6. Contact Casework team for advice and guidance

The PPCU is able to act in an advisory capacity to Responsible Authorities in individual cases and can provide
advice and support directly to areas on handling the most difficult and complex cases.
The casework team is available to advise the Responsible Authority/caseworker if there is a question whether
the case falls within the criteria. Areas are also encouraged to contact the PPCU for general advice about
other aspects of managing the case. Police and probation officers seconded to PPCU and casework staff are
very willing to ‘talk through’ a risk management approach to a case or offer specific guidance on MAPPA.

PC19/2004 - Notification of Critical Public Protection Cases 4

 Annex A

CRITERIA FOR FUNDING EXCEPTIONAL CASES REFERRED TO THE PUBLIC

PROTECTION AND COURTS UNIT CASEWORK SECTION

Where areas are managing very high risk and/or high profile offenders the Public Protection
and Courts Unit (PPCU) can provide some financial assistance in exceptional circumstances.
The following criteria apply in every case and the process must be initiated at least 2 months
before release.

Criteria

The PPCU may fund additional staff cover (over and above the required establishment) in an
Approved Premises (Approved Probation and Bail Hostel) when the following apply:

(i) The offender is being managed at MAPPP Level 3 as defined in this Circular at Section
1(i) to (iii); and,
(ii) The offender presents an imminent risk of serious harm; and,
(iii) There are exceptional circumstances as defined in each individual case by PPCU.

Process

This process is essential in order to make an informed decision and to create an audit trail.

(i) The offender is referred to MAPPA and managed through the Panel/ Level 3;
arrangements contained in PC 25/2003.
(ii) The offender must be registered with PPU in accordance with this Circular.
(iii) MAPPP agree Risk Management Plan (RMP). In order to qualify for funding this must
include evidence that the offender can only be managed safely in Approved Premises
and the community with extra staff cover.
(iv) The MAPPP Manager will complete the CPPC Resource Breakdown Form and send to
the PPCU Head of Casework/Casework Manager who assesses feasibility of funding
additional staff. The following information must also be sent:
Assessment and decisions of MAPPP
Evidence of risk requiring extra funding i.e. previous behaviour
(v) PPCU Head of Casework will make final decision, which will be confirmed in writing.
(vi) If funding is agreed PPCU casework team will review monthly1.
(vii) All monies agreed will be paid to the Probation Area’s Finance Department through the
monthly NPD grant following receipt of written confirmation from the Area of the actual
costs incurred due to be reimbursed by PPU.

Funding

In all agreed cases, we will fund for a maximum of 3 months at the following rates:
• 4 weeks @ 100% of total cost of agreed additional staff cover.
• 4 weeks @ 50% of total costs of agreed additional staff cover.
• 4 weeks @ 25% of total costs of agreed additional staff cover.

1 Please note that if risk lessens we cannot continue to fund and the money cannot be used alternatively.

PC19/2004 Notification of Critical Public Protection Cases - Annex A

 Annex B

Langley House Trust and Public Protection and Courts Unit Enhanced
Supervision Beds

The management and development of the PPCU Enhanced Supervision Beds is through the
following protocol agreed with Cath Magee, LHT Operations Director and Bettina Crossick,
Head of PPCU Casework.

A Service Level Agreement between NPD and LHT specifies the services provided within
‘Enhanced Supervision’ (PC09/2003 - Appendix C)

Criteria

PPCU Enhanced Supervision Beds are for use when the following applies:
(i) The offender is managed at MAPP Level 3 as defined in the Circular at Section 1(i) to
(iii); and,
(ii) The offender presents an imminent risk of serious harm; and,
(iii) There are exceptional circumstances as defined in each case by PPCU.

Provision

PPCU fund 12 beds across the LHT estate. Three of the projects will take either serious
violent or sexual offenders for a maximum stay of 3 months. The fourth project will take
dangerous offenders with mental health and/or learning difficulties for up to 6 months. These
beds may also require Community Care funding and LHT can advise referring officer how to
apply.

Process

(i) The offender is referred to MAPPA and managed through the Panel/ Level 3;
arrangements contained in PC 25/2003.
(ii) The offender must be registered with PPU in accordance with this Circular. Where the
offender does not fit the criteria he will not be eligible for consideration for a LHT PPCU
bed.
(iii) Once registered referral should be made directly to LHT Operations Director, who will
consider the suitability and availability of PPCU LHT beds for the offender.
(iv) A letter will be sent from LHT to the referring officer to acknowledge the case and
explain the procedures.
(v) A letter will be sent from LHT to the MAPPA manager who will be considering the case
in the area where the project is based.
(vi) A follow up MAPPP, will be held to consider the case in the area where the project is
based, which should be attended by the ‘home’ Senior Probation officer/Probation
Officer unless there are exceptional circumstances.
(vii) In all cases, move on accommodation, in the home area or elsewhere if there are victim
issues or media/community issues must be managed and arranged by the ‘home’
probation officer.
(viii) Extensions to the placement will be made only in exceptional circumstances and
requests must be in writing from the MAPPP Manager or ACO to Head of PPCU
Casework with a copy to LHT.

Address

Langley House Trust Northern Office

PO Box 389
Barnsley
S70 2WY

Tel no: 01226 203566

Fax no: 01226 203568

PC19/2004 Notification of Critical Public Protection Cases - Annex B

 CRITICAL PUBLIC PROTECTION CASE
NOTIFICATION FORM
Please read PC 19/2004 prior to completing this form
This form should be used to notify the Public Protection and Courts Unit (PPCU) of
offenders that match the criteria below

Criteria Tick
A) The offender is being or is to be managed at MAPPP – Level 3.

and
B) The offender presents an imminent risk of serious harm
and/or
C) There is likely to be significant national media interest of or public interest in the
offender

If the case does not meet the above, and you believe that PPCU should be notified, please call the
casework unit prior to any written communications.
Note:
An Assistant Chief Officer or equivalent will be required to verify information contained in this form
(on the last page)– forms received by the Casework section without this verification will be returned.

1. Offender Details
Name: Alias:
Prison/Mental health
Date of Birth: P.N.C number: number:

Ethnic Origin: select from list

(Select from the drop down list)

Actual date of release:

CONFIDENTIAL Version 1.5 MAR 2004 page 1 of 5

 2. Area Details

Probation area: Date of Referral to PPCU:

Referred by: Grade:

Office address:
Tel No:

Senior Probation Officer:

ACO:
(This person will be required to verify the form once complete)

3. Offence(s) Details
Index offence(s): Date of offence:
(Including brief details) (dd/mm/yy format)

Relevant previous conviction(s):

Reason(s) for notification. (Also include any other relevant information regarding this case):

Number of court Number of violent offences:

appearances: Number of sexual offences:

4. Sentencing and Licence details of index offence

Sentencing Court: Date of sentence:

Length of sentence/order: Type of licence:

Licence from: to

Yes No Extended Yes No

Recall? Date: licence? Date:

Recall history

Current location: Select from list

(First select the type of institution, and then type the name in the adjoining box.)

CONFIDENTIAL Version 1.5 MAR 2004 page 2 of 5

 5. Risk Management plan details Yes No NA

Additional licence conditions proposed

(Describe briefly)

If the offender is not subject to a licence, what risk management plan is proposed
(surveillance, voluntary contact, Sex Offender Order etc)?
(Describe briefly here)

Is the offender subject to Sex Offenders Order (SOO)?

(Please list conditions in full)

Is the offender subject to Sex Offence Prevention Order (SOPO)?1

(Please list conditions in full)

Is the offender required to register under the Sex Offenders Act 1997?

Is the offender identified as an ongoing risk to children?

Has the offender undertaken any programmes in prison?

(If yes state which programme and any outcomes.)

Are you proposing any programmes upon release?

(If yes state which programme(s))

6. Victim detail

Has the Victim been contacted?

a) If yes, what was the outcome:

b) If no or NA, why has there been no contact?

Have the victim concerns/views informed the release/risk management plan?

(If yes, please indicate how)

1
SOPOs effective from 1st May 2004. SOPOs replace SOOs as detailed in the Criminal Justice Act 2003)

CONFIDENTIAL Version 1.5 MAR 2004 page 3 of 5

 7. Additional Funding details - For completion by MAPPP Manager only

In order to assess the feasibility of funding additional staff cover in Approved Premises there must be
exceptional circumstances.
For further assistance with this section, please read Annex A of PC 19/2004 – Criteria for Funding Exceptional Cases Referred to the Public
Protection Unit Casework Section

Explain why this case requires additional funding.

(E.g., assessment & decision of MAPPP. Evidence of risk i.e., previous behaviour etc.)

To support this request for funding the MAPPP Manager must complete the CPPC Resource
Breakdown Form. Both forms should be submitted at the same time.

8. Accommodation details Yes No NA

Proposed Release Address:
(Please include full postcode)

Are you seeking a Langley House Trust Enhanced Supervision Bed?

For further assistance with this section, please read Annex B of PC 19/2004 – Langley House Trust
and Public Protection and Courts Unit Enhanced Supervision Beds

9. Supporting documents to include in this notification

This notification document must be accompanied with the following documentation for the Casework
Section: (see verification section below for details on sending)
Item Enclosed
1. Copies of the 2 most recent MAPPP meeting minutes
2. Pre Sentence Report
3. Parole Assessment Report
4. A copy of the risk assessment and risk management plan
5. A copy of the licence
6. Psychiatric and other medical reports (where appropriate)
The Casework section will be unable to register until the Area has supplied all of the requested information in the above list.
If you are unable to include any of the required documents, please explain why in the box below

CONFIDENTIAL Version 1.5 MAR 2004 page 4 of 5

 10. Registration verification:
In order for the Casework section to accept this registration, this form needs to be verified by
an Assistant Chief Officer or Equivalent. If they are unable to do this, an alternative person
with an equal responsibility/grade may complete the verification statement below

Verification

I verify that I have read the case details and agree with the requirement
to notify the Casework Section of the Public Protection and Courts Unit.

If you are not the person named in section 1, please complete your details here

Name:
Title:
Grade: Tel No.:

Once verified please EMAIL this form to casework.publicprotection@homeoffice.gsi.gov.uk and inform

the member of staff who completed the form. The person who completed the form can then send the
additional paperwork requested to the address below where it will be matched with this form sent by
the verifier.

CPP (Casework Section),

Rm. 234 Horseferry House
Dean Ryle Street,
London SW1P 2AW

CONFIDENTIAL Version 1.5 MAR 2004 page 5 of 5

 CRITICAL PUBLIC PROTECTION CASE
RESOURCE BREAKDOWN FORM
Please read PC 19/2004 prior to completing

This form should be used in conjunction with the CPPC notification form

1. Offender Details

Name: Alias:
Date of Birth: P.N.C number:
Prison/Mental health number:

2. Resources required

1. Current staff. 2. Proposed additional staff.

• Number of full time staff: • Number of full time staff:
• Number of part-time staff: • Number of part-time staff:

3. Function of additional staff.

(Give details of the functions these additional staff will be utilised for.)

4. Estimated cost of staff.

• A total weekly cost for all of these additional staff members combined:

5. Length of employment for these additional staff

• Number of weeks staff will be employed:

3. Your details

Name: Job title:

Tel No:

Signature:…………………………………… Date:………………………………….

CONFIDENTIAL Version 1.5 MAR 2004 page 1 of 1

 Annex D

Guidance on Licence Conditions for High Risk Offenders

Probation Circular 42/2003 gives full guidance on all licence conditions. In cases where
high-risk offenders are to be released on licence, the following list of additional conditions
may be considered, where appropriate. Additional conditions can only be added to the
licence if the relevant approval has been sought from the Parole Board, or the Early
Release and Recall Section (ERRS, formerly SEU).

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.

• Exclusion zone
Request for this condition must be accompanied by a map, outlining area from which
offender is to be excluded. Area must be proportionate, and should be no larger than
is necessary to achieve the objective sought, that of protecting the victim or victim’s
family. 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.
• Non-contact conditions with children or young people.
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.
Practical consideration should be given, as to the effect it might have on contact, for
instance, with family members. Consideration should also be given to using other
additional conditions, which can be added to prohibit offenders (paedophiles in
particular) from working or living with young persons. The condition provides for an
age limit to be given, normally 16 or 18, but that is open to discussion of the individual
case. It may be that the offender will be residing in a hostel that takes residents from
the age of 17 years.
• Electronic monitoring (‘tagging’)
Previously this condition, electronic monitoring with curfew, in support of other
conditions, has only been available for those areas which were piloting the scheme,
and for any other offender countrywide, who had been notified to NPD PPU under the
Early Warning System (EWS). The condition continues to be available to all
offenders in the pilot areas. However, any other offender identified as a Mapp Panel
case (level 3), that is a high risk, violent or sexual offender and effectively one of the
‘critical few’, may now be considered for application of the condition to the licence.
These offenders no longer have to be registered with NPD PPU unless they have
been identified as a Critical Public Protection Case.
• Sex Offenders Orders (SOOs)
Conditions on the order may be attached to the licence to strengthen the effect of
both.
• Non Association Conditions
It may be pertinent to consider non-contact with people other than the victim for
instance a person with whom they have previously offended. Consider for instance,
whether the offender may be one of a number of people involved in a paedophile ring.
It is not possible to make this a general condition.
• Licence conditions, which prevent offenders from using the Internet.
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”.

PC19/2004 Notification of Critical Public Protection Cases - Annex D

 Annex E

The following Probation Circulars may be referred to in conjunction with this

Circular;

2004 - National Scheme for the Transfer of Public Protection Cases

PC 42/2003 - Parole, Licence and Recall Arrangements

PC 29/2003 - Victim Contact Work: Revised Sections 6 (Stage 2) and 9 of the Guidance to
Areas

PC 25/2003 - The MAPPA Guidance Multi-Agency Public Protection Arrangements

PC 13/2003 - Sharing Information to Inform Decisions on Offender Release and Recall

PC 09/2003 - Service Level Agreement between NPD and the Langley House Trust

PC78/2000 - Case Transfer Instructions (Please note that this Circular will be revised and
updated shortly)

PC19/2004 - Notification of Critical Public Protection Cases - Annex E