Education penalty notice code of conduct

Key considerations prior to the issue of a Penalty Notice for school absence 

The following considerations will be made before issuing (or requesting that another authorised officer issues) a penalty notice to ensure consistency of approach: 

In cases where support is not appropriate (for example, for holidays in term time), consider on a case by case basis: 

  1. Is a penalty notice the best available tool to improve attendance and change parental behaviour for this particular family or would one of the other legal interventions be more appropriate?  

  2. (For local authorities only) Is it in the public interest to issue a penalty notice in this case given the local authority would be accepting responsibility for any resulting prosecution for the original offence in cases of non-payment? 

In cases where support is appropriate, consider on a case-by-case basis: 

  1. Has sufficient support already been provided? In Southwark sufficient support will usually include: Schools have followed Southwark’s 3 Stage Approach  to poor attendance, which sets out the following expectations: 

  • The parent been regularly contacted by the school to establish the reasons for absence or is there proven parental non-engagement. Communication/s in writing, notifying parent/s of the concerns held in relation to their child’s absence levels. Where there are two parents’ schools must ensure that each “parent” is in receipt of such correspondence. Where letters are hand-delivered to parents, accurate records of date/time/person to whom letter was delivered must be available. 
  • Stage 1 has been completed and opportunities for parent/s to meet with school staff to share/discuss the barrier/s to regular attendance and identify support strategies which aim to achieve an improvement in attendance. Meetings such as The Team Around the Family (TAF) meetings have been held to identify any unmet needs and decide if support from another service is needed. When it is clear that improved school attendance of a child cannot be achieved by agreement with the parents this is an opportunity to consider a Notice to Improve (see para 17 below) 
  • Agree “attendance contracts” at the TAF making clear the role of each relevant party in improving the child’s attendance levels. 
  • Referrals to wider support services such as Family Early Help where criteria are met. 
  • Where safeguarding concerns are identified for a pupil/family, liaison between relevant agencies including social care, police, health, other educational establishments, etc. 
  • An Attendance and Inclusion Consultation has taken place (Stage 2 of the 3 Stage Approach) with the Education Inclusion Team. 

Is a penalty notice the best available tool to improve attendance and change parental behaviour for this particular family or would one of the other legal interventions be more appropriate? In Southwark a penalty notice should be considered if the parent is judged capable of securing better attendance but is not willing to accept that responsibility and it is considered likely to improve the pupil’s attendance. This judgment is based on the parental response to warnings issued by the LA and the school about their child’s poor attendance and their engagement with the school and/or attempts to improve attendance. 

Is issuing a penalty notice in this case appropriate after considering any obligations under the Equality Act 2010? 

(For local authorities only) Is it in the public interest to issue a penalty notice in this case given the local authority would be responsible for any resulting prosecution for the original offence in cases of non-payment? In Southwark the decision to prosecute will be taken in line with the Code for Crown Prosecutors. These general principles are: 

  1. Each case is unique and must be considered on its own.  

  2. The right person is prosecuted for the right offence which underlines the importance of having up to date information on school records of all those with parental responsibility as well as day-to-day care and supervision. It is essential that schools regularly up-date their contact details.  

  3. There is sufficient evidence to provide a realistic prospect of conviction and consideration must be given to what the defence case may be and how that is likely to affect the prosecution case.  

  4. Is the evidence reliable? It is therefore essential that schools ensure that they are satisfied with the accuracy of the register and registration codes used.  

  5. There are also Public Interest factors against prosecution which must be considered: was the offence was committed because of a genuine mistake or misunderstanding.  

  6. A prosecution is likely to have a detrimental effect on the victim’s physical or mental health.  

  7. The defendant is suffering from mental or physical ill-health. 

  8. It is considered that there is insufficient evidence to provide a realistic prospect of conviction. realistic prospect of conviction 

If the answer to the above questions is ‘yes’, then a penalty notice (or a notice to improve in cases where support is appropriate) will usually be issued. 

Page last updated: 07 November 2024

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