Penalty notice code of conduct

The purpose of this code of conduct is to ensure that penalty notices for school absence are issued in a manner that is fair and consistent across Stockton-on-Tees Borough Council. The code sets out the arrangements for administering penalty notices in Stockton-on-Tees and must be adhered to. The code complies with relevant regulations and the Department for Education's national framework for penalty notices as set out in 'working together to improve school attendance' statutory guidance. 

Penalty notices may be issued to a parent as an alternative to prosecution for irregular school attendance under s444 of the Education Act 1996.  They can only be issued in relation to pupils of compulsory school age in maintained schools, pupil referral units, academy schools, AP academies, and certain off- site places as set out in section 444A(1)(b).

The Education (Penalty Notices) (England) Regulations 2007 (and subsequent amendments) set out how penalty notices for school absence must be used.

A penalty notice can only be issued by an authorised officer, which for Stockton-on-Tees Borough Council will be the local authority officer.

The national framework for penalty notices is published in statutory guidance 'Working Together to Improve School Attendance.'  It provides further national guidance on the operation of penalty notice schemes for school absence in England.

Research published by the Department for Education in May 2022 found pupils with higher attainment at KS2 and KS4 had lower levels of absence over the key stage compared to those with lower attainment:

• pupils who did not achieve the expected standard in reading, writing and maths in 2019 had an overall absence rate of 4.7% over the key stage, compared with 3.5% among pupils who achieved the expected standard and 2.7% among those who achieved the higher standard
• pupils who did not achieve grade 9 to 4 in English and Maths GCSEs in 2019 had an overall absence rate of 8.8% over the key stage, compared with 5.2% among pupils who achieved a grade 4, and 3.7% among pupils who achieved grade 9 to 5 in both English and Maths

For the most vulnerable pupils, regular attendance is also an important protective factor, and often the best opportunity for needs to be identified and support provided.

Where difficulties arise with school attendance, professionals should take a 'support first' approach in line with the DfE's 'Working Together to Improve School Attendance' guidance, only resorting to legal enforcement when necessary.  The aim is that the need for legal enforcement is reduced by taking a supportive approach to tackle the barriers to attendance and intervening early before absence becomes entrenched.

The national framework for penalty notices is based on the principles that penalty notices should only be used in cases where:

• support is not appropriate (for example a term time holiday) or where support has been provided and not engaged with or not worked, and,
• they are the most appropriate tool to change parental behaviour and improve attendance for that family

The national threshold which takes effect from 19 August 2024, sets out the maximum number of penalty notices which may be issued by a local authority to each parent, for each child, in any 3-year period.  When a school becomes aware that the national threshold has been met, they must consider whether a penalty notice can and should be issued or not. The national threshold has been met when a pupil has been recorded as absent for 10 sessions (usually equivalent to 5 school days) within 10 school weeks with one of, or a combination of the following codes:

• code G (the pupil is absent without leave for the purpose of a holiday)
• code N (the circumstances of the pupil's absence have not yet been established)
• code O (none of the other rows of Table 3 in regulation 10(3) of the School Attendance (Pupil Registration) (England) Regulations 2024 applies)
• code U (the pupil attended after the taking of the register ended but before the end of the session, where no other code applies)

Stockton-on-Tees Council will consider issuing penalty notices within the national framework in the following circumstances:

Ongoing unauthorised absence - when:

• a pupil has had a minimum of 10 sessions (5 school days) of unauthorised absence within a period of 10 school weeks
• a school or place of alternative educational provision has completed the relevant attendance procedure
• despite that procedure being followed by the school/alternative provision, there has been little improvement in the pupil's attendance; or a notice to improve has been issued but there has been no improvement over a six-week period

Unauthorised Leave in Term Time - when:

• a pupil has been taken on an unauthorised "leave of absence" from school or a place of alternative educational provision (code G) for minimum of 10 continuous sessions (five days)
• the school or place of alternative educational provision have followed the relevant local authority legal intervention process, a penalty notice may be issued

If in an individual case the local authority believes a penalty notice would be appropriate, they retain the discretion to issue one before the threshold is met.  This can include attempts to circumvent the threshold criteria for sessions absent as stated in the policy.  In these circumstances the issuing of a notice can only be authorised by the team manager or senior caseworker within the Locality Team.

If repeated penalty notices are being issued and they are not working to change behaviour, they are unlikely to be most appropriate tool.  The national framework for penalty notices sets out that a maximum of 2 penalty notices per child, per parent can be issued within a rolling 3-year period.  If the national threshold is met for a third time (or subsequent times) within 3 years, the local authority will consider direct prosecution under section 444 of the Education Act 1996.

For the purpose of the escalation process, previous penalty notices include those not paid (including where prosecution was taken forward if the parent pleaded or was found guilty) but not those which were withdrawn.

Key considerations prior to the issue of a penalty notice for unauthorised school absence:

Leave of absence in term time:

• has the criteria for the issue of a penalty notice been met?
• is issuing a penalty notice in this case appropriate after considering any obligations under the Equality Act 2010?
• is it in the public interest to issue a penalty notice in this case given the local authority would be accepting responsibility for non-payment?

All other unauthorised absence where support is appropriate:

• has sufficient support been provided?
• is a penalty notice the best tool to improve attendance and change parental behaviour?
• is Issuing a penalty notice in this case appropriate after considering any obligations under the Equality Act 2010?
• 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 of unauthorised absence in cases of non-payment?

This is the final opportunity for the parent to reconsider the leave of absence in term time or engage in support to improve attendance before a penalty notice is issued.

The warning letter will be issued by the headteacher of the school in cases where a leave of absence is not deemed exceptional.

The notice to improve will be issued by the local authority in cases of unauthorised absence not solely related to a leave of absence term time.

If the notice to improve is issued by the local authority the school should monitor the child's attendance for six school weeks and alert the local authority if any further unauthorised absence occurs within the six-week monitoring period and the local authority will issue a penalty notice.

The local authority may withdraw a penalty notice in any case which the authority determines:

(i) an offence has not been committed

(ii) it was issued outside the terms of the Code of Conduct

(iii) it ought not to have been issued to the person named as the recipient

(iv) if the parent can prove it was issued to the wrong address

(v) it contains material errors

Stockton-on-Tees Borough Council issue all education related penalty notices in Stockton-on-Tees.