Penalty notice code of conduct
When may a penalty notice for absence be appropriate
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.
Scenario | Counts towards the limit? |
|---|---|
Penalty notice issued by any authorised officer and paid within 21 days | Yes |
Penalty notice issued by any authorised officer and paid within 28 days | Yes |
Penalty notice issued by any authorised officer but later withdrawn | No |
Penalty notice issued by any authorised officer. The penalty notice was not paid, and the local authority prosecuted for the original offence, but the Court found the parent not guilty | No |
Penalty notice issued by any authorised officer. The penalty notice was not paid, and the local authority prosecuted for the original offence and the Court found the parent guilty | Yes |
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?
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