6. Key considerations prior to the issue of a Penalty Notice
6.1. In the case of absence from school, a penalty notice should be considered if the parent is judged capable of securing better attendance but is not willing to accept responsibility and it is considered likely to improve the pupil’s attendance.
6.2. This judgment is based on the parental response to warnings issued by the Local Authority and the school regarding their child’s poor attendance and their engagement with the school and/or attempts to improve attendance.
6.3. Parents who do not heed warnings or respond to efforts to deal with their child’s absences may be adjudged to have failed in their duty and will receive a Penalty Notice for each individual parent and for each child with unauthorised absence.
6.4. This Code of Conduct gives due regard to the Equality Act, Human Rights Act, Legislation and Regulations and DFE Guidance.
6.5. DFE expects that Headteachers will use their discretion sparingly. It is for Headteachers to determine if the request is exceptional. Legislation requires that each request is judged on a case-by-case basis.
6.6. The Local Authority must have regard to a parent’s ability to pay any Penalty Notices issued, and in situations where there is more than one non-attending child and/or parent in a family, the impact of multiple notices must receive careful consideration. However, financial circumstances alone will not prevent the issue of a Penalty Notice. The decision to issue a fine to both parents will reflect the considerations set out as follows (section 6.7.)
6.7. The following considerations will be made before issuing (or requesting that an 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.
- Is a penalty notice the best available tool to improve attendance and change parental behaviour for this family or would one of the other legal interventions be more appropriate?
- 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 accepting responsibility for any resulting prosecution for the original offence in cases of non-payment?
6.8. In cases where support is appropriate, consider on a case-by-case basis:
- Has sufficient support already been provided? Sufficient support will usually include:
- Full implementation of school's support teams and assessment of individual need.
- Utilisation of relevant aspects of the Manchester Emotional Based School Non-Attendance (EBSNA) guidance using trauma-informed approaches.
- Offer of a parental meeting in school to discuss attendance concerns where minutes are recorded.
- Offer of an attendance contract to support the family. If accepted, agreed actions to support improvements in attendance.
- An offer of early help including the initiation of an Early Help Assessment (EHA).
- Referral/signposting to relevant external agencies.
6.9. In cases where support is not appropriate, consider on a case-by-case basis:
- A fully completed penalty notice request spreadsheet.
- A Certificate of Attendance for the period of absence this penalty notice request relates to.
- A certificate of attendance for the last 12 months.
- Record of discussion with the parent if exceptional circumstances are raised for an unauthorised term-time holiday.
- If the parent has not applied for a leave of absence, but the school ascertains after a period of absence that this should have been unauthorised, a refusal of leave letter should be sent.
6.10. Before a Penalty Notice is issued, it must be evident that the matter is capable of proof in the Magistrates’ Court so that in the event of non-payment of the charge, parent/carer can be prosecuted.
6.11. Looked After Children: Where there are concerns over attendance with a pupil in local authority care, a review should be held to determine that appropriate provision is in place and whether changes need to be made to better engage the young person with their education.