wales attendance framework
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Fframwaith Presenoldeb ar gyfer Cymru GyfanArweinlyfr gweithredol ir Gwasanaeth Lles Addysg
All Wales Attendance Framework
An operating toolkit for the Education Welfare Service
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ISBN 978 0 7504 5873 3
Hawlfraint y Goron 2011
Crown copyright 2011
WAG 10-10733
F1181011
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Table of contents
Foreword iii MissionStatementfortheEducationWelfareService iv
Aboutthistoolkit v
Section 1: Guidance and Standards
Part 1: The Education Welfare Service
a. RoleoftheEducationWelfareService 1
b. EWSvaluesandprinciples 2
c. InductionandrecommendedIn-ServiceTraining 3
d. Workingwithschools 4
e. Engagingandworkingwithparents 6
f. ServiceLevelAgreements 7
g. Recordkeeping 7
h. Thereferralprocess 8
Part 2: Guidance on the legal powers to Secure Regular
School Attendance in Walesa. Denitions 13
b. Roles&responsibilities 14
Parent 14
School 14
Localauthority 15
c. SchoolAttendanceOrders 15
d. FailuretocomplywithaSchoolAttendanceOrder 18
e. EducationSupervisionOrder 19
f. Failuretoensureregularschoolattendance-section444(1) 21
g. Failuretoensureregularschoolattendance-section444(1A) 22
h. Failuretoensureregularattendanceatalternativeprovision-Section444(ZA) 23
i. ParentingContracts 24
j. ParentingOrders 26
k. AmendmentstolegislationrelatingtoParentingContracts
andParentingOrders 28
l. Prosecutionguidanceandpolicies 29
m.Decisiontoprosecute 29
n. ThePoliceandCriminalEvidenceAct1984(PACE) 31
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o. Disclosures 35
p. Prosectuionprocess 36
q. Sentencingoptionsavailabletothecourt 38
r. Exclusions:Thelegalaspects 40
Part 3: Attendance Data Analysis
a. Schoolattendancecodes 41
b. Statisticalinformation 43
c. AllWalesCoreDataSets 43
d. Analysis 44
e. Disseminationofdata 47
f. SelfEvaluationTool-AttendanceGoodPracticeChecklist 48
Part 4: Procedures and Practical Application
a. Safeguardingandchildprotection 53
b. Employment/Performances 54
c. Childrenmissingeducation 60
d. GypsyandTravellerchildren 60
e. GoodpracticeguidelinesforTruancySweeps 61
f. ChildandAdolescentMentalHealthServices(CAMHS) 72
g. PupilswithAdditionalLearningNeeds(ALN) 73
h. YouthOffendingService(YOS) 73
i. Familyholidaysduringtermtime 74
j. Extendedoverseastrips 75
k. Absencefortrivialmedicalreasons 76
l. LookedAfterChildren(LAC) 77
m.Electivehomeeducation 78
n. Advocacy 80
o. Unlawfulexclusions 80
p. Condentiality/Complaints 82
Section 2: Exemplar Materials
Tableofcontents
CD
Section 3: Strategies for schools to improve attendance
and manage lateness
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Foreword
1. TheWelshAssemblyGovernmentspoliciesforchildrenandyoungpeoplehavetheir
basisintheUnitedNationsConventionontheRightsoftheChild(UNCRC).Webelieveit isvitalthatchildrenandyoungpeoplehaveaccesstoappropriateandeffective
learningopportunitiesandprovision.Anybarrierstolearningneedtobeidentiedearly
andremoved,sothatchildrenandyoungpeoplecanengageineducationalprovision
theyneedtoachievetheirfullpotential.
2. Achildssuccessatschoolislikelytobeaffectednegativelybypoorattendance.
Those whodonotattendregularlymaynotbeabletokeepupwiththeirworkandin
a busyschooldayitcansometimesbedifcultforschoolstondtheextratimeneeded
tohelpachildcatchup.Inaddition,researchshowsthatchildrenwhoarenotinschool
aremorevulnerableandcanbeeasilydrawnintocrimeandanti-socialbehaviourandare
morelikelytobeunemployedafterleavingschool.
3. Improvingbehaviourandattendanceisanintegralpartofourwidereducational
initiativessuchastheFoundationPhaseand14-19LearningPathways.Theseinitiatives
aimtoensurethatchildrenandyoungpeopledonotbecomedisengagedfrom
educationbyensuringthatprovisionissuitabletotheirindividualneeds.
4. AttendancewithinthecontextoftheSchoolEffectivenessFrameworkisakeywhole
schoolimprovementissueandhasastrongdirectrelationshipwiththeattainment
ofindividualsandgroupsofstudentsandthestandardstherebyachievedbytheschool.Throughtheself-evaluationprocessattendancestrategiescanbeassessed
and enhanced.
5. InMarch2009,wepublishedBehavingandAttending:ActionPlanRespondingtothe
NationalBehaviourandAttendanceReview.ThroughtheActionPlanweaimtocreate
a cultureofearlyintervention,effectivesupportandwaystoembedanddisseminate
goodpracticetopromotepositivebehaviourandattendanceinschoolsacrossWales.
6. AkeyactioninthePlanwastoproduceanAttendanceFrameworkforWalesin
partnershipwiththeEducationWelfareService(EWS).Theresultingdocument
provides standardsandguidanceforpractitionerstoensuregreaterconsistencyof
practicethroughoutWales.ItalsoaimstoenabletheEWSandschoolstodeliverservices
that areconsistent,accessibleandofahighstandard.Mostimportantlyitisintended
tobeapracticalresourcetoolkitforusebystaffworkingwithintheEducationWelfare
Service.
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7. Thisdocumentdrawsontheexperience,knowledgeandexpertiseofcolleaguesacross
WalesbroughttogetherbyaworkinggroupofthefollowingEWSManagers:
GerwynMatthews Wrexham
JohnGould NeathPortTalbot
JackieMorton RCT
JohnJenkins Cardiff
NoellaRoberts Conwy
8. Thefollowinglegislation,guidelinesanddocumentsunderpintheinformation
and guidancecontainedinthistoolkit:
EducationAct1996
ChildrenAct1989
ChildrenAct2004
EducationandInspectionsAct2006
SENCodeofPracticeforWales2004
TheLearningCountryandLearningCountryII:VisionintoAction,WAG(2006)
SchoolEffectivenessFramework
NationalServiceFrameworkforChildren,YoungPeopleandMaternityServices
in Wales,WAG(2005)
ChildrenandYoungPeoplesWorkforceDevelopmentStrategy
BehavingandAttending:ActionPlanRespondingtotheNationalBehaviourand
AttendanceReview,WAG(2009) InclusionandPupilSupport,WAGCircular47/2006
ExclusionfromSchoolsandPupilReferralUnits,WAGCircular001/2004
ImprovingAttendance2006,Estyn
Education(AdmissionofLookedAfterChildren)(Wales)Regulations2009
Servicesforchildrenandyoungpeoplewithemotionalandmentalhealthneeds,
WalesAuditOfceandHealthcareInspectorateWales,2009
9. Aspartofthedevelopmentofthistoolkittheworkinggroupfeltitimportanttoinclude
aMissionStatementwhichclearlysetsoutthevisionandvaluesforanEducationWelfareService.ThegroupproposethefollowingStatementwhichyoumaywishto adopt.
Mission Statement for the Education Welfare Service
10. TheEducationWelfareService(EWS)willaimtoprovideprofessional,qualitysupport
to children,youngpeople,familiesandschoolssothatchildrenandyoungpeopleliving
inWalesbenetfromtheeducationalopportunitiesprovidedtothem.
11. TheServicewillinvestigatethereasonsbehindschoolabsence,offerinformationand
guidance,undertakeplannedinterventions,advisefamiliesaboutspecialistsupport
servicesandmakereferralstoappropriateserviceswhenrequired.
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12. TheServicebelievesthatchildrenandyoungpeopleareindividualsandhavea
righttoequalopportunities,whatevertheirability,race,culture,religion,gender,
sexual orientationorsocialbackground.
13. TheServicerecognisesthatchildrenandyoung peoplewithAdditionalLearningNeeds(ALN)andfamilieswhoaresociallydisadvantagedmay,attimes,requireextrasupport.
14. TheServicewillworkalongsideotheragenciesinordertosupportallchildrenandyoung
peoplewithspecicemphasisplacedonchildprotectionissues.
About this Toolkit
15. Thistoolkitisdividedinto3sections:
Section 1containsguidanceandstandardsgivinganoverviewoftheroleand
responsibilityoftheEWS.
Section 2containsaCDwithexemplarmaterialwhichhasbeencollectedfromlocal
authoritiesacrossWalesandtheUK.Thesematerialsarenotobligatorytousebutmay
beusefulastemplatesforyoutocreateneworadaptexistingdocuments.
Section 3containsagoodpracticeguideforschoolswithstrategiesandcasestudies
to helpimproveattendanceandmanagelateness.
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Section 1: Guidance and Standards
Part 1: The Education Welfare ServiceThispartisintendedto:
dene the role and responsibilities of the Education Welfare Service (EWS)
dene the role of parents
dene the role of schools; and
outline the referral process.
a. Role of the Education Welfare Service
Overview
16. TheEWSprovidessupporttoschools,pupilsandparentstoensureregularattendance
andaddressproblemsrelatingtoabsenteeism.TheServiceliaiseswithotheragencies
andprovidesanimportantlinkbetweenhomeandschoolhelpingparentsandteachers
toworkinpartnershipinorderthatpupilsbenetfromtheeducationalopportunities
availablelocally.
17. EducationWelfareOfcers(EWO)aresometimesreferredtoasEducationSocialWorkers.
Forthepurposeofthisdocument,EWOwillbeusedthroughoutforthisrole.
18. TheEWSactsonbehalfofthelocalauthorityinenforcingaparentsdutyto
provideappropriateeducation.ThemainfunctionoftheEWSistoimproveoverall
attendanceand reducepersistentabsenceinallschoolsandalternativeeducation
provision.However, inmanyinstancestheEWSalsoundertakeotherrelatedduties,
which may include:
regulatingchildemploymentandperformancelicencesforschoolagechildren;
helpingtoarrangealternativeeducationalprovisionforindividualpupils;
advisingonchildrenbeingeducatedotherwisethanatschool;and
advisingonsafeguardingchildrenineducation.
19. ThemainroleoftheEWSisto:
contributetothelocalauthorityandschoolsdriveforschooleffectiveness;
workinpartnershipwithschools,pupils,parentsandcommunitiestoensure
educationalentitlementandregularattendance;and
linkwithanetworkofagenciesprovidingeducation,healthandsocialservices
for individualswithspecicneeds.
20. Thisissoughttobeachievedthrough:
promotingandsupportingwholeschoolattendancepolicies; providingadviceonprovengoodpractice;
workingtogetherwithschoolstaff,pupils,parentsandrelevantotherson
programmesdesignedtoimproveattendancelevel;
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undertakingindividualworkwithpupils;
undertakingfamilycentredwork;
developinggroupworkwithpupilsandparents;and
initiatingstatutoryproceedingsonbehalfoftheLA.
21. Legalactiontoenforceattendancecanonlybetakenbythelocalauthority.
b. EWS values and principles
Purpose
a. Toassistparents,schoolsandthelocalauthoritytomeetthedutiesplacedonthem
byrelevantlegislation.
b. Toenableandenhanceeffectivecommunicationbetweenandwithinfamilies,
schools,agenciesandotherservicesandthewidercommunity.
c. TofosterandmaintainaclimateinwhichmembersoftheEWSareabletofull
these principles.
Rights of the Individual
d. Toacknowledgetherightsofthoseusingtheservicetoaccessadviceandsupport
fromtheEWSinobtainingservicestowhichtheyareentitled.
e. Toactasadvocate,whereappropriate,forchildren,youngpeopleandfamilies
when theyseektoobtaintheservicestheyareentitledto.
Condentiality
f. Tomaintaincondenceandparticipationinservicesandtherebyhelpprotect
childrenshealthandwellbeing.However,condentialitymaybebreachedwherethis
isinthebestinterestsofthechildandinthewiderpublicinterest.
g. Toconductworkingrelationshipswithchildren,youngpeopleandparentsin
anopenandhonestwaywhichallowsforthesharingofinformationthatis
properly documented.
Anti-discriminatory practiceh. ToprovideEWSsupportonanequitablebasisaccordingtoneed,regardlessofrace,
culture,religion,gender,age,sexualorientation,disability,socialbackgroundor
additionallearningneeds.
i. Topromoteequalopportunitieswithinallaspectsofwork.
j. Toconfrontdiscriminationwheneveritmayarise.
Information management
k. Toensureaco-ordinatedandconsistentapproachtoreferral,recordingandreporting systems.
l. Torecognisetheneedforobjectivity,accuracyandcondentialitywhereappropriate.
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m.Torecognisetherequirementsofboththelegislationandunderlyingprinciplesrelated
todataprotection,accesstopersonallesandpupilrecords.
n. Tocollate,interpretandpresentdataonissuesrelatingtorelevantaspectsof
EWS workandthenuseittoplanandmanagetheworkoftheEWS.
Case and workload management
o. Toestablishacasemanagementpolicythatincorporatesaformalreferralsystem.
p. Toestablishasystemforcasemanagementthatincorporatesassessment,planning,
monitoringandevaluation.
q. Toestablishandmaintainclearsystemsforassessment,planning,monitoringand
evaluationofworkloads,includingselfevaluation,appraisalandfeedbackfrom
serviceusers.
r. Toestablishaccesstoeffectivesupervisionandsupportfromalinemanager.s. Toestablishasystemforclosingcases.
Intervention
t. Tofacilitatetheprocessofinterventionthroughafullassessmentofneedsand
considerationoftheresourcesandmethodsavailable.
u. Tomakeappropriateuseoflegalproceedingsaspartofaplannedintervention.
v. Toempowerfamilieswheretheyseektoresolvetheirowndifculties.
w.Toassistchildrenandyoungpeopleinmaximisingtheireducationalopportunities.
Training and Professional Development
x. Toachieveaqualiedservicethroughsupportoftrainingandprofessional
developmentopportunities1.
c. Induction and recommended In-Service Training
22. Itisimportantthatallnewmembersofstafffeelpartoftheteamandaresupported
in theirrole.Duringtheinductionperiod,itisgoodpracticeto:-
clarifytheroleandresponsibilitieswithinthewelfareservice begintheprocessofidentifyinglearning/developmentneedsinrelationtothe
post; and
outlinehowtherolecontributestotheserviceandhowitrelatestotheoverall
prioritiesandobjectivesofthelocalauthority.
23. Newmembersofstaffareencouragedtoshadowcolleaguestointroducethemtothe
roleandtohavethecontinuedsupportofamemberoftheteam.
1 TheWelshAssemblywillcommenceworkin2011toproduce,incollaborationwithEWSofcers,atrainingstructure,
qualicationandprogressionroutefortheEWSinWales.
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24. IndividualsareencouragedtoparticipateinIn-Serviceprogrammesandindividual
attendanceatrelevantspecialistcourses.Onoccasionstrainingismademandatory.
Frequentmulti-agencytrainingisencouragedparticularlyinpartnershipwith
safeguardingandinclusioncolleaguesinlinewithgoodpractice.Examplesof
checklists fortheInductionProcessfornewstaffcanbefoundinSection2.
d. Working with schools
25. TheEWOhasadualroletoplayasaproviderofaservicetotheschoolandasmediator
betweenhomeandschool.SchoolswillnormallyhaveanamedEWOwhohasaduty
tovisittheschoolregularlyandwillnormally,intherstinstance,seetheheadteacher
orheadofyear.However,attendanceistheresponsibilityofthewholeschool.Schools
should,therefore,considerthemosteffectivewaysofgivingallstaffaccesstotheEWO
andanunderstandingofhis/herresponsibilitieswithinschools.Itisinadvisableforwork
withtheEWOtoberegardedastheexclusivedomainofpastoralstaff.
26. TheEWOstimeisinevitablylimited.Schoolsshould,therefore,haveacleararrangement
onhowandwhenareferraltotheEWSismadeandtobesureallstaffunderstands
the procedures.Priortoareferraltwothingsneedtohappen:
aschoolsownproceduresfordealingwithabsenceshouldhavebeenexhausted;
areferralformshouldalwaysbeusedsothereisawrittenrecordofthepupils
attendance,lateness,strengthsandweaknesses,relationshipswithpeersand
teachers,pastandpresentcontactwithexternalagenciesandanyotherrelevant
informationfromtheschoolsrecords(referralformdocumenttemplatescanbe
foundinSection2).
School Attendance Register
27. SchoolsarerequiredunderTheEducation(PupilRegistration)(Wales)Regulations 2010,
totakeanattendanceregistertwiceaday;atthestart ofthemorningsessionand
onceduringtheafternoonsession.Theregistermayberequestedinacourtoflawas
evidenceinaprosecutionfornon-attendance.Itmayalsocontributeinformationto
pupilsend-of-termreports,recordsofachievementand leaversreferences.Anaccurate
andconsistentregistrationsystemiscrucialifpoorattendanceandpunctualitywithina
schoolaretobetackled.Itisvitalthatpupilsareawarethatregistrationisasignicant
partoftheschoolday.
28. Allstaffinvolvedwiththeregistrationprocessshouldbemadeawarethatthelawis
specicregardingthekeepingofregisters.Markingandkeepingtheregisterisofthe
utmostimportance.
29. Unauthorisedabsenceisabsencewithoutapprovalfromanauthorisedrepresentative
oftheschoolandincludesallunexplainedabsences.Therewillbeoccasionswhenthe
schoolmayauthoriseapupilsabsenceandhencenooffenceisdeemedtohavebeen
committed.Thus,thedecisiontakenbytheschooltogiveorwithholdauthorisationfor anabsence,isacriticalfactorindeterminingthelocalauthoritysdecisionto
prosecuteparentsasprosecutionisonlypossibleforunauthorisedabsences.
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30. Itisimportantthatschoolsexercisecautionintheauthorisationofabsence.Ifthey
aresuspiciousoftheexplanationgivenbyparents,theabsenceshouldbefurther
investigatedandleftunauthoriseduntilthematterhasbeenclariedtothesatisfaction
oftheschool.Thedecisiontakenbytheschooltoauthoriseabsenceornot,isof
criticalimportanceindeterminingthelevelofinvolvementoftheEWS.Iftheschoolhasauthorisedapupilsabsencetheyhave,ineffect,givenleave,thereforethereisnocase
inlawfortheparentstoanswer.
School Attendance Policy
31. Schoolsareencouragedtodevelopawholeschoolpolicyonattendanceindiscussion
withstaff,governors,parentsandpupilstakingaccountofAssemblyGovernment
guidanceonInclusionandPupilSupportandgoodpracticeidentiedbythelocal
authority.Thispolicyshould:
giveahighprioritytoattendanceandpunctuality;
ensurecompliancewithallstatutoryrequirements;
ensurethatclearinformationisregularlycommunicatedtoparentsandpupils;
collectandmakeeffectiveandconstructiveuseofattendancedata;
provideclearguidancetostaffontheprocessofregistrationandonsuchconnected
issuesastheappropriatecategorisationofabsence;
containclearprocedurestoidentifyandfollowupallabsenceandlateness;
recognisetheimportanceofearlyintervention;
makeprovisionforrst-dayofabsencecontact;
monitorpost-registrationtruancythroughthetakingofclassregistersandspotchecks;
bealerttocriticaltimes(e.g.KeyStage2/3transfer);
identifyarangeofstrategiestodealwithabsenteeism/lateness;
provideforaclearandunambiguoushierarchyofsanctions;
developattendanceincentiveschemeswhichrecognisepupilsattendance
achievements;
considerthesettingoftargetsforindividuals,classes,yeargroups,etc.;
establishproceduresforidentifyingandreintegratinglong-termabsentees; provideforregularstructuredmeetingsbetweenschoolstaffandtheEWO
ensurethatreasonablestepsaretakenbytheschoolbeforeanappropriatereferral
is madetotheEWO;
stresstoparentstheimportanceofcontinuityoflearning,particularlyinrelation
to familyholidaysduringterm-time(schoolsshouldgrantleaveforterm-time
holidays sparingly);
useopportunitiessuchasparentseveningsandtheschoolprospectus/brochure
to remindparentsoftheschoolpolicyonattendance;
involvegovernors;
identifyakeyseniormemberofstaffwithoverallresponsibilityforattendance;
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ensurethatgoodpracticeisidentiedanddisseminated;
beregularlymonitoredandreviewed;and
takestepstocreateaculturewhichencouragesattendance,addressingschoolbased
causesofpoorattendancesuchasbullying,racism,thecurriculum,etc.
e. Engaging and working with parents
32. Parentallycondonedabsenceis,inmanyways,moredifculttoidentifythanany
otherformofpupilabsence.Thisformofabsenceisequallyasdamagingtothe
pupilseducationalexperienceasanyotherformofabsence.Theparents,inmany
cases,perceivethattheyarekeepingtheirchildawayfromschoolforlegitimate
reasons.They mayfeelthattheyareprotectingtheirchild/children.Itisessentialwhen
schoolstafffeelthatapatternofnon-attendanceisemerging,theyworkcloselywith
education,socialandhealthsupportservicestoensurethemostappropriateand
effectiveinterventionisavailabletothepupilandparents.
33. Effectiveengagementisthebedrockonwhichallworkwithparentsisbuilt.
Engagement shouldbeunderpinnedbythevaluesandprinciplesthatguidetheworkof
theEWS.Keytothisisrespectingparentsrightsandsupportingtheminmeetingtheir
responsibilities.
34. Parentsofchildrenfromdifferentculturesmayfeelthattheschoolisnotasafeor
proper environmentfortheirchild.Itisvitalthatschoolsinvestigateandendeavour
torecogniseculturalissuesthatmaypreventapupilfromattendingschool.Thereare
supportservicesthatwillassistandadviseschoolsandparentsonwaysforwardwhenthesedifcultiesarise.
35. Apupilspunctualityisalegalrequirementandtheparents/carersofapupilwhois
persistentlylateareguiltyofanoffence.Thelawtreatspersistentlateness(aftertheclose
oftheRegister)inthesamewayasirregularattendanceandparentscanbeprosecuted
if latearrivalisnotresolved.
36. LeaetsentitledIsyourchildmissingout?provideinformationonattendancefor
parentsinavarietyoflanguagesareavailableinSection2.
37. Parentscandoagreatdealtosupporttheregularandpunctualattendanceoftheirchildren.SchoolsandtheEWSshouldworkwithparentstosupportandencourage
them to:
takeanactiveinterestintheirchildsschoollifeandwork;
attend,whenpossible,parentseveningsandotherschoolevents;
ensurethattheirchildcompleteshis/herhomeworkandgoestobedatan
appropriatetime;
beawareoflettersfromschoolwhichtheirchildbringshome;
ensurethattheirchildarrivesatschoolontimeeachday; ensurethattheirchildonlymissesschoolforreasonswhichareunavoidableor
justied,suchasillnessordaysofreligiousobservance;
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alwaysnotifytheschoolassoonaspossible-preferablyontherstmorning
ofanyabsence;
conrmthisinwritingwhenthechildreturnstoschool;
trytoavoidbookingfamilyholidaysduringterm-time;and talktotheschooliftheyareconcernedthattheirchildmaybereluctant
to go to school.
f. Service Level Agreements
38. ThepurposeofaServiceLevelAgreementistosetoutaclearagreementbetweenthe
schoolandthelocalauthorityEducationWelfareServiceontheactionstobetakenby
theschoolandtheEWS.Such documentsgoalongwaytowardsensuringthatthere
isconsistencyofapproachandacommonunderstandingaboutwhodoeswhat.Local
authoritiesshoulddrawupServiceLevelAgreementsthatsetouttheamountofsupportthatschoolscanexpectbasedonclearcriteriaincludingstaffresponsibleforattendance
aswellastheresponsibilitiesoftheschoolontheappropriatenessandtimelinessof
referralsetc.
39. ExamplesofServiceLevelAgreementscanbefoundinSection2.
g. Record keeping
40. EWOsshouldmaintainanaccurateandobjectiverecordoftheirongoinginvolvement
withserviceuserstogetherwithdetailsofreferralsandoutcomes.
41. Theuseofstandardisedformscanhelptoexpeditethisprocessandcanincludea:
referralform;
initialassessmentform;
casele;
summaryofcontactform.
recordofsupervision;and
closuresummary.
ExamplesoftheseformscanbefoundinSection2.
42. MuchoftheEWOsworkregardingattendanceisrelatedtothelegislativeframework
andcanresultinprovidinginformationforcourtswhenlegalactionistaken.Itis
expectedthatinmostcircumstances,reportsrequestedconcerningaparticularchild
or familywouldbediscussedwiththempriortosubmission.ItisessentialthattheEWO
keepsdocumentaryevidenceofthecaseworkundertaken.
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h. The referral process
43. Duringthetimetabledvisittotheschool,ananalysisofattendancedatashouldbemade.
Theknowledgeoftheabsenceswillbeafactorcontributingtowhetherareferraltothe
EWOisappropriate.BeforeacceptingareferralformoreintensiveworkanEWOshouldlookforevidencethattheschoolitselfhasmadeanefforttoaddresstheattendance
issuethrough:
actionbytheclass/formtutoraspartoftheirday-to-dayduties;
involvementofotherswithintheschool,e.g.Headofyear,Headteacheretc;and
contactwithparents.
44. Referralsmayincludethefollowinginformation:
pupilinformation,e.g.name,age,dateofbirth,year/classgroup,gender,
ethnic origin,languageotherthanEnglish/Welsh,requirementsofanyreligious
afliation,addressifdifferenttoparent(s)/carer(s),etc;
assessmentbyschoolofpupil,e.g.ability,academichistory,areasofdifculty,
reason forreferral,attendancedetailsetc;
parent/carerinformation;includingtheirdateofbirth;
actionstakenbyschooltoresolvedifcultiesandtheoutcomesoftheseactions;
otherrelevantinformationrelatingtocontributoryfactorsandanyotherpersons/
agenciesinvolved;
issuesofriske.g.safeguardingorprotectionissues,aggressionorviolenceinfamily
or bythepupil;and anyotherinformationpertinenttothecase.
45. Referralsshouldbemadewhen:
apatternofirregularattendancehasdeveloped;
aperiodofentrenchednon-attendancehasbecomeestablished;
letterssentbytheschooltotheparentshavemetwithlittleornoresponse;
thereisalackofparentalco-operationinensuringachildsregularattendance;
apatternofpost-registrationtruancyispersistingdespitetheschoolseffortsto
preventit; aparentwithdrawsapupilfromschoolhavingexpressedanintentiontoelectively
educatehim/herathomebuthavenotformallyderegisteredthepupilbyadvising
thelocalauthorityoftheirintentions;
apupiliswithdrawnfromschoolbytheparentswhoaremovingtoanotherarea
andtheschooldoesnotreceivearequestforthepupilsrecordsfromaschoolin
the new area;
apupilhasreachedthepercentageabsencetriggersetbytheschool;
apatternofpersistentlateness(afterthecloseoftheschoolregister)hasdeveloped;
therearespecicandidentiablewelfareissueswhicharepreventingapupilfrom
accessingeducation;and
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wheretherearespecicchildprotectionconcerns,theseshouldbereferreddirectly
to theschoolsChildProtectionOfcer.
The EWO response to a referral
46. ItisgoodpracticefortheEWOtomakeariskassessmentpriortovisitingahome.
Each localauthorityshouldhaveastaffHealthandSafetyProtocolthatoutlinesthis
process.Aspartofthis,theEWOmayberequiredtocollateinformationfromschool
staff,othermembersoftheServiceand,ifappropriate,otheragencies,forexamplethe
SocialServicesDepartment,CAMHS,educationalpsychologist,etc.beforemakingavisit
tothehomeandinterviewingtheparents.Exemplarriskassessmentscanbefoundin
Section2.
47. Homevisitsmakeanimportantandappropriatecontributiontotheeffectivenessofthe
workoftheEWS.Decisionsonhomevisitingshouldbemadetakingintoconsiderationthereasonforthevisit,anassessmentofthelevelandlikelihoodofrisk,andeffective
riskmanagement.Thereisalegalresponsibilityonemployersforthehealthandsafetyof
employeesandallstaffhavearesponsibilityfortheirown,and eachothers,safetyand
well-being.AnexemplarloneworkingpolicycanbefoundinSection2.
48. Thepurposeofthehomevisitvariesfromcasetocasedependingonthecircumstances
oftheworkbeingundertaken.Itisimportantthatstaffacknowledge,andacceptthe
requirementthatcontactwithyoungpeopleandtheirparents/carersintheirhomes
and inotherplacesinthecommunity,representsanappropriateandimportantelement
oftheServicesresponsetofamilies.
Time scale for response
49. Itisgoodpracticetomakeavisitwithin3workingdaysofareferralbeingmadeand
awrittenresponseonthereferralformprovidedanddiscussedwiththeheadteacher/
yeartutorwithin5workingdays.Whenthereisnoreplyatthehomeandnoresponse
hasbeengivenbyparentstoavisitingcard,followupactionshouldbetakeneitherin
writing(copyoflettertobegiventoschool),byaneveningvisitorbycontactingparents
atwork.Ifthereisnosubsequentimprovementinattendanceandifallattemptsto
contacttheparent/carerfail,anofcialwarningnoticecanbeissued.
Issues raised by the family / specic action
50. Whereillhealthisafactor,theEWOwillneedtoconrmthemedicalproblemsidentied
bythechild/parent(particularlyiftherehavebeenseveralreferralsandtheexplanation
forabsencehasbeengivenasillhealth).Ifitisfeltthattheparentshavenotsought
appropriatemedicalhelpandtheabsencepersists,withtheco-operationoftheparents,
areferralshouldbemadetotheschoolnurseorschoolmedicalofcer.Inaddition,
whereanillnesssuchasmildasthma,migraineorperiodpainsaregivenasareason
forfrequentorprolongedabsence,amedicalopinionmayneedtobesoughtfromtheschoolnurseorschoolmedicalofcer.
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51. Wheretheremaybeadditionallearningneedsorproblemsofschoolrefusal/phobia,
the EWOwillneedtoconsultwiththespecialeducationalneedsco-ordinator(SENCO)
to considerareferraltotheappropriateeducationalneedsadvisoryteacherorthe
EducationalPsychologist.TheEWOmayalsoneedtodiscusswiththefamilyandchilda
referraltotheCAMHSorotheragenciesifappropriate.
52. WherethereissocialservicesinvolvementtheEWOwillneedtoliaisewiththe
designatedsocialworkerinordertodetermineareasofresponsibilityandtoconsider
the possibilityofajointvisit.
53. Dependingonage,theEWOmayneedtohavediscussedwiththefamilyandtheschool
otheroptions,suchasanalternativeeducationprovision.
54. TheEWOwillneedtoaddressanyissuesraisedbythechildand/orfamilyregarding
any difcultiesthatmightpreventregularattendance.Examplesofthiscouldbebullying,
curriculumproblems,teacher/pupilrelationships,domesticproblems,nancialhardship,
drug/alcoholmisuseetc.anddrawupaplanofactionwiththeschooltoaddress
the problems.
55. Assessmentisanon-goingprocessandcomplexcasesmayrequireanumberofvisits.
Aftertheinitialassessmenthasbeenmade,theEWO,inliaisonwithschoolstaffand
possiblyotheragencies,willplanacourseofaction.Insomecasesthismayinvolve
workingwithparentstohelpthemtoseetheschoolsviewandvice-versa.Theresolution
ofconictbetweenschoolandhomeandtryingtochangeparentalattitudestowards
education,areregardedasbeingfundamentaltotheEWS.
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Procedures for Non-Attendance
Concerns regardingchilds absence
School sends outreasons for absence
form/letter
Reason acceptable,no further action
No reply/unacceptable reason
for absence
School invites parents/carers to school
Parents do not attend and/or
attendance fails to improve
Referral to EWO
EWO employs strategies to improve
attendance
No improvement
EWO and school call Pastoral Support
Panel (PSP) meeting
No improvement
Request warning letter
Served by EWO and EWS Manager
No improvement
Consult Legal Department
Legal action agreed - standard letter
to parents from Director /
EWS Manager
Medical reasons given
Referral to School
Medical Ofcer SMO
Medical problem
conrmed
No further actionOr
Ongoing monitoring
and review meetings
No medical problem
found - Letter
sent from School
explaining medical
certicate needed in
order to authorise
absence
Attendance improves.
Ongoing monitoring
and review meetings
Attendance improves.
Ongoing monitoring
and review meetings
Check if an Education
Supervision Order or
a School Attendance
Order is appropriate
Legal Action
(Prosecution/ESO/SAO)
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Part 2: Guidance On The Legal Powers To Secure RegularSchool Attendance In Wales
56. Thispartisintendedto:
clarify the roles and responsibilities of all stakeholders involved in
supporting attendance
summarise the range of interventions available to LAs to support and enforce
regular attendance
provide information on the powers available under law for ensuring regular
attendance; and
give examples of good practice, e.g. case management, working with
Magistrates courts.
57. TheEWSundertakesproceedingsonbehalfoftheLA,inrespectofparentswhodonotensuretheirchildrensregularattendanceatschoolorenrolthematschooloreducation
otherwisethanatschool.
58. TheEWSwillmakerelevantassessmentsandactionplansinpartnershipwithpupils,
parent(s),schoolstaffandotherrelevantparties,concerningattendanceatschool
or alternativeeducationalprovision.
59. Theuseoflegalactionagainstparentswillbeconsideredaspartofaplanned
interventionwithfamilies.TheEWSmustensureaccountabilityforcasestakentocourt
andliaisewithschoolsconcerningsuchcases.
60. TheEWSwillofferinformationtoparentsandpupilsaboutrightsandresponsibilities
concerningattendanceandthelegalprocess,duringanyinterventionwiththefamily.
a. Denitions
61. Compulsory school age-UnderSection8oftheEducationAct1996,childrenand
youngpeopleshouldattendschoolfromthestartofthersttermcommencingafter
theirfthbirthday.Theendoftermdatesare31March,31Augustand31December.
AyoungpersonceasestobeofcompulsoryschoolageonthelastFridayinJuneofthe
schoolyearinwhichtheyhavetheir16thbirthday.
62. Thedenitionofparentissetoutinsection576oftheEducationAct1996andincludes:
allnaturalparents,whethertheyaremarriedornot;
anypersonwho,althoughnotanaturalparent,hasparentalresponsibility(asdened
intheChildrenAct1989)forachildoryoungperson;and
anypersonwho,althoughnotanaturalparent,hascareofachildoryoungperson.
63. Havingcareofachildoryoungpersonmeansthatapersonwithwhomthechildlives
andwholooksafterthechild,irrespectiveofwhattheirrelationshipiswiththechild,
is consideredtobeaparentineducationlaw.
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64. Walking Distance-AsdenedbySection3oftheLearnerTravel(Wales)Measure 2008:
a. inrelationtoaprimaryschoolagedchildreceivingeducationatamaintainedschool,
anon-maintainedspecialschool,aPupilReferralUnitorindependentschoolnamed
inastatementmaintainedforthechild,meanstwomiles(3.218688kilometres),andb. inrelationtoasecondaryschoolagedchildreceivingeducationatamaintained
school,anon-maintainedspecialschool,aPupilReferralUnitorindependent
schoolnamedinastatementmaintainedforthechild,meansthreemiles
(4.828032 kilometres).
65. Ineachcasemeasuredbythenearestavailableroutewhichissafetowalkeither
escortedorunescorted.
66. Full-time education-InclusionandPupilSupport47/2006denesfulltimeeducationas:
KeyStage1: 21hours KeyStage2: 23.5hours
KeyStage3/4(IncludingYear10only): 24hours
KeyStage4(Year11): 25hours
b. Roles and responsibilities
67. Ensuringregularschoolattendanceisademandingareaofworkthatdependson
establishingandutilisingcloseworkingrelationshipsbetweenparents,pupils,schools,
theEWSandotherprofessionalsworkingwithchildrenandyoungpeopleinsocial,
educationalandhealthcaresettings.68. Akeyelementofanysuccessfulworkingrelationshipisaclearunderstandingofeach
personsroleandresponsibilities,andassuchthissectionsetsouttoclarifytheroles
and responsibilitiesforthosepeopleengagedwithtacklingattendanceissues.
Parent
69. Undersection7oftheEducationAct1996,theparentisresponsibleforensuringthat
theirchildofcompulsoryschoolagereceivesefcientfull-timeeducationthatissuitable
totheirchildsage,abilityandaptitudeandtoanyspecialeducationalneedsthechild
mayhave.Thiscanbebyregularattendanceatschool,alternativeprovisionorbyelectivehomeeducation(theparentcanchoosetoprovideeducationfortheirchild).
School
70. SchoolsarerequiredundertheEducation(PupilRegistration)(Wales)Regulations2010
totakeanattendanceregistertwiceaday;atthestart of themorningsessionand
onceduringtheafternoonsession.Theaccuracyof the registerisimportantinorder
tosupportanystatutoryinterventionsthatmayberequired.Itshouldbenotedthat
itisanoffencenottomaintainaccurateregisters.Detailedguidanceonattendance
codes(revisedin2010)canbefoundinAnnex4.iof theInclusionandPupilSupportguidance document.
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Local authority
71. Undersection437oftheEducationAct1996,LAshaveadutytoensurethatachildfor
whomtheyareresponsibleisreceivingasuitableeducationeitherbyregularattendance
atschoolorotherwise.FurtherinformationcanbefoundinSection4oftheInclusionandPupilSupportguidancedocument.
72. InSeptember2009theWelshAssemblyGovernmentcommencedSection436Aofthe
EducationandInspectionsAct2006whichrequiresthatlocalauthoritiesmustmake
arrangementstoenablethemtoestablish(sofarasitispossibletodoso)theidentities
ofchildrenresidingintheirareawhoarenotreceivingasuitableeducation.
73. Implementationofthedutyundersection436Ashouldbeintegratedwiththewiderrange
ofdutiesplacedonlocalauthorities,includingtheChildrensAct2004(sections25-29)
andtheWelshAssemblyGovernmentsSafeguardingChildrenWorkingTogetherunder
theChildrensAct2004thataimstoimproveoutcomes,andsafeguardandpromotethewelfareofchildren.Thenewdutyshouldstrengthenandcomplementtheseexisting
duties.Statutoryguidancetohelppreventchildrenandyoungpeoplemissingeducation,
including apracticaltoolkitisavailableontheWelshAssemblyGovernmentswebsite.
http://wales.gov.uk/topics/educationandskills/publications/guidance/missingeducation/?lang=en
c. School Attendance Orders (SAO)
Legislative basis
Sections437-443,EducationAct1996
Application
74. ASchoolAttendanceOrder(SAO)appliesincaseswhenaparentofachildof
compulsoryschoolagefailstoprovethatthechildisreceivingsuitableeducationand
wheretheauthoritybelievesthechildshouldattendschool.ASAOmaybeusedtodirect
aparenttosendtheirchildtoaspeciedschool,andshouldbeusedwhenapupil isnot
onrollatanyschool.Theyarenotintendedforpupilswhoattendirregularly.
75. ASAOcontinuestobeinforceforaslongasthechildisofcompulsoryschoolage.
If thereisacontinuedfailuretoregisterthechild,theLAhastheoptionofreferringthe casetoSocialServicesforconsiderationofcareproceedings.
Process
76. Thereareanumberofcircumstanceswhichmayleadtoachildnotbeingonrollata
school,andthereforetheuseofanSAOmaybeappropriate:
theparenthasnotregisteredtheirchildwithanyprimaryschool;
thereisachangeinschoolphase,suchastransitionfromprimarytosecondaryschool;
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theparenthasfailedtosecureaplaceattheschooloftheirpreferenceandtheyare
facedwithoptionswhichtheyviewtobeunsuitable;
theparenthasfailedintheirdutyunderarrangementsforelectivehomeeducation
andisreluctanttoengagewithanyschool;and
childrenfromanotherLAmoveintotheareaandhavebeentakenofftheschoolroll
intheirpreviousLA.
77. BeforeservinganSAO,EWOsshouldmakeeveryefforttoengagetheparentandhelp
themtogettheirchildrentoschool.Thismayincludemakingsuretheparentisaware
ofthelocationofschoolsinthearea,andexplainingandassistingwiththeadmission
or admissionappealarrangementswherenecessary.
78. If,followingengagement,aparenthasstillnotmadearrangementsfortheirchilds
education,LAsshouldfollowprocedurestoserveanSAO.Thekeystagesinthis
procedurearesummarisedinthefollowingowchart.
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LA issues a notice under s437(1) to parents stating: they are failing in their duty to provide their child withan education; and
they must satisfy the LA that they are providing aneducation at school or otherwise within a specifiedperiod of time (not less than 15 days)
(The 15 days runs from the date notice is served)
Notice expires withoutparents taking action
The LA should write to the parent referring them to thenotice and informing them under section 438 of:
the intention to serve an SAO the parents right to educate their child at home that they have 15 days in which to take action or the
LA will serve an SAO schools suitable for their child to attend; and the parents right to nominate a school to be named on
the SAO
or parental response not
sufficient enough tosatisfy the LA
15 days expire withoutparents taking action
or parental response notsufficient enough tosatisfy the LA
The LA should issue an SAO.The Order should specify which school the child shouldattend. This school must be consulted before it is named inthe order, and the consultation must take account of theSEN code of practice, and admissions code of practice.The parent has 15 days to comply with the order.
15 days expire withoutparents taking action
Parent complies with therequirements of the SAO
LA applies for Education Supervision Order (ESO) under
section 36(9), Childrens Act 1989 (see pg 29)orParents taken to Magistrates Court under section 443,Education Act 1996, for failure to comply with an SAO(see pg 28).
Parent proves they areeducating their child
Parent proves they areeducating their child
or
Parents nominate aschool to be named onthe SAO
or parental response notsufficient enough tosatisfy the LA
No further actionSAO Flowchart
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Format of School Attendance Order:
d. Failure to comply with a School Attendance Order
Legislative basis
Section443,EducationAct1996
Offence
79. BeingaparentofachildofcompulsoryschoolageinrespectofwhomaSAOwasserved
whofailedtocomplywiththerequirementsoftheorder.
Key points
80. Itwillbenecessarytoprovethatthe:
childisofcompulsoryschoolage;
parenthascareofthechild,
parenthasfailedtocomplywiththeorder;
noticesservedundersections437(1)and438,giverecognitiontothetimelimitssetoutintheAct,i.e.theparentisgiven15daysnoticetorespondtoeachnotice;and
noticeswereservedupontheparent.
Asyou[nameofparent]of[addressofparent],beingtheparentofachildofcompulsory
schoolageintheareaoftheAuthority,havefailedtosatisfytheAuthorityinaccordancewiththerequirementsofthenoticeservedonyouundersection437(1)oftheEducation
Act1996bytheAuthorityon[dateofnotice]that[nameofchild]isreceivingsuitable
education,eitherbyregularattendanceatschoolorotherwise:
Andas,intheopinionoftheAuthority,[nameofchild]shouldattendschool:
Youarerequiredtocause[nameofchild]tobecomearegisteredpupilatthe
following school:
[Insertfullnameandaddressoftheschoolandomitthewholeorpartofthefollowing
wordsasthecaserequires]
beingtheschool[speciedbytheAuthority][selectedbyyou][determinedbyadirection
oftheSecretaryofStateforEducationandEmployment][astheschooltobenamedin
thisOrder][speciedinthestatementforthechildundersection324oftheEducation
Act 1996].
FailuretocomplywiththerequirementsofthisOrderisanoffenceunlessyoucanprove
that[nameofchild]isreceivingsuitableeducationotherwisethanatschool.
Signed[nameofofcer]of[nameofAuthority]LocalAuthority.
[Dated]
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Statutory Defences
None
Notes81. Thisoffencecarriesaneuptoamaximumlevelof3onthestandardscale-
currently 1,000aparentforeachabsentchild.
82. Unlessitisrevoked,anSAOcontinuestobeinforceforaslongasachildisof
compulsoryschoolage.Incasesofcontinuedfailuretocomply,afurtherprosecutionis
notpossible;anotherSAOhastobemadebeforeasecondprosecutioncanbebrought.
83. ForparentswhodonotcomplywithaSAO,itwouldbenormalpracticetorefer
thefamilytoSocialServices.Alternatively,anapplicationcanbemadein theFamily
ProceedingsCourtforanEducationSupervisionOrder.
e. Education Supervision Order (ESO)
Legislative basis
Section36,ChildrensAct1989(seealsosection447,EducationAct1996)
Application
84. AnEducationSupervisionOrder(ESO)canbeusedtoensureregularschoolattendance
whetherornotachildisenrolledataschool.Itshouldalsoensurethatachildreceivesfull-timeeducationsuitedtotheirage,ability,aptitudeandanyspecialeducational
needs,andthatparentandchildaregivensufcientsupportandguidance.
85. AnLAhasadutyundersection447oftheEducationAct1996toconsiderapplyingfor
anESObeforeadecisiontoprosecuteparentsforpoorattendanceorfailuretocomply
withanSAOismade.AnLAcanapplyforanESOinsteadoforaswellasprosecuting
theparents.IfaLAchoosesnottoapplyforanESO,thentheyshouldrecord/provide
evidenceoftheconsiderationandthereasonsthatitwasnotfelttobeappropriate.
86. AnESOmakestheLAresponsibleforadvising,supportingandgivingdirectionsto
thesupervisedchildandhis/herparent/sinsuchawayastoensurethatthechildis
properlyeducated.ThesedirectionsmustbedenedbytheLAandshouldaimtobe
helpfulinbringingaboutanimprovementinthechildsattendance(forexamplethe
LAcoulddirecttheparenttoattendmeetingsattheschoolovertheperiodoftheESO,
requireparent/childtokeeptheLAinformedoftheiraddress,orrequiretheparentto
attendparentingclasses).
87. AnESOwillnormallyceasetobeeffective:
afteroneyear;
whenachildbecomesovercompulsoryschoolage;and whendischargedbythecourtfollowinganapplicationfromthechild,parentsorLA.
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88. However,anLAcanapplyforanESOtobeextendedforuptothreeyears,
ifitisthoughtnecessarytoensurethatthechildseducationcontinuestoprogress.
This mustbedonethreemonthsbeforetheESOisduetoexpire.
89. CourtsmaynotmakeanESOwhenthechildisalreadyinthecareoftheauthority.
Process
90. AnESOisafamilyproceedingsmatterasdenedbytheChildrenAct1989,
which regardsthewelfareofthechildasthemainconcernandisacivilmatter.
91. WhenapplyingforanESO,LAsshouldprovidethecourtwithareportonthechild,
whichshouldincludethefollowinginformation:
recordofattendance,whichgivesinformationaboutattendanceoverthe
2 previoustermspriortotheESOapplication,oroveralongerperiodifappropriate.
This shouldbepresentedasapercentagebreakdownofattendance,authorisedand
unauthorisedabsences;
relevantdetailsonthechildscircumstances,including:age,gender,backgroundand
anyparticularphysical,emotionaloreducationalneeds(includingspecialeducational
needsasdenedbySection312,EducationAct1996)thechildmayhave;
assessmentofthecausesofthechildspoorattendance;
medicalassessment,ifrelevant;
indicationoftheattitudesofthechild,parent,schoolandotheragenciestowards
the poorattendance; shortdescriptionoftheeffectofworkalreadyundertaken;
reasonswhyanESOisbeingrequestedandassessmentofhowthechildmight
be disadvantagedshouldanESOnotbemade;
outlineoftheintendedintervention,includingtargetsfortimingandmonitoring;and
programmeoftheintendedwork,indicatingroleofchild,parentsandschool,
with anindicationofhowtheLAbelievesthiswillhelptoresolvetheproblem
and ensurethatthechildattendsschoolregularly.
92. Thecourtmustalsoconsiderthechildswelfareneeds(alistoftheseisgivenin
section 1(3)oftheChildrenAct1989),andthewishesandfeelingsofthechildneed
to besoughtandtakenintoconsideration.
93. AnESOshouldbereviewedatregularintervals,throughdiscussionbetweensupervising
ofcersandtheirmanagers.
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f. Failure to ensure regular school attendance - section 444(1)
Legislative basis
Section444(1),EducationAct1996asamendedbysections3and4oftheLearnerTravel(Wales)Measure2008.
Offence
94. Beingaparentofachildofcompulsoryschoolagethatisregisteredataschoolandwho
failstoensurethattheirchildregularlyattendsthisschool.
Key points
95. Itwillbenecessarytoprovethatthe:
childisofcompulsoryschoolage
childisregisteredtotherolloftheschool
parenthascareofthechild;and
parenthasfailedtoensurethatthechildregularlyattendsthisschool.
Statutory Defence
96. Achildshallnotbetakentohavefailedtoattendwherethe:
pupilwasabsentwithleavegrantedbyanauthorisedrepresentativeoftheschool
pupilwaspreventedfromattendingbyreasonofsicknessofotherunavoidablecause
absenceoccurredonadayexclusivelysetasideforreligiousobservancebythe
religiousbodytowhichthepupilsparentsbelongs;and
theLAhasfailedinitsdutyundersection3oftheLearnerTravel(Wales)Measure
2008tomakesuitabletransportarrangementsinrelationtothechildtofacilitate
theirattendanceeverydayattheplacetheyreceivertheireducation,orhasfailedin
itsdutyundersection4ofthesameMeasuretomakeothertravelarrangements.
97. Therearethreepossiblecircumstanceswhenthisnalbulletpointwouldapply.Therst
relatestoparentalchoiceofschool.Whereparentschoosetosendtheirchildtoaschool
otherthantheirlocalcatchmentschool,LAsassumetheparentbecomesresponsiblefor
thechildstransportandtheirboarding/accommodation.Iftheparentwishestochange
schooltothatofthelocalcatchmentschoolatalaterdate,theLAwillseektoenable
thechildtoregisteratthatschool.
98. Thesecondrelatestopermanentlyexcludedpupils.Throughbecomingpermanently
excluded,achildcouldberequiredtoattendaschoolotherthanthelocalcatchment
school.LAsinformparentsthattheybecomeliableforfundingtransportationtoand
fromschoolinthiscircumstance.
99. Thethirdrelatestoprimaryschoolagedpupilswherethelocalcatchmentschoolhaslegallyimposedlimitationsonpupilnumbers/classsizes.Thenearestprimaryschool
may notbeabletoaccommodatethepupilduetothelimitations.
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100.ThespecialpositionofTravellerfamiliesisrecognisedinlaw(section444(6),
Education Act1996).Travellerparentsareprotectedfromconvictioniftheparent
can demonstrate:
heorsheisengagedinatradeorbusinessofsuchanatureasrequirestravelfrom
placetoplace
thechildhasattendedataschoolasaregisteredpupilasregularlyasthenature
of thattradeorbusinesspermits;and
thechild,whereagedsixorover,hasattendedschoolforatleast200sessions
(half days)duringtheprecedingtwelvemonths.
Notes
101.Section444(1)createsanabsolute/strictliabilityoffencewhichcarriesaneupto
amaximumlevelof3onthestandardscale-currently1,000aparentforeach
absent child.
102.Offencesundersection444aresummaryonlywhichmeanstheyaretriedbefore
magistratesandthereisnorecoursetoahearinginhighcourt.
g. Failure to ensure regular school attendance - section 444(1A)
Legislative basis
Section444(1A),EducationAct1996(asamendedbysection72,CriminalJusticeand
Court ServiceAct2000).
Offence
103.SinceMarch2001therehasbeenanaggravatedoffencewhereaparentofachild
ofcompulsoryschoolagewho,knowingthattheirchildisfailingtoattendregularly
at school,failswithoutreasonablejusticationtocausetheirchildtoattend.
Key points
104.Itwillbenecessarytoprovethatthe:
childisofcompulsoryschoolage childisregisteredattheschool
parenthascareofthechild
parent knows the child is failing to attend regularly; and
parent fails without reasonable justication to cause their child
to attend regularly.
Statutory defences
Asforsection444(1)
105.Itisalsoadefencetoshowthatheorshehadreasonablejusticationforhisorher
failuretocausethechildtoattendschoolregularly.
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Notes
106.Underthishigheroffenceawarrantcanbeissuedcompellingaparenttoattendcourt.
107.Section444(1A)createsanabsolute/strictliabilityoffencewhichcarriesaneuptoa
maximumlevelof4onthestandardscale-currently2,500aparentforeachabsentchild,orimprisonmentuptoamaximumof3months,orboth.
108.Ifthecourtndsaparentnotguiltyofanoffenceundersection444(1A),butissatised
thataparentisguiltyofanoffenceundersection444(1),thecourtmayndtheparent
guiltyofthatoffence.
109.Wheretheprosecutionisbeingbroughtundersection444(1A),thelocalauthority
mayaskthecourttoissueawarrantinordertocompeltheparenttoattendcourt.
Thelegaladvisorincourtshouldbeconsultedastotheproceduretobefollowedin
eachparticularcase.Thecourtmaychoosetoissueawarrantwithorwithoutbail.If a warrantisissuedwithbailthenthedefendantisarrestedbythePoliceandgranted
bailontheconditionthattheyattendcourtonthenewdateofthehearing.Ifawarrant
isissuedwithoutbail,thenthedefendantisarrestedandplacedbeforethenextavailable
courtwhereadecisionistakenastohowtoproceedwiththecase.
h. Failure to ensure regular attendance at alternative provision -section 444(ZA)
Legislative basis
110.Section444(ZA),EducationAct1996(asinsertedbysection116,EducationAct2005).
Thisextendsthecircumstancesinwhichaparentcanbeprosecutedundersection
444forfailingtoensurethattheirchildattendsthealternativeprovisionthathasbeen
madeforthechild.Theparentmustrsthavebeengivennoticeinwriting,orbyother
effectivemeans,ofthealternativeprovision.
111.Section29(3),EducationAct2002(asamendedbysection115,EducationAct2005)
givesthegoverningbodythepowertodirectapupiltoattendalternativeeducational
provisionifthepupilisnotinattendancebutisregisteredattheschool,e.g.pupils
excludedforaxedperiodorapupilstillontheregisterawaitingappealfollowing
a permanentexclusion.
Application
112.Whereachildisofcompulsoryschoolage,butisnotregisteredatanyschooland:
anLAhasmadearrangementsundersection19ofthe1996Actfortheprovisionof
educationforthechildotherwisethanataschool,oratthechildshome;and
noticeinwritingofthearrangementshasbeengiventothechildsparents.
113.Iftheparentofthechildthenfailstoensureregularattendanceatthealternative
provision,thentheyareguiltyofanoffenceundersection444.
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114.Whereachildofcompulsoryschoolagehasbeenexcludedfromarelevantschool,and:
remainsforthetimebeingaregisteredpupilattheschool
isrequiredbytheappropriateauthorityfortheschooltoattendaplaceoutside
schoolpremisesforthepurposeofreceivinganyinstructionortraining;and noticeinwritingoftherequirementhasbeengiventothechildsparents.
115.Iftheparentofthechildthenfailstoensureregularattendanceatthisalternative
provision(nottheschooltheyareonrollat),thentheyareguiltyofanoffenceunder
section444.
116.However,itisadefencetosuchproceedingsifthechildisreceivingsuitableeducation
otherwisethanbyregularattendanceataschoolorataplacementionedin
section 444ZA(1).
Notes
117.Section444(ZA)providesforprosecutionsundersection444(1)and444(1A),whichare
coveredindetailonpages21-23.
118.Methodsinwhichnoticescanbeservedaredenedinsection572oftheEducation
Act 1996:
a) bydeliveringittothatperson,or
b) byleavingitattheirusualorlastknownplaceofresidence,or
c) bysendingitinaprepaidletteraddressedtotheparentatthatplace.
119.Howeversection444(ZA)alsoprovidesthatnoticeofalternativeprovisionarrangements
maybegiventoachildsparentsbyanyeffectivemeans.
i. Parenting Contracts
Legislative basis
120.Section444(1)oftheEducationAct1996providesthataparentcommitsanoffenceif
hisorhercompulsoryschoolagechildwhoisaregisteredpupilfailstoattendschool
regularly.ItisthecommissionofthatoffencethatcantriggertheuseofaParentingContract.Theproofrequiredthattheoffencehasbeencommittedisthesameas
thatwhichwouldberequiredforaprosecutionforthestrictliabilityoffenceunder
section 444(1)oftheEducationAct1996.
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Application
121.Ifapupilfailstoattendschoolregularlyorisexcludedfromschool,theLAorschoolmay
considerwhetheritwouldbeappropriatetoofferaParentingContracttotheparent.
A ParentingContractcanbeissuedwheretheschoolorLAhavereasontobelievethatapupilhasbehavedinsuchawayasto:
cause,orbelikelytocause,signicantdisruptiontotheeducationofotherpupilsor
signicantdetrimenttothewelfareofthatpupilorotherpupilsortothehealthor
safetyofanystaff;or
formpartofapatternofbehaviourwhichifcontinuedcouldleadtothepupilbeing
excluded.
122.Thebehaviourinquestioncantakeplaceatschoolorelsewhereifreasonableforthe
schooltoregulateit.Whatisreasonablewilldependonallthecircumstancesandwillbe
setoutintheschoolsbehaviourpolicy
123.AParentingContractisaformalwrittenagreementbetweenaparentandeithertheLA
orthegoverningbodyofaschoolandshouldcontain:
astatementbytheparentthattheyagreetocomplyforaspeciedperiodwith
whateverrequirementsarespeciedintheContract;and
astatementbytheLAorgoverningbodyagreeingtoprovidesupporttotheparent
forthepurposeofcomplyingwiththerequirementsoftheContract.
124.EntryintoaParentingContractisvoluntary.TheparentcannotbecompelledtoenterintoaParentingContractiftheydonotwishtodoso.Equally,thereisnoobligationon
theLAorgoverningbodytoofferaParentingContractincasesofnon-attendanceor
exclusion.
125.ParentingContractswill,however,oftenbeausefultoolinidentifyingandfocusingon
theissuesbehindthenon-attendanceormisbehaviourandindevelopingaproductive
relationshipwithparentstoaddresstheseissues.
126.TheLAorgoverningbodyofaschoolshouldtakeintoaccountanumberofissues
beforedecidingtoenterintoaParentingContract.Theseincludewhetherotheragencies
arealreadyinvolvedinworkingwiththepupilandfamily,whetheraParentingContract
wouldcomplementorjoin-upthiswork,thetypeofsupportthatmightbehelpfulto
theparentandhowaParentingContractarrangedbytheLAorgoverningbodywillbe
funded.
Notes
127.ThepartyenteringintotheParentingContractwiththeparent(namelytheLAorthe
governingbodyofaschool)isresponsibleforbearingthecostsofanysupportprovided
underaParentingContractalthoughthesecostsmayberecoveredfromanotherbody
e.g.aschoolmayincurthecostsbutthesewillberecoveredfromthelocalauthority.
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128.ThereisnoliabilityintortorcontractforbreachingaParentingContract.
129.However,incasesofexclusionfromschool,failurebytheparenttocomplywiththe
ContractwouldbearelevantconsiderationfortheLAindecidingwhethertoapplyfor
aParentingOrderand,indecidingwhethertomakeaParentingOrder,thecourtmusttakeintoaccountanyfailurebytheparenttocomplywiththerequirementsspeciedin
aParentingContract.
130.Similarly,incasesoftruancy,failuretocomplywithaContractmayleadtheLAto
considerprosecutingtheparentforfailingtoensuretheirchildattendsschoolregularly
inwhichcaseevidencethattheparentfailedtocomplywiththeContractcouldbe
presentedtothecourt.
131.Itisthereforeimportantthatanybreachofthecontractisrecordedsothatitcanbe
presentedtothecourtwhenitbecomesnecessary.
132.MoredetailedguidanceonParentingContractscanbefoundinAnnex3iofInclusion
andPupilSupport.
j. Parenting Orders
Legislative basis
133.Section20oftheAnti-socialBehaviourAct2003andsections97to99oftheEducation
andInspectionsAct2006setoutprovisionsforlocalauthoritiestoapplyforParenting
Ordersforexclusionfromschool,seriousmisbehaviourandtruancy.
Application
134.ThecourtmaymakeaParentingOrderinanumberofcircumstances,including
followingaconvictionforanoffenceundersection443or444oftheEducationAct
1996.The courtmustbesatisedthattheOrderwouldbedesirableintheinterestsof
preventingthecommissionofanyfurtheroffenceunderthosesections.TheParenting
Orderisanancillaryorderandcannotbeasentenceinitsownright-thereforeifgiven
willbeinadditiontoanyotherpenaltyimposed.
135.BeforemakingaParentingOrderonachildoryoungpersonunder16,thecourtmustobtainandconsiderinformationaboutthefamilyscircumstancesandthelikely
impactofanOrderonthosecircumstances.Thisisusuallyintheformofawrittenor
oralreportpreparedbytheEWSasappropriate.TheEWSshouldincludethisincourt
report information.
136.ParentingOrdersaredesignedtohelpandsupportparentsinaddressingtheir
childsproblembehaviour.Theyareintendedtobeameansofsupportratherthan
a punishment.
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137.TheParentingOrderconsistsof2elements:
Arequirementontheparenttoattendcounsellingorguidancesessionswhere
theywillreceivehelpandsupportindealingwiththeirchild.Thisisthecoreofthe
ParentingOrderandlastsfor3months.
Arequirementontheparenttocomplywithsuchrequirementsthatarespecied
intheorder.Thiscouldincludeensuringthatthepupilattendsschooleverydayor
arebackhomebyacertaintime.Section8(4)oftheCrimeandDisorderAct1998
providesthatthiselementcanlastupto12months.However,nosuchrequirements
needbespeciediftherehasbeenapreviousorderinrespectoftheparent.
138.TheOrdercanbemadeononeorbothparentsandtheirconsentisnotrequired.
139.ParentingOrderscanbemadeagainsttheparentofthechildinthecareoftheLocal
Authority,butcareshouldbetakenthatthisisappropriate.Thecourtshouldonly
considerthiswhenitbelievesthattheparentsorguardianswouldbenetfromthehelpandsupportoffered,inthatitmayleadtothechildeventuallybeingableto
return home.
140.AllParentingOrdersaresupervisedbyaresponsibleofcer.Theresponsibleofcer
meansoneofthefollowingwhoisspeciedintheordernamely:
a. anofcerofalocalauthority,andwiththeirconsent
b. aheadteacherorapersonnominatedbyaheadteacher.
141.Itistheroleoftheresponsibleofcertoarrangeprovisionofcounsellingorguidance
sessionsandensurethattheparentcomplieswithanyadditionalrequirements.The counsellingandguidancesessionslastforupto3monthswithnomorethan
onesessionaweek.Theycanbedeliveredonaone-to-onebasisorinagroup
format.The majorityofOrdersaredeliveredthroughgroupsasthisoffersparents
the opportunitytogainsupportfromotherparentsexperiencingsimilarissues.
142.Additionalrequirementsmayrunforupto12monthsalongsidetheparentingsupport
andguidance.Theycouldincludethattheyoungperson:
attendsschoolsorothereducationalprovision;
avoidscontactwithotherspecicchildren;
avoidsvisitingcertainareasatcertaintimes;
isbackhomebyacertaintime;and
requiresparenttoattendaspecicprogrammesuchasangermanagement.
143.OnceaparenthassuccessfullycompletedanOrder,furthersupportcanbeoffered
on a voluntarybasisifappropriate.
144.Iftheparent,withoutreasonableexcuse,failstocomplywithanOrder,thenbreach
proceedingsmustbeconsidered.Theresponsibleofcermusttakeallnecessaryactionto
contacttheparentandseektore-engagethem.However,ifthisfailstheparentmustbetakenbacktotheMagistratesCourtandprosecutedforbreachoftheOrder.There will
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beahearingtodetermineguiltand,ifconvicted,theparentwillbeliabletoanenot
exceedinglevel3andthecourtmayalsoconsideranyothersentenceavailablefora
non-imprisonableoffence.
k. Amendments to legislation relating to Parenting Contracts andParenting Orders
145.TheWelshAssemblyGovernmentintroducedParentingContractsfortruancyand
exclusionandParentingOrdersforexclusioninMay2006asanotherintervention
availabletopromotebetterschoolattendanceandbehaviour.Theprimarylegislation
iscontainedintheAnti-SocialBehaviourAct2003withfurtherdetailsetoutinthe
Education(ParentingOrders)(Wales)Regulations2006.
146.From5thJanuary2011sections97and99oftheEducationandInspectionsAct2006
extendtheavailabilityofParentingContractsandParentingOrdersinrespectofmisbehaviourin school.
Section97extendstheuseofparentingcontractssothattheymaybeusedfor
seriousmisbehaviouraswellasexclusion.Italsoclariesthatthebehaviourin
questioncantakeplaceatschool,orelsewhereifreasonablefortheschoolto
regulateit.
Section99addsarequirementforcourtstotakeintoaccountthefailureofparents
toattendareintegrationinterviewinconsideringwhethertoissueaparenting
order. It alsoallowsregulationstosetoutarrangementsforcross-borderor
cross-schoolpupils.
147.Inadditiontothisfrom5thJanuary2011newregulationsonParentingOrdersand
ParentingContractswillbringthefollowingextraprovisionsintoforce:
Wherethepupillivesinoneauthority,butattendsschoolatanother,thelocal
authoritywherethepupilattendsschoolhasthepowertoapplyforaParenting
OrderorenterintoaParentingContract.Theauthorityofresidencecoulddosowith
agreementfromtheeducatingauthority.Inthecaseofapermanentlyexcludedpupil
theauthorityofresidencehasthepowertoapplyforParentingOrderorenterinto
aParentingContract.Inthiscasetheeducatingauthoritymayalsodosowiththe
agreementfromtheauthorityofresidence. Whereapermanentlyexcludedpupilhasmovedschoolsthenewschoolhasthe
powertoenterintoaParentingContracts.Theoriginalschoolmayalsodosowith
theagreementofthenewschool.
WheremorethanonebodyhasthepowertoapplyforaParentingOrderorenter
intoaParentingContract(e.g.schoolandlocalauthority)theoneproposingto
exercisethepowermustconsultwitheachotherbody.
Whereanorganisationisproposingtousethesepowerstheymustrequest
informationfromanyotherbodywhichmaybeabletoalsousethepowerstodecide
whetherthisisthebestcourseofaction,toavoidmultipleapplicationsorcontractsandtodecidewhetheranorderoracontractispreferable.
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ThecostsoftheParentingOrderorContractisbornebythebodymakingthe
applicationorenteringintotheContractalthoughthesemayberecoveredfrom
anotherbodybyagreement.Forexampleaschoolmayincurthecostsbutthesewill
berecoveredfromthelocalauthority.
l. Prosecution guidance and policies
148.Prosecutionshouldbeaplannedinterventioninthosecaseswhereitisidentiedtobe
appropriate.Itisatoolwhich,ifappliedconsistently,canservetoprotectachildsright
toeducationandoffersawayofengagingparentswhohavefailedtoco-operatewith
previousinterventionstoimproveattendance.
149.LAshavearesponsibilitytoensurethattheirprosecutionprocessistransparent,
consistentandfair.Thisshouldtaketheformofaclearlywrittenstatementofhowthe
LAwilladdressnon-attendance,whichshouldberegularlyupdatedandavailabletoallinterestedparties.
150.WhilsteachLAwillhaveadistinctpolicydevelopedtoaddresstheirlocalcircumstances,
aprosecutionpolicyshould:
provideaclearstatementoftheLAsdutiesandresponsibilities;
incorporatesafeguardstopromoteafairandconsistentservice;
incorporateworkpractices;
identifyprioritiesforintervention;
provideaclearstructurefordecision-making,includingthecriteriaandtimescalefor prosecution;
coverarrangementsforsupervision,reviewandmonitoringcasework;
incorporatedetailsofmulti-agencyapproaches;
addressissuesofcondentiality,equalityofopportunity,therightsofparentsand
children;and
identifyarrangementsformonitoringandevaluationofpracticesandprocedures.
Formally Notifying a Parent
151.Formalwarnings(usually2)aresenttoparentsbeforeproceedingsarecommenced,
butthisisnotattheoutsetofEWScasework.Thelegalimplicationsofnon-school
attendanceshould,ofcourse,bemadeclearatanearlystageofintervention,butcare
shouldbetakentoavoidprejudicingacollaborativeapproachtounderlyingproblems.
m. Decision to prosecute
152.TheLAmustbesatisedthatprosecutionisjustiedintermsoftheAttorney-Generals
GuidelinesforCrownProsecutors.(TheCodeforCrownProsecutorscanbefoundat:
www.cps.gov.uk/publications/prosecution).
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153.TheCrownProsecutionService(CPS)providesguidancetocrownprosecutors,setting
outthegeneralprincipleswhichshouldbeappliedwhenmakingdecisionsabout
prosecutionstoensurethattheyarefairandconsistent.
154.TheCPSadvisesaprosecutionislikelytobeappropriateif: aconvictionislikelytoresultinasignicantsentence;
thedefendantwasinapositionofauthorityortrust;
thereisevidencetheoffencewaspremeditated;
thedefendantspreviousconvictionsorcautionsarerelevanttothepresentoffence;
thedefendantisallegedtohavecommittedtheoffencewhileunderanorderof
the court;
therearegroundforbelievingthattheoffenceislikelytobecontinuedor
repeated; and
theoffence,althoughnotseriousinitself,iswidespreadintheareawhereit
was committed.
155.Aprosecutionislesslikelytobeneededif:
thecourtislikelytoimposeanominalpenalty
thedefendanthasalreadybeenmadethesubjectofasentenceandanyfurther
convictionwouldbeunlikelytoresultintheimpositionofanadditionalsentence
or order,unlessthenatureoftheparticularoffencerequiresaprosecution
therehadbeenalongdelaybetweentheoffencetakingplaceandthedateof
the trial;and
thedefendantiselderlyoris,orwasatthetimeoftheoffence,sufferingfrom
signicantmentalorphysicalillhealth,unlesstheoffenceisseriousand/orthere
is a realpossibilitythatitmayberepeated.
156.Assuch,anLAmustbesatisedthatanyprosecutionisjustiedintermsoftheabove
guidelines.Theyshouldalsoconsiderfactorssuchas:
Howpooristheattendancelevel?
Isthereahistoryofpoorattendance?
Aretheregenuinereasonsfortheabsence?e.g.Bullying,bereavement,emotional issues,medicalissues.
Havetheschoolauthorisedtheabsence;ifsoforwhatreason?
Aretheparentsawareoftheabsence?
Howmuchcontrol/inuencedotheparentshaveoverthechild?
Howco-operativearetheparents?
Whatarethefamilycircumstances?
Whatisthechildsviewandhowfarshouldthisbetakenintoaccount
(e.g.ageofchild).
Whatworkhasalreadybeenundertakenwiththefamily?Howeffectivehasthisbeen?
Istheresufcientevidencetosupportaprosecution?
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Wouldaprosecutionresolvetheattendanceproblem?
Wouldprosecutionbeinthepublicinterest?
n. The Police and Criminal Evidence Act 1984 (PACE)
157.ThePoliceandCriminalEvidenceAct1984(PACE)setsouttheprinciplesoffairness
andopennessintheinvestigationofcrime.Incarryingouttheirdutiesininvestigating
andprosecutingparentsfornon-attendanceoftheirchildren,LAswillfallwithinPACE
whenevertheyinterviewaparentaboutthenonattendanceoftheirchildwithaview
toobtainingevidenceforaprosecution.IfaLAdoesnotcomplywiththerelevant
provisionsofthePACECodesofpractice,evidenceobtainedinaninterviewmaybe
inadmissibleincourtandhenceputtheentireprosecutionatrisk.ByfollowingPACE,
the LAcaninvitethecourttodrawaninferenceifaparentraisesmattersintheir
defencelaterintheproceedingswhichtheyfailedtoraiseatinterview.
158.LAsshouldtaketheirownlegaladviceabouttheuseofPACEinspeciccases.
159.FormoreinformationaboutPACEandlatestversionsofthePACEcodesgoto
http://police.homeofce.gov.uk/operational-policing/powers-pace-codes/pace-code-intro/
FurtherguidanceontheuseofPACE
160.PACEcameintoeffecton1stJanuary1986andsetsouttheconductthatPoliceorpersons
otherthanPoliceOfcerswhoarechargedwiththedutyofinvestigatingoffencesor
chargingoffendersshouldobservewhencarryingouttheseduties(section69(9)Police
andCriminalEvidenceAct1984).ThisincludesEWOsandotherLAofcialsinvolvedin
investigatingandprosecutingparentsundersection444oftheEducationAct1996.
161.PACEcodesofpracticeareissuedinrelationtopowersconferredundertheAct,
which explainhowtheprinciplesshouldbeinterpretedinpractice.Inthecaseof
irregularschoolattendance,thecodeswhichEWOsandLAsneedtobeawareofare:
162.CodeC-inrelationtointerviewingsuspects-particularly,theparentshould:
understandthebasisoftheinterview;
bemadeawareofhisorherrights(tosilenceandlegalrepresentation);and
haveaccesstolegaladvice,interpretersandappropriateadults(e.g.whentheparent
hasmentalhealthproblems)asappropriate.
163.Theinterviewshouldalsoberecordedeitherontapeorbywrittennote.
164.CodeE-Thissetsouttheprocedurestobefollowedinthetaperecordingofinterviews
withsuspectsandthehandlingandsecurityoftapes.
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When should local authorities use PACE?
165.ThePACEcodesofpracticesetoutaframeworkofconductinganinvestigationtakinginto
accountprinciplesoffairnessandequity,andshouldbeviewedasbestpractice.As such,
wewouldexpectLAstoworkwithinthespiritofPACEwheninvestigatingoffencesfornon-attendance.Thisensuresthatparentsareclearabouttheoffence,understandtheir
rightsandresponsibilitiesandhaveaccesstosupportwhereappropriate.
166.LAsshouldtakelegaladviceaboutwhethertoapplythePACEActtocaseworkand,
ifsothepointatwhichitshouldbeapplied.However,asaguide:
Prosecutionsundersection444(1)
167.UnderthissectiontheLAneedstoshowthatthechildfailedtoattendregularlyatthe
schoolwithoutauthorisation.
168.Thisprosecutionreliesondocumentaryevidenceprovidedfromtheschool,
the attendancerecord,andassuchthereisnoneedtoobtainevidencethrough
interviewingtheparent,ortousesuchevidenceincourt.
169.Therefore,whilstitisgoodpracticetoactinaccordancewiththePACECodeofPractice,
theLAdoesnotneedtofollowthecodeswhenprosecutingunderthissection.
170.However,whereparentsareaggressiveoruncooperative,theuseofPACEwould
beappropriate.Ifcircumstancesshouldarisewhere,forwhateverreason,itwasnot
possibletocautiontheparent(s),prosecutionshouldgoaheadwithoutthecautionbeing
administeredandtheEWSwouldthenfollowtheagreedPACEguidelines.
Prosecutionsundersection444(1A)
171.UnderthissectiontheLAneedstoshowboththatthechildfailedtoattendregularly
attheschoolwithoutauthorisation,andthattheparentknewandfailedwithout
reasonablejusticationtocausethechildtodoso.
172.Section444(1A)proceedingsareonlyusedwherepreviousprosecutionshavefailedand
henceitcanthereforebeassumedthattheparent(s)areawarethattheirchildisnot
regularlyattendingschool.AspecicnalwarningisthenissuedbeforeSection444(1A)proceedingsarecommenced.
173.LAsmaywellneedtoconductinterviewswiththeparent,inordertoestablishthe
extentoftheirknowledgeofthenon-attendanceandanyreasonablejusticationfor
notcausingtheirchildtoattend.ShouldtheLAwishtouseevidenceobtainedduring
theseinterviewsaspartoftheircaseforaprosecutionthenitshouldhavebeenobtained
withinthePACEcodesofpractice.
174.WhilstfailuretocomplywiththecodesissuedunderPACEwillnot,initself,makeacase-
workerliabletocivilorcriminalproceedings,itcouldleadtotheexclusionofevidence
obtainedinbreachofthecodesandthusjeopardisetheentireprosecution.
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Complying with PACE
Code C - What you need to know
Basis of Interview
175.Beforeaskinganyquestionsrelatingtothepotentialprosecution,theEWOshould
explaintotheparentthebasisonwhichtheinterviewisbeingconductedi.e.thattheLA
isconsideringprosecutingtheparentunders444(1A)EducationAct1996.Theyshould
explainwhattheoffenceisandcheckthattheparentunderstandswhathasbeensaid.
Right to leave and right to legal representation
176.Theparentshouldalsobemadeawarethattheyarenotbeingheldunderarrestandare
freetogoatanytime.Theyshouldalsobeinformedoftheirrighttoindependentlegalrepresentationandadviceattheinterviewiftheysowish.Parentsshouldtaketheirown
legaladviceastowhetherlegalaidmaybeavailabletothem.
Caution
177.TheEWOorLAofcialconductingtheinterviewshouldalsocautiontheparentasfollows:
Youdonothavetosayanything,butitmayharmyourdefenceifyoudonotmention
whenquestionedsomethingwhichyoulaterrelyonincourt.Anythingyoudosaymay
begiveninevidence.
178.TheEWOshouldsatisfyhimselforherselfthattheparentunderstandstheeffectofthe
caution.Ifthereisanybreakintheinterview,theparentmustberemindedthattheyare
stillundercaution.Thiswouldalsoapplyifforexamplethecautionisincludedinaletter
invitingtheparenttothemeeting.
Interpreter
179.IfaparenthasdifcultyinunderstandingEnglishandwishestohaveaninterpreter,
LAs shouldarrangeforasuitableinterpretertobepresentattheinterview.
Appropriate Adult
180.Insomecases,theremaybeconcernsovertheparentsmentalhealth.IftheLA
believesthattheparentissufferingfromamentaldisorderorisotherwisementally
vulnerable,thecautionshouldbegivenandtheinterviewconductedinthepresenceof
anappropriateadult.Thismaybetheadultwhoisnormallyresponsiblefortheircare,
a mentalhealthworkerorsocialworkerexperiencedindealingwithmentallyvulnerable
peopleoranotherresponsibleadult,butmustnotbesomeoneemployedbythelocal
authorityinthesamedepartmentastheinterviewingofcer
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181.Aninterviewshouldnotbecarriedoutif:
theparentismentallyvulnerableandthereisnoappropriateadultavailable;
theparentisundertheinuenceofalcoholordrugs;and
theparentissufferingfromillness,ailmentorotherconditionwhichmayimpairtheirabilitytounderstandandanswerthequestionsputtothemininterview.
Record of the interview
182.Anaccuraterecordmustbemadeofeachinterviewstatingtheplace,timeatwhich
it beginsandendsand(ifdifferent)thetimetherecordismade.
183.Ifpossible,theinterviewshouldbetaperecorded(seeguidanceoncodeEbelow).
However,thiswilloftennotbepossibleforLAs.Inmostattendancecasesinterviews
betweentheLAofcerandtheparentwillberecordedthroughawrittennote.
184.Ifthisisthecase,aspreciseanoteaspossibleshouldbetaken(preferablyverbatim)
duringtheinterviewandtheparentshouldbegiventheopportunitytoreadthenote
andtosignittoverifythatitiscorrectortoindicatewhichareasheorsheconsidersit
tobeinaccurate.Thisrequiresthepresence,wheneverpossible,ofasecondLAofcer
to takethenote.
185.Ifaninterpreterispresent,heorsheshouldmakeacontemporaneousnoteofthe
interviewinthelanguageofthepersonbeinginterviewed.Sufcienttimeshouldbe
allowedfortheinterpretertomakeanoteofeachquestionandansweraftereachhas
beenputorgivenandinterpreted.
Code E - What you need to know
186.LAsoftenmaynothaverecordingequipmenttotaperecordinterviewswithparents.
If theydonothaveaccesstotheequipmentorataperecordedinterviewisimpractical,
LAsshouldsimplyensurethatanaccuratewrittennoteismadeoftheinterviewasset
outabove.However,ifLAsareabletotaperecordtheinterview,theyshouldfollowthe
guidelinessetoutbelow.
187.Ifaninterviewisrecorded,itshouldberecordedopenlyandpreferablyontwotapes
onadoublecassettedeck.Theinterviewershouldstatethattheinterviewisbeing
recorded.Thetapesshouldbecleanandunwrappedandloadedintothemachine
in the parents presence.
188.Oncerecordinghasstarted,theinterviewershould:
statetheirnameandpositionandthenameandpositionofanyother
interviewer present;
asktheparentandanyotherpartypresenttoidentifythemselvesforthetape;
statethedate,timeandplaceoftheinterview;and
conrmthattheparentwillbegivenanoticeaboutwhatwillhappentothetapes.
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189.Iftheparenthasimpairedhearing,awrittennoteoftheinterviewshouldalsobemade.
Iftheparentobjectstotheinterviewbeingtaperecorded,theyshouldbeaskedto
recordtheirobjectionsonthetapebeforeitisswitchedoff.Iftheywillnotrecordtheir
objections,theinterviewershouldrecordwhattheyunderstandthesetobeonthetape
instead.Awrittennoteoftheinterviewshouldthenbemadeassetoutabove.
190.Thetakingofanybreakandreasonforitshouldberecordedonthetape.Afterany
break,theparentshouldberemindedthattheyarestillundercautionorthecaution
shouldbegivenagain.
191.Attheendoftheinterview,theparentshouldbeaskediftheywishtoclarifyoradd
anything.Thetimeshouldberecorded,thetaperecorderswitchedoffandonetape
(the mastertape)sealedwithalabeltobesignedbytheinterviewer,parentandany
thirdparty(e.g.solicitororappropriateadult).Ifthereisasecondtape,thiscanbe
used asaworkingcopy.
192.Theparentshouldthenbehandedanoticeexplaininghowthetaperecordingwillbe
used[e.g.asevidenceincourt],arrangementsforaccesstothetape[e.g.byattending
at LAofcesorrequestingacopyofthetapebypost]and,ifitisdecidedtoproceed
withtheprosecution,acopyofthetapeassoonaspracticable.Copiesshouldbemade
fromtheunsealedtape(theworkingcopy).Whereitisonlypossibletorecordonone
tape,acopymaybetakenfromthesealedtape,butarecordmustbemadeofthetime,
date,place,personspresentandactionstakenwhenthesealwasbroken[e.g.tape
placedintaperecorderandplayedsothatcopycouldbemade].
o. Disclosure
193.TheCriminalProcedureandInvestigationsAct1996(CPIA)setsoutcertainobligationsof
disclosureandissupportedbyacodeofpractice(CriminalProcedureandInvestigations
Act1996,CodeofPractice),whichisprimarilyconcernedwiththerecordingand
retentionofmaterialandevidence.
194.EWOandLAstaffinvestigatingorprosecutingunderSection444oftheEducationAct
1996shouldactinaccordancewiththeCriminalProcedureandInvestigationsAct1996
(CPIA)andtherelevantprovisionsoftheCPIAcodeofpractice.
195.EWOsandLAStaffinvolvedinprosecutionsforschoolnon-attendanceshouldalsoactin
accordancewiththeAttorneyGeneralsGuidanceonDisclosureissuedin2000.
(http://www.attorneygeneral.gov.uk/attachments/disclosure.doc)
What should you disclose?
196.TheLAmustdisclosetotheparentanymaterialonwhichitintendstorelyinsupportof
itscaseandanymaterialwhichmightundermineitscaseorsupporttheparentscase.
Thestagesandprocessofdisclosingsuchmaterialaresetoutbelow.
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How does disclosure take place?
197.FirstofalltheLAshouldproduceasummaryoftheircasesettingoutthefactsonwhich
theLAisrelying.
198.Iftheparentputsinanotguiltyplea,theLAshouldproducealistofallthematerial
whichithaswhichsupportsorunderminestheLAscase,settingoutwhetherthe
materialwillbeservedontheparent(i.e.copiesmadeandsenttohimorher)or,
ifnot,whereitcanbeinspected.Thisisknownasprimarydisclosure.
199.Theparent(orhisorhersolicitors)maythenserveadefencestatementsettingout
thenatureofthedefenceandanymattersonwhichtheytakeissue.TheLAshould
readthe defencestatementcarefullyandconsiderwhethertheyhaveanymaterial
whichithasnotpreviouslydisclosed(unusedprosecutionmaterial)andwhichmight
reasonablybeexpectedtoassistthedefencetheparenthasputforwardinthedefence
statement.Anysuchmaterialmustbedisclosed.Thisisknownassecondarydisclosure.
200.Theparent(orhisorhersolicitors)mayalsomakerequestsforspecicdisclosure
e.g. oftheschoolrecords.Suchrequestsshouldbedealtwithpromptly.However,theLA
orEWOshouldbealerttospeculativerequests.Materialshouldonlybedisclosedifitis
directlyrelevanttothecasei.e.ifitwillsupportorundermineeithertheLAscaseorthe
parentscase.
201.WheretheLArefusestodisclosematerialrequested(e.g.ifitdoesnotconsideritis
relevanttothecase),thedefencemayapplyundersection8oftheCPIAfordisclosure
to beorderedbythecourt.Similarly,thedefencemayapplytothecourtformaterialheldbyathirdpartytobedisclosed.Insuchcases,thedefencemustsatisfythecourt
undertheCriminalProcedure(AttendanceofWitnesses)Act1965thatthematerialis
likelytoberelevantevidence.
202.Documentswhichmayberelevanttosentencee.g.informationwhichmightmitigate
theseriousnessoftheoffenceshouldalsobedisclosed.
p. Prosecution process
203.ItishighlyadvisablethatLAsliaisewithlocalcourtstoensurethatthereisaclearmutual
understandingofthecourtspowersandprocedures.
204.ItisadvisedthatforEWSdepartmentswhoregularlyprosecute,courtdatesarebooked
inadvancetominimisedelaybetweenissuingwarnings/applyingforsummonsesand
thehearingdate.
205.Thediagramonthenextpageprovidesasummaryofthekeystagesintheprosecution
process,startingwiththeformalnoticationoftheparent.
206.ItshouldbenotedthatallLAsoperatedifferentlyinbringinginformationtotheattention
ofthecourt.InsomeLAsLegalOfcersorsolicitorsareresponsibleforbringingcasestothecourtwhereasinotherstheEWSbearsresponsibility.Theproceduresoutlinedbelow
shouldbefollowedregardlessofwhobringsthecasetocourt.
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Formally notifying a parent
Formal written notication at outset of casework stating legal action may be taken by the LA.
Allow 15 days for parent to improve situation before starting proceedings.
Commencing proceedings Application made to the Magistrates Court for a summons to be issued by laying an information
before the court.
Information must be laid before the court within 6 months of the alleged offence and is a
brief description of the offence, the name of the offender, dates of offence and where it was
allegedly committed.
Information is considered.
Date of hearing arranged.
Summons issued by the court - this gives details of the alleged offence, when it is to be heard
and at which court.
Serving the summons
Decide on method of service - by hand / rst class post / registered post / process server.
Obtain Certicate of Service. (See below).
Aim to provide at least 10 days working notice of hearing date.
Include Witness Statement (section 9, Criminal Justice Act 1967) this is the evidence the LA intends
to present to the court.
Include a Certicate of Attendance signed by the head teacher.
Include details of any previous convictions the LA intends to draw to the courts attention.
Include a notice advising that the parent has 7 days to object to the content of the witness statementand to request that the witness (the EWO) be present at the hearing.
Include form for parent to indicate plea, sign and return to the court.
The court hearing
District Judge / Lay Bench
Option to request adjournment - case adjourned if judged to be in the interests of justice.
Parent asked to enter plea.
Not Guilty Plea - case adjourned until trial date set by court.
Guilty Plea - LA representative outlines case, followed by parent or their solicitor.
Failure to attend
Adjournment notice sent setting out new
hearing date.
Failure to attend on second date, case may be
heard in the absence of the parent.
Section 444(1A) prosecutions - court can issue
a warrant to compel the parent to attend.
Guilty pleas in absence
(section 12, Magistrates Courts Act 1980)
LA must have presented parent with evidence
prior to court hearing (witness statement) and
Defendant indicated they wish to plead guilty
and for the case to be dealt with in their
absence.
Only information served on the defendant canbe referred to in court.
Court can sentence based on the basis of what
is placed before them.
Not appropriate for section 444(1A)
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8/2/2019 Wales Attendance Framework
46/90
38
q. Sentencing options available to the court
207.InreachingtheirsentencetheMagistrateswillconsideralloftheinformation
presentedtothecourt.BeforedecidinguponasentencetheMagistrateswillneed
to consid
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