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The Education (Penalty Notices) (Wales) Regulations 2013

W.S.I. 2013/1983 · Made 7 August 2013 · Extends to England and Wales

Up to date with all changes known to legislation.gov.uk, revised to 1 September 2026.

Education, Wales

Made 7 August 2013

Laid before the National Assembly for Wales 12 August 2013

Coming into force 2 September 2013

The Welsh Ministers in exercise of the powers conferred on the Secretary of State by sections 444A(3) and (6), 444B and 569 of the Education Act 1996f1 and now vested in them, make the following Regulations:

Annotations to the whole text

Footnotes

f1

1996. c.56; sections 444A and 444B were inserted by section 23(1) of the Anti-social Behaviour Act 2003 (c.38); section 444A has been amended by section 117 of, and paragraph 3 of Schedule 18 to, the Education Act 2005 (c.18) and section 110 of the Education and Inspections Act 2006 (c.40). References to local education authority were substituted with local authority by S.I. 2010/1158. The application of sections 444A and 444B were applied to Wales by virtue of S.I. 2013/1657 (W.155).

Contents

  1. 1Title, commencement and application
  2. 2Interpretation
  3. 3Form and content of penalty notices
  4. The penalty
  5. 4Amount of penalty
  6. 5Period for payment of the penalty
  7. 6Payment of penalty
  8. Effect of penalty notice
  9. 7Period during which proceedings may not be instituted
  10. Withdrawal
  11. 8Withdrawal of penalty notice
  12. 9Non payment of the penalty
  13. Issue of penalty notices
  14. 10Authority to issue penalty notices
  15. 11Limitation on schools issuing penalty notices
  16. 12Limitation on local authorities, issuing penalty notices
  17. 13Several penalty notices in respect of the same offence
  18. Codes of conduct
  19. 14Requirement to draw up code of conduct
  20. 15Consultation on the code of conduct
  21. 16Compliance with the code of conduct
  22. Information
  23. 17Copy of the penalty notice to be supplied to the local authority
  24. 18Records
  25. 19Information to the Welsh Ministers
  26. Final provisions
  27. 20Service of notices
  28. 21Sums received by local authorities
  29. Signature
  30. Explanatory note

1Title, commencement and applicationI1

(1)

The title of these Regulations is the Education (Penalty Notices) (Wales) Regulations 2013 and they come into force on 2 September 2013.

(2)

These Regulations apply in relation to Wales.

(3)

In relation to offences under section 444 of the 1996 Act, these Regulations apply to penalty notices issued on or after the date on which these Regulations come into force, whether the alleged offence was committed before, on or after that date.

2InterpretationI1

(1)

In these Regulations—

  • “the 1996 Act” (“Deddf 1996”) means the Education Act 1996;

  • “alternative educational provision” (“darpariaeth addysgol amgen”) means one of the following—

    1. (a)

      education provided by a local authority for a child otherwise than at school or at the child’s home by way of arrangements made under section F119A of the 1996 Act;

    2. (b)

      education at a place outside the premises of the school at which the child is a registered pupil and which the child is required by the appropriate authority (within the meaning of section 444ZAf1 of the 1996 Act) to attend for the purpose of receiving any instruction or training;

  • “code of conduct” (“cod ymddygiad”) means the local authority’s code of conduct for the time being in force pursuant to regulations 14 to 16;

  • “penalty notice” (“hysbysiad cosb”) means a penalty notice issued pursuant to section 444A(1) of the 1996 Act; and

  • “recipient” (“derbynnydd”) means a person to whom a penalty notice is given in accordance with section 444A(1) of the 1996 Act.

(2)

In these Regulations a reference to a deputy or assistant head teacher includes a reference to a person acting as deputy or assistant head teacher, as the case may bef2.

3Form and content of penalty noticesI1

A penalty notice must give such details of the circumstances alleged to constitute the offence to which the notice relates as are necessary to give reasonable information as to the offence and must contain—

(a)

the name and address of the recipient;

(b)

the name and address of the child who—

(i)

is failing to attend school regularly;

(ii)

is failing to attend alternative educational provision regularly and, as applicable—

(aa)

the name of the school where the child is a registered pupil, if applicable; and

(bb)

the place where the alternative educational provision is provided for the child or at which the child is required to attend,

as the case may be;

(c)

the name and official particulars of the authorised officer issuing the notice;

(d)

the period during which the offence was committed in the case of an offence under section 444 of the 1996 Act, and the date of the issue of the notice;

(e)

the amount of the penalty which is to be paid, if it is paid within 28 days in accordance with regulation 4, and the amount in accordance with that regulation if it is not paid within that period but is paid within 42 days;

(f)

the name and the address of the local authority to which the penalty is to be paid in accordance with regulation 6 and to which any correspondence relation to the penalty notice may be sent;

(g)

the method or methods by which payment of the penalty may be made;

(h)

the period for paying the penalty, in accordance with regulation 5;

(i)

a statement that payment within that period will discharge any liability of the recipient for the offence;

(j)

the consequences of the penalty not being paid before the expiration of the period for paying it; and

(k)

the grounds on which the notice may be withdrawn.

4Amount of penaltyI1

The amount of the penalty to be paid is—

(a)

£60, where the amount is paid within 28 days of receipt of the penalty notice; or

(b)

£120, where paragraph (a) does not apply but where the amount is paid within 42 days of receipt of the penalty notice.

5Period for payment of the penaltyI1

The time by which the penalty is to be paidf1 is within 42 days of receipt of the penalty notice.

6Payment of penaltyI1

(1)

The penalty is payable to—

(a)

the local authority in whose area the school at which the recipient’s child is a registered pupil is situated;

(b)

where the child is not, at the time of giving the penalty notice, a registered pupil at any school, whether due to permanent exclusion or otherwise, the local authority in whose area the child resides.

(2)

A certificate purporting to be signed by the proper officer of a local authority to the effect that the recipient of a penalty notice has or has not paid the amount due on or before a date stated in the certificate is admissible in evidence in any legal proceedings and is evidence of the matters stated in it.

7Period during which proceedings may not be institutedI1

The period prescribed for the purposes of section 444A(3) of the 1996 Act is 42 days beginning with the date on which the recipient receives the penalty notice.

8Withdrawal of penalty noticeI1

(1)

A penalty notice may be withdrawn by the local authority named in the notice as the authority to which payment is to be made in any case in which—

(a)

that authority determines that—

(i)

it ought not to have been issued; or

(ii)

it ought not to have been issued to the person named as the recipient; or

(b)

it appears to the authority that the notice contains material errors.

(2)

A penalty notice may be withdrawn in accordance with paragraph (1) whether or not the period for payment referred to in the notice pursuant to regulation 3(h) has expired, and whether or not the penalty has been paid.

(3)

Where a penalty notice has been withdrawn in accordance with paragraph (1)—

(a)

notice of the withdrawal must be given to the recipient; and

(b)

any amount paid by way of penalty in pursuance of that notice must be repaid to the person who paid it.

(4)

Except as provided in paragraph (5), no proceedings may be continued or instituted against the recipient for the offence in connection with which the withdrawn penalty notice was issued, or, where the penalty notice related to an offence under subsection (1) of section 444 of the 1996 Act, for an offence under subsection (1A) arising out of the same circumstances.

(5)

But where a penalty notice was issued, and was withdrawn pursuant to paragraph (1)(b), proceedings may be continued or instituted—

(a)

for the offence in connection with which that penalty notice was issued; or

(b)

where the penalty notice related to an offence under subsection (1) of section 444 of the 1996 Act, for an offence under subsection (1A) of that section arising out of the same circumstances as the first mentioned offence,

if both of the following conditions are met—

(i)

a further penalty notice in respect of the offence, or in the case of sub-paragraph (b), the first mentioned offence, was issued at the same time as the first penalty notice was withdrawn; and

(ii)

the penalty has not been paid pursuant to that further penalty notice in accordance with the requirements of these Regulations.

9Non payment of the penaltyI1

The authority must withdraw the penalty notice where—

(a)

the penalty is not paid in full before the expiry of the period for paying it; and

(b)

the local authority named in the notice pursuant to regulation 3(f) has neither instituted proceedings against the recipient for the offence to which the notice relates, nor is contemplating such proceedings.

10Authority to issue penalty noticesI1

(1)

A head teacher may authorise a deputy or assistant head teacher to issue penalty notices.

(2)

But a head teacher may not authorise any other member of staff to issue penalty notices.

11Limitation on schools issuing penalty noticesI1

A head teacher or deputy or assistant head teacher may only issue a penalty notice in respect of a child who is a registered pupil at the school at which that head teacher, or deputy or assistant head teacher, as the case may be, works.

12Limitation on local authorities, issuing penalty noticesI1

(1)

Subject to paragraph (2), an officer of a local authority may only issue a penalty notice in respect of a child—

(a)

who is a registered pupil at a school in the area of that authority;

(b)

for whom that authority has made arrangements for alternative educational provision (whether or not in the area of that authority); or

(c)

who is not, at the time the notice is given, a registered pupil at any school (whether due to permanent exclusion or otherwise) but resides in the area of that authority.

(2)

Where a local authority has entered into an agreement with another local authority for an officer of that other authority to issue penalty notices in respect of a child to which paragraph (1)(a) or (b) applies, an officer of that other authority may issue a penalty notice in respect of such child.

13Several penalty notices in respect of the same offenceI1

Where there is more than one person liable for the offence, a separate penalty notice may be issued to each person.

14Requirement to draw up code of conductI1

Each local authority must draw up a code of conduct which sets out measures to ensure consistency in the issuing of penalty notices, including—

(a)

means of avoiding the issue of duplicate penalty notices;

(b)

measures to ensure that a penalty notice is not issued in respect of an offence when proceedings for that offence under section 444 of the 1996 Act (or an offence under subsection (1A) of that section arising out of the same circumstances) as the case may be, are contemplated or have been commenced by the local authority;

(c)

the occasions when it will be appropriate to issue a penalty notice for an offence;

(d)

a maximum number of penalty notices that may be issued to one parent in any twelve month period; and

(e)

arrangements for co-ordination between the local authority, neighbouring local authorities where appropriate, the police and authorised officersf1.

15Consultation on the code of conductI1

(1)

In preparing the code of conduct the local authority must consult governing bodies, head teachers and the chief officer of police for a police area which includes all or part of the area of the local authority.

(2)

In this regulation—

  • “chief officer of police” has the meaning given by section 101(1) of the Police Act 1996f1;

  • “police area” means a police area provided for by section 1 of that Act.

16Compliance with the code of conductI1

Any person issuing a penalty notice must do so in accordance with the code of conduct.

17Copy of the penalty notice to be supplied to the local authorityI1

A person issuing a penalty notice must (without delay) provide a copy to the local authority which is named in the notice as the authority to which payment is to be made pursuant to regulation 3(f).

18RecordsI1

A local authority must keep records of penalty notices which must include—

(a)

a copy of each notice issued;

(b)

a record of all payments made and on what dates;

(c)

whether the notice was withdrawn and on what grounds; and

(d)

whether the recipient was prosecuted for the offence for which the notice was issued (or, where the notice related to an offence under subsection (1) of section 444 of the 1996 Act, for an offence under subsection (1A) arising out of the same circumstances).

19Information to the Welsh MinistersI1

A local authority must supply to the Welsh Ministers such information as they may require in respect of penalty notices.

20Service of noticesI1

(1)

Where the penalty notice is served by first class postf1, service is deemed to have been effected, unless the contrary is proved, on the second working day after posting the notice.

(2)

In this regulation “working day” means a day other than a Saturday, a Sunday, Christmas Day, Good Friday, or a day which is a bank holiday within the meaning of the Banking and Financial Dealings Act 1971f2.

21Sums received by local authoritiesI1

(1)

The functions of a local authority specified for the purposes of section 444A(6)(a) of the 1996 Act are issuing and enforcing penalty notices, and prosecuting recipients who do not pay.

(2)

To the extent that sums received by a local authority are not used for the purposes of the functions specified in paragraph (1), they must be paid to the Welsh Ministers.

Signature

Carwyn Jones

First Minister of Wales

7 August 2013

Explanatory note

(This note is not part of the Regulations)

These Regulations prescribe the necessary details for the operation of the penalty notice scheme under section 444A of the Education Act 1996 (“the 1996 Act”; section 444A was inserted by the Anti-Social Behaviour Act 2003).

Sections 444A and 444B were amended by S.I. 2013/1657 (W.155) so that those sections also apply to Wales.

In relation to truancy offences under section 444 of the 1996 Act these Regulations apply to penalty notices served on or after the date on which they come into force, whether the offence was committed before or after they come into force (regulation 1(3)).

Regulation 3 sets out the matters to be contained in a penalty notice.

Regulation 4 prescribes the level of the penalty which is to be paid to the local authority, and regulation 6 what is evidence of its payment or non-payment. Regulation 5 provides for the period in which it is to be paid, if it is to discharge the recipient’s liability for the offence. Regulation 6 provides which local authority the penalty is to be paid to.

Regulation 7 prescribes the period during which proceedings may be instituted under section 444A(3) of the 1996 Act as 42 days.

Regulation 8 details the circumstances in which a penalty notice may be withdrawn.

Regulations 10 to 13 prescribe who can issue penalty notices.

Regulations 14 - 18 requires a local code of conduct to be drawn up and consulted upon, for the issuing of penalty notices to be done in accordance with the local code.

Regulations 19 – 21 prescribe that a copy of the penalty notice is to be provided to the local authority who must keep records as detailed. If the Welsh Ministers require information in respect of penalty notices, the local authority must provide it to them.

Regulations 22 and 23 prescribe how the penalty notice is to be served and how sums received by local authorities are to be spent.