Suspension and

Permanent Exclusion
from maintained
schools, academies
and pupil referral
units in England,
including pupil
movement
Guidance for maintained schools,
academies, and pupil referral units in
England

January 2022
Contents
Contents 2
Part one: About this guidance 3
Part two: What has changed in this edition? 7
Part three: The headteacher’s power to suspend or permanently exclude for
headteachers, academy principals and teachers in charge of pupil referral units 10
Part four: Factors to consider before making a decision to exclude 17
Part five: The headteacher’s duty to inform parties about an exclusion 23
Part six: The governing board’s and local authority’s duties to arrange education
for excluded pupils 29
Part seven: The governing board’s duty to consider an exclusion 31
Part eight: The governing board’s duty to remove a permanently excluded pupil’s
name from the school register 42
Part nine: The local authority’s/academy trust’s duty to arrange an independent
review panel 45
Part ten: The roles of independent review panel members, the clerk, the SEN
expert, the social worker, and the Virtual School Head in the conduct of an
independent review 54
Part eleven: The governing board’s duty to reconsider reinstatement following a
review 61
Part twelve: The local authority’s role in overseeing the financial
readjustment/payment 63
Part thirteen: Statutory guidance to the headteacher, governing board and
independent review panel members on police involvement and parallel criminal
proceedings 65
Annex A: Further information 67

2
Part one: About this guidance

Aim
Good behaviour in schools is essential to ensure that all pupils can benefit from the
opportunities provided by education. Therefore, the government recognises that school
exclusions, managed moves and off-site direction are essential behaviour management
tools for headteachers and can be used to establish high standards of behaviour in
schools and maintain the safety of school communities.

For the vast majority of pupils, suspensions and permanent exclusions may not be
necessary, and their behaviour can be managed by other strategies. However, if
approaches towards behaviour management have been exhausted, then suspensions
and permanent exclusions will sometimes be necessary as a last resort. This is to ensure
that pupils are protected from disruption and can learn in safe, calm, and supportive
environments.

Schools and local authorities should not adopt a ‘no exclusion’ policy as an end in itself.
This can lead to perverse incentives to schools not to exclude even when exclusion is the
only real way to make sure an excluded pupil can get the support they need, while
remaining engaged in education. In some cases, a ‘no exclusion’ policy can even present
safeguarding issues and expose staff and pupils to unreasonable risks. Instead, schools
and local authorities should work to create environments where school exclusions are not
necessary because pupil behaviour does not require it.

It is important to note that this guidance has been updated to be a companion piece to
the Behaviour in Schools guidance, which provides advice to headteachers, trust leaders
and school staff on implementing a behaviour policy which creates a school culture with
high expectations of behaviour. Therefore, this guidance should only be necessary when
strategies, practices and interventions set out within the Behaviour in Schools Guidance
have not been successful in improving a pupil’s behaviour or the use of more significant
interventions or sanctions are required.

It is important to note that this document from the Department for Education provides a
guide to the legislation that governs the suspension and permanent exclusion of pupils1
from all maintained schools (including special schools), pupil referral units (PRUs),
academy schools (including free schools, special schools, studio schools and university
technology colleges) and alternative provision academies (including alternative provision

1
A pupil is a person for whom education is provided at a school (section 3 of the Education Act 1996).
There are three exceptions: A) if the person is aged 19+ and the education being provided for them at the
school is further education. B) If the education being provided for the person is part-time education suitable
to the requirements of people who are over compulsory school age. C) If the school is a maintained school
and the education being provided for the person is being provided under section 27 of the Education Act
2002.
3
free schools) in England. It also includes the use of behaviour strategies such as
managed moves and directing pupils off-site to improve behaviour to help prevent a
suspension or permanent exclusion.

The document also provides statutory guidance to which headteachers, governing

boards, local authorities, academy trusts, independent review panel members and
special educational needs (SEN) experts must have regard when carrying out their
functions in relation to suspension and permanent exclusions. Clerks to independent
review panels must also be well-versed in this guidance.

Where relevant, this document refers to other guidance in areas such as behaviour,
safeguarding, SEN and equality, but is not intended to provide detailed guidance on
these issues.

This document replaces the version published in 2017 for schools in England.

Review date
This guidance will be kept under review and updated as necessary.

Terminology
• The term must refers to what headteachers/governing boards/academy trusts/local
authorities/parents and others are required to do by law. The term should refers to
recommendations for good practice as mentioned in the suspensions and
permanent exclusions guidance.

• The definition of suspend in this guidance is what is described in the legislation as

an exclusion for a fixed period.

• The term headteacher in this document means the headteacher of a maintained

school, the teacher in charge at a PRU and the principal of an academy.

• The term governing board means the governing body of a maintained school, the
management committee of a PRU and academy trust.

• The definition of a parent can be found in the Education Act 1996, and this applies
to all the legislation to which this guidance relates. In addition to the child's birth
parents, references to parents in this guidance include any person who has
parental responsibility (which includes the local authority where it has a care order
in respect of the child) and any person (for example, a foster carer) who has care
of the child. To reflect this, this guidance uses ‘parent’ to refer to both parents and
carers. Where practical, all those with parental responsibility should be involved in
the suspensions and permanent exclusions process. [Placeholder: to signpost
4
 separate guidance for parents on exclusion].

• Obligations are to the relevant person – a parent or the pupil, aged 18 or over.
Legislation on suspension and permanent exclusion gives clarity and certainty to
schools, local authorities, academy trusts and review panels on how to discharge
their obligations to parents or pupils if they are aged 18 or over.

• Alternative Provision (AP) refers to suitable full-time education that is arranged for
a pupil from the sixth school day (or earlier) of a suspension or from the sixth
school day (or earlier) after the first day of a permanent exclusion. In other
circumstances, AP may refer to education arranged for pupils who are unable to
attend mainstream or special school and who are not educated at home, whether
for behavioural, health, or other reasons. AP includes Pupil Referral Units (PRUs),
AP academies and free schools, and hospital schools, as well as a variety of
independent, registered, unregistered and further education settings.

• Academic year means a school’s academic year beginning with the first day of
school after 31 July and ending with the first day of school after the following 31
July.

• Where a school’s academic year consists of three terms or fewer, a reference to a

‘term’ in this guidance means one of those terms. Where a school’s academic year
consists of more than three terms, then a reference to ‘term’ means the periods
from 31 December to Easter Monday, from Easter Monday to 31 July and from 31
July to 31 December.

Who is this guidance for?

This guidance is for:

• Headteachers, governing boards, local authorities, academy trusts, independent

review panel members, independent review panel clerks, social workers, Virtual
School Heads (VSHs) and individuals appointed as SEN experts. [Placeholder:
to note separate guidance for parents and carers]

• Except where specifically stated, this guide applies to all maintained schools,
academy schools (including free schools but not 16-19 academies or 16-19 free
schools), alternative provision academies (including alternative provision free
schools), and PRUs. The term ‘school’ in this document is used to describe any
school to which the guidance applies. Where the term ‘academy’ is used it refers
to any category of academy to which the guidance applies.

5
 • The guidance and the law described within it applies to all pupils, including those
who may be below or above compulsory school age, and those attending nursery
classes or sixth forms, except where the age of the pupil is specifically referred to.

• This guide does not apply to independent schools (other than the academies listed
above), city technology colleges, city colleges for the technology of the arts, sixth
form colleges or 16-19 academies or 16-19 free schools, all of which have
separate suspension and permanent exclusion procedures.

• Any pupil who was suspended or permanently excluded before September 2022,
and whose exclusion is still subject to review at until September 2022 should be
considered on the basis of the September 2017 guidance.

Further information
This advice should not be read in isolation. It is important for schools to consider the
following guidance: Behaviour and Discipline in Schools; Keeping Children Safe in
Education; Understanding Your Data: a guide for school governors and academy
trustees; and other relevant advice and guidance as part of their approach to using
school suspensions and permanent exclusions well. Links to relevant supplementary
guidance can be found at Annex A: Further information.

What legislation relates to this guidance?

The principal legislation to which this guidance relates is:

• the Education Act 2002, as amended by the Education Act 2011;

• the School Discipline (Pupil Exclusions and Reviews) (England) Regulations 2012;

• the Education and Inspections Act 2006;

• the Education Act 1996; and

• the Education (Provision of Full-Time Education for Excluded Pupils) (England)

Regulations 2007, as amended by the Education (Provision of Full-Time
Education for Excluded Pupils) (England) (Amendment) Regulations 2014.

• [Placeholder: for new regulations if agreed withdrawn exclusions and

notifying the social worker and virtual school head]

6
Part two: What has changed in this edition?
This guidance has been updated to reflect the government’s ambition to create high
standards of behaviour in schools so that children and young people are protected from
disruption and can learn and thrive in a calm, orderly, safe, and supportive environment.
Suspensions and permanent exclusions will sometimes be necessary as a last resort to
maintain this environment and this guidance provides schools and other bodies involved
in this process with information so that they can continue to use exclusions well. In
addition, specific changes to the legislation governing the disciplinary school suspension
and permanent exclusion process have been made:

• Headteachers cannot end a suspension or permanent exclusion that has already

begun (that is, where the pupil is no longer attending school). This practice is
sometimes known as withdrawing/rescinding a suspension or permanent
exclusion.

• When headteachers suspend or permanently exclude a pupil they must, without

delay, and no later than three days after their decision, notify parents. If a pupil
has a social worker, or if a pupil is looked-after, the head teacher must, also
without delay, and no later than three days after their decision, notify the social
worker and/or Virtual School Head (VSH), as applicable.

• Guidance on the role of a social worker and Virtual School Head (VSH), during
governing board meetings and independent review panel meetings, [placeholder:
including an explanation of relevant changes to the law].

• [Placeholder: dependent on consultation responses, we will ensure we

provide an explanation of relevant changes to the law regarding virtual
remote meetings for governing boards and Independent Review Panels in
any circumstance].

• Guidance on managed moves as an initial intervention measure, what they are

and how they should be used.

• Clarified guidance on the use of off-site direction2 as a short-term measure that

can be used as part of a school’s behaviour management strategy.

• Further clarification on the practice of involving pupils so that any excluded pupil is
enabled and encouraged to participate at all stages of the suspension or

2
Section 29A Education Act 2002. The legal requirements and statutory guidance relating to this
power are set out in guidance on alternative provision:
https://www.gov.uk/government/publications/alternative-provision
7
 permanent exclusion process, considering their age and ability to understand.

• Guidance that governing boards should carefully consider the level of pupil moves
and the characteristics of pupils who have been permanently excluded to ensure
the sanction is only used when necessary as a last resort. 3

Duties under the Education and Inspections Act 2006

Under the Education and Inspections Act 2006, headteachers of maintained schools and
pupil referral units must determine measures to be taken with a view to:

• promoting, among pupils, self-discipline, and proper regard for authority,

• encouraging good behaviour and respect for others on the part of pupils and, in
particular, preventing all forms of bullying among pupils,
• securing that the standard of behaviour of pupils is acceptable,
• securing that pupils complete any tasks reasonably assigned to them in
connection with their education, and
• otherwise regulating the conduct of pupils.

Suspensions and exclusions can be used to help achieve these aims when they are
absolutely necessary.

Duties under the Equality Act 2010 and Children and Families
Act 2014
Under the Equality Act 2010 (the Equality Act), schools must not discriminate against,
harass, or victimise pupils because of: sex; race; disability; religion or belief; sexual
orientation; pregnancy/maternity; or gender reassignment. For disabled children, this
includes a duty to make reasonable adjustments to any provision, criterion or practice
which puts them at a substantial disadvantage and the provision of auxiliary aids and
services. In carrying out their functions, the public sector equality duty means schools
must also have due regard to the need to:

• eliminate discrimination, harassment, victimisation, and other conduct that is

prohibited by the Equality Act;

• advance equality of opportunity between people who share a relevant protected

characteristic and people who do not; and

3
Understanding your data: a guide for school governors and academy trustees - GOV.UK (www.gov.uk)
8
 • foster good relations between people who share a relevant protected
characteristic and people who do not share it.

The ‘relevant protected characteristics’ in this context are the characteristics mentioned
above. Age is also a relevant protected characteristic, but not when carrying out a
function to do with providing education, benefits, facilities, or services to pupils.

These duties need to be complied with when deciding whether to exclude a pupil.
Schools must also ensure that any provision, criterion, or practice does not discriminate
against pupils by unfairly increasing their risk of exclusion. For example, if reasonable
adjustments have not been made for a pupil with a disability that can manifest itself in
breaches of school rules if needs are not met, a decision to exclude may be
discriminatory.

The governing board must also comply with their statutory duties in relation to SEN when
administering the exclusion process, including (in the case of the governing board of
relevant settings4) using their ‘best endeavours’ to ensure the appropriate special
educational provision is made for pupils with SEN and having regard to the SEND Code
of Practice5.

4
The duty under section 66 of the Children and Families Act 2014 applies to certain settings, including
mainstream schools, maintained nursery schools, academies, alternative provision academies and pupil
referral units.
5
SEND code of practice: 0 to 25 years - GOV.UK (www.gov.uk)
9
Part three: The headteacher’s power to suspend or
permanently exclude for headteachers, academy
principals and teachers in charge of pupil referral units
This government supports headteachers in using suspension and permanent exclusion
as a sanction when warranted as part of creating a calm, orderly, safe, and supportive
environment in which pupils can learn and thrive. To achieve this, suspensions and
permanent exclusion are sometimes a necessary part of a functioning system, where it is
accepted that not all pupil behaviour can be amended or remedied by pastoral
processes.

The headteacher’s powers to use exclusion6

1. Only the headteacher7 of a school can suspend or permanently exclude a pupil on
disciplinary grounds. A pupil may be suspended for one or more fixed periods (up to a
maximum of 45 school days in a single academic year), or permanently excluded.

2. A pupil’s behaviour outside school can be considered grounds for a suspension or

permanent exclusion. Any decision of a school, including suspension or permanent
exclusion, must be made in line with the principles of administrative law, i.e., that it is:
lawful (with respect to the legislation relating directly to suspensions and permanent
exclusions and a school’s wider legal duties, including the Human Rights Act 1998,
the Children and Families Act 2014 and the Equality Act 2010); reasonable; fair; and
proportionate.

3. When establishing the facts in relation to a suspension or permanent exclusion

decision the head teacher must apply the civil standard of proof, i.e., ‘on the balance
of probabilities’ it is more likely than not that a fact is true, rather than the criminal
standard of ‘beyond reasonable doubt.’ This means that the headteacher should
accept that something happened if it is more likely that it happened than that it did not
happen. The headteacher must take account of their legal duty of care when sending
a pupil home following an exclusion.

6
Paragraphs 1 to 3 gives guidance about section 51A Education Act 2002.
7
In a maintained school, ‘headteacher’ includes an acting headteacher by virtue of section 579(1) of the
Education Act 1996. An acting headteacher is someone appointed to carry out the functions of the
headteacher in the headteacher’s absence or pending the appointment of a headteacher. This will not
necessarily be the deputy headteacher: it will depend on who is appointed to the role of acting
headteacher. In an academy, ‘principal’ includes acting principal by virtue of regulation 21 of the School
Discipline (Pupil Exclusions and Reviews) (England) Regulations 2012.
10
Suspensions8
4. A suspension, where a pupil is temporarily removed from the school, is an essential
behaviour management tool that should be set out within a school’s behaviour policy.

5. A pupil may be suspended for one or more fixed periods9 (up to a maximum of 45
school days in a single academic year). A suspension does not have to be for a
continuous period.

6. A suspension may be used to provide a clear signal of what is unacceptable behaviour

as part of the school’s behaviour policy and show a pupil that their current behaviour
is putting them at risk of permanent exclusion. Where suspensions are becoming a
regular occurrence for a pupil, headteachers and schools should consider whether
suspension alone is an effective sanction for the pupil and whether appropriate
strategies need to be put in place to address behaviour.

7. It is important that during a suspension, a continuation of education occurs.

Headteachers should take steps to ensure that work is set and marked for pupils
during the first five school days of a suspension. This can include utilising any online
pathways such as Google Classroom or Oak Academy. The school’s legal duties to
pupils with disabilities or special educational needs remain in force, for example to
make reasonable adjustments in how they support disabled pupils during this period.
Any time a pupil is sent home due to disciplinary reasons and asked to log on and
utilise online pathways should always be recorded as a suspension.

8. A suspension can also be for parts of the school day. For example, if a pupil’s
behaviour at lunchtime is disruptive, they may be suspended from the school
premises for the duration of the lunchtime period. The legal requirements relating to
the suspension, such as the headteacher’s duty to notify parents, apply in all cases.
Lunchtime suspensions are counted as half a school day in determining whether a
governing board meeting is triggered.

9. The law does not allow for extending a suspension or ‘converting’ a suspension into a
permanent exclusion. In exceptional cases, usually where further evidence has come
to light, a suspension may be issued to begin immediately after the first period ends;
or a permanent exclusion may be issued to begin immediately after the end of the
suspension.

8
Paragraphs 5, 8 and 9 give guidance about section 51A Education Act 2002.
9
A 'fixed period' means that a suspension on disciplinary grounds can't be open-ended but must have a
defined end date that is fixed at the time when the suspension is first imposed.
11
Permanent exclusions
10. A permanent exclusion is when a pupil is no longer allowed to attend a school (unless
the pupil is reinstated). The decision to exclude a pupil permanently should only be
taken:

• in response to a serious breach or persistent breaches of the school's behaviour

policy; and

• where allowing the pupil to remain in school would seriously harm the education or
welfare of the pupils or staff in the school.

11. For any permanent exclusion, headteachers should take reasonable steps to ensure
that work is set and marked for pupils during the first five school days where the pupil
will not be attending alternative provision. Any appropriate referrals to support
services or notifying key workers (such as a pupil’s social worker) should also be
considered. Paragraph 7 provides further guidance on utilising online pathways and
the potential significance of SEND law.

Withdrawn exclusions
12. Once a suspension has begun (that is, when the pupil is no longer attending school),
the headteacher may not bring it to an end earlier than the end-date that was
originally fixed, and a headteacher may not bring a permanent exclusion to an end
after it has begun.

Setting a clear process for exclusions

13. Headteachers should consider the following, when setting a clear process for
exclusions:

• adopting a reliable method for monitoring the 45-day suspension rule, including
suspensions received from other schools
• ensuring there is a formal process for informing the parents, social worker (where
relevant), governing board and local authority (depending on length of the
suspension or if it is a permanent exclusion for any pupil), clearly setting out all
reasons for the exclusion
• providing up-to-date links to sources of impartial advice for parents
• reintegrating suspended or permanently excluded pupils and support pupils’ future
behaviour
• ensuring a formal process for arranging, at short notice, suitable full-time
alternative education for pupils receiving suspensions over five school days

12
Reasons and recording exclusions
14. We are clear that we trust headteachers to use their own professional judgement
based on individual circumstances when considering whether to exclude a pupil. The
reasons below may warrant a suspension or permanent exclusion and can act as a
guide to understanding possible examples that headteachers can use to determine
how to issue exclusion as a sanction:

• Physical assault against a pupil

• Physical assault against an adult

• Verbal abuse or threatening behaviour against a pupil

• Verbal abuse or threatening behaviour against an adult

• Use or threat of use of an offensive weapon or prohibited item that has been
prohibited by a school’s behaviour policy

• Bullying

• Racist abuse

• Abuse against sexual orientation and gender reassignment

• Abuse relating to disability

15. This list is non-exhaustive and is intended to offer examples rather than be complete
or definitive. The Department collects data on suspensions and permanent exclusions
from all state-funded schools via the termly school census. Schools must provide
information via the school census on pupils subject to any type of suspension or
permanent exclusion in the previous two terms10. Up to three reasons can be
recorded11 for each suspension or permanent exclusion (where applicable).

10
The submission of the school census returns, including a set of named pupil records, is a statutory
requirement on schools under section 537A of the Education Act 1996.
11
Complete the school census - Guidance - GOV.UK (www.gov.uk)
13
 R (CHF & CHM) v Newick CE Primary School & East Sussex

Recently, a High Court case considered the legal position for mandatory off-site
education for the purpose of keeping pupils apart for safeguarding reasons. This
case involved allegations of child-on-child sexualized behaviour by young pupils in
a primary school setting.

We need to consider, following the court’s decision, whether it is right to suspend

or permanently exclude based on safeguarding reasons rather than just disciplinary
reasons. We would like to know how this will affect practice in schools and whether
there is any further need to clarify or change the law or guidance in this area.

A question within the consultation, linked to this judgment, is:

a) Do you think it is positive or negative that the Court has made it clear that pupils
can be temporarily excluded for safeguarding reasons as described in the
judgement? Please explain your answer.

Off-rolling and unlawful exclusions

16. Telling or forcing a pupil to leave school, or not allowing them to attend school, is a
suspension (if temporary) or permanent exclusion (if permanent). Whenever a pupil is
made to leave school, or forbidden from attending school, on disciplinary grounds,
this must be done in accordance with the School Discipline (Pupil Exclusions and
Reviews) (England) Regulations 2012 and with regard to relevant parts of this
guidance.

17. Suspending a pupil for a short period of time, such as half a day, is permissible,
however, the formal suspension process must be followed. Each disciplinary
suspension and permanent exclusion must be confirmed to the parents in writing with
notice of the reasons for the suspension or permanent exclusion.

18. An informal or unofficial exclusion, such as sending a pupil home ‘to cool off’, is
unlawful when it does not follow the formal school exclusion process and regardless
of whether it occurs with the agreement of parents. Any exclusion of a pupil, even for
short periods of time, must be formally recorded. It would also be unlawful to exclude
a pupil simply because they have additional needs or a disability that the school feels
it is unable to meet, or for a reason such as: academic attainment/ability; or the failure
of a pupil to meet specific conditions before they are reinstated, such as to attend a
reintegration meeting12. However, a pupil who repeatedly disobeys their teachers’
academic instructions could be subject to exclusion. If any of these unlawful

12
Paragraph 18 gives guidance about section 51A Education Act 2002.
14
 exclusions are carried out and lead to the deletion of a pupil’s name from the register,
this is known as ‘off-rolling’.

19. A further example of off-rolling would be putting pressure on a parent to remove their
child from the school under the threat of a permanent exclusion and encouraging
them to choose Elective Home Education or to find another school place.

20. If a parent13 feels pressured into electively home educating their child or that the
suspension or permanent exclusion procedures have not been followed, they can
follow the school’s complaints procedure with the governing board and in the case of
a maintained school, the local authority. Ofsted considers any evidence of off-rolling
and is likely to judge a school as inadequate if there is evidence that pupils have been
removed from the school roll without a formal permanent exclusion or by the school
encouraging a parent to remove their child from the school, and leaders have taken
insufficient action to address this.

Safeguarding, including guidance concerning pupils who

have abused another pupil (commonly known as child-on-
child abuse)
21. Schools have a statutory duty to make arrangements for safeguarding and promoting
the welfare of their pupils14. As part of this duty, schools are required to have regard
to guidance issued by the Secretary of State. All schools must have regard to
Keeping Children Safe in Education 2021.

22. Furthermore, schools have a statutory duty to co-operate with safeguarding partners
once designated as relevant agencies. Equally, safeguarding partners are expected
to name schools as relevant agencies and engage with them in a meaningful way.
Ultimately, any decisions are for the school to make on a case-by-case basis, with the
designated safeguarding lead (or a deputy) taking a leading role and using their
professional judgement, supported by other agencies, such as children’s social care
and the police as required.

23. If there is an ongoing safeguarding investigation (whether that includes a criminal

investigation or not) that may result in the permanent exclusion of a pupil or if a pupil
has been reinstated following a governing board review, it is likely that there will be
complex and difficult decisions that need to be made. It is important that these
decisions are made alongside a school’s duty to safeguard and support children and
their duty to provide an education.

13
Parents cannot agree to waive the requirements of the Regulations and relevant regulations must always
be followed when a pupil is made to leave or is forbidden from attending on disciplinary grounds.
14
In maintained schools this duty only applies to pupils who are under 18.
15
24. Section 5 of Keeping Children Safe in Education sets out the safeguarding process
for cases of reports that relate to rape or assault by penetration and those that lead to
a conviction or caution: “When there has been a report of sexual violence, the
designated safeguarding lead (or a deputy) should make an immediate risk and
needs assessment. Where there has been a report of sexual harassment, the need
for a risk assessment should be considered on a case-by-case basis.” As always
when concerned about the welfare of a child, the best interests of the child should
come first. In all cases, schools should follow general safeguarding principles as
found in Keeping Children Safe in Education.

Re-integration after reinstatement or off-site direction

25. Schools should have a strategy for reintegrating a pupil who returns to school
following a suspension or after a period of being educated off-site and for managing
their future behaviour. This is so pupils can be supported to successfully readjust
back into a normal routine. This should include ensuring a re-integration meeting
takes place between e.g., senior staff members, pastoral staff, mentors, teachers,
pupils, parents, or where relevant, other multi-agency organisations such as the safer
schools team or the pupil’s social worker, if they have one, to ensure a successful
return into mainstream school or other suitable provision.

26. During this meeting, it may be appropriate to discuss with the pupil the reasons that
led up to the sanction being used and setting targets they can report back on with
relevant staff, e.g., form teacher/tutor/pastoral mentor. As far as possible, the school
should work with the pupil, so they can understand the impact of their behaviour on
their own learning and that of others, and how to improve their behaviour in the future.
The school should communicate to the pupil that they are valued, and their previous
behaviour should not be seen as an obstacle to future success. It is important to note
that a pupil should not be prevented from returning to a mainstream classroom if
parents are unable or unwilling to attend a re-integration meeting.

16
Part four: Factors to consider before making a decision
to exclude

The very best AP can be important co-experts in managing behaviour and providing
alternatives to exclusion. This could include outreach support for pupils in mainstream
schools and offering short-term places to pupils who need a time-limited intervention
away from their mainstream school. Schools should work with high quality AP schools to
ensure a continuum of support is available for pupils for whom good behaviour cultures
and policies are not working.

Preventative measures to school exclusion

27. In addition to the strategies set out in initial intervention, page 30 of the Behaviour in
Schools guidance, headteachers should also consider the following: a) an off-site
direction (temporary measure that maintained schools and academies for similar
purposes can use) or b) managed moves (permanent measure) as preventative
measures to exclusion.

28. Any use of AP should be based on an understanding of the support a child or young
person needs in order to improve their behaviour, as well as any SEND. Off-site
direction should only be used where in-school interventions and/or outreach have
been unsuccessful or are deemed inappropriate, and should only be used to arrange
a temporary stay in AP. Off-site direction may only be used as a way to improve
future behaviour and not as a sanction or punishment for past misconduct.

29. The following individuals must have regard to the Alternative Provision: Statutory
guidance for local authorities, headteachers and governing bodies

• a local authority arranging suitable education under section 19 of the Education

Act 1996;

• the governing body of a maintained school making or reviewing an off-site

direction under section 29A;

• and the governing body or academy trust of a maintained school, academy

school or AP academy arranging suitable education for a suspended pupil
under section 100 of the Education Inspection Act 2006.

30. The nature of the intervention, its objectives, and the timeline to achieve these
objectives should be clearly defined and agreed with the provider upfront. The plan
should then be frequently monitored and reviewed. Pupils must continue to receive a
broad and balanced education, and this will support re-integration back into
mainstream schooling.

17
Off-site direction
31. Off-site direction is when a governing board of a maintained school requires a pupil to
attend somewhere off-site to receive education that is intended to improve their
behaviour15. Whilst the legislation does not apply to academies, they can arrange off-
site provision for such purposes under their general powers. Where interventions or
outreach support have not been successful in improving a child or young person’s
behaviour, off-site direction should be used to arrange short-term temporary support
in another mainstream school or AP. During the off-site direction, pupils must be dual
registered.

32. When possible, in-school interventions, such as those set out in the Behaviour in
Schools guidance, or outreach support from AP schools should be used to meet a
child or young person’s individual needs and circumstances – whether behavioural or
special educational.

33. Depending on the individual needs and circumstances of the pupil, off-site direction
into AP can be full-time or a combination of part-time support in AP and continued
mainstream education.

34. The governing board must comply with the Education (Educational Provision for
Improving Behaviour) Regulations 2010 and must have regard to the Alternative
Provision: Statutory guidance for local authorities, headteachers and governing
bodies. Whilst the alternative provision guidance does section legally applies to
maintained schools, academy trusts are also encouraged to follow this guidance.

35. The statutory guidance covers objectives and timeframes with appropriate monitoring
of progress. For maintained schools, the governing board must ensure that parents
(or the pupil if 18 or older) (and the local authority where the pupil has an Education,
Health and Care (EHC) plan are notified in writing and provided with information
about the placement16. The governing board must invite the parents (or the pupil if 18
or older) (and the local authority if the pupil has an EHC plan) when a review meeting
takes place17.

36. The governing board should involve parents within review meetings and set these
out at the time a direction is made and include arrangements for reviews – including
how often the placement will be reviewed, when the first review will be and who
should be involved in the reviews. Once a pupil is directed off-site, information about
reviews should be provided to the pupil’s parents (or the pupil if 18 or older) and to

15
Section 29A of the Education Act 2002.
16
Regulation 3 of the Education (Educational Provision for Improving Behaviour) Regulations 2010 as
amended.
17
Regulation 5 of the Education (Educational Provision for Improving Behaviour) Regulations 2010 as
amended.
18
 the local authority where the pupil has an EHC plan. This should include outcomes of
the reviews18 and of the placement.

37. For example, review meetings should take place between the school, parents, the
pupil, and other agencies e.g., a pupil’s social worker, CAMHS, Multi-Agency
Safeguarding Hubs (MASH) and Youth Offending Teams (YOTs), the local authority
(if a pupil has an EHC plan) to establish agreed monitoring points to discuss the
pupil’s ongoing behaviour. These reviews should be recorded and frequent enough to
provide assurance that the off-site direction is achieving its objectives via monitoring
points.

38. Parents (or pupils aged 18 or over) and, where the pupil has an EHC plan, the local
authority can request, in writing, that the governing board hold a review meeting19
When this happens, governing boards must comply with the request as soon as
reasonably practicable, unless there has already been a review meeting in the
previous 10 weeks.

39. To support a pupil with re-integration into their referring school, the focus of
intervention whilst off-site should remain on ensuring that a pupil continues to receive
a broad and balanced curriculum whilst any inappropriate behaviours which require
intervention are being addressed. If a pupil with disability or SEN has been moved off-
site, the duties under the Equality Act 2010 and the Children and Families Act 2014
continue to apply (for example, to make reasonable adjustments or to put support in
place to meet SEN).

40. The length of time a pupil spends in another mainstream school or AP will depend on
what best supports the pupil’s needs and potential improvement in behaviour. The
length of time a pupil spends in another mainstream school or AP and the re-
integration plan should be kept under review.

Managed moves

41. A managed move should only be offered as a permanent transfer, and only when the
pupil has been attending the proposed new school under an off-site direction and a
review of the direction has established that the pupil has settled well into the school
and should remain there on a permanent basis. Under exceptional circumstances,
such as a safeguarding concern, it may be appropriate for a pupil at any mainstream
school to transfer to another mainstream school as a managed move, but this should

18
Regulation 6 of the Education (Educational Provision for Improving Behaviour) Regulations 2010.
19
Regulation 4A of the Education (Educational Provision for Improving Behaviour) Regulations 2010.
19
 only happen when it is in the pupil’s best interest.

42. Managed moves should be a permanent move, voluntary and agreed with all parties
involved, including the parents and the admission authority of the new school. Where
a pupil has an EHC plan, the relevant statutory duties on the new school and local
authority will apply. If the current school is contemplating a managed move, it should
contact the authority at an early stage. If the local authority, both schools and parents
are in agreement that there should indeed be a managed move, the local authority will
need to follow the statutory procedures for amending a plan20.

43. If a parent believes that they are being pressured into a managed move or is
unhappy with a managed move, they can take up the issue through the official school
complaint procedure with the governing board and the local authority. Within the
school inspections framework21, under leadership and management, Ofsted will
consider any evidence found of a parent being pressured into a managed move as
off-rolling and is likely to judge a school as inadequate.

Variation in exclusion rates

44. There are longstanding national trends which show that particular groups of children
are more likely to be excluded from school, both for a suspension or permanent
exclusion. All of these factors will differ for each child, and the influence of out-of-
school factors will vary according to local context, so it is important that schools, local
authorities and local partners work together to understand what lies behind local
trends. Using this understanding, local leaders will be best placed to effectively plan
and put in place additional and targeted action based on their own context. If they
identify any gaps, they are also in the position to act to ensure those who work with
children have the training, services and support they need to address these22.

Pupils with disabilities and Special Educational Needs (SEN)

including those with Education, Health and Care plans (EHC
plans)
45. The Equality Act 2010 requires schools to make reasonable adjustments for disabled
pupils. This duty can in principle apply both to the suspensions and permanent
exclusions process and to the disciplinary sanctions imposed. Under the Children and

20
The processes for amending a plan are set out in sections 37 and 44 of the Children and Families Act
2014 and regulations 22 and 28 of the Special Educational Needs and Disability Regulations 2014.
21
School inspection handbook - GOV.UK (www.gov.uk)
22
Timpson Review of School Exclusion (publishing.service.gov.uk)
20
 Families Act 2014, governing boards of relevant settings23 must use their ‘best
endeavours’ to ensure the appropriate special educational provision is made for
pupils with SEN, which will include any support in relation to behaviour management
that they need because of their SEN.

46. Schools should engage proactively with parents in supporting the behaviour of pupils
with additional needs.

47. Where a school has concerns about the behaviour, or risk of suspension and
permanent exclusion, of a pupil with additional needs, a disability or an EHC plan it
should, in partnership with others (and where relevant, the local authority), consider
what additional support or alternative placement may be required. This should involve
assessing the suitability of provision for a pupil’s SEN or disability.

48. Where a pupil has an EHC plan, schools should contact the local authority about any
behavioural concerns at an early stage and consider requesting an early annual
review prior to making the decision to suspend or permanently exclude. For those
without an EHC plan, the school should review, with external specialists as
appropriate, whether the current support arrangements are appropriate and what
changes may be required. This may provide a point for schools to request an EHC
assessment or a review of the pupil’s current package of support, which may then be
increased.

Pupils who have a social worker, including looked-after

children, and previously looked-after children
49. For the majority of children who have a social worker, this is due to known
safeguarding risks at home or in the community: over half are in need due to abuse or
neglect.24 For children with a social worker, education is an important protective
factor, providing a safe space for children to access support, be visible to
professionals and realise their potential. Where children are not in school, they miss
the protection and opportunities it can provide, and become more vulnerable to harm.
However, headteachers should balance this important reality with the need to ensure
calm and safe environments for all pupils and staff, so should attempt to devise
strategies that take both of these aspects into account.

50. Where a pupil has a social worker, e.g., because they are the subject of a Child in
Need Plan or a Child Protection Plan, and they are at risk of suspension or permanent

23
The duty under section 66 of the Children and Families Act 2014 applies to certain settings, including
mainstream schools, maintained nursery schools, academies, alternative provision academies and pupil
referral units.
24
Characteristics of children in need, Reporting Year 2021 – Explore education statistics – GOV.UK
(explore-education-statistics.service.gov.uk)
21
 exclusion, the headteacher should inform their social worker, the Designated
Safeguarding Lead (DSL) and the pupil’s parents to involve them all as early as
possible in relevant conversations.

51. Where a looked-after child (LAC) is likely to be subject to a suspension or permanent

exclusion, the Designated Teacher (DT) should contact the local authority’s Virtual
School Head (VSH) as soon as possible. The VSH, working with the DT and others,
should consider what additional assessment and support need to be put in place to
help the school address the factors affecting the child’s behaviour and reduce the
need for suspension or permanent exclusion. Where relevant, the school should also
engage with a child’s social worker, foster carers, or children’s home workers.

52. All looked-after children should have a Personal Education Plan (PEP) which is part
of the child’s care plan or detention placement plan25. This should be reviewed every
term and any concerns about the pupil's behaviour should be recorded, as well as
how the pupil is being supported to improve their behaviour and reduce the likelihood
of exclusion being necessary. Monitoring of Personal Education Plans can be an
effective way for VSHs to check on this.

53. For previously looked-after children who are on the path to being suspended or
permanently excluded, the school should engage with the child’s parents and the
school’s DT. The school may also seek the advice of the VSH on strategies to support
the pupil. Further information can be found in the guidance for the designated teacher
for looked-after and previously looked-after children.

25
Promoting the education of looked-after children and previously looked-after children
(publishing.service.gov.uk)
22
Part five: The headteacher’s duty to inform parties
about an exclusion
To ensure that a child receives the correct support and safeguarding during a suspension
or permanent exclusion, it is important that those responsible for their care are promptly
informed when such exclusions occur or there is a risk of them occurring. This section
sets out how and when schools should share information with parents, social workers,
Virtual School Heads, local authorities, and governing boards.

Duty to inform parents about an exclusion26

54. Whenever a headteacher suspends or permanently excludes a pupil they must,
without delay, and no later than three days after their decision, notify parents of the
period of the suspension or permanent exclusion and the reason(s) for it.

55. They must also, no later than three days, after their decision, provide parents with the
following information in writing:

• the reason(s) for the suspension or permanent exclusion;

• the period of a suspension or, for a permanent exclusion, the fact that it is
permanent;

• parents’ right to make representations about the suspension or permanent

exclusion to the governing board (in line with the requirements set out in
paragraphs 86 to 95) and how the pupil may be involved in this;

• how any representations should be made; and

• where there is a legal requirement for the governing board to consider the
suspension or permanent exclusion, that parents or a pupil if they are 18 years old
have a right to attend a meeting, to be represented at that meeting (at their own
expense) and to bring a friend.

56. Written notification of the information mentioned in the above paragraph 55 can be
provided by delivering it directly to the parents, leaving it at their usual or last known
home address, or posting it to that address. Notices can be given electronically if the
parents have given written agreement for this kind of notice to be sent in this way27.

26
Paragraphs 54 to 63 gives guidance about section 51A Education Act 2002.
27
Section 572 Education Act 1996.
23
57. Where a suspended or permanently excluded pupil is of compulsory school age the
headteacher must also notify the pupil’s parents of the days on which they must
ensure that the pupil is not present in a public place at any time during school hours.

58. These days would be the first five school days of a suspension or permanent
exclusion (or until the start date of any full-time alternative provision or the end of the
suspension where this is earlier). Any parent who fails to comply with this duty without
reasonable justification commits an offence and may be given a fixed penalty notice
or be prosecuted. The headteacher must notify the parents of the days on which their
duty applies without delay and, at the latest, by the end of the afternoon session on
the first day of the suspension or permanent exclusion28.

59. If alternative provision is being arranged, then the following information must be
included with this notice where it can reasonably be found out within the timescale:

• the start date for any provision of full-time education that has been arranged for
the child during the suspension or permanent exclusion;

• the start and finish times of any such provision, including the times for morning
and afternoon sessions where relevant;

• the address at which the provision will take place; and

• any information required by the pupil to identify the person they should report to on
the first day.

60. Where this information on alternative provision is not reasonably ascertainable by the
end of the afternoon session on the first day of the suspension or permanent
exclusion, it may be provided in a subsequent notice, but it must be provided without
delay and no later than 48 hours before the provision is due to start. The only
exception to this is where alternative provision is to be provided before the sixth day
of a suspension or permanent exclusion, in which case the information can be
provided with less than 48 hours’ notice with parents’ consent.

61. The information in paragraphs 57 to 60 must be provided in writing but can be

provided by any effective method (paragraph 66 provides guidance on this issue).

62. The failure of a headteacher to give notice of the information in paragraphs 57 and 60
by the required time does not relieve the headteacher of the duty to serve the notice.
A notice is not made invalid solely because it has not been given by the required time.

63. If a child is suspended again following their original suspension, or is subsequently

permanently excluded, the headteacher must inform parents and where relevant, the

28
Sections 103 to 105 Education and Inspections Act 2006 and regulations made under these sections.
24
 pupil’s social worker or local authority if the pupil has an EHCP, without delay and
issue a new exclusion notice to parents and the social worker.

Informing parents about an exclusion

64. For notifications under paragraph 54, although this must not delay notification,
notification should be in person or by telephone in the first instance as this would give
the parents an opportunity to ask any initial questions or raise concerns directly with
the headteacher. Things to consider:

• Has the school spoken to the parents (and when appropriate, the child’s social
worker) to ensure they fully understand the type/scale of the incident?

• Has the school considered how to communicate accessibly and clearly, including
whether parents may have particular communication needs relating to a disability
or having English as an additional language (EAL)?

• Has the school we provided sufficient details in the suspension or permanent

exclusion notice letter on the reasons for the suspension or permanent exclusion?

• Does the notice contain all the required information as set out in part six of the
statutory suspension and permanent exclusion guidance?

• Have we informed parents (and when appropriate, the pupil’s social worker or the
local authority if a pupil has an EHCP) whether their pupil will be able to sit any
national curriculum test(s) or public examination(s) occurring during the
suspension or permanent exclusion?

• When several suspensions have been issued in a term, have I informed parents of
their right of representation to the governing board?

• Letter templates might be available from the local authority.

65. When notifying parents about a suspension or permanent exclusion, the headteacher
should set out what arrangements have been made to enable the pupil to continue
their education prior to the start of any alternative provision or the pupil’s return to
school, in line with legal requirements and guidance in part six.

66. For notifications under paragraphs 57 to 59, effective methods for providing the
information may include email or text message, giving the notice directly to the
parents, or sending the information home with the suspended or permanently
excluded pupil. Where information is sent home with the pupil, the headteacher
should consider sending a duplicate copy by an alternative method or confirming that
the information has been received.

25
67. When notifying parents about a suspension or permanent exclusion, the headteacher
should draw attention to relevant sources of free and impartial information. This
information should include:

• [To be updated] A link to this statutory guidance on exclusions

(https://www.gov.uk/government/publications/school-exclusion).

• Coram’s Child Law Advice service can be accessed through their website
https://childlawadvice.org.uk/information-pages/school-exclusion/ or contacted on
0300 330 5485 from Monday to Friday, 8am – 6pm.

• ACE education run a limited service and can be reached on 0300 0115 142 on
Monday to Wednesday from 10am to 1pm during term time. Information can be
found on the website: http://www.ace-ed.org.uk/.

• Independent Provider of Special Education Advice (known as IPSEA –

www.ipsea.org.uk) is a registered charity. It offers free and independent
information, advice and support to help get the right education for children and
young people with all kinds of special educational needs (SEN) and disabilities.

• Autism Education Trust (AET), via the National Autistic Society (NAS) operates a
helpline and advice service for parents whose child is at risk or has been
excluded. They also provide guidance and advice for education professionals on
good practice and the law with regard to autistic children/young people and
exclusion. Contact 0207 903 3660. Website: autismeducationtrust.org.uk.

• SEN Information Advice & Support Services Network (formerly known as the local
parent partnership)

Informing social workers and Virtual School Heads about an

exclusion

68. Information sharing is vital in safeguarding children and promoting their welfare,
including their educational outcomes. Schools should be proactive in sharing
information as early as possible to help identify, assess, and respond to risks or
concerns about the safety and welfare of children. Keeping children safe in education
and Working Together to Safeguard Children set out the requirements for schools and
colleges with regard to information sharing in more detail.

69. Whenever a headteacher suspends or permanently excludes a pupil they must,

without delay, and no later than three days after their decision, also notify the social

26
 worker, if a pupil has one, and the VSH, if the pupil is a LAC29, of the period of the
suspension or permanent exclusion and the reason(s) for it. The information in
paragraphs 57 to 60 must be provided in writing to the local authority.

70. Both the social worker and VSH should, as far as possible, attend the governing
board meeting if there is one, in order to share information. Further guidance to social
workers and Virtual School Heads on attending a governing board meeting can be
found in paragraphs 115 to 117.

Informing the governing board and the local authority about

an exclusion30
71. The headteacher must, without delay, notify the governing board and the local
authority of:

• any permanent exclusion (including where a suspension is followed by a decision

to permanently exclude the pupil);

• any suspension or permanent exclusion which would result in the pupil being
suspended or permanently excluded for a total of more than five school days (or
more than ten lunchtimes) in a term; and

• any suspension or permanent exclusion which would result in the pupil missing a
public examination or national curriculum test.

72. For a permanent exclusion, if the pupil lives outside the local authority area in which
the school is located, the head teacher must also notify the pupil’s ‘home authority’ of
the permanent exclusion and the reason(s) for it without delay. The headteacher must
also inform the local authority and governing board once per term of any other
suspensions of which they have not previously been notified.

73. Notifications must include the reason(s) for the suspension or permanent exclusion
and the duration of any suspension or, in the case of a permanent exclusion the fact
that it is permanent.

74. When removing a pupil from the school roll, the governing board must ensure this is
done under the circumstances prescribed by the Education (Pupil Registration)
(England) Regulations 2006, as amended. If applicable, the pupil’s name should be
removed from the school roll at the appropriate time.

29
If the pupil is previously looked-after (PLAC) the VSH should provide advice and information, upon
request from relevant parties (DT, parents, etc) but does not have a corporate parent role that they have for
LAC.
30
Paragraphs 71 to 74 gives guidance about section 51A Education Act 2002.
27
Guidance to the head teacher on informing the governing board about
an exclusion
75. The head teacher should ask the chair of the governing board whether there are clear
processes in place for considering suspensions and permanent exclusions, such as:

• Ensuring parents and pupil are aware of their right to a consideration by the
governing board
• Asking whether the governing board have taken steps to find a convenient date
that the parent, other relevant parties, the local authority representative (if
relevant) and the head teacher can attend, within the legal time limits
• Asking the governing board whether they have considered how to involve the pupil
in the consideration process
• Collecting all relevant documents, anonymising them, if required, and providing
them to all parties

76. The head teacher should ensure that they have informed the governing board about
reinstatement and specify the correct timescale. They should also make clear to the
governing board whether the need to consider reinstatement is dependent on
receiving parental representations.

77. A head teacher should ensure a process is in place for a governing board when
considering reinstatement following a permanent exclusion:

• Do governors understand the suspension and permanent exclusion process to

enable a review within deadlines?
• Would governors benefit from additional training, including on behaviour
management, routines, norms and consequences, disability awareness, the
Equality Act 2010, the Children and Families Act 2014 and SEN provision?
• Is there a clear and timely system in place to enable parents to make
representations?
• Are there up-to-date templates for notifying parents of the decision and explaining
next steps?

28
Part six: The governing board and local authority’s
duties to arrange education for excluded pupils
Governing boards and local authorities play an important role in ensuring that children
who have been excluded from school receive a suitable education that facilitates their
successful reintegration or meets their long-term needs.

The education of pupils from the sixth day of an exclusion31

78. For a suspension of more than five school days, the governing board (or local
authority in relation to a pupil suspended from a PRU) must arrange suitable full-time
education for any pupil of compulsory school age. This provision must begin no later
than the sixth school day of the suspension. Where a child receives consecutive
suspensions, these are regarded as a cumulative period of suspension for the
purposes of this duty. This means that if a child has more than five consecutive
school days of suspension, then education must be arranged for the sixth school day
of suspension, regardless of whether this is as a result of one decision to suspend the
pupil for the full period or multiple decisions to suspend the pupil for several periods in
a row.

79. For permanent exclusions, the local authority must arrange suitable full-time
education for the pupil to begin from the sixth school day after the first day the
permanent exclusion took place32. This will be the pupil's ‘home authority’ in cases
where the school is located in a different local authority area.

80. In addition, where a pupil has an EHCP, the local authority may need to review the
plan or reassess the child’s needs, in consultation with parents, with a view to
identifying a new placement33.

81. The local authority must have regard to the relevant statutory guidance when carrying
out its duties in relation to the education of looked-after children, which can be found
here: Promoting the education of looked-after children and previously looked-after
children (publishing.service.gov.uk). Where a looked-after child is excluded, the
school should document the provision of immediate suitable education in the child’s
PEP.

31
Section 100 of the Education and Inspections Act 2006, section 19 of the Education Act 1996 and
regulations made under those sections apply to paragraphs 78 to 82.
32
The education arranged must be full-time or as close to full-time as in the child’s best interests because
of their health needs.
33
Section 44 of the Children and Families Act 2014 provides for reviews and reassessments, with further
detail in Part 2 of the Special Educational Needs and Disability Regulations 2014.
29
82. Provision does not have to be arranged by either the school or the local authority for
a pupil in the final year of compulsory education who does not have any further public
examinations to sit.

The education of pupils prior to the sixth day of an exclusion

83. It is important for schools to help minimise the disruption that suspension or
permanent exclusion can cause to a pupil’s education. Whilst the statutory duty on
governing boards or local authorities is to arrange full-time education from the sixth
day of a suspension or permanent exclusion, there is an obvious benefit in starting
this provision as soon as possible. In particular, in the case of a looked-after child or
child with a social worker, the school and the local authority should work together to
arrange alternative provision from the first day following the suspension or permanent
exclusion.

84. Where it is not possible, or not appropriate, to arrange alternative provision during the
first five school days of a suspension or permanent exclusion, the school should take
reasonable steps to set and mark work for the pupil. Online pathways such as Google
Classroom or Oak Academy can be used but schools should ensure that the work set
is accessible and achievable by the pupil outside school,

85. The chair of the governing board should ensure that there are clear processes in
place to comply with its legal duty to arrange suitable full-time educational provision
for pupils of compulsory school age from the sixth consecutive school day of a
suspension. This includes:

• Checking that there is a process in place for the governing board to assure itself
that the education provided is suitable and full-time
• Quality assuring provision, and ensuring that any previous placements been
evaluated, including in relation to support for any SEND the pupil may have
• Checking whether there is a process in place to monitor the pupil’s attendance and
behaviour at the provision
• Checking whether the correct attendance code is being used
• Checking whether the pupil’s child protection file and any other information
relevant to the pupil’s safeguarding and welfare been securely transferred to their
new setting as early as possible, in line with Keeping children safe in education
2021 (publishing.service.gov.uk)

30
Part seven: The governing board’s duty to consider an
exclusion
Governing boards have a key responsibility in relation to considering whether excluded
pupils should be reinstated. This forms part of their wider role to hold executive leaders to
account for the lawful use of exclusion, in line with the duties set out in law, including
equalities duties.34

Guidance for governing boards on considering an excluded

pupil’s reinstatement35
86. The governing board has a duty to consider parents’ representations about a
suspension or permanent exclusion. The requirements on a governing board to
consider the reinstatement of a suspended or permanently excluded pupil depend
upon a number of factors (these requirements are illustrated by the diagram on page
35, A summary of the governing board’s duties to review the head teacher’s exclusion
decision).

87. In the case of a maintained school, the governing board may delegate its functions
with respect to the consideration of a suspension or permanent exclusion to a
designated sub-committee consisting of at least three governors.

88. In the case of an academy, the governing board may delegate to a smaller sub-
committee if the trust’s articles of association allow them to do so.

89. The governing board must consider and decide on the reinstatement of a suspended
or permanently excluded pupil within 15 school days of receiving notice of a
suspension or permanent exclusion from the head teacher if:

• it is a permanent exclusion;

• it is a suspension which would bring the pupil's total number of school days out of
school to more than 15 in a term; or

• it would result in the pupil missing a public examination or national curriculum test.

90. The requirements are different for suspensions where a pupil would be suspended for
more than five but less than 16 school days in a term. In this case, if the parents
make representations, the governing board must consider and decide within 50

34
Governance Handbook 2019 (publishing.service.gov.uk)
35
Section 51A Education Act 2002 and regulations made under that section, as well as the School
Governance (Roles, Procedures and Allowances) (England) Regulations 2013 applies to paragraphs 86 to
95.
31
 school days of receiving the notice of suspension whether the suspended pupil should
be reinstated. In the absence of any representations from the parents, the governing
board can consider reinstatement on their own.

91. Where a suspension or permanent exclusion would result in a pupil missing a public
examination or national curriculum test, there is a further requirement for a governing
board. It must, so far as is reasonably practicable, consider and decide on the
suspension or permanent exclusion before the date of the examination or test. If it is
not practical for sufficient governors to consider the reinstatement before the
examination or test, the chair of governors, in the case of a maintained school, may
consider the suspension or permanent exclusion alone and decide whether or not to
reinstate the pupil36.

92. In the case of an academy the pupil’s reinstatement may be considered by a smaller
sub-committee if the trust’s articles of association allow them to do so.

93. The following parties must be invited to a meeting of the governing board and allowed
to make representations or share information:

• parents (and, where requested, a representative or friend);

• the pupil if they are 18 years or over;

• the headteacher;

• a representative of the local authority (in the case of a maintained school or

PRU);37

• the child’s social worker if the pupil has one; and

• the VSH if the child is LAC.

94. The governing board must make reasonable endeavours to arrange the meeting
within the statutory time limits set out above and must try to have it at a time that suits
all relevant parties. However, its decision will not be invalid simply on the grounds that
it was not made within these time limits.

95. In the case of a suspension which does not bring the pupil's total number of days of
suspension or permanent exclusion to more than five in a term, the governing board
must consider any representations made by parents. There is also no deadline for this

36
Where the chair is unable to make this consideration, then the vice-chair may do so instead.
37
Parents may request that the local authority and/or the home local authority attend a meeting of an
academy’s governing board as an observer; that representative may only make representations with the
governing board’s consent.
32
 meeting to be arranged, however, if this does occur then it should happen within a
reasonable amount of time. In the absence of any representations from the parents,
the governing board can consider reinstatement on their own.

Guidance for governing boards on using data on suspensions

and permanent exclusions
96. Governing boards should already be challenging and evaluating what their school’s
data is telling them about their school or academy trust. Boards should carefully
consider the level of pupil moves and the characteristics of pupils who are moving on
any permanent exclusions to ensure the sanction is only used when necessary as a
last resort.

97. Governing boards should review suspensions and permanent exclusions, those taken
off roll and those on roll but attending education off site. It is important to consider
both the cost implications of directing children to be educated off site in AP and
whether there are any patterns to the reasons or timing of moves. For example, if high
numbers of children with SEND are moving, the school, academy or trust may wish to
consider reviewing its SEN support.

98. Multi-academy trusts (MATs) may also choose to work with their academies to
consider this information, and whether or not there are patterns across academies
within a MAT, recognising that numbers in any one academy are often too low to
allow for meaningful statistical analysis.

99. Governing boards should consider:

• effectiveness and consistency in implementing the school’s behaviour policy

• the school register and absence codes

• instances where pupils receive repeat suspensions

• interventions in place to support pupils at risk of suspension or permanent

exclusion

• any variations in the rolling average of permanent exclusions to understand why

this is happening, and to ensure they are only used when necessary

• timing of moves and permanent exclusions, and whether there are any patterns,
including any indications which may highlight where policies or support are not
working

33
• understanding the characteristics of excluded pupils, and why this is taking place

• whether the placements of pupils directed off site into AP are reviewed at sufficient
intervals to provide assurance that the education is achieving its objectives and
that pupils are benefiting from it

• Further information can be found here: Understanding your data: a guide for
school governors and academy trustees - GOV.UK (www.gov.uk)

34
A summary of the governing board’s Conditions of exclusion
duties to review the headteacher’s
exclusion decision Governing board duties

Does the exclusion meet any of the following conditions?

• It is a permanent exclusion
• It is a suspension that alone, or in conjunction with previous
suspensions, will take the pupil’s total number of days out of school
above 15 for a term
• Will the suspension or permanent exclusion result in the pupil missing a
public exam or national curriculum test*
Yes No

The governing board must convene a Will the suspension(s) take

No the
meeting to consider reinstatement pupil’s total number of school
within 15 school days of receiving days out of school above five but
notice of the suspension or less than 16 for the term?
permanent exclusion.38

*If the pupil will miss a public exam or No

national curriculum test, the
The governing board
governing board must take must consider any
reasonable steps to meet before the representations made
date of the examination. If this is not by parents and has
practical, the chair of governors may the power to consider
the reinstatement of
consider pupil’s reinstatement Yes
the pupil.
alone.39

Have the pupil’s parents requested a governing board meeting?

Yes No

The governing board must convene a The governing board is not

meeting to consider reinstatement required to consider the
suspension but does have
within 50 school days of receiving the power to consider the
notice of the suspension. reinstatement of the pupil.

38
The governing board may delegate its functions to consider a suspension or permanent exclusion to a
designated committee.
39
The ability for a chair to review in the case of public exams refers only to maintained schools.
35
Preparing for the consideration of a suspension or permanent
exclusion
100. Where the governing board is legally required to consider the reinstatement of a
suspended or permanently excluded pupil they should:

• not discuss the suspension or permanent exclusion with any party outside the
meeting;

• ask for any written evidence in advance of the meeting, including witness
statements40 and other relevant information held by the school such as those
relating to a pupil’s SEN and the pupil’s school record;

• where possible, circulate any written evidence and information, including a list of
those who will be present, to all parties at least five school days in advance of the
meeting;

• allow parents and the pupil to be accompanied by a friend, representative (where

a pupil under 18 is to be invited as a witness, the governing board should first
seek parental consent);

• invite the pupil’s social worker, if they have one, and if the pupil is LAC, the VSH to
attend;

• comply with their duty to make reasonable adjustments for people who use the
school and consider what reasonable adjustments should be made to support the
attendance and contribution of parties at the meeting (for example where a parent
or pupil has a disability in relation to mobility or communication that has an impact
upon their ability to attend the meeting or to make representations); and

• identify the steps they will take to enable and encourage the suspended or
permanently excluded pupil to attend the meeting and speak on their own behalf
(such as providing accessible information or allowing them to bring a friend),
taking into account the pupil’s age and understanding; or how the suspended or
permanently excluded pupil may feed in their views by other means if attending
the meeting is not possible.

40
Witness statements can be gathered from the headteacher, the pupil’s teachers, the designated
safeguarding lead, the pupil themselves, the pupil’s parent(s) and if applicable, the designated teacher for
looked-after children. Where possible, written statements should also be gathered from the pupil’s social
worker, and for looked-after children the area’s Virtual School Head.
36
Pupils who may miss a public examination or national curriculum test
if they are suspended or permanently excluded
101. Whilst there is no automatic right for a suspended or permanently excluded pupil to
take a public examination or national curriculum test on the school's premises, the
governing board should consider whether it would be appropriate to exercise its
discretion to allow a suspended or permanently excluded pupil onto the premises for
the sole purpose of taking the examination or test or whether this could be facilitated
in another way.

Considering the reinstatement of a suspended or permanently

excluded pupil41
102. Where the governing board is legally required to consider reinstating a suspended
or permanently excluded pupil, they must consider both the interests and
circumstances of the suspended or permanently excluded pupil, and that of other
pupils, staff, and school community as a whole.

103. The governing board must also consider any representations made by or on behalf
of:

• parents or the pupil if they are over 18 years old;

• the head teacher;

• the pupil’s social worker if the pupil has one;

• if the pupil is looked after42, the VSH;

• and the local authority (in the case of a maintained school or PRU).

104. When establishing the facts in relation to a suspension or permanent exclusion the
governing board must apply the civil standard of proof, i.e., ‘on the balance of
probabilities’ (it is more likely than not that a fact is true) rather than the criminal
standard of ‘beyond reasonable doubt’.

105. In the light of its consideration, the governing board can either:

• decline to reinstate the pupil; or

41
Paragraphs 102 to 107 gives guidance about section 51A Education Act 2002.
42
If the pupil is previously looked-after (PLAC) the VSH should provide advice and information, upon
request from relevant parties (DT, parents, etc) but does not have a corporate parent role that they have for
LAC.
37
 • direct reinstatement of the pupil immediately or on a particular date.

106. Where a reinstatement meeting would make no practical difference because, for
example, the pupil has already returned to school following the expiry of a suspension
or the parents make clear they do not want their child reinstated, the governing board
must still meet to consider whether the pupil should or would have been officially
allowed back into the school. Ideally, a reinstatement meeting should happen as soon
as possible and should ideally be held before the pupil is back in school.

107. If it decides against the reinstatement of a pupil who has been permanently
excluded the parents can request an independent review.

Guidance on considering the reinstatement of a suspended or

permanently excluded pupil
108. The governing board should agree amongst themselves the steps they will take to
ensure all parties will be supported to participate in its consideration and have their
views properly heard. This is particularly important where pupils aged under 18 are
speaking about their own suspension or permanent exclusion or giving evidence to
the governing board.

109. The governing board should ensure that clear minutes are taken of the meeting as a
record of the evidence that was considered by the governing board. These minutes
should be made available to all parties on request and the record of discussion should
state clearly how the decisions have been reached.

110. The governing board should ask all parties to withdraw from the meeting before
making a decision. Where present, a clerk may stay to help the governing board by
reference to their notes of the meeting and with the wording of the decision letter.

111. In reaching a decision on whether or not a pupil should be reinstated, the governing
board should consider whether the decision to suspend or permanently exclude the
pupil was lawful, reasonable, and procedurally fair. This should take into account the
welfare and safeguarding of the pupil and their peers, the headteacher’s legal duties
and any evidence that was presented to the governing board in relation to the
decision to exclude.

112. The governing board should note the outcome of its consideration on the pupil's
educational record, and copies of relevant papers should be kept with the educational
record.

113. In cases where the governing board considers parents’ representations but does not
reinstate the pupil, it should consider whether it would be appropriate to place a note
of its findings on the pupil’s educational record.

38
114. Claims of discrimination to the First-tier Tribunal43 (Special Educational Needs and
Disability), in relation to disability, or County Court44, for all other forms of
discrimination, can be made up to six months after the discrimination is alleged to
have occurred. Schools should retain records and evidence relating to an exclusion
for at least six months in case such a claim is made.

Guidance to social workers and Virtual School Heads on

attending the governing board meeting

Social workers
115. It is likely that pupils with a social worker have experienced or are experiencing
adversity or difficulties. Social workers can provide important information that helps
the governing board understand the experiences of a pupil and their welfare.

116. Social workers should, as far as possible, attend the governing board meeting to
share information. This should include helping to identify how the pupil’s
circumstances may have influenced the circumstances of the pupil’s suspension or
permanent exclusion and ensuring that safeguarding needs and risks and the child’s
welfare are taken into account.

Virtual School Heads

117. The VSH should, as far as possible, attend the governing board meeting to share
information, where the pupil is a looked-after child. This should include helping the
governing board to understand the pupil’s background and circumstances. They
should also be able to advise the board on the possible contribution that the pupil’s
circumstances could have made to the suspension or permanent exclusion.

43
As with the county court for other types of discrimination, claims have to be brought within 6 months of
the act to which the claim relates, and the tribunal has the power to consider claims after that time has
passed if it considers it just and equitable to do so.
44
Proceedings must be brought within 6 months of the date of the act to which the claim relates, although
the county court has power to extend this period if it considers it just and equitable to do so.
39
The governing board’s duty to notify people after its
consideration of reinstatement45
118. Where legally required46 to consider reinstating a suspended or permanently
excluded pupil, the governing board must notify parents or the pupil if they are 18
years or over, the headteacher, and where relevant, the pupil’s social worker and or
the VSH of its decision, and the reasons for it, in writing and without delay. Where the
pupil resides in a different local authority area from the one in which the school is
located, the governing board must also inform the pupil's ‘home authority’.

119. In the case of a permanent exclusion where the governing board decides not to
reinstate the pupil, the governing board’s notification must state that the exclusion is
permanent and provide notice of parents’ right to ask for the decision to be reviewed
by an independent review panel and the following information:

• the date by which an application for a review must be made (i.e., 15 school days
from the date on which notice in writing of the governing board's decision is given
to parents – see paragraph 123);

• where and to whom an application for a review (and any written evidence) should
be submitted;

• that any application should set out the grounds on which it is being made and that,
where appropriate, this should include a reference to how the pupil’s SEN are
considered to be relevant to the permanent exclusion;

• that, regardless of whether the permanently excluded pupil has recognised SEN,
parents have a right to require the local authority/academy trust to appoint a SEN
expert to advise the review panel;

• details of the role of the SEN expert; and

• that parents may, at their own expense, appoint someone to make written and/or
oral representations to the panel.

120. That, in addition to the right to apply for an independent review panel, if parents
believe that there has been unlawful discrimination in relation to the permanent
exclusion then they may make a claim under the Equality Act 2010 to the First-tier
Tribunal (Special Educational Needs and Disability) in the case of disability

45
Paragraphs 118 to 123 gives guidance about section 51A Education Act 2002.
46
In the case of a suspension which does not leave the pupil’s total number of days of suspension or
permanent exclusion above five in a term, or a suspension which leaves the total at or above five but below
15 and where the parent or adult pupil does not make representations, the governing board are not
required to inform parents about reinstatement.
40
 discrimination, or the County Court, in the case of other forms of discrimination.

121. That a claim of discrimination under the Equality Act 2010 made under these routes
should be lodged within six months of the date on which the discrimination is alleged
to have taken place (e.g., the day on which the pupil was permanently excluded).

122. The governing board may provide the information in paragraphs 118 and 119 by
delivering it directly to parents in person or to their last known address or posting it
first class to that address.

123. Notice is deemed to have been given on the same day if it is delivered or on the
second working day after posting if it is sent by first class mail.

Providing information to parents following its decision on

reinstatement
124. The governing board should set out the reasons for its decision in sufficient detail to
enable all parties to understand why the decision was made.

125. Where relevant, it will be for the governing board to confirm the details of where the
parents’ application for an independent review panel should be sent. This is normally
the clerk of the independent review panel. The notice should make it clear that
parents are entitled to bring a friend to the review.

126. In providing details of the role of the SEN expert, the governing board should refer
to the statutory guidance provided to SEN experts in paragraphs 218 to 221. The
notice should explain that there would be no cost to parents for this appointment and
that parents must make clear if they wish for a SEN expert to be appointed in any
application for a review.

127. Where the governing board declines to reinstate the pupil, it should draw the
attention of parents to relevant sources of free and impartial information that will allow
them to make an informed decision on whether and, if so, how to seek a review of the
decision. This information should be included in the letter notifying parents of a
decision not to reinstate a permanently excluded pupil, which should also include the
information set out in paragraph 67.

41
Part eight: The governing board’s duty to remove a
permanently excluded pupil’s name from the school
register
The correct removal of pupils from the school admission register is critical to ensuring
that permanent exclusions are carried out lawfully and that such pupil movements can be
effectively monitored. By carrying this role out properly, governing boards can reduce
opportunities for the illegal off-rolling of children and make this issue easier to identify
and tackle.

Guidance for governing boards on removing an excluded

pupil’s name from the school register47
128. The governing board must ensure that a pupil's name is removed from the school
admission register if:

• 15 school days have passed since the parents were notified of the governing
board’s decision to not reinstate the pupil and no application has been made for
an independent review panel; or

• the parents have stated in writing that they will not be applying for an independent
review panel.

129. The school cannot backdate the deletion of the pupil’s name to the date the pupil’s
exclusion began.

130. Where an application for an independent review panel has been made within 15
school days, the school must wait until the review has been determined, or
abandoned, and until the governing board has completed any reconsideration that the
panel has recommended or directed it to carry out, before removing a pupil’s name
from the register. Where a pupil’s name is to be deleted from the school admissions
register because of a permanent exclusion the school must make a return to the local
authority.

131. The return must include:

47
Regulations 8(1)(m), 8(3)(e) and 8(4)(d) of the Education (Pupil Registration) (England) Regulations
2006, as amended, set out the circumstances in which a permanently excluded pupil must be removed
from the register. Regulation 12(7) of the Education (Pupil Registration) (England) Regulations 2006 as
inserted by Regulation 5 of the Education (Pupil Registration) (England) (Amendment) Regulations 2016
sets out the information that must be submitted to the local authority. Paragraphs 128 to 132 gives
guidance about section 51A Education Act 2002.
42
 • the pupil’s full name;

• the full name and address of any parent with whom the pupil normally resides;

• at least one telephone number at which any parent with whom the pupil normally
resides can be contacted in an emergency;

• and the grounds upon which their name is to be deleted from the admissions
register (i.e., permanent exclusion);

• if the pupil’s parent or parents have told the school that the pupil is going to live
with one or more of them at a new address, the return must also include the new
address, the name of the parent(s) the pupil is going to live there with, and the
date when the pupil is going to start living there;

• if the pupil’s parent or parents have told the school that the pupil is already
registered at another school or is going to go to another school, the return must
also give the name of that school and the first date when the pupil attended or is
due to attend there; and

• this return must be made as soon as the grounds for deletion is met and no later
than the deletion of the pupil’s name.

132. Where a pupil’s name is removed from the school register and a discrimination
claim is subsequently made, the First-tier Tribunal (Special Educational Needs and
Disability) or County Court has the power to direct that the pupil should be reinstated.

Guidance on providing exclusion data

133. In addition, within 14 days of a request, a governing board must provide to the
Secretary of State and (in the case of maintained schools and PRUs) the local
authority, certain information about any pupils suspended or permanently excluded
within the last 12 months48.

Guidance to schools on marking attendance registers

following permanent exclusion
134. Whilst a permanently excluded pupil’s name remains on a school’s admission
register, the pupil should be marked using the appropriate attendance code. Where
alternative provision has been made and the pupil attends it, an appropriate

48
As set out in the Education (Information About Individual Pupils) (England) Regulations 2013.
43
 attendance code, such as Code D (Dual Registered - at another educational
establishment) or Code B (Off-site educational activity, if the provision is an approved
educational activity that does not involve the pupil being registered at any other
school), should be used. Where pupils are not attending alternative provision, they
should be marked absent using Code E49.

Guidance on common transfer files

135. The common transfer file should be transferred within 15 school days of the pupil
ceasing to be registered at the school.

Guidance to schools on sharing child protection information

when a child is permanently excluded
136. Where pupils leave the school (including in year transfers) the designated
safeguarding lead should ensure their child protection file is transferred to the new
school or college as soon as possible, and within 5 days for an in-year transfer or
within the first 5 days of the start of a new term. This should be transferred separately
from the main pupil file, ensuring secure transit, and confirmation of receipt should be
obtained. Receiving schools and colleges should ensure key staff such as designated
safeguarding leads and SENCOs or the named person with oversight for SEN in
colleges, are aware as required.

49
Departmental advice on attendance codes can be found at the following link:
https://www.gov.uk/government/publications/school-attendance.
44
Part nine: The local authority/academy trust’s duty to
arrange an independent review panel
Independent review panels contribute to a robust process of scrutiny to ensure that
exclusions are lawful, reasonable, and procedurally fair. This section sets out how and
when local authorities and academy trusts should organise such reviews when
requested.

Arranging a date and venue50

137. If applied for by parents within the legal time frame, the local authority or (in the
case of an academy) the academy trust must, at their own expense, arrange for an
independent review panel hearing to review the decision of a governing board not to
reinstate a permanently excluded pupil.

138. The legal time frame for an application is:

• within 15 school days of notice being given to the parents by the governing board
of its decision not to reinstate a permanently excluded pupil (in accordance with
the requirements summarised in paragraph 118); or

• where an application has not been made within this time frame, within 15 school
days of the final determination of a claim of discrimination under the Equality Act
2010 in relation to the permanent exclusion51.

139. Any application made outside of the legal time frame must be rejected by the local
authority/academy trust.

140. The local authority/academy trust must not delay or postpone arranging an
independent review panel where parents also make a claim of discrimination in
relation to the permanent exclusion to the First-tier Tribunal (Special Educational
Needs and Disability) or the County Court52.

141. Parents may request an independent review panel even if they did not make
representations to, or attend, the meeting at which the governing board considered
reinstating the pupil.

142. The local authority/academy trust must take reasonable steps to identify a date for
the review that all parties, and any SEN expert appointed to give advice in person, are

50
Paragraphs 137 to 145 gives guidance about section 51A Education Act 2002.
51
The First-tier Tribunal (Special Educational Needs and Disability) and County Court have the jurisdiction
to hear claims of discrimination under the Equality Act 2010 which relate to exclusions.
52
In such circumstances, the Tribunal or Court may decide to delay its consideration until after the
independent review panel process has been completed.
45
 able to attend53. However, the review must begin within 15 school days of the day on
which the parent’s application for a review was made (panels have the power to
adjourn a hearing if required).

143. The venue must be reasonably accessible to all parties54.

144. The local authority/academy trust must arrange a venue for hearing the review.
Whatever the venue, the panel must hold the hearing in private unless the local
authority/academy trust directs otherwise.

145. Where the issues raised by two or more applications for review are the same, or
connected, the panel may combine the reviews if, after consultation with all parties,
there are no objections.

Guidance to the local authority and academy trust on arranging a date

and venue for a review
146. The local authority/academy trust should take all reasonable steps to ensure the
venue for the review is appropriate and has a suitable area for the parties to wait
separately from the panel before the review.

147. Where the issues raised by two or more applications for review are the same, or
connected, but the panel does not combine the reviews, the local authority / academy
trust should take reasonable steps to ensure fairness and consistency. Where
possible, the same panel members should hear all related reviews.

Appointing panel members55

148. The local authority/academy trust must constitute the panel with either three or five
members (as decided by the local authority/academy trust) representing each of the
three categories below. A five-member panel must be constituted with two members
from each of the categories of school governors and headteachers56. These must be:

53
Where it is not possible to have in person representation by social workers or VSH, written statements
should be provided as far as possible.
54
When arranging a venue for the review, the local authority/academy trust must comply with its duties
under the Equality Act 2010 and consider what reasonable adjustments should be made to support the
attendance and contribution of parties at the review (for example where a parent or pupil has a disability in
relation to mobility or communication that impacts upon his/her ability to attend the meeting or to make
representations).
55
Paragraphs 148 to 151 gives guidance about section 51A Education Act 2002.
56
Head teachers/principals/teachers in charge of a PRU and governors/management committee members
of maintained schools, PRUs and Academies are eligible to be members of independent review panels
considering a permanent exclusion from any type of school covered by this guidance.
46
 • A lay member to chair the panel who has not worked in any school in a paid
capacity, disregarding any experience as a school governor or volunteer.

• Current or former school governors (of a maintained school, members of a PRU

management committees and directors of academy trusts) who have served as a
governor for at least 12 consecutive months in the last five years, provided they
have not been teachers or headteachers during that time.

• Headteachers or individuals who have been a headteacher within the last five
years.

149. A person may not serve as a member of a review panel if they:

• are a member of the local authority, if the excluding school is a maintained school
or pupil referral unit;

• are a director of the academy trust of the school, if the excluding school is an
academy;

• are the headteacher of the school who has permanently excluded the pupil or
anyone who has held this position in the last five years;

• are an employee of the local authority/academy trust, or the governing board, of

the school who has permanently excluded the pupil (unless they are employed as
a headteacher at another school);

• have, or at any time have had, any connection with the local authority/academy
trust, school, governing board, parents or pupil, or the incident leading to the
permanent exclusion, which might reasonably be taken to raise doubts about their
impartiality (though an individual must not be taken to have such a connection
simply because they are employed by the local authority/academy trust as a
headteacher at another school); or

• have not had the required training within the last two years (see paragraph 175).

150. In relation to panel members appointed by the local authority, sections 173(4) and
174(1) of the Local Government Act 1972 apply when determining allowances for
financial loss, travel, or subsistence. It is for the academy trust to determine its own
payment arrangements for panel members.

151. The local authority/academy trust must make arrangements to indemnify panel
members against any legal costs and expenses reasonably incurred as a result of any
decisions or actions connected to the review which are taken in good faith.

47
Guidance to the local authority/academy trust on appointing
independent review panel members
152. Every care should be taken to avoid bias or an appearance of bias. The local
authority/academy trust should request that prospective panel members declare any
conflict of interest at the earliest opportunity.

153. Where possible, panel members who are governors or head teachers should reflect
the phase of education (primary/secondary) and type of school from which the pupil
was permanently excluded, for example: special school; boarding school; PRU;
academy or maintained school.

154. The local authority/academy trust should consider whether the chair should be
someone with a legal qualification or other legal experience. This is particularly
important where a clerk will not be providing legal expertise to the panel.

155. To meet their duties within the statutory time frame, the local authority/academy
trust should identify a number of eligible individuals in each of the different categories
required to constitute an independent review panel in advance of an application for a
review.

Appointing a clerk and the clerk’s role57

156. The local authority/academy trust may appoint a clerk to provide advice to the panel
and parties to the review on procedure, law and statutory guidance on suspensions
and permanent exclusions.

157. Where appointed the clerk must perform the following additional functions:

• Make reasonable efforts to inform the following people that they are entitled to:
make written representations to the panel; attend the hearing and make oral
representations to the panel; and be represented:

a. the parents or pupil if they are 18 years old;

b. the headteacher;

c. the governing board; and

d. the local authority (in the case of a maintained school or PRU).

• Make reasonable efforts to circulate to all parties copies of relevant papers at least
5 school days before the review. These papers must include:

57
Paragraphs 156 to 158 gives guidance about section 51A Education Act 2002.
48
 a. the governing board’s decision;

b. the parents’ application for a review; and

c. any policies or documents that the governing board was required to have
regard to in making its decision.

• Give all parties details of those attending and their role, once the position is clear.

• Attend the review and ensure that minutes are produced in accordance with
instructions from the panel.

158. Where a clerk is not appointed, the functions in paragraph 157 become the
responsibility of the local authority/academy trust.

Guidance to the local authority/academy trust on appointing an

independent review panel clerk
159. The clerk should not have served as clerk to the governing board in the meeting at
which the decision was made by the governing board not to reinstate the pupil.

160. In addition to the training required by law, clerks should have an up to date
understanding of developments in case law which are relevant to suspension and
permanent exclusion.

161. Where a clerk is not appointed, the local authority/academy trust should consider
what additional steps it may need to take to ensure that the independent review panel
is administered properly.

Guidance to local authority/academy trust regarding the clerk’s role on

preparing for an independent review
162. The local authority/academy trust should ensure the clerk follows the advice below
(paragraphs 163 to 174).

163. The clerk should identify in advance of the meeting whether the pupil will be
attending. Where a permanently excluded pupil is attending the hearing,
consideration should be given in advance as to the steps that will be taken to support
his/her participation. If the permanently excluded pupil is not attending, it should be
made clear that they may feed in their views through a representative or by submitting
a written statement.

164. The clerk should inform the parents of their right to bring a friend to the hearing.

165. To review the governing board’s decision, the panel will generally need to hear from
those involved in the incident, or incidents, leading to the permanent exclusion. The
clerk should also try to ascertain whether an alleged victim, if there is one, wishes to

49
 be given a voice at the review. This could be in person, through a representative or by
submitting a written statement.

166. In the case of witnesses who are pupils of the school it will normally be more
appropriate for the panel to rely on written statements. Pupils may appear as
witnesses if they do so voluntarily and, if they are under 18, with their parents’
consent. In such cases, that pupil’s parents should be invited to attend the meeting in
support of their child.

167. Where character witnesses58 are proposed, the clerk should seek the agreement of
the panel; but this should be allowed unless there is good reason to refuse.

168. All written witness statements should be attributed, signed, and dated, unless the
school has good reason to wish to protect the anonymity of the witness, in which case
the statement should at least be dated and labelled in a way that allows it to be
distinguished from other statements.

169. The general principle remains that permanently excluded pupils are entitled to know
the substance behind the reason for their permanent exclusion and the school should
communicate this effectively with the pupil. Whilst carrying this out it is important to
ensure that any reasonable adjustments are made and recognising that the pupil may
have additional needs (e.g., speech, language and communication needs, cognition
difficulties or EAL).

170. Parties (who are parents, the pupil if they are 18 years or over, the headteacher of
the school, the responsible body, and the arranging authority) attending the hearing
have the right to be represented. Representatives may make written or oral
representations to the panel. If any of the parties wish to bring more than one friend or
representative, the clerk should seek the panel's agreement in advance, having
regard to a reasonable limit on numbers attending the review. All parents may attend,
if they wish to do so, and each can make representations and be represented.

171. In addition to written witness statements, the clerk should request written evidence
from the school to circulate it in advance of the meeting, such as policies and
documents of the school which the governing board would reasonably have been
expected to take account of in reaching its decision on reinstatement.

172. Where the school's case rests largely or solely on physical evidence, and where the
facts are in dispute, then the physical evidence, if practicable, should be retained and
be available to the panel. Where there are difficulties in retaining physical evidence,
photographs or signed witness statements should be used.

A character witness is someone who provides information not about the specifics of the incident(s) for
58

which the pupil was permanently excluded but about the pupil's character and behaviour in general.
50
173. Where the head-teacher who permanently excluded the pupil has left the school, the
panel may use its discretion in deciding whether to also invite this person to make
representations.

174. The clerk should notify the panel where requested documents have not been
provided so that the panel can take a decision on whether to adjourn the hearing to
allow for the documents to be provided.

Ensuring that panel members and clerks are trained59

175. The local authority/academy trust must ensure that all panel members and clerks
have received training within the two years prior to the date of the review. This
training must have covered:

• the requirements of the primary legislation, regulations and statutory guidance

governing suspensions and permanent exclusions on disciplinary grounds
(which would include an understanding of how the principles applicable in an
application for judicial review relate to the panel’s decision- making);

• the need for the panel to observe procedural fairness and the rules of natural
justice;

• the role of the chair of a review panel;

• the role of the clerk to a review panel;

• the duties of headteachers, governing boards, and the panel under the Equality
Act 2010

• the effect of section 6 of the Human Rights Act 1998 (acts of public authorities
unlawful if not compatible with certain human rights) and the need to act in a
manner compatible with human rights protected by that Act.

59
Paragraph 175 gives guidance about section 51A Education Act 2002.
51
Appointing a SEN expert

Guidance to the local authority and the academy trust on appointing a

SEN expert
176. If requested by parents with their application for an independent review, the local
authority/academy trust must appoint a SEN expert to attend the review and must
cover the associated costs of this appointment.

177. The local authority/academy trust must make arrangements to indemnify the SEN
expert against any legal costs and expenses reasonably incurred as a result of any
decisions or actions connected to the review and which are taken in good faith.

178. Parents or a pupil if they are 18 years or over have a right to request the attendance
of a SEN expert at a review, regardless of whether the school recognises that their
child has SEN.

179. The SEN expert’s role is set out in paragraphs 218 to 221.

180. Individuals may not serve as a SEN expert if they have, or at any time have had,
any connection with the local authority, academy trust, school, parents or pupil, or the
incident leading to the permanent exclusion, which might reasonably be taken to raise
doubts about their ability to act impartially. However, an individual should not be
assumed to have such a connection simply by virtue of the fact that he/she is an
employee of the local authority/academy trust. 60

181. The SEN expert should be someone who has expertise and experience of special
educational needs considered by the local authority/academy trust as appropriate to
perform the functions specified in the legislation.

182. The SEN expert should be a professional with first-hand experience of the
assessment and support of SEN, as well as an understanding of the legal
requirements on schools in relation to SEN and disability. Examples of suitable
individuals might include educational psychologists; specialist SEN teachers; special
educational needs coordinators (SENCOs); and behaviour support teachers. Recently
retired individuals are not precluded from fulfilling this role, though the local
authority/academy trust would need to assure themselves that the individual had a
good understanding of current practice and the legal requirements on schools in
relation to SEN and disability. Additionally, they should also be able to demonstrate
that they have experience of working in schools.

183. Whilst individuals are not automatically taken to be partial simply because they are
an employee of, or contracted by, a local authority or academy trust, they should not

60
Paragraphs 176 to 180 gives guidance about section 51A Education Act 2002.
52
 have had any previous involvement in the assessment or support of SEN for the
permanently excluded pupil, or siblings of the permanently excluded pupil. The local
authority/academy trust should request that prospective SEN experts declare any
conflict of interest at the earliest opportunity.

184. The final decision on the appointment of a SEN expert is for the local
authority/academy trust to make but it should take reasonable steps to ensure that
parents have confidence in the impartiality and capability of the SEN expert. Where
possible, this may include offering parents a choice of SEN expert. To meet its duties
within the statutory time frame, the local authority/academy trust should consider
maintaining a list of individuals capable of performing the role of SEN expert in
advance of a request.

185. It is for the local authority/academy trust to determine the amount of any payment in
relation to the appointment of the SEN expert, such as financial loss, travel, and
subsistence allowances.

53
Part ten: The roles of independent review panel
members, the clerk, the SEN expert, the social worker,
and the Virtual School Head in the conduct of an
independent review
The role of the independent review panel is to assess whether a pupil’s exclusion has
been lawful, reasonable, and procedurally fair and what further action might need to be
taken. This section offers guidance on how IRPs should be conducted, and the roles of
relevant experts and advocates, to achieve this.

Guidance on the independent review process61

186. Panel members and, if appointed, the SEN expert must declare any known conflict
of interest to the local authority/academy trust before the start of the review.

187. The role of the panel is to review the governing board’s decision not to reinstate a
permanently excluded pupil. In reviewing the decision, the panel must consider the
interests and circumstances of the permanently excluded pupil, including the
circumstances in which the pupil was permanently excluded, and have regard to the
interests of other pupils and people working at the school.

188. The panel must apply the civil standard of proof i.e., ‘on the balance of probabilities’
which means that it is more likely than not that a fact is true. This should be applied
rather than the criminal standard of ‘beyond reasonable doubt’.

189. Following its review, the panel can decide to:

• uphold the governing board’s decision not to reinstate;

• recommend that the governing board reconsiders reinstatement; or

• quash the governing board’s decision and direct that the governing board
reconsiders reinstatement.

190. The panel’s decision does not have to be unanimous and can be decided by a
majority vote. In the case of a tied vote, the chair has the casting vote.

191. The independent review panel’s decision is binding on the: pupil; parents; governing
board; headteacher; and local authority.

192. The panel may only quash a governing board’s decision not to reinstate if it
considers that the decision was flawed when considered in the light of the principles

61
Paragraphs 186 to 204 gives guidance about section 51A Education Act 2002.
54
 applicable on an application for judicial review (statutory guidance on this
consideration is provided by paragraphs 211 to 215).

193. New evidence may be presented to the panel, though the school may not introduce
new reasons for the permanent exclusion or for the decision not to reinstate the pupil
and the panel must disregard any new reasons that are introduced.

194. In deciding whether the governing board’s decision was flawed, and therefore
whether to quash the decision not to reinstate, the panel must only take account of
the evidence that was available to the governing board at the time of it making its
decision not to reinstate. This includes any evidence that the panel considers would,
or should, have been available to the governing board and that it ought to have
considered if it had been acting reasonably.

195. If evidence is presented that the panel considers it is unreasonable to expect the
governing board to have been aware of at the time of its decision, the panel can take
account of the evidence when deciding whether to recommend that the governing
board reconsider reinstatement.

196. Where a SEN expert is present, the panel must seek and have regard to the SEN
expert’s view of how SEN may be relevant to the pupil’s permanent exclusion.

197. Where a social worker is present, the panel must seek and have regard to the social
worker’s view of how the pupil’s experiences, needs, safeguarding risks and/or
welfare may be relevant to the pupil’s permanent exclusion.

198. Where a VSH is present, the panel must seek and have regard to the VSH’s view of
how any of the child's background, educational and safeguarding needs were
considered by the headteacher in the lead up to the permanent exclusion or relevant
to the pupil’s permanent exclusion.

199. The jurisdiction of the First-tier Tribunal (Special Educational Needs and Disability)
and County Court to hear claims of discrimination relating to a permanent exclusion
does not preclude an independent review panel from considering issues of
discrimination in reaching its decision.

200. If a panel directs a governing board to reconsider reinstatement it may order the
local authority to make an adjustment to the school’s budget or (in the case of an
academy) the academy trust to make an equivalent payment to the local authority in
whose area the school is located, unless within ten school days of receiving notice of
the panel’s decision, the governing board decides to reinstate the pupil. Paragraph
217 provides statutory guidance to panels on the circumstances under which this
payment should not be ordered. The sum of this adjustment/payment must be £4,000
and would be in addition to any funding that would normally follow a permanently
excluded pupil. The panel does not have the power to order a financial readjustment

55
 or payment in circumstances where it has only recommended that the governing
board reconsiders reinstatement of the pupil.

201. The panel may adjourn on more than one occasion, if necessary. However,
consideration must be given to the effect of adjournment on the parties to the review,
the permanently excluded pupil and their parents, and any victim.

202. A review cannot continue if the panel no longer has representation from each of the
three categories of members required (see paragraph 148). In this event, the panel
may be adjourned until the number can be restored.

203. Once a review has begun, no panel member may be substituted by a new member
for any reason. Accordingly, if the required representation cannot be restored from the
original members, a new panel must be constituted to conduct the review afresh. In
the case of a five-member panel, the panel may continue in the absence of any of its
members, provided all three categories of member are still represented.

204. Following the review, the panel must issue written notification to all parties without
delay. This notification must include:

• the panel’s decision and the reasons for it;

• where relevant, details of any financial readjustment/payment to be made if a

governing board does not subsequently decide to offer to reinstate a pupil within
ten school days; and

• any information that the panel has directed the governing board to place on the
pupil’s educational record.

Guidance to independent review panel members on the

conduct of an independent review panel
205. The chair should outline the procedure to be followed and explain to all parties that
the panel is independent of the school, the local authority and (in the case of an
academy) the academy trust. The panel should support all parties to participate in the
review and ensure that their views are properly heard. The independent review should
be conducted in an accessible, unthreatening, and non-adversarial manner.

206. Where a SEN expert has been requested but is not present, the panel should make
parents aware of their right to request that the review is adjourned until such time as a
SEN expert can attend.

207. It is for the panel to decide whether any witnesses should stay after giving evidence
for the rest of the review, but they should not be present before giving evidence.

56
208. In the interests of fairness and transparency, care should be taken to ensure that no
one, other than the clerk, is present with the panel in the absence of the other parties.
This includes the SEN expert. The panel should ask everyone, apart from the clerk, to
withdraw before the panel makes a decision. The clerk may stay to help the panel by
referring to the notes of the meeting and providing advice on the wording of the
decision letter.

209. Where parents are not seeking reinstatement for their child, this fact should be
acknowledged by the panel, but it should not affect the conduct of the panel or its
decision. Recording of the panel’s findings on a child’s educational record and an
acknowledgement by the governing board that it would be appropriate for it to offer to
reinstate the pupil are both potential outcomes in these circumstances.

210. If a panel cannot continue because it no longer has representation from each of the
three categories of members required (see paragraph 148) it should, having regard to
the circumstances and the effect on the parties, victim, and pupil/parent, adjourn to
allow reasonable time for enough missing members to become available.

Guidance to independent review panel members on coming to

a decision
211. The panel’s decision should not be influenced by any stated intention of the parents
or pupil not to return to the school. The focus of the panel’s decision is whether there
are sufficient grounds for them to direct or recommend that the governing board
reconsider its decision that the pupil should not be reinstated.

212. Public law principles underpin good decision-making. All decisions of a governing
board must be made in accordance with public law. Panels are expected to
understand the legislation that is relevant to suspensions and permanent exclusions
and the legal principles that apply. Headteacher and governing board members of
panels are likely to have first-hand experience of the education context that may be
relevant to considerations about whether a decision was reasonable in the
circumstances.

213. When considering the governing board’s decision in light of the principles applicable
in an application for judicial review, the panel should apply the following tests:

• Illegality – did the governing board act outside the scope of its legal powers in
deciding that the pupil should not be reinstated?

• Irrationality – did the governing board rely on irrelevant points, fail to take account
of all relevant points, or make a decision so unreasonable that no governing board
acting reasonably in such circumstances could have made it?

57
 • Procedural impropriety – was the governing board’s consideration so procedurally
unfair or flawed that justice was clearly not done?

214. Procedural impropriety means not simply a breach of minor points of procedure but
something more substantive, that has a significant impact on the quality of the
decision-making process. This will be a judgement for the panel to make, but the
following are examples of issues that could give rise to procedural impropriety: bias;
failing to notify parents of their right to make representations; the governing board
making a decision without having given parents an opportunity to make
representations; failing to give reasons for a decision; or being a judge in your own
cause (for example, if the headteacher who took the decision to exclude were also to
vote on whether the pupil should be reinstated).

215. Where the criteria for quashing a decision not to reinstate has not been met, the
panel should consider whether it would be appropriate to recommend that a
governing board reconsiders its decision not to reinstate the pupil. This should not be
the default option but should be used where evidence of procedural flaws has been
identified that do not meet the criteria for quashing the decision, but which the panel
believes justify a reconsideration of the governing board’s decision. This could include
when new evidence presented at the review hearing was not available to the
governing board at the time of its decision.

216. In all other cases the panel should uphold the governing board’s decision.

Guidance to independent review panel members on the

financial readjustment/payment
217. In the case of a maintained school or PRU, where a panel has quashed the
governing board’s decision and directed that it reconsiders, the panel should order
that a readjustment must be made to the school’s budget, unless within ten school
days of receiving notice of the panel’s decision, the governing board decides to
reinstate the pupil. In the case of an academy, where the panel has quashed the
governing board’s decision, the panel should order that the academy trust must make
a payment directly to the local authority in whose area the academy is located, unless
within ten school days of receiving notice of the panel’s decision, the governing board
decides to reinstate the pupil.

Guidance to SEN experts on their conduct during an

independent review
218. The SEN expert’s role is analogous to an expert witness, providing impartial
specialist advice to the panel on how SEN might be relevant to the permanent
exclusion. The SEN expert should base their advice on the evidence provided to the

58
 panel. The SEN expert’s role does not include making an assessment of the pupil’s
special educational needs.

219. The focus of the SEN expert’s advice should be on whether the school’s policies
which relate to SEN, or the application of these policies in relation to the permanently
excluded pupil, were lawful, reasonable, and procedurally fair (in line with the
guidance to panels in paragraph 213). If the SEN expert believes that this was not the
case, they should, where possible, advise the panel on the possible contribution that
this could have made to the circumstances of the pupil’s permanent exclusion.

220. Where the school does not recognise a pupil as having SEN, the SEN expert should
advise the panel on whether they believe the school acted in a legal, reasonable, and
procedurally fair way with respect to the identification of any SEN that the pupil may
potentially have, and any contribution that this could have made to the circumstances
of the pupil’s permanent exclusion.

221. The SEN expert should not criticise a school’s policies or actions simply because
they believe a different approach should have been followed or because another
school might have taken a different approach.

Guidance to social workers on their attendance at an

independent review
222. The focus of the social worker’s advice should be on whether the pupil’s welfare,
safeguarding needs and risks were considered in the lead up to the permanent
exclusion. If the social worker believes that this was not the case, they should, where
possible, advise the panel on the contribution that the pupil’s needs could have made
to the circumstances of the pupil’s permanent exclusion.

Guidance to Virtual School Heads on their attendance at an

independent review
223. The focus of the VSH role for any LAC should be on helping the panel consider
whether the child's background and educational needs were considered by the head
teacher in the lead up to the permanent exclusion, including whether any additional
support to the pupil could be provided to improve their behaviour and avoid exclusion
where possible. If the VSH believes that this was not the case, they should, where
possible, advise the panel on the contribution that the pupil’s needs could have made
to the circumstances of the pupil’s permanent exclusion.

59
Guidance to the clerk and local authority/academy trust on the
record of the proceedings of a review panel
224. The clerk to a review panel should ensure that minutes of the proceedings are
taken, including details of the attendance, the voting, and the decision.

225. The minutes are not public documents but should be retained by the local
authority/academy trust for a period of at least five years, as they may need to be
seen by a court or (in the case of maintained school) by the Local Government and
Social Care Ombudsman.

226. The local authority/academy trust should be aware of its duties under the Freedom
of Information Act 2000, the Data Protection Act 2018, and the General Data
Protection Regulation (EU) 2016/679 as it forms part of UK law (the UK GDPR) when
retaining information.

Guidance to the independent review panel and clerk on

notifying parties of the outcome of the review
227. If the panel upholds the governing board’s decision not to reinstate, the clerk should
immediately report this to the local authority (who should inform, where a pupil has
one, the social worker and VSH), and notify the parents and the governing board. If
the pupil lives outside the local authority area in which the school is located, the clerk
should make sure that the ‘home authority’ is also informed in writing of the outcome
of the review without delay. This includes any situation where parents withdraw or
abandon their application for a review.

60
Part eleven: The governing board’s duty to reconsider
reinstatement following a review
When an independent review panel directs or recommends a pupil’s reinstatement, the
governing board has the opportunity to look at the pupil’s reinstatement afresh. This
section offers guidance on how this reconsideration should be undertaken and the
necessary next steps.

Guidance on the governing board’s duty to reconsider

reinstatement following a review62
228. Where the panel directs or recommends that the governing board reconsider
whether a pupil should be reinstated, the governing board must reconvene to do so
within ten school days of being given notice of the panel’s decision. Notice is deemed
to have been given on the day of delivery if it is delivered directly or on the second
working day after posting if it is sent by first class mail.

229. It is important that the governing board conscientiously reconsiders whether the
pupil should be reinstated, whether the panel has directed or merely recommended it
to do so. Whilst the governing board may still reach the same conclusion as it first did,
it may face challenge in the courts if it refuses to reinstate the pupil, without strong
justification.

230. Following a direction to reconsider, unless within ten school days of receiving notice
of the panel’s decision the governing board decides to reinstate the pupil, an
adjustment will be made to the school’s budget in the sum of £4,000 if the panel has
ordered this. In the case of an academy, the school will be required to make an
equivalent payment directly to the local authority in whose area the school is located.
This payment will be in addition to any funding that would normally follow a
permanently excluded pupil.

231. If the governing board offers to reinstate the pupil within the specified timescale but
this is declined by the parents, no budget adjustment or payment can be made. The
governing board must comply with any direction of the panel to place a note on the
pupil’s educational record.

232. The clerk must also note, where a pupil is reinstated following a direction or
recommendation to reconsider, or would have been reinstated if it had been practical
to do so, the permanent exclusion does not count towards the rule that an admission
authority may refuse to admit a child who has been permanently excluded twice; nor,
in the case of a community or voluntary controlled school, does it count for the

62
Paragraphs 228 to 233 gives guidance about section 51A Education Act 2002.
61
 purposes of the rule that the governing board may appeal against the decision of the
local authority as the admission authority to admit the child.

233. In the case of either a recommended or directed reconsideration, the governing

board must notify the following people of their reconsidered decision, and the reasons
for it, in writing and without delay:

• the parents;

• the headteacher;

• the local authority; and, where relevant, the ‘home authority’.

234. The reconsideration provides an opportunity for the governing board to look afresh
at the question of reinstating the pupil, in light of the findings of the independent
review panel. There is no requirement to seek further representations from other
parties or to invite them to the reconsideration meeting. The governing board is not
prevented from taking into account other matters that it considers relevant. It should,
however, take care to ensure that any additional information does not make the
decision unlawful. This could be the case, for example, where new evidence is
presented, or information is considered that is irrelevant to the decision at hand.

235. The governing board should ensure that clear minutes are taken of the meeting as a
record of the evidence that was considered by the governing board. These minutes
should be made available to all parties on request.

236. The governing board should ask any parties in attendance to withdraw before
making a decision. Where present, a clerk may stay to help the governing board by
reference to their notes of the meeting and with the wording of the decision letter.

237. The governing board should note the outcome of its consideration on the pupil's
educational record, and copies of relevant papers should be kept with the educational
record.

238. The governing board should base its reconsideration on the presumption that a pupil
will return to the school if reinstated, regardless of any stated intentions by the
parents or pupil. Any decision of a governing board to offer reinstatement which is
subsequently turned down by the parents should be recorded on the pupil’s
educational record. The governing board’s decision should demonstrate how they
have addressed the concerns raised by the independent review panel.

62
Part twelve: The local authority’s role in overseeing the
financial readjustment/payment63
In certain cases, a transfer of funding will take place to ensure that the right resources
and support follows a pupil following their permanent exclusion. This section sets out
when the local authority is responsible for arranging such funding transfers.

Guidance to the local authority on overseeing the transfer of

funding following a permanent exclusion
239. The local authority cannot require a maintained school or academy to make any
additional payments following a permanent exclusion, other than the budget share
deductions set out in regulations, or the payments which an academy has to make
under its funding agreement64.

240. The local authority will be responsible for adjusting the budget share for maintained
schools and PRUs with delegated budgets if a pupil is permanently excluded, so
funding follows the pupil. The process and requirements are set out in the School and
Early Years Finance (England) Regulations65, issued on an annual basis.

241. A local authority may ask an academy trust to enter into an arrangement for the
transfer of funding for a pupil who has been permanently excluded, on the same basis
as if the academy were a maintained school. The academy trust may be obliged
under its funding agreement to comply with such a request.

242. If a review panel has ordered a financial adjustment, the local authority will be
responsible for reducing the budget share for the excluding school by a further
£4,000. If the excluding school is an academy, the academy trust must pay £4,000 to
the local authority.

243. If a review panel has made a financial adjustment order and the excluded pupil is
given a place at another school, including a PRU, (‘the admitting school’), the local
authority may, if it chooses, pass any or all of the amount of the financial adjustment
(i.e., up to £4,000) to the admitting school.

63
Paragraphs 239 to 243 gives guidance about section 51A Education Act 2002. The requirements for the
transfer of funding following an exclusion from a maintained school or PRU are set out in the Education
(Amount to Follow Permanently Excluded Pupil) Regulations 1999. Academy funding agreements may
require an academy to enter into a similar agreement with the local authority.
64
This does not include circumstances where a school has voluntarily entered into a separate legally
binding agreement with the local authority.
65
https://www.legislation.gov.uk/uksi/2021/59/made
63
244. This financial readjustment should be made within 28 days of notification of a
direction from the panel. The academy trust should be expected to make the payment
to the local authority in which the academy is located within the same timescale.

245. If an academy fails to comply with its legal requirement to pay following a direction
from an independent review panel, then the local authority will be responsible for
enforcing this requirement. However, the local authority should also inform the
Education and Skills Funding Agency.

64
Part thirteen: Statutory guidance to the headteacher,
governing board and independent review panel
members on police involvement and parallel criminal
proceedings
Police involvement and parallel criminal proceedings against a pupil may affect how the
exclusion and its review process are conducted, although they must always remain
lawful, reasonable, and procedurally fair. This section offers guidance to headteachers,
governing boards, and independent review panels when this is the case.

Guidance for headteachers, governing boards and

independent review panels on police involvement and parallel
criminal proceedings
246. The headteacher need not postpone taking a decision on a suspension and
permanent exclusion solely because a police investigation is underway and/or any
criminal proceedings may be brought. In such circumstances, the headteacher will
need to take a decision on the evidence available to them at the time. Please see
paragraphs 23 and 24 in this guidance [placeholder: for updated guidance on
KSCIE]. In all cases, schools should follow general safeguarding principles as found
in Keeping children safe in education 2021 (publishing.service.gov.uk).

247. Where the evidence is limited by a police investigation or criminal proceedings, the
headteacher should consider any additional steps they may need to take to ensure
that the decision to suspend or permanently exclude is fair. However, the final
decision on whether to suspend or permanently exclude is for the headteacher to
make.

248. Where the governing board is required to consider a reinstatement in these

circumstances, it cannot postpone its meeting and must decide whether or not to
reinstate the pupil on the evidence available.

249. The fact that parallel criminal proceedings are in progress should also not directly
determine whether an independent review panel should be adjourned. Relevant
factors for the panel to consider will include:

• whether any charge has been brought against the pupil and, if so, what the charge
is;

• whether relevant witnesses and documents are available;

• the likely length of delay if the hearing were adjourned and the effect it may have
on the suspended or permanently excluded pupil, the parents, any victim, or the

65
 school; and

• whether an adjournment or declining to adjourn might result in injustice.

250. Where a panel decides to adjourn, the clerk (or local authority/academy trust where
a clerk is not appointed) should monitor the progress of any police investigation
and/or criminal proceedings and reconvene the panel at the earliest opportunity. If
necessary, the panel may adjourn more than once (in line with the requirements
summarised in paragraph 201).

66
Annex A: Further information

Guidance Link
Behaviour in Schools Behaviour in Schools - GOV.UK (www.gov.uk)
Governance handbook and Governance Handbook 2019 (publishing.service.gov.uk)
competency framework
Alternative Provision Alternative Provision: Statutory guidance for local authorities, as
well as headteachers and governing bodies of settings providing
alternative provision - GOV.UK (www.gov.uk)

Education for children with health needs who cannot attend

school - GOV.UK (www.gov.uk)
Mental health in schools Mental health and behaviour in schools
(publishing.service.gov.uk)
Children with Special Children with special educational needs and disabilities (SEND) -
Educational Needs and GOV.UK (www.gov.uk)
Disabilities
SEND code of practice: 0 to 25 years - GOV.UK (www.gov.uk)
Departmental Advice on School attendance: guidance for schools - GOV.UK
attendance (www.gov.uk)
Departmental Advice on Keeping children safe in education 2021
safeguarding and child (publishing.service.gov.uk)
protection
Sexual violence and sexual harassment between children in
schools and colleges - GOV.UK (www.gov.uk)

Working Together to Safeguard Children 2018

(publishing.service.gov.uk)

Children missing education - GOV.UK (www.gov.uk)

Departmental Advice on Promoting the education of looked-after and previously looked-
Promoting the education of after children - GOV.UK (www.gov.uk)
looked-after and previously
looked-after children
Adverse Childhood Experiences training and resources (funded
by the Home Office): https://www.acesonlinelearning.com/

The designated teacher for looked-after and previously looked-

after children (publishing.service.gov.uk)
Sharing and publishing What maintained schools must publish online - GOV.UK
information (www.gov.uk)

What academies, free schools and colleges should publish online

- GOV.UK (www.gov.uk)

School to school service: how to transfer information - GOV.UK

(www.gov.uk)

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