Independent Exclusion Appeal Panels

Introduction

Through talking to people all over thecountry who work on organising appeal panels, we have discovered that there are some areas where appeal panels occur less frequently than in other areas and some whose standards fall significantly below the best.

The Council on Tribunals’ special report “School Admissions and Exclusion Appeal Panels” was quite critical of the way that some Independent Appeal Panels (IAPs) were run and we have had discussions with the Council to understand their concerns and with the EASI Group to draw on their experience.

As a result we have produced a list of ‘Top Tips’ that can be referred to before organising an IAP. For areas that are familiar with organising appealsthe list below can serve as a reminder on best practice.

Top Tips

Receipt of appeal

  1. The Clerk should check that the request for an appeal has been received within the time limit. The Regulations state that an appeal can be requested up to the 15th school day from the day on which the relevant person is given notice of the governor’s decision to uphold the permanent exclusion. Where the decision has been sent by first class post, the first day is counted from the second working day after the date of posting. For example, if the letter informing the parent of the governor’s decision to uphold the exclusion is posted first class on Monday 13 September 2004, then the last day for lodging an appeal would be Wednesday 6 October. If the appeal is received late, the Clerk should check that the notification was properly addressed.

Convening a panel

  1. The appeal must be heard by the 15th school day after the day the appeal hasbeen lodged.
  2. The panel could agree to adjourn the appeal until after the 15 school days if more evidence needs to be collected or for any other appropriate reason. The meeting can also be adjourned if the parent requests this and the panel agrees. This is explained fully in the DfES guidance on exclusions “Improving Behaviour and Attendance: Guidance on Exclusion from Schools and Pupil Referral Units” ref DfES/0354/2004. We do not normally give examples of grounds for adjourning as the reasons can be very varied and we would not want to give the impression that we are providing a set list of reasons.
  3. It may be useful to have a pool of trained people who satisfy the requirements of panel membersand who can be called on. Authorities with low volumes of appeals may find it helpful to agree a pooling arrangement with their neighbours and reciprocal agreements for head teachers. This could also help to ensure that the head teachers on panels have experience of the relevant phase of education. The Council on Tribunals have especially highlighted the importance of building a strong pool of individuals for such an important function as this.
  4. In areas with high numbers of minority ethnic pupils, it is good practice to have a panel which reflects the cultural diversity of the local community andlocal authorities should consider how best they can work towards this. Requests for panel members have to be advertised in the local newspaper, but can also be advertised in council magazines, news letters or publications aimed at school governors in order to reach different ethnic groups.
  5. Panel members should be fully trained in the process of a fair hearing and the law on exclusion appeals. This training should be updated regularly. We currently have training materials for Clerks and Chairs of IAPs on the Teachernet website, Other training is also provided by the local authority and external organisations.
  6. The Chair should have relevant chairing experience and be trained in chairing skills. It would be good practice if the Chair and/or Clerk were legally qualified (with knowledge about exclusions rather than general legal issues) or as a minimum,specifically trained in exclusions. Observing an IAP is not sufficient enough in itself to constitute training. Training for Chairs and Clerks should also be updated regularly.
  7. The Clerk to the appeal panel must not also be a clerk to a governing body.

Venue

  1. The accommodation for the appeal should be neutral (i.e. ideally not in a school) and should have a separate waiting room for the appellants. Factors such as the size and layout of the room should be considered so that it does not feel too formal or confrontational. Ideally everyone should be seated around a large table (if possible) and the Clerk and panel members should have name plates. Refreshments should be available.
  2. The room must have disabled access if required. Any special needs should be catered for (including the use of interpreters). Invitation letters should ask all participants about any special needs.

Inviting parties to the IAP

  1. Sufficient notice of time and date of meeting should be given and efforts made in advance to make sure that all parties can attend. It may be advisable to organise the time and date of the meeting around the availability of the parent.
  2. Documents such as notice of appeal written statements, Individual Education Plans, relevant policy(such as the school’s Behaviour Policy, SEN Policy, Ethnic Minority Inclusion Policy), pupil pastoral support plans and letters from the school/parents should be sent to all parties at least 5 working days before the appeal.The order of the hearing and a list of people who will be present should also be circulated.
  3. It is good practice to produce a Parents’ Guide about the appealand send it out along with theappeal hearing invitation letter. The guide should cover issues such as the role and powers of panel members, who can attend the appeal, sources of advice and any disability and race discrimination issues. The guide should also explain the process of the appeal, what to expect and any preparationsthe parentshould make.The Parents’ Guide should be available in the main languages of the authorities’ ethnic minorities. An example of such a booklet can be found on the DfES website at

Process at the IAP

  1. Every panel member must have a copy of the latest DfES guidance on exclusions and any other relevant guidance e.g. SEN Code of Practice, Commission for Racial Equality guidance for schools, Disability Rights Code of Practice. Panel members must by law have regard to the guidance.
  2. It may be useful for the panel members to have a pre-hearing meeting for about 15-20 minutes to make sure that they have all the relevant information and a grasp of the principles that will need to be applied.
  3. None of the parties should be alone in the presence of the appeal panel unless the Clerk is there.
  4. At the beginning of the hearing the Chair or Clerk (which one should be decided in advance, although it should usually be the Chair) should introduce the panel, explain what is going to happen and the possible outcomes. The Chair should also make sure that everyone is clear about the process and when questions can be asked.
  5. The Chair or Clerk should also explain how the panel will make their decision. This will be largely based on whether the panel is satisfied, on the balance of probabilities, that the child or young person has done what was alleged. The panel must also take into consideration whether the head teacher and the governing body complied with the law and had regard to the exclusions guidance when deciding to exclude the pupil. The panel should also have regard to the school’s behaviour and other relevant policies, and the fairness of the exclusion in relation to the treatment of any other pupils involved in the same incident.
  6. At the end of the hearing the Chair should check that the parents feel they have had a full opportunity to put forward their case. The Chair or Clerk should then let the parties know when a decision will be reached, and how and when the parties will be informed of it.
  7. The Clerk should keep papers from the appeal for the amount of time that is in line with the Authority’s paper retention policy (we recommend at least 5 years).
  8. Detailed reasons as to why the panel reached its decision must be given using the model letter in the DfES exclusions guidance.