A request for an Education, Health and Care assessment, EHC, needs assessment is submitted.

The 20 week process begins

Email/letters are sent to parents/young person and professionals, informing them that an EHC needs assessment is under consideration.

Decision making

The Local Authority will consider the evidence and decide if an EHC needs assessment is necessary.

Parents and/or the young person are informed whether or not an EHC needs assessment will take place.

If a decision is made not to proceed. Feedback will be provided and parent/s or young person informed of right to appeal.

SEN support continues.

EHC needs assessment

Parent/s of child/young person are asked to submit their contribution expressing their views, hopes and aspirations

Child/young person asked to submit their contribution expressing their views, hopes and aspiration. A parental contribution may also be submitted if the young person wishes.

Professional advice is requested.

Decision making

The Local Authority considers the information and evidence gathered as part of the EHC needs assessment and decides whether to issue an EHC plan

Parents/young person are informed of the decision

When it is decided an EHC plan will be issued, the Local Authority produces a draft EHC Plan.

If a decision is made not to proceed. Feedback provided and parent/s or young person informed of right to appeal

SEN Support continues.

Consultation on draft EHC Plan begins

The Local Authority send draft EHC Plan to parents or young person for a 15 day consultation

Parents and young person will have the opportunity to request a specific educational setting be named in the final plan

Personal budget statement offered

Final EHC Plan issued

The Local Authority finalises EHC Plan and send a copy to parents or young person and professionals involved in the EHC needs assessment

The EHC Plan must be reviewed writing 12 months

Parent/s or young person informed of right to appeal if not in agreement with SEN part of EHC Plan

Education Health and Care Plans (EHC Plans) are reviewed every 12 months. The review focuses on the progress of the child or young person has made towards meeting the outcomes in the plan and review whether the outcomes and targets are still appropriate. The annual review process should gather and assess information so that it can be used by the relevant professionals to support the child or young person progress. Review the provision to see if it is effective and supporting the person to make good progress. It should also consider whether the plan is still appropriate and progress made during the previous year. This could lead to a change in the EHC Plan such as changed targets, outcomes or a change in provision.

EHC Plans must be reviewed before a child moves from early years setting to primary, primary to secondary or secondary to post-16 education. It must be done in enough time to allow the new setting to plan the support needed.

The Local Authority must arrange for a review of a child or young person’s EHC plan at least annually or 6 monthly for a child under the age of 5 years and is an 8 week process.

The first review must be held within 12 months (or 6 monthly for a child under the age of 5 years) of the date of the issue of the EHC Plan.

The purpose of the EHC Plan review is to:

Review the child or young person’s progress towards achieving the outcomes specified in the EHC Plan and to make recommendations on what changes might need to be made to those outcomes and/or their support (including support provided through a Personal Budget) to help them achieve them

Consider the continuing appropriateness of the EHC Plan in the light of the child or young person’s progress during the previous year or changed circumstances and whether changes are required

Set new targets for the coming year and where appropriate, agree new outcomes

Review the health and social care provision

The review of an EHC Plan of a young person in the school year in which they turn 14 years of age (Year 9) and every review thereafter must include a focus on preparing for adulthood including employment, independent living and participation in society.

If a child or young person has an Education Health and Care Plan (EHC Plan) and is being educated out of area, it is the responsibility of the Local Authority to ensure the special educational provision is being met and they must review EHC Plan annually.

Also, if the child or young person is placed at an independent special school, non-maintained special school or independent specialist provider the LA must pay the appropriate costs. If it is a residential school then the LA should try to secure a place near the child’s home but equally must take into consideration the wishes and views of the child or young person and their families.

The Local Authority must also provide reasonable transport or transport assistance, which might include reimbursement of transport costs, petrol costs or a travel pass.

If you disagree with a local authority decision, the Children and Families Act 2014 outlines a clear process for resolving disagreements.

This can take the following forms:

Mediation which is designed to help resolve disagreements between parents, carers or young people and the Local Authority where it is specifically linked to decisions relating to Education Health and Care (EHC) assessments and plans

Appeals can be registered with the First Tier Tribunal where a disagreement has not been resolved through mediation. The First Tier Tribunal is independent of the local authority and its decisions are binding

Disagreement resolution is a more general process to resolve disagreements relating to SEN duties and special education, health and social care provision

Complaint procedures cover a number of different procedures to enable individuals to seek redress against statutory and non-statutory organisations

Single route of redress National trial 2018

The Council of the Isles of Scilly has commissioned Global Mediation to provide mediation services on its behalf to support children, young people and their families through the Education Health and Care Plan process and disagreements that may arise.

Mediation is a voluntary process for parents and young people, which can be used if agreement cannot be reached about matters related to Education and Health Care (EHC) plans. It is provided by a trained and accredited mediator who is independent of the local authority and Clinical Commissioning Group.

If you disagree with the local authority’s decisions regarding EHC statutory assessments and plans, mediation information and a certificate must be obtained prior to entering formal mediation or registering an appeal.

​

Mediation

Mediation is available to parents or young people if there is a disagreement about the local authority’s decision:

• not to carry out an EHC needs assessment or re-assessment

• not to draw up an EHC plan after an EHC needs assessment has been done

• not to amend an EHC plan after an annual review or re-assessment

• to cease to maintain an EHC plan.

Mediation is also be available if parents or young people disagree with:

• the parts of the EHC plan that describe the child or young person’s special educational needs

• the special educational provision set out in the EHC plan

• the health and social care elements of an EHC plan.

A request for mediation must be made within 2 months of the date of the decision notice by the local authority.

Appeal

Parents and young people can also register an appeal to the SEND Tribunal about the matters listed above. This is an independent first-tier tribunal who hear and decide parents’ or young peoples’ appeals against the decisions of the Local Authority in relation to Special Educational Needs.

In order to register an appeal you must first contact an independent mediation adviser and obtain a certificate to show that you have done so. The mediation adviser will provide you with factual information, explain what is involved and answer any questions you may have about mediation.

Once you have contacted the mediation adviser you can choose whether you wish to go to mediation or not. You will need a certificate from the mediation adviser before you can register your appeal with the SEND Tribunal.

There are some circumstances in which you do not need to have a certificate from a mediation adviser before you register an appeal with the SEND Tribunal. This is the case if the appeal is solely about the name of the school, college or other institution named on the EHC plan, the type of school, college or other institution specified in the plan or the fact that no school or other institution is named. In addition you do not need to seek mediation advice if the appeal is solely about the health and social care elements of an EHC plan.

If you are unsure whether these exceptions apply you can contact Cornwall and Isles of Scilly SENDIASS or Global Mediation for more information and advice.

If you decide to go to mediation, Global Mediation will make all the arrangements for you. The mediation will take place within 30 days and will be at a time and place that is convenient to you.

​The SEND Tribunal hears appeals against decisions made by local authorities in England in relation to children’s and young people’s EHC needs assessments and EHC plans. Parents (in relation to children from 0 to the end of compulsory schooling) and young people (over compulsory school age until they reach age 25) can appeal to the Tribunal, following contact with a mediation adviser in most cases (see above for details).

​Parents and young people can appeal to the Tribunal about:

• a decision by a local authority not to carry out an EHC needs assessment or re-assessment

• a decision by a local authority that it is not necessary to issue an EHC plan following an assessment

• the description of a child or young person’s SEN specified in an EHC plan, the special educational provision specified, the school or other institution or type of school or other institution (such as a mainstream school/college) specified in the plan or that no school or other institution is specified

• an amendment to these elements of the EHC plan

• a decision by a local authority not to amend an EHC plan following a review or re-assessment

• a decision by a local authority to cease to maintain an EHC plan.

The Tribunal does not hear appeals about Personal Budgets, but will hear appeals about the special educational provision to which a Personal Budget may apply.

The following conditions apply to appeals:

• the parent or young person can appeal to the Tribunal when the EHC plan is initially finalised, following an amendment or a replacement of the plan

• appeals must be registered with the Tribunal within two months of the local authority sending a notice to the parent or young person of the decision about one of the matters that can be appeal to the Tribunal or within one month of a certificate being issued following mediation or the parent or young person being given mediation information

• the right to appeal a refusal of an EHC needs assessment will be triggered only where the local authority has not carried out an assessment in the previous six months

when the parent or young person is appealing about a decision to cease to maintain the EHC plan the local authority has to maintain the plan until the Tribunal’s decision is made

Disagreement Resolution Service

Parents, carers or young people can choose to use a disagreement resolution service. This is voluntary and everyone involved must agree to it. Disagreement resolution services are free, confidential and independent of the local authority.

The service helps children and young people with SEN resolve the following types of disagreement or prevents them escalating:

• How the early years setting, school, college or local authority is carrying out its education, health and care duties for children and young people with special educational needs. This can include any of the SEN duties – not just those around EHC needs assessments or EHC plans.

• The provision that the early years setting, school, or college is making. This applies to children and young people with any kind of SEND, not just those going through an EHC needs assessment or with an EHC plan.

• The health or social care provision during an EHC needs assessment, while EHC plans are being drawn up or reviewed, or while waiting for an appeal, or when children or young people are being reassessed. In these cases, the disagreement will be with the local authority or Clinical Commissioning Group, rather than the early years setting, school, or college.

Complaint Procedures

Parents and young people who are unhappy with decisions about the health and social care elements of an EHC plan can also complain through the health and social care complaints procedures.

Complaints about the local authority. The Council of the Isles of Scilly has a complaints procedure for Children’s Services. This can be viewed on the Council of the Isles of Scilly website: www.scilly.gov.uk/childrens-services

Complaints to the NHS can be made in relation to all health services that a child or young person receives as part of an EHC plan. A complaint can be made to:

• A service provider (e.g. NHS Hospital Trust) where there are concerns regarding the service provided

• The Clinical Commissioning Group where there are concerns regarding the way in which a service is commissioned or provided including the appropriateness of the services in an EHC Plan

Support can be provided by the NHS Complaints advocacy services.

Where complaints are not resolved through either of the above processes, the Parliamentary Health Service Ombudsman (PHSO) can be contacted who can conduct joint investigations with the Local Government Ombudsman where a complaint includes concerns regarding the delivery of the health provision in EHC plans.

Single Route to Redress - National Trial

The Government are extending the powers of the First-tier Tribunal (SEND), sometimes referred to as the ‘SEND Tribunal’, to make non-binding recommendations about the health and social care aspects of Education, Health and Care (EHC) plans as part of a two-year national trial.

The trial will apply to decisions made or EHC plans issued or amended from 3 April 2018.

To date, you have only been able to appeal the educational aspects of EHC plans. The trial gives you new rights to request recommendations about the health and social care needs and provision specified in EHC plans, in addition to the educational aspects, when making a SEND appeal. This gives you the opportunity to raise all your concerns about an EHC plan in one place.

It is only possible for the Tribunal to consider the health and/or social care aspects of the EHC plan where you are already making an appeal in relation to the education aspects of the EHC plan and the education aspect must remain live throughout the appeal.

You can ask the Tribunal to make non-binding recommendations on health and/or social care aspects of EHC plans as part of an appeal relating to:

• a decision by the local authority not to issue an EHC plan

• a decision by the local authority not to carry out a re-assessment for a child/young person who has an EHC plan

• a decision by the local authority not to amend an EHC plan following a review or re-assessment

• a decision by the local authority to cease to maintain an EHC plan

• the description of the child/young person’s special educational needs in an EHC plan

• the special educational provision specified in an EHC plan

• the school or other educational institution named in an EHC plan

If you wish to appeal against a local authority decision on any of the grounds above and want to request that the Tribunal considers your concerns about the health and /or social care aspects of the EHC plan, you should follow the normal process for bringing an appeal to the Tribunal and tick the box on the form relating to a health and/or social care appeal.

Advice on making SEND appeals to the Tribunal is available from the GOV.UK website: First-tier Tribunal Special Educational Needs and Disability

Single Route of Redress – SEND Tribunal Extended Powers

What is the outcome of the National Trial? The National Trial commenced from April 2018 to August 2021 testing the extended powers for the SEND Tribunal. The department commissioned an independent evaluation of the National Trial which found broadly positive evidence in support of the Tribunal's extended powers, which has been published and can be viewed on the Gov.uk website: Guidance overview: SEND tribunal: extended appeals

Therefore, the Government has confirmed that they are continuing the extended powers of the First-tier Tribunal (SEND), sometimes referred to as the ‘SEND Tribunal’, to make non-binding recommendations about the health and social care aspects of Education, Health and Care (EHC) plans.

Previously, you have only been able to appeal the educational aspects of EHC plans. The continuation of the extended powers given to the SEND Tribunal, maintains your right to request recommendations about the health and social care needs and provision specified in EHC plans, in addition to the educational aspects, when making a SEND appeal. This gives you the opportunity to raise all your concerns about an EHC plan in one place.

It is only possible for the Tribunal to consider the health and/or social care aspects of the EHC plan where you are already making an appeal in relation to the education aspects of the EHC plan and the education aspect must remain live throughout the appeal.

What does this mean for parents and young people?

If you are unhappy with a decision not to issue an EHC plan, or with the special educational content or placement in the plan, you can make an appeal to the SEND Tribunal. You are also able to request recommendations about the health and social care content of the plan at the same time, provided there is also an education element. This will mean the Tribunal will take a more holistic, person-centred view of the needs of the child or young person.

This does not prevent you also complaining about other aspects of your disagreement through other complaint procedures and you should seek advice about the different routes available.

If the SEND Tribunal makes a recommendation about health or social care elements of an EHC plan, this is non-binding. The local authority and/or health commissioner is generally expected to follow such recommendations, but they are not legally binding. Where they are not followed, the reasons for not following them must be explained and set-out in writing to you and to the Department for Education through the evaluators. If they are not followed, you can complain to the Local Government and Social Care Ombudsman (LGSCO) or Parliamentary and Health Service Ombudsman (PHSO) or seek to have the decision judicially reviewed. Further information on the roles of these bodies can be found on their websites.

When can a parent or young person request recommendations about the health and social care elements of an EHC plan?

You can request the Tribunal makes recommendations about the health and/or social care aspects of EHC plans as part of an appeal relating to:

• the description of the child/young person’s special educational needs in an EHC plan

• the special educational provision specified in an EHC plan

• the school or other educational institution named in an EHC plan

• a decision by the local authority not to issue an EHC plan

• a decision by the local authority not to carry out a re-assessment for a child/young person who has an EHC plan

• a decision by the local authority not to amend an EHC plan following a review or re-assessment

• a decision by the local authority to cease to maintain an EHC plan

What does this mean for local areas?

The SEND Tribunal extended powers places responsibility on local authority SEND teams to:

• Inform parents and young people of their new rights through decision letters and the local offer

• Provide evidence to the Tribunal from the health and social care bodies in response to any issues raised within the timeframe set by the Tribunal, seeking permission to bring additional witnesses to the hearing as necessary

It also places responsibility on health and social care commissioners to:

• Respond to any request for information and evidence within the timeframe set by the Tribunal

• Send a witness to attend the hearing as required

• Respond to the parent/young person and the LA SEND team within 5 weeks of a recommendation being made, setting out the steps they have decided to take or giving reasons why they are not going to follow the recommendation.

How can a parent or young person request a health or social care recommendation?

If you wish to appeal against a local authority decision on any of the grounds above and want to request that the Tribunal considers your concerns about the health and/or social care aspects of the EHC plan, you should follow the process for bringing an appeal to the Tribunal and tick the box on the form relating to a health and/or social care appeal. Advice on making SEND appeals to the Tribunal and the appeal form is available on the GOV.UK website: First-tier Tribunal (Special Educational Needs and Disability)

​As a parent or young person, do I have to consider mediation?

Before you can register an appeal with the Tribunal, you must contact a mediation adviser within two months of the LA decision you wish to appeal and consider whether mediation might be a way to resolve your disagreement with the LA. If you want to appeal only about the school or other institution named in the EHC plan you do not have to contact a mediation adviser.

You can go to mediation about the health and social care elements of an EHC plan, but this is not compulsory. You can request recommendations about health and social care issues without having to receive mediation advice or attend mediation about those issues, provided there is also an education issue about which you are appealing.

Once a mediation adviser has been contacted, or once you have taken part in mediation, you will be issued with a certificate. This will be necessary if you are still unhappy and wish to progress to an appeal with the Tribunal. An appeal to the Tribunal must usually be made within two months of the decision about which the appeal is being made or one month following the issuing of the mediation certificate, whichever is the later.

If mediation resolves the educational issues, you will not be able to appeal to the Tribunal on any health and/or social care aspects of the EHC plan. However, mediation provides an opportunity for us to resolve disagreements and it can be completed more quickly than an appeal. It does not affect your right to make an educational appeal, and some aspects of the disagreement can go to appeal even when other aspects are resolved.

Contacts

Global Mediation

To discuss or request mediation advice and meditation

Tel: 020 8441 1355

Email: info@globalmediation.co.uk

Website: Global Mediation - Mediation Services in London & Nationwide: www.globalmediation.co.uk

Cornwall & Isles of Scilly SEND information, advice and support service (SENDIASS)

Tel: 01326 331633 Online contact form: www.cornwallsendiass.org.uk/contact-us/

website: www.cornwallsendiass.org.uk

A personal budget is an amount of money specified in the Education Health and Care Plan (EHC Plan) of children and young people with SEND to deliver provision set in their EHC Plan. This gives you control on how the money is used for care and support; how it is spent over education, health and social care in order for the child and young person with SEND to develop, thrive and succeed.

Who can have a personal budget?

​A personal budget can be requested by a parent or young person, once the local authority has agreed to prepare a draft EHC Plan or during a review of an EHC Plan; although a personal budget cannot be offered to young people or families who have been required by the law to undergo treatment for drug or alcohol abuse.

Funding arrangements for a personal budget

​ You can receive funding for a personal budget in different ways:

Direct payments. This is where you receive the money directly yourself to buy the support your child needs as outlined in the EHC Plan. This payment method means you have greater control over the choice of how your child needs are met but also means more responsibility for managing these services. For example, you may decide to use a personal budget to employ a personal assistant to support your child and this would mean you would have the legal responsibility as an employer.

A budget held by a third party. This is where the money is paid to a named individual or organisation to manage on the young person’s or their family’s behalf. This options still gives you control on how services are provided but without having to take on the organisational or managerial responsibility for the services.

A ‘notional’ or ‘virtual’ budget. This is where a young person or their family do not handle the money directly but can tell the local authority how they would like the money to be spent. This does mean though you might have less control on how your child’s needs are met than the other options.

A combination of the above. So some of the services for your child might be directly controlled by you or the young person through the personal budget and some might be through a third party.

On the Isles of Scilly if a child or young person has an Education, Health and Care Plan (EHC Plan), they or their family can request a Personal Budget Statement. This statement sets out the additional funding available for the provision identified in the EHC Plan.

This statement brings together in one place the EHC personal budget (to meet educational needs), the health personal budget and the children/adult’s social care personal budget.

Direct payments may be an aspect of one, some or all the budgets.

What is an Education Health and Care Plan Personal Budget Statement?

​If a child/young person has an Education, Health and Care plan (EHC Plan) they or their parents/carers can request a Personal Budget Statement. This statement sets out the additional funding available for the provision identified in the EHC Plan.

​The Personal Budget Statement gives clarity about how much additional funding has been allocated and if any of this is available as a direct cash payment.

​Requesting a Personal Budget Statement is optional and when allocated does not mean there will be extra funding in addition to that allocated to support the EHC Plan. It is separate from the EHC Plan as it is not a statutory document.

Depending on the needs of the child/young person a Personal Budget Statement may or may not include elements of a Social Care Personal Budget and/or a Personal Health Budget. It is prepared by the Isles of Scilly Council.

​

What can a personal budget cover?

​Social

​Social Care may be provided by Children’s Social Care and/or Adult Social Care under the Local Authority.

Local Authorities must offer direct payments for social care services as an alternative to getting support arranged by social services but at the moment they are not obliged to offer a personal budget to a child under the age of 18. They are obliged to offer personal budgets for people aged 18 and over with SEND and who are assessed as needing social care as this promotes independent living and gives the person more choice and control over the support they need.

Health

​A personal health budget can be given to anyone who needs to receive healthcare funded by the NHS where the benefits of having a budget for healthcare outweigh any additional costs associated with having one. This is other than excluded services (e.g. GPs, surgical procedures, and emergency services)

You can find out more about health budgets with Cornwall and Isles of Scilly Integrated Care Board website: cios.icb.nhs.uk/health/personalised-care

Education

​The personal budget for education will only include funds to buy more specialist or individual support than the school or college is expected to provide but does not cover funding for the placement or extra help that the school/college/Local Authority is expected to provide for all children with SEND as part of the Local Offer. Personal educational budget can include provision funded from the school’s/college budget share and from the Local Authorities high needs funding. The budget can also be used to commission services from the school and thus, depending on what your chosen school offers, will affect the amount of personal educational budget you receive. For example at a special school or college they may offer specialised provision as part of their core service which is not normally available in a mainstream school or college. If you chose to go to the specialist school or college where the service is available this may reduce the scope of educational personal budget you receive than if you chose to go to a mainstream school or college.

How much will I receive in a personal budget?

​A personal budget is based on the needs and support that are identified in an Education Health and Care Plan (EHC Plan). A personal budget is to deliver provision set out in a child or young persons EHC plan, based on the level of support that they have been assessed as needing.

If you feel that the personal budget allocated will not buy the support required for a child’s or young persons need, then you can challenge this. Depending on whether your personal budget is for special educational needs, social or health care will determine how you go about challenging.

Can I be refused a personal budget?

​In certain circumstances, the Local Authority can refuse to identify a personal budget. They may do so when the special educational provision is being provided as part of a larger budget (for example, a contract with the NHS to provide all speech and language therapy or occupational therapy) and the Local Authority cannot separate out or ‘disaggregate’ the personal budget from that overall larger budget.

The Local Authority can refuse to make a direct payment if they don’t believe the person receiving the payments would be capable of managing the money, or if they do not believe it would be used in an appropriate way.

A personal budget cannot be offered to young people or families who have been required by the law to undergo treatment for drug or alcohol abuse.

They can also refuse where it would negatively impact other services provided by the Local Authority for children with EHC Plans, or if it would not be an efficient use of resources.

Where the provision proposed to be replaced by a direct payment takes place in a school or college setting, the consent of the professional in charge must be gained. If they refuse consent then the Local Authority will be unable to make a direct payment.

Further Information

​The following organisations have resources available as will others not listed here

IPSEA: www.ipsea.org.uk

SENDIASS: www.cornwallsendiass.org.uk

Contact: www.contact.org.uk

Your local Family and Children Services

Direct payments for special educational provision, health care and social care provision are subject to separate regulations and you can find out more under:

Guidance on direct payments for healthcare: Understanding the regulations: www.england.nhs.uk/publication/guidance-on-direct-payments-for-healthcare-understanding-the-regulations

The Special Educational Needs (Personal Budgets) Regulations 2014 ​ - PDF: https://assets.publishing.service.gov.uk/media/5a7c718140f0b626628ac195/Consultation_on_draft_0_to_25_Special_Educational_Needs__SEN__-_personal_budgets_regulations.pdf

The Community Care, services for Carers and Children’s Services (Direct Payments) Regulations 2009 (the 2009 regulations will be replaced by those made under the Care Act 2014) - PDF: https://assets.publishing.service.gov.uk/media/5a7dcf2aed915d2ac884dafa/Care-Act-Guidance.pdf

The Local Authority must arrange for a review of a child or young person’s EHC plan at least annually or 6 monthly for a child under the age of 5 years and is an 8 week process.

The first review must be held within 12 months (or 6 monthly for a child under the age of 5 years) of the date of the issue of the EHC Plan.

The purpose of the EHC Plan review is to:

• Review the child or young person’s progress towards achieving the outcomes specified in the EHC Plan and to make recommendations on what changes might need to be made to those outcomes and/or their support (including support provided through a Personal Budget) to help them achieve them

• Consider the continuing appropriateness of the EHC Plan in the light of the child or young person’s progress during the previous year or changed circumstances and whether changes are required

• Set new targets for the coming year and where appropriate, agree new outcomes

• Review the health and social care provision

• The review of an EHC Plan of a young person in the school year in which they turn 14 years of age (Year 9) and every review thereafter must include a focus on preparing for adulthood including employment, independent living and participation in society.

Listed below are some organisations who have support, information and training on Education, Health and Care Plans. Other information may be available on other charity and organisational websites.

Cornwall & Isles of Scilly SEND information, advice and support service, SENDIASS

Tel: 01326 331633 Online contact form: www.cornwallsendiass.org.uk/contact-us/

website: www.cornwallsendiass.org.uk

Independent Provider of Special Education Advice, IPSEA

www.ipsea.org.uk/pages/category/education-health-and-care-plans

Council for Disabled Children

www.councilfordisabledchildren.org.uk/about-us-0/networks/information-advice-and-support-programme/useful-resources-publications