Reviewing an EHC plan in line with Children and Families Act and SEND Regulations

Relevant legislation: Section 44 of the Children and Families Act 2014 and Regulations 2, 18, 19, 20, and 21 of the SEND Regulations 2014. 

Education Health and Care Plans should be used to actively monitor children and young people’s progress towards their outcomes and longer-term aspirations. They must be reviewed by the local authority as a minimum every 12 months. Reviews must focus on the child or young person’s progress towards achieving the outcomes specified in the Education Health and Care Plan. The review must also consider whether these outcomes and supporting targets remain appropriate.

Reviews must be undertaken in partnership with the child and their parent or the young person, and must take account of their views, wishes and feelings including their right to a personal budget. (SEND Code of Practice 9.168)

The first review must be held within 12 months of the date when the Education Health and Care Plan was issued, and then within 12 months of any previous review, and the Locality Authority’s decision following the review meeting must  be notified to the child’s parent or the young person within four weeks of the review meeting (and within 12 months of the date of issue of the Education Health and Care Plan or previous review).  Professionals across education, health and care must co-operate with local authorities during reviews. The review of the Education Health and Care Plan should include the review of any existing Personal Budget arrangements including the statutory requirement to review any arrangements for direct payments. For looked after children the annual review should, if possible and appropriate, coincide with one of the reviews in their Care Plan and in particular the personal education plan (PEP) element of the Care Plan. (SEND Code of Practice 9.169)

Local authorities must also review and maintain an Education Health and Care Plan when a child or young person has been released from custody. The responsible local authority must involve the child’s parent or the young person in reviewing whether the EHC plan still reflects their needs accurately and should involve the youth offending team in agreeing appropriate support and opportunities. (SEND Code of Practice 9.170)

When reviewing an Education Health and Care Plan for a young person aged over 18, the local authority must have regard to whether the educational or training outcomes specified in the EHC plan have been achieved. (SEND Code of Practice 9.171)

The local authority should provide a list of children and young people who will require a review of their EHC plan that term to all headteachers and principals of schools, colleges and other institutions attended by children or young people with Education Health and Care Plans, at least two weeks before the start of each term. The local authority should also provide a list of all children and young people with Education Health and Care Plan reviews in the forthcoming term to the Clinical Commissioning Group (or, where relevant, NHS England) and local authority officers responsible for social care for children and young people with SEN or disabilities. This will enable professionals to plan attendance at review meetings and/or provide advice or information about the child or young person where necessary. These lists should also indicate which reviews must be focused on transition and preparation for adulthood. (SEND Code of Practice 9.172)

The Annual Review process gives the opportunity to reflect on the progress a young person has made and allows those present to celebrate this success. It is also the appropriate time to look at the current support in place and ensure this support is focused for the next 12 months.

Annual Review Process

As part of the review, the local authority and the school, further education college or section 41 approved institution attended by the child or young person must cooperate to ensure a review meeting takes place. 

This includes attending the review when requested to do so. The local authority can require the following types of school to convene and hold the meeting on the local authority’s behalf:

• Maintained schools
• Maintained nursery schools
• Academy schools
• Alternative provision academies
• Pupil referral units
• Non-maintained special schools
• Independent educational institutions approved under Section 41 of the Children and Families Act 2014

Local authorities can request (but not require) that the early years setting, further education college or other post-16 institution convene and hold the meeting on their behalf. There may be a requirement on the post-16 institution to do so as part of the contractual arrangements agreed when the local authority commissioned and funded the placement. (SEND Code of Practice 9.174)

In most cases the review should normally be held in the educational settings, reviews are more effective when led by the educational setting as they know the child best and will be the closest contact wit the family and have the clearest information about progress and next steps. There may be occasions when the reviews will need to be held by the Local Authority in a different location for example when the young person is electively home educated or attends more than one setting for their study. 

Reviews of Education Health and Care Plans for children aged 0 to 5

Local authorities should consider reviewing an Education Health and Care Plan for a child under five at least every three to six months to ensure that the provision continues to be appropriate. Such reviews would complement the duty to carry out a review at least annually but may be streamlined and not necessarily require the attendance of the full range of professionals, depending on the needs of the child. The child’s parent must be fully consulted on any proposed changes to the Education Health and Care Plan and made aware of their right to appeal to the Tribunal. (SEND Code of Practice 9.178)

Transfer between phases of education

An Education Health and Care Plan must be reviewed and amended in sufficient time prior to a child or young person moving between key phases of education, to allow for planning for and, where necessary, commissioning of support and provision at the new institution. 

The review and any amendments must be completed by 15 February in the calendar year of the transfer at the latest for transfers into or between schools. The key transfers are:  

• early years provider to school
• infant school to junior school
• primary school to middle school
• primary school to secondary school, and
• middle school to secondary school

For young people moving from secondary school to a post-16 institution or apprenticeship, the review and any amendments to the Education Health and Care Plan  – including specifying the post-16 provision and naming the institution – must be completed by the 31 March in the calendar year of the transfer. (SEND Code of Practice 9.180)

Preparing for adulthood in reviews (SEND Code of Practice Chapter 8 – 8.9 onwards) 

All reviews taking place from Year 9 onwards must include a focus on adulthood, including employment, independent living and participation in society. This transition planning must then be built into the Education Health and Care Plan and should include planning for the move from children’s to adult health and social care services if relevant. It is particularly important in these reviews to seek and to record the views, wishes and feelings of the child or young person. The review meeting organiser should invite representatives of post-16 institutions to these review meetings, particularly where the child or young person has expressed a desire to attend a particular institution. Review meetings taking place in Year 9 should have a particular focus on considering options and choices for the next phase of education. 

As a young person approaches the end of formal education and the plan is likely to be ceased within the next 12 months, and review should consider exit planning and ensure the young person is supported to make a smooth transition to whatever they will be doing next. for example, moving on to higher education, employment, independent living or adult care. For further guidance on preparing for adulthood reviews. (SEND Code of Practice 9.185)

Young people with an Education Health ad Care Plan turning 19

In line with preparing young people for adulthood, the Local Authority must not cease an Education Health and Care Plan  simply because a young person is aged 19 or over. Young people with Education Health and Care Plan's may need longer in education or training in order to achieve their outcomes and made an effective transition into adulthood. However, this position does not mean that there is an automatic entitlement to continued support at age 19 or an expectation that those with an Education Health and Care Plan should remain in education until 25. A Local Authority may cease a plan for a 19-25 year old if it decides that it is no longer necessary for the EHCP to be maintained. Such circumstances include where the young person no longer requires the special educational provision specified in their plan. (SEND Code of Practice 9.151)

The Local Authority should also consider whether remaining in education or training would enable the young person to progress and achieve those outcomes, and whether the young person wants to remain in education or training so they can complete their learning. In both cases, this should include consideration of access to provision that will help them prepare for adulthood. Young people who no longer need to remain in form education or training will not require special educational provision to be made for them through an EHCP. (SEND Code of Practice 9.152)

Amending an existing plan

Relevant legislation: Sections 37 and 44 of the Children and Families Act 2014 and Regulations 22 and 28 of the SEND Regulations 2014

This section applies to amendments to an existing Education Health and Care Plan  following a review, or at any other time a local authority proposes to amend an Education Health and Care Plan other than as part of a re-assessment. Education Health and Care Plans are not expected to be amended on a very frequent basis. However, an Education Health and Care Plan may need to be amended at other times where, for example, there are changes in health or social care provision resulting from minor or specific changes in the child or young person’s circumstances, but where a full review or re-assessment is not necessary. (SEND Code of Practice 9.193)

Where the local authority proposes to amend an Education Health and Care Plan, it must send the child’s parent or the young person a copy of the existing (non-amended) plan and an accompanying notice providing details of the proposed amendments, including copies of any evidence to support the proposed changes. The child’s parent or the young person should be informed that they may request a meeting with the local authority to discuss the proposed changes.

The parent or young person must be given at least 15 calendar days to comment and make representations on the proposed changes, including requesting a particular school or other institution be named in the Education Health and Care Plan, in accordance with paragraphs 9.78 to 9.94 of this chapter.

Following representations from the child’s parent or the young person, if the local authority decides to continue to make amendments, it must issue the amended Education Health and Care Plan as quickly as possible and within 8 weeks of the original amendment notice. If the local authority decides not to make the amendments, it must notify the child’s parent or the young person, explaining why, within the same time limit.

When the Education Health and Care Plan is amended, the new plan should state that it is an amended version of the Education Health and Care Plan and the date on which it was amended, as well as the date of the original plan. Additional advice and information, such as the minutes of a review meeting and accompanying reports which contributed to the decision to amend the plan, should be appended in the same way as advice received during the original Education Health and Care needs assessment. The amended Education Health and Care Plan should make clear which parts have been amended. Where an Education Health and Care Plan is amended, the following review must be held within 12 months of the date of issue of the original Education Health and Care Plan  or previous review (not 12 months from the date the amended Education Health and Care Plan is issued).

When sending the final amended Education Health and Care Plan, the local authority must notify the child’s parent or the young person of their right to appeal and the time limit for doing so, of the requirement for them to consider mediation should they wish to appeal, and the availability of information, advice and support and disagreement resolution services.

Ceasing an Education Health and Care Plan

Relevant legislation: Section 45 of the Children and Families Act 2014 and Regulations 29, 30 and 31 of the SEND Regulations 2014

A local authority may cease to maintain an Education Health and Care Plan only if it determines that it is no longer necessary for the plan to be maintained, or if it is no longer responsible for the child or young person. As set out in the Introduction (paragraph xi.), the legal definition of when a child or young person requires an Education Health and Care Plan remains the same as that for a statement under the Education Act 1996.

The circumstances where a local authority may determine that it is no longer necessary for the Education Health and Care Plan to be maintained include where the child or young person no longer requires the special educational provision specified in the Education Health and Care Plan. When deciding whether a young person aged 19 or over no longer needs the special educational provision specified in the Education Health and Care Plan, a local authority must take account of whether the education or training outcomes specified in the Education Health and Care Plan have been achieved. Local authorities must not cease to maintain the Education Health and Care Plan simply because the young person is aged 19 or over.