The Special Educational Needs and Disability Regulations 2014

Reviews and re-assessments E+W

Circumstances in which a local authority must review an EHC plan E+W

18.—(1) Except where paragraph (3) applies, where a child or young person is within 12 months of a transfer between phases of education, the local authority must review and amend, where necessary, the child or young person's EHC plan before—

(a) 31 March in the calendar year of the child or young person's transfer from secondary school to a post-16 institution; and

(b) 15 February in the calendar year of the child's transfer in any other case,

and where necessary amend the EHC plan so that it names the school, post-16 or other institution, or type of school or institution, which the child or young person will attend following that transfer.

(2) Where it is proposed that a young person transfers from one post-16 institution to another post-16 institution at any other time, the local authority must review and amend, where necessary, the young person's EHC plan at least five months before that transfer takes place so that it names the post-16 institution that the young person will attend following the transfer.

(3) Where a child or young person is due to transfer from a secondary school to a post-16 institution on 1 September 2015 the local authority must amend and review the EHC plan under paragraph (1)(a) before 31 May 2015.

Circumstances in which it is not necessary to review an EHC plan E+W

F1 18A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F1 Reg. 18A inserted (temp. until 25.9.2020) (1.5.2020) by virtue of The Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 (S.I. 2020/471), regs. 1, 11 (with reg. 2(2))

Conduct of reviews E+W

19.  When undertaking a review of an EHC plan, a local authority must—

(a) consult the child and the child's parent or the young person, and take account of their views, wishes and feelings;

(b) consider the child or young person's progress towards achieving the outcomes specified in the EHC plan and whether these outcomes remain appropriate for the child or young person;

(c) consult the school or other institution attended by the child or young person.

Review where the child or young person attends a school or other institution E+W

20.— [F2 (ZA) This regulation applies where a local authority carry out a review of an EHC plan and the child or young person concerned attends a school or other institution.]

(1) As part of a review of a child or young person's EHC plan, the local authority must ensure that a meeting to review that EHC plan is held and in the case of a child or young person attending a school referred to in paragraph (12), can require the head teacher or principal of the school to arrange and hold that meeting.

(2) The following persons must be invited to attend the review meeting—

(a) the child's parent or the young person;

(b) the provider of the relevant early years education or the head teacher or principal of the school, post-16 or other institution attended by the child or young person;

(c) an officer of the authority who exercises the local authority's education functions in relation to children and young people with special educational needs;

(d) a health care professional identified by the responsible commissioning body to provide advice about health care provision in relation to the child or young person;

(e) an officer of the authority who exercises the local authority's social services functions in relation to children and young people with special educational needs.

(3) At least two weeks' notice of the date of the meeting must be given.

(4) The person arranging the review meeting must obtain advice and information about the child or young person from the persons referred to in paragraph (2) and must circulate it to those persons at least two weeks in advance of the review meeting.

(5) The child or young person's progress towards achieving the outcomes specified in the EHC plan must be considered at the meeting.

(6) When the child or young person is in or beyond year 9, the review meeting must consider what provision is required to assist the child or young person in preparation for adulthood and independent living.

(7) Where the child or young person attends a school referred to in paragraph (12), the local authority must ask the head teacher or principal of the school to prepare a written report on the child or young person, setting out that person's recommendations on any amendments to be made to the EHC plan, and referring to any difference between those recommendations and recommendations of others attending the meeting.

(8) Where the child or young person does not attend a school referred to in paragraph (12), the local authority must prepare a written report on the child or young person, setting out its recommendations on any amendments to be made to the EHC plan, and referring to any difference between those recommendations and recommendations of others attending the meeting.

(9) The written report must include advice and information about the child or young person obtained in accordance with paragraph (4) and must be prepared within two weeks of the review meeting, and sent to everyone referred to in paragraph (2).

(10) The local authority must then decide whether it proposes to—

(a) continue to maintain the EHC plan in its current form;

(b) amend it; or

(c) cease to maintain it,

and must notify the child's parent or the young person and the person referred to in paragraph (2)(b) within four weeks of the review meeting.

(11) If the local authority proposes to continue or to cease to maintain the child or young person's EHC plan, it must also notify the child's parent or the young person of—

[F3 (a) their right to appeal in accordance with section 51(2)(e) or (f) of the Act;]

(b) the time limits for doing so;

(c) the information concerning mediation, set out in regulation 32; and

(d) the availability of—

(i) disagreement resolution services; and

(ii) information and advice about matters relating to the special educational needs of children and young people [F4 ; and

(e) the First-tier Tribunal's power to make recommendations under the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017.]

(12) Schools referred to in this paragraph are—

(a) maintained schools;

(b) maintained nursery schools;

(c) Academy schools;

(d) alternative provision Academies M1 ;

(e) pupil referral units M2 ;

(f) non-maintained special schools M3 ;

(g) independent educational institutions approved under section 41 of the Act.

Textual Amendments

F2 Reg. 20(ZA) inserted (1.9.2014) by The Special Educational Needs (Miscellaneous Amendments) Regulations 2014 (S.I. 2014/2096), regs. 1, 3(2)

F3 Reg. 20(11)(a) substituted (23.3.2015) by The Special Educational Needs and Disability (Amendment) Regulations 2015 (S.I. 2015/359), regs. 1, 4

F4 Reg. 20(11)(e) and word inserted (3.4.2018) by The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017 (S.I. 2017/1306), regs. 1, 8(2)

Modifications etc. (not altering text)

C1 Reg. 20(11) applied (with modifications) (1.4.2015) by The Special Educational Needs and Disability (First-tier Tribunal Recommendation Power) (Pilot) Regulations 2015 (S.I. 2015/358), regs. 1, 7

Marginal Citations

M1 Alternative provision Academies has the meaning given in section 1C of the Academies Act 2010 . Section 1C was inserted by section 53(7) of the 2011 Act

M2 Pupil Referral Units has the same meaning given in section 19 of the 1996 Act

M3 Non-maintained special school has the same meaning given in section 342 of the 1996 Act

Review of EHC plan where the child or young person does not attend a school or other institution E+W

21.—(1) This regulation applies where a local authority carry out a review of an EHC plan and the child or young person concerned does not attend a school or other institution.

(2) The local authority must invite the following persons to a meeting as part of the review of an EHC plan—

(a) the child's parent or the young person;

(b) an officer of the authority who exercises the local authority's education functions in relation to children and young people with special educational needs;

(c) a health care professional identified by the responsible commissioning body to provide advice about health care provision to the child or young person;

(d) an officer of the authority who exercises the local authority's social services functions in relation to children and young people with special educational needs;

(e) any other person whose attendance the local authority considers appropriate.

(3) At least two weeks' notice of the date of the meeting must be given.

(4) The local authority must obtain advice and information about the child or young person from the persons referred to in paragraph (2) and must circulate it to those persons at least two weeks in advance of the review meeting

(5) The meeting must consider the child or young person's progress towards achieving the outcomes specified in the EHC plan.

(6) When the child or young person is in or beyond year 9, the review meeting must consider what provision is required to assist the child or young person in preparation for adulthood and independent living.

(7) The local authority must prepare a report on the child or young person within two weeks of the review meeting setting out its recommendations on any amendments required to be made to the EHC plan, and should refer to any difference between those recommendations and recommendations of others attending the meeting.

(8) The written report must include advice and information about the child or young person obtained in accordance with paragraph (4) and must be prepared within two weeks of the review meeting, and sent to everyone referred to in paragraph (2).

(9) The local authority must decide whether it proposes to—

(a) continue to maintain the EHC plan in its current form;

(b) amend it; or

(c) cease to maintain it,

and must notify the child's parent or the young person within four weeks of the review meeting.

(10) If the local authority proposes to continue or to cease to maintain the child or young person's EHC plan, it must also notify the child's parent or the young person of—

[F5 (a) their right to appeal in accordance with section 51(2)(e) or (f) of the Act;]

(b) the time limits for doing so;

(c) the information concerning mediation, set out in regulation 32; and

(d) the availability of—

(i) disagreement resolution services; and

(ii) advice and information about matters relating to the special educational needs of children and young people [F6 ; and

(e) the First-tier Tribunal's power to make recommendations under the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017.]

Textual Amendments

F5 Reg. 21(10)(a) substituted (23.3.2015) by The Special Educational Needs and Disability (Amendment) Regulations 2015 (S.I. 2015/359), regs. 1, 5

F6 Reg. 21(10)(e) and word inserted (3.4.2018) by The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017 (S.I. 2017/1306), regs. 1, 8(2)

Modifications etc. (not altering text)

C2 Reg. 21(10) applied (with modifications) (1.4.2015) by The Special Educational Needs and Disability (First-tier Tribunal Recommendation Power) (Pilot) Regulations 2015 (S.I. 2015/358), regs. 1, 7

Amending an EHC plan following a review E+W

22.—(1) Where the local authority is considering amending an EHC plan following a review it must comply with the requirements of regulations 11, and 12, and with sections 33 of the Act, and with sections 39 and 40 of the Act (as appropriate).

(2) Where the local authority is considering amending an EHC plan following a review it must—

(a) send the child's parent or the young person a copy of the EHC plan together with a notice specifying the proposed amendments, together with copies of any evidence which supports those amendments;

(b) provide the child's parent or the young person with notice of their right request the authority to secure that a particular school is or other institution is named in the plan under section 38(2)(b)(ii)

(c) give them at least 15 days, beginning with the day on which the draft plan was served, in which to—

(i) make representations about the content of the draft plan;

(ii) request that a particular school or other institution be named in the plan;

(iii) request a meeting with an officer of the local authority, if they wish to make representations orally.

(d) advise them where they can find information about the schools and colleges that are available for the child or young person to attend.

(3) Where the local authority decides to amend the EHC plan following representations from the child's parent or the young person, it must send the finalised EHC plan to—

(a) the child's parent or to the young person;

(b) the governing body, proprietor or principal of any school or other institution named in the EHC plan; and

(c) to the responsible commissioning body

as soon as practicable, and in any event within 8 weeks of the local authority sending a copy of the EHC plan in accordance with paragraph (2)(a).

(4) Where the local authority decides not to amend the EHC plan, it must notify the child's parent or the young person of its decision and its reasons for this as soon as practicable and in any event within 8 weeks of the local authority sending a copy of the EHC plan in accordance with paragraph (2)(a).

(5) When sending a the finalised EHC plan to the child's parent or the young person in accordance with paragraph (3), or notifying them in accordance with paragraph (4) the local authority must also notify them of—

(a) their right to appeal matters within the EHC plan in accordance with section 51(2)(c) or 51(2)(e) of the Act (as appropriate);

(b) the time limits for doing so;

(c) the information concerning mediation, set out in regulation 32; and

(d) the availability of—

(i) disagreement resolution services; and

(ii) advice and information about matters relating to the special educational needs of children and young people [F7 ; and

(e) the First-tier Tribunal's power to make recommendations under the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017.]

Textual Amendments

F7 Reg. 22(5)(e) and word inserted (3.4.2018) by The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017 (S.I. 2017/1306), regs. 1, 8(2)

Modifications etc. (not altering text)

C3 Reg. 22(5) applied (with modifications) (1.4.2015) by The Special Educational Needs and Disability (First-tier Tribunal Recommendation Power) (Pilot) Regulations 2015 (S.I. 2015/358), regs. 1, 7

Other circumstances in which a local authority must secure a re-assessment E+W

23.  A local authority must secure a re-assessment of a child or young person's EHC Plan where it receives a request to do so from the responsible commissioning body for that child or young person.

Circumstances in which it is not necessary to re-assess educational, health care and social care provision E+W

24.  Where a local authority receives a request to re-assess a child or young person in accordance with section 44(2) of the Act it does not need to do so where—

(a) it has carried out an assessment or re-assessment within the period of six months prior to that request, or

(b) it is not necessary for the authority to make a further assessment.

Notification of decision whether it is necessary to re-assess educational, health care and social care provision E+W

25.—(1) The local authority must notify the child's parent or the young person whether or not it is necessary to reassess the child or young person within 15 days of receiving the request to re-assess.

(2) Where the local authority does not need to re-assess the child or young person the notification under paragraph (1) must also notify them of—

(a) their right to appeal matters within the EHC plan in accordance with section 51(2)(d) of the Act;

(b) the time limits for doing so;

(c) the information concerning mediation, set out in regulation 32; and

(d) the availability of—

(i) disagreement resolution services; and

(ii) advice and information about matters relating to the special educational needs of children and young people [F8 ; and

(e) the First-tier Tribunal's power to make recommendations under the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017.]

Textual Amendments

F8 Reg. 25(2)(e) and word inserted (3.4.2018) by The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017 (S.I. 2017/1306), regs. 1, 8(2)

Modifications etc. (not altering text)

C4 Reg. 25(2) applied (with modifications) (1.4.2015) by The Special Educational Needs and Disability (First-tier Tribunal Recommendation Power) (Pilot) Regulations 2015 (S.I. 2015/358), regs. 1, 7

Securing a re-assessment of educational, health care and social care provision E+W

26.—(1) When securing a re-assessment of educational, health care and social care provision in a child or young person's EHC plan a local authority must comply with the requirements of regulations 6 and 7.

(2) Regulations 8 and 9 also apply to re-assessments.

Amending or replacing an EHC plan following a re-assessment E+W

27.—(1) Where the local authority decides to amend or replace an EHC plan following a reassessment it must comply with the requirements of regulations 11, 12, 13(1) and 14, and with sections 33 and 38 of the Act and with section 39 or 40 of the Act (as appropriate).

(2) The local authority must send a copy of the finalised EHC plan in accordance with section 39(8) or 40(5) of the Act (as appropriate) as soon as practicable, and in any event within 14 weeks of the notification under regulation 25(1)or of deciding it is necessary to reassess under section 44(3) to—

(a) the child's parent or the young person;

(b) the governing body, proprietor or principal of any school or other institution named in the plan; and

(c) the relevant responsible commissioning body.

(3) The local authority need not comply with the time limit referred to in paragraph (2) if it is impractical to do so because—

(a) the authority has requested advice from the head teacher or principal of a school or post-16 institution during a period beginning one week before any date on which that school or institution was closed for a continuous period of not less than 4 weeks from that date and ending one week before the date on which it re-opens;

(b) the authority has requested advice from the person identified as having responsibility for special educational needs (if any) in relation to, or other person responsible for, a child's education at a provider of relevant early years education during a period beginning one week before any date on which that provider was closed for a continuous period of not less than 4 weeks from that date and ending one week before the date on which it re-opens;

(c) exceptional personal circumstances affect the child or his parent, or the young person during that time period; or

(d) the child or his parent, or the young person, are absent from the area of the authority for a continuous period of not less than 4 weeks, during that time period.

(e) of a reason relating to the incidence or transmission of coronavirus.

(4) (a) Where the local authority carries out a reassessment, it must review the EHC plan within 12 months of the date on which a copy of the finalised plan is sent to the child's parent or the young person in accordance with the requirements in Regulation 14; and

(b) in each subsequent period of 12 months starting with the date on which the plan was last reviewed.

Modifications etc. (not altering text)

C5 Reg. 27 applied (with modifications) (1.9.2014) by The Children and Families Act 2014 (Transitional and Saving Provisions) (No. 2) Order 2014 (S.I. 2014/2270), arts. 1(2), 24(2) (as amended (1.9.2015) by S.I. 2015/1619, arts. 1, 5)

Amending an EHC plan without a review or reassessment E+W

28.  If, at any time, a local authority proposes to amend an EHC plan, it shall proceed as if the proposed amendment were an amendment proposed after a review.