Summary: We found the Council at fault for significant delays during the annual review process of Mrs X’s son’s Education, Health and Care Plan. This caused Mrs X and her son avoidable distress and caused Y to miss out on provision. The Council has agreed to apologise and make a financial payment to remedy the injustice.

The complaint

1. Mrs X complained about how the Council handled her son’s EHC Plan. She said the process was delayed and has left her son without provision.

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The Ombudsman’s role and powers

2. We investigate complaints about ‘maladministration’ and ‘service failure’. In this statement, I have used the word fault to refer to these. We must also consider whether any fault has had an adverse impact on the person making the complaint. I refer to this as ‘injustice’. If there has been fault which has caused significant injustice, or that could cause injustice to others in the future we may suggest a remedy. (Local Government Act 1974, sections 26(1) and 26A(1), as amended)
3. If we are satisfied with an organisation’s actions or proposed actions, we can complete our investigation and issue a decision statement. (Local Government Act 1974, section 30(1B) and 34H(i), as amended)

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What I have and have not investigated

4. I have not investigated Mrs X’s complaint around the provision and level of support that the Council agreed. This is related to the content of Y’s EHC Plan and Mrs X could appeal this.
5. I have investigated the alleged delay during the annual review process.

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How I considered this complaint

6. I considered evidence provided by Mrs X and the Council as well as relevant law, policy and guidance.
7. Mrs X and the Council had an opportunity to comment on my draft decision. I considered any comments received before making a final decision.

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What I found

Law and guidance

EHC Plan

8. A child or young person with special educational needs may have an Education, Health and Care (EHC) Plan. This document sets out the child’s needs and what arrangements should be made to meet them. The EHC Plan is set out in sections. We cannot direct changes to the sections about their needs, education, or the name of the educational placement. Only the Tribunal or the council can do this.

Reviewing EHC Plans

9. The council must arrange for the EHC Plan to be reviewed at least once a year to make sure it is up to date. The council must complete the review within 12 months of the first EHC Plan and within 12 months of any later reviews. The annual review begins with consulting the child’s parents or the young person and the educational placement. A review meeting must then take place. The process is only complete when the council issues its decision to amend, maintain or discontinue the EHC Plan. This must happen within four weeks of the meeting. (Section 20(10) Special Educational Needs and Disability Regulations 2014 and SEN Code paragraph 9.176)
10. If the council decides not to amend an EHC Plan or decides to cease to maintain it, it must inform the child’s parents or the young person of their right to appeal the decision to the tribunal.
11. Where the council proposes to amend an EHC Plan, the law says 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. (Section 22(2) Special Educational Needs and Disability Regulations 2014 and SEN Code paragraph 9.194). Case law sets out this should happen within four weeks of the date of the review meeting. Case law also found councils must issue the final amended EHC Plan within a further eight weeks.
12. If the child’s parents or the young person disagrees with the decision to cease the EHC Plan, the council must continue to maintain the EHC Plan until the time has passed for bringing an appeal, or when an appeal has been registered, until it is concluded.

Transition planning

13. For young people with an EHC Plan, preparation for transition to adulthood must begin from year nine (age 13 to 14). Transition planning must consider the young person’s needs as they move towards adulthood. It should plan to support their choices for further education, employment, career planning, financial support, accommodation, and personal budgets where appropriate.

What happened

Annual review 2023

14. Mrs X’s son, Y has SEN and an EHC Plan. In July 2023, the Council held an annual review meeting.
15. Over the next 12 months, the Council considered Y’s provision at Panel three times. The Council agreed to fund a college course but questioned the level of support in addition to this. The Panel also wanted to see a transition plan for Y as he was due to turn 18 in September 2024.

Annual review 2024

16. The Council held an Annual Review meeting in July 2024. At this meeting, Mrs X highlighted the negative impact that the Council’s decision-making was having on Y. She said that Y was dysregulated by the Council only agreeing funding for one term at a time.
17. The Council agreed to fund Y’s college course for the full year but did not agree that Y needed 1:1 support for 12 hours a week.
18. The Council issued Y’s amended draft EHC Plan in December, and a second draft in January after considering Y’s parents comments. The Council issued Y’s final amended EHC Plan in March 2025.

My findings

19. Following an annual review, the Council should have issued a final amended EHC Plan within 12 weeks.

Annual review 2023

20. The Council did not issue an amended Plan after the 2023 review. This was fault. The absence of an up-to-date EHC Plan in the year before Y turned 18, affected Y’s transition to adulthood. He missed out on education, SEN provision and his confidence and social skills were affected.
21. The Council explained the delays were in part due to high caseloads and operational and staff challenges.

Annual review 2024

22. The Council issued Y’s amended final EHC Plan 8 months (approx. 35 weeks) after the 2024 annual review meeting. This was fault. The delay in agreeing Y’s provision and issuing the Plan delayed Y starting a college course and delayed Mrs X’s right of appeal.
23. This caused Y and his family uncertainty and frustration in addition to the missed provision and impact on Y’s mental health.

Council’s response

24. The Council responded to Mrs X’s complaint. It acknowledged the delays and apologised for the impact this had on Y. It said it would ensure that the Council delivered the full agreed amount of provision to Y and will provide officer training. It offered £1000 (£500 for Mrs X and £500 for Y) in recognition of the uncertainty and frustration resulting form the delays to the annual review process.
25. In response to my enquiries, the Council offered an additional £500 to the symbolic payment for the distress caused.

Conclusion

26. Y was without an up-to-date EHC Plan for 20 months due to the Council delays. During this time, he received limited provision with little or no transition planning as he approached adulthood.
27. The Council’s offer of £500 to Mrs X and £500 to Y in recognition of the distress caused is in line with our guidance on remedies.
28. The Council agreed to make an additional payment to Mrs X for the missed provision. During the 20-month period, Y missed 4 terms of education and transition planning. As he received some tuition, I have based the amount on the lower end of the scale in our guidance on remedies; £900 per term (£3600 in total).

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Agreed action

29. Within 4 weeks of my decision, the Council should:
1. Apologise to Mrs X and Y for the delays during the annual review process.
2. Pay Mrs X £500, and Y £500 in recognition of the uncertainty and frustration caused by the delays.
3. Pay Mrs X £3600 in recognition of the missed provision.
30. The Council should provide us with evidence it has complied with the above actions.

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Decision

31. I have found fault with the Council for failing to issue a final amended EHC Plan for Y, following a 2023 annual review. I have also found fault with the Council for the delays during the 2024 annual review. The fault caused Y to miss out on provision during his transition to adulthood and caused avoidable distress for Mrs X and Y.

Investigator’s decision on behalf of the Ombudsman

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Investigator's decision on behalf of the Ombudsman