Summary: Mr X complained the Council did not issue an updated Education, Health and Care Plan for his child, Y after an annual review in August 2024. He also complained about poor communication from the Council. We found fault by the Council on both parts of Mr X’s complaint. The Council has agreed to apologise and make a payment to recognise the impact of Y’s missed provision and the distress, frustration and uncertainty caused.

The complaint

1. Mr X complained the Council did not issue an updated Education, Health and Care Plan after an annual review in August 2024. He also complained about poor communication from the Council.
2. Mr X stated his child (Y) has missed education and support he is entitled to. It has caused him and Y frustration, uncertainty and distress.

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The Ombudsman’s role and powers

3. 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)
4. 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(1), as amended)
5. Under our information sharing agreement, we will share this decision with the Office for Standards in Education, Children’s Services and Skills (Ofsted).

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How I considered this complaint

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

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What I found

8. A child or young person with special educational needs may have an EHC Plan. This sets out the child’s needs and arrangements for meeting them.
9. Local authorities (councils) have a duty to arrange the special educational provision set out in an EHC Plan. (Children and Families Act 2014 section 42)
10. The First-tier Tribunal (Special Educational Needs and Disability) considers appeals against council decisions regarding special educational needs. We refer to it as the SEND Tribunal in this decision statement.

Arrangements for reviewing an EHC Plan

11. The procedure for reviewing and amending EHC plans is set out in legislation and government guidance. This says a council must review an EHC Plan at least every 12 months.
12. And, within four weeks of a review meeting, the council must:
• notify the child’s parent or young person of its decision to maintain, amend or discontinue the EHC plan. (Section 20(10) Special Educational Needs and Disability Regulations 2014 and SEN Code paragraph 9.176); and
• where it proposes to amend an EHC plan, it must send the child’s parent or 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.
13. If the council decides to continue to make amendments, following comments from the child’s parent or young person, it must:
• issue the amended EHC plan as soon as practicable; and
• within eight weeks of the date it sent the EHC plan and proposed amendments to the parents. (Section 22(3) SEND Regulations 2014 and SEN Code paragraph 9.196)

Personal Budget

14. A Personal Budget is the amount of money the council has identified it needs to pay to secure the provision in a child or young person’s EHC Plan. One way that councils can deliver a Personal Budget is through direct payments. These are cash payments made to the child’s parent or the young person so they can commission the provision in the EHC Plan themselves.
15. The final allocation of a Personal Budget must be sufficient to secure the agreed provision specified in the EHC Plan and must be set out as part of that provision.
16. The council’s (and health commissioning body’s where relevant) duty to secure or arrange provision specified in EHC Plans is only discharged through a direct payment when the provision has been acquired for, or on behalf of, the child’s parent or the young person.

Key events

17. I have set out a summary of the key events below. It is not meant to show everything that happened.
18. Y is a child with special educational needs. He has an EHC Plan.
19. In September 2023 the Council issued Y with a final EHC Plan. The Plan said Y would receive:
• online tuition in the core subjects
• sessions to help him with his Social, Emotional and Mental Health (SEMH) needs; and
• a gym membership.

The Plan said Y would receive the provision in his Plan via an Education Other Than At School (EOTAS) package paid for via direct payments to his parents.

20. On 12 August 2024, an annual review meeting of Y’s EHC Plan took place. The review found Y’s needs had changed and amendments to his Plan were necessary.
21. At the meeting Mr X asked for changes to Y’s personal budget so he could benefit from additional provision to meet his SEMH needs. His request was referred to the Council’s County-Wide Decision-Making Panel.
22. In December Mr X complained to the Council about delays in issuing a draft or final EHC Plan following Y’s annual review. He also complained about poor communication from the Council.
23. In late December the Council replied to Mr X’s complaint. It’s reply acknowledged the delay and said it would improve communication to provide timely updates on the progress of annual reviews.
24. In February 2025 Mr X escalated his complaint to the Council because it had not issued a draft or final EHC Plan and so, Y was not receiving the support he needed. He also complained that communication with the Council remained poor despite its earlier complaint response saying this would improve.
25. In late February the Council replied to Mr X’s complaint. It said:
• Y’s EHC Plan was not finalised because further information was needed to decide whether to change Y’s personal budget.
• it received the information it needed in January however Y’s keyworker did not act on it due to a backlog of work after returning from sick leave. Y’s case will be prioritised by his keyworker.
• it apologised for the continuing poor communication and acknowledged that Y was not receiving the provision identified in his annual review.
26. On 23 April the Council agreed to change Y’s personal budget, as requested by Mr X.
27. Also in April Mr X complained to the Ombudsman. His grounds of complaint remained the same. In his complaint he explained the delay in finalising Y’s EHC Plan meant he has been unable to enrol at new online school.
28. In response to our enquiries the Council told us:
• the delay in issuing Y’s draft ECH Plan was due to capacity pressures and his keyworker changing three times. It is working to strengthen staffing capacity and improve its case management processes.
• Y’s education during the academic year 2024/2025 was supported through a Personal Budget. Mr X submitted invoices to the Council and these were processed and paid in full (with some delay) allowing Y’s provision to be maintained without interruption.
• it made a payment of £4880.00 to Y’s pre-paid card in June 2025 and a further payment of £4660.00 in September 2025.
• in July 2025 Mr X said Y would like to replace some of his provision so he could do a music GCSE. The Council’s Decision-Making Panel considered this in in July following which it asked Mr X to provide further information. It is still waiting for the further information to be provided.
• it acknowledged Mr X’s concerns around communication. It is committed to improving communication.

Finding

29. The annual review meeting for Y’s EHC Plan took place on 12 August 2024. The Council should have issued an amended draft EHC Plan by 9 September 2024. The Council did not issue an amended draft EHC Plan for Y until 29 July 2025. This is a significant delay which amounts to fault by the Council.
30. At the time of replying to our enquiries the Council had not issued Y with a final EHC Plan. A final EHC Plan should have been issued by 7 October 2024. This is further fault by the Council.
31. This fault has caused Mr X worry and uncertainty. It has also frustrated Mr X’s appeal rights to the SEND Tribunal.
32. The Council has paid invoices provided by Mr X for Y’s provision during the academic year 2024/205. I am therefore satisfied that Y received some of the educational provision he needs during this period.
33. However the delay in finalising Y’s EHC Plan means Y was unable to secure a new online school place and so he has been without this provision since the start of the 2024/2025 academic year. This is an injustice to Y.
34. Mr X has been put to avoidable time and trouble in pursuing the Council to try to finalise Y’s EHC Plan. He also received poor communication from the Council which has caused him additional frustration. This is injustice.

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Agreed Action

35. Within one month of my final decision the Council will:
• Issue the final EHC Plan urgently.
• Apologise to Mr X and Y for the identified fault. We publish guidance on remedies which sets out our expectations for how organisations should apologise effectively to remedy injustice. The organisation should consider this guidance in making the apology I have recommended.
• Pay Mr X £300 in recognition of the unnecessary time and trouble caused to him by the Council’s poor communication.
• Pay Mr X £100pcm from October 2024 to February 2026, in recognition of the of the continuing distress and frustration this is causing him and Y.
• Pay Mr X £1500 in recognition of the online school provision Y has missed during the academic year 2024/2025. This figure comprises of £500 per term and is in keeping with our guidance on remedies. I have taken into account that Y received some provision during this period.
36. We have made service improvement recommendations on previous complaints of a similar nature and so I do not consider it is necessary to make further recommendations currently.
37. The Council should provide us with evidence it has complied with the above actions.

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Decision

38. I find fault causing injustice. The Council has agreed actions to remedy the injustice.

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Investigator's decision on behalf of the Ombudsman