Summary: There is no fault in how the Council dealt with a stage two complaint. The Council delayed issuing a final education, health and care plan following a tribunal, delayed putting funds onto a direct payments card, failed to answer Miss X’s question about how she could spend the backdated money and failed to provide her with a policy she asked for. That caused Miss X frustration. An apology, provision of a copy of the policy Miss X asked for and liaison with her about how she can spend the backdated funds is satisfactory remedy.

The complaint

1. The complainant, Miss X, complained the Council:
• failed to respond to her complaint at stage two;
• delayed issuing a final education, health and care plan (EHC Plan);
• delayed putting personal budget funds onto her direct payment card;
• failed to answer her question about how she could use the funds for the missing provisions; and
• failed to provide her with a copy of the education other than at school policy.
2. Miss X says the Council’s actions caused her 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 an injustice, we may suggest a remedy. (Local Government Act 1974, sections 26(1) and 26A(1), as amended)
4. If there was no fault in how the organisation made its decision, we cannot question the outcome. (Local Government Act 1974, section 34(3), as amended)
5. When considering complaints we make findings based on the balance of probabilities. This means that we look at the available relevant evidence and decide what was more likely to have happened.
6. 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

7. As part of the investigation, I have:
• considered the complaint and Miss X's comments;
• made enquiries of the Council and considered the comments and documents the Council provided.
8. Miss X and the organisation 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

The First-tier Tribunal (special educational needs and disability)

9. The Tribunal hears appeals against decisions made by the local authorities in England in relation to children's and young people’s EHC needs assessments and EHC Plans.
10. The Tribunal has prescribed powers under the Children and Families Act 2014 to make certain decisions in relation to appeals. The Tribunal can dismiss the appeal, order the local authority to carry out an assessment, or to make and maintain an EHC Plan, or to maintain a plan with amendments. The Tribunal can also order the local authority to reconsider or correct a weakness in the plan, for example, where necessary information is missing. Local authorities have time limits within which to comply with decisions of the Tribunal.

The special educational needs regulations 2014

11. Section 44 of the special educational needs regulations 2014 says if the tribunal directs the Council to amend an EHC Plan the Council should do so within five weeks of the date of the tribunal’s order.

What happened

12. Miss X’s daughter has special educational needs and an EHC Plan. Miss X had appealed the EHC Plan the Council issued in March 2023.
13. In 2024 Miss X asked for education other than at school for her daughter. The Council agreed an interim package pending the outcome of tribunal.
14. The Council sent Miss X a direct payment agreement to sign in June 2024. Miss X said she would not sign the agreement as it was inaccurate. Miss X also said she wanted to wait until after tribunal as the tribunal may direct the Council to include further provision which would require a change in the budget anyway.
15. The Council provided Miss X with an updated direct payment agreement in August. The Council told Miss X it could not release any funding until she signed the agreement.
16. The first tribunal hearing took place in September but was adjourned as it was not complete. A further hearing took place in October which was then adjourned for deliberations.
17. Miss X chased the Council in October about it not putting funding in place. The Council explained it could not do that until Miss X signed the direct payment agreement.
18. On 13 November the tribunal issued an order which required the Council to amend the EHC Plan.
19. Miss X signed the direct payments agreement and returned it to the Council on 15 November. The Council put the funds onto the direct payments card on 19 December.
20. Miss X put in a complaint about the Council delaying putting in place EHC Plan provision for her daughter and delay putting in place funding. The Council responded to that the same day to explain it could not respond to Miss X’s concerns about matters she had already escalated to the Ombudsman. The Council apologised for the delays releasing funds onto the direct payments card. The Council confirmed it had released the funding on 19 December.
21. The Council issued a final EHC Plan on 8 January 2025.

Analysis

22. Miss X says the Council failed to respond to the complaint she put in on 19 December 2024. I am satisfied the Council responded to that complaint the same day. In that letter the Council explained it would not respond further to the concerns Miss X raised which she had escalated to the Ombudsman. I cannot criticise the Council for that. As I am satisfied the Council responded to the complaint I have no grounds to criticise it.
23. Miss X says the Council delayed issuing final EHC Plan following the tribunal hearing. The Council accepts it should have issued the final EHC Plan by 18 December 2024 as that was five weeks from the date of the tribunal order. However, the Council did not issue the final EHC Plan until 8 January 2025. That delay is fault.
24. I do not consider it likely though, on the balance of probability, Miss X’s daughter missed out on a significant amount of provision during that three week delay. That is because the Christmas holidays made up most of that period. I consider though Miss X likely experienced frustration. I consider an apology satisfactory remedy for that.
25. Miss X says the Council delayed putting the personal budget funds onto her direct payment card. Miss X says although the Council set the direct payments card up in December she had not received any payments by April 2026.
26. The documentary evidence I have seen satisfies me the Council released the direct payment funds onto the direct payments card on 19 December 2024. There was a delay setting that up as Miss X provided the signed direct payments agreement on 15 November. I am satisfied the Council apologised for that delay. I consider that a satisfactory remedy for this part of the complaint.
27. Miss X says the Council failed to answer her question about how she could use the funds for the missing provisions. Miss X also says the Council failed to provide her with a copy of the education other than at school policy. In response the Council says it does not have any evidence of those requests.
28. Miss X has provided me with a copy of an email she sent to the Council on 17 April 2025. That email made clear Miss X was waiting for a response on how she could use the funds for the missing provisions. In that email Miss X also said she was still waiting for a copy of the education other than at school policy. I have seen no evidence the Council responded to that. That is fault. I recommended the Council apologise and provide Miss X with a copy of the education other than at school policy. The Council should also ask Miss X whether she still needs information about what she can spend the backdated funds on. The Council has agreed to my recommendations.

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Action

29. Within one month of my decision the Council should:
• apologise to Miss X for the frustration she experienced due to the faults identified in this decision. The Council may want to refer to the Ombudsman’s updated guidance on remedies, which sets out the standards we expect apologies to meet;
• provide Miss X with a copy of the Council’s education other than at school policy;
• liaise with Miss X to see whether she wants some advice about what she can spend the backdated funds on. If she does, the Council should provide that advice.
30. The Council should provide us with evidence it has complied with the above actions.

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Final decision

31. I find fault causing injustice. The Council will take action to remedy that injustice.

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Investigator's decision on behalf of the Ombudsman