Education Health and Care Plans (including personal budgets)

A new approach

In September 2014 the Government introduced a new system designed to promote better outcomes for children and young people with Special Educational Needs and Disability (SEND) up to the age of 25. The aim is to intervene early and effectively as soon as any difficulties are identified. One key new element is the idea of Education, Health and Care Plans (EHCP) which will replace Statements of Special Educational Needs and Learning Disability Assessments. The new EHCPs set out, in the case of those with more severe and complex needs, what is needed from education, health and social care services to achieve the outcomes that are important to the child or young person. This will help contribute towards the desired outcomes of a successful transition to being an adult, living independently, getting a job and being a productive member of society (for more details on EHCPs see section 1 of the Guide for Parents and Carers).

Click here to see a guide for parents to the new SEND arrangements

This video from the Council for Disabled Children gives more information.


Moving to the new system

Moving to the new system is no small task. It is the biggest change in the field of SEND for a generation and it will take time to bring in the new arrangements and get everyone used to new approaches and new ways of working. The Government has acknowledged that it will take until 2018 to complete the first phase of the transition and it may take a few years after that for everyone to be fully aware of the new landscape.

Information about how Sandwell is transitioning to the new system can be found here

Two of the key tasks in the transition period are:

  • to assess whether children and young people who currently have a Statement of Special Educational Need or a Learning Disability Assessment should transfer to one of the new EHCPs
  • to complete new assessments for EHCPs and produce the new plans within the new shorter statutory timescale of 20 weeks

Transferring statements to EHCPs

A central part of the decision making process around whether a child or young person should have an EHCP is the Transfer Review Meeting. Every child and young person who currently has a Statement of Special Educational Need will have a Transfer Review by 1 April 2018 and this will inform whether they will subsequently move to a new EHCP. We anticpate that the vast majority of children and young people with a statement of special educational need will transfer to an EHCP as the thresholds are the same. No child will fail to move to an EHCP simply because a new system has been introduced

New Assessments for EHCPs (School and Pre-school)

If a child or young person is identified as having special educational needs the expectation is that, in the vast majority of cases, those needs will be met effectively in school using additional resources that are ordinarily available there (e.g. support from a classroom assistant or small-group work). What this means in practice is that schools are expected to spend up to £6,000 on additional support before they ask the Local Authority for additional funding through an EHCP. However, if a child continues to fall behind even after being provided with additional support, the school (or Early Years Panel in the case of pre-schoolers not at school) will ask for a Community Assessment Meeting (CAM) to be convened. At the CAM all parties (the child or young person, parents, school, other support agencies) will meet to look at the evidence and plan a way forward. This may result in the Local Authority deciding to start an assessment which could result in an EHCP being produced. If issued the EHCP will detail the child's needs, short and long term outcomes and the provision required to achieve those outcomes.

Watch a short video where the Assessment Team talk about engaging parents, carers, children and young people in the EHCP assessment process.

At all times parents (and young people if aged between 16 and 25) have the statutory right to request an assessment. To do so please contact the SEN Team on 0121-569-8240 or by email at

A request for an assessment can also come from:

  • a school or nursery
  • a local authority

For an assessment request to be successful it must be shown that the child or young person has not made progress even with the provision of the £6,000 of additional support from the school and that progress will be made with the additional resources that will come with an EHCP. This will be discussed at the CAM which would follow a request for assessment

More details of how to request an EHCP assessment and the process that follows can be found in section 6 of the Guide for Parents and Carers.

New Assessments for EHC Plan (Post 16)

There may be occasions where it becomes apparent, while at college or another education provider, that a young person may have additional educational needs that might require an assessment  for an EHC Plan. In this case the young person (or their parents) can indicate their desire for an assessment to be carried out. This can be done in writing to the Post 16 Officer, Sandwell SEN Service, Connor Education Centre, Connor Road, B71 3DJ or by telephoning the SEN Service on 0121-569-8240 to request that a pre-assessment to be carried out. Through this contact we will begin a discussion and start to gather any relevant written evidence concerning the areas where the young person has a learning difficulty or disability that requires special educational provision.
Throughout the pre-assessment process, the young person should be supported to participate in discussions about their aspirations, their needs, and the support that they think will help them best. Support should be aimed at promoting independence and enabling the young person to make good progress towards the overarching outcomes of employment and/or higher education, independent living, good health and participating in the community.
Once all information is gathered a decision whether or not an assessment should be undertaken will be made. Should the decision be to undertake an assessment then the young person, parent/carer and professionals involved will be formally requested to participate in the assessment process. Should the decision be not to assess then parents and/or the young person will be informed of their statutory rights of appeal.

Dispute resolution

Occasionally professional agencies working together will have disagreements over how best to meet the needs of children and young people with SEND. We have produced a Dispute Resolution Protocol which sets out how these differences can be resolved quickly and effectively.

Independent supporters

The process of assessment for an EHCP can be daunting for parents and young people. As part of the new SEND arrangements, the Government has allocated a significant amount of additional funding to appoint Independent Supporters who will help parents and young people through the EHCP process. There will be 12 supporters per local authority and, as the name suggests, they will be independent of the local authority so as to avoid any conflict of interest.

The independent supporter can:

  • help you understand the assessment and guide you through the process
  • ensure your views, needs and wishes are included
  • help with paperwork
  • meet with you in a variety of locations, including home
  • support in meetings with professionals
  • act as a named contact or advocate
  • provide you with information about the Local Offer
  • check your EHCP to ensure you are happy with it
  • help you recognise the difference between goals, aspirations and outcomes

Currently the Sandwell Independent Supporter Service is provided by the organisation KIDS but this contract will end on 31 March 2018. It is unclear at the moment which organisation will take over this service after that date. The service is currently at capacity and is unable to receive new referrals before the end of the contract. Anyone who requires support through the EHCP process during the transition period can use the Special Educational Needs and Disability Independent Advice and Support Service (SENDIASS). Click here for more information about Sandwell SENDIASS. 

Personal Education Budgets

If your child has an EHCP you or your child, if he/she is able, have the right to request a personal budget which is the amount of money required to fund any of the provision set out in the EHCP. A personal budget can be delivered in a number of ways:

  • You or your child can request a direct payment instead of the provision so that you can arrange it yourself. This is a payment of money to you instead of the Local Authority arranging the provision.
  • an arrangement whereby the Local Authority or a school holds the budget and arranges the support specified in the plan (this is referred to as a notional budget)
  • a direct payment to a third party where an individual or an organisation receives and manages payment on behalf of you or your child
  • a combination of the above

You can request that the Local Authority identify a personal budget or make a direct payment at two times:

  • when an EHCP is being prepared after a statutory assessment
  • when an EHCP is being reviewed

You cannot request a personal budget if your child has a statement of SEN or a Learning Disability Assessment (LDA). You must wait until a review when a transfer to an EHCP is being considered.

There are a few restrictions on personal education budgets and direct payments:

  • direct payments cannot be used to fund a place at a school or a post-16 institution
  • the local authority can refuse a request for a direct payment if it considers that to do so would have an adverse impact on services which the local authority provides to other children and young people with an EHCP
  • the local authority can refuse a request for a direct payment if it does not consider it to be an efficient use of its resources
  • the local authority cannot make any direct payments in respect of goods or services provided in an early years setting, school or post-16 institution without the written consent of the provider, head teacher or principal

More information about personal education budgets can be found in section 6 of the Guide for Parents and Carers.

Information about personal budgets in adult social care in Sandwell
Information about personal health budgets in Sandwell or to request a personal health budget please email and mark for the attention of Lisa Reeves