Extended appeals to the First-tier Tribunal (SEND), formerly referred to as the ‘SEND Tribunal’, allow the tribunal to make non-binding recommendations about the health and social care aspects of Education, Health and Care (EHC) plans.
Before the "National Trial" of these extended powers, parents and young people were only able to appeal the educational aspects of EHC plans. This gives you the opportunity to raise all your concerns about an EHC plan, that is issued or amended, in one place.
It is only possible for the Tribunal to consider the health and/or social care aspects of the EHC plan where you are already making an appeal in relation to the education aspects of the EHC plan and the education aspect must remain live throughout the appeal.
The extended powers were tested under a National Trial that started on 3 April 2018 and ran until 31 August 2021. On 20 July 2021 the Department for Education confirmed it will be continuing the extended powers given to the SEND Tribunal since April 2018 to hear appeals and make non-binding recommendations about health and social care aspects of EHC plans, provided those appeals also include education elements. This decision has been taken following the conclusion of the independent evaluation of the National Trial. The independent evaluation considered the impact of the trial on value for money on the public purse; the experiences and outcomes of families; and impacts on Local Authorities (LAs) and Clinical Commissioning Groups (CCGs). The evaluation has been published in full on Extended powers SEND tribunal: national trial - GOV.UK (www.gov.uk).
If you are unhappy with a decision not to issue an EHC plan, or with the special educational content or placement in the plan, you can make an appeal to the SEND Tribunal. You now have the opportunity to also request recommendations about the health and social care content of the plan at the same time. This means the Tribunal will take a more holistic, person-centred view of the needs of the child or young person.
This does not prevent you also complaining about other aspects of your disagreement through other complaint procedures. You should seek advice about the different routes available, including from your local Information Advice and Support Service (IASS).
If the SEND Tribunal makes a recommendation about health or social care elements of an EHC plan, this is non-binding. The local authority and/or health commissioner is generally expected to follow such recommendations, but they are not legally binding. Where they are not followed, the reasons for not following them must be explained and set-out in writing to you and to the Department for Education through the evaluators. If they are not followed, you can complain to the Local Government and Social Care Ombudsman (LGSCO) or Parliamentary and Health Service Ombudsman (PHSO) or seek to have the decision judicially reviewed. Further information on the roles of these bodies can be found on their websites.
When can a parent or young person request recommendations about the health and social care elements of an EHC plan?
You can request the Tribunal makes recommendations about the health and/or social care aspects of EHC plans as part of an appeal relating to:
- the description of the child/young person’s special educational needs in an EHC plan
- the special educational provision specified in an EHC plan
- the school or other educational institution named in an EHC plan
- a decision by the local authority not to issue an EHC plan
- a decision by the local authority not to carry out a re-assessment for a child/young person who has an EHC plan
- a decision by the local authority not to amend an EHC plan following a review or re-assessment
- a decision by the local authority to cease to maintain an EHC plan
Local authority SEND teams remain placed with the responsibility to:
- Inform parents and young people of their new rights through decision letters and the local offer
- Provide evidence to the Tribunal from the health and social care bodies in response to any issues raised within the timeframe set by the Tribunal, seeking permission to bring additional witnesses to the hearing as necessary
Health and social care commissioners remain placed with the responsibility to:
- Respond to any request for information and evidence within the timeframe set by the Tribunal
- Send a witness to attend the hearing as required
- Respond to the parent/young person and the LA SEND team within 5 weeks of a recommendation being made, setting out the steps they have decided to take or giving reasons why they are not going to follow the recommendation.
If you wish to appeal against a local authority decision on any of the grounds above and want to request that the Tribunal considers your concerns about the health and /or social care aspects of the EHC plan, you should follow the normal process for bringing an appeal to the Tribunal and tick the box on the form relating to a health and/or social care appeal. Advice on making SEND appeals to the Tribunal and the appeal form is available on the GOV.UK website and further guidance can be found in the trial toolkit of support.
Yes, before you can register an appeal with the Tribunal, you must contact a mediation adviser within two months of the LA decision you wish to appeal and consider whether mediation might be a way to resolve your disagreement with the LA. If you want to appeal only about the school or other institution named in the EHC plan you do not have to contact a mediation adviser.
You can go to mediation about the health and social care elements of an EHC plan, but this is not compulsory. You can request recommendations about health and social care issues without having to receive mediation advice or attend mediation about those issues, provided there is also an education issue about which you are appealing.
Once a mediation adviser has been contacted, or once you have taken part in mediation, you will be issued with a certificate. This will be necessary if you are still unhappy and wish to progress to an appeal with the Tribunal. An appeal to the Tribunal must usually be made within two months of the decision about which the appeal is being made or one month following the issuing of the mediation certificate, whichever is the later.
If mediation resolves the educational issues, you will not be able to appeal to the Tribunal on any health and/or social care aspects of the EHC plan. However, mediation provides an opportunity for us to resolve disagreements and it can be completed more quickly than an appeal. It does not affect your right to make an educational appeal, and some aspects of the disagreement can go to appeal even when other aspects are resolved.
SEND tribunal: extended appeals - Guidance for local authorities, health commissioners, parents and young people on the trial to extend powers of the SEND tribunal & Evaluation of the national trial extension of special educational needs and disability (SEND) tribunal powers
The national trial toolkit of support - this is all still relevant since no new requirements introduced by the continuation of the extended powers, so, LAs, health commissioning bodies and parents and young people should follow the same procedure for the Tribunal as has been in place since April 2018.
- You can contact SENDIASS Torbay for independant information, advice and support
- The evaluation of the trial is led by IFF Research working with Belmana. For any questions or to get involved please get in touch with them at SENDtrial@IFFResearch.com, freephone: 0800 035 6051.