Annual Review of an Education Health and Care Plan

This guidance supports parents, carers, educational settings, and professionals in understanding and navigating the annual review process for Education, Health and Care Plans (EHCPs). It clarifies how to plan and prepare for the annual review meeting, what occurs during the meeting, the interim stages, and the next steps leading to the local authority's decision.

An annual review is the statutory process of looking at the needs, provision and outcomes specified in an EHCP and deciding whether these need to change, ensuring the EHCP remains appropriate and effective in meeting the child or young person's evolving needs and aspirations.
Under Section 44 of the Children and Families Act 2014, local authorities are legally required to review EHCPs at least once every 12 months from the date of the first final EHCP and within six months if the child is under five. There may be exceptions to this, which are covered further into this guidance document.

This guidance should be read alongside the Council's Annual Review of EHCP Process dated October 2025.

Why guidance is needed?

The annual review process sits within a complex system involving schools, families, health and social care professionals, and is governed by strict statutory requirements. Legally, the local authority (LA) is responsible for the annual review and must ensure the entire review process (not just the meeting) is completed within the required timescales. Under Section 44 of the Children and Families Act 2014 and the SEND Regulations 2014, the LA must review every Education, Health and Care Plan (EHCP) at least annually, and for children under five, every three to six months.

The SEND Code of Practice sets out clear legal expectations for the LA and those contributing to the process. Before the annual review meeting, information and advice must be sought from families and relevant professionals and circulated at least two weeks before the meeting. After the meeting, the LA must consider the report and notify the family of its decision within four weeks, whether the plan will remain unchanged, be amended, or be ceased. Where amendments are required, a draft amended plan must be issued within four weeks, and the final amended plan completed within 12 weeks of the review meeting, as clarified by case law.

Without clear guidance, this legally structured, multi‑step process can quickly become confusing, leading to delays or missed statutory duties. This document aims to bring clarity and consistency, ensuring that everyone involved understands what is expected of them and when, and how their responsibilities fit within the legal framework.

When schools, families, and agencies work to a shared framework, the process becomes more transparent and collaborative, with the child or young person's outcomes at the heart of every decision. This guidance also makes an important distinction between the annual review meeting (usually delegated to the school or educational setting) and the LA's statutory decision‑making responsibilities, helping participants understand their roles and the steps that follow.

By setting out these principles clearly, we hope to reduce uncertainty, ensure legal compliance across the system, and keep the focus where it belongs, on supporting the child or young person effectively.

The preparation phase that takes place prior to the annual review meeting is critical to ensure the annual review meeting is meaningful, compliant with statutory requirements, and focused on the child or young person's outcomes. The SEND Regulations 2014 and the SEND Code of Practice (2015) set out clear expectations for this stage. Below is a step-by-step guide to what must happen before the meeting.

Setting the date and initial planning

To support schools with their planning, the local authority will issue a list of annual reviews due for the upcoming term, normally sent out two weeks before the start of term. While this provides a helpful overview, it is essential that schools also maintain their own robust internal tracking systems to monitor review dates.

Statutory deadlines remain unchanged regardless of when the local authority (LA) issues the termly list, as Education Health and Care Plans (EHCPs) must be reviewed and the review process completed within 12 months of the previous review (or every 3-6 months for children under five). Schools are therefore expected to track review cycles proactively, schedule meetings in good time, and ensure that advice and reports are gathered and circulated at least two weeks before the meeting, in line with the SEND Code of Practice.

The school (usually the SENCo) is responsible for initiating the process and agreeing a date for the annual review meeting with parents or carers allowing adequate time for all parents or carers to consider the information and advice and make meaningful observations, suggestions or changes. This conversation should take place well in advance of the annual review being due to confirm:

• the proposed date and time
• who is currently involved with the child or young person
• which professionals need to attend or provide updated reports

This early discussion ensures the meeting is scheduled at a time that allows parent or carers, young people and all relevant invitees to attend and to ensure statutory deadlines to be met and gives professionals sufficient notice to attend and write up or provide reports with reflect the current needs, provision and outcomes for the child or young person.
 

Sending invitations

The school or educational setting (SENCo) sends out formal invitations to all required attendees. This includes:

• parents or carers and the child or young person (where appropriate)
• the Local Authority SEN Officer
• relevant education staff (class teacher, headteacher)
• health professionals named in the EHCP
• social care representatives
• any other professionals currently supporting the child

Invitations must be sent as early as possible once the date has been agreed, with a minimum of two weeks' notice before the meeting date, in line with best practice and statutory guidance. The invitations should include the date and time of the meeting and the venue. Although these people must be invited to attend, attendance is not compulsory.
 

Requesting information, advice and reports

Requests for information, advice and reports should be made by the school to the relevant people, at least six weeks before the meeting, allowing time for responses and circulation.

Once the date is confirmed, the school (SENCo) must then at that point, if not already done so, request updated advice and reports from:

• all professionals named in the EHCP or any other professionals who have since become involved with the child or young person, at the request of parents
• parents or carers views
• the child or young person's views

A central principle of the annual review process is the meaningful involvement of the child or young person and their parents or carers. The SEND Code of Practice is explicit that their views, wishes and feelings must be actively sought and considered when reviewing an EHCP.

These contributions form the foundation of the review and should directly inform all other sections of the EHCP, including the evaluation of progress, the identification of new or changing needs, and the setting of outcomes and provision.

The educational setting must request this information in advance of the review meeting, and these views must be circulated alongside professional reports at least two weeks before the meeting, ensuring they meaningfully shape the discussion and decision‑making.

These contributions should cover progress towards outcomes, current needs, and any proposed changes to provision.

If a child is in a year of transition, this must also include transition planning and recommendations.
 

Pre-review information

At least two weeks before the meeting, the school must collate all reports and advice received and circulate this pre-review information to:

• the Local Authority Annual Review Inbox - annualreview@stockton.gov.uk
• parents or carers
• all professionals invited to the meeting

This ensures everyone has time to read and consider the information before attending the annual review meeting, enabling informed discussion. The information and advice should provide details about the child or young person's progress and their access to teaching and learning and consider whether the special educational provision currently being made is effective.
 

Confirming attendance and contributions

The SENCo should confirm in advance of the meeting which professionals are attending the review, who is giving apologies for their attendance and who is providing a report. It is important that all changes from the review are evidenced based, therefore even if a professional is in attendance to share their views in the review meeting, a written record and report of this must be provided.

Where reports are missing or not received, the school should follow up promptly to avoid gaps in evidence and make parents and carers aware of this.
 

Purpose of preparation

This preparation phase ensures:

• the meeting is person centred and focused on progress towards outcomes
• parents, young people or professionals can make suggestions about changes that should be made to the EHC plan
• all statutory duties under Children and Families Act 2014, Section 44 and SEND Regulations 2014 (Regulations 18-21) are met
• the Local Authority can make an informed decision on the outcome of the review after the meeting

The annual review meeting is a structured discussion where everyone involved considers the child or young person's progress and whether the Education, Health and Care Plan (EHCP) remains appropriate. However, the meeting is not the annual review itself or the point at which decisions about the EHCP are made. Instead, the meeting serves as an information‑gathering and consultation stage that informs the Local Authority's formal decision making.

In law, the Local Authority (LA) must review the EHCP after the meeting and issue its formal decision within four weeks, stating whether it will maintain the plan as it is, amend it, or cease it. It is at this point, when the LA issues that decision, that the annual review is considered completed, and the statutory outcome of the process is determined.

Who leads the meeting?

The school must lead the meeting, ideally chaired by the SENCo or another designated member of staff responsible for coordinating annual reviews who knows the child or young person well.

Where children are Electively Home Educated, have an Education Other Than At School (EOTAS) package or are not in Education, Employment or Training, the SEND Service at the local authority will organise and hold the annual review meetings.

A qualified teacher should be present to provide educational input and context.

Recording the meeting

The meeting should be recorded using the Record of Annual Review Meeting form (known as the AR1 form). This is not a verbatim transcript but a clear summary of:

• main discussion points
• changes to the EHCP in Section A to J
• views expressed by parents, professionals, and the child
• any requests made for the Local Authority to consider
• a recommended outcome (for example, amend the EHCP, cease the EHCP, or make no changes)

This recommendation is advisory only. The Local Authority makes the final decision on what is the outcome of the annual review based on the information submitted.

Role of the SEND Caseworker or LA Officer in attendance

The Local Authority caseworker contributes to the annual review process by offering advice and guidance on statutory requirements and supporting schools to ensure the review is carried out in line with legal expectations. While caseworkers may attend annual review meetings where their presence would add value, attendance at every review is not a statutory requirement, and it is not always possible or necessary for the LA to be represented in person at each meeting.

To ensure that LA attendance is used effectively, we meet with SENCOs at the start of every term to review upcoming annual reviews and jointly identify which meetings would most benefit from caseworker presence.

This approach allows the LA to prioritise attendance where significant changes to provision may be required, or where additional professional support would help facilitate the review process, while ensuring all other reviews still proceed within statutory timescales.

It is not within the remit of the role to make decisions about any requests to the Local Authority, and they do not take detailed minutes of the meeting as there should be one official record, completed and submitted by the school.

Deciding on changes to the EHCP

In Stockton on Tees, the process is transparent and collaborative:

• proposed changes are made live during the meeting, displayed on screen
• additions are shown in bold text for ease of reading, and any proposed deletions are marked with strikethrough, an example of which is available to view in this guidance
• references for changes should be noted, citing reports or professional opinions to ensure that the requests for changes to Section B-H are appropriately evidenced based.

This approach ensures clarity and shared understanding among all participants.

Proposed agenda of the meeting

Below is a summary of a proposed running order of the meeting, to ensure all relevant points are captured within the allocated time.

• welcome and introductions.
• the person who is leading the agenda of the meeting, either the SENCo or review coordinator, will clarify process and purpose of the annual review meeting
• review Sections A to J of the EHCP, considering:
   
  • child and parent views
  • professional reports
  • progress against outcomes and whether the outcomes remain appropriate for the child or young person
  • discuss proposed changes, making live edits where appropriate
  • capture all views and requests on the record form
  • if a child or young person is in or beyond Year 9, consider what provision is required to assist the child or young person in preparation for adulthood and independent living
     
• agree a recommended outcome for submission to the Local Authority
• summarise next steps and timescales

Child or young persons involvement

Involving the child or young person is good practice and strongly encouraged. Their participation should be considered on a case-by-case basis, considering age, needs, and preferences. Where direct attendance is not appropriate, their views must still be gathered and shared during the meeting to ensure that the voice of the child or young person is the focus of the discussion and recommendations made.

Key principles

The key principles are:

• meetings must be person-centred, focusing on outcomes and aspirations
• all statutory duties under Children and Families Act 2014, Section 44 and SEND Regulations 2014 (Regulations 18-21) apply
• the process should be transparent, inclusive, and evidence based and meet the statutory requirements set out for annual reviews

Once the annual review meeting has taken place, the educational setting has a clear responsibility to ensure the process moves forward promptly and in line with statutory requirements. 

Complete the record of Annual Review Meeting

The school must complete the Record of Annual Review Meeting form immediately after the meeting and this must be signed off by the Headteacher (or person in the educational establishment with overall responsibility for Special Educational Needs and Disabilities (SEND), for example in a Post 16 setting this may be the High Needs Lead or equivalent).
This record should include:

• a summary of the main discussion points
• views expressed by parents, professionals, and the child or young person
• any requests made for the Local Authority to consider
• the recommended outcome (amend the Education, Health and Care Plan (EHCP,) cease the EHCP, or make no changes)
• references for proposed changes (for example professional reports and assessments)

Submit documentation to the Local Authority

The completed record and all supporting documents (including updated reports and advice) must be sent to the Local Authority within one week of the meeting to the annual review inbox at annualreview@stockton.gov.uk. This submission should include:

• the Record of Annual Review Meeting form
• the current EHCP with proposed changes (additions in bold, deletions in strikethrough)
• any additional evidence discussed during the meeting

Share with attendees

At the same time the paperwork is shared with the LA, the school must share a copy of the meeting record with:

• parents or carers, by way of their preferred contact method such as via email or in the post
• professionals who attended, were invited or contributed to the review

This ensures transparency and allows all parties to confirm that their views have been accurately captured.

Maintain confidentiality and accuracy

All records must be accurate, objective, and respectful of confidentiality.

The school should retain a copy for its own records in line with data protection requirements. Timely and accurate submission is essential because:

• within both 12 months of the last annual review and four weeks of the review meeting, the Local Authority has to issue its decision (maintain, amend, or cease the EHCP)
• delays in submission can result in missed statutory deadlines and impact the child's provision

Once the educational setting submits the annual review paperwork, the Local Authority must make a formal decision on the outcome of the review. This decision must be issued to parents and the young person within four weeks of the date of the annual review meeting, as required by Section 44 of the Children and Families Act 2014 and Special Educational Needs and Disabilities (SEND) Regulations 2014 (Regulation 20).

Timely submission by schools and educational settings is therefore critical to ensure statutory compliance. It is essential that the paperwork is submitted as soon as possible, and no later than two weeks after the review meeting, in line with the requirement for reports and information to be circulated within statutory timescales. Any delay beyond this point risks impacting the Local Authority's legal timeframe for issuing its decision, which must be completed within four weeks of the meeting.

Prompt submission is therefore not only good practice but a necessary safeguard to ensure the Local Authority can fulfil its legal duties and that children, young people, and their families experience timely, reliable, and needs led decision making.

How the decision is made

All documentation from the meeting is reviewed by a senior member of staff within the SEND and Alternative Provision (AP) Service. This may be a Senior Caseworker, Team Manager, or Service Lead. The decision is based on:

• the evidence provided in the meeting record, including any requests made at the meeting and the outcomes suggested
• updated reports and professional advice
• statutory tests under the Children and Families Act 2014, including whether the Education Health and Care Plan (EHCP) remains necessary and whether special educational provision specified is still appropriate

The outcome will be one of three options:

• amend the EHCP (where changes are needed to provision, outcomes, or placement) this would lead to a new draft EHCP being issued
• cease the EHCP (where the plan is no longer required)
• maintain the EHCP with no changes and at this point the annual review would be finalised

Requests made during the Annual Review Meeting

Schools or parents may make additional requests during the meeting, such as, but not exhaustive to:

• a change of placement
• an assessment by an external professional
• additional funding or resources

While these are not statutory decisions of the annual review, the person making the triage decision may refer such requests to SENDMAP (the decision-making panel) for further discussion. Parents and schools will be informed in writing if this happens and a decision will be issued in writing from the SEND Caseworker following the panel meeting, usually within two to three weeks of the decision letter being issued.

Importantly, this does not delay the statutory duty to issue the annual review decision within four weeks and even if a decision is going to be made at SENDMAP, the draft plan will be issued if required. Any changes to this process would be communicated to parents and school in advance of the panel discussion in writing.

Issuing the decision

A decision letter is sent to parents, the young person (if 16 or over) and the school, confirming the outcome of the review this comes from the local authorities SEND Team via email.

If the decision is to amend the EHCP, the letter will include a draft amended EHCP showing the proposed changes (additions in bold, deletions in strikethrough). If a no change or a cease letter is issued, this will conclude the annual review process at this stage and the letter, should be appended to the EHCP for future reference. The decision letter also includes a right to appeal for the parents or young person should the decision be disagreed with. This should be appealed within eight weeks of the date of the decision letter.

Key compliance points

The four-week deadline starts from the date of the annual review meeting, not the date the paperwork is received. Failure to meet this deadline is a breach of statutory duty under the SEND Regulations 2014. Decisions must be evidence-based and person-centred, reflecting the child's needs and outcomes.

Once the Local Authority has made its decision following the annual review meeting, the next step is to issue a draft Education Health and Care Plan ( EHCP). If changes are required this should also be done wherever possible no later than week four of the process. This stage is governed by statutory timescales and compliance requirements under the Children and Families Act 2014 and SEND Regulations 2014.

How the draft plan is issued

The draft EHCP will be sent via email to parents or carers and the young person (where appropriate, if parents have alternative means of preferred communication, the EHCP can be shared in this way. School will also receive a copy of the draft EHCP for their records and should also review and respond to parents on any proposed changes within the draft window. It will be accompanied by a decision letter, confirming the outcome of the review and explaining the next steps. The draft plan will be signed by an authorised officer with delegated authority to commit the Local Authority to the provision and resources set out in Section F of the EHCP.

Content of the draft plan

The draft will clearly show:

• proposed additions in bold
• proposed deletions in strikethrough
• references to supporting evidence (reports, professional advice)

This transparency ensures parents and professionals can see exactly what is changing and why.

Opportunity to discuss

Parents or carers or the young person themselves may request a meeting with their caseworker to discuss the content of the draft plan before responding. This is an opportunity to clarify any changes and raise questions about provision or outcomes or content of the EHCP. Parents should contact their caseworker directly to request and arrange this or alternatively contact sensection@stockton.gov.uk to make the request.

Response timescales

Parents or carers have 15 calendar days from the date on the covering letter to respond, indicating:

• agreement with the draft plan, or
• requests for further changes or clarification
• confirmation of the school placement they wish for their child to attend, whether this is to continue at their current school or change to a different school placement

Responses should be made in writing to the Local Authorities SEND Service to ensure an accurate record and can be sent to sensection@stockton.gov.uk. If no response is received to the draft, the final EHC Plan will automatically be issued at the end of the 15-day period.

Issuing the final plan

The Local Authority must issue the final EHCP within 12 weeks of the date of the annual review meeting (not the date the draft was sent). This statutory deadline ensures timely implementation of agreed changes and provision.

It is important that schools, settings, and parents must save and securely store each final EHCP issued to them. The final plan is an official record and should be retained safely in line with GDPR requirements and each organisation's data‑retention policies and that this is the version of the EHCP that would be used at the next annual review meeting.

Additional key points

If parents request a change of placement during this stage, the Local Authority will consult with the proposed setting as required by the SEND Code of Practice. The statutory duty to issue the final plan within 12 weeks remains, even if placement consultations are ongoing. All correspondence should remind parents of their right to appeal once the final plan is issued.

When a child or young person with an Education Health and Care Plan (EHCP) is set to transition between educational phases, for example, Year 6 to Year 7, referred to as a secondary transfer, a specific form of review known as a phased transfer review must take place. This addresses the challenges of ensuring continuity and suitability of support during these critical milestones, ensuring that settings that are being consulted have the most up to date information relating to a child's needs, provision and outcomes and also so that enhanced transition to meet the individual needs of each child can be planned in a timely manner.

What is a phased transfer review and why is it necessary?

A phased transfer review ensures the EHCP is updated to reflect the child's needs and the setting they're moving to. It helps:

• confirm ongoing suitability of provision as the child enters a new educational environment
• ensure appropriate placement and support can be secured in good time
• assist families and settings in making informed choices for the next phase

The Special Educational Needs and Disabilities (SEND) Regulations 2014 (Regulation 18) require that when moving between phases, the EHCP must be reviewed and amended in advance by 15 February for transitions such as, nursery to primary and primary to secondary, or by 31 March for secondary to post‑16 transfers of the academic year of transfer.

This means that the annual reviews for the children and young people who are due to change their educational setting in the September of the next academic year, should have their annual review undertaken in the Autumn Term that year, despite when the annual review may be due in its usual annual cycle.

Where possible, schools, settings and parents may decide to bring these reviews forward to the end of the Summer Term. Undertaking these reviews earlier allows schools, parents, and the Local Authority significantly more time to plan transition arrangements, secure appropriate placements, engage with receiving settings, and ensure any required assessments or consultations can be completed in good time. Early review also reduces the risk of delays, avoids decision making being compressed into statutory deadlines, and ensures that the child or young person enters their new setting with the necessary support already mapped and agreed.

Which transitions trigger a phased transfer review?

This review process applies to children and young people moving from:

• early years to reception
• primary to secondary school
• secondary school to post‑16 education
• any other within phase movement, such as between all-through settings

Children in Nursery (-1), Year 5 or Year 6, Year 11, or Year 13 are typical cohorts where a phased transfer review becomes necessary.

Impact on the annual review cycle

The phased transfer review replaces the regular annual review and is scheduled earlier in the academic year. Draft amended plans and preference forms are generally issued in late Summer or early Autumn, this is for the parents to choose the preferences they wish to ask the Local Authority to consult with for a school placement. This adjustment ensures planning aligns with admission timelines and reduces the risk of placement delays.

How is a phased transfer review initiated?

The child or young person's current educational setting arranges the review meeting (often during the summer term before transfer), in consultation with the local authority. Invites are issued to parents, the young person, current and prospective providers, and all relevant professionals. Updated advice and reports inform discussions at the meeting about placement options, outcomes, and support needs. The local authority then:

• drafts and issues the amended EHCP by 15 February or 31 March, depending on the transition phase
• consults with requested settings, allowing 15 days for response as required by the SEND Code of Practice (para 9.78-9.79)
• finalises the EHCP, naming the agreed setting for the next phase

Summary

Phased transfer reviews are a statutory safeguard, not a discretionary option, designed to:

• ensure timely planning for placement
• provide a clear route for including parental preference
• secure appropriate provision before the start of the new phase

They bring forward the annual review cycle to align with admission deadlines and avoid leaving children without the support they need during pivotal transitions.

Interim reviews are designed for exceptional and urgent circumstances, not as a substitute for the routine annual review. The Special Educational Needs and Disabilities (SEND) Regulations 2014 and Code of Practice 2015 specifies that reviews must focus on significant, immediate needs that cannot wait without detriment to the child or young person. Parents and carers can ask for an early review, they are at the Local Authorities discretion.

When interim reviews are appropriate:

• the child is not in school, and urgent arrangements are needed to ensure access to education
• a serious, unexpected change in the child's health, care or educational circumstances necessitates a prompt response, such as a permanent exclusion from school
• if a child or young person is at risk of permanent exclusion, it may be appropriate to request an early review to address any urgent changes to the Education Health and Care Plan (EHCP)

Interim reviews must not be used to:

• make routine updates or minor adjustments
• tackle issues better suited to the next scheduled annual review
• address matters that do not meet the threshold for urgency such as request for additional funding or Educational Psychologist (EP) Assessment or support from a Specialist Teacher

Statutory basis

There is no statutory requirement in the Children and Families Act 2014 and SEND Code of Practice 2015 for the Local Authority to agree to carry out an interim review of the EHCP.

Initiating an interim review

Schools and settings must inform the council and seek agreement to undertake an interim review before sending invitations to parents and professionals. Schools (or parents if it is at their request) should speak to their named SEND Caseworker in the first instance. This is essential to secure confirmation that the circumstances justify an interim review.

Guidance states that although not a necessity owing to the potential sense of urgency relating to interim reviews, schools and settings should endeavour to provide at least two weeks' notice, even on short timelines. If this is not feasible, there must be clear agreement with parents or carers explaining why shorter notice is necessary and this should be confirmed again during the review meeting.

Council's discretionary rights

The Local Authority retains the right to decline to process interim review materials if the:

• meeting was not formally agreed with the council beforehand
• content of the meeting does not meet the urgency threshold, such that it could have reasonably been deferred until the annual review

This ensures interim reviews remain reserved for genuinely urgent situations, avoiding procedural dilution or bypassing the statutory annual review process.