Working Documents: what are they and how to edit them as a Parent

This article provides information about working documents and how to use them to support agreement in the Tribunal process.

What is a working document?

Working documents are a key part of contents appeals (Sections B&F and B,F&I). They are a word version of the EHCP that is sent by the LA to the parents, usually when the LA send their response to the appeal. The case directions will state when the working document must be sent and if you do not receive the working document by this date, contact the LA’s Tribunal Representative and request it. If you still do not receive it, email SENDIST, copy in the LA’s Tribunal Representative and inform SENDIST that you have not received the working document as ordered in the case directions despite sending a reminder email to the LA’s representative.

A tribunal can only rule on Sections B, F and I of an EHCP and advise on Sections C, D, G and H. If your appeal is in relation to Sections B and F only, then these are the only sections of the plan that you should amend in the working document. If your appeal also relates to Sections C, D, G and/or H then you should also make amendments to these sections.

Sometimes the working document sent by the LA only includes the relevant sections. Sometimes it includes the whole EHCP. If the whole EHCP is included, ignore the sections that are not directly relevant to your appeal.

The working document sent to you by the LA is working document 1 and should be titled number 1 and dated.

When should I begin working on the working document?

It is best to wait until all the evidence has been submitted by you and the LA before working on the working document. Once all evidence has been submitted, you can work through the evidence to see what changes to the EHC plan are needed.

How do I use the working document?

Make the amendments and additions to the EHC plan on the working document using the key below. You need to cross reference each addition to the professional evidence that you have taken it from using footnotes.

Insert footnotes can be found in the references tab.

Don’t copy chunks from professional reports into the working document. Tribunal will be unhappy about working documents which are too long. Instead quote or paraphrase the key points which show the relevant needs or provision.

An example page from a completed working document is included at the end of this blog.

What key should I use for amendments?

This is the key that should be used to make amendments to the working document.

How do I know what changes are needed?

In order to identify what changes are needed to Sections B and F of the working document, go through all the evidence highlighting the special educational needs identified and special educational provision recommended.

Our EHCP checking webinar series will help you to do this and is available here:

All Events (thinkific.com)

When you are happy with the amendments you have made to the working document, change the title to Working Document 2, redate it and send it to the LA Tribunal Rep. You do not need to send it to SENDIST at this time.

The Tribunal case directions will include a deadline for when the working document with both parties’ amendments needs to be submitted to Tribunal. This is initially with the Case Review form and then again usually 10 days before the appeal hearing.

You and the LA can continue to work on it after it has been sent to Tribunal, just ensure that the most recent version is sent to them by no later than the day before the hearing.

In addition to cross referencing and adding all necessary needs and provisions to meet these needs, you should check that provision in the original EHCP is properly quantified and specified. Again, our EHCP checking webinar series will help you to do this, and key principles are outlined in the following laws.

All SEN must be identified

All of the child or young person’s identified special educational needs (“SEN”) must be specified (Section 37 of the Children and Families Act CFA)).

Provision to meet all SEN must be identified

Section 37 of the CFA requires the LA to specify the special educational provision required. “Provision must be specified for each and every need specified in Section B”: SEND Code of Practice (COP2015 ) #9.69(F)

Provision must be specified and quantified.

“Provision must be detailed and specific and should normally be quantified, for example, in terms of the type, hours and frequency of support and level of expertise, including where this support is secured through a Personal Budget”: COP2015 #9.69(F).

‘The real question is whether the statement/EHCP is so specific and so clear as to leave no room for doubt as to what has been decided and what is needed in the individual case’. L v Clarke and Somerset [1998] ELR 129 at 27.opp

What happens next?

The LA should then use the working document to narrow down the key issues by accepting anything that they agree with, using the key to show agreement. The LA may also suggest other amendments using the key. The document will go back and forth between you and the LA right up until the hearing date, with agreements being reached. Each time a new working document is sent, it must be renumbered and redated.

By the time you get to the appeal hearing date, the areas of the working document that are not agreed will be the focus for the hearing.

If you are asking for a particular placement, think about how your child or young person’s needs and provision can show that this placement is needed. For example, if you are looking for an extended day curriculum, then it needs to be clear from section F that your child or young person needs educational programmes to meet their special educational needs outside of the normal school day.

What if I cannot access a working document using the tribunal key?

The current working document key is not accessible for all users, such as those who are dyslexic, due to the use of underline and italic fonts.

If it is difficult for you to engage in the working document because the key is not accessible or any special educational needs you have, let your LA know. You and your LA can set out all the issues in a detailed list if that is easier for you and Tribunal are happy to accept either a working document or a detailed list of issues between the parties, if you need to use such a list.

If you do decide to write a list of issues, rather than use a working document, some top tips are:

Do not use colour to indicate your and the LA’s comments – the SEND Tribunal does not use colour printing.
Make sure you include all the changes you wish to see.
Be as detailed as possible, and reference evidence and reports to back up your comments and requested amendments.
Be clear which of the LA’s comments and which sections of the EHC plan you do not agree with.

Who should I share the working document with?

In addition to the working document being sent between you and the LA and being sent to Tribunal as set out in the Case Directions, you also need to send the latest version of the document to your witnesses, so they know what changes are being requested.

If someone is helping or supporting you on the day of the hearing, make sure they have a copy of the working document too.

Example extracts from a working document showing the use of the key and footnotes.