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Series2: Outcomes and the EHCP
Implementing the SEND Reforms Series2: Outcomes and the EHCP Produced in collaboration with: Contact a Family Council for Disabled Children Early Support Information, Support and Advice Services Network Mott MacDonald National Network for Parent Carer Forums Preparing for Adulthood The Communications Trust The Dyslexia-SpLD Trust Autism Education Trust
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Aims and Objectives This workshop aims to: Provide an overview of the EHC Needs Assessment process, the decision making process for issuing an EHC Plan and the requirements of an EHC Plan. EHC Needs Assessment Process -List who can ask for an assessment and describe how to ask for an assessment. -Describe the legal threshold for assessment -Outline what the assessment entails including how agencies should work together. -Highlight how other social care and health plans link into EHC needs assessments. -Describe what should be considered if a LA refuses to assess. Deciding whether to issue an EHC Plan: -Explain the process for issuing an EHC plan. -Describe the legal threshold for an EHC plan. -Outline the threshold for those children under compulsory school age, year olds and children with a LDA. -Explain the use of eligibility criteria and when a policy may be unlawful. -Highlight the options available if an EHC plan is refused. EHC Plan -Explain when you should receive the draft EHC Plan. -Describe what the EHC Plan should contain looking at a breakdown of the different sections. -Explain how health and social care needs are addressed within the EHC Plan. -Outline how parental preference for schools is dealt with and be able to list what the LA must consider when naming a school -Describe the content and status of the final EHC Plan as well as the process for receiving it.
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The vision behind the SEND reforms
“We want children and young people with special needs and disabilities to achieve well in their early years, at school and in college; find employment; lead happy and fulfilled lives; and have choice and control over their support. The special needs reforms will implement a new approach which seeks to join up help across education, health and care, from birth to 25. Help will be offered at the earliest possible point, with children and young people with SEND and their parents or carers fully involved in decisions about their support and what they want to achieve. This will help lead to better outcomes and more efficient ways of working.” What the DfE want to achieve through these reforms.
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EHC plans - key features
To be drawn up within 20 weeks. Person centred with a focus on outcomes. Include education, health and social care. Extend beyond school, potentially up to 25. Option of personal budget to prepared if requested either during the completion of an EHC assessment or during review. Under the new Act, statements of special educational needs for children in schools and Learning Difficulty Assessments for young people in further education and training, will be replaced with a single Education, Health and Care Plan (EHC plan). An EHC plan is available for children and young people from birth to 25 and will include information about health and social care needs as well as special educational needs. EHC plans must be prepared and maintained by the local authority and include annual reviews, re-assessments and education otherwise than at school as before.
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EHC needs assessment process
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Considering whether to assess
A local authority must determine whether to carry out an EHC needs assessment when: A request is made by a child’s parent, a young person or a representative of a school or post-16 institution; A child or young person who has, or may have, SEN is brought to their attention. Anyone can bring a child or young person who has or may have SEN to the attention of the local authority and should do so where they think an EHC plan may be necessary. The following people have a specific right under the Act to ask a local authority to conduct an EHC assessment for a child or young person aged between 0 and 25: - A child’s parent A young person over the compulsory school age but under the age of 25, and A person acting on behalf of a school or post-16 institution (the SEND Code of Practice states that this should be with the knowledge and agreement of the parent or young person). Anyone can bring a child or young person who has (or may have SEN to the attention of the local authority, particularly where they think an EHC needs assessment may be necessary. This could include foster carers, health and social care professionals, early years practitioners, youth offending teams or probation services, those responsible for education in custody, school or college staff or a family friend. This should be done with the knowledge and, where possible, agreement of the child’s parent or the young person. Where a child of young person is brought o the Local Authority’s attention, they must determine whether an EHC needs assessment is required. There is a right to request an assessment up to the young person’s 25th birthday
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EHC assessments - legal test
EHC assessments are necessary where: “there is evidence that despite the early years provider, school or post-16 institution having taken relevant and purposeful action to identify, assess and meet the special educational needs of the child or young person, the child or young person has not made expected progress” SEND Code of Practice 2014
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EHC assessments - evidence
Local authorities should pay particular attention to: Evidence of the child or young person’s attainment and rate of progress Evidence of the action already being taken by the early years provider, school or post-16 institution Information about the nature, extent and context of the child or young person’s SEN Evidence of the child or young person’s physical, emotional and social development and health needs I
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Decision by local authority
In determining whether it must carry out an EHC assessment, the local authority must consult the child’s parent or the young person The decision must be taken and the parents or young person informed within six weeks If the LA refuses to assess, the notification to the parents or young person must inform them of their right of appeal to the Tribunal. If the LA refuses to assess, the notification must inform the parent or young person of their right of appeal to the Tribunal. The parent or young person should access Information, Advice and Support from the local IASS or elsewhere
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EHC assessments - process
EHC assessments must be based on the principles set out in section19 of CFA. Local authorities must have regard to: The importance of taking into account the views of parents, children and young people The importance of parents, children and young people participating in decisions The importance of supporting parents, children and young people to participate fully in these decisions Achieving the best possible outcomes for the child or young person
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The EHC needs assessment
An EHC needs assessment must consider: The education, health and care needs of the child or young person; what provision may be required to meet such needs; the outcomes that are intended to be achieved by the child or young person receiving that provision; assessments of the child or young person by education, social care and health professionals; It is a central principle of the new scheme that repetitive assessments should be avoided. There should be joined up assessment across education, health and social care and existing evidence should be used to inform further assessment.
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EHC assessments - evidence
Evidence that must be gathered includes: Educational advice from the setting they attend Advice from an educational psychologist If the child or young person is visually impaired, the educational advice must be given after consultation with a person who is qualified to teach people with a visual impairment Medical advice from health care professionals Social care advice, including any existing assessments for social care Reg 6(1) lists who should be asked to contribute to the assessment process. (a) advice and information from the child’s parent or the young person; (b) educational advice and information— (i)from the head teacher or principal of the school or post-16 or other institution that the child or young person is attending, or (ii)where this is not available, from a person who the local authority is satisfied has experience of teaching children or young people with special educational needs, or knowledge of the differing provision which may be called for in different cases to meet those needs, or (iii)if the child or young person is not currently attending a school or post-16 or other institution and advice cannot be obtained under sub-paragraph (ii), from a person responsible for educational provision for the child or young person, and (iv)if any parent of the child or young person is a serving member of her majesty’s armed forces, also from the secretary of state for defence; (c)medical advice and information from a health care professional identified by the responsible commissioning body; (d)psychological advice and information from an educational psychologist; (e)advice and information in relation to social care; (f)advice and information from any other person the local authority thinks is appropriate; (g)where the child or young person is in or beyond year 9, advice and information in relation to provision to assist the child or young person in preparation for adulthood and independent living; and (h)advice and information from any person the child’s parent or young person reasonably requests that the local authority seek advice from. Reg 9 When securing an EHC needs assessment the local authority must consider whether the child’s parent or the young person requires any information, advice and support in order to enable them to take part effectively in the EHC needs assessment, and if it considers that such information, advice or support is necessary, it must provide it.
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The duty to co-operate with EHC needs assessments
Agencies must cooperate during the EHC needs assessment Where an advice is requested by the local authority, partners must respond within 6 weeks of request unless: Appointments are missed by the child or young person the child or young person is absent from area for at least 4 weeks Exceptional circumstances affect the child, young person or parents Important to note the ‘tell us once’ approach… Parents and YP should not have to keep on repeating themselves or be subject to repetitive assessments.
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How social care and health assessments link into EHC needs assessments
An EHC needs assessment is an assessment of the child or young person’s education, health and social care needs. EHC needs assessments and children’s social care assessments should be combined where possible Clinical commissioning groups and local authorities must have arrangements in place for securing joint EHC assessments For social care, help and support should be given to the child and family as soon as the need is identified and not wait until the completion of an EHC needs assessment (9.35 of Code). As previously noted there is statutory guidance called Working Together to Safeguard Children which governs social care assessments and sets minimum requirements and maximum timescales. Local authorities should publish protocols setting out how social care assessments will be informed by/inform the EHC needs assessment (SEN Code Para 10.17)
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Deciding whether to issue an EHC Plan
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Deciding whether to issue an EHC Plan
EHC plans are necessary where, following an EHC assessment, the local authority determines that: “the special educational provision required to meet the child or young person’s needs cannot reasonably be provided from within the resources normally available to mainstream early years providers, schools and post-16 institutions.” SEND Code of Practice 2014 Whether an EHC Plan is ‘necessary’ in any given case is a question of judgment for the LA. However there is no discretion on the part of the LA – if the judgment, informed by all the evidence, is that a Plan is necessary then it has to be issued. The key issue determining whether or not it is necessary to issue a Plan is progress – or lack of expected progress – and whether the extent of the special educational provision needed to make expected progress can be from within the resources normally available to education settings. A child could have very significant needs and yet have those needs met by the school from its own resources, in which case a Plan should not be required. Conversely, a child with more moderate needs might require a Plan in a school which is struggling to cope. Some questions which should be asked by the LA before deciding whether to issue an EHC Plan: Did the EHC needs assessment confirm what was already known about the child or young person’s special educational needs or did it reveal anything new? Based upon what is now known about the child or young person’s SEN was the provision made for their needs before the assessment well matched? If the provision WAS well matched, was the child/young person NOT progressing OR not progressing sufficiently well or quickly? Is the provision required to meet the child or young person’s needs of a type which can be provided by a mainstream school or institution? Is some or all of the provision of a type which can’t be provided by a mainstream school and needs either additional LA funding or a special school placement (SEN Code paras )
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Decision not to issue an EHC plan
If the local authority decides that an EHC plan is not necessary, it must notify the child’s parents or the young person of the reasons for its decision. This notification must take place at the latest within 16 weeks of the initial request or of the child or young person having otherwise been brought to the local authority’s attention
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Options When Refused a Plan
Mediation Disagreement resolution Appeal to the First-Tier (SEND) Tribunal Beginning the process again Parents or young people can request a new assessment at any point LA’s can consider these requests at any time but must consider request from six months after the previous assessment A new assessment can be requested inside six months if necessary, for example because the child or young person’s needs have changed.
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Decision to issue an EHC plan
Where a local authority decides it is necessary to issue an EHC plan, it must notify the child’s parent or the young person and give the reasons for its decision. The local authority should ensure it allows enough time to prepare the draft plan and complete the remaining steps in the process within the 20-week overall time limit within which it must issue the finalised EHC plan. Before they can issue a final EHC plan, the local authority must send a draft EHC plan to the child’s parent or the young person In practice, if LA waits until 16 week deadline to decide on whether a plan is necessary this will leave very little time to issue draft plan, get parents comments, and go through process for naming a school…. So decision should be made much earlier. There are also exceptions to the timescales Appointments with partners providing advice missed by the CYP CYP is absent from area for at least 4 weeks Exceptional circumstances affecting CYP or parents Educational institution closed for at least 4 weeks Child’s parents or young person must be involved in content and receive copy of the draft plan 38(1)-(2) CFA 2014 LAs must make officers available for meetings to discuss the content of the draft plan before it is finalised (Regulation 13(1)(a)(ii) and Code para 9.77) Parents or young person should have at least 15 days to comment on the plan before it is finalised and to make representations to the LA. The finalised plan should be complete within 20 weeks of the LA receiving a request for an EHC needs assessment. SEN Regulations 13(1)(a) and (2)(c)
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Draft plan The local authority must send a draft EHC plan to a child’s parent or the young person and give them 15 days to comment on the draft. The draft plan must set out a child or young person’s needs and the provision to meet those needs. The draft plan must not name an education institution which that child or young person will attend. Once a draft plan has been received, parents or young people can request that a particular education institution is named in the plan. When issuing the draft EHC Plan, LAs must notify parents/young people of rights to make representations and name school and the deadlines for doing so. (s38(2) CFA) Advise them of where to find information about available schools and colleges. (Regulation 13(b)
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EHC Plans
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Content of EHC plans Must include sections A-K: A- Aspirations B- Special educational needs C- Health needs D- Social care needs E- Outcomes F- Special educational provision G- Health provision H- Social care provision (H1 and H2) I- Name of school or college J- Personal budget K- Advise and information Must include sections A-K (see CDC ‘section-by-section’ guide for details) Although this information is mandatory it doesn’t have to be presented in the suggested order. It doesn’t have to be in the order but it would be unlawful not to use the suggested lettering. A plan would NOT be compliant if A-K is not used.
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A- Views, Interests and Aspirations
The plan should be focused on supporting the child or young person to achieve the aspirations set out in Section A. This section must include details about the child or young person’s aspirations for the future, including aspirations relating to paid employment or independent living The outcomes (Section E) in the plan should be written in a way that supports the achievement of the aspirations in Section A. The plan should be focused on supporting the child or young person to achieve their aspirations. Any historical information should only be included insofar as it relates to current aspirations. As a general rule content should only be presented in the first person if it was actually said or otherwise communicated by the child / young person.
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B- Special Educational Needs
All of the child or young person’s identified special educational needs must be specified SEN includes needs for health and social care provision if they train or educate the child The content of this section should draw on the professional advice attached in Section K (Advice and information). It is of the utmost importance that all the child or young person’s special educational needs are captured in section B – because if a need is not included here there is no requirement to include any special educational provision to meet it. There may be conflict over the question of whether a need which appears to be a health or social care need is in fact educational because it relates to learning or training. Parents who are concerned about how needs or provision are being defined should seek specialist advice. Need is the barrier experienced, be careful not to confuse with provision e.g. “needs 18 hours of one to one TA support – this is the description of provision not the need. The need may be the difficulty focussing and understanding tasks or the communication barrier which prevent CYP from being able to take instructions direct from the teacher.
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C: health needs which relate to their SEN
Local authorities must specify any health needs identified through the EHC needs assessment that relate to the learning difficulty or disability that results in a child or young person having SEN. Health needs that are not related to SEN should also be included in this section unless there is a good reason not to include them. Relevant local clinicians, such as a community pediatrician, should participate in the development of the child or young person’s EHC plan, advising on the child’s needs and the provision to meet them. Under section 26(4)(a) of the Children and Families Act 2014, local authorities and Clinical Commissioning Groups (CCGs) must have joint arrangements in place for carrying out EHC assessments. These arrangements should set out how the local authority can request appropriate medical and health information from them, and how the relevant health professional(s) will respond. Advice and information requested by the local authority must be provided within six weeks of the request. This includes requests for advice and information from CCGs and NHS England. The only exemptions to this are if there are exceptional circumstances affecting the child, their parents or the young person
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D: social care needs which relate to their SEN
The local authority must gather advice from relevant professionals about the child or young person’s care needs Section D must specify all social care needs identified during the assessment which relate to the special educational needs or to a disability. At this stage it is not necessary to specify which of these needs are eligible for support. Once the evidence has been gathered, a local authority will need to satisfy itself whether or not the child or young person has eligible needs under: The Chronically Sick and Disabled Persons Act 1970 (CSDPA); The Children Act 1989; The Care Act 2014 (for a young person over 18).
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E – Outcomes Outcomes are a change resulting from an intervention. They are not a description of services Outcomes should be written in a way that helps children and young people towards the achievement of their aspirations (Section A). The plan should be clear how the SMART outcomes link to their longer term aspirations. The outcomes in section E are critically important. They should be drafted in a way which supports the achievement of the aspiration set out in section A. Outcomes need to be ambitious and based on high expectations of both the child / young person and the available services. Note previous comments – do not confuse with aspiration Provision must be targeted to enable CYP to achieve outcomes Joint outcomes across health, social care and education are often good practice – however education and training outcomes for young people aged 17 and over need to be listed separately as whether these have been achieved will determine whether a Plan needs to continue to be maintained beyond the age of 18. *Make sure everyone understands SMART objectives
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F – special educational provision
Provision must be specified for each and every need identified in Section B. The provision must be detailed, specific and normally quantified in type, hours, frequency of support and expertise for each individual need. It should be clear how provision supports the outcomes The local authority is responsible for arranging all the provision in Section F, irrespective of who actually delivers it. Terms such as ‘access to’, ‘opportunities for’ and ‘regular’ must not appear in EHC Plans because hey are not specific and quantified. It is vital that all the provision considered necessary to meet each educational need is specified. This includes all health or social care provision which (on the facts of the particular case) educates or trains a child or young person. The provision has to be ‘special’ – so it would be inappropriate to refer in section F to a ‘broad and balanced curriculum’ When provision is specified in this section it must be arranged by the local authority, no matter who actually delivers it. This means that the local authority must pay if no other body (eg the school) is willing or able to do so.
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Provision can include medication, therapy, monitoring, etc.
G- health care provision reasonably required by the learning difficulties or disabilities resulting in SEN Section G should specify all the health care provision that the local authority and the responsible commissioning body agree is appropriate to meet the identified health needs. The responsible commissioning body must arrange any health service in section G of a plan but they must have agreed for it to have been written in the plan. Provision can include medication, therapy, monitoring, etc. Must be detailed, specific, quantified and related to outcomes. The relevant CCG is responsible for arranging all the health care provision specified in section G, regardless of who actually provides it. Any health services may be included, whether universal, targeted or specialist. Some Plans will need to specify highly specialist services commissioned centrally by NHS England. The local authority and CCG may also choose to specify other health care provision reasonably required by the child or young person, which is not linked to their learning difficulties or disabilities, but which should sensibly be co-ordinated with other services in the plan. (Code at 9.71) Reminder that health care provision which educates or trains should be specified in the SEN provision section - F
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Section H - Social care provision
Section H is divided into two sections – H1 and H2 H1- for under 18s – any social care provision which must be made as a result of section 2 of the CSDPA 1970. H2 - any other social care provision reasonably required. This will include any adult social care provision under the Care Act 2014 or provision for children under section 17 of the CA 1989. If any social care needs have been identified in Section D, the local authority needs to establish which of these needs are ‘eligible’ needs under the CSDPA which the local authority has a duty to meet. Provision to meet these needs must then be included in Section H1. If a need identified during the assessment can be met with the provision of one of these types of services, the local authority must decide whether it is ‘necessary’ for them to meet this need. In reaching this decision the local authority should take into account the family’s circumstances, including the situation of the parents and the needs of other children in the family. Services assessed as required under CSDPA must be provided – regardless of resources. Once a child/family has been assessed as eligible for support under the 1970 Act there is a specific duty to provide them with services to meet their assessed need. Section H2 must only include services which are not provided under Section 2 of the CSDPA. For children and young people under 18 this includes residential short breaks and services provided to children arising from their SEN but unrelated to a disability. If social care needs have been identified in Section D, but the local authority does not consider that there is a duty to meet these needs under Section 2 of the CSDPA, provision to meet those needs should be included in Section H2. This includes any services being provided under: the Children Act 1989; or the Care Act 2014 (for a young person over 18).
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Section I-Name of school or college
Once a draft plan has been received, parents or young people can request that a particular education institution is named in the plan. Local authorities must name the education institution requested unless they believe that the child or young person’s attendance would: not meet their special educational needs; be incompatible with the efficient education of others and no reasonable steps can be taken to resolve this; or be incompatible with the efficient use of resources.
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Naming an institution continued
If it believes that any of these circumstances apply, the local authority must name the school or other institution, or type of institution, that the local authority considers to be most appropriate. An education institution must be consulted about being named in a plan but must admit that child or young person if they are named. A refusal to name a particular institution in an EHC Plan can be appealed to the First-Tier (SEND) Tribunal.
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Section J-Personal budgets
A personal budget must be prepared if requested by a parent or young person. A personal budget is an amount identified as being available to secure particular provision in an EHC plan. Can be taken as a direct payment in certain circumstances. Local authorities must secure the agreement of the early years setting, school or college if the [provision is to be delivered on their premises Mechanism for delivery 4 ways: Direct payments An arrangement whereby the LA or school or college holds the fund and commission the report (notional) 3rd party arrangement A combination of the above.
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Section K-Advice and information
The advice and information gathered during the EHC needs assessment must be set out in appendices in the EHC plan. There should be a list of this advice and information.
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Effect of the final EHC plan
The final EHC plan puts LAs, schools and responsible bodies under a duty to secure provision set out in the plan for the child or young person: LAs must secure the special educational provision. LAs must arrange the social care provision identified in section H1 under CSDPA 1970. CCGs or NHS England must arrange the health provision. If a state funded school (including an academy) or an FE college is named in the EHC plan it must admit the child or young person. The duties to secure the educational and health provision in the Plan arise under section 42 of the Children and Families Act However there is no new duty to provide social care provision, which continues to be provided under CSDPA 1970 s2 or CA 1989 s17. See detailed discussion of this in relation to Section H of the Plan. LAs must pay fees where the child or young person is admitted to a named approved non maintained school (s63 CFA 2014)
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Ceasing an EHC plan EHC plans do not end when a young person leaves school – they must be maintained until 18 unless special education provision is no longer required. EHC plans can be maintained for young people aged Local authorities must have regard to whether the educational and training outcomes have been achieved when making a decision to cease a plan for young people aged
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Developing an Outcomes Approach
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Putting is simply….. What are outcomes ?
An outcome is the way things turn out; a consequence An outcome may represent a change in a group of people, organisations or places.
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Why adopt an outcomes approach?
Evidence on outcomes compliments data on outputs and helps to focus on and promote quality Evidence on outcomes will lead to greater innovation and sustainability (being creative with solutions to meet the outcomes) An outcomes approach leads to greater clarity when planning and commissioning services
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Why adopt an outcomes approach?
An outcomes approach leads to greater understanding of what families want to achieve through using services Developing outcomes will lead to increased understanding of how services work together and the role of different services in supporting the aspirations and outcomes of children and young people with SEND Using an outcomes approach moves away from being service led and supports the Personalisation agenda
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Defining Terminology Inputs – the resources that contribute to the development and delivery of services Outputs – the goods or services produced by an organisation for delivery to the customer Outcomes – there are both expected outcomes and unexpected outcomes. Outcomes describe the result, consequence, impact, effect or achievement of using the service.
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Inputs process output outcome
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Different types of outcomes
Change: new thing in life e.g. skill, social networks Maintenance: keeping a valued aspect of your own life e.g. independence, physical health Process: how using a service makes me feel
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Different types of outcomes
Company Output/product/ service Outcomes Gym Circuit training Toned body Social network Torn muscle Book shop Book about pregnancy Feel informed Feel terrified Feel excited Centre Parcs Weekend Break What would be your expected outcome ?
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Developing outcomes – key principles
Cultural change – focus on outcomes is understood at every level Leadership – to secure the cultural change required Ownership – at a strategic level Champions – to promote lasting cultural change
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Outcomes Models Outcomes Pyramid – produced by CDC Outcomes Based Accountability (OBA) Theory of Change (TOC)
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Things to note There is nothing magical or mystical about outcomes They are part of everyday life Different people want different things from the same service/product/output Outcomes can be expected or unexpected The need to find out what children and families want
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Outcome models Outcomes Pyramid – produced by CDC
Theory of change – Outcomes logic framework Outcomes Based Accountability (OBA) Add your case studies from the workshop pack
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Case study exercise 1. In small groups, review the example EHCP and consider: To what extent do the outcomes reflect the aspirations and needs of the child? Are the outcomes SMART? How will they be measured? 2. Use the case study material to identify outcomes for Jake and his gran. Consider: What would be the long term outcomes? What would be the medium term outcomes? What would be the short term outcomes? 3. How would you measure progress for each outcome?
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Evaluation Please help us to keep improving these workshops by completing the evaluation form at Participant evaluation: Facilitator evaluation:
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Support available to local areas
Pathfinder Champions North West Wigan, Manchester. Salford & Lancashire North East Darlington and Early Support Yorkshire and Humber Calderdale and York West Midlands Consortium of all 14 LAs East Midlands Leicester and Nottinghamshire East of England Hertfordshire and Bedford London 1 Bromley, Bexley and Enfield London 2 SE7 South East South West 1 Cornwall South West 2 Southampton and Portsmouth
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Support available to local areas
Delivery Partners Contact a Family Council for Disabled Children Early Support Information, Support and Advice Services Network National Network for Parent Carer Forums Preparing for Adulthood The Communications Trust The Dyslexia-SpLD Trust Autism Education Trust
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The Implementing the SEND reforms workshop series has been collaboratively produced by:
The workshop series has been co-produced by the following organisations.
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Implementing the SEND reforms workshop series
Series 1: Transitioning from the old to the new system Series 2: Understanding EHC plans Series 3: Best practice in joint commissioning Series 4: Engaging parent carers Series 5: Engaging children and young people Series 6: Preparation for adulthood Series 7: Understanding SEN Support Series 8: Early Years providers Series 9: Personal budgets
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