What is a Working Document?

The working document process forms the bulk of an EHC Plan content appeal

If you are in the process of an EHC Plan Content Appeal to the SEND Tribunal, or considering one, you are likely to become very familiar with the working document process. This is because it is a crucial part of how such appeals operate. In essence, a working document is a dynamic, editable version of a child or young person's EHC Plan. Its purpose is to enable both parents/carers and the local authority ("LA") to propose and negotiate amendments to the EHC Plan under appeal before the Final Hearing.

The working document comprises those sections (and only those sections) of the EHC Plan which are in dispute; usually those relating to Special Educational Needs ("SEN") (Section B), Special Educational Provision ("SEP") (Section F), and Placement (Section I); although it can also include Health (Sections C and G) and Social Care (Sections D and H). Used well, the working document process allows for a collaborative approach to narrowing down areas of disagreement, and many appeals are settled in this way without the need for a Final Hearing. Where settlement is not possible, the working document process helps to make the Final Hearing more efficient by resolving as many disagreements as possible beforehand.

Key Features of a Working Document

• Editable Format: the working document is provided in a Word doc format, making it easy to suggest and mark up changes.

• Tribunal Key: both parties can propose and agree to additions and deletions, which are clearly marked using a common key set out by the Tribunal and available online.

• Evidenced Based Changes - all amendments should be supported by evidence, and the expectation is that these will largely, though need not exclusively, be professional reports.

The Process

• Initial Draft - the LA sends the initial working document (WDv1) to the parents with their Response to Appeal, who then review and propose amendments (WDv2).

• Back-and-Forth Negotiation - The working document goes back and forth between the parents and the LA, with each party reviewing and responding to the proposed changes in a new version (WDv3, WDv4 etc).

• Final Submission - the final version of the working document, with all amendments, deletions and agreements clearly marked, is submitted to the SEND Tribunal by the specified deadline. It is also possible to submit versions after this deadline, in practice up to and sometimes even including on the day of, the Final Hearing itself.

Why It's Important

The working document plays a vital role in ensuring that the EHC plan accurately reflects the child or young person's SEN and the SEP required to meet them. It helps to clarify and evidence the proposed amendments, making it quicker and easier for the Tribunal to come to an informed decision on the issues in dispute.

In theory, by working collaboratively, both parties will work towards a mutually agreeable solution in the child or young person's best interests, which not only streamlines the hearing process but also fosters a more constructive relationship between parents and the LA. Unfortunately this doesn't always happen. If a local authority is not actively engaging in the working document process it is possible to make an application to the SEND Tribunal for them to be barred from further participation in the appeal. Whilst it is rare (although not unheard of) for the Tribunal to make such an order, the prospect of such an order can be enough to galvanise the local authority into action and move the appeal process along.

If you would like advice and/or support about a working document or any other aspect of an appeal to the SEND Tribunal, contact SEND Advocacy today.