Appealing a Refusal to Assess for an EHC Plan: A Step-by-Step Guide

Last updated: March 2026

By Stevie Hayes

Quick Answer

If your local authority has refused to carry out an Education, Health and Care (EHC) needs assessment for your child, you have the right to appeal to the First-tier Tribunal (Special Educational Needs and Disability). You must register your appeal within two months of receiving the refusal decision — though you should first consider mediation, which is a mandatory step before most SEND tribunal appeals. Parents who appeal refusals to assess have historically high success rates at final hearing, and with the right evidence, you stand a strong chance of overturning the decision.

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Why Do Local Authorities Refuse to Assess?

Before diving into the appeal process, it helps to understand why refusals happen. Local authorities must decide whether there is reason to believe that a child may have special educational needs and that it may be necessary for special educational provision to be made through an EHC Plan. That is a deliberately low threshold — the word "may" does the heavy lifting.

Despite this, refusals are common. The most frequent reasons include:

• "The school can meet needs from existing resources" — The LA argues that SEN Support (the graduated approach) is sufficient.
• "Insufficient evidence of need" — The LA claims there is not enough professional evidence to suggest SEN.
• "The child is making adequate progress" — Progress data is cited to argue an assessment is unnecessary.
• "We need more time to see the impact of current interventions" — A delay tactic dressed up as a reason.

The trouble is that many of these reasons misapply the legal test. The question is not whether the school is meeting needs — it is whether the child may need provision through an EHC Plan. That distinction matters enormously, and it is the foundation of most successful appeals.

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Your Right to Appeal

Under Section 36 of the Children and Families Act 2014, a parent, young person, or anyone acting on their behalf can request an EHC needs assessment. If the local authority refuses, you have two months from the date of the decision letter to register an appeal with the SEND Tribunal.

The Mediation Requirement

Before you can appeal, you must either:

1. Attend mediation through a mediation adviser, or
2. Obtain a mediation certificate confirming that you have contacted the mediation service and either attended mediation or decided not to (you cannot be forced to mediate, but you must make contact).

The mediation certificate is a prerequisite for lodging your appeal. You can obtain it by contacting your local mediation service — the details should be included in the LA's refusal letter. Do not delay on this, as the two-month appeal deadline runs from the refusal letter date, not from when you receive the mediation certificate.

Key Timelines

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Gathering Your Evidence

The strength of your appeal rests on your evidence. You need to demonstrate two things:

1. Your child may have special educational needs.
2. It may be necessary to make provision through an EHC Plan.

Evidence You Should Collect

Professional reports and assessments:

• Educational psychology reports (private reports are perfectly acceptable)
• Speech and language therapy assessments
• Occupational therapy assessments
• Paediatric or CAMHS reports
• Any NHS or private diagnostic assessments (e.g., autism, ADHD, dyslexia)

School records:

• SEN Support plans (IEPs, Provision Maps, My Plans)
• Progress data showing attainment against age-related expectations
• Attendance records (especially if attendance has declined)
• Reports from the school SENCO
• Any referrals the school has made to outside agencies

Your own evidence:

• A parent statement describing your child's difficulties at home and school
• A chronology of events (when you first raised concerns, what happened)
• Copies of correspondence with the school and LA
• Evidence of the impact on your child's daily life, social development, and emotional wellbeing

Third-party evidence:

• Letters from GPs, health visitors, or paediatricians
• Reports from charities or support groups involved with your child
• Statements from family members, tutors, or others who observe your child regularly

Commissioning an Independent Report

If the LA's refusal hinges on a lack of professional evidence, consider commissioning an independent educational psychology (EP) report. A private EP assessment typically costs between £600 and £1,200, and it can make the difference between winning and losing your appeal.

When choosing an educational psychologist:

• Ensure they are registered with the Health and Care Professions Council (HCPC)
• Check they have experience of SEND tribunal work
• Ask whether they can observe your child in school (this adds significant weight)
• Confirm they understand the legal test for EHC needs assessment

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Preparing Your Evidence Pack for the Local Authority

This is the part of the process most parents misunderstand, so it is worth being precise about it.

The local authority prepares the tribunal bundle. Practice Direction No. 1 of 2025, paragraph 20, says it in plain terms: "In all SEND or DD cases, it will be for the Local Authority ('LA') or Responsible Body ('RB') to prepare a Tribunal Bundle comprising the written evidence to be considered." Paragraph 4 reinforces it as the very purpose of the new Practice Direction. If the LA fails to deliver a compliant bundle on time, paragraph 19 says the LA can be automatically barred from further participation in the proceedings.

What you do as a parent is different, and just as important. You gather your evidence, format it correctly, stay within your party page allowance, and send it to the LA in time to be included in the bundle the LA produces. When the LA's bundle arrives (electronically by default; on paper if you reasonably ask), you check it carefully against your own pack and use the SEND7 Request for Change form if anything has been missed.

So when you read "preparing your evidence" below, that is exactly what is meant: the evidence pack you send the LA, not the formal tribunal bundle.

What to send the LA

For a refusal-to-assess appeal, your evidence pack will typically include:

• Your notice of appeal (Form SEND35A) and the reasons for appeal
• Your mediation certificate
• The LA's refusal decision letter
• Your parent statement (drafted as a witness statement: ≤10 A4 pages, signed and dated, in numbered paragraphs, 12-point font)
• Any independent expert reports (each ≤15 A4 pages including a 2-page executive summary, in numbered paragraphs, 12-point font, and no more than 3 years old at the date the appeal is made)
• Selected school records that support the legal test
• Witness statements from any other person who will give oral evidence and who has not produced a report
• Any correspondence with the LA or school that is directly relevant to the issues in dispute

Do not include duplicate documents, blank pages, irrelevant email threads, or reports more than three years old (paragraph 38 of the Practice Direction).

Page Limit

Under Practice Direction No. 1 of 2025, refusal-to-assess appeals carry a 75-page per-party evidence limit. Both you and the LA each get 75 pages for your evidence in Parts Three to Seven of the bundle. This is on top of Part One (the Core Tribunal Bundle, capped at 100 pages — appeal form, LA decision letter, LA response, Tribunal orders, Case Review Form) and, where relevant, Part Two (the EHC Plan and any Section K appendices, capped at 150 pages). Parts One and Two are both the LA's responsibility to compile.

A quick word on terminology: Parts (One to Seven) are the structural divisions of the tribunal bundle. Sections (A to K) are the statutory parts of the EHC Plan itself — Section B is needs, Section F is provision, Section I is placement, and Section K is the appendices. The Practice Direction uses both, so do not confuse them.

Seventy-five pages sounds generous until you have three professional reports, two years of school records, and a detailed parent statement. Be selective. Include only what directly supports the legal test (that your child may have SEN and that it may be necessary to make provision through an EHC Plan). If you genuinely need more pages, apply to the tribunal in advance using the SEND7 Request for Change form, explaining why the extra pages are necessary.

Format requirements

The Practice Direction sets the format the LA's bundle has to meet. The closer your evidence pack gets to those rules, the easier it is for the LA to drop it straight into the bundle without reformatting:

• PDF format with OCR (so the text is searchable)
• 12-point font, preferably Arial
• Default view 100 per cent
• Documents oriented correctly (no upside-down or sideways pages)
• Expert reports and witness statements divided into numbered paragraphs

Putting together your evidence pack? The local authority prepares the formal tribunal bundle — but BundleCreator.co makes sure the evidence you send the LA already meets the rules. Sequential pagination, hyperlinked four-column index (Page / Author and position / Type / Date), bookmarks, OCR, and real-time tracking against your 75-page allowance. You can also share your evidence pack directly with your LA caseworker — they get View, Upload or Edit access and can pull the documents straight into the formal bundle. From £12 per pack, no subscription required. Start your free trial.

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The Tribunal Hearing

What to Expect

SEND tribunal hearings are less formal than court proceedings, but they are still structured. Most hearings last half a day (approximately 2.5 to 3 hours) for refusal-to-assess appeals. They are typically held by video (via the Cloud Video Platform) unless you request an in-person hearing.

The panel usually consists of:

• A legally qualified tribunal judge
• A specialist member with expertise in SEN

How the Hearing Runs

1. Introduction — The judge explains the process and identifies the issues in dispute.
2. The LA's case — The LA presents its reasons for refusing the assessment.
3. Your case — You (or your representative) present your evidence and explain why an assessment is needed.
4. Questions — The panel may ask questions of both parties. Witnesses may be called.
5. Closing submissions — Both sides summarise their positions.
6. Decision — The tribunal may give its decision on the day or within 10 working days.

Tips for the Hearing

• Be prepared, not scripted. Know your evidence inside out, but speak naturally.
• Focus on your child. The tribunal wants to understand your child's specific needs, not general principles about SEN.
• Refer to evidence by page number. This is where a well-organised bundle pays dividends — the panel will be reading from it throughout.
• Stay calm if challenged. The LA's representative may push back on your evidence. That is their job. Respond factually.
• Bring a supporter. Even if you do not have legal representation, having someone with you — a friend, family member, or SEN advocate — can make a real difference.

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What Happens If You Win?

If the tribunal upholds your appeal, it will order the local authority to carry out an EHC needs assessment. The LA then has six weeks to complete the assessment and a further four weeks to decide whether to issue an EHC Plan.

Winning the appeal does not guarantee an EHC Plan — it guarantees the assessment. However, if the tribunal has found that the threshold for assessment is met, there is a strong likelihood that the assessment will lead to a Plan.

If the LA subsequently refuses to issue a Plan after the assessment, you have a further right of appeal.

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What Happens If You Lose?

If your appeal is unsuccessful, you can:

• Request a review of the decision within 28 days (but only on limited grounds, such as a procedural error)
• Appeal to the Upper Tribunal on a point of law (not on the facts)
• Gather further evidence and make a new request for an EHC needs assessment — there is no limit on how many times you can request one

Most importantly, do not be discouraged. A refusal to assess is often the beginning of a process, not the end. Many parents succeed on a second or third request, armed with stronger evidence.

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Practical Tips for a Stronger Appeal

1. Keep a contemporaneous record. Write down what happened, when, and who was involved — as it happens, not months later.
2. Request school records early. You have a right to your child's educational records under the Education (Pupil Information) (England) Regulations 2005. Request them in writing.
3. Get professional support where possible. SEN advocates (many charities offer free support), IPSEA, and local parent carer forums can help you navigate the process.
4. Use the legal test. Frame your evidence around the statutory test: your child may have SEN, and it may be necessary to make provision through an EHC Plan.
5. Organise your evidence meticulously. The local authority prepares the formal bundle, but the LA can only use what you actually send it. A clear, well-structured evidence pack is what makes it into the bundle and what the panel reads on the day.

Need help organising your evidence? The local authority prepares the SEND tribunal bundle itself — but BundleCreator.co helps parents and professionals build the evidence pack that gets sent to the LA, with automatic pagination, the four-column SEND index, bookmarks, OCR, and real-time page-limit tracking. Start your free trial today.

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Frequently Asked Questions

How long do I have to appeal a refusal to assess?

You have two months from the date of the LA's refusal letter. However, you must first contact the mediation service and obtain a mediation certificate, so do not leave it until the last minute.

Do I need a solicitor to appeal?

No. Many parents represent themselves successfully at the SEND Tribunal. The tribunal process is designed to be accessible. However, if your case is complex or you feel out of your depth, organisations such as IPSEA and SOS!SEN offer free advice, and some solicitors offer legal aid for SEND cases.

How much does it cost to appeal?

There is no fee to register a SEND tribunal appeal. Your main costs are likely to be commissioning independent reports (typically £600–£1,200 for an educational psychology report) and any time off work for the hearing.

What is the success rate for refusal-to-assess appeals?

Published tribunal statistics consistently show that parents succeed in the vast majority of cases that reach a final hearing — success rates of 95% or higher are regularly reported. Most cases settle before the hearing, which further suggests that LAs often concede when faced with strong evidence.

Can I request an EHC needs assessment again if my first request was refused?

Yes. There is no statutory limit on the number of requests you can make. If your circumstances have changed or you have new evidence, you can submit a fresh request at any time.

Does the tribunal hearing have to be in person?

Most SEND tribunal hearings are now conducted by video (via the Cloud Video Platform). You can request an in-person hearing if you prefer, and the tribunal will consider your request.

What if the LA agrees to assess after I lodge my appeal?

This is common — many LAs concede once an appeal is registered. If the LA agrees to carry out the assessment, you can withdraw your appeal. If they agree to assess but you are unhappy with the conditions or timescale, you can ask the tribunal to make an order.

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Stevie Hayes is the founder of BundleCreator.co. The local authority prepares the SEND tribunal bundle. BundleCreator helps parents prepare the evidence pack they send to the LA — paginated, indexed, and within the per-party page limits set by Practice Direction No. 1 of 2025.