Guidance

Guidance for carrying out re-visits to local areas required to produce a written statement of action

Updated 29 November 2022

Applies to England

Introduction

On 17 March 2020, all routine Ofsted inspections were suspended due to the COVID-19 (coronavirus) pandemic. As a result, we suspended area special educational needs and disabilities (SEND) inspections and re-visits to local areas that had been required to produce a written statement of action (WSOA).

Local area leaders and practitioners have continued to provide services to children and young people with SEND and their families through the pandemic.

Ofsted and the Care Quality Commission (CQC) carried out a series of interim area SEND visits in order to:

• support individual local areas to understand the impact of the pandemic on children and young people with SEND and their families
• find out what has worked well for them during this time, what the challenges have been and any lessons learned
• work with the local area to identify opportunities for improvement that address the remaining challenges faced by children and young people with SEND
• highlight positive case studies and share insights nationally to promote whole-system learning

Our phased return

Ofsted and the CQC have announced a phased return to area SEND inspection activities. This includes our intention to restart:

• from April 2021, re-visits to local areas that required a WSOA
• from June 2021, full inspections of local areas that we have not inspected under the current area SEND inspection framework; this start date will be kept under review, in line with government advice and COVID-19 restrictions in place at the time, and we will provide further information about this in due course.

This guidance outlines how we will carry out re-visits to local areas from April 2021 onwards. The purpose of these visits remains the same: to determine whether the local area has made sufficient progress in addressing the areas of significant weakness detailed by the WSOA. This guidance sets out how we will adapt our methodology to take account of COVID-19, including how we will carry out our inspection activities remotely where necessary.

During these re-visits, inspectors will want to explore:

• area leaders’ understanding of the impact of the pandemic on children and young people with SEND in their area and on the local SEND system more widely
• how leaders have used their understanding to adapt their plans to address the areas of significant weakness detailed in the WSOA

The legal context

Duties on local areas regarding provision of support for children and young people with SEND are contained in the Children and Families Act 2014, and regulations made under the Act. The local area includes the local authority, clinical commissioning groups (CCGs), public health, NHS England for specialist services, early years settings, schools and further education providers. The duties are expanded on in the statutory guidance ‘Special educational needs and disability code of practice: 0 to 25 years’. These duties came into force in September 2014.

At the request of the Minister of State for Children and Families, Ofsted and the CQC inspect, under section 20 of the Children Act 2004, the effectiveness of local areas in fulfilling their duties.

The Children Act 2004 (Joint Area Reviews) Regulations 2015 require His Majesty’s Chief Inspector (HMCI) to determine whether a WSOA is required following an inspection and, as appropriate, who the principal authority responsible for drawing up the WSOA will be.

Modifications due to COVID-19

Some of the duties placed on local areas in sections 42 and 43 of the Children and Families Act 2014 were temporarily modified to ‘reasonable endeavours’ by notices made by the Secretary of State under the Coronavirus Act 2020. This applied between 1 May and 31 July 2020. They were reinstated fully from 1 August 2020.

Also, the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 modified the requirements in relation to the timeliness of actions that local areas take after receiving a request for an education, health and care needs assessment. These modifications replaced the prescribed periods with a requirement to take relevant actions as soon as ‘reasonably practicable’. They expired on 25 September 2020.

Guidance from NHS England for local commissioning bodies and health providers from July 2020 sets out the importance of children, young people and families receiving the care and support they need. It specifies that community health services that support children and young people with SEND (including therapy services) should be prioritised in the NHS’s response to COVID-19.

Purpose and focus of re-visits

Ofsted and the CQC do not carry out routine monitoring inspections of a local area.

The purpose of the re-visit is to determine whether the local area has made sufficient progress in addressing the areas of significant weakness detailed in the WSOA.

If inspectors identify any other significant weaknesses during the re-visit, we will reference these in the re-visit letter. We may also use this information to determine the timing of the local area’s next inspection under any future area SEND inspection framework. Any new significant weaknesses identified at the re-visit will not lead to a requirement for a new WSOA. This is because the re-visit is not a new inspection.

Given that these re-visits will be taking place during a period of disruption caused by the pandemic, local area leaders should be prepared to discuss with inspectors how they have:

• understood the experience and needs of children and young people with SEND, and their families, during the pandemic
• involved children and young people with SEND and their families in co-producing decisions about how best to support them
• worked collaboratively to prioritise, adapt and provide the services and support that children and young people with SEND and their families need

Inspectors will use this information to understand the challenges the local area may have faced in addressing the weaknesses in the WSOA during this difficult period.

Decision to re-visit a local area

Ofsted and the CQC usually re-visit a local area within 18 months of the WSOA being declared fit for purpose. As we resume re-visits from April 2021, we will take account of the length of time that has elapsed since a local area was required to produce a WSOA.

Safeguarding

Inspectors will always have regard for how well children and young people are helped and protected so that they are safeguarded. Inspectors will not provide a separate judgement for this aspect of a local area’s work.

Inspectors will always follow our safeguarding policy if, during the re-visit, they receive information that raises concern about the safeguarding of children or young people. Inspecting safeguarding in early years, education and skills settings, should be read alongside the framework and this operational note. It sets out the approach inspectors should take to inspecting safeguarding.

It is also essential that inspectors, local areas and providers are familiar with and adhere to the statutory guidance in relation to safeguarding:

• Keeping children safe in education: statutory guidance for schools and colleges
• Working together to safeguard children 2018

The re-visit inspection team

The re-visit inspection team will have experience of area SEND inspections. The team will always be led by a His Majesty’s Inspector (HMI) who will be accompanied by a CQC inspector. If possible, these will be the same inspectors who carried out the initial inspection.

Senior HMI from Ofsted and nominated inspectors from the CQC will quality assure the re-visits. The respective inspectorates will agree how these re-visits will be quality assured.

Notice period

The HMI will notify the director of children’s services (DCS), as the representative of the local area, 10 working days before the start of the re-visit. The CQC will then notify leaders at the relevant CCG(s). Inspectors will make a follow-up call that day to the local area nominated officer (LANO) to discuss the re-visit in more detail. The LANO acts as key point of contact for the re-visit team, so that they can coordinate logistical and other arrangements. During this call, inspectors will discuss how they will carry out the visit to ensure that activities are safe for those involved and in line with the latest government guidance on COVID-19 restrictions. Inspectors and local areas will agree to carry out evidence-gathering activities remotely if required.

The lead inspector will ask the LANO for an opportunity for inspectors to speak to a group of children and young people. If agreed, we may do this remotely, provided that the LANO can arrange for parents and carers to give their consent for their children to attend remotely. The inspector will share the questions that they will ask the children and young people at the follow-up discussion before the re-visit.

The local area is responsible for informing all stakeholders of the dates of the re-visit.

Requests for deferral

Ofsted and the CQC do not anticipate that a re-visit to a local area will be deferred other than in exceptional circumstances, such as an extreme weather event or other major incident. The absence of the CCG chief executive or DCS or their equivalent will not normally be a reason for deferring an inspection.

If local areas have concerns about the timing of a re-visit, they may submit a deferral request, with any supporting reasons, to the lead HMI when they are notified of the inspection. The lead HMI must notify Ofsted through the appropriate region as soon as possible.

Ofsted and the CQC will both consider requests and will make decisions on deferral jointly. We will consider each individual request on its merits and in line with Ofsted’s deferral policy.

Before the re-visit

The re-visit team will have 2 planning days before the on-site visit. The lead inspector will notify the local area and the CQC inspector will notify CCG leaders. On the same day as the notification to the local area, the lead inspector will also notify the parent carer forum (PCF) or other parents’ group involved in the WSOA, if known.

During this discussion, the lead inspector will inform the PCF (or similar group) of what the focus will be when they engage with parents and carers during the re-visit. The focus will be based on what is set out in the WSOA. The lead inspector and PCF will also discuss how best to engage with parents and carers.

Throughout the re-visit, inspectors will collaborate closely with the local PCF (or similar group) to gain an accurate understanding of their experiences.

Inspectors will also devise questions for parents and carers to answer through an online survey. They will share these questions in advance with the PCF (or similar group) to ensure that they are appropriately phrased. The survey will go live on the fifth day before the re-visit at midday.

Providing evidence

By the fourth working day following notification, the local area should have uploaded to the portal all relevant evidence to show the impact of its actions in addressing the weaknesses identified in the WSOA. The PCF (or similar group) is invited to do the same. Local areas may also wish to add information about their understanding of:

• the impact of the pandemic on children and young people and the SEND system
• the actions they are taking to respond to this

The local area is responsible for providing the re-visit team with any relevant data/information. However, this must be only what the local area produces as part of its routine practice. We do not expect it to provide any data/information in a particular format.

The local area should provide the evidence to show how it has assured itself that the necessary progress is being made in addressing the areas of significant weakness detailed in the WSOA. It is likely that this will include reference to the impact of COVID-19 on the local area SEND system and information about how local area leaders have developed and adapted their plans. The local area must also provide the detail of any tribunal and/or ombudsman outcomes since the initial inspection.

Inspectors will review the uploaded evidence and arrange a telephone discussion with the LANO. This will be to discuss the schedule for the re-visit and any other practical arrangements. The telephone discussion will enable the re-visit team to focus its evaluation on the impact of the actions taken on the areas of significant weakness identified in the WSOA. The lead inspector and CQC inspector will also hold a discussion with the advisers from the Department for Education (DfE) and NHS England who carried out the support and challenge visits. All discussions must be recorded in the evidence base.

During the final 5 working days before the start of the re-visit, the HMI and CQC inspector may request further information.

Inspection activity

The activities carried out during a re-visit will be specific to the areas of significant weakness that led to a WSOA being required. Inspectors will gather evidence about the effectiveness and impact of leaders’ actions to address these.

The re-visit activities will last 2 to 4 days depending on the nature and extent of the significant weaknesses identified. Inspectors will inform the local area of the length of the re-visit at the time of notification.

Inspectors will gather the contributions of parents and families through an online survey and other forms of engagement agreed with local areas. The inspectors will set the focus of the online survey and engagement, based on the WSOA. It is important that the focus is made clear to parents when notifying them of opportunities for engagement.

Inspectors will seek to gather the views of children and young people through discussion during the re-visit.

Timeframe

Day	Day of week	Activity
-10	Monday	Local area notified of the re-visit (morning). HMI requests information from the local area and PCF (or similar group). CQC inspectors notify the CCG(s).
-7	Thursday	Local area and PCF (or similar group) upload any readily available evidence to show impact of leaders’ actions.
-6 to -1	Friday to Friday	HMI and CQC inspector review uploaded evidence and identify activities (morning). Telephone call between HMI, CQC inspector, LANO and health equivalent to plan draft schedule (afternoon). Telephone call between lead HMI, CQC inspector, advisers from the DfE and NHS England (afternoon).
-5	Monday	Online survey for parents goes live at midday.
-1	Friday	Online survey for parents closes at midday.
1	Monday	Meeting with senior leaders from the local area who have overall responsibility for the WSOA (morning). Meeting with PCF (or similar group) to discuss the impact of the local area’s WSOA on children, young people and their families (afternoon). Open meeting with parents to discuss aspects of the re-visit set out at time of notification.
2/3/4	Tuesday	Evidence gathering. This may include further meetings with stakeholders at the discretion of the inspection team and in line with the latest COVID-19 restrictions.
2 or 4	Thursday	Provisional judgement meeting. Confirm judgements. Feedback (afternoon).

Note that the above timeframe is illustrative. In practice, inspectors and local areas will discuss and agree the precise timing of activities.

Feedback to leaders

The HMI and CQC inspector will have one keep-in-touch meeting each day if the re-visit is longer than 2 days. Feedback on the final day of the re-visit will be to inform leaders whether sufficient progress has been made in addressing the areas of significant weakness detailed in the WSOA.

The attendees at this feedback meeting will be agreed between the lead HMI, the CQC inspector and the LANO. However, those likely to attend include:

• the LANO
• the DCS, the chief executive and elected members with responsibility for SEND
• senior managers of the local authority who are responsible for the implementation of the Children and Families Act 2014 reforms, including the strategic development and operational management of educational and social care provision for children and young people with SEND
• the chief executive(s) of the CCGs or their representative(s)
• senior health service managers responsible for the implementation of the Children and Families Act 2014 reforms, including the strategic development and operational management of provision for children and young people with SEND
• the linked NHS England and DfE SEND advisers
• representatives of the local area’s education, health and social care providers and services

The re-visit letter

The lead HMI is responsible for writing the re-visit letter and submitting the evidence to Ofsted shortly after the re-visit ends. The CQC inspector will contribute to the process of finalising the re-visit letter. It is the inspection team that reaches the judgements.

The letter will include:

• the decision about whether the local area has made sufficient progress in relation to each of the serious weaknesses identified at the initial inspection
• a clear and brief summary of the effectiveness of leaders’ actions against each serious weakness identified in the WSOA
• where relevant, information about how the pandemic has impacted on children and young people with SEND in the area, their families and the local SEND system, and how local area leaders have adapted their plans
• reference to any other serious concerns, along with evidence, identified during the re-visit, and clarification that these will be communicated to the DfE and NHS England and will be used to determine the timing of the next inspection (under any future area SEND framework)

As far as possible, and subject to the outcome of the quality assurance process, the findings in the letter will be consistent with the feedback given to the local area at the end of the inspection.

Quality assurance process

Re-visit letters will be quality assured by Ofsted and the CQC before we send the draft letter to the local authority and the CCG.

The draft letter is restricted and confidential to the DCS and the chief executive(s) of the CCG(s) and their representatives. The draft letter or any of its content must not be shared more widely or published.

The local authority and CCG(s) will have 10 working days to comment on the draft letter, including on any matters of factual accuracy. The 10 working day timeframe is to enable multi-agency consideration. The HMI will review matters of factual accuracy and other comments, and amend the letter as necessary. The HMI will liaise with CQC inspectors regarding any changes to the letter. Ofsted will notify the local authority and the CCG(s) of the lead HMI’s response to the local area’s comments on the letter.

The local authority and CCG(s) will receive an electronic version of the final letter, usually within 28 working days of the end of the re-visit.

In exceptional circumstances, Ofsted and/or the CQC may decide that a report should be subject to further quality assurance checks. This may result in a delay in publication in these circumstances. If this is the case, we will inform the local authority and CCG(s) promptly about any impact to the publication timeline for the report.

Publication

Ofsted will publish the re-visit letter on the local authority SEND section of Ofsted’s reports website, normally within 33 working days of the end of the inspection. The CQC will publish the letter on its website alongside reports arising from other local area children’s inspection and review activity.

As required by The Children Act 2004 (Joint Area Reviews) Regulations 2015, a copy of the final letter will be sent to:

• the Secretary of State for Education
• the Secretary of State for Health and Social Care
• the local authority for the area inspected
• the principal authority, if HMCI has determined that an action plan is required and the principal authority is different from the local authority
• any other people or organisations that HMCI considers appropriate for the nature of the inspection

The regulations also require that relevant recipients of the letter must publish it on their organisation’s website. They must supply a copy to members of the public, on demand, for a reasonable charge.

After the re-visit

If a local area has made sufficient progress in addressing all of the areas of significant weakness, the DfE and NHS England will stop making their formal quarterly support and challenge visits.

If a local area is making insufficient progress in addressing any of the areas of significant weakness, it is for the DfE and NHS England to determine the next steps. This may include the Secretary of State using their powers of intervention. Ofsted and the CQC will not carry out any further re-visits unless directed to do so by the Secretary of State.

Inspection quality assurance

Ofsted and CQC jointly monitor the quality of inspections through a range of formal processes. HMI and Senior HMI may join a local area SEND inspection to quality assure the inspection. Quality assurance managers from the CQC will either join inspections or provide off-site quality assurance of SEND inspection activity. Ofsted and CQC may also evaluate the quality of an inspection evidence base. The lead HMI will be responsible for feeding back to Ofsted inspectors about the quality of their work and their conduct.

The quality assurance of a re-visit aims to ensure that:

• there is consistent and correct application of the re-visit guidance and methodology
• emerging concerns or gaps in the inspection evidence are quickly addressed
• the LANO is confident that the re-visit is being carried out in line with this guidance
• any concerns raised by the local area about the re-visit are resolved
• the findings of the inspection are communicated clearly through feedback to the local area at the end of the re-visit

All inspectors are responsible for the quality of their work. The lead HMI must ensure that they carry out re-visits in accordance with the principles of inspection and the code of conduct.

Complaints

If concerns arise during an inspection, these should be raised with the lead HMI as soon as possible. The lead HMI will attempt to resolve the matter before the inspection is completed.

If it has not been possible to resolve concerns, a formal complaint can be raised under Ofsted’s complaints procedure. Ofsted will process and coordinate the investigation of the complaint on behalf of both inspectorates.

The inspection evidence base

Ofsted and the CQC will retain the evidence base for the inspection in accordance with their respective retention policies. Information must not be disposed of if this is still required by Ofsted or the CQC. Inspection evidence must be kept for longer than 6 months when, for example:

• safeguarding concerns have been identified
• there is a potential or current litigation claim against Ofsted or CQC, such as a judicial review
• a complaint has been made
• inspections are of a sensitive nature or are likely to be of national or regional importance due to high levels of political or press interest