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Uk Ap Send Requirements

Generated: 2026-03-02 22:01 UTC via Gemini 2.5 Flash with Google Search grounding

The development of an education platform for Alternative Provision (AP) and SEND students in the UK requires a comprehensive understanding of reporting, assessment, and funding mechanisms. This deep research outlines the key requirements for such a platform.

1. What Local Authorities Need to See

Local authorities (LAs) and other commissioning bodies require specific data and reporting to justify funding and monitor the effectiveness of AP and SEND placements.

  • Progress Data for AP Placements:

    • LAs and commissioning schools are responsible for monitoring the progress and achievement of pupils in alternative provision. They should agree on appropriate reporting mechanisms with the provider, including how issues and concerns are reported, and how attendance and progress are recorded.
    • While specific frequencies (weekly, termly, annually) are not universally mandated across all LAs, regular contact and clear procedures for information exchange are expected. Progress should be monitored closely to ensure expected outcomes are being achieved.
    • Ofsted will look at how young people's needs are assessed and identified on arrival, and how this information is used to set ambitious goals. They will also consider how the curriculum addresses gaps and delays identified at baseline.
    • A strong individual plan for each student, with agreed objectives between parents, the pupil, the commissioner, and the AP, is crucial for evaluating placement suitability and success.

  • EHCP Annual Review Format:

    • EHCP annual reviews are a statutory requirement for children and young people with an Education, Health and Care Plan. The SEND Code of Practice outlines the process, which involves gathering information from parents, the young person, and professionals, including the educational setting.
    • The review should focus on the child or young person's progress towards their outcomes, whether the EHCP continues to meet their needs, and if any amendments are required. While a universal template isn't specified, the review document typically includes sections for:
      • Information about the child/young person.
      • Progress towards EHCP outcomes.
      • Views of the child/young person and their parents.
      • Reports from education, health, and social care professionals.
      • Recommendations for amendments to the EHCP.
      • Decisions made at the annual review meeting.
    • Ofsted inspectors will review EHCPs and their reviews as part of their case sampling when inspecting AP.

  • Metrics to Prove "the Intervention is Working" for AP/SEND:

    • Metrics should demonstrate progress in academic, vocational, technical, pastoral, and SEND needs.
    • Key indicators include:
      • Academic/Vocational Progress: Attainment in qualifications or other accreditations, based on individual needs and baseline assessments.
      • Social, Emotional, and Mental Health (SEMH) Development: Tools like the Boxall Profile can track progress in social-emotional functioning and wellbeing. The Pupil Attitudes to Self and School (PASS) assessment can provide insights into attitudes hindering achievement, such as confidence, resilience, and motivation.
      • Attendance and Engagement: Regular monitoring of attendance, with daily reporting to the commissioning school, is crucial. Engagement in learning is also a key aspect.
      • Behaviour: Evidence of improved behaviour, often linked to SEMH support and proactive behaviour management strategies.
      • Life Outcomes/Preparation for Adulthood: Progress in areas like independence, preparation for employment, and participation in society.
      • Reintegration/Transition: Successful transitions back to mainstream education or into post-16 pathways.
    • Commissioners are ultimately responsible for pupil outcomes in alternative provision.

  • Measuring "Distance Travelled" for Students Below Expected Levels:

    • "P-scales" (P scales 1 to 4), previously used to measure attainment for pupils working below national curriculum levels, were removed from national assessment frameworks in 2022.
    • They have been replaced by The Engagement Model for pupils working below the standard of national curriculum assessments and not engaged in subject-specific study at Key Stage 1 and 2. The Engagement Model focuses on five areas: exploration, realisation, anticipation, persistence, and initiation, combining formative and summative approaches to celebrate pupil progress.
    • For subject-specific learning, Pre-Key Stage Standards are used for SEND pupils.
    • The shift aims to address concerns about the old system's focus on "linear progress" and to recognise "lateral progress" for children with complex needs. Schools have developed various approaches to measure "small steps" of progress.

  • Ofsted Quality Indicators for AP/Alternative Provision:

    • Ofsted uses the Education Inspection Framework (EIF) for AP, similar to mainstream schools, but with additional context for provision-specific considerations.
    • Key areas of focus include:
      • Overall Effectiveness: Judgements on the quality of education, behaviour and attitudes, personal development, and leadership and management.
      • Quality of Education: Ambitious, planned, sequential, and rigorous curriculum that addresses gaps and delays identified on arrival. It should lead to qualifications or other outcomes, including life outcomes like independence and preparation for adulthood.
      • Behaviour and Attitudes: High expectations, proactive approach to teaching expected behaviours, and strong processes for behaviour management. Daily monitoring of attendance and effective management of behaviour are crucial.
      • Personal Development: Focus on personal and social development and participation in society.
      • Leadership and Management: How leaders assess and identify pupil needs, use this information to set ambitious goals, and support transitions. Analysis of reactions and effectiveness of actions taken by leaders.
      • Safeguarding: Ensuring the AP is a suitable and safe placement, with appropriate checks on registration status. An up-to-date central record of providers and pupils is essential.
      • Commissioning: Inspectors will review commissioning agreements and want to know why off-site provision was considered the best option. They will also visit a sample of unregistered providers to assess the school's quality assurance.
      • Inclusion: A strengthened focus on inclusion, with an "inclusion evaluation area" and a focus on how schools address barriers to learning for all pupils, especially the disadvantaged and vulnerable.

  • DfE's "Apply to be on the register of independent schools" Data Format:

    • The DfE's guidance for registering an independent school (which includes AP settings that cater full-time for 5 or more compulsory school-aged pupils, or one looked-after pupil or one with an EHCP) requires detailed information.
    • This typically includes:
      • Curriculum: Details of the curriculum offered, including how it meets the needs of pupils and prepares them for the next stage of education or employment.
      • Staffing: Information on staff qualifications, experience, and safeguarding checks.
      • Premises: Details of the school premises, including health and safety, accessibility, and suitability for the age and needs of the pupils.
      • Policies: Comprehensive policies covering safeguarding, behaviour, admissions, complaints, and SEND.
      • Financial Viability: Evidence of sound financial planning and sustainability.
      • Governance: Information on the governance structure and leadership.
      • Pupil Welfare: How the school will promote the welfare of pupils, including arrangements for health and safety, and pastoral care.
    • The application process involves submitting detailed documentation and undergoing a pre-registration inspection.

2. Existing Software for AP/SEND Reporting

  • Platforms UK AP Schools Currently Use:

    • Many schools, including AP settings, use mainstream Management Information Systems (MIS) such as SIMS, Arbor, and Bromcom.
    • Specialised SEND management software includes Provision Map (by Edukey/Tes). Provision Map is designed for SENCOs to manage and track student support, interventions, and outcomes, create IEPs, and generate reports.
    • Edukey (now part of Tes) offers other related tools like Class Charts (classroom management), Literacy Assessment Online, and Safeguard my School.
    • EHCPlan is another platform mentioned, likely referring to software specifically designed for managing EHCPs.

  • Limitations of Existing Platforms:

    • Mainstream MIS (SIMS, Arbor, Bromcom): While they handle core student data, they may lack the granular detail and specialised reporting needed for complex SEND and AP interventions. Customisation for specific SEND/AP progress tracking and "distance travelled" metrics can be challenging.
    • Specialised SEND Software (e.g., Provision Map):
      • While strong in provision mapping and intervention tracking, some users may find limitations in integration with other school systems or in generating highly customised reports beyond their standard offerings.
      • Workload for SENCOs remains a significant concern, even with dedicated software, suggesting that current tools may not fully automate or streamline all necessary tasks.
      • The cost of specialised software can be a factor for schools.

  • API or Data Standard for EHCP Data Exchange:

    • There isn't a widely adopted, universal API or data standard for seamless, real-time EHCP data exchange between all schools and local authorities in the UK.
    • However, the SEND Code of Practice encourages effective information sharing. Some local authorities may have their own digital platforms or preferred methods for receiving EHCP-related data, which can vary.
    • Integration capabilities with common MIS systems (like SIMS, Integris, CMIS, Progresso, iSAMS) are offered by some SEND software, such as Provision Map, which helps streamline data flow within a school's ecosystem.

  • What EDClass (DfE-accredited alternative provision) Uses for Reporting:

    • Specific details on EDClass's internal reporting software are not publicly available through general searches. As a DfE-accredited alternative provision, EDClass would be expected to meet the DfE's and local authorities' reporting requirements for attendance, progress, and safeguarding, likely using a combination of their own bespoke systems and potentially integrating with commissioning schools' MIS for data exchange.

3. SEND Screening and Assessment

  • Validated Screening Tools Used in UK Schools for Neurodiversity:

    • Boxall Profile: A widely used tool in UK schools to measure social, emotional, and mental health (SEMH) and wellbeing of children and young people aged 4-18. It assesses cognitive, social, and emotional development, and challenging behaviours, providing insights for planning and reviewing support.
    • Pupil Attitudes to Self and School (PASS): A digital self-evaluation survey for ages 4-18 (or 5-16+) that identifies non-academic barriers to learning, such as confidence, resilience, motivation, and attitudes to school and teachers. It provides insights into students' self-perceptions and school experiences.
    • Cognitive Abilities Test (CAT4): A standardised assessment for ages 6-17+ that measures reasoning abilities (verbal, non-verbal, quantitative, spatial) to provide an accurate analysis of potential student achievement and identify learning profiles. It can help identify SEND needs through analysis of verbal deficits.
    • Strengths and Difficulties Questionnaire (SDQ): A brief behavioural screening questionnaire for children and young people. While not explicitly found in the search results, it is a commonly used tool in UK health and education settings for emotional and behavioural difficulties.

  • Embeddability and Licensed Administration:

    • Boxall Profile: Available as an online tool (Boxall Profile Online). Training is offered by Nurtureuk to understand and administer it. It is designed to be used by staff who know the child best.
    • PASS: A digital assessment that can be used with learners across primary and secondary settings (aged 4-18). It is completed online. GL Assessment provides training and support for its implementation and data interpretation.
    • CAT4: Can be taken online (PC or tablet) or on paper. It is a GL Assessment product, and schools typically purchase licenses to administer it. Additional time is generally not permitted for SEND students as it affects reliability, but other accommodations like prompts or coloured overlays might be acceptable.
    • Many of these tools require licensing for administration and access to their online platforms and reporting features. Training is often recommended or required to ensure correct interpretation and application.

  • Screening Ages 4-8 Without Diagnosis (Early Identification vs. Pathologization):

    • Early identification of SEMH difficulties is supported by tools like the Boxall Profile, which highlights gaps in social and emotional development underlying challenging behaviours or wellbeing difficulties.
    • The Boxall Profile and PASS are designed to help professionals understand and work more effectively with children, rather than being diagnostic tools for specific mental health conditions or learning difficulties.
    • The focus is on understanding needs, planning targeted support, and tracking progress over time.
    • The "engagement model" is used for pupils working below national curriculum assessments and not engaged in subject-specific study at Key Stage 1 and 2, allowing for the identification and celebration of pupil progress in five key areas.

  • UK Legal Position on Schools Doing Their Own Screening vs. Requiring Educational Psychologist Assessment:

    • The SEND Code of Practice places a duty on schools to identify and address the SEND of pupils. Schools are expected to use their best endeavours to ensure that a child with SEND gets the support they need.
    • Schools can and do use screening tools as part of their graduated approach (Assess-Plan-Do-Review) to identify needs and inform interventions. The Boxall Profile is cited by the DfE to assess mental health and behavioural needs.
    • An Educational Psychologist (EP) assessment is typically sought when a child's needs are more complex, or when the school's internal interventions are not leading to sufficient progress, and there is consideration of requesting an EHCP needs assessment from the local authority. EP assessments provide a deeper diagnostic understanding and inform the content of an EHCP.
    • There isn't a legal requirement for all screening to be done by an EP; schools have a responsibility for early identification and intervention using appropriate tools and internal expertise. However, for formal diagnosis or for statutory assessments leading to an EHCP, EP involvement is often crucial.

4. Funding Mechanics

  • How the High Needs Block Works (DSG allocation, top-up funding, place funding):

    • The Dedicated Schools Grant (DSG) includes a High Needs Block, which funds provision for children and young people with SEND and those in alternative provision.
    • Place Funding: AP free schools receive £10,000 per full-time equivalent (FTE) place for pre-16 pupils from the DfE. For post-16 students with high levels of SEND, an additional £6,000 per place is provided, with the expectation that additional support costs exceed £6,000. Place numbers are based on commissioning activity and strategic planning decisions by local authorities and schools.
    • Top-Up Funding: This is per-pupil funding agreed and paid by the commissioner (local authority or other school/academy) to meet the individual needs of a pupil that exceed the basic place funding.
    • DSG Allocation: From the third academic year after an AP free school opens, the DfE deducts the pre-16 place funding from the high-needs funding block of the local authority where the pupil is solely or mainly registered. This ensures LAs contribute to the places they commission.

  • Process for an AP School to Receive Council Funding:

    • Commissioning: Local authorities and schools commission AP placements. LAs are responsible for ensuring sufficient AP is available.
    • Assessment of Needs: The commissioning body (LA or school) assesses the pupil's needs to determine if AP is appropriate.
    • Personal Learning Plan: Each pupil in AP should have a personal learning plan, drawn up by the LA or school.
    • Agreement on Outcomes and Monitoring: The commissioner and AP provider agree on the nature of the intervention, intended outcomes, and how progress will be monitored and evaluated.
    • Funding Agreement: A funding agreement is established, outlining the place funding and any additional top-up funding for individual pupils.
    • Reporting: The AP provider reports back on attendance, progress, and any issues to the commissioning body.

  • Can a New School Access AP Funding Before Achieving Ofsted Rating?

    • New AP free schools receive place funding from the DfE based on evidence provided in pre-opening for the first two years.
    • Local authorities and schools can commission placements in unregistered alternative provision, but the commissioning body remains responsible for oversight, safeguarding, and ensuring the provision is suitable and safe.
    • Ofsted inspectors will normally visit a sample of any part-time unregistered alternative providers during an inspection of a commissioning school to assess the adequacy of the school's quality assurance process. If a school uses a provider that should be registered but isn't, inspectors will consider if safeguarding is affected.
    • While funding can be accessed, achieving an Ofsted rating is crucial for long-term credibility and often for securing consistent commissioning from LAs and schools. The DfE is also working to bring in standards and legislation to accredit "Non-School" AP settings.

  • How the New HNPCA (High Needs Provision Capital Allocation) Grant Works:

    • The High Needs Provision Capital Allocation (HNPCA) grant is provided by the DfE to local authorities to create new places and improve existing facilities for children and young people with SEND and in AP.
    • LAs receive an allocation and are responsible for deciding how to use this capital funding to meet local needs, which can include expanding or creating new AP provision. Surrey receiving £16.14M indicates a significant investment in increasing high needs provision capacity.

  • Timeline from Opening to Receiving First Council-Funded Placements:

    • For new AP free schools, the DfE agrees high needs place funding for the upcoming academic year based on commissioning activity and strategic planning decisions by LAs and schools. Early discussions with LAs are important.
    • The timeline can vary significantly. Establishing demand, planning, and implementation are key stages in the commissioning process.
    • A new school would need to engage with local authorities and schools early in its development to demonstrate its suitability, curriculum offer, and safeguarding arrangements to secure commissioning agreements. This process can take time, as LAs and schools typically have annual commissioning cycles.

5. Platform Requirements Matrix

Based on the above research, here is a requirements specification for the platform:

A. Student Profile Data Fields:

  • Core Demographics:
    • Full Name, Date of Birth, Gender, Ethnicity, Home Address, Contact Details (Parent/Carer, Emergency).
    • Unique Pupil Number (UPN).
    • National Curriculum Year Group.
    • Mainstream School on Roll (if dual registered).
  • SEND/AP Specifics:
    • Primary/Secondary SEND Need (as per SEND Code of Practice categories).
    • EHCP Status (Yes/No, Date Issued, Review Dates, Lead LA).
    • Reason for AP Placement (e.g., exclusion, medical, behaviour, other).
    • Start Date of AP Placement, Expected End Date.
    • Previous Educational Settings.
    • Key Workers/Support Staff assigned.
    • Personal Learning Plan/Individual Education Plan (IEP) details and targets.
  • Medical & Welfare:
    • Medical Conditions, Allergies, Medications.
    • Safeguarding Concerns (with secure, restricted access).
    • Social Care Involvement (if applicable).
    • Dietary Requirements.
  • Baseline Assessments:
    • Initial academic assessments (e.g., reading age, maths levels).
    • Initial SEMH assessments (e.g., Boxall Profile, PASS scores).
    • Initial cognitive assessments (e.g., CAT4 scores).
    • Learning styles and preferences.

B. Progress Tracking Frequency and Format:

  • Academic Progress:
    • Frequency: Termly minimum, with flexibility for more frequent (e.g., half-termly, weekly for specific interventions).
    • Format:
      • Curriculum-aligned progress against individualised learning goals.
      • Attainment data for qualifications (GCSEs, vocational, accreditations).
      • Progress against Pre-Key Stage Standards (for those below NC levels).
      • Engagement Model tracking (for pupils not engaged in subject-specific study).
      • Narrative reports detailing qualitative progress and achievements.
      • Visualisations (e.g., progress graphs against targets).
  • SEMH/Wellbeing Progress:
    • Frequency: Termly minimum, with flexibility for more frequent reviews based on intervention intensity.
    • Format:
      • Boxall Profile scores and progress over time.
      • PASS scores and changes in attitudes/self-perception.
      • Tracking against individual SEMH targets (e.g., emotional regulation, social skills).
      • Qualitative observations and anecdotal evidence.
  • "Distance Travelled" Metrics:
    • Tracking against the Engagement Model's five areas (exploration, realisation, anticipation, persistence, initiation).
    • Demonstrating progress in small, non-linear steps for pupils with complex needs, moving beyond traditional linear progression models.
    • Evidence of skill acquisition, increased independence, and improved engagement, even if not reflected in formal academic grades.

C. EHCP Integration Requirements:

  • EHCP Document Upload/Storage: Secure storage for current and previous EHCPs.
  • Outcome Tracking: Ability to link student progress data directly to EHCP outcomes.
  • Annual Review Support:
    • Automated reminders for upcoming annual reviews.
    • Templates for gathering contributions from all stakeholders (parents, young person, professionals).
    • Generation of draft annual review documents in a format suitable for LAs.
    • Tracking of recommendations and amendments from reviews.
  • Secure Sharing: Functionality for secure sharing of EHCPs and review documents with authorised LA personnel.

D. Attendance and Engagement Metrics:

  • Attendance Tracking:
    • Daily attendance recording (present, absent, authorised/unauthorised).
    • Real-time attendance reporting to commissioning schools (within 30 minutes of session start).
    • Absence reasons and follow-up actions.
    • Attendance trends and patterns analysis.
  • Engagement Metrics:
    • Participation in lessons/activities.
    • Completion of tasks/homework.
    • Interaction with peers and staff.
    • Qualitative observations on motivation and interest.
    • Data from tools like PASS that measure attitudes to learning and school.

E. Wellbeing/Behaviour Tracking (Positive, Not Punitive):

  • Positive Behaviour Tracking:
    • Recording of positive behaviours, achievements, and efforts.
    • Reward systems integration.
  • Behavioural Incidents (Non-Punitive):
    • Recording of challenging behaviours, triggers, and de-escalation strategies used.
    • Analysis of behaviour patterns to inform support plans.
    • Link to SEMH support plans and interventions.
    • Focus on understanding the underlying reasons for behaviour (e.g., using Boxall Profile insights).
  • Wellbeing Check-ins:
    • Regular, informal wellbeing check-ins with students.
    • Recording of student voice and feelings about their placement and progress.
    • Integration with SEMH assessment tools.

F. Parent Portal Requirements for AP/SEND:

  • Secure Access: Password-protected access for parents/carers.
  • Progress Reports: Access to academic, SEMH, and "distance travelled" progress reports.
  • EHCP Information: View EHCPs, annual review documents, and related reports.
  • Communication Log: Secure messaging system for communication with staff.
  • Attendance Data: Real-time or near real-time attendance information.
  • Personal Learning Plan: View and contribute to their child's personal learning plan.
  • Resources: Access to relevant resources and information about their child's provision.
  • Consent Management: Ability for parents to provide consent for data processing where required (for children under 13).

G. Data Export Formats:

  • Standard Formats:
    • CSV (Comma Separated Values) for general data export.
    • XML (Extensible Markup Language) for structured data exchange.
    • PDF for reports and official documents.
  • API Endpoints:
    • Secure API endpoints for integration with local authority systems (if LAs develop such standards).
    • API for integration with common MIS systems (SIMS, Arbor, Bromcom) where possible, similar to Provision Map's capabilities.
    • Adherence to any emerging DfE or national data standards for SEND/AP.

H. GDPR and ICO Children's Code Compliance Requirements:

  • Data Minimisation: Only collect and retain the minimum amount of personal data necessary.
  • Purpose Limitation: Process data only for specified, explicit, and legitimate purposes.
  • Transparency: Provide clear, concise, and age-appropriate privacy notices for children and parents.
  • Lawful Basis for Processing: Ensure a clear lawful basis for processing all personal data, especially for children.
  • Consent: If relying on consent, ensure it is informed. For online services, children aged 13 or over can provide their own consent; for those under 13, parental consent is required (unless it's an online preventive or counselling service).
  • Data Subject Rights: Facilitate children's and parents' rights, including access, rectification, erasure (particularly relevant if consent was given as a child), and restriction of processing.
  • Security: Implement robust technical and organisational measures to protect personal data.
  • Data Protection Impact Assessments (DPIAs): Conduct DPIAs for high-risk processing activities, especially when processing children's data.
  • High Privacy by Default: Settings must be 'high privacy' by default for children.
  • No Detrimental Use of Data: Do not use children's personal data in ways that are harmful to their wellbeing.
  • Data Sharing: Do not disclose children's data unless there is a compelling reason, taking into account the child's best interests.
  • Geolocation/Profiling: Geolocation services and profiling should be switched off by default.
  • ICO Children's Code (Age Appropriate Design Code): Adherence to the standards of the Children's Code, which requires online services likely to be accessed by children to protect their privacy. This includes considering children's differing needs at various ages and stages of development.
  • Data (Use and Access) Act 2025: Be aware of new codes of practice for EdTech and AI introduced by this Act, which will update UK GDPR underpinning the AADC.