Supporting Children's Learning - Code of Practice: statutory guidance - fourth edition

3. Identifying and Assessing Needs

What this chapter covers

1. This chapter provides guidance on the duties of education authorities regarding identifying and assessing additional support needs.

2. Local authorities and other agencies use various models to:

• Assess children’s needs.
• Plan and implement support.
• Promote inter-agency collaboration.

3. Most models follow a staged approach, typically involving three to six stages. These ensure early intervention to address difficulties as soon as they arise and minimise disruption by using the least intrusive support needed.

4. The 2004 Act does not require the use of any specific assessment or support model. However, most models include common key features, such as:

• A structured, staged process for identifying and addressing needs.
• Multi-agency collaboration to provide appropriate support.
• A clear review process to monitor progress.

How schools, education authorities and agencies identify additional support needs

5. Education authorities must have clear processes for identifying children and young people with additional support needs^[43]. This includes:

• Identifying children and young people who require additional support to benefit from their education.
• Assessing the specific additional support needs of those identified.
• Determining whether a child or young person requires a co-ordinated support plan.

6. Education authorities must publish clear information^[44] about how these assessments and processes work.

7. Most children and young people receive their education in schools managed by their local education authority (referred to here as the home education authority). This is the authority responsible for the area where the child or young person lives with their parents.

8. However, in some cases, a child or young person may receive education in a school managed by a different education authority. In such cases:

• The home education authority is the authority where the child normally resides.
• The host education authority is the authority responsible for the school where the child is educated.

9. Most children and young people with additional support needs can be identified through:

• Ongoing classroom assessments – Teachers observe and assess learning daily.
• Tracking educational progress – Schools monitor each learner's strengths, challenges, and progress.
• Involving children and young people in planning – Teachers work with students to identify what support they need for their next steps in learning.
• Early intervention – Schools take action as soon as learning difficulties arise to prevent further barriers to education.

10. The 2004 Act also allows parents, young people, and eligible children to formally request that the education authority determine whether they or their child has additional support needs or requires a co-ordinated support plan.

11. Any person working with the child may raise concerns. Sometimes, a teacher, early year practitioner, educational psychologist, general practitioner, social worker, or therapist may notify the education authority that a child or young person may have additional support needs. In these cases, the education authority must:

• Investigate whether the child has additional support needs or requires a co-ordinated support plan, unless it would be unreasonable to do so.
• Inform the referring professional of their findings where appropriate and legally permissible.
• Obtain parental or young person’s consent before sharing conclusions, unless doing so would pose a risk of significant harm.
• Ensure the child's needs are met even if parental consent is not given for sharing information.

12. The education authority remains responsible for ensuring support is provided and, if applicable, a co-ordinated support plan is prepared.

13. The support provided must have educational aims, meaning that without the support, the child would be unlikely to benefit from school education.

Looked after children

14. The 2004 Act presumes that all looked after children have additional support needs, unless the education authority determines otherwise. This means:

• Every looked after child is considered to have additional support needs unless specifically assessed and determined not to require additional support.
• If a looked after child is found to have additional support needs, the education authority must consider whether they require a co-ordinated support plan.
• Education authorities should regularly review the educational progress of looked after children to ensure their needs are met.

15. This approach ensures that looked after children receive the support they need and that their educational progress is closely monitored.

16. While not a legal requirement under the 2004 Act, it is considered good practice — in line with the values of The Promise — for education authorities to also consider whether care experienced^[45] children and young people, who do not fall within the definition of looked after children, may require additional support.

Children under the age of 3 years

17. Education authorities must provide additional support to certain disabled pre-school children (under the age of 3)^[46] if:

• They have been brought to the attention of the education authority as having, or appearing to have, additional support needs.
• Their additional support needs arise from a disability as defined by the Equality Act 2010.
• The education authority confirms the child has additional support needs through assessment.

18. For example, if a parent informs the education authority about their child’s needs, the authority must assess whether the child has additional support needs related to a disability and, if so, provide appropriate support.

19. If the education authority determines that a child does not have additional support needs, they must inform parents in writing, including reasons for their decision.

20. Not all children with a disability will automatically have additional support needs. Some children with medical conditions such as asthma, or diabetes may not require additional support to benefit from education.

21. Following the Quality Improvement Framework for the Early Learning and Childcare Sectors^[47] and Getting it right for every child principles, education, health, and social work services should work together so that children with additional support needs are identified early.

• Health visitors, general practitioners, community paediatricians, and ELC practitioners play a crucial role in early identification.
• The Universal Health Visiting Pathway provides a consistent, person-centred home visiting programme for all families from pre-birth to pre-school, focusing on child development, health, and wellbeing.
• Health professionals help connect families with appropriate services and ensure educational needs are met.

22. Health visitors, family nurses, general practitioners, and paediatricians often identify children’s support needs at or soon after birth.

23. If a child under 3 does have additional support needs, education authorities must provide appropriate support.

24. Support may come from education, health, social work, or voluntary agencies.

25. In good practice, the child’s needs should be reviewed by a multi-agency team, which may include:

• Health professionals (GPs, paediatricians, therapists). The health visitor or family nurse will typically be identified as the child’s Named Person to coordinate early support and intervention.
• Education staff (early years support specialists).
• Social workers (child protection and family support services).
• Voluntary sector representatives (disability or family support organizations).

26. Multi-agency teams should work together to ensure:

• Parents do not need to repeat information multiple times.
• A holistic view of the child’s family and community context is considered.
• Medical, social, and learning needs are assessed early.
• Appropriate services are identified depending on children’s needs.

27. This reduces stress on families and helps agencies develop a well-rounded support plan. It supports:

• Clear understanding of the child’s needs.
• Agreement on what support is needed, how it will be provided, and who is responsible.
• Development of a Child’s Plan, detailing the support required, ways the parents can contribute, as well as expected outcomes. This includes a designated Lead Professional to coordinate support and act as the main contact for the family and professionals involved.

Eligible Pre-School Children

28. Education authorities must establish procedures to identify pre-school children with additional support needs. This duty applies to:

• Children in pre-school provision managed by the education authority.
• Children in partnership nurseries and other ELC settings under agreements with the education authority.
• Children about to begin school education, including pre-school education, whether in an authority-managed school or another approved setting.

29. The aim is to ensure early identification of children who may need additional support to access and benefit from education.

30. Some children may have already been identified before age 3 due to a disability.

31. However, many children in pre-school may develop or show additional support needs at this stage, including:

• Highly able children who require additional learning challenges.
• Looked after children who may need social, emotional, or educational support.
• Children with emerging developmental, social, emotional, or communication needs.

32. Early years staff, working in partnership with parents, play a crucial role in:

• Observing and assessing children's progress.
• Identifying signs that may indicate a need for additional support.
• Referring children for assessment or support services where necessary.

33. Early identification ensures that children receive the appropriate support as soon as possible, improving their learning experience and future educational outcomes.

34. Practitioners are also supported by the national practice guidance for early years in Scotland, Realising the ambition^[48]. The guidance provides key information about the characteristics of child development and promotes responsive, nurturing and inclusive learning environments.

Children and young people whose education is not the responsibility of the education authority

35. Some children and young people belong to an education authority’s area but are not educated under its management^[49]. This includes those who:

• Attend independent or grant-aided schools due to parental choice.
• Are educated at home, following parental arrangements.

36. In these cases, the parent, eligible child (age 12+), or young person may request the education authority to determine if the child or young person:

• Has additional support needs.
• Would require a co-ordinated support plan (CSP) if the authority were responsible for their education.

37. The education authority has the discretion to comply with this request but is not legally required to do so.

38. Education authorities should consider each case individually, based on its specific facts and circumstances.

39. If an education authority chooses to assess a child’s additional support needs:

• They are not required to provide additional support since they are not responsible for the child's education.
• They cannot prepare a co-ordinated support plan as these can only be prepared for children whose education is managed by the authority.
• They may indicate what a co-ordinated support plan would contain if they were responsible for the child’s education.

40. Where a child is educated outside their home authority due to a placing request, the request for an assessment must be directed to the host authority that is responsible for the child’s school education.

41. Managers of independent and grant-aided schools may request the child’s home education authority to determine whether the child would require a co-ordinated support plan if the authority were responsible for their education.

42. The education authority may comply but is not legally required to do so. It is important that independent and grant-aided schools have their own processes for identifying and supporting children and young people with additional support needs.

43. If an education authority refuses a request to assess a child's additional support needs, they should:

• Inform the person who made the request.
• Explain their decision and the reasons for it.

44. This ensures transparency and allows for the exploration of alternative support options if needed.

45. In some cases, there may be no formal request, but the education authority becomes aware that a child or young person (who belongs to their area but is not under their educational responsibility) may have additional support needs.

46. This could happen if:

• A child being educated at home is identified as needing additional support.
• Information is received from health or social services.
• Other professionals working with the child raise concerns.

47. The education authority is not required to carry out an assessment in these cases, but they may choose to do so.

48. If the authority decides to assess the child, they will usually need the consent of the parent or young person.

49. If an education authority has concerns about the home education being provided to a child in its area, they have powers under the Education (Scotland) Act 1980 to issue an attendance order^[50] if they determine that the education provided is not efficient.

50. If an education authority agrees to assess a child, whether due to a request or their own initiative, they must:

• Provide appropriate information and advice about the child’s additional support needs.
• Ensure that parents are informed about any additional support identified for the child.

51. The education authority has the discretion to decide whether to provide the identified additional support. However, is not legally required to make provision for additional support needs if they are not responsible for the child’s school education.

Steps involved in assessments

52. Assessment is an ongoing process of gathering, organising, and analysing information about a child or young person and their circumstances. Under the 2004 Act, the primary goal of assessment is to identify the necessary support actions that will help maximise a child’s development and learning.

53. Assessment plays a crucial role in:

• Identifying children and young people with additional support needs.
• Ensuring strengths, needs, and risks are considered.
• Determining whether a child requires a co-ordinated support plan.
• Encouraging collaborative decision-making between professionals and parents.
• Supporting multi-agency information sharing, when appropriate and legally permitted.

54. Assessment should be a dynamic and continuous process, with the child or young person at its centre. It should not be separate from other aspects of the child’s life, whether at school, home, or within the community.

55. Assessment includes:

• Discussions with parents, teachers, and professionals involved in the child’s care.
• Observations of the child in daily activities.
• Reviewing existing assessment data before conducting new assessments.
• Direct engagement with the child or young person, where appropriate.

56. The education authority should always seek and consider the views of the child or young person, unless there are exceptional circumstances that make this inappropriate.

57. Education authorities must also consider:

• Any relevant advice or reports provided by parents, children, or young people.
• Privately commissioned assessments or reports, if parents, children, or young people request their consideration.

58. When a child or young person’s additional support needs require multi-agency support, the assessment process should use the Getting it right for every child (GIRFEC) principles^[51] and ensure:

• Consultation and collaboration between professionals from different agencies.
• Coordination by a Lead Professional to oversee the assessment and ensure effective support.

59. Education authorities must seek and consider relevant assessments from appropriate agencies and other relevant professionals^[52].

60. Agencies involved may include health services, social work, and other local authority services.

Role of different professionals

61. Education authorities decide who is the appropriate professional to carry out an assessment. This may include:

• Educational psychologists.
• Speech and language therapists.
• Occupational therapists.
• Learning support teachers.

62. Assessments may also include input from social work services or voluntary organizations.

63. Education authorities do not have to arrange assessments by specific individuals or organizations requested by the parent, child, or young person. However, they should consider independent assessments provided by or on behalf of the child or young person.

64. Where a range of individual assessments are required, to avoid causing stress and duplication, these should be co-ordinated into a single process, whenever possible, led by a Lead Professional (following Getting it right for every child).

65. The results of all assessments should be combined into a Child’s Plan, where applicable.

Specialist and Medical Assessments

66. Psychological assessments are usually conducted by an educational psychologist employed by the education authority.

67. If a clinical psychologist has relevant information, their input should also be considered.

68. Child and Adolescent Mental Health Services (CAMHS) provide specialist assessments in regard to mental health difficulties.

69. The NHS Board of the area in which the child or young person resides will arrange for the necessary medical assessments. These may involve:

• Speech and language therapists.
• Occupational therapists.
• Physiotherapists.
• Audiologists (hearing specialists).
• Orthoptists (vision specialists).

70. These assessments require parental or child’s/ young person’s consent.

71. If a child attends a special school in a different education authority’s area, their home NHS Board remains responsible for specialist healthcare provision (general medical services within the school are provided by the NHS Board covering that school’s area).

72. This also applies to independent special schools where the education authority is responsible for the child’s education. The home NHS Board is responsible for the specialist healthcare services and the relevant costs. However, the NHS Board in the area where the school is located (or another NHS Board that agrees to provide services) should deliver the specialist healthcare.

Social Work Assessments

73. Social work assessments may identify barriers to learning related to:

• Child protection concerns (e.g., domestic abuse, neglect).
• Parental substance misuse or mental health issues.
• Bereavement or loss affecting a child’s ability to learn.
• Offending behaviour in young people.

74. A social work assessment should be carried out when considering a residential school placement.

Parent’s and children’s rights in the process

75. The 2004 Act allows parents, young people, or eligible children (aged 12 and over) to request an education authority to arrange an assessment or examination^[53].

76. Requests can include educational, psychological, or medical assessments or any combination of these.

77. This right applies when the education authority:

• Is considering whether a child or young person has additional support needs.
• Is deciding if a co-ordinated support plan is required.
• Is reviewing an existing co-ordinated support plan.
• At any time if a parent, young person, or child believes a new assessment is necessary.

78. Requests must be in writing or a permanent format^[54] (e.g., video or audio recording) and explain the reason for the request.

79. Once a request for assessment is made:

• A designated staff member (from the education authority, school, or an agency) should oversee the process.
• Parents, young people, or children should receive contact details of this person.
• The request should be acknowledged as soon as possible.

80. If the assessment involves another agency (e.g., an NHS Board), that agency must comply^[55] with the request unless:

• It conflicts with the agency’s own legal duties.
• It would disrupt their ability to deliver services.

81. Other agencies must respond within 10 weeks, unless a statutory exception applies^[56]. If an agency cannot meet the deadline, they must inform the education authority.

82. Education authorities must comply with an assessment request unless they determine the request is unreasonable. The term “unreasonable” is not defined in the 2004 Act. It is for the education authority to consider each individual case on its own facts and circumstances.

83. A request may be refused if:

• The reason for the request is unclear (the education authority should first attempt to clarify).
• The requested assessment is not relevant to the child’s needs.
• There has been no significant change in the child’s circumstances since the last assessment.
• The request is made too soon after a previous assessment.
• The requests repeats recent assessments already carried out.

84. If an education authority denies an assessment request, they must:

• Provide written notice to the child, young person, or parent.
• Explain the reasons for the refusal.
• Inform them of their rights to mediation (available to parents and young people), dispute resolution, and, if applicable, the Tribunal.

Assessing a child’s capacity and wellbeing to exercise their rights

85. Children aged 12 and over have the right to make decisions regarding their additional support for learning. However, before a child exercises these rights, the education authority must ensure:

• The child has the maturity and understanding to exercise their right (capacity assessment)^[57].
• Exercising the right will not negatively impact the child’s wellbeing (wellbeing assessment)^[58].

86. These safeguards ensure that children’s rights are respected while also protecting their best interests.

87. When a child requests to exercise a right, the education authority must:

• Assess the child's capacity – Determine whether they have the maturity and understanding to make the decision.
• Assess the impact on the child’s wellbeing – Ensure that exercising the right will not negatively affect their overall wellbeing^[59].
• Check for significant changes – Ensure that there have been no major changes in the child's circumstances since the original request was made.
• Notify the child and parents and inform them of the intention to carry out the assessment, the results of the capacity and wellbeing assessment.

88. If, following the assessment, the education authority determines that the child does not have the capacity to exercise the right, or exercising the right would harm their wellbeing, then the child will not be able to exercise that right, and the education authority cannot fulfil it on their behalf.

89. Further information on the assessment of capacity and consideration of wellbeing in respect of additional support for learning in school education is provided in the non-statutory guidance document “Additional support for learning: guidance on assessing capacity and considering wellbeing”^[60].