How to conduct an audit at your school/setting

As of 1 September 2026, all EHCPs for children/young people in mainstream schools have been automatically moved to the new banding system. Schools are now advised that these bands can be internally moderated by schools before the end of March 2027.

Process for Auditing

Whichever method is chosen, use the draft Southwark banding framework (Appendix Schools can complete audits using a paper version of the banding tool to compare to their own evidence, or may use an approved AI tool to directly compare their evidence to the banding framework. All Southwark schools have received information about how to conduct an audit, whichever method they choose. If further support is required, schools can contact EHCPbanding@southwark.gov.uk

Important data protection guidance if using AI:

• Only use organisation-approved accounts (M365 or Google Workspace)
• If using any other version, all documents must be anonymised
• AI tools are to support analysis only – final decisions remain with professional staff.  Schools remain responsible for ensuring compliance with data protection requirements and for verifying any AI-generated outputs before they are used in decision-making

Whichever method is used, all audits must be reviewed and validated before submission.

Resources to support in-school audits:

• Letter to schools explaining the process
• Appendix 1: the banding framework
• Appendix 2: step-by-step audit process using AI
• Appendix 3: ‘Jamie’ exemplar report - mainstream
• Appendix 4: ‘Daisy’ exemplar report – resource base
• Appendix 5: audit prompt for mainstream
• Appendix 6: audit prompt for resource bases
• Appendix 7: moderation checklist
• Appendix 8: FAQ new banding system
• Appendix 9: ASD resource base setting summary
• Appendix 10: hearing impairment unit summary
• Appendix 11: SLCN language unit summary
• Appendix 12: social communication resource base

Following the School Audit

1. If there are no changes to the banding of the EHCPs, please send the results directly to the LA via EHCPbanding@southwark.gov.uk - the banding will then be set and reviewed through normal statutory processes (e.g. at phase transfer or where significant changes in need require amendment to the EHCP).
2. If the audit shows any EHCPs which are indicating a change of banding, you must invite your linked moderator for a visit – this visit will include an observation of any CYPs for whom a change in banding is being requested, alongside a discussion of the CYP and a view of the audit.  In advance of the visit, you must provide the linked moderator with the audit report (if using AI-supported tool – otherwise a copy of the paper-based audit) alongside any evidence.
3. Following the visit, the linked moderator will make a recommendation to the moderation panel. NB: if the recommended band is more than 1 band difference, this will automatically be referred to the panel for a full discussion. The moderation panel will meet monthly.
4. Following the panel, the school will be advised of the decision taken.

Please note that banding decisions are determined through the Local Authority moderation process and there is no separate appeals process for schools or parents in relation to banding decisions.

Where the moderation panel do not agree to a change in banding following moderation, the decision of the moderation panel will stand until reconsidered through normal statutory review processes, including the Annual Review process where appropriate.