1. Percent of infants and toddlers with IFSPs who receive the
early intervention services on their IFSPs in a timely manner.
[20 U.S.C. 1416(a)(3)(A)
and 1442]
|
The State lead agency must
provide assurances that the State (1) has adopted a policy that
appropriate early intervention services are available to all
infants and toddlers with disabilities in the State and their
families, including Indian infants and toddlers with disabilities
and their families residing on a reservation geographically
located in the State, infants and toddlers with disabilities who
are homeless children and their families, and infants and
toddlers with disabilities who are wards of the State; and (2)
has in effect a statewide system that meets the requirements of
20 U.S.C. 1435. [20 U.S.C. 1434(1)]
The State lead
agency must have in effect a policy that ensures that appropriate
early intervention services based on scientifically based
research, to the extent practicable, are available to all infants
and toddlers with disabilities and their families, including
Indian infants and toddlers with disabilities and their families
residing on a reservation geographically located in the State and
infants and toddlers with disabilities who are homeless children
and their families. [20 U.S.C. 1435(a)(2)]
For each infant
or toddler with a disability, the lead agency must ensure the
development, review, and implementation of an individualized
family service plan or IFSP developed by a multidisciplinary
team, which includes the parent. [34 CFR §303.340(a)]
Each early intervention service (EIS) described in the IFSP must
be provided as soon as possible after the parent provides consent
for that service. [34 CFR §303.342(e)]
The
IFSP must include the
projected date for the initiation of each EIS, which date must be
as soon as possible after the parent consents to the service.
[34 CFR §303.344(f)(1)]
The contents of the IFSP must be fully explained to the parents
and informed written consent must be obtained prior to the
provision of EIS described in the IFSP. [34 CFR §§303.342(e),
303.420(a)(3)]
EIS
may commence for an eligible child and the child’s family
before the completion of the evaluation and assessment in
accordance with the provisions of an interim IFSP, if parental
consent is obtained, and evaluations and assessments are
completed within the 45-day timeline described in 34
CFR §303.310.
[34 CFR §303.345]
The State must provide assurances to the Secretary that the State
has adopted a policy that appropriate EIS are available to all
infants and toddlers with disabilities in the State and their
families and has in effect a statewide system that meets the
requirements of 20 U.S.C. 1435, including policies and procedures
that address, at a minimum, the components required in §§303.111
through 303.126. [34 CFR §§303.101(a)(1) and (2),
303.112]
Each application must include a description of the procedure used
by the State to ensure that resources are made available under
Part C for all geographic areas within the State. [34 CFR
§303.207]
The
IFSP must include the name of the service coordinator who is
responsible for the implementation of the EIS identified in a
child’s IFSP. [34 CFR §§303.34; 303.344(g)]
The IFSP must include a statement of the specific EIS, based on
peer-reviewed research (to the extent practicable), that are
necessary to meet the unique needs of the child and the family to
achieve the results or outcomes identified in the IFSP. [34 CFR
§303.344(d)]
EIS
includes developmental services selected in collaboration with
the parents, that meet the standards of the State, including the
requirements of Part C; that are designed to meet the
developmental needs of an infant or toddler with a disability and
the needs of the family to assist appropriately in the infant’s
or toddler’s development; and provided under public
supervision, by qualified personnel. [34 CFR §303.13]
Each system must include a comprehensive system of personnel
development. [34 CFR §303.118]
Each system must include policies and procedures relating to the
establishment and maintenance of qualification standards to
ensure that personnel necessary to carry out the purposes of this
part are appropriately and adequately prepared and trained. [34
CFR §303.119(a)]
EIS must be provided at no cost, except, subject to 34 CFR
§§303.520 and 303.521, where Federal or State law
provides for a system of payments by families, including a
schedule of sliding fees. [34 CFR §§303.13(a)(3),
303.500(b), 303.520, 303.521]
The inability of the parents of an infant or toddler with a
disability to pay for services will not result in a delay or
denial of services under Part C to the child or the child's
family such that, if the parent or family meets the State’s
definition of inability to pay, the infant or toddler with a
disability must be provided all Part C services at no cost. [34
CFR §303.521(a)(4)(ii)]
Each State must
ensure that it has in place methods for State interagency
coordination. State law or regulation, signed interagency or
intra-agency agreements or other appropriate written methods must
be in place to ensure the provision of, and establish the
financial responsibility of each agency for paying for EIS
(consistent with State law and the requirements of this part).
The methods must include procedures for achieving timely
resolution of intra-agency and interagency disputes, and
mechanisms to ensure that no services that a child is entitled to
receive under this part are delayed or denied because of disputes
between agencies. [34 CFR §303.511]
|
2. Percent of infants and
toddlers with IFSPs who primarily receive early intervention
services in the home or programs for typically developing
children.
[20 U.S.C. 1416(a)(3)(A)
and 1442]
|
EIS are developmental services that, to the maximum extent
appropriate, are provided in natural environments, as defined in
34 CFR §303.26, and consistent with 34 CFR §§303.126
and 303.344(d). [34 CFR §303.13(a)(8)]
Natural environments means settings that are natural or typical
for a same-aged infant or toddler without a disability, may
include the home or community settings, and must be consistent
with the provisions of 34 CFR §303.126. [34 CFR §303.26]
Each system must include policies and procedures to ensure,
consistent with 34 CFR §§303.13(a)(8), 303.26, and
303.344(d)(1)(ii), that EIS are provided -- (a) to the maximum
extent appropriate, in natural environments; and (b) in settings
other than the natural environment that are most appropriate, as
determined by the parent and the IFSP Team, only when early
intervention services cannot be achieved satisfactorily in a
natural environment. [34 CFR §303.126]
The IFSP must
include a statement that each EIS is provided in the natural
environment for that child or service to the maximum extent
appropriate consistent with 34 CFR §§303.13(a)(8),
303.26 and 303.126, or, subject to 34 CFR §303.344(d)(1)(ii)(B),
a justification as to why an early intervention service will not
be provided in the natural environment. The determination of the
appropriate setting for providing EIS to an infant or toddler
with a disability, including any justification for not providing
a particular EIS in the natural environment for that infant or
toddler with a disability and service, must be (1) made by the
IFSP Team (which includes the parent and other team members); (2)
consistent with the provisions in 34 CFR §§303.13(a)(8),
303.26, and 303.126; and (3) based on the child’s outcomes
that are identified by the IFSP Team in 34 CFR §303.344(c).
[34 CFR §303.344(d)(1)(ii)]
|
3. Percent of infants and
toddlers with IFSPs who demonstrate improved:
A. Positive social-emotional
skills (including social relationships);
B. Acquisition and use of
knowledge and skills (including early language/communication);
and
C. Use of appropriate
behaviors to meet their needs.
[20 U.S.C. 1416(a)(3)(A)
and 1442]
|
The State lead agency must have a statewide system as described
in 20 U.S.C. 1433 that provides for each infant or toddler with a
disability, and the infant's or toddler's family, to receive: a
multidisciplinary assessment of the unique strengths and needs of
the infant or toddler and the identification of services
appropriate to meet such needs. The IFSP shall be in writing and
contain a statement of the infant's or toddler's present levels
of physical development, cognitive development, communication
development, social or emotional development, and adaptive
development, based on objective criteria; a statement of the
family's resources, priorities, and concerns relating to
enhancing the development of the family's infant or toddler with
a disability; a statement of the measurable results or outcomes
expected to be achieved for the infant or toddler and the family,
including pre-literacy and language skills, as developmentally
appropriate for the child, and the criteria, procedures, and
timelines used to determine the degree to which progress toward
achieving the results or outcomes is being made and whether
modifications or revisions of the results or outcomes or services
are necessary. [20 U.S.C. 1436(a)(1), (d)(1) through (3)]
The IFSP must include a statement of the infant or toddler with a
disability's present levels of physical development (including
vision, hearing, and health status), cognitive development,
communication development, social or emotional development, and
adaptive development. With the concurrence of the family, the
IFSP must include a statement of the family's resources,
priorities, and concerns related to enhancing the development of
the child. The IFSP must include a statement of the measurable
results or measurable outcomes expected to be achieved for the
child and family, and a statement of the specific early
intervention services that are necessary to meet the unique needs
of the child and family. [34 CFR §303.344(a) through (d).]
The IFSP for a child and the child’s family must be
reviewed every six months, or more frequently if conditions
warrant, or if the family requests a review, to determine the
degree to which progress toward achieving the results or outcomes
identified in the IFSP is being made, and whether modification or
revision of the results, outcomes or EIS identified in the IFSP
is necessary. A meeting must be conducted on at least an annual
basis to evaluate and revise, as appropriate, the IFSP for a
child and the child’s family. [34 CFR §303.342(b)
and (c)]
EIS include developmental
services, provided in conformity with an IFSP, that are designed
to meet the developmental needs of an infant or toddler with a
disability and the needs of the family to assist appropriately in
the infant’s or toddler’s development, as identified
by the IFSP team. [34 CFR §§303.13; 303.114]
The lead agency must ensure that, subject to obtaining parental
consent in accordance with 34 CFR §303.420(a)(2), each child
under the age of three who is referred for evaluation or EIS
under Part C and suspected of having a disability, receives a
timely, comprehensive, multidisciplinary evaluation of the child,
unless eligibility is established under 34 CFR §303.321(a)(3)(i).
The evaluation procedures must include identifying the child’s
level of functioning in each of the developmental areas in 34 CFR
§303.21(a)(1). [34 CFR §303.321(a)(1)(i) and (b)(3)]
Each child determined eligible as an infant or toddler with a
disability as defined in 34 CFR §303.21 must receive a
multidisciplinary assessment of the unique strengths and needs of
that infant or toddler including the identification of the
child’s needs in each of the developmental areas in 34 CFR
§303.21(a)(1), and the services appropriate to meet those
needs. [34 CFR §303.321(a)(1)(ii)(A) and (c)(1)(iii)]
Infant or toddler
with a disability means (1) an individual under three years of
age who needs early intervention services because the individual
is experiencing a developmental delay, as measured by appropriate
diagnostic instruments and procedures, in one or more of the
following areas: (i) Cognitive development. (ii) Physical
development, including vision and hearing, (iii) Communication
development, (iv) Social or emotional development, or (v)
Adaptive development; or (2) Has a diagnosed physical or mental
condition that has a high probability of resulting in
developmental delay. [34 CFR §303.21(a)] Each public
agency or EIS provider who has a direct role in the provision of
EIS is responsible for making a good faith effort to assist each
eligible child in achieving the outcomes in the child's IFSP.
However, Part C of the Act does not require that any public
agency or EIS provider be held accountable if an eligible child
does not achieve the growth projected in the child's IFSP. [34
CFR §303.346]
|
4. Percent of families
participating in Part C who report that early intervention
services have helped the family:
A Know their rights;
B. Effectively communicate
their children's needs; and
C. Help their children
develop and learn.
[20 U.S.C. 1416(a)(3)(A)
and 1442]
|
The contents of the IFSP must be fully explained to the parents
and informed written consent must be obtained prior to the
provision of EIS described in the IFSP. [20 U.S.C. 1436(e), 34
CFR §§303.342(e), 303.420(a)(3)]
Consent means that (a) The parent has been fully informed
of all information relevant to the activity for which consent is
sought, in the parent’s native language, as defined in
§303.25; (b) The parent understands and agrees in writing to
the carrying out of the activity for which the parent’s
consent is sought, and the consent form describes that activity
and lists the early intervention records (if any) that will be
released and to whom they will be released; and (c)(1) The parent
understands that the granting of consent is voluntary on the part
of the parent and may be revoked at any time; and (2) If a parent
revokes consent, that revocation is not retroactive (i.e., it
does not apply to an action that occurred before the consent was
revoked). [34 CFR §303.7]
Prior written notice must be provided to parents a reasonable
time before the lead agency or an EIS provider proposes, or
refuses, to initiate or change the identification, evaluation, or
placement of their infant or toddler, or the provision of early
intervention services to the infant or toddler with a disability
and that infant’s or toddler’s family. [34 CFR
§303.421]
A family-directed assessment must be conducted by qualified
personnel in order to identify the family’s resources,
priorities, and concerns and the supports and services necessary
to enhance the family's capacity to meet the developmental needs
of the family’s infant or toddler with a disability. [34
CFR §303.321(c)(2)]
The family-directed assessment must (i) be voluntary on the part
of each family member participating in the assessment; (ii) be
based on information obtained through an assessment tool and also
through an interview with those family members who elect to
participate in the assessment; and (iii) include the family’s
description of its resources, priorities, and concerns related to
enhancing the child’s development. [34 CFR §303.321(c)(2)]
The IFSP shall be in writing and with the concurrence of the
family contain a statement of the family's resources, priorities,
and concerns relating to enhancing the development of the child
as identified through the assessment of the family. [34 CFR
§303.344(b)]
Service coordination services means services provided by a
service coordinator to assist and enable an infant or toddler
with a disability and the child’s family to receive the
services and rights, including procedural safeguards, required
under Part C. Service coordination is an active, ongoing process
that involves assisting parents of infants and toddlers with
disabilities in gaining access to, and coordinating the provision
of, the early intervention services required under Part C.
Service coordination services include informing families of their
rights and procedural safeguards. [34 CFR §303.34(a)(1),
(a)(3)(i) and (b)(8)]
Each lead agency
must establish or adopt procedural safeguards that meet the
requirements of Part C, including the provisions on
confidentiality, parental consent and notice, surrogate parents,
and dispute resolution in 34 CFR §§303.400 through
303.449. [34 CFR §§303.400 through 303.449]
|
5. Percent
of infants and toddlers birth to 1 with IFSPs compared to
National data.
[20 U.S.C. 1416(a)(3)(B)
and 1442]
6. Percent of infants and
toddlers birth to 3 with IFSPs compared to National data.
|
For
the purposes of the annual report required by section 618 of the
Act and 34 CFR §303.720, the lead agency must count and
report the number of infants and toddlers receiving EIS on any
date between October 1 and December 1 of each year. The report
must include the number and percentage of infants and toddlers
with disabilities in the State, by race, gender, and ethnicity,
who are receiving EIS and the
number and percentage of at-risk infants and toddlers, by race
and ethnicity, who are receiving EIS.
[34 CFR §303.721(a)(1) and (a)(3)]
A
statewide comprehensive, coordinated, multidisciplinary
interagency system to provide EIS for infants and toddlers with
disabilities and their families must include the following
components: (1) pre-referral policies and procedures that
include a public awareness program, as described in 34 CFR
§303.301, and a comprehensive child find system, as
described in 34 CFR §303.302; (2) referral procedures, as
described in 34 CFR §303.303; and (3) post-referral
procedures that include screening, if applicable, as described in
34 CFR §303.320, evaluations and assessments, as described
in 34 CFR §§303.321 and 303.322, and IFSP development,
review and implementation, as described in 34 CFR §§303.340
through 303.346. [34 CFR §§303.301 through 303.303,
303.320 through 303.322 and 303.340 through 303.346.]
Each system must include a
public awareness program that requires the lead agency to prepare
and disseminate information regarding the availability of EIS,
the child find system, and the central directory to all primary
referral sources. [34 CFR §§303.116, 303.301 and
303.303(c)]
Each
system must include a comprehensive child find system, consistent
with Part B (see 34 CFR §300.111), that includes a system
for making referrals to lead agencies or EIS providers under Part
C that ensures rigorous standards for appropriately identifying
infants and toddlers with disabilities that will reduce the need
for future services, and meets the requirements of 34 CFR
§§303.302, 303.303, 303.310, 303.320, and 303.321. [34
CFR §§ 303.302, 303.303, 303.310, 303.320, and
303.321].
The term ‘infant or
toddler with a disability’ means an individual under three
years of age who needs EIS because the individual: is
experiencing a developmental delay, as measured by appropriate
diagnostic instruments and procedures, in one or more of the
areas listed in 34 CFR §303.21 or has a diagnosed physical
or mental condition that has a high probability of resulting in
developmental delay, including the conditions listed in 34 CFR
§303.21. [34 CFR §§303.10, 303.21 and 303.111]
The
term ‘infant or toddler with a disability’ may
include, at a State's discretion, an at-risk infant or toddler
(as defined in 34 CFR §303.5). [34 CFR §§303.5
and 303.21(b)]
Evaluations
must be conducted by qualified personnel, and must include: (1)
administering an evaluation instrument; (2) taking the child’s
history (including interviewing the parent); (3) identifying the
child’s level of functioning in each of the developmental
areas in 34 CFR §303.21(a)(1); (4) gathering information
from other sources such as family members, other care-givers,
medical providers, social workers, and educators, if necessary,
to understand the full scope of the child’s unique
strengths and needs;
and (5) reviewing
medical, educational, or other records. No single procedure may
be used as the sole criterion for determining a child’s
eligibility under this part. [34 CFR §303.321(a)(2)(i) and
(b)]
Each
system must include a central directory that is accessible to the
general public, and includes accurate, up-to-date information on
public and private EIS, resources, and experts available in the
State; professional
and other groups (including parent support and training and
information centers, such as those funded under the Act) that
provide assistance to infants and toddlers with disabilities and
their families; and research
and demonstration projects being conducted in the State relating
to infants and toddlers with disabilities. [34 CFR §303.117]
Each
system must include a comprehensive system of personnel
development, including the training
of primary referral sources on the basic components of EIS
available in the State. [34 CFR §303.118]
Each system must include the State’s rigorous definition of
the term developmental delay in order to appropriately identify
infants and toddlers with disabilities who are in need of
services under Part C. [34 CFR §§303.10, 303.21(a)(1),
303.111 and 303.203(c)]
The
lead agency, as part of the child find system, must ensure that
all infants and toddlers with disabilities in the State who are
eligible for EIS under Part C are identified, located and
evaluated, including Indian infants and toddlers with
disabilities residing on a reservation geographically located in
the State, and infants and toddlers with disabilities who are
homeless, in foster care, and wards of the State. [34 CFR
§303.302(b)]
If the State provides Part
C services to at-risk infants and toddlers, the application must
include the State’s definition of at-risk infants and
toddlers with disabilities who are eligible in the State for
services under Part C, and a description of the EIS provided to
at-risk infants and toddlers with disabilities. [34 CFR §303.204]
The
child find system must include procedures for referring to the
Part C system a child under the age of three who is the subject
of a substantiated case of abuse or neglect, or is identified as
affected by illegal substance abuse, or withdrawal symptoms
resulting from prenatal drug exposure. [34 CFR §§303.206
and 303.303(b)]
In
States that make services available to children ages three and
older under this part, the State must have policies and
procedures that ensure a referral to the Part C system, dependent
upon parental consent, of a child under the age of three who
directly experiences a substantiated case of trauma due to
exposure to family violence (as defined in section 320 of the
Family Violence Prevention and Services Act, 42 U.S.C. 10401 et
seq.)
[34 CFR
§303.211(b)(7)]
The
State Interagency
Coordinating Council
shall provide assistance to ensure that the child find system
under Part C is coordinated with all other major efforts to
locate and identify children by other State agencies responsible
for administering the various education, health, and social
service programs relevant to Part C. [34 CFR §303.302(c),
303.604(a)(3)]
The
statewide system must include a system for compiling and
reporting timely and accurate data. [34 CFR §§303.124,
303.720-303.724]
|
7. Percent of eligible
infants and toddlers with IFSPs for whom initial evaluation,
initial assessment, and the initial IFSP meeting were conducted
within Part C’s 45-day timeline.
[20 U.S.C. 1416(a)(3)(B)
and 1442]
|
Each infant or toddler with a disability in the State must have a
timely, comprehensive, multidisciplinary evaluation, and a
family-directed identification of the needs of each family of
such an infant or toddler, to assist appropriately in the
development of the infant or toddler. [20 U.S.C. 1435(a)(3)]
Each infant or
toddler with a disability in the State must have an IFSP in
accordance with 20 U.S.C. 1436, including service coordination
services in accordance with such service plan. [20 U.S.C.
1435(a)(4)]
The IFSP shall
be developed within a reasonable time after the assessment
required by 20 U.S.C. 1436(a)(1) is completed. With the parents'
consent, early intervention services may commence prior to the
completion of the assessment [20 U.S.C. 1436(c)]
Within 45 days from the date the lead agency or EIS provider
receives the referral of the child, any screening under §303.320
(if the State has adopted a policy and elects, and the parent
consents, to conduct a screening of a child); the initial
evaluation and the initial assessments of the child and family
under §303.321; and the initial IFSP meeting under §303.342
must be completed. [34 CFR §303.310(a), 303.342(a)]
Subject to the requirements in §303.310(c), the 45-day
timeline described above does not apply for any period when: (1)
the child or parent are unavailable to complete the screening (if
applicable), the initial evaluation, the initial assessments of
the child and family, or the initial IFSP meeting due
to exceptional family circumstances that are documented in the
child’s early intervention records; or (2) the parent has
not provided consent for the screening (if applicable), the
initial evaluation, or the initial assessment of a child, despite
documented, repeated attempts by the lead agency or EIS provider
to obtain parental consent. [34 CFR §303.310(b)
and (c)]
The lead agency may adopt procedures, consistent with the
requirements of §303.320, to screen children under the age
of three who have been referred to the Part C program to
determine whether they are suspected of having a disability under
this part. [34 CFR §303.320]
An
initial evaluation refers to the child’s evaluation to
determine his or her initial eligibility under this part. [34
CFR §303.321(a)(2)(i)]
Evaluations
must be conducted by qualified personnel, and must include: (1)
administering an evaluation instrument; (2) taking the child’s
history (including interviewing the parent); (3) identifying the
child’s level of functioning in each of the developmental
areas in 34 CFR §303.21(a)(1); (4) gathering information
from other sources such as family members, other care-givers,
medical providers, social workers, and educators, if necessary,
to understand the full scope of the child’s unique
strengths and needs;
and (5) reviewing
medical, educational, or other records. No single procedure may
be used as the sole criterion for determining a child’s
eligibility under this part. [34 CFR §303.321(a)(2)(i) and
(b)]
Initial
assessments refer to the assessment of the child and the family
assessment conducted prior to the child’s first IFSP
meeting. [34 CFR
§303.321(a)(2)(iii)]
Qualified personnel must
conduct assessments to identify the child’s unique
strengths and needs and the early intervention services
appropriate to meet those needs. The assessment of the child
must include the following: (i) A review of the results of the
evaluation; (ii) Personal observations of the child; and (iii)
The identification of the child’s needs in each of the
developmental areas in §303.21(a)(1). [34 CFR
§303.321(c)(1)]
A
family-directed assessment must be conducted by qualified
personnel in order to identify the family’s resources,
priorities, and concerns and the supports and services necessary
to enhance the family's capacity to meet the developmental needs
of the family’s infant or toddler with a disability.
A family-directed assessment
must (i) be voluntary on the part of each family member
participating in the assessment; (ii) be based on information
obtained through an assessment tool and also through an interview
with those family members who elect to participate in the
assessment; and (iii) include the family’s description of
its resources, priorities, and concerns related to enhancing the
child’s development. [34 CFR §303.321(c)(2)]
Nondiscriminatory evaluation and assessment procedures must be in
place. [34 CFR §300.321(a)(4)]
For each infant or toddler with a disability, the lead agency
must ensure the development, review, and implementation of an
IFSP consistent with the definition in 34 CFR §303.20 that
meets the requirements in 34 CFR §§303.342 through
303.346. [34 CFR §303.340]
The IFSP must include information about the child’s status,
family information, the measurable results or measurable outcomes
expected to be achieved for the child and family, and a statement
of the specific early intervention services that are necessary to
meet the unique needs of the child and family. [34 CFR
§303.344(a) through (d)]
Service
coordination services include coordinating evaluations and
assessments and facilitating and participating in the
development, review, and evaluation of IFSPs. [34
CFR §303.34(b)(3) and (4)].
Policies
and procedures must be in place to ensure that prior written
notice is provided to the parents a reasonable time before the
lead agency or an EIS provider proposes, or refuses, to initiate
or change the identification, evaluation, or placement of their
child, or the provision of appropriate EIS to the infant or
toddler with a disability and that infant’s or toddler’s
family. [34 CFR §§303.322 and 303.421(a) and (b)]
Each system must
include a comprehensive system of personnel development. [34 CFR
§303.118]
|
8. The
percentage of toddlers with disabilities exiting Part C with
timely transition planning for whom the Lead Agency has:
A. Developed an IFSP with
transition steps and services at least 90 days (and, at the
discretion of all parties, not more than nine months) prior to
the toddler’s third birthday;
B. Notified (consistent
with any opt-out policy) the SEA and LEA where the toddler
resides at least 90 days prior to the toddler’s third
birthday for toddlers potentially eligible for Part B preschool
services; and
C. Conducted the
transition conference held with the approval of the family at
least 90 days (and, at the discretion of all parties, not more
than nine months) prior to the toddler’s third birthday for
toddlers potentially eligible for Part B preschool services.
(20 U.S.C. 1416(a)(3)(B) and 1442)
|
The State lead agency must have policies and procedures in effect
to ensure a smooth transition for toddlers receiving early
intervention services under Part C (and children receiving those
services under 20 U.S.C. 1435(c)) to preschool, school, other
appropriate services, or exiting the program, including a
description of how the families of such toddlers and children
will be included in the transition plans required by 20 U.S.C.
1437(a)(9)(C); and the lead agency designated or established
under 20 U.S.C. 1435(a)(10) will notify the local educational
agency for the area in which such a child resides that the child
will shortly reach the age of eligibility for preschool services
under Part B, as determined in accordance with State law; in the
case of a child who may be eligible for such preschool services,
with the approval of the family of the child, convene a
conference among the lead agency, the family, and the local
educational agency not less than 90 days (and at the discretion
of all such parties, not more than 9 months) before the child is
eligible for the preschool services, to discuss any such services
that the child may receive; and in the case of a child who may
not be eligible for such preschool services, with the approval of
the family, make reasonable efforts to convene a conference among
the lead agency, the family, and providers of other appropriate
services for children who are not eligible for preschool services
under Part B, to discuss the appropriate services that the child
may receive; to review the child's program options for the period
from the child's third birthday through the remainder of the
school year; and to establish a transition plan, including, as
appropriate, steps to exit from the program. [20 U.S.C.
1437(a)(9)]
The lead agency must have policies and procedures to ensure a
smooth transition for infants and toddlers with disabilities
under the age of three and their families from receiving early
intervention services under Part C to preschool or other
appropriate services or to exit the program. [34 CFR
§303.209(a)]
The
State must ensure that for all toddlers with disabilities:
(1)(i) It reviews the program options for the toddler with a
disability for the period from the toddler's third birthday
through the remainder of the school year; and (ii) Each family
of a toddler with a disability who is served under this part is
included in the development of the transition plan required under
34 CFR §§303.209(d) and 303.344(h);
(2)
It establishes a transition plan in the IFSP not fewer than 90
days--and, at the discretion of all parties, not more than 9
months--before the toddler’s third birthday; and (3) The
transition plan in the IFSP includes, consistent with
§303.344(h), as appropriate: (i) Steps for the toddler
with a disability and his or her family to exit from the Part C
program; and (ii) Any transition services that the IFSP Team
identifies as needed by that toddler and his or her family. [34
CFR §303.209(d)]
The IFSP must include the steps and services to be taken to
support the smooth transition of the child, in accordance with 34
CFR §§303.209 and 303.211(b)(6), from Part C services
to: (i) preschool services under Part B of the Act, to the
extent that those services are appropriate; (ii) elementary
school or preschool services (for children participating under 34
CFR §303.211); or (iii) other appropriate services. Those
steps must include: (i) discussions with, and training of,
parents, as appropriate, regarding future placements and other
matters related to the child’s transition; (ii) procedures
to prepare the child for changes in service delivery, including
steps to help the child adjust to, and function in, a new
setting; (iii) confirmation that child find information about the
child has been transmitted to the LEA or other relevant agency,
in accordance with 34 CFR §303.209(b) (and any policy
adopted by the State under 34 CFR §303.401(e)) and, with
parental consent if required under 34 CFR §303.414,
transmission of additional information needed by the LEA to
ensure continuity of services from the Part C program to the Part
B program, including a copy of the most recent evaluation and
assessments of the child and the family and most recent IFSP
developed in accordance with 34 CFR §§303.340 through
303.345; and (iv) identification of transition services and
other activities that the IFSP Team determines are necessary to
support the transition of the child. [34 CFR §303.344(h)]
The State must ensure that, consistent with 34 CFR §303.401(d)
, and any policy that the State has adopted under 34 CFR
§303.401(e) permitting a parent to object to disclosure of
personally identifiable information, not fewer than 90 days
before the third birthday of the toddler with a disability if
that toddler may be eligible for preschool services under Part B
of the Act, the lead agency notifies the SEA and the LEA for the
area in which the toddler resides that the toddler on his or her
third birthday will reach the age of eligibility for services
under Part B of the Act. [34 CFR §303.209(b)(1)]
A lead agency, through its policies and procedures, may require
that EIS providers, prior to making the limited disclosure
described in 34 CFR §§303.209(b)(1) and (2) and
303.401(d), inform the parent of the intended disclosure and
allow the parent a specified time period to object to the
disclosure in writing. If a parent (in a State that has adopted
the policy described in 34 CFR §303.401(e)(1)) objects
during the time period provided by the State, the lead agency and
EIS provider are not permitted to make such a disclosure under 34
CFR §§303.209(b)(1) and (2) and 303.401(d). [34 CFR
§303.401(e)]
The State must ensure that, if a toddler with a disability may be
eligible for preschool services under Part B of the Act, the lead
agency, with the approval of the family of the toddler, convenes
a conference, among the lead agency, the family, and the LEA not
fewer than 90 days--and, at the discretion of all of the parties,
not more than 9 months--before the toddler’s third birthday
to discuss any services the toddler may receive under Part B of
the Act. [34 CFR §303.209(c)(1)]
Any conference conducted under 34 CFR §303.209(c) or meeting
to develop the transition plan under 34 CFR §303.209(d)
(which conference and meeting may be combined into one meeting)
must meet the requirements in 34 CFR §§303.342(d) and
(e) and 303.343(a). [34 CFR §303.209(e)]
The
transition requirements in §303.209(b)(1)(i) and (ii),
(c)(1), and (d) apply to all toddlers with disabilities receiving
services under Part C before those toddlers turn age three. In a
State that offers services under §303.211, for toddlers with
disabilities identified in §303.209(b)(1)(i), the parent
must be provided at the transition conference conducted under
§303.209(c)(1): (i) An explanation, consistent with
§303.211(b)(1)(ii), of the toddler’s options to
continue to receive early intervention services under Part C or
preschool services under section 619 of the Act; and (ii) The
initial annual notice referenced in §303.211(b)(1). For
children with disabilities age three and older who receive
services pursuant to §303.211, the State must ensure that it
satisfies the separate transition requirements in §303.211(b)(6).
[34 CFR
§303.209(f)]
If the lead agency is not the SEA, the State must include in its
application an interagency agreement between the lead agency and
the SEA; or if the lead agency is the SEA, the State must include
in its application an intra-agency agreement between the program
within that agency that administers Part C of the Act and the
program within the agency that administers section 619 of the
Act. To ensure a seamless transition between services under Part
C and under Part B of the Act, the interagency or intra-agency
agreement must address how the lead agency and the SEA will meet
the requirements of 34 CFR §303.209(b) through (f)
(including any policies adopted by the lead agency under 34 CFR
§§303.401(d) and (e)) and 303.344(h), and the Part B
regulations at 34 CFR §§300.101(b), 300.124, 300.321(f)
and 300.323(b). [34 CFR §303.209(a)(3)]
Each child and family must have one service coordinator who is
responsible for facilitating the development of a transition plan
to preschool, school, or if appropriate, to other services. [34
CFR §303.34(b)(10)]
Each system must include a comprehensive system of personnel
development, including the training personnel to coordinate
transition services for infants and toddlers with disabilities.
[34 CFR §303.118(a)(3)]
The SICC must advise and assist the lead agency in the promotion
of methods for intra-agency and interagency collaboration
regarding transition under 34 CFR §303.209, and must advise
and assist the SEA and lead agency regarding the transition of
toddlers with disabilities to preschool and other appropriate
services. [34 CFR §303.604(a)(3) and (b)]
Each application
must contain a description of State efforts to promote
collaboration among Head Start and Early Head Start programs
under the Head Start Act (42 U.S.C. 9801, et seq.),
early education and child care programs, and services under Part
C. [34 CFR §303.210]
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9. General supervision
system (including monitoring, complaints, hearings, etc.)
identifies and corrects noncompliance as soon as possible but in
no case later than one year from identification.
[20 U.S.C. 1416(a)(3)(B)
and 1442]
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In exercising its monitoring responsibilities under §303.700(d),
the State must ensure that when it identifies noncompliance with
the requirements of Part C by EIS programs and providers, the
noncompliance is corrected as soon as possible and in no case
later than one year after the State’s identification of the
noncompliance. [34 CFR §303.120(a)(2)(iv) and 303.700(e)]
The State must ensure that its rules, regulations, and policies
relating to Part C conform to the purposes and requirements of
this part. [34 CFR §303.102]
The State must have a single line of responsibility in a lead
agency that is responsible for the general administration,
supervision and monitoring of programs and activities used by the
State to carry out Part C of the Act, enforcing any obligations
imposed, correcting any noncompliance, and providing technical
assistance, if necessary. [20 U.S.C. 1435(a)(10); and 34 CFR
§§303.120, 303.700, 303.708]
The lead agency must monitor the implementation of this part,
make determinations annually about the performance of each EIS
program, enforce this part consistent with 34 CFR §303.704,
and report annually on the performance of the State and each EIS
program. [34 CFR §303.700]
The State must monitor each EIS program, using quantifiable
indicators in the priority areas listed in 34 CFR §303.700(d),
and such qualitative indicators as needed to adequately measure
performance in those areas. [34 CFR §§303.700(d)]
Each State must have in place a performance plan that meets the
requirements described in 20 U.S.C. 1416 and 1442; is approved by
the Secretary; and includes an evaluation of the State’s
efforts to implement the requirements and purposes of Part C of
the Act, a description of how the State will improve
implementation, and measurable and rigorous targets for the
indictors established by the Secretary under the priority areas
described in §303.700(d). [34 CFR §§303.701(a)]
Each State must use the targets established in the State’s
performance plan under §303.701and the priority areas
described in §303.700(d) to analyze the performance of each
EIS program in implementing Part C. [34 CFR §§303.702(a)]
The primary focus of State monitoring activities shall be on
improving early intervention results and functional outcomes for
all infants and toddlers with disabilities, and ensuring that EIS
programs meet the program requirements under Part C, with a
particular emphasis on those requirements that are most closely
related to improving early intervention results for infants and
toddlers with disabilities. [34 CFR §303.700(b)]
The
lead agency must have policies and procedures regarding the use
of funds consistent with 34 CFR §§303.501,
303.510 through 521. [34 CFR §§303.203(b), 303.500
through 303.521]
The
lead agency shall collect valid and reliable information as
needed to report annually to the Secretary on the priority areas
described in 34 CFR §303.700(d) and the indicators
established by the Secretary for the State performance plans.
[34 CFR §§303.700(d), 303.701(c), 303.702(b)(2)]
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10. Percent of signed
written complaints with reports issued that were resolved within
60-day timeline or a timeline extended for exceptional
circumstances with respect to a particular complaint, or because
the parent (or individual or organization) and the public agency
agree to extend the time to engage in mediation or other
alternative means of dispute resolution, if available in the
State.
[20 U.S.C. 1416(a)(3)(B)
and 1442]
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Each lead agency must adopt written State complaint procedures to
resolve any State complaints filed by any party regarding any
violation of this part that meet the requirements in §§303.432
through 303.434. [34 CFR §303.430(c).]
Written procedures consistent with 34 CFR §303.432 must be
in place for resolving any complaint filed by an individual or
organization. [34 CFR §303.432]
Each lead agency must include in its complaint procedures a time
limit of 60 days after a complaint is filed under 34 CFR §303.434
to: carry out an independent on-site investigation, if the lead
agency determines that an investigation is necessary; give the
complainant the opportunity to submit additional information;
provide the lead agency, public agency, or EIS provider the
opportunity to respond to the complaint; review all relevant
information and make an independent determination; and issue a
written decision to the complainant that addresses each
allegation in the complaint and contains findings of fact and
conclusions; and the reasons for the lead agency's final
decision. [34 CFR §§303.433, 303.434]
The lead agency's
procedures also must permit an extension of the 60-day time limit
only if: (i) exceptional circumstances exist with respect to a
particular complaint; or (ii) the parent (or individual or
organization, if mediation is available to the individual or
organization under State procedures) and the lead agency, public
agency, or EIS provider involved agree to extend the time to
engage in mediation pursuant to 34 CFR §303.433(a)(3)(ii).
[34 CFR §303.433(b)(1)]
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11. Percent of adjudicated
due process hearing requests that were adjudicated within the
applicable timeline.
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Each lead agency must adopt written due process hearing
procedures to resolve complaints with respect to a particular
child regarding any matter identified in 34 CFR §303.421(a),
by either adopting-- (1) the Part C due process hearing
procedures that-- (i) meet the requirements in 34 CFR §§303.435
through 303.438; and (ii) provide a means of filing a due process
complaint regarding any matter listed in §303.421(a); or (2)
the Part B due process hearing procedures under 34 CFR §§303.440
through 303.449 (with either a 30-day or 45-day timeline for
resolving due process complaints, as provided in 34 CFR
§303.440(c)). [34 CFR §303.430(d).]
Part C Timeline
Each lead agency must ensure that, not later than 30 days after
the receipt of a parent's due process complaint, the due process
hearing is completed and a written decision mailed to each of the
parties. A hearing officer may grant specific extensions of time
beyond the 30-day time period at the request of either party.
[34 CFR §303.437(b) and (c)]
Part B Timeline
The lead agency may adopt a 30- or 45-day timeline, subject to 34
CFR §303.447(a), for the resolution of due process
complaints and must specify in its written policies and
procedures under 34 CFR §303.123 and in its prior written
notice under 34 CFR §303.421, the specific timeline it has
adopted. [34 CFR §303.440(c)]
The lead agency
must ensure that not later than either 30 days or 45 days
(consistent with the lead agency’s written policies and
procedures adopted under 34 CFR §303.440(c)) after the
expiration of the 30-day period in 34 CFR §303.442(b), or
the adjusted 30-day time periods described in 34 CFR
§303.442(c)), a final decision is reached in the hearing;
and a copy of the decision is mailed to each of the parties. [34
CFR §303.447(a)].
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12. Percent of hearing
requests that went to resolution sessions that were resolved
through resolution session settlement agreements (applicable if
Part B due process procedures are adopted).
[20 U.S.C. 1416(a)(3)(B)
and 1442]
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Applicable if Part B Due Process Procedures are Adopted
Each lead agency must adopt written due process hearing
procedures to resolve complaints with respect to a particular
child regarding any matter identified in 34 CFR §303.421(a),
by either adopting-- (1) the Part C due process hearing
procedures . . . or (2) the Part B due process hearing procedures
under 34 CFR §§303.440 through 303.449 (with either a
30-day or 45-day timeline for resolving due process complaints,
as provided in 34 CFR §303.440(c)). [34 CFR §303.430(d).]
Prior to the initiation of a due process hearing under 34 CFR
§303.443, the lead agency shall convene a meeting with the
parents and the relevant member or members of the IFSP team. The
resolution session shall occur within 15 days of receiving notice
of the parent’s request for a due process hearing. [34 CFR
§303.442(a)]
If the lead agency has not resolved the due process complaint to
the satisfaction of the parties within 30 days of the receipt of
the due process complaint, the due process hearing may occur [34
CFR §303.442(b)]
In a case where a resolution is reached, the parties shall
execute a legally binding agreement that is signed by both the
parent and a representative of the lead agency who has the
authority to bind such agency and is enforceable in any State
court of competent jurisdiction or in a district court of the
United States, or by the lead agency, if the State has other
mechanisms or procedures that permit parties to seek enforcement
of resolution agreements. [34 CFR §303.442(d)]
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13. Percent of mediations
held that resulted in mediation agreements.
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The lead agency shall ensure that procedures are established and
implemented to allow parties to disputes involving any matter
under Part C, including matters arising prior to the filing of a
due process complaint, to resolve such disputes through a
mediation process at any time. [20 U.S.C. 1439(a)(8), and
1415(e), and 34 CFR §§303.430(b), 303.431(a)]
If the parties
resolve a dispute through the mediation process, the parties
shall execute a legally binding agreement that sets forth such
resolution. The agreement shall state that all discussions that
occurred during the mediation process will remain confidential
and may not be used as evidence in any subsequent due process
hearing or civil proceeding; be signed by the parent and a
representative of the agency who has the authority to bind such
agency; and be enforceable in any State court of competent
jurisdiction or in a district court of the United States. [34
CFR §303.431(b)(5) and (6)]
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14. State reported data
(618 and State Performance Plan and Annual Performance Report)
are timely and accurate.
[20 U.S.C. 1416(a)(3)(B)
and 1442]
|
Each State must have a system for compiling and reporting timely
and accurate data that meets the requirements of 34 CFR §§303.700
through 303.702 and 303.720 through 303.724. [20 U.S.C.
1416(a)(3) and 1442, and 34 CFR §§303.124, 303.700
through 303.702 and 303.720 through 303.724]
Each State lead agency must submit the State's performance plan
to the Secretary for approval in accordance with the approval
process described in 20 U.S.C. 1416(c). [20 U.S.C.
1416(b)(1)(B)and 1442; 34 CFR §80.40 (EDGAR)]The State lead
agency shall report annually to the Secretary on the performance
of the State under the State's performance plan pursuant to 34
CFR §303.702(b)(2). [20 U.S.C. 1416(b)(2)(C)(ii)(II) and
1442, and 34 CFR §§303.701, and 303.702(b)(2). 34 CFR
§§ 76.720(b) and 80.40(b)(1) (Education Department
General Administrative Regulations)]
Each
State lead agency shall collect valid and reliable information as
needed to report annually to the Secretary on the priority areas
described in 20 U.S.C. 1416(a)(3) and 34 CFR §303.700(d).
[20 U.S.C.
1416(a)(3) and 1442, and 34
CFR §§303.700(d),
303.701(c), and 303.702(b)(2)]
The lead agency must annually report to the Secretary and to the
public on the information required by section 618 of the Act at
the times specified by the Secretary. [20 U.S.C. 1418(a), and 34
CFR §303.720]
Each State shall provide
data each year to the Secretary of Education and the public. The
data shall be publicly reported by the State lead agency in a
manner that does not result in the disclosure of data
identifiable to individual children. [34 CFR §§303.702(b)(3),
303.722(a)]
Each
State that receives assistance under Part C, and the Secretary of
the Interior, shall provide data each year to the Secretary of
Education and the public. The data shall be publicly reported by
the State lead agency in a manner that does not result in the
disclosure of data identifiable to individual children. [20
U.S.C. 1418(a) and (b)(1); 34 CFR §80.40(EDGAR)]
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