Early Intervention CSA Attachment O

I. Introduction

This document serves as an attachment to the Department of Human Services (DHS) Community Services Agreement and sets forth supplemental contractual obligations between Child and Family Connections (CFCs) and DHS. The attachment provides contractual requirements beyond and in addition to those in the Agreement and is intended to deal with the programmatic areas of the Bureau of Early Intervention.

II. Applicable Rules and Statutes

The Provider agrees to be knowledgeable of and comply with all applicable state and federal statues and administrative rules guidelines and executive orders applicable to the provision of services under this agreement, including, but not necessarily limited to the following:

Federal Rules

  1. 34 CFR 99: Family Education Rights and Privacy Act (FERPA); and
  2. 34 CFR 303: Individuals with Disabilities Education Act (IDEA), Title I, Part C and;
  3. 42 CFR 430 et seq.: Medicaid provisions of Title XIX of the Social Security Act and its rules;
  4. 42 CFR 431.300 - 431.307: Medicaid provisions of the Title XIX of the Social Security Act and its rules, specifically provisions regarding "Safeguarding Information on Applications and Recipients"
  5. 45 CFR Parts 160, 162 and 164 (Security standards only) Health Insurance Portability and Accountability Act of 1996 (HIPAA).

Federal Statutes

  1. 20 U.S.C. 1232g: Family Education Rights and Privacy Act (FERPA)
  2. 20 U.S.C. 1431: Individuals with Disabilities Education Act, Part C
  3. 42 U.S.C §§ 396 et seq.: Medicaid provisions of Title XIX of the Social Security Act and its' rules
  4. 42 U.S. Code 5101 et seq.: Child Abuse Prevention and Treatment Act of 1996
  5. Public Law 104-191: Health Insurance Portability and Accountability Act of 1996.

Executive Orders

http://www2.illinois.gov/gov/Pages/ExecOrders.aspx

Illinois Administrative Code

http://ww.ilga.gov/commission/jcar/admincode/titles.html

Illinois Constitution (1970 act. 1, sec. 17, Fair Employment Practices)

http://www.ilga.gov/commission/Irb/con1.htm

SAMS (Section 11) - Expenditure Authority, (pg. 392)

http://www.apps.ioc.state.il.us/ioc-pdf/SAMSManualMaster.pdf

SAMS Procedure 15.20.95 - Contract Signatures, (pg. 665)

http://www.apps.ioc.state.il.us/ioc-pdf/SAMSManualMaster.pdf

State Rules: Title 89 Illinois Administrative Code

  1. Part 500: Early Intervention Program
  2. Part 507: Audit Requirements of DHS
  3. Part 509: Fiscal/Administrative Recordkeeping and Requirements
  4. Part 511: Grants and Grant Funds Recovery

State Statutes

  1. 30 ILCS 705: Illinois Grant Funds Recovery Act
  2. 325 ILCS 20: Early Intervention Services System Act

III. PROGRAM SERVICES

Program services are listed separately in the Bureau of Early Intervention Child and Family Connections program manual, found at www.dhs.state.il.us/ei

IV. PROGRAM PLAN AND DELIVERABLES

Not Applicable

V. PAYMENT

The Department will utilize one of the funding methods outlined below.

  1. Fee for Service - A program for which the payments are made on the basis of a rate, unit cost or allowable cost incurred and are based on a statement or bill as required by the Department. Payments made as a fee-for-service are not subject to the Illinois Grant Funds Recover Act (30 ILCS 705/1 et. seq.)
  2. Grants - A program that receives all or part of the funding in advance of the actual delivery of services. This includes prorated prospective payments and payments made by the Department on an estimated basis or any other basis when the Department does not know the actual amount earned by the Provider. This does not include advance payments made under the authority of the Illinois Finance Act (30 ILCS 105/9.05). All funds paid as a grant are subject to the Illinois Grant Funds Recover Act (30 ILCS 705/1 et. seq.)
    1. Eligible Expenditures v. Program Revenue - This method compares the eligible expenditures to the total Department revenues by program. An independent audit and associated supplemental revenue and expense schedule may be required from the Provider. Eligible expenditure will be determined based on 89 Ill Admin Code 509.20.
    2. Eligible Services Delivered v. Services Projected - This method compares the actual eligible services delivered to the services projected in the contract or agreement. If the services were based on a rate or unit of cost methodology, the number of eligible service units delivered times the rate or unit is compared to the total of all grant payments for that service.
  3. Methods - Payments to the Provider will be made monthly based on one-third of a quarterly award amount and rounded to the nearest $100.00. The final payment may be greater or less than the previous payments due to rounding.
    1. The Department will compare the amount of the prospective payments made to date with the documented expenditures provided to the Department by the Provider. In the event the documented services provided by the Provider do not justify the level of award being provided to the Provider, future payments may be withheld or reduced until such time as the services documentation provided by the Provider equals the amounts previously provided to the Provider. Failure of the Provider to provide timely documentation may result in a reduction to the total award.
    2. The final payment from the Department under this Agreement shall be made upon the Department's determination that all requirements under this Agreement have been completed, which determination shall not be unreasonably withheld. Such final payment will be subject to adjustment after the completion of a review of the Provider's records as provided in the Agreement.
    3. Exceptions to the standard contract provision as stated above are provided under Special Conditions, Section.

VI.  ELIGIBILITY CRITERIA

All services funded by DHS/Bureau of Early Intervention must meet stated eligibility conditions in the Child and Family Connections Program Manual and as dictated in Ill. Admin Code 500 which are both located at: www.dhs.state.il.us/ei.

VII. REPORTING REQUIREMENTS

The Provider shall use the following methodology to document the use of these funds:

  1. The Provider shall provide summary documentation by line item actual expenditures incurred for the purchase of goods and services necessary for conducting program activities.
  2. The Provider shall use generally accepted accounting practices to record expenditures and revenues as set forth in 89 Ill. Admin. Code 509 - Fiscal/Administrative Recordkeeping and Requirements.
  3. Expenditure documentation shall be submitted to the Department on a monthly basis, within one-month after the end of each calendar month.

The Provider shall submit expenditure documentation by mail to:

Illinois Department of Human Services
Division of Family & Community Services
Bureau of Early Intervention
823 E. Monroe
Springfield, IL 62701

Or

By fax to: 217/524-6248, Attention: EI Expenditure Documentation

VIII. SPECIAL CONDITIONS

The Department will make monthly payments to the provider based upon quarterly award amounts that are determined using the following six factors as set forth below: The Grant Recovery Act (30 ILCS 705/1 et. seq.) applies to all payments made under this contract.

A. Service Coordination Payments

The amount earned for service coordination determine the quarterly base award amount and will be set based on the average number of children with active IFSPs at the end of each month for a given period. Quarterly base award amounts will be based on six-month average caseloads as follows:

Quarter Service Period Data Period
1 July 1, 2012 - September 30, 2012 October 2011 - March 2012
2 October 1, 2012 - December 31, 2012 January 2012 - June 2012
3 January 1, 2013- March 31, 2013 April 2012 - September 2012
4 April 1, 2013- June 30, 2013 July 2012 - December 2012

The average caseload will be divided by 43 to determine the number of funded service coordinators for the quarter. The amount of $58,710 is allocated for each service coordinator position to cover the coordinator and related administrative and supporting costs. The resulting annualized base funding will be divided by four to determine the quarterly base award amount.

B. Incentive Payments

Incentive payments will be granted as a percentage of the quarterly base award amount to agencies ranking in the top 12 in any of the measures, as follows:

  1. A 1% incentive will be granted for having one of the 12 highest percentage of service plans (IFSPs) initiated before a child's first birthday over the designated six-month period. (See service coordination payment data period above.)
  2. A 1% incentive will be granted for having one of the 12 highest rates of IFSPs completed within 45 days over the designated six-month period. (See service coordination payment data period above.)
  3. A 1% incentive will be granted for having one of the 12 highest rates of closures at age 3 being either special education eligible or receiving a referral to other appropriate services if they are found ineligible for special education over the designated six-month period. (See service coordination payment data period above.)
  4. A 1% incentive will be granted for having one of the 12 highest rates of transition meetings for Special Education recorded for children who leave Early Intervention at 30-months of age or older, excluding terminations for death, moves out of state and because the plan of care was complete prior to age 3, during the designated six-month period. (See service coordination payment data period above.)
  5. A 1% incentive will be granted for having one of the 12 highest average participation rates for children under age 1 over the designated six-month period. (See service coordination payment data period above.) Under 1 participation rates are calculated by dividing the number of active IFSPs under age 1 by the annual census population estimates in that area in the most recent year for which data is available from the Bureau of the Census.
  6. A 1% incentive will be granted for having one of the 12 lowest percentages of program terminations prior to IFSP for family reasons over the designated six-month period. (See service coordination payment data period above.)
  7. A 1% incentive will be granted for having one of the 12 lowest percentages of program terminations from an active IFSP for family reasons over the designated six-month period. (See service coordination payment data period above.)
  8. A 1% incentive will be granted for having one of the 12 lowest percentages of cases over 2 1/2 year of age, over the designated six-month period. (See service coordination payment data period above.)
  9. A 1% incentive will be granted for having one of the 12 lowest average number of days between referral and initial IFSP over the designated six-month period. (See service coordination payment data period above.)
  10. A 1% incentive will be granted for having one of the 12 highest percentages of service occurrences delivered in natural settings over the designated six-month period. (See service coordination payment data period above.) Occurrences are measured as all services reported to the Central Billing Office, including those paid by insurance. Natural environment is defined as services delivered in the home, child care settings, or other settings. It primarily excludes services delivered at provider facilities or in early intervention classes or programs.

C. Penalty Adjustments

Penalty adjustments will be subtracted from quarterly base award amounts for failure to meet basic performance levels in the five areas set forth before. Multiple failures to meet penalty floors may result in the transfer of cases to other CFCs or consideration of rebidding of the CFCs contract. Reporting periods are established based on Section A -Service Coordination Payments.

  1. A penalty will be assessed against the following quarterly payment in an amount equal to the value of the number of FTE service coordinators that were below an 82% staffing level based on the average staffing levels over the previous quarterly reporting period.
  2. A 1% reduction will be made to the quarterly base payment if the proportion of cases in intake over 45 days exceeds 5% over the most recently completed quarter. A 2% reduction will be assessed if the percent over 45 days exceeds 7.5%.
  3. A 1% reduction will be made to the quarterly base payment if less than 85% of children with open service plans have their services authorized predominately in a natural setting (home or day care and other community settings) on the last day of each quarterly data period as outlined in VIII (A) above.
  4. A 1% reduction will be made to the quarterly base payment if the average age of children entering the system with new initial IFSPs for the designated six-month period exceeds 630 days. (See service coordination payment data period above.) A 2% reduction will be made if the average exceeds 640 days.

D. Local Interagency Council Coordination

 Quarterly award amounts will include funds for Local Interagency Council Coordination, as set forth in the Child and Family Connections Manual. A minimum grant of $19,000 will be made for basic coordination activities. An additional $3,000 is granted for each local council within the CFC's service area. One-fourth of this funding will be included with each quarterly award amount.

E. Parent Liaison Activities

Quarterly award amounts will include funds for Parent Liaison activities, as set forth in the Child and Family Connections Manual. A minimum annual grant will be made of $19,000. CFCs whose previous calendar year's average caseload was above 400 but less than 900, will receive grants of $38,000. CFCs whose previous calendar year's average caseload was above 900 but less than 1,500 will receive grants of $57,000. CFCs whose previous calendar year's average caseload is over 1,500 will receive grants of $76,000. One-fourth of this funding will be included with each quarterly award amount.

F. Developmental Pediatrics Consultation

Quarterly award amounts will include funds to purchase specialized consultation in developmental pediatrics. An annual grant will be made based on the average caseload (open service plans) during the previous calendar year times $88.90 per case (open service plan), or $25,000, whichever is larger. One-fourth of this funding will be included with each quarterly award amount.

G. Social Emotional Consultation

Quarterly award amounts will include funds to purchase Social/Emotional Infant Mental Health consultation. The annual grant will be based upon the average number of active cases (open service plans) during the previous calendar year. Agencies with average caseloads under 500 will receive $37,500. Those averaging over 500 active cases but less than 1,000 will receive $75,000. Agencies with an average active caseload over 1,000 would receive $100,000. Regardless of their caseload, each agency will also receive $3,000 to fund services related to this function. One-fourth of this funding will be included with each quarterly award amount.

IX. PROGRAM SERVICES

The Child and Family Connections (CFC) office will serve as the lead agency's regional intake and service coordination agency for Early Intervention and related services in its designated geographic area. The selected Vendors shall provide all services in accordance with the Individuals with Disabilities Education Act, 20 U.S.C.1431(Act), and the Part C regulations, 34 CFR Part 303 (effective date of September 28, 2011)(Part C Regulations) including, but not limited to the provisions summarized in Exhibit A. The selected Vendors will provide services pursuant to the Early Interventions Services System Act, 325 ILCS 20, 89 Ill. Administrative Code 500, and the Bureau of Early Intervention Child and Family Connections Procedure Manual at: www.dhs.state.il.us/ei, to the extent that they are consistent with the Act and the New Part C Regulations. To the extent they are inconsistent, the CFC shall be in compliance with the Act and the Part C Regulations. In its leadership role, the CFC shall engage in the following activities to support and maintain effective Early Intervention services:

  1. Participate in Child Find and Public Awareness activities in their area by disseminating information on referrals to the primary referral sources and working with the Local Interagency Council (LIC) to identify and coordinate Child Find activities.
  2. Designate a program manager who is employed by the CFC. The CFC manager will be responsible for hiring all Service Coordinators. All Service Coordination activities will be the responsibility of the CFC and cannot be subcontracted to another entity.
  3. Select, train and supervise qualified Service Coordinators, parent liaisons, local interagency council coordinators, social-emotional specialists, and support staff to carry out defined tasks.
  4. Provide services as defined in the Bureau of Early Intervention Child and Family Connections Procedure Manual including: Recordkeeping, Procedural Safeguards and Disputes, Social-Emotional Component, Pediatric Consultative Services, Referrals to CFCs, Intake, Early Intervention Eligibility Determination, Public and Private Insurance Use, Family Fee Determination, Individualized Family Services Plan, Transition, Transfer and Case Closure, Parent Reimbursements, Provider Recruitment, Parent Liaison Activities, and LIC Coordination. LICs must have active parent participation. The LIC meeting schedule should include meeting times and locations that are conducive to parent participation.
  5. Develop a compendium of resources for ineligible children and families as determined in accordance with 89 Admin. Code 500.45.
  6. Develop procedures to identify concerns regarding enrolled service providers and LICs in the service area.
  7. Maintain an ongoing relationship with all service providers and LICs in the service area.
  8. Participate in routine monitoring, data collection and reporting obligations, record or chart audits, complaint investigations, and consumer satisfaction surveys. The development and implementation of corrective action plans will be required in response to determination scoring and identification of noncompliance through monitoring and complaint resolution activities.
  9. Have a contract (s)/agreements in place for the provision of developmental pediatric consultation as defined in the Early Intervention Child and Family Connections manual and involving utilization review and quality assurance. The contract(s)/agreement(s) may be with an entity(s) that include a Developmental Pediatrician.
  10. Have a toll-free number and Internet access.
  11. Shall comply with the confidentiality of Early Intervention Records pursuant to the Individuals with Disabilities Education Act, Section 617(c) and 642, as amended, 20 U.S.C. 1400 et seq., and Part C regulations in 34 CFR 303.401-303.417, all in accordance with the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g and 34 CFR Part 99.
  12. Shall comply with the Health Insurance Portability and Privacy Act (HIPAA) Security Rule and the HIPAA Transactions and Code Sets Rule, and the regulations promulgated thereunder.
  13. M. Become an All Kids Application agent. For purposes of making referrals for final determinations of eligibility for All Kids benefits under the Children's Health Insurance Program Act and for medical assistance under Article V of the Illinois Public Aid Code, each CFC must enroll as an "All Kids Application agent" in order for the entity to complete the All Kids application as authorized under Section 22 of the Children's Health Insurance Program Act. As an All Kids agent, implement the All Kids Program as directed by the Bureau of Early Intervention.
  14. Provide adequate accessible space/facilities to store permanent child records, house staff, and hold meetings. The space/facilities should be HIPAA compliant, with adequate space for privacy/security.
  15. Purchase/maintain required equipment based upon Department billing office specifications.

Exhibit A

303.520/303.521-PRIVATE INSURANCE

  • Parental consent will be obtained prior to using private insurance to pay for Part C services. Consent will be obtained when the lead agency or EIS provider seeks to use the child/parent's private insurance or benefits to pay for the initial provision of EI services in the IFSP and anytime that an increase in frequency, length, duration or intensity is made to existing services in a child's IFSP.
  • If a parent revokes consent, that revocation is not retroactive.
  • When obtaining parental consent, the State will provide to the parent a copy of the State's system of payments policies that identifies the potential costs that the parent may incur when their private insurance is used to pay for early intervention services (such as co-payments, premiums, or deductibles, or other long-term costs such as the loss of benefits because of annual or lifetime health insurance coverage caps under the insurance policy). If the State requires a parent to pay any costs that the parent would incur as a result of the use of private insurance, those costs will be identified in the State's system of payment policies or the State may not charge those costs to the parents.

303.520-PUBLIC BENEFITS OR PUBLIC INSURANCE

  • A parent may not be required to enroll in public benefits or insurance programs as a condition of receiving Part C services.
  • Illinois will obtain parental consent prior to using the public benefits or insurance of a child or parent if that child or parent is not already enrolled in a public benefits or insurance program.
  • Illinois public benefits or insurance programs meet the no-cost protections identified under 303.520(a)(2)(ii)(A)(B)(C) or (D).
  • Prior to using a child's or parent's public benefits or insurance to pay for Part C services, the State must provide written notification to the child's parents which includes: (1) a statement that parental consent is required before the lead agency or EIS provider discloses, for billing purposes, a child's personally identifiable information to the Illinois Department of Healthcare and Family Services, the State agency responsible for administering the State's public benefits or insurance program; (2) a statement that the parent can withdraw their consent at any time; (3) a statement of the no-cost protections in 303.520(a)(2) and if the parent does not provide the consent under 303.520(a)(2) the lead agency will still make available those Part C services on the IFSP for which the parent has provided consent; (4) a statement of the general categories of costs to parents for participating in public benefits or insurance program (such as co-payment or deductibles or the required use of private insurance as the primary insurance). If the general costs are not identified in the notification and the State's system of payment policies, the State cannot charge these costs to the parent.

303.521-FAMILY FEES

  • The written policies of the State' system of payments will be distributed to parents and will include: (1) the functions or services that are subject to the system of payments including any fees charged to the family as a result of using one or more of the family's public insurance or benefits or private insurance; (2) the payment system and schedule of sliding or cost participation fees; (3) the basis and amount of payments or fees; (4) the State's definition of ability to pay (including its definition of income and family expenses, such as extraordinary medical expenses), its definition of inability to pay and when and how the state makes its determination; (5) a provision that families who fail to provide income information will be charged the maximum amount on the sliding fee schedule; (6) provisions that permit, but do not require, the lead agency to use Part C or other funds to pay for costs such as premiums, deductibles of co-payments;
  • The written policies will also include an assurance that (1) fees will not be charged to parents for the services that a child is otherwise entitled to receive at no cost; (2) 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, without delay; (3) families will not be charged any more than the actual cost of the Part C Service, factoring in any amount received from other sources for payment for that service; and (4) families with public insurance or benefits or private insurance will not be charged disproportionately more than families who do not have public insurance or benefits or private insurance.
  • The written policies of the State's system of payments will inform a family of what steps that it may take to contest the imposition of a family fee or the State's determination of a parent's ability to pay, including an appeal to the Bureau of Early Intervention or use of procedural safeguards such as participating in mediation, requesting a due process hearing, or the filing of a State complaint. These procedural safeguards will be provided to parents by either providing parents with a copy when obtaining consent for provision of early intervention services or in the notice provided pursuant to 303.421.

303.209-TRANSITION TO PRESCHOOL AND OTHER PROGRAMS

  • If a toddler is referred fewer than 45 days before their third birthday, and the toddler may be eligible for preschool services under Part B of the Act, Early Intervention (EI) is not required to conduct an evaluation/assessment, or hold an initial Individualized Family Services Plan (IFSP) meeting. EI may refer the child to the State Education Agency (SEA) and Local Education Agency (LEA) where the child resides for preschool services.
  • If a toddler is referred for EI services between 45 and 90 days before their third birthday and is determined to be eligible for Part C services, and if the toddler may be eligible for Part B preschool services, as soon as possible after determining the child's Part C eligibility the SEA and LEA will be notified.

303.32-SCIENTIFICALLY BASED RESEARCH

  • Early Intervention provider guidance will be modified to ensure that appropriate early intervention services are based on scientifically based research, to the extent practicable, and are available to all infants and toddlers with disabilities and their families, including
  1. Indian infants and toddlers with disabilities and their families residing on a reservation geographically located in the State and
  2. Infants and toddlers with disabilities who are homeless children and their families.
  • 9101(37) of the Elementary and Secondary Education Act of 1965, as amended (ESEA), defines the term scientifically-based research as follows:
  1.  means research that involves the application of rigorous, systematic, and objective procedures to obtain reliable and valid knowledge relevant to education activities and programs; and
  2. includes research that -
    1. employs systematic, empirical methods that draw on observation or experiment;
    2. involves rigorous data analyses that are adequate to test the stated hypotheses and justify the general conclusions drawn;
    3. relies on measurements or observational methods that provide reliable and valid data across evaluators and observers, across multiple measurements and observations, and across studies by the same or different investigators;
    4. is evaluated using experimental or quasi-experimental designs in which individuals, entities, programs, or activities are assigned to different conditions and with appropriate controls to evaluate the effects of the condition of interest, with a preference for random-assignment experiments, or other designs to the extent that those designs contain within-condition or across-condition controls;
    5. ensures that experimental studies are presented in sufficient detail and clarity to allow for replication or, at a minimum, offer the opportunity to build systematically on their findings; and
    6. has been accepted by a peer-reviewed journal or approved by a panel of independent experts through a comparably rigorous, objective, and scientific review.

303.303-COMPREHENSIVE CHILD FIND SYSTEM

  • Provisions for primary referral sources referring a child as soon as possible, but in no case more than seven days, after the child has been identified.

303.310-POST REFERRAL TIMELINE (45 DAYS)

  • The 45-day timeline does not apply for any period when the child or parent is unavailable to complete the initial evaluations/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.
  • The 45-day timeline does not apply if the parent has not provided consent for the initial evaluation/assessment, despite repeated attempts to obtain parental consent.
  • If there are exceptional family circumstances or repeated attempts to reach the family this information must be documented in the child's early intervention records.
  • Once the exceptional circumstances no longer exist or parental consent has been obtained for the initial evaluation/assessment the 45-day timeline will begin.

303.401-CONFIDENTIALITY OF PERSONALLY IDENTIFIABLE INFORMATION

  • Child and Family Connections (CFC) shall ensure the confidentiality of all Personally Identifiable Information (PII) collected or maintained pursuant to Part C in accordance with the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232 (g), 34 CFR part 99, 89 Illinois Administrative Code 500, and 303.401through 303.417.

303.404-CONFIDENTIALITY NOTICE FOR PARENTS

  • The CFC shall give parents Confidentiality Notice when a child is referred for Part C services. The Confidentiality Notice shall include:
  1. a description of the children on whom personally identifiable information is maintained;
  2. the type of information sought;
  3. the methods the State intends to use in gathering the information; (4) the sources from whom the information is gathered;
  4. the uses of the information;
  5. a summary of the policies and procedures the CFC and providers must follow regarding storage, disclosure to third parties, retention and destruction of PII;
  6. a description of the rights of parents and children regarding the PII ; and
  7. a description of the extent that the notice is provided in native languages in the various population groups in the State.

303.405-PARENTS ACCESS TO EARLY INTERVENTION RECORDS

  • The CFC shall comply with a parents request to inspect and review any EI records, including records related to evaluations and assessments, screening, eligibility determinations, development and implementation of IFSPs, provision of early intervention services, individual complaints involving the child, or any part of the child's early intervention record.
  • The CFC must reply with a request without unnecessary delay, and before any meeting regarding an IFSP and before any Due Process Hearing. In all cases, the CFC shall comply within 10 calendar days after the request has been made.
  • The right to inspect and review includes:
  1. right to a response from the CFC to reasonable requests for explanations and interpretations of the EI records;
  2. the right to request copies; and
  3. the right to have a representative of the parent inspect and review the EI records.

303.410-AMENDMENT OF RECORDS AT PARENT'S REQUEST

  • A parent who believes that information in the EI records are inaccurate, misleading or violates the privacy or other rights of the child or parent may request that the CFC amend the information. The CFC must decide whether to amend the information within five business days of the request. If the CFC denies the request to amend the records, the CFC must-
  1. inform the parent;
  2. advise the parent of a right to an informal hearing; and
  3. notify the EI Central Office within the five business day time period referenced above.
  • The EI Central Office will set the informal hearing within seven business days of receiving notice of the dispute. The hearing officer will be designated by the Part C Coordinator. The parent shall be given the opportunity to present evidence and may, at his or her own expense, be assisted or represented by one or more individuals, including an attorney. A decision will be issued in writing within ten business days of the completion of the hearing. The decision must be based solely on the evidence presented at the hearing, and must include a summary of the evidence and the reasons for the decisions.
  • If the outcome of the hearing is that the record must be amended, the information shall be amended and the parent shall be informed in writing. If the outcome of the hearing is the record does not need to be amended, the parent must be notified that he or she has a right to place in the EI record a statement commenting on the information and setting forth any reasons for disagreeing with the decision. The statement must be maintained as part as the EI record as long as the record is maintained by the CFC and if the records are disclosed to any party; the statement also shall be disclosed to the party.

303.409-FEES FOR RECORDS

  • The parents shall be provided at no cost a copy of each evaluation, assessment of the child, family assessment and IFSP as soon as possible after each IFSP meeting.
  • The CFC may charge a fee for copies of records that are made for parents if the fee does not effectively prevent the parents from exercising their right to inspect and review the records. The CFC may not charge a search fee to retrieve information.

303.416-DESTRUCTION OF RECORDS

  • At intake, the CFC shall inform the parent that records must be maintained for three years after the child stops receiving Part C services. If the parent requests that the records be destroyed after the three year period, the CFC shall destroy the records. This means physical destruction of the record or ensuring all personal identifiers are removed from the record so that the record is no longer personally identifiable. However, a permanent record of a child's name, date of birth, parent contact information (including address and phone number), names of service coordinator(s) and provider(s), exit data (including year and age upon exit, and any programs entered into upon exiting) may be maintained without time limitation. The records shall not be destroyed if litigation is threatened or pending without written permission from the Part C Coordinator.

303.417-ENFORCEMENT

  • Parents may file a State Complaint for violations of the procedural safeguards found in 303.401 through 303.417. The Department may impose appropriate sanctions for such violations.

303.25-NATIVE LANGUAGE

  • The term "native language" means
  1. the language normally used by that individual, or, in the case a child, the language normally used by the parents of the child, except s provided in 303.25(a) (2)
  2. The "native language" for an individual who is limited English proficient means, for evaluations and assessments conducted pursuant to 303.321(a)(5) and (a) (6), the language normally used by the child if determined developmentally appropriate for the child by qualified personnel conducting the evaluation or assessment.

303.432-STATE COMPLAINT PROCEDURES

  • If the Department determines the responding party to a State Complaint failed to provide appropriate services, the Department shall address
  1. corrective actions required to correct the cause(s) of the State Complaint; and
  2. whether changes to policy and procedures which impact the future provision of service for children with disabilities and their families are required.
  • The Department may award the Complainant compensatory services or monetary reimbursement from the Responding Party where appropriate.

303.436-PARENTS RIGHT TO TRANSCRIPTION

  • The parent involved in a due process hearing the right to receive a written or electronic verbatim transcription of the hearing and a copy of the written findings of fact and decisions at no cost to the parent.

(Rev. 05/01/2012)