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REGULATIONS
Vol. 31 Iss. 9 - December 29, 2014TITLE 12. HEALTHSTATE BOARD OF BEHAVIORAL HEALTH AND DEVELOPMENTAL SERVICESChapter 225Emergency RegulationTitle of Regulation: 12VAC35-225. Requirements for Virginia Early Intervention System (adding 12VAC35-225-10 through 12VAC35-225-540).
Statutory Authority: § 2.2-5304 of the Code of Virginia; 34 CFR Part 303.
Effective Dates: December 15, 2014, through June 14, 2016.
Agency Contact: Catherine Hancock, Part C Administrator, Department of Behavioral Health and Developmental Services, 1220 Bank Street, Richmond, VA 23218, telephone (804) 371-6592, FAX (804) 371-7959, or email catherine.hancock@dbhds.virginia.gov.
Preamble:
Item 315 H 4 of Chapter 806 of the 2013 Acts of Assembly requires the Department of Behavioral Health and Developmental Services to promulgate emergency regulations to provide requirements for Virginia's early intervention services and supports system for children and their families under the federal Part C program. Infants and toddlers from birth through age two years who are not developing as expected or who have a medical condition that can delay normal development may require early intervention supports and services. The Virginia statewide system of early intervention services, the Infant & Toddler Connection of Virginia, has been operating since the mid-1980s to identify children who could benefit from early intervention services, establish their eligibility under Part C of the Individuals with Disabilities Education Act (IDEA), coordinate care, and assure the availability of needed services. Last year 15,523 infants and toddlers were served in this system. More than 190 provider agencies participated in Virginia's early intervention system and 888 individuals were certified as early intervention practitioners. This regulatory action codifies those portions of Virginia's current policies, procedures, and practices that require the force of law to successfully enforce and to ensure that the state remains in compliance with federal mandates.
These regulations (i) provide details regarding the state infrastructure for early intervention services, not already provided by the Code of Virginia; (ii) clarify Virginia's referral system; (iii) outline the intake, eligibility determination, and assessment processes; (iv) detail the expectations regarding service planning and delivery, including transition or discharge from the early intervention system of care; (v) explain the service funding and payment expectations; (vi) establish the procedural safeguards that individuals can expect; (vii) address the alternative to resolve disputes; and (viii) establish a certification process for certain early intervention practitioners and a comprehensive system of personnel development.
CHAPTER 225
REQUIREMENTS FOR VIRGINIA EARLY INTERVENTION SYSTEMPart I
Authority and Definitions12VAC35-225-10. Authority.
A. Pursuant to § 2.2-5304 of the Code of Virginia, the Governor has designated the Department of Behavioral Health and Developmental Services as the state lead agency responsible for implementing the Virginia early intervention services system and ensuring compliance with federal requirements.
B. Sections 2.2-2664, 2.2-5301, 2.2-5303, 2.2-5304, 2.2-5305, and 2.2-5306 of the Code of Virginia establish the structure of Virginia's early intervention system, including the duties and responsibilities of the state lead agency, coordinating council, and participating agencies.
C. Virginia's early intervention system, the Infant & Toddler Connection of Virginia, must include, at a minimum, the components required by Part C of the Individuals with Disabilities Education Act at 20 USC § 1435(a) and at 34 CFR Part 303.
12VAC35-225-20. Definitions.
The following words and terms when used in this chapter shall have the following meanings unless the context clearly indicates otherwise:
"Ability to pay" means the amount a family is able to contribute toward the cost of early intervention services, based on family size, income, and expenses.
"Adjusted age" means an adjustment that is made for premature birth (gestation < 37 weeks) used to determine developmental status until the child is 18 months old.
"Administrative complaint" means a written, signed complaint by an individual or organization alleging that the department, local lead agency, or early intervention service provider violated a requirement of Part C or 12VAC35-225.
"Assessment" means the ongoing procedures used by qualified early intervention service providers to identify (i) the child's unique strengths and needs and the concerns of the family; (ii) the early intervention services appropriate to meet those needs throughout the period of the child's eligibility under Part C; and (iii) the resources, priorities, and supports and services necessary to enhance the family's capacity to meet the developmental needs of the child.
"Assistive technology device" means any item, piece of equipment, or product system, whether acquired commercially off the shelf, modified, fabricated, or customized, that is used to increase, maintain, or improve functional capabilities of a child. The term does not include a medical device that is surgically implanted, such as a cochlear implant, or the optimization (e.g., mapping), maintenance, or replacement of that device.
"Assistive technology service" means any service that directly assists in the selection, acquisition, or use of an assistive technology device. Assistive technology services include (i) evaluating the needs of the child, including a functional evaluation in the child's customary environment; (ii) purchasing, leasing, or otherwise providing for the acquisition of assistive technology devices; (iii) selecting, designing, fitting, customizing, adapting, applying, maintaining, repairing, or replacing assistive technology devices; (iv) coordinating and using other therapies, interventions, or services with assistive technology devices, such as those associated with existing education and rehabilitation plans and programs; (v) providing training or technical assistance to a child, or, if appropriate, that child's family; and (vi) providing training or technical assistance to professionals (including individuals providing education or rehabilitation services) or other individuals who provide services to or are otherwise substantially involved in the major life functions of the child.
"Atypical development" means one or more of the following conditions or responses: (i) atypical or questionable sensory-motor responses; (ii) atypical or questionable social-emotional development; (iii) atypical or questionable behaviors that interfere with the acquisition of developmental skills; or (iv) impaired social interaction and communication skills with restricted and repetitive behaviors.
"Audiology" means services that include (i) identifying children with auditory impairments, using at risk criteria and appropriate audiologic screening techniques; (ii) determining the range, nature, and degree of hearing loss and communication functions by use of audiological evaluation procedures; (iii) referring children with auditory impairment for medical or other services necessary for habilitation or rehabilitation; (iv) providing auditory training, aural rehabilitation, speech reading and listening devices, orientation and training, and other services; (v) providing services for prevention of hearing loss; and (vi) determining the child's individual amplification, including selecting, fitting, and dispensing appropriate listening and vibrotactile devices, and evaluating the effectiveness of those devices.
"Child find" means a comprehensive and coordinated system to locate, identify, refer, and evaluate all children with disabilities in Virginia who may be eligible for early intervention services under Part C.
"Child with a disability" or "infant or toddler with a disability" means an individual who is under three years of age and who needs early intervention services because he is experiencing a developmental delay in one or more areas of development or atypical development or has a diagnosed physical or mental condition that has a high probability of resulting in developmental delay.
"Commissioner" means the Commissioner of the Department of Behavioral Health and Developmental Services.
"Counseling services" means the assessment and treatment of mental, emotional, or behavioral disorders and associated distresses that interfere with mental health, including (i) individual and/or family group counseling with the parent or parents and other family members; (ii) collaborating with the family, service coordinator, and other early intervention service providers identified on an infant's or toddler's individualized family service plan (IFSP); and (iii) family training, education, and support provided to assist the family of an infant or toddler with a disability in understanding his needs related to development, behavior or social-emotional functioning and to enhance his development.
"Day" means calendar day, unless clearly specified otherwise.
"Department" means the Department of Behavioral Health and Developmental Services.
"Developmental delay" means a level of functioning that (i) is at least 25% below the child's chronological or adjusted age in cognitive, physical, communication, social or emotional, or adaptive development or (ii) demonstrates atypical development or behavior even in the absence of a 25% delay. Developmental delay is measured using the evaluation and assessment procedures described in 12VAC35-225-90.
"Developmental services" means services provided to a child with a disability that include (i) designing learning environments and activities that promote the child's acquisition of skills in a variety of developmental areas, including cognitive processes and social interaction; (ii) curriculum planning, including the planned interaction of personnel, materials, time, and space, that leads to achieving the outcomes in the child's IFSP; (iii) providing families with information, skills, and support related to enhancing the skill development of the child; and (iv) working with the child to enhance his development.
"Discipline" or "profession" means a specific occupational category that may provide early intervention supports and services to eligible children under Part C and their families.
"Due process complaint" means a complaint filed by a parent requesting a due process hearing to resolve a disagreement with an early intervention service provider's proposal or refusal to initiate or change identification, eligibility determination, or placement of the child or the provision of early intervention services to the child or family.
"Duration" means the projection of when a given early intervention service will no longer be provided (such as when the child is expected to achieve the results or outcomes in his IFSP).
"Early intervention practitioner" means a person who is qualified to apply for or who holds certification as an early intervention professional, specialist, or case manager. An early intervention practitioner may be employed as an early intervention service provider under Part C.
"Early intervention service provider" means a provider agency (whether public, private, or nonprofit) or an early intervention practitioner that provides early intervention services under Part C, whether or not the agency or individual receives federal Part C funds.
"Early intervention records" means all records regarding a child that are required to be collected, maintained, or used under Part C.
"Early intervention services" means services provided through Part C designed to meet the developmental needs of children and families and to enhance the development of children from birth to age three years who have (i) a 25% developmental delay in one or more areas of development, (ii) atypical development, or (iii) a diagnosed physical or mental condition that has a high probability of resulting in a developmental delay. Early intervention services provided in the child's home and in accordance with this chapter shall not be construed to be home health services as referenced in § 32.1-162.7 of the Code of Virginia.
"Eligibility determination" means the evaluation procedures used by qualified early intervention service providers to determine a child's initial and continuing eligibility under Part C.
"Family fee" means the amount based on the accrued charges and copayments that may be charged to families for services that an infant or toddler with a disability and family receive each month. The family fee may not exceed the monthly cap.
"Frequency" means the number of days or sessions a service will be provided.
"Health services" means services necessary to enable a child receiving services under Part C to benefit from other early intervention supports and services he receives and includes (i) providing clean intermittent catheterization, tracheostomy care, tube feeding, the changing of dressings or colostomy collection bags, and other health services and (ii) arranging consultation by physicians with other service providers concerning the special health care needs of the child that will need to be addressed in the course of providing other early intervention services. The term does not include services that are surgical in nature (such as cleft palate surgery, surgery for club foot, or the shunting of hydrocephalus); purely medical in nature (such as hospitalization for management of congenital heart ailments or the prescribing of medicine or drugs for any purpose); or related to the implementation, optimization (e.g., mapping), maintenance, or replacement of a medical device that is surgically implanted, including a cochlear implant; devices (such as heart monitors, respirators and oxygen, and gastrointestinal feeding tubes and pumps) necessary to control or treat a medical condition; or medical health services (such as immunizations and regular "well-baby" care) that are routinely recommended for all children.
"Homeless children" means children who meet the definition given the term homeless children and youths in § 752 (42 USC § 11434a) of the McKinney-Vento Homeless Assistance Act, as amended, 42 USC § 11434a et seq.
"Inability to pay" means the amount a family is able to contribute toward the cost of early intervention services is zero, resulting in the family's receiving all early intervention services at no cost to the family.
"Indian" means an individual who is a member of an Indian tribe.
"Indian tribe" means any federal or state Indian tribe, band, rancheria, pueblo, colony, or community, including any Alaska native village or regional village corporation.
"Individualized family service plan" or "IFSP" means a written plan for providing early intervention supports and services to a child with a disability or his family that (i) is based on the evaluation for eligibility determination and assessment for service planning; (ii) includes information based on the child's evaluation and assessments, family information, results or outcomes, and supports and services based on peer-reviewed research (to the extent practicable) that are necessary to meet the unique needs of the child and the family and to achieve the results or outcomes; and (iii) is implemented as soon as possible once parental consent is obtained.
"Informed clinical opinion" means the use of professional expertise and experience in combination with information gathered through eligibility determination or assessment for service planning, or both, to determine the child's developmental status and eligibility under Part C.
"Initial early intervention service coordination plan" means a written plan that specifies the activities that will be completed by the service coordinator prior to completion of the individualized family service plan.
"Intensity" means whether a service will be provided on an individual or group basis.
"Length of service" means the amount of time the service will be provided during each session (such as an hour or other specified timeframe).
"Local lead agency" means an entity that, under contract with the department, administers a local early intervention system.
"Location of service" means the actual place or places where the early intervention service will be provided.
"Medical services" means services provided by a licensed physician for diagnostic or eligibility determination purposes to determine a child's developmental status and need for early intervention supports and services.
"Monthly cap" means the maximum amount that a family will be required to pay per month for early intervention services regardless of the charge or charges or number of different types, frequency, or length of services a child and family receive.
"Multidisciplinary" means the involvement of two or more separate disciplines or professions.
"Native language" means the language or mode of communication (such as sign language, Braille, or oral communication for persons with no written language) that is normally used by the child or his parents.
"Natural environments" means settings that are natural or typical for a same-aged child without a disability and may include the home or community settings.
"Nursing services" means services that include (i) conducting assessments of health status for the purpose of providing nursing care, including the identification of patterns of human response to actual or potential health problems; (ii) providing nursing care to prevent health problems, restore or improve functioning, and promote optimal health and development; and (iii) administering medications, treatment, and regimens prescribed by a licensed physician.
"Nutrition services" means services that include (i) individual assessments in nutritional history and dietary intake; anthropometric, biochemical, and clinical variables; feeding skills and feeding problems; and food habits and food preferences; (ii) developing and monitoring appropriate plans to address the nutritional needs of children eligible for early intervention supports and services based on the findings of individual assessments; and (iii) making referrals to appropriate community resources to carry out nutritional goals.
"Occupational therapy" means services that are designed to improve the child's functional ability to perform tasks in home, school, and community settings, and include (i) identifying and assessing the child's functional needs and providing interventions related to adaptive development, adaptive behavior, play, and sensory, motor, and postural development; (ii) adapting the environment and selecting, designing, and fabricating assistive and orthotic devices to facilitate development and promote the acquisition of functional skills; and (iii) preventing or minimizing the impact of initial or future impairment, delay in development, or loss of functional ability.
"Parent" means (i) a biological or adoptive parent or parents of a child; (ii) a foster parent, unless state law, regulations, or contractual obligations with a state or local entity prohibit a foster parent from acting as a parent; (iii) a guardian generally authorized to act as the child's parent or authorized to make early intervention, educational, health, or developmental decisions for the child (but not the state if the child is a ward of the state); (iv) an individual acting in the place of a biological or adoptive parent (including a grandparent, stepparent, or other relative) with whom the child lives or an individual who is legally responsible for the child's welfare; or (v) a surrogate parent, when determined necessary in accordance with and assigned pursuant to this chapter. The term "parent" does not include any local or state agency or its agents if the child is in the custody of said agency.
"Participating agencies" means the Departments of Health, Education, Medical Assistance Services, Behavioral Health and Developmental Services, and Social Services; the Departments for the Deaf and Hard-of-Hearing and Blind and Vision Impaired; and the Bureau of Insurance within the State Corporation Commission.
"Payer of last resort" means a funding source that may be used only after all other available public and private funding sources have been accessed.
"Personally identifiable information" means the name of the child, the child's parent, or other family members; the address of the child or the child's family; a personal identifier, such as the child's or parent's social security number; or a list of personal characteristics or other information that, alone or in combination, could be used to identify the child or the child's parents or other family members.
"Physical therapy" means services that promote the child's sensory or motor function and enhance his musculoskeletal status, neurobehavioral organization, perceptual and motor development, cardiopulmonary status, and effective environmental adaptation. These services include (i) screening, evaluation for eligibility determination, and assessment of children to identify movement dysfunction; (ii) obtaining, interpreting, and integrating information appropriate to program planning to prevent, alleviate, or compensate for movement dysfunction and related functional problems; (iii) adapting the environment and selecting, designing, and fabricating assistive and orthotic devices to facilitate development and promote the acquisition of functional skills; and (iv) providing individual or group services or treatment to prevent, alleviate, or compensate for movement dysfunction and related functional problems.
"Primary referral sources" means those agencies, providers, entities, and persons who refer children and their families to the early intervention system and include (i) hospitals, including prenatal and postnatal care facilities; (ii) physicians; (iii) parents; (iv) child care programs and early learning programs; (v) local school divisions; (vi) public health facilities; (vii) other public health or social service agencies; (viii) other clinics and health care providers; (ix) public agencies and staff in the child welfare system, including child protective services and foster care; (x) homeless family shelters; and (xi) domestic violence shelters and agencies.
"Psychological services" means services that include (i) administering psychological and developmental tests and other assessment procedures; (ii) interpreting assessment results; (iii) obtaining, integrating, and interpreting information about child behavior and child and family conditions related to learning, mental health, and development; and (iv) planning and managing a program of psychological services, including psychological counseling for children and parents, family counseling, consultation on child development, parent training, and education programs.
"Service coordinator" means a person who holds a certification as an early intervention case manager and is responsible for assisting and enabling children with disabilities and their families to receive the services and rights, including procedural safeguards, that are authorized to be provided under Virginia's early intervention program.
"Sign language and cued language services" means (i) teaching sign language, cued language, and auditory or oral language; (ii) providing oral transliteration services (such as amplification); and (iii) providing sign and cued language interpretation.
"Single point of entry" means the single entity designated by the local lead agency in each local early intervention system where families and primary referral sources make initial contact with the local early intervention system.
"Social work services" means services that include (i) making home visits to evaluate a child's living conditions and patterns of parent-child interaction; (ii) preparing a social or emotional developmental assessment of the child within the family context; (iii) providing individual and family-group counseling with parents and other family members, including appropriate social skill-building activities with the child and parents; (iv) working with identified problems in the living situation (home, community, and any center where early intervention supports and services are provided) that affect the child's use of early intervention supports and services; and (v) identifying, mobilizing, and coordinating community resources and services to enable the child with a disability and his family to receive maximum benefit from early intervention services.
"Speech-language pathology services" means services that include (i) identifying children with communication or language disorders and delays in development of communication skills and identifying and appraising specific disorders and delays in those skills; (ii) referring children with communication or language disorders and delays in development of communication skills for medical or other professional services necessary for the habilitation or rehabilitation; and (iii) providing services for the habilitation, rehabilitation, or prevention of communication or language disorders and delays in development of communication skills.
"State lead agency" means the agency designated by the Governor to receive funds to administer the state's responsibilities under Part C.
"Surrogate parent" means a person assigned by the local lead agency or its designee to ensure that the rights of a child are protected when no parent can be identified; the lead agency or other public agency, after reasonable efforts, cannot locate a parent; or the child is a ward of the state.
"Transportation and related costs" means the cost of travel and other costs that are necessary to enable a child with a disability and his family to receive early intervention supports and services.
"Virginia Interagency Coordinating Council" or "VICC" means the advisory council, established pursuant to § 2.2-2664 of the Code of Virginia, to promote and coordinate Virginia's system of early intervention services.
"Vision services" means services that include (i) evaluating and assessing visual functioning, including the diagnosis and appraisal of specific visual disorders, delays, and abilities that affect early childhood development; (ii) referring for medical or other professional services necessary for the habilitation or rehabilitation of visual functioning disorders, or both; and (iii) providing communication skills training, orientation and mobility training for all environments, visual training, and additional training necessary to activate visual motor abilities.
"Visit" means a face-to-face encounter with the child with a disability or his parent, another family member, or caregiver, or both, for the purpose of providing early intervention supports and services.
"Ward of the state" means a child who, as determined by Virginia, is a foster child or is in the custody of a public children's residential facility. The term does not include a foster child who has a foster parent who meets the definition of "parent."
Part II
Virginia Early Intervention Services System12VAC35-225-30. Early intervention services applicability, availability, and coordination.
A. This chapter shall apply to state and local lead agencies, early intervention practitioners, and provider agencies.
B. Appropriate early intervention services based on scientifically based research, to the extent practicable, shall be available to all children with disabilities who are eligible for early intervention services in Virginia and their families, including children and families who reside on an Indian reservation geographically located in Virginia or who are homeless and children who are wards of the state.
C. The Virginia Interagency Coordinating Council (VICC) shall promote and coordinate early intervention services in the Commonwealth and shall advise and assist the department.
1. Nonstate agency members of the VICC shall be appointed by the Governor. State agency representatives shall be appointed by their agency directors or commissioners.
2. The VICC membership shall reasonably represent the population and shall be composed as follows:
a. At least 20% shall be parents, including minority parents, of infants or toddlers with disabilities or children with disabilities aged 12 years or younger, with knowledge of, or experience with, programs for children with disabilities. At least one parent member shall be a parent of a child with a disability aged six years or younger;
b. At least 20% shall be public or private providers of early intervention services;
c. At least one member shall be from the Virginia General Assembly;
d. At least one member shall be involved in personnel preparation;
e. At least one member shall be from each of the participating agencies involved in the provision of or payment for early intervention services to children with disabilities and their families. These members shall have sufficient authority to engage in policy planning and implementation on behalf of the participating agency and shall include:
(1) At least one member from the Department of Education, the state educational agency responsible for preschool services to children with disabilities. This member shall have sufficient authority to engage in policy planning and implementation on behalf of the Department of Education;
(2) At least one member from the Department of Medical Assistance Services, the agency responsible for the state Medicaid program;
(3) At least one member from the Department of Social Services, the agency responsible for child care and foster care;
(4) At least one member from the State Corporation Commission, Bureau of Insurance, the agency responsible for regulating private health insurance;
(5) At least one member designated by the Office of the Coordination of Education of Homeless Children and Youth;
(6) At least one member from the Department of Behavioral Health and Developmental Services, the agency responsible for children's mental health;
(7) At least one member from the Department for the Blind and Vision Impaired;
(8) At least one member from the Department for the Deaf and Hard of Hearing; and
(9) At least one member from the Department of Health;
f. At least one member shall be from CHIP of Virginia;
g. At least one member shall be from a Head Start or Early Head Start agency or program in Virginia; and
h. Other members selected by the Governor.
3. The VICC shall operate as follows:
a. The VICC shall have bylaws that outline nomination processes and roles of officers, committees, and other operational procedures;
b. No member of the VICC shall cast a vote on any matter that would provide direct financial benefit to that member or otherwise give the appearance of a conflict of interest under Virginia law;
c. The VICC shall meet, at a minimum, on a quarterly basis;
d. VICC meetings shall be announced in advance in the Commonwealth Calendar and through an announcement to local lead agencies; and
e. VICC meetings shall be open and accessible to the public, and each meeting shall include a public comment period. Interpreters for persons who are deaf and other necessary services for both VICC members and participants shall be provided as necessary and upon request.
4. Subject to approval by the Governor, the VICC shall work with the department to develop an annual budget for VICC expenses that may include the use of Part C funds for the following:
a. Conducting hearings and forums;
b. Reimbursing members of the VICC for reasonable and necessary expenses for attending VICC meetings and performing VICC duties (including child care for parent representatives);
c. Compensating a member of the VICC if the member is not employed or must forfeit wages from other employment when performing official VICC business;
d. Hiring staff; and
e. Obtaining the services of professional, technical, and clerical personnel as may be necessary to carry out its functions under Part C.
5. Except as provided in subdivision 4 e of this subsection, VICC members shall serve without compensation from funds available under Part C.
Part III
Referrals for Early Intervention Services and Supports12VAC35-225-40. Public awareness and child identification and referral.
A. The department shall develop and implement a public awareness program that focuses on the early identification of infants and toddlers with disabilities and provides information to parents of infants and toddlers through primary referral sources.
B. Local lead agencies and early intervention service providers shall collaborate with the department to prepare and disseminate information to all primary referral sources, including a description of the early intervention services available, a description of the child find system and how to refer a child under the age of three years for eligibility determination or early intervention services, and a central directory.
C. The department, local lead agencies, and early intervention service providers shall collaborate with and assist primary referral sources in disseminating the information in subsection B of this section to parents of infants and toddlers, especially parents with premature infants or infants with other physical risk factors associated with learning or developmental complications.
D. Local lead agencies shall develop and implement local public awareness and child find procedures that include the methods to be used for planning and distributing public awareness materials and the roles of agencies and persons in the community involved in public awareness and child find activities.
E. The department shall maintain a central directory that shall be accessible to the general public through a toll-free number and the Internet. The central directory shall include accurate and up-to-date information about:
1. Public and private early intervention services, resources, and experts available in Virginia;
2. Professional and other groups (including parent support and training and information centers) that provide assistance to children with disabilities and their families; and
3. Research and demonstration projects being conducted in Virginia relating to children with disabilities.
F. The department shall implement a comprehensive child find system that is consistent with Part B of the Individuals with Disabilities Education Act, 20 USC § 1411 et seq. (Part B) and ensures that all children with disabilities who are eligible for early intervention services in Virginia are identified, located, and evaluated for eligibility determination, including:
1. Indian children with disabilities residing on a reservation geographically located in Virginia (including coordination, as necessary, with tribes, tribal organizations, and consortia);
2. Children with disabilities who are homeless, in foster care, and wards of the state;
3. Children who are the subject of a substantiated case of child abuse or neglect; and
4. Children who are identified as directly affected by illegal substance abuse or withdrawal symptoms resulting from prenatal drug exposure.
G. The department shall ensure that the child find system 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 children with disabilities and their families, including Indian tribes, and with the efforts of the:
1. Preschool special education program through the Department of Education;
2. Maternal and Child Health program, including the Maternal, Infant, and Early Childhood Home Visiting Program under Title V of the Social Security Act, as amended;
3. Early Periodic Screening, Diagnosis and Treatment (EPSDT) under Title XIX of the Social Security Act;
4. Programs under the Developmental Disabilities Assistance and Bill of Rights Act of 2000;
5. Head Start and Early Head Start;
6. Supplemental Security Income program under Title XVI of the Social Security Act;
7. Child protection and child welfare programs, including programs administered by, and services provided through, the Department of Social Services, as the foster care agency and as the state agency responsible for administering the Child Abuse Prevention and Treatment Act (CAPTA);
8. Child care programs in Virginia;
9. Programs that provide services under the Family Violence Prevention and Services Act;
10. Virginia's Early Hearing Detection and Intervention (EHDI) system;
11. Children's Health Insurance Program (CHIP) authorized under Title XXI of the Social Security Act;
12. Virginia Newborn Screening Program;
13. Virginia Congenital Anomalies Reporting Education System (VACARES); and
14. Care Connection of Virginia.
H. The department and local lead agencies shall use interagency agreements, memoranda of understanding, or other mechanisms, as needed, to minimize duplication of child find efforts among the programs listed in subsection G of this section and that there will be effective use of the resources available through each public agency and early intervention service providers in Virginia to implement the child find system.
12VAC35-225-50. Referrals to the single point of entry.
A. All local lead agencies shall identify a single point of entry in their respective local early intervention systems to receive all referrals and inquiries from families and primary referral sources. This single point of entry shall be published in local public awareness and child find materials and communicated to potential referral sources.
B. Primary referral sources shall refer to the single point of entry any infant or toddler potentially eligible for early intervention services as soon as possible, but in no case more than seven days, after the child has been identified as potentially eligible.
C. The department shall require that local community services boards responsible for implementing and managing discharge plans required by § 32.1-127 B 6 of the Code of Virginia for substance-abusing postpartum women and their infants refer to the single point of entry any child under the age of three years who is identified as affected by illegal substance abuse or withdrawal symptoms resulting from prenatal drug exposure.
D. The Department of Social Services shall refer to the single point of entry any child under the age of three years who is:
1. Identified as affected by illegal substance abuse or withdrawal symptoms resulting from prenatal drug exposure, or
2. The subject of a founded disposition of child abuse or neglect.
E. Early intervention service providers shall refer to the single point of entry any infant or toddler potentially eligible for early intervention services who becomes known to the provider through any source other than the early intervention system.
F. Parental consent shall not be required in order to make a referral to the local early intervention system and the local system shall accept a referral even if the referral source has not informed the family of the referral.
G. Referrals to the local single point of entry may be made by phone, fax, mail, email, web-based system, in writing, or in person.
H. When making a referral, the referral source shall provide, at minimum, the child's or a family member's name and one method of contacting the family.
I. The date on which the local single point of entry receives a referral shall be counted as the first day of the 45-day timeline specified in 12VAC35-225-80 C within which eligibility determination, assessment for service planning, and the initial IFSP meeting shall be completed.
J. The single point of entry shall inform referred families whose children are close to the age of eligibility for early childhood special education services through the local school division under Part B that they have the option to be referred to the local school division instead of or simultaneously with referral to early intervention under Part C.
K. Upon referral, the single point of entry shall begin an early intervention record for the child and assign a service coordinator who will assist the family with intake, eligibility determination, assessment for service planning, and, if eligible, development of an IFSP.
Part IV
Intake, Eligibility, and Assessment12VAC35-225-60. Intake.
A. For purposes of the early intervention system, including determination of required parental consents or exercise of parental rights, a biological or adoptive parent, when more than one party is qualified under the definition of parent, the biological or adoptive parent must be presumed to be the parent unless that person does not have legal authority to make educational or early intervention decisions for the child. However, if a judicial decree or order identifies a specific person or persons to act as the parent of a child or to make educational or early intervention decisions on behalf of a child, then that person or persons shall be determined to be the parent.
B. The service coordinator shall conduct intake with the family in order to:
1. Inform the family about early intervention services and the IFSP process;
2. Provide the parent with a written notice and explanation of the family's rights and procedural safeguards under Part C, including:
a. A description of what personally identifiable information is maintained, the types of information sought, the methods used in gathering information (including the sources from whom information is gathered), and the uses to be made of the information;
b. The policies that early intervention service providers must follow regarding storage, disclosure to third parties, retention and destruction of personally identifiable information;
c. The rights of parents and children regarding the foregoing information, including their rights under the confidentiality provisions of Part C; and
d. A description of the languages in which this notice of rights and safeguards is available in Virginia;
3. With prior written notice and parent consent, gather information about the child's development and health history to assist in eligibility determination;
4. Facilitate identification of team members for and coordinate scheduling of eligibility determination;
5. Provide the schedule of sliding fees for early intervention services provided under Part C and other payment information; and
6. For children with Medicaid, ensure completion of the paperwork, including development of an Initial Early Intervention Service Coordination Plan and data entry necessary to enroll the child in the Medicaid early intervention benefit. This plan shall end when the child is found ineligible for early intervention; the IFSP is signed; or 90 calendar days from the date of intake, whichever comes first.
12VAC35-225-70. Eligibility criteria.
A. The department shall identify physical and mental conditions with high probability of resulting in developmental delay.
B. A child shall be eligible for early intervention services under Part C if the child is under three years old and has:
1. A developmental delay as measured through the evaluation and assessment procedures described in this section; or
2. A diagnosed physical or mental condition with high probability of resulting in developmental delay.
12VAC35-225-80. Evaluation for eligibility criteria.
A. A child's medical and other records shall be used to establish initial eligibility (without conducting an evaluation for eligibility determination) if those records indicate that the child's level of functioning in one or more developmental areas constitutes a developmental delay or that the child otherwise meets the criteria for an infant or toddler with a disability.
1. If the records document a diagnosed physical or mental condition with a high probability of resulting in developmental delay, then a certified early intervention case manager or certified early intervention professional shall complete and sign the eligibility determination form to document review of the record.
2. If the records document a developmental delay, a certified early intervention professional shall review the record to determine whether it establishes eligibility, completing and signing the eligibility determination form if it does.
B. With prior written notice and parental consent, each child under the age of three years who is referred to the early intervention system shall receive a timely, comprehensive multidisciplinary evaluation to determine eligibility unless eligibility is established under subsection A of this section.
C. Except as provided in subsection A of this section, the local lead agency shall ensure that, with parental consent, the evaluation for eligibility determination and, if the child is eligible, an assessment (of the child and family) and an initial IFSP meeting are completed within 45 days from the date of referral.
D. The 45-day timeline described in subsection C of this section shall not apply for any period when:
1. The child or parent is unavailable to complete the evaluation for eligibility determination, the 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 record; or
2. The parent has not provided consent for the evaluation for eligibility determination or the assessment of the child despite documented, repeated attempts by the service coordinator or other service provider, or both, to obtain parental consent.
E. In the event that circumstances described in subsection D of this section delay the 45-day timeline, the service coordinator shall ensure:
1. The exceptional family circumstances, repeated attempts to obtain parental consent, or other circumstances resulting in a delay are documented in the child's early intervention record;
2. The evaluation for eligibility determination, the assessments of the child and family, and the initial IFSP meeting are completed as soon as possible after the documented exceptional family circumstances no longer exist, parental consent is obtained, or other circumstances causing a delay no longer exist; and
3. Development of an interim IFSP, if appropriate for the child and family.
12VAC35-225-90. Eligibility determination process.
A. Eligibility determination shall be conducted by a multidisciplinary team of certified early intervention professionals, which may include one individual who is certified as an early intervention practitioner in more than one discipline or profession, and shall include the use of informed clinical opinion.
B. Eligibility determination shall be conducted in a nondiscriminatory manner and with procedures selected that are not racially or culturally discriminatory.
C. Eligibility determination shall be conducted in the native language of the parent or other mode of communication used by the parent unless the early intervention service providers conducting the evaluation of the child determine that the language normally used by the child is developmentally appropriate for the child.
D. No single procedure shall be used as the sole criterion for determining a child's eligibility.
E. Eligibility determination shall include:
1. Use of an evaluation instrument;
2. Taking the child's history (including interviewing the parent);
3. Identifying the child's level of functioning in cognitive, physical, communication, social or emotional, and adaptive development;
4. Gathering information from other sources such as family members, other caregivers, 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.
F. Informed clinical opinion may be used as an independent basis to establish a child's eligibility even when other instruments do not establish eligibility; however, in no event may informed clinical opinion be used to negate the results of instruments used to establish eligibility.
G. The eligibility determination date, methods, participants, and results shall be documented on the eligibility determination form.
H. The service coordinator shall provide the family with a copy and explanation of the eligibility determination form as soon as possible following eligibility determination at no cost to the family.
12VAC35-225-100. Ineligibility for early intervention services.
If, through the process of eligibility determination, a child is found to be not eligible for early intervention services, the service coordinator shall provide the parent with:
1. A prior written notice that the child has been determined to be not eligible, and
2. A copy and explanation of the notice of child and family rights and safeguards including the parent's right to dispute the eligibility determination by any combination of requesting mediation, making a due process complaint, or filing an administrative complaint.
12VAC35-225-110. Assessment for service planning.
A. With prior written notice and parental consent, each child found eligible for early intervention services shall receive:
1. A multidisciplinary assessment of the child's unique strengths and needs and the identification of services appropriate to meet those needs; and
2. A family-directed assessment of the resources, priorities, and concerns of the family and identification of the supports and services necessary to enhance the family's capacity to meet the developmental needs of that infant or toddler.
B. Assessments for service planning shall be conducted by a multidisciplinary team of certified early intervention professionals, which may include one individual who is certified as an early intervention practitioner in more than one discipline or profession, and shall include the use of informed clinical opinion.
C. Assessments shall be conducted in a nondiscriminatory manner and with procedures selected that are not racially, culturally, or linguistically discriminatory.
D. Assessments shall be conducted in the native language of the parent or other mode of communication used by the parent unless the early intervention service providers conducting the assessment of the child determine that the language normally used by the child is developmentally appropriate for the child.
E. The multidisciplinary assessment of the child shall include:
1. A review of the results of the eligibility determination;
2. Use of a comprehensive assessment tool;
3. Personal observations of the child;
4. Identification of the child's needs in cognitive, physical, communication, social or emotional, and adaptive development; and
5. If the child is new to Virginia's early intervention system, determination of entry ratings on the child outcome indicators required by the U.S. Department of Education, Office of Special Education Programs.
F. The initial family assessment shall be conducted within 45 days from the date of referral if the parent concurs, even if other family members are not available. The family-directed assessment shall:
1. Be voluntary on the part of each family member participating in the assessment;
2. Be based on information obtained through an assessment tool and through an interview with those family members who elect to participate in the assessment;
3. Include the family's description of its resources, priorities, and concerns related to enhancing their child's development; and
4. Be conducted in the native language or other mode of communication used by the family member participating in the assessment, unless clearly not feasible to do so.
G. Early intervention service providers conducting assessments shall document the assessment results in the integrated, comprehensive assessment summary on the IFSP or in a separate written report that is then integrated into the comprehensive assessment summary on the IFSP.
Part V
Service Planning, Delivery, Transition, and Discharge12VAC35-225-120. Individualized family service plan (IFSP) development.
A. A written IFSP shall be developed and implemented, with parent consent, for each eligible child.
B. The IFSP shall include:
1. The child's name, date of birth, gender, and city or county of residence; IFSP date and the dates the six-month IFSP review is due and dates reviews are completed; child's and family's primary language or mode of communication; parents' and, if requested by the family, other family members' contact information; and the service coordinator's name and contact information;
2. Information about the child's and family's daily routines and activities;
3. The child's present levels of physical (including vision, hearing, motor, and health status), cognitive, communication, social or emotional, and adaptive development based on the information from eligibility determination and assessment for service planning;
4. With the concurrence of the family, a statement of the family's resources, priorities, and concerns related to enhancing the development of the child;
5. The measurable outcomes to be achieved for the child (including preliteracy and language skills, as developmentally appropriate for the child) and the criteria, procedures, and timelines for determining the degree to which progress toward meeting the outcomes is being made and whether revisions to the outcomes or early intervention services identified in the IFSP are necessary;
6. The specific early intervention services, based on peer-reviewed research (to the extent practicable), that are needed to meet the unique needs of the child and family and to achieve the identified outcomes including:
a. Assistive technology devices and services;
b. Audiology services;
c. Developmental services;
d. Counseling services;
e. Family training services;
f. Health services;
g. Medical services;
h. Nursing services;
i. Nutrition services;
j. Occupational therapy;
k. Physical therapy;
l. Psychological services;
m. Service coordination services;
n. Sign language and cued language;
o. Social work services;
p. Speech-language pathology services;
q. Transportation and related costs;
r. Vision services; or
s. Other services, as may be identified by the department;
7. The length, duration, frequency, intensity, method, and location for delivering each service;
8. A statement of the natural environment in which each early intervention service will be provided or a justification made by the IFSP team, including the parent, as to why, based on the child's outcomes, the service cannot be provided in the natural environment;
9. Payment arrangements, if any;
10. To the extent appropriate, the medical and other services that the child or family needs or is receiving through other sources, but that are neither required nor funded under Part C and the steps the service coordinator or family may take to assist the child and family in securing those other services if those services are not currently being provided;
11. The projected date for the initiation of each early intervention service identified in the IFSP, which shall be as soon as possible but no more than 30 days from the date the parent signs the IFSP unless the IFSP team agrees on a later start date in order to meet the needs of the child or family;
12. The name of the service coordinator who will be responsible for implementing the early intervention services identified in the IFSP; and
13. The steps and services to be taken to support the smooth transition of the child from early intervention services to preschool services under Part B or other appropriate services, if any. The transition steps in the IFSP shall include, but are not limited to, the following:
a. Discussions with, and training of, parents, as appropriate, regarding future placements and other matters related to the child's transition;
b. Procedures to prepare the child for changes in service delivery, including steps to help the child adjust to, and function in, a new setting;
c. Confirmation that the required notification, unless the parent disagrees, and with parental consent additional information (such as copies of evaluations and assessments and the most recent IFSP) needed by the local school division to ensure continuity of services have been sent to the local school division; and
d. Identification of transition services and other activities that the IFSP team determines are necessary to support the transition of the child.
C. A meeting to develop the initial IFSP shall be held within 45 days from the date the referral is received.
D. Meetings of the multidisciplinary IFSP team, which must include two or more certified early intervention practitioners from separate disciplines or professions, shall include the following participants:
1. The parent or parents of the child;
2. Other family members, as requested by the parent, if feasible to do so;
3. An advocate or person outside of the family, if the parent requests that the person participate;
4. The service coordinator who will be responsible for implementing the IFSP;
5. A person or persons directly involved in conducting eligibility determination, assessment for service planning, or both; and
6. As appropriate, persons who will be providing early intervention services to the child or family.
E. Each meeting to develop an IFSP shall:
1. Take place in a setting and at a time that is convenient to the family; and
2. Be conducted in the native language of the family or other mode of communication used by the family, unless it is clearly not feasible to do so.
F. If an IFSP team member is unable to attend an IFSP meeting, the service coordinator shall make arrangements for the person's involvement through other means, which may include participating by telephone, having a knowledgeable authorized representative attend the meeting, or submitting a written report.
G. The service coordinator shall provide prior written notice of the date, time, and location of the IFSP meeting to the family and other participants early enough before the IFSP meeting date to ensure that they will be able to attend.
H. The service coordinator shall assist the parent in preparing for the IFSP meeting and shall ensure that the parent has the information needed in order to fully participate in the meeting.
I. With parental consent, an interim IFSP shall be developed and implemented when an eligible child or the child's family has an immediate need for early intervention services prior to completion of eligibility determination and assessment for service planning.
1. The interim IFSP shall include the name of the service coordinator who will be responsible for implementing the interim IFSP and coordinating with other agencies and persons; the early intervention services that have been determined to be needed immediately, including the frequency, intensity, length, location, and methods of delivery; and the parent's signature indicating consent to implement the interim IFSP.
2. The development of an interim IFSP shall not negate the requirement to complete the eligibility determination and assessment for service planning and develop an initial IFSP within 45 calendar days of referral.
J. The service coordinator shall document in a contact note any circumstances that result in eligibility determination, assessment for service planning, or initial IFSP development occurring more than 45 calendar days after referral.
12VAC35-225-130. IFSP approval and selection of service providers.
A. The service coordinator shall explain the contents of the IFSP to the parent and informed written consent shall be obtained as indicated by the parent's signature and date of signature on the IFSP prior to the provision of early intervention services.
B. The service coordinator shall assist the family in selecting a service provider for each early intervention service listed on the IFSP from among those provider agencies (including independent providers) who are qualified to provide the services identified on the IFSP, who are in the parent's payer network, and who practice in the area where the child and family live. The parent's choice of service providers shall be documented on the IFSP addendum page, which shall be signed and dated by the parent prior to service delivery.
1. If no early intervention service provider who can support and assist the family in accomplishing the IFSP outcomes is available within the family's Medicaid or private insurance network, then the parent shall be able to choose an early intervention service provider from outside the parent's third party payer network.
2. If there is only one provider agency for the service needed by the child and family, then the parent shall be offered a choice of early intervention service providers from within that one provider agency for services other than service coordination. If the parent elects not to receive services from the one provider agency, then the local lead agency shall work to identify an alternative early intervention service provider.
3. The parent shall be offered the opportunity to select a provider agency any time a new service is added or when a change in provider agency is needed.
4. If the selected provider agency is unable to provide the service due to full provider caseloads or the requested early intervention service provider within that provider agency is unavailable, then the service coordinator shall explain to the parent the option to begin services right away with an available provider or to wait for his chosen provider to become available. If the parent chooses to wait, the service coordinator shall document the parent's decision in a contact note and the delay in start of services shall be considered a family scheduling preference.
5. The service coordinator shall inform the parent that he may request to change his service provider at any time by contacting the service coordinator.
C. The service coordinator shall retain a signed copy of the IFSP and, as soon as possible following development of the IFSP, shall provide a copy to the parent at no cost to the family and to all service providers who participated in assessment or development of the IFSP or will be implementing the IFSP.
12VAC35-225-140. IFSP periodic review and updates.
A. A periodic IFSP review shall be conducted every six months or any time the parent, service coordinator, or another member of the IFSP team identifies the potential need for revisions to the IFSP outcomes or services.
B. Each periodic IFSP review shall provide for the participation of the IFSP team members listed in 12VAC35-225-120 D 1 through D 4. If conditions warrant, provisions must be made for the participation of other representatives identified in 12VAC35-225-120 D.
C. Each periodic IFSP review shall include a determination of the degree to which progress has been made toward achieving the outcomes identified in the IFSP and the need for revisions of the outcomes or early intervention services identified in the IFSP.
12VAC35-225-150. Annual IFSP review.
A. An annual IFSP review shall be conducted to evaluate and revise, as appropriate, the IFSP for each child and the child's family.
B. The annual IFSP review shall include a determination of the child's continuing eligibility to receive early intervention services.
1. If the child's records document a diagnosed physical or mental condition with a high probability of resulting in developmental delay, then a service coordinator or certified early intervention professional shall complete and sign the eligibility determination form to document review of the record.
2. If the child's records document a developmental delay based on ongoing assessment, then a certified early intervention professional shall review the record to determine whether it establishes eligibility and shall complete and sign the eligibility determination form if it does.
3. In all other circumstances, a multidisciplinary team shall review existing health and developmental information gathered through records, parent input, observation, and an evaluation tool, if needed, to determine the child's continuing eligibility. The child's continuing eligibility determination date, methods, participants, and results shall be documented on the eligibility determination form.
4. The service coordinator shall provide the family, at no cost, with a copy and explanation of the eligibility determination form as soon as possible following the eligibility determination.
C. Each annual IFSP review shall be conducted by the child's multidisciplinary team that includes the team members listed in 12VAC35-225-120 D.
D. During the annual IFSP review, the results of any current evaluations and assessments of the child and family shall be used in determining the early intervention services that are needed and will be provided.
12VAC35-225-160. Physician certification.
A. Physician certification shall be required regarding the medical necessity for services if the child (i) is covered by public health insurance (Medicaid, FAMIS, or TRICARE) or by private health insurance that requires such certification and (ii) will receive services that can be reimbursed under that insurance plan. Certification shall be obtained at the initial and annual IFSP and any time a service is added or the frequency of a service is changed through a periodic IFSP review.
B. The service coordinator shall obtain a written certification of medical necessity from a physician (or physician assistant or nurse practitioner). A written certification requires:
1. A signature on the IFSP;
2. A signed letter referencing the IFSP; or
3. A completed and signed IFSP summary letter.
C. The service coordinator shall ensure that the certification required by this section certifies the IFSP as a whole. Early intervention service providers shall not be permitted to seek physician certification for individual services.
12VAC35-225-170. Service delivery.
A. Each early intervention service listed on a child's IFSP shall begin as soon as possible but no more than 30 days from the date the parent signs the IFSP unless the IFSP team decides on and documents the reasons for a later start date to meet the individual needs of the child and family. The 30-day timeline does not apply to delivery of an assistive technology device, which must be secured as soon as possible after the parent signs the IFSP.
B. Early intervention supports and services shall be provided only by certified early intervention service practitioners.
C. The service coordinator shall be responsible for the following:
1. Assisting parents of children with disabilities in obtaining access to needed early intervention services and other services identified in the IFSP, including making referrals to providers for needed services and scheduling appointments for children and their families;
2. Coordinating the provision of early intervention services and other services (such as educational, social, and medical services that are not provided for diagnostic or evaluative purposes) that the child needs or are being provided;
3. Conducting referral and other activities to assist families in identifying available early intervention service providers;
4. Coordinating, facilitating, and monitoring delivery of early intervention services required to ensure the services are provided in a timely manner;
5. Conducting follow-up activities to determine that appropriate early intervention services are being provided;
6. If the child has Medicaid or FAMIS, the service coordinator shall:
a. Document in a contact note the family's preferred method of contact (face-to-face, phone, email, or text) for the family contacts that are required every three months and any change in the family's preferred method of contact;
b. Make at least one direct contact with the family every three calendar months, beginning no later than the month after the initial IFSP is signed, with the method of contact determined by the family; and
c. Request completion of a health status report by the child's physician every six months.
D. Early intervention service providers shall deliver services in accordance with the IFSP and make a good faith effort to assist each eligible child in achieving the outcomes in the child's IFSP.
E. Early intervention sessions canceled by the provider or missed due to a holiday shall be made up as quickly as possible unless the parent declines a make-up session.
F. Parents may request to change their early intervention service provider at any time by notifying their service coordinator.
12VAC35-225-180. Service documentation.
A. Early intervention service providers shall document all contacts made and all activities completed with or on behalf of families in a contact note within five business days of the contact. All contact notes shall include:
1. The child's first and last names;
2. Type of early intervention service provided;
3. Method of contact;
4. Date of the note and date of the contact, if the note is not written on the same date; and
5. The early intervention provider's signature, with a minimum of first initial and last name, discipline and credentials of the provider, and the date the note is signed by the provider.
B. Contact notes that document a service session also shall include:
1. A narrative description of what occurred during the session including what was done, what the family or other caregiver did during the session (including how they actively participated during the session), how the child responded during the session (including what the child was able to do in relation to outcomes and goals), and suggestions for follow-up;
2. Who was present;
3. Length of session (in minutes);
4. Location or setting in which service was provided;
5. Information from the family about what has happened since the last session; and
6. Plan for the next contact.
C. Contact notes that document a service coordination contact or activity also shall include the length of the contact or activity (in minutes), the service coordination short-term goal that the contact activity is addressing, and progress toward achieving the service coordination goal.
12VAC35-225-190. Transition.
A. A child shall be considered potentially eligible for preschool services under Part B unless there is a clear expectation that the child will no longer require services by the time he reaches age three years. The determination of whether a particular child receiving early intervention services is potentially eligible for Part B shall be made by that child's IFSP team as part of the transition process.
B. The department shall ensure the parent of a child with disabilities is informed of the availability of services under § 619 of the Individuals with Disabilities Education Act not fewer than 90 days prior to the toddler's third birthday.
C. For each child who is potentially eligible for preschool services under Part B, and unless the parent objects, the service coordinator shall ensure notification to the local school division and the Virginia Department of Education not fewer than 90 days before the child's third birthday or the anticipated date of transition if the child is age two years by September 30 of a given school year.
1. The notification shall include the child's name, date of birth, and parental contact information (including the parents' names, addresses, and telephone numbers).
2. The parent shall be informed in writing, on the IFSP, of the information that will be included in the notification, the earliest date on which the notification will be sent to the local school division and the Virginia Department of Education, and his right to opt out of the notification by initialing the opt out statement on the IFSP.
3. If the parent opts out of the notification, the notification shall not be sent.
D. If a child is potentially eligible for preschool services under Part B, the service coordinator shall, with the approval of the child's family, convene a transition conference among the local early intervention system, the family, and the local school division at least 90 days and (at the discretion of all parties) up to nine months before the child's third birthday, or anticipated date of transition if the child is age two years by September 30 of a given school year, to discuss any services the child may receive under Part B.
E. If a child is not potentially eligible for preschool services under Part B, the service coordinator shall, with the approval of the family, make a reasonable effort to convene a transition conference among the local early intervention system, the family, and providers of other appropriate services, as available, to discuss appropriate services that the child may receive.
F. The service coordinator shall ensure development of a transition plan in the IFSP at least 90 days, and (at the discretion of all parties) up to nine months, before the child's third birthday, or anticipated date of transition if the child is age two years by September 30 of a given school year, for all children exiting early intervention.
1. The family shall be included in the development of the transition plan.
2. The transition plan shall include steps for the child to exit the early intervention system and any transition services that the IFSP team identifies as needed by that child and family.
3. The service coordinator shall review with the parent the program options for a child with a disability for the period from his third birthday through the remainder of the school year.
G. The meeting to develop the transition plan and the transition conference may be combined.
H. The meeting to develop the transition plan and the transition conference, whether combined or held separately, shall meet the requirements of an IFSP meeting in 12VAC35-225-120.
12VAC35-225-200. Referral and discharge.
A. The service coordinator shall transmit, with parental permission, child-specific information (e.g., current IFSP), recent assessment findings, and other pertinent records to the appropriate school division in which the child resides as soon as possible after the notification to the local school division to ensure continuity of services.
B. If the child is found eligible for early intervention services more than 45 but less than 90 days before the child's third birthday, or before April 1 when the child will reach the age of eligibility for special education at the beginning of the upcoming school year, then as soon as possible after eligibility is determined, the service coordinator shall provide the notification required in 12VAC35-225-190 C unless the parent objects to such disclosure.
C. If a child is referred to the local early intervention system less than 45 days before the child's third birthday and that child may be eligible for preschool services under Part B, the service coordinator shall, with parental consent, refer the child to the local school division and Virginia Department of Education, but the local early intervention system shall not be required to conduct an eligibility determination, assessment for service planning, or hold an initial IFSP meeting under these circumstances.
D. The service coordinator shall ensure exit ratings on the child outcome indicators required by the U.S. Department of Education, Office of Special Education Programs are completed prior to discharge from Virginia's early intervention system for all children who had an entry rating and who have been in the early intervention system for six months or longer since their initial IFSP.
1. The exit rating shall be done no more than six months prior to the child's exit from Virginia's early intervention system.
2. Any circumstances that prevent completion of exit ratings shall be documented in a contact note.
E. The service coordinator shall ensure that no early intervention services are provided on or after the child's third birthday.
Part VI
Service Funding and Payment Systems12VAC35-225-210. Use of Part C funds.
A. Funds available under Part C shall be used for the following activities:
1. To implement and maintain a statewide system of early intervention supports and services for children with disabilities and their families;
2. For direct early intervention supports and services for children with disabilities and their families that are not otherwise funded through other public or private sources; and
3. To expand and improve supports and services for children with disabilities and their families that are otherwise available.
B. Federal Part C funds and state general funds designated for early intervention services under Part C shall be used as the payer of last resort and shall not be used to satisfy a financial commitment for supports and services that would otherwise have been paid for from another public or private source, including any medical program administered by the Department of Defense, but for the enactment of Part C of the Individuals with Disabilities Education Act.
C. The department and local lead agencies shall identify and coordinate all available resources to pay for early intervention services, including federal, state, local, and private sources.
D. The service coordinator shall coordinate the funding sources for early intervention services in each IFSP.
E. If necessary to prevent a delay in the timely provision of appropriate early intervention services to a child or the child's family, funds available under Part C may be used to pay the provider of early intervention supports and services (excluding medical services) and for functions associated with the child find system, eligibility determination, and assessment for service planning pending reimbursement from the agency or entity that has ultimate responsibility for the payment.
F. The department shall establish an interagency agreement with each participating state agency to ensure the provision of, and establish financial responsibility for, early intervention supports and services; to establish procedures for achieving a timely resolution of intra-agency and interagency disputes about payments for a given service or disputes about other matters related to Virginia's early intervention system; and to ensure that no early intervention supports and services to which a child is entitled are delayed or denied because of disputes between agencies regarding financial or other responsibilities.
G. Local lead agencies shall develop interagency agreements, contracts, or memoranda of agreement with as many early intervention service providers as possible to meet the needs of children with disabilities and their families and shall allow families to have access to any certified early intervention service provider in the family's payer network who agrees to comply with all Part C requirements and is working in the local early intervention system area.
12VAC35-225-220. Services provided at public expense.
A. The following services shall be provided at public expense and at no cost to families:
1. Child find activities;
2. Eligibility determination and assessment for service planning;
3. Service coordination;
4. Administrative and coordinative activities related to the development, review, and evaluation of IFSPs and interim IFSPs; and
5. Administrative and coordinative activities related to implementation of procedural safeguards and other components of the statewide early intervention system related to child find, eligibility determination, assessment, and development of IFSPs.
B. Localities shall not be required to provide funding for any costs for early intervention services provided at public expense, either directly or through participating local public agencies.
12VAC35-225-230. System of payments.
A. The department shall establish and implement a system of payments, including a schedule of sliding family fees with monthly caps, for early intervention services provided under Part C. Under that system:
1. Fees shall not be charged to parents for the services a child is otherwise entitled to receive at no cost, including those listed in 12VAC35-225-220;
2. All early intervention services other than those listed in 12VAC35-225-220 shall be subject to family fees;
3. The inability of the parent of a child with a disability to pay for services shall not result in a delay or denial of services to the child or his family, such that if the family meets the criteria for inability to pay, the child shall receive all early intervention services at no cost to the family;
4. Parents shall not be charged any more than the actual cost of services, factoring in any amount received from other payment sources for that service;
5. Charges for early intervention supports and services shall be consistent regardless of the anticipated payment source, and parents with public insurance or benefits or private insurance shall not be charged disproportionately more than parents who do not have public insurance or benefits or private insurance;
6. All parents shall have the opportunity to submit information to establish ability to pay and a monthly cap for family fees. Parents who choose not to provide the required income information shall be charged for all applicable copayments, deductibles, and the full early intervention rate for services not covered by insurance;
7. The service coordinator shall ensure a family's ability to pay is established and consent for use of private insurance, public benefits, or public insurance is determined at intake for children who are covered by Medicaid or FAMIS and for all other children prior to delivering early intervention services other than those services that must be provided at no cost to the family; and
8. A family's ability to pay shall be reviewed at each annual IFSP and any time the family's financial circumstances change. If the family is unable to provide the required information, it shall be charged for all applicable copayments and deductibles or the full early intervention rate for services not covered by insurance.
B. Family fees collected shall be retained by the local lead agency to support the local early intervention system.
C. Parents who wish to contest the imposition of a fee or the determination of the parents' ability to pay may contest such determinations in accordance with 12VAC35-225-380 A.
12VAC35-225-240. Use of public benefits or public insurance.
A. Parents shall not be required to enroll in public benefits or public insurance programs as a condition of receiving early intervention services, and parental consent shall be required prior to using the public benefits and public insurance of a child or parent if that child or parent is not already enrolled in such a program.
B. Parental consent shall be obtained before the local lead agency or the early intervention service provider discloses, for billing purposes, a child's personally identifiable information to the Department of Medical Assistance Services.
C. In Virginia, use of a child's or parent's public benefits or public insurance to pay for early intervention services shall not:
1. Decrease available lifetime coverage or any other insured benefit for that child or parent under that program;
2. Result in the child's parents paying for services that would otherwise be covered by the public benefits or public insurance program;
3. Result in any increase in premiums or discontinuation of public benefits or public insurance for that child or his parents; or
4. Risk loss of eligibility for the child or that child's parents for home and community-based waivers based on aggregate health-related expenditures.
D. If the parent gives consent for use of his private insurance to pay for early intervention services for a child who is covered by private insurance and by either public benefits or public insurance, the parent shall be responsible for the costs associated with use of the private insurance, as specified in 12VAC35-225-250 E.
E. If the parent does not provide the consent to use or enroll in public benefits or public insurance or to disclose information to the Department of Medical Assistance Services for billing purposes, the local lead agency must still make available the early intervention services on the IFSP to which the parent has provided consent.
12VAC35-225-250. Use of private insurance.
A. The private insurance of a family may not be used to pay for early intervention services unless the parent has provided prior consent.
B. Parental consent to use of private insurance to pay for early intervention services shall be obtained when the local lead agency or early intervention service provider seeks to use the parent's private insurance or benefits to pay for the initial provision of early intervention services and each time there is an increase (in frequency, length, duration, or intensity) in the provision of services in the child's IFSP.
C. The consent requirements in subsections A and B of this section shall also apply when use of private insurance is required prior to use of public benefits or public insurance.
D. If a parent is determined to be unable to pay and does not provide consent for use of private insurance, the lack of consent shall not be used to delay or deny any early intervention services to the child or family.
E. If the parent provides consent for use of the family's private insurance to pay for early intervention services, Part C or other funds may be used to pay for copayment or deductible amounts that exceed the family's monthly cap, unless the family has money in a flexible spending account that automatically pays the early intervention service provider or the family for these costs.
F. Families shall be responsible for paying their insurance premiums.
12VAC35-225-260. Written notification.
When obtaining parental consent for the provision of early intervention services or for use of public or private insurance or benefits, or both, the service coordinator shall ensure the parents receive written information on Virginia's system of payment policies, which includes the following:
1. Required notification to parents of children covered by Medicaid including:
a. Parental consent requirements in 12 VAC35-225-240 B;
b. The cost protections in 12VAC35-225-240 C;
c. The local lead agency responsibility to offer the early intervention services to which the parent has provided consent even if the parent does not provide consent for use of public benefits or public insurance as specified in 12VAC35-225-240 E;
d. The parent's right to withdraw consent for disclosure, for billing purposes, of a child's personally identifiable information to the Department of Medical Assistance Services at any time; and
e. Categories of costs to parents as specified in 12VAC35-225-240 D.
2. Potential costs to the parent when their private insurance is used, which may include copayments, deductibles, premiums, or other long-term costs such as the loss of benefits because of annual or lifetime health insurance coverage caps under the insurance policy;
3. The payment system and schedule of sliding fees that may be charged to the parents for early intervention services;
4. The basis and amount of payments or fees;
5. Information on the determination of ability to pay and inability to pay, including when and how the determination is made;
6. Assurances regarding fees and service provision as specified in 12VAC35-225-230 A 1 and A 3, 4, and 5;
7. The policy on failure to provide the required income information as specified in 12VAC35-225-230 A 5;
8. Policies regarding use of federal or state Part C funds to pay for costs such as insurance copayments or deductibles; and
9. Parent rights as specified in 12VAC35-225-230 C.
12VAC35-225-270. Billing and collections of family fees, public benefits, and insurance.
A. The local lead agency shall ensure billing for and collection of all family fees for the local early intervention system by:
1. Doing all billing and collection of family fees;
2. Contracting with a single entity to bill for and collect all family fees for the local early intervention system; or
3. Assigning the billing and collection of the family fee to a specific early intervention service provider for each child.
B. Early intervention service providers shall routinely, and no less than one time per month, confirm with families whether their insurance has changed and shall notify the local system manager immediately if a child who has or had Medicaid or FAMIS no longer has Medicaid or FAMIS or does not have the Medicaid early intervention benefit, and notify the service coordinator if the child had TRICARE or private insurance coverage and the child no longer has that coverage or the child has newly acquired Medicaid or FAMIS, TRICARE, or private insurance coverage.
C. The local system manager, or his designee, shall provide oversight to ensure Medicaid or FAMIS information is correctly entered into the department's early intervention management information system, ITOTS, to begin and maintain enrollment in the Medicaid early intervention benefit.
12VAC35-225-280. Provider billing for early intervention services.
A. In order to receive reimbursement from federal or state Part C funds as the payer of last resort, early intervention service providers shall:
1. Have a contractual relationship with the local early intervention system; and
2. Submit a contact log or contact notes to the local lead agency no later than the 21st of each month for all services provided in the previous month, including any service for which reimbursement is sought from Part C funds.
B. Early intervention service providers shall accept Medicaid reimbursement for medically necessary early intervention services as payment in full.
C. In order to bill Medicaid for early intervention services other than service coordination, the provider shall:
1. Be certified as an early intervention practitioner;
2. Enroll with the Department of Medical Assistance Services as an early intervention provider;
3. Provide services to children who are determined eligible for early intervention services under Part C;
4. Provide covered services as listed on the child's IFSP and, with the exception of the assessment for service planning and IFSP meetings, services that are approved by a physician, physician's assistant, or nurse practitioner; and
5. Comply with all other applicable Department of Medical Assistance Services requirements.
D. In order to bill Medicaid for service coordination, the provider shall:
1. Be certified as an early intervention case manager;
2. Enroll with the Department of Medical Assistance Services as an early intervention provider;
3. Deliver service coordination in accordance with a signed initial early intervention service coordination plan or a signed individualized family service plan (IFSP);
4. Provide at least one activity during the month being billed to the child, the family, service providers, or other organizations on behalf of the child or family in order to coordinate supports and services and assist the family in accessing needed resources and services;
5. Document the contact or communication completely and correctly in accordance with 12VAC35-225-180;
6. Make a phone, email, text, or face-to-face contact with the family at least one time every three calendar months, or document attempts of such contacts;
7. Ensure documented face-to-face interaction between the service coordinator and the family at the development of the initial IFSP and the annual IFSP along with documentation that the service coordinator observed the child during the calendar month that the IFSP meeting was held;
8. Submit the health status indicator questions to the child's physician every six months; and
9. Comply with all other applicable Department of Medical Assistance Services requirements.
E. Children who are dually enrolled in Virginia's early intervention system and in Medicaid or FAMIS shall receive service coordination under the early intervention targeted case management program.
Part VII
Procedural Safeguards12VAC35-225-290. Notice of rights and procedural protections.
A. The service coordinator shall provide a written copy and explanation of the child's and family's rights and procedural safeguards at the intake visit and shall provide ongoing information and assistance to the family regarding their rights and procedural safeguards throughout the period of the child's eligibility for early intervention services.
B. The notice and explanation provided at the intake visit shall fully inform parents about the confidentiality requirements under Part C.
12VAC35-225-300. Surrogate parent selection.
A. A surrogate parent shall be assigned to a child if no parent of the child can be identified, the local system cannot after reasonable efforts locate a parent, or the child is a ward of the state. The service coordinator shall make reasonable efforts to ensure that a surrogate parent is assigned to the child within 30 days after determining the child needs a surrogate parent. In implementing the surrogate parent requirements, if the child is in foster care or a ward of the state, the service coordinator shall consult with the public agency that has been assigned care of the child.
B. The person selected as a surrogate parent shall:
1. Not be an employee of any public agency or early intervention service provider that provides early intervention services, education, care, or other services to the child or any member of the child's family;
2. Have no personal or professional interest that conflicts with the interest of the child he represents; and
3. Have knowledge and skills that ensure adequate representation of the child.
C. A surrogate parent assigned to a child pursuant to this section shall have the same rights as a parent for all purposes in the early intervention system.
12VAC35-225-310. Prior written notice.
A. Prior written notice shall be given to the parent at least five days before an early intervention provider proposes or refuses to initiate or change identification, eligibility determination, or placement of the child or the provision of early intervention services to the child or family.
B. The prior written notice shall be in sufficient detail to inform the parent of the action being proposed or refused, the reasons for taking the action, and available procedural safeguards, including dispute resolution options.
C. The prior written notice shall be written in language understandable to the general public and shall be provided in the native language of the parent or other mode of communication used by the parent, unless it is clearly not feasible to do so. If the parent does not use a written language, documentation of the procedures used to provide prior notice shall be included in a contact note.
12VAC35-225-320. Parental consents.
A. Written parental consent shall be obtained prior to all eligibility determinations and assessments; providing early intervention services; disclosing personally identifiable information to anyone other than authorized representatives, officials or employees of the department, local lead agency, or early intervention service providers collecting, maintaining, or using information under Part C and using public or private insurance or benefits. When seeking parental consent, the service coordinator shall ensure the following:
1. The parent is fully informed of all information relevant to the activity for which consent is sought, in the parent's native language;
2. The parent understands and agrees in writing to the carrying out of the activity for which consent is sought;
3. 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
4. The parent understands that the granting of consent is voluntary on the part of the parent and may be revoked at any time and that, if a parent revokes consent, that revocation is not retroactive.
B. The parent shall have the right to accept or decline specific early intervention services identified by the IFSP team and may decline a service after first accepting it without jeopardizing his right to obtain other early intervention services.
C. If a parent does not give consent for eligibility determination, assessment, or provision of early intervention services, the service coordinator shall document reasonable efforts to ensure that the parent is fully aware of the nature of the eligibility determination, assessment, or the services that would be available and understands the child will not be able to receive the eligibility determination, assessment, or services unless consent is given.
D. If a parent refuses to provide consent to disclose personally identifiable information, the service coordinator shall explain to the family the impact of their decision to refuse consent for the release of information, including why consent is needed, how the information will be used, and how the absence of that information might affect the ability of their child to receive early intervention services. The explanation provided and the parent's final decision regarding consent to disclose the information shall be documented in a contact note.
E. Due process hearing procedures shall not be used to challenge a parent's refusal to provide any consent required under this section.
12VAC35-225-330. Early intervention records.
A. The local lead agency shall maintain a central early intervention record for each child referred to the local early intervention system. The central early intervention record must include the following:
1. Accurate demographic and referral information;
2. Signed releases and consents;
3. Other completed procedural safeguards forms;
4. Completed and signed initial early intervention service coordination plan, if the child has Medicaid or FAMIS;
5. Assessment reports;
6. Medical reports;
7. All other documentation collected during eligibility determination and IFSP development, including reports from previous outside screenings and assessments;
8. Completed eligibility determination form or forms;
9. All IFSPs developed, including documentation of periodic reviews;
10. Contact logs or contact notes submitted by providers, including service coordinators;
11. Copies of all correspondence to and from the local lead agency or its providers with or on behalf of the family;
12. Court orders related to service provision, custody issues, or parental rights;
13. Documentation of the family's ability to pay, unless it is kept in a separate financial file; and
14. Record access log listings of any individual, except parents and authorized employees, obtaining access to the early intervention record, including the individual's name, date of access, and purpose of access.
B. Each early intervention service provider shall maintain a clinical working file that must include, at a minimum:
1. A copy of the IFSP (including annual and periodic reviews),
2. Contact notes, and
3. Any completed screening or assessment protocols if not housed in the early intervention record.
C. Early intervention service providers working in the provider agency where the central early intervention record is housed shall have the option to maintain the items listed above in the central early intervention record instead of in a separate clinical or working file.
12VAC35-225-340. Confidentiality of personally identifiable information.
A. The department, local lead agencies, and all early intervention service providers shall ensure the confidentiality of personally identifiable information collected, maintained, or used under Part C from the point in time when the child is referred to the local early intervention system until the later of when the provider agency is no longer required to maintain or no longer maintains that information under applicable federal and Virginia laws. Confidentiality shall be maintained at the collection, maintenance, use, storage, disclosure, and destruction stages.
B. One official at each local lead agency and each early intervention service provider shall assume responsibility for ensuring confidentiality of any personally identifiable information.
C. The department, local lead agency, and all early intervention service providers shall train all persons collecting or using personally identifiable information regarding federal and Virginia requirements for safeguarding records and personally identifiable information.
D. Each local lead agency and early intervention service provider shall maintain, for public inspection, a current listing of the names and positions of those employees within the local lead agency and early intervention service provider who have access to personally identifiable information.
12VAC35-225-350. Inspection and review of early intervention service records.
A. Parents of infants and toddlers who are referred to or receive early intervention services shall have the right to inspect and review all early intervention records collected, maintained, or used by the local lead agency or early intervention service providers, including records related to eligibility determination, assessments for service planning, development and implementation of IFSPs, provision of early intervention services, individual complaints involving the child, or any other part of the child's early intervention record.
B. The local lead agency and early intervention service providers shall provide parents, upon request, a list of the types and locations of early intervention records collected, maintained, or used by the local lead agency and early intervention service providers.
C. If any early intervention record includes information on more than one child, the parent has the right to inspect and review only the information relating to his child or to be informed of that specific information.
D. The right to inspect and review records includes the right to:
1. A response from the local lead agency or early intervention service provider to reasonable requests for explanations and interpretations of the early intervention records;
2. Request that the local lead agency or early intervention service provider provide copies of the early intervention records if failure to provide those copies would effectively prevent the parent from exercising the right to inspect and review the records; and
3. Have a representative of their choice inspect and review the records.
E. The local lead agency and early intervention service providers shall comply with a parent's request to inspect and review records without unnecessary delay, before any meeting regarding an IFSP or a due process hearing, and in no case more than 10 days after the request is made.
F. Upon request, the parent shall receive one copy of his child's early intervention record at no cost to the parent. After the parent has received one copy of the child's early intervention record at no cost, the local lead agency or early intervention service provider may charge a fee for additional copies. However, the local lead agency or early intervention service provider shall not charge a fee for additional copies of the child's records if the fee effectively prevents the parent from exercising his right to inspect and review those records. The local lead agency or early intervention service provider shall not charge a fee to search for or to retrieve information and shall provide at no cost to parents a copy of each eligibility determination, assessment, and IFSP as soon as possible after each IFSP meeting.
G. The local lead agency and early intervention service provider shall presume the parent has authority to inspect and review records relating to his child unless the local lead agency or early intervention service provider has been provided documentation that the parent does not have that authority under applicable Virginia laws governing such matters as custody, foster care, guardianship, separation, and divorce.
H. The local lead agency and early intervention service providers shall keep a record of parties obtaining access to early intervention records collected, maintained, or used by the early intervention system unless such access is by the parent or parents or authorized representatives and employees of the participating agency. The record of access shall include the name of the party accessing the record, the date access was given, and the purpose for which the party is authorized to use the early intervention record.
12VAC35-225-360. Request to amend information in the early intervention record.
A. A parent who believes that information in the early intervention records collected, maintained, or used in the early intervention system is inaccurate, misleading, or violates the privacy or other rights of the child or parent shall have the right to request that the agency that maintains the information amend the information.
B. When a parent requests that information in a record be amended, the local lead agency or early intervention service provider shall decide whether to amend the information in accordance with the request within a reasonable period of time after the request is received.
C. If the local lead agency or early intervention service provider refuses to amend the information in accordance with the request, the local lead agency or early intervention service provider shall inform the parent of the refusal and advise the parent of the right to a local hearing to challenge the information in his child's early intervention record.
1. A hearing shall be held within 30 days after the request is received by the local lead agency or early intervention service provider from the parent.
2. The parent shall be given written notice of the date, place, and time at least 15 days before the hearing.
3. The hearing may be conducted by any person, including an official of the local lead agency or early intervention service provider, who does not have a direct interest in the outcome of the hearing.
4. The local lead agency or early intervention service provider shall give the parent a full and fair opportunity to present evidence relevant to the issues raised. The parent may, at his own expense, be assisted or represented by persons of his own choice, including an attorney.
5. The local lead agency or early intervention service provider shall issue its decision in writing to the parent within five business days after the conclusion of the hearing.
6. The decision of the local lead agency or early intervention service provider shall be based solely on the evidence presented at the hearing and shall include a summary of the evidence and the reasons for the decision.
7. If the hearing determines that the information is inaccurate, misleading, or in violation of the privacy or other rights of the child or parent, the local lead agency or early intervention service provider shall amend the information accordingly and inform the parent in writing.
8. If the hearing determines that the information is not inaccurate, misleading, or in violation of the privacy or other rights of the child or parent, the local lead agency or early intervention service provider shall inform the parent of the right to place in the early intervention record a statement commenting on the information or setting forth any reasons for disagreeing with the decision of the local lead agency or early intervention service provider. Any such explanation placed in the early intervention record shall be maintained as part of the early intervention record as long as the record or contested portion is maintained by the agency. If the early intervention record or the contested portion of the record is disclosed by the local lead agency or early intervention service provider to any party, the explanation shall also be disclosed to the party.
D. If the parent is not satisfied with the local hearing determination, the local lead agency or early intervention service provider shall advise the parent of his right to file a due process complaint with the department.
12VAC35-225-370. Maintenance of early intervention service records.
A. The local lead agency and early intervention service providers shall inform the parent when personally identifiable information collected, maintained, or used in the early intervention system is no longer needed to provide services to the child and shall destroy the information at the request of the parent.
B. A child's early intervention record shall be destroyed at the request of his parent. However, a permanent record of a child's name, date of birth, parent contact information (including address and phone number), names of service coordinator or coordinators, early intervention service provider or providers, and exit data (including year and age upon exit and any programs entered into upon exiting) may be maintained without time limitation.
C. The local lead agency and early intervention service providers shall ensure early intervention records are maintained for a minimum of three years following the child's discharge from the local early intervention system.
Part VIII
Dispute Resolution12VAC35-225-380. Notification of complaint resolution options.
A. The department shall ensure the availability of procedures for resolving complaints through mediation, an administrative complaint, or a due process hearing.
B. The service coordinator shall inform the child's parent of all options for resolving complaints by providing written and verbal information that explains the options and the procedures for each and shall provide the parent with a contact at the department who can assist the parent in filing a complaint.
12VAC35-225-390. Mediation.
A. Mediation shall be voluntary on the part of all parties; shall be available at any time to parties to disputes involving any matter under Part C, including matters arising prior to the filing of a due process complaint; and shall not be used to delay or deny a parent's right to a due process hearing.
B. The department shall maintain a list of individuals who are qualified mediators and knowledgeable in laws and regulations relating to the provision of early intervention services and shall select mediators on a random or rotational basis.
C. An individual who serves as a mediator shall not be an employee of the department, a local lead agency, or an early intervention service provider that is involved in the provision of early intervention services or other services to the child and shall not have a personal or professional interest that conflicts with the person's objectivity. A person who otherwise qualifies as a mediator shall not be considered an employee of the department, a local lead agency, or an early intervention provider solely because he is paid by the agency to serve as a mediator.
D. The department shall appoint a trained and impartial mediator within five days of receiving the request for mediation.
E. Each session in mediation shall be scheduled in a timely manner and shall be held in a location that is convenient to the parties involved in the dispute.
F. Mediation, including a written mediation agreement reflecting agreements reached by the parties to the dispute, shall be completed within 15 calendar days of the receipt by the department of notice that both parties have agreed to mediation. If resolution is not reached within 15 days, the department shall inform the parents in writing that they may request a due process hearing.
G. Extensions of the 15-day timeline may be granted for good cause. If there is a simultaneous request for mediation and a due process hearing, an extension shall not result in a violation of the 30-day timeline for completion of the due process hearing.
H. If the parties resolve the dispute through the mediation process, the parties shall execute a legally binding agreement that sets forth the resolution, states that all discussions that occurred during the mediation process are confidential and may not be used as evidence in any subsequent due process or civil proceeding, and is signed by both the parent and a representative of the local lead agency or early intervention service provider who has the authority to bind that agency.
I. The department shall bear the full cost of the mediation process.
12VAC35-225-400. Due process hearing.
A. Due process hearings shall be available to the parent of any child referred to the local early intervention system to resolve complaints regarding an early intervention provider's proposal or refusal to initiate or change his child's identification, eligibility determination, or placement or to the provision of early intervention services to the child or family.
B. The department shall arrange for the appointment of an impartial hearing officer within five days following receipt of a request for a due process hearing. The due process hearing officer shall:
1. Not be an employee of the department, a local lead agency, or an early intervention service provider involved in the provision of early intervention services or the care of the child. A person who is otherwise qualified shall not be considered an employee of the department, a local lead agency, or an early intervention provider solely because he is paid by the agency to implement the due process hearing procedures;
2. Not have a personal or professional interest that conflicts with his objectivity in implementing the process;
3. Have knowledge about the provisions under Part C and the needs of and early intervention services available for children with disabilities and their families;
4. Listen to the presentation of relevant viewpoints about the due process complaint;
5. Examine information relevant to the issues;
6. Seek to reach a timely resolution of the due process complaint; and
7. Provide a record of the proceedings, including a written decision.
C. The due process hearing shall be carried out at a time and place that is reasonably convenient for the parent.
D. Any parent involved in a due process hearing shall have the right to:
1. Be accompanied and advised by counsel and by individuals with special knowledge or training with respect to early intervention services for children with disabilities;
2. Present evidence and confront, cross-examine, and compel the attendance of witnesses;
3. Prohibit the introduction of any evidence at the hearing that has not been disclosed to the parent at least five days before the hearing;
4. Obtain a written or electronic verbatim transcript of the hearing at no cost to the family; and
5. Receive a written copy of the findings of fact and decisions at no cost to the parent.
E. The due process hearing shall be conducted and a written decision shall be mailed to all parties within 30 days of receipt by the department of the parent's request for a due process hearing. The hearing officer may grant a specific extension of the timeline at the request of either party.
F. Any party aggrieved by the findings and decision issued pursuant to a due process hearing shall have the right to bring a civil action in Virginia or federal court.
G. During the pendency of any proceeding involving a due process complaint, unless the local lead agency and the parent of the child agree otherwise, the child shall continue to receive the appropriate early intervention services in the setting identified in the IFSP for which the parent has provided consent. If the due process complaint involves an application for initial services, the child shall receive those services that are not in dispute.
H. Costs for due process hearings shall be equally shared by the local lead agency and the department. The costs shared include expenses of the hearing officer (i.e., time, travel, secretarial, postal, and telephone expenses), expenses incurred by order of the hearing officer (i.e., independent educational evaluations, deposition, or transcript), and expenses for making a record of a hearing (i.e., hearing tapes).
I. The department shall not be responsible for expenses incurred for witnesses (except where hearing officers subpoena witnesses on their own initiative) or for the parent's attorney fees.
12VAC35-225-410. Administrative complaint.
A. An individual or organization (including those from another state) shall have the right to file an administrative complaint with the department alleging that the local lead agency, an early intervention service provider, or participating agency has violated a requirement of Part C.
B. The department shall widely disseminate to parents and other interested individuals, including parent training and information centers, protection and advocacy agencies, and other appropriate entities the procedures for filing and resolving administrative complaints.
C. An administrative complaint shall be made in writing to the department, allege a violation that occurred not more than one year prior to the date the complaint is received by the department, and include the following:
1. A statement that the department, local lead agency, or early intervention service provider has violated a requirement of Part C;
2. The facts on which the statement is based;
3. The signature and contact information for the complainant; and
4. If alleging violations with respect to a specific child, (i) the name and address of the child; (ii) the name of the early intervention service provider serving the child; (iii) a description of the problem, including facts related to the problem; and (iv) a proposed resolution to the problem to the extent known and available to the complainant if there is one at the time the complaint is filed.
D. The party filing the complaint shall forward a copy of the complaint to the local lead agency or the early intervention service provider serving the child at the same time the party files the complaint with the department.
E. Within 60 days after a complaint is received, the department shall:
1. Carry out an independent onsite investigation, if the department determines that an investigation is necessary;
2. Give the complainant the opportunity to submit additional information, either orally or in writing, about the allegations in the complaint;
3. Provide the local lead agency other participating agency, or early intervention service provider with an opportunity to respond to the complaint within 10 days by providing a proposal to resolve the complaint and an opportunity to voluntarily engage in mediation;
4. Review all relevant information and make an independent determination as to whether the local lead agency, other participating agency, or early intervention service provider is violating a requirement of Part C; and
5. 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 final decision.
The final decision may include recommendations for technical assistance, negotiations, and corrective actions to achieve compliance, as well as timelines for completion.
If, in resolving an administrative complaint, the department finds a failure to provide appropriate early intervention services then the final decision shall address the corrective actions appropriate to address the needs of the child who is the subject of the complaint and his family (such as compensatory services or monetary reimbursement) and appropriate future provision of services for all children with disabilities and their families.
F. The 60-day timeline for resolving an administrative complaint may be extended only if exceptional circumstances exist with respect to a particular complaint or the parent (or individual or organization) and the local lead agency, other participating agency, or early intervention service provider involved in the complaint agree to extend the timeline to engage in mediation.
G. If the administrative complaint received by the department is also the subject of a due process hearing or contains multiple issues of which one or more are part of that due process hearing, the department shall set aside any part of the complaint that is being addressed in the due process hearing until the conclusion of the hearing. Any issue in the complaint that is not part of the due process hearing shall be resolved using the 60-day time limit and the administrative complaint procedures.
H. If an issue is raised in a complaint that has previously been decided in a due process hearing involving the same parties, the hearing decision shall be binding, and the department shall inform the complainant to that effect.
I. A complaint alleging the local lead agency, other participating agency, or early intervention service provider's failure to implement a due process hearing decision shall be resolved by the department.
J. A final decision of the department pursuant to this section shall be a final case decision that may be appealed pursuant to the Virginia Administrative Process Act (§ 2.2-4000 et seq. of the Code of Virginia).
12VAC35-225-420. Appeal to the Department of Medical Assistance Services.
A. In addition to the dispute resolution options described in this chapter, Medicaid or FAMIS recipients shall have the right to file an appeal with the Department of Medical Assistance Services when they disagree with certain actions. Actions that may be appealed include:
1. Disagreement about the child's eligibility for services;
2. The provision of early intervention services, including those listed on the IFSP; and
3. The frequency and length of services in the IFSP.
B. To ensure this right to appeal, the service coordinator shall provide the family with written information on the appeals process, regardless of whether or not the family expresses agreement or disagreement, if the child is found ineligible; the local system is refusing to initiate a service the family is requesting or is refusing to provide a service at the frequency or length desired by the family; or a service is decreased or ended, unless the family requested the service be decreased or ended.
C. Families shall follow all applicable Department of Medical Assistance Services requirements when filing an appeal.
Part IX
Early Intervention Practitioner Certification Requirements12VAC35-225-430. Certification required for early intervention professionals and early intervention specialists.
A. Individual practitioners of early intervention services, with the exception of physicians, audiologists, and registered dietitians, shall be certified by the department as early intervention professionals or early intervention specialists.
B. Certified early intervention professionals shall have expertise in a discipline trained to enhance the development of children with a disability, as evidenced by state licensure, including application for state licensure if the discipline authorizes practice in Virginia while the application is pending and the individual practitioner meets all applicable requirements for such practice; state endorsement; or certification by a national professional organization. Qualified personnel in the following disciplines may seek certification from the department as early intervention professionals:
1. Counselors.
a. Licensed professional counselors licensed by the Virginia Board of Counseling; and
b. School counselors (Pre K - 12) endorsed by the Virginia Board of Education;
2. Behavior analysts certified through the Behavior Analyst Certification Board as a Board Certified Behavior Analyst (BCBA);
3. Educators.
a. Educators licensed by the Virginia Board of Education with endorsement in Special Education - Early Childhood (Birth - 5);
b. Educators licensed by the Virginia Board of Education with endorsement in Early/Primary Education (Pre K - 3);
c. Educators licensed by the Virginia Board of Education with endorsement in Career and Technical Education - Family and Consumer Services;
d. Educators licensed by the Virginia Board of Education with endorsement in Special Education - Hearing Impairments (Pre K - 12);
e. Educators licensed by the Virginia Board of Education with endorsement in Special Education - Visual Impairments (Pre K - 12); and
f. Educators with a technical professional license issued by the Virginia Board of Education in Career and Technical Education - Family and Consumer Sciences;
4. Family and consumer science professionals certified through the American Association of Family and Consumer Sciences (AAFCS). Individuals certified by the AAFCS after June 30, 2009, shall meet certification requirements in family and consumer sciences - human development and family studies;
5. Marriage and family therapists licensed by the Virginia Board of Counseling;
6. Music therapists certified by the Certification Board for Music Therapists (CBMT);
7. Nurses.
a. Nurse practitioners licensed by the Virginia Board of Nursing; and
b. Registered nurses licensed by the Virginia Board of Nursing;
8. Occupational therapists licensed by the Virginia Board of Medicine;
9. Orientation and mobility specialists certified by the National Blindness Professional Certification Board as a National Orientation and Mobility Certificant (NOMC) or certified by the Academy for Certification of Vision Rehabilitation and Education Professionals (ACVREP) as a Certified Orientation and Mobility Specialist (COMS);
10. Physical therapists licensed by the Virginia Board of Physical Therapy;
11. Psychologists.
a. Applied psychologists licensed by the Virginia Board of Psychology;
b. Clinical psychologists licensed by the Virginia Board of Psychology; and
c. School psychologists licensed by the Virginia State Board of Education with an endorsement in school psychology;
12. Social workers.
a. Licensed clinical social workers licensed by the Virginia Board of Social Work; and
b. School social workers licensed by the Virginia State Board of Education with an endorsement as a school social worker;
13. Speech-language pathologists licensed by the Virginia Board of Audiology and Speech-Language Pathology; and
14. Therapeutic recreation specialists certified by the National Council on Therapeutic Recreation.
C. Certified early intervention specialists shall hold a minimum of a high school diploma or general equivalency diploma. Qualified personnel in the following disciplines may seek certification from the department as early intervention specialists:
1. Assistant behavior analysts certified through the Behavior Analyst Certification Board as a Board Certified Assistant Behavior Analyst (BCaBA);
2. Early intervention assistants whose qualifications have been approved by the Department of Behavioral Health and Developmental Services;
3. Licensed social workers licensed by the Virginia Board of Social Work;
4. Nurses.
a. Certified nurse aides certified by the Virginia Board of Nursing; and
b. Licensed practical nurses licensed by the Virginia Board of Nursing;
5. Occupational therapy assistants licensed by the Virginia Board of Medicine; and
6. Physical therapy assistants licensed by the Virginia Board of Physical Therapy.
D. Certified early intervention professionals and certified early intervention specialists shall demonstrate knowledge of early intervention principles and practices, including infant and toddler development, family-centered practice and multidisciplinary team practice, by successful completion of the early intervention principles and practices online training modules administered by the department. A score of at least 80% accuracy on each module's competency test shall be required for successful completion.
12VAC35-225-440. Supervision requirements.
A. Certified early intervention professionals providing supervision to other early intervention personnel shall complete the supervision training administered by the department. A score of at least 80% accuracy on the competency test shall be required for successful completion.
B. Certified early intervention specialists shall work under the supervision of a certified early intervention professional who has completed the required supervision training.
12VAC35-225-450. Certification required for early intervention service coordinators.
A. Individual practitioners who provide service coordination to children enrolled in early intervention services shall be certified by the department as early intervention case managers.
B. Certified early intervention case managers shall hold:
1. A minimum of an undergraduate degree in any of the following fields:
a. Allied health, including rehabilitation counseling, recreation therapy, occupational therapy, physical therapy, or speech or language pathology;
b. Child and family studies;
c. Counseling;
d. Early childhood;
e. Early childhood growth and development;
f. Early childhood special education;
g. Human development;
h. Human services;
i. Nursing;
j. Psychology;
k. Public health;
l. Social work;
m. Special education – hearing impairments;
n. Special education – visual impairments; or
o. Other related field or interdisciplinary studies approved by the department;
2. An associate degree in a related field such as occupational therapy assistant, physical therapy assistant, or nursing; or
3. A high school diploma or general equivalency diploma, or an undergraduate degree in an unrelated field, plus three years' full-time experience, at least 32 hours per week, coordinating direct services to children and families and implementing individual service plans. Direct services address issues related to developmental and physical disabilities, behavioral health or educational needs, or medical conditions. Experience may include supervised internships, practicums, or other field placements.
C. Qualified persons shall demonstrate:
1. Expertise in the provision of service coordination services, as evidenced by successful completion of case management training approved by the department. A score of at least 80% accuracy on the case management training competency test shall be required for successful completion.
2. Knowledge of early intervention principles and practices, including infant and toddler development, family-centered practice and multidisciplinary team practice, by successful completion of the early intervention principles and practices online training modules administered by the department. A score of at least 80% accuracy on each module's competency test shall be required for successful completion.
12VAC35-225-460. Initial certification and recertification processes.
A. To apply for initial certification as an early intervention professional, early intervention specialist, or early intervention case manager, applicants shall:
1. Obtain the designated early intervention certification application package from the department; and
2. Submit a completed and signed application package to the department with:
a. A signed assurance that the applicant will comply with all federal and state early intervention requirements;
b. Documentation of the applicant's educational credentials, professional certification, licensing, endorsement, or other qualification for the practice of his discipline in the Commonwealth of Virginia; and
c. Documentation of the applicant's successful completion of the training required by the department.
B. Any initial certification granted to a person who has made application for state certification, licensure, endorsement, or other qualification in his discipline and is awaiting licensure shall be valid only as long as that person meets the requirements of his discipline to practice in Virginia.
C. Three-year recertification. At least 30 days prior to the expiration of the practitioner's certification period, the certified early intervention practitioner shall submit an application for recertification to the department. This application shall include:
1. Documentation of the practitioner's continuing professional certification, licensing, endorsement, or other qualification for the practice of his discipline in the Commonwealth of Virginia; and
2. Documentation that the practitioner has successfully completed at least 30 hours of continuing learning activities during the three-year certification period. The continuing learning activities shall address one or more of the following: (i) evidenced-based practices in early intervention services; (ii) changes in federal or state law, regulations, or practice requirements; (iii) topics identified on a personal development plan; (iv) training needed for new responsibilities relating to early intervention services; and (v) training required by the department. For each continuing learning activity, documentation shall include a description of the activity and sponsoring organization, if applicable; the date or dates of training; the number of hours; and a copy of a certificate or verification of attendance, if applicable.
12VAC35-225-470. Notice of decision on application for certification or recertification.
The department shall provide written notice of the decision on the application for certification or recertification within 30 days of the receipt of a completed application and required documentation.
12VAC35-225-480. Early intervention practitioner database.
Early intervention practitioners meeting the requirements for certification shall be included in the practitioner database maintained by the department. Early intervention practitioners are responsible for notifying the department of any change that may affect their early intervention certification status or their participation in Virginia's early intervention services system.
12VAC35-225-490. Restoration of expired certifications.
A. The department shall notify practitioners in writing of the date their early intervention certification expired and that the early intervention practitioner has been placed on inactive status in the practitioner database maintained by the department.
B. Early intervention practitioners whose early intervention certification has expired may apply to the department for restoration of their certification.
C. The department may restore early intervention certification for early intervention practitioners under the following conditions:
1. The individual's early intervention certification has been lapsed for a period of less than one year; and
2. The early intervention certification:
a. Has lapsed because the early intervention practitioner failed to complete the three-year recertification requirements and the practitioner provides documentation to the department demonstrating (i) he is currently qualified for the practice of his discipline in the Commonwealth of Virginia and (ii) he has completed at least 30 hours of training addressing one or more of the topics specified in 12VAC35-225-450 B 2; or
b. Has lapsed because the early intervention practitioner's discipline-specific qualification expired and the practitioner provides documentation to the department demonstrating that he now holds a current license, certification, endorsement, or other qualification for the practice of his discipline in the Commonwealth of Virginia.
D. The department shall provide written notice of its decision to approve or deny the early intervention practitioner's request for restoration of his early intervention certificate within 30 days after the department receives a completed request and all required documentation.
E. Upon restoration of the practitioner's early intervention certification, the department shall record the active status of the certification in the practitioner database maintained by the department.
12VAC35-225-500. Termination of certification.
A. The department shall terminate an early intervention practitioner's early intervention certification under the following circumstances:
1. The practitioner's discipline-specific license, certification, or endorsement has been suspended, revoked, or otherwise terminated by the appropriate Virginia health regulatory board or other Virginia entity exercising appropriate authority over the practitioner's discipline-specific license, certification, or endorsement;
2. The practitioner, after a year, fails to comply with the recertification requirements set forth in this chapter; or
3. The practitioner fails to comply with his signed assurance that he will comply with all federal and state early intervention requirements.
B. The department shall notify the early intervention practitioner in writing of the date of and reason for termination and that the practitioner has been removed from the practitioner database maintained by the department.
12VAC35-225-510. Reconsideration of decision to deny or terminate certification.
A. In the event that the early intervention practitioner disagrees with the determination to deny or terminate certification, he may request reconsideration from the commissioner. The request shall be made in writing within 30 days of the date of the written notice of denial or termination and may include relevant additional information or documentation to support the request.
B. The commissioner shall review the request for reconsideration and information presented and issue a decision in writing within 30 business days following receipt of the request. The decision of the commissioner shall be a final case decision that may be appealed under the Virginia Administrative Process Act (§ 2.2-4000 et seq. of the Code of Virginia).
Part X
Comprehensive System of Personnel Development12VAC35-225-520. Comprehensive system of personnel development requirements.
A. The department shall ensure a comprehensive system of personnel development that includes the following:
1. Training of paraprofessionals and the training of primary referral sources with respect to the basic components of early intervention services available in Virginia;
2. Training local lead agencies and early intervention service providers to implement innovative strategies and activities for the recruitment and retention of early intervention service practitioners and service providers;
3. Promoting the preparation of early intervention practitioners and service providers who are fully and appropriately qualified to provide early intervention services; and
4. Training local lead agencies and early intervention practitioners and service providers to coordinate transition services for children with disabilities who are transitioning from the early intervention system under Part C to a preschool program under § 619 of the Individuals with Disabilities Education Act, Head Start, Early Head Start, or another appropriate program.
B. The department shall establish and maintain an integrated training collaborative that includes university faculty, parents, early intervention service providers, and state early intervention professional development specialists to develop and implement professional development opportunities, materials, and resources on evidence-based practices for early intervention practitioners and service providers, families, university students, paraprofessionals, and primary referral sources.
C. The department shall use a variety of mechanisms to ensure awareness about and access to professional development, support, and resources, including statewide conferences and meetings, regional and local training activities, web-based training modules and resources, a written monthly update listing available resources and training, and teleconference and webinar capabilities.
D. The department shall support recruiting and retaining early intervention practitioners and service providers.
Part XI
Lead Agency Oversight Responsibilities12VAC35-225-530. Lead agency monitoring and supervision.
A. The department shall monitor implementation of and enforce the requirements under Part C, make determinations annually about the performance of each local early intervention system, and report annually to the public on the performance of Virginia and of each local early intervention system within 120 days of submitting Virginia's annual performance report to the U.S. Department of Education.
B. The primary focus of monitoring activities shall be on improving early intervention results and functional outcomes for all children with disabilities and their families and ensuring that local early intervention systems meet the requirements under Part C.
C. The department shall use quantifiable indicators and, as needed, qualitative indicators to measure performance in providing early intervention services in natural environments, child find, effective monitoring, the use of mediation, and transition services.
D. The local lead agency and early intervention service providers shall cooperate fully with the department and shall provide all information requested by the department or its designee to monitor local performance and compliance with applicable state and federal regulations.
E. The department shall ensure that when it identifies noncompliance, the noncompliance is corrected as soon as possible and in no case later than one year after the noncompliance was identified.
F. If a local early intervention system is determined to need assistance for two or more consecutive years, need intervention, or need substantial intervention in meeting the requirements under Part C, or if the local early intervention system fails to correct noncompliance within one year of identification, then the department shall enforce the requirements under Part C using one or more enforcement actions that may include the following:
1. Technical assistance;
2. Imposing conditions on the local early intervention system's funding;
3. Requiring the development and implementation of an improvement plan; or
4. Withholding funds in whole or in part.
12VAC35-225-540. Data collection and reporting.
A. The department shall collect, compile, and report timely, accurate, valid, and reliable data as needed to meet the data collection requirements of the U.S. Department of Education and the Virginia General Assembly.
B. The department shall not report any data that would result in the disclosure of personally identifiable information about individual children.
VA.R. Doc. No. R15-3889; Filed December 15, 2014, 2:51 p.m.
