Tracking# 2011-00311
FA/P 7/8/11, eff. 9/1/11

I:/11040801.rtf
(I:/11040801.doc) 

(2 CCR 503-1) 

[Instructions: insert before line 1511894.] 
Revisions of Sections 16.120 and 16.700-16.710, deletion of Sections 16.711-6.714, and addition of Sections 16.900-16.994 were adopted following publication at the 7/8/2011 State Board of Human Services rule-making session, with an effective date of 9/1/2011 (Rule-making# 11-4-8-1). Statement of Basis Purpose and specific statutory authority for these revisions were incorporated by reference into the rule. These materials are available for review by the public during normal working hours at the Colorado Department of Human Services, Office Employment and Regulatory Affairs, Division of Boards and Commissions, State Board Administration. 

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[Instructions: replace lines 737336 through 737443.] 
16.120  DEFINITIONS [Rev. eff. 9/1/11]
As used in these rules and regulations, unless the context requires otherwise: 
“Abuse” includes, but is not limited to: 
A.  “Physical abuse”, which means the infliction of physical pain, injury, or the imposition of unreasonable confinement or restraint on a person. This includes directing a person to physically abuse another person receiving services.
B.  “Sexual abuse”, which means subjecting a person to nonconsensual sexual conduct or contact classified as a crime under the “Colorado Criminal Code”, Title 18, C.R.S. This may include, but is not limited to, such actions as sexual assault, rape, fondling, or sexual exploitation. Additionally, any sexual interaction between employees or contractors and persons receiving services shall constitute sexual abuse.
C.  “Mental or psychological abuse”, which means any verbal or nonverbal act which creates, is intended to create, or reasonably could be expected to create mental anguish for a person. This includes, but is not limited to, such actions as discriminatory remarks, belittlement, derogatory name calling, teasing, and unreasonable exclusion from conversations or activities.
“Assessment” means the ongoing procedures used throughout the period of eligibility of a child for Early Intervention Services to identify: 
A.  The unique strengths and needs of the child and the Early Intervention Services appropriate to meet those needs; and, 
B.  The resources, priorities, and concerns of a parent and the Early Intervention Services necessary to enhance the capacity of a parent or other caregiver to meet the developmental needs of the eligible child.
“Assistive Technology Devices” means any item, piece of equipment, or product system that is used to increase, maintain, or improve functional capabilities of individuals with disabilities.
“Assistive Technology Services” includes, but is not limited to, the evaluation of a person's need for assistive technology; helping to select and obtain appropriate devices; designing, fitting and customizing those devices; purchasing, repairing or replacing the devices; and, training the individual, or if appropriate a family member, to use the devices effectively.
“Authorized Representative” means an individual designated by the person receiving services, or by the parent or guardian of the person receiving services, if appropriate, to assist the person receiving services in acquiring or utilizing services and supports pursuant to Section 27-10.5, C.R.S.
“Authorized Services” means those services and supports authorized pursuant to Section 27-10.5-104, C.R.S., which the Department shall provide directly or purchase subject to available appropriations for persons who have been determined to be eligible for such services and supports and as specified in the eligible person's individualized plan.
“Challenging Behavior” means behavior that puts the person at risk of exclusion from typical community settings, community services and supports, or presents a risk to the health and safety of the person or others or a significant risk to property.
“Community Centered Board (CCB)” means a private corporation, for profit or not for profit, which, when designated pursuant to Section 27-10.5.105, C.R.S., provides case management services to persons with developmental disabilities, is authorized to determine eligibility of such persons within a specified geographical area, serves as the single point of entry for persons to receive services and supports under section 27-10.5, C.R.S., and provides authorized services and supports to such persons either directly or by purchasing such services and supports from service agencies.
“Comprehensive Review of the Person's Life Situation” means a thorough review of all aspects of the person's current life situation by the program approved service agency in conjunction with other members of the interdisciplinary team.
“Comprehensive Services” means habilitation services and supports that provide a full day (24 hours) of services and supports to ensure the health, safety and welfare of the individual, and to provide training and habilitation services or a combination of training and supports in the areas of personal, physical, mental and social development and to promote interdependence, self-sufficiency and community inclusion. Services include residential habilitation services and supports, day habilitation services and supports and transportation.
“Consent” means an informed assent, which is expressed in writing and is freely given. Consent shall always be preceded by the following: 
A.  A fair explanation of the procedures to be followed, including an identification of those which are experimental;
B.  A description of the attendant discomforts and risks;
C.  A description of the benefits to be expected;
D.  A disclosure of appropriate alterative procedures together with an explanation of the respective benefits, discomforts and risks;
E.  An offer to answer any inquiries regarding the procedure;
F.  An instruction that the person giving consent is free to withdraw such consent and discontinue participation in the project or activity at any time; and,
G.  A statement that withholding or withdrawal of consent shall not prejudice future provision of appropriate services and supports to individuals.
“Days” means calendar days unless otherwise indicated. In computing any period of time prescribed or allowed by these rules and regulations, the day of the act, event, or default from which the designated period of time begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, a Sunday, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday, a Sunday, or a legal holiday.
“Department” means the Colorado Department of Human Services.
“Developmental Delay” means that a child meets one or more of the following: 
A.  A child who is less than five (5) years of age at risk of having a developmental disability because of the presence of one or more of the following:
1.  Chromosomal conditions associated with delays in development,
2.  Congenital syndromes and conditions associated with delays in development,
3.  Sensory impairments associated with delays in development,
4.  Metabolic disorders associated with delays in development,
5.  Prenatal and perinatal infections and significant medical problems associated with delays in development,
6.  Low birth weight infants weighing less than 1200 grams, or
7.  Postnatal acquired problems resulting in delays in development.
B.  A child less than five (5) years of age who is significantly delayed in development in one or more of the following areas:
1.  Communication,
2.  Adaptive behavior,
3.  Social-emotional,
4.  Motor,
5.  Sensory, or
6.  Cognition.
C.  A child less than three (3) years of age who lives with one or both parents who have a developmental disability.
“Developmental Disabilities Professional” means a person who has at least a Bachelors Degree and a minimum of two (2) years experience in the field of developmental disabilities or a person with at least five (5) years of experience in the field of developmental disabilities with competency in the following areas:
A.  Understanding of civil, legal and human rights;
B.  Understanding of the theory and practice of positive and non-aversive behavioral intervention strategies;
C.  Understanding of the theory and practice of non-violent crisis and behavioral intervention strategies.
“Developmental Disabilities Services” means the section within the Colorado Department of Human Services, Office of Adult Health and Rehabilitation Services, responsible for the administration of state sponsored services and funding for developmental disabilities for the State of Colorado.
“Developmental Disability” means a disability that is manifested before the person reaches twenty-two (22) years of age, which constitutes a substantial disability to the affected individual, and is attributable to mental retardation or related conditions which include cerebral palsy, epilepsy, autism or other neurological conditions when such conditions result in impairment of general intellectual functioning or adaptive behavior similar to that of a person with mental retardation. Unless otherwise specifically stated, the federal definition of “Developmental Disability” found in 42 U.S.C. 6000, et seq., shall not apply. 
A.  “Impairment of general intellectual functioning” means that the person has been determined to have an intellectual quotient equivalent which is two or more standard deviations below the mean (70 or less assuming a scale with a mean of 100 and a standard deviation of 15), as measured by an instrument which is standardized, appropriate to the nature of the person's disability, and administered by a qualified professional. The standard error of measurement of the instrument should be considered when determining the intellectual quotient equivalent. When an individual's general intellectual functioning cannot be measured by a standardized instrument, then the assessment of a qualified professional shall be used.
B.  “Adaptive behavior similar to that of a person with mental retardation” means that the person has overall adaptive behavior which is two or more standard deviations below the mean in two or more skill areas (communication, self-care, home living, social skills, community use, self-direction, health and safety, functional academics, leisure, and work), as measured by an instrument which is standardized, appropriate to the person's living environment, and administered and clinically determined by a qualified professional. These adaptive behavior limitations are a direct result of, or are significantly influenced by, the person’s substantial intellectual deficits and may not be attributable to only a physical or sensory impairment or mental illness.  Eff  10/01/2008
“Substantial intellectual deficits” means an intellectual quotient that is between 71 and 75 assuming a scale with a mean of 100 and a standard deviation of 15, as measured by an instrument which is standardized, appropriate to the nature of the person's disability, and administered by a qualified professional. The standard error of measurement of the instrument should be considered when determining the intellectual quotient equivalent.  Eff  10/01/2008
“Early Intervention Provider Database” means the State database located at www.eicolorado.org that contains information and Community Centered Board affiliation on all Early Intervention providers, including personnel qualifications. It also serves as the database for the collection of child outcomes data.
“Emergency”, as used in section 16.530 regarding restraint, means a serious, probable, imminent threat of bodily harm to self or others where there is the present ability to effect such bodily harm.
“Emergency Control Procedure” means an unanticipated use of a restrictive procedure or restraint in order to keep the person receiving services and others safe. 
“Established Conditions Database” means the State database located at www.eicolorado.org that includes the state approved list of physical and mental conditions that qualify a child for Early Intervention Services due to a high probability of the established condition resulting in a significant delay in development. 
“Evaluation” for Early Intervention Services means the procedures used to determine initial and continuing eligibility. 
“Executive Director” means the Executive Director of the Colorado Department of Human Services unless otherwise indicated.
“Exploitation” means an illegal or improper action affecting a person or use of the person's resources for another person's profit or advantage.
“Family”, as used in rules pertaining to support services, the Family Support Services Program and the Colorado Family Support Loan Fund herein, means a group of interdependent persons residing in the same household that consists of a family member with a developmental disability or a child under the age of five (5) years with a developmental delay, and one or more of the following:
A.  A mother, father, brother(s), sister(s) or any combination; or,
B.  Extended blood relatives such as grandparent(s), aunt(s) or uncle(s); or,
C.  An adoptive parent(s); or,
D.  One or more persons to whom legal custody of a person with a developmental disability has been given by a court; or,
E.  A spouse and/or his/her children.
“Family Support Council” means the local group of persons within the community centered board's designated service area who have the responsibility for providing guidance and direction to the community centered board for the implementation of the Family Support Services Program.
“Family Support Plan (FSP)” means a plan which is written for the delivery of family support services as specified in Section 16.720, herein.
“Functional Analysis” means a comprehensive analysis of the medical, social, environmental, and personal factors that may influence current behavior. This analysis shall also investigate the person's ability to communicate, analyze whether the current behavior is a means to communicate, and identify historical factors which may contribute to the understanding of the current behavior.
“Guardian means a person appointed by the court or named in a will and charged with limited, temporary, or full guardian's power and duties, pursuant to Section 15-14-312, C.R.S.
“Home and Community-Based Services Waivers (HCBS)” means HCBS waiver programs, including the Home and Community Based Waiver for the Developmentally Disabled (HCBS-DD), Supported Living Services (SLS) and Children's Extensive Support (CES). These waivers are authorized by Section 26-4-621, C.R.S., et seq., for alternatives to longterm care for the developmentally disabled by waivers to Section 1915(c), 1902(a)(10)(B), and 1902(a)(1) of the Social Security Act approved by the United States Department of Health and Human Services, in accordance with Section 2176 of Public Law No. 97-35 and approved for implementation by the Colorado General Assembly, and regulated by those sections of the Medical Assistance Staff Manual Volume 8 (10 CCR 2505-10) of the Colorado Department of Health Care Policy and Financing, pertaining to Long Term Care and Home and Community-Based Services for the Developmentally Disabled.
“Host Home Provider” is an individual (or individuals) who provides residential supports in his/her home to persons receiving comprehensive services who are not family members as defined in section 27-10.5-102(15), C.R.S. A host home provider is not a developmental disabilities service agency pursuant to section 16.220 of these rules.
“Individual Service and Support Plan (ISSP)” means a plan of intervention or instruction which directly addresses the needs identified in the person's Individualized Plan and which provides specific direction and methodology to employees and contractors providing direct service to a person.
“Individualized Family Service Plan (IFSP)” means a plan which is written for the delivery of early intervention services and supports to an eligible child.
“Individualized Plan (IP)” means a written plan designed by an interdisciplinary team for the purpose of identifying:
A.  The needs of the person receiving services or family;
B.  The specific services and supports appropriate to meet those needs;
C.  The projected date for initiation of service and supports; and,
D.  The anticipated results to be achieved by receiving the services and supports.
“Interdisciplinary Team (IDT)” means a group of people convened by a community centered board which shall include the person receiving services, the parent or guardian of a minor, a guardian or an authorized representative, as appropriate, the person who coordinates the provision of services and supports, and others as determined by such person's needs and preferences, who are assembled in a cooperative manner to develop or review the individualized plan.
“Loan Fund” means the Colorado Family Support Loan Fund.
“Mechanical Restraint” means the use of devices intended to restrict the movement or normal functioning of a portion of an individual's body. Mechanical restraint does not include the use of protective devices used for the purpose of providing physical support or prevention of accidental injury.
“Mental Retardation” means substantial limitations in present functioning. It is characterized by significantly sub-average intellectual functioning, existing concurrently with related limitations in two or more of the following applicable adaptive skill areas: communication, self-care, home living, social skills, community use, self-direction, health and safety, functional academics, leisure, and work. Mental retardation manifests before age 18.
“Minimum Effective Dose” means the smallest medication dosage necessary to produce the intended effect.
“Mistreatment” means an act or omission, which threatens the health, safety, or welfare of a person.
“Neglect“ means an act or failure to act by a person who is responsible for another's well being so that inadequate food, clothing, shelter, psychological care, physical care, medical care, or supervision is provided. This may include, but is not limited to, denial of meals, medication, habilitation, or other treatment necessities and which is not otherwise within the scope of Section 27-10.5, C.R.S., or these rules and regulations.
“Notice” means written notification hand delivered to or sent by first class mail that contains at least all of the following:
A.  The proposed action;
B.  The reason or reasons for that action;
C.  The effective date of that action;
D.  The specific law, regulation, or policy supporting the action;
E.  The responsible agency with whom a protest of the action may be filed including the name and address of the director.
F.  The dispute resolution procedure, including deadlines, in conformity with Section 16.320 and procedures on accessing agency records:
1.  For disputes involving individuals as defined in Section 16.322, information on availability of advocacy assistance, including referral to publicly funded legal services, corporation, and other publicly or privately funded advocacy organizations, including the protection and advocacy system required under 42 U.S.C. 6012, the Developmental Disabilities Assistance and Bill of Rights Act; and,
2.  For disputes involving individuals as defined in Section 16.322 an explanation of how the agency will provide services to a currently enrolled person during the dispute resolution period, including a statement that services will not be terminated during the appeal. Such explanation will include a description of services currently received.
“Parent” means the biological or adoptive parent. 
“Parent, within Early Intervention Services” means: 
A.  The biological or adoptive parent; 
B.  A guardian in a parental relation to the child authorized to act as the child’s parent or authorized to make educational decisions, but not the state if the child is a ward of the state; 
C.  A foster parent; 
D.  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,
E.  A surrogate parent who has been appointed in accordance with 34 CFR Section 303.406, incorporated as identified in Section 16.900, A, 4. 
“Physical Restraint” means the use of manual methods to restrict the movement or normal functioning of a portion of an individual's body through direct physical contact by others except for the purpose of providing assistance/prompts. Assistance/prompts is the use of manual methods to guide or assist with the initiation or completion of and/or support the voluntary movement or functioning of an individual's body through the use of physical contact by others except for the purpose of providing physical restraint.
“Physician” means a person licensed to practice medicine under Section 12-36-101, C.R.S., et seq., the Colorado Medical Practice Act.
"PRN” (Pro Re Nata) means giving drugs on an “as needed” basis through a standing prescription or standing order.
“Program Approved Service Agency” means a developmental disabilities service agency or typical community service agency as defined in Section 16.221, which has received program approval by the Department pursuant to Section 16.230 of these rules.
“Program Services” means an organized program of therapeutic, habilitative, specialized support or remedial services provided on a scheduled basis to individuals with developmental disabilities.
"Prospective New Service Agency” means an individual or any publicly or privately operated program, organization or business that has completed and submitted an application with a community centered board for selection and approval as a service agency to provide comprehensive services.
“Referral” means any notice or information (written, verbal, or otherwise) presented to a community centered board which indicates that a person may be appropriate for services or supports provided through the developmental disabilities system and for which the community centered board determines that some type of follow-up activity for eligibility is warranted.
“Referral and Placement Committee (RPC)” means an interdisciplinary or interagency committee authorized by a community centered board or the department to make referral and placement recommendations for persons receiving services.
“Regional Center” means a facility or program operated directly by the Department, which provides services and supports to persons with developmental disabilities.
“Restrictive Procedure” means any of the following when the intent or plan is to bring the person's behavior into compliance:
A.  Limitations of an individual's movement or activity against his or her wishes; or,
B.  Interference with an individual's ability to acquire and/or retain rewarding items or engage in valued experiences.
“Request for Eligibility Determination” means written formal documentation, either handwritten or a signed standardized form, which is submitted to a community centered board requesting that a determination of eligibility for services and supports be completed. 
“Safety Control Procedure” means a restrictive procedure or restraint that is used to control a previously exhibited behavior which is anticipated to occur again and for which the planned method of intervention is developed in order to keep the person and others safe. 
“Screening” for Early Intervention Services means a quick look at how a child is developing and learning to determine what areas of development, if any, are behind what would be expected for a child.
“Seclusion” means the placement of a person receiving services alone in a closed room for the purpose of punishment. Seclusion for any purpose is prohibited.
“Service Agency” means an individual or any publicly or privately operated program, organization or business providing services or supports for persons with developmental disabilities. 
“Statewide Database” means the state web-based system located at http://www.colorado.gov/cs/satellite/CDHS-main/CBON/1251575083520 that contains consumer-related demographic and program data. 
“Support Coordinating Agency” means a community centered board which has been designated as the agency responsible for the coordination of support services (supported living services for adults and the children's extensive support program) within its service area.
“Targeted Case Management Services” means those case management services which are provided as a Medicaid benefit for a specific target group of Medicaid recipients who have a developmental disability and who meet the program eligibility criteria identified in the Medical Assistance Staff Manual (10 CCR 2505-10) of the Colorado Department of Health Care Policy and Financing's Medicaid Manual. 

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[Instructions: replace lines 738367 through 1433459.] 
16.700  CHILDREN AND FAMILY SERVICES PROGRAMS [Rev. eff. 9/1/11] 
Children and Family Services Programs consist of the Family Support Services Program, the Family Support Loan Fund and the Children’s Extensive Support Waiver. 
16.710-16.714  (NONE) [Rev. eff. 9/1/11] 

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[Instructions: insert new section after line 738470.] 
16.900  EARLY INTERVENTION PROGRAM [Eff. 9/1/11] 
The Early Intervention program shall provide services for an infant or toddler, birth through two (2) years of age, with a developmental delay or disability and his or her family through a statewide, comprehensive, coordinated, multidisciplinary, interagency system of early intervention services.
A.  The Early Intervention Program shall provide services consistent with the following requirements: 
1.  The Colorado Revised Statute (C.R.S.) Title 27, Article 10.5, Sections 101 and 701, which are incorporated by reference; no later amendments or editions are included. The documents may be examined at any State Publications Depository Library and at the Colorado Department of Human Services, Division for Developmental Disabilities located at 4055 South Lowell Blvd., Denver, Colorado 80236. 
2.  The Colorado Revised Statute (C.R.S.) Title 10, Article 16, Sections 102 (28.5) and 104(1.3), which are incorporated by reference; no later amendments or editions are included. The documents may be examined at any State Publications Depository Library and at the Colorado Department of Human Services, Division for Developmental Disabilities located at 4055 South Lowell Blvd., Denver, Colorado 80236. 
3.  The United States Code (U.S.C.), Title 20, Parts 1401, 1419, 1431-1441 (The federal Individuals with Disabilities Education Act of 2004), U.S.C. Title 42, Part 1232 and 1320, as amended (the Public Health Service Act) Published by Office of the Law Revision Counsel of the U.S. House of Representatives, which are incorporated by reference; no later amendments or editions are included. These documents are for sale by the Superintendent of Documents, U.S Government Printing Office, Washington, D.C., 20402 and can be found at www.gpoaccess.gov/uscode. The documents may also be examined at any State Publications Depository Library and at the Colorado Department of Human Services, Division for Developmental Disabilities located at 4055 South Lowell Blvd., Denver, Colorado 80236. 
4.  The Code of Federal Regulations (C.F.R.), Title 34, Part 303 published by the Office of the Federal Register, National Archives and Records Administration, which is incorporated by reference; no later amendments or editions are included. The document is for sale by the Superintendent of Documents, U.S Government Printing Office, Washington, D.C., 20402 and can be found on the Government Printing Office website at www.gpoaccess.gov/nara. The document may also be examined at any State Publications Depository Library and at the Colorado Department of Human Services, Division for Developmental Disabilities located at 4055 South Lowell Blvd., Denver, Colorado 80236. 
5.  The General Education Provisions Act (GEPA), Section 427 of the Improving America's Schools Act of 1994 that applies to applicants for new grant awards under the federal Department of Education which is incorporated by reference; no later amendments or editions are included. The document is for sale by the Superintendent of Documents, U.S Government Printing Office, Washington, D.C., 20402, and can be found on the Government Printing Office website at www.gpoaccess.gov/nara. The document may also be examined at any State Publications Depository Library and at the Colorado Department of Human Services, Division for Developmental Disabilities located at 4055 South Lowell Blvd., Denver, Colorado 80236.
B.  The Early Intervention Program shall design services to meet the developmental needs of an eligible infant or toddler and the needs of his or her family related to functional outcomes to enhance the child’s development in the domains of adaptive development, cognitive development, communication development, physical development (including vision and hearing), and, social emotional development.
C.  Based on the unique needs of each child, Early Intervention Services shall be delivered through a combination of individualized intervention methods and strategies designed to: 
1.  Enhance the capacity of a parent or other caregiver to support a child’s well-being, development, and learning; 
2.  Support full participation of a child in his or her community; and, 
3.  Meet a child’s developmental needs within the context of the concerns and priorities of his or her family. 
D.  All available resources that pay for Early Intervention Services shall be Identified and coordinated, including, but not limited to, federal, state, local, and private sources. 
E.  A system for the Resolution of intra- and interagency disputes shall be used. 
F.  Formal interagency operating agreements, as needed, shall be developed to facilitate the development and implementation of a statewide, comprehensive, coordinated, multidisciplinary, interagency system of Early Intervention Services. 
G.  A statewide system for compiling data on the Early Intervention Services shall be used to comply with state and federal reporting requirements. 
16.910  SYSTEM COORDINATION [Eff. 9/1/11]
A.  Local Interagency Coordinating Council
1.  Each Community Centered Board shall have a Local Interagency Coordinating Council that meets at least quarterly to assure that federal, state, local and private resources are well-coordinated in local communities to assist families to meet the needs of their infants or toddlers with developmental delays or disabilities. 
2.  Membership for a Local Interagency Coordinating Council shall include, at a minimum: 
a.  At least one (1) member who is a parent with a child aged twelve (12) years or younger and at least one (1) member who is a parent of a child aged six (6) years or younger, both of whom have knowledge of, or experience with, Early Intervention Services; 
b.  A representative of a local education agency; 
c.  A representative of a county department of public health; 
d.  A representative of a county department of social/human services; 
e.  Members who are public or private providers of Early Intervention Services; and, 
f.  Other members of the community at large who are interested in Early Intervention Services or are involved in the provision of, or payment for, Early Intervention services. 
3.  The purpose of a Local Interagency Coordinating Council is to advise a Community Centered Board regarding: 
a.  The planning, delivery, and evaluation of Early Intervention Services, including methods to identify and correct gaps in services; 
b.  The coordination of services and funding resources; and, 
c.  The collection and use of child and family outcomes and program data to inform early intervention policies and practices within the designated service area. 
B.  Interagency Operating Agreements 
1.  Each Community Centered Board shall, at a minimum, establish and maintain the following interagency operating agreements: 
a.  Local education agencies agreements that include responsibilities for Child Find and transition activities, and assisting in the development and implementation of the statewide plan in accordance with Section 27-10.5-704, C.R.S., which is incorporated by reference as defined in Section 16.900, A, 1; 
b.  County departments of social/human services agreements that include responsibilities for referrals under the Child Abuse Prevention and Treatment Act, as amended by P.L. 111-320, for a child who is less than three (3) years of age who is involved in a substantiated case of child abuse or neglect or is identified as affected by illegal substance abuse, or withdrawal symptoms resulting from prenatal drug exposure; 
c.  Early Head Start Program agreements, within the Community Centered Board service area that include responsibilities for the coordination of available services and avoidance of duplication of effort for children enrolled in Early Head Start and Early Intervention Services; and, 
d.  Other local agency agreements, as needed, that are involved with early intervention services that specify the responsibilities of each agency.
2.  A Community Centered Board shall ensure that interagency operating agreements remain current and are updated as needed. 
16.911  Fiscal Management [Eff. 9/1/11] 
A.  A Community Centered Board or other certified Early Intervention Service Broker shall: 
1.  Only purchase Early Intervention Services from providers that meet the qualifications as defined by the Department; 
2.  Establish and maintain necessary cost accounting systems according to general accounting principles to properly record, and allocate separately, the revenue and expenses for federal Part C of the Individuals with Disabilities Education funds, state-funded Early Intervention Services, Medicaid funds and private health insurance funds that are billed through the Community Centered Board, local funds, and other funds used for the purchase of Early Intervention Services; 
3.  Ensure that Part C of the Individuals with Disabilities Education funds are: 
a.  Used only as payor of last resort; and, 
b.  For purposes of accounting, not be commingled with any other funds received. 
4.  Track expenditures for each funding source for service coordination, direct services, management fee and any other expense line item as defined by the Department. 
5.  Submit a year-end reconciliation of all early intervention funds and an accounting of un-expended funds following procedures as defined in the annual contract with the Department. 
6.  Notify the Division for Developmental Disabilities of any proposed change of reimbursement rates for all Early Intervention Services at least fifteen (15) calendar days prior to the use of such rates and, upon request, its rate-setting methodology. 
B.  The maximum reimbursement rate for any early intervention service shall be subject to restriction by the Department.
16.912  Coordinated System of Payment [Eff. 9/1/11]
A.  Funding Hierarchy 
1.  Early Intervention Services shall be available at no cost to a parent of an eligible infant or toddler. 
2.  The following ordering of funding sources shall be used when an Individualized Family Services Plan team determines the appropriate funding source(s) to pay for needed Early Intervention Services: 
a.  Use of private pay; then, 
b.  Private health insurance; then, 
c.  Medicaid/Title XIX funding and Child Health Plan Plus; then, 
d.  Child Welfare and Temporary Assistance to Needy Families; then, 
e.  State General Funded early intervention services and other State or Federal sources; then, 
f.  Other local funds, as may be made available; then, 
g.  Federal Part C funds. 
3.  Implementation of the funding hierarchy shall be in accordance with 34 C.F.R. Section 303.520(b)(3), which is incorporated by reference as defined in Section 16.900, A, 4.
4.  State and Federal funds may be used in combination with other funding sources as necessary and appropriate, and within State and Federal defined parameters, to ensure the provision of Early Intervention Services. 
B.  Payment from Private Health Insurance Carriers 
1.  Subject to Section 10-16-104(1.3), C.R.S., which is incorporated by reference as defined in Section 16.900, A, 4, private health insurance carriers who are responsible to cover Early Intervention Services for an eligible dependent child shall provide Early Intervention Services except that non-emergency medical transportation, respite care, service coordination as defined in Section 16.950, B, 10, and assistive technology shall be excluded, unless assistive technology is covered under an applicable insurance policy or service or indemnity contract as durable medical equipment benefit provisions. 
2.  Coverage required by private health insurance carriers shall be available annually to an eligible infant or toddler from birth up to the third birthday. As of January 1, 2010, the maximum annual benefit payable shall be limited to six thousand sixty-seven dollars ($6,067.00), including case management, for early intervention services for each dependent infant or toddler per benefit plan year. 
a.  For policies or contracts issued or renewed on or after January 1, 2011, and on or after each January 1 thereafter, the limit shall be adjusted by the Department based on the consumer price index for the Denver – Boulder - Greeley metropolitan statistical area for the State Fiscal Year that ends in the preceding calendar year or by such additional amount to be equal to the increase by the General Assembly to the annual appropriated rate to serve one child for one fiscal year in the state-funded early intervention program if that increase is more than the consumer price index increase. 
b.  The limit on the annual amount of coverage for Early Intervention Services shall not apply to: 
1)  Rehabilitation or therapeutic services that are necessary as the result of an acute medical condition or post surgical rehabilitation; or, 
2)  Services provided to a child who is not participating in Early Intervention Services that are not provided pursuant to an Individualized Family Service Plan; however, such services shall be covered at the level specified in Section 10-16-104(1.7), C.R.S., which is incorporated by reference as defined in Section 16.900, A, 2, or, 
3)  Assistive technology that is covered by the policy’s durable medical equipment benefit provisions. 
3.  Coverage for a family who elects to receive early intervention services under an Individualized Family Service Plan shall not be subject to deductibles or co-payments. Any benefits paid under the coverage required by Section 10-16-104(1.3), C.R.S., which is incorporated by reference as defined in Section 16.900, A, 2, shall not be applied to an annual or lifetime maximum benefit contained in the policy or contract, except as provided for high deductible plans in Section 10-16-104(1.3)(d), C.R.S. 
4.  A qualified early intervention provider that receives reimbursement for services funded by the trust fund shall accept such reimbursement as payment in full for services under Section 10-16-104(1.3), C.R.S., which is incorporated by reference as defined in Section 16.900, A, 2, and shall not seek additional reimbursement from either the eligible infant’s or toddler’s family or the carrier. 
5.  If funds deposited into the trust are fully expended prior to the end of the insurance plan year, the certified Early Intervention Service broker, as defined in Section 16.913, shall coordinate with the Division for Developmental Disabilities to ensure that services continue. At the beginning of the new plan year, the private health insurance carrier shall be responsible to deposit additional funds as established by Section 16.912, B, 3. 
6.  Private health insurance carriers shall be notified within ninety (90) calendar days if an infant or toddler is no longer eligible for Early Intervention Services.
C.  Trust Fund
1.  A trust fund shall be established in accordance with Section 27-10.5-706(2), C.R.S., which is incorporated by reference as defined in Section 16.900, A, 1, for the purpose of accepting deposits from private health insurance carriers for Early Intervention Services to be provided on behalf of infants and toddlers under a participating insurance plan. 
2.  Funds deposited in the trust fund shall be utilized only on behalf of each infant and toddler for whom funds have been placed into the trust fund for the following: 
a.  Early intervention services; 
b.  A monthly case management (service coordination) fee based on the annual State appropriated rate; 
c.  A monthly certified Early Intervention Service Broker fee as defined by the Department, pursuant to Section 16.913, shall be applied to each child’s account; and, 
d.  A monthly fee as determined by the Department to administer the trust fund shall be applied to the account for each child covered by a qualifying plan. 
3.  Upon exit from early intervention services or discontinuation of coverage by the private health insurance carrier, a private health insurance carrier shall be notified of monies deposited in the trust fund on behalf of an eligible dependent infant or toddler that are not expended and the funds shall be returned within ninety (90) calendar days. 
4.  No later than April 1 of each year, private health insurance carriers shall be provided with a report specifying the amount of benefits paid to certified Early Intervention Service Brokers for services provided to an eligible infant or toddler during the prior calendar year, including the amount paid to each certified Early Intervention Service Broker and the services provided to an eligible infant or toddler. 
16.913  Certified Early Intervention Service Brokers [Eff. 9/1/11] 
A.  Designation of Roles and Responsibilities
1.  One entity per Community Centered Board service area shall be designated in writing by the Department as the Certified Early Intervention Service Broker for that region. 
2.  A Community Centered Board or other interested agency shall submit an application on a form determined by the Department for designation as a certified Early Intervention Service Broker. 
3.  Designation as a certified Early Intervention Service Broker shall be based on the following criteria: 
a.  Agency background and expertise in early intervention services; 
b.  Agency policies and procedures that ensure accurate data entry as required by the Department; 
c.  Demonstrated ability to conform with generally accepted accounting and contracting practices; and, 
d.  Assurance to comply with State and Federal laws and regulations regarding Early Intervention Services as defined in Section 16.900, et seq. 
e.  Failure to maintain ongoing compliance with the above criteria may result in revocation of designation as a certified Early Intervention Service Broker. 
4.  If the Department determines that a Community Centered Board or other entity does not meet the criteria to be designated as a Certified Early Intervention Service Broker or is de-designated as the certified early intervention service broker, the Community Centered Board or other entity may dispute the decision in accordance with Section 16.210. 
5.  If a Community Centered Board is unwilling to be the certified Early Intervention Service Broker for its service area, or the Community Centered Board does not meet the criteria established in Section 16.913, A, 3, then applications from other entities shall be solicited and accepted and another entity shall be designated as the Certified Early Intervention Service Broker. 
6.  If no certified Early Intervention Service Broker can be found, the Division for Developmental Disabilities may act as the Early Intervention Service Broker until such time as a certified Early Intervention Service Broker can be found. 
7.  Upon designation, a certified Early Intervention Service Broker shall: 
a.  Ensure payment for Early Intervention Services rendered pursuant to an Individualized Family Service Plan; 
b.  Ensure that federal funds for Early Intervention Services are utilized as payor of last resort; 
c.  Use procedures and forms as defined by the Department to document the provision or purchase of Early Intervention Services; 
d.  Negotiate, within state and federally-defined parameters and Section 16.913, B, for payment of Early Intervention Services; 
e.  Notify the appropriate public or private health insurance plan within ten (10) working days that a covered infant or toddler has been determined eligible for Early Intervention Services. At a minimum, the notification shall include: 
1)  The child’s name; 
2)  The child’s date of birth; 
3)  The name of the private health insurance carrier; 
4)  The policy/group number and subscriber number or Social Security Number; 
5)  The name of the primary policy holder; 
6)  The insurance customer service telephone number; 
7)  The initial Individualized Family Service Plan date; and, 
8)  The contact person and telephone number at the Early Intervention Service Broker. 
f.  Establish a registry of qualified early intervention service providers from which Early Intervention Services to eligible infants and toddlers in the designated service area shall be purchased; 
g.  Accept and process insurance claims in accordance with state and federal law for those families with health insurance coverage for Early Intervention Services; 
h.  Ensure that all required demographic and billing information is entered for each child who is eligible for Early Intervention Services, as defined in Section 16.920, D, into the statewide data system as defined by the Department; 
i.  Participate in ongoing reviews of the funding hierarchy; and, 
j.  Provide the Department with accurate data for reporting purposes for the legislature or other funding sources. 
8.  Certified Early Intervention Service Brokers may provide Early Intervention Services directly or may subcontract the provision of services to other qualified providers on the registry. 
9.  Invoices or insurance claims for Early Intervention Services shall be submitted based on the available funding source for each eligible child and the reimbursement rate for the appropriate Federal, State, local, or private funding sources, including public medical assistance and private health insurance. 
10.  Reimbursement rates for Early Intervention Service Broker functions shall be established with input from certified Early Intervention Service Brokers. 
11.  Use of a Certified Early Intervention Service Broker shall be voluntary. Qualified early intervention service providers may directly bill the appropriate program of public medical assistance or a participating provider for services rendered, in accordance with Section 10-16-102 (28.5), C.R.S., which is incorporated by reference as defined in Section 16.900, A, 2. 
B.  Purchase of Service Rates 
1.  The Early Intervention Service Broker shall adopt and implement sufficient policies and procedures to ensure: 
a.  The qualified provider or employee meets minimum provider qualifications as set forth in Section 16.951; 
b.  Services are delivered in accordance with Section 16.950 and as identified in the Individualized Family Service Plan; and, 
c.  The qualified provider maintains sufficient documentation to support the claims submitted. 
2.  The process and methodology the Early Intervention Service Broker implements to determine the rates to be paid to the contracted qualified provider or for services provided directly by the Community Centered Board shall be based on the usual and customary practices of the local community and be documented in the policies and procedures of the Early Intervention Service Broker, and shall be made available to the Department upon request. 
3.  The Early Intervention Service Broker is the provider of record for all of the services for which it contracts through qualified providers.
4.  The Early Intervention Service Broker purchase of service rates shall comply with the following: 
a.  Rates must be consistent with efficiency, economy and quality of care. 
b.  The policy and methods used in setting payment rates must be in writing and consistently applied to all qualified providers, including the Community Centered Board as a provider.
c.  Documentation of payment rates must be maintained and made available upon request. 
5.  A qualified provider must be given sufficient information concerning the service obligations to assist them in developing cost effective and efficient rate proposals. 
6.  The Early Intervention Service Broker shall maintain written documentation on how rates were established and paid, and an audit trail of provider expenses to support payments. 
7.  When a Community Centered Board operating as an Early Intervention Service Broker or contracting with a qualified provider proposes to charge fees to a service agency for services, the following must be complied with: 
a.  The board of directors must approve all plans to charge a qualified provider; 
b.  The Community Centered Board must provide the qualified provider with a written description for each service provided and the amount of the proposed fee for each service; 
c.  The proposed fee to a qualified provider cannot be established to pay for services otherwise reimbursed, as determined by the Department; 
d.  Any proposed fee by a Community Centered Board related to managing the billing process must meet the following criteria: 
1)  The fee must relate to the cost of processing billings; 
2)  The fee must not be related on a percentage or other basis to the amount that is billed or collected; and,
3)  The fee must not be dependent upon the collection of payment. 
e.  Negotiated fees between a Community Centered Board and a qualified provider may not be deducted from any payments for services. 
f.  The Community Centered Board shall provide the qualified provider with statements for services delivered. 
8.  The Community Centered board shall establish procedures and time frames that provide the opportunity for a qualified provider to protest the proposed fee charges to the Community Centered Board, and for a timely written response within ten (10) days of receipt. 
9.  The Community Centered Board shall inform the qualified provider of the opportunities to dispute the decision to the Department as defined in Section 16.323. 
10.  The Community Centered Board shall submit a copy of all disputes and subsequent proceedings to the Department within ten (10) days of completion of the proceedings.
16.914  Data Collection [Eff. 9/1/11]
A.  A Community Centered Board shall ensure that policies and procedures are developed and maintained to ensure information regarding Early Intervention Services is collected and documented as defined by the Department. 
B.  A Community Centered Board shall have an Early Intervention Data Coordinator who shall: 
1.  Be knowledgeable of the statewide database, data entry requirements and timelines, and report information; 
2.  Ensure that each staff who enters data into the statewide database is trained in the use of the system; and, 
3.  Ensure that all data is entered into the statewide database as defined by the Department. 
C.  A Community Centered Board shall ensure that for each child who is referred for Early Intervention Services: 
1.  An early intervention record is established and maintained: and, 
2.  All required data from the record be entered into the statewide database from the date of the referral and tracked through eligibility or ineligibility and exit from Early Intervention Services. 
16.915  General Supervision and Monitoring [Eff. 9/1/11] 
A.  Monitoring activities shall ensure compliance with Part C of the Individuals with Disabilities Education Act and state statutes and rules and shall include the following: 
1.  Self-assessment procedures;
2.  Examination of program data; 
3.  Special analysis;
4.  On-site reviews; and,
5.  Any other methods as determined by the Department. 
B.  The results of monitoring shall be publicly reported on the Early Intervention Colorado website and submitted to State and Federal entities, as needed. 
C.  A Community Centered Board shall have an Early Intervention Coordinator who shall complete state approved training and be: 
1.  Knowledgeable of Early Intervention Services and federal and state requirements; 
2.  The liaison to the Division for Developmental Disabilities regarding the Early Intervention program; 
3.  Responsible for the local implementation of a comprehensive and coordinated system of Early Intervention Services; and, 
4.  The contact for families regarding procedural safeguards. 
D. A Community Centered Board shall maintain: 
1.  A complete file of all early intervention records, documents, communications, and other written materials which pertain to the operation of an Early Intervention Program or the delivery of Early Intervention Services; and, 
2.  Such records for a period of six (6) years after the date of closure of the record or for such further periods as may be necessary to resolve any matters that may be pending. 
E.  The following information shall be maintained for each child’s record: 
1.  Log of access; 
2.  Referral information;
3.  Parent consent to evaluate; 
4.  Parent consent to use private health insurance or Medicaid; 
5. Prior notice documentation; 
6. Parent consent to share information; 
7.  Individualized Family Service Plans; 
8.  Progress and assessment reports, including child outcomes measurement information; 
9. Case notes; 
10.  All correspondence related to a child and family; 
11.  Fiscal records, including documentation of early intervention service provision by qualified providers; and, 
12. Any medical documentation related to the diagnosis or medical condition of the referred child, including history and services. 
F.  A Community Centered Board shall permit the state, federal government, or any other duly authorized agent of a governmental agency to audit, inspect, examine, excerpt, copy, and/or transcribe records during the term of a contract for early intervention services and for a period of six (6) years following termination of the contract or final payment hereunder, whichever is later, to assure compliance with federal regulations and/or state statutes and rules or to evaluate an Early Intervention Program’s performance. 
16.920  CHILD IDENTIFICATION [Eff. 9/1/11]
The Early Intervention Program shall have a comprehensive system, pursuant to 34 C.F.R. Section 303.321, which is incorporated by reference as defined in Section 16.900, A, 4, that focuses on the early identification of infants and toddlers who have developmental delays or disabilities, including a system for making referrals so that timely and rigorous identification in accordance with Section 16.920, B – F, shall occur. 
A.  Public Awareness 
1.  A Community Centered Board shall work with local education agencies, the Local Interagency Coordinating Council, and, other community members, as necessary in order to develop a coordinated program of public awareness. 
2.  A Community Centered Board shall ensure that it has an Internet link on its website to the Early Intervention Colorado website at www.eicolorado.org and that families are informed of the website and the statewide toll free number 1-888-777-4041. 
3.  A Community Centered Board shall ensure that information on the Early Intervention Colorado program is available via an Internet website, and in a written format, upon request of a family. 
4.  A Community Centered Board shall ensure that printed materials from the Department and other products are made available for families and the general public, as well as through state and local interagency efforts for outreach to primary referral sources, including hospitals, physicians, other health providers, child care providers and other public and non-profit agencies. 
B.  Referral
1.  For the purpose of referral of a child, birth through two (2) years of age, referral means a verbal or written notification from a referral source to the Community Centered Board or local education agency about a child who has a known or suspected developmental delay, established condition or who lives with a parent with a developmental disability. 
2.  A Community Centered Board shall accept a referral from community sources, including, but not limited to, a family, health provider, child care provider, local education agency, county department of social/human services, county department of health, and others.
3.  A Community Centered Board shall use an early intervention referral form and procedures as defined by the Department, and shall facilitate, to the extent possible, the use of the early intervention referral form by other referral sources in its designated service area. 
4.  A Community Centered Board shall assign a service coordinator within three (3) working days from the date of a referral. 
5.  The family shall be contacted as soon as possible after being assigned a service coordinator, but no longer than seven (7) calendar days from the date of the referral to provide the service coordinator’s contact information and inform the family of their procedural safeguards. 
6.  A Community Centered Board shall notify the appropriate local education agency within three (3) working days of a child being referred for Early Intervention Services for whom a Child Find evaluation needs to be conducted. 
7.  Community Centered Board shall: 
a.  Notify the referral source of the receipt of the referral using the state form; 
b.  Provide the contact information for the assigned service coordinator; and, 
c.  With written parent consent, notify the referral source and the child’s primary health provider of the results of the evaluation and/or assessment using a state form. 
8.  Referral information sent to a local education agency by a Community Centered Board shall contain at least the following: 
a.  The first, middle, and last name of the child; 
b.  Date of birth of the child; 
c.  Gender of the child; 
d.  Parent name, address, and telephone number; 
e.  Primary language spoken; 
f.  Name and telephone number of an assigned service coordinator; and, 
g.  Date of the referral. 
9.  If a Community Centered Board becomes aware of a child who has been referred to a local education agency for a multidisciplinary evaluation that will not be completed within forty-five (45) calendar days of the date of the referral, then the Community Centered Board shall notify the Division for Developmental Disabilities within two (2) business days from the time that the Community Centered Board has been notified by the local education agency using state procedures. 
C.  Evaluation and Assessment 
1.  A Community Centered Board shall work with local education agencies, the Local Interagency Coordinating Council, and other community members, as necessary, to develop a local child identification process to ensure that: 
a.  Procedures identified in Section 16.920, E, are adhered to; 
b.  A screening, as defined in Section 16.120, is administered by appropriately trained personnel, and evaluation and assessment methods are administered by appropriately qualified personnel; 
c.  An evaluation and assessment, as defined in Section 16.120, are conducted within forty-five (45) calendar days of the date of the referral of a child, birth through two (2) years of age, who is referred for early intervention services, and, if the child is eligible, completion of an Individualized Family Service Plan. 
2.  Each child, birth through two (2) years of age, who is referred for early intervention services shall receive: 
a.  An evaluation by a multidisciplinary team to determine if there is a developmental delay and an assessment as defined in Section 16.120 to identify a child’s current levels of development in all developmental domains; or, 
b.  A multidisciplinary assessment by a multidisciplinary team for a child who is eligible due to an established condition or due to living with a parent with a developmental disability to identify the child’s current levels of development in all developmental domains. 
3.  Written notice shall be provided to the parent prior to the scheduling of an evaluation and/or assessment and a copy of the notice shall be maintained in the child’s record. 
4.  Written parent consent shall be obtained prior to any evaluation and/or assessment being conducted and a copy of the consent shall be maintained in the child’s record. 
5.  An evaluation shall include a multidisciplinary process by a team comprised of a minimum of two appropriately licensed/qualified professionals, at least one of whom is qualified in the primary area of developmental concern. 
6.  An evaluation and assessment shall be based on informed clinical opinion. 
7.  Informed clinical opinion as used in this section means the process used for determining current levels of development in all developmental domains based on a synthesis of objective qualitative and quantitative information from multiple sources that, at a minimum, includes: 
a.  A review of pertinent records related to current health status and medical history; 
b.  A family report about the perceptions and observations of their child’s development; and, 
c.  The results of appropriate methods and procedures. 
8.  Using multiple methods and procedures, a multidisciplinary evaluation and assessment team shall: 
a.  Evaluate current levels of development in each of  the following domains: 
1)  Adaptive development; 
2)  Cognitive development; 
3)  Communication development; 
4)  Physical development, including vision and hearing; and, 
5)  Social emotional development. 
b.  Assess a child’s and family’s unique strengths and needs; 
c.  Identify the early intervention services that would meet a child’s and family’s needs; and, 
d.  Identify priorities and concerns of the family and resources to which the family has access. 
9.  A family assessment process with a multidisciplinary evaluation and/or assessment team shall be made available to any parent. 
a.  A family assessment is voluntary on the part of the parent. 
b.  A family assessment shall be family-directed and designed to determine the resources, priorities and concerns of a parent related to enhancement of his or her child’s development. 
c.  If completed, the family assessment must be: 
1)  Conducted by qualified personnel trained to utilize appropriate methods and procedures; 
2)  Based on information provided by the parent through a personal interview; 
3)  Inclusive of a parent description of his or her resources, priorities and concerns related to enhancing his or her child’s development; and, 
4)  Completed within forty-five (45) calendar days of the date of referral in order to contribute to the development of the initial Individualized Family Service Plan. 
10.  Evaluation and assessment methods, tools and procedures shall be administered in accordance with 34 C.F.R. Section 303.323, A, which is incorporated by reference as defined in Section 16.900, A, 4, the native language of the parent or other mode of communication. 
11.  Evaluation and assessment methods, tools and procedures shall be selected and administered so as not to be racially or culturally discriminatory. 
12.  If an Individualized Family Service Plan is developed at the same meeting as the evaluation and assessment, then the service coordinator shall ensure that prior written notice about the evaluation and Individualized Family Service Plan development is sent to the parent informing him or her of the date, time and location at least ten (10) calendar days prior to the meeting, and maintain a copy in the child’s record. 
D.  Eligibility Criterion 
An infant or toddler, birth through two (2) years of age, shall be eligible for Early Intervention Services if he or she has a developmental delay as defined in Section 16.920, D, 1, or, an established diagnosed physical or mental condition as defined in Section 16.920, D, 2, or lives with a parent who has a developmental disability as defined in Section 16.920, D, 3. 
1.  Developmental delay is defined as the existence of at least one of the following measurements: 
a.  Equivalence of twenty-five percent (25%) or greater delay in one (1) or more of the five domains of development as defined in Section 16.920, C, 8, a, when compared with chronological age; or, 
b.  Equivalence of one and a half (1.5) standard deviations or more below the mean in one (1) or more of the five domains of development. 
2.  Established condition is defined as a diagnosed physical or mental condition that is determined by qualified health professionals utilizing appropriate diagnostic methods and procedures to have a high probability of resulting in significant delays in development and is listed in the Established Conditions Database. 
a.  A child does not have to be exhibiting delays in development at the time of diagnosis to be eligible for Early Intervention Services. 
b.  A Community Centered Board shall use the Established Conditions Database to confirm eligibility based on an established condition. 
3.  An infant or toddler who lives with a parent who has been determined to have a developmental disability by a Community Centered Board is eligible to receive Early Intervention Services using any funding source other than the Federal Part C funds.  Such services may include, but are not limited to, developmental intervention for parent education and monitoring child development. 
E.  Eligibility Determination for Developmental Delay 
1.  Eligibility shall be based on a developmental delay as defined in Section 16.920, D, 1. 
2.  Results derived solely from a single procedure shall not be used to determine eligibility or ineligibility. 
3.  The following shall be documented in an Individualized Family Service Plan: 
a.  Name, discipline, and signature of each team member who participated in the evaluation and assessment; 
b.  Types of methods and procedures used to conduct the evaluation and assessment; 
c.  The measurable results of the multidisciplinary evaluation and/or assessment in each of the developmental domains; 
d.  Eligibility or ineligibility determination; 
e.  Name and signature of the Community Centered Board representative who verifies that the evaluation and assessment team gathered and provided diagnostic information to establish eligibility or ineligibility; and, 
f.  Signature of a parent acknowledging that he or she has been informed of his or her child’s eligibility determination. 
4.  If a child is determined ineligible for Early Intervention Services, the family shall be informed of: 
a.  The right to dispute resolution procedures as defined in Section 16.990; and, 
b.  Other community resources that may assist his or her child. 
F.  Eligibility Determination Based on an Established Condition 
1.  There shall be supporting documentation from a qualified health professional for a diagnosed physical or mental condition maintained in the child’s record.
2.  The diagnosis or condition shall be included in the Established Conditions Database. 
3.  There shall be documentation in the Individualized Family Service Plan regarding the name of the diagnosed condition on which eligibility is based. 
4.  A multidisciplinary assessment for a child with an established condition shall be conducted to identify a child’s current levels of development in all developmental domains, including hearing and vision, in order to develop an initial Individualized Family Service Plan. 
16.930  SERVICE COORDINATION [Eff. 9/1/11] 
A.  A Community Centered Board shall provide service coordination for each infant and toddler from the date of the referral through transition at three (3) years of age or exit from Early Intervention Services, or a determination of ineligibility, whichever occurs first. 
B.  A service coordinator shall: 
1.  Meet personnel standards as defined by the Department and those of the hiring agency; 
2.  Complete the following: 
a.  Required service coordination online orientation training modules within one (1) month of employment as a service coordinator; 
b.  All introductory training required by the Department on the service coordination core competency requirements and the development and implementation of an Individualized Family Service Plan within one hundred and twenty (120) calendar days of employment as a service coordinator; and, 
c.  Document all completed training in the Early Intervention Provider Database. 
3.  Ensure a parent is informed of his or her rights and how to exercise them as defined in Section 16.980; 
4.  Ensure that required information for each child referred for Early Intervention Services is provided for entry into the statewide database in accordance with reporting requirements of the Department; 
5.  Coordinate with local education agencies the performance of a child’s evaluation and assessment and ensure compliance with all parts of the requirements of Section 16.920; 
6.  Facilitate and participate in the meeting to develop the initial Individualized Family Service Plan; 
7.  Ensure Early Intervention Services authorized in an Individualized Family Service Plan are initiated within twenty-eight (28) calendar days of written parent consent for early intervention services; 
8.  Ensure that a parent is informed of the coordinated system of payment funding hierarchy and ensure appropriate use of all available funding for Early Intervention Services; 
9.  Ensure that a parent has been given reasonable choice in the selection of available and qualified personnel to provide the Early Intervention Services documented in the Individualized Family Service Plan;
10.  Coordinate and monitor the delivery of Early Intervention Services; 
11.  Review the Individualized Family Service Plan at least once every six (6) months, and update as needed; 
12.  Facilitate and participate in the meeting to develop an annual Individualized Family Service Plan; 
13.  Inform a parent of available advocacy services; 
14.  Coordinate with health providers and other community resources, as appropriate; 
15.  Facilitate development of a transition plan for a toddler approaching three (3) years of age; and, 
16.  Assist a parent with dispute resolution regarding Early Intervention Services, if needed. 
16.940  INDIVIDUALIZED FAMILY SERVICE PLAN [Eff. 9/1/11]
A.  An Individualized Family Service Plan shall serve as the Individualized Plan for a child less than three (3) years of age receiving Early Intervention Services. 
B.  A service coordinator shall ensure that an Individualized Family Service Plan is: 
1.  Developed within a reasonable time after an eligibility determination has been made, but no later than forty-five (45) calendar days from the date of the referral, unless a delay is due to documented exceptional family circumstances; 
2.  Developed with the involvement of at least one representative of the multidisciplinary evaluation and assessment team in the development of the initial Individualized Family Service Plan for an eligible child; 
3.  Developed jointly with a parent, other individuals of a parent's choice, members of an evaluation and/or assessment team, service coordinator, and, as appropriate, qualified personnel providing early intervention services;
4.  Based on, and contains the results of, the evaluation and assessment information and the family’s concerns, 
5.  Inclusive of Early Intervention Services to be provided in natural environments that are necessary to enhance the child’s development and the capacity of the parent or other caregiver to meet the developmental needs of the child; 
6.  Culturally sensitive; 
7.  Reviewed every six (6) months, or more frequently if necessary or if requested by the parent, in order to: 
a.  Determine progress toward achieving the identified outcomes; 
b.  Revise or add an outcome, if needed; and,
c.  Determine early intervention services necessary to meet the identified outcomes. 
8.  Updated annually through a meeting of the Individualized Family Service Plan team, including the parent, to: 
a.  Discuss and document the child’s current developmental levels in all developmental domains gathered through assessment methods as defined by the Department; 
b.  Determine progress toward achieving the identified outcomes; 
c.  Determine the child’s ongoing need for early intervention services; 
d.  Revise or add an outcome, if needed; and, 
e.  Determine what Early Intervention Services are necessary to meet the identified outcomes. 
C.  if it is determined during an Individualized Family Service Plan review that a child is functioning at age-appropriate levels when compared with chronological age, the following shall occur: 
1.  The Individualized Family Service Plan team shall determine whether one or more Early Intervention Services are no longer needed for the child to continue to progress; 
2.  The service coordinator shall explain the dispute resolution procedures to the parent as defined in Section 16,120; 
3.  The service coordinator shall provide written prior notice to the parent of the action to exit his or her child from Early Intervention Services if no services continue to be needed; 
4.  The child’s record shall remain open for ten (10) calendar days from the written prior notice date; and, 
5.  Following the ten (10) calendar day period from the written prior notice date, if there is no dispute resolution request from the parent, the early intervention record for the child shall be closed. 
D.  An initial, annual or periodic review meeting to evaluate an Individualized Family Service Plan shall include the following participants: 
1.  Parent of a child; 
2.  Service coordinator; 
3.  Persons directly involved in conducting the evaluations and assessments; 
4.  As appropriate, a person providing Early Intervention Services to a child or family; and, 
5.  Additional participants may include, but are not limited to, the following: 
a.  Other family members, as requested by a parent; and, 
b.  An advocate or person outside of a family, as requested by a parent. 
E.  If any person who conducted an evaluation and/or assessment is unable to participate in person, he or she shall participate by: 
1.  Telephone or Internet web conference; 
2.  A knowledgeable authorized representative attending the meeting in his or her place; or, 
3.  The provision of appropriate reports for use at the meeting. 
F.  An Individualized Family Service Plan shall be conducted in accordance with 34 C.F.R. Section 303.342, d, which is incorporated by reference as defined in Section 16.900, A, 4:
1.  In a setting and at a time that is convenient to the parent; and, 
2.  In the primary language of the parent or other mode of communication used by the parent, unless clearly not feasible to do so. 
G.  The content of an Individualized Family Service Plan shall, at a minimum, meet the requirements of 34 C.F.R. Section 303.344, which is incorporated by reference as defined in Section 16.900, A, 4, and be completed using the state form available at the state website at www.eicolorado.org. 
H.  A parent may withhold consent for an Early Intervention Service without jeopardizing the delivery of any other Early Intervention Service for which consent is given. 
I.  If a parent and other Individualized Family Service Plan team members do not agree on any aspect of an Early Intervention Service, a service coordinator shall implement the sections of the plan that are not in dispute. 
J.  A parent may exercise his or her rights as defined in Section 16.990 to resolve a dispute while continuing to receive those services in an Individualized Family Service Plan that are not subject to a dispute. 
K.  An interim Individualized Family Service Plan shall be developed to provide a temporary Early Intervention Service prior to completion of an evaluation and assessment only when the service is determined by qualified professionals to be immediately necessary and when the following conditions are met: 
1.  A child has been determined to be eligible for Early Intervention Services; 
2.  Written parent consent is obtained; and, 
3.  An evaluation and assessment are completed within forty-five (45) calendar days of the date of the referral. 
16.950  EARLY INTERVENTION SERVICES [Eff. 9/1/11]
A.  Early Intervention Services shall be: 
1.  Provided only after the development of an Individualized Family Service Plan and written parental consent is obtained for those services identified in the Individualized Family Service Plan; 
2.  Provided to meet the developmental needs of an eligible infant or toddler and the needs of a parent or other caregivers related to enhancing child development; 
3.  Based on appropriate peer-reviewed, evidence-based practices, to the extent practical, and related to functional outcomes and developmentally appropriate practices; 
4.  Provided by qualified providers who meet the state personnel guidelines for each Early Intervention Service; 
5.  Provided in a culturally relevant manner, including use of an interpreter, if needed;
6.  Provided in the natural environments of the child and family to the maximum extent appropriate. If there is a determination that an Early Intervention Service cannot be provided in a natural environment, written justification shall be provided in the Individualized Family Service Plan; and, 
7.  Provided in physical settings where community-based Early Intervention Services are accessed that meet all fire, building, licensing and health regulations, as applicable. 
B.  Early intervention services shall include the following: 
1.  “Assistive Technology Services”: 
a.  Means the direct selection, acquisition or use of assistive technology devices and includes: 
1)  Functional evaluation of the developmental needs of the infant or toddler in his or her usual environments; 
2)  Selection, acquisition, modification or customization and maintenance of assistive technology devices; 
3)  Training or technical assistance for an infant or toddler, his or her parent, other caregivers or other service providers on the use of assistive technology devices; 
4)  Training or technical assistance for professionals providing Early Intervention Services or other individuals identified as providing Early Intervention Services to an infant or toddler on the use of assistive technology devices; and, 
5)  Any item, piece of equipment, or product system, whether acquired commercially off the shelf, modified or customized, that is used to increase, maintain, or improve the functional, developmental capabilities of an infant or toddler in his or her usual environments. 
a)  The device must be identified in the Individualized Family Service Plan. 
b)  Prior to purchase or lease of an assistive technology device, an assessment shall be conducted by a qualified early intervention provider to assure that the device is appropriate to the child and family’s needs. 
b.  Does not mean, under this part, a device that is primarily intended to treat a medical condition or to meet live sustaining needs or a medical device that is surgically implanted or the replacement of such a device. 
2.  “Audiology Services”: 
a.  Means, under this part, services for the identification and ongoing assessment of an infant or toddler with an auditory impairment, determination of the range, nature and degree of hearing loss, and communication function and includes: 
1)  Auditory training, aural rehabilitation, sign language and cued language services and other training to increase functional communication skills; 
2)  The determination of the need for individual amplification, such as a hearing aid, selecting, fitting and dispensing appropriate amplification and evaluating the effectiveness of the amplification; 
3)  Referral for medical and other services necessary for the habilitation or rehabilitation of children with auditory impairment; and, 
4)  Family training, education, and support provided to assist the family of a child eligible for services in understanding the special needs of the infant or toddler as related to audiology and aural rehabilitation services. 
b.  Does not mean, under this part, therapeutic services required for an infant or toddler to recover from medical procedures such as surgery, etc., or pre-surgery therapeutic services required by a physician to prepare a child for surgery. 
3.  “Developmental Intervention Services”, under this part, means developmental assessment and special instruction to address the functional developmental needs of an infant or toddler and includes: 
a.  Consultation to design or adapt environments, activities and materials to enhance development and learning opportunities, including cognitive processes and social interaction; 
b.  Curriculum planning, including the planned interaction of personnel, materials, and time and space, that leads to achieving the outcomes in the child’s Individualized Family Service Plan; 
c.  Consultation on child development to a parent, other caregivers and other service providers; and, 
d.  Parent training, education and support provided to assist a parent in understanding the special needs of the child related to enhancing the child’s development. 
4.  “Health Services”: 
a.  Means, under this part, services by a licensed health care professional that enable an eligible infant or toddler to benefit from other allowable Early Intervention Services and includes: 
1)  Assessment to determine the health status and special health care needs that will impact the provision of other early intervention services; and, 
2)  Consultation by a health care professional with a parent or other service provider regarding the impact of the infant or toddler’s health status on the provision of other Early Intervention Services. 
b.  Does not include hospitalization, home health care, services that are surgical in nature, medical diagnostic procedures, services that are primarily intended to treat a medical condition, devices necessary to control or treat a medical condition, or that are routinely recommended for all infants and toddlers. 
5.  “Nutrition Services”, under this part, means development of a plan to address the nutritional and feeding needs of an infant or toddler related to his or her development and includes: 
a.  The assessment of the nutritional and feeding status; 
b.  Consultation to develop, implement and monitor appropriate plans to address the nutritional needs; 
c.  Referral to appropriate community resources to carry out nutritional plans; and, 
d.  Parent training, education and support provided to assist a parent in understanding the special needs of the child related to nutrition and feeding and enhancing the child’s development. 
6.  “Occupational Therapy Services”: 
a.  Means, under this part, assessment and intervention services with an emphasis on adaptive skills, motor and sensory development, mobility, play and oral-motor functioning and includes: 
1)  Intervention strategies to address the functional developmental needs of an infant or toddler; 
2)  Consultation to adapt the environment to promote development, access and participation in everyday routines, activities and places; 
3)  The design or acquisition of assistive and orthotic devices to promote mobility, participation in everyday routines, activities and places, and minimize the impact of initial or future impairment, delay in development or loss of functional ability; and, 
4)  Parent training, education, and support provided to assist the parent in understanding the special needs of the child as related to occupational therapy strategies and enhancing the child’s motor development. 
b.  Does not include therapeutic services required due to, or as part of, a medical procedure, a medical intervention or an injury that is expected to heal without a long-term impact to child development. 
7.  “Physical Therapy Services”: 
a.  Means, under this part, assessment and intervention services with an emphasis on mobility, positioning, motor development, and both strength and endurance and includes: 
1)  Intervention strategies to address the functional developmental needs of an infant or toddler; 
2)  Consultation to adapt the environment to promote development, access and participation in everyday routines, activities and places; 
3)  The design or acquisition of assistive and orthotic devices to promote mobility and participation in everyday routines, activities and places, and minimize the impact of initial or future impairment, delay in development or loss of functional ability; and, 
4) Parent training, education, and support provided to assist the parent in understanding the special needs of the child as related to physical therapy strategies and enhancing the child’s motor development. 
b.  Does not include therapeutic services required due to, or as part of, a medical procedure, a medical intervention or an injury that is expected to heal without a long-term impact to child development. 
8.  “Psychological Services” means, under this part, assessment and intervention services to address the development, cognition, behavior or social emotional development of an infant or toddler and includes: 
a.  The administration of psychological and developmental tests and other assessment procedures to identify the developmental, cognitive, behavioral and social emotional status; 
b.  The acquisition, integration and interpretation of test results and other information about development and behavior and the family and living situation related to learning, social-emotional development and behavior; 
c.  The provision of individual or parent counseling, activities; 
d.  Planning and managing a child’s program of psychological services; 
e.  Consultation on child behavior, and child and family conditions related to learning, mental health, and development to a parent, other caregivers and other service providers; and, 
f.  Parent training, education, and support provided to assist the parent in understanding the special needs of the child as related to psychological strategies and enhancing the child’s psychological and cognitive development. 
9.  “Respite Care Services”:
a.  Means, under this part, the short-term temporary care, in or out of the home, for an infant or toddler with a developmental delay or disability that is needed by a parent in order for the parent to participate in another early intervention service. 
b.  Does not mean assistance that is customarily needed by all parents to provide temporary relief or an opportunity to perform routine family chores or for recreation for a parent or care for siblings. 
10.  “Service Coordination” means, under this part, assistance that is in addition to the basic requirements of service coordination as defined in Part C regulations, 34 C.F.R. Section 303.23, which is incorporated by reference as defined in Section 16.900, A, 4, and may include coordination of extraordinary services related to significant medical, neurological or mental health conditions. 
11.  “Social Emotional Services” means, under this part, assessment and intervention services that address social emotional development in the context of a family and parent-child interaction and includes: 
a. Home visits to evaluate an infant’s or toddler’s living conditions and patterns of parent-child interaction; 
b.  The completion of social emotional developmental assessment; 
c.  The provision of individual or group counseling to an infant or toddler or a parent in order to understand the parental needs related to his or her child’s development and how to enhance the development of the child; 
d.  The provision of social skill building activities with the child and parent; 
e.  Intervention strategies to address issues in the living or caregiving situation that may affect the child’s development and/or utilization of other allowable Early Intervention Services; 
f.  The identification, mobilization and coordination of community resources and services to enable an infant or toddler and his or her parent to receive maximum benefit from other early intervention services; and, 
g.  Parent training, education, and support provided to assist the parent in understanding the special needs of the child as related to social emotional strategies and enhancing the child’s social emotional development. 
12.  “Speech Language Pathology Services”: 
a.  Means, under this part, assessment and intervention services to address the functional, communication needs of an infant or toddler and include: 
1)  Language and speech development; 
2)  Sign language and cued language services; 
3)  Oral motor functioning, including the identification of specific communication disorders; 
4)  Consultation to adapt an environment and activities to promote speech and language development and participation in everyday routines, activities and places; 
5)  Referral for medical or other professional services necessary for the habilitation or rehabilitation of an infant or toddler with communication disorders or delays; and, 
6)  Parent training, education, and support provided to assist the parent in understanding the special needs of the child as related to speech language pathology strategies and enhancing the child’s communication development. 
b.  Does not include therapeutic services required due to, or as part of, a medical procedure, a medical intervention or an injury that is expected to heal without a long-term impact to child development. 
13.  “Transportation” means reimbursement for the cost of travel, including mileage, taxis, common carriers, tolls or parking, that are necessary to enable an infant or toddler and his or her parent to receive another early intervention service identified in the Individualized Family Service Plan. 
14.  “Vision Services”: 
a.  Means, under this part, assessment and intervention services to address the functional visual needs of an infant or toddler with significant vision impairment and includes: 
1)  Sensory development; 
2)  Communication skill development; 
3)  Orientation and mobility skill development; 
4)  Adaptive skills training; 
5)  Referral for medical or other professional services necessary for the habilitation or rehabilitation of visual functioning disorders, or both; 
6)  Consultation to adapt an environment and activities for a child with a visual impairment to promote development, access and participation in everyday routines, activities and places; and, 
7)  Parent training, education, and support provided to assist the parent in understanding the special needs of the child as related to vision strategies and enhancing the child’s overall development. 
b.  Does not mean, under this part, therapeutic services required due to, or as part of, a medical procedure, a medical intervention or an injury. 
16.951  Early Intervention Provider Qualifications [Eff. 9/1/11]
A.  Early Intervention Services shall be provided by qualified providers who meet the state personnel guidelines for each Early Intervention Service. 
B.  An Early Intervention provider shall maintain current and accurate documentation, including certifications, licensing, endorsements, and registrations and shall register, and update his or her information at least annually, in the Early Intervention Provider Database. 
16.960  OUTCOMES MEASURES [Eff. 9/1/11]
The Early Intervention Program, pursuant to 20 U.S.C. 1416(a) and 1442, which is incorporated by reference as defined in Section 16.900, A, 3, shall collect and report data on the progress made by children and families receiving early intervention services. 
16.961  Child Outcomes Measurements [Eff. 9/1/11]
A.  A Community Centered Board shall participate in the state program to measure child outcomes and shall ensure that each eligible child who receives Early Intervention Services for six (6) months or longer receives a child outcomes rating that is determined utilizing information gathered through: 
1.  Family Interview: 
2.  Professional observation; and, 
3.  Utilization of an appropriate assessment instrument to measure child outcomes as defined by the Department. 
B.  A Community Centered Board shall ensure that all staff and contractors who are responsible for documenting and reporting child outcomes progress data are trained in the methods required by the Department and participate in required technical assistance activities. 
C.  Child outcomes shall measure the percent of infants and toddlers with an Individualized Family Service Plan, who: 
1.  Have positive social emotional skills (including social relationships); 
2.  Acquire and use knowledge and skills (including early language/communication); and, 
3.  Use appropriate behaviors to meet their needs. 
D.  A Community Centered Board shall ensure that accurate child outcomes data are entered into the Early Intervention Provider Database for measuring outcomes at the following times: 
1.  An entry rating must be entered as soon as a baseline can be accurately established, but no later than sixteen (16) weeks from the date of referral for Early Intervention Services for an eligible child, unless a child is younger than six (6) months of age. If the child is less than six (6) months of age at the time of referral, the first measurement shall occur once a child has reached the age of six (6) months; and, 
2.  An exit rating must be entered no greater than ninety (90) calendar days prior to the child’s exit from Early Intervention Services or the child’s third birthday, whichever occurs first.  An exit rating is not required for a child who has been in Early Intervention Services for less than six (6) months. 
16.962  Family Outcomes Measurements [Eff. 9/1/11]
A.  A Community centered Board shall participate in statewide distribution and collection of family outcomes measurements. 
B.  A family outcomes survey shall be distributed to each parent with a child who is participating in Early Intervention Services for at least six (6) months. 
C.  Family outcomes shall measure the percent of families who have a child participating in an Early Intervention Program for at least six (6) months who report that Early Intervention Services have helped the family: 
1.  Know their rights; 
2.  Effectively communicate their child’s needs; and, 
3.  Help their child develop and learn. 
16.970  TRANSITION SERVICES [Eff. 9/1/11] 
A.  In preparation for transition from Early Intervention Services at three (3) years of age, the service coordinator shall: 
1.  Facilitate the development of transition steps and services within an Individualized Family Service Plan to support a smooth transition that include, at a minimum, the following: 
a.  A description of how a parent shall be informed of and included in the transition process, including discussions with the parent about the options to notify or not notify the local education agency, options for services, and other matters related to his or her child’s transition to preschool or other services; 
b.  The procedures to prepare a child for changes in service delivery, including identification of strategies and services necessary to help a child adjust to a new setting and/or services or discontinuation of services; and, 
c.  Old and new assessment information. 
2.  A Community Centered Board shall notify the appropriate local education agency within the designated community centered board service area in which a child resides of the first, middle, and last name, date of birth, gender, and parent contact information for each child by the time the child reaches the age of two (2) years and three (3) months, unless a parent has signed and submitted a written request to opt out of notifying the local education agency. 
a.  If a parent chooses to opt out, the written request must be signed and submitted to the Community Centered Board within ten (10) calendar days of the date delineated on the form and shall become part of the child’s record. 
b.  A parent may revoke his or her choice to opt out at any time by providing written notice to the Community Centered Board. 
3.  A Community Centered Board shall refer to the local education agency within the designated Community Centered Board service area in which a potentially eligible child, as defined in Section 16.970, A, 4, resides, at least six (6) months prior to the child’s third birthday, providing the child’s first, middle and last name, date of birth, gender, and parent contact information, unless the parent has signed and submitted a written request to opt out of notification or referral to the local education agency. 
4.  For the purposes of transition planning, a potentially eligible child is defined as a child who is: 
a.  Enrolled in Early Intervention Services who has not met all outcomes on his or her Individualized Family Service Plan; and/or, 
b.  Enrolled in early intervention services who is demonstrating a delay in any developmental domain based on the expertise of a member of the Individualized Family Service Plan team. 
B.  A Community Centered Board shall provide the appropriate local education agency, with written parent consent, current information of a potentially eligible child regarding the child’s Early Intervention Services, including assessment information, and a copy of the most current Individualized Family Service Plan. 
C.  A transition conference meeting shall be convened, with verbal or written parent consent, no later than ninety (90) calendar days and at the discretion of all participants, up to nine (9) months prior to a child’s third birthday. 
D.  Participants at a transition conference shall include: 
1.  Parent of a child who is approaching three (3) years of age; 
2.  Service coordinator; 
3.  Representatives from the current program; and, 
4.  Representatives from any future programs, including the local education agency for any potentially eligible child who is being referred to a local education agency for future services. 
E.  During a transition conference, participants shall review a child's program options for the period from a child's third birthday through the remainder of a school year.
1.  In the event that a representative of the local education agency does not attend the transition conference for a potentially eligible child, the service coordinator shall conduct a transition conference as scheduled. 
2.  In the case of a child who is not potentially eligible for preschool services, with verbal or written parent consent, the service coordinator shall make reasonable efforts to convene a conference with the parent and other appropriate service providers to discuss any appropriate services the child may receive. 
a.  A Community Centered Board shall transition a child from Early Intervention Services no later than the child’s third birthday. 
b.  A Community Centered Board shall document in the statewide database the following information: 
1)  The date that the steps and services in the transition section of an Individualized Family Service Plan were started; 
2)  The date of referral of a potentially eligible child to the appropriate local education agency; 
3)  The date, if applicable, a parent provided a written request to opt out of notification to the local education agency; and, 
4)  The date of the transition conference, including a reason if the conference was held less than ninety (90) days prior to the child’s third birthday. 
16.980  PROCEDURAL SAFEGUARDS [Eff. 9/1/11]
A.  A Community Centered Board shall have policies and procedures that are consistent with 34 C.F.R. Sections 303.401– 303.460 which are incorporated by reference as defined in Section 16.900, A, 4. 
B.  A parent shall be given written information and a verbal explanation of the procedural safeguards from the date of the referral through the determination of eligibility or ineligibility, delivery of Early Intervention Services and exit from Early Intervention Services at or before three (3) years of age. 
C.  A Community Centered Board shall ensure that all service coordinators demonstrate competence in the following: 
1.  What procedural safeguards are; 
2.  How and when those procedural safeguards are to be explained and provided to a parent; and, 
3.  What documentation must be maintained to demonstrate this information has been appropriately provided to each parent. 
D.  Parent rights include: 
1.  Confidentiality 
a.  Personally identifiable data, information, or records pertaining to a referred child shall not be disclosed by a Community Centered Board, any Early Intervention Service provider, or any personnel involved in dispute resolution to any person other than his or her parent, except as provided in the federal Health Insurance Portability and Accountability Act (HIPAA) of 1996, 42 U.S.C. Section 1320, as amended, and the federal Family Educational Rights and Privacy Act (FERPA) of 1974, 20 U.S.C. section 1232g which is incorporated by reference as defined in Section 16.900, A, 3. 
b.  A parent may voluntarily give written parental consent for the exchange of confidential information to other parties. 
2.  Access to records, which is defined as the right for a parent to have the opportunity to inspect, review and obtain copies of records related to evaluation, assessment, eligibility determination, development and implementation of an Individualized Family Service Plan, individual complaints pertaining to the child, and any other relevant information regarding his or her child and family, unless restricted under authority of applicable state law governing such matters as guardianship, separation, or divorce. 
a.  A Community Centered Board shall allow parents to inspect and review any Early Intervention records related to the child that are collected, maintained, or used by the agency for the purposes of providing early intervention services. Such access shall be allowed in a timely manner, and in no case more than forty-five (45) calendar days after the request has been made.
b.  If any record includes information on more than one child, the parent shall be provided the opportunity to inspect and review only the information relating to his or her child or to be informed of that specific information. 
c.  A Community Centered Board may charge a reasonable fee for providing copies of records, provided the fee does not prevent a parent from exercising his or her right to inspect and review the child’s early intervention record; however the Community Centered Board shall not charge a fee to search for or to retrieve information for the parent; 
d.  A Community Centered Board shall, upon a parent’s request, provide a response to a request by the parent for explanations and interpretations of his or her child’s records; 
e.  A parent shall have the right to have a representative, with written consent by the parent, inspect and review the records; and, 
f.  A Community Centered Board shall maintain a log of anyone obtaining access to records, including the name of the individual, the date access was given, and the purpose for the access. 
3.  Written prior notice shall be provided to a parent within ten (10) calendar days, prior to proposing or refusing to initiate or change the identification, eligibility, evaluation, early intervention service setting, or the provision of appropriate Early Intervention Services to his or her child and family. The written prior notice may be provided less than ten (10) calendar days with mutual consent. 
a.  A written prior notice shall contain sufficient detail to inform a parent about: 
1)  The action that is being proposed or denied; 
2)  The reasons for taking such action; 
3)  All procedural safeguards available; and, 
4)  State dispute resolution procedures including a description of how to file a dispute and the timelines for those procedures. 
b.  A written prior notice, in accordance with 34 C.F.R. Section 303.403, which is incorporated by reference as defined in Section 16.900, A, 4, shall be: 
1)  In language understandable to the general public; 
2)  Provided in the native language of a parent; 
3)  If the native language of a parent is not a written language, a Community Centered Board shall take steps to ensure that: 
a)  The written prior notice is translated orally or by other means to the parent in the parent’s native language or other mode of communication; 
b)  A parent understands the written prior notice; 
c)  There is written evidence that the requirements for written prior notice are met; and, 
d)  Information shall be provided in the mode of communication used by a parent, such as sign language, Braille, or oral communication. 
c.  A copy of the written prior notice shall be maintained in the child’s record.
4.  Written parental consent shall be obtained before: 
a.  Initiating A referral that contains more than the basic information of a child's name, date of birth, gender, parent contact information and the name of the assigned service coordinator; 
b.  Conducting an initial evaluation and assessment of a child;
c.  Providing any Early Intervention Services; 
d.  Changing Early Intervention Services or eligibility; 
e.  Billing of Medicaid or a private health insurance plan; 
f.  Sharing any personally identifiable information about a child or parent with another agency or program, other than the required information given to the local education agency. 
5.  If written parental consent is not provided, the Community Centered Board shall make reasonable efforts to ensure that a parent: 
a.  Is fully aware of the evaluation, assessment or early intervention services that would be available; and, 
b.  Understands that his or her child will not be able to receive the evaluation, assessment or early intervention services unless consent is given. 
6.  The right to decline an early intervention service and his or her right to decline any Early Intervention Service without jeopardizing the provision of other Early Intervention Services shall be provided to a parent. 
7.  A surrogate parent, that meets state required procedures and requirements, shall be designated to ensure that the rights of a child are protected, if: 
a.  No parent, as defined 34 C.F.R. Section 303.19, which is incorporated by reference as defined in Section 16.900, A, 4, and in Section 16.120, can be identified; 
b.  A Community Centered Board, in partnership with other involved public agencies, after reasonable efforts cannot discover the whereabouts of a parent; or, 
c.  A child is placed in the legal custody of the county department of human/social services. 
16.990  DISPUTE RESOLUTION PROCESS [Eff. 9/1/11] 
A.  A Community Centered Board shall have dispute policies and procedures, in accordance with 34 C.F.R. Sections 303.419-303.425 and 303.510-303.512, which are incorporated by reference as defined in Section 16.900, A, 4, to ensure that parents and service providers are informed of the process for resolution of disputes. These policies and procedures shall include: 
1.  A process for local level informal resolution of complaints; and, 
2.  Formal dispute resolution processes as defined within Section 16.990, B. 
B.  A parent of a child who is referred for services shall have the right to access mediation, an impartial hearing, and/or an administrative complaint at no cost for the resolution of an individual dispute regarding identification, eligibility determination, Early Intervention Service setting, or the provision of appropriate Early Intervention Services for the child and the child’s family. 
C.  Families shall have access to mediation and due process procedures for the resolution of an individual dispute to ensure:
1.  The availability of a mediator and hearing officer; 
2.  A mediator and hearing officer is impartial and knowledgeable of the federal and state laws pertinent to early intervention services; and, 
3.  There is no cost to the parties involved in the mediation or due process hearing. 
D.  If the dispute involves an application for initial early intervention services, the child shall receive those services that are not in dispute. 
E.  During the pendency of any proceeding involving a complaint under this Section, unless the public agency and parent of a child otherwise agree, the child shall continue to receive the appropriate Early Intervention Services currently being provided. 
16.991  Mediation [Eff. 9/1/11] 
A.  Mediation under this part means voluntary procedures used to resolve a dispute involving any matter described in 34 C.F.R. Section 303.403(a), which is incorporated by reference as defined in Section 16.900, A, 4. 
B.  A statewide mediation system shall be available to ensure that: 
1.  Any individual may voluntarily access a non-adversarial process for the resolution of individual disputes; 
2.  It shall not be used to deny or delay a parent the right to a due process hearing, or to deny any other rights, in accordance with 20 U.S.C. 1439, which is incorporated by reference as defined in Section 16.900, A, 3; and, 
3.  It shall be scheduled and held in a location that is convenient to the parties involved in the mediation. 
C.  A request for mediation by a parent or an Early Intervention provider shall be submitted to the Division for Developmental Disabilities using the State form or in another signed written request. 
D.  Discussions that occur during the mediation process must be confidential and shall not be used as evidence in any subsequent due process hearings or civil proceedings, and the parties to the mediation process may be required to sign a confidentiality pledge prior to the commencement of the process. 
E.  A mediation agreement reached by the parties to the dispute in the mediation process shall be set forth in a legally binding written mediation agreement that sets forth that resolution and that: 
1.  States that all discussions that occurred during the mediation process shall remain confidential and shall not be used as evidence in any subsequent due process hearing or civil proceeding; and,  
2.  Is signed by a parent and a representative of the agency who has the authority to bind such agency. 
F.  A written, signed mediation agreement shall be enforceable in any state court of competent jurisdiction or in a district court of the United States. 
16.992  Administrative Complaint Process [Eff. 9/1/11] 
A.  Administrative complaint process under this part means procedures taken by the Department to resolve a complaint by an individual or organization that any agency or local service provider participating in the delivery of Early Intervention Services is violating a state or federal requirement. 
B.  Community Centered Board shall ensure that state procedures for filing an administrative complaint are widely disseminated to parents and other interested individuals within its designated service area, including parent training centers, protection and advocacy agencies and other appropriate entities. 
C.  In resolving a complaint in which there is a finding of a failure to provide appropriate Early Intervention Services to an eligible child, the following shall be addressed: 
1.  The remediation of the denial of an Early Intervention Service, including, as appropriate, the awarding of monetary reimbursement or other corrective action appropriate to the needs of the child and the child’s family; and, 
2.  The provision of appropriate future Early Intervention Services for all eligible infants and toddlers and their families. 
D.  An organization or individual may file a written signed complaint using the state form or in another written format that includes the following information: 
1.  A statement of the alleged violation of rules or statutes; and, 
2.  The facts on which the complaint is based. 
E.  An alleged violation shall have occurred not more than one (1) year before the date that the complaint is received by the Division for Developmental Disabilities, unless a longer period is reasonable because: 
1.  An alleged violation continues for a child or other children; or, 
2.  A complainant is requesting reimbursement or corrective action for a violation that occurred not more than three (3) years before the date on which the complaint is received by the Division for Developmental Disabilities. 
F.  A complaint shall be reviewed within sixty (60) calendar days after a complaint is filed under this administrative complaint process to: 
1.  Carry out an independent on-site investigation, if the Division for Developmental Disabilities determines that such an investigation is necessary; 
2.  Provide a complainant the opportunity to submit additional information, either orally or in writing, about the allegation(s) included in a complaint; 
3.  Review all relevant information and make an independent determination as to whether the agency is violating a requirement under Sections 16.900-16.994; and, 
4.  Issue a written decision within the sixty (60) calendar days to a complainant that addresses each allegation within a compliant and contains the following: 
a.  Findings of fact and conclusions; and, 
b.  Reasons for the final decision made by the Division for Developmental Disabilities. 
G.  An extension of the sixty (60) calendar days time limit may be granted if determined necessary by the Department. 
H.  The following activities may be imposed by the Department on a Community Centered Board or a certified Early Intervention Service Broker: 
1.  Technical assistance activities; 
2.  Negotiations; and, 
3.  Corrective actions to achieve compliance. 
I.  If a written administrative complaint is received that is also the subject of a due process hearing, or contains multiple issues, of which one or more are part of that hearing, the following shall apply: 
1.  Any part of the complaint that is being addressed in the impartial due process hearing procedures as defined in Section 16.933 may be set aside until the conclusion of the hearing; 
2.  Any issue of the complaint that is not a part of the due process hearing procedures may be resolved within sixty (60) calendar days using the complaint procedures described in Section 16.992; or, 
3.  The complaint alleging that a public agency or private service provider failed to implement a due process decision may be resolved. 
16.993  Impartial Due Process Procedures [Eff. 9/1/11] 
A.  Impartial due process under this part means formal procedures used to resolve a dispute involving an individual child or parent related to any matter described in 34 C.F.R. Section 303.403(a), which is incorporated by reference as defined in Section 16.900, A, 4. 
B.  An impartial hearing officer shall be appointed to implement the due process procedures described in this Section and shall: 
1.  Have knowledge about the provision of early intervention services in accordance with Sections 16.900-16.994; 
2.  Listen to the presentation of relevant viewpoints about a complaint, examine all information relevant to an issue and seek to reach a timely resolution of a complaint; and, 
3.  Provide a record of the proceedings, including a written decision. 
C.  In the context of Section 16.993, impartial, under this part, means that a person appointed to implement a complaint resolution process: 
1.  Is not an employee of any agency or other entity involved in the provision of Early Intervention Services or care of the child; 
2.  Does not have a personal or professional interest that would conflict with his or her objectivity in implementing the process; and, 
3.  Is not an employee of an agency solely because the person is paid by the agency to implement the impartial due process proceeding. 
D.  Any parent of a child referred for services under Sections 16.900-16.994 may submit a written request for an impartial due process proceeding to the Division for Developmental Disabilities using the State form or in another signed written request, and has the right to: 
1.  Be accompanied and advised by counsel and by individuals with special knowledge or training with respect to Early Intervention Services, at the parent’s expense; 
2.  Present evidence and confront, cross-examine, and compel the attendance of witnesses that are either employed by or under contract with the certified Early Intervention Service Broker; 
3.  Prohibit the introduction of any evidence at the proceeding that has not been disclosed to a parent at least five (5) calendar days before the proceeding; 
4.  Obtain a written or electronic verbatim transcription of the proceeding; and, 
5.  Obtain written findings of fact and decisions. 
E.  Any proceeding for implementing the impartial due process hearing shall be carried out at a time and place that is reasonably convenient to a parent. 
F.  No later than thirty (30) calendar days after receipt of a parent’s written complaint, the impartial proceeding shall be completed and a written decision mailed to each of the parties. 
16.994  Civil Action [Eff. 9/1/11] 
Any party aggrieved by a finding and decision regarding an administrative complaint has the right to bring a civil action in state or federal court.