34 C.F.R. Subpart D—Program and Service Components of a Statewide System of Early Intervention Services
Title 34 - Education
Each statewide system of early intervention services must include the eligibility criteria and procedures, consistent with §303.16, that will be used by the State in carrying out programs under this part. (a) The State shall define developmental delay by— (1) Describing, for each of the areas listed in §303.16(a)(1), the procedures, including the use of informed clinical opinion, that will be used to measure a child's development; and (2) Stating the levels of functioning or other criteria that constitute a developmental delay in each of those areas. (b) The State shall describe the criteria and procedures, including the use of informed clinical opinion, that will be used to determine the existence of a condition that has a high probability of resulting in developmental delay under §303.16(a)(2). (c) If the State elects to include in its system children who are at risk under §303.16(b), the State shall describe the criteria and procedures, including the use of informed clinical opinion, that will be used to identify those children. (Authority: 20 U.S.C. 1432(5), 1435(a)(1)) Note: Under this section and §303.322(c)(2), States are required to ensure that informed clinical opinion is used in determining a child's eligibility under this part. Informed clinical opinion is especially important if there are no standardized measures, or if the standardized procedures are not appropriate for a given age or developmental area. If a given standardized procedure is considered to be appropriate, a State's criteria could include percentiles or percentages of levels of functioning on standardized measures.
Title 34: Education
PART 303—EARLY INTERVENTION PROGRAM FOR INFANTS AND TODDLERS WITH DISABILITIES
Subpart D—Program and Service Components of a Statewide System of Early Intervention Services
General
§ 303.300 State eligibility criteria and procedures.
§ 303.301 Central directory.
(a) Each system must include a central directory of information about—
(1) Public and private early intervention services, resources, and experts available in the State;
(2) Research and demonstration projects being conducted in the State; and
(3) Professional and other groups that provide assistance to children eligible under this part and their families.
(b) The information required in paragraph (a) of this section must be in sufficient detail to—
(1) Ensure that the general public will be able to determine the nature and scope of the services and assistance available from each of the sources listed in the directory; and
(2) Enable the parent of a child eligible under this part to contact, by telephone or letter, any of the sources listed in the directory.
(c) The central directory must be—
(1) Updated at least annually; and
(2) Accessible to the general public.
(d) To meet the requirements in paragraph (c)(2) of this section, the lead agency shall arrange for copies of the directory to be available—
(1) In each geographic region of the State, including rural areas; and
(2) In places and a manner that ensure accessibility by persons with disabilities.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(7))
Note: Examples of appropriate groups that provide assistance to eligible children and their families include parent support groups and advocate associations.
Identification and Evaluation
§ 303.320 Public awareness program.
Each system must include a public awareness program that focuses on the early identification of children who are eligible to receive early intervention services under this part and includes the preparation and dissemination by the lead agency to all primary referral sources, especially hospitals and physicians, of materials for parents on the availability of early intervention services. The public awareness program must provide for informing the public about—
(a) The State's early intervention program;
(b) The child find system, including—
(1) The purpose and scope of the system;
(2) How to make referrals; and
(3) How to gain access to a comprehensive, multidisciplinary evaluation and other early intervention services; and
(c) The central directory.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(6))
Note 1: An effective public awareness program is one that does the following:
1. Provides a continuous, ongoing effort that is in effect throughout the State, including rural areas;
2. Provides for the involvement of, and communication with, major organizations throughout the State that have a direct interest in this part, including public agencies at the State and local level, private providers, professional associations, parent groups, advocate associations, and other organizations;
3. Has coverage broad enough to reach the general public, including those who have disabilities; and
4. Includes a variety of methods for informing the public about the provisions of this part.
Note 2: Examples of methods for informing the general public about the provisions of this part include: (1) Use of television, radio, and newspaper releases, (2) pamphlets and posters displayed in doctors' offices, hospitals, and other appropriate locations, and (3) the use of a toll-free telephone service.
[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]
§ 303.321 Comprehensive child find system.
(a) General. (1) Each system must include a comprehensive child find system that is consistent with part B of the Act (see 34 CFR 300.128), and meets the requirements of paragraphs (b) through (e) of this section.
(2) The lead agency, with the advice and assistance of the Council, shall be responsible for implementing the child find system.
(b) Procedures. The child find system must include the policies and procedures that the State will follow to ensure that—
(1) All infants and toddlers in the State who are eligible for services under this part are identified, located, and evaluated; and
(2) An effective method is developed and implemented to determine which children are receiving needed early intervention services.
(c) Coordination. (1) The lead agency, with the assistance of the Council, shall ensure that the child find system under this part is coordinated with all other major efforts to locate and identify children conducted by other State agencies responsible for administering the various education, health, and social service programs relevant to this part, tribes and tribal organizations that receive payments under this part, and other tribes and tribal organizations as appropriate, including efforts in the—
(i) Program authorized under part B of the Act;
(ii) Maternal and Child Health program under title V of the Social Security Act;
(iii) Early Periodic Screening, Diagnosis and Treatment (EPSDT) program under title XIX of the Social Security Act;
(iv) Developmental Disabilities Assistance and Bill of Rights Act;
(v) Head Start Act; and
(vi) Supplemental Security Income program under title XVI of the Social Security Act.
(2) The lead agency, with the advice and assistance of the Council, shall take steps to ensure that—
(i) There will not be unnecessary duplication of effort by the various agencies involved in the State's child find system under this part; and
(ii) The State will make use of the resources available through each public agency in the State to implement the child find system in an effective manner.
(d) Referral procedures. (1) The child find system must include procedures for use by primary referral sources for referring a child to the appropriate public agency within the system for—
(i) Evaluation and assessment, in accordance with §§303.322 and 303.323; or
(ii) As appropriate, the provision of services, in accordance with §303.342(a) or §303.345.
(2) The procedures required in paragraph (b)(1) of this section must—
(i) Provide for an effective method of making referrals by primary referral sources;
(ii) Ensure that referrals are made no more than two working days after a child has been identified; and
(iii) Include procedures for determining the extent to which primary referral sources, especially hospitals and physicians, disseminate the information, as described in §303.320, prepared by the lead agency on the availability of early intervention services to parents of infants and toddlers with disabilities.
(3) As used in paragraph (d)(1) of this section, primary referral sources includes—
(i) Hospitals, including prenatal and postnatal care facilities;
(ii) Physicians;
(iii) Parents;
(iv) Day care programs;
(v) Local educational agencies;
(vi) Public health facilities;
(vii) Other social service agencies; and
(viii) Other health care providers.
(e) Timelines for public agencies to act on referrals. (1) Once the public agency receives a referral, it shall appoint a service coordinator as soon as possible.
(2) Within 45 days after it receives a referral, the public agency shall—
(i) Complete the evaluation and assessment activities in §303.322; and
(ii) Hold an IFSP meeting, in accordance with §303.342.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1432(4)(E)(vii), 1435(a)(5))
Note: In developing the child find system under this part, States should consider (1) tracking systems based on high-risk conditions at birth, and (2) other activities that are being conducted by various agencies or organizations in the State.
[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]
§ 303.322 Evaluation and assessment.
(a) General. (1) Each system must include the performance of a timely, comprehensive, multidisciplinary evaluation of each child, birth through age two, referred for evaluation, and a family-directed identification of the needs of each child's family to appropriately assist in the development of the child.
(2) The lead agency shall be responsible for ensuring that the requirements of this section are implemented by all affected public agencies and service providers in the State.
(b) Definitions of evaluation and assessment. As used in this part—
(1) Evaluation means the procedures used by appropriate qualified personnel to determine a child's initial and continuing eligibility under this part, consistent with the definition of “infants and toddlers with disabilities” in §303.16, including determining the status of the child in each of the developmental areas in paragraph (c)(3)(ii) of this section.
(2) Assessment means the ongoing procedures used by appropriate qualified personnel throughout the period of a child's eligibility under this part to identify—
(i) The child's unique strengths and needs and the services appropriate to meet those needs; and
(ii) The resources, priorities, and concerns of the family and the supports and services necessary to enhance the family's capacity to meet the developmental needs of their infant or toddler with a disability.
(c) Evaluation and assessment of the child. The evaluation and assessment of each child must—
(1) Be conducted by personnel trained to utilize appropriate methods and procedures;
(2) Be based on informed clinical opinion; and
(3) Include the following:
(i) A review of pertinent records related to the child's current health status and medical history.
(ii) An evaluation of the child's level of functioning in each of the following developmental areas:
(A) Cognitive development.
(B) Physical development, including vision and hearing.
(C) Communication development.
(D) Social or emotional development.
(E) Adaptive development.
(iii) An assessment of the unique needs of the child in terms of each of the developmental areas in paragraph (c)(3)(ii) of this section, including the identification of services appropriate to meet those needs.
(d) Family assessment. (1) Family assessments under this part must be family-directed and designed to determine the resources, priorities, and concerns of the family and the identification of the supports and services necessary to enhance the family's capacity to meet the developmental needs of the child.
(2) Any assessment that is conducted must be voluntary on the part of the family.
(3) If an assessment of the family is carried out, the assessment must—
(i) Be conducted by personnel trained to utilize appropriate methods and procedures;
(ii) Be based on information provided by the family through a personal interview; and
(iii) Incorporate the family's description of its resources, priorities, and concerns related to enhancing the child's development.
(e) Timelines. (1) Except as provided in paragraph (e)(2) of this section, the evaluation and initial assessment of each child (including the family assessment) must be completed within the 45-day time period required in §303.321(e).
(2) The lead agency shall develop procedures to ensure that in the event of exceptional circumstances that make it impossible to complete the evaluation and assessment within 45 days (e.g., if a child is ill), public agencies will—
(i) Document those circumstances; and
(ii) Develop and implement an interim IFSP, to the extent appropriate and consistent with §303.345 (b)(1) and (b)(2).
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(3); 1436 (a)(1), (a)(2), (d)(1), and (d)(2))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]
§ 303.323 Nondiscriminatory procedures.
Each lead agency shall adopt nondiscriminatory evaluation and assessment procedures. The procedures must provide that public agencies responsible for the evaluation and assessment of children and families under this part shall ensure, at a minimum, that—
(a) Tests and other evaluation materials and procedures are administered in the native language of the parents or other mode of communication, unless it is clearly not feasible to do so;
(b) Any assessment and evaluation procedures and materials that are used are selected and administered so as not to be racially or culturally discriminatory;
(c) No single procedure is used as the sole criterion for determining a child's eligibility under this part; and
(d) Evaluations and assessments are conducted by qualified personnel.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(3); 1436 (a)(1), (d)(2), and (d)(3))
Individualized Family Service Plans (IFSPs)
§ 303.340 General.
(a) Each system must include policies and procedures regarding individualized family service plans (IFSPs) that meet the requirements of this section and §§303.341 through 303.346.
(b) As used in this part, individualized family service plan and IFSP mean a written plan for providing early intervention services to a child eligible under this part and the child's family. The plan must—
(1) Be developed in accordance with §§303.342 and 303.343;
(2) Be based on the evaluation and assessment described in §303.322; and
(3) Include the matters specified in §303.344.
(c) Lead agency responsibility. The lead agency shall ensure that an IFSP is developed and implemented for each eligible child, in accordance with the requirements of this part. If there is a dispute between agencies as to who has responsibility for developing or implementing an IFSP, the lead agency shall resolve the dispute or assign responsibility.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1436)
Note: In instances where an eligible child must have both an IFSP and an individualized service plan under another Federal program, it may be possible to develop a single consolidated document, provided that it (1) contains all of the required information in §303.344, and (2) is developed in accordance with the requirements of this part.
§ 303.341 [Reserved]
§ 303.342 Procedures for IFSP development, review, and evaluation.
(a) Meeting to develop initial IFSP—timelines. For a child who has been evaluated for the first time and determined to be eligible, a meeting to develop the initial IFSP must be conducted within the 45-day time period in §303.321(e).
(b) Periodic review. (1) A review of the IFSP for a child and the child's family must be conducted every six months, or more frequently if conditions warrant, or if the family requests such a review. The purpose of the periodic review is to determine—
(i) The degree to which progress toward achieving the outcomes is being made; and
(ii) Whether modification or revision of the outcomes or services is necessary.
(2) The review may be carried out by a meeting or by another means that is acceptable to the parents and other participants.
(c) Annual meeting to evaluate the IFSP. A meeting must be conducted on at least an annual basis to evaluate the IFSP for a child and the child's family, and, as appropriate, to revise its provisions. The results of any current evaluations conducted under §303.322(c), and other information available from the ongoing assessment of the child and family, must be used in determining what services are needed and will be provided.
(d) Accessibility and convenience of meetings. (1) IFSP meetings must be conducted—
(i) In settings and at times that are convenient to families; and
(ii) In the native language of the family or other mode of communication used by the family, unless it is clearly not feasible to do so.
(2) Meeting arrangements must be made with, and written notice provided to, the family and other participants early enough before the meeting date to ensure that they will be able to attend.
(e) Parental consent. The contents of the IFSP must be fully explained to the parents and informed written consent from the parents must be obtained prior to the provision of early intervention services described in the plan. If the parents do not provide consent with respect to a particular early intervention service or withdraw consent after first providing it, that service may not be provided. The early intervention services to which parental consent is obtained must be provided.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1436)
Note: The requirement for the annual evaluation incorporates the periodic review process. Therefore, it is necessary to have only one separate periodic review each year (i.e., six months after the initial and subsequent annual IFSP meetings), unless conditions warrant otherwise.
Because the needs of infants and toddlers change so rapidly during the course of a year, certain evaluation procedures may need to be repeated before conducting the periodic reviews and annual evaluation meetings in paragraphs (b) and (c) of this section.
§ 303.343 Participants in IFSP meetings and periodic reviews.
(a) Initial and annual IFSP meetings. (1) Each initial meeting and each annual meeting to evaluate the IFSP must include the following participants:
(i) The parent or parents of the child.
(ii) Other family members, as requested by the parent, if feasible to do so;
(iii) An advocate or person outside of the family, if the parent requests that the person participate.
(iv) The service coordinator who has been working with the family since the initial referral of the child for evaluation, or who has been designated by the public agency to be responsible for implementation of the IFSP.
(v) A person or persons directly involved in conducting the evaluations and assessments in §303.322.
(vi) As appropriate, persons who will be providing services to the child or family.
(2) If a person listed in paragraph (a)(1)(v) of this section is unable to attend a meeting, arrangements must be made for the person's involvement through other means, including—
(i) Participating in a telephone conference call;
(ii) Having a knowledgeable authorized representative attend the meeting; or
(iii) Making pertinent records available at the meeting.
(b) Periodic review. Each periodic review must provide for the participation of persons in paragraphs (a)(1)(i) through (a)(1)(iv) of this section. If conditions warrant, provisions must be made for the participation of other representatives identified in paragraph (a) of this section.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1436(b))
§ 303.344 Content of an IFSP.
(a) Information about the child's status. (1) The IFSP must include a statement of the child's present levels of physical development (including vision, hearing, and health status), cognitive development, communication development, social or emotional development, and adaptive development.
(2) The statement in paragraph (a)(1) of this section must be based on professionally acceptable objective criteria.
(b) Family information. With the concurrence of the family, the IFS must include a statement of the family's resources, priorities, and concerns related to enhancing the development of the child.
(c) Outcomes. The IFSP must include a statement of the major outcomes expected to be achieved for the child and family, and the criteria, procedures, and timeliness used to determine—
(1) The degree to which progress toward achieving the outcomes is being made; and
(2) Whether modifications or revisions of the outcomes or services are necessary.
(d) Early intervention services. (1) The IFSP must include a statement of the specific early intervention services necessary to meet the unique needs of the child and the family to achieve the outcomes identified in paragraph (c) of this section, including—
(i) The frequency, intensity, and method of delivering the services;
(ii) The natural environments, as described in §303.12(b), and §303.18 in which early intervention services will be provided, and a justification of the extent, if any, to which the services will not be providied in a natural environment;
(iii) The location of the services; and
(iv) The payment arrangements, if any.
(2) As used in paragraph (d)(1)(i) of this section—
(i) Frequency and intensity mean the number of days or sessions that a service will be provided, the length of time the service is provided during each session, and whether the service is provided on an individual or group basis; and
(ii) Method means how a service is provided.
(3) As used in paragraph (d)(1)(iii) of this section, location means the actual place or places where a service will be provided.
(e) Other services. (1) To the extent appropriate, the IFSP must include—
(i) Medical and other services that the child needs, but that are not required under this part; and
(ii) The funding sources to be used in paying for those services or the steps that will be taken to secure those services through public or private sources.
(2) The requirement in paragraph (e)(1) of this section does not apply to routine medical services (e.g., immunizations and “well-baby” care), unless a child needs those services and the services are not otherwise available or being provided.
(f) Dates; duration of services. The IFSP must include—
(1) The projected dates for initiation of the services in paragraph (d)(1) of this section as soon as possible after the IFSP meetings described in §303.342; and
(2) The anticipated duration of those services.
(g) Service coordinator. (1) The IFSP must include the name of the service coordinator from the profession most immediately relevant to the child's or family's needs (or who is otherwise qualified to carry out all applicable responsibilities under this part), who will be responsible for the implementation of the IFSP and coordination with other agencies and persons.
(2) In meeting the requirements in paragraph (g)(1) of this section, the public agency may—
(i) Assign the same service coordinator who was appointed at the time that the child was initially referred for evaluation to be responsible for implementing a child's and family's IFSP; or
(ii) Appoint a new service coordinator.
(3) As used in paragraph (g)(1) of this section, the term profession includes “service coordination.”
(h) Transition from Part C services. (1) The IFSP must include the steps to be taken to support the transition of the child, in accordance with §303.148, to—
(i) Preschool services under Part B of the Act, to the extent that those services are appropriate; or
(ii) Other services that may be available, if appropriate.
(2) The steps required in paragraph (h)(1) of this section include—
(i) Discussions with, and training of, parents regarding future placements and other matters related to the child's transition;
(ii) Procedures to prepare the child for changes in service delivery, including steps to help the child adjust to, and function in, a new setting; and
(iii) With parental consent, the transmission of information about the child to the local educational agency, to ensure continuity of services, including evaluation and assessment information required in §303.322, and copies of IFSPs that have been developed and implemented in accordance with §§303.340 through 303.346.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1436(d))
Note 1: With respect to the requirements in paragraph (d) of this section, the appropriate location of services for some infants and toddlers might be a hospital setting—during the period in which they require extensive medical intervention. However, for these and other eligible children, early intervention services must be provided in natural environments (e.g., the home, child care centers, or other community settings) to the maximum extent appropriate to the needs of the child.
Note 2: Throughout the process of developing and implementing IFSPs for an eligible child and the child's family, it is important for agencies to recognize the variety of roles that family members play in enhancing the child's development. It also is important that the degree to which the needs of the family are addressed in the IFSP process is determined in a collaborative manner with the full agreement and participation of the parents of the child. Parents retain the ultimate decision in determining whether they, their child, or other family members will accept or decline services under this part.
Note 3: The early intervention services in paragraph (d) of this section are those services that a State is required to provide to a child in accordance with §303.12.
The “other services” in paragraph (e) of this section are services that a child or family needs, but that are neither required nor covered under this part. While listing the non-required services in the IFSP does not mean that those services must be provided, their identification can be helpful to both the child's family and the service coordinator, for the following reasons: First, the IFSP would provide a comprehensive picture of the child's total service needs (including the need for medical and health services, as well as early intervention services). Second, it is appropriate for the service coordinator to assist the family in securing the non-required services (e.g., by (1) determining if there is a public agency that could provide financial assistance, if needed, (2) assisting in the preparation of eligibility claims or insurance claims, if needed, and (3) assisting the family in seeking out and arranging for the child to receive the needed medical-health services).
Thus, to the extent appropriate, it is important for a State's procedures under this part to provide for ensuring that other needs of the child, and of the family related to enhancing the development of the child, such as medical and health needs, are considered and addressed, including determining (1) who will provide each service, and when, where, and how it will be provided, and (2) how the service will be paid for (e.g., through private insurance, an existing Federal-State funding source, such as Medicaid or EPSDT, or some other funding arrangement).
Note 4: Although the IFSP must include information about each of the items in paragraphs (b) through (h) of this section, this does not mean that the IFSP must be a detailed, lengthy document. It might be a brief outline, with appropriate attachments that address each of the points in the paragraphs under this section. It is important for the IFSP itself to be clear about (a) what services are to be provided, (b) the actions that are to be taken by the service coordinator in initiating those services, and (c) what actions will be taken by the parents.
[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998; 64 FR 12536, Mar. 12, 1999]
§ 303.345 Provision of services before evaluation and assessment are completed.
Early intervention services for an eligible child and the child's family may commence before the completion of the evaluation and assessment in §303.322, if the following conditions are met:
(a) Parental consent is obtained.
(b) An interim IFSP is developed that includes—
(1) The name of the service coordinator who will be responsible, consistent with §303.344(g), for implementation of the interim IFSP and coordination with other agencies and persons; and
(2) The early intervention services that have been determined to be needed immediately by the child and the child's family.
(c) The evaluation and assessment are completed within the time period required in §303.322(e).
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1436(c))
Note: This section is intended to accomplish two specific purposes: (1) To facilitate the provision of services in the event that a child has obvious immediate needs that are identified, even at the time of referral (e.g., a physician recommends that a child with cerebral palsy begin receiving physical therapy as soon as possible), and (2) to ensure that the requirements for the timely evaluation and assessment are not circumvented.
§ 303.346 Responsibility and accountability.
Each agency or person who has a direct role in the provision of early intervention services is responsible for making a good faith effort to assist each eligible child in achieving the outcomes in the child's IFSP. However, part C of the Act does not require that any agency or person be held accountable if an eligible child does not achieve the growth projected in the child's IFSP.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1436)
Personnel Training and Standards
§ 303.360 Comprehensive system of personnel development.
(a) Each system must include a comprehensive system of personnel development.
(b) The personnel development system under this part must—
(1) Be consistent with the comprehensive system of personnel development required under part B of the Act (34 CFR 300.380 through 300.387);
(2) Provide for preservice and inservice training to be conducted on an interdisciplinary basis, to the extent appropriate;
(3) Provide for the training of a variety of personnel needed to meet the requirements of this part, including public and private providers, primary referral sources, paraprofessionals, and persons who will serve as service coordinators; and
(4) Ensure that the training provided relates specifically to—
(i) Understanding the basic components of early intervention services available in the State;
(ii) Meeting the interrelated social or emotional, health, developmental, and educational needs of eligible children under this part; and
(iii) Assisting families in enhancing the development of their children, and in participating fully in the development and implementation of IFSPs.
(c) A personnel development system under this part may include—
(1) Implementing innovative strategies and activities for the recruitment and retention of early intervention service providers;
(2) Promoting the preparation of early intervention providers who are fully and appropriately qualified to provide early intervention services under this part;
(3) Training personnel to work in rural and inner-city areas; and
(4) Training personnel to coordinate transition services for infants and toddlers with disabilities from an early intervention program under this part to a preschool program under part B of the Act or to other preschool or other appropriate services.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(8))
[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]
§ 303.361 Personnel standards.
(a) As used in this part—
(1) Appropriate professional requirements in the State means entry level requirements that—
(i) Are based on the highest requirements in the State applicable to the profession or discipline in which a person is providing early intervention services; and
(ii) Establish suitable qualifications for personnel providing early intervention services under this part to eligible children and their families who are served by State, local, and private agencies.
(2) Highest requirements in the State applicable to a specific profession or discipline means the highest entry-level academic degree needed for any State approved or recognized certification, licensing, registration, or other comparable requirements that apply to that profession or discipline.
(3) Profession or discipline means a specific occupational category that—
(i) Provides early intervention services to children eligible under this part and their families;
(ii) Has been established or designated by the State; and
(iii) Has a required scope of responsibility and degree of supervision.
(4) State approved or recognized certification, licensing, registration, or other comparable requirements means the requirements that a State legislature either has enacted or has authorized a State agency to promulgate through rules to establish the entry-level standards for employment in a specific profession or discipline in that State.
(b)(1) Each statewide system must have policies and procedures relating to the establishment and maintenance of standards to ensure that personnel necessary to carry out the purposes of this part are appropriately and adequately prepared and trained.
(2) The policies and procedures required in paragraph (b)(1) of this section must provide for the establishment and maintenance of standards that are consistent with any State-approved or State-recognized certification, licensing, registration, or other comparable requirements that apply to the profession or discipline in which a person is providing early intervention services.
(c) To the extent that a State's standards for a profession or discipline, including standards for temporary or emergency certification, are not based on the highest requirements in the State applicable to a specific profession or discipline, the State's application for assistance under this part must include the steps the State is taking, the procedures for notifying public agencies and personnel of those steps, and the timelines it has established for the retraining or hiring of personnel that meet appropriate professional requirements in the State.
(d)(1) In meeting the requirements in paragraphs (b) and (c) of this section, a determination must be made about the status of personnel standards in the State. That determination must be based on current information that accurately describes, for each profession or discipline in which personnel are providing early intervention services, whether the applicable standards are consistent with the highest requirements in the State for that profession or discipline.
(2) The information required in paragraph (d)(1) of this section must be on file in the lead agency, and available to the public.
(e) In identifying the “highest requirements in the State” for purposes of this section, the requirements of all State statutes and the rules of all State agencies applicable to serving children eligible under this part and their families must be considered.
(f) A State may allow paraprofessionals and assistants who are appropriately trained and supervised, in accordance with State law, regulations, or written policy, to assist in the provision of early intervention services to eligible children under this part.
(g) In implementing this section, a State may adopt a policy that includes making ongoing good-faith efforts to recruit and hire appropriately and adequately trained personnel to provide early intervention services to eligible children, including, in a geographic area of the State where there is a shortage of personnel that meet these qualifications, the most qualified individuals available who are making satisfactory progress toward completing applicable course work necessary to meet the standards described in paragraph (b)(2) of this section, consistent with State law, within 3 years.
(Approved by the Office of Management and Budget under control number 1820–0550)(Authority: 20 U.S.C. 1435(a)(9))
Note: This section requires that a State use its own existing highest requirements to determine the standards appropriate to personnel who provide early intervention services under this part. The regulations do not require States to set any specified training standard, such as a master's degree, for employment of personnel who provide services under this part.
The regulations permit each State to determine the specific occupational categories required to provide early intervention services to children eligible under this part and their families, and to revise or expand these categories as needed. The professions or disciplines need not be limited to traditional occupational categories.
[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]
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