#### Part C SPP/APR Related Requirements

Note: This document includes a list of the Monitoring Priorities and
Indicators and the requirements from the statutes and regulations that
are related to each priority and indicator. The purpose of this document
is to inform States of the statutory and/or regulatory requirements
related to each indicator that will be reviewed by OSEP as part of
Focused Monitoring. That is, if OSEP determines that it will do Focused
Monitoring in a State because that State is low performing or in
noncompliance with a specific indicator, OSEP will review the Related
Requirements for that indicator as part of the Focused Monitoring. OSEP
encourages States to examine their general supervision systems to
determine how they address these Related Requirements. Please note that
the Related Requirements listed in the right column are abridged
statements of the actual language in the statute and regulations.
Readers are encouraged to review the full language of the requirements
in the statute and regulations to ensure a complete understanding of the
requirement.

+-----------------------+----------------------------------------------+
| **[Monitoring         | **[Related Requirements]{.smallcaps}**       |
| Priorities and        |                                              |
| Indi                  |                                              |
| cators]{.smallcaps}** |                                              |
+=======================+==============================================+
| 1\. Percent of        | **[Early Intervention Service                |
| infants and toddlers  | Provisions]{.underline}**                    |
| with individualized   |                                              |
| family service plans  | The State lead agency shall ensure that an   |
| (IFSPs) who receive   | IFSP is developed and implemented for each   |
| the early             | eligible child, in accordance with the       |
| intervention services | requirements of this part. If there is a     |
| on their IFSPs in a   | dispute between agencies as to who has       |
| timely manner.        | responsibility for developing or             |
|                       | implementing an IFSP, the lead agency shall  |
| > \[20 U.S.C.         | resolve the dispute or assign                |
| > 1416(a)(3)(A) and   | responsibility. \[34 CFR §303.340(c)\]       |
| > 1442\]              |                                              |
|                       | The State lead agency shall ensure that the  |
|                       | contents of the IFSP 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. \[34   |
|                       | CFR §303.342(e)\]                            |
|                       |                                              |
|                       | The IFSP shall be in writing and contain a   |
|                       | statement of the specific early intervention |
|                       | services based on peer-reviewed research, to |
|                       | the extent practicable, necessary to meet    |
|                       | the unique needs of the infant or toddler    |
|                       | and the family, including the frequency,     |
|                       | intensity, and method of delivering          |
|                       | services; the projected dates for initiation |
|                       | of services and the anticipated length,      |
|                       | duration, and frequency of the services; the |
|                       | identification of the service coordinator    |
|                       | from the profession most immediately         |
|                       | relevant to the infant\'s or toddler\'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 |
|                       | plan and coordination with other agencies    |
|                       | and persons, including transition services;  |
|                       | and the steps to be taken to support the     |
|                       | transition of the toddler with a disability  |
|                       | to preschool or other appropriate services.  |
|                       | \[20 U.S.C. 1436(d); 34 CFR §303.344(d) and  |
|                       | (f)\]                                        |
|                       |                                              |
|                       | The contents of the IFSP shall be fully      |
|                       | explained to the parents and informed        |
|                       | written consent from the parents shall be    |
|                       | obtained prior to the provision of early     |
|                       | intervention services described in such      |
|                       | plan. If the parents do not provide consent  |
|                       | with respect to a particular early           |
|                       | intervention service, then only the early    |
|                       | intervention services to which consent is    |
|                       | obtained shall be provided. \[20 U.S.C.      |
|                       | 1436(e)\]                                    |
|                       |                                              |
|                       | **[Additional Service Provisions and         |
|                       | Coordination of Resources (Including         |
|                       | Funding) Provisions]{.underline}**           |
|                       |                                              |
|                       | The State lead agency must ensure the        |
|                       | provision of early intervention services as  |
|                       | defined in 20 U.S.C. 1432 are: provided      |
|                       | under public supervision; and provided at no |
|                       | cost except where Federal or State law       |
|                       | provides for a system of payments by         |
|                       | families, including a schedule of sliding    |
|                       | fees. \[20 U.S.C. 1432(4)(A) and (B)\]       |
|                       |                                              |
|                       | The State lead agency's application must     |
|                       | include a description of the procedure used  |
|                       | to ensure that resources are made available  |
|                       | under this part for all geographic areas     |
|                       | within the State. \[20 U.S.C. 1437(a)(7); 34 |
|                       | CFR §303.147\]                               |
|                       |                                              |
|                       | The State lead agency must provide           |
|                       | assurances that the State (1) has adopted a  |
|                       | policy that appropriate early intervention   |
|                       | services are available to all infants and    |
|                       | toddlers with disabilities in the State and  |
|                       | their families, including Indian infants and |
|                       | toddlers with disabilities and their         |
|                       | families residing on a reservation           |
|                       | geographically located in the State, infants |
|                       | and toddlers with disabilities who are       |
|                       | homeless children and their families, and    |
|                       | infants and toddlers with disabilities who   |
|                       | are wards of the State; and (2) has in       |
|                       | effect a statewide system that meets the     |
|                       | requirements of 20 U.S.C. 1435. \[20 U.S.C.  |
|                       | 1434(1)\]                                    |
|                       |                                              |
|                       | The State lead agency must have in effect a  |
|                       | policy that ensures that appropriate early   |
|                       | intervention services based on               |
|                       | scientifically based research, to the extent |
|                       | practicable, are available to all infants    |
|                       | and toddlers with disabilities and their     |
|                       | families, including Indian infants and       |
|                       | toddlers with disabilities and their         |
|                       | families residing on a reservation           |
|                       | geographically located in the State and      |
|                       | infants and toddlers with disabilities who   |
|                       | are homeless children and their families.    |
|                       | \[20 U.S.C. 1435(a)(2)\]                     |
|                       |                                              |
|                       | #### Interagency Coordination Provisions     |
|                       |                                              |
|                       | The State lead agency has in effect a        |
|                       | statewide system as described in 20 U.S.C.   |
|                       | 1433 that includes procedures to ensure that |
|                       | services are provided to infants and         |
|                       | toddlers with disabilities and their         |
|                       | families in a timely manner pending the      |
|                       | resolution of any disputes among public      |
|                       | agencies or service providers. \[20 U.S.C.   |
|                       | 1435(a)(10)(D); 34 CFR §303.525\]            |
|                       |                                              |
|                       | The State lead agency must have in effect a  |
|                       | policy pertaining to the contracting or      |
|                       | making of other arrangements with service    |
|                       | providers to provide early intervention      |
|                       | services in the State, consistent with the   |
|                       | provisions of this part, including the       |
|                       | contents of the application used and the     |
|                       | conditions of the contract or other          |
|                       | arrangements. The policy must include a      |
|                       | requirement that all early intervention      |
|                       | services must meet State standards and be    |
|                       | consistent with the provisions of this part; |
|                       | the mechanisms that the lead agency will use |
|                       | in arranging for these services, including   |
|                       | the process by which awards or other         |
|                       | arrangements are made; and the basic         |
|                       | requirements that must be met by any         |
|                       | individual or organization seeking to        |
|                       | provide these services for the lead agency.  |
|                       | \[20 U.S.C. 1435(a)(11); 34 CFR §303.526\]   |
|                       |                                              |
|                       | Each State Interagency Coordinating Council  |
|                       | (SICC) shall assist the State lead agency in |
|                       | the effective implementation of the          |
|                       | statewide system, by establishing a process  |
|                       | that includes seeking information from       |
|                       | service providers, service coordinators,     |
|                       | parents, and others about any Federal,       |
|                       | State, or local policies that impede timely  |
|                       | service delivery; and taking steps to ensure |
|                       | that any policy problems identified under 34 |
|                       | CFR §303.650(a)(3)(i) are resolved. \[34 CFR |
|                       | §303.650(a)(3)\]                             |
|                       |                                              |
|                       | The State lead agency must ensure the        |
|                       | provision of early intervention services as  |
|                       | defined in 20 U.S.C. 1432(4): are designed   |
|                       | to meet the developmental needs of an infant |
|                       | or toddler with a disability, as identified  |
|                       | by the individualized family service plan    |
|                       | (IFSP) team, in any one or more of the       |
|                       | following areas: physical development;       |
|                       | cognitive development; communication         |
|                       | development; social or emotional             |
|                       | development; or adaptive development; meet   |
|                       | the standards of the State in which the      |
|                       | services are provided, including the         |
|                       | requirements of this part; include family    |
|                       | training, counseling, and home visits;       |
|                       | special instruction; speech-language         |
|                       | pathology and audiology services, and sign   |
|                       | language and cued language services;         |
|                       | occupational therapy; physical therapy;      |
|                       | psychological services; service coordination |
|                       | services; medical services only for          |
|                       | diagnostic or evaluation purposes; early     |
|                       | identification, screening, and assessment    |
|                       | services; health services necessary to       |
|                       | enable the infant or toddler to benefit from |
|                       | the other early intervention services;       |
|                       | social work services; vision services;       |
|                       | assistive technology devices and assistive   |
|                       | technology services; and transportation and  |
|                       | related costs that are necessary to enable   |
|                       | an infant or toddler and the infant\'s or    |
|                       | toddler\'s family to receive another service |
|                       | described in this paragraph; are provided by |
|                       | qualified personnel, including: special      |
|                       | educators; speech-language pathologists and  |
|                       | audiologists; occupational therapists;       |
|                       | physical therapists; psychologists; social   |
|                       | workers; nurses; registered dietitians;      |
|                       | family therapists; vision specialists,       |
|                       | including ophthalmologists and optometrists; |
|                       | orientation and mobility specialists; and    |
|                       | pediatricians and other physicians; to the   |
|                       | maximum extent appropriate, are provided in  |
|                       | natural environments, including the home,    |
|                       | and community settings in which children     |
|                       | without disabilities participate; and are    |
|                       | provided in conformity with an IFSP adopted  |
|                       | in accordance with 20 U.S.C. 1436. \[20      |
|                       | U.S.C. 1432(4)(C) through (H)\]              |
|                       |                                              |
|                       | #### Service Coordination Provisions         |
|                       |                                              |
|                       | The State lead agency must ensure that each  |
|                       | child eligible under this part and the       |
|                       | child\'s family are provided with one        |
|                       | service coordinator who is responsible for   |
|                       | coordinating all services across agency      |
|                       | lines and serving as the single point of     |
|                       | contact in helping parents to obtain the     |
|                       | services and assistance they need. Service   |
|                       | coordination is an active, ongoing process   |
|                       | that involves: assisting parents of eligible |
|                       | children in gaining access to the early      |
|                       | intervention services and other services     |
|                       | identified in the IFSP; coordinating the     |
|                       | provision of early intervention services and |
|                       | other services (such as medical services for |
|                       | other than diagnostic and evaluation         |
|                       | purposes) that the child needs or is being   |
|                       | provided; facilitating the timely delivery   |
|                       | of available services; and continuously      |
|                       | seeking the appropriate services and         |
|                       | situations necessary to benefit the          |
|                       | development of each child being served for   |
|                       | the duration of the child\'s eligibility.    |
|                       | Service coordination activities include      |
|                       | coordinating the performance of evaluations  |
|                       | and assessments; facilitating and            |
|                       | participating in the development, review,    |
|                       | and evaluation of IFSPs; assisting families  |
|                       | in identifying available service providers;  |
|                       | coordinating and monitoring the delivery of  |
|                       | available services; informing families of    |
|                       | the availability of advocacy services;       |
|                       | coordinating with medical and health         |
|                       | providers; and facilitating the development  |
|                       | of a transition plan to preschool services,  |
|                       | if appropriate. \[34 CFR §303.23(a)(2) and   |
|                       | (b)\]                                        |
|                       |                                              |
|                       | #### Comprehensiv                            |
|                       | e System of Personnel Development Provisions |
|                       |                                              |
|                       | The State lead agency must have in effect, a |
|                       | comprehensive system of personnel            |
|                       | development, including the training of       |
|                       | paraprofessionals and the training of        |
|                       | primary referral sources with respect to the |
|                       | basic components of early intervention       |
|                       | services available in the State that shall   |
|                       | include: implementing innovative strategies  |
|                       | and activities for the recruitment and       |
|                       | retention of early education service         |
|                       | providers; promoting the preparation of      |
|                       | early intervention providers who are fully   |
|                       | and appropriately qualified to provide early |
|                       | intervention services under this part; and   |
|                       | training personnel to coordinate transition  |
|                       | services for infants and toddlers served     |
|                       | under this part from a program providing     |
|                       | early intervention services under this part  |
|                       | and under Part B (other than section 619),   |
|                       | to a preschool program receiving funds under |
|                       | section 619, or another appropriate program; |
|                       | and may include: training personnel to work  |
|                       | in rural and inner-city areas; and training  |
|                       | personnel in the emotional and social        |
|                       | development of young children. Policies and  |
|                       | procedures relating to the establishment and |
|                       | maintenance of qualifications to ensure that |
|                       | personnel necessary to carry out this part   |
|                       | are appropriately and adequately prepared    |
|                       | and trained, including the establishment and |
|                       | maintenance of qualifications that are       |
|                       | consistent with any State-approved or        |
|                       | recognized certification, licensing,         |
|                       | registration, or other comparable            |
|                       | requirements that apply to the area in which |
|                       | such personnel are providing early           |
|                       | intervention services, except that nothing   |
|                       | in this part (including this paragraph)      |
|                       | shall be construed to prohibit the use of    |
|                       | paraprofessionals and assistants who are     |
|                       | appropriately trained and supervised in      |
|                       | accordance with State law, regulation, or    |
|                       | written policy, to assist in the provision   |
|                       | of early intervention services under this    |
|                       | part to infants and toddlers with            |
|                       | disabilities. \[20 U.S.C. 1435(a)(8) and     |
|                       | (9); 34 CFR §§303.22, 303.360 and 303.361\]  |
|                       |                                              |
|                       | A State lead agency 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 infants and   |
|                       | toddlers with disabilities, including, in a  |
|                       | geographic area of the State where there is  |
|                       | a shortage of such personnel, the most       |
|                       | qualified individuals available who are      |
|                       | making satisfactory progress toward          |
|                       | completing applicable course work necessary  |
|                       | to meet the standards consistent with        |
|                       | 1435(a)(9). \[20 U.S.C. 1435(b); 34 CFR      |
|                       | §§303.22 and 303.361\]                       |
|                       |                                              |
|                       | #### Additional IFSP Provisions              |
|                       |                                              |
|                       | Each infant or toddler with a disability in  |
|                       | the State must have an IFSP in accordance    |
|                       | with 20 U.S.C. 1436, including service       |
|                       | coordination services in accordance with     |
|                       | such service plan. \[20 U.S.C. 1435(a)(4)\]  |
|                       |                                              |
|                       | The State lead agency must ensure that each  |
|                       | initial meeting and each annual meeting to   |
|                       | evaluate the IFSP includes the following     |
|                       | participants: the parent or parents of the   |
|                       | child; other family members, as requested by |
|                       | the parent, if feasible to do so; an         |
|                       | advocate or person outside of the family, if |
|                       | the parent requests that the person          |
|                       | participate; 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; and a person or  |
|                       | persons directly involved in conducting the  |
|                       | evaluations and assessments in 34 CFR        |
|                       | §303.322; and as appropriate, persons who    |
|                       | will be providing services to the child or   |
|                       | family. If a person listed in 34 CFR         |
|                       | §303.343 is unable to attend a meeting,      |
|                       | arrangements must be made for the person\'s  |
|                       | involvement through other means, including   |
|                       | participating in a telephone conference      |
|                       | call; having a knowledgeable authorized      |
|                       | representative attend the meeting; or making |
|                       | pertinent records available at the meeting.  |
|                       | Each periodic review must provide for the    |
|                       | participation of persons listed in 34 CFR    |
|                       | §303.343. If conditions warrant, provisions  |
|                       | must be made for the participation of other  |
|                       | representatives identified. \[34 CFR         |
|                       | §303.343\]                                   |
+-----------------------+----------------------------------------------+
| 2\. Percent of        | Infants and toddlers and their families to   |
| infants and toddlers  | the maximum extent appropriate, are provided |
| with IFSPs who        | services in natural environments, including  |
| primarily receive     | the home, and community settings in which    |
| early intervention    | children without disabilities participate.   |
| services in the home  | Natural environments means settings that are |
| or programs for       | natural or normal for the child\'s age peers |
| typically developing  | who have no disabilities. \[20 U.S.C.        |
| children.             | 1432(4)(G); 34 CFR §§303.12(b) and 303.18\]. |
|                       |                                              |
| > \[20 U.S.C.         | The State lead agency shall provide data     |
| > 1416(a)(3)(A) and   | each year to the Secretary of Education and  |
| > 1442\]              | the public on the number and percentage of   |
|                       | children with disabilities, by race,         |
|                       | ethnicity, limited English proficiency       |
|                       | status, gender, and disability category, who |
|                       | are in settings other than the natural       |
|                       | environment consistent with the provision of |
|                       | appropriate early intervention services to   |
|                       | infants and toddlers with disabilities. \[20 |
|                       | U.S.C. 1418(a)(1)(A)(iii); 1442(3)\]         |
|                       |                                              |
|                       | The State lead agency must have interagency  |
|                       | agreements in effect that define the         |
|                       | financial responsibility, in accordance with |
|                       | 34 CFR §303.143, of the agency for paying    |
|                       | for early intervention services (consistent  |
|                       | with State law and the requirements of this  |
|                       | part). \[34 CFR §303.523(b)\]                |
|                       |                                              |
|                       | The State lead agency has a statewide system |
|                       | that includes policies and procedures        |
|                       | consistent with 20 U.S.C. 1436(d)(5) to the  |
|                       | maximum extent appropriate; early            |
|                       | intervention services are provided in        |
|                       | natural environments; and the provision of   |
|                       | early intervention services for any infant   |
|                       | or toddler with a disability occurs in a     |
|                       | setting other than a natural environment     |
|                       | that is most appropriate, as determined by   |
|                       | the parent and the IFSP team, only when      |
|                       | early intervention cannot be achieved        |
|                       | satisfactorily for the infant or toddler in  |
|                       | a natural environment. \[20 U.S.C.           |
|                       | 1435(a)(16)\]                                |
|                       |                                              |
|                       | The IFSP shall contain a statement of the    |
|                       | natural environments in which early          |
|                       | intervention services will appropriately be  |
|                       | provided, including a justification of the   |
|                       | extent, if any, to which the services will   |
|                       | not be provided in a natural environment.    |
|                       | \[20 U.S.C. 1436(d)(5); 34 CFR               |
|                       | §303.344(d)(ii)\]                            |
+-----------------------+----------------------------------------------+
| 3\. Percent of        | The State lead agency must have a statewide  |
| infants and toddlers  | system as described in 20 U.S.C. 1433 that   |
| with IFSPs who        | provides for each infant or toddler with a   |
| demonstrate improved: | disability, and the infant\'s or toddler\'s  |
|                       | family, to receive: a multidisciplinary      |
| A. Positive           | assessment of the unique strengths and needs |
| social-emotional      | of the infant or toddler and the             |
| skills (including     | identification of services appropriate to    |
| social                | meet such needs. The IFSP shall be in        |
| relationships);       | writing and contain a statement of the       |
|                       | infant\'s or toddler\'s present levels of    |
| > B. Acquisition and  | physical development, cognitive development, |
| > use of knowledge    | communication development, social or         |
| > and skills          | emotional development, and adaptive          |
| > (including early    | development, based on objective criteria; a  |
| > lan                 | statement of the family\'s resources,        |
| guage/communication); | priorities, and concerns relating to         |
| > and                 | enhancing the development of the family\'s   |
| >                     | infant or toddler with a disability; a       |
| > C. Use of           | statement of the measurable results or       |
| > appropriate         | outcomes expected to be achieved for the     |
| > behaviors to meet   | infant or toddler and the family, including  |
| > their needs.        | pre-literacy and language skills, as         |
| >                     | developmentally appropriate for the child,   |
| > \[20 U.S.C.         | and the criteria, procedures, and timelines  |
| > 1416(a)(3)(A) and   | used to determine the degree to which        |
| > 1442\]              | progress toward achieving the results or     |
|                       | outcomes is being made and whether           |
|                       | modifications or revisions of the results or |
|                       | outcomes or services are necessary. \[20     |
|                       | U.S.C. 1436(a)(1), (d)(1) through (3)\]      |
|                       |                                              |
|                       | The IFSP must contain information about the  |
|                       | child\'s status. 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. The statement in 34    |
|                       | CFR §303.344(a)(1) must be based on          |
|                       | professionally acceptable objective          |
|                       | criteria. With the concurrence of the        |
|                       | family, the IFSP must include a statement of |
|                       | the family\'s resources, priorities, and     |
|                       | concerns related to enhancing the            |
|                       | development of the child. The IFSP must      |
|                       | include a statement of the major outcomes    |
|                       | expected to be achieved for the child and    |
|                       | family, and the criteria, procedures, and    |
|                       | timelines used to determine the degree to    |
|                       | which progress toward achieving the outcomes |
|                       | is being made; and whether modifications or  |
|                       | revisions of the outcomes or services are    |
|                       | necessary. \[34 CFR §303.344(a) through      |
|                       | (c)\]                                        |
+-----------------------+----------------------------------------------+
| 4\. Percent of        | The State lead agency must have a statewide  |
| families              | system that provides for each infant or      |
| participating in Part | toddler with a disability and the infant's   |
| C who report that     | or toddler's family to receive a             |
| early intervention    | family-directed assessment of the resources, |
| services have helped  | priorities, and concerns of the family and   |
| the family:           | the identification of the supports and       |
|                       | services necessary to enhance the family\'s  |
| > A Know their        | capacity to meet the developmental needs of  |
| > rights;             | the infant or toddler. The evaluation and    |
| >                     | assessment of each child must be conducted   |
| > B. Effectively      | by personnel trained to utilize appropriate  |
| > communicate their   | methods and procedures; be based on informed |
| > children\'s needs;  | clinical opinion; and include the following: |
| > and                 | a review of pertinent records related to the |
| >                     | child\'s current health status and medical   |
| > C. Help their       | history; an evaluation of the child\'s level |
| > children develop    | of functioning in each of the following      |
| > and learn.          | developmental areas: cognitive development;  |
| >                     | physical development, including vision and   |
| > \[20 U.S.C.         | hearing; communication development; social   |
| > 1416(a)(3)(A) and   | or emotional development; adaptive           |
| > 1442\]              | development; and an assessment of the unique |
|                       | needs of the child in terms of each of the   |
|                       | developmental areas in 34 CFR                |
|                       | §303.322(c)(3)(ii), including the            |
|                       | identification of services appropriate to    |
|                       | meet those needs. Family assessments 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. Any        |
|                       | assessment that is conducted must be         |
|                       | voluntary on the part of the family. If an   |
|                       | assessment of the family is carried out, the |
|                       | assessment must be conducted by personnel    |
|                       | trained to utilize appropriate methods and   |
|                       | procedures; be based on information provided |
|                       | by the family through a personal interview;  |
|                       | and incorporate the family\'s description of |
|                       | its resources, priorities, and concerns      |
|                       | related to enhancing the child\'s            |
|                       | development. \[20 U.S.C. 1436(a)(2); 34 CFR  |
|                       | §303.322(c) and (d)\]                        |
|                       |                                              |
|                       | The IFSP shall be in writing and contain a   |
|                       | statement of the infant\'s or toddler\'s     |
|                       | present levels of physical development,      |
|                       | cognitive development, communication         |
|                       | development, social or emotional             |
|                       | development, and adaptive development, based |
|                       | on objective criteria; a statement of the    |
|                       | family\'s resources, priorities, and         |
|                       | concerns relating to enhancing the           |
|                       | development of the family\'s infant or       |
|                       | toddler with a disability; a statement of    |
|                       | the measurable results or outcomes expected  |
|                       | to be achieved for the infant or toddler and |
|                       | the family, including pre-literacy and       |
|                       | language skills, as developmentally          |
|                       | appropriate for the child, and the criteria, |
|                       | procedures, and timelines used to determine  |
|                       | the degree to which progress toward          |
|                       | achieving the results or outcomes is being   |
|                       | made and whether modifications or revisions  |
|                       | of the results or outcomes or services are   |
|                       | necessary; a statement of specific early     |
|                       | intervention services based on peer-reviewed |
|                       | research, to the extent practicable,         |
|                       | necessary to meet the unique needs of the    |
|                       | infant or toddler and the family, including  |
|                       | the frequency, intensity, and method of      |
|                       | delivering services. \[20 U.S.C. 1436(d)\]   |
|                       |                                              |
|                       | The contents of the IFSP shall be fully      |
|                       | explained to the parents and informed        |
|                       | written consent from the parents shall be    |
|                       | obtained prior to the provision of early     |
|                       | intervention services described in such      |
|                       | plan. If the parents do not provide consent  |
|                       | with respect to a particular early           |
|                       | intervention service, then only the early    |
|                       | intervention services to which consent is    |
|                       | obtained shall be provided. \[20 U.S.C.      |
|                       | 1436(e)\]                                    |
|                       |                                              |
|                       | The State lead agency shall have policies    |
|                       | and procedures in effect that ensure that    |
|                       | the provisions of procedural safeguards that |
|                       | are required to be included in a statewide   |
|                       | system under 20 U.S.C. 1435(a)(13) and that  |
|                       | meet the requirements in 20 U.S.C. 1439; 34  |
|                       | CFR §§303.400 through 303.460. \[20 U.S.C.   |
|                       | 1439 and 1415(e); 34 CFR §§303.400 through   |
|                       | 303.460\]                                    |
+-----------------------+----------------------------------------------+
| 5\. Percent of        | The State lead agency shall provide data     |
| infants and toddlers  | each year to the Secretary and the public on |
| birth to 1 with IFSPs | the following: the number and percentage of  |
| compared to:          | children with disabilities by race, gender,  |
|                       | and ethnicity, who are receiving early       |
| A. Other States with  | intervention services; and the number and    |
| similar eligibility   | percentage of infants and toddlers, by race, |
| definitions; and      | and ethnicity, who are at risk of having     |
|                       | substantial developmental delays (as defined |
| > B. National data.   | in 20 U.S.C. 1432), and who are receiving    |
| >                     | early intervention services under Part C.    |
| > \[20 U.S.C.         | \[20 U.S.C. 1418(a)(1)(B) and (a)(2)\]       |
| > 1416(a)(3)(B) and   |                                              |
| > 1442\]              | ## Eligibility Criteria                      |
|                       |                                              |
| 6\. Percent of        | The State lead agency must have policies and |
| infants and toddlers  | procedures in effect that ensure a rigorous  |
| birth to 3 with IFSPs | definition of the term developmental delay   |
| compared to:          | that will be used by the State in carrying   |
|                       | out programs under this part in order to     |
| > A. Other States     | appropriately identify infants and toddlers  |
| > with similar        | with disabilities that are in need of        |
| > eligibility         | services under this part. \[20 U.S.C.        |
| > definitions; and    | 1435(a)(1)\]                                 |
| >                     |                                              |
| > B. National data.   | The statewide system of early intervention   |
| >                     | services must include the eligibility        |
| > \[20 U.S.C.         | criteria and procedures, consistent with 34  |
| > 1416(a)(3)(B) and   | CFR §303.16, that will be used by the State  |
| > 1442\]              | in carrying out programs under this part.    |
|                       | The State shall define developmental delay   |
|                       | by describing, for each of the areas listed  |
|                       | in 34 CFR §303.16(a)(1), the procedures,     |
|                       | including the use of informed clinical       |
|                       | opinion, that will be used to measure a      |
|                       | child\'s development; and stating the levels |
|                       | of functioning or other criteria that        |
|                       | constitute a developmental delay in each of  |
|                       | those areas. The State lead agency 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 34 CFR §303.16(a)(2). If the     |
|                       | State elects to include in its system        |
|                       | children who are at risk under 34 CFR        |
|                       | §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. \[34 CFR    |
|                       | §303.300\]                                   |
|                       |                                              |
|                       | **[Comprehensive Child Find System           |
|                       | Provisions]{.underline}**                    |
|                       |                                              |
|                       | The State lead agency must have a            |
|                       | comprehensive child find system, consistent  |
|                       | with Part B, including a system for making   |
|                       | referrals to service providers that includes |
|                       | timelines and provides for participation by  |
|                       | primary referral sources and that ensures    |
|                       | rigorous standards for appropriately         |
|                       | identifying infants and toddlers with        |
|                       | disabilities for services under this part    |
|                       | that will reduce the need for future         |
|                       | services. \[20 U.S.C. 1435(a)(5)\]           |
|                       |                                              |
|                       | The State lead agency, with the advice and   |
|                       | assistance of the Interagency Coordinating   |
|                       | Council, shall be responsible for            |
|                       | implementing the child find system. The      |
|                       | child find system must include the policies  |
|                       | and procedures that the State will follow to |
|                       | ensure that: all infants and toddlers in the |
|                       | State who are eligible for services under    |
|                       | this part are identified, located, and       |
|                       | evaluated; and an effective method is        |
|                       | developed and implemented to determine which |
|                       | children are receiving needed early          |
|                       | intervention services. \[34 CFR              |
|                       | §303.321(a)(2) and (b)\]                     |
|                       |                                              |
|                       | The State lead agency, with the assistance   |
|                       | of the Interagency Coordinating 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: program authorized under     |
|                       | Part B of the Act; Maternal and Child Health |
|                       | program under title V of the Social Security |
|                       | Act; Early Periodic Screening, Diagnosis and |
|                       | Treatment (EPSDT) program under title XIX of |
|                       | the Social Security Act; Developmental       |
|                       | Disabilities Assistance and Bill of Rights   |
|                       | Act; Head Start Act; and Supplemental        |
|                       | Security Income program under title XVI of   |
|                       | the Social Security Act. The State lead      |
|                       | agency, with the advice and assistance of    |
|                       | the Council, shall take steps to ensure      |
|                       | that: there will not be unnecessary          |
|                       | duplication of effort by the various         |
|                       | agencies involved in the State\'s child find |
|                       | system under this part; and 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. \[34 CFR §303.321(c)\]               |
|                       |                                              |
|                       | 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: evaluation and assessment, in           |
|                       | accordance with 34 CFR §§303.322 and         |
|                       | 303.323; or as appropriate, the provision of |
|                       | services, in accordance with 34 CFR          |
|                       | §§303.342(a) or 303.345. The procedures      |
|                       | required in 34 CFR §303.322 (b)(1) must:     |
|                       | provide for an effective method of making    |
|                       | referrals by primary referral sources;       |
|                       | ensure that referrals are made no more than  |
|                       | two working days after a child has been      |
|                       | identified; and include procedures for       |
|                       | determining the extent to which primary      |
|                       | referral sources, especially hospitals and   |
|                       | physicians, disseminate the information, as  |
|                       | described in 34 CFR §303.320, prepared by    |
|                       | the State lead agency on the availability of |
|                       | early intervention services to parents of    |
|                       | infants and toddlers with disabilities.      |
|                       | Primary referral sources include: hospitals, |
|                       | including prenatal and postnatal care        |
|                       | facilities; physicians; parents; day care    |
|                       | programs; local educational agencies; public |
|                       | health facilities; other social service      |
|                       | agencies; and other health care providers.   |
|                       | \[34 CFR §303.321(d)\]                       |
|                       |                                              |
|                       | ## Public Awareness Provisions               |
|                       |                                              |
|                       | The Statewide system must include procedures |
|                       | for public agencies to act on referrals.     |
|                       | Once the public agency receives a referral,  |
|                       | it shall appoint a service coordinator as    |
|                       | soon as possible. Within 45 days after it    |
|                       | receives a referral, the public agency       |
|                       | shall: complete the evaluation and           |
|                       | assessment activities in 34 CFR §303.322;    |
|                       | and hold an IFSP meeting, in accordance with |
|                       | 34 CFR §303.342. \[34 CFR §303.321(e)\]      |
|                       |                                              |
|                       | The Statewide system must include a public   |
|                       | awareness program focusing on early          |
|                       | identification of infants and toddlers with  |
|                       | disabilities, including the preparation and  |
|                       | dissemination by the lead agency designated  |
|                       | or established under 20 U.S.C. 1435(a)(10)   |
|                       | to all primary referral sources, especially  |
|                       | hospitals and physicians, of information to  |
|                       | be given to parents, especially to inform    |
|                       | parents with premature infants, or infants   |
|                       | with other physical risk factors associated  |
|                       | with learning or developmental               |
|                       | complications, on the availability of early  |
|                       | intervention services under this part and of |
|                       | services under section 619, and procedures   |
|                       | for assisting such sources in disseminating  |
|                       | such information to parents of infants and   |
|                       | toddlers with disabilities. \[20 U.S.C.      |
|                       | 1435(a)(6); 34 CFR §303.320\]                |
|                       |                                              |
|                       | The Statewide system must include a central  |
|                       | directory that includes information on early |
|                       | intervention services, resources, and        |
|                       | experts available in the State and research  |
|                       | and demonstration projects being conducted   |
|                       | in the State. \[20 U.S.C. 1435(a)(7)\]       |
|                       |                                              |
|                       | The Statewide system must include a central  |
|                       | directory of information about: public and   |
|                       | private early intervention services,         |
|                       | resources, and experts available in the      |
|                       | State; research and demonstration projects   |
|                       | being conducted in the State; and            |
|                       | professional and other groups that provide   |
|                       | assistance to children eligible under this   |
|                       | part and their families. The information     |
|                       | required in 34 CFR §303.301(a) must be in    |
|                       | sufficient detail to: 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 enable  |
|                       | the parent of a child eligible under this    |
|                       | part to contact, by telephone or letter, any |
|                       | of the sources listed in the directory. The  |
|                       | central directory must be: updated at least  |
|                       | annually; and accessible to the general      |
|                       | public. To meet the requirements in 34 CFR   |
|                       | §303.301(c)(2), the State lead agency shall  |
|                       | arrange for copies of the directory to be    |
|                       | available in each geographic region of the   |
|                       | State, including rural areas; and in places  |
|                       | and a manner that ensure accessibility by    |
|                       | persons with disabilities. \[34 CFR          |
|                       | §303.301\]                                   |
+-----------------------+----------------------------------------------+
| 7\. Percent of        | The Statewide system must include procedures |
| eligible infants and  | for public agencies to act on referrals.     |
| toddlers with IFSPs   | Once the public agency receives a referral,  |
| for whom an           | it shall appoint a service coordinator as    |
| evaluation and        | soon as possible. Within 45 days after it    |
| assessment and an     | receives a referral, the public agency       |
| initial IFSP meeting  | shall: complete the evaluation and           |
| were conducted within | assessment activities in 34 CFR §303.322;    |
| Part C's 45-day       | and hold an IFSP meeting, in accordance with |
| timeline.             | 34 CFR §303.342. \[34 CFR §303.321(e)(2)\]   |
|                       |                                              |
| > \[20 U.S.C.         | Except as provided in 34 CFR §303.322(e)(2), |
| > 1416(a)(3)(B) and   | the evaluation and initial assessment of     |
| > 1442\]              | each child (including the family assessment) |
|                       | must be completed within the 45-day time     |
|                       | period required in 34 CFR §303.321(e). \[34  |
|                       | CFR §303.322(e)(1)\]                         |
|                       |                                              |
|                       | The lead agency must have in effect          |
|                       | procedures to ensure that 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 34 CFR      |
|                       | §303.321(e). \[34 CFR §303.342(a)\]          |
|                       |                                              |
|                       | ## Re                                        |
|                       | ferral, Evaluation and Assessment Provisions |
|                       |                                              |
|                       | ## The State lea                             |
|                       | d agency must have in effect policies and pr |
|                       | ocedures to ensure that written prior notice |
|                       |  is given to the parents of a child eligible |
|                       |  under this part a reasonable time before a  |
|                       | public agency or service provider proposes,  |
|                       | or refuses, to initiate or change the identi |
|                       | fication, evaluation, or placement of the ch |
|                       | ild, or the provision of appropriate early i |
|                       | ntervention services to the child and the ch |
|                       | ild\'s family; the notice must be in suffici |
|                       | ent detail to inform the parents about the a |
|                       | ction that is being proposed or refused; the |
|                       |  reasons for taking the action; all procedur |
|                       | al safeguards that are available under 34 CF |
|                       | R §303.401 through 303.460 of this part; and |
|                       |  the State complaint procedures under 34 CFR |
|                       |  §§303.510 through 303.512, including a desc |
|                       | ription of how to file a complaint and the t |
|                       | imelines under those procedures. The notice  |
|                       | must be: written in language understandable  |
|                       | to the general public; and provided in the n |
|                       | ative language of the parents, unless it is  |
|                       | clearly not feasible to do so. If the native |
|                       |  language or other mode of communication of  |
|                       | the parent is not a written language, the pu |
|                       | blic agency, or designated service provider, |
|                       |  shall take steps to ensure that: the notice |
|                       |  is translated orally or by other means to t |
|                       | he parent in the parent\'s native language o |
|                       | r other mode of communication; the parent un |
|                       | derstands the notice; and there is written e |
|                       | vidence that the requirements of this paragr |
|                       | aph have been met. If a parent is deaf or bl |
|                       | ind, or has no written language, the mode of |
|                       |  communication must be that normally used by |
|                       |  the parent (such as sign language, braille, |
|                       |  or oral communication). \[34 CFR §303.403\] |
|                       |                                              |
|                       | The State lead agency must ensure that       |
|                       | consent, native language and personally      |
|                       | identifiable provisions as defined in 34 CFR |
|                       | §303.401 are implemented as follows: consent |
|                       | means the parent has been fully informed of  |
|                       | all information relevant to the activity for |
|                       | which consent is sought, in the parent\'s    |
|                       | native language or other mode of             |
|                       | communication; the parent understands and    |
|                       | agrees in writing to the carrying out of the |
|                       | activity for which consent is sought, and    |
|                       | the consent describes that activity and      |
|                       | lists the records (if any) that will be      |
|                       | released and to whom; the parent understands |
|                       | that the granting of consent is voluntary on |
|                       | the part of the parent and may be revoked at |
|                       | any time; the native language where used     |
|                       | with reference to persons of limited English |
|                       | proficiency, means the language or mode of   |
|                       | communication normally used by the parent of |
|                       | a child eligible under this part; and        |
|                       | personally identifiable information includes |
|                       | the name of the child, the child\'s parent,  |
|                       | or other family member; the address of the   |
|                       | child; a personal identifier, such as the    |
|                       | child\'s or parent\'s social security        |
|                       | number; or a list of personal                |
|                       | characteristics or other information that    |
|                       | would make it possible to identify the child |
|                       | with reasonable certainty. \[34 CFR          |
|                       | §303.401\]                                   |
|                       |                                              |
|                       | The State lead agency must ensure that       |
|                       | written parental consent is obtained before: |
|                       | conducting the initial evaluation and        |
|                       | assessment of a child under 34 CFR §303.322; |
|                       | and initiating the provision of early        |
|                       | intervention services (see 34 CFR            |
|                       | §303.342(e)). If consent is not given, the   |
|                       | public agency shall make reasonable efforts  |
|                       | to ensure that the parent: is fully aware of |
|                       | the nature of the evaluation and assessment  |
|                       | or the services that would be available; and |
|                       | understands that the child will not be able  |
|                       | to receive the evaluation and assessment or  |
|                       | services unless consent is given. \[34 CFR   |
|                       | §303.404\]                                   |
|                       |                                              |
|                       | The State lead agency must have policies and |
|                       | procedures in effect to ensure that early    |
|                       | intervention services for an eligible child  |
|                       | and the child\'s family may commence before  |
|                       | the completion of the evaluation and         |
|                       | assessment in 34 CFR §303.322, if the        |
|                       | following conditions are met: parental       |
|                       | consent is obtained; an interim IFSP is      |
|                       | developed that includes: the name of the     |
|                       | service coordinator who will be responsible, |
|                       | consistent with 34 CFR §303.344(g), for      |
|                       | implementation of the interim IFSP and       |
|                       | coordination with other agencies and         |
|                       | persons; and the early intervention services |
|                       | that have been determined to be needed       |
|                       | immediately by the child and the child\'s    |
|                       | family; and the evaluation and assessment    |
|                       | are completed within the time period         |
|                       | required in 34 CFR §303.322(e). \[34 CFR     |
|                       | §303.345\]                                   |
|                       |                                              |
|                       | The State lead agency must ensure that       |
|                       | evaluations and assessments are consistent   |
|                       | with 34 CFR §303.322(b)(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 34 CFR     |
|                       | §303.16, including determining the status of |
|                       | the child in each of the developmental areas |
|                       | in 34 CFR §303.322(c)(3)(ii). Assessment     |
|                       | means the ongoing procedures used by         |
|                       | appropriate qualified personnel throughout   |
|                       | the period of a child\'s eligibility under   |
|                       | this part to identify the child\'s unique    |
|                       | strengths and needs and the services         |
|                       | appropriate to meet those needs; and 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. \[34    |
|                       | CFR §303.322(b)(1) and (2)\]                 |
|                       |                                              |
|                       | The evaluation and assessment of each child  |
|                       | must be conducted by personnel trained to    |
|                       | utilize appropriate methods and procedures;  |
|                       | be based on informed clinical opinion; and   |
|                       | include the following: a review of pertinent |
|                       | records related to the child\'s current      |
|                       | health status and medical history; an        |
|                       | evaluation of the child\'s level of          |
|                       | functioning in each of the following         |
|                       | developmental areas: cognitive development;  |
|                       | physical development, including vision and   |
|                       | hearing; communication development; social   |
|                       | or emotional development; adaptive           |
|                       | development; an assessment of the unique     |
|                       | needs of the child in terms of each of the   |
|                       | developmental areas in 34 CFR                |
|                       | §303.322(c)(3)(ii), including the            |
|                       | identification of services appropriate to    |
|                       | meet those needs. Family assessments 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. Any        |
|                       | assessment that is conducted must be         |
|                       | voluntary on the part of the family. If an   |
|                       | assessment of the family is carried out, the |
|                       | assessment must be conducted by personnel    |
|                       | trained to utilize appropriate methods and   |
|                       | procedures; be based on information provided |
|                       | by the family through a personal interview;  |
|                       | and incorporate the family\'s description of |
|                       | its resources, priorities, and concerns      |
|                       | related to enhancing the child\'s            |
|                       | development. \[34 CFR §303.322(c) and (d)\]  |
|                       |                                              |
|                       | The State 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 document those |
|                       | circumstances; and develop and implement an  |
|                       | interim IFSP, to the extent appropriate and  |
|                       | consistent with 34 CFR §303.345(b)(1) and    |
|                       | (b)(2). With the parents\' consent, early    |
|                       | intervention services may commence prior to  |
|                       | the completion of the assessment. \[20       |
|                       | U.S.C. 1436(c); 34 CFR §303.322(e)(2)\]      |
|                       |                                              |
|                       | The State 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: 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; any assessment and    |
|                       | evaluation procedures and materials that are |
|                       | used are selected and administered so as not |
|                       | to be racially or culturally discriminatory; |
|                       | no single procedure is used as the sole      |
|                       | criterion for determining a child\'s         |
|                       | eligibility under this part; and evaluations |
|                       | and assessments are conducted by qualified   |
|                       | personnel. \[34 CFR §300.323\]               |
|                       |                                              |
|                       | Each Interagency Coordinating Council shall  |
|                       | assist the State lead agency in the          |
|                       | effective implementation of the statewide    |
|                       | system, by establishing a process that       |
|                       | includes seeking information from service    |
|                       | providers, service coordinators, parents,    |
|                       | and others about any Federal, State, or      |
|                       | local policies that impede timely service    |
|                       | delivery; and taking steps to ensure that    |
|                       | any policy problems identified under 34 CFR  |
|                       | §303.650(a)(3)(i) are resolved. \[34 CFR     |
|                       | §303.650(a)(3)\]                             |
|                       |                                              |
|                       | #### IFSP Provisions                         |
|                       |                                              |
|                       | Each infant or toddler with a disability in  |
|                       | the State must have an IFSP in accordance    |
|                       | with 20 U.S.C. 1436, including service       |
|                       | coordination services in accordance with     |
|                       | such service plan. \[20 U.S.C. 1435(a)(4)\]  |
|                       |                                              |
|                       | The State lead agency must have a statewide  |
|                       | system as described in 20 U.S.C. 1433 that   |
|                       | provides for each infant or toddler with a   |
|                       | disability, and the infant\'s or toddler\'s  |
|                       | family, to receive: a multidisciplinary      |
|                       | assessment of the unique strengths and needs |
|                       | of the infant or toddler and the             |
|                       | identification of services appropriate to    |
|                       | meet such needs; a family-directed           |
|                       | assessment of 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       |
|                       | infant or toddler; and a written IFSP        |
|                       | developed by a multidisciplinary team,       |
|                       | including the parents, as required by 20     |
|                       | U.S.C. 1436(e), including a description of   |
|                       | the appropriate transition services for the  |
|                       | infant or toddler. The IFSP shall be         |
|                       | evaluated once a year and the family shall   |
|                       | be provided a review of the plan at 6-month  |
|                       | intervals (or more often where appropriate,  |
|                       | based on infant or toddler and family        |
|                       | needs). The IFSP shall be developed within a |
|                       | reasonable time after the assessment         |
|                       | required by 20 U.S.C. 1436(a)(1) is          |
|                       | completed. With the parents\' consent, early |
|                       | intervention services may commence prior to  |
|                       | the completion of the assessment \[20 U.S.C. |
|                       | 1436(a) through (c)\]                        |
|                       |                                              |
|                       | The State lead agency must have policies and |
|                       | procedures in effect to ensure that early    |
|                       | intervention services for an eligible child  |
|                       | and the child\'s family may commence before  |
|                       | the completion of the evaluation and         |
|                       | assessment in 34 CFR §303.322, if the        |
|                       | following conditions are met: parental       |
|                       | consent is obtained; an interim IFSP is      |
|                       | developed that includes: the name of the     |
|                       | service coordinator who will be responsible, |
|                       | consistent with 34 CFR §303.344(g), for      |
|                       | implementation of the interim IFSP and       |
|                       | coordination with other agencies and         |
|                       | persons; and the early intervention services |
|                       | that have been determined to be needed       |
|                       | immediately by the child and the child\'s    |
|                       | family; and the evaluation and assessment    |
|                       | are completed within the time period         |
|                       | required in 34 CFR §303.322(e). \[34 CFR     |
|                       | §303.345\]                                   |
|                       |                                              |
|                       | The IFSP shall be in writing and contain a   |
|                       | statement of the infant\'s or toddler\'s     |
|                       | present levels of physical development,      |
|                       | cognitive development, communication         |
|                       | development, social or emotional             |
|                       | development, and adaptive development, based |
|                       | on objective criteria; a statement of the    |
|                       | family\'s resources, priorities, and         |
|                       | concerns relating to enhancing the           |
|                       | development of the family\'s infant or       |
|                       | toddler with a disability; a statement of    |
|                       | the measurable results or outcomes expected  |
|                       | to be achieved for the infant or toddler and |
|                       | the family, including pre-literacy and       |
|                       | language skills, as developmentally          |
|                       | appropriate for the child, and the criteria, |
|                       | procedures, and timelines used to determine  |
|                       | the degree to which progress toward          |
|                       | achieving the results or outcomes is being   |
|                       | made and whether modifications or revisions  |
|                       | of the results or outcomes or services are   |
|                       | necessary; a statement of specific early     |
|                       | intervention services based on peer-reviewed |
|                       | research, to the extent practicable,         |
|                       | necessary to meet the unique needs of the    |
|                       | infant or toddler and the family, including  |
|                       | the frequency, intensity, and method of      |
|                       | delivering services; a statement of the      |
|                       | natural environments in which early          |
|                       | intervention services will appropriately be  |
|                       | provided, including a justification of the   |
|                       | extent, if any, to which the services will   |
|                       | not be provided in a natural environment;    |
|                       | the projected dates for initiation of        |
|                       | services and the anticipated length,         |
|                       | duration, and frequency of the services; the |
|                       | identification of the service coordinator    |
|                       | from the profession most immediately         |
|                       | relevant to the infant\'s or toddler\'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 |
|                       | plan and coordination with other agencies    |
|                       | and persons, including transition services;  |
|                       | and the steps to be taken to support the     |
|                       | transition of the toddler with a disability  |
|                       | to preschool or other appropriate services.  |
|                       | \[20 U.S.C. 1436(d); 34 CFR §303.344\]       |
|                       |                                              |
|                       | The contents of the IFSP shall be fully      |
|                       | explained to the parents and informed        |
|                       | written consent from the parents shall be    |
|                       | obtained prior to the provision of early     |
|                       | intervention services described in such      |
|                       | plan. If the parents do not provide consent  |
|                       | with respect to a particular early           |
|                       | intervention service, then only the early    |
|                       | intervention services to which consent is    |
|                       | obtained shall be provided. \[20 U.S.C.      |
|                       | 1436(e)\]                                    |
|                       |                                              |
|                       | The State lead agency must 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 State lead agency  |
|                       | shall resolve the dispute or assign          |
|                       | responsibility. \[34 CFR §303.340(c)\]       |
|                       |                                              |
|                       | The State lead agency must ensure that each  |
|                       | initial meeting and each annual meeting to   |
|                       | evaluate the IFSP includes the following     |
|                       | participants: the parent or parents of the   |
|                       | child; other family members, as requested by |
|                       | the parent, if feasible to do so; an         |
|                       | advocate or person outside of the family, if |
|                       | the parent requests that the person          |
|                       | participate; 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; a person or      |
|                       | persons directly involved in conducting the  |
|                       | evaluations and assessments in 34 CFR        |
|                       | §303.322; as appropriate, persons who will   |
|                       | be providing services to the child or        |
|                       | family. If a person listed in 34 CFR         |
|                       | §303.343(a)(1)(v) is unable to attend a      |
|                       | meeting, arrangements must be made for the   |
|                       | person\'s involvement through other means,   |
|                       | including participating in a telephone       |
|                       | conference call; having a knowledgeable      |
|                       | authorized representative attend the         |
|                       | meeting; or making pertinent records         |
|                       | available at the meeting. Each periodic      |
|                       | review must provide for the participation of |
|                       | persons listed in 34 CFR §303.343. If        |
|                       | conditions warrant, provisions must be made  |
|                       | for the participation of other               |
|                       | representatives identified. \[34 CFR         |
|                       | §303.343\]                                   |
|                       |                                              |
|                       | #### Service Coordination Provisions         |
|                       |                                              |
|                       | The State lead agency has policies and       |
|                       | procedures in effect to ensure that service  |
|                       | coordination activities are carried out by a |
|                       | service coordinator to assist and enable a   |
|                       | child eligible under this part and the       |
|                       | child\'s family to receive the rights,       |
|                       | procedural safeguards, and services that are |
|                       | authorized to be provided under the State\'s |
|                       | early intervention program. \[34 CFR         |
|                       | §303.23(a)\]                                 |
|                       |                                              |
|                       | The State lead agency must ensure that each  |
|                       | child eligible under this part and the       |
|                       | child\'s family are provided with one        |
|                       | service coordinator who is responsible for   |
|                       | coordinating all services across agency      |
|                       | lines and serving as the single point of     |
|                       | contact in helping parents to obtain the     |
|                       | services and assistance they need. Service   |
|                       | coordination is an active, ongoing process   |
|                       | that involves: assisting parents of eligible |
|                       | children in gaining access to the early      |
|                       | intervention services and other services     |
|                       | identified in the IFSP; coordinating the     |
|                       | provision of early intervention services and |
|                       | other services (such as medical services for |
|                       | other than diagnostic and evaluation         |
|                       | purposes) that the child needs or is being   |
|                       | provided; facilitating the timely delivery   |
|                       | of available services; and continuously      |
|                       | seeking the appropriate services and         |
|                       | situations necessary to benefit the          |
|                       | development of each child being served for   |
|                       | the duration of the child\'s eligibility.    |
|                       | Service coordination activities include      |
|                       | coordinating the performance of evaluations  |
|                       | and assessments; facilitating and            |
|                       | participating in the development, review,    |
|                       | and evaluation of IFSPs; assisting families  |
|                       | in identifying available service providers;  |
|                       | coordinating and monitoring the delivery of  |
|                       | available services; informing families of    |
|                       | the availability of advocacy services;       |
|                       | coordinating with medical and health         |
|                       | providers; and facilitating the development  |
|                       | of a transition plan to preschool services,  |
|                       | if appropriate. \[34 CFR §303.23(a)(2) and   |
|                       | (b)\]                                        |
|                       |                                              |
|                       | #### Comprehensiv                            |
|                       | e System of Personnel Development Provisions |
|                       |                                              |
|                       | The State lead agency must have in effect, a |
|                       | comprehensive system of personnel            |
|                       | development, including the training of       |
|                       | paraprofessionals and the training of        |
|                       | primary referral sources with respect to the |
|                       | basic components of early intervention       |
|                       | services available in the State that shall   |
|                       | include: implementing innovative strategies  |
|                       | and activities for the recruitment and       |
|                       | retention of early education service         |
|                       | providers; promoting the preparation of      |
|                       | early intervention providers who are fully   |
|                       | and appropriately qualified to provide early |
|                       | intervention services under this part; and   |
|                       | training personnel to coordinate transition  |
|                       | services for infants and toddlers served     |
|                       | under this part from a program providing     |
|                       | early intervention services under this part  |
|                       | and under Part B (other than section 619),   |
|                       | to a preschool program receiving funds under |
|                       | section 619, or another appropriate program; |
|                       | and may include: training personnel to work  |
|                       | in rural and inner-city areas; and training  |
|                       | personnel in the emotional and social        |
|                       | development of young children. Policies and  |
|                       | procedures relating to the establishment and |
|                       | maintenance of qualifications to ensure that |
|                       | personnel necessary to carry out this part   |
|                       | are appropriately and adequately prepared    |
|                       | and trained, including the establishment and |
|                       | maintenance of qualifications that are       |
|                       | consistent with any State-approved or        |
|                       | recognized certification, licensing,         |
|                       | registration, or other comparable            |
|                       | requirements that apply to the area in which |
|                       | such personnel are providing early           |
|                       | intervention services, except that nothing   |
|                       | in this part (including this paragraph)      |
|                       | shall be construed to prohibit the use of    |
|                       | paraprofessionals and assistants who are     |
|                       | appropriately trained and supervised in      |
|                       | accordance with State law, regulation, or    |
|                       | written policy, to assist in the provision   |
|                       | of early intervention services under this    |
|                       | part to infants and toddlers with            |
|                       | disabilities. \[20 U.S.C. 1435(a)(8) and     |
|                       | (9); 34 CFR §§303.22, 303.360 and 303.361\]  |
|                       |                                              |
|                       | A State lead agency 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 infants and   |
|                       | toddlers with disabilities, including, in a  |
|                       | geographic area of the State where there is  |
|                       | a shortage of such personnel, the most       |
|                       | qualified individuals available who are      |
|                       | making satisfactory progress toward          |
|                       | completing applicable course work necessary  |
|                       | to meet the standards consistent with        |
|                       | 1435(a)(9). \[20 U.S.C. 1435(b); 34 CFR      |
|                       | §303.22\]                                    |
+-----------------------+----------------------------------------------+
| 8\. Percent of all    | The Statewide system shall ensure for each   |
| children exiting Part | infant or toddler with a disability, and the |
| C who received timely | infant's or toddler's family, that a written |
| transition planning   | IFSP is developed by a multidisciplinary     |
| to support the        | team, including the parents, as required by  |
| child's transition to | 20 U.S.C. 1436(e), including a description   |
| preschool and other   | of the appropriate transition services for   |
| appropriate community | the infant or toddler. The IFSP shall        |
| services by their     | include the steps to be taken to support the |
| third birthday        | transition of the toddler with a disability  |
| including:            | to preschool or other appropriate services,  |
|                       | to the extent that those services are        |
| A. IFSPs with         | appropriate. The steps required must include |
| transition steps and  | discussions with, and training of, parents   |
| services;             | regarding future placements and other        |
|                       | matters related to the child\'s transition;  |
| > B. Notification to  | procedures to prepare the child for changes  |
| > LEA, if child       | in service delivery, including steps to help |
| > potentially         | the child adjust to, and function in, a new  |
| > eligible for Part   | setting; and with parental consent, the      |
| > B; and              | transmission of information about the child  |
| >                     | to the local educational agency, to ensure   |
| > C. Transition       | continuity of services, including evaluation |
| > conference, if      | and assessment information required in 34    |
| > child potentially   | CFR §303.322, and copies of IFSPs that have  |
| > eligible for Part   | been developed and implemented in accordance |
| > B.                  | with 34 CFR §§303.340 through 303.346. \[20  |
| >                     | U.S.C. 1436(a)(3) and (d)(8); 34 CFR         |
| > \[20 U.S.C.         | §303.344(h)\]                                |
| > 1416(a)(3)(B) and   |                                              |
| > 1442\]              | The State lead agency must have policies and |
|                       | procedures in effect to ensure a smooth      |
|                       | transition for toddlers receiving early      |
|                       | intervention services under this part (and   |
|                       | children receiving those services under 20   |
|                       | U.S.C. 1435(c)) to preschool, school, other  |
|                       | appropriate services, or exiting the         |
|                       | program, including a description of how the  |
|                       | families of such toddlers and children will  |
|                       | be included in the transition plans required |
|                       | by 20 U.S.C. 1437(a)(9)(C); and the lead     |
|                       | agency designated or established under 20    |
|                       | U.S.C. 1435(a)(10) will notify the local     |
|                       | educational agency for the area in which     |
|                       | such a child resides that the child will     |
|                       | shortly reach the age of eligibility for     |
|                       | preschool services under Part B, as          |
|                       | determined in accordance with State law; in  |
|                       | the case of a child who may be eligible for  |
|                       | such preschool services, with the approval   |
|                       | of the family of the child, convene a        |
|                       | conference among the lead agency, the        |
|                       | family, and the local educational agency not |
|                       | less than 90 days (and at the discretion of  |
|                       | all such parties, not more than 9 months)    |
|                       | before the child is eligible for the         |
|                       | preschool services, to discuss any such      |
|                       | services that the child may receive; and in  |
|                       | the case of a child who may not be eligible  |
|                       | for such preschool services, with the        |
|                       | approval of the family, make reasonable      |
|                       | efforts to convene a conference among the    |
|                       | lead agency, the family, and providers of    |
|                       | other appropriate services for children who  |
|                       | are not eligible for preschool services      |
|                       | under Part B, to discuss the appropriate     |
|                       | services that the child may receive; to      |
|                       | review the child\'s program options for the  |
|                       | period from the child\'s third birthday      |
|                       | through the remainder of the school year;    |
|                       | and to establish a transition plan,          |
|                       | including, as appropriate, steps to exit     |
|                       | from the program. \[20 U.S.C. 1437(a)(9); 34 |
|                       | CFR §303.148\]                               |
|                       |                                              |
|                       | If the State educational agency, which is    |
|                       | responsible for administering preschool      |
|                       | programs under Part B of the Act, is not the |
|                       | lead agency under this part, the State lead  |
|                       | agency must have an interagency agreement    |
|                       | between the two agencies to ensure           |
|                       | coordination on transition matters. \[34 CFR |
|                       | §303.148(c)\]                                |
|                       |                                              |
|                       | #### Service Coordination Provisions         |
|                       |                                              |
|                       | The State lead agency has policies and       |
|                       | procedures in effect to ensure that service  |
|                       | coordination activities are carried out by a |
|                       | service coordinator to assist and enable a   |
|                       | child eligible under this part and the       |
|                       | child\'s family to receive the rights,       |
|                       | procedural safeguards, and services that are |
|                       | authorized to be provided under the State\'s |
|                       | early intervention program. \[34 CFR         |
|                       | §303.23(a)\]                                 |
|                       |                                              |
|                       | The State lead agency must ensure that each  |
|                       | child eligible under this part and the       |
|                       | child\'s family are provided with one        |
|                       | service coordinator who is responsible for   |
|                       | coordinating all services across agency      |
|                       | lines and serving as the single point of     |
|                       | contact in helping parents to obtain the     |
|                       | services and assistance they need. \[34 CFR  |
|                       | §303.23(a)(2)\] Service coordination         |
|                       | includes facilitating the development of a   |
|                       | transition plan to preschool services, if    |
|                       | appropriate. \[34 CFR §303.23(b)\]           |
|                       |                                              |
|                       | #### Comprehensiv                            |
|                       | e System of Personnel Development Provisions |
|                       |                                              |
|                       | The State lead agency must have in effect, a |
|                       | comprehensive system of personnel            |
|                       | development, including the training of       |
|                       | paraprofessionals and the training of        |
|                       | primary referral sources with respect to the |
|                       | basic components of early intervention       |
|                       | services available in the State that shall   |
|                       | include training personnel to coordinate     |
|                       | transition services for infants and toddlers |
|                       | served under this part from a program        |
|                       | providing early intervention services under  |
|                       | this part and under Part B (other than       |
|                       | section 619), to a preschool program         |
|                       | receiving funds under section 619, or        |
|                       | another appropriate program. \[20 U.S.C.     |
|                       | 1435(a)(8)(iii); 34 CFR §§303.22 and         |
|                       | 303.361\]                                    |
+-----------------------+----------------------------------------------+
| 9\. General           | The State lead agency must monitor the       |
| supervision system    | implementation of Part C by early            |
| (including            | intervention service providers; and enforce  |
| monitoring,           | Part C in accordance with 20 U.S.C.          |
| complaints, hearings, | 1416(a)(3) and subsection (e). \[20 U.S.C.   |
| etc.) identifies and  | 1416(a)(1)(C); 34 CFR §§303.500 and          |
| corrects              | 303.501\]                                    |
| noncompliance as soon |                                              |
| as possible but in no | The primary focus of State monitoring        |
| case later than one   | activities described in 20 U.S.C. 1416(a)(1) |
| year from             | shall be on improving results and functional |
| identification.       | outcomes for all children with disabilities; |
|                       | and ensuring that States meet the program    |
| > \[20 U.S.C.         | requirements under Part C, with a particular |
| > 1416(a)(3)(B) and   | emphasis on those requirements that are most |
| > 1442\]              | closely related to improving developmental   |
|                       | results for children with disabilities. \[20 |
|                       | U.S.C. 1416(a)(2) and 1442; 34 CFR §303.3\]  |
|                       |                                              |
|                       | The State lead agency shall monitor the      |
|                       | early intervention service providers located |
|                       | in the State (except the State exercise of   |
|                       | general supervisory responsibility),         |
|                       | agencies located in the State, using         |
|                       | quantifiable indicators in each of the       |
|                       | following priority areas, and using such     |
|                       | qualitative indicators as are needed to      |
|                       | adequately measure performance in the        |
|                       | following priority areas: provision of       |
|                       | services in the natural environment; State   |
|                       | exercise of general supervisory authority,   |
|                       | including child find, effective monitoring,  |
|                       | the use of resolution sessions, mediation,   |
|                       | voluntary binding arbitration; and a system  |
|                       | of transition services as defined in section |
|                       | 637(a)(9). The Secretary shall consider      |
|                       | other relevant information and data,         |
|                       | including data provided by States under      |
|                       | section 618. \[20 U.S.C. 1416(a)(3) and (4)  |
|                       | and 1442\]                                   |
|                       |                                              |
|                       | The State lead agency must submit a State    |
|                       | Performance Plan (SPP) that evaluates the    |
|                       | State's efforts to implement the             |
|                       | requirements and purposes of Part C and      |
|                       | describes how the State will improve such    |
|                       | implementation. Each State shall submit the  |
|                       | SPP to the Secretary for approval in         |
|                       | accordance with the approval process         |
|                       | described in 20 U.S.C. 1416(C). Each State   |
|                       | shall review its SPP at least once every 6   |
|                       | years and submit any amendments to the       |
|                       | Secretary. The State lead agency shall       |
|                       | establish measurable and rigorous targets    |
|                       | for the indicators established under the     |
|                       | priority areas described in 20 U.S.C. 1416   |
|                       | (a)(3). The State lead agency shall collect  |
|                       | valid and reliable information as needed to  |
|                       | report annually to the Secretary on the      |
|                       | priority areas described in 20 U.S.C.        |
|                       | 1416(a)(3). \[20 U.S.C 1416(b)(1) and        |
|                       | (b)(2)(A) and (B)(i) and 1442\]              |
|                       |                                              |
|                       | The State lead agency shall use the targets  |
|                       | established in the SPP and priority areas    |
|                       | described in 20 U.S.C. 1416(a)(3) to analyze |
|                       | the performance of each early intervention   |
|                       | service provider in the State in             |
|                       | implementing Part C. The State lead agency   |
|                       | shall report annually to the public on the   |
|                       | performance of each early intervention       |
|                       | service provider located in the State on the |
|                       | targets in the SPP. The State lead agency    |
|                       | shall make the SPP available through public  |
|                       | means, including by posting on the website   |
|                       | of the State lead agency, distribution to    |
|                       | the media, and distribution through public   |
|                       | agencies. The State lead agency shall report |
|                       | annually to the Secretary on the performance |
|                       | of the State under the SPP. The State lead   |
|                       | agency shall not report to the public or the |
|                       | Secretary any information on performance     |
|                       | that would result in the disclosure of       |
|                       | personally identifiable information about    |
|                       | individual children or where the available   |
|                       | data is insufficient to yield statistically  |
|                       | reliable information. \[20 U.S.C.            |
|                       | 1416(b)(2)(C) and 1442; 34 CFR §80.40\]      |
|                       |                                              |
|                       | The State lead agency must ensure that a     |
|                       | single line of responsibility is designated  |
|                       | or established by the Governor for carrying  |
|                       | out: the general administration and          |
|                       | supervision of programs and activities       |
|                       | receiving assistance under 20 U.S.C. 1433,   |
|                       | and the monitoring of programs and           |
|                       | activities used by the State to carry out    |
|                       | this part, whether or not such programs or   |
|                       | activities are receiving assistance made     |
|                       | available under 1433, to ensure that the     |
|                       | State complies with this part. The State     |
|                       | lead agency must ensure that the             |
|                       | identification and coordination of all       |
|                       | available resources within the State from    |
|                       | Federal, State, local, and private sources;  |
|                       | the assignment of financial responsibility   |
|                       | in accordance with 20 U.S.C. 1437(a)(2) to   |
|                       | the appropriate agencies; the development of |
|                       | procedures to ensure that services are       |
|                       | provided to infants and toddlers with        |
|                       | disabilities and their families under this   |
|                       | part in a timely manner pending the          |
|                       | resolution of any disputes among public      |
|                       | agencies or service providers; the           |
|                       | resolution of intra- and interagency         |
|                       | disputes; and the entry into formal          |
|                       | interagency agreements that define the       |
|                       | financial responsibility of each agency for  |
|                       | paying for early intervention services       |
|                       | (consistent with State law) and procedures   |
|                       | for resolving disputes and that include all  |
|                       | additional components necessary to ensure    |
|                       | meaningful cooperation and coordination.     |
|                       | \[20 U.S.C. 1435(a)(10)\]                    |
|                       |                                              |
|                       | In the case of any State which applies,      |
|                       | contracts, or submits a plan for             |
|                       | participation in any applicable program in   |
|                       | which Federal funds are made available for   |
|                       | assistance to early intervention service     |
|                       | providers through, or under the supervision  |
|                       | of, the lead agency of that State, the State |
|                       | provides assurances to the Secretary that    |
|                       | the State will adopt and use proper methods  |
|                       | of administering each applicable program,    |
|                       | including: monitoring of agencies,           |
|                       | institutions, and organizations responsible  |
|                       | for carrying out each program, and the       |
|                       | enforcement of any obligations imposed on    |
|                       | those agencies, institutions, and            |
|                       | organizations under law; providing technical |
|                       | assistance, where necessary, to such         |
|                       | agencies, institutions, and organizations;   |
|                       | encouraging the adoption of promising or     |
|                       | innovative educational techniques by such    |
|                       | agencies, institutions, and organizations;   |
|                       | the dissemination throughout the State of    |
|                       | information on program requirements and      |
|                       | successful practices; and the correction of  |
|                       | deficiencies in program operations that are  |
|                       | identified through monitoring or evaluation. |
|                       | \[20 U.S.C. 1232d(b)(3)(GEPA); 34 CFR        |
|                       | §§303.500 and 303.501\]                      |
|                       |                                              |
|                       | The State lead agency shall, before          |
|                       | submitting to the Secretary its application  |
|                       | under Part C, and before adopting a new or   |
|                       | revised policy that is not in its current    |
|                       | application, ensure that the provisions at   |
|                       | 34 CFR §§303.110 through 303.113 are met.    |
|                       | These provisions require holding public      |
|                       | hearings, providing adequate notice of the   |
|                       | hearings, and an opportunity for comment     |
|                       | available to the general public, including   |
|                       | individuals with disabilities and parents of |
|                       | infants and toddlers with disabilities. \[34 |
|                       | CFR §§303.110 through 303.113\]              |
|                       |                                              |
|                       | The council shall advise and assist the lead |
|                       | agency designated or established under 20    |
|                       | U.S.C. 1435(a)(10) in the performance of the |
|                       | responsibilities set forth in 20 U.S.C.      |
|                       | 1435(a)(10), particularly the identification |
|                       | of the sources of fiscal and other support   |
|                       | for services for early intervention          |
|                       | programs, assignment of financial            |
|                       | responsibility to the appropriate agency,    |
|                       | and the promotion of the interagency         |
|                       | agreements; advise and assist the lead       |
|                       | agency in the preparation of applications    |
|                       | and amendments thereto; advise and assist    |
|                       | the State educational agency regarding the   |
|                       | transition of toddlers with disabilities to  |
|                       | preschool and other appropriate services;    |
|                       | and prepare and submit an annual report to   |
|                       | the Governor and to the Secretary on the     |
|                       | status of early intervention programs for    |
|                       | infants and toddlers with disabilities and   |
|                       | their families operated within the State.    |
|                       | The council may advise and assist the lead   |
|                       | agency and the State educational agency      |
|                       | regarding the provision of appropriate       |
|                       | services for children from birth through age |
|                       | 5. The council may advise appropriate        |
|                       | agencies in the State with respect to the    |
|                       | integration of services for infants and      |
|                       | toddlers with disabilities and at-risk       |
|                       | infants and toddlers and their families,     |
|                       | regardless of whether at-risk infants and    |
|                       | toddlers are eligible for early intervention |
|                       | services in the State. No member of the      |
|                       | council shall cast a vote on any matter that |
|                       | is likely to provide a direct financial      |
|                       | benefit to that member or otherwise give the |
|                       | appearance of a conflict of interest under   |
|                       | State law. \[20 U.S.C. 1441(e) and (f); 34   |
|                       | CFR §§303.650 through 303.654\]              |
+-----------------------+----------------------------------------------+
| 10\. Percent of       | The State lead agency shall adopt written    |
| signed written        | procedures consistent with 34 CFR §303.510   |
| complaints with       | for resolving any complaint,[^1] including a |
| reports issued that   | complaint filed by an organization or        |
| were resolved within  | individual from another State, that any      |
| 60-day timeline or a  | public agency or private service provider is |
| timeline extended for | violating a requirement of Part C of the Act |
| exceptional           | or this part by providing for the filing of  |
| circumstances with    | a complaint with the lead agency; and at the |
| respect to a          | lead agency\'s discretion, providing for the |
| particular complaint. | filing of a complaint with a public agency   |
|                       | and the right to have the lead agency review |
| > \[20 U.S.C.         | the public agency\'s decision on the         |
| > 1416(a)(3)(B) and   | complaint. \[34 CFR §303.510\]               |
| > 1442\]              |                                              |
|                       | The State lead agency shall have policies    |
|                       | and procedures in effect that ensure that an |
|                       | individual or organization may file a        |
|                       | written signed complaint under 34 CFR        |
|                       | §303.510. The complaint must include: a      |
|                       | statement that the State has violated a      |
|                       | requirement of Part C of the Act or the      |
|                       | regulations in this part; and the facts on   |
|                       | which the complaint is based. The alleged    |
|                       | violation must have occurred not more than   |
|                       | one year before the date that the complaint  |
|                       | is received by the public agency unless a    |
|                       | longer period is reasonable because: the     |
|                       | alleged violation continues for that child   |
|                       | or other children; or the complainant is     |
|                       | requesting reimbursement or corrective       |
|                       | action for a violation that occurred not     |
|                       | more than three years before the date on     |
|                       | which the complaint is received by the       |
|                       | public agency. \[34 CFR §303.511\]           |
|                       |                                              |
|                       | The State lead agency shall include in its   |
|                       | complaint procedures a time limit of 60      |
|                       | calendar days after a complaint is filed     |
|                       | under 34 CFR §303.510(a) to: carry out an    |
|                       | independent on-site investigation; issue a   |
|                       | written decision to the complainant that     |
|                       | addresses each allegation in the complaint   |
|                       | and contains findings of fact and            |
|                       | conclusions; and the reasons for the lead    |
|                       | agency\'s final decision. The State lead     |
|                       | agency\'s procedures described in 34 CFR     |
|                       | §303.511(a) also must: permit an extension   |
|                       | of the time limit under 34 CFR §303.511(a)   |
|                       | of this section only if exceptional          |
|                       | circumstances exist with respect to a        |
|                       | particular complaint; and include procedures |
|                       | for effective implementation of the lead     |
|                       | agency\'s final decision, if needed,         |
|                       | including: technical assistance activities;  |
|                       | negotiations; and corrective actions to      |
|                       | achieve compliance. If a written complaint   |
|                       | is received that is also the subject of a    |
|                       | due process hearing under 34 CFR §303.420,   |
|                       | or contains multiple issues, of which one or |
|                       | more are part of that hearing, the State     |
|                       | must set aside any part of the complaint     |
|                       | that is being addressed in the due process   |
|                       | hearing until the conclusion of the hearing. |
|                       | However, any issue in the complaint that is  |
|                       | not a part of the due process action must be |
|                       | resolved within the 60-calendar-day timeline |
|                       | using the complaint procedures described in  |
|                       | paragraphs (a) and (b) of this section. If   |
|                       | an issue is raised in a complaint filed      |
|                       | under this section that has previously been  |
|                       | decided in a due process hearing involving   |
|                       | the same parties: the hearing decision is    |
|                       | binding; and the lead agency must inform the |
|                       | complainant to that effect. A complaint      |
|                       | alleging a public agency\'s or private       |
|                       | service provider\'s failure to implement a   |
|                       | due process decision must be resolved by the |
|                       | lead agency. \[34 CFR §303.512\]             |
+-----------------------+----------------------------------------------+
| 11\. Percent of fully | The procedural safeguards shall include the  |
| adjudicated due       | timely administrative resolution of requests |
| process hearing       | for due process hearing by parents. \[20     |
| requests that were    | U.S.C. 1439\]                                |
| fully adjudicated     |                                              |
| within the applicable | The State lead agency must include written   |
| timeline.             | procedures including procedures for the      |
|                       | timely administrative resolution of          |
| > \[20 U.S.C.         | individual child complaints by parents       |
| > 1416(a)(3)(B) and   | concerning any of the matters in 34 CFR      |
| > 1442\]              | §303.403(a). A State lead agency may meet    |
|                       | this requirement by adopting the mediation   |
|                       | and due process procedures under Part B and  |
|                       | developing procedures that meet the          |
|                       | requirements of 34 CFR §303.425; or          |
|                       | developing procedures that meet the          |
|                       | requirements in 34 CFR §§303.419 and 303.421 |
|                       | through 303.425 and provide parents a means  |
|                       | of filing a complaint. \[34 CFR §303.420\]   |
|                       |                                              |
|                       | #### Part C Procedures                       |
|                       |                                              |
|                       | The State lead agency must have policies and |
|                       | procedures in effect that ensures that an    |
|                       | impartial person must be appointed           |
|                       | consistent with 34 CFR §303.421(a)(1) and    |
|                       | (b) to implement the due process hearing     |
|                       | complaint resolution process in 34 CFR       |
|                       | §303.421. The person must: have knowledge    |
|                       | about the provisions of this part and the    |
|                       | needs of, and services available for,        |
|                       | eligible children and their families; and    |
|                       | perform the duties consistent with 34 CFR    |
|                       | §303.421(a)(2). \[34 CFR §303.421\]          |
|                       |                                              |
|                       | The State lead agency shall ensure that the  |
|                       | parents of children eligible under this part |
|                       | are afforded the rights in 34 CFR            |
|                       | §303.422(b) in any administrative            |
|                       | proceedings carried out under 34 CFR         |
|                       | §303.420. Any parent involved in an          |
|                       | administrative proceeding has the right to:  |
|                       | be accompanied and advised by counsel and by |
|                       | individuals with special knowledge or        |
|                       | training with respect to early intervention  |
|                       | services for children eligible under this    |
|                       | part; present evidence and confront,         |
|                       | cross-examine, and compel the attendance of  |
|                       | witnesses; prohibit the introduction of any  |
|                       | evidence at the proceeding that has not been |
|                       | disclosed to the parent at least five days   |
|                       | before the proceeding; obtain a written or   |
|                       | electronic verbatim transcription of the     |
|                       | proceeding; and obtain written findings of   |
|                       | fact and decisions. \[34 CFR §303.422\]      |
|                       |                                              |
|                       | Any proceeding for implementing the          |
|                       | complaint resolution process must be carried |
|                       | out at a time and place that is reasonably   |
|                       | convenient to the parents. The State lead    |
|                       | agency shall ensure that, not later than 30  |
|                       | days after the receipt of a parent\'s        |
|                       | complaint, the impartial proceeding required |
|                       | under 34 CFR §303.423 is completed and a     |
|                       | written decision mailed to each of the       |
|                       | parties. \[34 CFR §303.423\]                 |
|                       |                                              |
|                       | Any party aggrieved by the findings and      |
|                       | decision regarding an administrative         |
|                       | complaint has the right to bring a civil     |
|                       | action in State or Federal court under       |
|                       | section 639(a)(1) of the Act. \[34 CFR       |
|                       | §303.424\]                                   |
|                       |                                              |
|                       | The State lead agency must ensure that       |
|                       | during the pendency of any proceeding        |
|                       | involving a complaint under this subpart,    |
|                       | unless the public agency and parents of a    |
|                       | child otherwise agree, the child must        |
|                       | continue to receive the appropriate early    |
|                       | intervention services currently being        |
|                       | provided; and if the complaint involves an   |
|                       | application for initial services under this  |
|                       | part, the child must receive those services  |
|                       | that are not in dispute. \[34 CFR §303.425\] |
|                       |                                              |
|                       | ### Part B Procedures                        |
|                       |                                              |
|                       | Under 34 CFR §303.420(a), the State lead     |
|                       | agency may adopt the Part B due process      |
|                       | hearing procedures in lieu of the due        |
|                       | process hearing procedures in 34 CFR         |
|                       | §§303.420 through 303.424 and it must also   |
|                       | adopt provisions consistent with 34 CFR      |
|                       | §303.425. \[34 CFR §303.420\]                |
+-----------------------+----------------------------------------------+
| 12\. Percent of       | #### Part B Procedures                       |
| hearing requests that |                                              |
| went to resolution    | Prior to the opportunity for an impartial    |
| sessions that were    | due process hearing under 20 U.S.C.          |
| resolved through      | 1415(f)(1)(A), the local educational agency  |
| resolution session    | shall convene a meeting with the parents and |
| settlement agreements | the relevant member or members of the IEP    |
| (applicable if Part B | team who have specific knowledge of the      |
| due process           | facts identified in the request for a due    |
| procedures are        | process hearing. The resolution session      |
| adopted by the lead   | shall occur within 15 days of receiving      |
| agency under 34 CFR   | notice of the parents\' request for a due    |
| §303.420(a)).         | process hearing, include a representative of |
|                       | the agency who has decision-making           |
| > \[20 U.S.C.         | authority, and may not include an attorney   |
| > 1416(a)(3)(B) and   | of the local educational agency unless the   |
| > 1442\]              | parent is accompanied by an attorney. In the |
|                       | resolution session parents of the child      |
|                       | discuss their request for a due process      |
|                       | hearing and the facts that form the basis of |
|                       | the request for a due process hearing, and   |
|                       | the local educational agency is provided the |
|                       | opportunity to resolve the issues raised in  |
|                       | the request for a due process hearing,       |
|                       | unless the parents and the local educational |
|                       | agency agree in writing to waive such        |
|                       | meeting, or agree to use the mediation       |
|                       | process described in 20 U.S.C. 1415(e). \[20 |
|                       | U.S.C. 1415(f)(1)(B)(i) and 1439 and 34 CFR  |
|                       | §303.420(a)\]                                |
|                       |                                              |
|                       | If the local educational agency has not      |
|                       | resolved the issues raised in the request    |
|                       | for a due process hearing to the             |
|                       | satisfaction of the parents within 30 days   |
|                       | of the receipt of the request for a due      |
|                       | process hearing, the due process hearing may |
|                       | occur, and all of the applicable timelines   |
|                       | for a due process hearing under Part B shall |
|                       | commence. \[20 U.S.C. 1415(f)(1)(B)(ii)\]    |
|                       |                                              |
|                       | In a case where a resolution is reached, the |
|                       | parties shall execute a legally binding      |
|                       | agreement that is signed by both the parent  |
|                       | and a representative of the agency who has   |
|                       | the authority to bind such agency and is     |
|                       | enforceable in any State court of competent  |
|                       | jurisdiction or in a district court of the   |
|                       | United States. \[20 U.S.C.                   |
|                       | 1415(f)(1)(B)(iii)\]                         |
|                       |                                              |
|                       | If the parties execute a legally binding     |
|                       | agreement, a party may void such agreement   |
|                       | within 3 business days of the agreement\'s   |
|                       | execution. \[20 U.S.C. 1415(f)(1)(B)(iv)\]   |
+-----------------------+----------------------------------------------+
| 13\. Percent of       | The State lead agency shall ensure that      |
| mediations held that  | procedures are established and implemented   |
| resulted in mediation | to allow parties to disputes involving any   |
| agreements.           | matter, including matters arising prior to   |
|                       | the filing of a complaint pursuant to 20     |
| > \[20 U.S.C.         | U.S.C. 1439(a), to resolve such disputes     |
| > 1416(a)(3)(B) and   | through mediation. \[20 U.S.C. 1415(e) and   |
| > 1442\]              | 1439(a); 34 CFR §303.419\]                   |
|                       |                                              |
|                       | The mediation process shall be voluntary on  |
|                       | the part of the parties, shall not be used   |
|                       | to deny or delay a parent\'s right to a due  |
|                       | process hearing, or to deny any other rights |
|                       | afforded under Part C, and shall be          |
|                       | conducted by a qualified and impartial       |
|                       | mediator who is trained in effective         |
|                       | mediation techniques. \[20 U.S.C.            |
|                       | 1415(e)(2)(A) and 1439(a)(8); 34 CFR         |
|                       | §303.419(b)\]                                |
|                       |                                              |
|                       | The State lead agency shall maintain a list  |
|                       | of individuals who are qualified mediators   |
|                       | and knowledgeable in laws and regulations    |
|                       | relating to the provision of special         |
|                       | education and related services. \[20 U.S.C.  |
|                       | 1415(e)(2)(C) and 1439(a)(8); 34 CFR         |
|                       | §303.419(b)(2)\]                             |
|                       |                                              |
|                       | The State lead agency shall bear the cost of |
|                       | the mediation process. \[20 U.S.C.           |
|                       | 1415(e)(2)(D) and 1439(a)(8); 34 CFR         |
|                       | §303.419(b)(3)\]                             |
|                       |                                              |
|                       | Each session in the mediation process shall  |
|                       | be scheduled in a timely manner and shall be |
|                       | held in a location that is convenient to the |
|                       | parties to the dispute. \[20 U.S.C.          |
|                       | 1415(e)(2)(E) and 1439(a)(8); 34 CFR         |
|                       | §303.419((b)(4)\]                            |
|                       |                                              |
|                       | If the parties resolve the dispute through   |
|                       | the mediation process, the parties shall     |
|                       | execute a legally binding agreement that     |
|                       | sets forth such resolution and that states   |
|                       | that all discussions that occurred during    |
|                       | the mediation process shall be confidential  |
|                       | and may not be used as evidence in any       |
|                       | subsequent due process hearing or civil      |
|                       | proceeding. The agreement shall be signed by |
|                       | both the parent and a representative of the  |
|                       | agency who has the authority to bind such    |
|                       | agency; and is enforceable in any State      |
|                       | court of competent jurisdiction or in a      |
|                       | district court of the United States. \[20    |
|                       | U.S.C. 1415(e)(2)(F) and 1439(a)(8); 34 CFR  |
|                       | §303.419(b)(5) and (6)\]                     |
|                       |                                              |
|                       | Discussions that occur during the mediation  |
|                       | process shall be confidential and may not be |
|                       | used as evidence in any subsequent due       |
|                       | process hearing or civil proceeding. \[20    |
|                       | U.S.C. 1415(e)(2)(G)\]                       |
|                       |                                              |
|                       | The State lead agency may establish          |
|                       | procedures to require parents who elect not  |
|                       | to use the mediation process to meet, at a   |
|                       | time and location convenient to the parents, |
|                       | with a disinterested party: who is under     |
|                       | contract with a parent training and          |
|                       | information center or community parent       |
|                       | resource center in the State established     |
|                       | under sections 682 or 683 of the Act, or an  |
|                       | appropriate alternative dispute resolution   |
|                       | entity; and who would explain the benefits   |
|                       | of the mediation. \[34 CFR §303.419(c)\]     |
+-----------------------+----------------------------------------------+
| 14\. State reported   | Each State lead agency must submit the       |
| data (618 and State   | State\'s performance plan to the Secretary   |
| Performance Plan and  | for approval in accordance with the approval |
| Annual Performance    | process described in 20 U.S.C. 1416(c). \[20 |
| Report) are timely    | U.S.C. 1416(b)(1)(B); 34 CFR §§303.540 and   |
| and accurate.         | 80.40 (EDGAR)\]                              |
|                       |                                              |
| > \[20 U.S.C.         | The State lead agency shall report annually  |
| > 1416(a)(3)(B) and   | to the Secretary on the performance of the   |
| > 1442\]              | State under the State\'s performance plan.   |
|                       | \[20 U.S.C. 1416(b)(2)(C)(ii)(II); 34 CFR    |
|                       | §§303.540 and 80.40(EDGAR)\]                 |
|                       |                                              |
|                       | Each State lead agency shall collect valid   |
|                       | and reliable information as needed to report |
|                       | annually to the Secretary on the priority    |
|                       | areas described in 20 U.S.C. 1416(a)(3).     |
|                       | \[20 U.S.C. 1416(b)(2)(B); 34 CFR §§303.540  |
|                       | and 80.40\]                                  |
|                       |                                              |
|                       | Each State that receives assistance under    |
|                       | Part B, and the Secretary of the Interior,   |
|                       | shall provide data each year to the          |
|                       | Secretary of Education and the public. The   |
|                       | data shall be publicly reported by the State |
|                       | lead agency in a manner that does not result |
|                       | in the disclosure of data identifiable to    |
|                       | individual children. \[20 U.S.C. 1418(a) and |
|                       | (b)(1); 34 CFR §§303.540 and 80.40(EDGAR)\]  |
+-----------------------+----------------------------------------------+

[^1]: The Part C regulations and this document use the term "complaint"
    when referring to State administrative complaint procedures in 34
    CFR §§303.510 through 303.512. The term "request for due process
    hearing" or "due process hearing complaint" is used when referring
    to the due process hearing procedures under 34 CFR §303.420.