Part C Regulations Archive

• Subpart A--General
• Subpart B--State Application for a Grant
• Subpart C--Procedures for Making Grants to States
• Subpart D--Program and Service Components of a Statewide System of Early Intervention Services
• Subpart E--Procedural Safeguards
• Subpart F--State Administration
• Subpart G--State Interagency Coordinating Council

[Code of Federal Regulations]
[Title 34, Volume 2, Parts 300 to 399]
[Revised as of July 1, 1999]
From the U.S. Government Printing Office via GPO Access
[CITE: 34CFR303.1]

[Page 172-212]

                           TITLE 34--EDUCATION

PART 303--EARLY INTERVENTION PROGRAM FOR INFANTS AND
TODDLERS WITH DISABILITIES--Table of Contents

                           Subpart A--General

           Purpose, Eligibility, and Other General Provisions

Sec.
303.1  Purpose of the early intervention program for infants and
          toddlers with disabilities.
303.2  Eligible recipients of an award.
303.3  Activities that may be supported under this part.
303.4  Limitation on eligible children.
303.5  Applicable regulations.

                               Definitions

303.6  Act.
303.7  Children.
303.8  Council.
303.9  Days.
303.10  Developmental delay.
303.11  Early intervention program.
303.12  Early intervention services.
303.13  Health services.
303.14  IFSP.
303.15  Include; including.
303.16  Infants and toddlers with disabilities.
303.17  Multidisciplinary.
303.18  Natural environments.
303.19  Parent.
303.20  Policies.
303.21  Public agency.
303.22  Qualified.
303.23  Service coordination (case management).
303.24  State.
303.25  EDGAR definitions that apply.

                Subpart B--State Application for a Grant

                          General Requirements

303.100  Conditions of assistance.
303.101  How the Secretary disapproves a State's application or
          statement of assurances.

                          Public Participation

303.110  General requirements and timelines for public participation.
303.111  Notice of public hearings and opportunity to comment.
303.112  Public hearings.
303.113  Reviewing public comments received.

                         Statement of Assurances

303.120  General.
303.121  Reports and records.
303.122  Control of funds and property.
303.123  Prohibition against commingling.
303.124  Prohibition against supplanting.
303.125  Fiscal control.
303.126  Payor of last resort.
303.127  Assurance regarding expenditure of funds.
303.128  Traditionally underserved groups.

              General Requirements for a State Application

303.140  General.
303.141  Information about the Council.
303.142  Designation of lead agency.
303.143  Designation regarding financial responsibility.
303.144  Assurance regarding use of funds.
303.145  Description of use of funds.
303.146  Information about public participation.
303.147  Service to all geographic areas.
303.148  Transition to preschool programs.

       Components of a Statewide System--Application Requirements

303.160  Minimum components of a statewide system.
303.161  State definition of developmental delay.
303.162  Central directory.
303.163  [Reserved]
303.164  Public awareness program.
303.165  Comprehensive child find system.
303.166  Evaluation, assessment, and non-discriminatory procedures.
303.167  Individualized family service plans.
303.168  Comprehensive system of personnel development (CSPD).
303.169  Personnel standards.

[[Page 173]]

303.170  Procedural safeguards.
303.171  Supervision and monitoring of programs.
303.172  Lead agency procedures for resolving complaints.
303.173  Policies and procedures related to financial matters.
303.174  Interagency agreements; resolution of individual disputes.
303.175  Policy for contracting or otherwise arranging for services.
303.176  Data collection.

             Participation by the Secretary of the Interior

303.180  Payments to the Secretary of the Interior for Indian tribes and
          tribal organizations.



303.200  Formula for State allocations.
303.201  Distribution of allotments from non-participating States.
303.202  Minimum grant that a State may receive.
303.203  Payments to the Secretary of the Interior.
303.204  Payments to the jurisdictions.

Subpart D--Program and Service Components of a Statewide System of Early
                          Intervention Services

                                 General

303.300  State eligibility criteria and procedures.
303.301  Central directory.

                      Identification and Evaluation

303.320  Public awareness program.
303.321  Comprehensive child find system.
303.322  Evaluation and assessment.
303.323  Non-discriminatory procedures.

               Individualized Family Service Plans (IFSPs)

303.340  General.
303.341  [Reserved]
303.342  Procedures for IFSP development, review, and evaluation.
303.343  Participants in IFSP meetings and periodic reviews.
303.344  Content of an IFSP.
303.345  Provision of services before evaluation and assessment are
          completed.
303.346  Responsibility and accountability.

                    Personnel Training and Standards

303.360  Comprehensive system of personnel development.
303.361  Personnel standards.

                    Subpart E--Procedural Safeguards

                                 General

303.400  General responsibility of lead agency for procedural
          safeguards.
303.401  Definitions of consent, native language, and personally
          identifiable information.
303.402  Opportunity to examine records.
303.403  Prior notice; native language.
303.404  Parent consent.
303.405  Parent right to decline service.
303.406  Surrogate parents.

      Mediation and Due Process Procedures for Parents and Children

303.419  Mediation.
303.420  Due process procedures.
303.421  Appointment of an impartial person.
303.422  Parent rights in administrative proceedings.
303.423  Convenience of proceedings; timelines.
303.424  Civil action.
303.425  Status of a child during proceedings.

                             Confidentiality

303.460  Confidentiality of information.

                     Subpart F--State Administration

                                 General

303.500  Lead agency establishment or designation.
303.501  Supervision and monitoring of programs.

             Lead Agency Procedures for Resolving Complaints

303.510  Adopting complaint procedures.
303.511  An organization or individual may file a complaint.
303.512  Minimum State complaint procedures.

          Policies and Procedures Related to Financial Matters

303.520  Policies related to payment for services.
303.521  Fees.
303.522  Identification and coordination of resources.
303.523  Interagency agreements.
303.524  Resolution of disputes.
303.525  Delivery of services in a timely manner.
303.526  Policy for contracting or otherwise arranging for services.
303.527  Payor of last resort.
303.528  Reimbursement procedure.

                         Reporting Requirements

303.540  Data collection.

[[Page 174]]

                  Use of Funds for State Administration

303.560  Use of funds by the lead agency.

            Subpart G--State Interagency Coordinating Council

                                 General

303.600  Establishment of Council.
303.601  Composition.
303.602  Use of funds by the Council.
303.603  Meetings.
303.604  Conflict of interest.

                        Functions of the Council

303.650  General.
303.651  Advising and assisting the lead agency in its administrative
          duties.
303.652  Applications.
303.653  Transitional services.
303.654  Annual report to the Secretary.

    Authority: 20 U.S.C. 1431-1445, unless otherwise noted.

    Source: 58 FR 40959, July 30, 1993, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 303 appear at 63 FR
18293, Apr. 14, 1998.


[Page 174]                            Subpart A--General

Sec. 303.1  Purpose of the early intervention program
for infants and toddlers with disabilities.

           Purpose, Eligibility, and Other General Provisions


    The purpose of this part is to provide financial assistance to
States to--
    (a) Maintain and implement a statewide, comprehensive, coordinated,
multidisciplinary, interagency system of early intervention services for
infants and toddlers with disabilities and their families;
    (b) Facilitate the coordination of payment for early intervention
services from Federal, State, local, and private sources (including
public and private insurance coverage);
    (c) Enhance the States' capacity to provide quality early
intervention services and expand and improve existing early intervention
services being provided to infants and toddlers with disabilities and
their families; and
    (d) Enhance the capacity of State and local agencies and service
providers to identify, evaluate, and meet the needs of historically
underrepresented populations, particularly minority, low-income, inner-
city, and rural populations.

(Authority: 20 U.S.C. 1431)

[58 FR 40959, July 30, 1993, as amended at 63 FR 18293, Apr. 14, 1998;
64 FR 12535, Mar. 12, 1999]

Sec. 303.2  Eligible recipients of an award.

    Eligible recipients include the 50 States, the Commonwealth of
Puerto Rico, the District of Columbia, the Secretary of the Interior,
and the following jurisdictions: Guam, American Samoa, the Virgin
Islands, the Commonwealth of the Northern Mariana Islands.

(Authority: 20 U.S.C. 1401(27), 1443)

[58 FR 40959, July 30, 1993, as amended at 63 FR 18293, Apr. 14, 1998]

Sec. 303.3  Activities that may be supported under this part.

    Funds under this part may be used for the following activities:
    (a) To maintain and implement a statewide system of early
intervention services for children eligible under this part and their
families.
    (b) For direct services for eligible children and their families
that are not otherwise provided from other public or private sources.
    (c) To expand and improve on services for eligible children and
their families that are otherwise available, consistent with
Sec. 303.527.
    (d) To provide a free appropriate public education, in accordance
with part B of the Act, to children with disabilities from their third
birthday to the beginning of the following school year.
    (e) To strengthen the statewide system by initiating, expanding, or
improving collaborative efforts related to at-risk infants and toddlers,
including establishing linkages with appropriate public or private
community-based organizations, services, and personnel for the purpose
of--
    (1) Identifying and evaluating at-risk infants and toddlers;
    (2) Making referrals of the infants and toddlers identified and
evaluated under paragraph (e)(1) of this section; and
    (3) Conducting periodic follow-up on each referral under paragraph
(e)(2) of this section to determine if the status

[[Page 175]]

of the infant or toddler involved has changed with respect to the
eligibility of the infant or toddler for services under this part.

(Authority: 20 U.S.C. 1433 and 1438)

[58 FR 40959, July 30, 1993, as amended at 63 FR 18293, Apr. 14, 1998]

Sec. 303.4  Limitation on eligible children.

    This part 303 does not apply to any child with disabilities
receiving a free appropriate public education, in accordance with 34 CFR
part 300, with funds received under 34 CFR part 301.

(Authority: 20 U.S.C. 1419(h))

Sec. 303.5  Applicable regulations.

    (a) The following regulations apply to this part:
    (1) The Education Department General Administrative Regulations
(EDGAR), including--
    (i) Part 76 (State Administered Programs), except for Sec. 76.103;
    (ii) Part 77 (Definitions that Apply to Department Regulations);
    (iii) Part 79 (Intergovernmental Review of Department of Education
Programs and Activities);
    (iv) Part 80 (Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments);
    (v) Part 81 (Grants and Cooperative Agreements under the General
Education Provisions Act--Enforcement);
    (vi) Part 82 (New Restrictions on Lobbying); and
    (vii) Part 85 (Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free Work
Place (Grants)).
    (2) The regulations in this part 303.
    (3) The following regulations in 34 CFR part 300 (Assistance to
States for the Education of Children with Disabilities Program):
Secs. 300.560-300.577, and Secs. 300.580-300.585.
    (b) In applying the regulations cited in paragraphs (a)(1) and
(a)(3) of this section, any reference to--
    (1) State educational agency means the lead agency under this part;
    (2) Special education, related services, free appropriate public
education, free public education, or education means ``early
intervention services'' under this part;
    (3) Participating agency, when used in reference to a local
educational agency or an intermediate educational agency, means a local
service provider under this part;
    (4) Section 300.128 means Secs. 303.164 and 303.321; and
    (5) Section 300.129 means Sec. 303.460.

(Authority: 20 U.S.C. 1401, 1416, 1417)

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998,
64 FR 12535, Mar. 12, 1999]

                               Definitions

    Note: Sections 303.6-303.24 contain definitions, including a
definition of ``natural environments'' in Sec. 303.18, that are used
throughout these regulations. Other terms are defined in the specific
subparts in which they are used. Below is a list of those terms and the
specific sections in which they are defined:

Appropriate professional requirements in the State (Sec. 303.361(a)(1))
Assessment (Sec. 303.322(b)(2))
Consent (Sec. 303.401(a))
Evaluation (Sec. 303.322(b)(1))
Frequency and intensity (Sec. 303.344(d)(2)(i))
Highest requirements in the State applicable to a profession or
discipline (Sec. 303.361)(a)(2))
Individualized family service plan and IFSP (Sec. 303.340(b))
Impartial (Sec. 303.421(b))
Location (Sec. 303.344(d)(3))
Method (Sec. 303.344(d)(2)(ii))
Native language (Sec. 303.401(b))
Personally identifiable (Sec. 303.401(c))
Primary referral sources (Sec. 303.321(d)(3))
Profession or discipline (Sec. 303.361(a)(3))
Special definition of ``aggregate amount'' (Sec. 303.200(b)(1))
Special definition of ``infants and toddlers'' (Sec. 303.200(b)(2))
Special definition of ``State'' (Sec. 303.200(b)(3))
State approved or recognized certification, licensing, registration, or
other comparable requirements (Sec. 303.361(a)(4))

Sec. 303.6  Act.

    As used in this part, Act means the Individuals with Disabilities
Education Act.

(Authority: 20 U.S.C. 1400)

Sec. 303.7  Children.

    As used in this part, children means infants and toddlers with
disabilities as that term is defined in Sec. 303.16.

(Authority: 20 U.S.C. 1432(5))

[[Page 176]]

Sec. 303.8  Council.

    As used in this part, Council means the State Interagency
Coordinating Council.

(Authority: 20 U.S.C. 1432(2))

Sec. 303.9  Days.

    As used in this part, days means calendar days.

(Authority: 20 U.S.C. 1431-1445)

Sec. 303.10  Developmental delay.

    As used in this part, ``developmental delay,'' when used with
respect to an individual residing in a State, has the meaning given to
that term under Sec. 303.300.

(Authority: 20 U.S.C. 1432(3))

[64 FR 12535, Mar. 12, 1999]

Sec. 303.11  Early intervention program.

    As used in this part, early intervention program means the total
effort in a State that is directed at meeting the needs of children
eligible under this part and their families.

(Authority: 20 U.S.C. 1431-1445)

Sec. 303.12  Early intervention services.

    (a) General. As used in this part, early intervention services means
services that--
    (1) Are designed to meet the developmental needs of each child
eligible under this part and the needs of the family related to
enhancing the child's development;
    (2) Are selected in collaboration with the parents;
    (3) Are provided--
    (i) Under public supervision;
    (ii) By qualified personnel, as defined in Sec. 303.21, including
the types of personnel listed in paragraph (e) of this section;
    (iii) In conformity with an individualized family service plan; and
    (iv) At no cost, unless, subject to Sec. 303.520(b)(3), Federal or
State law provides for a system of payments by families, including a
schedule of sliding fees; and
    (4) Meet the standards of the State, including the requirements of
this part.
    (b) Natural environments. To the maximum extent appropriate to the
needs of the child, early intervention services must be provided in
natural environments, including the home and community settings in which
children without disabilities participate.
    (c) General role of service providers. To the extent appropriate,
service providers in each area of early intervention services included
in paragraph (d) of this section are responsible for--
    (1) Consulting with parents, other service providers, and
representatives of appropriate community agencies to ensure the
effective provision of services in that area;
    (2) Training parents and others regarding the provision of those
services; and
    (3) Participating in the multidisciplinary team's assessment of a
child and the child's family, and in the development of integrated goals
and outcomes for the individualized family service plan.
    (d) Types of services; definitions. Following are types of services
included under ``early intervention services,'' and, if appropriate,
definitions of those services:
    (1) Assistive technology device means any item, piece of equipment,
or product system, whether acquired commercially off the shelf,
modified, or customized, that is used to increase, maintain, or improve
the functional capabilities of children with disabilities. Assistive
technology service means a service that directly assists a child with a
disability in the selection, acquisition, or use of an assistive
technology device. Assistive technology services include--
    (i) The evaluation of the needs of a child with a disability,
including a functional evaluation of the child in the child's customary
environment;
    (ii) Purchasing, leasing, or otherwise providing for the acquisition
of assistive technology devices by children with disabilities;
    (iii) Selecting, designing, fitting, customizing, adapting,
applying, maintaining, repairing, or replacing assistive technology
devices;
    (iv) Coordinating and using other therapies, interventions, or
services with assistive technology devices, such

[[Page 177]]

as those associated with existing education and rehabilitation plans and
programs;
    (v) Training or technical assistance for a child with disabilities
or, if appropriate, that child's family; and
    (vi) Training or technical assistance for professionals (including
individuals providing early intervention services) or other individuals
who provide services to or are otherwise substantially involved in the
major life functions of individuals with disabilities.
    (2) Audiology includes--
    (i) Identification of children with auditory impairment, using at
risk criteria and appropriate audiologic screening techniques;
    (ii) Determination of the range, nature, and degree of hearing loss
and communication functions, by use of audiological evaluation
procedures;
    (iii) Referral for medical and other services necessary for the
habilitation or rehabilitation of children with auditory impairment;
    (iv) Provision of auditory training, aural rehabilitation, speech
reading and listening device orientation and training, and other
services;
    (v) Provision of services for prevention of hearing loss; and
    (vi) Determination of the child's need for individual amplification,
including selecting, fitting, and dispensing appropriate listening and
vibrotactile devices, and evaluating the effectiveness of those devices.
    (3) Family training, counseling, and home visits means services
provided, as appropriate, by social workers, psychologists, and other
qualified personnel to assist the family of a child eligible under this
part in understanding the special needs of the child and enhancing the
child's development.
    (4) Health services (See Sec. 303.13).
    (5) Medical services only for diagnostic or evaluation purposes
means services provided by a licensed physician to determine a child's
developmental status and need for early intervention services.
    (6) Nursing services includes--
    (i) The assessment of health status for the purpose of providing
nursing care, including the identification of patterns of human response
to actual or potential health problems;
    (ii) Provision of nursing care to prevent health problems, restore
or improve functioning, and promote optimal health and development; and
    (iii) Administration of medications, treatments, and regimens
prescribed by a licensed physician.
    (7) Nutrition services includes--
    (i) Conducting individual assessments in--
    (A) Nutritional history and dietary intake;
    (B) Anthropometric, biochemical, and clinical variables;
    (C) Feeding skills and feeding problems; and
    (D) Food habits and food preferences;
    (ii) Developing and monitoring appropriate plans to address the
nutritional needs of children eligible under this part, based on the
findings in paragraph (d)(7)(i) of this section; and
    (iii) Making referrals to appropriate community resources to carry
out nutrition goals.
    (8) Occupational therapy includes services to address the functional
needs of a child related to adaptive development, adaptive behavior and
play, and sensory, motor, and postural development. These services are
designed to improve the child's functional ability to perform tasks in
home, school, and community settings, and include--
    (i) Identification, assessment, and intervention;
    (ii) Adaptation of the environment, and selection, design, and
fabrication of assistive and orthotic devices to facilitate development
and promote the acquisition of functional skills; and
    (iii) Prevention or minimization of the impact of initial or future
impairment, delay in development, or loss of functional ability.
    (9) Physical therapy includes services to address the promotion of
sensorimotor function through enhancement of musculoskeletal status,
neurobehavioral organization, perceptual and motor development,
cardiopulmonary status, and effective environmental adaptation. These
services include--
    (i) Screening, evaluation, and assessment of infants and toddlers to
identify movement dysfunction;

[[Page 178]]

    (ii) Obtaining, interpreting, and integrating information
appropriate to program planning to prevent, alleviate, or compensate for
movement dysfunction and related functional problems; and
    (iii) Providing individual and group services or treatment to
prevent, alleviate, or compensate for movement dysfunction and related
functional problems.
    (10) Psychological services includes--
    (i) Administering psychological and developmental tests and other
assessment procedures;
    (ii) Interpreting assessment results;
    (iii) Obtaining, integrating, and interpreting information about
child behavior, and child and family conditions related to learning,
mental health, and development; and
    (iv) Planning and managing a program of psychological services,
including psychological counseling for children and parents, family
counseling, consultation on child development, parent training, and
education programs.
    (11) Service coordination services means assistance and services
provided by a service coordinator to a child eligible under this part
and the child's family that are in addition to the functions and
activities included under Sec. 303.23.
    (12) Social work services includes--
    (i) Making home visits to evaluate a child's living conditions and
patterns of parent-child interaction;
    (ii) Preparing a social or emotional developmental assessment of the
child within the family context;
    (iii) Providing individual and family-group counseling with parents
and other family members, and appropriate social skill-building
activities with the child and parents;
    (iv) Working with those problems in a child's and family's living
situation (home, community, and any center where early intervention
services are provided) that affect the child's maximum utilization of
early intervention services; and
    (v) Identifying, mobilizing, and coordinating community resources
and services to enable the child and family to receive maximum benefit
from early intervention services.
    (13) Special instruction includes--
    (i) The design of learning environments and activities that promote
the child's acquisition of skills in a variety of developmental areas,
including cognitive processes and social interaction;
    (ii) Curriculum planning, including the planned interaction of
personnel, materials, and time and space, that leads to achieving the
outcomes in the child's individualized family service plan;
    (iii) Providing families with information, skills, and support
related to enhancing the skill development of the child; and
    (iv) Working with the child to enhance the child's development.
    (14) Speech-language pathology includes--
    (i) Identification of children with communicative or oropharyngeal
disorders and delays in development of communication skills, including
the diagnosis and appraisal of specific disorders and delays in those
skills;
    (ii) Referral for medical or other professional services necessary
for the habilitation or rehabilitation of children with communicative or
oropharyngeal disorders and delays in development of communication
skills; and
    (iii) Provision of services for the habilitation, rehabilitation, or
prevention of communicative or oropharyngeal disorders and delays in
development of communication skills.
    (15) Transportation and related costs includes the cost of travel
(e.g., mileage, or travel by taxi, common carrier, or other means) and
other costs (e.g., tolls and parking expenses) that are necessary to
enable a child eligible under this part and the child's family to
receive early intervention services.
    (16) Vision services means--
    (i) Evaluation and assessment of visual functioning, including the
diagnosis and appraisal of specific visual disorders, delays, and
abilities;
    (ii) Referral for medical or other professional services necessary
for the habilitation or rehabilitation of visual functioning disorders,
or both; and
    (iii) Communication skills training, orientation and mobility
training for all environments, visual training, independent living
skills training, and additional training necessary to activate visual
motor abilities.

[[Page 179]]

    (e) Qualified personnel. Early intervention services must be
provided by qualified personnel, including--
    (1) Audiologists;
    (2) Family therapists;
    (3) Nurses;
    (4) Nutritionists;
    (5) Occupational therapists;
    (6) Orientation and mobility specialists;
    (7) Pediatricians and other physicians;
    (8) Physical therapists;
    (9) Psychologists;
    (10) Social workers;
    (11) Special educators; and
    (12) Speech and language pathologists.

(Authority: 20 U.S.C. 1401(1) and (2); 1432(4))
    Note: The lists of services in paragraph (d) and qualified personnel
in paragraph (e) of this section are not exhaustive. Early intervention
services may include such services as the provision of respite and other
family support services. Qualified personnel may include such personnel
as vision specialists, paraprofessionals, and parent-to-parent support
personnel.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998;
64 FR 12535, Mar. 12, 1999]


Sec. 303.13  Health services.

    (a) As used in this part, health services means services necessary
to enable a child to benefit from the other early intervention services
under this part during the time that the child is receiving the other
early intervention services.
    (b) The term includes--
    (1) Such services as clean intermittent catheterization,
tracheostomy care, tube feeding, the changing of dressings or colostomy
collection bags, and other health services; and
    (2) Consultation by physicians with other service providers
concerning the special health care needs of eligible children that will
need to be addressed in the course of providing other early intervention
services.
    (c) The term does not include the following:
    (1) Services that are--
    (i) Surgical in nature (such as cleft palate surgery, surgery for
club foot, or the shunting of hydrocephalus); or
    (ii) Purely medical in nature (such as hospitalization for
management of congenital heart ailments, or the prescribing of medicine
or drugs for any purpose).
    (2) Devices necessary to control or treat a medical condition.
    (3) Medical-health services (such as immunizations and regular
``well-baby'' care) that are routinely recommended for all children.

(Authority: 20 U.S.C. 1432(4))
    Note: The definition in this section distinguishes between the
health services that are required under this part and the medical-health
services that are not required. The IFSP requirements in subpart D of
this part provide that, to the extent appropriate, these other medical-
health services are to be included in the IFSP, along with the funding
sources to be used in paying for the services or the steps that will be
taken to secure the services through public or private sources.
Identifying these services in the IFSP does not impose an obligation to
provide the services if they are otherwise not required to be provided
under this part. (See Sec. 303.344(e) and the note 3 following that
section.)

Sec. 303.14  IFSP.

    As used in this part, IFSP means the individualized family service
plan, as that term is defined in Sec. 303.340(b).

(Authority: 20 U.S.C. 1436)

Sec. 303.15  Include; including.

    As used in this part, include or including means that the items
named are not all of the possible items that are covered whether like or
unlike the ones named.

(Authority: 20 U.S.C. 1431-1445)

Sec. 303.16  Infants and toddlers with disabilities.

    (a) As used in this part, infants and toddlers with disabilities
means individuals from birth through age two who need early intervention
services because they--
    (1) Are experiencing developmental delays, as measured by
appropriate diagnostic instruments and procedures, in one or more of the
following areas:
    (i) Cognitive development.
    (ii) Physical development, including vision and hearing.
    (iii) Communication development.
    (iv) Social or emotional development.
    (v) Adaptive development; or

[[Page 180]]

    (2) Have a diagnosed physical or mental condition that has a high
probability of resulting in developmental delay.
    (b) The term may also include, at a State's discretion, children
from birth through age two who are at risk of having substantial
developmental delays if early intervention services are not provided.

(Authority: 20 U.S.C. 1432(5))
    Note 1: The phrase ``a diagnosed physical or mental condition that
has a high probability of resulting in developmental delay,'' as used in
paragraph (a)(2) of this section, applies to a condition if it typically
results in developmental delay. Examples of these conditions include
chromosomal abnormalities; genetic or congenital disorders; severe
sensory impairments, including hearing and vision; inborn errors of
metabolism; disorders reflecting disturbance of the development of the
nervous system; congenital infections; disorders secondary to exposure
to toxic substances, including fetal alcohol syndrome; and severe
attachment disorders.
    Note 2: With respect to paragraph (b) of this section, children who
are at risk may be eligible under this part if a State elects to extend
services to that population, even though they have not been identified
as disabled.
    Under this provision, States have the authority to define who would
be ``at risk of having substantial developmental delays if early
intervention services are not provided.'' In defining the ``at risk''
population, States may include well-known biological and environmental
factors that can be identified and that place infants and toddlers ``at
risk'' for developmental delay. Commonly cited factors include low birth
weight, respiratory distress as a newborn, lack of oxygen, brain
hemorrhage, infection, nutritional deprivation, and a history of abuse
or neglect. It should be noted that ``at risk'' factors do not predict
the presence of a barrier to development, but they may indicate children
who are at higher risk of developmental delay than children without
these problems.

Sec. 303.17  Multidisciplinary.

    As used in this part, multidisciplinary means the involvement of two
or more disciplines or professions in the provision of integrated and
coordinated services, including evaluation and assessment activities in
Sec. 303.322 and development of the IFSP in Sec. 303.342.

(Authority: 20 U.S.C. 1435(a)(3), 1436(a))

Sec. 303.18  Natural environments.

    As used in this part, natural environments means settings that are
natural or normal for the child's age peers who have no disabilities.

(Authority: 20 U.S.C. 1435 and 1436)

[63 FR 18294, Apr. 14, 1998]

Sec. 303.19  Parent.

    (a) General. As used in this part, ``parent'' means--
    (1) A natural or adoptive parent of a child;
    (2) A guardian;
    (3) A person acting in the place of a parent (such as a grandparent
or stepparent with whom the child lives, or a person who is legally
responsible for the child's welfare); or
    (4) A surrogate parent who has been assigned in accordance with
Sec. 303.406.
    (b) Foster parent. Unless State law prohibits a foster parent from
acting as a parent, a State may allow a foster parent to act as a parent
under Part C of the Act if--
    (1) The natural parents' authority to make the decisions required of
parents under the Act has been extinguished under State law; and
    (2) The foster parent--
    (i) Has an ongoing, long-term parental relationship with the child;
    (ii) Is willing to make the decisions required of parents under the
Act; and
    (iii) Has no interest that would conflict with the interests of the
child.

(Authority: 20 U.S.C. 1401(19), 1431-1445)

[64 FR 12535, Mar. 12, 1999]

Sec. 303.20  Policies.

    (a) As used in this part, policies means State statutes,
regulations, Governor's orders, directives by the lead agency, or other
written documents that represent the State's position concerning any
matter covered under this part.
    (b) State policies include--
    (1) A State's commitment to maintain the statewide system (see
Sec. 303.140);
    (2) A State's eligibility criteria and procedures (see
Sec. 303.300);
    (3) A statement that, consistent with Sec. 303.520(b), provides that
services under this part will be provided at no cost to

[[Page 181]]

parents, except where a system of payments is provided for under Federal
or State law.
    (4) A State's standards for personnel who provide services to
children eligible under this part (see Sec. 303.361);
    (5) A State's position and procedures related to contracting or
making other arrangements with service providers under subpart F of this
part; and
    (6) Other positions that the State has adopted related to
implementing any of the other requirements under this part.

(Authority: 20 U.S.C. 1431-1445)

[58 FR 40959, July 30, 1993. Redesignated and amended at 63 FR 18294,
Apr. 14, 1998]

Sec. 303.21  Public agency.

    As used in this part, public agency includes the lead agency and any
other political subdivision of the State that is responsible for
providing early intervention services to children eligible under this
part and their families.

(Authority: 20 U.S.C. 1431-1445)

[58 FR 40959, July 30, 1993. Redesignated at 63 FR 18294, Apr. 14, 1998]

Sec. 303.22  Qualified.

    As used in this part, qualified means that a person has met State
approved or recognized certification, licensing, registration, or other
comparable requirements that apply to the area in which the person is
providing early intervention services.

(Authority: 20 U.S.C. 1432(4))
    Note: These regulations contain the following provisions relating to
a State's responsibility to ensure that personnel are qualified to
provide early intervention services:

    1. Section 303.12(a)(4) provides that early intervention services
must meet State standards. This provision implements a requirement that
is similar to a longstanding provision under part B of the Act (i.e.,
that the State educational agency establish standards and ensure that
those standards are currently met for all programs providing special
education and related services).
    2. Section 303.12(a)(3)(ii) provides that early intervention
services must be provided by qualified personnel.
    3. Section 303.361(b) requires statewide systems to have policies
and procedures relating to personnel standards.

[58 FR 40959, July 30, 1993. Redesignated at 63 FR 18294, Apr. 14, 1998]

Sec. 303.23  Service coordination (case management).

    (a) General. (1) As used in this part, except in Sec. 303.12(d)(11),
service coordination means the activities 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.
    (2) Each child eligible under this part and the child's family must
be provided with one service coordinator who is responsible for--
    (i) Coordinating all services across agency lines; and
    (ii) Serving as the single point of contact in helping parents to
obtain the services and assistance they need.
    (3) Service coordination is an active, ongoing process that
involves--
    (i) Assisting parents of eligible children in gaining access to the
early intervention services and other services identified in the
individualized family service plan;
    (ii) 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;
    (iii) Facilitating the timely delivery of available services; and
    (iv) 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.
    (b) Specific service coordination activities. Service coordination
activities include--
    (1) Coordinating the performance of evaluations and assessments;
    (2) Facilitating and participating in the development, review, and
evaluation of individualized family service plans;
    (3) Assisting families in identifying available service providers;

[[Page 182]]

    (4) Coordinating and monitoring the delivery of available services;
    (5) Informing families of the availability of advocacy services;
    (6) Coordinating with medical and health providers; and
    (7) Facilitating the development of a transition plan to preschool
services, if appropriate.
    (c) Employment and assignment of service coordinators. (1) Service
coordinators may be employed or assigned in any way that is permitted
under State law, so long as it is consistent with the requirements of
this part.
    (2) A State's policies and procedures for implementing the statewide
system of early intervention services must be designed and implemented
to ensure that service coordinators are able to effectively carry out on
an interagency basis the functions and services listed under paragraphs
(a) and (b) of this section.
    (d) Qualifications of service coordinators. Service coordinators
must be persons who, consistent with Sec. 303.344(g), have demonstrated
knowledge and understanding about--
    (1) Infants and toddlers who are eligible under this part;
    (2) Part C of the Act and the regulations in this part; and
    (3) The nature and scope of services available under the State's
early intervention program, the system of payments for services in the
State, and other pertinent information.

(Authority: 20 U.S.C. 1432(4))
    Note 1: If States have existing service coordination systems, the
States may use or adapt those systems, so long as they are consistent
with the requirements of this part.
    Note 2: The legislative history of the 1991 amendments to the Act
indicates that the use of the term ``service coordination'' was not
intended to affect the authority to seek reimbursement for services
provided under Medicaid or any other legislation that makes reference to
``case management'' services. See H.R. Rep. No. 198, 102d Cong., 1st
Sess. 12 (1991); S. Rep. No. 84, 102d Cong., 1st Sess. 20 (1991).

[58 FR 40959, July 30, 1993. Redesignated at 63 FR 18294, Apr. 14, 1998]

Sec. 303.24  State.

    Except as provided in Sec. 303.200(b)(3), State means each of the 50
States, the Commonwealth of Puerto Rico, the District of Columbia, and
the jurisdictions of Guam, American Samoa, the Virgin Islands, the
Commonwealth of the Northern Mariana Islands.

(Authority: 20 U.S.C. 1401(27))

[58 FR 40959, July 30, 1993. Redesignated and amended at 63 FR 18294,
Apr. 14, 1998]

Sec. 303.25  EDGAR definitions that apply.

    The following terms used in this part are defined in 34 CFR 77.1:
    Applicant
    Award
    Contract
    Department
    EDGAR
    Fiscal year
    Grant
    Grantee
    Grant period
    Private
    Public
    Secretary

(Authority: 20 U.S.C. 1431-1445)

[58 FR 40959, July 30, 1993. Redesignated at 63 FR 18294, Apr. 14, 1998]


                Subpart B--State Application for a Grant

Sec. 303.100  Conditions of assistance.

                          General Requirements


    (a) In order to receive funds under this part for any fiscal year, a
State must have--
    (1) An approved application that contains the information required
in this part, including--
    (i) The information required in Secs. 303.140 through 303.148; and
    (ii) The information required in Secs. 303.161 through 303.176; and
    (2) The statement of assurances required under Secs. 303.120 through
303.128, on file with the Secretary.
    (b) If a State has on file with the Secretary a policy, procedure,
or assurance that demonstrates that the State meets an application
requirement, including any policy or procedure filed under this part
before July 1, 1998, that meets such a requirement, the Secretary
considers the State to have met that requirement for purposes of
receiving a grant under this part.
    (c) An application that meets the requirements of this part remains
in

[[Page 183]]

zeffect until the State submits to the Secretary modifications of that
application.
    (d) The Secretary may require a State to modify its application
under this part to the extent necessary to ensure the State's compliance
with this part if--
    (1) An amendment is made to the Act, or to a regulation under this
part;
    (2) A new interpretation is made of the Act by a Federal court or
the State's highest court; or
    (3) An official finding of noncompliance with Federal law or
regulations is made with respect to the State.

(Authority: 20 U.S.C. 1434 and 1437)

[63 FR 18294, Apr. 14, 1998, as amended at 64 FR 12535, Mar. 12, 1999]

Sec. 303.101  How the Secretary disapproves a State's application
or statement of assurances.

    The Secretary follows the procedures in 34 CFR 300.581 through
300.586 before disapproving a State's application or statement of
assurances submitted under this part.

(Authority: 20 U.S.C. 1437)

                          Public Participation


Sec. 303.110  General requirements and timelines for public participation.

    (a) Before submitting to the Secretary its application under this
part, and before adopting a new or revised policy that is not in its
current application, a State shall--
    (1) Publish the application or policy in a manner that will ensure
circulation throughout the State for at least a 60-day period, with an
opportunity for comment on the application or policy for at least 30
days during that period;
    (2) Hold public hearings on the application or policy during the 60-
day period required in paragraph (a)(1) of this section; and
    (3) Provide adequate notice of the hearings required in paragraph
(a)(2) of this section at least 30 days before the dates that the
hearings are conducted.
    (b) A State may request the Secretary to waive compliance with the
timelines in paragraph (a) of this section. The Secretary grants the
request if the State demonstrates that--
    (1) There are circumstances that would warrant such an exception;
and
    (2) The timelines that will be followed provide an adequate
opportunity for public participation and comment.

(Authority: 20 U.S.C. 1437(a)(3))

Sec. 303.111  Notice of public hearings and opportunity to comment.

    The notice required in Sec. 303.110(a)(3) must--
    (a) Be published in newspapers or announced in other media, or both,
with coverage adequate to notify the general public, including
individuals with disabilities and parents of infants and toddlers with
disabilities, throughout the State about the hearings and opportunity to
comment on the application or policy; and
    (b) Be in sufficient detail to inform the public about--
    (1) The purpose and scope of the State application or policy, and
its relationship to part C of the Act;
    (2) The length of the comment period and the date, time, and
location of each hearing; and
    (3) The procedures for providing oral comments or submitting written
comments.

(Authority: 20 U.S.C. 1437(a)(7))

Sec. 303.112  Public hearings.

    Each State shall hold public hearings in a sufficient number and at
times and places that afford interested parties throughout the State a
reasonable opportunity to participate.

(Authority: 20 U.S.C. 1437(a)(7))

Sec. 303.113  Reviewing public comments received.

    (a) Review of comments. Before adopting its application, and before
the adoption of a new or revised policy not in the application, the lead
agency shall--
    (1) Review and consider all public comments; and
    (2) Make any modifications it deems necessary in the application or
policy.
    (b) Submission to the Secretary. In submitting the State's
application or policy to the Secretary, the lead agency shall include
copies of news releases,

[[Page 184]]

advertisements, and announcements used to provide notice to the general
public, including individuals with disabilities and parents of infants
and toddlers with disabilities.

(Authority: 20 U.S.C. 1437(a)(7))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]

                         Statement of Assurances

Sec. 303.120  General.

    (a) A State's statement of assurances must contain the information
required in Secs. 303.121 through 303.128.
    (b) Unless otherwise required by the Secretary, the statement is
submitted only once, and remains in effect throughout the term of a
State's participation under this part.
    (c) A State may submit a revised statement of assurances if the
statement is consistent with the requirements in Secs. 303.121 through
303.128.

(Authority: 20 U.S.C. 1437(b))

Sec. 303.121  Reports and records.

    The statement must provide for--
    (a) Making reports in such form and containing such information as
the Secretary may require; and
    (b) Keeping such records and affording such access to those records
as the Secretary may find necessary to assure compliance with the
requirements of this part, the correctness and verification of reports,
and the proper disbursement of funds provided under this part.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(b)(4))

Sec. 303.122  Control of funds and property.

    The statement must provide assurance satisfactory to the Secretary
that--
    (a) The control of funds provided under this part, and title to
property acquired with those funds, will be in a public agency for the
uses and purposes provided in this part; and
    (b) A public agency will administer the funds and property.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(b)(3))

Sec. 303.123  Prohibition against commingling.

    The statement must include an assurance satisfactory to the
Secretary that funds made available under this part will not be
commingled with State funds.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(b)(5)(A))
    Note: As used in this part, commingle means depositing or recording
funds in a general account without the ability to identify each specific
source of funds for any expenditure. Under that general definition, it
is clear that commingling is prohibited. However, to the extent that the
funds from each of a series of Federal, State, local, and private
funding sources can be identified--with a clear audit trail for each
source--it is appropriate for those funds to be consolidated for
carrying out a common purpose. In fact, a State may find it essential to
set out a funding plan that incorporates, and accounts for, all sources
of funds that can be targeted on a given activity or function related to
the State's early intervention program.
    Thus, the assurance in this section is satisfied by the use of an
accounting system that includes an ``audit trail'' of the expenditure of
funds awarded under this part. Separate bank accounts are not required.

Sec. 303.124  Prohibition against supplanting.

    (a) The statement must include an assurance satisfactory to the
Secretary that Federal funds made available under this part will be used
to supplement the level of State and local funds expended for children
eligible under this part and their families and in no case to supplant
those State and local funds.
    (b) To meet the requirement in paragraph (a) of this section, the
total amount of State and local funds budgeted for expenditures in the
current fiscal year for early intervention services for children
eligible under this part and their families must be at least equal to
the total amount of State and local

[[Page 185]]

funds actually expended for early intervention services for these
children and their families in the most recent preceding fiscal year for
which the information is available. Allowance may be made for--
    (1) Decreases in the number of children who are eligible to receive
early intervention services under this part; and
    (2) Unusually large amounts of funds expended for such long-term
purposes as the acquisition of equipment and the construction of
facilities.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(b)(5)(B))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]

Sec. 303.125  Fiscal control.

    The statement must provide assurance satisfactory to the Secretary
that such fiscal control and fund accounting procedures will be adopted
as may be necessary to assure proper disbursement of, and accounting
for, Federal funds paid under this part.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(b)(6))

Sec. 303.126  Payor of last resort.

    The statement must include an assurance satisfactory to the
Secretary that the State will comply with the provisions in
Sec. 303.527, including the requirements on--
    (a) Nonsubstitution of funds; and
    (b) Non-reduction of other benefits.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(b)(2))

Sec. 303.127  Assurance regarding expenditure of funds.

    The statement must include an assurance satisfactory to the
Secretary that the funds paid to the State under this part will be
expended in accordance with the provisions of this part, including the
requirements in Sec. 303.3.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(b)(1))

Sec. 303.128  Traditionally underserved groups.

    The statement must include an assurance satisfactory to the
Secretary that policies and practices have been adopted to ensure--
    (a) That traditionally underserved groups, including minority, low-
income, and rural families, are meaningfully involved in the planning
and implementation of all the requirements of this part; and
    (b) That these families have access to culturally competent services
within their local geographical areas.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(b)(7))

              General Requirements for a State Application

Sec. 303.140  General.

    A State's application under this part must contain information and
assurances demonstrating to the satisfaction of the Secretary that--
    (a) The statewide system of early intervention services required in
this part is in effect; and
    (b) A State policy is in effect that ensures 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.

(Authority: 20 U.S.C. 1434 and 1435(a)(2))

[63 FR 18294, Apr. 14, 1998, as amended at 64 FR 12535, Mar. 12, 1999]

Sec. 303.141  Information about the Council.

    Each application must include information demonstrating that the
State has established a State Interagency Coordinating Council that
meets the requirements of subpart G of this part.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(a)(3))

Sec. 303.142  Designation of lead agency.

    Each application must include a designation of the lead agency in
the

[[Page 186]]

State that will be responsible for the administration of funds provided
under this part.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(a)(1))

Sec. 303.143  Designation regarding financial responsibility.

    Each application must include a designation by the State of an
individual or entity responsible for assigning financial responsibility
among appropriate agencies.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(a)(2))

Sec. 303.144  Assurance regarding use of funds.

    Each application must include an assurance that funds received under
this part will be used to assist the State to maintain and implement the
statewide system required under subparts D through F of this part.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1475, 1437(a)(3))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]

Sec. 303.145  Description of use of funds.

    (a) General. Each application must include a description of how a
State proposes to use its funds under this part for the fiscal year or
years covered by the application. The description must be presented
separately for the lead agency and the Council, and include the
information required in paragraphs (b) through (e) of this section.
    (b) Administrative positions. Each application must include--
    (1) A list of administrative positions, with salaries, and a
description of the duties for each person whose salary is paid in whole
or in part with funds awarded under this part; and
    (2) For each position, the percentage of salary paid with those
funds.
    (c) Maintenance and implementation activities. Each application must
include--
    (1) A description of the nature and scope of each major activity to
be carried out under this part in maintaining and implementing the
statewide system of early intervention services; and
    (2) The approximate amount of funds to be spent for each activity.
    (d) Direct services. (1) Each application must include a description
of any direct services that the State expects to provide to eligible
children and their families with funds under this part, including a
description of any services provided to at-risk infants and toddlers as
defined in Sec. 303.16(b), and their families, consistent with
Secs. 303.521 and 303.527.
    (2) The description must include information about each type of
service to be provided, including--
    (i) A summary of the methods to be used to provide the service
(e.g., contracts or other arrangements with specified public or private
organizations); and
    (ii) The approximate amount of funds under this part to be used for
the service.
    (e) At-risk infants and toddlers. For any State that does not
provide direct services for at-risk infants and toddlers described in
paragraph (d)(1) of this section, but chooses to use funds as described
in Sec. 303.3(e), each application must include a description of how
those funds will be used.
    (f) Activities by other agencies. If other agencies are to receive
funds under this part, the application must include--
    (1) The name of each agency expected to receive funds;
    (2) The approximate amount of funds each agency will receive; and
    (3) A summary of the purposes for which the funds will be used.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(a)(3) and (a)(5))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998;
64 FR 12535, Mar. 12, 1999]

Sec. 303.146  Information about public participation.

    Each application must include the information on public
participation that is required in Sec. 303.113(b).

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(a)(7))

[[Page 187]]

Sec. 303.147  Services to all geographic areas.

    Each 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.

(Authority: 20 U.S.C. 1437(a)(6))

[63 FR 18294, Apr. 14, 1998]

Sec. 303.148  Transition to preschool programs.

    Each application must include a description of the policies and
procedures to be used to ensure a smooth transition for children
receiving early intervention services under this part to preschool or
other appropriate services, including--
    (a) A description of how the families will be included in the
transition plans;
    (b) A description of how the lead agency under this part will--
    (1) Notify the local educational agency for the area in which the
child resides that the child will shortly reach the age of eligibility
for preschool services under Part B of the Act, as determined in
accordance with State law;
    (2)(i) In the case of a child who may be eligible for preschool
services under Part B of the Act, with the approval of the family of the
child, convene a conference among the lead agency, the family, and the
local educational agency at least 90 days, and at the discretion of the
parties, up to 6 months, before the child is eligible for the preschool
services, to discuss any services that the child may receive; or
    (ii) In the case of a child who may not be eligible for preschool
services under Part B of the Act, 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;
    (3) Review the child's program options for the period from the
child's third birthday through the remainder of the school year; and
    (4) Establish a transition plan; and
    (c) 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, an interagency agreement between the two
agencies to ensure coordination on transition matters.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1437(a)(8))
    Note: Among the matters that should be considered in developing
policies and procedures to ensure a smooth transition of children from
one program to the other are the following:
    • The financial responsibilities of all appropriate agencies.
    • The responsibility for performing evaluations of children.
    • The development and implementation of an individualized
education program (``IEP'') or an individualized family service plan
(``IFSP'') for each child, consistent with the requirements of law (see
Sec. 303.344(h) and sections 612(a)(9) of the Act).
    • The coordination of communication between agencies and the
child's family.
    • The mechanisms to ensure the uninterrupted provision of
appropriate services to the child.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18294, Apr. 14, 1998]

       Components of a Statewide System--Application Requirements

Sec. 303.160  Minimum components of a statewide system.

    Each application must address the minimum components of a statewide
system of coordinated, comprehensive, multidisciplinary, interagency
programs providing appropriate early intervention services 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. The
minimum components of a statewide system are described in Secs. 303.161
through 303.176.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a), 1437(a)(9))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

[[Page 188]]

Sec. 303.161  State definition of developmental delay.

    Each application must include the State's definition of
``developmental delay,'' as described in Sec. 303.300.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(1))

Sec. 303.162  Central directory.

    Each application must include information and assurances
demonstrating to the satisfaction of the Secretary that the State has
developed a central directory of information that meets the requirements
in Sec. 303.301.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(7))

Sec. 303.164  Public awareness program.

    Each application must include information and assurances
demonstrating to the satisfaction of the Secretary that the State has
established a public awareness program that meets the requirements in
Sec. 303.320.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(6))

Sec. 303.165  Comprehensive child find system.

    Each application must include--
    (a) The policies and procedures required in Sec. 303.321(b);
    (b) Information demonstrating that the requirements on coordination
in Sec. 303.321(c) are met;
    (c) The referral procedures required in Sec. 303.321(d), and
either--
    (1) A description of how the referral sources are informed about the
procedures; or
    (2) A copy of any memorandum or other document used by the lead
agency to transmit the procedures to the referral sources; and
    (d) The timelines in Sec. 303.321(e).

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(5))

Sec. 303.166  Evaluation, assessment, and nondiscriminatory procedures.

    Each application must include information to demonstrate that the
requirements in Secs. 303.322 and 303.323 are met.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(3); 1436(a)(1), (d)(2), and (d)(3))

Sec. 303.167  Individualized family service plans.

    Each application must include--
    (a) An assurance that a current IFSP is in effect and implemented
for each eligible child and the child's family;
    (b) Information demonstrating that--
    (1) The State's procedures for developing, reviewing, and evaluating
IFSPs are consistent with the requirements in Secs. 303.340, 303.342,
303.343 and 303.345; and
    (2) The content of IFSPs used in the State is consistent with the
requirements in Sec. 303.344; and
    (c) Policies and procedures to ensure that--
    (1) To the maximum extent appropriate, early intervention services
are provided in natural environments; and
    (2) The provision of early intervention services for any infant or
toddler occurs in a setting other than a natural environment only if
early intervention cannot be achieved satisfactorily for the infant or
toddler in a natural environment.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(4), 1436(d))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

Sec. 303.168  Comprehensive system of personnel development (CSPD).

    Each application must include information to show that the
requirements in Sec. 303.360(b) are met.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(8))

[[Page 189]]

Sec. 303.169  Personnel standards.

    (a) Each application must include policies and procedures that are
consistent with the requirements in Sec. 303.361.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(9))

Sec. 303.170  Procedural safeguards.

    Each application must include procedural safeguards that--
    (a) Are consistent with Secs. 303.400 through 303.406, 303.419
through 303.425 and 303.460; and
    (b) Incorporate either--
    (1) The due process procedures in 34 CFR 300.506 through 300.512; or
    (2) The procedures that the State has developed to meet the
requirements in Secs. 303.419, 303.420(b) and 303.421 through 303.425.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(13))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

Sec. 303.171  Supervision and monitoring of programs.

    Each application must include information to show that the
requirements in Sec. 303.501 are met.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20. U.S.C. 1435(a)(10)(A))

Sec. 303.172  Lead agency procedures for resolving complaints.

    Each application must include procedures that are consistent with
the requirements in Secs. 303.510 through 303.512.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(10))

Sec. 303.173  Policies and procedures related to financial matters.

    Each application must include--
    (a) Funding policies that meet the requirements in Secs. 303.520 and
303.521;
    (b) Information about funding sources, as required in Sec. 303.522;
    (c) Procedures to ensure the timely delivery of services, in
accordance with Sec. 303.525; and
    (d) A procedure related to the timely reimbursement of funds under
this part, in accordance with Secs. 303.527(b) and 303.528.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(10) (D) and (E), 1435(a)(12), 1440)

Sec. 303.174  Interagency agreements; resolution of individual disputes.

    Each application must include--
    (a) A copy of each interagency agreement that has been developed
under Sec. 303.523; and
    (b) Information to show that the requirements in Sec. 303.524 are
met.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(10) (E) and (F)

Sec. 303.175  Policy for contracting or otherwise arranging for services.

    Each application must include a policy that meets the requirements
in Sec. 303.526.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(11))

Sec. 303.176  Data collection.

    Each application must include procedures that meet the requirements
in Sec. 303.540.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(14))

             Participation by the Secretary of the Interior

Sec. 303.180  Payments to the Secretary of the Interior for
Indian tribes and tribal organizations.

    (a) The Secretary makes payments to the Secretary of the Interior
for the coordination of assistance in the provision of early
intervention services by the States to infants and toddlers with
disabilities and their families on reservations served by elementary and
secondary schools for Indian children operated or funded by the
Department of the Interior.
    (b)(1) The Secretary of the Interior shall distribute payments under
this part to tribes or tribal organizations

[[Page 190]]

(as defined under section 4 of the Indian Self-Determination and
Education Assistance Act), or combinations of those entities, in
accordance with section 684(b) of the Act.
    (2) A tribe or tribal organization is eligible to receive a payment
under this section if the tribe is on a reservation that is served by an
elementary or secondary school operated or funded by the Bureau of
Indian Affairs (``BIA'').
    (c)(1) Within 90 days after the end of each fiscal year the
Secretary of the Interior shall provide the Secretary with a report on
the payments distributed under this section.
    (2) The report must include--
    (i) The name of each tribe, tribal organization, or combination of
those entities that received a payment for the fiscal year;
    (ii) The amount of each payment; and
    (iii) The date of each payment.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1443(b))


                Subpart C--Procedures for Making Grants to States

Sec. 303.200  Formula for State allocations.


    (a) For each fiscal year, from the aggregate amount of funds
available under this part for distribution to the States, the Secretary
allots to each State an amount that bears the same ratio to the
aggregate amount as the number of infants and toddlers in the State
bears to the number of infants and toddlers in all States.
    (b) For the purpose of allotting funds to the States under paragraph
(a) of this section--
    (1) Aggregate amount means the amount available for distribution to
the States after the Secretary determines the amount of payments to be
made to the Secretary of the Interior under Sec. 303.203 and to the
jurisdictions under Sec. 303.204;
    (2) Infants and toddlers means children from birth through age two
in the general population, based on the most recent satisfactory data as
determined by the Secretary; and
    (3) State means each of the 50 States, the District of Columbia, and
the Commonwealth of Puerto Rico.

(Authority: 20 U.S.C. 1443(c))

Sec. 303.201  Distribution of allotments from non-participating States.

    If a State elects not to receive its allotment, the Secretary
reallots those funds among the remaining States, in accordance with
Sec. 303.200(a).

(Authority: 20 U.S.C. 1443(d))

Sec. 303.202  Minimum grant that a State may receive.

    No State receives less than 0.5 percent of the aggregate amount
available under Sec. 303.200 or $500,000, whichever is greater.

(Authority: 20 U.S.C. 1443(c)(2))

Sec. 303.203  Payments to the Secretary of the Interior.

    The amount of the payment to the Secretary of the Interior under
Sec. 303.180 for any fiscal year is 1.25 percent of the aggregate amount
available to States after the Secretary determines the amount of
payments to be made to the jurisdictions under Sec. 303.204.

(Authority: 20 U.S.C. 1443(b))

Sec. 303.204  Payments to the jurisdictions.

    (a) From the sums appropriated to carry out this part for any fiscal
year, the Secretary may reserve up to 1 percent for payments to the
jurisdictions listed in Sec. 303.2 in accordance with their respective
needs.
    (b) The provisions of Pub. L. 95-134, permitting the consolidation
of grants to the outlying areas, do not apply to funds provided under
paragraph (a) of this section.

(Authority: 20 U.S.C. 1443(a))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

[[Page 191]]

Subpart D--Program and Service Components of a
 Statewide System of Early Intervention Services

Sec. 303.300  State eligibility criteria and procedures.

                                 General

    Each statewide system of early intervention services must include
the eligibility criteria and procedures, consistent with Sec. 303.16,
that will be used by the State in carrying out programs under this part.
    (a) The State shall define developmental delay by--
    (1) Describing, for each of the areas listed in Sec. 303.16(a)(1),
the procedures, including the use of informed clinical opinion, that
will be used to measure a child's development; and
    (2) Stating the levels of functioning or other criteria that
constitute a developmental delay in each of those areas.
    (b) The State shall describe the criteria and procedures, including
the use of informed clinical opinion, that will be used to determine the
existence of a condition that has a high probability of resulting in
developmental delay under Sec. 303.16(a)(2).
    (c) If the State elects to include in its system children who are at
risk under Sec. 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.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1432(5), 1435(a)(1))
    Note: Under this section and Sec. 303.322(c)(2), States are required
to ensure that informed clinical opinion is used in determining a
child's eligibility under this part. Informed clinical opinion is
especially important if there are no standardized measures, or if the
standardized procedures are not appropriate for a given age or
developmental area. If a given standardized procedure is considered to
be appropriate, a State's criteria could include percentiles or
percentages of levels of functioning on standardized measures.

Sec. 303.301  Central directory.

    (a) Each system must include a central directory of information
about--
    (1) Public and private early intervention services, resources, and
experts available in the State;
    (2) Research and demonstration projects being conducted in the
State; and
    (3) Professional and other groups that provide assistance to
children eligible under this part and their families.
    (b) The information required in paragraph (a) of this section must
be in sufficient detail to--
    (1) Ensure that the general public will be able to determine the
nature and scope of the services and assistance available from each of
the sources listed in the directory; and
    (2) Enable the parent of a child eligible under this part to
contact, by telephone or letter, any of the sources listed in the
directory.
    (c) The central directory must be--
    (1) Updated at least annually; and
    (2) Accessible to the general public.
    (d) To meet the requirements in paragraph (c)(2) of this section,
the lead agency shall arrange for copies of the directory to be
available--
    (1) In each geographic region of the State, including rural areas;
and
    (2) In places and a manner that ensure accessibility by persons with
disabilities.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(7))
    Note: Examples of appropriate groups that provide assistance to
eligible children and their families include parent support groups and
advocate associations.

                      Identification and Evaluation

Sec. 303.320  Public awareness program.

    Each system must include a public awareness program that focuses on
the early identification of children who are eligible to receive early
intervention services under this part and includes the preparation and
dissemination by the lead agency to all primary referral sources,
especially hospitals and physicians, of materials for parents on the
availability of early intervention services. The public awareness
program must provide for informing the public about--
    (a) The State's early intervention program;

[[Page 192]]

    (b) The child find system, including--
    (1) The purpose and scope of the system;
    (2) How to make referrals; and
    (3) How to gain access to a comprehensive, multidisciplinary
evaluation and other early intervention services; and
    (c) The central directory.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(6))
    Note 1: An effective public awareness program is one that does the
following:
    1. Provides a continuous, ongoing effort that is in effect
throughout the State, including rural areas;
    2. Provides for the involvement of, and communication with, major
organizations throughout the State that have a direct interest in this
part, including public agencies at the State and local level, private
providers, professional associations, parent groups, advocate
associations, and other organizations;
    3. Has coverage broad enough to reach the general public, including
those who have disabilities; and
    4. Includes a variety of methods for informing the public about the
provisions of this part.
    Note 2: Examples of methods for informing the general public about
the provisions of this part include: (1) Use of television, radio, and
newspaper releases, (2) pamphlets and posters displayed in doctors'
offices, hospitals, and other appropriate locations, and (3) the use of
a toll-free telephone service.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

Sec. 303.321  Comprehensive child find system.

    (a) General. (1) Each system must include a comprehensive child find
system that is consistent with part B of the Act (see 34 CFR 300.128),
and meets the requirements of paragraphs (b) through (e) of this
section.
    (2) The lead agency, with the advice and assistance of the Council,
shall be responsible for implementing the child find system.
    (b) Procedures. The child find system must include the policies and
procedures that the State will follow to ensure that--
    (1) All infants and toddlers in the State who are eligible for
services under this part are identified, located, and evaluated; and
    (2) An effective method is developed and implemented to determine
which children are receiving needed early intervention services.
    (c) Coordination. (1) The lead agency, with the assistance of the
Council, shall ensure that the child find system under this part is
coordinated with all other major efforts to locate and identify children
conducted by other State agencies responsible for administering the
various education, health, and social service programs relevant to this
part, tribes and tribal organizations that receive payments under this
part, and other tribes and tribal organizations as appropriate,
including efforts in the--
    (i) Program authorized under part B of the Act;
    (ii) Maternal and Child Health program under title V of the Social
Security Act;
    (iii) Early Periodic Screening, Diagnosis and Treatment (EPSDT)
program under title XIX of the Social Security Act;
    (iv) Developmental Disabilities Assistance and Bill of Rights Act;
    (v) Head Start Act; and
    (vi) Supplemental Security Income program under title XVI of the
Social Security Act.
    (2) The lead agency, with the advice and assistance of the Council,
shall take steps to ensure that--
    (i) There will not be unnecessary duplication of effort by the
various agencies involved in the State's child find system under this
part; and
    (ii) The State will make use of the resources available through each
public agency in the State to implement the child find system in an
effective manner.
    (d) Referral procedures. (1) The child find system must include
procedures for use by primary referral sources for referring a child to
the appropriate public agency within the system for--
    (i) Evaluation and assessment, in accordance with Secs. 303.322 and
303.323; or
    (ii) As appropriate, the provision of services, in accordance with
Sec. 303.342(a) or Sec. 303.345.
    (2) The procedures required in paragraph (b)(1) of this section
must--

[[Page 193]]

    (i) Provide for an effective method of making referrals by primary
referral sources;
    (ii) Ensure that referrals are made no more than two working days
after a child has been identified; and
    (iii) Include procedures for determining the extent to which primary
referral sources, especially hospitals and physicians, disseminate the
information, as described in Sec. 303.320, prepared by the lead agency
on the availability of early intervention services to parents of infants
and toddlers with disabilities.
    (3) As used in paragraph (d)(1) of this section, primary referral
sources includes--
    (i) Hospitals, including prenatal and postnatal care facilities;
    (ii) Physicians;
    (iii) Parents;
    (iv) Day care programs;
    (v) Local educational agencies;
    (vi) Public health facilities;
    (vii) Other social service agencies; and
    (viii) Other health care providers.
    (e) Timelines for public agencies to act on referrals. (1) Once the
public agency receives a referral, it shall appoint a service
coordinator as soon as possible.
    (2) Within 45 days after it receives a referral, the public agency
shall--
    (i) Complete the evaluation and assessment activities in
Sec. 303.322; and
    (ii) Hold an IFSP meeting, in accordance with Sec. 303.342.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1432(4)(E)(vii), 1435(a)(5))
    Note: In developing the child find system under this part, States
should consider (1) tracking systems based on high-risk conditions at
birth, and (2) other activities that are being conducted by various
agencies or organizations in the State.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

Sec. 303.322  Evaluation and assessment.

    (a) General. (1) Each system must include the performance of a
timely, comprehensive, multidisciplinary evaluation of each child, birth
through age two, referred for evaluation, and a family-directed
identification of the needs of each child's family to appropriately
assist in the development of the child.
    (2) The lead agency shall be responsible for ensuring that the
requirements of this section are implemented by all affected public
agencies and service providers in the State.
    (b) Definitions of evaluation and assessment. As used in this part--
    (1) Evaluation means the procedures used by appropriate qualified
personnel to determine a child's initial and continuing eligibility
under this part, consistent with the definition of ``infants and
toddlers with disabilities'' in Sec. 303.16, including determining the
status of the child in each of the developmental areas in paragraph
(c)(3)(ii) of this section.
    (2) Assessment means the ongoing procedures used by appropriate
qualified personnel throughout the period of a child's eligibility under
this part to identify--
    (i) The child's unique strengths and needs and the services
appropriate to meet those needs; and
    (ii) The resources, priorities, and concerns of the family and the
supports and services necessary to enhance the family's capacity to meet
the developmental needs of their infant or toddler with a disability.
    (c) Evaluation and assessment of the child. The evaluation and
assessment of each child must--
    (1) Be conducted by personnel trained to utilize appropriate methods
and procedures;
    (2) Be based on informed clinical opinion; and
    (3) Include the following:
    (i) A review of pertinent records related to the child's current
health status and medical history.
    (ii) An evaluation of the child's level of functioning in each of
the following developmental areas:
    (A) Cognitive development.
    (B) Physical development, including vision and hearing.
    (C) Communication development.
    (D) Social or emotional development.
    (E) Adaptive development.
    (iii) An assessment of the unique needs of the child in terms of
each of the developmental areas in paragraph (c)(3)(ii) of this section,
including the

[[Page 194]]

identification of services appropriate to meet those needs.
    (d) Family assessment. (1) Family assessments under this part must
be family-directed and designed to determine the resources, priorities,
and concerns of the family and the identification of the supports and
services necessary to enhance the family's capacity to meet the
developmental needs of the child.
    (2) Any assessment that is conducted must be voluntary on the part
of the family.
    (3) If an assessment of the family is carried out, the assessment
must--
    (i) Be conducted by personnel trained to utilize appropriate methods
and procedures;
    (ii) Be based on information provided by the family through a
personal interview; and
    (iii) Incorporate the family's description of its resources,
priorities, and concerns related to enhancing the child's development.
    (e) Timelines. (1) Except as provided in paragraph (e)(2) of this
section, the evaluation and initial assessment of each child (including
the family assessment) must be completed within the 45-day time period
required in Sec. 303.321(e).
    (2) The lead agency shall develop procedures to ensure that in the
event of exceptional circumstances that make it impossible to complete
the evaluation and assessment within 45 days (e.g., if a child is ill),
public agencies will--
    (i) Document those circumstances; and
    (ii) Develop and implement an interim IFSP, to the extent
appropriate and consistent with Sec. 303.345 (b)(1) and (b)(2).

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(3); 1436 (a)(1), (a)(2), (d)(1), and
(d)(2))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

Sec. 303.323  Nondiscriminatory procedures.

    Each lead agency shall adopt nondiscriminatory evaluation and
assessment procedures. The procedures must provide that public agencies
responsible for the evaluation and assessment of children and families
under this part shall ensure, at a minimum, that--
    (a) Tests and other evaluation materials and procedures are
administered in the native language of the parents or other mode of
communication, unless it is clearly not feasible to do so;
    (b) Any assessment and evaluation procedures and materials that are
used are selected and administered so as not to be racially or
culturally discriminatory;
    (c) No single procedure is used as the sole criterion for
determining a child's eligibility under this part; and
    (d) Evaluations and assessments are conducted by qualified
personnel.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(3); 1436 (a)(1), (d)(2), and (d)(3))

               Individualized Family Service Plans (IFSPs)

Sec. 303.340  General.

    (a) Each system must include policies and procedures regarding
individualized family service plans (IFSPs) that meet the requirements
of this section and Secs. 303.341 through 303.346.
    (b) As used in this part, individualized family service plan and
IFSP mean a written plan for providing early intervention services to a
child eligible under this part and the child's family. The plan must--
    (1) Be developed in accordance with Secs. 303.342 and 303.343;
    (2) Be based on the evaluation and assessment described in
Sec. 303.322; and
    (3) Include the matters specified in Sec. 303.344.
    (c) Lead agency responsibility. The lead agency shall ensure that an
IFSP is developed and implemented for each eligible child, in accordance
with the requirements of this part. If there is a dispute between
agencies as to who has responsibility for developing or implementing an
IFSP, the lead agency shall resolve the dispute or assign
responsibility.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1436)

[[Page 195]]

    Note: In instances where an eligible child must have both an IFSP
and an individualized service plan under another Federal program, it may
be possible to develop a single consolidated document, provided that it
(1) contains all of the required information in Sec. 303.344, and (2) is
developed in accordance with the requirements of this part.

Sec. 303.342  Procedures for IFSP development, review, and evaluation.

    (a) Meeting to develop initial IFSP--timelines. For a child who has
been evaluated for the first time and determined to be eligible, a
meeting to develop the initial IFSP must be conducted within the 45-day
time period in Sec. 303.321(e).
    (b) Periodic review. (1) A review of the IFSP for a child and the
child's family must be conducted every six months, or more frequently if
conditions warrant, or if the family requests such a review. The purpose
of the periodic review is to determine--
    (i) The degree to which progress toward achieving the outcomes is
being made; and
    (ii) Whether modification or revision of the outcomes or services is
necessary.
    (2) The review may be carried out by a meeting or by another means
that is acceptable to the parents and other participants.
    (c) Annual meeting to evaluate the IFSP. A meeting must be conducted
on at least an annual basis to evaluate the IFSP for a child and the
child's family, and, as appropriate, to revise its provisions. The
results of any current evaluations conducted under Sec. 303.322(c), and
other information available from the ongoing assessment of the child and
family, must be used in determining what services are needed and will be
provided.
    (d) Accessibility and convenience of meetings. (1) IFSP meetings
must be conducted--
    (i) In settings and at times that are convenient to families; and
    (ii) In the native language of the family or other mode of
communication used by the family, unless it is clearly not feasible to
do so.
    (2) Meeting arrangements must be made with, and written notice
provided to, the family and other participants early enough before the
meeting date to ensure that they will be able to attend.
    (e) Parental consent. The contents of the IFSP must be fully
explained to the parents and informed written consent from the parents
must be obtained prior to the provision of early intervention services
described in the plan. If the parents do not provide consent with
respect to a particular early intervention service or withdraw consent
after first providing it, that service may not be provided. The early
intervention services to which parental consent is obtained must be
provided.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1436)
    Note: The requirement for the annual evaluation incorporates the
periodic review process. Therefore, it is necessary to have only one
separate periodic review each year (i.e., six months after the initial
and subsequent annual IFSP meetings), unless conditions warrant
otherwise.

    Because the needs of infants and toddlers change so rapidly during
the course of a year, certain evaluation procedures may need to be
repeated before conducting the periodic reviews and annual evaluation
meetings in paragraphs (b) and (c) of this section.

Sec. 303.343  Participants in IFSP meetings and periodic reviews.

    (a) Initial and annual IFSP meetings. (1) Each initial meeting and
each annual meeting to evaluate the IFSP must include the following
participants:
    (i) The parent or parents of the child.
    (ii) Other family members, as requested by the parent, if feasible
to do so;
    (iii) An advocate or person outside of the family, if the parent
requests that the person participate.
    (iv) The service coordinator who has been working with the family
since the initial referral of the child for evaluation, or who has been
designated by the public agency to be responsible for implementation of
the IFSP.
    (v) A person or persons directly involved in conducting the
evaluations and assessments in Sec. 303.322.

[[Page 196]]

    (vi) As appropriate, persons who will be providing services to the
child or family.
    (2) If a person listed in paragraph (a)(1)(v) of this section is
unable to attend a meeting, arrangements must be made for the person's
involvement through other means, including--
    (i) Participating in a telephone conference call;
    (ii) Having a knowledgeable authorized representative attend the
meeting; or
    (iii) Making pertinent records available at the meeting.
    (b) Periodic review. Each periodic review must provide for the
participation of persons in paragraphs (a)(1)(i) through (a)(1)(iv) of
this section. If conditions warrant, provisions must be made for the
participation of other representatives identified in paragraph (a) of
this section.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1436(b))

Sec. 303.344 Content of an IFSP.

    (a) Information about the child's status. (1) The IFSP must include
a statement of the child's present levels of physical development
(including vision, hearing, and health status), cognitive development,
communication development, social or emotional development, and adaptive
development.
    (2) The statement in paragraph (a)(1) of this section must be based
on professionally acceptable objective criteria.
    (b) Family information. With the concurrence of the family, the IFS
must include a statement of the family's resources, priorities, and
concerns related to enhancing the development of the child.
    (c) Outcomes. The IFSP must include a statement of the major
outcomes expected to be achieved for the child and family, and the
criteria, procedures, and timeliness used to determine--
    (1) The degree to which progress toward achieving the outcomes is
being made; and
    (2) Whether modifications or revisions of the outcomes or services
are necessary.
    (d) Early intervention services. (1) The IFSP must include a
statement of the specific early intervention services necessary to meet
the unique needs of the child and the family to achieve the outcomes
identified in paragraph (c) of this section, including--
    (i) The frequency, intensity, and method of delivering the services;
    (ii) The natural environments, as described in Sec. 303.12(b), and
Sec. 303.18 in which early intervention services will be provided, and a
justification of the extent, if any, to which the services will not be
providied in a natural environment;
    (iii) The location of the services; and
    (iv) The payment arrangements, if any.
    (2) As used in paragraph (d)(1)(i) of this section--
    (i) Frequency and intensity mean the number of days or sessions that
a service will be provided, the length of time the service is provided
during each session, and whether the service is provided on an
individual or group basis; and
    (ii) Method means how a service is provided.
    (3) As used in paragraph (d)(1)(iii) of this section, location means
the actual place or places where a service will be provided.
    (e) Other services. (1) To the extent appropriate, the IFSP must
include--
    (i) Medical and other services that the child needs, but that are
not required under this part; and
    (ii) The funding sources to be used in paying for those services or
the steps that will be taken to secure those services through public or
private sources.
    (2) The requirement in paragraph (e)(1) of this section does not
apply to routine medical services (e.g., immunizations and ``well-baby''
care), unless a child needs those services and the services are not
otherwise available or being provided.
    (f) Dates; duration of services. The IFSP must include--
    (1) The projected dates for initiation of the services in paragraph
(d)(1) of this section as soon as possible after the IFSP meetings
described in Sec. 303.342; and
    (2) The anticipated duration of those services.
    (g) Service coordinator. (1) The IFSP must include the name of the
service coordinator from the profession most

[[Page 197]]

immediately relevant to the child's or family's needs (or who is
otherwise qualified to carry out all applicable responsibilities under
this part), who will be responsible for the implementation of the IFSP
and coordination with other agencies and persons.
    (2) In meeting the requirements in paragraph (g)(1) of this section,
the public agency may--
    (i) Assign the same service coordinator who was appointed at the
time that the child was initially referred for evaluation to be
responsible for implementing a child's and family's IFSP; or
    (ii) Appoint a new service coordinator.
    (3) As used in paragraph (g)(1) of this section, the term profession
includes ``service coordination.''
    (h) Transition from Part C services. (1) The IFSP must include the
steps to be taken to support the transition of the child, in accordance
with Sec. 303.148, to--
    (i) Preschool services under Part B of the Act, to the extent that
those services are appropriate; or
    (ii) Other services that may be available, if appropriate.
    (2) The steps required in paragraph (h)(1) of this section include--
    (i) Discussions with, and training of, parents regarding future
placements and other matters related to the child's transition;
    (ii) Procedures to prepare the child for changes in service
delivery, including steps to help the child adjust to, and function in,
a new setting; and
    (iii) With parental consent, the transmission of information about
the child to the local educational agency, to ensure continuity of
services, including evaluation and assessment information required in
Sec. 303.322, and copies of IFSPs that have been developed and
implemented in accordance with Secs. 303.340 through 303.346.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1436(d))
    Note 1: With respect to the requirements in paragraph (d) of this
section, the appropriate location of services for some infants and
toddlers might be a hospital setting--during the period in which they
require extensive medical intervention. However, for these and other
eligible children, early intervention services must be provided in
natural environments (e.g., the home, child care centers, or other
community settings) to the maximum extent appropriate to the needs of
the child.
    Note 2: Throughout the process of developing and implementing IFSPs
for an eligible child and the child's family, it is important for
agencies to recognize the variety of roles that family members play in
enhancing the child's development. It also is important that the degree
to which the needs of the family are addressed in the IFSP process is
determined in a collaborative manner with the full agreement and
participation of the parents of the child. Parents retain the ultimate
decision in determining whether they, their child, or other family
members will accept or decline services under this part.
    Note 3: The early intervention services in paragraph (d) of this
section are those services that a State is required to provide to a
child in accordance with Sec. 303.12.

    The ``other services'' in paragraph (e) of this section are services
that a child or family needs, but that are neither required nor covered
under this part. While listing the non-required services in the IFSP
does not mean that those services must be provided, their identification
can be helpful to both the child's family and the service coordinator,
for the following reasons: First, the IFSP would provide a comprehensive
picture of the child's total service needs (including the need for
medical and health services, as well as early intervention services).
Second, it is appropriate for the service coordinator to assist the
family in securing the non-required services (e.g., by (1) determining
if there is a public agency that could provide financial assistance, if
needed, (2) assisting in the preparation of eligibility claims or
insurance claims, if needed, and (3) assisting the family in seeking out
and arranging for the child to receive the needed medical-health
services).
    Thus, to the extent appropriate, it is important for a State's
procedures under this part to provide for ensuring that other needs of
the child, and of the family related to enhancing the development of the
child, such as medical and health needs, are considered and addressed,
including determining (1) who will provide each service, and when,
where, and how it will be provided, and (2) how the service will be paid
for (e.g., through private insurance, an existing Federal-State funding
source, such as Medicaid or EPSDT, or some other funding arrangement).
    Note 4: Although the IFSP must include information about each of the
items in paragraphs (b) through (h) of this section, this does not mean
that the IFSP must be a detailed, lengthy document. It might be a brief
outline, with appropriate attachments that address each of the points in
the paragraphs under this section. It is important for the IFSP itself
to be clear about (a) what services are to be provided, (b) the actions
that

[[Page 198]]

are to be taken by the service coordinator in initiating those services,
and (c) what actions will be taken by the parents.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998;
64 FR 12536, Mar. 12, 1999]

Sec. 303.345  Provision of services before evaluation and
assessment are completed.

    Early intervention services for an eligible child and the child's
family may commence before the completion of the evaluation and
assessment in Sec. 303.322, if the following conditions are met:
    (a) Parental consent is obtained.
    (b) An interim IFSP is developed that includes--
    (1) The name of the service coordinator who will be responsible,
consistent with Sec. 303.344(g), for implementation of the interim IFSP
and coordination with other agencies and persons; and
    (2) The early intervention services that have been determined to be
needed immediately by the child and the child's family.
    (c) The evaluation and assessment are completed within the time
period required in Sec. 303.322(e).

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1436(c))
    Note: This section is intended to accomplish two specific purposes:
(1) To facilitate the provision of services in the event that a child
has obvious immediate needs that are identified, even at the time of
referral (e.g., a physician recommends that a child with cerebral palsy
begin receiving physical therapy as soon as possible), and (2) to ensure
that the requirements for the timely evaluation and assessment are not
circumvented.

Sec. 303.346  Responsibility and accountability.

    Each agency or person who has a direct role in the provision of
early intervention services is responsible for making a good faith
effort to assist each eligible child in achieving the outcomes in the
child's IFSP. However, part C of the Act does not require that any
agency or person be held accountable if an eligible child does not
achieve the growth projected in the child's IFSP.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1436)

                    Personnel Training and Standards

Sec. 303.360  Comprehensive system of personnel development.

    (a) Each system must include a comprehensive system of personnel
development.
    (b) The personnel development system under this part must--
    (1) Be consistent with the comprehensive system of personnel
development required under part B of the Act (34 CFR 300.380 through
300.387);
    (2) Provide for preservice and inservice training to be conducted on
an interdisciplinary basis, to the extent appropriate;
    (3) Provide for the training of a variety of personnel needed to
meet the requirements of this part, including public and private
providers, primary referral sources, paraprofessionals, and persons who
will serve as service coordinators; and
    (4) Ensure that the training provided relates specifically to--
    (i) Understanding the basic components of early intervention
services available in the State;
    (ii) Meeting the interrelated social or emotional, health,
developmental, and educational needs of eligible children under this
part; and
    (iii) Assisting families in enhancing the development of their
children, and in participating fully in the development and
implementation of IFSPs.
    (c) A personnel development system under this part may include--
    (1) Implementing innovative strategies and activities for the
recruitment and retention of early intervention service providers;
    (2) Promoting the preparation of early intervention providers who
are fully and appropriately qualified to provide early intervention
services under this part;
    (3) Training personnel to work in rural and inner-city areas; and

[[Page 199]]

    (4) Training personnel to coordinate transition services for infants
and toddlers with disabilities from an early intervention program under
this part to a preschool program under part B of the Act or to other
preschool or other appropriate services.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(8))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

Sec. 303.361  Personnel standards.

    (a) As used in this part--
    (1) Appropriate professional requirements in the State means entry
level requirements that--
    (i) Are based on the highest requirements in the State applicable to
the profession or discipline in which a person is providing early
intervention services; and
    (ii) Establish suitable qualifications for personnel providing early
intervention services under this part to eligible children and their
families who are served by State, local, and private agencies.
    (2) Highest requirements in the State applicable to a specific
profession or discipline means the highest entry-level academic degree
needed for any State approved or recognized certification, licensing,
registration, or other comparable requirements that apply to that
profession or discipline.
    (3) Profession or discipline means a specific occupational category
that--
    (i) Provides early intervention services to children eligible under
this part and their families;
    (ii) Has been established or designated by the State; and
    (iii) Has a required scope of responsibility and degree of
supervision.
    (4) State approved or recognized certification, licensing,
registration, or other comparable requirements means the requirements
that a State legislature either has enacted or has authorized a State
agency to promulgate through rules to establish the entry-level
standards for employment in a specific profession or discipline in that
State.
    (b)(1) Each statewide system must have policies and procedures
relating to the establishment and maintenance of standards to ensure
that personnel necessary to carry out the purposes of this part are
appropriately and adequately prepared and trained.
    (2) The policies and procedures required in paragraph (b)(1) of this
section must provide for the establishment and maintenance of standards
that are consistent with any State-approved or State-recognized
certification, licensing, registration, or other comparable requirements
that apply to the profession or discipline in which a person is
providing early intervention services.
    (c) To the extent that a State's standards for a profession or
discipline, including standards for temporary or emergency
certification, are not based on the highest requirements in the State
applicable to a specific profession or discipline, the State's
application for assistance under this part must include the steps the
State is taking, the procedures for notifying public agencies and
personnel of those steps, and the timelines it has established for the
retraining or hiring of personnel that meet appropriate professional
requirements in the State.
    (d)(1) In meeting the requirements in paragraphs (b) and (c) of this
section, a determination must be made about the status of personnel
standards in the State. That determination must be based on current
information that accurately describes, for each profession or discipline
in which personnel are providing early intervention services, whether
the applicable standards are consistent with the highest requirements in
the State for that profession or discipline.
    (2) The information required in paragraph (d)(1) of this section
must be on file in the lead agency, and available to the public.
    (e) In identifying the ``highest requirements in the State'' for
purposes of this section, the requirements of all State statutes and the
rules of all State agencies applicable to serving children eligible
under this part and their families must be considered.
    (f) A State may allow paraprofessionals and assistants who are
appropriately trained and supervised, in accordance with State law,
regulations,

[[Page 200]]

or written policy, to assist in the provision of early intervention
services to eligible children under this part.
    (g) In implementing this section, a State may adopt a policy that
includes making ongoing good-faith efforts to recruit and hire
appropriately and adequately trained personnel to provide early
intervention services to eligible children, including, in a geographic
area of the State where there is a shortage of personnel that meet these
qualifications, the most qualified individuals available who are making
satisfactory progress toward completing applicable course work necessary
to meet the standards described in paragraph (b)(2) of this section,
consistent with State law, within 3 years.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(9))
    Note: This section requires that a State use its own existing
highest requirements to determine the standards appropriate to personnel
who provide early intervention services under this part. The regulations
do not require States to set any specified training standard, such as a
master's degree, for employment of personnel who provide services under
this part.
    The regulations permit each State to determine the specific
occupational categories required to provide early intervention services
to children eligible under this part and their families, and to revise
or expand these categories as needed. The professions or disciplines
need not be limited to traditional occupational categories.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18295, Apr. 14, 1998]

                    Subpart E--Procedural Safeguards

Sec. 303.400  General responsibility of lead agency for
procedural safeguards.

                                 General

    Each lead agency shall be responsible for--
    (a) Establishing or adopting procedural safeguards that meet the
requirements of this subpart; and
    (b) Ensuring effective implementation of the safeguards by each
public agency in the State that is involved in the provision of early
intervention services under this part.

(Authority: 20 U.S.C. 1439)

Sec. 303.401  Definitions of consent, native language, and
personally identifiable information.

    As used in this subpart--
    (a) Consent means that--
    (1) 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;
    (2) 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; and
    (3) The parent understands that the granting of consent is voluntary
on the part of the parent and may be revoked at any time;
    (b) 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;
    (c) Personally identifiable means that information includes--
    (1) The name of the child, the child's parent, or other family
member;
    (2) The address of the child;
    (3) A personal identifier, such as the child's or parent's social
security number; or
    (4) A list of personal characteristics or other information that
would make it possible to identify the child with reasonable certainty.

(Authority: 20 U.S.C. 1439)

Sec. 303.402  Opportunity to examine records.

    In accordance with the confidentiality procedures in the regulations
under part B of the Act (34 CFR 300.560 through 300.576), the parents of
a child eligible under this part must be afforded the opportunity to
inspect and review records relating to evaluations and assessments,
eligibility determinations, development and implementation of IFSPs,
individual complaints dealing with the child, and any other area under
this part involving records about the child and the child's family.

(Authority: 20 U.S.C. 1439(a)(4))

[[Page 201]]

Sec. 303.403  Prior notice; native language.

    (a) General. Written prior notice must be 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
identification, evaluation, or placement of the child, or the provision
of appropriate early intervention services to the child and the child's
family.
    (b) Content of notice. The notice must be in sufficient detail to
inform the parents about--
    (1) The action that is being proposed or refused;
    (2) The reasons for taking the action;
    (3) All procedural safeguards that are available under
Secs. 303.401-303.460 of this part; and
    (4) The State complaint procedures under Secs. 303.510-303.512,
including a description of how to file a complaint and the timelines
under those procedures.
    (c) Native language. (1) The notice must be--
    (i) Written in language understandable to the general public; and
    (ii) Provided in the native language of the parents, unless it is
clearly not feasible to do so.
    (2) If the native language or other mode of communication of the
parent is not a written language, the public agency, or designated
service provider, shall take steps to ensure that--
    (i) The notice is translated orally or by other means to the parent
in the parent's native language or other mode of communication;
    (ii) The parent understands the notice; and
    (iii) There is written evidence that the requirements of this
paragraph have been met.
    (3) If a parent is deaf or blind, 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).

(Authority: 20 U.S.C. 1439(a)(6) and (7))

[58 FR 40959, July 30, 1993, as amended at 64 FR 12536, Mar. 12, 1999]

Sec. 303.404  Parent consent.

    (a) Written parental consent must be obtained before--
    (1) Conducting the initial evaluation and assessment of a child
under Sec. 303.322; and
    (2) Initiating the provision of early intervention services (see
Sec. 303.342(e)).
    (b) If consent is not given, the public agency shall make reasonable
efforts to ensure that the parent--
    (1) Is fully aware of the nature of the evaluation and assessment or
the services that would be available; and
    (2) Understands that the child will not be able to receive the
evaluation and assessment or services unless consent is given.

(Authority: 20 U.S.C. 1439)
    Note 1: In addition to the consent requirements in this section,
other consent requirements are included in (1) Sec. 303.460(a),
regarding the exchange of personally identifiable information among
agencies, and (2) the confidentiality provisions in the regulations
under part B of the Act (34 CFR 300.571) and 34 CFR part 99 (Family
Educational Rights and Privacy), both of which apply to this part.
    Note 2: Under Sec. 300.504(b) of the part B regulations, a public
agency may initiate procedures to challenge a parent's refusal to
consent to the initial evaluation of the parent's child and, if
successful, obtain the evaluation. This provision applies to eligible
children under this part, since the part B evaluation requirement
applies to all children with disabilities in a State, including infants
and toddlers.

Sec. 303.405  Parent right to decline service.

    The parents of a child eligible under this part may determine
whether they, their child, or other family members will accept or
decline any early intervention service under this part in accordance
with State law, and may decline such a service after first accepting it,
without jeopardizing other early intervention services under this part.

(Authority: 20 U.S.C. 1439(a)(3))

Sec. 303.406  Surrogate parents.

    (a) General. Each lead agency shall ensure that the rights of
children eligible under this part are protected if--
    (1) No parent (as defined in Sec. 303.18) can be identified;
    (2) The public agency, after reasonable efforts, cannot discover the
whereabouts of a parent; or
    (3) The child is a ward of the State under the laws of that State.

[[Page 202]]

    (b) Duty of lead agency and other public agencies. The duty of the
lead agency, or other public agency under paragraph (a) of this section,
includes the assignment of an individual to act as a surrogate for the
parent. This must include a method for--
    (1) Determining whether a child needs a surrogate parent; and
    (2) Assigning a surrogate parent to the child.
    (c) Criteria for selecting surrogates. (1) The lead agency or other
public agency may select a surrogate parent in any way permitted under
State law.
    (2) Public agencies shall ensure that a person selected as a
surrogate parent--
    (i) Has no interest that conflicts with the interests of the child
he or she represents; and
    (ii) Has knowledge and skills that ensure adequate representation of
the child.
    (d) Non-employee requirement; compensation. (1) A person assigned as
a surrogate parent may not be--
    (i) An employee of any State agency; or
    (ii) A person or an employee of a person providing early
intervention services to the child or to any family member of the child.
    (2) A person who otherwise qualifies to be a surrogate parent under
paragraph (d)(1) of this section is not an employee solely because he or
she is paid by a public agency to serve as a surrogate parent.
    (e) Responsibilities. A surrogate parent may represent a child in
all matters related to--
    (1) The evaluation and assessment of the child;
    (2) Development and implementation of the child's IFSPs, including
annual evaluations and periodic reviews;
    (3) The ongoing provision of early intervention services to the
child; and
    (4) Any other rights established under this part.

(Authority: 20 U.S.C. 1439(a)(5))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

      Mediation and Due Process Procedures for Parents and Children

Sec. 303.419  Mediation.

    (a) General. Each State shall ensure that procedures are established
and implemented to allow parties to disputes involving any matter
described in Sec. 303.403(a) to resolve the disputes through a mediation
process which, at a minimum, must be available whenever a hearing is
requested under Sec. 303.420. The lead agency may either use the
mediation system established under Part B of the Act or establish its
own system.
    (b) Requirements. The procedures must meet the following
requirements:
    (1) The procedures must ensure that the mediation process--
    (i) Is voluntary on the part of the parties;
    (ii) Is not used to deny or delay a parent's right to a due process
hearing under Sec. 303.420, or to deny any other rights afforded under
Part C of the Act; and
    (iii) Is conducted by a qualified and impartial mediator who is
trained in effective mediation techniques.
    (2) The State 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.
    (3) The State shall bear the cost of the mediation process,
including the costs of meetings described in paragraph (c) of this
section.
    (4) Each session in the mediation process must be scheduled in a
timely manner and must be held in a location that is convenient to the
parties to the dispute.
    (5) An agreement reached by the parties to the dispute in the
mediation process must be set forth in a written mediation agreement.
    (6) Discussions that occur during the mediation process must be
confidential and may not be used as evidence in any subsequent due
process hearings or civil proceedings, and the parties to the mediation
process may be required to sign a confidentiality pledge prior to the
commencement of the process.

[[Page 203]]

    (c) Meeting to encourage mediation. A State 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--
    (1) 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
    (2) Who would explain the benefits of the mediation process and
encourage the parents to use the process.

(Authority: 20 U.S.C. 1415(e) and 1439(a)(8))

[63 FR 18296, Apr. 14, 1998]

Sec. 303.420  Due process procedures.

    Each system must include written procedures including procedures for
mediation as described in Sec. 303.419, for the timely administrative
resolution of individual child complaints by parents concerning any of
the matters in Sec. 303.403(a). A State may meet this requirement by--
    (a) Adopting the mediation and due process procedures in 34 CFR
300.506 through 300.512 and developing procedures that meet the
requirements of Sec. 303.425; or
    (b) Developing procedures that--
    (1) Meet the requirements in Sec. 303.419 and Secs. 303.421 through
303.425; and
    (2) Provide parents a means of filing a complaint.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1439(a)(1))
    Note 1: Sections 303.420 through 303.425 are concerned with the
adoption of impartial procedures for resolving individual child
complaints (i.e., complaints that generally affect only a single child
or the child's family). These procedures require the appointment of a
decision-maker who is impartial, as defined in Sec. 303.421(b), to
resolve a dispute concerning any of the matters in Sec. 303.403(a). The
decision of the impartial decision-maker is binding unless it is
reversed on appeal.
    A different type of administrative procedure is included in
Secs. 303.510 through 303.512 of subpart F of this part. Under those
procedures, the lead agency is responsible for (1) investigating any
complaint that it receives (including individual child complaints and
those that are systemic in nature), and (2) resolving the complaint if
the agency determines that a violation has occurred.
    Note 2: It is important that the administrative procedures developed
by a State be designed to result in speedy resolution of complaints. An
infant's or toddler's development is so rapid that undue delay could be
potentially harmful.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

Sec. 303.421  Appointment of an impartial person.

    (a) Qualifications and duties. An impartial person must be appointed
to implement the complaint resolution process in this subpart. The
person must--
    (1) Have knowledge about the provisions of this part and the needs
of, and services available for, eligible children and their families;
and
    (2) Perform the following duties:
    (i) Listen to the presentation of relevant viewpoints about the
complaint, examine all information relevant to the issues, and seek to
reach a timely resolution of the complaint.
    (ii) Provide a record of the proceedings, including a written
decision.
    (b) Definition of impartial. (1) As used in this section, impartial
means that the person appointed to implement the complaint resolution
process--
    (i) Is not an employee of any agency or other entity involved in the
provision of early intervention services or care of the child; and
    (ii) Does not have a personal or professional interest that would
conflict with his or her objectivity in implementing the process.
    (2) A person who otherwise qualifies under paragraph (b)(1) of this
section is not an employee of an agency solely because the person is
paid by the agency to implement the complaint resolution process.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1439(a)(1))

Sec. 303.422  Parent rights in administrative proceedings.

    (a) General. Each lead agency shall ensure that the parents of
children eligible under this part are afforded the rights in paragraph
(b) of this section

[[Page 204]]

in any administrative proceedings carried out under Sec. 303.420.
    (b) Rights. Any parent involved in an administrative proceeding has
the right to--
    (1) Be accompanied and advised by counsel and by individuals with
special knowledge or training with respect to early intervention
services for children eligible under this part;
    (2) Present evidence and confront, cross-examine, and compel the
attendance of witnesses;
    (3) Prohibit the introduction of any evidence at the proceeding that
has not been disclosed to the parent at least five days before the
proceeding;
    (4) Obtain a written or electronic verbatim transcription of the
proceeding; and
    (5) Obtain written findings of fact and decisions.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1439)

Sec. 303.423  Convenience of proceedings; timelines.

    (a) Any proceeding for implementing the complaint resolution process
in this subpart must be carried out at a time and place that is
reasonably convenient to the parents.
    (b) Each lead agency shall ensure that, not later than 30 days after
the receipt of a parent's complaint, the impartial proceeding required
under this subpart is completed and a written decision mailed to each of
the parties.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1439(a)(1))
    Note: Under part B of the Act, States are allowed 45 days to conduct
an impartial due process hearing (i.e., within 45 days after the receipt
of a request for a hearing, a decision is reached and a copy of the
decision is mailed to each of the parties). (See 34 CFR 300.512.) Thus,
if a State, in meeting the requirements of Sec. 303.420, elects to adopt
the due process procedures under part B, that State would also have 45
days for hearings. However, any State in that situation is encouraged
(but not required) to accelerate the timeline for the due process
hearing for children who are eligible under this part--from 45 days to
the 30-day timeline in this section. Because the needs of children in
the birth-through-two-age range change so rapidly, quick resolution of
complaints is important.

Sec. 303.424  Civil action.

    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.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1439(a)(1))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

Sec. 303.425  Status of a child during proceedings.

    (a) 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.
    (b) If the complaint involves an application for initial services
under this part, the child must receive those services that are not in
dispute.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1439(a)(7))

                             Confidentiality

Sec. 303.460  Confidentiality of information.

    (a) Each State shall adopt or develop policies and procedures that
the State will follow in order to ensure the protection of any
personally identifiable information collected, used, or maintained under
this part, including the right of parents to written notice of and
written consent to the exchange of this information among agencies
consistent with Federal and State law.
    (b) These policies and procedures must meet the requirements in 34
CFR 300.560 through 300.576, with the modifications specified in
Sec. 303.5(b).

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1439(a)(2), 1442)
    Note: With the modifications referred to in paragraph (b) of this
section, the confidentiality requirements in the regulations
implementing part B of the Act (34 CFR 300.560 through 300.576) are to
be used by public agencies to meet the confidentiality requirements
under part C of the Act and this section (Sec. 303.460).

[[Page 205]]

    The part B provisions incorporate by reference the regulations in 34
CFR part 99 (Family Educational Rights and Privacy); therefore, those
regulations also apply to this part.

                     Subpart F--State Administration

Sec. 303.500  Lead agency establishment or designation.

                                 General


    Each system must include a single line of responsibility in a lead
agency that--
    (a) Is established or designated by the Governor; and
    (b) Is responsible for the administration of the system, in
accordance with the requirements of this part.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(10))

Sec. 303.501  Supervision and monitoring of programs.

    (a) General. Each lead agency is responsible for--
    (1) The general administration and supervision of programs and
activities receiving assistance under this part; and
    (2) The monitoring of programs and activities used by the State to
carry out this part, whether or not these programs or activities are
receiving assistance under this part, to ensure that the State complies
with this part.
    (b) Methods of administering programs. In meeting the requirement in
paragraph (a) of this section, the lead agency shall adopt and use
proper methods of administering each program, including--
    (1) Monitoring agencies, institutions, and organizations used by the
State to carry out this part;
    (2) Enforcing any obligations imposed on those agencies under part C
of the Act and these regulations;
    (3) Providing technical assistance, if necessary, to those agencies,
institutions, and organizations; and
    (4) Correcting deficiencies that are identified through monitoring.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(10)(A))

             Lead Agency Procedures for Resolving Complaints

Sec. 303.510  Adopting complaint procedures.

    (a) General. Each lead agency shall adopt written procedures for--
    (1) Resolving any complaint, including a complaint filed by an
organization or individual from another State, that any public agency or
private service provider is violating a requirement of Part C of the Act
or this Part by--
    (i) Providing for the filing of a complaint with the lead agency;
and
    (ii) At the lead agency's discretion, providing for the filing of a
complaint with a public agency and the right to have the lead agency
review the public agency's decision on the complaint; and
    (2) Widely disseminating to parents and other interested
individuals, including parent training centers, protection and advocacy
agencies, independent living centers, and other appropriate entities,
the State's procedures under Secs. 303.510-303.512.
    (b) Remedies for denial of appropriate services. In resolving a
complaint in which it finds a failure to provide appropriate services, a
lead agency, pursuant to its general supervisory authority under Part C
of the Act, must address:
    (1) How to remediate the denial of those services, including, as
appropriate, the awarding of monetary reimbursement or other corrective
action appropriate to the needs of the child and the child's family; and
    (2) Appropriate future provision of services for all infants and
toddlers with disabilities and their families.

(Authority: 20 U.S.C. 1435(a)(10))

[64 FR 12536, Mar. 12, 1999]

Sec. 303.511  An organization or individual may file a complaint.

    (a) General. An individual or organization may file a written signed
complaint under Sec. 303.510. The complaint must include--
    (1) A statement that the State has violated a requirement of part C
of the Act or the regulations in this part; and
    (2) The facts on which the complaint is based.

[[Page 206]]

    (b) Limitations. 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--
    (1) The alleged violation continues for that child or other
children; or
    (2) 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.


(Authority: 20 U.S.C. 1435(a)(10))

[64 FR 12536, Mar. 12, 1999]

Sec. 303.512  Minimum State complaint procedures.

    (a) Time limit, minimum procedures. Each lead agency shall include
in its complaint procedures a time limit of 60 calendar days after a
complaint is filed under Sec. 303.510(a) to--
    (1) Carry out an independent on-site investigation, if the lead
agency determines that such an investigation is necessary;
    (2) Give the complainant the opportunity to submit additional
information, either orally or in writing, about the allegations in the
complaint;
    (3) Review all relevant information and make an independent
determination as to whether the public agency is violating a requirement
of Part C of the Act or of this Part; and
    (4) Issue a written decision to the complainant that addresses each
allegation in the complaint and contains--
    (i) Findings of fact and conclusions; and
    (ii) The reasons for the lead agency's final decision.
    (b) Time extension; final decisions; implementation. The lead
agency's procedures described in paragraph (a) of this section also
must--
    (1) Permit an extension of the time limit under paragraph (a) of
this section only if exceptional circumstances exist with respect to a
particular complaint; and
    (2) Include procedures for effective implementation of the lead
agency's final decision, if needed, including--
    (i) Technical assistance activities;
    (ii) Negotiations; and
    (iii) Corrective actions to achieve compliance.
    (c) Complaints filed under this section, and due process hearings
under Sec. 303.420. (1) If a written complaint is received that is also
the subject of a due process hearing under Sec. 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.
    (2) 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--
    (i) The hearing decision is binding; and
    (ii) The lead agency must inform the complainant to that effect.
    (3) 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.

(Authority: 20 U.S.C. 1435(a)(10))

[64 FR 12536, Mar. 12, 1999]

         Policies and Procedures Related to Financial Matters

 Sec. 303.520  Policies related to payment for services.

    (a) General. Each lead agency is responsible for establishing State
policies related to how services to children eligible under this part
and their families will be paid for under the State's early intervention
program. The policies must--
    (1) Meet the requirements in paragraph (b) of this section; and
    (2) Be reflected in the interagency agreements required in
Sec. 303.523.
    (b) Specific funding policies. A State's policies must--
    (1) Specify which functions and services will be provided at no cost
to all parents;
    (2) Specify which functions or services, if any, will be subject to
a system of payments, and include--

[[Page 207]]

    (i) Information about the payment system and schedule of sliding
fees that will be used; and
    (ii) The basis and amount of payments; and
    (3) Include an assurance that--
    (i) Fees will not be charged for the services that a child is
otherwise entitled to receive at no cost to parents; and
    (ii) The inability of the parents of an eligible child to pay for
services will not result in the denial of services to the child or the
child's family; and
    (4) Set out any fees that will be charged for early intervention
services and the basis for those fees.
    (c) Procedures to ensure the timely provision of services. No later
than the beginning of the fifth year of a State's participation under
this part, the State shall implement a mechanism to ensure that no
services that a child is entitled to receive are delayed or denied
because of disputes between agencies regarding financial or other
responsibilities.
    (d) Proceeds from public or private insurance. (1) Proceeds from
public or private insurance are not treated as program income for
purposes of 34 CFR 80.25.
    (2) If a public agency spends reimbursements from Federal funds
(e.g., Medicaid) for services under this part, those funds are not
considered State or local funds for purposes of the provisions contained
in Sec. 303.124.

(Authority: 20 U.S.C. 1432(4)(B), 1435(a)(10))

[58 FR 40959, July 30, 1993, as amended at 64 FR 12536, Mar. 12, 1999]

Sec. 303.521  Fees.

    (a) General. A State may establish, consistent with
Sec. 303.12(a)(3)(iv), a system of payments for early intervention
services, including a schedule of sliding fees.
    (b) Functions not subject to fees. The following are required
functions that must be carried out at public expense by a State, and for
which no fees may be charged to parents:
    (1) Implementing the child find requirements in Sec. 303.321.
    (2) Evaluation and assessment, as included in Sec. 303.322, and
including the functions related to evaluation and assessment in
Sec. 303.12.
    (3) Service coordination, as included in Secs. 303.22 and
303.344(g).
    (4) Administrative and coordinative activities related to--
    (i) The development, review, and evaluation of IFSPs in
Secs. 303.340 through 303.346; and
    (ii) Implementation of the procedural safeguards in subpart E of
this part and the other components of the statewide system of early
intervention services in subparts D and F of this part.
    (c) States with mandates to serve children from birth. If a State
has in effect a State law requiring the provision of a free appropriate
public education to children with disabilities from birth, the State may
not charge parents for any services (e.g., physical or occupational
therapy) required under that law that are provided to children eligible
under this part and their families.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1432(4))

Sec. 303.522  Identification and coordination of resources.

    (a) Each lead agency is responsible for--
    (1) The identification and coordination of all available resources
for early intervention services within the State, including those from
Federal, State, local, and private sources; and
    (2) Updating the information on the funding sources in paragraph
(a)(1) of this section, if a legislative or policy change is made under
any of those sources.
    (b) The Federal funding sources in paragraph (a)(1) of this section
include--
    (1) Title V of the Social Security Act (relating to Maternal and
Child Health);
    (2) Title XIX of the Social Security Act (relating to the general
Medicaid Program, and EPSDT);
    (3) The Head Start Act;
    (4) Parts B and H of the Act;
    (5) The Developmental Disabilities Assistance and Bill of Rights Act
(Pub. L. 94-103); and

[[Page 208]]

    (6) Other Federal programs.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(10)(B))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

Sec. 303.523  Interagency agreements.

    (a) General. Each lead agency is responsible for entering into
formal interagency agreements with other State-level agencies involved
in the State's early intervention program. Each agreement must meet the
requirements in paragraphs (b) through (d) of this section.
    (b) Financial responsibility. Each agreement must define the
financial responsibility, in accordance with Sec. 303.143, of the agency
for paying for early intervention services (consistent with State law
and the requirements of this part).
    (c) Procedures for resolving disputes. (1) Each agreement must
include procedures for achieving a timely resolution of intra-agency and
interagency disputes about payments for a given service, or disputes
about other matters related to the State's early intervention program.
Those procedures must include a mechanism for making a final
determination that is binding upon the agencies involved.
    (2) The agreement with each agency must--
    (i) Permit the agency to resolve its own internal disputes (based on
the agency's procedures that are included in the agreement), so long as
the agency acts in a timely manner; and
    (ii) Include the process that the lead agency will follow in
achieving resolution of intra-agency disputes, if a given agency is
unable to resolve its own internal disputes in a timely manner.
    (d) Additional components. Each agreement must include any
additional components necessary to ensure effective cooperation and
coordination among all agencies involved in the State's early
intervention program.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(10)(C) and (a)(10)(F))
    Note: A State may meet the requirement in paragraph (c)(1) of this
section in any way permitted under State law, including (1) providing
for a third party (e.g., an administrative law judge) to review a
dispute and render a decision, (2) assignment of the responsibility by
the Governor to the lead agency or Council, or (3) having the final
decision made directly by the Governor.

Sec. 303.524  Resolution of disputes.

    (a) Each lead agency is responsible for resolving individual
disputes, in accordance with the procedures in Sec. 303.523(c)(2)(ii).
    (b)(1) During a dispute, the individual or entity responsible for
assigning financial responsibility among appropriate agencies under
Sec. 303.143 (``financial designee'') shall assign financial
responsibility to--
    (i) An agency, subject to the provisions in paragraph (b)(2) of this
section; or
    (ii) The lead agency, in accordance with the ``payor of last
resort'' provisions in Sec. 303.527.
    (2) If, during the lead agency's resolution of the dispute, the
financial designee determines that the assignment of financial
responsibility under paragraph (b)(1)(i) of this section was
inappropriately made--
    (i) The financial designee shall reassign the responsibility to the
appropriate agency; and
    (ii) The lead agency shall make arrangements for reimbursement of
any expenditures incurred by the agency originally assigned
responsibility.
    (c) To the extent necessary to ensure compliance with its action in
paragraph (b)(2) of this section, the lead agency shall--
    (1) Refer the dispute to the Council or the Governor; and
    (2) Implement the procedures to ensure the delivery of services in a
timely manner in accordance with Sec. 303.525.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(10)(C) and (a)(10)(E))

Sec. 303.525  Delivery of services in a timely manner.

    Each lead agency is responsible for the development of procedures to
ensure that services are provided to eligible children and their
families in a timely manner, pending the resolution

[[Page 209]]

of disputes among public agencies or service providers.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(10)(D))

Sec. 303.526  Policy for contracting or otherwise arranging for services.

    Each system must include a policy pertaining to contracting or
making other arrangements with public or private service providers to
provide early intervention services. The policy must include--
    (a) A requirement that all early intervention services must meet
State standards and be consistent with the provisions of this part;
    (b) 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
    (c) The basic requirements that must be met by any individual or
organization seeking to provide these services for the lead agency.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(11))
    Note: In implementing the statewide system, States may elect to
continue using agencies and individuals in both the public and private
sectors that have previously been involved in providing early
intervention services, so long as those agencies and individuals meet
the requirements of this part.

Sec. 303.527  Payor of last resort.

    (a) Nonsubstitution of funds. Except as provided in paragraph (b)(1)
of this section, funds under this part may not be used to satisfy a
financial commitment for services that would otherwise have been paid
for from another public or private source, including any medical program
administered by the Secretary of Defense, but for the enactment of part
C of the Act. Therefore, funds under this part may be used only for
early intervention services that an eligible child needs but is not
currently entitled to under any other Federal, State, local, or private
source.
    (b) Interim payments--reimbursement. (1) If necessary to prevent a
delay in the timely provision of services to an eligible child or the
child's family, funds under this part may be used to pay the provider of
services, pending reimbursement from the agency or entity that has
ultimate responsibility for the payment.
    (2) Payments under paragraph (b)(1) of this section may be made
for--
    (i) Early intervention services, as described in Sec. 303.12;
    (ii) Eligible health services (see Sec. 303.13); and
    (iii) Other functions and services authorized under this part,
including child find and evaluation and assessment.
    (3) The provisions of paragraph (b)(1) of this section do not apply
to medical services or ``well-baby'' health care (see
Sec. 303.13(c)(1)).
    (c) Non-reduction of benefits. Nothing in this part may be construed
to permit a State to reduce medical or other assistance available or to
alter eligibility under title V of the Social Security Act (SSA)
(relating to maternal and child health) or title XIX of the SSA
(relating to Medicaid for children eligible under this part) within the
State.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1440)
    Note: The Congress intended that the enactment of part C not be
construed as a license to any agency (including the lead agency and
other agencies in the State) to withdraw funding for services that
currently are or would be made available to eligible children but for
the existence of the program under this part. Thus, the Congress
intended that other funding sources would continue, and that there would
be greater coordination among agencies regarding the payment of costs.
    The Congress further clarified its intent concerning payments under
Medicaid by including in section 411(k)(13) of the Medicare Catastrophic
Coverage Act of 1988 (Pub. L. 100-360) an amendment to title XIX of the
Social Security Act. That amendment states, in effect, that nothing in
this title shall be construed as prohibiting or restricting, or
authorizing the Secretary of Health and Human Services to prohibit or
restrict, payment under subsection (a) of section 1903 of the Social
Security Act for medical assistance for covered services furnished to an
infant or toddler with a disability because those services are included
in the child's IFSP adopted pursuant to part C of the Act.

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

[[Page 210]]

Sec. 303.528  Reimbursement procedure.

    Each system must include a procedure for securing the timely
reimbursement of funds used under this part, in accordance with
Sec. 303.527(b).

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(12))

                         Reporting Requirements

Sec. 303.540  Data collection.

    (a) Each system must include the procedures that the State uses to
compile data on the statewide system. The procedures must--
    (1) Include a process for--
    (i) Collecting data from various agencies and service providers in
the State;
    (ii) Making use of appropriate sampling methods, if sampling is
permitted; and
    (iii) Describing the sampling methods used, if reporting to the
Secretary; and
    (2) Provide for reporting data required under section 618 of the Act
that relates to this part.
    (b) The information required in paragraph (a)(2) of this section
must be provided at the time and in the manner specified by the
Secretary.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1435(a)(14))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

                  Use of Funds for State Administration

Sec. 303.560  Use of funds by the lead agency.

    A lead agency may use funds under this part that are reasonable and
necessary for administering the State's early intervention program for
infants and toddlers with disabilities.

(Authority: 20 U.S.C. 1433, 1435(a)(10))

            Subpart G--State Interagency Coordinating Council

Sec. 303.600  Establishment of Council.

                                 General


    (a) A State that desires to receive financial assistance under this
part shall establish a State Interagency Coordinating Council.
    (b) The Council must be appointed by the Governor. The Governor
shall ensure that the membership of the Council reasonably represents
the population of the State.
    (c) The Governor shall designate a member of the Council to serve as
the chairperson of the Council or require the Council to do so. Any
member of the Council who is a representative of the lead agency
designated under Sec. 303.500 may not serve as the chairperson of the
Council.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1441(a))
    Note: To avoid a potential conflict of interest, it is recommended
that parent representatives who are selected to serve on the Council not
be employees of any agency involved in providing early intervention
services.
    It is suggested that consideration be given to maintaining an
appropriate balance between the urban and rural communities of the
State.

Sec. 303.601  Composition.

    (a) The Council must be composed as follows:
    (1)(i) At least 20 percent of the members must be parents, including
minority parents, of infants or toddlers with disabilities or children
with disabilities aged 12 or younger, with knowledge of, or experience
with, programs for infants and toddlers with disabilities.
    (ii) At least one member must be a parent of an infant or toddler
with a disability or a child with a disability aged six or younger.
    (2) At least 20 percent of the members must be public or private
providers of early intervention services.
    (3) At least one member must be from the State legislature.
    (4) At least one member must be involved in personnel preparation.
    (5) At least one member must--
    (i) Be from each of the State agencies involved in the provisions
of, or payment for, early intervention services to infants and toddlers
with disabilities and their families; and

[[Page 211]]

    (ii) Have sufficient authority to engage in policy planning and
implementation on behalf of these agencies.
    (6) At least one member must--
    (i) Be from the State educational agency responsible for preschool
services to children with disabilities; and
    (ii) Have sufficient authority to engage in policy planning and
implementation on behalf of that agency.
    (7) At least one member must be from the agency responsible for the
State governance of health insurance.
    (8) At least one member must be from a Head Start agency or program
in the State.
    (9) At least one member must be from a State agency responsible for
child care.
    (b) The Council may include other members selected by the Governor,
including a representative from the BIA or, where there is no school
operated or funded by the BIA, from the Indian Health Service or the
tribe or tribal council.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1441(b))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

Sec. 303.602  Use of funds by the Council.

    (a) General. Subject to the approval of the Governor, the Council
may use funds under this part--
    (1) To conduct hearings and forums;
    (2) To reimburse members of the Council for reasonable and necessary
expenses for attending Council meetings and performing Council duties
(including child care for parent representatives);
    (3) To pay compensation to a member of the Council if the member is
not employed or must forfeit wages from other employment when performing
official Council business;
    (4) To hire staff; and
    (5) To obtain the services of professional, technical, and clerical
personnel, as may be necessary to carry out the performance of its
functions under this part.
    (b) Compensation and expenses of Council members. Except as provided
in paragraph (a) of this section, Council members shall serve without
compensation from funds available under this part.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1438, 1441 (c) and (d))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

Sec. 303.603  Meetings.

    (a) The Council shall meet at least quarterly and in such places as
it deems necessary.
    (b) The meetings must--
    (1) Be publicly announced sufficiently in advance of the dates they
are to be held to ensure that all interested parties have an opportunity
to attend; and
    (2) To the extent appropriate, be open and accessible to the general
public.
    (c) Interpreters for persons who are deaf and other necessary
services must be provided at Council meetings, both for Council members
and participants. The Council may use funds under this part to pay for
those services.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1441 (c) and (d))

Sec. 303.604  Conflict of interest.

    No member of the Council may cast a vote on any matter that would
provide direct financial benefit to that member or otherwise give the
appearance of a conflict of interest.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1441(f))

                        Functions of the Council
Sec. 303.650  General.

    (a) Each Council shall--
    (1) Advise and assist the lead agency in the development and
implementation of the policies that constitute the statewide system;
    (2) Assist the lead agency in achieving the full participation,
coordination, and cooperation of all appropriate public agencies in the
State;
    (3) Assist the lead agency in the effective implementation of the
statewide system, by establishing a process that includes--

[[Page 212]]

    (i) Seeking information from service providers, service
coordinators, parents, and others about any Federal, State, or local
policies that impede timely service delivery; and
    (ii) Taking steps to ensure that any policy problems identified
under paragraph (a)(3)(i) of this section are resolved; and
    (4) To the extent appropriate, assist the lead agency in the
resolution of disputes.
    (b) Each Council may advise and assist the lead agency and the State
educational agency regarding the provision of appropriate services for
children aged birth to five, inclusive.
    (c) Each 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.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1441(e)(1)(A) and (e)(2))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

Sec. 303.651  Advising and assisting the lead agency in
its administrative duties.

    Each Council shall advise and assist the lead agency in the--
    (a) Identification of sources of fiscal and other support for
services for early intervention programs under this part;
    (b) Assignment of financial responsibility to the appropriate
agency; and
    (c) Promotion of the interagency agreements under Sec. 303.523.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1441(e)(1)(A))

Sec. 303.652  Applications.

    Each Council shall advise and assist the lead agency in the
preparation of applications under this part and amendments to those
applications.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1441(e)(1)(B))

Sec. 303.653  Transitional services.

    Each Council shall advise and assist the State educational agency
regarding the transition of toddlers with disabilities to services
provided under part B of the Act, to preschool and other appropriate
services.

(Approved by the Office of Management and Budget under control number
1820-0578)

(Authority: 20 U.S.C. 1441(e)(1)(C))

[58 FR 40959, July 30, 1993, as amended at 63 FR 18296, Apr. 14, 1998]

Sec. 303.654  Annual report to the Secretary.

    (a) Each Council shall--
    (1) Prepare an annual report to the Governor and to the Secretary on
the status of early intervention programs operated within the State for
children eligible under this part and their families; and
    (2) Submit the report to the Secretary by a date that the Secretary
establishes.
    (b) Each annual report must contain the information required by the
Secretary for the year for which the report is made.

(Approved by the Office of Management and Budget under control number
1820-0550)

(Authority: 20 U.S.C. 1441(e)(1)(D))