Chapter 5123-10

5123-10-01 Early intervention program - procedural safeguards.

(A) Purpose

This rule sets forth the procedural safeguards in the early intervention program, including the provisions of parental consent and notice; retention, confidentiality, access to, and amendment of records; and dispute resolution.

(B) Definitions

For the purposes of this rule, the following definitions shall apply:

(1) "Complainant" means an organization or individual, including an organization or individual from another state. "Complainant" does not include a parent.

(2) "Consent" means that a parent:

(a) Has been informed of the information relevant to the activity for which consent is sought, in the parent's native language;

(b) Agrees in writing to the carrying out of the activity for which the parent's consent is sought; and

(c) Understands that the granting of consent is voluntary on the part of the parent and may be revoked at any time and that if the parent revokes consent, revocation is not retroactive.

(3) "Department" means the Ohio department of developmental disabilities.

(4) "Early intervention program" means Ohio's statewide system that provides coordinated services to parents of infants and toddlers with delays or disabilities in accordance with part C.

(5) "Early intervention records" means all records regarding a child that are collected, maintained, or used under part C.

(6) "Early intervention service coordinator" means a person who holds an early intervention service coordinator credential or an early intervention service coordination supervisor credential issued in accordance with rule 5123-10-04 of the Administrative Code and assists and enables an infant or toddler with a developmental delay or disability and the child's family to receive the services and rights, including procedural safeguards, required under part C.

(7) "Early intervention service provider" means an entity that, or an individual who, provides early intervention services under part C, and may include, where appropriate, the department and a public agency responsible for providing early intervention services under part C.

(8) "Early intervention services" means developmental services described in appendix A to rule 5123-10-02 of the Administrative Code, selected in collaboration with a parent of a child birth through age two who is eligible for services under part C, and designed to meet the developmental needs of the child and the needs of the child's family to assist appropriately in the child's development as identified in the individualized family service plan.

(9) "Individualized family service plan" means the written plan for providing early intervention services to an eligible child and the child's family.

(10) "Native language" means the language or mode of communication normally used by a child or a parent of the child.

(11) "Parent" means a biological or adoptive parent of a child, a guardian, a foster parent or person acting in place of a biological or adoptive parent with whom the child lives, or an appointed surrogate parent, consistent with 34 C.F.R. 303.27, as in effect on the effective date of this rule.

(12) "Part C" means part C of the Individuals with Disabilities Education Act, 20 U.S.C. 1431 through 1445, as in effect on the effective date of this rule, and 34 C.F.R. part 303, as in effect on the effective date of this rule.

(13) "Participating agency" means any individual, agency, entity, or institution that collects, maintains, or uses personally identifiable information to implement the requirements in part C with respect to a particular child. A participating agency includes the lead agency, early intervention service providers, and any individual or entity that provides any part C services (including service coordination, evaluations and assessments, and other part C services), but does not include primary referral sources or public agencies (such as the Ohio department of medicaid) or private entities (such as private insurance companies) that act solely as funding sources for part C services.

(14) "Personally identifiable information" includes, but is not limited to:

(a) A child's name;

(b) The name of a child's parent or other family member;

(c) The address of a child or the child's family;

(d) A personal identifier, such as a child's social security number;

(e) An indirect identifier, such as a child's date of birth, place of birth, or mother's maiden name;

(f) Information that, alone or in combination, is linked or linkable to a specific child that would allow a reasonable person, who does not have personal knowledge of the relevant circumstances, to identify the child with reasonable certainty; or

(g) Information requested by a person who the early intervention service provider reasonably believes knows the identity of the child to whom the early intervention record relates.

(C) Parent's consent and withdrawal of consent

(1) An early intervention service provider shall ensure that a parent's consent is obtained before:

(a) Administering developmental screening procedures that are used to determine whether a child is suspected of having a developmental delay or disability using form EI-01 ("Prior Written Notice and Consent for Developmental Screening," July 2019);

(b) Conducting an evaluation or assessment of a child using form EI-02 ("Prior Written Notice and Consent for Developmental Evaluation and Assessment," July 2019);

(c) Conducting a family assessment using form EI-03 ("Prior Written Notice and Consent for the Family-Directed Assessment," July 2019);

(d) Providing early intervention services to a child or the child's family using form EI-04 ("Individualized Family Service Plan," July 2019);

(e) Using private insurance of a child or the child's parent using form EI-05 ("Consent to Use Insurance for Early Intervention Services," July 2019); or

(f) Disclosing personally identifiable information to anyone other than authorized representatives, officials, or employees collecting, maintaining, or using the information for purposes of early intervention services using form EI-06 ("Consent for Release of Records and Consent for Release and/or Exchange of Information," July 2019), form EI-07 ("Consents for Transition," July 2019), or form EI-08 ("Consent to Refer Child to the Local Educational Agency and the Ohio Department of Education," July 2019).

(2) If a parent does not give consent for an evaluation or assessment described in paragraph (C)(1)(b) of this rule, an early intervention service provider shall make reasonable efforts to ensure that the parent:

(a) Is fully aware of the nature of the evaluation or assessment of the child and early intervention services that might be available; and

(b) Understands that the child will not be able to receive the evaluation, assessment, or early intervention services unless consent is given.

(3) The parent of a child may:

(a) Consent to or withdraw consent for early intervention services at any time; and

(b) Withdraw consent for some early intervention services after giving consent, without jeopardizing other early intervention services.

(4) An early intervention service provider or participating agency shall not use the due process hearing procedures described in paragraph (L) of this rule to challenge a parent's refusal to provide consent.

(D) Prior written notice

(1) An early intervention service provider shall give prior written notice to a parent at least ten calendar days before proposing or refusing to initiate or change the identification, evaluation, or placement of a child, or providing early intervention services to the child and that child's family. A parent may waive the right to the ten-day prior notice.

(2) Prior written notice shall:

(a) Be sufficient to inform the parent about:

(i) The action that is being proposed or refused;

(ii) The reasons for taking the action; and

(iii) The procedural safeguards set forth in paragraphs (I), (J), (K), and (L) of this rule;

(b) Be written in language understandable to the public; and

(c) Be provided in the native language of the parent or other mode of communication used by the parent, unless it is clearly not feasible to do so.

(d) Be provided on the prescribed form, that is:

(i) For developmental screening of a child, form EI-01 ("Prior Written Notice and Consent for Developmental Screening," July 2019);

(ii) For child evaluation and/or assessment, form EI-02 ("Prior Written Notice and Consent for Developmental Evaluation and Assessment," July 2019);

(iii) For a child determined to be not eligible for early intervention, form EI-09 ("Prior Written Notice of Determination of Ineligibility," July 2019);

(iv) When exiting a child in accordance with paragraph (P)(2) of rule 5123-10-02 of the Administrative Code, form EI-10 ("Prior Written Notice of Exiting," July 2019); and

(v) For the provision of early intervention services including any proposed placement, form EI-11 ("Prior Written Notice for Proposed Change to Services," July 2019).

(3) If the native language or other mode of communication used by a parent is not a written language, an early intervention service provider shall take steps to ensure that:

(a) The notice is translated orally or by other means to the parent in the parent's native language or other mode of communication;

(b) The parent understands the notice; and

(c) There is written documentation that the requirements of paragraph (D) of this rule have been met.

(E) Retention of early intervention records

(1) An early intervention service provider:

(a) Shall retain a child's early intervention records until the child's ninth birthday;

(b) Shall inform the parent in writing, upon entry of the child to the early intervention program, when the child's personally identifiable information will be destroyed; and

(c) May retain records longer than specified in paragraph (E)(1)(a) of this rule unless the parent requests destruction of personally identifiable information following the mandated retention period.

(2) The department may retain a permanent record of a child's name, date of birth, parent contact information, names of early intervention service coordinators and early intervention service providers, and exit data (including year and age of the child upon exit, and any programs entered into upon exiting) without time limitation.

(F) Confidentiality of personally identifiable information in early intervention records

(1) An early intervention service provider shall ensure the confidentiality of personally identifiable information within a child's early intervention records and:

(a) Appoint an employee to assume the responsibility for maintaining the confidentiality of any personally identifiable information;

(b) Successfully complete department-approved training regarding this rule; and

(c) Maintain, for public inspection, a current listing of the names and positions of those employees who may have access to personally identifiable information.

(2) An early intervention service provider shall obtain a parent's consent before disclosing personally identifiable information to:

(a) Anyone other than authorized representatives, officials, or employees of any participating agency in the early intervention program collecting, maintaining, or using the information under part C; or used for any purpose other than meeting a requirement under part C using form EI-06 ("Consent for Release of Records and Consent for Release and/or Exchange of Information," July 2019); and

(b) The local educational agency to identify all children potentially eligible for services under part B of the Individuals with Disabilities Education Act using form EI-07 ("Consents for Transition," July 2019).

(G) Access to early intervention records

(1) An early intervention service provider shall:

(a) Permit the parent of a child who is referred to or receives early intervention services to inspect and review any early intervention records relating to his or her child that are collected, maintained, or used by the early intervention service provider.

(b) Comply with a parent's request to inspect and review early intervention records within no more than ten calendar days after the request is made. It shall be presumed that the parent has authority to inspect and review early intervention records relating to his or her child unless the early intervention service provider has been provided documentation that the parent does not have the authority under applicable state laws governing such matters as custody, foster care, guardianship, separation, and divorce.

(c) Permit a parent to inspect and review early intervention records relating to his or her child unless the early intervention service provider has documentation that the parent does not have the authority.

(d) Provide a parent, upon request, a list of the types and locations of early intervention records collected, maintained, or used by the early intervention service provider.

(e) Not charge a fee to search for or to retrieve information or early intervention records requested in accordance with this rule.

(f) Provide at no cost to a parent, either an electronic or paper copy of the evaluation or assessment of the child, the family-directed assessment, and the individualized family service plan within ten calendar days after each individualized family service plan meeting.

(g) Have the option to charge a fee for copies of early intervention records that are made for the parent if the fee does not effectively prevent the parent from exercising his or her right to inspect and review those records.

(h) Keep a record of parties obtaining access to early intervention records collected, maintained, or used under part C (except access by a parent, an authorized representative of a parent, or a participating agency) including:

(i) The name of the party;

(ii) The date access was given; and

(iii) The purpose for which the party is authorized to use the early intervention records.

(2) A parent's right to inspect and review early intervention records includes:

(a) The right to a response from the early intervention service provider to reasonable requests for explanations and interpretations of the early intervention records;

(b) The right to request copies of the early intervention records if the parent is unable to otherwise inspect or review the records;

(c) The right to have a representative of the parent inspect and review the early intervention services records; and

(d) The right to inspect and review only the information relating to the parent's child.

(H) Amendments to early intervention records

(1) A parent, who believes that information in the early intervention records of his or her child is inaccurate, misleading, or violates the privacy or other rights of the child or parent, may request verbally or in writing that the early intervention service provider that maintains the early intervention records amend the information.

(2) The early intervention service provider shall decide whether to amend the information in accordance with the request within a reasonable period of time of receipt of the request.

(3) If the early intervention service provider refuses to amend the early intervention records, the early intervention service provider must inform the parent of the refusal and advise the parent of the parent's right to a due process hearing pursuant to the procedures set forth in paragraph (L) of this rule.

(a) The early intervention service provider shall, upon request, provide the parent with the opportunity for a due process hearing in accordance with paragraph (L) of this rule to challenge information in the child's early intervention records to ensure that it is not inaccurate, misleading, or in violation of the privacy and other rights of the child or parent.

(b) If, as a result of the due process hearing, it is determined that the information is inaccurate, misleading, or in violation of the privacy or other rights of the child or parent, the early intervention service provider shall amend the information accordingly and so inform the parent in writing.

(c) If, as a result of the due process hearing, it is determined that the information is not inaccurate, misleading, or in violation of the privacy or other rights of the child or parent, the early intervention service provider shall inform the parent of the parent's right to place in the early intervention records of his or her child, a statement commenting on the information or setting forth any reasons for disagreeing with the decision. Any explanation placed in the early intervention records of the child in accordance with this paragraph shall:

(i) Be maintained by the early intervention service provider as part of the early intervention records of the child as long as the early intervention records or contested portion is maintained; and

(ii) Be disclosed as part of the early intervention records of the child if the early intervention service provider discloses the early intervention records of the child to any party.

(I) Dispute resolution

(1) Disputes regarding an alleged violation of part C may be resolved informally at the local level.

(2) When resolution at the local level is not achieved or preferred, a complainant or parent may file a complaint with the department.

(3) A complaint filed with the department shall:

(a) Be in writing;

(b) Be filed within one year after the alleged violation that is the subject of the complaint; and

(c) Include:

(i) A statement that an early intervention service provider violated a requirement of part C;

(ii) The facts on which the statement is based;

(iii) The signature of and contact information for the complainant or the parent; and

(iv) If alleging violations with respect to a specific child:

(a) The name and address of the residence of the child;

(b) The name of the early intervention service provider serving the child;

(c) A description of the nature of the problem, including facts relating to the problem; and

(d) A proposed resolution of the problem to the extent known and available to the complainant or parent at the time the complaint is filed.

(4) The complainant or parent shall forward a copy of the complaint to the early intervention service provider serving the child at the same time the complaint is filed with the department.

(5) During the pendency of any proceeding involving a complaint, unless the department and the parent of a child otherwise agree, the child shall continue to receive the early intervention services that were agreed to in the individualized family service plan.

(6) If the complaint involves an application for initial early intervention services, the child shall receive those services that are not in dispute.

(7) After a parent has filed a complaint with the department, the parent may request that the department investigate the complaint pursuant to paragraph (J) of this rule, may request to mediate the complaint pursuant to paragraph (K) of this rule, or may choose to proceed with a due process hearing pursuant to paragraph (L) of this rule.

(8) After a complainant has filed a complaint with the department, the department shall investigate the complaint pursuant to paragraph (J) of this rule.

(J) Investigation of a complaint

(1) Within sixty calendar days after the complaint is filed and the complainant or parent has requested that the department investigate the complaint, the department shall:

(a) Carry out an independent on-site investigation, if the department determines that an on-site investigation is necessary;

(b) Give the complainant or parent the opportunity to submit additional information, either orally or in writing, about the allegations in the complaint;

(c) Respond or provide the early intervention service provider with an opportunity to respond to the complaint, including:

(i) At the department's discretion, a proposal to resolve the complaint; and

(ii) An opportunity for the parent who filed a complaint and the department or the early intervention service provider, to voluntarily engage in mediation, consistent with paragraph (K) of this rule;

(d) Review all relevant information and make an independent determination as to whether the department or the early intervention service provider is violating a requirement under part C; and

(e) Issue a final written decision to the complainant or parent that addresses each allegation in the complaint and that contains findings of fact, conclusions, the reasons for the department's final written decision, and the procedures, if needed, for the effective implementation of the department's final written decision, including:

(i) Technical assistance activities;

(ii) Negotiations; and

(iii) Corrective actions to achieve compliance.

(2) In resolving a complaint in which the department has found a failure to provide appropriate early intervention services, the department shall address:

(a) The failure to provide appropriate early intervention services, including corrective actions appropriate to address the needs of the child whose services are the subject of the complaint and the child's family; and

(b) Appropriate future provision of early intervention services for all eligible children and their families.

(3) If a parent disagrees with the department's final written decision issued pursuant to paragraph (J)(1)(e) of this rule, the parent may request to mediate the dispute pursuant to paragraph (K) of this rule or the parent may choose to proceed with the due process hearing procedures pursuant to paragraph (L) of this rule.

(4) The department may grant an extension of the time line specified in paragraph (J)(1) of this rule only if:

(a) Exceptional circumstances exist with respect to a particular complaint; or

(b) The parent and the department or early intervention service provider involved agree to extend the time to engage in mediation pursuant to paragraph (K) of this rule.

(5) If a written complaint is received that is also the subject of a due process hearing under paragraph (L) of this rule, or contains multiple issues of which one or more are part of the due process hearing, the department shall set aside any part of the complaint that is being addressed in that hearing until the conclusion of the hearing. Any issue in the complaint that is not a part of the due process hearing shall be resolved in accordance with the time lines and procedures described in paragraphs (J)(1) and (J)(4) of this rule.

(6) If an issue raised in a complaint has previously been decided in a due process hearing involving the same parties:

(a) The due process hearing decision is binding on that issue; and

(b) The department shall inform the parent to that effect.

(7) The department shall resolve a complaint alleging the failure of the department or the early intervention service provider to implement a due process hearing decision.

(K) Mediation process

(1) A parent may file a complaint with the department and may then choose to resolve the dispute through the mediation process at any time.

(2) The mediation process:

(a) Is voluntary on the part of the parties;

(b) Shall not be used to deny or delay a parent's right to a due process hearing, or to deny any other rights afforded under part C; and

(c) Shall be conducted by a qualified and impartial mediator who is trained in effective mediation techniques.

(3) The department shall:

(a) Select mediators on an impartial basis;

(b) Bear the cost of the mediation process;

(c) Schedule each mediation session in a timely manner; and

(d) Hold each mediation session in a location that is convenient to the parties to the dispute.

(4) A person who serves as a mediator shall not:

(a) Be an employee of the department;

(b) Be an early intervention service provider that is involved in the provision of early intervention services or other services to the child; or

(c) Have a personal or professional interest that conflicts with the person's objectivity.

(5) If the parties resolve a dispute through the mediation process, the parties shall execute a legally binding agreement that sets forth the resolution and:

(a) States that all discussions that occurred during the mediation process will remain confidential and may not be used as evidence in any subsequent due process hearing or civil proceeding; and

(b) Is signed by both the parent and a representative of the department.

(6) If the parties do not resolve the dispute through the mediation process, the parties may request the department to conduct an investigation pursuant to paragraph (J) of this rule or the parent may choose to proceed with the due process hearing procedures pursuant to paragraph (L) of this rule.

(L) Due process hearing procedures

(1) A parent filing a complaint with the department alleging that an early intervention service provider violated a requirement of part C related to the identification, evaluation, or placement of his or her child, or the provision of early intervention services to the child and his or her family under part C, may choose to resolve the dispute through the due process hearing procedures.

(2) The department shall appoint an impartial due process hearing officer to implement the complaint resolution process. The hearing officer shall:

(a) Have knowledge about the provisions of part C and the needs of, and early intervention services available to, children and their families;

(b) Listen to the presentation of relevant viewpoints about the complaint;

(c) Examine all information relevant to the issues;

(d) Seek to reach a timely resolution of the complaint;

(e) Provide a written decision within thirty calendar days after the receipt of the parent's complaint; and

(f) Grant specific extensions of the time lines set forth in paragraphs (L)(2)(e) and (L)(3)(a) of this rule at the request of either party.

(3) A parent involved in a due process hearing has the right to:

(a) A completed due process hearing and a written decision mailed to each of the parties within thirty calendar days after the receipt of the parent's complaint;

(b) A due process hearing that is conducted at a time and place that is convenient to the parent;

(c) Be accompanied and advised by counsel and by persons with special knowledge or training with respect to early intervention services, the cost of which shall be borne by the parent;

(d) Present evidence and confront, cross-examine, and compel the attendance of witnesses through subpoenas issued by the department;

(e) Prohibit the introduction of any evidence at the due process hearing that has not been disclosed to the parent at least five calendar days before the hearing;

(f) Obtain a written or electronic transcription of the due process hearing at no cost; and

(g) Receive a written copy of the findings of fact and decision at no cost.

(4) Any party to the due process hearing that disagrees with the findings and decision issued pursuant to the due process hearing procedures:

(a) May no longer attempt to resolve the dispute through an investigation pursuant to paragraph (J) of this rule or mediation pursuant to paragraph (K) of this rule; and

(b) Has the right to bring a civil action in state or federal court under section 639(a)(1) of the Individuals with Disabilities Education Act, as in effect on the effective date of this rule.

Replaces: part of 5123:2-10-01


Effective: 7/1/2019
Five Year Review (FYR) Dates: 07/01/2024
Promulgated Under: 119.03
Statutory Authority: 5123.04, 5123.0421
Rule Amplifies: 5123.04, 5123.0421
Prior effective dates: 8/1/17

5123-10-02 Early intervention program - eligibility and services.

(A) Purpose

This rule sets forth the early intervention program requirements for eligibility, developmental screening, evaluation, assessment, individualized family service plan meetings and content, transition to preschool and other programs, service coordination, early intervention records, and exiting and transferring from the early intervention program.

(B) Definitions

For the purposes of this rule, the following definitions shall apply:

(1) "Assessment" means the ongoing procedures used by qualified personnel or an early intervention service coordinator on a multidisciplinary team to identify a child's unique strengths and needs, and the early intervention services appropriate to meet those needs throughout the period of the child's eligibility. It also refers to the family-directed assessment as completed by qualified personnel to identify the family's resources, priorities, and concerns.

(2) "Consent" means that a parent:

(a) Has been informed of the information relevant to the activity for which consent is sought, in the parent's native language;

(b) Agrees in writing to the carrying out of the activity for which the parent's consent is sought; and

(c) Understands that the granting of consent is voluntary on the part of the parent and may be revoked at any time and that if the parent revokes consent, revocation is not retroactive.

(3) "Department" means the Ohio department of developmental disabilities.

(4) "Developmental delay" means that a child has not reached developmental milestones expected for his or her chronological age as measured by qualified personnel using appropriate diagnostic instruments and/or procedures.

(5) "Developmental screening" means activities carried out by, or under the supervision of, an early intervention service provider to identify, at the earliest possible age, children suspected of having a developmental delay or disability.

(6) "Duration" means projecting when a given service will no longer be provided (such as when a child is expected to achieve the outcomes in his or her individualized family service plan or until a child turns three years of age).

(7) "Early intervention program" means Ohio's statewide system that provides coordinated services to parents of infants and toddlers with delays or disabilities in accordance with part C.

(8) "Early intervention records" means all records regarding a child that are collected, maintained, or used under part C.

(9) "Early intervention service coordinator" means a person who holds an early intervention service coordinator credential or an early intervention service coordination supervisor credential issued in accordance with rule 5123-10-04 of the Administrative Code and assists and enables an infant or toddler with a developmental delay or disability and the child's family to receive the services and rights, including procedural safeguards, required under part C.

(10) "Early intervention service provider" means an entity that, or an individual who, provides early intervention services under part C, and may include, where appropriate, the department and a public agency responsible for providing early intervention services under part C.

(11) "Early intervention services" means developmental services described in appendix A to this rule, selected in collaboration with a parent of a child birth through age two who is eligible for services under part C, and designed to meet the developmental needs of the child and the needs of the child's family to assist appropriately in the child's development as identified in the individualized family service plan.

(12) "Evaluation" means the procedures used by qualified personnel on a multidisciplinary team to determine a child's eligibility for early intervention services. At least one of the qualified personnel shall be trained to administer the department-approved evaluation tool utilized.

(13) "Frequency" means the number of days or sessions that an early intervention service will be provided.

(14) "Individualized family service plan" means the written plan for providing early intervention services to an eligible child and the child's family.

(a) "Initial individualized family service plan" means the first ever individualized family service plan developed by a team for a child that must be completed within forty-five calendar days of the program referral.

(b) "Annual individualized family service plan" means the individualized family service plan written once per year, no later than the anniversary of the initial individualized family service plan.

(c) "Periodic review" means a review of an individualized family service plan that takes place any time between an initial individualized family service plan and an annual individualized family service plan or between two annual individualized family service plans, but no later than six months after the most recent individualized family service plan. A periodic review occurs any time there is a need to change service delivery or outcomes, the family requests a review, or a child transfers from one county to another before the annual individualized family service plan is due.

(15) "Informed clinical opinion" means the process used by qualified personnel in the evaluation and assessment process to make a recommendation as to initial and continuing eligibility for services under part C and as a basis for planning services to meet child and family needs. Informed clinical opinion makes use of qualitative and quantitative information to assist in forming a determination regarding difficult-to-measure aspects of current developmental status and the potential need for early intervention.

(16) "Initial assessment" means the assessment of a child and the family-directed assessment conducted prior to the child's initial individualized family service plan meeting.

(17) "Initial evaluation" means the evaluation of a child to determine his or her initial eligibility for early intervention services.

(18) "Intensity" means whether the early intervention service is provided on an individual or group basis.

(19) "Length" means the length of time the early intervention service is provided during each session of that service (such as an hour or other specified time period).

(20) "Method" means how an early intervention service is provided.

(21) "Multidisciplinary" means the involvement of qualified personnel representing two or more separate disciplines or professions and with respect to:

(a) Evaluation and assessment of a child, which may include one individual who is qualified in more than one discipline or profession; and

(b) The individualized family service plan team, which shall include the child's parent and two or more individuals from separate disciplines or professions, one of whom shall be an early intervention service coordinator.

(22) "Native language" means the language or mode of communication normally used by a child or a parent of the child.

(23) "Natural environment" means settings that are natural or typical for a same-aged child without a developmental delay or disability, including the home or community settings.

(24) "Parent" means a biological or adoptive parent of a child, a guardian, a foster parent or person acting in place of a biological parent or adoptive parent with whom the child lives, or an appointed surrogate parent, consistent with 34 C.F.R. 303.27, as in effect on the effective date of this rule.

(25) "Part B" means part B of the Individuals with Disabilities Education Act, 20 U.S.C. 1411 through 1419, as in effect on the effective date of this rule, and 34 C.F.R. parts 300 and 301, as in effect on the effective date of this rule.

(26) "Part C" means part C of the Individuals with Disabilities Education Act, 20 U.S.C. 1431 through 1445, as in effect on the effective date of this rule, and 34 C.F.R. part 303, as in effect on the effective date of this rule.

(27) "Participating agency" means any individual, agency, entity, or institution that collects, maintains, or uses personally identifiable information to implement the requirements in part C with respect to a particular child. A participating agency includes the lead agency, early intervention service providers, and any individual or entity that provides any part C services (including service coordination, evaluations and assessments, and other part C services), but does not include primary referral sources or public agencies (such as the Ohio department of medicaid) or private entities (such as private insurance companies) that act solely as funding sources for part C services.

(28) "Prior written notice" means the written notification provided to a parent at least ten calendar days before proposing or refusing to initiate or change the identification, evaluation, or placement of a child, or the provision of early intervention services to a child and that child's family, consistent with paragraph (D) of rule 5123-10-01 of the Administrative Code. A parent may waive the right to the ten-day prior notice.

(29) "Qualified personnel" means personnel described in appendix B to this rule.

(C) Eligibility for early intervention services

(1) The following children are eligible for early intervention services under part C:

(a) Children who have a documented diagnosed physical or mental condition with a high probability of resulting in a developmental delay, as listed in appendix C to this rule.

(i) The early intervention service coordinator shall ensure that documentation of the qualifying diagnosed condition is requested and obtained.

(ii) Children for whom documentation of the qualifying diagnosed condition is not obtained by the early intervention service coordinator shall be offered an evaluation in accordance with the timelines set forth in paragraph (D) of this rule and the procedures set forth in paragraphs (F) and (G) of this rule to determine eligibility to receive early intervention services.

(b) Children who have a documented diagnosed physical or mental condition which is not listed in appendix C to this rule.

(i) The early intervention service coordinator shall ensure that documentation of the diagnosed condition which is determined to have a high probability of resulting in a developmental delay or disability is requested, obtained, and documented on form EI-12 ("Documentation of Diagnosed Condition," July 2019). The form shall be filled out completely and signed by a professional licensed to diagnose and treat mental or physical conditions for the child to be eligible to receive early intervention services.

(ii) Children for whom documentation of the diagnosed condition on completed form EI-12 ("Documentation of Diagnosed Condition," July 2019) is not obtained by the early intervention service coordinator shall be offered an evaluation in accordance with the timelines set forth in paragraph (D) of this rule and the procedures set forth in paragraphs (F) and (G) of this rule to determine eligibility for early intervention services.

(iii) Children who are determined to be eligible in accordance with paragraph (C)(1)(b) of this rule shall have their eligibility determined annually.

(c) Children with a developmental delay of at least one and one-half standard deviations below the mean, or the equivalent determined through informed clinical opinion, in adaptive, cognitive, communication, physical, or social and emotional development, as determined and documented through an evaluation in accordance with the timelines set forth in paragraph (D) of this rule and the procedures set forth in paragraphs (F) and (G) of this rule.

(i) Children for whom the developmental evaluation tool does not indicate a developmental delay of at least one and one-half standard deviations below the mean in adaptive, cognitive, communication, physical, or social and emotional development, may be made eligible using informed clinical opinion with a written explanation of the sources of information used and how those sources of information support eligibility.

(ii) Children who are determined to be eligible in accordance with paragraph (C)(1)(c)(i) of this rule shall have their eligibility determined annually.

(d) Children who move to Ohio with an eligibility determination and/or individualized family service plan from another state or United States territory shall have their eligibility established in Ohio prior to proceeding to individualized family service plan development and implementation. Existing information and documents may be used to determine eligibility in accordance with paragraphs (C)(1)(a) to (C)(1)(c) of this rule. Except for documentation of a diagnosed physical or mental condition described in paragraph (C)(1)(a) of this rule, all information and documentation shall be dated within one hundred eighty days prior to early intervention program referral.

(2) For every child under the age of three who is referred to the early intervention program or screened in accordance with paragraphs (D) and (E) of this rule, there is no requirement to:

(a) Provide an evaluation of the child unless the child is suspected of having a developmental delay or disability or the parent requests an evaluation in accordance with paragraph (E)(2)(b) of this rule; or

(b) Make early intervention services available to the child unless a determination is made that the child is eligible in accordance with paragraph (C) of this rule.

(3) For every child who is referred to the early intervention program fewer than forty-five calendar days before that child's third birthday, there is no requirement to conduct an initial evaluation, initial assessment, or an initial individualized family service plan meeting.

(D) Timelines for developmental screening, initial evaluation, initial assessment, and initial individualized family service plan meeting

(1) Except as provided in paragraph (D)(2) of this rule, the early intervention service coordinator shall ensure any developmental screening conducted in accordance with paragraph (E) of this rule, determination of eligibility in accordance with paragraph (C) of this rule, initial evaluation and initial assessment of the child and family in accordance with paragraphs (F), (G), and (I) of this rule, and initial individualized family service plan meeting in accordance with paragraph (J) of this rule, are completed within forty-five calendar days from the date the child is referred to the early intervention program.

(2) Subject to paragraph (D)(2)(b) of this rule, the forty-five-day timeline described in paragraph (D)(1) of this rule does not apply when:

(a) The child or parent is unavailable to complete the developmental screening, initial evaluation, initial assessment of the child and family, or initial individualized family service plan meeting due to exceptional family circumstances that are documented in the child's early intervention records; or

(b) The early intervention service coordinator is unable to locate the parent to provide consent for the developmental screening, initial evaluation, or initial assessment of the child, despite documented, repeated attempts, using more than one medium when available.

(3) In the event that the circumstances described in paragraph (D)(2)(a) or (D)(2)(b) exist, the early intervention service coordinator shall ensure:

(a) Documentation in the child's early intervention records of the exceptional family circumstances or repeated attempts by the early intervention service coordinator to obtain the parent's consent; and

(b) Completion of the developmental screening, initial evaluation, initial assessment of the child and family, and initial individualized family service plan meeting as soon as possible after the documented exceptional family circumstances no longer exist or the parent's consent is obtained for the developmental screening, initial evaluation, and initial assessment of the child.

(E) Developmental screening procedures

(1) If an early intervention participating agency proposes to screen a child under the age of three who has been referred to the early intervention program to determine whether he or she is suspected of having a developmental delay or disability, the early intervention participating agency shall ensure:

(a) Prior written notice of the intent to screen the child is provided to the parent using form EI-01 ("Prior Written Notice and Consent for Developmental Screening," July 2019);

(b) The parent's consent is obtained using form EI-01 ("Prior Written Notice and Consent for Developmental Screening," July 2019) before conducting the developmental screening procedures; and

(c) Department-approved screening instruments are administered.

(2) If the developmental screening or other available information indicates that the child is:

(a) Suspected of having a developmental delay or disability, an evaluation and assessment of the child shall be conducted in accordance with paragraphs (D), (F), (G), and (I) of this rule; or

(b) Not suspected of having a developmental delay or disability, the early intervention service coordinator shall ensure that prior written notice of that determination is provided to the parent using form EI-10 ("Prior Written Notice of Exiting," July 2019). If the parent of the child requests an evaluation at any time during the developmental screening process, evaluation of the child shall be conducted in accordance with paragraphs (D), (F), and (G) of this rule, even if the early intervention service provider has determined in accordance with this paragraph, that the child is not suspected of having a developmental delay or disability.

(F) Evaluation of a child and assessment of a child and family

(1) Each child under the age of three who is referred for evaluation for early intervention services and suspected of having a developmental delay or disability shall receive:

(a) A timely, comprehensive, multidisciplinary evaluation of the child in accordance with paragraphs (D) and (G) of this rule unless eligibility is established in accordance with paragraph (C)(1)(a), (C)(1)(b), or (C)(1) (d) of this rule; and

(b) If the child is determined eligible:

(i) A multidisciplinary child assessment in accordance with paragraphs (D) and (I) of this rule; and

(ii) A family-directed assessment in accordance with paragraphs (D) and (I) of this rule.

(2) The evaluation described in paragraph (F)(1)(a) of this rule and the assessments described in paragraph (F)(1)(b) of this rule may occur simultaneously provided that the requirements in paragraphs (D) and (G) of this rule are met.

(3) An early intervention service coordinator shall ensure prior written notice is provided and the parent's consent is obtained using form EI-02 ("Prior Written Notice and Consent for Developmental Evaluation and Assessment," July 2019) prior to conducting an evaluation or assessment of the child or using form EI-03 ("Prior Written Notice and Consent for the Family-Directed Assessment," July 2019) prior to conducting a family-directed assessment in accordance with paragraphs (G) and (I) of this rule.

(4) Qualified personnel shall use informed clinical opinion when conducting an evaluation and assessment of a child.

(5) All evaluations and assessments of a child and family shall be conducted in settings and at times that are convenient for the parent.

(6) All evaluations and assessments of a child and family shall be conducted by qualified personnel, in a nondiscriminatory manner, and selected and administered so as not to be racially or culturally discriminatory.

(7) Unless clearly not feasible to do so, all evaluations and assessments of a child shall be conducted in the native language of the child.

(8) Unless clearly not feasible to do so, family-directed assessments shall be conducted in the native language of the family members being assessed.

(G) Procedures for evaluation of a child Evaluation of a child shall include:

(1) Administering a department-approved evaluation tool where at least one of the qualified personnel administering the tool has received department-approved training in administration of the tool;

(2) Reviewing the child's history through parent interview and medical, educational, or other records;

(3) Identifying the child's level of functioning in adaptive, cognitive, communication, physical (including fine and gross motor, vision, and hearing), and social and emotional developmental domains; and

(4) Gathering information from other sources such as family members, other care-givers, medical providers, social workers, and educators, as necessary, to understand the full scope of the child's unique strengths and needs.

(H) Determination that a child is not eligible

If, based on the evaluation conducted in accordance with paragraph (G) of this rule, an early intervention service provider determines that a child is not eligible to receive early intervention services, the early intervention service coordinator shall ensure that prior written notice is provided to the child's parent using form EI-09 ("Prior Written Notice of Determination of Ineligibility," July 2019).

(I) Procedures for assessment of the child and family

(1) A multidisciplinary assessment of each eligible child shall be conducted by qualified personnel in order to identify the child's unique strengths and needs and the early intervention services appropriate to meet those needs.

(2) An assessment of each child shall be conducted initially and at least annually prior to, but not more than ninety calendar days before, the annual individualized family service plan due date. An assessment may be conducted more frequently when appropriate.

(3) When an evaluation is required in accordance with paragraph (C) of this rule, the assessment of a child shall include:

(a) A review of the results of the evaluation;

(b) Personal observations of the child; and

(c) Identification of the child's level of functioning in adaptive, cognitive, communication, physical (including fine and gross motor, vision, hearing, and nutrition), and social and emotional developmental domains.

(4) When an evaluation is not required in accordance with paragraph (C) of this rule, the assessment of a child shall include:

(a) A review of the child's history through parent interview and medical, educational, or other records;

(b) Gathering information from other sources such as family members, other care-givers, medical providers, social workers, and educators, as necessary, to understand the full scope of the child's unique strengths and needs;

(c) Personal observations of the child; and

(d) Identification of the child's level of functioning in adaptive, cognitive, communication, physical (including fine and gross motor, vision, hearing, and nutrition), and social and emotional developmental domains.

(5) The early intervention service coordinator shall ensure the family is offered a family-directed assessment. A family-directed assessment shall be conducted by qualified personnel or an early intervention service coordinator in order to identify the family's resources, priorities, and concerns and the supports and services necessary to enhance the family's capacity to meet the developmental needs of the child. The family-directed assessment shall:

(a) Be voluntary on the part of each family member participating in the assessment;

(b) Be based on information obtained through a department-approved family-directed assessment tool and also through an interview with those family members who elect to participate in the assessment; and

(c) Be conducted initially and at least annually prior to, but not more than ninety calendar days before, the annual individualized family service plan due date.

(J) Individualized family service plan meetings

(1) For a child referred to the early intervention program determined to be eligible to receive early intervention services in accordance with paragraph (C) of this rule and assessed in accordance with paragraphs (F) and (I) of this rule, a meeting to develop the initial individualized family service plan shall be conducted within the forty-five-day time period described in paragraph (D)(1) of this rule.

(2) A periodic review of the individualized family service plan for a child and the child's family shall be conducted every six months, or more frequently if conditions warrant, or if the parent requests such a review.

(a) The purpose of the periodic review is to determine:

(i) The degree to which progress toward achieving the outcomes identified in the individualized family service plan is being made; and

(ii) Whether modification or revision of the outcomes or early intervention services identified in the individualized family service plan is necessary.

(b) The periodic review may be carried out by a meeting or by other means that are acceptable to the parent and other participants.

(c) Each periodic review shall provide for the participation of persons in paragraphs (J)(6)(a) to (J)(6)(d) of this rule. If conditions warrant, provisions shall be made for the participation of other representatives identified in paragraph (J)(6) of this rule. All persons participating in the periodic review may participate via technology from a remote location while maintaining the confidentiality of personally identifiable information and consistent with any participant's relevant licensure requirements.

(3) A meeting shall be conducted on at least an annual basis to evaluate and revise as appropriate, the individualized family service plan for a child and the child's family. The results of any current evaluations and other information available from the assessments of the child and family conducted in accordance with paragraphs (F), (G), and (I) of this rule shall be used in determining the early intervention services that are needed and will be provided.

(4) Individualized family service plan meetings shall be conducted:

(a) In settings and at times that are convenient for the parent; and

(b) 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.

(5) Meeting arrangements shall be made with the parent and other participants. Written notice of the meeting arrangements using form EI-13 ("Individualized Family Service Plan Meeting Notice," July 2019) shall be provided to the parent and other participants early enough to ensure they will be able to attend.

(6) Each initial and annual individualized family service plan meeting shall include:

(a) The parent of the child;

(b) Other family members, as requested by the parent, if feasible to do so;

(c) An advocate or person outside of the family, if the parent requests that the person participate;

(d) The designated early intervention service coordinator responsible for implementing the individualized family service plan;

(e) A person directly involved in conducting the evaluations and assessments described in paragraphs (F), (G), and (I) of this rule; and

(f) As appropriate, persons who will be providing early intervention services to the child or family.

(7) The parent of the child and the early intervention service coordinator shall be physically present at the initial and annual individualized family service plan meeting.

(8) If a person listed in paragraph (J)(6)(b), (J)(6)(c), or (J)(6)(f) of this rule is unable to be physically present at the initial or annual individualized family service plan meeting, the person may participate via technology from a remote location while maintaining the confidentiality of personally identifiable information and consistent with any participant's relevant licensure requirements.

(9) If a person listed in paragraph (J)(6)(e) of this rule is unable to be physically present at the initial or annual individualized family service plan meeting, arrangements shall be made for the person's involvement through other means, including:

(a) Participating via technology from a remote location while maintaining the confidentiality of personally identifiable information and consistent with any participant's relevant licensure requirements;

(b) Having a knowledgeable authorized representative attend the meeting; or

(c) Making pertinent records available at the meeting.

(K) Content of an individualized family service plan

(1) The early intervention service coordinator shall ensure that form EI-04 ("Individualized Family Service Plan," July 2019) is completed.

(2) The individualized family service plan shall include a statement of the child's present levels of physical development (including fine and gross motor, vision, hearing, nutrition, and health status), cognitive development, communication development, social and emotional development, and adaptive development, including child outcome statements, based on the information from the child's evaluation and assessments conducted in accordance with paragraphs (F), (G), and (I) of this rule.

(3) If the family agrees, the individualized family service plan shall include a statement of the family's resources, priorities, and concerns related to enhancing the development of the child as identified through the assessment of the family in accordance with paragraph (I) of this rule.

(4) The individualized family service plan shall include a statement of the measurable outcomes expected to be achieved for the child (including pre-literacy and language skills as developmentally appropriate for the child) and family, and the criteria, procedures, and timelines used to determine:

(a) The degree to which progress toward achieving the outcomes identified in the individualized family service plan is being made; and

(b) Whether modification or revision of outcomes or early intervention services identified in the individualized family service plan is necessary.

(5) The individualized family service plan shall include a statement of the specific early intervention services that are necessary to meet the unique needs of the child and the family to achieve the outcomes identified in accordance with paragraph (K)(4) of this rule, including:

(a) The length, duration, frequency, intensity, and method of delivering the early intervention services.

(b) The location where the early intervention services will be provided. A statement that each early intervention service is provided in the natural environment for that child or service, or a statement that an early intervention service will not be provided in the natural environment with an explanation as to why the early intervention service cannot be achieved in the natural environment, the steps the family, the early intervention service coordinator, and the early intervention service provider will take to move the early intervention service into the natural environment, and the projected date the early intervention service will be moved into the natural environment. The determination of the appropriate setting for providing early intervention services to an eligible child shall be:

(i) Made by the individualized family service plan team; and

(ii) Based on the child and family outcomes that are identified by the individualized family service plan team in accordance with paragraph (K)(4) of this rule.

(c) The payment arrangements. When the provider will be a department-contracted early intervention service provider, the early intervention service coordinator shall submit, within thirty calendar days of the signed individualized family service plan, form EI-04 ("Individualized Family Service Plan," July 2019), form EI-05 ("Consent to Use Insurance for Early Intervention Services," July 2019), form EI-15 ("Determination of Parent Ability to Pay for Early Intervention Services," July 2019), and form EI-16 ("Payment for Early Intervention Services," July 2019).

(6) To the extent appropriate, the individualized family service plan shall:

(a) Identify the medical and other services that the child or family needs or is receiving through other sources, but that are neither required nor funded by the early intervention program and if those services are not currently being provided, include a description of the steps the early intervention service coordinator or family will take to assist the child and family in securing those services; and

(b) Describe the steps the early intervention service coordinator will take to assist the child and family in securing the early intervention services which are identified as needed to achieve outcomes, but are not yet coordinated.

(7) The individualized family service plan shall include the projected date for the initiation of each early intervention service identified in accordance with paragraph (K)(5) of this rule, which date shall be as soon as possible after the parent consents to the service, but shall not exceed thirty calendar days, and the anticipated duration of each service.

(8) The individualized family service plan shall include the name of the early intervention service coordinator who will be responsible for ensuring the implementation of the early intervention services identified in the individualized family service plan, including transition services and coordination with other agencies and persons.

(9) The contents of the individualized family service plan shall be explained and prior written notice of the proposed services using form EI-11 ("Prior Written Notice for Proposed Change to Services," July 2019) given to the parent and the parent's written consent shall be obtained using form EI-04 ("Individualized Family Service Plan," July 2019) prior to the provision of early intervention services described in the individualized family service plan.

(10) After the parent signs the individualized family service plan, the early intervention service coordinator shall ensure that the parent, early intervention service providers, and with the parent's consent using form EI-06 ("Consent for Release of Records and Consent for Release and/or Exchange of Information," July 2019), other participants are provided with a copy of the individualized family service plan within ten calendar days.

(L) Transition to preschool and other programs

(1) Disclosure of personally identifiable information to the local educational agency and the Ohio department of education

(a) The early intervention service coordinator shall explain the role of the local educational agency in determining eligibility for preschool services under part B and ensure the parent's consent is obtained using form EI-07 ("Consents for Transition," July 2019) before the disclosure of personally identifiable information to the local educational agency and the Ohio department of education as required in accordance with paragraph (F)(2) (b) of rule 5123-10-01 of the Administrative Code either:

(i) At the individualized family service plan meeting closest to the child's second birthday; or

(ii) Whenever a child is determined eligible at or after twenty-four months of age.

(b) For a child who may be eligible for preschool services under part B and for whom the parent has given consent to share personally identifiable information using form EI-07 ("Consents for Transition," July 2019):

(i) An early intervention service provider responsible for service coordination shall notify the local education agency where the child resides at least ninety calendar days prior to the child's third birthday. The department shall make a corresponding notification to the Ohio department of education.

(ii) An early intervention service provider responsible for service coordination shall on or before, but not more than ten calendar days in advance of, the first day of February, May, August, and November of each year, identify each child turning three years of age within one year from the first day of the respective month and notify the local education agency where the child resides. The department shall make a corresponding notification to the Ohio department of education.

(c) If a child is determined eligible for early intervention services in accordance with paragraph (C) of this rule more than forty-five calendar days and fewer than ninety calendar days before the child's third birthday and the child may be eligible for preschool services under part B, as soon as possible after determining the child's eligibility, the early intervention service coordinator shall ensure the parent's consent is obtained using form EI-07 ("Consents for Transition," July 2019) before the disclosure of personally identifiable information to the local educational agency and the Ohio department of education as required in accordance with paragraph (F)(2)(b) of rule 5123-10-01 of the Administrative Code and notifying the local educational agency that the child will reach the age of eligibility for services under part B on the child's third birthday. The department shall make a corresponding notification to the Ohio department of education.

(d) If a child is referred to the early intervention program forty-five or fewer calendar days before the child's third birthday and that child may be eligible for preschool services under part B, the early intervention services central intake site and/or early intervention service coordinator shall ensure referral of the child to the local educational agency after obtaining the parent's consent using form EI-08 ("Consent to Refer Child to the Local Educational Agency and the Ohio Department of Education," July 2019). The department shall make a corresponding notification to the Ohio department of education. Under these circumstances, the early intervention program is not required to conduct an evaluation, assessment, or initial individualized family service plan meeting.

(2) Individualized family service plan transition planning

(a) Not fewer than ninety calendar days, but not more than nine months before a child's third birthday, the individualized family service plan shall include at least one transition outcome to create a plan to support a smooth transition of the child from early intervention services under part C to preschool services under part B or to other appropriate services. The early intervention service coordinator shall ensure that transition outcomes include the steps that will be taken and the services that will be provided for:

(i) Needed discussions with, and training of, the parent 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;

(iii) The identification of the transition services, steps, or activities that the individualized family service plan team determines are necessary to support the transition of the child; and

(iv) Confirmation that, with parent consent, child find information about the child, including a copy of the most recent evaluation and assessments of the child and the family and the most recent individualized family service plan, has been transmitted to the local educational agency.

(b) If a child may be eligible for preschool services under part B, after obtaining the parent's consent using form EI-07 ("Consents for Transition," July 2019), the early intervention service coordinator shall ensure that a transition planning conference is conducted during an individualized family service plan meeting in accordance with paragraphs (J)(4) to (J) (9) and (K) of this rule. The transition planning conference shall occur not fewer than ninety calendar days and not more than nine months prior to the child's third birthday and shall include the local educational agency to discuss any services the child may receive under part B.

(c) If a child is determined not to be potentially eligible for preschool services under part B, or a parent has chosen not to share personally identifiable information with the local educational agency, after obtaining the parent's consent using form EI-07 ("Consents for Transition," July 2019), the early intervention service coordinator shall ensure that a transition planning conference is conducted during an individualized family service plan meeting in accordance with paragraphs (J)(4) to (J)(9) of this rule. The transition planning conference shall occur not fewer than ninety calendar days and not more than nine months prior to the child's third birthday.

(M) Interim individualized family service plan

(1) An interim individualized family service plan may be developed on form EI-04 ("Individualized Family Service Plan," July 2019) after written notice is provided to the parent using form EI-13 ("Individualized Family Service Plan Meeting Notice," July 2019) and exceptional family circumstances make it impossible to complete the child assessment before the needed services begin.

(2) An interim individualized family service plan is available for a child who is eligible because of a diagnosed physical or mental condition listed in appendix C to this rule when:

(a) The contents of the interim individualized family service plan are explained and prior written notice of the proposed services using form EI-11 ("Prior Written Notice for Proposed Change to Services," July 2019) given to the parent and the parent's written consent is obtained using form EI-04 ("Individualized Family Service Plan," July 2019) prior to the provision of early intervention services described in the interim individualized family service plan.

(b) An interim individualized family service plan is developed that includes:

(i) The name of the service coordinator who will be responsible for implementing the interim individualized family service plan and coordinating with other agencies and persons; and

(ii) The early intervention outcomes and services that have been determined to be needed immediately by the child and the child's family.

(c) Assessments are completed within the forty-five-day timeline in accordance with paragraph (D)(1) of this rule.

(N) Service coordination

A child referred to the early intervention program and the child's family shall be provided with one early intervention service coordinator who is responsible for:

(1) Serving as the single point of contact for the child's family for carrying out the activities described in paragraphs (N)(2) to (N)(15) of this rule;

(2) Assisting the parent of the child in obtaining access to needed early intervention services and other services identified in the individualized family service plan, including making referrals to providers for needed services and scheduling appointments for the child and the child's family;

(3) Coordinating the provision of early intervention services and other services (such as educational, social, and medical services that are not provided for diagnostic or evaluation purposes) that the child needs or is being provided;

(4) Coordinating evaluations and assessments;

(5) Facilitating and participating in the development, review, and evaluation of individualized family service plans;

(6) Conducting referral and other activities to assist families in identifying available early intervention service providers;

(7) Coordinating, facilitating, and monitoring the delivery of needed early intervention services and other services identified in the individualized family service plan to ensure that the services are provided in a timely manner;

(8) Conducting follow-up activities to determine that appropriate early intervention services are being provided;

(9) Informing families of their rights and procedural safeguards as set forth in rule 5123-10-01 of the Administrative Code;

(10) Coordinating the funding sources for needed early intervention services in accordance with rule 5123-10-03 of the Administrative Code and other services identified in the individualized family service plan;

(11) Facilitating the development of a transition plan to preschool, school, or, if appropriate, other services in accordance with paragraph (L) of this rule;

(12) Coordinating the information gathering and completion of the child outcomes summary information to assess the child's development at the initial individualized family service plan meeting, annual individualized family service plan meeting, and at the time of the child's exit from the early intervention program;

(13) Providing follow-up, after obtaining the parent's consent, to a professional referral source on form EI-14 ("Professional Referral Follow-Up," July 2019) within sixty calendar days after receiving the early intervention program referral;

(14) Referring the child and the child's family to "Help Me Grow Home Visiting" and other programs in which the parent is interested and for which the child and family may be eligible after obtaining parent permission; and

(15) Documenting the performance of the activities described in paragraphs (N)(1) to (N)(14) of this rule and any other early intervention program activities.

(O) Maintaining early intervention records

(1) An early intervention service coordinator shall maintain one record for each child in the early intervention program, which includes, as applicable:

(a) Copies of required forms and all early intervention program correspondence;

(b) Early intervention service coordination case notes that document early intervention program activities in accordance with paragraph (N)(15) of this rule;

(c) Documentation of eligibility, including form EI-12 ("Documentation of Diagnosed Condition," July 2019); and

(d) All individualized family service plans on form EI-04 ("Individualized Family Service Plan," July 2019), signed by the individualized family service plan team, including the parent.

(2) Early intervention service providers, other than early intervention service coordinators, shall maintain the following records for each child in the early intervention program:

(a) Documentation of eligibility;

(b) Current individualized family service plan;

(c) Copies of relevant forms and all early intervention program correspondence; and

(d) Documentation of the early intervention services provided, including the date, length, duration, frequency, intensity, method of delivery, location, and all activities related to individualized family service plan outcomes.

(3) Within ten business days of a request by an early intervention service coordinator, an early intervention service provider shall provide a copy of a child's early intervention record.

(P) Exiting and transferring from the early intervention program

(1) The early intervention service coordinator shall exit a child from the early intervention program when:

(a) The child is deceased; or

(b) The child reached three years of age.

(2) The early intervention service coordinator shall provide prior written notice using form EI-10 ("Prior Written Notice of Exiting," July 2019) and then exit a child from the early intervention program when any one of the following occurs:

(a) The child was screened in accordance with paragraphs (D) and (E) of this rule and not suspected of having a developmental delay or disability and the parent did not request an evaluation in accordance with paragraphs (D), (F), and (G) of this rule;

(b) The parent did not provide consent required in accordance with paragraph (F) of this rule;

(c) The child was determined not to be eligible to receive early intervention services in accordance with paragraph (C) of this rule;

(d) The required re-determination of eligibility was not completed in accordance with paragraphs (C)(1)(b)(iii) and (C)(1)(c)(ii) of this rule;

(e) The annual child assessment procedures were not completed in accordance with paragraphs (D), (F), and (I) of this rule;

(f) The parent determined that the family is not in need of individualized family service plan outcomes at this time;

(g) The child's individualized family service plan outcomes were met and the child's individualized family service plan team agreed the child does not need additional outcomes;

(h) The parent terminated participation in the early intervention program;

(i) The parent could not be located, including in order to provide required consent in accordance with paragraph (P)(3) of this rule;

(j) The child moved out of the state of Ohio; or

(k) The child transitioned to part B services with an individualized education program prior to three years of age.

(3) When the early intervention service coordinator cannot locate a parent to obtain required consent, the early intervention service coordinator shall use form EI-10 ("Prior Written Notice of Exiting," July 2019) to provide prior written notice to the parent that the child will be exited if the parent does not contact the early intervention service coordinator within ten calendar days from the date of the notice.

(4) If a child in the early intervention program transfers to another Ohio county, the current early intervention service coordinator shall retain the child's original early intervention record kept in accordance with paragraph (O)(1) of this rule and provide an electronic or paper copy of the child's early intervention record to the new county within ten calendar days from the date of record request from the new county of residence. Information kept in the statewide data system shall be updated by the current early intervention service coordinator before transfer of the child's record. The receiving early intervention service coordinator shall, within forty-five calendar days of the transfer, ensure completion of:

(a) A review of existing eligibility and assessment information;

(b) Updated assessments as necessary; and

(c) A review of the individualized family service plan.

Click to view Appendix

Click to view Appendix

Click to view Appendix


Effective: 7/1/2019
Five Year Review (FYR) Dates: 07/01/2024
Promulgated Under: 119.03
Statutory Authority: 5123.04, 5123.0421
Rule Amplifies: 5123.04, 5123.0421

5123-10-03 Early intervention program - system of payments.

(A) Purpose

This rule establishes a structure to pay for activities and expenses that are reasonable and necessary for implementing Ohio's early intervention program for eligible children and their families.

(B) Definitions

For the purposes of this rule, the following definitions shall apply:

(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 an infant or toddler with a developmental delay or disability. The term does not include a medical device that is surgically implanted, including a cochlear implant, or the optimization (e.g., mapping), maintenance, or replacement of that device.

(2) "County board" means a county board of developmental disabilities.

(3) "Department" means the Ohio department of developmental disabilities.

(4) "Early intervention program" means Ohio's statewide system that provides coordinated services to parents of infants and toddlers with delays or disabilities in accordance with part C.

(5) "Early intervention service coordinator" means a person who holds an early intervention service coordinator credential or an early intervention service coordination supervisor credential issued in accordance with rule 5123-10-04 of the Administrative Code and assists and enables an infant or toddler with a developmental delay or disability and the child's family to receive the services and rights, including procedural safeguards, required under part C.

(6) "Early intervention services" means developmental services described in appendix A to rule 5123-10-02 of the Administrative Code, selected in collaboration with a parent of a child birth through age two who is eligible for services under part C, and designed to meet the developmental needs of the child and the needs of the child's family to assist appropriately in the child's development as identified in the individualized family service plan.

(7) "Extraordinary medical expenses" means non-reimbursable costs paid during the individualized family service plan year by the family of the eligible child for medically necessary care, health insurance premiums/co-payments/deductibles, and modifications to the child's home to make the home accessible when such costs constitute:

(a) At least one per cent of the family's gross income when the family's gross income is less than or equal to two hundred ten per cent of the federal poverty level;

(b) At least two per cent of the family's gross income when the family's gross income is greater than two hundred ten per cent of the federal poverty level and less than or equal to two hundred twenty per cent of the federal poverty level;

(c) At least three per cent of the family's gross income when the family's gross income is greater than two hundred twenty per cent of the federal poverty level and less than or equal to two hundred thirty per cent of the federal poverty level;

(d) At least four per cent of the family's gross income when the family's gross income is greater than two hundred thirty per cent of the federal poverty level and less than or equal to two hundred forty per cent of the federal poverty level;

(e) At least five per cent of the family's gross income when the family's gross income is greater than two hundred forty per cent of the federal poverty level and less than or equal to two hundred seventy per cent of the federal poverty level;

(f) At least six per cent of the family's gross income when the family's gross income is greater than two hundred seventy per cent of the federal poverty level and less than or equal to three hundred per cent of the federal poverty level;

(g) At least seven per cent of the family's gross income when the family's gross income is greater than three hundred per cent of the federal poverty level and less than or equal to four hundred per cent of the federal poverty level; or

(h) At least eight per cent of the family's gross income when the family's gross income is greater than four hundred per cent of the federal poverty level.

(8) "Home and community-based services medicaid waiver component" has the same meaning as in section 5166.01 of the Revised Code.

(9) "Individualized family service plan" means the written plan for providing early intervention services to an eligible child and the child's family. The fifty-five units of early intervention services per individualized family service plan year provided at no cost to an eligible child and his or her family in accordance with paragraph (C)(1)(f) of this rule shall not serve to limit the team's recommendation of needed early intervention services in the individualized family service plan.

(10) "Individualized family service plan year" means the period, not to exceed three hundred sixty-six calendar days or extend beyond the child's third birthday, beginning on the day signatures are secured on an initial or annual individualized family service plan and ending when signatures are secured on a subsequent annual individualized family service plan.

(11) "Medically necessary care" means a procedure, item, or service that prevents, diagnoses, evaluates, corrects, ameliorates, or treats an adverse health condition such as an illness, injury, disease or its symptoms, emotional or behavioral dysfunction, intellectual deficit, cognitive impairment, developmental delay, or disability and that:

(a) Meets generally accepted standards of medical practice;

(b) Is clinically appropriate in its type, frequency, extent, duration, and delivery setting;

(c) Is appropriate to the adverse health condition for which it is provided and is expected to produce the desired outcome;

(d) Is the lowest cost alternative that effectively addresses and treats the medical problem;

(e) Provides unique, essential, and appropriate information if it is used for diagnostic purposes; and

(f) Is not provided primarily for the economic benefit of the provider nor for the convenience of the provider or anyone else other than the recipient.

(12) "Parent" means a biological or adoptive parent of a child, a guardian, a foster parent or person acting in place of a biological or adoptive parent with whom the child lives, or an appointed surrogate parent, consistent with 34 C.F.R. 303.27, as in effect on the effective date of this rule.

(13) "Part C" means part C of the Individuals with Disabilities Education Act, 20 U.S.C. 1431 through 1445, as in effect on the effective date of this rule, and 34 C.F.R. part 303, as in effect on the effective date of this rule.

(14) "Payor of last resort" means the use of federal part C funds to pay for early intervention services only when all other funding sources have been exhausted. These funds may be used to prevent a delay in the timely provision of early intervention services, pending reimbursement from the agency or entity that has ultimate responsibility for the payment.

(15) "Qualified personnel" means the persons described in appendix B to rule 5123-10-02 of the Administrative Code.

(16) "Team" means the group of persons who develop the individualized family service plan and includes, at a minimum, the parent of the eligible child, other family members when requested by the parent, an advocate or other person outside of the family when requested by the parent, the early intervention service coordinator, and a person who conducted the evaluation or assessment of the child.

(17) "Unit" means either:

(a) Sixty minutes of early intervention services; or

(b) One hundred dollars expended for an assistive technology device.

(C) Provision of and payment for early intervention services

(1) The department shall ensure that the following early intervention services and functions are funded through local, state, and federal public funds and are provided at no cost to eligible children and their families:

(a) Child find;

(b) Evaluation and assessment;

(c) Service coordination;

(d) Administrative and coordinating activities related to the development, review, and evaluation of the individualized family service plan and interim individualized family service plan;

(e) Implementation of procedural safeguards in accordance with rule 5123-10-01 of the Administrative Code and paragraph (H) of this rule; and

(f) Fifty-five units of early intervention services per individualized family service plan year identified as needed in the individualized family service plan.

(2) Early intervention services, other than those listed in paragraphs (C)(1)(a) to (C)(1)(f) of this rule, may be financed through:

(a) County boards, based on a county board's strategic plan and written policy regarding early intervention services in accordance with rule 5123-4-01 of the Administrative Code;

(b) Private insurance of the child or parent, with the consent of the parent of the eligible child obtained using form EI-05 ("Consent to Use Insurance for Early Intervention Services," July 2019);

(c) Public insurance of the child or parent (e.g., medicaid or children's health insurance program), with the consent of the parent of the eligible child for disclosure of the child's personally-identifiable information to the public insurance program for billing purposes obtained using form EI-05 ("Consent to Use Insurance for Early Intervention Services," July 2019);

(d) Parent cost participation based on the determination of the parent's ability to pay using form EI-15 ("Determination of Parent Ability to Pay for Early Intervention Services," July 2019); and

(e) The department through a combination of state general revenue funds and federal part C funds, with federal part C funds being payor of last resort and approved through submission of form EI-16 ("Payment for Early Intervention Services," July 2019).

(3) When the first fifty-five units of early intervention services per individualized family service plan year are not available from or are denied by the funding sources set forth in paragraphs (C)(2)(a) to (C)(2)(c) of this rule, the department shall pay qualified personnel for early intervention services identified as needed in an individualized family service plan, regardless of the parent's ability to pay as determined in accordance with paragraph (D)(2) of this rule.

(4) When more than fifty-five units of early intervention services per individualized family service plan year are identified as needed in an individualized family service plan:

(a) A parent determined able to pay for early intervention services in accordance with paragraph (D)(2) of this rule shall be responsible for paying the cost of early intervention services.

(b) The child of a parent determined unable to pay for early intervention services in accordance with paragraph (D)(2) of this rule shall continue to receive early intervention services at public expense.

(5) Providers of early intervention services, other than county boards, shall enter into a contractual relationship with the department for provision of the services.

(D) Determination of a parent's ability to pay for early intervention services

(1) The early intervention service coordinator shall explain this rule and determine a parent's ability to pay for early intervention services using form EI-15 ("Determination of Parent Ability to Pay for Early Intervention Services," July 2019) in accordance with paragraph (D)(2) of this rule within forty-five calendar days of the referral to the early intervention program and within forty-five calendar days of each scheduled annual review of the individualized family service plan.

(2) A parent shall be determined able to pay for early intervention services unless:

(a) The parent is receiving services from the special supplemental food program for women, infants, and children, authorized by section 17 of the Child Nutrition Act of 1966, 42 U.S.C. 1786, as in effect on the effective date of this rule; or

(b) The parent or the child is receiving medicaid benefits; or

(c) The family's income is less than or equal to that required for Ohio healthy start eligibility for uninsured children (https://ohioearlyintervention.org/system-of-payments); or

(d) The family has extraordinary medical expenses as determined by the department using form EI-17 ("Extraordinary Medical Expenses Worksheet," July 2019) and form EI-18 ("Family Out of Pocket Medical Expense Tracking Sheet," July 2019) within thirty calendar days of the department's receipt of necessary supporting documentation.

(3) A parent who chooses not to share financial information needed by the early intervention service coordinator or the department to determine the parent's ability to pay shall be responsible for paying the cost of early intervention services other than the early intervention services listed in paragraphs (C)(1) (a) to (C)(1)(f) of this rule.

(4) The early intervention service coordinator shall inform the parent of the option to submit a request for redetermination of the parent's ability to pay if, after the initial determination, the parent or family meets a criterion set forth in paragraphs (D)(2)(a) to (D)(2)(d) of this rule.

(E) Parent cost participation

(1) When a parent is determined unable to pay in accordance with paragraph (D)(2) of this rule, the eligible child shall be provided all early intervention services identified as needed in the individualized family service plan, including those early intervention services that exceed fifty-five units per individualized family service plan year, at no cost to the child or family.

(2) When a parent is determined able to pay in accordance with paragraph (D)(2) of this rule, the parent shall be responsible for paying the cost of early intervention services, including private insurance co-payments and deductibles, needed to meet the outcomes in the individualized family service plan, other than the early intervention services listed in paragraphs (C)(1)(a) to (C)(1)(f) of this rule.

(3) A parent shall not be charged more than the actual cost of the early intervention services (factoring in any amount received from other sources for payment for those services).

(4) A child or parent with private insurance or public insurance shall not be charged disproportionately more than a child or parent without private insurance or public insurance.

(F) Using the private insurance of a child or parent to pay for early intervention services

(1) The early intervention program shall not use the private insurance of a child or parent to pay for early intervention services without written consent of the parent obtained using form EI-05 ("Consent to Use Insurance for Early Intervention Services," July 2019). Prior to asking a parent if he or she consents to use of private insurance, the early intervention service coordinator shall:

(a) Provide the parent with a description of Ohio's system of payments for early intervention services;

(b) Explain this rule;

(c) Explain that there are potential costs (e.g., co-payments, deductibles, premiums, or long-term costs such as the loss of benefits because of annual or lifetime health insurance coverage caps of the insurance policy) and that there may be service limits that the parent may incur when private insurance is used to pay for early intervention services; and

(d) Suggest the parent review his or her private insurance coverage and contact the insurer if he or she has questions about using private insurance to pay for early intervention services.

(2) When using the private insurance of a child or parent to pay for early intervention services, the early intervention service coordinator shall obtain parental consent using form EI-05 ("Consent to Use Insurance for Early Intervention Services," July 2019) prior to an increase in the amount, duration, or scope of early intervention services specified in the individualized family service plan.

(3) When using the private insurance of a child or parent to pay for early intervention services, the early intervention program:

(a) Shall pay the cost of co-payments and deductibles using payor of last resort funds as necessary for the first fifty-five units of early intervention services per individualized family service plan year and for additional units of early intervention services when a parent is determined unable to pay in accordance with paragraph (D)(2) of this rule; and

(b) Shall not pay the cost of private insurance premiums.

(4) When a child is covered by both private insurance and public insurance and the child's parent consents to the use of private insurance to pay for early intervention services, the use of private insurance is required prior to the use of public insurance to pay for early intervention services.

(G) Using the public insurance of a child or parent to pay for early intervention services

(1) The early intervention program shall not require a child or parent to enroll in public insurance programs as a condition of receiving early intervention services, but shall share information about the enrollment process for such programs.

(2) The early intervention program shall not enroll a child or parent in public insurance programs or use the public insurance of a child or parent to pay for early intervention services if the child or parent is not already enrolled in a public insurance program.

(3) When using the public insurance of a child or parent to pay for early intervention services, the early intervention program shall:

(a) Obtain initial, one-time parental consent for disclosure of the child's personally-identifiable information to the public insurance program for billing purposes using form EI-05 ("Consent to Use Insurance for Early Intervention Services," July 2019).

(b) Make available those early intervention services in the individualized family service plan for which the parent has provided consent.

(c) Provide written notification to the parent prior to using the public insurance of the child or parent to pay for early intervention services. The written notification shall include a statement:

(i) That after obtaining parental consent, the child's personally-identifiable information will be disclosed to the public insurance program for billing purposes.

(ii) That the parent has the right, at any time, to withdraw consent of disclosure of the child's personally-identifiable information to the public insurance program.

(iii) That the parent will not be charged co-payments, deductibles, or premiums for using public insurance.

(iv) That for children covered by both private insurance and public insurance, the use of private insurance to pay for early intervention services is required prior to the use of public insurance to pay for early intervention services. When the parent does not consent to use of private insurance, however, neither private insurance nor public insurance will be used to pay for early intervention services and the early intervention program shall make available those early intervention services in the individualized family service plan for which the parent has provided consent.

(v) That the parent will not, as a result of using public insurance for early intervention services:

(a) Have to pay for services that would otherwise be covered by the public insurance program;

(b) Incur any premiums or discontinuation of public insurance for the child or the parent;

(c) Risk loss of eligibility for the child or the parent for a home and community-based services medicaid waiver component based on aggregate health-related expenditures; or

(d) Risk decrease in available lifetime coverage or any other insured benefits.

(vi) Of the procedural safeguards set forth in paragraphs (G)(1), (G)(2), and (H) of this rule.

(H) Procedural safeguards

(1) A parent contesting the determination of the parent's ability to pay or imposition of parent cost participation shall be afforded the procedural safeguards set forth in part C and rule 5123-10-01 of the Administrative Code, including mediation, state complaint procedures, and due process hearing procedures. In addition, a parent contesting the determination of the parent's ability to pay or the imposition of parent cost participation may request an informal review by the department.

(a) The parent must submit a request for review to the department within thirty calendar days from receipt of notification of the determination of the parent's ability to pay or imposition of parent cost participation. The request must contain a statement of the reasons the parent believes the determination or imposition is incorrect or inappropriate and a proposed resolution.

(b) The department shall issue a written decision to the parent within twenty calendar days from receipt of the request for review.

(2) Early intervention services shall not be delayed or denied to an eligible child of a parent determined unable to pay for early intervention services in accordance with paragraph (D)(2) of this rule.

(3) Early intervention services shall not be delayed or denied to an eligible child due to lack of:

(a) Parental consent to use the private insurance of the child or parent to pay for early intervention services;

(b) The child's or parent's enrollment in public insurance programs; or

(c) Parental consent to share the child's personally-identifiable information with public insurance programs.

(4) Parents shall be notified of the procedural safeguards set forth in paragraphs (H) (1) to (H)(3) of this rule at the time of the determination of the parent's ability to pay in accordance with paragraph (D)(2) of this rule and prior to finalization and securing of signatures on the individualized family service plan.

Replaces: 5123:2-10-01


Effective: 7/1/2019
Five Year Review (FYR) Dates: 07/01/2024
Promulgated Under: 119.03
Statutory Authority: 5123.04, 5123.0421
Rule Amplifies: 5123.04, 5123.0421
Prior Effective Dates: 08/01/2017

5123-10-04 Early intervention program - credentials for early intervention service coordinators and early intervention service coordination supervisors.

(A) Purpose

This rule establishes minimum qualifications through credentialing standards for early intervention service coordinators and early intervention service coordination supervisors. All persons working in the early intervention program as early intervention service coordinators or early intervention service coordination supervisors shall hold the appropriate credential in accordance with this rule.

(B) Definitions

For the purposes of this rule, the following definitions shall apply:

(1) "Accredited college or university" means a college or university accredited by a national or regional association recognized by the secretary of the United States department of education or a foreign college or university of comparable standing.

(2) "Administrative supervision" means the oversight and management provided by an early intervention service coordination supervisor of the functions performed by an early intervention service coordinator (i.e., the supervisee) including:

(a) Clarification of roles;

(b) Planning and assignment of work;

(c) Review and assessment of work to ensure compliance with federal and state early intervention services requirements; and

(d) Accountability and responsibility for the supervisee's work by the early intervention service coordination supervisor.

(3) "Case management" means advocacy, communication, resource management, and promotion of high-quality services that assist eligible individuals to gain access to needed medical, social, educational, and other services.

(4) "Department" means the Ohio department of developmental disabilities.

(5) "Director" means the director of the Ohio department of developmental disabilities or his or her designee.

(6) "Early intervention program" means Ohio's statewide system that provides coordinated services to parents of infants and toddlers with delays or disabilities in accordance with part C.

(7) "Early intervention service coordination agency" means a person, agency, or other entity that employs early intervention service coordinators and/or early intervention service coordination supervisors.

(8) "Early intervention service coordination supervisor" means a person who holds an early intervention service coordination supervisor credential issued in accordance with this rule and supervises early intervention service coordinators by engaging in administrative supervision and reflective supervision.

(9) "Early intervention service coordinator" means a person who holds an early intervention service coordinator credential or an early intervention service coordination supervisor credential issued in accordance with this rule and assists and enables an infant or toddler with a developmental delay or disability and the child's family to receive the services and rights, including procedural safeguards, required under part C.

(10) "Early intervention services" means developmental services described in appendix A to rule 5123-10-02 of the Administrative Code, selected in collaboration with a parent of a child birth through age two who is eligible for services under part C, and designed to meet the developmental needs of the child and the needs of the child's family to assist appropriately in the child's development as identified in the individualized family service plan.

(11) "Part C" means part C of the Individuals with Disabilities Education Act, 20 U.S.C. 1431 through 1445, as in effect on the effective date of this rule, and 34 C.F.R. part 303, as in effect on the effective date of this rule.

(12) "Professional development" means department-approved training, courses, or seminars that enhance the knowledge, skills, and competencies of early intervention service coordinators and early intervention service coordination supervisors. Professional development shall be verified as successfully completed by the department (or, at the department's discretion, by an entity under contract with the department for the purpose of verifying completion of professional development) and shall:

(a) Be pertinent to serving infants and toddlers with disabilities and their families;

(b) Support and align with evidenced-based early intervention practices; and

(c) Be relevant to the role of the early intervention service coordinator or the early intervention service coordination supervisor, as applicable.

(13) "Reflective supervision" means the recurring and collaborative interaction between an early intervention service coordination supervisor and an early intervention service coordinator (i.e., the supervisee).

(a) Reflective supervision shall:

(i) Advance ongoing opportunities for learning to ensure high-quality early intervention services;

(ii) Be based on feedback from the early intervention service coordinator's colleagues and families served, on-the-job observations, and records review; and

(iii) Help the early intervention service coordinator reflect on his or her own practices in light of theories and approaches across early intervention services disciplines for the purpose of professional growth and development.

(b) The number of hours of reflective supervision required per month varies based on the credential held by the supervisee:

(i) For a supervisee who holds a one-year early intervention service coordinator credential, the number of hours of reflective supervision required per month is calculated by multiplying the average number of hours worked per week by ten per cent (e.g., four hours per month is required for an early intervention service coordinator working forty hours per week); or

(ii) For a supervisee who holds a five-year early intervention service coordinator credential, the number of hours of reflective supervision required per month is calculated by multiplying the average number of hours worked per week by five per cent (e.g., two hours per month is required for an early intervention service coordinator working forty hours per week).

(c) An early intervention service coordination supervisor shall maintain records sufficient to document the dates and times that reflective supervision occurs for each supervisee.

(14) "Service coordination" means the functions performed by an early intervention service coordinator as set forth in paragraphs (N)(1) to (N)(15) of rule 5123-10-02 of the Administrative Code.

(C) Early intervention service coordinator credential

(1) One-year early intervention service coordinator credential

(a) The department may issue an early intervention service coordinator credential for a period of one year to an applicant who:

(i) Is employed by or under contract with an early intervention service coordination agency; and

(ii) Either:

(a) Holds an associate's degree, bachelor's degree, or graduate-level degree from an accredited college or university in audiology, child and family studies, child development, child life, counseling, education, hearing and speech sciences, human development, human ecology, human social services, medicine, nursing, nutrition science, occupational therapy, ophthalmology, optometry, physician's assistant, physical therapy, psychology, rehabilitation, social work, or speech/ language pathology; or

(b) Holds an associate's degree, bachelor's degree, or graduate-level degree from an accredited college or university in any field and has at least two years of verified full-time (or equivalent part-time) supervised, paid experience in case management and/or working with children birth through age five with disabilities, developmental delays, or diagnosed physical or mental conditions that have a high probability of resulting in a developmental delay and their families; and

(iii) Has successfully completed professional development in:

(a) Introduction to early intervention services;

(b) Mission and key principles of early intervention;

(c) Family-centered early intervention practices;

(d) Individualized family service plan overview;

(e) Mandated reporting of suspected child abuse or neglect;

(f) Service coordination duties and processes;

(g) Parent rights and procedural safeguards in early intervention: and

(h) Infant and toddler development.

(b) The department may renew the early intervention service coordinator credential one time for a subsequent period of one year for an applicant who needs additional time to meet the requirements for a five-year early intervention service coordinator credential in accordance with paragraph (C)(2) of this rule and who is employed by or under contract with an early intervention service coordination agency.

(2) Five-year early intervention service coordinator credential

(a) The department may issue an early intervention service coordinator credential for a period of five years to an applicant who:

(i) Either:

(a) Holds an associate's degree, bachelor's degree, or graduate-level degree from an accredited college or university in audiology, child and family studies, child development, child life, counseling, education, hearing and speech sciences, human development, human ecology, human social services, medicine, nursing, nutrition science, occupational therapy, ophthalmology, optometry, physician's assistant, physical therapy, psychology, rehabilitation, social work, or speech/ language pathology; or

(b) Holds an associate's degree, bachelor's degree, or graduate-level degree from an accredited college or university in any field and has at least two years of verified full-time (or equivalent part-time) supervised, paid experience in case management and/or working with children birth through age five with disabilities, developmental delays, or diagnosed physical or mental conditions that have a high probability of resulting in a developmental delay and their families; and

(ii) Has successfully completed professional development in:

(a) Introduction to early intervention services;

(b) Mission and key principles of early intervention;

(c) Family-centered early intervention practices;

(d) Individualized family service plan overview;

(e) Mandated reporting of suspected child abuse or neglect;

(f) Service coordination duties and processes;

(g) Parent rights and procedural safeguards in early intervention; and

(h) Infant and toddler development; and

(iii) Has successfully completed all components of professional development in principles of early intervention service coordination; and

(iv) Has documentation demonstrating successful completion of the early intervention service coordinator skills and competencies checklist.

(b) The department may renew the early intervention service coordinator credential for subsequent periods of five years for an applicant who:

(i) Has worked for at least four thousand hours during the most recent five-year period as an early intervention service coordinator and/or directly providing early intervention services through individualized family service plans; and

(ii) Has successfully completed fifty hours of professional development.

(D) Early intervention service coordination supervisor credential

(1) One-year early intervention service coordination supervisor credential

(a) The department may issue an early intervention service coordination supervisor credential for a period of one year to an applicant who:

(i) Is employed by or under contract with an early intervention service coordination agency; and

(ii) Either:

(a) Holds a bachelor's degree or graduate-level degree from an accredited college or university in audiology, child and family studies, child development, child life, counseling, education, hearing and speech sciences, human development, human ecology, human social services, medicine, nursing, nutrition science, occupational therapy, ophthalmology, optometry, physician's assistant, physical therapy, psychology, rehabilitation, social work, or speech/ language pathology; or

(b) Holds a bachelor's degree or graduate-level degree from an accredited college or university in any field and has at least three years of verified full-time (or equivalent part-time) supervised, paid experience in supervision, case management, early intervention service coordination, and/or working with children birth through age five with disabilities, developmental delays, or diagnosed physical or mental conditions that have a high probability of resulting in a developmental delay and their families; and

(iii) Has successfully completed professional development in:

(a) Introduction to early intervention services;

(b) Mission and key principles of early intervention;

(c) Family-centered early intervention practices;

(d) Individualized family service plan overview;

(e) Mandated reporting of suspected child abuse or neglect;

(f) Service coordination duties and processes;

(g) Parent rights and procedural safeguards in early intervention; and

(h) Infant and toddler development.

(b) The department may renew the early intervention service coordination supervisor credential one time for a subsequent period of one year for an applicant who needs additional time to meet the requirements for a five-year early intervention service coordination supervisor credential in accordance with paragraph (D)(2) of this rule and who is employed by or under contract with an early intervention service coordination agency.

(2) Five-year early intervention service coordination supervisor credential

(a) The department may issue an initial five-year early intervention service coordination supervisor credential to an applicant who:

(i) Either:

(a) Holds a bachelor's degree or graduate-level degree from an accredited college or university in audiology, child and family studies, child development, child life, counseling, education, hearing and speech sciences, human development, human ecology, human social services, medicine, nursing, nutrition science, occupational therapy, ophthalmology, optometry, physician's assistant, physical therapy, psychology, rehabilitation, social work, or speech/ language pathology; or

(b) Holds a bachelor's degree or graduate-level degree from an accredited college or university in any field and has at least three years of verified full-time (or equivalent part-time) supervised, paid experience in supervision, case management, early intervention service coordination, and/or working with children birth through age five with disabilities, developmental delays, or diagnosed physical or mental conditions that have a high probability of resulting in a developmental delay and their families; and

(ii) Has successfully completed professional development in:

(a) Introduction to early intervention services;

(b) Mission and key principles of early intervention;

(c) Family-centered early intervention practices;

(d) Individualized family service plan overview;

(e) Mandated reporting of suspected child abuse or neglect;

(f) Service coordination duties and processes;

(g) Parent rights and procedural safeguards in early intervention; and

(h) Infant and toddler development; and

(iii) Has successfully completed all components of professional development in principles of early intervention service coordination; and

(iv) Has successfully completed professional development in reflective supervision techniques.

(b) The department may renew an early intervention service coordination supervisor credential for subsequent periods of five years provided the applicant has successfully completed fifty hours of professional development.

(E) Early intervention service coordinator credentials issued prior to the effective date of this rule

(1) Early intervention service coordinator credentials issued prior to the effective date of this rule shall remain in effect until they are scheduled to expire.

(2) The department shall deem a person holding an early intervention service coordinator credential issued prior to the effective date of this rule that is in effect on the effective date of this rule eligible for a five-year early intervention service coordinator credential provided he or she meets the requirements set forth in paragraph (C)(1)(a)(iii) of this rule and has successfully completed twenty hours of professional development during the previous two years.

(3) The department may renew the credential of a person issued a five-year early intervention service coordinator credential in accordance with paragraph (E)(2) of this rule for a subsequent period of five years provided the person:

(a) Meets the requirements set forth in paragraph (C)(2)(b) of this rule; and

(b) Has either:

(i) Successfully completed all components of professional development in principles of early intervention service coordination, which may be counted toward the fifty hours of professional development required by paragraph (C)(2)(b)(ii) of this rule; or

(ii) Demonstrated competency by passing the department-administered principles of early intervention service coordination knowledge assessment.

(4) The department may renew the credential of a person issued a five-year early intervention service coordinator credential in accordance with paragraph (E)(3) of this rule for subsequent periods of five years provided the person meets the requirements set forth in paragraph (C)(2)(b) of this rule.

(F) Early intervention service coordination supervisor credentials issued prior to the effective date of this rule

(1) Early intervention service coordination supervisor credentials issued prior to the effective date of this rule shall remain in effect until they are scheduled to expire.

(2) The department shall deem a person holding an early intervention service coordination supervisor credential issued prior to the effective date of this rule that is in effect on the effective date of this rule eligible for a five-year early intervention service coordination supervisor credential provided he or she meets the requirements set forth in paragraph (D)(1)(a)(iii) of this rule and has successfully completed twenty hours of professional development during the previous two years.

(3) The department may renew the credential of a person issued a five-year early intervention service coordination supervisor credential in accordance with paragraph (F)(2) of this rule for a subsequent period of five years provided the person:

(a) Meets the requirements set forth in paragraph (D)(2)(b) of this rule; and

(b) Has either:

(i) Successfully completed all components of professional development in principles of early intervention service coordination, which may be counted toward the fifty hours of professional development required by paragraph (D)(2)(b) of this rule; or

(ii) Demonstrated competency by passing the department-administered principles of early intervention service coordination knowledge assessment.

(4) The department may renew the credential of a person issued a five-year early intervention service coordination supervisor credential in accordance with paragraph (F)(3) of this rule for subsequent periods of five years provided the person meets the requirements set forth in paragraph (D)(2)(b) of this rule.

(G) Renewal of expired early intervention service coordinator credentials and early intervention service coordination supervisor credentials issued by the department

(1) Early intervention service coordinator credentials and early intervention service coordination supervisor credentials issued on or after the effective date of this rule that have been expired for fewer than ninety calendar days may be renewed upon completion of all renewal requirements of the expired credential.

(2) Early intervention service coordinator credentials and early intervention service coordination supervisor credentials issued on or after the effective date of this rule that have been expired for ninety or more calendar days shall not be renewed; the applicant shall be required to meet the requirements for the initial five-year credential in accordance with this rule.

(H) Appeal and administrative review

(1) An applicant for the early intervention service coordinator credential or the early intervention service coordination supervisor credential whose application is denied may appeal to the entity under contract with the department for the purpose of hearing such appeals. The applicant may submit additional education, training, credentials, or other documentation to support his or her appeal. The entity under contract with the department for the purpose of hearing such appeals shall evaluate the appeal and respond to the applicant within fourteen calendar days. If after completing the process set forth in this paragraph, the applicant still believes that his or her application should not have been denied, the applicant may request an administrative review by the director in accordance with paragraph (H)(2) of this rule.

(2) An applicant for the early intervention service coordinator credential or the early intervention service coordination supervisor credential whose appeal submitted in accordance with paragraph (H)(1) of this rule is denied, may request in writing, within thirty calendar days of the denial, an administrative review by the director. The applicant may submit additional education, training, credentials, or other documentation to support his or her request. The director shall evaluate the request and respond to the applicant within thirty calendar days. The director's decision is final and may not be appealed.

(I) Denial, suspension, or revocation

(1) The director shall deny, suspend, or revoke an early intervention service coordinator credential or an early intervention service coordination supervisor credential if he or she finds, pursuant to an adjudication conducted in accordance with Chapter 119. of the Revised Code, that the applicant or holder has engaged in an immoral act, incompetence, negligence, or conduct that is unbecoming to the applicant's or holder's position.

(2) The director shall deny or revoke an early intervention service coordinator credential or an early intervention service coordination supervisor credential if he or she finds, pursuant to an adjudication conducted in accordance with Chapter 119. of the Revised Code, that the applicant or holder:

(a) Has been convicted of or pleaded guilty to any of the disqualifying offenses listed or described in paragraph (E)(1)(a) of rule 5123:2-2-02 of the Administrative Code;

(b) Has been convicted of or pleaded guilty to any of the disqualifying offenses listed or described in paragraph (E)(1)(b) of rule 5123:2-2-02 of the Administrative Code if a period of ten years has not elapsed from the date the applicant was fully discharged from imprisonment, probation, and parole;

(c) Has been convicted of or pleaded guilty to any of the disqualifying offenses listed or described in paragraph (E)(1)(c) of rule 5123:2-2-02 of the Administrative Code if a period of seven years has not elapsed from the date the applicant was fully discharged from imprisonment, probation, and parole;

(d) Has been convicted of or pleaded guilty to any of the disqualifying offenses listed or described in paragraph (E)(1)(d) of rule 5123:2-2-02 of the Administrative Code if a period of five years has not elapsed from the date the applicant was fully discharged from imprisonment, probation, and parole;

(e) Has been convicted of or pleaded guilty to multiple disqualifying offenses if the applicable period of time in accordance with paragraph (E)(2) of rule 5123:2-2-02 of the Administrative Code has not elapsed from the date the applicant was fully discharged from imprisonment, probation, and parole; or

(f) Has been included in one or more of the databases listed in paragraph (C)(2) of rule 5123:2-2-02 of the Administrative Code.

(3) A conviction of or a plea of guilty to a disqualifying offense listed or described in paragraphs (E)(1)(a) to (E)(1)(d) of rule 5123:2-2-02 of the Administrative Code shall not constitute grounds for the denial or revocation of an early intervention service coordinator credential or an early intervention service coordination supervisor credential if the requirements in paragraph (F) of rule 5123:2-2-02 of the Administrative Code are met.

(4) Applicants for or holders of an early intervention service coordinator credential or an early intervention service coordination supervisor credential shall disclose a conviction for a disqualifying offense listed or described in paragraphs (E) (1)(a) to (E)(1)(d) of rule 5123:2-2-02 of the Administrative Code, including a conviction that has been sealed.


Effective: 7/1/2019
Five Year Review (FYR) Dates: 07/01/2024
Promulgated Under: 119.03
Statutory Authority: 5123.04, 5123.0421
Rule Amplifies: 5123.04, 5123.0421