Early Intervention Quality Assurance Tool

Early Intervention Management Verification Tool

Provider Monitoring Requirements

April 2, 2009 EIMV—Provider Monitoring Requirements 1 Early Intervention Management Verification Tool

Provider Monitoring Requirements Format

Table of Contents Page

Use of Requirements ...... 3

Requirements Components

General Supervision: GS 1—GS 5...... 4 Overall program management including policies, staff qualifications and supervision of staff

Fiscal Supervision: FS 1...... 11 Appropriate use of MA Assistance funding

Quality Early Intervention Framework: QEIF 1—QEIF 6...... 12 Structure of EI operations including timelines, use of appropriate forms and appropriate content entered onto forms

Quality Early Intervention Service Delivery: QEISD 1—QEISD 7 ...... 19 Use of appropriate practices, special considerations and team membership

April 2, 2009 EIMV—Provider Monitoring Requirements 2 Specific Use of Requirements—Please Read Carefully!

This document describes every item that the Office of Child Development and Early Learning (OCDEL) uses to verify that each Early Intervention (EI) program is meeting all of the appropriate federal and state laws, regulations and requirements. During management verification, programs are required to demonstrate how they have met the criteria using the data sources that are suggested. In addition, each EI program must use the same criteria to monitor service providers for compliance. This tool has been developed for use by EI program supervisors in collaboration with OCDEL to monitor EI service providers and contains four categories of indicators. They are:

Indicator: The general classification heading and its description:  General Supervision (GS—5 items)  Fiscal Supervision (FS—1 item)  Quality Early Intervention Framework (QEIF—6 items)  Quality Early Intervention Service Delivery (QEISD—8 items)

For each indicator to be monitored, you will find the following components: item, criteria, data sources and process for scoring.

Item: The item includes the abbreviation of the indicator and the question to be answered through a review of materials and activities. Example: GS – 2 is the General Supervision indicator and the second question to be answered.

Criteria: Criteria are the specific standards that must be met, based on federal and state requirements. If the criteria for the Infant/Toddler EI program are different from the criteria for the preschool EI program, the criteria section is divided into two columns. When there is only one column under criteria, the criteria applies to both Infant/Toddler and preschool programs.

Data Sources: Data sources are the suggested specific types of documentation that should provide the information needed to answer the question. The evidence needed to answer the item may not be in the data source listed but may be in another data source not listed. Credit should be given for evidence present regardless of data source. If several data sources are required (EIRS or Penn Data and record review), this is clearly described in the scoring.

Score: The score section provides guidance on the number of points the provider may earn, based on the findings of the review activities. The actual points earned are recorded on the accompanying Scoring Summary.

April 2, 2009 EIMV—Provider Monitoring Requirements 3 Indicator: General Supervision Item GS-1: Did the Infant/Toddler and/or Preschool EI program ensure that the EI provider corrected ALL areas of requirements identified as not being met from the most recent provider monitoring within the specified timelines? Infant/Toddler and Preschool EI Criteria Improvement activities must be completed per the timelines specified in the plan, but not to exceed one year from the approval of the monitoring improvement plan.

There is clear evidence from the EI Program validation reports and findings during the current monitoring, that the provider corrected ALL areas of non- compliance from the previous monitoring.

Infant Toddler & Preschool Requirements 300.600 (e) Data Sources Verification Improvement Plan—From previous verification Appropriate Documentation as per Verification Improvement Plan (TA plan, Written policies, records, etc. Score Maximum points—20 points

20 points All previous areas of non-compliance from the most recent verification were corrected within one year as verified by local validation one year after creation of Verification Improvement Plan.

15 points All previous areas of non-compliance from the most recent verification have been corrected, but it took more than one year from the date of creation of the Verification Improvement Plan to do so.

10 points All activities listed on monitoring improvement plan were carried out as planned but they were not effective in correcting all areas of non-compliance.

5 points At least 50% of activities listed on the Verification Improvement Plan were carried out as planned. There are still some issues that have not been corrected.

0 points Verification Improvement Plan was not followed and previous areas of non-compliance have not been corrected.

April 2, 2009 EIMV—Provider Monitoring Requirements 4 Indicator: General Supervision Item GS-2: Were all instances of abuse, neglect and exploitation reported and managed by the provider in accordance with Child Protective Services Law and Department policy?

Infant/Toddler EI Criteria Preschool EI Criteria All instances of abuse, neglect and All instances of abuse, neglect and exploitation within the past year were exploitation within the past year were reported in accordance with Child reported in accordance with Child Protective Services Law and Protective Services Law Department policy 23.PA C.S. §6301-6385 23.PA C.S. §6301-6385 Ch 3490 Ch 3490 OCDEL Announcement EI – 08 # 02

Data Sources Child Record Reviews; SC Notes; Possibly classroom or home visit; incident reports Score Maximum Score—5 points

5 points Of the records reviewed that had evidence of abuse, neglect or exploitation, 100% were reported in accordance with Child Protective Services Law and Department policy, or no records reviewed contained any evidence of instances of abuse, neglect or exploitation.

3 points 80-99% of the records reviewed include evidence that all instances of abuse, neglect and exploitation were reported in accordance with Child Protective Services Law and Department policy.

0 points Less than 80% of the records reviewed include evidence that all instances of abuse, neglect and exploitation were reported in accordance with Child Protective Services Law and Department policy.

April 2, 2009 EIMV—Provider Monitoring Requirements 5 Indicator: General Supervision Item GS-3: Does the Infant /Toddler or Preschool EI provider ensure that all Early Intervention personnel, including subcontracted personnel meet necessary qualifications?

Infant/Toddler EI Criteria Preschool EI Criteria  All contracted service providers  All contracted service providers meet state certification meet state certification requirements or licensure as requirements, emergency appropriate for their positions. certification requirements, and  All contracted service providers certificate of competency meet the requirements for their requirements or licensure as positions as specified in the appropriate for their positions as state Early Intervention defined by the PA School Code. regulations and ITF Waiver. This includes requirements for §4226.5 and §4226.53 instructional paraprofessionals  All contracted service providers and personal care aides. have the required child abuse §300.18 and §14.105 and criminal history clearances  All contracted service providers as defined in PA Act 33 and PA have the required PA Act 33 or Act 151 and Act 114 FBI 34 and 151 child abuse and fingerprinting that is relevant to criminal history clearances and the time of employment. Act 114 FBI fingerprinting that is §4226.31 relevant to the time of  Updated licenses and employment. certificates are in personnel  If an Infant/Toddler qualified records provider is continuing services  The Infant/Toddler EI program after the child’s third birthday, identified and remediated he/she remains qualified to situations in which the provider continue the service on a did not meet qualification temporary basis standards.

Data Sources Personnel records of providers Score Maximum Score—5 points

5 points 100% of staff have appropriate qualifications and clearances. 0 points One or more contracted service providers who do not meet qualification standards or have appropriate clearances are not working toward fulfilling those requirements. Note in description of effectiveness whether the provider who does not have a plan, provides any waiver services.

April 2, 2009 EIMV—Provider Monitoring Requirements 6 Indicator: General Supervision Item GS-4: Does the Infant/Toddler or Preschool EI provider ensure that all contracted personnel meet necessary pre-service and/or annual in-service training hours? Infant/Toddler EI Criteria Preschool EI Criteria For all employees who work directly with children Act 48 requirements for and families: anyone holding PDE Pre-service training in the following topics: certification  Orientation to EI, including EI services, child development, and community Certificates of competency resources (when appropriate) are  EI regulations current and on file  Duties and responsibilities of their position  Family-centered approaches Licensure requirements as  Interrelated social, emotional, health, appropriate developmental and educational needs of children Training was applicable to  Availability and use of local and state the job the attendee resources performs for EI  Services in natural environments Training was provided as  Fiscal operations and funding sources required by the Technical  Within 120 days of hire: fire safety, Assistance Plan and by other emergency evacuation, first aid, and child sources requiring training. CPR §4226.29 24 Hours of annual training must include the Annual training requirements following topics: for instructional  Cultural competence paraprofessionals  Mediation  Procedural safeguards Annual training requirements  Universal health procedures for personal care aides  Mandated reporting  Transition §300.18  Fire safety, emergency evacuation, first Chap. 14.105 aid, and child CPR §4226.30

A record of pre-service and annual training for all personnel in the Infant/Toddler EI program or provider’s personnel files is kept for as long as the individual is employed, under contract or for four years, whichever is longer, or until any audit or litigation is resolved. §4226.30 and §303.22

April 2, 2009 EIMV—Provider Monitoring Requirements 7 Data Sources

Training records of employees and contracted providers (Certificates of attendance, Act 48 records, other training data that indicates topic, when and where attended, and how many hours.)

Score Maximum Score—10 points

10 points 95-100% of staff and contracted providers meet pre-service, annual, or Act 48 training requirements. Infant/Toddler EI program maintains the records for the appropriate amount of time.

5 points 75-94% of staff and contracted providers meet pre-service, annual, or Act 48 training requirements. Infant/Toddler EI program maintains the records for the appropriate amount of time.

0 points Less than 75% of staff or contracted providers meet training requirements, or efforts are not made to bring staff who do not meet requirements up to standards.

0 points Infant/Toddler EI program does not maintain training records for the appropriate amount of time.

April 2, 2009 EIMV—Provider Monitoring Requirements 8 Indicator: General Supervision Item GS-5: For children found eligible for Infant/Toddler or Preschool Early Intervention on or after July 1, 2007, and/or who left Early Intervention on or after January 1, 2008, has the child’s level of functioning at entry and/or exit on the three federal early childhood outcomes been determined and provided to the Infant/Toddler or Preschool program for entry into the Child Outcome database within 60 days of entry and/or exit? Infant/Toddler and Preschool EI Criteria  For children who are found to be eligible for Infant/Toddler or Preschool EI on or after July 1, 2007, the COSF entrance data must be completed within 60 days after the development of the child’s initial IFSP/IEP.  For children who are anticipated to leave Infant/Toddler or Preschool EI on or after January 1, 2008, and who have been receiving EI services for at least six consecutive months, the COSF exit data must be completed within 60 days before the child’s anticipated departure.  For a child who leaves unexpectedly and thus does not provide an opportunity to update developmental data, the EI program should document that the child left unexpectedly.  For children who did not have 6 consecutive months of EI services prior to leaving EI, there will be no Child Outcome exit data  Approved tools for determining level of functioning on the three outcomes: o 2008-09 Program Year . Work Sampling System (Preschool) and the Ounce Scale (Infant/Toddler) . Only programs that were already using the High Scope COR or the Creative Curriculum Developmental Continuum Assessment prior to July of 2007 may continue to do so during this year o 2009-10 and all subsequent years . Work Sampling System (Preschool) . Ounce Scale (Infant/Toddler) Infant/Toddler §303.701, SPP/APR requirements, §4226.32 and OCDEL Announcement EI–07 # 09

Preschool §300.211, §14.156 and OCDEL Announcements EI–06 # 02, 06 # 05 and 07 # 09 Data Sources

Child Outcome Database report

April 2, 2009 EIMV—Provider Monitoring Requirements 9 Score Maximum score 10 points

10 points Number of children with data entered into the Child Outcome database in this fiscal year is equal to at least 90% of the total number of children who had an initial IFSP or IEP between July 1 of the current fiscal year and 60 days prior to when the database report was generated AND the number of children with Child Outcome exit data (count the children with documentation about why exit data was not appropriate in the determining the percent) is equal to at least 90% of the number of children who left the EI program during the current fiscal year* *(Since January 1, 2008 for 2008 only)

8 points Either entry or exit data is at least 90% but the other is between 50% and 89%

5 points Number of children with data entered into the Child Outcome database in this fiscal year is 50-89% of the total number of children who had an initial IFSP or IEP between July 1 of the current fiscal year and 60 days prior to when the database report was generated AND the number of children with Child Outcome exit data (count the children with documentation about why exit data was not appropriate in the determining the percent) is 50-89% of the number of children who left the EI program during the current fiscal year* *(Since January 1, 2008 for 2008 only)

0 points If entry or exit data is below 50%, award 0 points

April 2, 2009 EIMV—Provider Monitoring Requirements 10 Indicator: Fiscal Supervision Item FS-1: Use of Medical Assistance funds and ITF Waiver Funding Is the EI Provider appropriately accessing Medical Assistance and ITF Waiver funding? Infant/Toddler and Preschool EI Criteria There is evidence of:  A process for reviewing MA and or ITF Waiver billing practices.  Submission of claims for all eligible services provision  Contract language with subcontracted providers requiring completion of the MA billing process

Infant/Toddler EI Data Sources Preschool EI Data Sources Copies of any subcontracts for service Contracts with subcontractors that providers reflect language that mandates submission of MA service logs to the Provider billing records preschool program

Written policies and procedures Written policies and procedures pertaining to enrollment and billing for pertaining to the billing for MA MA or the ITF Waiver Service logs are available for review Medical Assistance 837 Handbook OCDEL Announcement EI-07#13 & OCDEL State Early Intervention EI-06 #12 Fiscal/contract Guidelines ITF Waiver Provider Agreement School Based Access Program Manual Score Maximum Score—20 points

20 points Documentation is available that all criteria are met.

15 points Documentation is available that 75-99% of criteria are met.

0 points Documentation is available that 0-24% of criteria are met or insufficient documentation exists to determine whether criteria are met.

April 2, 2009 EIMV—Provider Monitoring Requirements 11 Indicator: Quality Early Intervention Framework Item QEIF-1: Do the evaluation reports completed by all provider staff address the strengths, needs and level of functioning of the child in the developmental domains of cognitive, physical (including vision and hearing), communication, social and emotional, and adaptive?

Infant/Toddler and Preschool EI Criteria The evaluation report must address the level of functioning of the child in the developmental domains of cognitive, physical (including vision and hearing), communication, social and emotional, and adaptive. If there is a record of screening results indicating a need in any area (such as problems noted in newborn hearing screening) but no follow-up evaluation, this standard has not been met.

Infant/Toddler Requirements §303.322(c )(3)(ii) and §4226.61(b)

Preschool Requirements §300.304(c )(4) and Chapter 14 153.(2) Data Sources Child Record Review Observation—Evaluation Score Maximum Score—10 points

10 points—95-100% of the records reviewed, include a statement of strengths, needs, and the child’s level of functioning in each of the five domains.

8 points— 80-94% of the records reviewed include a statement of strengths, needs, and the child’s level of functioning in each of the five domains.

5 points—60-79% of the records reviewed include a statement of strengths, needs, and the child’s level of functioning in each of the five domains.

0 points—Less than 60% of the records reviewed include a statement of strengths, needs, and the child’s level of functioning in each of the five domains.

April 2, 2009 EIMV—Provider Monitoring Requirements 12 Indicator: Quality Early Intervention Framework Item QEIF-2: Does the Infant/Toddler or Preschool EI provider ensure that all evaluation activities are completed within the required time frames?

Infant/Toddler EI Criteria Preschool EI Criteria  Evaluation conducted at least  For evaluation requests received annually. §303.342 and on or after July 1, 2008, §4226.61(a)(3) Permission to Evaluate was  Initial evaluation report provided to the family within 10 completed in sufficient time to calendar days of preschool enable the IFSP to be program’s receipt of oral or developed in a 45 calendar day written request for evaluation. time frame. §303.322(e) and §14.123(c) §4226.61(d)(1)  Evaluation Report completed  If exceptional circumstances and provided to family within 60 make it impossible to complete calendar days of receipt of within time frame the written permission to evaluate. Infant/Toddler EI program will §300.301(c (1)(i) document the circumstances in  Current evaluation report form the child’s record. §303.322(e) must be used and issued at (2) and §4226.61(d)(2) least every two years.  Current evaluation report form §14.153(4)(iii) must be used and report provided to family by Service Coordinator within 30 days. §4226.61(a)(4) Infant/Toddler EI Data Sources Preschool EI Data Sources Child record review Child record review Time frame matches requirements. Time frame matches requirements. Use the prior MDE/ER to verify dates Use the prior MDE/ER to verify dates. for reevaluations

April 2, 2009 EIMV—Provider Monitoring Requirements 13 Score Maximum Score—10 points

10 points—95-100% of child record reviews indicate that evaluations are completed on time and child record review validates this data

0 points—Less than 70% of child record reviews indicate that evaluations are completed on time

April 2, 2009 EIMV—Provider Monitoring Requirements 14 Indicator: Quality Early Intervention Framework Item QEIF-3: (Preschool only) Was a written invitation to annual IEP meetings provided to the family and other participants early enough but after contacting the EI program for availability, to ensure that they will be able to attend, and within the applicable timelines?

Preschool EI Criteria Preschool EI provider must provide written invitation prior to the meeting. There is no requirement for a specific number of days prior to the meeting. §300.322(a) (1) Data Sources Child Record Review—Invitation, IEP

5 points—95-100% of the records reviewed contain evidence that written invitations to IEP meetings were provided within the applicable timelines.

3 points—80-94% of the records reviewed contain evidence that written invitations to IEP meetings were provided within the applicable timelines.

0 points—Less than 80% of the records reviewed contain evidence that written invitations to IEP meetings were provided within the applicable timelines.

April 2, 2009 EIMV—Provider Monitoring Requirements 15 Infant Toddler Criteria Preschool Criteria  The current IFSP format must  The current IEP format must be be used. §303.342(b)(1) and used. §4226.72(b)– 6 month review §303.342(c)  The IEP was developed within the past 12 months and  Annual IFSPs were completed reviewed/revised as needed. within time frames. §300.324(b)(1)(i) §4226.72(c) annual review  All of the necessary services and supports are listed, including  All of the necessary services service type, frequency, and and supports are documented duration. There is documentation as delivered as listed, including that the IEP team reviewed data service type, frequency, and to determine if child was in need duration. §303.344(d)(1)(i-v) of services during scheduled and (e-g) and §4226.74 breaks an accordance with the current BEC and local policy.  There is documentation that §300.320(a)(1-7)and§14.155(c ) the IFSP team gathered and (2) – scheduled breaks reviewed data on a regular OCDEL Announcement EI–08#3 basis. §303.321(e)(2)(ii) and §4226.24(g)(2)(ii)  IEP developed within 30 calendar days of the issuance of the ER. §300.323(c )(1)

OCDEL Announcement EI–08 # 05 OCDEL Announcement EI–08 # 05

April 2, 2009 EIMV—Provider Monitoring Requirements 16 Indicator: Quality Early Intervention Framework Item QEIF-5: Does the Infant/Toddler or Preschool EI provider ensure that services start no later than 14 days after the completion of the IFSP/IEP? Infant/Toddler and Preschool EI Criteria

IFSP/IEP is implemented within 14 calendar days after completion of IFSP/IEP unless there is adequate documentation that the start date is extended based on team decision of family/weather related reason. (For instance, a family prefers to start only one service the first month and additional services will be phased in, or parent will transport child for the first two weeks as child adjusts to school but transportation will be provided after that point.) If services are provided in an early childhood location that is not open year round (Head Start, preschool, Mommy and Me, etc) and therefore services will be provided differently during the period that the program is closed, it is acceptable and recommended to describe how these changes will occur at the time the IEP is written rather than writing a later revision. For example, ½ hour speech therapy two times per week at ABC preschool from date of IEP to May 28. Weekly one hour language group starts on June 14 and continues to August 14. ½ hour speech therapy two times per week at ABC preschool starts September 1 and continues for duration of IEP.

It is not acceptable to delay start of services due to breaks in preschool calendar.

Infant/Toddler EI Data Sources Preschool EI Data Sources EIRS Child Record Review Child Record Review IEP, progress notes, possibly lesson IFSP, SC Case notes, Service Delivery plans, class rosters and/or attendance notes, therapist billing records records, therapist billing records §4226.75(b) – 14 days §14.154(d)(1) – 14 days §303.344(f)(1) §303.323(c )(2) Score

Maximum Score—20 points

20 points—Child Record Review reflects that 95-100% of children receive services within 14 days of the completion of the IFSP/IEP and the record review validates that this data is correct. If there is documentation on the IFSP/IEP that the delay in starting services was based on team decision of a family/act of nature, give full credit.

April 2, 2009 EIMV—Provider Monitoring Requirements 17 10 points— Child Record Review reflects that 80-94% of children receive services within 14 days of the completion of the IFSPIEP and the record review validates that this data is correct. If there is documentation on the IFSP/IEP that the delay in starting services was based on team decision of a family/act of nature, give full credit.

0 points—Less than 80% of children receive services within 14 days of the completion of the IFSP/IEP as per the Child Record Review.

April 2, 2009 EIMV—Provider Monitoring Requirements 18 Indicator: Quality Early Intervention Framework Item QEIF-6: Does each child that the provider serves have an IFSP/IEP that contains family information and does it include the assistance and services provided to support the family?

Infant /Toddler and Preschool EI Criteria Does IFSP reflect family information and services and support to the family or evidence that parents chose not to include family support. If present, does the provider incorporate this information into service delivery? This information may be found in the family information section, or in other parts of the IFSP such as goal pages, methods, etc

Infant/Toddler Requirements §303.344(b) and (d) and §4226.74(2)

Preschool Requirements §300.324(a)(1)(ii) and §300.305(2) Data Sources Child Record Review Service Delivery Documentation IFSP/IEP Score Maximum Score—10 points

10 points 95-100% of the Child Records reviewed contain an IFSP/IEP with family supports and evidence that the service provider incorporated family support from IFSP/IEP into service delivery, or evidence that parents chose not to include family supports.

April 2, 2009 EIMV—Provider Monitoring Requirements 19 Indicator: Quality Early Intervention Service Delivery Item QEISD-1: (Preschool only) Do the initial evaluations, re-evaluations, and IEP team meetings completed by the provider, include all of the required participants? Preschool EI Criteria  Initial ER: Parent and team of qualified professionals  Re-Evaluation: IEP Team Members  Parent, Local Education Agency representative, at least one regular education teacher, special education teacher or provider, other individuals at the discretion of the parent or agency who have knowledge of child, and an individual who can interpret the instructional implications of the evaluation results (this can be one of the previous members)  At the request of the parent of a child who is transitioning from B-3 services, the infant/toddler service coordinator was invited to the meeting  Personnel who attended the IEP team meeting are the same people who were listed as expected to attend on the IEP team meeting invitation. If one member is unable to attend, it is acceptable for a replacement with the same expertise to attend (ex. another speech therapist attends for the speech therapist who was originally scheduled)  If the parent and agency excused the team member because their expertise is determined not to be necessary it was documented.  Parent and agency excused a team member by agreeing in writing that written input will provide adequate information for the team. Written information was submitted prior to the IEP team meeting.  If parent chose not to attend the IEP meeting, the rest of the team did meet. Parent signed the NOREP before initial services began and before any change of placement

Chapter 14 153.(3) Re-Evaluation: IEP Team Members §300.306(a)(1) Data Sources Child Record Review Evaluation report and IEP Invitation, IEP should list all required personnel Observation—Evaluation Score Maximum Score—5 points

5 points—95-100% of records reviewed included all required participants

3 points—80-94% of records reviewed included all required participants

0 points—Less than 80% of records reviewed included all required participants

April 2, 2009 EIMV—Provider Monitoring Requirements 20 Indicator: Quality Early Intervention Service Delivery Item QEISD-2: (Preschool Only) Does the IEP address how the needs identified under Special Considerations will be addressed? Preschool EI Criteria The IEP must address these special considerations:  Blind/visual impairment  Deafness or hard of hearing  Behavior that impedes learning—IEPs developed on or after July 1, 2008, if this item is checked, a Functional Behavior Assessment was conducted and either goals and/or specially designed instruction addressed the needs or a behavior support plan is attached  Limited English Proficiency  Communication needs  Assistive technology needs  Transition: o Transition from early intervention program because of changes in the life of the family or child such as attainment of all goals, new family situations, etc. o Preschool EI child is within one year of transition to K §300.324(a)(2)(i-v) Data Sources Child Record Review Special considerations page of IEP plus any or all of the following: outcomes/goals, teaching strategies, services and supports, assistance provided to the family, behavior support plan. Score Maximum Score—10 points

10 points—95-100% of the IEPs reviewed contained evidence that the special considerations checked as being needed were addressed through goals, teaching strategies or a behavior plan based on a functional behavior plan.

3 points—50-64% of the IEPs reviewed contained evidence that the special considerations checked as being needed were addressed through goals, teaching strategies or a behavior plan based on a functional behavior plan. .

April 2, 2009 EIMV—Provider Monitoring Requirements 21 0 points—Less than 50% of the IEPs reviewed contained evidence that the special considerations checked as being needed were addressed through goals, teaching strategies or a behavior plan based on a functional behavior plan.

April 2, 2009 EIMV—Provider Monitoring Requirements 22 Indicator: Quality Early Intervention Service Delivery Item QEISD-3: (Preschool Only) Does the IEP include outcomes/goals that are measurable and related to the recommendations from the evaluation report? Preschool EI Criteria The outcomes/goals are measurable and are related to the recommendations from the evaluation report. All outcomes/goals on the IEP are specific enough that the team and/or reviewer can tell what is to be accomplished and the outcome/goal can be used to determine that progress is being made. §300.324(a)(1)(iv) Data Sources Child Record Review Preschool EI Progress Summaries Session data Progress summary/ analysis Observation—IEP, Service Delivery Score Maximum Score—20 points

20 points—90-100% of the records reviewed have outcomes/goals that are measurable and related to the recommendations from the evaluation report.

10 points— 70-79% of the records reviewed have outcomes/goals that are measurable and related to the recommendations from the evaluation report.

0 points—Less than 60% of the records reviewed have outcomes/goals that are measurable and related to the recommendations from the evaluation report.

April 2, 2009 EIMV—Provider Monitoring Requirements 23 Indicator: Quality Early Intervention Service Delivery Item QEISD-4: (Preschool Only) Is there documentation that family information about the child’s individual strengths and needs has been gathered and utilized throughout the evaluation and planning process?

Preschool EI Criteria  There is evidence that family resources, concerns and priorities were included in the evaluation report. Concerns may be related to the developmental needs of their child and other areas of family concerns. The family information also needs to be included in the IEP on the child and family information section.  The intervention plan included outcomes/goals, strategies, modifications, etc. that reflected the family’s priorities and, as appropriate, enhanced their ability to support their child. §300.324(a)(ii), §300.305(a) and §300.324(a)(i) Data Sources Child record review— Initial contact notes, evaluation report, IEP, correspondence with family Observation— Initial Visit, Evaluation, IEP, Service Delivery

20 points—95-100 % of the records reviewed show a clear link from first contact through service delivery showing that the family’s information about the child’s individual strengths and needs was gathered and considered to plan service delivery.

15 points—85-94 % of the records reviewed show a clear link from first contact through service delivery showing that family’s information was considered to plan service delivery.

10 points—75-84 % of the records reviewed show clear evidence that the family’s information about the child’s individual strengths and needs was gathered to plan service delivery.

0 points—Less than 75% of the records reviewed show clear evidence that the family’s information about the child’s individual strengths and needs was gathered

April 2, 2009 EIMV—Provider Monitoring Requirements 24 Indicator: Quality Early Intervention Service Delivery Item QEISD-5: Is there documentation that individualized Early Intervention supports and services are being provided within naturally occurring everyday activities, routines and settings to actively engage the family members and/or early education programs as they help the child develop, learn and grow?

Infant/Toddler EI Criteria Preschool EI Criteria  Evidence exists that services Evidence exists that supports and are being delivered within the services are being delivered in a context of the family’s routines. functional context for the child, such as  Evidence exists that EI services working on child making requests in positively impact the caregiver’s context of play; goals are monitored in ability to successfully support real life situations rather than only one their child’s participation in daily on one with teacher or therapist, etc. activities. §300.114  Services are provided in a manner that recognizes and supports the family’s cultural preferences. §303.12(b), §303.344(d)(1)(ii), §4226.74(4) (i)(B) and §4226.75(a)

Data Sources Observation: Initial Visit, Evaluation, IFSP/IEP, Service delivery Child record review—IEP/IFSP, service delivery documentation, progress monitoring records, session data, lesson plans

Score Maximum Score—20 points 20 points—95-100% of the records reviewed provide evidence that supports and services are being delivered within the context of family or educational setting.

15 points—80-94% of the records reviewed provide evidence that supports and services are being delivered within the context of family or educational setting.

0 points—Less than 60% of the records reviewed provide evidence that supports and services are being delivered within the context of family or educational setting. Indicator: Quality Early Intervention Service Delivery

April 2, 2009 EIMV—Provider Monitoring Requirements 25 Item QEISD-6: Is there evidence that children have received all of the supports and services specified on their IFSP/IEP and are these services effective in meeting the identified needs of the child and family?

Infant/Toddler and Preschool EI Criteria The number of hours of services being delivered matches the number of hours of services listed on the IFSP/IEP. Services are being provided in the environments listed on the IFSP/IEP document. The IFSP/IEP is accessible to all service providers responsible for implementation. Appropriate adaptations have been made to environments or materials to support the child/family. Outcomes/goals on IFSP/IEP are being addressed by the services provided Services are delivered with no interruptions or there is documentation that existing gaps were due to family reasons. Preschool breaks are no more than three weeks at a time.

Infant/Toddler Requirements Preschool Requirements §303.344(f)(i) and §4226.75(b) §300.323(c )(2) Data Sources Child record review—Service delivery documentation such as session notes, Service Coordination notes, progress monitoring data, PRA, NOREP, service support plans, class roster, class attendance records, possibly lesson plans for individualization of strategies or adaptations of materials or environments Fiscal review—Billing for services as specified Observation—IFSP/IEP, Service Delivery in a variety of settings Score Maximum Score—20 points Observe two service delivery sessions and compare them to the children’s records. 20 points—95-100% of the records reviewed contain evidence in service delivery notes that all supports and services in IFSP/IEP are being provided as described in the IFSP/IEP and the observations provide verification that services are being delivered as specified. 10 points—85-94% of the records reviewed contain evidence in service delivery notes that all supports and services in IFSP/IEP are being provided as described in the IFSP/IEP and the observations provide verification that services are being delivered as specified. 5 points—75-84% of the records reviewed contain evidence in service delivery notes that all supports and services in IFSP/IEP are being provided as described in the IFSP/IEP and the observations provide verification that services are being delivered as specified.

April 2, 2009 EIMV—Provider Monitoring Requirements 26 0 points—Less than 75% of the records reviewed contain evidence in service delivery notes that all supports and services in IFSP/IEP are being provided as described in the IFSP/IEP and the observations provide verification that services are being delivered as specified.

April 2, 2009 EIMV—Provider Monitoring Requirements 27 Indicator: Quality Early Intervention Service Delivery Item QEISD-7: Does the IFSP/IEP include procedures for measuring progress and the schedule for reporting progress to parents? During periodic IFSP/IEP review, is progress monitoring information used by the early intervention provider to determine the effectiveness of interventions being used with the child and/or family, and to revise interventions appropriately? Infant/Toddler and Preschool EI Criteria  The IFSP/IEP team documented how to measure progress on each goal.  The IFSP/IEP team documented the degree to which progress is being made –This may be written on the IFSP/IEP or noted in progress monitoring records  The IFSP/IEP team revised the strategies as needed to maintain or increase the rate of attainment or level of skills—may be found as IFSP/IEP revisions or as service notes or lesson plans  The IFSP/IEP team documented revisions or modifications to the outcomes as necessary  When revising the IFSP/IEP the team addressed any lack of expected progress toward the goals  A written (words, graphs, other visual representation) report of progress on outcomes/goals was provided to parents on the schedule agreed upon in the IFSP/IEP. Infant/Toddler Requirements §303.342(b)(1)(i-ii), §4226.71(b)(1) and OCDEL Announcement EI-07 # 02

Preschool Requirements §300.324(b)(ii)(A-B) Data Sources Child Record Review—Progress monitoring data and analysis, session notes, service support plans, lesson plans Progress reports to Service Coordinator/parent Score Maximum Score—20 points 20 points—Of the records reviewed, 90-100% provide evidence that progress is being monitored regularly, and that the data collected is used to make decisions about intervention strategies.

15 points—Of the records reviewed, 89-89% provide evidence that progress is being monitored regularly, and that the data collected is used to make decisions about intervention strategies.

10 points—Of the records reviewed, 70-79% provide evidence that progress is being monitored regularly, and that the data collected is used to make decisions about intervention strategies.

April 2, 2009 EIMV—Provider Monitoring Requirements 28 5 points—Of the records reviewed, 60-69% provide evidence that progress is being monitored regularly and that the data collected is used to make decisions about intervention strategies.

0 points—Of the records reviewed, less than 60% provide evidence that progress is being monitored regularly and that the data collected is used to make decisions about intervention strategies.

April 2, 2009 EIMV—Provider Monitoring Requirements 29