Loading...
HomeMy WebLinkAboutEI-101 Procedural SafeguardsFRANKLIN/FULTON COUNTY MENTAL HEALTH/INTELLECTUAL & DEVELOPMENTAL DISABILITIES/EARLY INTERVENTION 425 Franklin Farm Lane Chambersburg, PA 17202 (717) 264-5387 MH/IDD/EI PROCEDURE STATEMENT PROCEDURE SUBJECT: EI-101 Procedural Safeguards PROCEDURE TOPICS: Confidentiality/ FERPA Parental Consent/Access Rights Surrogate Parents Conflict Resolution PROCEDURE NUMBER: EI-101 Effective Date: July 1, 2015 Date Revised: October 30, 2023 References: - 34 CFR §300.610 – 300.627, 34 CFR §303.400, 34 CFR Part 99 - Announcement: EI-11 #01 IDEA Early Intervention Complaint Procedures - Announcement: EI-12 #03 Confidentiality, Parent Consent and Surrogate Parents - Announcement: EI-10 #02 Release of Information - Announcement: EI-12 #05 Mediation, Due Process, and IFSP Facilitation Procedures for Infants/Toddler Early Intervention POLICY: Confidentiality, including access rights: The Franklin/Fulton Early Intervention (EI) Program has designated the Early Intervention Program Specialist for the County and the Early Intervention Service Coordination Supervisor with Service Access and Management, Inc. (SAM), to manage the confidentiality of personally identifiable information. Administrative oversight is available when concerns or support may be required. The following is a list of the positions within the program that may have access to personally identifiable information: 1. The MH/IDD/EI Administrator and Deputy Administrator 2. The Early Intervention Program Specialist 3. The Service Coordinator Supervisor 4. The MH/IDD/EI Administrative Assistant and other support staff 5. The Early Intervention Service Coordinators (SC) 6. Fiscal Staff 7. Auditors All Early Intervention records are in electronic form, including records related to evaluations and assessments, screening, eligibility determinations, development and implementation of IFSPs, provision of EI services, individual complaints involving the child, or any part of the child’s EI record. The confidentiality of these records are assured at the collection, maintenance, storage, disclosure, and destruction stages of a child’s EI record and applies from the point in time when the child is referred to the EI program. A record review form is completed for each child’s file that includes the name of the person reviewing the file and their position, a date the record was reviewed and the purpose of the review. The record of access is then electronically scanned and added to the chart every time someone reviews the record. A copy of Understanding Early Intervention Data Systems (Attachment- A) is provided and discussed at the initial meeting with the parents in their home and the Service Coordinator documents this in the service notes. The Franklin/Fulton Infant/Toddler EI Programs shall afford the parents of infants or toddlers who are referred to, or receive EI services, the opportunity to inspect and review all EI records about the child and the child's family that are collected, maintained, or used both in electronic or paper form, including records related to evaluations and assessments, screening, eligibility determinations, development and implementation of IFSPs, provision of EI services, individual complaints involving the child, or any part of the child’s EI record. The EI Programs shall comply with a parent’s request to inspect and review records without unnecessary delay and before any meeting regarding an Individual Family Support Plan (IFSP), or any due process hearing procedures and in no case more than 10 days after the request has been made. This includes:  a response from the EI Program to reasonable requests for explanations and interpretations of the EI records;  a request that the EI Program provide copies of the EI records containing the information if failure to provide those copies would effectively prevent the parent from exercising the right to inspect and review the records; and  having a representative of the parent inspect and review the EI records. If a parent/guardian designates a representative to inspect/review records, they must document in writing the name of the representative they choose and complete a Release of Information. The Release of Information will provide confirmation that the parent/guardian allows the agency to provide the representative with access to personally identifiable information regarding their child. Parents will be given any assistance necessary to complete a letter requesting to inspect or review the records. Parents also need to be informed that if any EI record includes information on more than one child, the parents of those children have the right to inspect and review only the information relating to their child. When a parent requests an amendment to their child’s EI record because they are concerned that the information is inaccurate, misleading, or violates the privacy or other rights of the child, the EI Program shall decide within a reasonable period of time of receipt of the request whether to amend the information. If the EI Program refuses to amend the information, the parent shall be notified of the refusal and be informed of their right to a due process hearing or a review by the Bureau of Early Intervention Services and Family Supports (BEISFS) regarding the request for amending the information in their child’s EI records. If the BEISFS decides that the information is inaccurate, misleading or in violation of the privacy or other rights of the child or parent, BEISFS will inform the parent in writing and the local Infant/Toddler EI Program shall amend the information. The Infant/Toddler EI Program shall inform the parent in writing when the information is amended. Parents/caregivers of children receiving Infant /Toddler EI services will not be charged a fee for the search or retrieval of information from a child’s EI record, a copy of each evaluation, assessment of the child, family assessment, as soon as possible after each IFSP or after an initial request for a copy of the child’s entire EI record. Records will be maintained for four (4) years or until any audit or litigation is resolved. Parent Notice and Consent Parental consent must be obtained before personally identifiable information is disclosed to anyone other than authorized representatives, officials, or employees of the Franklin/Fulton Early Intervention Program when used for any purpose other than meeting a requirement of federal and state requirements with the exception of those conditions in FERPA 34 CFR §99.31and §303.401(d). In addition, the Franklin/Fulton Early Intervention Program must comply with the requirements of FERPA 34 CFR §99.32, 99.33, 99.34, 99.35, 99.36, 99.38, and 99.39 and also obtain parental consent before administering screening procedures, conducting evaluations and assessments, the provision of EI services, accessing public benefits or insurance or private insurance and the disclosure of personally identifiable information. Prior Written Notice must be written in language understandable to the general public and 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. Consent includes; a) The parent being fully informed of all information relevant to the activity for which consent is sought, in the parent’s native language, as defined in §303.25; b) The parent understands and agrees in writing to the carrying out of the activity for which the parent’s consent is sought, and the consent form describes that activity and lists the Early Intervention records (if any) that will be released and to whom they will be released; and c) The parent understands that the granting of consent is voluntary on the part of the parent and may be revoked at any time The parents of an infant or toddler with a disability can determine whether they, their infant or toddler with a disability, or other family members will accept or decline any EI service at any time, and may decline a service after first accepting it, without jeopardizing other EI services. In addition to the language established in Chapter 4226.92, the Infant/Toddler EI Program may not use due process hearing procedures to challenge a parent’s refusal to provide any consent and shall ensure that if a parent revokes consent, that revocation is not retroactive (i.e., it does not apply to an action that occurred before the consent was revoked). Parents are informed of their rights and procedural safeguards at their initial visit and throughout the entire time their child receives Early Intervention services. Service Coordinators also obtain parental consent before administering screening procedures, conducting evaluations and assessments, for initial provision of EI services or any change in services, accessing public benefits or insurance or private insurance and the disclosure of personally identifiable information. If a parent does not give consent for any of the above listed activities, reasonable efforts are made to ensure that the parent is fully aware of the nature of the activities where parental consent is sought; and understands that the child may not be able to receive the service unless consent is provided. The Service Coordinator is the single point of contact for a family and is responsible for providing the parent with a copy of their procedural safeguards notice or Parents Rights Agreement (PRA-Attachment 2). The procedural safeguards are reviewed with families during the intake and evaluation process, during any IFSP review meetings, or any meeting with the family at which services could be adjusted, added, or ended. The Service Coordinator provides the PRA to the parent after reviewing the applicable information with the parent, checking the appropriate actions to document the outcome of the meeting, and obtaining parent/guardian signature. Surrogate Parents Appointment of a surrogate parent for a child occurs whenever reasonable efforts have been made to locate the biological parent and in instances when a child is a ward of the state. A. The Franklin/Fulton Early Intervention Program will adhere to the following when the child needs a surrogate parent based on the below criteria: 1. A parent cannot be identified. 2. The whereabouts of an identified parent, after reasonable efforts, cannot be discovered. a. The Service Coordinator will work with the designated Children and Youth Program to locate a parent. b. The Service Coordinator will work with the family’s relatives and friends, as allowed by confidentiality, to locate the child’s parent. c. Documentation will be completed in case notes describing the attempts to locate the parent. 3. The birth parents are deceased and the child has no other parent. 4. The parental rights of the birth parents have been terminated and the child has no other parent. Based on criteria 1-4, the EI Supervisor and EI Service Coordinator will determine the need for a surrogate parent. Consults will occur as needed with Franklin County Children and Youth or Fulton County Services for Children concerning the approval of a Surrogate parent for children who are wards of the state or are in foster care. The following criteria are used for the selection of a surrogate parent. A surrogate parent as per Chapter 4226, Early Intervention Services, and Section 4226.96, Surrogate Parents states that: 1. The surrogate has no interests that conflict with the interests of the child. 2. The surrogate has the knowledge and skills that ensure adequate representation of the child. 3. The surrogate is willing to assume the responsibilities of being a surrogate parent. 4. The surrogate is not an employee of an agency or persons providing Early Intervention services and other services to the child or to any family members of the child. 5. The surrogate is not an employee of any state agency (because the surrogate is paid by a public agency to serve as a surrogate). 6. A foster parent of a child in substitute care, who meets the criteria in 1-4, may serve as surrogate parent for the child, with approval of the County Children and Youth agency that has legal custody of the child. Reasonable efforts must be made to ensure the assignment of a surrogate parent not more than thirty (30) days after the program has determined that the child needs a surrogate parent. Franklin/Fulton Early Intervention service in collaboration with the Franklin County Children and Youth Services and the Fulton County Services for Children collaborate so that the delivery of services is not delayed due to the appointment of a surrogate. Conflict Resolution Parents with children receiving EI services must be informed of their procedural safeguards throughout the entire time they receive EI services. As part of the conflict resolution process, OCDEL has developed a fact sheet entitled Problem Solving in Early Intervention which provides information on conflict resolution at the local level. This includes information on IFSP/IEP facilitation, the EI Complaint Resolution Process (form attached) mediation and due process. An Early Intervention Complaint Resolution Process (EICRP) has been developed and is available to assist parents in resolving concerns at the local level before the concern elevates to the written complaint level. (Attachment- 3) If an Early Intervention Complaint Resolution Process form has been received by the local EI Program a meeting shall be scheduled within seven days of receipt of the request. When contacted, the Program Specialist will provide a family with information about how to contact the Bureau of Early Intervention Services and Family Supports (BEISFS) for assistance with a dispute or provide the parent with information about how to file a formal complaint with BEISFS. The Program Specialist will assist the family with access to, completion of, and proper submission of any required forms to the appropriate agencies (BEISFS, OCDEL, and ODR) related to conflict resolution and the complaint process. At any time upon request if families disagree with or have concerns about any aspect of the services they are receiving through the EI program, they have the right to problem-solving and conflict resolution activities, including Individualized Family Service Plan (IFSP) Facilitation, Mediation, Due Process, and filing a complaint. Families are informed of their rights to contact the Office for Dispute Resolution for IFSP/IEP Facilitation, Evaluative Conciliation Conference, Mediation, and Due Process Hearings, including resolution meetings, if applicable, as part of the procedural safeguards reviewed at the initial meeting with the family and at any time the Parents Rights Agreement is signed. The Franklin/Fulton Early Intervention Program will provide and review the fact sheet developed by the Office of Child Development and Early Learning (OCDEL) entitled, “Problem Solving in Early Intervention,” during the initial meeting with the family. When a family requests help with locating the correct forms as well as the contact information for submittal to BEISFS or ODR, the Program Specialist will make time to assist them as quickly as possible and also help with filling out and assisting in mailing the forms to the correct locations. When a family requests any one method of conflict resolution, it needs to be explained clearly that a parents/caregiver has the right to file any of the options discussed regarding conflict resolution and they will be informed of the timelines related to the resolution method they may choose. They will also be informed that they do not have to pursue conflict resolution in any particular order or method and can pursue more than one method simultaneously at any time. Staff new to the Franklin /Fulton Early Intervention Program will receive training regarding the Procedural Safeguards Checklist (including confidentiality/FERPA, Parental Consent, Access Rights, Surrogate Parents and Conflict Resolution). All persons collecting or using personally identifiable information receive training on the requirements in this announcement, 34 CFR§303.401 through 303.417 and 34 CFR part 99 screening procedures. All policy and procedure statements will be reviewed annually or sooner when changes or updates are released. Trainings will occur for all staff including administrative, service coordination and fiscal staff as needed. Any change or update to any policy or procedure statement will be sent upon receipt to the provider agencies and all changes are reviewed at the next scheduled EI provider meetings for further review and discussion. ATTACHMENTS: Attachment 1: Understanding Early Intervention Data Systems Attachment 2: Parent Rights Agreement Attachment 3: Early Intervention Complaint Resolution Process Attachment 1 Understanding Early Intervention Data Systems The Office of Child Development and Early Learning (OCDEL), through the Bureau of Early Intervention Services, serves approximately 79,000 infants, toddlers and preschool children with developmental delays and/or disabilities from birth until they reach school age. Electronic information management systems are used to maintain individual child records in the Early Intervention (EI) program. What is Early Intervention's Data System? PELICAN (Pennsylvania’s Enterprise to Link Information for Children Across Networks) is the name of OCDEL’s information management system. It is used to manage all the records of children receiving EI services across the Commonwealth. The information that is entered into PELICAN is based on the information families provide to service coordinators or Early Intervention service providers about their child through conversation, correspondence and meetings. The PELICAN system contains: Demographic information about children i.e. name, address, contact information, date of birth etc. Evaluation information Information about family routines and activities so that OCDEL can match the services to the child’s natural settings Individualized Family Service Plans (IFSP) and Individualized Education Programs (IEP) Transition plans To make sure there is only one identifying number assigned to each child, the EI program will ask families to provide the child's Social Security Number (SSN). The child's SSN ensures the proper identification of a child's information, especially if it already exists in other statewide data systems. This prevents families from providing the same information repeatedly. However, providing the child's SSN is not required to receive EI services. Why is information collected in a data system? Child information is collected to allow for effective program management and accountability including: Assessing the effectiveness of EI programs and services in supporting children and families both at the state and local level Identifying best practices and areas for improvement at the state level Completing mandatory state and federal reports Making provider payments. What are the benefits of an electronic data system to families? Families will not have to give the same information repeatedly as they move through the EI program. Each child record in the information management system will be assigned one identifying number. This means that each child receiving services will have only one record in the statewide data system, regardless of how they entered the system or what services they receive. Maintaining child records through an information management system allows the record to be accessible to his/her IFSP/IEP team. It also allows for a smooth exchange of information when a child transitions from one program to another, as the child’s record may be shared quickly with a new program (with parental consent). Data systems promote and assure:  Quality services for children  Program accountability to ensure all resources are used wisely and effectively  Anticipation of changing needs  Continuity of data across programs. Who has access to a child’s information? Child information contained in the information management system is kept confidential and only authorized persons will have access to the records, per federal and state confidentiality, privacy, and security laws. Data in PELICAN is protected by security protocols, which require secure and encrypted servers, unique user names with strong passwords and user roles that are assigned specific security roles and access. This means that:  Only the staff directly involved with a specific child has access to that child’s information.  State personnel have limited access to child information for the purposes of monitoring the delivery of EI services.  Information about a child will not be shared outside a program, except as permitted by law and/or with parental consent.  Families have the right to inspect and review EI records relating to their child and request an amendment to inaccurate information in a record. A copy of a child’s record is also available to families upon request and is kept for a period of four years.  As permitted by law, for transition purposes, a child’s name, date of birth and parent contact information will be shared with the Preschool Early Intervention Program during a transition year to assist with planning purposes. Who should families contact with questions about their child’s record in these data systems? Families should call their child's Service Coordinator, Teacher/Therapist or Preschool EI Supervisor should they have any concerns regarding the collection of child information in PELICAN. If at any time, you feel that confidentiality has been compromised; families may file a complaint with the OCDEL by call 717-346-9320. □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ Parent Rights Agreement Event/Reason for Agreement: _________________________________________________________ Name of Child: ______________________________ Date of Birth: ________________________ Yes N/A I/we have been informed that information gathered is confidential (Family Educational Rights and Privacy Act). I/we received information explaining Early Intervention, our rights, and Procedural Safeguards. I/we understand that parents have the right to accept or decline any or all of the proposed services and activities. I/we have been informed of the screening process and the right to request a Multidisciplinary Evaluation (MDE) anytime during the screening process. I/we give permission for a screening for my child (if a current screening is not available) to determine the need and focus of an MDE. I/we give permission for a MDE for my child (if a current evaluation is not available) to determine eligibility for Early Intervention. I/we have been informed that an Individualized Family Service Plan (IFSP) meeting shall be held within 45 days from the date of referral to the Infant/Toddler Early Intervention Program, if my child is found eligible during the MDE. I/we participated in the MDE and IFSP meetings to discuss, plan, and implement Early Intervention services or tracking services. I/we agree our child no longer needs Early Intervention services because s/he has met exit criteria and all current Early Intervention services will be discontinued. I/We request All activities and services listed on the IFSP. Another meeting to continue to discuss the issues presented today. All tracking activities. All recommended activities and services to be delayed. Only the following IFSP listed activities or services to start: The Screening results indicate Your child is meeting age appropriate developmental milestone for the following reason: Your child is not meeting age appropriate developmental milestones for the following reasons: I/we authorize the following team members/agencies to be provided copies of the Evaluation Report(ER)/IFSP: Name/Agency Address Its entirety or certain sections? I/we are dissatisfied with the proposed services and activities and request: A discussion with the county administrator responsible for the Early Intervention program A mediation session conducted by the Office for Dispute Resolution. A due process hearing conducted by the Office for Dispute Resolution. Filing a complaint with the Bureau of Early Intervention Services and Family Supports. Parent Signatures(s): _______________________________________ Date: _____________________ 05/16/18 Attachment 2 Attachment 3 EARLY INTERVENTION COMPLAINT RESOLUTION PROCESS In order to assist parents in resolving concerns at the local level the Office of Child Development and Early Learning (OCDEL), Bureau of Early Intervention Services and Family Supports (BEISFS), in order to increase communication and collaboration in attempting to resolve a parent complaint, has instituted a birth to five Early Intervention Complaint Resolution Process (EICRP). The purpose of this process is to reduce the number of formal complaints filed with the Bureau of Early Intervention Services, due to issues with the Infant/Toddler Early Intervention (EI) program or Preschool Early Intervention program. It also allows complainants and OCDEL EI Advisors to resolve a concern/problem directly and assist them first in resolving the issue. Families have the opportunity to phone, fax, or email the Infant/Toddler or Preschool EI Program and/or the EI Advisor at any time to resolve an issue before elevating it to the complaint level. That information is: Departments of Human Services and Education Office of Child Development and Early Learning Bureau of Early Intervention Services and Family Supports 333 Market Street, 6th Floor Harrisburg, PA 17126-0333 Email: RA-ocdintervention@pa.gov Fax: 717-346-9320 If a resolution cannot be reached after a review of the issue by the OCDEL EI Advisor the parents have the option to pursue the formal complaint process. The EICRP process is OCDEL’s preferred way to deal proactively with complaint issues and to remain committed in helping families resolve concerns as early and efficiently as possible. Early Intervention Complaint Registry Form Please feel free to make copies of this form or use additional paper. Please print or type. My preferred method of contact by the Office of Child Development and Early Learning (OCDEL) Early Intervention (EI) Advisor assigned to this complaint is: ☐ By phone (list numbers) _________________________________________________________ Best time during normal business hours to call ________________________________________ ☐ In person at a public facility during normal business hours. The location will likely be a County Early Intervention Program Office or Intermediate Unit/Preschool Program Office Are you filing this complaint on behalf of a specific child? Yes ______ No _____ Please provide the name and address of the child: Child’s Name: _________________________________ Date of Birth ___________________ Address: _________________________________ _________________________________ __________________________________ Please provide the name of the Infant/Toddler EI Program or the name of the Preschool EI Program: _____________________________________________________________________________________ Please provide your contact information and your relationship to the child. Name: __________________________________________ Address: __________________________________________ __________________________________________ Phone Number: __________________________ _______________________ ____________________ Home Work Cell Relationship to child: ☐ Parent ☐ Attorney ☐ Advocate ☐ Community Organization ☐ Other On or about what date did the violation occur? _________________________________________ Date To clarify my allegations, I would like the EI Advisor to interview the following person(s). Name Occupation/Title Phone Number/E-Mail Address Please provide a statement about the issue or violation which you believe has occurred. Please include a description about the nature of the problem. Please list the facts that support your statement. Feel free to use extra paper and staple to this form. What do you feel is a satisfactory remedy to this situation? Please provide a copy of this complaint form and any attachments to the child’s EI program. For Infants/Toddlers under the age of three, the form should be sent to the County Early Intervention Coordinator. For Preschoolers age 3-5, the form should be sent to the Preschool EI Supervisor. By signing below, you indicate to the EI Advisor that you have provided a copy of the complaint to the appropriate EI program offices. If you are not sure who to send this complaint form to, please contact OCDEL at 717-346-9320 for assistance. _______________________________________________ ____________________________ Signature Date