[Federal Register: April 14, 1998 (Volume 63, Number 71)]
[Rules and Regulations]
[Page 18289-18296]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr14ap98-12]
[[Page 18289]]
_______________________________________________________________________
Part III
Department of Education
_______________________________________________________________________
34 CFR Part 303
Early Intervention Program for Infants and Toddlers With Disabilities;
Final Rule
Office of Special Education and Rehabilitative Services; Part C of the
Individuals with Disabilities Education Act (IDEA) Amendments of 1997;
Proposed Rule
[[Page 18290]]
DEPARTMENT OF EDUCATION
34 CFR Part 303
RIN 1820-AA97
Early Intervention Program for Infants and Toddlers With
Disabilities
AGENCY: Office of Special Education and Rehabilitative Services,
Department of Education.
ACTION: Final regulations.
-----------------------------------------------------------------------
SUMMARY: The Secretary amends the regulations governing the Early
Intervention Program for Infants and Toddlers with Disabilities. These
amendments are needed to conform the existing regulations to changes
enacted in the Individuals with Disabilities Education Act Amendments
of 1997.
DATES: These regulations take effect on July 1, 1998. However, affected
parties do not have to comply with the information collection
requirements in Secs. 303.100, 303.145, 303.148, 303.167, 303.344,
303.361, 303.426, 303.601, 303.650, and 303.653 until the Department of
Education publishes in the Federal Register the control numbers
assigned by the Office of Management and Budget (OMB) to these
information collection requirements. Publication of the control numbers
in a separate final regulation notifies the public that OMB has
approved these information collection requirements under the Paperwork
Reduction Act of 1995.
FOR FURTHER INFORMATION CONTACT: JoLeta Reynolds or Thomas Irvin, U.S.
Department of Education, 600 Independence Avenue, SW., Switzer
Building, Room 3090, Washington, DC 20202. Telephone: (202) 205-5507.
Individuals who use a telecommunications device for the deaf (TDD) may
call (202) 205-5465.
Individuals with disabilities may obtain this document in an
alternate format (e.g., Braille, large print, audiotape, or computer
diskette) on request to Katie Mimcy, Director of the Alternate Formats
Center. Telephone: (202) 205-8113.
SUPPLEMENTARY INFORMATION:
Background
These regulations conform existing regulations to the amendments to
the Early Intervention Program for Infants and Toddlers with
Disabilities made by the Individuals with Disabilities Education Act
(IDEA) Amendments of 1997, Public Law 105-17, enacted on June 4, 1997.
The statutory amendments governing Part H take effect on July 1, 1998.
One of those amendments transfers the Early Intervention Program from
Part H of the IDEA to Part C. Because these regulations also take
effect on July 1, 1998, we refer to the Early Intervention Program in
these regulations as ``Part C'' of the IDEA.
The Secretary is publishing in this issue of the Federal Register a
Notice of request for advice and recommendations on regulatory issues
regarding Part C of IDEA.
These final regulations incorporate statutory amendments and remove
obsolete regulatory provisions. However, on October 22, 1997, the
Secretary published a notice of proposed rulemaking (NPRM) in the
Federal Register (62 FR 55025) for Parts 300, 301, and 303, that
contains proposed regulations of IDEA that were not affected by the
IDEA Amendments of 1997. (See 62 FR 55053-55054, 55122-55123).
Significant Changes
Although many of the statutory amendments reflected in these
regulations make minor changes, several will have a significant impact
on States. The following is a summary of the major statutory provisions
incorporated in 34 CFR Part 303, the Department's regulations for the
Early Intervention Program for Infants and Toddlers with Disabilities.
1. Policies and Procedures on Natural Environments
The IDEA Amendments of 1997 added two provisions relating to the
provision of early intervention services in natural environments. The
first requires, as a component of each statewide system, policies and
procedures to ensure that, to the maximum extent appropriate, early
intervention services are provided in natural environments, and occur
elsewhere only if early intervention cannot be achieved in a natural
environment. This provision is reflected in Sec. 303.167(c) of these
regulations. Because the components of the statewide system must be
addressed in each State's application for funds under Part C, States
must develop written policies and procedures for submission to the
Department as part of each State's application for funds, and must
implement those policies beginning on July 1, 1998. The second
provision, found in Sec. 303.344(d)(1)(ii) of these regulations,
requires that each individualized family service plan (IFSP) contain a
statement of the natural environments in which services are to be
provided and a justification of the extent, if any, to which the
services will not be provided in a natural environment. In addition,
the Secretary moves the definition of ``natural environments'' from
Sec. 303.12(b) to a new Sec. 303.18 to make it easier to find.
2. Personnel Standards
Section 303.361 is amended to implement two new statutory
provisions that mirror changes regarding personnel made to the Part B
program (Assistance to States for the Education of Children with
Disabilities). The first provision, in section 635(a)(9) of the IDEA
and added to these regulations as Sec. 303.361(f), allows
paraprofessionals and assistants who are appropriately trained and
supervised, under State law, regulations or policy, to be used to
assist in the provision of early intervention services under this part.
Also added, as Sec. 303.361(g), is the new provision from section
635(b) of the IDEA that a State may adopt a policy that includes making
ongoing good-faith efforts to recruit and hire appropriately and
adequately trained personnel to provide early intervention services,
including, in a geographic area where there is a shortage of those
personnel, the most qualified individuals available who are making
satisfactory progress toward completing applicable course work
necessary to meeting State standards within three years.
A State may exercise the option in Sec. 303.361(g) even though the
State has reached its established date, under Sec. 303.361(c), for
training or hiring all personnel in a specific profession or discipline
to meet appropriate professional requirements in the State. As a
practical matter, it is essential that a State have a mechanism for
serving eligible children if service needs exceed available personnel
who meet appropriate professional requirements in the State for a
specific profession or discipline. A State that continues to have
shortages of personnel meeting appropriate professional requirements in
the State must address those shortages in its comprehensive system of
personnel development under Sec. 303.360.
If a State has established only one entry-level academic degree for
employment of personnel in a specific profession, modification of that
standard as necessary to ensure the provision of early intervention
services to all eligible infants and toddlers in the State would not
violate the provisions of Sec. 303.361(b) and (c).
3. Mediation
Section 303.419 is added to these regulations to reflect the new
statutory provisions of section 615(e) of the Act concerning mediation,
made applicable
[[Page 18291]]
to Part C by section 639(a)(8) of the Act. These provisions include the
general responsibility to establish and implement mediation procedures,
specific requirements regarding the mediation process, and the
statutory provision that requires parents who elect not to use
mediation to meet with a disinterested party who would explain the
benefits of mediation and encourage its use.
With respect to Sec. 303.419(b)(2), regarding the list of qualified
mediators, the House Committee Report on Public Law 105-17 includes the
following statement:
* * * the bill provides that the State shall maintain a list of
individuals who are qualified mediators. The Committee intends that
whenever such a mediator is not selected on a random basis from that
list, both the parents and the agency are involved in selecting the
mediator, and are in agreement with the individual who is selected *
* *. Individuals who serve as mediators under part C of this bill
are expected to be selected in the same manner described in this
paragraph and to meet the same criteria of impartiality with respect
to employment in the lead agency [which is prohibited] and not
having a personal and professional conflict of interest. (H. Rep.
No. 105-95, pp. 106-107 (1997)).
High standards of impartiality will encourage the use of mediation
by ensuring parties to a dispute the availability of an objective third
party to mediate disputes.
Section 615(e)(2)(A)(ii) of the Act provides that the mediation
process shall not be used to deny or delay a parent's right to due
process. In accordance with that provision, a public agency should not
deny or delay a parent's right to a due process hearing based on a
parent's failure to participate in the meeting described in
Sec. 303.419(c)(1) of these regulations.
With regard to the provision in Sec. 303.419(b)(6) that mediation
discussions must be confidential and may not be used in any subsequent
due process hearings or civil proceedings, the House Committee Report
on Public Law 105-17 notes that ``nothing in this bill shall supersede
any parental access rights under the Family Educational Rights and
Privacy Act of 1974 or foreclose access to information otherwise
available to the parties.'' (H. Rep. No. 105-95, p. 107 (1997)). The
Report also includes an example of a confidentiality pledge, which
makes clear that the intent of this provision is to protect discussions
that occur in the mediation process from use in subsequent due process
hearings and civil proceedings under the Act, and not to exempt from
discovery, because it was disclosed during mediation, information that
otherwise would be subject to discovery.
4. Payor of Last Resort
Language is added to Sec. 303.527 to reflect the amendment to
section 640 of the Act regarding the prohibition against using Part C
funds to pay for services that would have been paid for from another
source in the absence of Part C. The amendment specifically includes
the CHAMPUS program as such a source of funds. As stated by the House
Report accompanying the bill, ``[t]he bill clarifies that part C is
truly the payor of last resort even for military families who are
eligible for medical programs administered by the Department of
Defense.'' (H. Rep. No.105-95, p.116 (1997)).
5. SICCs
Section 641 of the Act made several changes regarding State
Interagency Coordination Councils (SICCs). First, as reflected in
Sec. 303.600, State discretion as to the number of members on SICCs has
been increased, as Congress deleted the previous membership range.
Second, Sec. 303.601 is amended to include additional required members
of SICCs: At least one representative from a State Head Start agency or
program, and at least one from a State agency responsible for child
care. Third, two new provisions reflect statutory changes that expand
the scope of SICCs' functions. New Sec. 303.650(c) authorizes SICCs to
advise agencies regarding the integration of services for infants and
toddlers with disabilities and at-risk infants and toddlers and their
families, regardless of whether at-risk infants and toddlers are
eligible for services in that State. Finally, in Sec. 303.653,
regarding the transition of toddlers with disabilities, SICCs are now
required to give advice and assistance regarding transition not just of
toddlers with disabilities who are eligible for Part B preschool
services, but also transitions of all other toddlers, to any
appropriate services.
Goals 2000: Educate America Act
The Goals 2000: Educate America Act (Goals 2000) focuses the
Nation's education reform efforts on the eight National Education Goals
and provides a framework for meeting them. Goals 2000 promotes new
partnerships to strengthen schools and expands the Department's
capacities for helping communities to exchange ideas and obtain
information needed to achieve the goals.
These regulations address the National Education Goal that all
children in America will start school ready to learn. The regulations
further the objective of this goal by implementing a program that gives
infants and toddlers with disabilities the services and support needed
to prepare them to participate in school with their peers.
Waiver of Proposed Rulemaking
In accordance with section 437 of the General Education Provisions
Act (20 U.S.C. 1232) and the Administrative Procedure Act (5 U.S.C.
553), it is the practice of the Secretary to offer interested parties
the opportunity to comment on proposed regulations. However, these
regulations merely reflect statutory changes and remove obsolete
regulatory provisions. Removal of the regulations does not establish or
affect substantive policy. Therefore, the Secretary has determined,
under 5 U.S.C. 553(b)(B), that public comment is unnecessary and
contrary to the public interest.
Regulatory Flexibility Act Certification
The Secretary certifies that these regulations would not have a
significant economic impact on a substantial number of small entities.
Because these regulations would affect only States and State
agencies, the regulations would not have an impact on small entities.
States and State agencies are not defined as ``small entities'' in the
Regulatory Flexibility Act.
Intergovernmental Review
This program is subject to the requirements of Executive Order
12372 and the regulations in 34 CFR Part 79. The objective of the
Executive order is to foster an intergovernmental partnership and a
strengthened federalism by relying on processes developed by State and
local governments for coordination and review of proposed Federal
financial assistance.
In accordance with the order, this document is intended to provide
early notification of the Department's specific plans and actions for
this program.
Electronic Access to This Document
Anyone may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or
portable document format (pdf) on the World Wide Web at either of the
following sites:
http://gcs.ed.gov/fedreg.htm
http://www.ed.gov/news.html
To use the pdf you must have the Adobe Acrobat Reader Program with
Search, which is available free at either of the
[[Page 18292]]
previous sites. If you have questions about using the pdf, call the
U.S. Government Printing Office toll free at 1-888-293-6498.
Anyone may also view these documents in text copy only on an
electronic bulletin board of the Department. Telephone: (202) 219-1511
or, toll free, 1-800-222-4922. The documents are located under Option
G--Files/Announcements, Bulletins and Press Releases.
Note: The official version of this document is the document
published in the Federal Register.
List of Subjects in 34 CFR Part 303
Education of individuals with disabilities, Grant programs--
education, Infants and toddlers, Reporting and recordkeeping
requirements.
(Catalog of Federal Domestic Assistance Number: 84.181 Early
Intervention Program for Infants and Toddlers with Disabilities)
Dated: April 7, 1998.
Judith E. Heumann,
Assistant Secretary for Special Education and Rehabilitative Services.
The Secretary amends part 303 of title 34 of the Code of Federal
Regulations as follows:
PART 303--EARLY INTERVENTION PROGRAM FOR INFANTS AND TODDLERS WITH
DISABILITIES
1. The authority citation for part 303 is revised to read as
follows:
Authority: 20 U.S.C. 1431-1445, unless otherwise noted.
2. In the table below, for each section listed in the left column,
remove the authority citation following the section listed in the
middle column, and add the authority citation listed in the right
column:
----------------------------------------------------------------------------------------------------------------
Section Remove Add
----------------------------------------------------------------------------------------------------------------
303.1......................... 20 U.S.C. 1471...... 20 U.S.C. 1431.
303.2......................... 20 U.S.C. 20 U.S.C. 1401(27), 1443.
1401(a)(6), 1484.
303.7......................... 20 U.S.C. 1472(1)... 20 U.S.C. 1432(5).
303.8......................... 20 U.S.C. 1472(4)... 20 U.S.C. 1432(2).
303.9......................... 20 U.S.C. 1471-1485. 20 U.S.C. 1431-1445.
303.10........................ 20 U.S.C. 1472(3)... 20 U.S.C. 1432(3).
303.11........................ 20 U.S.C. 1471-1485. 20 U.S.C. 1431-1445.
303.12........................ 20 U.S.C. 20 U.S.C. 1401(1) and (2); 1432(4).
1401(a)(25) and
(a)(26), 1472(2);
H.R.Rep.No.198,
102d Cong., 1st
Sess. 14 (1991);
S.Rep. No.84, 102d
Cong., 1st Sess. 21-
22 (1991)..
303.13........................ 20 U.S.C. 1472(2)... 20 U.S.C. 1432(4).
303.14........................ 20 U.S.C. 1477...... 20 U.S.C. 1436.
303.15........................ 20 U.S.C. 1471-1485. 20 U.S.C. 1431-1445.
303.16........................ 20 U.S.C. 1472(1)... 20 U.S.C. 1432(5).
303.17........................ 20 U.S.C. 20 U.S.C. 1435(a)(3), 1436(a).
1476(b)(3), 1477(a).
303.18........................ 20 U.S.C. 1477...... 20 U.S.C. 1436.
303.19........................ 20 U.S.C. 1471-1485. 20 U.S.C. 1431-1445.
303.20........................ 20 U.S.C. 1471-1485. 20 U.S.C. 1431-1445.
303.21........................ 20 U.S.C. 1472(2)... 20 U.S.C. 1432(4).
303.22........................ 20 U.S.C. 1472(2)... 20 U.S.C. 1432(4).
303.23........................ 20 U.S.C. 1401(a)(6) 20 U.S.C. 1401(27).
303.24........................ 20 U.S.C. 1471-1485. 20 U.S.C. 1431-1445.
303.101....................... 20 U.S.C. 1478...... 20 U.S.C. 1437.
303.110....................... 20 U.S.C. 1478(a)(4) 20 U.S.C. 1437(a)(3).
303.111....................... 20 U.S.C. 20 U.S.C. 1437(a)(7).
1478(a)(4)(A).
303.112....................... 20 U.S.C. 1478(a)(4) 20 U.S.C. 1437(a)(7).
303.120....................... 20 U.S.C. 1478(b)... 20 U.S.C. 1437(b).
303.121....................... 20 U.S.C. 1478(b)(4) 20 U.S.C. 1437(b)(4).
303.122....................... 20 U.S.C. 1478(b)(3) 20 U.S.C. 1437(b)(3).
303.123....................... 20 U.S.C. 20 U.S.C. 1437(b)(5)(A).
1478(b)(5)(A).
303.124....................... 20 U.S.C. 20 U.S.C. 1437(b)(5)(B).
1478(b)(5)(B).
303.125....................... 20 U.S.C. 1478(b)(6) 20 U.S.C. 1437(b)(6).
303.126....................... 20 U.S.C. 1478(b)(2) 20 U.S.C. 1437(b)(2).
303.127....................... 20 U.S.C. 1478(b)(1) 20 U.S.C. 1437(b)(1).
303.128....................... 20 U.S.C. 1478(b)(7) 20 U.S.C. 1437(b)(7).
303.141....................... 20 U.S.C. 1478(a)(3) 20 U.S.C. 1437(a)(3).
303.142....................... 20 U.S.C. 1478(a)(1) 20 U.S.C. 1437(a)(1).
303.143....................... 20 U.S.C. 1478(a)(2) 20 U.S.C. 1437(a)(2).
303.144....................... 20 U.S.C. 1478(a)(4) 20 U.S.C. 1437(a)(3).
303.145....................... 20 U.S.C. 1478(a)(4) 20 U.S.C. 1437(a)(3) and (a)(5).
and (a)(6).
303.146....................... 20 U.S.C. 1478(a)(5) 20 U.S.C. 1437(a)(7).
303.148....................... 20 U.S.C. 1478(a)(8) 20 U.S.C. 1437(a)(8).
303.160....................... 20 U.S.C. 1476(a), 20 U.S.C. 1435(a), 1437(a)(9).
1478(a)(9).
303.161....................... 20 U.S.C. 1476(b)(1) 20 U.S.C. 1435(a)(1).
303.162....................... 20 U.S.C. 1476(b)(7) 20 U.S.C. 1435(a)(7).
303.164....................... 20 U.S.C. 1476(b)(6) 20 U.S.C. 1435(a)(6).
303.165....................... 20 U.S.C. 1476(b)(5) 20 U.S.C. 1435(a)(5).
303.166....................... 20 U.S.C. 20 U.S.C. 1435(a)(3); 1436(a)(1), (d)(2), and (d)(3).
1476(b)(3);
1477(a)(1), (d)(2),
and (d)(3).
303.167....................... 20 U.S.C. 20 U.S.C. 1435(a)(4), 1436(d).
1476(b)(4), 1477(d).
303.168....................... 20 U.S.C. 1476(b)(8) 20 U.S.C. 1435(a)(8).
303.169....................... 20 U.S.C. 20 U.S.C. 1435(a)(9).
1476(b)(13).
303.170....................... 20 U.S.C. 20 U.S.C. 1435(a)(13).
1476(b)(12).
303.171....................... 20 U.S.C. 1476 20 U.S.C. 1435(a)(10)(A).
(b)(9)(A).
303.172....................... 20 U.S.C. 1476(b)(9) 20 U.S.C. 1435(a)(10).
303.173....................... 20 U.S.C. 20 U.S.C. 1435(a)(10)(D) and (E), 1435(a)(12), 1440.
1476(b)(9)(D) and
(b)(d)(E),
1476(b)(11), 1481.
[[Page 18293]]
303.174....................... 20 U.S.C. 20 U.S.C. 1435(a)(10)(E) and (F).
1476(b)(9)(E).
303.175....................... 20 U.S.C. 20 U.S.C. 1435(a)(11).
1476(b)(10).
303.176....................... 20 U.S.C. 20 U.S.C. 1435(a)(14).
1476(b)(14).
303.180....................... 20 U.S.C. 1484(b); 20 U.S.C. 1443(b).
H.R. Rep. No. 198,
102d Cong., 1st
Sess.22 (1991).
303.200....................... 20 U.S.C. 1484(c)... 20 U.S.C. 1443(c).
303.201....................... 20 U.S.C. 1484(d)... 20 U.S.C. 1443(d).
303.202....................... 20 U.S.C. 1484(c)(1) 20 U.S.C. 1443(c)(2).
303.203....................... 20 U.S.C. 1484(b)... 20 U.S.C. 1443(b).
303.300....................... 20 U.S.C. 1472(1), 20 U.S.C. 1432(5), 1435(a)(1).
1476(b)(1).
303.301....................... 20 U.S.C. 1476(b)(7) 20 U.S.C. 1435(a)(7).
303.320....................... 20 U.S.C. 1476(b)(6) 20 U.S.C. 1435(a)(6).
303.321....................... 20 U.S.C. 1432(4)(E)(vii), 1435(a)(5).
1472(2)(E)(vii),
1476(b)(5).
303.322....................... 20 U.S.C. 20 U.S.C. 1435(a)(3); 1436(a)(1), (a)(2), (d)(1), and
1476(b)(3); (d)(2).
1477(a)(1), (a)(2),
(d)(1), and (d)(2).
303.323....................... 20 U.S.C. 20 U.S.C. 1435(a)(3); 1436(a)(1), (d)(2), and (d)(3).
1476(b)(3);
1477(a)(1), (d)(2),
and (sic).
303.340....................... 20 U.S.C. 1477...... 20 U.S.C. 1436.
303.342....................... 20 U.S.C. 1477...... 20 U.S.C. 1436.
303.343....................... 20 U.S.C. 1477(b)... 20 U.S.C. 1436(b).
303.344....................... 20 U.S.C. 1477(d)... 20 U.S.C. 1436(d).
303.345....................... 20 U.S.C. 1477(c)... 20 U.S.C. 1436(c).
303.346....................... 20 U.S.C. 1477...... 20 U.S.C. 1436.
303.360....................... 20 U.S.C. 1476(b)(8) 20 U.S.C. 1435(a)(8).
303.361....................... 20 U.S.C. 20 U.S.C. 1435(a)(9).
1476(b)(13).
303.400....................... 20 U.S.C. 1480...... 20 U.S.C. 1439.
303.401....................... 20 U.S.C. 1480...... 20 U.S.C. 1439.
303.402....................... 20 U.S.C. 1480(4)... 20 U.S.C. 1439(a)(4).
303.404....................... 20 U.S.C. 1480...... 20 U.S.C. 1439.
303.405....................... 20 U.S.C. 1480(3)... 20 U.S.C. 1439(a)(3).
303.406....................... 20 U.S.C. 1480(5)... 20 U.S.C. 1439(a)(5).
303.420....................... 20 U.S.C. 1480(1)... 20 U.S.C. 1439(a)(1).
303.421....................... 20 U.S.C. 1480(1)... 20 U.S.C. 1439(a)(1).
303.422....................... 20 U.S.C. 1480...... 20 U.S.C. 1439.
303.423....................... 20 U.S.C. 1480(1)... 20 U.S.C. 1439(a)(1).
303.424....................... 20 U.S.C. 1480(1)... 20 U.S.C. 1439(a)(1).
303.425....................... 20 U.S.C. 1480(7)... 20 U.S.C. 1439(a)(7).
303.460....................... 20 U.S.C. 1480(2), 20 U.S.C. 1439(a)(2), 1442.
1483.
303.500....................... 20 U.S.C. 1476(b)(9) 20 U.S.C. 1435(a)(10).
303.501....................... 20 U.S.C. 20 U.S.C. 1435(a)(10)(A).
1476(b)(9)(A).
303.521....................... 20 U.S.C. 1472(2)... 20 U.S.C. 1432(4).
303.522....................... 20 U.S.C. 20 U.S.C. 1435(a)(10)(B).
1476(b)(9)(B).
303.523....................... 20 U.S.C. 20 U.S.C. 1435(a)(10)(C) and (a)(10)(F).
1476(b)(9)(C) and
(b)(9)(F).
303.524....................... 20 U.S.C. 20 U.S.C. 1435(a)(10)(C) and (a)(10)(E).
1476(b)(9)(C) and
(b)(9)(E).
303.525....................... 20 U.S.C. 20 U.S.C. 1435(a)(10)(D).
1476(b)(9)(D).
303.526....................... 20 U.S.C. 20 U.S.C. 1435(a)(11).
1476(b)(10).
303.527....................... 20 U.S.C. 1481...... 20 U.S.C. 1440.
303.528....................... 20 U.S.C. 20 U.S.C. 1435(a)(12).
1476(b)(11).
303.540....................... 20 U.S.C. 20 U.S.C. 1435(a)(14).
1476(b)(14).
303.560....................... 20 U.S.C. 1473, 20 U.S.C. 1433, 1435(a)(10).
1476(b)(9).
303.600....................... 20 U.S.C. 1482(a)... 20 U.S.C. 1441(a).
303.601....................... 20 U.S.C. 1482(b)... 20 U.S.C. 1441(b).
303.602....................... 20 U.S.C. 1479, 20 U.S.C. 1438, 1441(c) and (d).
1482(c) and (d).
303.603....................... 20 U.S.C. 1482(c) 20 U.S.C. 1441(c) and (d).
and (d).
303.604....................... 20 U.S.C. 1482(f)... 20 U.S.C. 1441(f).
303.650....................... 20 U.S.C. 20 U.S.C. 1441(e)(1)(A) and (e)(2).
1482(e)(1)(A) and
(e)(2).
303.651....................... 20 U.S.C. 20 U.S.C. 1441(e)(1)(A).
1482(e)(1)(A).
303.652....................... 20 U.S.C. 20 U.S.C. 1441(e)(1)(B).
1482(e)(1)(B).
303.653....................... 20 U.S.C. 20 U.S.C. 1441(e)(1)(C).
1482(e)(1)(C).
303.654....................... 20 U.S.C. 20 U.S.C. 1441(e)(1)(D).
1482(e)(1)(D).
----------------------------------------------------------------------------------------------------------------
3. In Part 303 revise all references to ``Part H'' to read ``Part
C''.
Sec. 303.1 [Amended]
4. Section 303.1(a) is amended by removing the word ``Develop'' and
adding, in its place, the word ``Maintain''.
Sec. 303.2 [Amended]
5. Section 303.2 is amended by adding a period after ``Mariana
Islands'' and removing the remainder of the sentence.
6. Section 303.3 is amended by removing ``plan, develop,'' and
adding, in its place, the word ``maintain'' in paragraph (a); and by
adding a new paragraph (e) and revising the authority citation
following the section to read as follows:
Sec. 303.3 Activities that may be supported under this part.
* * * * *
(e) To strengthen the statewide system by initiating, expanding, or
improving collaborative efforts related to at-risk infants and
toddlers, including establishing linkages with appropriate
[[Page 18294]]
public or private community-based organizations, services, and
personnel for the purpose of--
(1) Identifying and evaluating at-risk infants and toddlers;
(2) Making referrals of the infants and toddlers identified and
evaluated under paragraph (e)(1) of this section; and
(3) Conducting periodic follow-up on each referral under paragraph
(e)(2) of this section to determine if the status of the infant or
toddler involved has changed with respect to the eligibility of the
infant or toddler for services under this part.
(Authority: 20 U.S.C. 1433 and 1438)
Sec. 303.5 [Amended]
7. Section 303.5 is amended by removing ``; and'' at the end of
paragraph (a)(1)(vii), and adding, in its place, a period; and by
removing paragraph (a)(1)(viii).
Sec. 303.12 [Amended]
8. Section 303.12 is amended by removing paragraph (b)(2) and
removing the paragraph designation ``(1)'' in paragraph (b).
Secs. 303.18-303.24 [Redesignated]
9. Sections 303.18 through 303.24 are redesignated as Secs. 303.19
through 303.25, respectively.
10. A new Sec. 303.18 is added to read as follows:
Sec. 303.18 Natural environments.
As used in this part, natural environments means settings that are
natural or normal for the child's age peers who have no disabilities.
(Authority: 20 U.S.C. 1435 and 1436)
Sec. 303.20 [Amended]
11. Redesignated Sec. 303.20(b)(1) is amended by removing the words
``develop and implement'', and adding, in their place, the word
``maintain''; and by removing ``303.150'', and adding, in its place,
``303.140''.
Sec. 303.24 [Amended]
12-13. Redesignated Sec. 303.24 is amended by adding a period after
``Mariana Islands'' and removing the remainder of the sentence.
14. Section 303.100 is revised to read as follows:
Sec. 303.100 Conditions of assistance.
(a) In order to receive funds under this part for any fiscal year,
a State must have--
(1) An approved application that contains the information required
in this part, including--
(i) The information required in Secs. 303.140 through 303.148; and
(ii) The information required in Secs. 303.161 through 303.176; and
(2) The statement of assurances required under Secs. 303.120
through 303.128, on file with the Secretary.
(b) If a State has on file with the Secretary a policy, procedure,
or assurance that demonstrates that the State meets an application
requirement, including any policy or procedure filed under this part
before July 1, 1998, that meets such a requirement, the Secretary
considers the State to have met that requirement for purposes of
receiving a grant under this part.
(c) An application that meets the requirements of this part remains
in effect until the State submits to the Secretary modifications of
that application.
(d) The Secretary may require a State to modify its application
under this part to the extent necessary to ensure the State's
compliance with this part if--
(1) An amendment is made to the Act, or to a regulation under this
part;
(2) A new interpretation is made to the Act by a Federal court or
the State's highest court; or
(3) An official finding of noncompliance with Federal law or
regulations is made with respect to the State.
(Authority: 20 U.S.C. 1434 and 1437)
Sec. 303.111 [Amended]
15. Section 303.111 is amended by adding ``, including individuals
with disabilities and parents of infants and toddlers with
disabilities,'' after the word ``public'' in paragraph (a); and by
removing ``part H'', and adding, in its place, ``part C'' in paragraph
(b)(1).
16. Section 303.113 is amended by revising the heading, revising
paragraph (b), and revising the authority citation following the
section to read as follows:
Sec. 303.113 Reviewing public comments received.
* * * * *
(b) Submission to the Secretary. In submitting the State's
application or policy to the Secretary, the lead agency shall include
copies of news releases, advertisements, and announcements used to
provide notice to the general public, including individuals with
disabilities and parents of infants and toddlers with disabilities.
(Authority: 20 U.S.C. 1437(a)(7))
Sec. 303.124 [Amended]
17. Section 303.124(a) is amended by removing the words ``and
increase'' after the word ``supplement''.
18. Section 303.140 is revised to read as follows:
Sec. 303.140 General.
A State's application under this part must contain information and
assurances demonstrating to the satisfaction of the Secretary that--
(a) The statewide system of early intervention services required in
this part is in effect; and
(b) A State policy is in effect that ensures that appropriate early
intervention services are available to all infants and toddlers with
disabilities and their families, including Indian infants and toddlers
with disabilities and their families residing on a reservation
geographically located in the State.
(Authority: 20 U.S.C. 1434 and 1435(a)(2))
Sec. 303.144 [Amended]
19. Section 303.144 is amended by removing ``plan, develop,'' and
adding, in its place, ``maintain''.
20. Section 303.145 is amended by removing ``(d)'' in paragraph
(a), and adding, in its place, ``(e)''; adding ``including a
description of any services provided to at-risk infants and toddlers as
defined in Sec. 303.16(b), and their families,'' in paragraph (d)(1)
before the word ``consistent''; redesignating paragraph (e) as
paragraph (f); and adding a new paragraph (e) to read as follows:
Sec. 303.145 Description of use of funds.
* * * * *
(e) At-risk infants and toddlers. For any State that does not
provide direct services for at-risk infants and toddlers described in
paragraph (d)(1) of this section, but chooses to use funds as described
in Sec. 303.3(e), each application must include a description of how
those funds will be used.
* * * * *
21. Section 303.147 is revised to read as follows:
Sec. 303.147 Services to all geographic areas.
Each application must include a description of the procedure used
to ensure that resources are made available under this part for all
geographic areas within the State.
(Authority: 20 U.S.C. 1437(a)(6))
22. Section 303.148 is amended by revising the undesignated
introductory text, paragraph (a), and paragraph (b); and, in note 1
following the authority citation, adding a period after the word
``agencies'' in the first bullet and removing the remainder of the
sentence, adding a period after the word ``children'' in the second
bullet and removing the remainder of the sentence, and removing
``sections 613(a)(15) and 614(a)(5) of the Act'' and adding, in its
[[Page 18295]]
place, ``section 612(a)(9) of the Act'' in the third bullet; and
removing note 2 following the authority citation; to read as follows:
Sec. 303.148 Transition to preschool programs.
Each application must include a description of the policies and
procedures to be used to ensure a smooth transition for children
receiving early intervention services under this part to preschool or
other appropriate services, including--
(a) A description of how the families will be included in the
transition plans;
(b) A description of how the lead agency under this part will--
(1) Notify the local educational agency for the area in which the
child resides that the child will shortly reach the age of eligibility
for preschool services under Part B of the Act, as determined in
accordance with State law;
(2)(i) In the case of a child who may be eligible for preschool
services under Part B of the Act, with the approval of the family of
the child, convene a conference among the lead agency, the family, and
the local educational agency at least 90 days, and at the discretion of
the parties, up to 6 months, before the child is eligible for the
preschool services, to discuss any services that the child may receive;
or
(ii) In the case of a child who may not be eligible for preschool
services under Part B of the Act, with the approval of the family, make
reasonable efforts to convene a conference among the lead agency, the
family, and providers of other appropriate services for children who
are not eligible for preschool services under Part B, to discuss the
appropriate services that the child may receive;
(3) Review the child's program options for the period from the
child's third birthday through the remainder of the school year; and
(4) Establish a transition plan; and
* * * * *
23. Sections 303.149 through 303.155 and the undesignated center
heading preceding Sec. 303.149 are removed.
24. The undesignated center heading preceding Sec. 303.160 is
amended by removing ``for years four, five, and thereafter''.
Sec. 303.160 [Amended]
25. Section 303.160 is amended by removing the words ``on
reservations'' and adding, in their place, the words ``and their
families residing on a reservation geographically located in the
State''.
Sec. 303.163 [Removed and Reserved]
26. Section 303.163 is removed and reserved.
27. Section 303.167 is amended by revising paragraph (a); removing
the period at the end of paragraph (b)(2), and adding, in its place,
``; and''; and adding a new paragraph (c) to read as follows:
Sec. 303.167 Individualized family service plans.
* * * * *
(a) An assurance that a current IFSP is in effect and implemented
for each eligible child and the child's family;
* * * * *
(c) Policies and procedures to ensure that--
(1) To the maximum extent appropriate, early intervention services
are provided in natural environments; and
(2) The provision of early intervention services for any infant or
toddler occurs in a setting other than a natural environment only if
early intervention cannot be achieved satisfactorily for the infant or
toddler in a natural environment.
Sec. 303.170 [Amended]
28. Section 303.170 is amended by removing ``303.420'' and adding,
in its place, ``303.419'' in paragraph (a); and inserting ``303.419,''
before ``303.420(b)'' in paragraph (b)(2).
29. Section 303.204 is amended by designating the existing text as
paragraph (a), adding a new paragraph (b), and revising the authority
citation following the section to read as follows:
Sec. 303.204 Payments to the jurisdictions.
* * * * *
(b) The provisions of Pub. L. 95-134, permitting the consolidation
of grants to the outlying areas, do not apply to funds provided under
paragraph (a) of this section.
(Authority: 20 U.S.C. 1443(a))
Sec. 303.205 [Removed]
30. Section 303.205 is removed.
Sec. 303.302 [Amended]
31. Section 303.302 and the note following the section are removed.
Sec. 303.320 [Amended]
32. Section 303.320 is amended by removing the words ``of
information materials'' in the undesignated introductory text, and
adding, in their place, ``, especially hospitals and physicians, of
materials''.
Sec. 303.321 [Amended]
33. Section 303.321 is amended by adding a period after the word
``services'' the first place it appears in paragraph (b)(2) and
removing the remainder of the sentence.
Sec. 303.322 [Amended]
34. Section 303.322 is amended by removing the words ``including
assessment activities related to the child and the child's family'' in
paragraph (a)(1) and adding, in their place, ``and a family-directed
identification of the needs of each child's family to appropriately
assist in the development of the child''; removing the words ``related
to enhancing the development of the child'' in paragraph (d)(1), and
adding, in their place, ``and the identification of the supports and
services necessary to enhance the family's capacity to meet the
developmental needs of the child''; and removing the note following the
section.
Sec. 303.341 [Removed and Reserved]
35. Section 303.341 is removed and reserved.
Sec. 303.344 [Amended]
36. Section 303.344(d)(1)(ii) is amended by adding ``Sec. 303.18''
after ``Sec. 303.12(b)'' and adding ``, and a justification of the
extent, if any, to which the services will not be provided in a natural
environment'' after ``provided''.
Sec. 303.360 [Amended]
37. Section 303.360 is amended by adding ``and inner-city'' after
the word ``rural'' in paragraph (c)(3); and adding ``or to other
preschool or other appropriate services'' after the word ``Act'' in
paragraph (c)(4).
38. Section 303.361 is amended by adding new paragraphs (f) and (g)
to read as follows:
Sec. 303.361 Personnel standards.
* * * * *
(f) A State may allow paraprofessionals and assistants who are
appropriately trained and supervised, in accordance with State law,
regulations, or written policy, to assist in the provision of early
intervention services to eligible children under this part.
(g) In implementing this section, a State may adopt a policy that
includes making ongoing good-faith efforts to recruit and hire
appropriately and adequately trained personnel to provide early
intervention services to eligible children, including, in a geographic
area of the State where there is a shortage of personnel that meet
these qualifications, the most qualified individuals available who are
making satisfactory progress toward completing applicable course work
necessary to meet the standards described in paragraph (b)(2) of this
[[Page 18296]]
section, consistent with State law, within three years.
39. Section 303.406 is amended by revising paragraph (d)(1) to read
as follows:
Sec. 303.406 Surrogate parents.
* * * * *
(d) * * *
(1) A person assigned as a surrogate parent may not be--
(i) An employee of any State agency; or
(ii) A person or an employee of a person providing early
intervention services to the child or to any family member of the
child.
* * * * *
40. The undesignated center heading preceding Sec. 303.420 is
revised to read ``Mediation and Due Process Procedures for Parents and
Children''.
41. A new Sec. 303.419 is added following the undesignated center
heading to read as follows:
Sec. 303.419 Mediation.
(a) General. Each State shall ensure that procedures are
established and implemented to allow parties to disputes involving any
matter described in Sec. 303.403(a) to resolve the disputes through a
mediation process which, at a minimum, must be available whenever a
hearing is requested under Sec. 303.420. The lead agency may either use
the mediation system established under Part B of the Act or establish
its own system.
(b) Requirements. The procedures must meet the following
requirements:
(1) The procedures must ensure that the mediation process--
(i) Is voluntary on the part of the parties;
(ii) Is not used to deny or delay a parent's right to a due process
hearing under Sec. 303.420, or to deny any other rights afforded under
Part C of the Act; and
(iii) Is conducted by a qualified and impartial mediator who is
trained in effective mediation techniques.
(2) The State shall maintain a list of individuals who are
qualified mediators and knowledgeable in laws and regulations relating
to the provision of special education and related services.
(3) The State shall bear the cost of the mediation process,
including the costs of meetings described in paragraph (c) of this
section.
(4) Each session in the mediation process must be scheduled in a
timely manner and must be held in a location that is convenient to the
parties to the dispute.
(5) An agreement reached by the parties to the dispute in the
mediation process must be set forth in a written mediation agreement.
(6) Discussions that occur during the mediation process must be
confidential and may not be used as evidence in any subsequent due
process hearings or civil proceedings, and the parties to the mediation
process may be required to sign a confidentiality pledge prior to the
commencement of the process.
(c) Meeting to encourage mediation. A State may establish
procedures to require parents who elect not to use the mediation
process to meet, at a time and location convenient to the parents, with
a disinterested party--
(1) Who is under contract with a parent training and information
center or community parent resource center in the State established
under sections 682 or 683 of the Act, or an appropriate alternative
dispute resolution entity; and
(2) Who would explain the benefits of the mediation process and
encourage the parents to use the process.
(Authority: 20 U.S.C. 1415(e) and 1439(a)(8))
Sec. 303.420 [Amended]
42. Section 303.420 is amended by revising the heading to read
``Due process procedures.''; adding ``including procedures for
mediation as described in Sec. 303.419,'' after the words ``written
procedures'' in the undesignated introductory text; adding ``mediation
and'' before ``due process'' in paragraph (a); adding ``Sec. 303.419
and'' before ``Sec. 303.421'' in paragraph (b)(1); and, in note 2
following the section, removing the second and third paragraphs.
Sec. 303.424 [Amended]
43-45. Section 303.424 is revised by removing ``section 680(1) of
the Act'' and adding, in its place, ``section 639(a)(1) of the Act.''
Sec. 303.522 [Amended]
46. Section 303.522 is amended by removing paragraph (b)(5) and
redesignating paragraphs (b)(6) and (7) as paragraphs (b)(5) and (6),
respectively.
Sec. 303.527 [Amended]
47. Section 303.527 is amended by removing ``but for the enactment
of Part H of the Act'' in paragraph (a), and adding, in its place, ``,
including any medical program administered by the Secretary of Defense,
but for the enactment of Part C of the Act''.
48. Section 303.540 is amended by revising paragraph (a)(2) to read
as follows:
Sec. 303.540 Data collection.
(a) * * *
(2) Provide for reporting data required under section 618 of the
Act that relates to this part.
* * * * *
49. Section 303.600 is amended by revising paragraph (a) to read as
follows:
Sec. 303.600 Establishment of Council.
(a) A State that desires to receive financial assistance under this
part shall establish a State Interagency Coordinating Council.
* * * * *
50. Section 303.601 is amended by revising paragraph (a)(7) and
adding new paragraphs (a)(8) and (9) to read as follows:
Sec. 303.601 Composition.
(a) * * *
(7) At least one member must be from the agency responsible for the
State governance of health insurance.
(8) At least one member must be from a Head Start agency or program
in the State.
(9) At least one member must be from a State agency responsible for
child care.
* * * * *
Sec. 303.602 [Amended]
51. Section 303.602 is amended by removing the word ``by'' in
paragraph (a) introductory text, and adding, in its place, the word
``of''.
52. Section 303.650 is amended by adding a new paragraph (c) to
read as follows:
Sec. 303.650 General.
* * * * *
(c) Each Council may advise appropriate agencies in the State with
respect to the integration of services for infants and toddlers with
disabilities and at-risk infants and toddlers and their families,
regardless of whether at-risk infants and toddlers are eligible for
early intervention services in the State.
Sec. 303.653 [Amended]
53. Section 303.653 is amended by adding ``preschool and other
appropriate services.'' after the word ``to'' and removing the
remainder of the sentence.
Sec. 303.670 [Amended]
54. Section 303.670 and the preceding undesignated center heading
are removed.
[FR Doc. 98-9682 Filed 4-13-98; 8:45 am]
BILLING CODE 4000-01-P