FAQ

 FREQUENTLY ASKED QUESTIONS
Here is a list to the most frequently asked questions related to special education laws and guidance. You can click on a title below to be taken to the section. If you have additional questions or would like us to include another FAQ topic, please email us at ecdc@syr.edu
 

 


FAQ on State Performance Plan Indicator #7 (Improving Childhood Outcomes)
The following information is to assist approved preschool evaluators, school district evaluation staff and Committees on Preschool Special Education (CPSEs) or Committees on Special Education (CSEs) in filling out the Child Outcomes Summary Form and Summary Assessment Results Form (11/06) for entry and exit assessments. The shaded column to the left on the Child Outcomes Summary Form indicates who should fill in the requested information.
ENTRY ASSESSMENTS
Approved preschool evaluators
      1. Fill in the child’s name and date of birth on the Child Outcomes Summary Form for every preschool child evaluated.
      2. Complete the tables of supporting evidence for questions 1a, 2a and 3a on the Child Outcomes Summary Form identifying:
        1. the source of information (name of assessment and edition),
        2. date the assessment was given, and
        3. a summary of relevant results in each of the three outcome areas.
      3. Provide assurance that the Preschool Student Evaluation Summary Report has sufficient detailed information for the CPSE to identify on a scale of 1-7 the child’s typical functioning in the three outcome areas.
CPSEs
      1. Review the information provided by the approved preschool evaluator in the Preschool Student Evaluation Summary Report, Child Outcomes Summary Form and assessment results.  Determine the child’s eligibility for preschool special education programs and/or services.
      2. For preschool children found to be eligible for preschool special education programs and/or services, complete the remainder of cover page information, including the date of CPSE meeting, child’s school district identification number, persons attending the CPSE meeting and their roles, and methods of collecting family information on the child’s functioning on the Child Outcomes Summary Form.
      3. Identify on a scale of 1-7 the child’s typical functioning (not his/her capacity to function under ideal circumstances) across typical settings in each of the three outcome areas identified in questions 1a, 2a, and 3a, which relate to the child’s behaviors and skills. Only one rating (number) should be circled for each outcome.  Transcribe this rating number to the summary assessment results page. Children rated as 6 or 7 are considered as having functioning typical of their same-aged nondisabled peers.
      4. Do not complete questions 1b, 2b and 3b.  This is for the exit assessment process.
      5. Retain the Child Outcomes Summary Form in the child’s record.
EXIT ASSESSMENTS
Approved preschool evaluators or school district evaluation staff
If the child is being considered for declassification as a preschooler, approved preschool evaluators will provide the following exit assessment information to the CPSE. If a child is referred to the CSE, school district evaluation staff will provide the following exit assessment information to the CSE:
      1. complete tables and supporting evidence for questions 1a, 2a and 3a on the Child Outcomes Summary Form identifying:
        1. the source of information (name of assessment and edition),
        2. date the assessment was given, and
        3. a summary of relevant results in each of the three outcome areas.
      1. assurance that the Preschool Student Evaluation Summary (approved preschool evaluator), or Evaluation Report (school district evaluator) has sufficient detailed information for the CPSEs (in the case of declassification) or CSEs (in the case of a referral) to identify on a scale of 1-7 the child’s typical functioning in the three outcome areas and information that will enable them to determine if the child learned any new skill or behavior since entry into preschool special education.
 CPSE or CSE
 The CPSE or CSE must:
      1. indicate the date of the CPSE or CSE meeting, identify the persons attending the meeting and their role(s) and indicate the methods for collecting family information on the child’s functioning.
      2. review the information provided by the approved preschool evaluator or school district evaluation staff, the Child Outcomes Summary Form at entry and current assessment reports.
      3. determine the child’s continuing eligibility for preschool special education programs and/or services or his/her eligibility for special education as a school-aged student.
      4. determine in each of the three outcome areas identified in questions 1b, 2b and 3b whether the child has shown any new skill or behavior in the area and circle “yes” or “no”.  If answering “yes”, then indicate what progress has been made. (*new data element)
      5. identify on a scale of 1-7 the child’s typical functioning (not his/her capacity to function under ideal circumstances) across typical settings in each of the three outcome areas identified in questions 1c, 2c, and 3c, that relate to the child’s behaviors and skills. Only one rating (number) should be circled for each outcome.  This information must also be transcribed to the summary assessment results page. Children rated as 6 or 7 are considered as having functioning typical of their same-aged nondisabled peers.
      6. retain the Child Outcomes Summary Form in the child’s record.
Frequently Asked Questions Related to SPP #7
1.   Who determines the entry level of functioning of a preschool student with a disability in each of the outcome areas?   
All determinations regarding the entry level of functioning of preschool students with disabilities in these outcome areas are made by the Committee on Preschool Special Education (CPSE). Parents are members of the CPSE for their own child and participate in making these determinations.
2.   Must prior written notice sent to parent(s) for the initial evaluation include information regarding the use of the evaluations to determine entry level of functioning?
Yes.  Upon receipt of a referral for initial evaluation, parents must receive prior written notice that includes a description of the proposed evaluation and the uses to be made of the information obtained through the evaluation.
3.   Can a parent refuse to have their child’s assessment data used for purposes of Office of Special Education Programs’ (OSEP) outcomes data collection? 
States are encouraged to provide information to families about the purposes of OSEP’s child outcome data collection, as well as opportunities to discuss and provide input to their State plan. Since this data is needed for federal accountability for the Part C and PartB/619 programs, families cannot refuse to have their child’s assessment data included in the school districts’ submission to the State Education Department.
4.    Must CPSE’s determine entry levels of functioning in each early childhood outcome area for all preschool children with disabilities determined eligible who were evaluated on or after March 1, 2006? 
Yes.  All preschool students with disabilities must be assessed in the three early childhood outcome areas during the initial evaluation process to determine eligibility for preschool special education and/or services.
5.    Must a copy of the Child Outcomes Summary Form be provided to parents after the evaluation is conducted?
Consistent with section 200.16(2)(c) of the Regulations of the Commissioner of education, reports of the assessment and/or the summary report of the evaluation must be provided to all the members of the CPSE, including the child’s parent.
6.      Must the Child Outcomes Summary Form, including entry levels of functioning, be provided to parents after the student is determined eligible for preschool special education? 
Yes. It should be provided to the parent when the copy of the individualized education program (IEP) is provided as part of the documentation of the meeting.
7.    Must parents pay to receive a copy of the Child Outcomes Summary Form?
 No.
 

Evaluations of Three- and Four-Year-Old Children Suspected of Having Disabilities Pursuant to Section 4410 of the Education Law
1. Who is responsible for identifying the specific evaluation components for each individual evaluation for each preschool child suspected of having a disability?
 The Committee on Preschool Special Education (CPSE) has the primary responsibility to identify and to authorize the specific components of each individual preschool evaluation, including the required components and any other appropriate assessments or evaluations.  (Please refer to the “Glossary of Terms” – Tables 1 and 2 – Pages 8 and 9).  A group that includes the CPSE, the student’s parents and other qualified professionals of various disciplines must review existing evaluation data on the student to determine what additional data, if any, are needed to determine a student’s eligibility for special education, the present levels of educational performance and the needs of the student.  With the consent of the parents, approved evaluators and committees are provided with the most recent evaluation report for a child in transition from the early intervention program.  The approved evaluator and the committee may review these and other assessments or evaluations to determine if these assessments or evaluations fulfill the requirements of the Regulations of the Commissioner.  There is no separate or additional reimbursement to an evaluator for review of existing evaluation information.  The review of existing evaluation data on the student does not necessarily need to take place at a formal meeting.  The approved evaluator selected by the parent may be considered one of the other qualified professionals who may recommend to the CPSE the tests or assessments to be conducted as part of an initial evaluation or reevaluation of a preschool student.
2. Is “screening” a component of an individual evaluation and is it reimbursable?
No.  Screening, pursuant to Part 117 of the Regulations of the Commissioner, is a preliminary method of distinguishing from the general school-age population those students who may possibly have a disability or those who may possibly be gifted.  It is not a component of a multidisciplinary evaluation of a preschool child suspected of having a disability and therefore, is not reimbursable.
3. What is a functional behavioral assessment (FBA)?  Is reimbursement provided for an FBA?
An FBA is the process of determining why a student engages in behaviors that impede learning and how the student’s behavior relates to the environment.  The FBA includes, but is not limited to, the identification of the problem behavior, the definition of the behavior in concrete terms, the identification of the contextual factors that contribute to the behavior (including cognitive and affective factors) and the formulation of a hypothesis regarding the general conditions under which a behavior usually occurs and probable consequences that serve to maintain it.  A variety of techniques are available to conduct an FBA including, but not limited to direct assessment, indirect assessment and data analysis.
A separate rate is not established for an FBA for a three-or four-year old child.  Since the specific assessment techniques and components of the FBA vary based on the identification of an individual student’s challenging behavior, the CPSE must determine which evaluation components will be used for the FBA.  Reimbursement is requested using the STAC-5, with an identification of the components used, either as part of an initial evaluation or a reevaluation.  The components of the FBA may include, but are not limited to a psychological, social history or an educational assessment, either individually or in combination.
4. Is parental consent needed for the CPSE to conduct an initial evaluation of a preschool child?
Yes.  In the event that the parent(s) does not provide written consent for an evaluation of the student, the CPSE must use the school district’s procedures to ensure that the parents have received and understand the request for consent.  If a parent continues not to provide written consent, no evaluation is conducted and the process ends.
 
5. When and how are evaluation results reported to the CPSE?
The evaluation results must be provided to the CPSE, including the child’s parent(s), in time to allow the CPSE to make a recommendation to the board of education within 30 school days of the date the CPSE received parental consent.
The results or “documentation” of the evaluation includes all assessment reports of the individual evaluation components and a summary report of the evaluation findings.  The summary report must be in a form required by SED, and include a detailed statement of the preschool child’s individual needs. The summary report must not address the manner in which special services and programs can be provided in the LRE or make a recommendation as to the general type, frequency, and duration of special services and programs. The required evaluation summary form may be obtained by contacting VESID, Special Education Policy Development Unit at One Commerce Plaza, Room 1624, Albany, New York 12234 or 518-473-2878 or by accessing the SED internet web site at http://www.vesid.nysed.gov/specialed/publications/preschool/. The results or “documentation” of the evaluation, which includes all assessment reports of the individual evaluation, may include recommendations stated above.
6.  Must the evaluation be conducted in languages other than English?  Is reimbursement provided when the evaluation results must be translated into other languages for parents?
Yes.  Tests and other assessments must be provided and administered in the student’s native language or other mode of communication, unless it is clearly not feasible to do so.  Similarly, the approved evaluator must provide a statement of the evaluation results and recommendation provided to the CPSE in English, and when necessary, in the native language of the parent or other mode of communication used by the parent, unless it is not feasible to do so.
Reimbursement for the written translated summary and evaluation is not allowable if the evaluation is billed as a bilingual evaluation.  The bilingual evaluation rates include the cost of any translated documents required by section 200.16 of the Regulations of the Commissioner of Education.  Evaluators who bill for a bilingual evaluation may not bill translation costs separately or in addition to billing at a bilingual evaluation rate.  In cases where the child does not require a bilingual evaluation, but the parent requests translations of the evaluation summary and/or documentation of the evaluation, the evaluator may bill for actual translation costs incurred.
7. What is a social history and are updates reimbursable as part of the reevaluation?
A social history is a mandated component of an initial evaluation only and is reimbursed at the rate set by SED.  It is a report gathered and prepared by qualified personnel related to the interpersonal, familial and environmental variables, which influence a student’s adaptation to school and learning environments.  It includes, but is not limited to data on family composition, family history, developmental history of the student, health of the student, family interaction and the student’s adjustment to school and learning environments.
In the course of the annual review or other review to assess a child’s progress in meeting IEP goals, a social worker, a psychologist or other qualified professional may make a note to update the social history.  This is not a reevaluation and there is no separate reimbursement for a social history update.  However, a social history reevaluation may be appropriate when there is a significant change or serious issue in a child’s family circumstances.  This may be due to divorce, remarriage, death or severe illness of a parent, or a change in the child’s health, stamina or attention due to a medical condition, illness or accident.  The cost of a social history reevaluation is reimbursed at the SED established rate using the STAC-5 form with an attached statement by the CPSE justifying the need for the reevaluation.
 
8. When is the psychological component of the evaluation required?
A psychological evaluation is mandated as part of the initial evaluation of a preschool child suspected of having a disability.  Generally, most children should not require a psychological reevaluation on an annual basis.  However, the CPSE may authorize such a reevaluation if needed.
9.  Section 200.4(b) of the Regulations of the Commissioner includes an observation of the student in the current education placement, yet no rate has been set to reimburse for this mandated evaluation component.  Can this be reimbursed?
No.  An observation of the child in the current education placement is an integral part of the existing evaluation and rate structure and is not reimbursed as a separate component.
10. When is the CPSE required to provide written authorization for an individual evaluation?
For reimbursement purposes, the CPSE must provide written authorization to the evaluator for all components of an initial evaluation and reevaluation.  This is particularly significant when a child experiences a change during the year in health, family structure or a related circumstance and a reevaluation of the psychological or social history components may be needed.  Appropriate completion of the STAC-5 includes a certification statement signed by the CPSE chairperson that the child has received a multidisciplinary evaluation in accordance with section 4410 of the Education Law and Part 200 of the Regulations of the Commissioner of Education.
 
11. During the course of an initial evaluation authorized by the CPSE, all components of the evaluation are unable to be completed at one session.  Does the CPSE have to authorize those parts of the initial evaluation that will be completed at a subsequent session?  Are these reimbursable?
The initial evaluation must be authorized by the CPSE and is reimbursable, regardless of the number of sessions that it takes to complete the evaluation.  The evaluation must be completed within the timelines that allow the IEP to be developed for eligible preschool children with disabilities within 30 days of the date when the CPSE received parent consent
for the evaluation to be conducted.  If subsequent sessions are required to complete the evaluation, no additional authorization is required, nor is additional reimbursement available.
12. Can a provider be reimbursed for an incomplete or partially completed initial evaluation if the parent either leaves without notification to the CPSE or formally withdraws the child from the process?
Yes.  To the extent that the evaluator conducted an incomplete or partial evaluation that was interrupted at the parent’s request, the evaluator should submit a summary report including all documentation to the CPSE reflecting the evaluation results and indicating that the evaluation was terminated before any recommendations could be developed.  The CPSE would then complete and submit a STAC-5 authorizing reimbursement for those components, which were reported in the summary of the evaluation.
13.   Must all CPSE authorizations for evaluation be done through a formalized process?  If minutes are taken at the CPSE meeting will these minutes serve as an authorization for reimbursement to the providers for evaluations/reevaluations?
All evaluations must be authorized in writing by the CPSE.  The method of transmitting the CPSE’s authorization to the approved evaluator is at the discretion of the school district.  The method(s) should be included in written district policy and transmitted to providers and municipalities so they understand the policy.  The evaluator’s receipt of a copy of the signed parent consent indicates the specific evaluation components authorized by the CPSE.  Item 12 of the STAC-5 form is the certification by the CPSE Chairperson that the evaluation has been authorized by the CPSE and consistent with State requirements.  Minutes from the CPSE meeting are not typically considered as an authorization for reimbursement of evaluations/reevaluations unless the school district has established and transmitted that policy to providers and municipalities.
14.   May a related service provider conduct and be reimbursed for a reevaluation for a student who is receiving related services only?
Only approved evaluators may conduct reevaluations with the authorization of the CPSE.  A related service provider may not conduct reevaluations within their capacity as a designated related service provider.  However, if the related service provider is employed by or under contract with an agency which has an evaluation program approved by SED, the related service provider may conduct a requested reevaluation within the capacity of the approved evaluation program.  Approved evaluators may contract with other qualified professionals to ensure timely completion of the evaluation.  In the course of working with a child, the related service provider may use informal or formal assessment measures to document the child’s progress.  This is not considered to be a reevaluation.  Such assessment(s) may be conducted within the scheduled related service session for which reimbursement is already provided.
15.   Can more than one agency be responsible for conducting an initial evaluation?
In general, one agency is responsible for conducting an initial evaluation.  However, an approved evaluator who is unable to conduct a specific component is permitted to enter into a formal agreement with other qualified professionals to ensure completion of evaluations within mandated timelines.
16.   Is parental consent required for reevaluation?
Yes.  If new tests or assessments are going to be conducted as part of the reevaluation parental consent is required prior to the reevaluation.  Parents must be provided with a description of the proposed reevaluation and the uses to be made of the information obtained through the reevaluation.
17.   Can authorization to conduct another evaluation component as part of an initial evaluation or in a reevaluation of a child be given by the CPSE chairperson without a full CPSE meeting?
Yes.  A CPSE chairperson may authorize, in writing, another evaluation component for a preschool child with a disability, in consultation with a group that includes the CPSE and other qualified professionals including the evaluator to ensure such evaluation is appropriate and necessary.  The group may conduct its review without the need to convene a meeting of the CPSE.  The CPSE chairperson, acting on behalf of the Committee, may authorize the additional evaluation component for the child based on the following conditions:
·         The approved program provides to the CPSE chairperson a written description of the proposed evaluation and the uses to be made of the information.
·         The evaluation must be sufficient to determine the child’s individual needs according to the areas related to the evaluation.
·         The evaluation is necessary to modify the programs and/or services described in the approved IEP.
·         Chairperson of the CPSE must notify the parent in writing that evaluation information is being sought regarding the preschool child in accordance with section 200.5 of the Regulations of the Commissioner and parental consent for the additional evaluation must be obtained.
However, if any CPSE member does not agree that a specific evaluation component is necessary, it is recommended that the chairperson convene a meeting of the CPSE to determine the need for such an evaluation.
18.   For students who are eligible to enter kindergarten in September, is there a cut-off date for obtaining an initial evaluation through the CPSE process?
There is no cut-off date specified in law or regulation when the CPSE process should no longer be used to conduct an initial evaluation for a child eligible for school age services in September.  In most cases no evaluations should be conducted through the CPSE process after July 1st since, as a practical matter the child’s eligibility and IEP will have to be developed by the Committee on Special Education (CSE).  Those children who will be school age in September and who are referred for evaluation following kindergarten screenings should be referred to the CSE.
In those rare cases when a preschool child may need services for the first time in July/August preceding entry as a school age student, a recommendation would be made by the CPSE and reimbursement would be provided by the municipality.  Section 200.1(mm) of the Regulations of the Commissioner specifies that “a student shall be deemed to be a preschool child with a disability through the month of August of the school year in which the child becomes eligible to attend school pursuant to section 3202 of the Education Law.”
19.   When a child transitions from the Early Intervention Program, moves to New York from out of state or from one county to another or when a child has an evaluation from other sources, is there a reimbursement mechanism for review of existing evaluations?
No.  Section 4410 of Education Law provides reimbursement to the approved evaluators for conducting evaluations.  There is no additional reimbursement for review of existing completed evaluations.
20.   How can the fees for appropriate translation be included in the evaluation reimbursement?
If one or more components of the evaluation required the participation of an individual in addition to the evaluator for the purpose of translation, check the appropriate box on the STAC-5.
If the native language or mode of communication of the parent(s) is other than English a translation of the summary report of the evaluation must be prepared.  Report the cost of such translation on the STAC-5.
If the parent requests the whole evaluation be translated into his/her native language or other mode of communication, indicate the cost of translation on the STAC-5.
21.   Does SED establish rates for bilingual evaluations?
Yes.  Use item 10 on the STAC-5 form to request reimbursement for bilingual evaluation components.
22.   If an evaluator uses a nurse to collect a child’s medical records and review them, is this a billable supplemental evaluation?
No.
23.   How and when is an STAC-5 completed for preschool evaluations?
Following the review of the results of the initial evaluation at the CPSE meeting, the chairperson must complete and sign the STAC-5.  This could be done at the CPSE meeting.  The STAC-5 should identify those components of the multidisciplinary evaluation for which the provider may bill the appropriate municipality.  The CPSE chairperson must sign and retain a copy of the STAC-5 and forward the other three copies to the appropriate municipality.  The municipality must sign the STAC-5, retain its copy and forward the
other copies to the evaluator and SED.  The original of the STAC-5 is provided to the STAC and Special Aids Unit at the New York State Education Department for processing.
24.   How are providers informed that a STAC-5 has been completed and submitted by the CPSE?
The service provider receives both a copy of the STAC-5 Evaluation Form and an informational copy of the STAC-5A “Approval for Reimbursement of Evaluation Costs.”  Municipalities must pay based upon receipt of the completed STAC-5 from the CPSE.  Municipalities may not delay payment until receipt of the STAC-5A, “Notification of Commissioner’s Approval for Reimbursement of Preschool Evaluations.” (Formerly known as “Approved Evaluation Components.”)
25.   What happens if a STAC-5 is filed for a child after the initial CPSE meeting and later, during the year, a new evaluation is approved?  Is the STAC-5A amended, or is a second STAC-5 filed?
It is important to distinguish between a reevaluation and other assessments such as those conducted as part of the annual review.  For a reevaluation authorized by the CPSE a new STAC-5 should be submitted to indicate “reevaluation.”  As previously noted, assessments conducted as part of an annual review are not subject to reimbursement through these procedures.  The STAC-5A should only be used to amend the STAC-5 if there is an inconsistency between the STAC-5 and the STAC-5A.
26.   If a child moves to another school district, which district completes the STAC-5?
The district with CPSE responsibility at the time the child was evaluated is responsible to complete and submit the STAC-5 to the SED.

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FREQUENTLY ASKED QUESTIONS AND ANSWERS ON
TRANSITION AGE ELIGIBILITY
1.      Can a child be age-eligible for the Early Intervention Program (EIP) and special education services under Section 4410 of the Education Law at the same time?
Yes. Under IDEA and New York State Public Health and Education Law, there is overlapping age-eligibility for the EIP and preschool special education programs and services for children over the age of two years. This is to ensure that children do not experience a gap in services when transitioning from the EIP to preschool special education programs and services; and, to ensure that children have access to a free appropriate public education by their third birthday. However, under PHL, a child who is receiving services under Section 4410 of Education Law cannot be an eligible child under the EIP.
Under Public Health Law (PHL), children are age-eligible for the EIP from birth through two years of age, unless the child has been determined eligible for services under Section 4410 of the Education Law before the child’s third birthday. If a child is determined eligible for services under Section 4410 of the Education Law before his or her third birthday, the parent may choose to have the child continue to receive EIP services until he/she ages out, or transition the child to preschool special education programs and services.
The specific date when a child is first eligible for preschool special education programs and services depends upon the month during which a child is born.
2.       If a child currently receiving EI services is in the process of receiving an evaluation under Section 4410 and turns three, may the child continue to receive EI services on and after his/her third birthday?
No. The amended Public Health Law is explicit. A child who is not determined eligible for Section 4410 programs and/or services before his/her third birthday may not continue to receive EI services after his/her third birthday.
3.       If the CPSE does not determine that a child is eligible before his or her third birthday, and then the CPSE determines the child eligible for special education programs and services after the child has already turned three years of age, can the child return to the EIP and resume the services included in his or her previous IFSP? Alternatively, if a child exits the EIP while eligibility for services under Section 4410 of the Education Law is pending, and the child is subsequently found eligible for these services, can the child re-enter the EIP and continue in the EIP until s/he is no longer age-eligible?
No. If the child turns three years of age, and the CPSE has not rendered a determination as to whether the child is eligible for services under Section 4410 of the Education Law, the child’s eligibility for the EIP ends at his or her third birthday. In this case, it is recommended that the concern be discussed with the CPSE or directed to the appropriate Special Education Quality Assurance Office. The child may not re-enter the EIP at or after his or her third birthday. Similarly, if a child exits the EIP while eligibility for services under Section 4410 of the Education Law is pending, and the child is subsequently found eligible for these services after the child’s third birthday, the child cannot re-enter the EIP.
As always, to address areas of disagreement, or when the CPSE has not acted within the required timeframes, under Education Law, parents may pursue their due process rights to mediation, an impartial hearing, or a sixty-day State complaint.
4.      What should the Early Intervention Official (EIO) do if a child is referred to the EIP when s/he is age-eligible for services under Section 4410 of the Education Law?
If a child is referred to the EIP when s/he is age eligible for services under Section 4410 of the Education Law, the EIO should recommend to the parent that the child be referred directly to the CPSE of the school district in which the family resides. However, if a parent chooses to continue with the referral to the EIP, an initial service coordinator must be assigned and the service coordinator must assist the parent in the receipt of a multidisciplinary evaluation for the child consistent with the EIP requirements. The parent should be informed that the transition process must also be initiated, including notice to the school district, arranging for a transition conference and evaluation of the child by the CPSE to determine the child’s eligibility for services under Section 4410 of Education Law. The parent should be informed that if the child is not referred, evaluated, and found eligible for preschool special education programs and services before the child’s third birthday, the child’s eligibility for the EIP will end when the child turns three years old.
NOTIFICATION AND REFERRAL
5. Can the notification to the CPSE of a child’s potential eligibility for services under Section 4410 of the Education Law also serve as the referral to the CPSE?
There is nothing in Public Health or Education Law to prohibit the notification of a child’s potential eligibility for services under Section 4410 of the Education Law from also serving as the referral, as long as the notice is clearly identified as a referral and the notice includes all the information required by the CPSE to be considered a referral.
6. Must a school district/CPSE accept all referrals of age-eligible children?
Yes. Under the Education Law, the CPSE is required to accept and act upon referrals of age-eligible children. This includes requesting consent to evaluate the child, follow-up with parents who do not provide consent to ensure they understand the request, and completing an eligibility determination and, if appropriate, an IEP within required timeframes.
7. Is it each county’s responsibility to establish a policy regarding the specific age for children to be referred to the CPSE?
No. Each county and New York City must adhere to the requirements in Public Health and Education Law regarding age-eligibility requirements and the timeframes for notice to the school district, convening of a transition conference, and eligibility determinations. However, counties may develop procedures consistent with State laws and regulations and Department of Health and State Education Department policies.
8. Must the Early Intervention Official (EIO) notify school districts and arrange transition conferences EXACTLY 120 days and 90 days, respectively, prior to the child’s potential eligibility for services under Section 4410 of the Education Law?
No. EIP regulations require the notice be AT LEAST 120 days prior to the child’s potential eligibility for services under Section 4410 of the Education Law; and, the transition conference to be convened AT LEAST 90 days prior to a child’s potential eligibility for services under Section 4410 of the Education Law or the child’s third birthday, whichever is first. To manage notice and transition conferences at the municipal level, it is permissible for the EIO to notify school districts and arrange for transition conferences during the month or quarter in which a child’s birth date falls, as long as the notice is sent and the transition conference is convened within the timeframes required in regulations and within sufficient time for the CPSE to render an eligibility determination before the child’s third birthday.
9. At what age must the school district CPSE accept a referral for preschool special education?
In order for a child to receive preschool special education by their third birthday or on the first day of their eligibility for preschool special education (whichever comes first), the referral must be accepted in time to allow the CPSE to provide a recommendation to the board of education within thirty school days of receipt of written consent by the parent for the individual evaluation of the child.
10. What information must be included in the referral to the CPSE?
The referral to the CPSE must be made in writing and must include the following information: the name of and contact information for the child and the child’s parent or person in parental relation; the reasons for the referral, including, with parent consent, any records upon which the referral is based that may be in the possession of the person submitting the referral; a written description of the child’s participation in EIP services; and, the extent of parental contact or involvement prior to the referral.
TRANSITION CONFERENCE
11. Should a transition conference be arranged for all children exiting the EIP?
A transition conference should only be arranged, with parental consent, for children potentially eligible for services under Section 4410 of the Education Law. Please refer to pages 10 and 11 for criteria to be considered in identifying these children.
12. Who must participate in the transition conference?
The EIO is responsible for convening the transition conference with the parent, service coordinator, and chair of the CPSE or his or her designee.
13. Is the CPSE chairperson or a designee required to participate in the transition conference to review the child’s program options?
Yes. Pursuant to Section 4410(3)(f) of the Education Law, the Chairperson of the CPSE of the local school district in which the child resides or his or her designee must participate in the conference.
14. Who else should participate in the transition conference?
With the parent’s consent, representatives of other service delivery systems, with whom the child and family are currently involved or from whom the child may need services (such as OPWDD or OCFS) should be invited to participate in the transition conference.
15. Can required participants in the transition conference participate by telephone conference call?
Yes. The transition conference must be convened in a location that is mutually convenient to the participants. It is permissible for participants to participate in the conference by telephone.
16. What is the role of the CPSE chairperson or the designee at the transition conference?
The CPSE Chairperson or the Chairperson’s designee must participate in the conference with the parent(s) and the EI Service Coordinator to support the child’s potential transition to preschool special education and to ensure that the parent is fully informed of the special education or other early childhood program options, including but not limited to nursery school, day care or Head Start programs. The CPSE Chairperson can provide information and respond to the parent(s) questions or concerns regarding the CPSE process including children’s eligibility for services, timelines from referral to provision of preschool special education programs and services, and/or the provision of transportation services for the child.
17. Can the Early Intervention Official (EIO) be the CPSE chairperson’s designee?
No. The EIO cannot act as the designee of the CPSE chairperson. Since the EIO represents the county at the transition conference and at meetings of the CPSE, the EIO cannot be designated to serve in this role as a representative of the school district. Qualifications for the designee of the CPSE Chairperson at the transition conference are not established by state law or regulation. It is appropriate for a member of the CPSE (Section 200.3(a)(2) Regulations of the Commissioner) who is knowledgeable about the transition process and is experienced in reviewing the needs of children transitioning from early intervention to represent the child’s school district as the appointed designee of the CPSE Chairperson.
TRANSITION PLAN
18. Is a transition plan required for all children exiting the EIP, or only those children who will transition to services under Section 4410 of the Education Law?
Yes. A transition plan must be developed for all children exiting the EIP, regardless of whether the child is transitioning to services under Section 4410 of the Education Law or to other early childhood and supportive services. However, the CPSE chairperson or his or her designee only participates in transition planning for children potentially eligible for preschool special education programs and services.
19. When should the transition planning process begin?
Because children are in the EIP for a short time, it is appropriate to begin transition planning as early as possible. For children potentially eligible for services under Section 4410 of the Education Law, transition planning must be initiated in accordance with requirements in PHL in this document. For children for whom a referral to the CPSE is not appropriate, a transition plan should be developed at the IFSP meeting within six months prior to the child’s third birthday.
20. If a parent does not wish to have and does not consent to a transition conference, but does consent to notification and referral to the school district and to an evaluation by the CPSE, when is the transition plan developed and who is responsible for development of the plan?
If the parent does not wish to have and does not consent to a transition conference, transition planning should begin at the IFSP meeting closest to the date when the EIO is required to notify the school district of the child’s potential transition. Transition planning should continue in any subsequent meetings (e.g., the first meeting of the CPSE) that include discussions about the child’s transition to services under Section 4410 of the Education Law. The transition plan, when completed, is incorporated into the IFSP with parental consent.
21. What are the required components of the transition plan?
The transition plan must include procedures to prepare the child and family for changes in service delivery, including steps to help the child adjust to and function in a new setting or with a new service provider; and, procedures to prepare program staff or individual qualified personnel who will be providing services to the child to facilitate the smooth transition. With parent consent, the transition plan should be incorporated into the IFSP.
 
CPSE EVALUATION PROCESS
22. If a child is currently receiving EI services and has recently been evaluated in the EI system, what is the process and time frame for the decision to be made as to which specific evaluation components the approved preschool evaluator must complete?
A CPSE Chairperson who receives a referral must immediately notify the child’s parent(s) that a referral has been received and must request consent for evaluation of the preschool student. In addition, with the consent of the parents, approved evaluators and committees must be provided with the most recent evaluation report for a child in transition from early intervention programs. Nothing prohibits an approved evaluator or the CPSE from reviewing other assessments or evaluations to determine if those assessments fulfill the requirements of State law and regulations for determining eligibility for services under Section 4410 of the Education Law. As part of an initial evaluation, if appropriate, and as part of any reevaluation, a group that includes the CPSE and other qualified professionals, must review existing evaluation data on the student including evaluations and information provided by the student’s parents, current classroom-based assessments and observations, and observations by teachers and related service providers. The group may conduct its review without a meeting. On the basis of that review and input from the student’s parents, the CPSE and other qualified professionals, must identify what additional assessment data are needed. Discussion about existing EI evaluations should be part of the transition conference. The CPSE must complete its evaluation of the child and provide a recommendation to the board of education within 30 school days of receipt of the parental consent for evaluation.
Parents have the right to choose which records and reports, if any, are transmitted to the CPSE. Parents have the right to sign either a general release or selective release, which specifies by name or category those individuals to whom information may be disclosed.
 
23. Who is responsible for transmitting appropriate evaluations, assessments, IFSPs, and other pertinent records from the Early Intervention Program to the CPSE?
The service coordinator is responsible for reviewing information concerning the transition procedure with the parent and obtaining parental consent for the transfer of appropriate records, including evaluations, assessments, IFSPs, and other pertinent records. Parents should be encouraged to share appropriate records with the CPSE, since the purpose of this requirement is to reduce the need for unnecessary or duplicative evaluations of the child. However, a parent is not required to consent to the release of some or all of these reports.
24. Is the Early Intervention Official (EIO) required to attend the initial and subsequent CPSE meetings for a child transitioning from the EIP to preschool special education programs and services?
There is no requirement in Public Health Law (PHL) or regulation that an EIO attend CPSE meetings for children transitioning from the EIP to preschool special education programs and services. The EIO is responsible for convening the transition conference, with parental consent. If the transition conference is combined with the first meeting of the CPSE, the EIO must attend this combined meeting. The EIO does have a responsibility to ensure a smooth transition for children receiving EIP services to preschool or other appropriate services.
Section 4410(a)(2) of the Education Law requires that “the appropriately licensed or certified professional designated by the agency that has been charged with the responsibility for the preschool child pursuant to applicable federal laws relating to early intervention services shall attend all meetings of the committee conducted prior to the child’s initial receipt of services pursuant to this section.” This professional may be the municipal EIO, service coordinator, or a professional from the agency that has knowledge of the child’s status, services received, and progress.
TRANSITION FROM THE EIP TO PRESCHOOL SPECIAL
EDUCATION PROGRAMS AND SERVICES
25. What happens when a child currently receiving EIP services is eligible for preschool special education programs and services, but continues in the EIP and makes significant progress so that the Early Intervention Official (EIO) believes the child may not require preschool programs and services?
The CPSE, and not the EIO, is responsible for determining whether a re-evaluation is necessary to determine the child’s eligibility for preschool special education programs and services. If the EIO has reason to believe that the eligible child has made significant progress, the EIO should work with the service coordinator in securing parental consent to forward additional records such as recent assessments and progress notes to the CPSE. The EIO should ensure that the service coordinator transmits additional records to the CPSE.
26. If a child receives services in community or home-based settings under the EIP, can s/he continue to receive services in these settings when s/he transitions to services under Section 4410 of the Education Law?
Yes. The continuum of services available under Section 4410 of the Education Law includes services in community and home-based settings and on-site at approved provider locations, if recommended by the CPSE.
27. Can a child continue to receive services from their EIP provider when s/he transitions to services under Section 4410 of the Education Law?
Only if the Early Intervention provider(s) is also approved to provide services under Section 4410 of the Education Law.
28. Are service coordination services provided to families under Section 4410 of the Education Law?
No. There is no requirement under the Education Law to provide service coordination services to children and families eligible for services under Section 4410 of the Education Law. However, when a child’s IEP includes two or more related services only, the board of education must designate one of the service providers to coordinate the provision of services. If the IEP includes special education itinerant services (SEIT) and one or more related services, the SEIT provider is responsible for the coordination of services.
 
29. How can families find out about the programs and services available under Section 4410 of the Education Law?
There are a number of ways families can access information about services available under Section 4410 of the Education Law. Service coordinators are responsible for informing families about the transition process, including programs and service options available under Section 4410 of the Education Law and for linking families to services in the community needed by the child that are not available under the EIP or under Section 4410 of the Education Law. In addition, an important purpose of the transition conference is to review program and service options available to the child and family when the child transitions to preschool special education. The State Education Department’s publication, Special Education in New York State for Children Ages 3-21: A Parent’s Guide, is also an important source of information for families. Parents may also be referred to the Early Childhood Direction Center (ECDC) serving the county in which the family resides
30. Question: Are parents required to provide information about private insurance to the CPSE?
No. There is no requirement for use of private insurance for services under Section 4410 of the Education Law. There is a requirement that insurance information be provided to the Early Intervention Official for purposes of reimbursement of EIP services.
31. If the CPSE determines that a child currently in the EIP is eligible for 4410 programs and services, what date does the CPSE recommend to the board of education for the initiation of services?
At the time that the CPSE meets to find the child eligible for preschool special education, the CPSE and parent(s) should discuss and agree upon the timeframe for transition. The specific date of initiating the child’s preschool special education program and services will depend upon whether the parent elects to have the child continue in the Early Intervention Program or to transition the child to services under Section 4410 of the Education Law. The CPSE must indicate on the IEP the date for initiation of special education, based on the agreement reached by the CPSE and the child’s first date of eligibility for preschool special education. The IFSP should be modified to include the last date of EIP services, which should be based on the date when preschool special education services will begin.
32. If a parent chooses to have the child remain in the EIP until s/he is no longer age-eligible for the EIP, does the EIP have to provide additional services included in the IEP (if any) that are not considered EIP services and not included in the child’s IFSP?
No. The EIP is only responsible for providing the EIP services included in the child’s IFSP. If the parent wishes the child to receive additional services included in the child’s IEP, the parent must transition the child to preschool special education programs and services included in the child’s IEP.
33. A child who was never in the EIP is referred to and evaluated by the CPSE. The CPSE finds the child eligible for preschool special education programs and services and develops an IEP. Services in the IEP are not delivered in a timely manner. Under these circumstances, can the child be referred to the EIP, if s/he is still age eligible for the EIP?
No. If a child is determined eligible for preschool special education programs and services, and the programs and services are not provided in a timely manner, the parent may follow procedures related to resolving concerns with the CPSE process.
34. If the CPSE, with parent consent, reviews the child’s EIP evaluation(s) and assessment(s) and determines additional evaluations and/or assessment data (e.g., physical examination, psychological evaluation) is required by the CPSE to determine eligibility for services under Section 4410 of the Education Law, are such evaluations paid for under the EIP under DOH, or preschool special education under NYSED?
Any additional evaluations and/or assessment data required by the CPSE to determine eligibility for services under Section 4410 of the Education Law are the fiscal responsibility of the county/NYC Department of Education.
35. Must all required members of the CPSE be present to determine whether a child who is in the EIP and who is turning 3 is eligible for preschool special education programs and services?
Yes. In order for the eligibility determination to be valid, all required members of the CPSE must participate in the CPSE meeting where eligibility is determined and the IEP is developed.
36. Must all the components of the IEP required under Part 200 of the Regulations of the Commissioner of Education be developed at the time a child is determined eligible for preschool special education programs and services?
Yes. An IEP, which includes all required components, must be completed at the time the child is found eligible for preschool special education programs and services. In addition, the CPSE is responsible for explaining to the parent(s) the differences between the IEP and the IFSP
37. Should a child over age 3, who is initially found eligible for preschool special education programs and services, and whose parent(s) have decided the child should remain in the EIP, be discharged from the EIP, if the CPSE re-evaluates the child and finds the child not eligible?
Yes. Only those children who are eligible for preschool special education programs and services can remain in the EIP beyond their third birthday. If the child’s eligibility status for preschool special education programs and services changes while the child is in the EIP, the child is no longer eligible to remain in the EIP and must transition out of the program.

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QUESTIONS AND ANSWERS ON IEP DEVELOPMENT, THE STATE’S MODEL IEP FORM AND RELATED DOCUMENTS, 12-MONTH PROGRAMS/SERVICES—UPDATED APRIL 2011
 
The following questions and answers address some of the important issues raised by requests for clarification of the federal and State requirements for IEPs.  This document will periodically be updated.  This guidance does not impose any requirements beyond those required under applicable law and regulations.  This document supersedes any previously issued guidance on this topic.

1.    An IEP developed for July and August may differ from the IEP developed for the school year program.  Most often services in July and August focus on annual goals from the previous school year, but there are times when a new annual goal needs to be written related for the area of concern or regression but is not articulated in the previous annual goal.  Where and how would they be written?  Can we have goals for just for July and August?
If the Committee determines that a student needs a new annual goal to be addressed during July and August, then the Committee must revise the student’s IEP accordingly.  Annual goals should be documented in the IEP under the section Measurable Annual Goals.  If the Committee has selected specific goals to be addressed during the July/August program, then the section of the IEP for 12-Month Service and/or Program could add clarification as to the goals to be addressed through the recommended services.
12-Month Service and/or Program – Student is eligible to receive special education services and/or program during July/August:   No   X Yes
If yes:
Student will receive the same special education program/services as recommended above.
OR
X Student will receive the following special education program/services:
Special Education Program/Services
Service Delivery Recommendations
Frequency
Duration
Location
Projected Beginning/ Service Date(s)
Speech and Language Therapy
To address annual goals relating to expressive language and social communication
2 times/week
30 minutes
July 3- August 13
Name of school/agency provider of services during July and August:  XYZ BOCES
For a preschool student, reason(s) the child requires services during July and August:
2.    Must the IEP indicate the projected beginning service date for extended school year (ESY) services when those services remain exactly the same as for the 10 month program? 
No.  For a student recommended for the same special education program and/or service during July and August as the rest of the year, the beginning service date would already be documented on the Recommended Special Education Programs and Services chart that precedes the 12-month Service and/or Program chart.
3.    Under 12 month services/programs:  “For preschool student, reason(s) the child requires services during July and August.”  What about school-age students?  Why does the form ask for preschool students to state the reason for 12-month services?
Section 4410(5)(h) of Education Law and section 200.16(e)(4) of the Regulations of the Commissioner of Education require the IEP of a preschool student to include in its recommendation for services during the months of July and August a statement of the reasons for such recommendation.  There is no comparable State law and/or regulation relating to recommendations for July/August services for a school-age student.  However, the reasons for the recommendation for July/August services would need to be provided to the parent in prior written notice.
4.    For parentally-placed students who qualify for ESY, there is a need for an individualized education services program (IESP) for the school year and an IEP for the ESY programming.  Do we continue to do a 10-month IESP and a 6-week IEP for parentally-placed private school students?  Is this still the case?
Yes.
5.    Is there a difference in 12-month programming vs. ESY?
Twelve-month special service and/or program means a special education service and/or program provided on a year-round basis for students determined to be eligible in accordance with sections 200.6(k)(1) and 200.16(I)(3)(v) of the Regulations of the Commissioner of Education whose disabilities require a structured learning environment of up to 12 months duration to prevent substantial regression.  A special service and/or program must operate for at least 30 school days during the months of July and August, inclusive of legal holidays, except that a program consisting solely of related service(s) must be provided with the frequency and duration specified in the student’s IEP.
The terms ‘twelve-month special service and/or program’ and ‘extended school year (ESY)’ have the same meaning.
6.    When a student is in Special Class for a particular subject, how is that indicated in the IEP? For example, if the student has Special Class for Math and another Special Class for English, how would that be displayed in the IEP?
For a student who is recommended for special class for a portion of the school day and only for specific subjects, the IEP should list them separately.  The chart below demonstrates how such recommendations would appear on the State’s model IEP form.
RECOMMENDED SPECIAL EDUCATION PROGRAMS AND SERVICES
Special Education Program/Services
Service Delivery Recommendations
Frequency
How often provided
Duration
Length of session
Location
Where service will be provided
Projected Beginning/ Service Date(s)
Special Education Program: Special Class – Math Special Class – English
Class size: 12:1+1 Class Size:  12:1+1
5 days/week 5 days/week
40 minutes 40 minutes
Separate class Separate class
9/7/10 9/7/10
7.    If a student has an amendment/program review in September or later, (after the summer services have ended), should the IEP print the ended 12-month services in the IEP? (Added 4/11)
The school year begins on July 1.  For an IEP developed for a student needing July/August services that is later revised, the IEP should continue to include recommendations developed for July/August, even if those services have been completed since that is the IEP to be in effect for that school year.  If the revised IEP recommends discontinuation of a student’s eligibility for 12-month services for the next school year, this recommendation would be included in the IEP to be in effect for the next July and August.
8.    For those districts that maintain an Anniversary Date IEP for students:
 
If the student is newly eligible for special education services when he/she is initially classified in November 2010 and his/her IEP begins 11/22/10 and ends 11/21/11, what should the district enter for the extended school year (ESY) eligibility section? (Added 4/11)
When developing an IEP to be in effect from November 2010 to November 2011, the Committee would need to discuss and document in the IEP the Committee’s recommendations relating to the student’s eligibility for July/August programs for the summer of 2011.
If the student is ESY eligible, but the district cannot determine who the specific providers will be for summer 2011, what should the district enter? (Added 4/11)
The district must identify the provider of July/August services in the student’s IEP.  If the provider is unknown at the time the initial IEP is developed, the IEP could indicate “to be determined” but the Committee must reconvene to make a provider recommendation prior to the initiation of the July/August program and the student’s parents must receive prior written notice of the IEP recommendation.
9.    A CPSE-level child is receiving services in July and August for ESY needs, yet he/she will be transitioning to CSE in September.  How should that be noted on the IEP form?  Is the date of initiation for CSE services July or September?  What should be the initiation date for CSE-level IEP? (Added 4/11)
A student is considered a preschool student through the month of August of the school year in which he/she first becomes eligible to attend school. The IEP developed by the CPSE addresses the student’s needs for July and August, prior to the date the child is eligible to start school in September. A preschool child receiving July and August services through the CPSE, who is eligible to attend school in September of the same year, would transition to the CSE in September.  The CSE must meet to determine continued eligibility for special education services and develop a new IEP for school-age special education services for the student, if appropriate.  The projected date of initiation of any school-age special education services is determined by the CSE.
10. The IEP requires a “Yes” or “No” response to the question of eligibility for ESY.  This determination is most often made at a meeting held in the spring, which allows for careful review and consideration of the student’s potential for substantial regression based on performance throughout the school year. For CSE meetings held earlier in the school year (e.g., for a newly referred student or a reevaluation), it would be more appropriate to have an alternative to the “Yes/No” response indicating that the determination of ESY would be made at the next annual review meeting.  Can such an option be added? (Added 4/11)
While it is not necessary to add information to the IEP form for this purpose, prior written notice to the parent must include the Committee’s recommendation to defer its determination of ESY eligibility until the annual review prior to the July/August program. However, for a newly referred student, for example, where the Committee needs additional time and student progress information to determine the student’s need for 12-month special education services, it would be acceptable, as determined on a case-by-case basis, for the school district to add a text field to the State’s form in this section of the IEP for clarifying statements such as the one indicated above.  In this case, the projected date the Committee would meet to make the determination should be indicated in this IEP.
11. The IEP requires a notation as to whether a student who is eligible for ESY will receive the same programs/services as that provided during the school year. If so, the CSE simply checks the corresponding box and is relieved of having to specify the ESY program/services. Can it be eliminated so that the CSEs would list all ESY programs/services, whether or not they are the same as those provided during the school year? (Added 4/11)
No.  The State’s form may not be modified to eliminate this section.

Questions and Answers on Individualized Education Program (IEP) Development, The State’s Model IEP Form and Related Documents
Questions and Answers – October 2010 (Updated April 2011)- PDF PDF document(671 KB)

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Questions and Answers – Prior Written Notice
Questions and Answers – Prior Written Notice -(Notice of Recommendation)- Word http://www.p12.nysed.gov/specialed/images/doc-icon.gif(94 KB)
This document provides information regarding the requirements to provide prior written notice to parents.  It does not create or confer any rights for or on any person, nor does it impose any requirements beyond those required under applicable law and regulations.
What is a prior written notice?
Prior written notice means written statements from the school district that inform the parent(s) about recommendation(s) relating to the initiation or change in the identification, evaluation, educational placement of the student or the provision of a free appropriate public education (FAPE) to the student.
When must a school district provide the parent(s) with prior written notice?
The school district must give the parent(s) prior written notice a reasonable time before the district proposes to or refuses to initiate or change the identification, evaluation, educational placement of the student or the provision of FAPE to the student.
If a proposed action by the school district requires parental consent, the district must give prior notice at the same time it requests the parent’s consent.
Language requirements of prior written notice
34 CFR §300.503(c)1
8 NYCRR §200.5(a)(4)2
The notice must be written in language understandable to the general public and provided in the native language of the parent(s) or other mode of communication used by the parent(s), unless it is clearly not feasible to do so.  If the native language or other mode of communication of the parent(s) is not a written language, the school district must take steps to ensure that:
·         the notice is translated orally or by other means to the parent(s) in his or her native language or other mode of communication;
·         the parent(s) understands the content of the notice; and
·         there is written evidence that the above requirements have been met.
What information must be included in each prior written notice?
At a minimum, each prior written notice must include the following:
·         description of the action(s) proposed or refused;
·         explanation of why the action is proposed or refused;
·         description of each evaluation procedure, assessment, record, or report used as a basis for the proposed or refused action;
·         description of other options considered and the reasons why those options were rejected;
·         description of other factors that are relevant to the proposed or refused action;
·         statement that the parent(s) of a student with a disability has protection under the procedural safeguards of federal and State law and, if the notice is not an initial referral for an evaluation, the means by which a copy of the New York State Education Department (NYSED) Procedural Safeguards Notice can be obtained; and
·         sources for the parent(s) to contact to obtain assistance in understanding the special education process.
The notice must also inform the parent(s) of their right to address the Committee, either in person or in writing, on the appropriateness of the Committee’s recommendations.
Additional required Information
and Enclosures
A district must, specific to the subject of the notice, include additional information in the prior written notice to the parent and, in some instances, attach or enclose other documents which must be provided to the parent at the same time that the prior notice is given to the parent.
The additional required information and enclosures are bulleted below corresponding to the subject of the notice.
Proposed initial evaluation or reevaluation
34 CFR
§300.300(a)(1)(i)
§300.300(c)(1)(i)
§300.304(a)
§300.305(d)(1)
ED.L. §4402(1)(b)(7)3
8 NYCRR §200.4(b)(5)(iv)
§200.5(a)(2)
§200.5(b)(1)(i)
§200.5(f)(3)(i)
§200.16(h)(2)
Additional information to include in the notice:
·         A description of the proposed evaluation or reevaluation and the uses to be made of the information.
·         A statement that the parent(s) may submit evaluation information which, if submitted, must be considered by the Committee as part of its evaluation or review.
·         A request for written parental consent to the proposed initial evaluation or reevaluation.
·         Upon a determination that the evaluation will be based solely on a review of existing evaluation information and that additional data are not needed, a statement of that determination and the reasons for it and of the right of the parent(s) to request an assessment to determine the student’s eligibility for special education and educational needs.
In addition, for preschool students:
·         A statement that the parent(s) has the right to consent or to withhold consent to an initial evaluation of the student.
·         Inform the parent(s) that they must select a preschool program to conduct the evaluation and reference the enclosed list containing a description of each preschool program which has been approved by the Commissioner to provide evaluations located within the county in which the preschool student resides and adjoining counties, or, for students residing in the City of New York, within the City of New York and adjoining counties, and the procedures which the parent(s) must follow to select an available program to conduct a timely evaluation of their child.
Enclosures:
·         Parent consent form to conduct an evaluation.
·         For initial evaluations, a copy of the New York State Procedural Safeguards Notice.
·         For preschool students, a list containing a description of each preschool program which has been approved by the Commissioner to provide evaluations located within the county in which the preschool student resides and adjoining counties, or, for students residing in the City of New York, within the City of New York and adjoining counties, and the procedures which the parent(s) must follow to select an available program to conduct a timely evaluation.
The district must provide the parent(s) with a copy of the NYSED’s Parent’s Guide to Special Education in New York State (or a locally developed handbook) as soon as practicable after the student has been referred for evaluation to the Committee.  The handbook may, but is not required to be provided to the parent(s) at the same time as prior written notice.
Initial provision of special education services
34 CFR §300.300(b)
8 NYCRR
§200.5(b)(1)(ii)
§200.16(h)(2) and (5)
Additional information to include in the notice:
A statement that written consent of the parent(s) is required prior to the initial provision of special education to a student who has not previously been identified as having a disability.
In addition, for preschool students:
·         A statement that the parent(s) has the right to consent or to withhold consent to the initial provision of special education services to a preschool student who has not been previously identified as having a disability.
·         A statement that in the event the parent(s) does not provide written consent for the initial provision of special education services, no further action will be taken by the Committee until such consent is obtained.
Enclosure – Parent consent form
Initial provision of special education services during the months of July and August
8 NYCRR
§200.5(a)(2)
§200.5(b)(1)(iii)
Additional information to include in the notice:
A statement that written consent of the parent(s) is required prior to initial provision of special education services in a 12-month special service and/or program.
Enclosure -Parent consent form
Declassification of a school-age student
ED.L. §3602(1)(i)(2)
8 NYCRR §200.4(d)(1)(iii)
Additional information to include in the notice:
A statement identifying declassification support services, if any, that will be provided to the student, and/or the student’s teacher(s), for up to one year.
Receipt of an Individualized Education Program (IEP) Diploma
8 NYCRR
§200.5(a)(5)(iii)
Additional information to include in the notice:
A statement that the student continues to be eligible for FAPE until the end of the school year in which the student turns age 21 or until the receipt of a regular (local or Regents) high school diploma, whichever is earlier.
Graduation with a local high school or Regents Diploma
8 NYCRR §200.5(a)(5)(ii)
Additional information to include in the notice:
A statement that the student is not eligible to receive FAPE after graduation with the receipt of the local or Regents diploma.
1 34 CFR refers to Title 34 of the Code of Federal Regulations
2 8 NYCRR refers to Title 8 of the New York Code of Rules and Regulations
3Ed.L. refers New York State Education Law

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MidState Early Childhood Direction Center
Syracuse University
805 S. Crouse Avenue
Syracuse NY 13244-2280
Phone: 315-443-4444
Toll Free: 1-800-962-5488
Fax: 315-443-4338
Email: ecdc@syr.edu