1. (a) A local provider program administrator, an individual service provider, or a First Connections staff member may file a service concern regarding an action they believe does not adhere to these guiding rules or IDEA, Part C requirements when:

   1. (1) The action or incident is not subject of a parent dispute (mediation, formal state complaint, or due process hearing); and
   2. (2) The action or incident is not subject of a required incident report under this section.
2. (b) A service concern may be submitted by a referral source (related agency representative) but not by a parent (parent concerns and complaints are handled through the dispute resolution options available to families).

3. (c) A service concern may be submitted (reported) when an EI professional (individual or agency) is not meeting these guiding rules such as (but not limited to):

   1. (1) Providing an early intervention service prior to the determination of program eligibility and development of the initial IFSP or after an IFSP has expired;
   2. (2) Failure to enter referrals of children under the age of three (3) into the referral portal within two (2) business days of child’s referral for early intervention as outlined in 20 CAR § 1002-302;
   3. (3) Failure to complete the CMDE (and providing services or developing an IFSP);
   4. (4) Failure to complete the initial COS 1-7 number rating and consider this data in the program eligibility determination;
   5. (5) Evaluation reports that do not meet the requirements outlined in 20 CAR § 1002-407;
   6. (6) Providing an IFSP service outside of the natural environment without developmental justification of need and a conversion plan as outlined in 20 CAR § 1002-502;
   7. (7) Separating a child under three (3) from the parent or other familiar caregiver for the purpose of evaluation or IFSP service provision as outlined in Section 407(1)(c);
   8. (8) Providing services outside of the scope of the IFSP, when no current IFSP exists, or using a separate plan of care or other plan outside of the child’s and family’s IFSP to provide early intervention services;
   9. (9) Determining and, or, or both communicating program eligibility without an IFSP team meeting (which includes the family) to determine eligibility;
   10. (10) Requesting that a service coordinator add an evaluation or add a service to an existing IFSP without convening an IFSP meeting;
   11. (11) Failure to certify direct service provision personnel or staff;
   12. (12) Solicitation of families currently receiving services from another EI provider;
   13. (13) Solicitation of families of children approaching transition by communicating unfavorable or inaccurate information about early childhood special education services under Part B;
   14. (14) Solicitation and, or, or both collaboration with a childcare or other early learning program in such a way that limits or prohibits parent choice of provider or a provider's access to a child they currently provide IFSP services to;
   15. (15) Falsification of documentation in a child’s electronic record;
   16. (16) Recommending IFSP services prior to the development of the IFSP with the family;
   17. (17) Recommending IFSP services in excess of what is necessary to reach the goals and objectives on a current IFSP;
   18. (18) Refusing to serve a family and, or, or both child due to their geographic location of residence, the nature of the family’s living conditions, or the child’s disability as outlined in 20 CAR § 1002-212;
   19. (19) Failure to convene a transition conference or make referral to the LEA for a child approaching the third birthday;
   20. (20) Not using First Connections required forms for documentation;
   21. (21) Not using the state-approved tool for conducting the COS 1-7 number rating;
   22. (22) Failure to use the data system to create and maintain timely and accurate child records as outlined in 20 CAR § 1002-301;
   23. (23) Failure to capture exit COS 1-7 number rating for children exiting the program.
4. (d) A service concern is reported on the First Connections service concern form to the Part C coordinator.

5. (e)

   1. (1) A service concern is reviewed by the First Connections unit manager most closely aligned with the area related to the issue.

   2. (2)

      1. (A) First Connections administration will review and investigate and manage the concern internally with the goal of supporting all involved in understanding and meeting program requirements, guidelines, and best practices.
      2. (B) Technical assistance, guidance, and support may be provided.
6. (f) During the review and internal investigation of a service concern, if a child and, or, or both family right under IDEA has been violated, the First Connections administrator must contact the parent and offer the parent information about their rights and resolution options and document the contact in the child’s electronic record.
7. (g) During the review and internal investigation of a service concern, if the First Connections administrator conducting the review identifies noncompliance with an IDEA, Part C requirement, a finding of noncompliance will be issued.

Codification Notes: “Part B” means Part B of the Individuals with Disabilities Education Act (IDEA) and is codified at 20 U.S.C. § 1411 et seq. "COS" means Child Outcomes Summary. "EI" means early intervention.