Chapter DHS 90

DHS 90.12 DHS 90.12 Procedural safeguards for parents.

DHS 90.12(1) (1) Prior notice.

DHS 90.12(1)(a) (a) A reasonable time before a county administrative agency or service provider proposes or refuses to initiate or change any of the following, the county administrative agency or service provider shall provide written notice to the parent and ensure that the parent understands the notice:

DHS 90.12(1)(a)1. 1. Identification, evaluation or placement of a child; or

DHS 90.12(1)(a)2. 2. Provision of early intervention services to the child and the child’s family.

DHS 90.12(1)(b) (b) The notice under par. (a) shall provide sufficient detail to inform the parent about:

DHS 90.12(1)(b)1. 1. The proposed or refused action;

DHS 90.12(1)(b)2. 2. The reasons for taking the action, including a description of other options considered and reasons for rejecting them;

DHS 90.12(1)(b)3. 3. The information upon which the proposed or refused action is based;

DHS 90.12(1)(b)4. 4. Their right to refuse consent to an evaluation or a service; and

DHS 90.12(1)(b)5. 5. All procedural safeguards the parent has under this chapter, including the right to file a complaint under s. DHS 90.05 (4), the right to participate in mediation and the right to request a hearing regarding the proposed or refused action.

DHS 90.12(1)(c) (c)

DHS 90.12(1)(c)1. 1. The notice under par. (a) shall be in language understandable to the general public.

DHS 90.12(1)(c)2. 2. If the parent’s proficiency in English is limited, the notice under par. (a) shall also be provided in the language normally used by the parent unless this is clearly not feasible.

DHS 90.12(1)(c)3. 3. If the language or other mode of communication normally used by the parent is not written, the county agency or service provider shall take steps to ensure that:

DHS 90.12(1)(c)3.a. a. The notice is translated orally or by other means into the language the parent normally uses or other mode of communication;

DHS 90.12(1)(c)3.b. b. The parent understands the notice; and

DHS 90.12(1)(c)3.c. c. There is written evidence of notice that complies with this subsection.

DHS 90.12(1)(c)4. 4. If a parent is deaf or blind, the mode of notifying the parent shall be the mode of communication normally used by the parent, such as sign language, braille or oral communication.

DHS 90.12(2) (2) Consent.

DHS 90.12(2)(a) (a) For evaluation and assessment.

DHS 90.12(2)(a)1. 1. The county administrative agency shall obtain the parent’s written consent before conducting the initial evaluation and assessment of a child. This consent shall continue in effect until revoked by the parent or until the child is no longer receiving early intervention services.

DHS 90.12(2)(a)2. 2. The county administrative agency requesting a parent’s written consent to the evaluation and assessment shall inform the parent of the following:

DHS 90.12(2)(a)2.a. a. The purpose of the evaluation and assessment, the procedures to be employed and the types of professionals who will be involved;

DHS 90.12(2)(a)2.b. b. Any likely effects on the parents of the evaluation or assessment such as need to provide transportation for the child; and

DHS 90.12(2)(a)2.c. c. If consent is not given, the child will not receive the evaluation or assessment.

DHS 90.12(2)(a)3. 3. The parent may refuse to give consent for a particular evaluation or assessment procedure. If a parent refuses consent, the county administrative agency may not carry out that procedure. The county administrative agency may not limit or deny the use of a particular procedure because the parent has refused to consent to another procedure. If the county administrative agency believes that a particular evaluation or assessment procedure to which a parent has refused consent would provide important information to assist in determining appropriate service needs, the agency shall develop a timeline and procedure with the parent for how consent would again be requested. The county shall keep written documentation of efforts to obtain consent as well as written documentation of the agreed timeline and procedure.

DHS 90.12(2)(a)4. 4. If a parent refuses consent for evaluation or assessment and the refusal falls within the scope of s. 48.981 (2), Stats., the county administrative agency or service provider may take action in accordance with s. 48.981 (2), Stats.

DHS 90.12(2)(b) (b) For services.

DHS 90.12(2)(b)1. 1. The county administrative agency shall develop the IFSP in collaboration with the parent and obtain the parent’s written consent for the delineated services before early intervention services are provided to the eligible child and family. This consent shall continue in effect until revoked by the parent or until the child is no longer receiving early intervention services.

DHS 90.12(2)(b)2. 2. The county administrative agency requesting a parent’s written consent for services shall inform the parents of the following:

DHS 90.12(2)(b)2.a. a. The purpose of each service to be provided and the manner in which the service will be provided. The parent’s written consent shall specify each service the parent has authorized;

DHS 90.12(2)(b)2.b. b. The known cost to the parents of the services, if there are any costs, whether direct or indirect;

DHS 90.12(2)(b)2.c. c. Any likely effects on the parents of each service;

DHS 90.12(2)(b)2.d. d. The possible consequences of not consenting to each proposed service; and

DHS 90.12(2)(b)2.e. e. If consent is not given, the child will not receive the services.

DHS 90.12(2)(b)3. 3. A parent may consent to some services and reject others. If the parent objects to a proposed service, the program may not provide that service. The county administrative agency may not limit or deny the provision of a particular service because the parent has refused to consent to another service.

DHS 90.12(2)(c) (c) For billing a third party. With the parent’s consent, a third party may be billed for early intervention services. The service coordinator shall ensure that the parent, prior to giving consent, is informed of and understands that because of third party billing the parent may incur financial loss, including but not limited to a decrease in benefits or increase in premiums or discontinuation of the policy.

DHS 90.12(3) (3) Confidentiality.

DHS 90.12(3)(a) (a) Personally identifiable information about a child, a parent of the child or other member of the child’s family is confidential at all stages of record development and maintenance, including information collection, storage, disclosure and destruction.

DHS 90.12(3)(b) (b) The county administrative agency is responsible for maintaining the confidentiality of a child’s early intervention records wherever those records are located. Any interagency agreement or contract with a service provider shall set forth the service provider’s responsibility to keep early intervention records confidential. One staff member at each agency maintaining early identification records shall be designated to ensure that personally identifiable information is kept confidential. The county administrative agency shall provide training to staff concerning the policies of early intervention record maintenance and confidentiality.

DHS 90.12(3)(c) (c) Parents may review the early intervention records of their child.

DHS 90.12(3)(d) (d) A county administrative agency or service provider may disclose confidential information from early intervention records, without parental consent, only to those of its employees who have a legitimate need for the information in the performance of their duties and to representatives of the department who require the information for purposes of supervising and monitoring services provision and enforcing this chapter. Each county administrative agency shall maintain a list attached to the early intervention record which identifies by name the parents and by name and title those employees of the agency and service providers who are identified in the child’s IFSP as having a legitimate need for access to the early intervention record and who will have unrestricted access to that record. Each county administrative agency shall also maintain a log as part of an early intervention record, on which the name of any other employee or representative given access to the record or to whom information from the record was disclosed shall be recorded, along with the date of access or disclosure and the purpose of the access or disclosure.

DHS 90.12(3)(e) (e) The parent’s written consent consistent with s. 51.30 (2), Stats., is required to disclose confidential information except as authorized in par. (d). If a parent refuses consent to release confidential information and the refusal falls within the scope of s. 48.981, Stats., the county administrative agency or service provider may take action in accordance with s. 48.981, Stats.

DHS 90.12(3)(f) (f) The county administrative agency shall annually give notice to fully inform parents about the types of personally identifiable information that will be collected, maintained and distributed about participants in the early intervention system or information compiled during child find activities. This notice shall:

DHS 90.12(3)(f)1. 1. Be given in the native languages of the various population groups and list the languages in which the notice is available;

DHS 90.12(3)(f)2. 2. Contain a description of the children on whom personally identifiable information is maintained, the types of information sought, the methods the agency intends to use in gathering the information, including the sources from whom information is gathered, and the uses to be made of the information;

DHS 90.12(3)(f)3. 3. Contain information regarding storage, disclosure to third parties and retention and destruction of personally identifiable information; and

DHS 90.12(3)(f)4. 4. Contain a description of all the rights of parents and children regarding this information, including rights under 34 CFR 99.

DHS 90.12(3)(g) (g) The county administrative agency shall inform the parent when personally identifiable information contained in the early intervention record is no longer needed to provide early intervention services. The information shall be destroyed at the request of the parent except that a permanent record of the child’s name, date of birth, the parent’s address, the parent’s phone number, names of service coordinators and service providers, and exit data, including year and age upon exit and any programs entered into upon exiting, may be maintained. In this paragraph, “destruction” means physical destruction or removal of personally identifiable information from the early intervention record.

DHS 90.12 Note Note: For the information of interested persons, the confidentiality provisions of ch. DHS 90 meet the confidentiality requirements of Part B of the Individuals with Disabilities Education Act, 20 USC ch. 33, and 34 CFR 300.560 to 300.576 and the requirement of 34 CFR Pt. 99, with the following modifications:

DHS 90.12 Note (1) Any reference in those places to “state education agency” or “SEA” means the department;

DHS 90.12 Note (2) Any reference to “education of all children with disabilities” or“provision of free appropriate public education to all children” means provision of services to eligible children and families;

DHS 90.12 Note (3) Any reference to “local education agencies” or “LEAs” or to“intermediate education units” means county administrative agencies;

DHS 90.12 Note (4) Any reference to 34 CFR 300.128 on identification, location and evaluation of children with disabilities means 34 CFR 303.164 and 303.321, comprehensive child find system; and

DHS 90.12 Note (5) Any reference to 34 CFR 300.129 on confidentiality of personally identifiable information means 34 CFR 303.460, confidentiality of information.

DHS 90.12(4) (4) Opportunity to examine records.

DHS 90.12(4)(a) (a) The parent of a child may review all early intervention records concerning the child unless the county administrative agency has been provided documentation that the parent does not have the authority to review a record under state law governing such matters as custody, foster care, guardianship, separation and divorce.

DHS 90.12(4)(b) (b) When a child’s parent asks to review the child’s early intervention records, the county administrative agency or service provider shall:

DHS 90.12(4)(b)1. 1. Make the records available to the parent without unnecessary delay but not later than 10 days following the date of the request except that, if the request is in connection with a meeting on the individualized family service plan or a hearing to resolve a dispute or complaint involving the parent and the county agency or service provider, the records shall be made available at least 5 days before the meeting or hearing but in no case later than 10 days following the date of the request;

DHS 90.12(4)(b)2. 2. Permit the parent to have a representative of the parent’s choosing review the record with the parent or, with the parent’s written consent, in place of the parent; and

DHS 90.12(4)(b)3. 3. Respond to reasonable requests of the parent or parent’s representative for explanations and interpretations of the record.

DHS 90.12(4)(c) (c) If an early intervention record includes information on more than one child, the parent may review the information relating only to the parent’s child or, if this is not separable, the information shall not be disclosed to the parent but the parent shall be informed of the contents as it relates to the parent’s child.

DHS 90.12(4)(d) (d) The county administrative agency shall provide a parent, at the parent’s request, with a list of the types and locations of early intervention records.

DHS 90.12(4)(e) (e) No fee may be charged for parent review of an early intervention record or for information disclosed to a parent or for the search for or retrieval of a record. If a parent requests a copy of the record, one copy shall be supplied free of charge. A fee may be charged for each additional copy if the fee does not prevent the parent from exercising the right to inspect and review the record.

DHS 90.12(4)(f) (f)

DHS 90.12(4)(f)1. 1. A child’s parent may request that particular information in the child’s record be amended or deleted on grounds that it is inaccurate or misleading, or violates the privacy or any other right of the child, a parent or other family member.

DHS 90.12(4)(f)2. 2. The county administrative agency or service provider shall respond in writing to a request for amendment or deletion of information as soon as possible but not later than 30 days after the request is made.

DHS 90.12(4)(f)3. 3. If the county administrative agency or service provider refuses to amend or delete the information as requested, the administrative agency shall inform the parent that the parent may appeal that decision within 14 days after being notified of it by asking the county administrative agency in writing or in the parent’s normal mode of communication for a hearing on it.

DHS 90.12(4)(f)4. 4. The county administrative agency shall hold a hearing in accordance with 34 CFR 99.22 on an appeal under subd. 3. within a reasonable time after receiving the request and shall provide the parent with a written decision within a reasonable period after the hearing.

DHS 90.12(4)(f)5. 5. If as a result of the hearing the agency determines that the information is inaccurate, misleading or otherwise in violation of the privacy or other rights of the child or family, the agency shall amend the information in the record and inform the parent in writing of the amendment.

DHS 90.12(4)(f)6. 6. If the information is not finally amended or deleted as requested, the administrative agency shall inform the parent of the parent’s right to request the county administrative agency or service provider to include in the record a statement prepared by the parent commenting on the information in question and giving the parent’s reasons for disagreeing with the decision not to amend or delete the information. The county administrative agency or service provider shall then maintain that statement as part of the record and shall disclose it with the contested information whenever that information is disclosed.

DHS 90.12(5) (5) Procedures for resolution of disputes - mediation.

DHS 90.12(5)(a) (a) Definitions. In this subsection:

DHS 90.12(5)(a)1. 1. “Dispute” means any disagreement between parties concerning a county administrative agency’s proposal or refusal to initiate or change the evaluation process or eligibility determination of the child or to provide appropriate early intervention services for the child and the child’s family. “Dispute” includes a disagreement in which any other process, including a hearing under sub. (6) or litigation, has been requested or commenced.

DHS 90.12(5)(a)2. 2. “Mediation” means a dispute resolution process in which a neutral third person, who has no power to impose a decision if the parties do not agree to settle the case, helps the parties reach an agreement by focusing on the key issues in the dispute, exchanging information between the parties and exploring options for settlement.

DHS 90.12(5)(a)3. 3. “Party” means the parent of a child who is the subject of a dispute or the county administrative agency that is responsible for providing early intervention services to the child.

DHS 90.12(5)(b) (b) Request for mediation.

DHS 90.12(5)(b)1. 1. A party may request the department to arrange for mediation of a dispute at any time. The request shall be in writing, shall briefly describe the dispute and shall identify the parties. Both parties may jointly request mediation.

DHS 90.12(5)(b)2. 2. If only one of the parties requests mediation, no later than the next day after receiving the request the department shall notify the other party in writing of the request for mediation. The notice shall include all of the following:

DHS 90.12(5)(b)2.a. a. An explanation of the mediation process and its advantages;

DHS 90.12(5)(b)2.b. b. A statement that participation in mediation is voluntary and that agreement or refusal to participate will not affect the resolution of the dispute in any pending or potential adjudicative process, or the timing of that process, unless the parties agree otherwise; and

DHS 90.12(5)(b)2.c. c. A request that the party notify the department within 3 business days after receiving the notice regarding the party’s consent or refusal to participate in mediation.

DHS 90.12(5)(b)3. 3. If the department does not receive a timely response to the notice under subd. 2. or if the other party notifies the department of its refusal to participate in mediation, the department shall notify in writing the party that requested mediation that the other party has not responded or refuses to participate.

DHS 90.12(5)(c) (c) Appointment of mediator. The department shall select mediators on a random, rotational, or other impartial basis.

DHS 90.12(5)(d) (d) Roster of mediators. In collaboration with the department of public instruction, the department shall maintain a roster of mediators qualified to resolve disputes. The department may include a person on the roster if all of the following apply:

DHS 90.12(5)(d)1. 1. The department determines that the person has the appropriate skills and knowledge to act as a mediator under this section;

DHS 90.12(5)(d)2. 2. The person participates in a training program of at least 5 days’ duration that has been approved by the department;

DHS 90.12(5)(d)3. 3. The person consents to be observed by a department representative at any mediation session; and