PART C PROCEDURAL SAFEGUARDS


I.	GENERAL RESPONSIBILITY
	
	The Delaware Department of Health and Social Services (DHSS) has established procedural 
safeguards that meet the requirements of the Individuals with Disabilities Education Act, Part C 
and ensures the effective implementation of those safeguards by each public agency involved in 
the provision of early intervention services.  All agencies receiving either Part C federal funds or 
state funds, authorized by the Interagency Resource Management Committee, for early 
intervention services are required to abide by these safeguard policies and procedures.  Any 
provider not abiding by these policies and procedures will lose program funding.
	
II.	DEFINITIONS

A.	Consent means that:
1.	the parent has been fully informed of all information
relevant to the activity for which consent is sought, in the parent’s native 
language or other mode of communication;
		2.	the parent understand and agrees in writing to the 
	carrying out of the activity for which consent is sought, and the consent 
describes that activity and lists the records (if any), including physical 
documents and recorded information, that will be released and to whom; and 
	3.	the parent understands that the granting of consent is voluntary and may be 
revoked at any time.
	
B.	Destruction means physical destruction or removal of personal 
	identifiers from information so that the information is no longer personally 
identifiable.
	
C.	Education records means the records covered by the Federal Regulations 
Implementing the Family Educational Rights and Privacy Act. (FERPA).

D.	Native language, when used with reference to persons of limited English proficiency, 
means the language or mode of communication normally used by the parent of an 
eligible child.

E.	Participating Agency means any agency/institution, which collects, maintains, or 
uses personally identifiable information is obtained. 

         F.		Personally identifiable means that information includes:
         a.	the name of the child, the infant or toddler’s parent
         or other family member;
         b.	the address of the child, the parent or other family
         member;
         c.	a personal identifier, such as the social security 
         number of the child, parent and other family 
         member;
         d.	a description of personal characteristics or other 
information that would make it possible to identify the child, the 
parent or other family member with reasonable certainty; and

G.	Parent means a natural parent, an adoptive parent, a legal guardian, a person 
acting as a parent, or a surrogate parent appointed in accordance with Part C 
regulations.  This definition was intended to include persons acting in the place of a 
parent, such as grandparent or stepparent with whom a child lives, as well as 
persons who are legally responsible for the child’s welfare.  The term does not 
include the State if the child is a ward of the State.

         H.		A record is any information recorded in any way, maintained by	
an agency or service provider, or by any party acting for an agency or service 
provider.  These records include files, evaluations, reports, studies, letters, 
telegrams, minutes of meetings, memoranda reflecting oral conversations, 
handwritten or other notes, charts, graphs, data sheets, films, videotapes, slides, 
sound recordings, discs, tapes, and information stored on microfilm or microfiche or 
in computer-readable form.

I.	Mediation is an informal process in which an impartial person helps parties in 
conflict resolve their differences and find solution satisfactory to all sides.

III.   NOTICE TO PARENTS	

A.	Agencies must give adequate notice to fully inform parents about their safeguards under 
IDEA, including:
1. 	a description of the extent the notice is given in the native language of population 
groups in the state;
2.	a description of the children on whom personally identifiable information is 
maintained, types of information sought, methods used to collect information 
(including sources to be used) and uses of information;
3.	summary of policies and procedures participating agencies must follow regarding 
storage, disclosure to 3rd parties, retention and destruction of personally identifiable 
information; and
		4.	a description of all rights of parents and children regarding this 
         information including FERPA and IDEA rights.

         B.	NOTICE PRIOR TO ANY ACTION
1.	Before any major Child Find activity, notice will be published in the newspaper or 
other media with circulation adequate to notify the Parents throughout the state.
         2.	Written prior notice must be provided to the parents before:
a.	any proposal to initiate or change the identification of a child, or
         b.	a refusal to initiate or change the identification of a child.
c.	This notice may consist of a “consent to an evaluation”  form.
3.	Written prior notice must be received by the parents of an eligible child ten- (10) 
working days before a public agency or a service provider:
a.	proposes to change the evaluation or the placement of their child, or to 
initiate or change the provision of appropriate early intervention services to 
the child and the child’s family or
b.	refuses to initiate or change the evaluation or placement of their child, or the 
provision of appropriate early intervention services to the child and his or her 
family.
4.	Agencies and providers shall maintain a copy of the notice and documentation of 
notification.

         C.	CONSENT OF NOTICE
1.	The content of the notice must be in sufficient detail to inform the parents about:
         a.	the action that is being proposed or refused;
         b.	the reasons for proposing or refusing the action;
c.	the information upon which the proposal or refusal is founded;
d.	the parent’s right to refuse to consent to the action, including any 
consequences for parent or child if the parent refuses to consent;
e.	the parent’s right to appeal the proposal or refusal to act, including a 
description of the method of making such an appeal, whether activities to 
which the parents object will be delayed pending the appeal, and whether 
activities sought by the parent will be implemented pending the appeal; and
f.	all procedural safeguards available under the Part C statute and regulations.
         2.	The notice shall be:
a.	written in language understandable to the general public; and
b.	provided in the parent’s native language, unless it is clearly not feasible to 
do so.
COMMENT:	Efforts to accomplish this requirement shall include, but shall 
not be limited to, a comprehensive translator search which may range 
beyond the geographic area served by the agency or provider and inquiries 
to the lead agency which shall maintain a resource list of translators.
c.	If the native language or other mode of communication of the parent is not a 
written language, the public agency or designated service provider shall take 
steps to ensure that:
(1)	the notice is translated orally, or by other means, to the parent in the 
parent’s native language or other mode of communication;
         (2)	the parent understands the notice; and
(3)	there is written evidence that the requirements of this paragraph 
have been met.
d.	If the parent is deaf or blind, or has no written language, the mode of 
communication shall be that normally used by the parent (e.g., sign 
language, Braille, or oral communication).

D.	NOTICE TO NATURAL PARENT:  When the natural parent is known, that parent should also 
receive notices of actions taken by the “acting parent”.
         
E.	NOTICE OF PARENT RIGHTS:  Parents shall be informed that they have the following 
rights:
1.	the right to a comprehensive, multidisciplinary evaluation, including assessment, 
within forty-five (45) calendar days of the receipt of referral by the Part C Birth to 
Three Early Intervention System;
2.	the right to appropriate early intervention services for their child and family;
         3.	the right to refuse evaluations and assessments, and services;
4.	the right to ten (10) working days advance notice before a change is made or 
refused in the identification, evaluation, or placement of their child, or in the 
provision of services to the family;
         5.	the right to confidentiality of personally identifiable information;
         6.	the right to review and seek correction of records;
7.	the right to be invited to and to attend and participate in meetings in which a 
decision is expected to be made regarding a proposal to change the identification, 
evaluation, or placement of the child or the provision of services to the child or 
family;
8.	the right to utilize an advocate or lawyer in any dealings with the Part C Early 
Intervention System; and
9.	the right to utilize administrative and judicial processes to resolve complaints.

         F.	HOW PARENTS SHALL BE INFORMED OF THEIR RIGHTS
         1.	Written notice of parents’ rights shall be provided when:
a.	the family has initial contact with the early intervention system;
b.	the initial evaluation and assessment is proposed or refused;
         c.	the eligibility determination is made;
         d.	the IFSP is being developed or reviewed; and 
         e.	a change in services or placement is proposed or refused.
2.	The notice shall be in the language of and by means understandable to the parents.
COMMENT:	In addition, the parent should be informed 
		Verbally of any of the actions listed above.

G.	INFORMING PARENTS OF RIGHTS PERTAINING TO PART B:  Parents should be informed of 
their rights relating to the Part B system in enough time to permit the parents to ensure 
that the child, if eligible, will receive appropriate Part B services in a timely fashion.

IV.	PARENT CONSENT
         A.	WHEN INFORMED CONSENT MUST BE OBTAINED
1.	before conducting initial and subsequent evaluations and assessments, including 
family assessments;
2.	at the time the IFSP is developed or reviewed, Parents shall be required to sign the 
IFSP as evidence of that consent.
3.	before initiating early intervention services at any time prior to the development of 
the IFSP; and
4.	before a significant change in identification, placement, evaluation or assessment, 
or in the amount or type of services.

         B.	INFORMED PARENTAL CONSENT TO AN EVALUATION OR ASSESSMENT
1.	the parent understands the purpose of the evaluation or assessment and the 
procedures to be employed;
2.	the parent understands any burdens a parent or family may bear as a result of the 
assessment or evaluation; and
3.	the parent understands the possible adverse consequences of refusing to consent to 
an assessment or evaluation procedures.
         
         C.	INFORMED PARENTAL CONSENT TO THE PROVISION OF SERVICES
1.	the parent understands the purpose of each service to be provided and how the 
service will be provided;
2.	the parent understands the cost (if any) that parents or family may incur for the 
services;
3.	the parent understands any burdens that parents or family may bear as a result of 
each proposed services; and
4.	the parent understands the possible adverse consequences of refusing proposed 
services.



         D.	PARENTS RIGHT TO DECLINE SERVICE
1.	The parents may determine whether they, their child, or other family members will 
accept or decline any Part C early intervention service in accordance with State law 
without jeopardizing other early intervention service under Part C.
	
2.	Providers may not refuse to perform an evaluation or assessment procedure or deny 
a service because parents have refused to consent to another procedure or service.
COMMENT:  an evaluation, assessment, or service could
only be withheld if the procedure or service would have no validity or be 
ineffective without the refused procedure or service.  This situation, 
however, would be rare.

         E.	ENCOURAGING PARENT CONSENT IF CONSENT IS NOT GIVEN:
         1.	Reasonable efforts shall be made to ensure that the parent:
a.	is fully aware of the nature of the evaluation and assessment or the services 
that would be available; and
b.	understands that the child will not be able to receive services unless consent 
is given.
c.	activities may be pursued that are designed to encourage parents to consent 
to recommended assessment or evaluation procedures and recommended 
services that they have refused, including:
(1)	providing parents with relevant literature or other materials;
         (2)	offering parents peer counseling;
(3)	periodically renewing contact with parents, on an establishing time 
schedule, to determine if they have changed their minds about the 
desirability of recommended procedures or services.
COMMENT:  Any efforts to encourage parent consent shall be 
sensitive to the family and respect parent decisions.
		
         F.	OVERRIDE POLICY FOR INITIAL EVALUATIONS
1.	The agency may only override parents’ refusal to consent to an initial evaluation if 
that refusal constitutes medical abuse or neglect, where such abuse and neglect are 
required to be reported under state law.
2.	A parents’ refusal to consent to an evaluation is not by itself cause to suspect abuse 
or neglect.

V.	SURROGATE PARENTS
         A.	WHEN SHOULD A SURROGATE BE APPOINTED
         	1.	The state is mandated to appoint a surrogate parent when:
a.	Custody has been awarded to the Department of Services for Children, Youth 
and their Families or other State agency by the Family Court; or
b.	if no parent can be identified;
	COMMENT:  It is unlikely that many infants or toddlers will be without 
someone who fits the definition of parent.
c.	if the whereabouts of a parent cannot be discovered after reasonable efforts; 
or reasonable efforts include, but are not limited to, telephone calls, letters, 
certified letter with return receipt requested, or visits to the parents’ last 
known address.
         d.	the rights of the natural parents have been terminated by 
Family Court, no guardian has been appointed, and the infant/toddler has 
not been adopted (wards of the state);
2.	A surrogate parent may be appointed by voluntary written consent to the 
appointment by the parent which is revocable at any time by the parent with 
written notice to the Department of Health and Social Services.

         B.	CRITERIA FOR SELECTION OF SURROGATES:
1.	The lead agency ensures that the surrogate parent is selected as permitted by state 
law (Delaware Code Title 14 §3132).
a.	has no interest that conflicts with the interests of the child he/she 
represents;
b.	has knowledge and skills that ensure adequate representation of the child;
c.	is not an employee of any agency involved in the provision of early 
intervention or other services to the child;
(1)	A person, who otherwise qualifies as a surrogate parent, shall not be 
considered an employee of a public agency solely because he/she is 
paid by a public agency to serve as a surrogate parent.
(2)	Foster parents are not considered employees for the purposes of this 
requirement.
(3)	A foster parent may serve as a surrogate parent so long as the foster 
parent is planning on being the child’s foster parent for the 
foreseeable future or to adopt the child.
(a)	has familial, social, and/or cultural ties to child, whenever 
possible.
2.	Method for determining whether a child needs a surrogate parent.
a.	anyone can notify the Educational Surrogate Parent (ESP) Coordinator that a 
child may be eligible.  Most often it will be either an employee of the 
Department of Services for Children, Youth, and Their Families or Child 
Development Watch that become aware of the need.
b.	a referral form is completed.  The original is sent to the ESP Coordinator and 
a copy is sent to the Division of Management Services.   A determination is 
then made regarding the child’s eligibility based on the above criteria 
(V.A.1).
c.	the ESP Coordinator selects a potential ESP for the child from the list of 
certified people.  After the recommendation is reviewed and approved by the 
Department of Health and Social Services the surrogate parent is appointed 
to represent the child.

C.	RIGHTS AND RESPONSIBLITIES OF A SURROGATE:  surrogate parent has all the rights of a 
natural or adoptive parent as they pertain to Part C and shall represent a child in all 
matters relating to:
         1.	evaluation and assessment of the child;
2.	the development, implementation, annual evaluation, and review of the IFSP;
         3.	the ongoing provision of early intervention services; and
         4.	any other rights under Part C.
5.	A surrogate parent shall maintain standards of practice as outlined in the 
Educational Surrogate Parents Manual.

         D.	TERMINATION	
         1.	A surrogate may be replaced only when:
         a.	he/she wishes to relinquish surrogate responsibilities; or
b.	the Department determines that the appointment will be terminated based 
on the material failure of the surrogate to discharge his/her duties or 
maintain confidentiality.
2.	If the surrogate is terminated, the surrogate has a right to appeal through the 
established appeal process described under Section VIII of this document.

         E.	TRAINING/ASSISTANCE:
1.	The Educational Surrogate Parent Program and the Department of Health and Social 
Services shall provide initial training for surrogate parents.
2.	All surrogate parents are required to take the initial training provided for surrogate 
parents.
3.	Surrogate parents shall be provided follow-up training and assistance in performing 
their duties when necessary or upon request.

         F.	COMPENSATION
1.	Surrogate parents shall be reimbursed by the Department of Health and Social 
Services for all reasonable and necessary expenses incurred in pursuit of their 
duties.
2.	Reasonable and necessary expenses include, but are not limited to mileage for 
attendance at meetings concerning the child, long-distance telephone calls 
concerning the child’s services, photocopying of the child’s records.


VI.	CONFIDENTIALITY OF INFORMATION
A.	All confidentiality policies and procedures meet Part B confidentiality requirements of 
information with some modifications to the definitions.
B.	All personally identifiable information concerning a child, the child’s parent, or another 
family member is confidential.
1.	Parental consent must be obtained before personally identifiable information is
a.	disclosed to anyone other than officials of participating agencies collecting or 
using the information under Part C of the federal Individuals with Disabilities 
Education Act, subject to paragraph 2 of this section; or
b.	used for any purpose other than meeting a requirement under Part C.
2.	an agency or institution subject to Part C regulations may not release information 
from early intervention records to participating agencies without parental consent 
unless authorized to do so under FERPA.

C.	CONSENT TO DISCLOSURE
1.	Informed consent must be obtained before any disclosure of confidential 
information, except in the following circumstances:
a.	public agency or service provider may disclose confidential information to its 
employees who have a legitimate need for access to the information;
b.	confidential information may be shared among employees within a division of 
state government on a need to know basis, but only between divisions in 
compliance with individual Departmental guidelines on interagency sharing of 
information; or
c.	disclosure of confidential information may be made:
(1)	to authorized representatives of the Controller General of the United 
States, the U.S. Secretary of Education, or a state agency responsible 
for the administration of the Part C program when the disclosure is in 
connection with an audit or evaluation of the Part C program or for 
ensuring the program’s compliance with legal mandates, and the 
representatives to whom the disclosure is made protect against 
further disclosures and destroy the information when no longer 
needed;
(2)	to organizations conducting studies to develop, validate, or 
administer predictive tests, to administer financial aid programs, or to 
improve Part C services; and
(a)	the study is conducted in a manner that does not permit 
personal identification of parents, children, or family 
members; and
(b)	the information is destroyed when no longer needed for the 
purposes of the study;
(3)	to accrediting organizations to carry out their functions;
(4)	to comply with a judicial order of lawfully issued subpoena and a 
reasonable effort has been made by the disclosure to notify the 
parents in advance of compliance;
(5)	To the eligible child’s parent.
d.	Each time a disclosure is made in circumstances #2-5 above:
(1)	the parent must be informed of that disclosure as soon as is possible; 
and 
(2)	the disclosure must be recorded in the child’s record and include the 
name of the party to whom the information was disclosed, the date of 
disclosure, and the purpose of disclosure.

D.	SEEKING CONFIDENTIAL INFORMATION
1.	A public agency or service provider must have informed parental consent to seek 
confidential information unless:
a.	it is legally required to do so; or
b.	the information is necessary to respond to a health or safety emergency.
2.	Parents may be asked to sign a general release that would allow agencies or 
providers to seek or provide confidential information from others as long as:
a.	parents are informed of their right to refuse to provide such authority and 
notification of that right appears on the written release form.
b.	The release form lists those from whom the information	 may be sought and 
specifies what types of information may be sought from each;
c.	Parents are given the opportunity to limit the information that might be 
released and the parties from whom information may be released;
d.	the release is revocable at any time, parents understand that, and it is so 
stated on the release form; and
e.	the release is limited to one year or until the development or review of the 
IFSP, whichever comes first.
3.	Each disclosure of confidential information pursuant to a general release shall be 
recorded in a child’s record.

E.	RELEASE OF SENSITIVE INFORMATION
1.	Parents must give specific release for any disclosure of sensitive information.  
Sensitive information includes, but is not limited to, information pertaining to sexual 
or physical abuse, mental health treatment, HIV status, or a child’s parentage.
2.	There should be a space provided on the release form where parents can indicate 
information that they do not want released without their written consent.

F.	RELEASE OF INFORMATION TO THOSE WHO WILL SERVE THE CHILD UPON TRANSITION 
FROM THE PART C SYSTEM:  Parents must give informed written consent for the release of 
information to the public school system or any other agency or provider that may serve 
their child upon transition from the Part C System.
	
G.	SECONDARY DISCLOSURE OF CONFIDENTIAL INFORMATION
1.	An agency, may, without parental consent, make a secondary disclosure of 
confidential information obtained from another party only if such a disclosure is 
both:
a.	permitted under the terms of the original disclosure made to the agency or 
provider; and
b.	either:
(1)	permitted by policy F.2., above; or
(2)	consistent with a general release provided by the parents that meets 
the requirements for general releases.

H.	AGENCY RESPONSIBILITY FOR MAINTAINING CONFIDENTIALITY
1.	All agencies are required to protect confidentiality of personally identifiable 
information at the collection, storage, disclosure, and destruction stages.
2.	Each agency or provider must designate one person to be responsible for ensuring 
the confidentiality of personally identifiable information;
3.	All persons collecting or using personally identifying information or using personally 
identifying information must receive training and instruction regarding state policies 
and procedures.
4.	Each agency or provider must maintain, for public inspection, a current list of the 
names and positions of employees who have access to personally identifiable 
information.

G.	DESTRUCTION OF RECORDS
1.	The Health and Social Services Department shall inform parents when personally 
identifiable information collected, maintained, or used under Part C is no longer 
needed to provide early intervention services to the child.
2.	The information must be destroyed at the request of the family.  The Department 
can keep information demonstrating that at one time they served the child and 
family including the name, address, phone number of the child.
3.	When the family requests that information be destroyed, the Department should 
remind them that the records may be needed by the child or parent for social 
security, health or other purposes.

VII.	RIGHT TO REVIEW AND CORRECT RECORDS
A.	ACCESS
1.	Participating agencies must presume that the parent has the authority to 
inspect/review records relating to their child unless it has been advised that the 
parent does not have the authority under state law.
2.	The parents of eligible children must be afforded the opportunity to examine, 
inspect, and review records regardless of source regarding their child or family that 
relate to:
a.	screening, evaluation, assessment, eligibility determination, and the 
development and implementation of the IFSP;
b.	the filing of individual complaints dealing with the child or family; and
c.	any other area under the Part C regulations involving records about the child 
and the child’s family.
3.	Parents shall not be refused access based on the identity of the agency of provider 
maintaining the records.
         4.	Parents may be refused access to the following records:
a.	records of service, supervisory, and administrative personnel that are kept in 
the sole possession of the maker of the record and are not accessible or 
revealed to any other person except a temporary substitute for the maker of 
the record;
b.	records of a law enforcement unit of a public agency or private provider; and
c.	records relating to an individual who is employed by an agency or provider 
that are made and maintained in the normal course of business, that relate 
exclusively to the individual in that individual’s capacity as employee, and 
that are not available for use for any other purpose.  This subparagraph does 
not apply to records relating to a parent who is employed as a result of the 
parent’s status as a recipient of services or as a result of the parent’s child 
receiving services.
5.	If any record includes information on more than one child, parents of those children 
have the right to inspect and review only the information relating to their child or to 
be informed of that specific information.
6.	Each agency must keep a record of all parties obtaining access to records collected, 
maintained, or used (except access by parents and authorized employees of the 
agency), including:
a.	the name of the party requesting access;
         b.	the date of access; and
         c.	purpose of access.

         B.	RIGHTS RELATED TO REVIEWING RECORDS
         1.	The right to review a record includes:
         a.	the right to explanations and interpretations of the record;
         b.	the right to obtain a copy of the record; and
c.	the right to have a representative of the parent’s choosing review the record.
2.	When a parent asks to review a record, the agency or provider maintaining the 
record, must comply with a request within ten- (10) working day.
3.	When a request for records is made in connection with an IFSP meeting or formal 
hearing to resolve a complaint the agency or provider shall provide the records prior 
to the meeting or hearing at least five (5) days before the proceeding.
4.	An agency or provider may not charge a fee to search for or retrieve a record.

         C.	PARENT REQUEST TO AMEND A RECORD
1.	A parent may request that information in a record be amended, including deletion, 
if:
         a.	that information is inaccurate or misleading; or
b.	that information violates the privacy or other rights of the parent’s child or 
family.
2.	When a parent requests in writing to the Department that a record be amended, the 
agency or provider must act on that request within ten (10) working days from the 
time the request is received.
3.	If the agency or provider refuses to amend the records as requested, it must:
         a.	inform parent (s) of the refusal in writing; and
b.	advise the parents in writing that they may appeal the refusal and how to 
invoke the appeal process.  The parents have the right to appeal through 
mediation or the formal hearing process.
4.	If the parent chooses not to appeal, or loses the appeal, the parent may place in the 
files of the agency or provider maintaining the contested record a corrective state 
commenting on the information and/or setting forth the parent’s reasons for 
disagreeing with the decision on appeal.  The agency or provider must:
a.	maintain that statement along with the contested record as long as the 
record is maintained; and
b.	provide that statement along with the contested record if the record or 
information is ever disclosed to any party.
         5.	If the parent wins the appeal, the agency or provider must:
         a.	amend the record
         b.	inform parents in writing.

         D.	INFORMATION ABOUT THE MAINTENANCE OF RECORDS
1.	The Division of Management Services must provide parents with information about 
the types and locations of records collected, maintained, or used by public agencies 
or private providers relating to:
a.	screening, evaluation, assessment, eligibility determinations, or the 
development and implementation of the IFSP.
b.	Individual complaints dealing with children or families; and
c.	any other area under Part C regulations involving records	 about 
children and families.
2.	Each public agency and private provider must maintain and provide to parents, 
upon request:
a.	a list of the types and locations of records collected, maintained, or used by 
the agency or provider relating to:
(1)	screening, evaluation, assessment, eligibility determinations, or the 
development and implementations of IFSPs;
(2)	individual complaints dealing with children or families; and
(3)	any other area under the Part C regulations involving records about 
children or families; and
the title and address of the person to whom requests to review such 
records should be made.

VIII.	IMPARTIAL PROCEDURES FOR RESOLVING INDIVIDUAL CHILD COMPLAINTS
A.	SYSTEM ASSURANCE
1.	The Department of Health and Social Services ensures that a system has been 
established and is operating for conducting formal hearings that:
a.	addresses parent’s complaints about identification; screening; evaluation; 
assessments; eligibility determinations; the development, review, and 
implementation of the IFSP; and the failure to respect parents’ procedural 
rights;
b.	provides parents a clear and easy-to-use method of requesting a hearing; 
and
c.	is capable of resolving through a single proceeding a complaint involving two 
or more agencies or providers.
d.	meets the following requirements as required by §99.22 of FERPA, and
(1)	the hearing will be held within a reasonable time after it has received 
the request for the hearings from the parent;
(2)	The parent is provided with a notice of the date, time and place, 
reasonably in advance of the hearing;
(3)	the hearing will be conducted by an individual who does not have a 
direct interest in the outcome of the hearing;
(4)	the parent will have a full and fair opportunity to present evidence 
relevant to the issues raised.  The parent may be assisted or 
represented by one or more individuals of his or her own choice, 
including an attorney;
(5)	the decision will be made in writing within a reasonable period of time 
after the hearing;
(6)	the decision will be based solely on the evidence presented, and must 
include a summary of the evidence and the reasons for the decision

         B.	DUE PROCESS REQUEST
1.	Parents may initiate the request for a hearing on any issue that is in dispute by 
filing a written complaint with the Division of Management Services.
2.	Parents shall be offered assistance by the Division of Management Services in filing 
the complaint.

C.	RESPONSE TO A FILED REQUEST FOR DUE PROCESS
1.	The Division of Management Services shall:
a.	respond within 7 days of receiving the complaint by:
(1)	notifying the parents of low cost legal advocacy services;
(2)	notifying parents of their rights related to the hearing process;
(3)	notifying parents of the option of mediation, including a description of 
the mediation process and its voluntary nature; and 
(4)	appointing an impartial hearing panel.

D.	PARENT RIGHTS
1.	Parents have the following rights with regard to the hearing	 process:
a.	the right to be accompanied and advised by counsel and by individuals with 
special knowledge or training with respect to early intervention services;
b.	the right to present evidence, and confront, cross-examine, and compel the 
attendance of witnesses;
c.	the right to prohibit the introduction of any evidence at the proceeding that 
has not been disclosed to the parent at least five (5) days before the 
proceeding;
d.	the right to obtain a written or electronic verbatim transcription of the 
proceeding; and
e.	the right to obtain written findings of fact and decisions.

E.	CRITERIA FOR APPOINTING HEARING OFFICERS
1.	Knowledge of the provisions of Part C and of the needs of and services available to 
eligible children and their families; and
2.	be impartial, meaning that:
a.	they may not be employed by any agency or program involved in the 
provision of early intervention services or in the care of the child; and
	COMMENT:	A person who otherwise qualifies under this section is 
not an employee solely due to being paid by the agency to implement 
the complaint resolution process.
b.	they may have no other conflict of interest, either personal or professional, 
that might impair their objectivity.

F.	RESPONSIBILITIES OF HEARING OFFICERS
1.	Listen to the presentation of relevant viewpoints about the complaint, examine all 
information relevant to the issues, and seek to reach a timely resolution of the 
complaint; and
2.	Provide a record of the proceedings, including a written decision.

G.	MEDIATION
1.	Parents or service providers may request mediation at any time during the 
complaint process by putting the request in writing to the Department of Health and 
Social Services.  Both parties must sign the request for mediation as an indication 
of their willingness to engage in mediation.
2.	Parents may:
a.	not be required to participate in mediation as a condition of having a formal 
hearing;
b.	choose to pursue both mediation and a formal hearing, with the formal 
hearing proceeding within the time limits prescribed; and
c.	accept or reject a request for mediation by an agency or provider.
3.	Upon receipt of the request for mediation the Division of Management Services 
shall:
a.	promptly appoint an impartial mediator who will schedule a meeting within 
ten (10) working days of his/her appointment at a time and place mutually 
convenient to all involved parties; and
b.	provide all parties with a copy of a handbook that outlines the mediation 
process.
4.	Mediation shall be provided at no cost to either party and in accordance with the 
process outlined in a mediation handbook.

         H.	CONVENIENCE OF PROCEEDINGS
1.	Hearings shall:
a.	occur at a time and place convenient for the parents; and
b.	be concluded within 30 days from the time of receipt of the complaint, with a 
written decision being mailed to each party.

I.	DECISIONS
         1.	are enforceable by the Department of Health and Social Services;
2.	shall be maintained by the Department of Health and Social Services in a central 
file, which is accessible to the public and has all personally identifiable information 
deleted;
3.	that determine that the information in records is inaccurate, misleading, or violate 
privacy/rights of the child must be;
         a.	amended, and
         b.	parents must be informed in writing of that decision.

J.	PROVISION OF SERVICES DURING PROCEEDINGS
1.	While any proceedings are pending, including mediation, the child and family must 
continue to receive the early intervention services that were being provided before 
the complaint was filed, unless the family and agency or provider agree otherwise.
2.	If the complaint involves an application for initial services, the child and family must 
receive all services that are not in dispute.

K.	CIVIL ACTION:  Parents who are aggrieved by the final decision of the formal hearing 
system may challenge the decision by bringing a civil action in state court within 30 
calendar days of the decision or in federal court where there is no time limit.


8/28/94

Attachment 4		Delaware

Part C Procedural Safeguards


Last update 10/01		Delaware Part C Attachment 4
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