ECI Compliance Guide

Introduction to the Guide

This compliance guide addresses requirements of the ECI program that apply to all Texas contractors that receive IDEA, Part C funds and provide early childhood intervention services. The purpose of this compliance guide is to provide a list of authorities by topic in a useful format. Administrators must comply with IDEA, the Code of Federal Regulations, the Texas Medicaid Provider Procedures Manual, and other authorities. The Compliance Guide is a support for understanding your requirements, rights and duties as a contractor under federal statutes, regulations and the relevant portions of the Texas Administrative Code.

The guide also references related regulations, Medicaid requirements, data entry requirements, and required forms. For standardized and required elements forms, see the HHS ECI Provider Forms page. You will find the links to each specific form on that page.

This guide does not cover all state and federal requirements, nor does it cover local regulations. Please be aware that there are additional regulations that you must follow, including those for funding sources such as private insurance. State, federal and other requirements may change after the publication of this guide. HHS ECI will update the guide as needed, but the updates may not keep pace with the changes. You are responsible for keeping up-to-date on any changes to the requirements. This guide is part of a broader group of technical assistance materials provided by HHS ECI to promote compliance and performance.

How to Use This Guide

Throughout this guide, the word "you" means the administrator, program director or supervisor of ECI services.

Note that live links to federal statutes and regulations go to the most specific portion of the citation possible, depending on the specificity of the coding of the citation on the original page. In cases of a citation that is more specific than the link it connects to, be sure to scroll down on the link page and find the specific requirement that is cited. In a few cases, the link may move to the citation table of contents first before moving to the specific cited requirement.

A. General Rules

Federal Statutes

Federal Regulations

Code of Federal Regulations, Title 34, Part 303: Early Intervention Program for Infants and Toddlers with Disabilities.
§303.1 Purpose of the early intervention program for infants and toddlers with disabilities.
§303.2 Eligible recipients of an award and applicability of this part.
§303.3 Applicable regulations.
§303.7 Consent.
§303.11 Early intervention service program.
§303.12 Early intervention service provider.
§303.18 Include; including.
§303.19 Indian; Indian tribe.
§303.22 Lead agency.
§303.24 Multidisciplinary.
§303.25 Native Language.
§303.27 Parent.
§303.100 General Authority.
§303.101 State eligibility—requirements for a grant under this part.
§303.105 Positive efforts to employ and advance qualified individuals with disabilities.
§303.110 Minimum components of a statewide system.
§303.120 Lead agency role in supervision, monitoring, funding, interagency coordination, and other responsibilities.
§303.121 Policy for contracting or otherwise arranging for services.
§303.124 Data collection.
§303.125 State interagency coordinating council.
§303.200 State application and assurances.
§300.201 Designation of lead agency.
§303.202 Certification regarding financial responsibility.
§303.203 Statewide system and description of services.
§303.205 Description of use of funds.
§303.222 Payor of last resort.
§303.227 Traditionally underserved groups.
§303.300 General.  
§303.400 General responsibility of lead agency for procedural safeguards.
§303.403 Definitions.
§303.500 Use of funds, payor of last resort, and system of payments.
§303.501 Permissive use of funds by the lead agency.
§303.510 Payor of last resort.
§303.600 Establishment of Council.
§303.700 State monitoring and enforcement.
§303.701 State performance plans and data collection.
§303.702 State use of targets and reporting.
§303.720 Data requirements—general.
§303.721 Annual report of children served—report requirement.
§303.724 Annual report of children served—other responsibilities of the lead agency.

State Rules

Contract Requirements

General Provisions, A, B and C
Responsibility
Attachment No. 1, Section II Measurable Outputs and Outcomes, B

Required Forms

B. Procedural Safeguards and Due Process Procedures

Federal Statutes

Federal Regulations

Code of Federal Regulations, Title 34, Part 99: Family Education Rights and Privacy.
§99.22 What minimum requirements exist for the conduct of a hearing?

Code of Federal Regulations, Title 34, Part 303: Early Intervention Program for Infants and Toddlers with Disabilities.
§303.7 Consent.
§303.25 Native language.
§303.27 Parent.
§303.29 Personally identifiable information.
§303.37 Ward of the State.
§303.123 Procedural safeguards.
§303.310 Post-referral timeline (45 days).
§303.320 Screening Procedures.
§303.322 Determination that a child is not eligible.
§303.342(e) Procedures for IFSP development, review, and evaluation.
§303.345(a) Interim IFSPs—provision of services before evaluations and assessments are completed.
§303.401 Confidentiality and opportunity to examine records.
§303.402 Confidentiality.
§303.403 Definitions.
§303.404 Notice to parents.
§303.405 Access rights.
§303.406 Record of access.
§303.407 Records on more than one child.
§303.408 List of types and locations of information.
§303.409 Fees for records.
§303.410 Amendment of records at a parent's request.
§303.411 Opportunity for a hearing.
§303.412 Result of hearing.
§303.413 Hearing procedures.
§303.414 Consent prior to disclosure or use.
§303.415 Safeguards.
§303.416 Destruction of information.
§303.417 Enforcement.
§303.420 Parental consent and ability to decline services.
§303.421 Prior written notice and procedural safeguard notice.
§303.422 Surrogate parents.
§303.430 State dispute resolution options.
§303.431 Mediation.
§303.432 Adoption of State complaint procedures.
§303.433 Minimum State complaint procedures.
§303.434 Filing a complaint.
§303.435 Appointment of an impartial due process hearing officer.
§303.436 Parent rights in due process hearing proceedings.
§303.437 Convenience of hearing and timelines.
§303.438 Civil action.
§303.520 Policies related to use of public benefits or insurance or private insurance to pay for Part C services.
§303.521(b) and (e) System of payments and fees.
§303.721(c) Annual report of children served—report requirement.

State Rules

Related Regulations

Code of Federal Regulations, Title 34, Part 99: FERPA.

Contract Requirements

Information Security and Confidentiality
Use of Electronic Signatures and Consents
Consumer Records
Records Retention
Record Review

Required Forms

C. Staff Qualifications

Federal Statutes

Federal Regulations

State Rules

Contract Requirements

General Provisions A.3
Certifications, A
Attachment No. 1, Section I Early Childhood Intervention Services - Scope of Work

Sample Forms

D. Case Management for Infants and Toddlers with Developmental Disabilities

Federal Statutes

Federal Regulations

State Rules

Related Regulations

Code of Federal Regulations, Title 34, Part 99: FERPA.

Medicaid Requirements

Texas Medicaid Provider Procedures Manual, Volume 1, Section 1: Provider Enrollment and Responsibilities

Texas Medicaid Provider Procedures Manual, Volume 1, Section 2: Texas Medicaid Fee-for-Service Reimbursement

Texas Medicaid Provider Procedures Manual, Volume 1, Section 3: TMHP Electronic Data Interchange (EDI)

Texas Medicaid Provider Procedures Manual, Volume 1, Section 4: Client Eligibility

Texas Medicaid Provider Procedures Manual, Volume 1, Section 6: Claims Filing

Texas Medicaid Provider Procedures Manual, Volume 1, Section 7: Appeals

Texas Medicaid Provider Procedures Manual, Volume 1, Appendix A: State, Federal and TMHP Contact Information

Texas Medicaid Provider Procedures Manual, Volume 1, Appendix D: Acronym Dictionary

Texas Medicaid Provider Procedures Manual, Volume 2: Children's Services Handbook
Section 2: Medicaid Children's Comprehensive Care Program (CCP)

Contract Requirements

General Provisions A.3, A.9
Standards for Program and Financial Management, A.3, A.4
Reporting Requirements and Inspections
Attachment No. 1, Section I Early Childhood Intervention Services - Scope of Work
Attachment No. 1, Section II Measurable Outputs and Outcomes, C, E, F
Attachment No. 2, Section I Respite Services – Scope of Work

Required Forms

Data Entry Requirements

TKIDS Manual:

Use the TKIDS Manual Table of Contents to locate the following sections:

  • Case Management and Targeted Case Management (CM/TCM)

E. Specialized Skills Training

Federal Regulations

State Rules

Medicaid Requirements

Texas Medicaid Provider Procedures Manual, Volume 1, Section 1: Provider Enrollment and Responsibilities

Texas Medicaid Provider Procedures Manual, Volume 1, Section 2: Texas Medicaid Fee-for-Service Reimbursement

Texas Medicaid Provider Procedures Manual, Volume 1, Section 3: TMHP Electronic Data Interchange (EDI)

Texas Medicaid Provider Procedures Manual, Volume 1, Section 4: Client Eligibility

Texas Medicaid Provider Procedures Manual, Volume 1, Section 6: Claims Filing

Texas Medicaid Provider Procedures Manual, Volume 1, Section 7: Appeals

Texas Medicaid Provider Procedures Manual, Volume 1, Appendix A: State, Federal and TMHP Contact Information

Texas Medicaid Provider Procedures Manual, Volume 1, Appendix D: Acronym Dictionary

Texas Medicaid Provider Procedures Manual, Volume 2: Children's Services Handbook
Section 2: Medicaid Children's Comprehensive Care Program (CCP)
Section 6: Claims Resources
Section 7: Contact TMHP
Section 9: Claim Form Examples

Contract Requirements

General Provisions A.3
Records Retention
Standards for Program and Financial Management, A.3
Reporting Requirements and Inspections
Attachment No. 1, Section I Early Childhood Intervention Services - Scope of Work
Attachment No. 1, Section II Measurable Outputs and Outcomes, B, C, D, G
Attachment No. 1, Section IV Special Provisions, C

Data Entry Requirements

TKIDS Manual:

Search these topics within the TKIDS Manual Table of Contents:

  • Appendix A – Planned Service
  • Appendix B – Edit, Logical Consistency and Validation Checks
  • Delivered Services
  • Planned Services
  • Required Data Fields Tables

F. Public Outreach

Federal Statutes

Federal Regulations

State Rules

Contract Requirements

General Provisions, A.8, A.9
Copyrights, Publications, and Patents, C
Attachment No. 1, Section I Early Childhood Intervention Services - Scope of Work

Data Entry Requirements

TKIDS Manual:

Use the TKIDS Manual Table of Contents to locate the following section:

  • Child Referral

G. Referral, Pre-Enrollment and Developmental Screening

Federal Statutes

Federal Regulations

State Rules

Contract Requirements

Standards for Program and Financial Management, A.3
Reporting Requirements and Inspections
Attachment No. 1, Section I Early Childhood Intervention Services - Scope of Work

Attachment No. 1, Section II Measurable Outputs and Outcomes, C and E

Data Entry Requirements

TKIDS Manual:

Use the TKIDS Manual Table of Contents to locate the following sections:

  • Child Referral
  • Case Pre-Enrollment/Screening

H. Eligibility, Evaluation and Assessment

Federal Statutes

Federal Regulations

State Rules

Medicaid Requirements

Texas Medicaid Provider Procedures Manual, Volume 1, Section 1: Provider Enrollment and Responsibilities

Texas Medicaid Provider Procedures Manual, Volume 1, Section 2: Texas Medicaid Fee-for-Service Reimbursement

Texas Medicaid Provider Procedures Manual, Volume 1, Section 3: TMHP Electronic Data Interchange (EDI)

Texas Medicaid Provider Procedures Manual, Volume 1, Section 4: Client Eligibility

Texas Medicaid Provider Procedures Manual, Volume 1, Section 6: Claims Filing

Texas Medicaid Provider Procedures Manual, Volume 1, Section 7: Appeals

Texas Medicaid Provider Procedures Manual, Volume 1, Appendix A: State, Federal and TMHP Contact Information

Texas Medicaid Provider Procedures Manual, Volume 1, Appendix D: Acronym Dictionary

Texas Medicaid Provider Procedures Manual, Volume 2: Children's Services Handbook
Section 2: Medicaid Children's Comprehensive Care Program (CCP)
Section 7: Contact TMHP
Section 9: Claim Form Examples

 

Contract Requirements

Records Retention

HHSC Monitoring
Standards for Program and Financial Management, A.3
Payment and Advances, F
Reporting Requirements and Inspections
Attachment No. 1, Section I Early Childhood Intervention Services - Scope of Work

Data Entry Requirements

TKIDS Manual:

Search these topics within the TKIDS Manual Table of Contents:

  • Evaluation/Assessment

J. Individualized Family Service Plan (IFSP)

Federal Statutes

Federal Regulations

State Rules

Contract Requirements

Record Retention
HHSC Monitoring
Standards for Program and Financial Management, A.3
Reporting Requirements and Inspections
Attachment No. 1, Section I Early Childhood Intervention Services - Scope of Work
Attachment No. 1, Section II Measurable Outputs and Outcomes, C, D, E, F and H
Attachment No. 1, Section IV Special Provisions, C
Attachment No. 2, Section I Respite Services – Scope of Work

Data Entry Requirements

TKIDS Manual:

Use the TKIDS Manual Table of Contents to locate the following section:

  • Individualized Family Service Plan (IFSP)

Required Forms

Required Elements Forms

K. Service Delivery

Federal Statutes

Federal Regulations

State Rules

Medicaid Requirements

Texas Medicaid Provider Procedures Manual, Volume 1, Section 1: Provider Enrollment and Responsibilities

Texas Medicaid Provider Procedures Manual, Volume 1, Section 2: Texas Medicaid Fee-for-Service Reimbursement

Texas Medicaid Provider Procedures Manual, Volume 1, Section 3: TMHP Electronic Data Interchange (EDI)

Texas Medicaid Provider Procedures Manual, Volume 1, Section 4: Client Eligibility

Texas Medicaid Provider Procedures Manual, Volume 1, Section 6: Claims Filing

Texas Medicaid Provider Procedures Manual, Volume 1, Section 7: Appeals

Texas Medicaid Provider Procedures Manual, Volume 1, Appendix A: State and Federal Offices Communication Guide

Texas Medicaid Provider Procedures Manual, Volume 1, Appendix D: Acronym Dictionary

Texas Medicaid Provider Procedures Manual, Volume 1, General Information, Section 6: Claims Filing and Volume 2, Behavioral Health and Case Management Services Handbook, Section 4: Outpatient Mental Health Services, Section 9: Claims Resources
Section 9: Claims Resources

Texas Medicaid Provider Procedures Manual, Volume 2: Children's Services Handbook
Section 2: Medicaid Children's Comprehensive Care Program (CCP)
Section 6: Claims Resources
Section 7: Contact TMHP
Section 9: Claim Form Examples

Texas Medicaid Provider Procedures Manual, Volume 2: Medicaid Managed Care Handbook
Section 1: General Information
Section 2: Overview of Medicaid Managed Care
Section 3: STAR Program
Section 4: STAR Kids Program
Section 5: STAR+PLUS Program
Section 6: NorthSTAR Program
Section 7: STAR Health Program
Section 11: Other State Health-Care Programs
Section 12: Contact Information

Contract Requirements

General Provisions A.3
Records Retention
HHSC Monitoring
Standards for Program and Financial Management, A.3
Payments and Advances, F
Reporting Requirements and Inspections
Attachment No. 1, Section I Early Childhood Intervention Services - Scope of Work
Attachment No. 1, Section II Measurable Outputs and Outcomes, B, C, D, G
Attachment No. 1, Section IV Special Provisions, C

Data Entry Requirements

TKIDS Manual:

Use the TKIDS Manual Table of Contents to locate the following section:

  • Individualized Family Service Plan (IFSP)

L. Transition

Federal Statutes

Federal Regulations

State Rules

Related Regulations

Contract Requirements

Records Retention
HHSC Monitoring
Standards for Program and Financial Management, A.3
Reporting Requirements and Inspections
Attachment No. 1, Section II Measurable Outputs and Outcomes, F

Data Entry Requirements

TKIDS Manual:

Use the TKIDS Manual Table of Contents to locate the following section:

  • Transition

Required Elements Forms

M. Child and Family Outcomes

Federal Statutes

State Rules

Contract Requirements

Records Retention
HHSC Monitoring
Standards for Program and Financial Management, A.3
Reporting Requirements and Inspections

Data Entry Requirements

TKIDS Manual:

Use the TKIDS Manual Table of Contents to locate the following sections:

  • Child Outcomes

N. Family Cost Share System

Federal Regulations

State Rules

Related Regulations

Contract Requirements

General Provisions, A.6, A.7, A.10, A.11, A.12
Records Retention
HHSC Monitoring
Standards for Program and Financial Management, A.3
Payments and Advances, F
Program Income and Other Third Party Revenue
Reporting Requirements and Inspections, B, C
Attachment No. 1, Section II Measurable Outputs and Outcomes, A
Attachment No. 1, Section VI Budget
Attachment No. 2, Section V Budget

Data Entry Requirements

TKIDS Manual:

Use the TKIDS Manual Table of Contents to locate the following section:

  • Family

Required Forms

P. Contract Requirements