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Early Steps Policy Handbook
7/1/2010

Federal imposed policy required by the IDEA Denotes a federal imposed policy required by the IDEA
State imposed policy not required by the IDEA Denotes a state imposed policy not required by the IDEA or federal regulation

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Component 12.0

Data Collection/Reporting and Record Keeping

Authority:

IDEA Sections 618, 635

34 CFR Sections 300.612

Intent:

These policies are intended to assure accurate data is collected to facilitate evaluation of the effectiveness and adequacy of Early Steps services on the development of eligible infants, toddlers and their families served by the Early Steps.

Sections:

12.1.0

Early Steps Data System-Data Custodian Requirements

Page 1

 

12.2.0

Early Steps Data System-Data Users Requirements

Page 2

 

12.3.0

Early Steps Data System-Child/Family Information

Page 2

 

12.4.0

Early Steps Data System-Provider Information

Page 4

 

12.5.0

Early Steps Record

Page 5

 

12.6.0

Data Reporting Requirements-For Early Steps Providers

Page 7

 

12.7.0

Data Reporting Requirements- ESSO  to the Office of Special Education Programs

(OSEP)

Page 8

 

12.8.0

Data Reporting Requirements- ESSO  to Part B

 

Page 9

 

12.1.0 Early Steps Data System - Data Custodian Requirements

 

 

Policy

Reference/Related Documents

State imposed policy not required by the IDEA

12.1.1 The Early Steps State Office (ESSO) and each Local Early Steps (LES) will have one Data Custodian.

 

 

State imposed policy not required by the IDEA

12.1.2 The Data Custodian must:

  1. Be knowledgeable of the Early Steps data system, data forms completion, data entry and report generation.
  2. Be available to provide training related to data activities to LES staff and other Early Steps providers. 
  3. Ensure that each individual who requires access to the Early Steps data system signs a Data Users Agreement.
  4. Ensure that individuals’ passwords for the Early Steps data system remain confidential.

 

 

 

 

12.2.0 Early Steps Data System-Data Users Requirements

 

 

Policy

Reference/Related Documents

State imposed policy not required by the IDEA

12.2.1 LES Early Steps data system users must follow all applicable Department of Health and Children’s Medical Services policies related to computer use.

DOH-CMS Computer Use Policy

 

Florida Statute Computer Related Crimes Chapter 815

 

State imposed policy not required by the IDEA

12.2.2 All data must be entered into the Early Steps data system according to the current data entry manual.

 

 

 

12.3.0 Early Steps Data System-Child/Family Information

 

 

Policy

Reference/Related Documents

State imposed policy not required by the IDEA

12.3.1 Parental consent is not required to enter child/family information into the Early Steps data system

Policy Handbook 8.5.6

 

State imposed policy not required by the IDEA

12.3.2 LES must ensure that for all referrals, the information denoted by an asterisk on the Early Steps Demographic Form is entered in the Early Steps data system within ten (10) calendar days of when the information is obtained.

Policy Handbook 2.3.1

Policy Handbook 2.3.4

Operations Guide 12.3.2

 

 

State imposed policy not required by the IDEA

12.3.3 LES must ensure that the following First Contacts information is entered in the Early Steps data system within ten (10) calendar days of when it is obtained:

A.      Public/private insurance information

B.     Assigned service coordinator

C.     Initial Contact Date

D.     First face-to-face contact date.

Policy Handbook 3.2.3

Operations Guide 12.3.3

 

 

State imposed policy not required by the IDEA

12.3.4 LES must ensure that the following eligibility information is entered in the Early Steps data system within ten (10) calendar days of when it is obtained:

A.      Status of eligibility

B.     Eligibility category

C.     ICD-9 codes.

Policy Handbook 3.5.2

Operations Guide 12.3.4

 

 

State imposed policy not required by the IDEA

12.3.5  LES must ensure that the following IFSP meeting information is entered in the Early Steps data system within ten (10) calendar days when it is obtained:

  1. Date of the meeting, except for interim IFSP.
  2. Barriers to meeting required timelines.
  3. Type of authorized services.
  4. Location of authorized services.
  5. Frequency of authorized services.
  6. Intensity of authorized services.
  7. Provider (if known) of authorized services.
  8. Beginning and end service authorization dates.
  9. Anticipated payor of services.
  10. Documentation of whether a primary service provider has been identified.
  11. Note #1: The interim IFSP date should not be entered into the Early Steps data system as the “initial IFSP date.”

Policy Handbook 5.4.1

Policy Handbook 5.4.2

Policy Handbook 5.4.3

Policy Handbook 5.5.1

Policy Handbook 5.5.2

Policy Handbook 5.6.1

Policy Handbook 5.7.1

Policy Handbook 5.7.2

Operations Guide 12.3.5

 

 

State imposed policy not required by the IDEA

12.3.6 The LES must ensure that an IFSP date is not entered into Early Steps data system for any child determined ineligible for Early Steps.

Policy Handbook 3.1.10

Operations Guide 3.1.10

 

State imposed policy not required by the IDEA

12.3.7 The LES must ensure that the interim IFSP date is not entered into the Early Steps data system as the “initial IFSP date”.

 

 

State imposed policy not required by the IDEA

12.3.8   LES must ensure that following information is entered into the Early Steps data system within thirty (30) calendar days following the end of the month when a service is rendered by the LES.

A.      Date(s) when service was provided.

B.     Type of service, including CPT code.

C.     Location of service.

D.     Amount of service.

E.     Provider of service.

F.      Payor of service.

Early Steps Service Taxonomy

 

State imposed policy not required by the IDEA

12.3.9 LES must ensure that the following information is entered into the Early Steps data system within sixty (60) calendar days following the end of the month when a service is rendered by an individual not employed by the LES:

A.      Date(s) when service was provided.

B.     Type of service, including CPT code.

C.     Location of service.

D.     Amount of service.

E.     Provider of service.

F.      Payor of service.

Early Steps Service Taxonomy

 

State imposed policy not required by the IDEA

12.3.10 LES must ensure that the following information is entered in the Early Steps data system within ten (10) calendar days of the when it is obtained.

A.      Date of the transition conference.

B.     Barriers to meeting required timelines.

C.     Date of notification to local education agency.

 

Operations Guide 7.3.1

Operations Guide 12.3.10

 

 

State imposed policy not required by the IDEA

12.3.11 LES must ensure that the following information is entered in the Early Steps data system no later than ten (10) calendar days after the child’s third birthday or closure from Early Steps if the closure occurs prior to age three.

A.      Date of closure.

B.     Reason for closure.

Policy Handbook 7.8.0

Policy Handbook 8.4.1

Operations Guide 12.3.11

 

 

 

12.4.0 Early Steps Data System-Provider Information

 

 

Policy

Reference/Related Documents

State imposed policy not required by the IDEA

12.4.1  ESSO will ensure that LES have access to information in an electronic data system for all approved Early Steps providers.

 

 

State imposed policy not required by the IDEA

12.4.2 Except as specified in Policy Handbook 12.4.3, LES will use providers who have active provider records in the electronic data system, who are enrolled in the provider management system and have contracts or agreements for service provision with the LES. The LES will enter into contracts or agreements only with providers who are enrolled in the provider management system.

 

 

State imposed policy not required by the IDEA

12.4.3  LES will use providers who are not enrolled in the provider management system only when:

A.      The family's insurance policy requires use of a specific provider who is not enrolled, or

B.     The IFSP team authorizes a service for which there is no available enrolled provider.

Operations Guide 12.4.3

 

 

12.5.0 Early Steps Record

 

 

Policy

Reference/Related Documents

State imposed policy not required by the IDEA

12.5.1 LES must be able to produce upon request the Early Steps record in the format specified by ESSO for every child referred to Early Steps within their region, even if contact is not successful, eligibility is never determined or an IFSP is never developed.

Policy Handbook 2.3.4

Policy Handbook 8.2.1

Operations Guide 12.5.1

 

 

State imposed policy not required by the IDEA

12.5.2 If an initial IFSP has been developed, the Early Steps record maintained by the LES  must, at a minimum, consist of the following:

  1. Referral information.
  2. Consent for Evaluation and Use of Insurance form (CMS ES Form 1064)
  3. Written Prior Notice documentation.
  4. Consent for Release of Information.
  5. Log of Access to Confidential Record (DH-CMS Form 1063).
  6. Individualized Family Support Plan(s).
  7. Participation in IFSP Meeting Documentation form(s).
  8. Progress Reports.
  9. Service Coordination/Targeted Case Management case notes.
  10. Consultation Among Service Provider Team Members form(s).
  11. Medicaid Freedom of Choice form (if applicable).
  12. All Correspondences related to the status of the child/family.
  13. Additional documentation such as court order granting legal guardianship, documentation of resident alien status, documentation of insurance, as appropriate.
  14. Fiscal records and service payment documentation, including documentation of service provision by service providers.
  15. Any medical documentation related to the diagnosis or medical condition of the recipient, including history and services.

Policy Handbook 2.3.4

Policy Handbook 8.5.5

 

Early Steps Case Note

Early Steps Case Note Instructions

 

IFSP (electronic version)

 

Medicaid Freedom of Choice Statement Checklist

 

Operations Guide 12.5.3 - Progress Report Content Requirements

 

 

 

State imposed policy not required by the IDEA

12.5.3 The Early Steps record maintained by the provider must at a minimum, consist of the following:

A.      Documentation of each service encounter, including the following:

1.      Child’s name.

2.      Medicaid identification number, if applicable.

3.      Date of service.

4.      Names of persons to whom the service was provided.

5.      Place the service was provided.

6.      Start and stop time of each session provided (e.g., 3:00 p.m. to 3:45 p.m.).

7.      Whether individualized or group services were provided.

8.      Details of provided activities.

9.      Activities and tools suggested for caregivers to do in everyday routines, activities, and places.

10.  Progress achieved.

11.  Dated signature and title of the person who provided the service.

B.     IFSP.

C.     POC, if applicable.

D.     Any medical documentation related to the diagnosis or medical condition of the recipient, including history and services.

E.     Third party billing information.

F.      Progress reports, which must include the following:

1.      Child’s name.

2.      Date.

3.      Period of time covered.

4.      Number of sessions that took place during the time period.

5.      Reason(s) for any missed sessions.

6.      Progress toward meeting IFSP outcomes.

7.      Suggestions for family follow through.

8.      Assistive technology device use recommendations.

9.      Provider’s name, signature, and title.

Operations Guide 12.5.3

 

Florida Medicaid Early Intervention Services  Coverage and Limitations Handbook

 

Florida Medicaid Therapy Services Coverage and Limitations Handbook

 

 

Federal imposed policy required by the IDEA

12.5.4 Closed Early Steps records must be maintained by the LES and Early Steps providers for a minimum of five (5) years from the date of closure. 

Former Part B regulation 34 CFR 300.561(a)(3)/current Part B regulation 34 CFR §300.612

 

 

12.6.0 Data Reporting Requirements For Early Steps Providers

 

 

Policy

Reference/Related Documents

State imposed policy not required by the IDEA

12.6.1 Early Steps providers, including those employed by the LES, must submit data to the LES that document the actual services provided in accordance with a child’s IFSP including the date, amount, provider, location and payer for any Early Steps eligible child in the region, regardless of the payer for the service, by the 15th of the month following the date of service delivery. 

Operations Guide 12.6.1

 

State imposed policy not required by the IDEA

12.6.2 The LES must collect the Natural Environment Travel Log from each Early Steps provider who will be reimbursed for travel to the child’s natural environment for a service, IFSP meeting or consultation session destination.  The minimum required fields to be completed are Provider Name, Provider Signature, Date, Point of Origin, Departure Time, Destination, and Arrival Time.

Operations Guide 12.6.2

 

State imposed policy not required by the IDEA

12.6.3 Early Steps providers must submit progress reports to the family and the child’s service coordinator at least every six months or in conjunction with the review or update of the child’s IFSP. 

Operations Guide 12.5.3 - Progress Report Content Requirements

 

 

12.7.0 Data Reporting Requirements-ESSO to U.S. DOE/OSEP

 

 

Policy

Reference/Related Documents

Federal imposed policy required by the IDEA

12.7.1 ESSO must provide data to U.S. DOE/OSEP in accordance with their instructions on the number and percentage of infants and toddlers who:

A.      Are receiving early intervention services.

B.     Are receiving early intervention services in the home, community-based setting or other setting.

C.     From birth through age 2, exited IDEA, Part C services.

Operations Guide 12.7.1

IDEA §618(a)(1)(B)

IDEA §618(a)(1)(C)

IDEA §618(a)(1)(F)

IDEA §618(a)(1)(G)

IDEA §618(a)(2)

IDEA §618(a)(3)

 

Federal imposed policy required by the IDEA

12.7.2 ESSO must provide data to U.S. DOE/OSEP on the number of dispute resolutions filed each year.

IDEA §618(a)(1)(F)

IDEA §618(a)(1)(H)

IDEA §635(a)(14)


 

12.8.0. Data Reporting Requirements- ESSO  to Part B

 

Policy

Reference/Related Documents

 

Federal imposed policy required by the IDEA

12.8.1 ESSO will exchange with Florida Department of Education Bureau of Exceptional Education and Student Services specific personally identifiable information according to regulations under IDEA, Part C and IDEA Part B.

 

IDEA §618

IDEA §635(a)(14)

Florida Department of Health Children's Medical Services, Early Steps and Florida Department of Education Bureau of Exceptional Education and Student Services Cooperative Agreement

 

 

 


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