Revised June 3, 2014
QUALIFIED PERSONNEL
POLICY: Qualified Personnel in the Early Intervention Program
PURPOSE OF THE POLICY: To provide guidance and clarification regarding the use
of qualified personnel in the Early Intervention Program.
REFERENCES:
Public Health Law Article 25 Title II-A Subpart 69-4.9 Standards for the Provision of
Services
GENERAL INFORMATION:
See Early Intervention Memorandum 00-1 Qualified Personnel in the Early Intervention
Program for State guidance regarding Qualified Personnel (See Attachment 1);
See July 2008 NYSDOH letter announcing two additions to the list of qualified personnel
authorized to deliver vision services under the Early Intervention Program (see
attachment 2);
See the Dear Colleague Letter regarding Clarification of Existing Professional
Requirements for Early Intervention Providers dated August 2009 (attachment 3).
PROCEDURE:
Go to the NYS Bureau of Early Intervention NYEIS to obtain information regarding
currently approved providers in the Early Intervention Program.
1
Attachment 1
Attachment 1
(5)
occupational therapists;
(6)
orientation and mobility specialists;
(7)
physical therapists;
(8)
physical therapy assistants;
(9)
pediatricians and other physicians;
(10) physician assistants;
(11) psychologists;
(12) registered dieticians;
(13) school psychologists;
(14) social workers;
(15) special education teachers;
(16) speech and language pathologists;
(17) teachers of the blind and partially sighted;
(18) teachers of the deaf and hearing handicapped;
(19) teachers of the speech and hearing handicapped;
(20) other categories of personnel as designated by the Commissioner.
Some issues regarding qualified personnel who provide early intervention services may
be complex in nature and involve questions about the appropriate practice of a particular
profession, such as levels of supervision, settings that influence practice, etc. This
guidance document is meant to clarify issues that have been frequently raised regarding
use of qualified personnel providing early intervention services and is not meant to be all
inclusive. For all issues related to the practice of the professions under Title 8 of the
Education Law, persons should contact the State Education Department, Office of the
Professions at (518) 474-3817 or the State Boards specific to the profession. A telephone
listing of relevant State Boards is attached to this document. All descriptions of activities
by qualified personnel in the Early Intervention Program are subject to each profession’s
scope of practice restrictions and to changes in the relevant laws and regulations. If there
are specific questions about the appropriate practice of a particular profession, it is
Attachment 1
strongly recommended that the appropriate professional State Board be contacted at the
State Education Department (SED).
Specific early intervention services are defined in Section 69-4.1(k)(2) of the Early
Intervention Program regulations. An attachment to this memorandum, the Qualified
Personnel Matrix, lists qualified personnel under the Early Intervention Program, and
indicates which early intervention services the qualified personnel may provide. Please
note that the Matrix contains a slightly different listing of qualified personnel than
Section 69-4.1 (jj) (l-20) of the regulations. As of this date, the Matrix contains the most
up-to-date and accurate information regarding the qualified personnel authorized to
deliver services under the Early Intervention Program and is subject to changes in
relevant laws and regulations.
Questions and Answers:
Q. Who can provide speech-language pathology services in the Early Intervention
Program?
A. Only licensed speech pathologists, and individuals completing their nine months of
supervised experience to satisfy the requirements as a New York State licensed
speech- language pathologist, may provide early intervention “speech-language
pathology” services, including evaluations. A speech-language pathologist licensed
by the State of New York may participate as a member of the multidisciplinary
evaluation team or as a supplemental evaluator in the Early Intervention Program in
any setting. A speech-language pathologist licensed by the State of New York may
provide early intervention speech pathology services in any setting other than a
chartered school. If (s)he wishes to provide early intervention speech pathology
services in a school setting, (s)he must also be certified as a teacher of the speech and
hearing handicapped. Since agencies approved under Section 4410 of the Education
Law are considered “schools,” a licensed speech-language pathologist may not
provide early intervention speech language pathology service when employed or
contracted by an agency approved as both an early intervention provider and under
Section 4410 of the Education Law, unless (s)he is also a certified teacher of the
speech and hearing handicapped
In instances where the services of a licensed speech pathologist cannot be obtained,
either in a timely manner or at all by the Early Intervention Official (EIO), the EIO
may request a waiver to allow a teacher of the speech and hearing handicapped who
is employed by a government agency, chartered elementary or secondary school, or
degree-granting institution of higher education, under the supervision of a licensed
speech pathologist, to provide early intervention speech therapy services to a
particular child. Requests for waivers on a child- by-child basis must be approved by
the State Department of Health Early Intervention Program before services begin.
The process for requesting such a waiver from the department to allow teachers of
the speech and hearing handicapped to provide speech therapy services under certain
Attachment 1
circumstances in the Early Intervention Program is described in my letter to EIOs
dated April 10, 1997.
The provider must maintain documentation identifying the licensed speech-language
pathologist who is providing supervision to the teacher of the speech and hearing
handicapped and the terms of supervision. The provider should also notify the
service coordinator and parent that a teacher of the speech and hearing handicapped
is providing early intervention services under the supervision of a licensed speechlanguage pathologist/audiologist.
Q. Can individuals who are completing their Clinical Fellowship Year (CFY) as
required for certification by the American Speech-Language Hearing
Association provide speech-language pathology or audiology services in the
Early Intervention Program?
A. Individuals working towards a Certificate of Clinical Competence, issued by the
American Speech-Language-Hearing Association (ASHA), must complete a Clinical
Fellowship Year or CFY. Registration/certification by ASHA is not a requirement
for licensure in audiology or speech-language pathology in New York State, nor is it
a requirement to provide early intervention services. It is, however, permissible and
quite common for an individual to simultaneously complete the requirements for
both state licensure (e.g. a minimum of nine months of supervised experience) and
ASHA certification. Therefore, an individual completing their CFY in speechlanguage pathology or audiology who is supervised by a New York State licensed
speech-language pathologist/audiologist, may provide speech- language pathology
services or audiology services in the Early Intervention Pro gram. The intensity and
type of supervision is left to the discretion of the supervising speech-language
pathologist/audiologist. Individuals completing either their nine months of
supervised experience and/or the CFY may perform early intervention evaluations as
a member of the multidisciplinary evaluation team or as a supplemental evaluator.
Although not required, the State Board for Speech-Language Pathology and
Audiology recommends that the supervising licensed speech-language
pathologist/audiologist co-sign evaluation reports.
The provider must maintain documentation identifying the licensed speech-language
pathologist/audiologist who provides supervision to the individual completing their
nine months of supervised experience and/or CFY, as well as the terms of
supervision. The provider should also notify the municipality, service coordinator
and parent that an individual completing their nine months of supervised
experience/CFY is providing early intervention services under the supervision of a
licensed speech-language pathologist/audiologist. To avoid confusion or future
disagreement, when supervision is required for an individual providing early
intervention services, such as an individual who is completing their nine months of
supervised experience/CFY in speech-language pathology/audiology, it is strongly
recommended that the IFSP include the details of the supervision, including the
Attachment 1
name and license number of the supervising qualified personnel, and the frequency
of observation, treatment and assessment by the supervising qualified personnel.
Q. What documentation is necessary to verify the status of an individual who is
completing their nine months of supervised experience satisfactory to the State
Board for Speech-Language Pathology?
A. An individual in the process of completing the nine months of supervised experience
to satisfy the requirements as a New York State licensed speech-language pathologist
must provide a Notice of Approval or “Form 6” issued by the State Board for
Speech-Pathology as verification. A Form 6 is issued to the individual when SED
receives documentation that the candidate has met educational requirements and the
proposed nine-month supervisory plan has been approved by SED’s State Board for
Speech-Language Pathology.
The individual in the process of completing the nine months of supervised
experience should maintain a copy of the plan of supervision which was approved by
the State Board for Speech-Language Pathology. The provider should also maintain
documentation identifying the licensed speech-language pathologist who will
supervise the individual completing the nine months of supervised experience, as
well as the supervisory plan approved by the State Board for Speech-Language
Pathology.
Q. What services can be provided by a teacher of the speech and hearing
handicapped in the Early Intervention Program?
A. A teacher of the speech and hearing handicapped may provide “special instruction,”
“assistive technology services,” “family training,” “parent support groups,” and
“service coordination” services in the Early Intervention Program. Since they are
certified special education teachers, teachers of the speech and hearing handicapped
may participate and be reimbursed as special educators as a member of the
multidisciplinary evaluation team or as a supplemental evaluator. Teachers of the
speech and hearing handicapped may also be reimbursed for “special instruction”
services and provide those services as they specifically relate to the child’s
communication development.
In instances where the services of a licensed speech pathologist cannot be obtained,
either in a timely manner or at all by the Early Intervention Official (EIO), the EIO
may request a waiver to allow a teacher of the speech and hearing handicapped,
under the supervision of a licensed speech pathologist, to provide early intervention
speech therapy services to a particular child as described earlier in this
memorandum.
Q. Can a special education teacher who has a certificate of qualification or a
provisional certificate, but does not yet have a permanent teaching certificate,
provide services in the Early Intervention Program?
Attachment 1
A. Yes. A certificate of qualification (CQ) is valid for a five year period and enables the
holder to substitute teach in the public school system. When the holder begins full
time teaching, the CQ is surrendered for a provisional certificate, which is valid for
five years. During the maximum ten-year period of the CQ and the provisional
certificate, the candidate must obtain their Master’s degree and have two years of
appropriate experience to obtain permanent certification as a special education
teacher. During this ten year period, a special education teacher who has a CQ or a
provisional certification may provide the following early intervention services:
“special instruction,” “assistive technology services,” “family training,” “parent
support groups,” and “service coordination” services. They may also participate in,
and be reimbursed as, a member of the multidisciplinary evaluation team or as a
supplemental evaluator.
Q. If an individual has been provided with a “limited permit” by the State
Education Department, can that individual provide early intervention services?
A. Yes. In the Early Intervention Program, individuals holding a limited permit are
considered to be qualified personnel. The most common limited permits are found in
the fields of nursing, physical therapy, and occupational therapy. The State
Education Department, Office of the Professions governs the issuance of limited
permits and determines requirements for eligibility, supervision, and restrictions of
setting, often on a case by case basis. In all circumstances, however, the agency and
the individual must maintain a copy of the limited permit. The limited permit will
include information regarding the period of time the person may practice under the
limited permit and the type of supervision required by the permit, if any.
Some examples when a limited permit might be issued include:
•
An individual who is awaiting results from the SED Professional Nursing
Boards may apply to SED and receive a limited permit to practice nursing
under the supervision of a registered nurse and the permission of the
employing agency.
•
An individual who meets all requirements for admission to the licensing
exam for physical therapy or occupational therapy can be issued a limited
permit to practice under the supervision of a licensed physical therapist or a
licensed occupational therapist respectively.
The provider must maintain documentation identifying the qualified personnel who
is responsible for supervision of the individual with a limited permit and the terms of
the supervision. The provider should also notify the municipality, service
coordinator and parent that an individual with a limited permit is providing early
intervention services under the supervision of a qualified personnel. To avoid
confusion or future disagreement, when supervision is required for an individual
providing early intervention services, as in the case of an individual under a limited
Attachment 1
permit, it is strongly recommended that the IFSP include the details of the
supervision, including the name and license number of the supervising qualified
personnel, and the frequency of observation, treatment and assessment by the
supervising qualified personnel.
Q. Can individuals who are students provide early intervention services?
A. A student who is enrolled in an accredited university training program may provide
early intervention services only under the supervision of a licensed practitioner who
is a qualified personnel in the Early Intervention Program. To the extent the law
requires, the licensed practitioner assumes legal responsibility for the student. It is
the responsibility of the licensed practitioner to observe the student, provide
supervision, and review the implementation of treatment plans. In addition, the
licensed practitioner must review and co-sign daily notes, periodic progress reports,
and evaluation reports required by the Early Intervention Program. Under these
circumstances, early intervention services, including evaluations, may be provided
by individuals who are students enrolled in an accredited university training program
that has an agreement with a state-approved early intervention provider in contract
with a municipality for the following professions:
•
•
•
•
•
Physical therapy
Occupational therapy
Speech/language pathology
Audiology
Psychology.
The provider must maintain documentation identifying the licensed practitioner who
is responsible for the student, and the policies that describe the periodicity of
observation, supervision and review of treatment plans. The provider should also
notify the municipality, service coordinator and parent that a student is providing
early intervention services under the supervision of a licensed practitioner. To avoid
confusion or future disagreement, when supervision is required for a student
providing early intervention services, it is strongly recommended that the IFSP
include the details of the supervision, including the name and license number of the
supervising qualified personnel, and the frequency of observation, treatment and
assessment by the supervising qualified personnel.
Q. Is certification by the National Board for Certification of Occupational Therapy
(NBCOT) required to provide occupational therapy services in the Early
Intervention Program?
A. No. Individuals who are licensed by New York State to practice as occupational
therapists may also be registered with NBCOT, however, this is not a requirement in
the Early Intervention Program. When also registered with NBCOT, occupational
therapists may use the designation “OTR.” Similarly, individuals who are certified
by New York State to practice as occupational therapy assistants are not required to
Attachment 1
also hold a certificate from NBCOT, however, when certified with NBCOT,
occupational therapy assistants may use the designation “COTA.”
Q. What type of supervision is required for an occupational therapy assistant in
the Early Intervention Program?
A. An occupational therapy assistant (OTA), certified by the NYS Education
Department, may only work under the direct supervision of a licensed occupational
therapist (OT). Direct supervision, which is not required to be on-site, includes
meeting with and observing the OTA on a regular basis to review the implementation
of treatment plans and to foster professional development. An OTA working in a
hospital or home health care agency may work under the direct supervision of a
licensed OT or a licensed physician. There are no requirements in law regarding the
frequency of the supervision of the OTA, nor does law or regulation specify how
often an OT must observe, treat or assess a child whose therapy is being provided by
an OTA. The frequency of observations, treatments and assessments are left to the
discretion of the supervising OT. OTAs may work in all settings, (e.g., public
schools, hospitals, home care agencies) provided that there is the appropriate direct
supervision. In the Early Intervention Program, since supervision is required, an
OTA may only provide services while directly employed by an approved early
intervention provider agency.
The provider must maintain documentation identifying the licensed OT responsible
for supervising the OTA. The provider should also notify the municipality, service
coordinator and parent that an OTA is providing early intervention services under the
supervision of a licensed occupational therapist. To avoid confusion or future
disagreement, when supervision is required for an individual providing early
intervention services, such as an OTA, it is strongly recommended that the IFSP
include the details of the supervision, including the name and license number of the
supervising qualified personnel, and the frequency of observation, treatment and
assessment by the supervising qualified personnel.
Q. What type of supervision is required for a physical therapist assistant in the
Early Intervention Program?
A. Physical therapist assistants (PTA) may not provide physical therapy services to
infants and toddlers in the Early Intervention Program unless on-site supervision is
provided by a New York State licensed physical therapist. [Education Law Section
6738(a)] The limitation, as stated in Education Law, is related to the need to
frequently evaluate and interpret the care provided to infants and toddlers, activities
which are not within the scope of practice of PTAs. In the Early Intervention
Program, a PTA may only provide services while directly employed by an approved
early intervention provider agency, and is limited to delivering those services only
where on-site supervision can be provided (e.g., facility-based setting, hospital,
clinic, etc.). The required ratio for onsite supervision of PTAs is one licensed
Attachment 1
physical therapist to every four PTAs. Although not required, the licensed physical
therapist may co-sign the PTA’s treatment notes.
The provider must maintain documentation identifying the licensed physical
therapist responsible for supervising the PTA and indicating how many PTAs are
supervised by each licensed physical therapist. The provider should also notify the
municipality, service coordinator and parent that a PTA is providing early
intervention services under the supervision of a licensed physical therapist. To avoid
confusion or future disagreement, when supervision is required for an individual
providing early intervention services, such as a PTA, it is strongly recommended that
the IFSP include the details of the supervision, including the name and license
number of the supervising qualified personnel, and the frequency of observation,
treatment and assessment by the supervising qualified personnel.
Q. Under what circumstances can a licensed practical nurse (LPN) provide
services in the Early Intervention Program?
A. The practice of the profession of nursing as a LPN is defined as “performing tasks
and responsibilities within the framework of casefinding, health teaching, health
counseling, and provision of supportive and restorative care under the direction of a
registered professional nurse or licensed physician, dentist or other licensed health
care provider.” There are no restrictions on the settings where LPNs may work
therefore, a LPN may provide nursing services within their scope of practice in a
home or community setting, as well as in an early intervention center. A LPN,
however, must work on or off site under the direction of a registered professional
nurse, licensed physician, dentist or other licensed health care provider. The State
Board for Nursing has indicated that the amount and type of supervision of the LPN
is up to the discretion of the supervising licensed health care provider.
LPNs cannot provide screenings, evaluations, or ongoing assessments in the Early
Intervention Program. A LPN’s scope of practice does not include the ability to
assess a child’s current functional, developmental status. Assessing a child’s current
functional, developmental level is necessary for the completion of an early
intervention screening or evaluation or ongoing assessment to determine a child’s
progress or ongoing eligibility status. In the Early Intervention Program, a LPN may
provide and be reimbursed for “family training”, “parent support groups”, “nursing
services (within their scope of practice), “special instruction” (within their scope of
practice), and “health services.” A LPN may only provide “service coordination”
services if he/she meets the minimum qualifications as stated in Section 69-4.4 of the
program regulations.
The provider must maintain documentation identifying the licensed health care
provider who is supervising the LPN, as well as the terms of supervision. When
appropriate, the provider should also notify the municipality, service coordinator and
parent that a LPN is providing early intervention services under the supervision of a
licensed health care provider. To avoid confusion or fixture disagreement, when
supervision is required for an individual providing certain early intervention services,
Attachment 1
it is strongly recommended that the IFSP include the details of the supervision,
including the name and license of the supervising qualified personnel, and the
frequency of observation, treatment and assessment by the supervising qualified
personnel.
Q. Who is qualified to perform ongoing assessments of infants and toddlers
receiving services under the Early Intervention Program?
A. Ongoing assessments of an eligible child receiving services are measures conducted
by the service provider, who must be qualified within their scope of practice to
perform screenings, evaluations and ongoing assessments, to determine progress of
the child in achieving goals contained in the IFSP. Ongoing assessments are not
separately reimbursed, but are included in the cost of providing a service.
Information from ongoing assessments is typically sufficient to successfully conduct
the six-month and annual IFSP meetings.
Q. Can the members of the multidisciplinary evaluation team or a service provider
make recommendations for any of the intervention services available under the
Early Intervention Program?
A. Whether a member of the multidisciplinary evaluation team or a service provider can
recommend specific intervention services depends on the type of service being
proposed. For example, certain types of services, such as special instruction, parent
support group, family training, and social work services would not need to be
recommended by a specific qualified personnel or have a “supplemental” evaluation
performed to add them as a service to the IFSP. Agreement between the parent and
EIO would be sufficient. Other types of services, however, would require that an
evaluation or assessment be conducted by a professional qualified to recommend that
service and as appropriate, provide a written order before the service can begin.
Under Education law, physical therapy services may only be recommended by a
physical therapist, and requires a written order from a physician, physician assistant,
nurse practitioner, podiatrist or dentist. Occupational therapy services may only be
recommended by an occupational therapist and requires a written order from a
physician or nurse practitioner, and nursing services must also have a written
physician’s order. A written recommendation from a physician, nurse practitioner or
speech pathologist resulting from an evaluation is necessary for providing speech
pathology services.
Q. Who is qualified to diagnose physical or mental conditions that have a high
probability of resulting in developmental delay under the Early Intervention
Program?
A. Early Intervention Memorandum 1999-2, “Reporting of Children’s Eligibility Status
Based on Diagnosed Conditions with a High Probability of Developmental Delay”
provides information which details the conditions that have a high probability of
resulting in a developmental delay and specifies which professionals may diagnose
Attachment 1
those conditions. It is important for other qualified personnel who suspect tat a child
may be exhibiting characteristics associated with any of these diagnoses to refer the
child for an evaluation by a professional qualified to make an accurate diagnosis.
Early intervention service providers should work closely with the child’s primary care
physician and the medical community to ensure that developmental disorders/
syndromes are diagnosed in order for children to receive the most appropriate
interventions.
Q. Under what circumstances can an Orientation & Mobility Specialist (O&M
Specialist) provide services in the Early Intervention Program?
A. O&M Specialists teach eligible children and their families functional vision training
and travel techniques. The training includes sensory awareness, body imagery,
concept development, as well as formal orientation and mobility techniques, such as
training, sighted guide, environmental familiarization and long cane techniques
adapted for very young children. Since New York State currently does not have a
state certification process for O&M Specialists, the Early Intervention Program
requires that individuals hold a certification as an O&M Specialist issued by the
Association for Education and Rehabilitation of the Blind and Visually Impaired, a
national organization that issues the certification based on an individual’s training
and experience. There are no restrictions on the settings where O&M Specialists
may work. In the Early Intervention Program, O&M Specialists may provide
screenings and evaluations as a member of the multidisciplinary evaluation team or
as a supplemental evaluator, as long as the screening and evaluation are within the
scope of their certification (e.g. evaluating a child with a diagnosis of visual
impairment or suspected of having a visual impairment). In addition, an O&M
Specialist may provide “assistive technology services,” “family training,” “parent
support groups,” “service coordination” and “vision services.”
Q. Who can provide social work services in the Early Intervention Program?
A. Under the Early Intervention Program, an individual must be licensed as a certified
social worker (CSW) in New York State in order to provide early intervention
“social work” services and to participate as a member of the multidisciplinary
evaluation team or as a supplemental evaluator. A social worker who holds a limited
permit issued by the State Board for Social Work may practice only under the direct
supervision of a licensed certified social worker. Individuals with only a Master’s
degree in Social Work (MSW) may not provide early intervention services, including
evaluations.
Q. Under what circumstances can licensed psychologists and school psychologists
provide services in the Early Intervention Program?
A. A licensed psychologist may provide the following services under the Early
Intervention Program; assistive technology service, family training, family
counseling, parent support groups, psychological services, service coordination, and
Attachment 1
special instruction. These services, including evaluation services, may be provided
in hospitals, clinics, and private practices. A licensed psychologist (who is not also a
certified school psychologist) may only provide psychological services in a school
setting under limited circumstances and when certain criteria have been met. Details
regarding the circumstances under which a licensed psychologist may provide
psychological evaluations and services in a school setting may be found in the State
Education Department’s guidance documents listed below.
A certified school psychologist is considered to be a qualified person under the Early
Intervention Program, however, unless (s)he is also a licensed psychologist, a
certified school psychologist may provide early intervention “psychological”
services and/or participate as a member of the multidisciplinary evaluation team or
as a supplemental evaluator only when employed by a government agency, chartered
elementary or secondary school or degree-granting institution of higher education.
These services must be provided in the context of this salaried position. Since
agencies approved under Section 4410 of the Education Law are considered to be
“schools,” when an agency is approved both as an early intervention provider and
under Section 4410 of the Education Law, it may employ certified school
psychologists to provide early intervention “psychological” services, and/or
participate as a member of the multidisciplinary evaluation team or as a
supplemental evaluator. “Employed” means the professional must be directly
employed (full-time or part- time) in the aforementioned settings in the context of a
salaried position, and cannot be contracted by an agency on a per diem or contractual
basis.
For additional information regarding the provision of psychological services by
licensed psychologists and certified school psychologists, contact the State
Education Department to request a copy of “Psychologist/Interpreter Work Standards
for Conducting Bilingual Evaluations” and “Certification and Licensing of Bilingual
Special Education Professionals”. Copies of these memos may be obtained by
contacting Michael Plotzker at the Office of Vocational and Educational Service for
Individuals with Disabilities at (518) 473-6108.
Q. Must qualified personnel in the Early Intervention Program be fluent in the
child’s dominant language in order to be reimbursed for bilingual evaluations?
A. No. The Early Intervention Program does not require qualified personnel to be
fluent in the same language as the child and/or family in order to be reimbursed for
bilingual evaluations but must be proficient in the language. In addition to qualified
professionals who are proficient in the child/family’s primary language,
paraprofessionals or community interpreters with proficiency in the language and
knowledge of and experience with the culture of the family’s language group may be
utilized.
Early Intervention Program regulations require that instruments used as part of the
multidisciplinary evaluation be reliable and valid, have appropriate levels of
Attachment 1
sensitivity and specificity and be sensitive to the child’s and parent’s culture and
dominant language or other mode of communication. Also, under Section 29.1 (9)
of the Rules of the Board of Regents on Unprofessional Conduct, licensed
professionals must not practice or offer to practice beyond the scope of their
professions permitted by law and may not practice or perform responsibilities which
the licensee knows (s)he is not competent to perform.
The Early Intervention Program strongly encourages qualified personnel to pursue
completion of additional bilingual certification. Individuals certified through the
State Education Department Office of Teaching (e.g. school psychologists, special
educators) may obtain a bilingual education extension for their respective
certification. These extensions require successful completion of the English
Language Proficiency Assessment and Target Language Proficiency Assessments.
Licensed professionals (e.g. speech language pathologists, licensed psychologists)
may successfully complete the National Evaluation Systems Language Proficiency
Assessments. For more information about these bilingual achievements, contact the
New York State Education Department Office of Vocational and Educational
Services for Individuals with Disabilities (VESID) at (518) 486-7462 or the National
Evaluation Systems, Inc., 30 Gatehouse Road, P.O. Box 660, Amherst, MA 010049008 at (413) 256-2882.
Q. What title and title abbreviations should licensed and/or certified individuals
providing early intervention services include in treatment notes?
A. Both providers and municipalities must maintain sufficient documentation to
demonstrate that early intervention services were delivered and that payment from
the Early Intervention Program, private third party insurance, or the Medicaid
Program is justified. Session notes indicating each time a service is provided to an
eligible child and/or caregiver, or periodic progress notes that record the recipient’s
progress toward achieving the outcomes listed in the IFSP should be completed by
any qualified personnel providing direct services where reimbursement is expected
(i.e. special educator, physical therapist, etc.). The title a qualified personnel uses in
his/her notes should be used consistently throughout the record and should reflect the
profession for which the person is approved to provide services and is seeking
reimbursement under the Early Intervention Program. A licensed practitioner’s title
is often abbreviated in the form of initials, e.g. physical Therapist = PT, licensed
practical nurse = LPN, particularly when documenting service delivery in daily
treatment notes or periodic progress notes. The Office of Professions, which
regulates the fields of professional practice, does not have specific initialing
requirements for licensed/certified professions, although many national organizations
have made recommendations to their members regarding the appropriate initials to
use when documenting service delivery. Below is a list of abbreviations commonly
used by the professions qualified to deliver services under the Early Intervention
Program. [NOTE: this list is not intended to be all- inclusive. Other variations of
initials/titles may be appropriate, however, the following are recommended]
Audiologist:
CCC-A
Attachment 1
Audiology Fellow:
Physician:
Physician Assistant:
Nurse Practitioner:
Registered Nurse:
Licensed Practical Nurse:
Registered Dietician
Certified Dietician/Nutritionist:
Occupational Therapist:
Limited Permit in Occupational Therapy:
Occupational Therapy Assistant:
Physical Therapist:
Limited Permit in Physical Therapy:
Physical Therapist Assistant:
Licensed Psychologist:
School Psychologist:
Certified Social Worker:
Speech-Language Pathologist:
Speech-Language Fellow:
Teacher of Special Education:
Teacher of the Blind & Partially Sighted:
Teacher of the Deaf & Hearing Impaired:
Teacher of the Speech & Hearing Handicapped:
Orientation & Mobility Specialist:
Low Vision Specialist:
CF/A
M.D., D.O.
R.P.A.
R.N.P.
R.N.
L.P.N.
R.D.
C.D.N.
O.T., OTR/L
B.S./O.T., M.S./O.T.
O.T.A., C.O.T.A.
P.T.
G.P.T.
P.T.A.
Ph.D./Psy. D.
School Psych
C.S.W.
CCC-SLP, SLP
CF/SLP
MS Ed.
T.V.I.
T.D.H.I.
T.S.H.H.
O & M Specialist
O.D.
Q. If an individual is only licensed or certified in another state, territory or country
to practice a profession, can that person provide early intervention services in
New York State?
A. No. An individual must be licensed and registered in New York State in order to
provide early intervention services. In cases where there is reciprocity (SED
recognizes credentialing from another state) the professional must be granted a New
York license or certification. This is accomplished by submitting an appropriate
application and documentation to SED demonstrating that the individual is qualified
to practice in New York State. SED may then issue a New York State license to the
individual. Holders of out-of- state teaching certificates are required to apply for a
New York State certificate and successfully complete all teacher examinations.
For the profession of psychology, an exemption in Section 7605 of the Education
Law may apply. Section 7605 may permit an individual who resides outside New
York State and who is licensed or certified as a psychologist in another state, or who
has been admitted to the licensing examination in New York State, to render
psychological services for a limited and temporary period of time. Individuals
should contact SED to apply for an exception under Section 7605 of the Education
Law. If an exception is granted, the person may represent themselves as a
“psychologist” and render “psychological” services for no more than 10 consecutive
business days in a 90-day period, or up to 15 business days total in any 90-day
period.
Q. Can physical therapy, occupational therapy and/or speech-language pathology
services be provided to an El eligible child if the prescription/referral for the
Attachment 1
service(s) is written by a physician who is licensed in a state other than New
York?
A. No. A written prescription or referral for physical therapy, occupational therapy
and/or speech-language pathology services must be written by a qualified
professional (physician, physician assistant, nurse practitioner, speech-language
pathologist) who is licensed and registered to practice in New York State.
Q. What action should be taken if a provider cannot provide the services agreed to
in an IFSP due to a lack of qualified personnel?
A. A provider who determines they cannot provide the services agreed to in an IFSP for
any reason should immediately contact the child’s ongoing service coordinator and
the municipality where the child resides to report that they cannot begin services, or
continue to provide the services, agreed to in the IFSP and to report why. The
service coordinator is responsible to determine if (s)he can resolve the problem and
inform the parent and municipality of the actions taken to resolve the situation. If
the service coordinator is unable to resolve the problem quickly, (s)he must work
with the early intervention official, who is ultimately responsible for ensuring that
children residing in the municipality receive the services agreed to in the IFSP. Once
the problem is resolved, the service coordinator is responsible for ensuring that the
IFSP is amended to accurately reflect how the agreed-upon services will be provided
and for implementing the plan.
Q. What action should be taken if an early intervention official cannot identify a
provider with appropriate qualified personnel to serve an eligible child/family?
A. Early Intervention Officials should contact the New York State Department of
Health, Early Intervention Program for assistance. The Department maintains the list
of qualified individuals and/or agencies approved by the State to provide early
intervention services. Early Intervention Program staff will assist an early
intervention official in locating qualified personnel. Municipalities should also work
closely with their local early intervention coordinating councils (LEICC) to address
gaps in their service capacity. LEICCs are required to address these concerns
according to Early Intervention Program regulation. [Section 69-4.13]
Q. What action should be taken if someone becomes aware that a professional is
practicing outside the scope of professional practice?
A. An individual practicing beyond the scope permitted by law or practicing outside of
his/her area of competence or without appropriate supervision when supervision is
required are forms of professional misconduct, and should be reported to the
appropriate office.
To report misconduct for professions other than medicine or teaching, contact the
New York State Education Department, Office of Professional Discipline, 1 Park
Attachment 1
Avenue, 6th Floor, New York, New York 10016, telephone (212)-951-6400. To
report concerns regarding the conduct and practice of certified teachers, contact the
Office of Teaching, State Education Department 5 NEB, Albany, New York 12234,
telephone (518) 473-2998. To report misconduct for professionals engaged in the
practice of medicine, contact the New York State Department of Health, Office of
Professional Medical Conduct, New York State Department of Health, Empire State
Plaza, Tower Building, Albany, New York 12237, Telephone: (518) 474-8357.
Individuals with additional questions about qualified personnel or any other aspect of the
Early Intervention Program should call the Department of Health Early Intervention
Program at (518) 473-7016.
Screening
X
X
X
X
X
CFY Audiology Fellow
X
X
X
X
X*
X
X
Social Work
X
Psychological
Services
X
Occupational
Therapy
Evaluation
Health Services
Vision Services
Speech-Language
Pathology
Special Instruction
Service Coordination
Physical Therapy
Nutrition Services
Nursing Services
Medical Services
Audiologist
Parent Support
Groups
Family Training
Family Counseling
Audiology
Assistive Technology
Services
QUALIFIED PERSONNEL MATRIX
AUDIOLOGY
(suprv’d by licensed audiologist)
MEDICAL/NURSING
Physician
X
X
X
X
X
X
X
X
X
X
X
X
Physician Assistant
X
X
X
X
X
X
X*
X
X
X
X
X
Nurse Practioner (under
agreement with licensed physician)
X
X
X
X
X
X
X
X
X
X
X
X
Registered Nurse
X
X
X
X
X**
X
X
X
X
X
X
X
X
X*/**
X
X
Certified Dietician/
Nutritionist
X
X
X
X
X
X
X
Registered Dietician
X
X
X
X
X
X
X
(suprv’d by licensed physician)
Licensed Practical Nurse
(suprv’d by registered nurse or
licensed health care provider)
X
NUTRITION
* no supervision needed to provide service coordination
** must meet minimum qualifications for approval as
service coordinator as stated in Section 69-4.4
Screening
Occupational Therapist
X
X
X
X
X
X
X
X
Limited Permit in
Occupational Therapy
X
X
X
X
X*
X
X
X
X
X
X
X
X*/**
X
Physical Therapist
X
X
X
X
X
X
X
X
Limited Permit in PT (suprv’d
X
X
X
X
X*
X
X
X
X
X
X
X*/**
Licensed Psychologist
X
X
School Psychologist (must be
directly employed by a municipality,
school or insititution of higher ed)
X
X
Audiology
Evaluation
Health Services
Vision Services
Speech-Language
Pathology
Special Instruction
Social Work
Service Coordination
Psychological
Services
Physical Therapy
Occupational
Therapy
Nutrition Services
Nursing Services
Medical Services
Parent Support
Groups
Family Counseling
Family Training
Assistive Technology
Services
QUALIFIED PERSONNEL MATRIX
OCCUPATIONAL
THERAPY
(suprv’d by licensed physician or
occupational therapist)
Occupational Therapy
Assistant (suprv’d by licensed
X
physician or occupational therapist)
PHYSICAL THERAPY
by licensed physical therapist)
Physical Therapist Assistant
(suprv’d on site by physical
therapist)
X
PSYCHOLOGY
* no supervision needed to provide service coordination
** must meet minimum qualifications for approval as
service coordinator as stated in Section 69-4.4
X
X
X
X
X
X
X
X
X
X
X
X
X
Teacher of Special
Education
X
X
X
X
X
Teacher of Blind & Partially
Sighted
X
X
X
X
X
Teacher of Deaf & Hearing
Impaired
X
X
X
X
Teacher of Speech &
Hearing Handicapped
X
X
X
X
Audiology
Screening
X
Evaluation
X*
Health Services
X
Vision Services
Special Instruction
X
Speech-Language
Pathology
Social Work
X
Psychological
Services
X
Physical Therapy
X
Occupational
Therapy
X
X
Nutrition Services
X
X
Nursing Services
X
X
Medical Services
X
X
Parent Support
Groups
X
Family Counseling
X
Family Training
Service Coordination
Assistive Technology
Services
QUALIFIED PERSONNEL MATRIX
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
SOCIAL WORK
Certified Social Worker
SPEECH PATHOLOGY
Speech-Language
Pathologist
CFY Speech-Language
Pathology Fellow (suprv’d by
licensed speech language
pathologist)
TEACHER
* no supervision needed to provide service coordination
** must meet minimum qualifications for approval as
service coordinator as stated in Section 69-4.4
X
Certified Orientation &
Mobility Specialist
X
X
X
X
X
X
X
Certified Low Vision
Specialist
X
X
X
X
X
X
X
* no supervision needed to provide service coordination
** must meet minimum qualifications for approval as
service coordinator as stated in Section 69-4.4
Health Services
Vision Services
Speech-Language
Pathology
Special Instruction
Social Work
Service Coordination
Psychological
Services
Physical Therapy
Occupational
Therapy
Nutrition Services
Nursing Services
Medical Services
Parent Support
Groups
Family Counseling
Family Training
Audiology
Screening
VISION SERVICES
Evaluation
Assistive Technology
Services
QUALIFIED PERSONNEL MATRIX
New York State Education Department
Office of the Professions
State Board Offices
State Board Offices
Board Executive Secretary
Phone
Dietetics & Nutrition
Thomas J. Monahan
(518)474-3841 ext 560
Medicine
Thomas J. Monahan
(518) 474-3841 ext 560
Nursing
Barbara Zittel
(518) 474-3817 ext 120
Occupational Therapy
Ronnie Hausheer
(518) 474-3817 ext 100
Optometry
(Low Vision)
Milton Lawney
(518) 474-3817 ext 210
Physical Therapy
David Hamilton
(518) 474-3817 ext 180
Psychology
Kathleen Doyle
(518) 474-3817 ext 150
Social Work
David Hamilton
(518) 474-3817 ext 450
Speech-Pathology &
Audiology
Ronnie Hausheer
(518) 474-3817 ext 100
Attachment 2
Attachment 2
Attachment 2
Attachment 3
Dear Colleague Letter - Clarification of Existing Professional Requirements for Early
Intervention Providers
August 2009
Dear Colleague:
As lead agency for the Early Intervention Program (EIP), the New York State Department of Health (Department) is responsible for establishing
appropriate professional requirements for the EIP based on any State-approved or recognized certification, licensing, registration, or other comparable
requirements that apply to the profession or discipline.1 Public Health regulation 10NYCRR69-4.1(aj) specifies the professionals that are considered
qualified personnel for the purposes of the EIP. The Department relies upon the New York State Education Department's (SED) licensure, registration,
and certification process to qualify professionals for the EIP, with the exception of those disciplines in early intervention for which there is no State
license, certification, or registration (e.g., certified low vision specialist, orientation and mobility specialist).
In March 2000, the Department issued a guidance document to clarify a number of issues with respect to qualified personnel under the EIP, including
the acceptable qualifications for special education teachers for purposes of the EIP. Based on discussions with SED staff, the Department is revising its
standards related to certain qualified personnel under the EIP.
This letter is to inform you of these revised standards for certain qualified personnel. These revisions are effective immediately and are being used by
the Department to identify the individuals who may provide services in the EIP.
1
34 CFR 303.361
New York State Teacher Certifications
The March 2000 memorandum on qualified personnel stated that in addition to special education teachers with permanent certification, a special
education teacher with a valid certificate of qualification or a provisional certificate who does not yet have a permanent teaching certification is qualified
to provide early intervention special instruction services in accordance with Public Health Law Section 2541(7)(h)(ii). No other teacher certifications
(e.g., temporary certificates) were recognized as qualified personnel under the EIP.
Special education instruction goals and objectives focus on promoting the child's learning through special instruction services and are distinguished from
professional services such as diagnosis, evaluation, and treatment, which must be provided by licensed or otherwise authorized professionals.
Certificates of qualification are no longer valid as of August 31, 2003. In addition, effective February 2, 2004, SED replaced provisional and permanent
teaching certificates with a revised certification structure for classroom teachers—initial certificates (entry level) and professional (advanced level)
certificates. SED has informed us that for teachers whose certification were effective prior to February 2, 2004, provisional and permanent certificates
remain valid, although a provisional certificate is valid for only five years from the effective date on the certificate. Permanent certification must be
obtained within that time period to continue to be considered qualified personnel under the EIP unless the teacher is eligible for a time extension or
renewal of the provisional certificate. Special education teachers with either the initial or professional certificates issued under the revised structure or
the provisional or permanent certificates issued under the former structure are recognized by the EIP as qualified personnel if the certificates remain
valid and have not expired.
SED also established the following new grade-specific teaching certificate titles for special education teachers:
•
•
•
•
Students with Disabilities, Birth – Grade 2
Students with Disabilities, Grades 1 – 6
Students with Disabilities, Grades 5 – 9 (generalist or specialist)
Students with Disabilities, Grades 7 – 12 (subject specific).
Attachment 3
Special education teachers receiving their initial or professional certification on or after February 2, 2004, must have the Students with
Disabilities, Birth – Grade 2 certificate to be considered qualified personnel under the EIP. The certificate specifies the certification title (e.g.,
Special Education or Students with Disabilities [Birth – Grade 2]), the form (e.g., provisional, initial, permanent, or professional) and the effective date.
Initial and provisional certificates are valid for five years from the effective date of the certificate unless SED has granted a time extension or renewal.
SED made changes to other teacher certification titles effective February 2, 2004. Certification titles and certificates issued prior to February
2004 will continue to be recognized as qualified personnel under EIP if the certificate remains valid.
Prior to February 2, 2004, SED issued the following certificate titles:
•
•
•
Teacher of the Deaf and Hearing Impaired
Teacher of the Blind and Partially Sighted
Teacher of Speech and Hearing Handicapped.
Individuals with valid permanent or provisional certifications in these titles will continue to be recognized as qualified personnel under the EIP.
Since February 2, 2004, SED has issued the following certificate titles:
•
•
•
Teacher of the Deaf and Hard of Hearing (all grades)
Teacher of the Blind and Visually Impaired (all grades)
Teacher of Speech and Language Disabilities (all grades).
Individuals with valid initial or professional certificates in these titles will also be recognized as meeting the standard for qualified personnel for the EIP.
Internship Certificate, Supplementary Certificate, and Conditional Initial Certificate
These certificates are issued by SED in specific situations to candidates who have not yet met the requirements for initial teaching certificates. The
Department and SED have determined that it is appropriate to recognize individuals with internship certificates, supplementary certificates, or
conditional initial certificates as qualified personnel to provide special instruction services for the EIP in the circumstances described below. This applies
to the following teacher certificate titles: Students with Disabilities, Birth - Grade 2; Teacher of the Deaf and Hard of Hearing; Teacher of the Blind and
Visually Impaired; and Teacher of Speech and Language Disabilities. Information regarding the specific requirements for each of these certifications is
posted on the SED Web site at www.highered.nysed.gov/tcert. The Department and SED have determined that it is NOT appropriate to recognize
individuals with Transition B Certificates.
Internship Certificate
An internship certificate is issued by SED at the request of a college or university to an individual who is enrolled in a graduate program of teacher
education, has completed at least half of the semester hour requirements for the program, and has guaranteed employment in a school district. The
certificate is valid for up to two years and requires that the school in which the internship is served be identified and that appropriate supervision be
provided. Certificates are maintained electronically by SED in its database of certified teachers or TEACH. No actual paper certificate is generated.
Supplementary Certification
Effective January 2005, a supplementary certificate may be issued by SED to certified classroom teachers to enable them to teach in different subject
areas where shortages exist. Supplementary certificates are valid for three years and require that the individual be employed and provided support by
the employer.
Conditional Initial Certificates
SED has reciprocal interstate contracts with more than 30 other states and jurisdictions. An individual from one of the contract states or jurisdictions
may be eligible for a two-year nonrenewable conditional initial certificate. The Department has determined that holders of such certificates are qualified
personnel for the EIP provided that such certifications are in areas designated as qualified personnel to provide services for the EIP.
Attachment 3
Only those State-approved early intervention providers that also are approved by SED under Section 4410 of the Education Law can employ individuals
with either internship, supplementary, or conditional initial certificates to provide early intervention special instruction services. The same corporate
entity must own and operate both the early intervention provider agency and the 4410 program. Therefore, the same Department- or SED-approved
EI agency must be approved by SED under Section 4410 of the Education Law and must be identified by the same employer tax identification number.
The following conditions also apply:
•
Individuals with internship, supplementary, or conditional initial certificates can provide early intervention special instruction services on-site
at the school operated by the 4410 provider where the individual is supervised by a certified teacher while providing these services, as
approved by SED.
•
Individuals with internship, supplementary, or conditional initial certificates can provide early intervention special instruction services in a
home-based setting where the individual is under the direct, on-site supervision and oversight of a certified teacher.
•
•
The supervising teacher must meet the definition of qualified personnel in the EIP.
•
The supervising teacher must spend as much time as necessary directly supervising services to ensure children/families are receiving services
in a safe and efficient manner in accordance with accepted standards of practice.
•
The supervising teacher must review and co-sign daily notes, periodic progress reports, and evaluation reports required by the EIP.
The supervising teacher must assume professional responsibility for the services provided under his or her direction and monitor the need for
continued services.
To permit supervising teachers to adequately fulfill their supervisory obligations and ensure quality care, the agency must allow for the following:
•
•
Supervisory ratios that are in keeping with recognized teaching practices.
The time required to appropriately supervise candidates who have not yet met the requirements for initial teaching certificates.
Questions pertaining to teacher certification in New York State should be directed to SED's Office of Teaching Initiatives at (518) 474-3901 or
at tcert@mail.nysed.gov. TEACH, the database of certified teachers maintained by SED, can be accessed at http://www.highered.nysed.gov/tcert/ to
verify the current status of an individual's certification.
Qualified Personnel and the Delivery of Speech Language Therapy Services
Only speech-language pathologists licensed according to Education Law Article 159 or individuals otherwise authorized by Title VIII of the Education Law
(such as individuals completing their nine months of supervised experience to satisfy the requirements as a licensed speech-language pathologist) may
provide early intervention speech-language pathology services including evaluations, provided that such pathologists and individuals are competent to
provide such services. Unlicensed individuals will not be considered to be "authorized" to provide professional services to children in the EIP solely
because they are employed by an approved 4410 program that is also an EIP provider.
SED has informed the Department that Teachers of the Deaf and Hearing Handicapped, Teachers of the Deaf and Hearing Impaired, and Teachers of the
Deaf and Hard of Hearing cannot provide speech-language pathology treatment services to children in the EIP even when supervised by a speechlanguage pathologist. Based on this directive from SED, the waiver process outlined in the March 2000 memorandum on qualified personnel has been
discontinued. Speech services must be provided by a speech-language pathologist or individuals otherwise authorized by Title VIII of the Education Law.
A speech-language pathologist is a licensed health care professional who diagnoses, evaluates, and treats disorders of speech, voice, swallowing, and/or
language.
However, it is permissible for Teachers of the Speech and Hearing Handicapped or Teachers of Speech and Language Disabilities to provide special
instruction to children in the EIP (i.e., special education speech and language instruction whose goals and objectives will focus on communication
development to promote the child's learning). Such special instruction, however, must not be used as a replacement for treatment for children with
delays that can only be addressed by speech therapy delivered by a speech-language pathologist to treat disorders of speech, voice, swallowing, and/or
language. The Department will incorporate into its future protocol for provider monitoring a review of special instruction services delivered to children
with communication delays to assure that such services are appropriate.
Social Worker Titles
Certified social workers licensed according to Education Law Article 154 have always been recognized as qualified personnel under the EIP. On
September 1, 2004, revisions to Article 154 of the Education Law, Sections 7700-7709, became effective, establishing two professional titles for the
Attachment 3
practice of social work: Licensed Master Social Worker and Licensed Clinical Social Worker. Licensed master social workers and licensed clinical social
workers are qualified personnel in the EIP if they are acting within their respective scopes of practice and are competent to provide the service in
question. Information regarding scope of practice for each of these titles is posted on the SED Web site at http://www.op.nysed.gov/sw.htm
The important distinction between licensed master social workers and licensed clinical social workers is that only licensed clinical social workers can
independently "diagnose mental, emotional, behavioral, developmental, and addictive disorders, impairments, and disabilities within a psychosocial
framework on the basis of their similar and unique characteristics consistent with accepted classification systems." Licensed clinical social workers,
licensed master social workers under the supervision of a licensed clinical social worker, or licensed psychologists or psychiatrists can diagnose children
in the EIP, provide psychotherapeutic interventions, or implement assessment-based treatment plans for children in the EIP if they are competent to
provide such services.
Questions concerning the change in licensure and scope of practice of social workers under Article 154 of the Education Law should be directed to David
Hamilton, Executive Secretary for the State Board for Social Work, Office of the Professions, State Education Department at (518) 474-3817, ext. 450,
or at swbd@mail.nysed.gov.
We strongly recommend that early intervention officials contact the Department directly with any concerns about the status of professionals delivering
early intervention services prior to taking any action against a provider whose status as qualified personnel may be questionable. In addition, the
Department should be notified regarding any concerns related to these changes in the use of qualified personnel under the EIP, including concerns that
you have regarding shortages of special education teachers or other professionals needed to provide EIP services to children in your community. The
Department will continue to work collaboratively with SED on qualified personnel issues to address existing and emerging concerns in the field. If you
have any questions or concerns of this nature, please contact Margaret Adeigbo of my staff at (518) 473-7016. General questions about qualified
personnel under the EIP should be directed to Training and Technical Assistance Unit staff at the above number.
Sincerely,
Bradley Hutton, M.P.H.
Director
Bureau of Early Intervention
•
Questions or comments: bei@health.state.ny.us
Revised: September 2009
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