THE STATE EDUCATION DEPARTMENT  THE UNIVERSITY OF THE STATE OF NEW YORK / ALBANY, NY 12234

The individual evaluation is the first step a Committee on Preschool Special Education (CPSE) must take to determine if a preschool child meets the eligibility requirements for special education programs and services and to develop a student's individualized education program (IEP). This memorandum provides information regarding evaluations of three-and-four-year-old children suspected of having disabilities, including requirements for parental consent, timelines for conducting evaluations, evaluation components and reimbursement procedures. In addition, the memorandum outlines procedures and directions for completion of the required form for a municipality to claim reimbursement for the cost of these evaluations pursuant to section 4410 of Education Law. Please note that this information applies only to evaluations arranged by the CPSE and does not pertain to evaluation of school-age students with disabilities or to any evaluation reports submitted to the CPSE from the Early Intervention program, parents or other sources.

Attached are: (click on link)

1. a series of frequently asked questions and answers;
2. a copy of the Evaluation reimbursement request form and instructions; and
3. Preschool Student Evaluation Summary Report form - January 2000

This information should be read and reviewed in conjunction with the publication Individual Evaluations and Eligibility Determinations for Students with Disabilities (August 2000). This material updates and replaces a series of previous memoranda on this topic. Further questions should be directed to one of the following offices or units at the State Education Department (SED):

An individual evaluation for a three or four-year old child suspected of having a disability means any procedures, tests or assessments used selectively with an individual child as necessary to determine whether a child has a disability and the extent of his/her special education needs. Upon referral of a child with a suspected disability to the CPSE, the board of education, with parent’s consent, must arrange for an evaluation of the child. The school district CPSE, is the multidisciplinary team required by federal law to conduct the individual evaluation of a preschool child suspected of having a disability. The CPSE has the primary responsibility to identify and to authorize the specific components of each individual preschool evaluation, including the required components, and any other appropriate assessments or evaluations.

The parent selects an approved evaluator from the list provided by the school district and provides written consent for the proposed evaluation pursuant to section 200.5(b)(1) of the Commissioner's Regulations. The initial multidisciplinary evaluation of a preschool student pursuant to sections 200.4(b) and 200.16(c) of the Regulations of the Commissioner of Education must include at least:

• a physical examination in accordance with the provisions of sections 903, 904 and 905 of the education law;
• an individual psychological evaluation;
• a social history;
• an observation of the child in the current educational placement; and
• other appropriate assessments or evaluations, including a functional behavioral assessment for a student whose behavior impedes his or her learning or that of others, as necessary to ascertain the physical, mental, behavioral and emotional factors which contribute to the suspected disabilities.

The determination of other appropriate assessments or evaluations to be included as part of an initial evaluation or reevaluation must be made on a case-by-case basis by a group that includes the CPSE with the input of the child's parent(s) and other qualified professionals of various disciplines. (See section 200.16(c)(2) of the Regulations of the Commissioner of Education). This may include the child's teacher, the speech and language therapist or other related service providers, or the approved evaluator selected by the parent(s). The group must review existing data on the child including evaluations and information provided by the child's parent(s), current classroom based assessments and observations by teachers and related service providers. For the child transitioning from the early intervention program, the early intervention official, with parental consent, must arrange for the transfer of records, including the most recent evaluations, to the CPSE and the approved evaluator selected by the parent(s).

The evaluation must include sufficient information for a CPSE to determine a child's eligibility for special education programs and services. To the extent that the approved evaluator conducts the initial evaluation as authorized by the CPSE using the evaluation components identified above, State reimbursement will be provided to the county. If the CPSE requires additional evaluation components, the identified components are part of the initial evaluation.

Should the evaluator find that a child requires an evaluation beyond the limits stated above, or should a CPSE during the course of the school year, or at the time of annual review, require a reevaluation of any component, the CPSE must provide written authorization to the evaluator. In the event that a child experiences a change during the year in health, family structure or a related circumstance, the CPSE must provide written authorization for the evaluator to conduct an update or reevaluation of the psychological or social history.

The approved evaluator must conduct the evaluation in accordance with section 200.4(b) of the Commissioner’s Regulations and must provide documentation of the evaluation, including all assessment reports and a summary of findings to the members of the CPSE. The summary report must include a detailed statement of the child’s individual needs. However, it may not include a recommendation as to the general type, frequency and duration of special services and programs; must not address the manner in which special services and programs can be provided in the least restrictive environment; and must not make reference to any specific provider of special services or programs. The summary must be on a form developed by SED. This form is available on our internet site, http://www.vesid.nysed.gov/specialed/publications/preschool/, by referring to a SED field memo "Updated Preschool Student Evaluation Summary Report Form and Clarification on New Provisions Required Pursuant to the Reauthorization of the Individuals with Disabilities Education Act (IDEA)" (January 2000). To assure reimbursement, a CPSE should establish procedures to ensure that evaluators maintain documentation of the parent’s request for translation of the documentation of the evaluation(s).

Section 4410(10)(b) of the Education Law, as amended by Chapter 705 of the Laws of 1992, authorizes SED to establish separate reimbursement rates for evaluations subject to approval by the Division of Budget (DOB). In addition, Chapter 520 of the Laws of 1993 provides for reimbursement of the costs of translating, when necessary, the summary report of the evaluation from English into the native language or other mode of communication of the parents. Chapter 520 also provides reimbursement for the whole cost of translating the documentation of the evaluation, upon request of the parent(s), unless it is clearly not feasible to do so.

Each year, DOB approves the same rates for preschool (section 4410 of Education Law) evaluations as those established by the Department of Health for the Early Intervention program. Rates are established for the following types of evaluation components: psychological, social history, physicians and non-physicians. The rate for each component is the rate in effect on the evaluation completion date and for the evaluated preschooler’s county of residence. Rates may be viewed on our internet site at http://web1.nysed.gov/psruunit/Correspondence/methdltr.htm. Rates are not subject to reconciliation.

After a child’s evaluation has been conducted, the CPSE must initiate the Request for Commissioner’s Approval of Reimbursement for the Cost of Evaluations (STAC-5). (A copy of the form is attached.) The request form must identify those components of the multi-disciplinary evaluation for which the provider may bill the appropriate municipality.

For each school year (July 1-June 30), providers may bill the municipality only once for each component of the evaluation, regardless of the number of sessions needed to complete the particular evaluation.

The following guidelines apply to section 4410 of the Education Law evaluation reimbursement processing. Under normal circumstances reimbursement is limited to:

• one social history per school year;
• one psychological evaluation per school year;
• up to four other evaluations, as determined necessary and appropriate by the CPSE, parent and evaluator (this may include a combination of physician evaluations and/or non-physician evaluations);
• the acceptable evaluation components listed on the attached glossary. Other components may be reimbursable, but will require special (manual) processing; and
• for children potentially transitioning from early intervention (EI) to eligibility for preschool special education, evaluation components must be conducted by the CPSE within 120 calendar days prior to the first day of a child's potential eligibility for preschool special education and up to one month prior to the school age student's initial entry into school in September. This time frame is consistent with the requirements in Title II Public Health Law regarding the initiation of transition planning for students leaving the Early Intervention Program and being evaluated for potential preschool special education placement.

* Children are eligible to receive preschool special education programs and services until August of the school year in which they first become eligible for school-age programs and services. State law establishes the "cut off" date for children's eligibility for school-age programs and services by December 1^st of the school year, or when they become 5 years of age by December 31^st if a later date is used by a district for school-age eligibility. Children turning five by December 1^st may be evaluated last by the CPSE in July of that calendar year. Children turning five after December 1^st until December 31^st continue to be eligible for preschool special education for an additional year.

The annual review of a preschool child with a disability is based on a review of the child's IEP and other current information pertaining to the student's performance. When the child's teacher(s) and/or any related service provider(s) use formal or informal assessment measures as specified on the child's IEP to document a child's progress, the assessment is not eligible for reimbursement. However should the CPSE authorize a reevaluation or a new evaluation in any component, as documented on the STAC-5, a claim for reimbursement may be made.

• If one or more components of the evaluation required the participation of an individual in addition to the evaluator for the purpose of translation, indicate the evaluation as "bilingual" on the reimbursement request form.
• If the child’s parent required the translation of the summary report of the evaluation from English into the native language or other mode of communication of the parent, report the costs of such translations on the request form (STAC-5).
• If, at the parent’s request, documentation of the evaluation is translated from English into the native language or other mode of communication of the parent, indicate the translation cost on the request form (STAC-5).
• The CPSE must sign the STAC-5, retain the district copy and forward the other three copies to the appropriate municipality. The municipality must sign the STAC-5, retain the municipality copy and forward the other copies to the evaluator and SED (on paper or as an electronic file).

Upon review and approval, SED’s STAC and Special Aids Unit will send or transmit an Evaluation Reimbursement Approval (STAC-5A) for each child to the responsible school district with informational copies to the approved evaluator and appropriate municipality. Corrections to the STAC-5A may only be made by a CPSE Chairperson or the designee of the school district. If an evaluator or municipality identifies the need for correction, the appropriate CPSE should be contacted.

To initiate corrections, the CPSE should sign the "Revision" portion of the STAC-5A approval document and forward it to the municipality. Upon transmittal to STAC and Special Aids Unit, staff will review the revision and, if appropriate, process an amended approval with copies to the CPSE, the municipality and the section 4410 approved agency that conducted the student’s evaluation. Reimbursement will be provided to the municipalities through an Automated Voucher Listing (AVL) process.

Claiming Reimbursement using the Automated Voucher Listing (AVL)

The AVL for Evaluations is generated on a quarterly basis beginning on April 1^st during the school year in which the evaluation components were conducted. The AVL is transmitted to the municipality for review and claim, then returned to SED for payment. As with all section 4410 of the Education Law reimbursement, claims must be made within three years of the end of the school year in which the evaluation was conducted. (See Chapter 474 of the Laws of 1996.)

The following are components that may be included in an individual evaluation to determine whether a child has a disability. Some terms are specifically identified on the STAC-5 form for reimbursement purposes as required components of an individual evaluation (Table 1). Some are evaluation components that may be used to identify the factors that may contribute to an individual child's disability (Table 2). The remaining are not acceptable as components for reimbursement and should be included as part of another component if appropriate (Table 3). Only the components and codes listed in Tables 1 and 2 may be included on electronically transmitted STAC-5 forms.

The STAC System does not automatically recognize the evaluation terms listed on the left column of Table 3. These are typically included in other evaluation components such as the terms noted on the right hand column. Requests for reimbursement for these "specialty" evaluations require the completion of the STAC-5 form, with an attached explanation by the CPSE.

The following should not be included for reimbursement on the STAC-5 form:

• developmental observation - an observation of the child is required in the initial evaluation, however it is not reimbursed as a separate component,
• genetics,
• screening,
• social work assessment, and
• summary report - there is no established reimbursement rate for the completion of the summary report in English. Reimbursement is provided for the cost of translating the summary report into a language other than English for a child's parent, if the translation is not part of a bilingual assessment of the child.

1. Who is responsible for identifying the specific evaluation components for each individual evaluation for each preschool child suspected of having a disability?

The Committee on Preschool Special Education (CPSE) has the primary responsibility to identify and to authorize the specific components of each individual preschool evaluation, including the required components and any other appropriate assessments or evaluations. (Please refer to the "Glossary of Terms" - Tables 1 and 2 - Pages 8 and 9). A group that includes the CPSE, the student's parents and other qualified professionals of various disciplines must review existing evaluation data on the student to determine what additional data, if any, are needed to determine a students eligibility for special education, the present levels of educational performance and the needs of the student. The review of existing evaluation data on the student does not necessarily need to take place at a formal meeting. The approved evaluator selected by the parent may be considered one of the other qualified professionals who may recommend to the CPSE the tests or assessments to be conducted as part of an initial evaluation or reevaluation of a preschool student.

2. Is "screening" a component of an individual evaluation and is it reimbursable?

No. Screening, pursuant to Part 117 of the Regulations of the Commissioner, is a preliminary method of distinguishing from the general school-age population those students who may possibly have a disability or those who may possibly be gifted. It is not a component of a multidisciplinary evaluation of a preschool child suspected of having a disability and therefore, is not reimbursable.

3. What is a functional behavioral assessment (FBA)? Is reimbursement provided for an FBA?

An FBA is the process of determining why a student engages in behaviors that impede learning and how the student's behavior relates to the environment. The FBA includes, but is not limited to, the identification of the problem behavior, the definition of the behavior in concrete terms, the identification of the contextual factors that contribute to the behavior (including cognitive and affective factors) and the formulation of a hypothesis regarding the general conditions under which a behavior usually occurs and probable consequences that serve to maintain it. A variety of techniques are available to conduct an FBA including, but not limited to direct assessment, indirect assessment and data analysis.

A separate rate is not established for an FBA for a three-or four-year old child. Since the specific assessment techniques and components of the FBA vary based on the identification of an individual student's challenging behavior, the CPSE must determine which evaluation components will be used for the FBA. Reimbursement is requested using the STAC-5, with an identification of the components used, either as part of an initial evaluation or a reevaluation. The components of the FBA may include, but are not limited to a psychological, social history or an educational assessment, either individually or in combination.

4. Is parental consent needed for the CPSE to conduct an initial evaluation of a preschool child?

Yes. In the event that the parent(s) does not provide written consent for an evaluation of the student, the CPSE must use the school district's procedures to ensure that the parents have received and understand the request for consent. If a parent continues not to provide written consent, no evaluation is conducted and the process ends.

The evaluation results must be provided to the CPSE, including the child's parent(s), in time to allow the CPSE to make a recommendation to the board of education within 30 school days of the date the CPSE received parental consent.

The results or "documentation" of the evaluation includes all assessment reports of the individual evaluation components and a summary report of the evaluation findings. The summary report must be in a form required by SED, and include a detailed statement of the preschool child's individual needs. The summary report must not address the manner in which special services and programs can be provided in the LRE or make a recommendation as to the general type, frequency, and duration of special services and programs. The required evaluation summary form may be obtained by contacting VESID, Special Education Policy Development Unit at One Commerce Plaza, Room 1624, Albany, New York 12234 or 518-473-2878 or by accessing the SED internet web site at http://www.vesid.nysed.gov/specialed/publications/preschool/. The results or "documentation" of the evaluation, which includes all assessment reports of the individual evaluation, may include recommendations stated above.

6. Must the evaluation be conducted in languages other than English? Is reimbursement provided when the evaluation results must be translated into other languages for parents?

Yes. Tests and other assessments must be provided and administered in the student's native language or other mode of communication, unless it is clearly not feasible to do so. Similarly, the approved evaluator must provide a statement of the evaluation results and recommendation provided to the CPSE in English, and when necessary, in the native language of the parent or other mode of communication used by the parent, unless it is not feasible to do so.

A separate reimbursement rate is established for bilingual evaluations and evaluations conducted for students with other modes of communication. Reimbursement is also approved for translation of the evaluation summary report and for the documentation of the evaluation prepared in the native language or other mode of communication of the parents.

7. What is a social history and are updates reimbursable as part of the reevaluation?

A social history is a mandated component of an initial evaluation only and is reimbursed at the rate set by SED. It is a report gathered and prepared by qualified personnel related to the interpersonal, familial and environmental variables, which influence a student's adaptation to school and learning environments. It includes, but is not limited to data on family composition, family history, developmental history of the student, health of the student, family interaction and the student's adjustment to school and learning environments.

In the course of the annual review or other review to assess a child's progress in meeting IEP goals, a social worker, a psychologist or other qualified professional may make a note to update the social history. This is not a reevaluation and there is no separate reimbursement for a social history update. However, a social history reevaluation may be appropriate when there is a significant change or serious issue in a child's family circumstances. This may be due to divorce, remarriage, death or severe illness of a parent, or a change in the child's health, stamina or attention due to a medical condition, illness or accident. The cost of a social history reevaluation is reimbursed at the SED established rate using the STAC-5 form with an attached statement by the CPSE justifying the need for the reevaluation.

8. When is the psychological component of the evaluation required?

A psychological evaluation is mandated as part of the initial evaluation of a preschool child suspected of having a disability. Generally, most children should not require a psychological reevaluation on an annual basis. However, the CPSE may authorize such a reevaluation if needed.

9. Section 200.4(b) of the Regulations of the Commissioner includes an observation of the student in the current education placement, yet no rate has been set to reimburse for this mandated evaluation component. Can this be reimbursed?

No. An observation of the child in the current education placement is an integral part of the existing evaluation and rate structure and is not reimbursed as a separate component.

10. When is the CPSE required to provide written authorization for an individual evaluation?

For reimbursement purposes, the CPSE must provide written authorization to the evaluator for all components of an initial evaluation and reevaluation. This is particularly significant when a child experiences a change during the year in health, family structure or a related circumstance and a reevaluation of the psychological or social history components may be needed. Appropriate completion of the STAC-5 includes a certification statement signed by the CPSE chairperson that the child has received a multidisciplinary evaluation in accordance with section 4410 of the Education Law and Part 200 of the Regulations of the Commissioner of Education.

The initial evaluation must be authorized by the CPSE and is reimbursable, regardless of the number of sessions that it takes to complete the evaluation. The evaluation must be completed within the timelines that allow the IEP to be developed for eligible preschool children with disabilities within 30 days of the date when the CPSE received parent consent for the evaluation to be conducted. If subsequent sessions are required to complete the evaluation, no additional authorization is required, nor is additional reimbursement available.

12. Can a provider be reimbursed for an incomplete or partially completed initial evaluation if the parent either leaves without notification to the CPSE or formerly withdraws the child from the process?

Yes. To the extent that the evaluator conducted an incomplete or partial evaluation that was interrupted at the parent's request, the evaluator should submit a summary report including all documentation to the CPSE reflecting the evaluation results and indicating that the evaluation was terminated before any recommendations could be developed. The CPSE would then complete and submit a STAC-5 authorizing reimbursement for those components, which were reported in the summary of the evaluation.

13. Must all CPSE authorizations for evaluation be done through a formalized process? If minutes are taken at the CPSE meeting will these minutes serve as an authorization for reimbursement of evaluations/reevaluations?

Yes. All evaluations must be authorized in writing by the CPSE. The method of transmitting the CPSE's authorization to the approved evaluator is at the discretion of the school district. The method(s) should be included in written district policy and transmitted to providers and municipalities so they understand the policy. The evaluator's receipt of a copy of the signed parent consent indicates the specific evaluation components authorized by the CPSE. Item 12 of the STAC 5 form is the certification by the CPSE Chairperson that the evaluation has been authorized by the CPSE and consistent with State requirements.

14. May a related service provider conduct and be reimbursed for a reevaluation for a student who is receiving related services only?

Only approved evaluators may conduct reevaluations with the authorization of the CPSE. A related service provider may not conduct reevaluations within their capacity as a designated related service provider. However, if the related service provider is employed by or under contract with an agency which has an evaluation program approved by SED, the related service provider may conduct a requested reevaluation within the capacity of the approved evaluation program. Approved evaluators may contract with other qualified professionals to ensure timely completion of the evaluation. In the course of working with a child, the related service provider may use informal or formal assessment measures to document the child's progress. This is not considered to be a reevaluation. Such assessment(s) may be conducted within the scheduled related service session for which reimbursement is already provided.

15. Can more than one agency be responsible for conducting an initial evaluation?

In general, one agency is responsible for conducting an initial evaluation. However, an approved evaluator who is unable to conduct a specific component is permitted to enter into a formal agreement with other qualified professionals to ensure completion of evaluations within mandated timelines.

16. Is parental consent required for reevaluation?

Yes. Parental consent is required prior to each reevaluation and the parents must be provided with a description of the proposed reevaluation and the uses to be made of the information obtained through the reevaluation.

17. Can authorization to conduct another evaluation component as part of an initial evaluation or in a reevaluation of a child be given by the CPSE chairperson without a full CPSE meeting?

Yes. A CPSE chairperson may authorize, in writing, another evaluation component for a preschool child with a disability, in consultation with a group that includes the CPSE and other qualified professionals including the evaluator to ensure such evaluation is appropriate and necessary. The group may conduct its review without the need to convene a meeting of the CPSE. The CPSE chairperson, acting on behalf of the Committee, may authorize the additional evaluation component for the child based on the following conditions:

• The approved program provides to the CPSE chairperson a written description of the proposed evaluation and the uses to be made of the information.
• The evaluation must be sufficient to determine the child's individual needs according to the areas related to the evaluation.
• The evaluation is necessary to modify the programs and/or services described in the approved IEP.
• Chairperson of the CPSE must notify the parent in writing that evaluation information is being sought regarding the preschool child in accordance with section 200.5 of the Regulations of the Commissioner and parental consent for the additional evaluation must be obtained.

However, if any CPSE member does not agree that a specific evaluation component is necessary, it is recommended that the chairperson convene a meeting of the CPSE to determine the need for such an evaluation.

18. For students who are eligible to enter kindergarten in September, is there a cut-off date for obtaining an initial evaluation through the CPSE process?

There is no cut-off date specified in law or regulation when the CPSE process should no longer be used to conduct an initial evaluation for a child eligible for school age services in September. In most cases no evaluations should be conducted through the CPSE process after July 1^st since, as a practical matter the child's eligibility and IEP will have to be developed by the Committee on Special Education (CSE). Those children who will be school age in September and who are referred for evaluation following kindergarten screenings should be referred to the CSE.

In those rare cases when a preschool child may need services for the first time in July/August preceding entry as a school age student, a recommendation would be made by the CPSE and reimbursement would be provided by the municipality. Section 200.1(mm) of the Regulations of the Commissioner specifies that "a student shall be deemed to be a preschool child with a disability through the month of August of the school year in which the child becomes eligible to attend school pursuant to section 3202 of the Education Law."

19. When a child transitions from the Early Intervention Program, moves to New York from out of state or from one county to another or when a child has an evaluation from other sources, is there a reimbursement mechanism for review of existing evaluations?

No. Section 4410 of Education Law provides reimbursement to the approved evaluators for conducting evaluations. There is no additional reimbursement for review of existing completed evaluations.

20. How can the fees for appropriate translation be included in the evaluation reimbursement?

If one or more components of the evaluation required the participation of an individual in addition to the evaluator for the purpose of translation, check the appropriate box on the STAC-5.

If the native language or mode of communication is other than English a translation of the summary report of the evaluation must be prepared. Report the cost of such translation on the STAC-5.

If the parent requests the whole evaluation be translated into his/her native language or other mode of communication, indicate the cost of translation on the STAC-5.

21. Does SED establish rates for bilingual evaluations?

Yes. Use item 10 on the STAC-5 form to request reimbursement for bilingual evaluation components.

22. If an evaluator uses a nurse to collect a child's medical records and review them, is this a billable supplemental evaluation?

No.

23. How and when is an STAC-5 completed for preschool evaluations?

Following the review of the results of the initial evaluation at the CPSE meeting, the chairperson must complete and sign the STAC-5. This could be done at the CPSE meeting. The STAC-5 should identify those components of the multidisciplinary evaluation for which the provider may bill the appropriate municipality. The CPSE chairperson must sign and retain a copy of the STAC-5 and forward the other three copies to the appropriate municipality. The municipality must sign the STAC-5, retain its copy and forward the other copies to the evaluator and SED. The original of the STAC-5 is provided to the STAC and Special Aids Unit at the New York State Education Department for processing.

24. How are providers informed that a STAC-5 has been completed and submitted by the CPSE?

The service provider receives both a copy of the STAC-5 Evaluation Form and an informational copy of the STAC-5A "Approval for Reimbursement of Evaluation Costs." Municipalities must pay based upon receipt of the completed STAC-5 from the CPSE. Municipalities may not delay payment until receipt of the STAC-5A, "Notification of Commissioner's Approval for Reimbursement of Preschool Evaluations." (Formerly known as "Approved Evaluation Components.")

25. What happens if a STAC-5 is filed for a child after the initial CPSE meeting and later, during the year, a new evaluation is approved? Is the STAC-5A amended, or is a second STAC-5 filed?

It is important to distinguish between a reevaluation and other assessments such as those conducted as part of the annual review. For a reevaluation authorized by the CPSE a new STAC-5 should be submitted to indicate "reevaluation." As previously noted, assessments conducted as part of an annual review are not subject to reimbursement through these procedures. The STAC-5A should only be used to amend the STAC-5 if there is an inconsistency between the STAC-5 and the STAC-5A.

26. If a child moves to another school district, which district completes the STAC-5?

The district with CPSE responsibility at the time the child was evaluated is responsible to complete and submit the STAC-5 to the SED.

27. How will SED determine the fiscal year of the evaluation when STAC-5 forms are submitted?

The STAC-5 reflects the date the child was evaluated. This date is used to determine the rate in effect for each evaluation component.