PROCEDURES FOR SPECIAL EDUCATION RECORDS
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Types of Procedures
Accessing Records
Parent(s) and age of majority students (see note) have the right to access, review, and inspect records. This includes:
- The right to a response from the district or AEA to reasonable requests for explanations and interpretations of the records
- The right to request that the district or AEA provide copies of the records if failure to do so would effectively prevent the parent from being able to inspect and review the records
- The right to have a representative of the parent inspect and review the records
An AEA or LEA must respond to the parent’s request to inspect and review the records within 45 days of the request. Requests (per phone or in person) to access records should be made during normal business hours of the AEA or LEA.
NOTE: At age 18, students are considered to have reached the “Age of Majority” and the rights under FERPA transfer from the parents to the student. The student, however, cannot deny parental access to educational information if the parent declares the child as a dependent on his/her income tax return. It shall be presumed that a student who has not graduated from high school is a dependent of his or her parents until such time as satisfactory evidence to the contrary is presented to AEA or school officials.
An AEA or LEA may presume that the parent(s) has the authority to inspect and review records relating to the parent’s student unless the agency has been advised that the parent(s) does not have the authority under applicable state law governing such matters as guardianship, separation, and divorce.
The burden of proof is on the parent who asserts that the other parent does not have records rights to provide proof (i.e., the judicial decree) showing the court has removed the other parent’s access right.
The Special Education Procedural Safeguards Manual for Parents provides the annual notification to parents and eligible students of their right to view student records. The AEA and District will ensure that this notification is provided in the parent’s or eligible student’s native language.
If any education record includes information on more than one student, the parent(s) shall have the right to inspect and review only the information relating to their student or to be informed of that specific information.
An AEA or LEA may charge a fee for copies of records, but shall be waived if the fee would prevent the parent(s) or student from exercising their right to inspect and review the records within 45 days of the request. However, an AEA or LEA shall not be charged a fee to search for or to retrieve information.
For parents who have elected to receive electronic communications, access to their child’s records may be securely transmitted electronically. An AEA or LEA may charge a fee associated with provision of records on a small storage device, such as a flash drive.
Upon parent(s) or eligible student request, school districts and AEAs must:
- Provide a list of the types and locations of education records collected, maintained and used by the district or agency
- Identify all types of student records collected, maintained and used by the district, not just the special education records
FERPA requires that AEAs and schools use reasonable methods to ensure that district and AEA personnel obtain access to only those education records in which they have legitimate educational interests.
Maintaining Records
Both LEAs and AEAs are responsible for maintaining special education records for eligible individuals, as well as for adhering to FERPA, IDEA, and Iowa Rules regarding confidentiality. AEA support staff shall assist school districts in ensuring that student records are complete.
Personally identifiable information (PII) must be maintained as long as it is needed to provide educational services to the student or to be available for audit. Iowa Administrative Rules of Special Education specify that special education records must be maintained for 5 years after special education services end.
Recommended Practices for LEAs:
The following will be kept in working files/electronic folders until no longer educationally relevant at which point they are removed from the educational record and are destroyed:
- Any correspondence meeting the definition of a special education record
- Any electronic records (databases, video recordings, emails, etc.) that meet the definition of a special education record
- Note: It is not necessary for an LEA to maintain records that are duplicative of those officially maintained by the AEA state system. For example, any paper copies of an IEP in a teacher’s secure working file may be destroyed at any time, because complete IEP records are maintained electronically (see AEA records maintenance below).
Medicaid records will be maintained for 7 years after the date of service, in case needed for an audit.
Special Education records must be maintained separately from a student’s permanent and cumulative records and in a locked or secure location.
Maintain special education records of currently-served students in a locked or secure location (e.g. password-protected computer) in a special educators’ classroom or workspace.
Recommended Practices for AEAs:
The AEA will maintain all special education records affiliated with an individual’s IEP, including any forms completed as a part of the eligibility and IEP process.
At a minimum, the AEA maintains the following special education records, most of which are currently developed and archived in the Legacy and ACHIEVE systems:
- Consents: Full and Individual Initial Evaluation, Initial Special Education and/or Related Services, Reevaluation
- Notices: Meeting Notices, Agreement to Excuse Attendance at IEP Meeting, Prior Written Notices
- Educational Evaluation Reports (EERs)
- Individualized Education Programs (IEPs) and Individualized Family Services Plans (IFSPs)
- Extended School Year (ESY) Services
- Functional Behavior Assessment (FBA)
- Behavior Intervention Plan (BIP)
- Manifestation Determination (MD)
- Justification for Special School Placement
- Communication Plan for Deaf or Hard-of-Hearing Learners
- Authorization for Exchange of Information and Release of Health and/or Educational Information
- Parent Consent/Parent Refusal or Withdrawal of Consent for an AEA To Share Data and Seek Payment for Individualized Education Program (IEP) Health-Related Services
- Assessment protocols
- Note: Tests/Assessments/protocols, progress monitoring probes and educator/therapy notes will be maintained for 2 years after the information has been summarized in a report that is an educational record or as long as they are educationally necessary.
- Progress or therapy notes (excluding sole possession records)
- Any correspondence meeting the definition of a special education record
- Any electronic records (databases, video recordings, emails, etc.) that meet the definition of a special education record or that contain information derived from any or all of the above records are also considered to be special education records and will be maintained by the AEA.
Medicaid related records will be maintained for 7 years after the date of service, in case needed for an audit.
All individual special education records are to be maintained in a locked or secure electronic location (e.g. password protected).
Storing Records in the State IEP System
The state’s IEP systems (Legacy and ACHIEVE) have the capacity to upload electronic documents to be stored along with the current IEP. Only records that directly relate to, and are needed for the implementation of the IEP should be uploaded into the IEP systems.
Examples of Uploads to the Learner IEP (if needed):
- Rubrics or scoring guides that related to the progress monitoring of current goal areas.
- Assessment scores or data profiles that supplement information in the Present Levels of Academic Achievement and Functional Performance (PLAAFP) or goal area current levels of performance narratives.
- Consent Forms with “wet signatures” that are not electronically signed in the IEP systems.
Non-Examples of Uploads to the Learner IEP:
- Medical reports written by outside providers.
- Psychological or other evaluations conducted by outside providers.
- Court documents regarding custody or parental roles.
Other documents that are not integral to the implementation of the IEP, but would be part of the learner’s record, should be maintained securely in paper or electronic format, following the district/AEA procedures. Medical and other evaluation information is often considered in IEP development and summarized in parts of the IEP, but full reports should not be uploaded to Iowa’s IEP systems.
Destroying Records
LEAs and AEAs are allowed to destroy personally identifiable information (PII) at the point it is no longer needed to provide educational services to the student or for audit purposes (e.g., Medicaid records). Per the Iowa Administrative Rules, special education records must be maintained for 5 years after special education services end for a student. LEAs and AEAs are allowed to destroy personally identifiable information at the point it is no longer needed to provide educational services to the student or for audit purposes (e.g., Medicaid records). All educational and special education records maintained by the AEA will be destroyed after July 30 of the year in which the individual turns 27 years of age. For example, on July 31, 2027 all records for individuals born on or before June 30, 2000 will be destroyed. It is recommended that LEAs adopt a consistent process.
AEAs and LEAs shall notify the parent(s) and age of majority students that records will be destroyed at age 27 at the time of exit from special education. Parents receive an annual copy of the Procedural Safeguards Manual, which also articulates the AEA policy to destroy records after the learner has attained the age of 27 years and at least five years after exiting special education.
Parent(s) and eligible students have the right to request that records be destroyed when no longer needed by the AEA/LEA. This right applies to the period of time, if any, between the point in time that the AEA/LEA has communicated that records are no longer needed and the point in time when actual destruction would occur.
In the absence of the parent(s) or age of majority student's request to destroy the records, an AEA or district may maintain the records indefinitely.
Maintaining Permanent Student Records
AEAs may maintain only those records required as “permanent” after the point in time when records are no longer needed. Parents and eligible students are informed of the records destruction process annually, and at the time of exit.
The AEA’s permanent record must include:
- A student's name
- Address
- Phone number
- Date of birth
- Dates of AEA and/or LEA special education service(s)
- Grade or age level and date of final exit from special education service
School districts (LEAs) are required to maintain a permanent record that serves as a student’s official transcript, including evidence of attendance and educational progress.
The LEA’s permanent record must include:
- A student's name
- Address
- Phone number
- Student's grades
- Attendance record
- Classes attended
- Grade level and year completed
Handling Requests to Change Records
If the parent(s) or the age of majority student believes the information in a record is inaccurate, misleading, violates the privacy, or other rights of the student, they may request the agency to amend the information.
The agency shall decide whether to amend the information in accordance with a request within a reasonable period of time following receipt of the request from the parent(s) or the age of majority student.
If the agency refuses to amend the records, the agency must inform the parent(s) of its refusal and advise the parent of their right to a hearing. The parent(s) or the age of majority student shall have a right to appeal the agency’s decision and shall have an administrative hearing at the agency level.
A local hearing shall be conducted according to AEA policy and administrative procedures:
- If the agency determines, as a result of a hearing, that an amendment shall be made to the student’s records, the agency shall make the amendment and so inform the parent in writing.
- If the parent’s request to amend the records is denied as a result of a hearing, the parent shall have the opportunity to place an explanatory statement in the student’s records commenting on the agency’s decision and setting forth any reasons for disagreeing with the agency. The agency shall maintain the parent’s explanation as part of the records of the student as long as the record or contested portion is maintained by the agency. If the record of the student or the contested portion is disclosed by the agency to any party, the explanation shall also be disclosed to the party.
Record of Parties Obtaining Access to Educational Records
With the exception of access by parents, and authorized employees, the agency maintaining the records (AEA or district), must keep a record of parties obtaining access to education records including:
- Name of the party;
- Date access was given; and
- The purpose for which the party is authorized to use the records.
In most cases, parent consent is given through an Authorization to Release and Exchange Information form, and this document is maintained in the IEP system, serving as the required documentation above.
In unusual cases of another party accessing records, where written consent is not in place (e.g. child abuse investigation, medical emergency) the agency maintaining the records (AEA or district) will alternatively document instances of access.