1. AEA Special Education Procedures Special Education Records Pages 263-275

2. Legal Mandated by IDEA to ensure FAPE Mandated by IDEA to demonstrate compliance with federal and state special education laws Family Educational Rights and Privacy Act (FERPA) incorporated into IDEA 04

3. Parent Requests Upon request, LEAs and AEAs must provide parents of students receiving special education a list of ALL types and locations of education records collected, maintained and used by the district or agency. Parents must be permitted to inspect and review records relating to their children without unnecessary delay.

4. Types of Information Student records include any document, whether on paper or in a computer or on film, which contains personally identifiable information and which is shared with another person.

5. Types of Information con’t. Examples: – Cumulative file/record in school office – Attendance records in computer system – Free and reduced meal financial information – Health records in the nurse’s office – Special education records in the students classroom or special education director/coordinator’s office – Specialized transportation procedures in the transportation office – Special dietary directives in the food service office – E-mail messages on the principal’s or teacher’s computer which were sent back and forth between home and school.

6. Confidentiality LEAs and AEAs shall protect the confidentiality of personally identifiable information at collection, storage, disclosure and destruction stages. LEAs and AEAs must designate one official to assume responsibility for ensuring confidentiality. All persons (support and professional staff) collecting or using student records must receive training on maintaining student records in accordance with legal requirements.

7. Student Disciplinary Action Iowa Code requires an LEA or AEA to include in records a statement of any current or previous disciplinary action. Should include an accurate record of any suspension or expulsion. Information should be transmitted upon transfer from one school to another.

8. Contents and Maintenance Special education record inclusions – See handout of “recommended” inclusions and “legally required” inclusions. (G&P Manual page 266)

9. Legally Required Inclusions The following is a list of items that are required to be included in a student’s record: – Documentation of parental consents for all evaluations and re-evaluations. – Documentation of parental consent for initial placement in special education. – Documentation of consent to receive or share information with other agencies.

10. Legally Required Inclusions con’t. – Individualized education plans that may include individualized health plans and/or behavior intervention plans. – Notices sent to parents notifying them of IEP meetings. – Documentation of attempts to contact parents to invite them to meetings if they did not attend. – Prior written notice of proposals or refusals relating to the identification, evaluation, placement, or provision of FAPE.

11. Legally Required Inclusions con’t. – Progress reports on IEP goals. – Documentation of compliance with special education disciplinary procedures, such as functional behavior assessments (FBAs) and documentation of meetings to conduct manifestation determinations. – Records of persons who accessed the special education record, the dates and the purposes of access. Confidentiality issue.

12. Protection of Records LEAs should maintain special education records separate from the student’s permanent and cumulative record in a locked or other secure location. Maintain in accordance with FERPA. Able to be accessed only by authorized individuals.

13. Service Providers AEA staff should place copies of their records in the LEA special education record for the student IF: – the records have been shared with others; or – the records are important to demonstrate compliance with the IEP.

14. Student Transfer Building to building transfer within district, special education record should be sent. LEA to LEA transfer, legally required to send copy of most recent IEP. If entire special education file is sent; – Evaluations and reports from third parties should not be sent without specific parent permission.

15. LEA Responsibilities LEAs are responsible for maintaining individual student records. LEAs are responsible for the establishment of policies regarding the collection, maintenance, accessibility, dissemination, and retention of student records.

16. AEA Responsibilities AEAs shall assist LEAs in assuring that records are kept complete and appropriate. AEAs shall provide LEAs with written reports of the results of diagnostic evaluations. AEA support staff will comply with the LEA policies regarding the collection, maintenance, accessibility, dissemination, and retention of student records.

17. AEA Responsibilities con’t. AEAs shall maintain the following SE records: – Parent Consent for/Notice of Evaluation – Educational Evaluation Reports and Eligibility Data Worksheet – Meeting Notice (AEA support only IEP) – Individualized Education Programs – Prior Written Notices – Early Childhood Outcomes Summary – Extended School Year Services – Functional Behavior Assessment – Behavior Intervention Plan

18. AEA Responsibilities con’t. AEAs shall maintain the following SE records con.t: – Manifest Determination – Communication Plan for Deaf or Hard of Hearing – Agreement to Excuse Attendance at IEP Meeting – Authorization for Exchange of Information – Authorization for the Release of Health and/or Educational Information – Medicaid Parent/Guardian Authorization – Justification for Special School Placement

19. AEA Responsibilities con’t. AEAs shall maintain the following SE records con.t: – Assessment Protocols* Note: Under Section 504, a student’s test protocols are considered “relevant records” to which parents must be afforded access, regardless of whether they are education records within the meaning of the IDEA. Any electronic records that contain information derived from any or all of the above listed records are also considered to be educational records.

20. Personal Working Notes AEA personnel may maintain their own working notes. These notes are destroyed when no longer needed or after five years. AEA staff, in most cases, are not required to provide their working notes when requested. However, once a personal note has been shared orally or in written form, it is no longer considered a personal working note and becomes an educational record. Once it is an educational record, it may be accessed by the student’s parent.

21. Personal Working Notes con’t. AEA staff’s personal working notes are subject to subpoena in certain legal proceedings.

22. Access Rights to SE Records Parent shall have access to the student’s records during regular business hours. An eligible student (18 years of age) shall have access to the student’s records during regular business hours.

23. Transfer of Rights At age 18, the rights under FERPA transfer from the parent to the student. The student cannot deny parental access to educational information IF the parent declares the child as a dependent on his/her income tax return.

24. Right to Inspect The right to inspect records includes: – The right to response from the LEA or AEA to reasonable requests for explanations and interpretations of the records. – The right to request that the LEA 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 with a properly signed release.

25. Parental Access The LEA and AEA shall assume that both parents have the rights to access the student records unless they have been advised otherwise. The burden of proof is on the parent who is contesting the right of the other parent to access the record. “Access” includes participation in conferences, obtaining or making copies of records, and reviewing the total student record.

26. Notice of Right to Review Annually, the LEA and AEA shall notify parent and eligible student of their right to review the student records. Notification must be in the parent’s native language.

27. Amendment of Records If the parent or eligible individual believes that the information in the student’s record is inaccurate, misleading, or violates the privacy or other rights of the student, they may request the agency to amend the information. The agency decides whether or not to amend the record. If the agency decides to not amend the record, it shall inform the parent and advise the parent of the right to a hearing at the agency level.

28. Amendment of Records con’t. If the agency, following the hearing, decides to amend the record, it shall do so and notify the parent of its actions. If the request to amend is denied, the parent shall have the opportunity to place an explanatory statement in the student’s record.

29. Destruction of Personally Identifiable Information LEAs and AEAs are required to maintain special education records for five years after an individual is determined no longer eligible for special education. When no longer needed, LEAs and AEAs may choose to destroy records.

30. Destruction of Personally Identifiable Information con’t. Before records can be destroyed: – Notice must be given to parents. – Notice must include information regarding why the parents may want the records maintained. – If parents request records be destroyed, they must be destroyed. – In the absence of a parent or eligible student’s request to destroy the records, the LEA and AEA may maintain the records indefinitely.

31. Destruction of Personally Identifiable Information con’t. Even if the records are destroyed, a permanent record must be maintained by the agency that includes: – Student name – Address – Phone number – His/her grades – Attendance record – Classes attended – Grade level completed and year completed.

32. Request for Information To release or share student records to other persons or agencies, written consent must be given by the parent or legal guardian, or student of majority age. The consent to release will state: – Which records are to be released. – To whom the records are to be released. – The reason for the release.

33. Personal Visit Requests note: (e.g. Parent shows up at school and wants to see child “in action”) Requirements for a personal visit: Inquirer is properly identified. Purpose of the request is clearly stated. Type of information required is expressly stated. Prior written consent is given by the parent. A professional staff member shall be present during the entire visit. A record of the visit shall be made.

34. Authorization for Exchange for Information The state’s Authorization for Exchange of Information is used by MOST agencies. Some medical facilities, because of the Health Insurance Portability and Accountability Act (HIPPA), may require their own form (UI, CHSC). The state’s Authorization for the Release of Health and/or Educational Information is often used when information is needed from some single health care providers.

35. Withholding Information In the course of processing a request for information, a reasonable doubt on any aspect of the request or concern about the authorization to process the request, shall be deemed sufficient reasons for an AEA staff member to withhold all or part of the information until such time as the question is resolved.