file Organization

10. SpEd Folder- Review of File Contents (1).pdf

Log of access

Must be located easily. Typically found on the inside cover of the file and used to indicate access to the file from individuals who are not part of the IEP team.

due process files

Due Process Files.pdf

Permanent Files

All due process paperwork needs to be kept as a part of a student’s permanent record. This includes (at a minimum) the following:

Pre-referral interventions and documentation.
Initial Prior Written Notice for an Evaluation including the parent’s signature.
Initial Evaluation Report.
Initial Individual Education Plan.
Initial Prior Written Notice for an IEP including the parent’s signature.
All meeting notices for IEP and Evaluation Meetings.
Progress Reports on all Individual Education Plans.
All subsequent Evaluation Reports.
All subsequent Individual Education Plans.
All subsequent Prior Written Notices for evaluations, IEPs and all changes to a student’s programming.
Manifestation Determinations.
Records for the use of Restrictive Procedures and Staff Debriefings following the use of Restrictive Procedures (Physical Restraints and/or Seclusions).
Documentations supporting two or more attempts to notify parents of meetings (if they are not in attendance).

Working/Desk Drawer Files

Staff may keep a working files for their own use that may include copies of any of the above documents. The working file may also include handwritten notes, communication logs, behavior charts and documentation used/created as a service provider or case manager for up to one year. Anything that is retained for more than one year needs to be transferred to a student’s permanent due process file.

Files Files and More Files (1).pdf

Due Process Forms Checklist 2.10.23.pdf

FAQ: If a mental health provider has notes on a student from a counseling session, do the notes need to be maintained and where should the notes be stored?

Mental health professionals should keep notes as necessary to do their duties. Notes may be evidence in due process hearings, complaints, etc., where it is useful to have those notes. There is no need to take notes on the request of a parent (particularly in a custody situation), nor is it a good idea to take specific notes requested by a parent for purposes of a dispute with another parent.

If a mental health provider shares their notes with someone, the notes are now considered government records. These notes can stay in a working file and or a separate mental health file, they do not need to go into a particular file. The records do not need to be destroyed at the end of the school year. If they are particularly relevant, the mental health provider may wish to keep them longer.

Mental health providers may have their own files on students (like nurses, speech pathologists or OT/PT providers might have). Relevant data should be shared with other employees, as necessary for work-related reasons (e.g., IEP planning, input in discipline, etc.). Otherwise, it should be maintained as private data, regardless of where it is stored. Like other separate files, parents and the student have a right to access that data or authorize the release of that data.

FAQ: MAY SCHOOL DISTRICTS DESTROY SPECIAL EDUCATION TEST PROTOCOLS?

Test answer sheets are considered part of the test protocols therefore they are part of the student’s educational records. All test protocols must be retained and stored in the student’s special education file. Click here for more information.

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