File Management
It is important that we have the files on all the students we are assigned to as IEP/case managers in good working order with up-to-date records.

BRIC Monitoring and Compliance Review
A recent review of special education cumulative files on file at BRIC noted a significant number of files were missing even the documentation. For example, evaluation reports, current IEP, Notice of IEP meeting, ECT. The BRIC will continue random file review. IEP case managers will be notified where documentation is inadequate. We ask when notified, correction be made promptly. We appreciate your assistance in “cleaning up” the IEP/Due Process documentation throughout the Cooperative.

Files to be Maintained
Generally there are two “official” files kept for students receiving special education services. One is the regular education cumulative file (RE) and the other is the special education cumulative file (SE). The SE is a separate file to be kept in a locked file cabinet preferably in the main office. A note or colored flag should be readily visible in the learner’s RE file to indicate that the learner is or has been receiving special education services and has an SE file. The RE file is usually maintained by the school secretary or main office. The SE file should be maintained by the IEP/Case manager.

Contents of Regular Education File
Routine disciplinary referrals, cumulative grade record, health records including the emergency health card if needed for the learner, standardized testing such as Iowa Basics, are just a few of the items often found in the RE file. Also found is a flag or note to indicate that an SE cumulative file exists if the learner is or has been receiving special education services.

Contents of the Special Education File
The SE cumulative file should have three separate and distinct folder insert sections:
1) Due Process/IEP- This section contains due process such as all parent notices on state forms, notice of special education services, etc. in sequential order according to date. All IFSP, IEP, BIP, and IEP transition plans including modified graduation plans.
2) Evaluation - Contains all current evaluation reports in sequential order according to date along with test protocols and any evaluation reports from agencies outside the school as well as other informal or formal evaluation information. Test protocols may be kept for up to five years. The Evaluation Report (ER) is part of the eligibility determination process. Under the new IDEA parents must now be included in the eligibility determination process. Thus, we recommend the ER be placed in the Due Process/IEP section or in the front portion of the Evaluation section.
3) Correspondence - May include formal letters to/from parents, doctors, specialists, or agencies. Consultation reports such as weekly O.T. and P. T. reports should also be in this section.

Helpful Hints

All IEP forms, due process forms, parent notices must be fully dated and completed. All forms, if not done using computer software available, are to be completed in ink, not pencil. State approved forms only are to be used for parent notice of IEP meetings and services. Do not place handwritten notes, anecdotal notes, daily behavior notes/charts, student work samples in either the RE or SE. These items may be placed in a teacher’s “working” file which is not kept with either the RE or SE cumulative files, and which is not considered a “public record”.

Copy SE File to BRIC
A reminder that all IEP/case Managers (BRIC as well as district employees) must send a copy of all IEP and Due Process, including notices to parents, to the BRIC office as they are completed. The BRIC maintains a separate, duplicate of the special education cumulative (SE) file at the BRIC office.