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Locking an IEP - Tips and Reminders

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This article assists users when completing locking an IEP event. 

An event locked in Phoenix cannot be unlocked. If an error is discovered in a locked IEP, it must be corrected in an IEP Correction event. Many errors can be avoided by proofreading carefully to review the details. These are some areas requiring particular attention. 

Progress Reports

Before starting or locking a new IEP, open Program Summary>Special Ed>Progress Reports. Be sure the Pending panel is blank. When a new IEP is locked, only the reports on the Completed panel are moved to Plan History. Reports on the Pending panel are deleted. If there are reports on the Pending panel, either complete them, marking them Complete so they move to the Complete panel, or delete them.

Initial IEP

An Initial IEP presents unique challenges when locking. The Initial IEP must not be locked until you have received the signed Parent Consent for Initial Services Prior Written Notice.

  • You must have the signed Parent Consent to determine the Initiation Date of the Initial IEP. The Initiation Date of the Initial IEP must be on or after the date the parent signed the Prior Written Notice. Per DESE Standards and Indicators: “Parent consent (date of signature) is prior to implementation of IEP (initiation date).”

  • An error in a locked Initial IEP cannot be addressed in an IEP Correction event until both the Parent Consent-Initial Services and Initial IEP events have been completed and locked. 

  • It is extremely important that the Initial IEP event not be locked prior to receiving the signed and dated Prior Written Notice-Initial Services from the parent. After receiving and documenting the parent's response to the Consent for Initial Services Prior Written Notice, the Initial IEP can be locked. 

  • The Initial IEP event must be locked before the Parent Consent-Initial Services event can be locked.

  • Correct sequence:

    • Hold Initial IEP meeting

    • Provide Parent Consent-Initial Services PWN to the parent/guardian

    • Parent Consent-Initial Services PWN is received from the parent/guardian with response indicated

    • Parent response is entered on PWN in Parent Consent-Initial Services in Phoenix

      • If consent is received, enter correct Initiation Date on Plan Dates form in the Initial IEP

      • If consent is not received, or you do not receive a response from the parent, consult with your administrator for next steps - Do not lock Initial IEP or Parent Consent-Initial Services event until told to do so by your administrator.

    • Lock Initial IEP event

      • The Plan Status is PENDING until the Parent Consent is locked

    • Lock Parent Consent-Initial Services Event

  • When the Parent Consent-Initial Services-IEP is locked, the Annual IEP will be created along with the Notification of Meeting-Annual IEP and will be due 364 days from the Meeting Date of the Initial IEP.

Other Tips and Reminders

  • Check with all team members to ensure they have entered their information. Let them know you're planning to lock in case they need to make changes.

  • Create the PDF and proofread! This is especially important if you have used copy/paste anywhere. Review the PDF to check for question marks or other symbols that may have appeared as a result of the copy/paste.

  • Plan Dates

    • Annual IEP - K12 student: Initiation Date is within 10 days of the Meeting Date (per DESE)

    • Initial IEP: Initiation Date is the date the parent signed the Parent Consent-Initial Services PWN

  • Front Page

    • If a reevaluation with no assessment, or Triennial Evaluation Documentation form, was completed with the IEP, the dates for Most Recent Reevaluation and Next Reevaluation have been updated

  • Federal 4 Summary

    • All services have been finalized

    • LRE has been ‘accepted’

    • Manual Override has been completed for students whose placement is not based on percents (EC, SSD Schools, Homebound) or students who attend partial day

  • Goals

    • Students eligible for ESY

      • "Will also be addressed during ESY" has been selected for at least one goal

    • Post-secondary Transition

      • "Supports the student's post-secondary goals/expectations" has been selected for at least one goal

  • Services Screen

    • Services are entered correctly for students who are transitioning to a new school during the IEP

      • Separate set of services for each school even if the amount of the service is the same

      • Dates are correct - there are no gaps between schools and no overlapping dates

      • Instructions are available on the Services Screen page

    • Students eligible for ESY

      • Services are entered using the ESY Services button

      • Begin and End Dates have been edited to reflect the dates of the ESY program, not the IEP

  • Services Summary form

    • If student has Classroom Accommodations, "Documented on Alternate Form F" is selected

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