ESI Data Reporting Tool Workbook

Experimental Sites
Reporting Tool in COD
2019-20 ESI Upload Workbook
Updated December, 2020

Contents
Introduction .................................................................................................................................................. 2
Experimental Sites Initiative (ESI) Upload ..................................................................................................... 4
Data Dictionary: All Experiments Columns A through AD ........................................................................... 8
Data Dictionary: Experiment Specific Column Instructions ....................................................................... 13
Table 1: Second Chance Pell (Columns AE through AR) ..................................................................... 13
Table 2: Dual Enrollment (Columns AE through AT) .......................................................................... 16
Table 3: Competency-Based Education (CBE) (Columns AE through AJ) ........................................... 19
Table 4: Prior Learning Assessment (PLA) (Columns AE through AN)................................................ 20
Table 5: Limited Direct Assessment (LDA) (Columns AE through AH) ............................................... 22
Table 6: Loan Counseling (Columns AE though AG) ........................................................................... 23
Table 7: Educational Quality though Innovative Partnerships (EQUIP)
(Columns AE through AG) ................................................................................................................... 24
Table 8: Limiting Unsubsidized Loans (Columns AE through AG) ...................................................... 25
Instructions for Uploading the Completed ESI Upload template(s) ........................................................... 26
Appendix A: Experiment Numbers and Titles ............................................................................................ 31
Appendix B: Field Types & Sample Values ................................................................................................. 32
Table B-1: Five Required Fields for all Upload Spreadsheets............................................................. 32
Table B-2: Additional Fields for End of Year Reporting - all Upload Spreadsheets ............................ 32
Table B-3: Second Chance Pell Experiment Specific Fields (Columns AE through AR) ...................... 33
Table B-4: Dual Enrollment Experiment Specific Fields (Columns AE through AT)............................ 34
Table B-5: Competency-Based Education (CBE) Experiment Specific Fields
(applicable to all three options of the experiment) (Columns AE through AJ) ................................... 35
Table B-6: Prior Learning Assessment (PLA) Experiment Specific Fields
(Columns AE through AN) ................................................................................................................... 36
Table B-7: Limited Direct Assessment (LDA) Experiment Specific Fields
(Columns AE through AH) ................................................................................................................... 37
Table B-8: Loan Counseling Experiment Specific Fields (Columns AE through AG) ........................... 38
Table B-9: Educational Quality through Innovative Partnerships (EQUIP)
Experiment Specific Fields (Columns AE through AG) ........................................................................ 38
Table B-10: Limiting Unsub Loans Experiment Specific Fields
(Columns AE through AG) ................................................................................................................... 38

1

Introduction
Institutions participating in the Experimental Sites Initiative (ESI) must report experiment-specific
information to Federal Student Aid (FSA). This information will be collected through a web-based
reporting tool within COD and from school responses to surveys.
This workbook was developed to assist institutions with the process for reporting student-level,
experiment-specific information to FSA using the ESI Reporting Tool in COD.
Participating institutions will upload experiment specific excel templates within the ESI Reporting Tool in
COD to satisfy this requirement. Blank versions of the Excel templates (ESI Uploads) for all experiments,
identifying the required data elements are available within the ESI Reporting Tool in COD.
The templates contain columns that are applicable to all experiments (Columns A through AD) and
experiment-specific columns (varies by experiment) that are applicable to the experiment in which the
institution is participating. The first five columns of the ESI Upload (columns A through E) must have
valid data entered or the file will be rejected in the upload process.
Depending on the number of participants in an experiment, schools may choose to enter the required
information manually for each participant in the experiment, or work with IT resources to import the
required information into COD via the ESI upload template(s). Schools using any of the ESI upload
templates must not make any changes to formatting. This specific format of the templates must be
used in order for data to be processed correctly. The templates are protected and users will not be able
to add or delete columns.
Participating schools must complete and upload the ESI upload template specific to the experiment in
which the school is participating by the date specified by the ESI Team. Doing so will identify all the aid
applicants affected by your school’s participation in the applicable experiment and provide information
needed for the evaluation of the experiment. The final ESI Upload, including all required columns, must
be completed and uploaded by the deadline for reporting that will be announced to participating
schools at the end of each award year. For the 2019-2020 award year, the deadline to upload the final
spreadsheet is December 11, 2020.
Timely reporting is a requirement outlined in your institution’s amendment to its Program Participation
Agreement. Accurate and timely reporting serves two purposes. First, it allows FSA to properly track the
amount of Pell Grant expenditures for some experiments. Second, it provides information needed to
evaluate all experiments.

There are separate templates for each experiment. You must download the template
for the experiment in which you participate and then upload the individual template into
COD using the instructions provided in this workbook. If your institution participates in more
than one experiment, you must upload the correct template for each experiment. The
templates are experiment specific. If a given student’s aid award is affected by multiple
experiments, he or she would be included in multiple reporting templates.

2

Monthly Reporting for the Second Chance Pell and Dual Enrollment
Experiments
In addition to the final, annual reporting, institutions participating in the Second Chance Pell and Dual
Enrollment experiments are also required to submit a monthly ESI Upload that identifies all participants
in a given experiment who completed a FAFSA. For this monthly reporting, institutions are only required
to complete the first five columns (columns A through E) of the ESI Upload template specific to the
experiment in which your institution participates. This ongoing, monthly reporting process assists FSA
with monitoring expenditures.
Reminder: The final roster of all 2019-2020 applicants (with ALL applicable columns completed) must
be uploaded by December 11, 2020.

FSA will provide a reminder with additional instructions in an email announcement to all participating
schools.

THIS WORKBOOK IS UPDATED ANNUALLY TO PROVIDE INFORMATION AND DATES SPECIFIC TO EACH
AWARD YEAR.
Note: There is no 2019-2020 information in this workbook for the FWS experiment. The FWS experiment
will not begin reporting until 2020-2021.

3

Experimental Sites Initiative (ESI) Upload
Please refer to the following instructions for accessing and uploading the ESI Upload into the ESI
Reporting Tool:
Step

Instructions

2.

Once logged into COD, select “School” from the menu bar at the top of the
COD Homepage. Then select “School Search” from the left-hand menu. Use the drop down arrow and select
OPE as the Entity ID Type. Enter your eight digit OPE ID as the Entity ID and click “search.”

1.

Access the COD website using your FSA ID, password and token: https://cod.ed.gov

4

Step

3.

Instructions

The School Summary Information screen will display. Scroll down to the bottom and click on “Experimental
Sites Initiative” to access the ESI Upload Templates.

5

Step

4.

Instructions

There are two options at the top. The first option is Template. The Second Option is Upload. Click Template
(it is the default selection and should already be highlighted). Scroll down to locate the experiment in which you
are participating. You must download a separate template specific to each experiment in which your
institution participates. Locate the experiment in which you participate in the Experiment Type column
(middle column). Click the link on the right hand side of the title that says “Download Template.”

6

Step

Instructions

5.

After the download is complete, the downloaded Excel file will be available on the bottom left of the screen. Click
on the downloaded file to open the Excel template. In the example for this workbook, we downloaded the Second
Chance Pell template. After opening the file, save the file to your computer (or network). If you are participating
in more than one experiment, you must download the specific template for each experiment.

6.

Once you have downloaded and saved the template(s), you can exit the Reporting Tool within COD. Refer to the
instructions on the next page for assistance with completing each of the columns on the template(s).

7

Data Dictionary: All Experiments Columns A through AD
Below you will find a data dictionary that defines each column. Please send a message to the
Experimental Sites mailbox ([email protected]) if you have any questions.
Note: Use the following instructions to complete the columns that are identical for each experiment
(Columns A through AD). Instructions for completing experiment specific columns (beginning at Column
AE) are provided for each experiment beginning on page 13.
Column

Column A
Award Year

Column B
Experiment Number

Column C
OPE ID

Column D
Student SSN
Column E
Student Last Name

Instructions

Required for end of the year reporting for ALL experiments and
monthly reporting for the Second Chance Pell, Dual Enrollment,
and EQUIP experiments.
Enter the four digits of the last year of the current award year (for
2019-2020 award year enter 2020; for 2020-2021 enter 2021, etc.)
Required for end of the year reporting for ALL experiments and
monthly reporting for the Second Chance Pell, Dual Enrollment,
and EQUIP experiments.
Enter the experiment number of the experiment in which the student
participates. Each template is pre-populated on line 2 with the correct
experiment number (see Appendix A for a listing of all experiment
numbers)
Required for end of the year reporting for ALL experiments and
monthly reporting for the Second Chance Pell, Dual Enrollment,
and EQUIP experiments.
OPE ID – enter the eight digit OPE ID of the participating institution
that signed the PPA Amendment
Required for end of the year reporting for ALL experiments and
monthly reporting for the Second Chance Pell, Dual Enrollment,
and EQUIP experiments.
Enter the Social Security Number (9 digits, no dashes) for each student.
Required for end of the year reporting for ALL experiments and
monthly reporting for the Second Chance Pell, Dual Enrollment,
and EQUIP experiments.
Enter the last name of the student.

Column F

Note: Previously, the student’s date of birth (DOB) was reported in this
column. The Department is no longer collecting DOB. Please report the
student’s last name that was entered on the student’s FAFSA.
Required for end of the year reporting for ALL experiments.

Student First Name

Enter the first name of the student.

8

Column

Instructions

Direct Costs

Enter the amount of Direct Costs for the student (Direct Costs are
Institutional Costs). Examples of Direct Costs include tuition, fees, and
room and board (if contracted with the school). Direct costs can also
include expenses for required course materials (books, kits, tools,
supplies, etc.) if the student does not have a real and reasonable
opportunity to purchase the required course materials from any place
but the school.
Required for end of the year reporting for ALL experiments.

Column G

Column H
Indirect Costs

Column I

Required for end of the year reporting for ALL experiments.

Enter the amount of Indirect Costs for the student (Indirect Costs are
Non-institutional Costs). Examples of Indirect Costs include charges
for any required course materials that a school can document a student
had a real and reasonable opportunity to purchase elsewhere, charges to
a student’s account for group health insurance fees if the insurance is
required for all students and the coverage remains in effect for the
entire period for which the student was charged, despite the student’s
withdrawal, and charges to a student’s account for discretionary,
educationally related expenses (e.g., parking or library fines).
Required for end of the year reporting for ALL experiments (only
if the student was awarded PLUS Loans).

Total Amount PLUS Loans Initially Awarded

Enter the amount of PLUS Loans awarded to the student.

Column J

If none, enter 0.
Required for end of the year reporting for ALL experiments (only
if PLUS Loans were disbursed on behalf of the student).

Total Amount PLUS Loans Disbursed

Enter the amount of PLUS Loans disbursed on behalf of the student.

Column K

If none, enter 0.
Required for end of the year reporting for ALL experiments (only
if the student was awarded FSEOG funds).

Total Amount FSEOG Initially Awarded

Enter the amount of FSEOG funds awarded to the student.

Column L

If none, enter 0.
Required for end of the year reporting for ALL experiments (only
if FSEOG funds were disbursed to the student).

Total Amount FSEOG Disbursed

Column M
Total Amount Perkins Initially Awarded

Enter the amount of FSEOG funds disbursed to the student.
If none, enter 0.
Required for end of the year reporting for ALL experiments (only
if the student was awarded Perkins funds).
Enter the amount of Perkins funds awarded to the student.
If none, enter 0.

9

Column

Column N
Total Amount Perkins Disbursed

Column O
FWS Awarded
Column P
FWS Disbursed

Column Q
Other Federal aid awarded

Instructions

Required for end of the year reporting for ALL experiments (only
if Perkins funds were disbursed to the student).
Enter the amount of Perkins funds disbursed to the student.
If none, enter 0.
Required for end of the year reporting for ALL experiments (only
if the student was awarded FWS funds).
Enter the amount of FWS funds awarded to the student. If none, enter
0.
Required for end of the year reporting for ALL experiments (only
if FWS funds were disbursed to the student).
Enter the amount of FWS funds disbursed to the student
If none, enter 0.
Required for end of the year reporting for ALL experiments (only
if the student was awarded Federal aid funds from programs other
than FWS).
Enter the amount of other Federal Aid awarded to the student (besides
FWS). Examples of other Federal aid include Pell Grant, FSEOG,
Perkins, TEACH, Subsidized Direct Loan, Unsubsidized Direct Loan,
Direct PLUS – Graduate Student and Direct PLUS - Parent). Be sure to
only include awarded amounts. You will report amounts disbursed in a
later column.

Column R
Other Federal Aid Disbursed

Column S
Non-Federal Aid Awarded

If none, enter 0.
Required for end of the year reporting for ALL experiments (only
if Federal Aid other than FWS was disbursed to the student).
Enter the amount of other Federal Aid disbursed to the student (besides
FWS). Examples of other Federal aid include Pell Grant, FSEOG,
Perkins, TEACH, Subsidized Direct Loan, Unsubsidized Direct Loan,
Direct PLUS – Graduate Student and Direct PLUS - Parent).
If none, enter 0.
Required for end of the year reporting for ALL experiments (only
if the student was awarded Non-Federal aid funds).
Enter the amount of other Non-Federal Aid awarded to the student.
Examples of Non-Federal aid include institutional aid and outside
scholarships). Be sure to only include awarded amounts. You will
report amounts disbursed in a later column.
If none, enter 0.

10

Column

Instructions

Non-Federal Aid Disbursed

Enter the amount of other Non-Federal Aid disbursed to the student.
Examples of Non-Federal aid include institutional aid and outside
scholarships).

Column T

Column U
Credits attempted (current award year)
Column V
Credits earned (current award year)
Column W
Cumulative Credits earned (prior to award
year)
Column X
Cumulative Credits earned (at end of award
year)
Column Y
Student’s Cum. GPA for last completed AY
Column Z
Beginning of Award Year Enrollment Status

Required for end of the year reporting for ALL experiments (only
if Non-Federal Aid was disbursed to the student).

If none, enter 0.
Required for end of the year reporting for ALL experiments.
Enter the credits attempted by the student during the current award year
(the current award year is the award year for which the school is
currently reporting).
Required for end of the year reporting for ALL experiments.
Enter the credits earned by the student during the current award year
(the current award year is the award year for which the school is
currently reporting).
Required for end of the year reporting for ALL experiments.
Enter the cumulative credits earned by the student prior to the current
award year (this amount would be the total number of credits earned
prior to the student enrolling in this current award year).
Required for end of the year reporting for ALL experiments.
Enter the cumulative credits earned by the student at the end of the
current award year (this amount would be the total number of credits
earned to date including this current award year).
Required for end of the year reporting for ALL experiments.
Enter the student’s cumulative grade point average (GPA) at the end of
the award year for which the school is currently reporting). If you enter
4.0 then the cell might round to 4, that is fine.
Required for end of the year reporting for ALL experiments.
Enter the enrollment status of the student at the beginning of the award
year for which the school is currently reporting.
N = not enrolled
F = full time
T = ¾ time
H = half time
L = less than half time

11

Column

Instructions

End of Award Year Enrollment Status

Enter the enrollment status of the student at the end of the award year
for which the school is currently reporting.

Column AA

Column AB

Required for end of the year reporting for ALL experiments.

N = not enrolled
F = full time
T = ¾ time
H = half time
L = less than half time
Required for end of the year reporting for ALL experiments.

Is this student participating in multiple
experiments?
Column AC

Enter “Y” for Yes or “N” for No.

List other experiments student is participating
in (Experiment Numbers only)

List the experiment number(s) of the other experiments in which the
student participates (See Appendix A for the experiment numbers).
Leave blank if you answered “N” in Column AB.
Required for end of the year reporting for ALL experiments.

Column AD
Did the student complete the academic
program associated with the students
participation in the experiment during this
award year?

Required for end of the year reporting for ALL experiments.

Enter “Y” if the student completed the academic program associated
with the experiment during this award year (the award year in which the
school is reporting). Otherwise, enter “N.”

Please note: Columns A through AD are the same for all
experiments. The following pages provide instructions for
completing the remaining columns (beginning at Column AE)
specific to each experiment.

12

Data Dictionary: Experiment Specific Column Instructions
Table 1: Second Chance Pell (Columns AE through AR)
Column

Instructions

Not eligible for Pell - Default

If the student was not eligible for Pell due to Default status, enter “Y.”
Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.

Column AE

Column AF

Not eligible for Pell – Selective Service
Column AG
Not eligible for Pell - Citizenship

Column AH

Not eligible for Pell – High school completion
Column AI

Not eligible for Pell – Drug conviction
Column AJ

Not eligible for Pell - EFC

Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.

If the student was not eligible for Pell due to Selective Service status,
enter “Y.” Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.
If the student was not eligible for Pell due to Citizenship status, enter
“Y.” Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.
If the student was not eligible for Pell due to High School Completion
status, enter “Y.” Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.
If the student was not eligible for Pell due to Drug conviction status,
enter “Y.” Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.
If the student was not eligible for Pell due to ineligible EFC, enter “Y.”
Otherwise, enter “N.”

13

Second Chance Pell experiment specific columns instructions (continued)
Column

Instructions

Column AK

Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.

Not eligible for Pell – Did not complete
FAFSA

Enter “Y” if the student did not successfully file a FAFSA to be
considered for Pell. For example, the student was selected for but failed
to complete verification.

Column AL

Otherwise, enter ‘N.” Given the fact that students must complete a
FAFSA to be considered for an experimental Pell Grant and completing
a FAFSA is generally the first step ALL potential student participants
take, a “Y” should only be entered in column AK if an applicant was
selected for and failed to complete verification.
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.

Not eligible for Pell – Did not enroll in
eligible program
Column AM

If the student was not eligible for Pell due to NOT enrolling in an
eligible program, enter “Y.” Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.

Not eligible for Pell – Enrollment Status

If the student was not eligible for Pell due to Enrollment status, enter
“Y.” Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.

Column AN
Prior to experiment, was student enrolled in a
postsecondary program while incarcerated?

Column AO

Student enrolled in ineligible program at
current institution?
(Y=Yes\N=No\U=Unknown)
Column AP

Student enrolled in an ineligible program at
another institution?
(Y=Yes\N=No\U=Unknown)

Enter “Y” if the student was enrolled in a postsecondary program prior
to the experiment while the student was incarcerated. Otherwise, enter
‘N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.
Enter “Y” if the student was enrolled in a postsecondary program
offered by your institution that is not participating in the experiment.
Enter “N” if the student was not enrolled in an ineligible program at the
institution. Otherwise, enter ‘U.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.
Enter “Y” if the student was enrolled in a postsecondary program at
another institution that is not participating in the experiment. Enter “N”
if the student was not enrolled in a program ineligible to participate in
the experiment at another institution. Otherwise, enter ‘U.”

14

Second Chance Pell experiment specific columns instructions (continued)
Column

Instructions

What was the student’s incarceration status at
the end of the most recently completed award
year?

Enter “SCF” if the student was still incarcerated at the Same
Correctional Facility (SCF) during the most recently completed award
year (the award year in which the school is reporting). Enter “ACF” if
the student was still incarcerated and moved to Another Correctional
Facility (ACF) during the most recently completed award year (the
award year in which the school is reporting). Enter “R” if the student
was released or is no longer incarcerated during the most recently
completed award year (the award year in which the school is reporting).
If Unknown, enter “U.”

Column AQ

Column AR
This Column Intentionally left blank

Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.

Leave this Column blank unless the ESI Team notifies your
institution to enter specific information in this column.

15

Table 2: Dual Enrollment (Columns AE through AT)
Column

Instructions

Not eligible for Pell - Default

If the student was not eligible for Pell due to Default status, enter “Y.”
Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Dual Enrollment experiment and the student is a participant in
the experiment.

Column AE

Column AF

Not eligible for Pell – Selective Service
Column AG
Not eligible for Pell - Citizenship

Column AH

Not eligible for Pell – High school completion
Column AI
Not eligible for Pell – Drug Conviction

Column AJ
Not eligible for Pell – EFC

Column AK

Not eligible for Pell – Enrollment Status

Required for end of the year reporting for schools participating in
the Dual Enrollment experiment and the student is a participant in
the experiment.

If the student was not eligible for Pell due to Selective Service status,
enter “Y.” Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.
If the student was not eligible for Pell due to Citizenship status, enter
“Y.” Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Second Chance Pell experiment and the student is a participant in
the experiment.
If the student was not eligible for Pell due to High School Completion
status, enter “Y.” Otherwise, enter “N.”
Required for end of the year reporting for schools is participating in
the Dual Enrollment experiment and the student applied to
participate in the experiment.
Enter “Y” if the student is not eligible for Pell due to Drug Conviction
status. Otherwise, enter ‘N.”
Required for end of the year reporting for schools is participating in
the Dual Enrollment experiment and the student applied to
participate in the experiment.
Enter “Y” if the student is not eligible for Pell due to ineligible EFC.
Otherwise, enter ‘N.”
Required for end of the year reporting for schools participating in
the Dual Enrollment experiment and the student is a participant in
the experiment.
If the student was not eligible for Pell due to Enrollment status, enter
“Y.” Otherwise, enter “N.”

16

Dual Enrollment experiment specific column instructions (continued)
Column

Column AL

Instructions

Required for end of the year reporting for schools is participating in
the Dual Enrollment experiment and the student applied to
participate in the experiment.
Enter “Y” if the student did not successfully file a FAFSA to be
considered for Pell. For example, the secondary student was selected
for but failed to complete verification.

Not eligible for Pell – Did not complete
FAFSA

Column AM

Otherwise, enter ‘N.” Given the fact that students must complete a
FAFSA to be considered for an experimental Pell Grant and completing
a FAFSA is generally the first step ALL potential student participants
take, a “Y” should only be entered in column AK if an applicant was
selected for and failed to complete verification.
Required for end of the year reporting for schools is participating in
the Dual Enrollment experiment and the student applied to
participate in the experiment.

Not eligible for Pell – Did not enroll in an
eligible program
Column AN

Enter “Y” if the student did not enroll in an eligible program and
therefore is not eligible for Pell. Otherwise, enter ‘N.”
Required for end of the year reporting for schools participating in
the Dual Enrollment experiment and the student is a participant in
the experiment.

High School Graduation Status at the end of
the current Award Year
Column AO

Enter “Y” for Graduated or “N” for Continuing High School.

High School Name

Enter the complete name of the high school attended by the student.
Enter the first 70 characters of the high school name only.
Required for end of the year reporting for schools is participating in
the Dual Enrollment experiment and the student applied to
participate in the experiment.

Column AP

High School Address
Column AQ

High School National Center for Education
Statistics (NCES) secondary school ID

Required for end of the year reporting for schools is participating in
the Dual Enrollment experiment and the student applied to
participate in the experiment.

Enter the complete address, city, state, zip of the high school attended
by the student. Enter the first 140 characters of the high school address
only.
Required for end of the year reporting for schools is participating in
the Dual Enrollment experiment and the student applied to
participate in the experiment.
Enter the NCES secondary school ID of the high school attended by the
student.

17

Dual Enrollment experiment specific column instructions (continued)
Column

Instructions

High School Local Education Agency (LEA)
code
Column AS

Enter the code for the LEA in which the high school attended by the
student is located.
Required for end of the year reporting for schools is participating in
the Dual Enrollment experiment and the student applied to
participate in the experiment.

Column AR

Prior to participating in the experiment, was
student dually enrolled in postsecondary and
secondary school
Column AT
This Column Intentionally left blank

Required for end of the year reporting for schools is participating in
the Dual Enrollment experiment and the student applied to
participate in the experiment.

Enter “Y” if the student was a dually enrolled student prior to
participating in the experiment. Otherwise, enter ‘N.”
Leave this Column blank unless the ESI Team notifies your
institution to enter specific information in this column.

18

Table 3: Competency-Based Education (CBE) (Columns AE through AJ)
Note: These instructions apply for the three CBE experiment options (Split Disbursement option, SAP
only option, and Subscription Period option)
Column

Column AE
Enrolled in Non-CBE Program?

Column AF

Which CBE program(s) is the student enrolled
in?
Column AG

Instructions

Required for end of the year reporting for schools participating in
the Competency-Based Education (CBE) experiment and the student
is a participant in the experiment.
Enter “Y” if the student is also enrolled in a non-CBE program. Enter
“N” if the student is only enrolled in a CBE program.
Required for end of the year reporting for schools participating in
the Competency-Based Education (CBE) experiment and the student
is a participant in the experiment.
Enter the name of the approved program(s) in which the student is
enrolled under the experiment. This field has been limited to 100
characters.
Required for end of the year reporting for schools participating in
the Competency-Based Education (CBE) experiment and the student
is a participant in the experiment.

Was the student enrolled in a CBE program
prior to participating in the experiment?
Column AH

Enter “Y” if the student was enrolled in a CBE program prior to
participating in the experiment. Otherwise, enter “N.”
Required for end of the year reporting for schools participating in
the Competency-Based Education (CBE) experiment and the student
is a participant in the experiment.

Which CBE program(s) did the student enroll
in during the most recently completed award
year? (Enter CIP code of program)
Column AI

Enter the CIP code(s) of the approved program(s) in which the student
was enrolled during the most recently completed award year (the award
year in which the school is reporting).
Required for end of the year reporting for schools participating in
the Competency-Based Education (CBE) experiment and the student
is a participant in the experiment.

Prior to the student’s enrollment in the CBE
program under the experiment, was the
student enrolled in an equivalent traditional
program at the institution?
Column AJ
This Column Intentionally left blank

Enter “Y” if the student was enrolled in an equivalent traditional
program at the institution prior to enrollment in the CBE program under
the experiment. Otherwise, enter “N.”
Leave this Column blank unless the ESI Team notifies your
institution to enter specific information in this column.

19

Table 4: Prior Learning Assessment (PLA) (Columns AE through AN)
Column

Column AE
Student credits earned due to PLA, credits in
program
Column AF
Which PLA program(s) is student enrolled in?

Column AG
Did student complete PLA?

Instructions

Required for end of the year reporting for schools participating in
the Prior Learning Assessment (PLA) experiment and the student is a
participant in the experiment.
Enter the credits earned due to PLA and enter the total credits in the
program.
Required for end of the year reporting for schools participating in
the Prior Learning Assessment (PLA) experiment and the student is a
participant in the experiment.
Enter the name of the PLA program(s) in which the student is enrolled.
This field has been limited to 12 characters, please consistently
abbreviate program names longer than 12 characters.
Required for end of the year reporting for schools participating in
the Prior Learning Assessment (PLA) experiment and the student is a
participant in the experiment.
Enter “Y” for Yes or “N” for No.

Column AH
If known, what type of prior learning
assessment did the student use? (Potential
answers: “One-Time Test,””Portfolio
Review,” “Performance Assessment.”)
Column AI
How many cumulative credits/hours did the
student earn from prior learning
assessment(s)?
Column AJ
Did your institution or outside entity provide
the student’s prior learning assessment?
Column AK
How much did the student’s cost of
attendance increase as a result of their PLA?
(if cost of attendance was unchanged enter 0)

Required for end of the year reporting for schools participating in
the Prior Learning Assessment (PLA) experiment and the student is a
participant in the experiment.
Enter the type of prior learning assessment used by the student. Some
examples of assessments are: One-time test, Portfolio Review,
Performance Assessment. Enter “Unknown” if this information is not
available or unknown by the school.
Required for end of the year reporting for schools participating in
the Prior Learning Assessment (PLA) experiment and the student is a
participant in the experiment.
Enter the number of cumulative credits/hours the student earned from
prior learning assessment(s).
Required for end of the year reporting for schools participating in
the Prior Learning Assessment (PLA) experiment and the student is a
participant in the experiment.
Enter “Y” for Yes or “N” for No.
Required for end of the year reporting for schools participating in
the Prior Learning Assessment (PLA) experiment and the student is a
participant in the experiment.
Enter the amount of the student’s cost of attendance increase as a result
of their PLA. Enter 0 if cost of attendance was unchanged.

20

Prior Learning Assessment (PLA) experiment specific column instructions (continued)
Column

Instructions

Column AL

Required for end of the year reporting for schools participating in
the Prior Learning Assessment (PLA) experiment and the student is a
participant in the experiment.

Provide the amount that the student’s Pell
Grant award increased as a result of increased
enrollment status under the PLA experiment
(if Pell Grant unchanged, enter 0)
Column AM

How many additional credit hours were added
to the student’s Pell Grant enrollment status
due to their prior learning assessment(s)
during this award year?
Column AN
This Column Intentionally left blank

Enter the amount of the student’s Pell Grant award increase as a result
of increased enrollment status under the PLA experiment. Enter 0 if
Pell Grant was unchanged.
Required for end of the year reporting for schools participating in
the Prior Learning Assessment (PLA) experiment and the student is a
participant in the experiment.
Enter the number of additional credit hours that were added to the
student’s Pell Grant enrollment status due to their prior learning
assessment(s) during this award year (the award year in which the
school is reporting).
Leave this Column blank unless the ESI Team notifies your
institution to enter specific information in this column.

21

Table 5: Limited Direct Assessment (LDA) (Columns AE through AH)
Column

Column AE
Which LDA program(s) is the student
enrolled in?

Column AF
Which LDA program(s) did the student enroll
in during the most recently completed award
year? (Enter CIP Code)
Column AG
Was the student enrolled in a direct
assessment program prior to participating in
the experiment?
Column AH
This Column Intentionally left blank

Instructions

Required for end of the year reporting for schools participating in
the Limited Direct Assessment (LDA) experiment and the student is a
participant in the experiment.
Enter the name of the approved program(s) in which the student is
enrolled under the experiment. This field has been limited to 12
characters, please consistently abbreviate program names longer than
12 characters.
Required for end of the year reporting for schools participating in
the Limited Direct Assessment (LDA) experiment and the student is a
participant in the experiment.
Enter the CIP code(s) of the approved program(s) in which the student
was enrolled during the most recently completed award year (the award
year in which the school is reporting).
Required for end of the year reporting for schools participating in
the Limited Direct Assessment (LDA) experiment and the student is a
participant in the experiment.
Enter “Y” if the student was enrolled in a direct assessment program
prior to participating in the experiment. Otherwise, enter “N.”
Leave this Column blank unless the ESI Team notifies your
institution to enter specific information in this column.

22

Table 6: Loan Counseling (Columns AE though AG)
Column

Instructions

Assigned Status

Enter the assigned status for the student. Enter “T” if the student was
assigned to the Treatment group or “C” if the student was assigned to
the Control group.
Required for end of the year reporting for schools participating in
the Loan Counseling experiment and the student is a participant in
the experiment.

Column AE

Column AF
Student received voluntary loan counseling
during the most recently completed award
year?
Column AG
This Column Intentionally left blank

Required for end of the year reporting for schools participating in
the Loan Counseling experiment and the student is a participant in
the experiment.

Enter “Y” if the student received voluntary loan counseling during the
most recently completed award year. Otherwise, enter ‘N.”
Leave this Column blank unless the ESI Team notifies your
institution to enter specific information in this column.

23

Table 7: Educational Quality though Innovative Partnerships (EQUIP) (Columns AE through
AG)
Column

Instructions

EQUIP Program

Enter the name of the approved program(s) in which the student is
enrolled under the experiment.
Required for end of the year reporting for schools participating in
the Educational Quality though Innovative Partnerships (EQUIP)
experiment and the student is a participant in the experiment.

Column AE

Column AF
Which EQUIP academic program did the
student enroll in during the most recently
completed award year? (Enter CIP code of
program)
Column AG
This Column Intentionally left blank

Required for end of the year reporting for schools participating in
the Educational Quality though Innovative Partnerships (EQUIP)
experiment and the student is a participant in the experiment.

Enter the name and CIP code of the approved program(s) in which the
student is enrolled under the experiment during the most recently
completed award year (the award year in which the school is reporting).
Leave this Column blank unless the ESI Team notifies your
institution to enter specific information in this column.

24

Table 8: Limiting Unsubsidized Loans (Columns AE through AG)
Column

Instructions

Column AE

Required for end of the year reporting for schools participating in
the Limiting Unsubsidized Loans experiment and the student is a
participant in the experiment.

What was the institution’s reason for reducing
the FAFSA applicant’s unsubsidized Direct
Loan eligibility?
Column AF

Enter the institution’s reason for reducing the FAFSA applicant’s
unsubsidized Direct Loan eligibility. This field is limited to 42
characters.
Required for end of the year reporting for schools participating in
the Limiting Unsubsidized Loans experiment and the student is a
participant in the experiment.

What was the dollar amount of the FAFSA
applicant’s experimental reduction in
unsubsidized Direct Loan eligibility?
Column AG
This Column Intentionally left blank

Enter the dollar amount of the FAFSA applicant’s experimental
reduction in unsubsidized Direct Loan eligibility.
Leave this Column blank unless the ESI Team notifies your
institution to enter specific information in this column.

Once you have completed the columns on the applicable spreadsheet(s),
save the file. Remember the name of the file(s) and its location on your
computer or network so that you can refer to the file(s) when you are
ready to upload the file(s) into the ESI Reporting Tool within COD.
Refer to the following instructions on the next page for uploading the
file(s) into the ESI Reporting tool within COD.

25

Instructions for Uploading the Completed ESI Upload template(s)
Below are step-by-step instructions for participating schools to upload the completed templates into the
ESI Reporting Tool within COD.
Step

Instructions

2.

Once logged into COD, select “School” from the menu bar at the top of the
COD Homepage. Then select “School Search” from the left-hand menu. Use the drop down arrow and select
OPE as the Entity ID Type. Enter your eight digit OPE ID as the Entity ID and click “search.”

1.

Access the COD website using your FSA ID, password and token: https://cod.ed.gov

26

Step

3.

Instructions

On this screen, there are two options at the top. The first option is Template. The Second Option is Upload.
Click Upload. Using the drop down arrow to select the experiment type, click on the name of the experiment in
which you are participating. Click Choose File. A popup box will appear. Locate the file you would like to
upload. Double click on the file or click Open. Click Upload.

27

Step

4.

Instructions

Upload Successful. The Upload process is a two step process. Part one: If the upload is successful, the file will
have an ID number associated with it indicating the file has passed the virus scan and the file will be marked as
“Pending.” Part two: You must check back again (usually within a few minutes) to ensure the file is marked as
“Processed” after the uploaded template is validated with no errors.
Part one – Upload Successful maked as Pending

Part two: Once the file is marked as “Pending”, you need to check back again (usually within a few minutes)
to ensure the file successfully processed:
Successful validation occurs when the template data is in the correct format for each required field with valid
entries. Once the file is marked “Processed” you have successfully uploaded your file using the Reporting Tool.

Please note:
If Error is displayed as the status, correct errors and upload again. See Step 5 for further instructions.

28

Step

5.

Instructions

Files uploaded with an Error status. When the user uploads a file and it contains ‘bad data’ an “Error” hyperlink
message will display. Click on the Error hyperlink, and you will be redirected to a page which will display the
errors (Experimental Sites Upload Error Detail Page). Locate the errors, make the necessary corrections, and then
reload the file.

Please refer to Step 6 on the next page for the specific errors that can occur.

29

Step

6.

Instructions

The Experimental Sites Upload Error Detail Page.
Potential errors:
o Invalid Award Year
o Invalid School OPE ID
o Invalid Experiment Number
o Invalid Student SSN
o Main school is not participating in the experiment

Fix any errors identified and upload the file again.
After successfully uploading the data, the file will be marked “Processed.” Schools must check that the file
uploaded is marked “Processed” to ensure that the file has been successfully uploaded for the award year in
which the institution is reporting.

30

Appendix A: Experiment Numbers and Titles
Experiment
Number
01
02
03
04
05
06
07
09
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32

Experiment Title
Ability to Benefit
Academic Term
Aid to Prior Institutional Charges
Aid to Prior Term Charges
Automatic Pay - (FWS)
Entrance Counseling
Exit Counseling
Loan Fees
Loan Proration
Multiple Disbursement
Over-award
30 Day Delay
Time Records - (FWS)
Pell Elig Students with Bachelor Degree Enrolled in Career Programs
Pell Elig Students Enrolled in Approved Short-term Training Programs
DL Single Disbursement of One Term Loan for Study Abroad Students
DL Early Disbursement - Students Studying Abroad and Foreign Schools
Direct Loan - Unequal Disbursements
Direct Loan - Limiting Unsubsidized Loan Amounts
PLUS Loans for Parents of Students with Intellectual Disabilities
Eligibility of Dually Enrolled Students with Intellectual Disabilities
Prior Learning Assessment
Competency-Based Education - Split Disbursement
Limited Direct Assessment
Federal Work Study (FWS) for Near-Peer Counseling
Second Chance Pell
EQUIP (Educational Quality through Innovative Partnerships)
Dual Enrollment
CBE - Satisfactory Academic Progress Only
CBE - Subscription Period Disbursement
Loan Counseling

31

Appendix B: Field Types & Sample Values
All upload spreadsheets will contain the five required fields detailed in Table B-1. Additionally, for end of
the year reporting, each upload spreadsheet will contain additional fields, and experiment specific fields
the user must populate before uploading. See Tables B-1 through B-10 below for Field Types and
Sample Values for all upload spreadsheets.
Table B-1: Five Required Fields for all Upload Spreadsheets
Column

Field

Field Type

A

Award Year (EXAMPLE: Use 2020
for 2019-2020)
Experiment Number
OPEID
Student SSN
Student Last Name

B
C
D
E

Example

Numerical

Max
Length
4

Numerical
Numerical
Character
Character

2
8
9
35

12
12345678
123456789
Abraham

2020

Table B-2: Additional Fields for End of Year Reporting - all Upload Spreadsheets
Column

Field

Field Type

F
G
H
I

Student First Name
Direct Costs
Indirect Costs
Total Amount PLUS Loans
Initially Awarded
Total Amount PLUS Loans
Disbursed
Total Amount FSEOG Initially
Awarded
Total Amount FSEOG
Disbursed
Total Amount Perkins Initially
Awarded
Total Amount Perkins
Disbursed
FWS Awarded
FWS Disbursed
Other Federal Aid Awarded
Other Federal Aid Disbursed
Non-Federal Aid Awarded
Non-Federal Aid Disbursed
Credits attempted (current
award year)

J
K
L
M
N
O
P
Q
R
S
T
U

Example

Character
Numerical
Numerical
Numerical

Max
Length
30
13
13
13

Numerical

13

1002350000000.00

Numerical

13

1002350000000.00

Numerical

13

1002350000000.00

Numerical

13

1002350000000.00

Numerical

13

1002350000000.00

Numerical
Numerical
Numerical
Numerical
Numerical
Numerical
Numerical

13
13
13
13
13
13
4

1002350000000.00
1002350000000.00
1002350000000.00
1002350000000.00
1002350000000.00
1002350000000.00
134

John
1002350000000.00
1002350000000.00
1002350000000.00

32

Column

Field

Field Type

V

Credits earned (current award
year)
Cumulative Credits earned
(prior to award year)
Cumulative Credits earned (at
end of award year)
Student's Cum. GPA for last
completed AY

Beginning of Award Year
Enrollment status
End of Award Year Enrollment
Status
Is this student participating in
multiple experiments?
List other experiments student
is participating in (Experiment
Numbers only)
Did the student complete the
academic program associated
with the student’s
participation in the
experiment during this award
year?

W
X
Y

Z
AA
AB
AC
AD

Example

Numerical

Max
Length
4

Numerical

4

134

Numerical

4

134

Numerical

3.4257

Character

1 value
to the
left of
the
decimal
and 4
values
to the
right of
decimal
1

Character

1

A

Y/N flag

1

Y

Character

10

08 09 13

Y/N flag

1

Y

134

F

Table B-3: Second Chance Pell Experiment Specific Fields (Columns AE through AR)
Column

Field

Field Type

AE

Not eligible for Pell - Default

AF

Not eligible for Pell - Selective
Service
Not eligible for Pell Citizenship
Not eligible for Pell - High
school completion
Not eligible for Pell - Drug
conviction

AG
AH
AI

Example

Y/N flag

Max
Length
1

Y/N flag

1

Y

Y/N flag

1

Y

Y/N flag

1

Y

Y/N flag

1

Y

Y

33

Column

Field

Field Type

AJ

Not eligible for Pell - EFC

AK

AL
AM
AN

AO

AP

AQ

AR

Example

Y/N flag

Max
Length
1

Not eligible for Pell - Did not
complete FAFSA

Y/N flag

1

Y

Not eligible for Pell - Did not
enroll in an eligible program
Not eligible for Pell Enrollment Status
Prior to experiment, was
student enrolled in a
postsecondary program while
incarcerated?
Student enrolled in ineligible
program at current
institution? (Y = Yes \ N = No \
U = Unknown)
Student enrolled in ineligible
program at another
institution? (Y = Yes \ N = No \
U = Unknown)
What was the student's
incarceration status at the end
of the most recently
completed award year?

Y/N flag

1

Y

Y/N flag

1

Y

Y/N flag

1

Y

Character

1

U

Character

1

Y

Character

35

• Released
• Incarcerated –
Same Correctional
Facility
• Incarcerated –
Moved to another
Facility
• Unknown

Intentionally left blank

Character

50

This field left blank
intentionally

Y

Table B-4: Dual Enrollment Experiment Specific Fields (Columns AE through AT)
Column

Field

Field Type

AE

Not eligible for Pell - Default

AF

Not eligible for Pell - Selective
Service
Not eligible for Pell –
Citizenship

AG

Example

Y/N flag

Max
Length
1

Y/N flag

1

Y

Y/N flag

1

Y

Y

34

Column

Field

Field Type

Example

Y/N flag

Max
Length
1

AH

Not eligible for Pell - High
school completion
Not eligible for Pell - Drug
conviction
Not eligible for Pell - EFC

Y/N flag

1

Y

Y/N flag

1

Y

Y/N flag

1

Y

Y/N flag

1

Y

Y/N flag

1

Y

Character

1

A

AO

Not eligible for Pell –
Enrollment Status
Not eligible for Pell - Did not
complete FAFSA
Not eligible for Pell – Did not
enroll in an eligible program
High School Graduation Status
at the end of the current
Award Year
High School Name

Character

70

AP

High School Address

Character

140

AQ

High School National Center
for Education Statistics (NCES)
secondary school ID
High School Local Education
Agency (LEA) code
Prior to participating in the
experiment, was student
dually enrolled in
postsecondary and secondary
school?
Intentionally left blank

Character

15

Rolling Brook Senior
High School
1234 Rolling Brook
Rd, Arlington, VA
22204
00U4567UIO58954

Character

15

0K942J1P9125894

Y/N flag

1

Y

Character

50

This field left blank
intentionally

AI
AJ
AK
AL
AM
AN

AR
AS

AT

Y

Table B-5: Competency-Based Education (CBE) Experiment Specific Fields (applicable to all
three options of the experiment) (Columns AE through AJ)
Column

Field

Field Type

Example

Y/N flag

Max
Length
1

AE

Enrolled in Non-CBE Program?

AF

Which CBE program(s) is
student enrolled in?

Character

100

09 18 07

Y

35

Column

Field

Field Type

AG

Was the student enrolled in a
CBE program prior to
participating in the
experiment?
Which CBE program(s) did the
student enroll in during the
most recently completed
award year? (Enter CIP code
of program)
Prior to the student’s
enrollment in the CBE
program under the
experiment, was the student
enrolled in an equivalent
traditional program at the
institution?
Intentionally left blank

AH

AI

AJ

Example

Y/N flag

Max
Length
1

Character

42

12.3456

Y/N flag

1

Y

Character

50

This field left blank
intentionally

Y

Table B-6: Prior Learning Assessment (PLA) Experiment Specific Fields (Columns AE
through AN)
Column

Field

Field Type

AE

Student credits earned due
to PLA, credits in program
Which PLA program(s) is
student enrolled in?
Did student complete PLA?
If known, what type of prior
learning assessment did the
student use? (Potential
answers: "One-Time Test,"
"Portfolio Review,"
"Performance Assessment")
How many cumulative
credits/hours did the student
earn from prior learning
assessment(s)?
Did your institution or
outside entity provide the
student’s prior learning
assessment?

AF
AG
AH

AI

AJ

Example

Numerical

Max
Length
4

Character

12

02 04 06

Y/N flag

1

Y

Character

100

One-Time
Assessment

Numerical

3

999

Y/N flag

1

Y

123

36

Column

Field

Field Type

AK

How much did the student’s
cost of attendance increase
as a result of their PLA? (if
cost of attendance was
unchanged enter 0)
Provide the amount that the
student’s Pell Grant award
increased as a result of
increased enrollment status
under the PLA experiment?
(if Pell Grant unchanged
enter 0)
How many additional credit
hours were added to the
student’s Pell Grant
enrollment status due to
their prior learning
assessment(s) during this
award year?
Intentionally left blank

AL

AM

AN

Example

Currency

Max
Length
8

Currency

6

9,999.99

Numerical

3

999

Character

50

This field left blank
intentionally

999,999.99

Table B-7: Limited Direct Assessment (LDA) Experiment Specific Fields (Columns AE
through AH)
Column

Field

Field Type

AE

Which LDA program(s) is
student enrolled in?
Which LDA program(s) did
the student enroll in during
the most recently completed
award year? (Enter CIP Code)
Was the student enrolled in a
direct assessment program
prior to participating in the
experiment?
Intentionally left blank

AF

AG

AH

Example

Character

Max
Length
12

Character

42

42.1234

Y/N flag

1

Y

Character

50

This field left blank
intentionally

03 05 07

37

Table B-8: Loan Counseling Experiment Specific Fields (Columns AE through AG)
Column
AE
AF

AG

Field
Assigned Status
Student received
voluntary loan
counseling during
the most recent
award year?
Intentionally left
blank

Field Type
Character
Character

Max Length
1
1

Example
B
N

Character

50

This field left blank
intentionally

Table B-9: Educational Quality through Innovative Partnerships (EQUIP) Experiment
Specific Fields (Columns AE through AG)
Column
AE

Field
EQUIP Program

Field Type
Character

Max Length
70

AF

Which EQUIP
academic program
did the student
enroll in during the
most recently
completed award
year? (Enter CIP
code of program)
Intentionally left
blank

Character

42

Character

50

AG

Example
Electrician with a minor
in circuitry
12.3456

This field left blank
intentionally

Table B-10: Limiting Unsub Loans Experiment Specific Fields (Columns AE through AG)
Column
AE

AF

AG

Field
What was the
institution’s reason
for reducing the
FAFSA applicant’s
unsubsidized Direct
Loan eligibility?
What was the dollar
amount of the
FAFSA applicant’s
experimental
reduction in
unsubsidized Direct
Loan eligibility?
Intentionally left
blank

Field Type
Character

Max Length
42

Example
12.3456

Currency

8

999,999.99

Numerical

50

This field left blank
intentionally
38