lender_servicers_manual

eZ-Audit: Electronic Submission of Financial Statements and Compliance Audits

lender_servicers_manual

OMB: 1845-0072

Document [pdf]

Download: pdf | pdf

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Table of Contents

EZ-AUDIT OVERVIEW ............................................................................................. 3
eZ-Audit Technical Requirements ......................................................................... 4
eZ-Audit Security/ Rules of Behavior .................................................................... 5
Questions/Concerns ............................................................................................... 8
EZ-AUDIT REGISTRATION ..................................................................................... 9
ADMINISTRATIVE TASKS/SECURITY .................................................................. 10
Login .................................................................................................................... 10
New User Login ................................................................................................... 12
Update My Profile Page ...................................................................................... 14
Forgot Password ................................................................................................. 16
Logout .................................................................................................................. 19
My Profile ............................................................................................................ 21
Change Challenge Questions .............................................................................. 24
Change Password ................................................................................................ 25
Navigation ........................................................................................................... 26
Data Edits ............................................................................................................ 27
MANAGE USERS .................................................................................................... 28
Types of Users and Responsibilities ........................................................................ 28
Entity Administrator Homepage .......................................................................... 28
Creating/Deleting Data Entry/Submitter Users .................................................. 29
ENTITY PROFILE PAGE ........................................................................................ 31
Entity Profile............................................................................................................ 31
Historical Submissions ............................................................................................ 33
Section 1: LENDER SERVICER OIG AUDIT GUIDE ........................................... 34
Lender Servicer OIG - Annual Submission ............................................................. 34
Annual Submission Compliance Audit Information ................................................ 35
Adding Entity to the Lender table ........................................................................ 37
Deleting Entity from the Lender table ................................................................. 38
Annual Submission Completeness Checklist ........................................................... 39
Standard Engagements Compliance Checklist .................................................... 39
Alternative Engagements Compliance Checklist ................................................. 41
Combined Engagement Compliance Checklist.................................................... 43
Annual Submission Upload Attachments .............................................................. 45
Annual Submission-Submit .................................................................................... 47
Lender Servicer OIG - Change in Fiscal Year End ................................................. 49
Change in Fiscal Year End Submission................................................................... 49
Lender Servicer OIG - Closeout Audit Submission.................................................. 51
Closeout Audit Submission - Compliance Audit Information .................................. 51
Closeout Audit Submission Completeness Checklist ............................................... 53
June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Closeout Audit Submission Upload Attachments .................................................... 55
Lender Servicer OIG - Stub Audit Submission ........................................................ 59
Stub Audit Submissions Compliance Audit Information.......................................... 59
Stub Audit Submissions Completeness Checklist..................................................... 61
Stub Audit Submissions Upload Attachments .......................................................... 63
Stub Audit Submission-Submit ................................................................................. 65
Lender Servicer OIG - Exemption Request .............................................................. 67
Create Exemption Request....................................................................................... 67
Lender Servicer OIG - Additional Information ....................................................... 70
Additional Information Submission ......................................................................... 70
Section 2: LENDER SERVICER UNIFORM GUIDANCE (UG) ............................ 72
Lender Servicer UG - Annual Submissions ............................................................. 72
Annual Submission Compliance Audit Information ................................................ 72
Adding Entity to the Lender table ........................................................................ 74
Deleting Entity from the Lender table ................................................................. 75
Annual Submission Completeness Checklist ........................................................... 76
Annual Submission Upload Attachments ................................................................. 78
Annual Submission-Submit ...................................................................................... 80
Lender Servicer UG - Change in Fiscal Year End .................................................. 82
Change in Fiscal Year End Submission................................................................... 82
Lender Servicer UG -Closeout Audit Submission.................................................... 84
Closeout Audit Submission Completeness Checklist ............................................... 86
Closeout Audit Submission Upload Attachments .................................................... 88
Closeout Audit Submission-Submit .......................................................................... 91
Lender Servicer UG - Stub Audit Submission.......................................................... 92
Stub Audit Submission Compliance Audit Information ........................................... 92
Stub Audit Submission Completeness Checklist ...................................................... 94
Stub Audit Submission Upload Attachments ........................................................... 96
Stub Audit Submission-Submit ................................................................................. 99
Lender Servicer UG - Exemption Request ............................................................. 100
Create Exemption Request..................................................................................... 100
Lender Servicer UG - Additional Information ....................................................... 103
Additional Information Submission ....................................................................... 103
Section 3: Letters/ Notifications ............................................................................ 105
Notifications Section .............................................................................................. 105
Resubmission/ Incomplete Letter ........................................................................... 106
Delinquent Letter ................................................................................................... 109
Reminder Email Notifications ............................................................................... 111

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

eZ-Audit Overview

What is eZ-Audit?
eZ-Audit is a web based paperless single point of submission for financial statements and compliance
audits. A designee from your entity simply signs on to eZ-Audit, enters summary audit and financial data directly
from your report into a web form, attaches an electronic version of the report, and hits the submit button. Your
submission through eZ-Audit will allow for more rapid and efficient processing by the Department of Education (ED)
and therefore provide you with immediate feedback.
How does eZ-Audit work?
1. Your entity submits its compliance audit data and summary financial data via an internet
web form (follow this manual for complete instructions).
2. Your entity also attaches an electronic copy of your financial statement and compliance audit
in a non- editable pdf format (using Adobe Acrobat).
3. The eZ-Audit system automatically forwards flagged financials and deficient audits to
FSA’s Entity Participation Management Team for resolution.
4. Entity Participation Teams communicate with you to reach resolution.
5. As desired, you can periodically check eZ-Audit for the status of your report.
•
•
•
•
•
•
•
•

•

How does eZ-Audit Benefit You?
You will receive instant acknowledgement of receipt – no more lost reports!
You will no longer need to make any copies or send reports in the mail to ED.
Processing times will be greatly reduced, thus allowing for quicker remediation of findings.
Web forms will contain pre-populated fields.
There are no new reporting requirements – data entry will be limited to the same data already
contained in the reports.
The time spent submitting these forms should be less than 1 hour.
Status of your submissions will be accessible to you online at any time.
A Help Desk will be available for assistance at 1-877-263-0780, Monday – Friday, 9 a.m. – 5 p.m. EST
Who at my entity will use eZ-Audit?
eZ-Audit Entity Administrator, selected by your entity, is responsible for:
o Registering your entity with eZ-Audit
o Providing/managing access to data entry and submission approval personnel, as
identified by your entity
o Maintaining security information regarding entity’s users as required
eZ-Audit Data Entry Users, selected by your entity, are responsible for:
o Entering data into the eZ-Audit system
o Attaching non-editable, pdf files of financial statements and compliance audits
eZ-Audit Submission Approvers, selected by your entity, are responsible for:
o Reviewing the submission prior to “submit”
o Approving the submission via the “submit” action

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
What role should my auditor play in eZ-Audit?
You may choose to ask your auditor to serve as a Data Entry User of eZ-Audit. This means that your auditor
would complete the fields in the system, and attach the audited documents in the non-editable PDF format.
If your auditor is not selected as a Data Entry User; you may request that your auditor electronically sends you
your financial statements and compliance audits in the non-editable PDF format using Adobe Acrobat.
Please note that the PDF files containing your financial statements and compliance audits will be included as
attachments to your eZ-Audit submission – all signature pages in the financial statements and compliance
audits, as well as the entity’s corrective action plan, must be scanned.

eZ-Audit Technical Requirements

eZ-Audit is a web-based application. This means you will not need to load a new application on your
computer. You will simply need to ensure that you have an Internet browser – Internet Explorer 11.0 or
higher.

NOTE

If you receive an error that does not allow you to access eZ-Audit when you type in the
URL from your Internet browser, please contact your network administrator and request
that he/she do one of the following:
•
•

Open your firewall to allow all 165.224.xxx.xxx addresses through, which
would allow your entity access to all ed.gov sites
Conduct a lookup on ezaudit.ed.gov which will allow your entity access to eZAudit

eZ-Audit requires you to attach a non-editable pdf version of your annual submissions. Adobe Acrobat must
be used to create this attachment.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

eZ-Audit Security/Rules of Behavior
eZ-Audit is a Department of Education system. Department of Education computer systems are provided for
the processing of Official U.S. Government information only. All data contained on Department of Education computer
systems is owned by the Department of Education and may be monitored, intercepted, recorded, read, copied or
captured in any manner and disclosed in any manner, by authorized personnel. THERE IS NO RIGHT OF PRIVACY
IN THIS SYSTEM. System personnel may give to law enforcement officials any potential evidence of crime found on
Department of Education computer systems. Unauthorized use of this system is a violation of Federal law and can be
punished with fines or imprisonment (P.L. 99-474). “Use of this system by any user,
authorized or unauthorized, constitutes consent to this monitoring, interception, recording, reading, copying,
and disclosure.”
supply

You may decide to send FSA information, including personally identifying information. The information you

– whether through a secure Web form, a standard Web form, or by sending an electronic mail message – is
maintained by FSA for the purpose of processing your request or inquiry. Various employees of FSA may see the
information you submit in the course of their official duties. The information may also be shared by FSA with third
parties to advance the purpose for which you provide the information, including other federal or state government
agencies. For example, if you file a complaint, it may be sent to a financial entity for action, or information may be
supplied to the Department of Justice in the event it appears that federal criminal statutes have been violated by an
entity you are reporting to FSA.
The primary use of personally identifying information will be to enable the government to contact you in the
event we have questions regarding the information you have reported. If you are concerned about how information
about you may have been used in connection with the eZ-Audit web site, or you have questions about FSA’s privacy
policy and information practices, you should e-mail us at [email protected]. Electronic mail is not necessarily
secure. You are advised to be cautious when sending electronic mail containing sensitive, confidential information. As
an alternative, we advise users to give consideration to using postal mail.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

The following Rules of Behavior will be displayed when you click on the link

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Rules of Behavior to view the detail rules
2. Accept & Continue
All eZ-Audit users are required to carefully read the eZ-Audit Rules of Behavior
document that can be accessed via the web at https://ezaudit.ed.gov.

NOTE

Questions/Concerns
o
o

eZ-Audit will continue to post updates and critical information to the eZ-Audit website and
the Knowledge Center at https://fsapartners.ed.gov.
Contact the eZ-Audit help desk at [email protected] or by calling 1-877-263-0780.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

eZ-Audit Registration

All entities must submit a registration request letter to the Department of Education to gain access
to eZ-Audit. Please see the Registration Instructions on eZ-Audit Welcome Page.
How will I receive my registration confirmation and eZ-Audit Entity Administrator user ID and
password? Your registration confirmation, user ID and temporary password will be sent to the email
address provided in the registration request letter submitted to FSA.
You will receive two registration confirmation emails. The first email from eZ-Audit will include your
user name and instructions for accessing the eZ-Audit website. For security purposes, your
temporary password will be delivered in a second email from eZ-Audit.
Once I have sent in my Registration Request letter and have received my registration confirmation
emails, when and how do I begin using eZ-Audit?
To access eZ-Audit simply type in the URL, www.ezaudit.ed.gov in your internet browser, and when
the eZ- Audit login screen appears, enter the user name and temporary password you received
through email from eZ- Audit.
Please be sure to log on to the eZ-Audit system immediately, in order to change your temporary
password and ensure your access to the site is secure.
What if I need to change my Institution/Entity Administrator?
To change your Institution/Entity Administrator a new registration letter, following registration
instructions, must be submitted. The new Entity Administrator will receive a username and
password once processed, usually within 72 hours of receipt.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Administrative Tasks/Security

After typing in the URL https://ezaudit.ed.gov in your Internet browser, the “Welcome to eZ-Audit”
screen below should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Enter the username provided to you by email during the registration process.
2. Enter in your password or your temporary password if this is your first time using this site.
3. Single click the LOGIN button-this will take you to your entity’s homepage.

NOTE

Your user name will be the first letter of your first name, the first five letters of your last
name and 2 numeric characters. Your username and password are case sensitive. If
you are locked out after 3 unsuccessful attempts at login you must wait 30 minutes
then try again.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
**If you have an existing user logging in for the first time, you will be presented with the
challenge questions and answers page where you will select the questions and answer
them accordingly.

New User Login

If you are a new eZ-Audit user and have successfully logged into eZ-Audit for the first time, you will be
presented with the following screen after the Password Reset Functionality has been implemented:

There are two sets of challenge questions to choose and answer accordingly.
1. Select a challenge question from the first drop-down list. You will have the following
selection: Challenge Question List 1:
•
What month is your mother born?
•
What is your father’s middle name?
•
In what city was your mother born?
•
Which hospital where you born in?
•
Who is your favorite author?

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
2. Type your answer to the question you have selected.
3. Select a challenge question from the first drop-down list. You will have the following
selection: Challenge Question List 2:
•
What is your favorite color?
•
What is your favorite flower?
•
What is your child’s middle name?
•
Who is your favorite athlete?
•
What is your favorite movie?
4. Type your answer to the question you have selected.
5. Click on the SUBMIT button. This will take you to the Update My Profile page where you will type in
your new password.

NOTE

June 2021

All answers are case sensitive. You will not be able to view the answers as you type
them in.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Update My Profile Page
After you successfully login by clicking on the Submit button from the Challenge Questions page the following
screen will appear on the screen. Enter your new password:

1. Type in your new password.
2. Re-type in your new password.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

3. Click the SAVE button to ensure all changes are successfully captured by the system. Please note by
selecting the save button you are also accepting the Rules of Behavior.
4. Click the RESET button to cancel entries and begin again.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Forgot Password
If you forget your password, click on the “Forgot Password?” link from the login page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
By clicking on “Forgot Password?” link, the Password Reset page should appear requesting your user information:

1.
2.
3.
4.
5.

Click on the check box to indicate that you are an entity user.
Enter your username.
Enter the OPEID of your entity.
Click the SUBMIT button. This will take to the Password Reset page with the challenge questions.
Click the RESET button to cancel current entries and begin again.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
Challenge Questions:
After eZ-Audit validates your username, the questions you initially chose will appear:

1. Please type your answer to the first question.
2. Please type your answer to the second question.
3. Click the SUBMIT button. This will take you to a page that informs you a temporary password has
been sent to your email.
4. Click the RESET button to cancel current entries and begin again.

NOTE

The answers are case sensitive.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Logout

If you clicked on the LOGIN button, this will bring you to your Entity’s homepage. The screen below
should appear with your entity’s name: On how to Login, follow the steps in Login Section.

1. To logout of the eZ-Audit system, click on the LOGOUT button at the top of this page. The
screen shown on the next page should appear if you have successfully logged out of the system.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

1. To log back into the eZ-Audit system click on the underlined link above and repeat the LOGIN step.

NOTE

June 2021

Your eZ-Audit session will automatically expire after 30 minutes of inactivity. If
you have not saved your work when the session expires, data will be lost.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

My Profile

To update your profile (i.e. username, email address, phone number, password, etc.), repeat the LOGIN step.
This will take you to your entity’s eZ-Audit homepage. The screen below should appear with your entity’s
name:
1. Click on the underlined text “Update My User profile” located on the lower left hand side of the
screen. This will take you to the Update My Profile page shown on the next page.

NOTE

June 2021

This page is used to update your user profile information such as name, email
address, phone, password, etc.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
If you clicked on the underlined text “Update My User profile” on your entity’s homepage, the

screen below should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

NOTE

June 2021

Take a moment to review the information on this screen for accuracy. If changes
need to be made, update the information as necessary and enter any missing
information. Remember to SAVE your changes!!!

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Change Challenge Questions

To change your challenge questions, repeat the My Profile step, taking you to the Update My Profile page. The
screen shown below appears at the bottom of that page:

1.
2.
3.
4.
5.
6.

Select a question from the first dropdown list.
Select a question from the second drop down list.
Enter your answer to the first question you have selected.
Enter your answer to the second question you have selected.
Click the SAVE button to ensure all changes are successfully captured by the system.
Click the RESET button to cancel current entries and begin again.

NOTE

June 2021

All answers are case sensitive. You will not be able to view the answers as you type them in.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Change Password

To change your password, repeat the My Profile step. This will take you to the Update My Profile page. The
screen shown below should appear at the midsection of that page:
-

1.
2.
3.
4.
5.

NOTE

June 2021

Type your old or temporary password.
Type your new password.
Retype your new password.
Click the SAVE button to ensure all changes are successfully captured by the system.
Click the RESET button to cancel current entries and begin again.
The password must be 12-40 characters in length and must contain each of the
following: Uppercase, lowercase letters, numeric values and special Characters (such
as! @, #, $, &, *, ^) values. Clicking the SAVE button ensures all information has been
saved by the system. Please note that the system will automatically prompt you to
change your password every 90 days. Follow the same process described above to
make this change. If you require additional help, contact the eZ-Audit Help desk at
[email protected] or by calling 1-877-263-0780.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Navigation

To move from field to field in the eZ-Audit system, simply press the Tab button on your computer. This
takes you from one field to the next.
1. To go back to a previous screen or action, simply click on the back or forward button.
2. To move across forms or sections in the system, click the underlined text of interest.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Data Edits

Edit checks will be automatically performed on each page when you click on any of the transaction buttons
such as the “SAVE or SAVE and PROCEED” buttons. If any invalid data entries are detected, the page will
redisplay with error message(s) at the top indicating the field that needs to be corrected and the correction to be
made. To continue, make the changes indicated by the message(s) displayed and click the “SAVE or SAVE and
PROCEED” buttons. This will allow for the submission process to continue. The system will not allow you to submit
to the Department of Education without correcting the errors. See sample screens below:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Manage Users
Types of Users and Responsibilities
1. The eZ-Audit Entity Administrator, selected by your entity, is responsible for:

Registering your entity with eZ-Audit
Providing/managing access to data entry and submission approval personnel, as
identified by your entity
o Maintaining security information regarding entity’s users as required
2. The eZ-Audit Data Entry Users, selected by your entity at registration are responsible for:
o Entering data into the eZ-Audit system
o Attaching non-editable, pdf files of audited financial statements and compliance audits
3. The eZ-Audit Submission Approvers, selected by your entity, are responsible for:
o Reviewing the submission prior to “submit”
o Approving the submission via the “submit” action
o
o

Entity Administrator Homepage

To log into the eZ-Audit system as your entity’s administrator, repeat the LOGIN step. The screen below
should appear once your administrator’s username and password has been entered and verified by the
system. This screen below is different between persons having administrator or user’s rights:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. The MANAGE USERS button should be displayed if you have administrator’s rights to this
system. Click on it to perform any of the manage users’ tasks such as adding or deleting a user.
The screen on the next page should appear.
2. This should read the name of your entity and OPEID number. Confirm that this is correct.

Creating/Deleting Data Entry/Submitter Users

If you clicked on the “Manage Users” button, the screen below should appear:

1. Click on the DELETE USER button to delete a user from the system.
2. Click on the “ADD USER” button to add a user to the system.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

3. Complete all required fields providing the name and contact information for the “New User”.
4. Do not forget to specify the New User’s role(s) (see “Manage Users” for role definition).
5. Remember to click on the “ADD USER” button to save all entries. NOTE: If you are adding
“submitter” or “data entry” as a user role and the user is currently logged in, they must logout and
login again for the roles to take effect.

NOTE

June 2021

One person can have all three-user roles. When the Entity Administrator adds a new
user, the user will receive an email with their username and an email with a
temporary password.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Entity Profile

Entity Profile Page

Entity’s should confirm that the information is correct.

1. To view the Entity Profile, click on the Entity Name:
The Entity Profile can be viewed from Home page and any submission page when clicked on
Entity Name.

NOTE

See below the sample of what an Entity’s profile page should look like.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Historical Submissions

This page provides a history of the entity’s past transactions as available in the eZ-Audit system.
You may view prior submissions at any time. Please note that you will have “read” only access to these
historical submissions.

NOTE

June 2021

A Change in FYE submission listed was created by FSA to ensure the appropriate FYE
Annual Link was provided upon login.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Section 1: LENDER SERVICER OIG AUDIT GUIDE
Lender Servicer OIG - Annual Submission

To complete your institution’s annual submission, complete the LOGIN step. This will take you to your
institution’s eZ-Audit homepage. On the upper left hand side of the page, you will see a section “Create Annual
Submissions”. Please check to see that the FYE on the link matches the FYE of the submission that you wish
to create. If it does not, please contact the help desk at 1-877-263-0780 so that this problem can be rectified.
Please note that submissions created on the incorrect link cannot be accepted. If the link for the correct FYE
appears, click on the underlined text “Create FYE Annual Submission”, and then the screen below should
appear with your
entity’s name:

NOTE

If you are login in for the first time you will not see the see the Create FYE
XX/XX/XXXX Annual Submission, you need to complete the Change Fiscal Year End
Date request first. Once it is approved you will see the link for the Annual Submission.

The user will be asked about the type of Gateway question before proceeding to the Annual submission.

1. Confirm the correct information is displayed correctly.
2. Select the any Engagement from the gateway question.
3. Select any Engagement and click on the Cancel button, Entity homepage will be displayed.
4. Select any Engagement gateway question option and click on the Reset button, the selection will reset.
5. Select gateway question option and click on the Submit button the Compliance Audit screen below
will be displayed.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Annual Submission Compliance Audit Information

To complete your entity’s annual submission, complete the LOGIN step. This will take you to your entity’s eZAudit homepage. On the upper left hand side of the page, you will see a section “Create Annual Submissions”.
Click on the underlined text “Create FYE Annual Submission”, and the screen in the next page should appear
with your entity’s name:

June 2021

3.
4.
5.
6.
7.
8.
9.
10.
11.

Note: If you select ‘No’ to Question 1 then user will not have ability
to add more entity in the Lender table.
If ‘Yes’, follow the steps in section ‘Adding Entity to the Lender table’.
Begin date is the beginning of the audit period.
End date is the end of the audit period.
This is the auditor on file with the Department of Education.
If the auditor’s information is correct, no action is required. If incorrect or this is a new
auditor, please select NO, and update with current information.
Please fill up all the mandatory fields. When Country is “United States” then TIN and State
are required fields.
Does this Compliance Audit contain any findings related to the Federal Family Education
Loan Program (FEELP)?
IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last
time you saved your work.
Click the SAVE button to ensure all entries are successfully stored by the system for this
page.
Click the SAVE and PROCEED button to go to the Annual Submission-Lender Annual
Submission

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
This is the next stage in the submission process.

Adding Entity to the Lender table

3. Add Lender OPEID. Note: Please enter the ‘8’ digit OPEID to the table.
4. To Save the OPEID to the table Click on Save button below of the Compliance Audit page

NOTE

June 2021

If the system do not recognize the OPEID you are trying to add please to contact eZAudit Help Desk Assistance at [email protected] or by calling 1-877-263-0780,
Monday – Friday, 9 a.m. – 5 p.m. ET.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Deleting Entity from the Lender table

3. In Delete column, Check the box to delete any Entity from the Lender table.
Note: Click the Save button at the bottom of the Compliance Audit page to delete the Entity from
the table.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Annual Submission Completeness Checklist

If you successfully entered or saved the information inputted on the Compliance Audit Information page
by clicking on the SAVE AND PROCEED button, the screen below should appear. This page can also
be reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the
upper left hand side of the page, you will see a section “Create Annual Submissions”. Click on the
underlined text “Create FYE xx/xx/xxxx Annual Submission”, and then click on the underlined text
“Completeness Checklist”. The screen below should appear:
Note: Lender Servicer -OIG Completeness checklist will varies depending on the gateway question
selected

Standard Engagements Compliance Checklist

If selected Standard Engagement option in the gateway question, below screen will display for
Completeness Checklist.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm that the information displayed is correct.
2. Ensure all applicable documents are included with your audit report submission
3. Contact Information and Additional Notes
Provide contact information (name, email, phone) President/CEO Contact and Firm & CPA
Contact (FIRM Name, Auditor Name, Email, Phone) for who should be contacted regarding the
submission and/or additional notes as necessary.
•

Please feel free to attach any additional document(s). If you do attach these additional
documents, please write a note in this field advising that you have attached additional
information not required in this process.

4. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last
time you saved your work.
5. Click the SAVE button to save all entries currently on screen.
6. Click the SAVE and PROCEED button to save all entries and to take you to the Upload
Attachment page

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Alternative Engagements Compliance Checklist

If user selected Alternative Engagement option in the gateway question, below screen will display for
Completeness Checklist.

6
5
4
1. Confirm that the information displayed is correct.
2. Ensure all applicable documents are included with your audit report submission.
3. Provide contact information (name, email, phone) President/CEO Contact and Firm & CPA
Contact (FIRM Name, Auditor Name, Email, Phone) for who should be contacted regarding the
submission and/or additional notes as necessary.
•

June 2021

Please feel free to attach any additional document(s). If you do attach these additional

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
documents, please write a note in this field advising that you have attached additional
information not required in this process.
4. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last
time you saved your work.
5. Click the SAVE button to save all entries currently on screen.
6. Click the SAVE and PROCEED button to save all entries and to take you to the Upload
Attachment page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Combined Engagement Compliance Checklist

If user selected Combined Engagement option in the gateway question, below screen will display for
Completeness Checklist.

1. Confirm that the information displayed is correct.
2. Ensure all applicable documents are included with your audit report submission.
3. Provide contact information (name, email, phone) President/CEO Contact and Firm & CPA
Contact (FIRM Name, Auditor Name, Email, Phone) for who should be contacted regarding the
submission and/or additional notes as necessary.
•

June 2021

Please feel free to attach any additional document(s). If you do attach these additional

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Annual Submission Upload Attachments

If you successfully entered or saved the information inputted on the Completeness Checklist
page by clicking on the SAVE and PROCEED button, the screen below should appear. This page can
also be reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage.
On the upper left hand side of the page, you will see a section “Create Annual Submissions”. Click on
the underlined text “Create FYE xx/xx/xxxx Annual
Submission”, and then click on the underlined text “Upload Attachments”. The screen below should appear:

1. Confirm the information displayed is correct.
2. Click on the Choose File button to search for document(s) to be attached. Then follow
instructions on the next page on searching and attaching document(s).

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

3. Check all appropriate documents attached are in English and do not contain any Personally Identified
Information (PII). To view what is included in PII please hover the mouse over the word PII.
(Please note: When uploading another document, please deselect the previous upload type and then
reselect the document type.)
4. After the document has been attached and the file type identified by checking the box, click the
“ADD” button to ensure that the document has been successfully attached to your compliance
audit submission.
5. IMPORTANT WARNING: Click the CANCEL button to erase all entries.
6. Click the SAVE button to save all entries currently on screen.
7. Click the SAVE and PROCEED button to take you to the Lender-Annual-Submission-submit page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Annual Submission-Submit

If you successfully entered, saved and attached an electronic copy of your submissions by
clicking on the SAVE and PROCEED button, the screen below should appear. This page can also be
reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the
upper left hand side of the page, you will see a section “Create Annual Submissions”. Click on the
underlined text “Create FYE xx/xx/xxxx Annual Submission”, and then click on the underlined text
“Submit”. The screen below should appear:

1. Confirm the information displayed is correct.
2. Read to understand and attest that you have met all requirements.
3. Click on the SUBMIT TO ED button to complete your Annual Submission process. This will then
take you to your entity’s homepage with a displayed confirmation of your submission. If you do
not have the SUBMIT TO ED button please verify that “submitter” is selected as a user role. See
Manage Users for details.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
4. The following confirmation of receipt will be displayed on your home page.

NOTE

June 2021

You will have “read” access only once submitted.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Lender Servicer OIG - Change in Fiscal Year End
Change in Fiscal Year End Submission

This page can be reached by repeating the LOGIN step. This will take you to your entity’s eZAudit homepage. On the upper left-hand side of the page, you will see a section “Other Submissions”.
Click on the underlined text “Change Fiscal Year End Date”, and then click on the underlined text
“Change in Fiscal Year End”. The screen below should appear:

1. Confirm the information displayed is correct.
2. Click on the dropdown list to change month as desired.
3. Are you submitting the Audit under? Note: Select the OIG Audit Guide Radio button option for
Lender-OIG Guide.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
4. Click on the “SUBMIT TO ED” this will then take you to your entity’s homepage with a displayed
confirmation of your submission. If you do not have the “SUBMIT TO ED” button please verify
that “submitter” is selected as a user role. See Manage Users for details.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Lender Servicer OIG - Closeout Audit Submission
Closeout Audit Submission - Compliance Audit Information

To complete your Entity’s Closeout Audit submission, complete the LOGIN steps this will take you to
your Entity’s eZ-Audit home page. On the upper left-hand side of the page, you will see a “Other
Submissions” section. Click on the underlined text Create Closeout Audit Submission link and then click
on the underlined text ‘Compliance Audit’. The screen in the next page should appear.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm the information displayed is correct.
2. Is this submission covering multiple Lenders? YES/ NO
Note: If you select ‘No’ to Question 1 then user will not have ability
to add more entity in the Lender table.
If ‘Yes’, follow the steps in section ‘Adding Entity to the Lender table’.
3. Begin date is the beginning of the audit period.
4. End date is the end of the audit period.
5. This is the auditor on file with the Department of Education.
6. If the auditor’s information is correct, no action is required. If incorrect or this is a new
auditor, please select NO, and update with current information.
7. Please fill up all the mandatory fields. When Country is “United States” then TIN and State
are required fields.
8. Does this Compliance audit contain any findings related to the Federal Family Education Loan
Program (FEELP)?
9. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last
time you saved your work.
10. Click the SAVE button to ensure all entries are successfully stored by the system for this
page.
11. Click the SAVE and PROCEED button to go to the Annual Submission-Lender Annual
Submission Completeness Checklist page. This is the next stage in the submission
process.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Closeout Audit Submission Completeness Checklist

If you successfully entered or saved the information inputted on the Compliance Audit page by clicking on the
SAVE AND PROCEED button, the screen below should appear. This page can also be reached by repeating the
LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the upper left-hand side of the page, you will
see a section “Other Submissions”. Click on the underlined text “Closeout Audit Submission”, and then click on the
underlined text “Completeness Checklist”. The screen below should appear:

June 2021

4. IMPORTANT WARNING: Click the CANCEL button to erase all entries.
5. Click the SAVE button to save all entries currently on screen.
6. Click the SAVE and PROCEED button to take you to the Upload Attachment page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Closeout Audit Submission Upload Attachments

If you successfully entered or saved the information inputted on the Completeness Checklist
page by clicking on the SAVE and PROCEED button, the screen below should appear. This page can
also be reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage.
On the upper left hand side of the page, you will see a section “Other Submissions”. Click on the
underlined text “Closeout Audit Submission”, and then click on the underlined text “Upload
Attachments”. The screen in the next page should appear:

1. Confirm the information displayed is correct.
2. Click on the Choose File button to search for document(s) to be attached. Then follow instructions on
the next page on searching and attaching document.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

1. Check all appropriate documents attached are in English and do not contain any Personally
Identified Information (PII). To view what is included in PII please hover the mouse over the word
PII.
(Please note: When uploading another document, please deselect the previous upload type and then
reselect the document type.)
2. After the document has been selected and the file type identified by checking the box, click the
“ADD” button to ensure that the document has been successfully attached to your submission.
3. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last time you saved
your work.
4. Click the SAVE button to save all entries currently on the screen.
5. Click the SAVE and PROCEED button to take you to the Lender-Closeout Audit Submission-submit page.

NOTE

June 2021

As part of your stub audit submission, you must include an electronic copy of your complete
audited compliance audit. Please note that all files must be in a non-editable .pdf format and NO
personal information should be contained in attachments such as Social Security Numbers.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Closeout Audit Submission-Submit

If you successfully entered, saved and attached an electronic copy of your submission by
clicking on the SAVE and PROCEED button, the screen below should appear. This page can also be
reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the
upper left hand side of the page, you will see a section “Other Submissions”. Click on the underlined text
“Closeout Audit Submission”, and then click on the underlined text “Submit”. The screen below should
appear:

1. Confirm the information displayed is correct.
2. Please read to understand and attest that you have met all requirements.
3. Click on the “SUBMIT TO ED” button to complete your Closeout Audit Submission process. If you
do not have the “SUBMIT TO ED” button please verify that “submitter” is selected as a user role.
See Manage Users for details.
4. The following confirmation of receipt will be displayed on your home page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

NOTE

June 2021

You will have read access only once submitted.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer- OIG Audit Guide

Lender Servicer OIG - Stub Audit Submission
Stub Audit Submissions Compliance Audit Information

To complete your Entity’s Stub Audit submission, complete the LOGIN steps this will take you to your
Entity’s eZ-Audit homepage. On the upper left-hand side of the page, you will see a section “Other
Submission”. Click on the link Create Stub Audit Submission, and then click on the underlined text
“Compliance Audit”. The screen in the next page should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer- OIG Audit Guide
1. Confirm the information displayed is correct.
2. Is this submission covering multiple Lenders? YES/ NO
Note: If you select ‘No’ to Question 1 then user will not have ability
to add more entity in the Lender table.
If ‘Yes’, follow the steps in section ‘Adding Entity to the Lender table’.
3. Begin date is the beginning of the audit period.
4. End date is the end of the audit period.
5. Provide a reason if your audit period is less than a year.
6. This is the auditor on file with the Department of Education.
7. If the auditor’s information is correct, no action is required. If incorrect or this is a new
auditor, please select NO, and update with current information.
8. Please fill up all the mandatory fields. When Country is “United States” then TIN and State
are required fields.
9. Does this Compliance audit report contain any findings related to the Federal Family
Education Loan Program (FEELP)?
10. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last
time you saved your work.
11. Click the SAVE button to ensure all entries are successfully stored by the system for this
page.
12. Click the SAVE and PROCEED button to go to the Annual Submission-Lender Annual
Submission Completeness Checklist page. This is the next stage in the submission
process.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer- OIG Audit Guide
Stub Audit Submissions Completeness Checklist

If you successfully entered or saved the information inputted on the Compliance Audit page by
clicking on the SAVE AND PROCEED button, the screen below should appear. This page can also be
reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the
upper left hand side of the page, you will see a section “Other Submissions”. Click on the underlined text
“Stub Audit Submission”, and then click on the underlined text “Completeness Checklist”. The screen
below should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer- OIG Audit Guide
1. Confirm the information displayed is correct.
2. Ensure all applicable documents are included with your audit report submission. Check all
appropriate documents attached are in English and do not contain any Personally Identified
Information (PII). To view what is included in PII please hover the mouse over the work PII.
3. Provide contact information (name, email, phone) President/CEO Contact and Firm & CPA
Contact (FIRM Name, Auditor Name, Email, Phone) for who should be contacted regarding the
submission and/or additional notes as necessary.
•

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer- OIG Audit Guide
Stub Audit Submissions Upload Attachments

If you successfully entered or saved the information inputted on the Completeness Checklist
page by clicking on the SAVE and PROCEED button, the screen below should appear. This page can
also be reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage.
On the upper left hand side of the page, you will see a section “Other Submissions”. Click on the
underlined text “Stub Audit Submission”, and then click on the underlined text “Upload Attachments”.
The screen in the next page should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer- OIG Audit Guide

3. Check all appropriate documents attached are in English and do not contain any Personally Identified
Information (PII). To view what is included in PII please hover the mouse over the work PII.
(Please note: When uploading another document, please deselect the previous upload type and
then reselect the document type.)
4. After the document has been selected and the file type identified by checking the box, click the “ADD”
button to ensure that the document has been successfully attached to your submission.
5. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last time you
saved your work.
6. Click the SAVE button to save all entries currently on the screen.
7. Click the SAVE and PROCEED button to take you to the Lender-Stub Audit Submission-submit page.

NOTE

June 2021

As part of your stub audit submission, you must include an electronic copy of your
complete audited compliance audit. Please note that all files must be in a non-editable
.pdf format and NO personal information should be contained in attachments such as
Social Security Numbers.

Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG Audit
Guide
Stub Audit Submission-Submit

If you successfully entered, saved and attached an electronic copy of your submission by
clicking on the SAVE and PROCEED button, the screen below should appear. This page can also be
reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the
upper left-hand side of the page, you will see a section “Other Submissions”. Click on the underlined text
“Stub Audit Submission”, and then click on the underlined text “Submit”. The screen below should
appear:

1. Confirm the information displayed is correct.
2. Please read to understand and attest that you have met all requirements.
3. Click on the “SUBMIT TO ED” button to complete your Stub Audit Submission process. If you
do not have the “SUBMIT TO ED” button please verify that “submitter” is selected as a user
role. See Manage Users for details.
4. The following confirmation of receipt will be displayed on your home page.

June 2021

Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG Audit
Guide

NOTE

June 2021

You will have read access only once submitted.

Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG Audit
Guide

Lender Servicer OIG - Exemption Request

Create Exemption Request

This page can be reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit
homepage. On the upper left hand side of the page, you will see a section “Other Submissions”. Click
on the underlined text “Other Submissions”, and then click on the underlined text “Create Exemption
Request”. The screen in the next page should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG Audit
Guide
1. Confirm the information displayed is correct.
2. Click on the Choose File button to search for document to be attached. The screen below should
appear:

3. After the document has been attached and the file type identified by checking the box, click
the “ADD” button to ensure that the document has been successfully attached to your
submission. The screen will then change to the screen in the next page:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

4 Select the Fiscal Year End date from the drop down menu for which you are requesting an exemption.
5. IMPORTANT WARNING: Click the CANCEL button to erase all entries.
6. Click the “SUBMIT TO ED” button to submit your Exemption Request. If you do not have the “SUBMIT TO
ED” button please verify that “submitter” is selected as a user role. See Manage Users for details. This will
then take you to your entity’s homepage with a displayed confirmation of your transaction.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Lender Servicer OIG - Additional Information
Additional Information Submission

This page can be reached by repeating the LOGIN step. This will take you to your entity’s eZAudit homepage. On the upper left hand side of the page, you will see a section “Other Submissions”.
Click on the underlined text “Other Submissions”, and then click on the underlined text “Submit
Additional Information”. The screen below should appear:

1. Confirm the information displayed is correct.
2. Select submission to associate the additional information with. If the submission was not
submitted via eZ-Audit it will not be listed. If the review is completed you cannot submit
additional information. Please check your Entity Homepage Notification section the status
of your submission.
3. Click on the Choose File button to search for document to be attached. The screen below shouldappear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

4. After the document has been attached and the file type identified by checking the box, click the
“ADD” button to ensure that the document has been successfully attached to your compliance
audit submission.

NOTE

June 2021

To submit additional information the submission must still be under FSA review.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Section 2: LENDER SERVICER UNIFORM GUIDANCE (UG)
Lender Servicer UG - Annual Submissions

Annual Submission Compliance Audit Information

To complete your Entity’s annual submission, complete the LOGIN step. This will take you to your Entity’s
eZ-Audit homepage. On the upper left hand side of the page, you will see a section “Create Annual
Submissions”. Click on the underlined text “Create FYE Annual Submission”, and the screen in the next
page should appear
with your Entity’s name:

NOTE

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

1. Confirm the information displayed is correct.
2. Is this submission covering multiple Lenders? YES/ NO
Note: If you select ‘No’ to Question 1 then user will not have ability
to add more entity in the Lender table.
If ‘Yes’, follow the steps in section ‘Adding Entity to the Lender table’.
3. Begin date is the beginning of the audit period.
4. End date is the end of the audit period.
5. This is the auditor on file with the Department of Education.
6. If the auditor’s information is correct, no action is required. If incorrect or this is a new auditor, please
select NO, and update with current information.
7. Please fill up all the mandatory fields. When Country is “United States” then TIN and State are

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
required fields.
8. Was the student Federal Family Education Loan Program (FFELP)audited as the major program?
Note: If the answer to this question is NO, do not answer question 6.
9. Does this A-133 report contain any findings related to the Federal Family Education Loan Program
(FEELP)?
10. Opinion type Note: If Yes to Question 4, Select the option from Opinion type drop-down.
11. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last time you
saved your work.
12. Click the SAVE button to ensure all entries are successfully stored by the system for this page.
13. Click the SAVE and PROCEED button to go to the Annual Submission-Lender Annual Submission
Completeness Checklist page. This is the next stage in the submission process.

Adding Entity to the Lender table

Add Lender OPEID. Note: Please enter the 8 digit OPEID to the table.

To Save the OPEID to the table Click on Save button below of the Compliance Audit page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Deleting Entity from the Lender table

In Delete column, Check the box to delete any Entity from the Lender table.
Note: Click the Save button at the bottom of the Compliance Audit page to delete the Entity from the table.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Annual Submission Completeness Checklist

If you successfully entered or saved the information inputted on the Compliance Audit
Information page by clicking on the SAVE AND PROCEED button, the screen below should appear.
This page can also be reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit
homepage. On the upper left hand side of the page, you will see a section “Create Annual Submissions”.
Click on the underlined text “Create FYE xx/xx/xxxx Annual Submission”, and then click on the
underlined text “Completeness Checklist”. The screen below should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm that the information displayed is correct.
2. Ensure all applicable documents are included with your A-133 audit report submission and also Hover to PII.
3. Provide contact information (name, email, phone) President/CEO Contact and Firm & CPA
Contact (FIRM Name, Auditor Name, Email, Phone) for who should be contacted regarding the
submission and/or additional notes as necessary.
•

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Annual Submission Upload Attachments

If you successfully entered or saved the information inputted on the Completeness Checklist
page by clicking on the SAVE and PROCEED button, the screen below should appear. This page can
also be reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage.
On the upper left hand side of the page, you will see a section “Create Annual Submissions”. Click on
the underlined text “Create FYE xx/xx/xxxx Annual Submission”, and then click on the underlined text
“Upload Attachments”. The screen below should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm the information displayed is correct.
2. Click on the Choose File button to search for document(s) to be attached. Then follow
instructions on the next page on searching and attaching document(s).

3. Check all appropriate documents attached are in English and do not contain any Personally Identified
Information (PII). To view what is included in PII please hover the mouse over the word PII.
(Please note: When uploading another document, please deselect the previous upload type and
then reselect the document type.)
4. After the document has been attached and the file type identified by checking the box, click the “ADD”
button to ensure that the document has been successfully attached to your compliance audit submission.
5. Click the CANCEL button to erase all entries.
6. Click the SAVE button to save all entries currently on screen.
7. Click the SAVE and PROCEED button to take you to the Lender-Annual-Submission-submit
page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Annual Submission-Submit

If you successfully entered, saved and attached an electronic copy of your submissions by clicking on
the SAVE and PROCEED button, the screen below should appear. This page can also be reached by
repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the upper left hand
side of the page, you will see a section “Create Annual Submissions”. Click on the underlined text
“Create FYE xx/xx/xxxx Annual Submission”, and then click on the underlined text “Submit”. The screen
below should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

NOTE

June 2021

You will have “read” access only once submitted.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Lender Servicer UG - Change in Fiscal Year End

Change in Fiscal Year End Submission

This page can be reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit
homepage. On the upper left-hand side of the page, you will see a section “Other Submissions”. Click
on the underlined text “Change Fiscal Year End Date”, and then click on the underlined text “Change
in Fiscal Year End”. The screen below should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm the information displayed is correct.
2. Click on the dropdown list to change month as desired.
3. Are you submitting the Audit under? Note: Select the Uniform Guidance Radio button option for LenderUniform Guidance.
4. Click on the “SUBMIT TO ED” button to ensure that date change is captured by the eZ-Audit system. If you
do not have the “SUBMIT TO ED” button please verify that “submitter” is selected as a user role. See
Manage Users for details.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Lender Servicer UG -Closeout Audit Submission
Closeout Audit Submission Compliance Audit Information

To complete your Entity’s Closeout Audit submission, complete the LOGIN steps this will take you to
your entity’s eZ-Audit homepage. On the upper left hand side of the page, you will see a section “Other
Submission”. Click on the link Create Closeout Audit Submission”, and then click on the underlined text
“Compliance Audit”. The screen in the next page should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm the information displayed is correct.
2. Is this submission covering multiple Lenders? YES/ NO
Note: If you select ‘No’ to Question 1 then user will not have ability
to add more entity in the Lender table.
If ‘Yes’, follow the steps in section ‘Adding Entity to the Lender table’.
3. Enter Begin date of the audit period.
4. Enter End date of the audit period.
5. This is the auditor on file with the Department of Education.
6. If the auditor’s information is correct, no action is required. If blank, incorrect or this is a new
auditor, please select NO, and update with current information.
7. Please complete mandatory fields as applicable. When Country is “United States” TIN and
State are required fields.
8. Was the student Federal Family Education Loan Program (FFELP)audited as the major
program? Note: If the answer to this question is NO, do not answer question 6.
9. Does this audit report contain any findings related to the Title IV funding program?
10. Opinion type Note: If Yes to Question 4, Select the option from Opinion type drop-down.
11. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last
time you saved your work.
12. Click the SAVE button to ensure all entries are successfully stored by the system for this
page.
13. Click the SAVE and PROCEED button to go to the Annual Submission-Lender Annual
Submission Completeness Checklist page. This is the next stage in the submission
process.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Closeout Audit Submission Completeness Checklist

If you successfully entered or saved the information inputted on the Compliance Audit page by
clicking on the SAVE AND PROCEED button, the screen below should appear. This page can also be
reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the upper
left-hand side of the page, you will see a section “Other Submissions”. Click on the underlined text
“Closeout Audit Submission”, and then click on the underlined text “Completeness Checklist”. The screen
below should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm the information displayed is correct.
2. Ensure all applicable documents are included with your A-133 audit report submission.
3. Provide contact information (name, phone, email) of who should be contacted regarding the
submission and additional notes or comments as necessary. Please feel free to attach any
additional document(s). If you do attach these additional documents, please write a note in
this field advising that you have attached additional information not required in this process.
4. Click the CANCEL button to erase all entries.
5. Click the SAVE button to save all entries currently on screen.
6. Click the SAVE and PROCEED button to take you to the Upload Attachment page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Closeout Audit Submission Upload Attachments

If you successfully entered or saved the information inputted on the Completeness Checklist page by
clicking on the SAVE and PROCEED button, the screen below should appear. This page can also be
reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the
upper left hand side of the page, you will see a section “Other Submissions”. Click on the underlined
text “Closeout Audit Submission”, and then click on the underlined text “Upload Attachments”. The
screen in the next page should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm the information displayed is correct.
2. Click on the Choose File button to search for document(s) to be attached. Then follow instructions
on the next page on searching and attaching document.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
5. Click the CANCEL button to erase/delete all entries since the last time you saved your work.
6. Click the SAVE button to save all entries currently on the screen.
7. Click the SAVE and PROCEED button to take you to the Lender-Closeout Audit Submission-submit page.
As part of your stub audit submission, you must include an electronic copy of your
NOTE
complete audited compliance audit. Please note that all files must be in a non-editable
.pdf format and NO personal information should be contained in attachments such as
Social Security Numbers.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Closeout Audit Submission-Submit

1. Confirm the information displayed is correct.
2. Please read to understand and attest that you have met all requirements.
3. Click on the “SUBMIT TO ED” button to complete your Stub Audit Submission process. If you do
not have the “SUBMIT TO ED” button please verify that “submitter” is selected as a user role. See
Manage Users for details.
4. The following confirmation of receipt will be displayed on your home page.

NOTE

June 2021

You will have read access only once submitted.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Lender Servicer UG - Stub Audit Submission

Stub Audit Submission Compliance Audit Information

To complete your Entity’s Stub Audit submission, complete the LOGIN steps this will take you to
your Entity’s eZ-Audit homepage. On the upper left hand side of the page, you will see a section “Other
Submission”. Click on the link Create Stub Audit Submission, and then click on the underlined text
“Compliance Audit”. The screen in the next page should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm the information displayed is correct.
2. Is this submission covering multiple Lenders? YES/ NO
Note: If you select ‘No’ to Question 1 then user will not have ability
to add more entity in the Lender table.
If ‘Yes’, follow the steps in section ‘Adding Entity to the Lender table’.
3. Enter Begin date of the audit period.
4. Enter End date of the audit period.
5. Provide a reason if your audit period is less than a year.
6. This is the auditor on file with the Department of Education.
7. If the auditor’s information is correct, no action is required. If blank, incorrect or this is a new
auditor, please select NO, and update with current information.
8. Please fill up all the mandatory fields. When Country is “United States” then TIN and State
are required fields.
9. Was the student Federal Family Education Loan Program (FFELP)audited as the major
program? Note: If the answer to this question is NO, do not answer question 6.
10. Does this A-133 report contain any findings related to the Federal Family Education Loan
Program (FEELP)?
11. Opinion type Note: If Yes to Question 4, Select the option from Opinion type drop-down.
12. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last
time you saved your work.
13. Click the SAVE button to ensure all entries are successfully stored by the system for this
page.
14. Click the SAVE and PROCEED button to go to the Annual Submission-Lender Annual
Submission Completeness Checklist page. This is the next stage in the submission
process.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Stub Audit Submission Completeness Checklist

If you successfully entered or saved the information inputted on the Compliance Audit page by clicking
on the SAVE AND PROCEED button, the screen below should appear. This page can also be reached
by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the upper lefthand side of the page, you will see a section “Other Submissions”. Click on the underlined text “Stub
Audit Submission”, and then click on the underlined text “Completeness Checklist”. The screen below
should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide
1. Confirm the information displayed is correct.
2. Ensure all applicable documents are included with your submission. Check all appropriate
documents attached are in English and do not contain any Personally Identified Information (PII).
To view what is included in PII please hover the mouse over the work PII.
3. Provide contact information (name, email, phone) President/CEO Contact and Firm & CPA
Contact (FIRM Name, Auditor Name, Email, Phone) for who should be contacted regarding the
submission and/or additional notes as necessary.
•

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Stub Audit Submission Upload Attachments

If you successfully entered or saved the information inputted on the Completeness Checklist
page by clicking on the SAVE and PROCEED button, the screen below should appear. This page can
also be reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage.
On the upper left hand side of the page, you will see a section “Other Submissions”. Click on the
underlined text “Stub Audit Submission”, and then click on the underlined text “Upload Attachments”.
The screen in the next page should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

3. Check all appropriate documents attached are in English and do not contain any Personally
Identified Information (PII). To view what is included in PII please hover the mouse over the
work PII.
(Please note: When uploading another document, please deselect the previous upload type
and then reselect the document type.)
4. After the document has been selected and the file type identified by checking the box, click the
“ADD” button to ensure that the document has been successfully attached to your submission.
5. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last time
you saved your work.
6. Click the SAVE button to save all entries currently on the screen.
7. Click the SAVE and PROCEED button to take you to the Lender-Stub Audit Submission-submit
page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

NOTE

June 2021

As part of your stub audit submission, you must include an electronic copy of your
complete audited compliance audit. Please note that all files must be in a non-editable
.pdf format and NO personal information should be contained in attachments such as
Social Security Numbers

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Stub Audit Submission-Submit

If you successfully entered, saved and attached an electronic copy of your submission by
clicking on the SAVE and PROCEED button, the screen below should appear. This page can also be
reached by repeating the LOGIN step. This will take you to your entity’s eZ-Audit homepage. On the
upper left-hand side of the page, you will see a section “Other Submissions”. Click on the underlined text
“Stub Audit Submission”, and then click on the underlined text “Submit”. The screen below should
appear:

1. Confirm the information displayed is correct.
2. Please read to understand and attest that you have met all requirements.
3. Click on the “SUBMIT TO ED” button to complete your Stub Audit Submission process. If you
do not have the “SUBMIT TO ED” button please verify that “submitter” is selected as a user
role. See Manage Users for details. This will then take you to your entity’s homepage with a
displayed confirmation of your submission
4. The following confirmation of receipt will be displayed on your home page.

NOTE

June 2021

You will have read access only once submitted.

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Lender Servicer UG - Exemption Request

Create Exemption Request

This page can be reached by repeating the LOGIN step. This will take you to your entity’s eZAudit homepage. On the upper left-hand side of the page, you will see a section “Other Submissions”.
Click on the underlined text “Other Submissions”, and then click on the underlined text “Create
Exemption Request”. The screen in the next page should appear:

June 2021

100

June 2021

101

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

4. Select the Fiscal Year End date from the drop-down for which you are requesting an exemption.
5. Click the CANCEL button to erase all entries.
6. Click the “SUBMIT TO ED” button to submit your Waiver Exemption Request. If you do not have the
“SUBMIT TO ED” button please verify that “submitter” is selected as a user role. See Manage
Users for details. This will then take you to your entity’s homepage with a displayed confirmation of
your transaction.

June 2021

102

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Lender Servicer UG - Additional Information

Additional Information Submission

This page can be reached by repeating the LOGIN step. This will take you to your entity’s eZAudit homepage. On the upper left-hand side of the page, you will see a section “Other Submissions”.
Click on the underlined text “Other Submissions”, and then click on the underlined text “Submit
Additional Information”. The screen below should appear:

1. Confirm the information displayed is correct.
2. Select submission to associate the additional information with. If the submission was not
submitted via eZ-Audit it will not be listed. If the review is completed, you cannot submit
additional information. Please check your Entity Homepage Notification section the status
of your submission.
3. Click on the Choose File button to search for document to be attached. The screen below shouldappear:

June 2021

103

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

NOTE

June 2021

To submit additional information the submission must still be under FSA review.

104

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Section 3: Letters/ Notifications
Notifications Section

At any time, you will be able to view your entity’s review status by viewing the notification section of
your homepage. This can be reached by repeating the step LOGIN. This will bring you to your
entity’s eZ-Audit homepage and the screen below should appear:

1. This should read the name of your entity and OPEID number. Confirm that this is correct.
2. This is the Notification section. Most recent entity’s submission status and other notifications
will be displayed.

NOTE

June 2021

Users should periodically check the Entity Home Page for an up to date status of their
submission

105

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Resubmission/ Incomplete Letter
If your submission has been deemed incomplete you will be required to Resubmit. An email will
be sent to the person(s) as listed on the Checklists page in Contacts informing them that the submission
has been deemed incomplete.
Resubmissions should be submitted 7 calendar days from receipt of email.
To resubmit you must first view your incomplete letter posted to the Notifications section of your
Entity Home Page. To begin your resubmission, follow steps below.
1. Login to eZ-Audit. This will take you to your Entity’s Home Page. The screen below should
appear. Verify the name on your entity and OPEID.

2. Click link to view Incomplete Letter. Incomplete letter will provide information regarding the reason(s)
your submission was deemed incomplete. Letter will open in separate window.

June 2021

106

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

3. Return to your home page by clicking back to the eZ-Audit Web site.

June 2021

107

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

4. Click the Resubmit link from left navigation area.
5. Correct submission as directed in Incomplete Letter. Portions of submission deemed
complete will be read-only.

June 2021

108

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Delinquent Letter
If your submission is not received by its due date, a system generated Delinquent Email will
be sent. The email will indicate that a Delinquent Letter has been posted to the Notifications section
of your Entity’s Home Page. Once the Delinquent Email is received, you will be directed to logon onto
eZ-Audit to view the Delinquent Letter.

1. Click link to view Delinquent Letter. Delinquent letter will provide information regarding
which annual submission is overdue. Letter will open in separate window.

June 2021

109

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

2. Close or minimize the browser to return to your home page.
3. Click on the Create Annual Submission link to submit your annual submission.

June 2021

110

Step-by-Step Guide to Using eZ-Audit for Lender Servicer OIG and Lender Servicer UG Audit
Guide

Reminder Email Notifications
A Reminder email will be sent 60 and/or 30 days prior the submission due date. The Reminder Email will
be sent to the eZ-Audit Entity Administrator to remind them that the Compliance Audit due date is
approaching.

June 2021

111

File Type	application/pdf
File Title	Microsoft Word - Lender Servicers Guide
Author	LavanyaKorukanti
File Modified	2021-07-14
File Created	2021-07-14