lenders_manual

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

lenders_manual

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

Table of Contents
eZ-Audit Overview ....................................................................................................................................... 3

eZ-Audit Technical Requirements.......................................................................... 4

eZ-Audit Rules of Behavior .................................................................................................. 5
Questions/Concerns .............................................................................................................. 9

eZ-Audit Registration ..................................................................................................................................... 10
Administrative Tasks/Security ........................................................................................................................ 11

Login ................................................................................................................................... 11

New User Login ................................................................................................... 12
Update My Profile Page ...................................................................................... 14
Forgot Password ................................................................................................. 16
If you forget your password, click on the “Forgot Password?” link from the
login page ............................................................................................................ 16
Logout .................................................................................................................. 19
My Profile ............................................................................................................ 21
Change Challenge Questions .............................................................................. 23
Change Password ................................................................................................ 24
Navigation ........................................................................................................... 25
Data Edits ............................................................................................................ 26

Manage Users ............................................................................................................................................ 27

Types of Users and Responsibilities .................................................................................... 27

Entity Administrator Homepage .......................................................................... 28
Creating/Deleting Data Entry/Submitter Users .................................................. 29

Entity Profile Page ..................................................................................................................................... 31

Entity Profile ........................................................................................................ 31

Historical Submissions ....................................................................................................... 33

Section 1: LENDER OIG AUDIT GUIDE ................................................................................................. 34
Lender OIG - Annual Submission .............................................................................................................. 34

Annual Submission Compliance Audit Information ......................................................... 34

Adding Entities to the Lender table ..................................................................... 39
Deleting Entities from the Lender table ............................................................... 39

Annual Submission Completeness Checklist ..................................................................... 41

Standard Engagements Compliance Checklist .................................................... 41
Alternative Engagements Compliance Checklist ................................................. 42
Combined Engagement Compliance Checklist .................................................... 44

Annual Submission Upload Attachments........................................................................... 46
Annual Submission-Submit ................................................................................................ 48
Lender OIG - Change in Fiscal Year End .................................................................................................. 49

Change in Fiscal Year End Submission ............................................................................. 49
Lender OIG - Closeout Audit Submission ..................................................................................................... 50

Closeout Audit Submission - Compliance Audit Information ........................................... 50
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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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Closeout Audit Submission Completeness Checklist ......................................................... 52
Closeout Audit Submission Upload Attachments .............................................................. 55
Lender OIG - Stub Audit Submission ......................................................................................................... 59

Stub Audit Submissions Compliance Audit Information .................................................. 59
Stub Audit Submissions Completeness Checklist .............................................................. 62
Stub Audit Submissions Upload Attachments.................................................................... 64
Stub Audit Submission-Submit........................................................................................... 66
Lender OIG - Exemption Request .............................................................................................................. 67
Lender OIG - Additional Information ........................................................................................................ 70

Additional Information Submission ................................................................................... 70
Section 2: LENDER UNIFORM GUIDANCE (UG) .................................................................................. 72
Lender 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 UG - Change in Fiscal Year End ................................................................................................... 81

Change in Fiscal Year End Submission ............................................................................ 81
Lender UG - Closeout Audit Submission ................................................................................................... 82

Closeout Audit Compliance Audit Information ................................................................. 82
Closeout Audit Submission Completeness Checklist ......................................................... 85
Closeout Audit Submission Upload Attachments .............................................................. 87
Closeout Audit Submission-Submit .................................................................................... 90
Lender UG - Stub Audit Submission .......................................................................................................... 91

Stub Audit Submission Compliance Audit Information .................................................... 91
Stub Audit Submission Completeness Checklist ................................................................ 94
Stub Audit Submission Upload Attachments ..................................................................... 96
Stub Audit Submission-Submit........................................................................................... 99
Lender UG - Exemption Request.............................................................................................................. 100
Lender 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

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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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, as applicable
via a web form (follow this manual for complete instructions).
2. Your entity also attaches an electronic copy of audit report in a non- editable pdf format
(using Adobe Acrobat).
3. The eZ-Audit system automatically forwards flagged financials and/or deficient audits to
FSA for resolution.
4. FSA communicates 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.
• eZ-Audit Help Desk assistance is available at [email protected] or by calling 1-877263-0780, Monday – Friday, 9 a.m. – 5 p.m. ET.
Who at my entity will use eZ-Audit?
•
eZ-Audit Institution/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
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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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What role should my auditor play in eZ-Audit?
You may choose to ask your auditor to serve in all roles listed above.
It your auditor is not selected as a Data Entry/Submitter 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.
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:

NOTE

•
•

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 eZ-Audit

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

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

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

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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The following Rules of Behavior will be displayed when you click on the link

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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1. Rules of Behavior to view the detail rules
2. Accept & Continue
3. [email protected]
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.

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

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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Administrative Tasks/Security
Login

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

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

NOTE

**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?

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•
•
•
•

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?

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

NOTE

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

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

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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Forgot Password
If you forget your password, click on the “Forgot Password?” link from the login page.

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

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

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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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.
The answers are case sensitive.

NOTE

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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: For Login information L

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
successfullylogged out of thesystem.

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

NOTE

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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 OIG and Lender 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.

NOTE

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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 OIG and Lender UG Audit
Guide
If you clicked on the underlined text “Update My User profile” on your entity’s
homepage, the screen below should appear:

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NOTE

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.

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. Select a question from the first dropdown list.
2. Select a question from the second drop down list.
3. Enter your answer to the first question you have selected.
4. Enter your answer to the second question you have selected.
5. Click the SAVE button to ensure all changes are successfully captured by the system.
6. Click the RESET button to cancel current entries and begin again.
All answers are case sensitive. You will not be able to view the answers
as you type them in.

NOTE

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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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. Type your old or temporary password.
2. Type your new password.
3. Retype your new password.
4. Click the SAVE button to ensure all changes are successfully captured by the system.
5. 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.

NOTE

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

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

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

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

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.

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

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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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.
One person can have all three-user roles. When the Institution/Entity
Administrator adds a new user, the user will receive an email with their
username and an email with a temporary password.

NOTE

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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Entity Profile Page
Entity Profile

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.

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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The following fields President, President Email, Financial Aid Admin,
FAA Email, Primary Accreditation Org, Other Accreditation Org are listed
in error and will remain blank until removed from the page. Please
contact eZ-Audit Help Desk Assistance at [email protected] or by
calling 1-877-263-0780, Monday – Friday, 9 a.m. – 5 p.m. ET.

NOTE

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Step-by-Step Guide to Using eZ-Audit for Lender OIG and Lender UG Audit
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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.
A Change in FYE submission listed was created by FSA to ensure the
appropriate FYE Annual Link was provided upon login.

NOTE

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

Section 1: LENDER OIG AUDIT GUIDE
Lender OIG - Annual Submission
Annual Submission Compliance Audit Information

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

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

1. Confirm the information displayed is correct.
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Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG
Audit Guide
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 ‘

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Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG
Audit Guide
Adding Entities to the Lender table on how to add Lenders.
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 SubmissionLender Annual Submission Completeness Checklist page. This is the next
stage in the submission process.

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

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

Deleting Entities from the Lender table

June 2021

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

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 OIG and Lender 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: Lenders-OIG Completeness checklist varies based on the answer selected for the
gateway question.

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 OIG and Lender UG
Audit Guide
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.
•

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.

Alternative Engagements Compliance Checklist

If user selected Alternative 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 OIG and Lender UG
Audit Guide
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

Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender 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.
• 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.
June 2021

Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG
Audit Guide
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. If you are an entity group this will take you to the
Upload page for the entity you have selected

June 2021

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

NOTE
June 2021

You will have “read” access only once submitted.
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Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG
Audit Guide

Lender 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 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:

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.
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 OIG and Lender UG
Audit Guide

Lender 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 OIG and Lender UG
Audit Guide
Adding Entities to the Lender table on how to add Lenders.
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 SubmissionLender Annual Submission Completeness Checklist page. This is the next
stage in the submission process.

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 underline text “Closeout Audit Submission,” and then click on the
June 2021

Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG
Audit Guide
underlined text “Completeness Checklist”. The screen below 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. 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.
•

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 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 OIG and Lender 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 OIG and Lender UG
Audit Guide
1. Confirm the information displayed iscorrect.
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.

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 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.
June 2021

Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG
Audit Guide
7. Click the SAVE and PROCEED button to take you to the Lender-Closeout Audit Submissionsubmit 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
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 eZAudit 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.

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 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 OIG and Lender UG Audit
Guide
Adding Entities to the Lender table on how to add Lenders.
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 SubmissionLender 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 OIG and Lender UG 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 OIG and Lender UG 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.
•

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.

June 2021

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

1. Confirm the information displayed iscorrect.
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 OIG and Lender 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 Submissionsubmit 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.
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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 eZAudit 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.

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 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
shouldappear:

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 OIG and Lender 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 OIG and Lender UG Audit
Guide

Lender OIG - Additional Information
Additional Information 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 “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 OIG and Lender 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

review.

June 2021

To submit additional information the submission must still be under FSA

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

Section 2: LENDER UNIFORM GUIDANCE (UG)
Lender 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:
If you are login in for the first time you will not see the see the Create
NOTE
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

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. 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. 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 SubmissionLender 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 OIG and Lender UG Audit
Guide
Adding Entity to the Lender table

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.

June 2021

Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender 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 OIG and Lender UG Audit
Guide
Annual Submission Completeness Checklist

June 2021

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

NOTE
June 2021

You will have “read” access only once submitted.
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Step-by-Step Guide to Using eZ-Audit For Lender OIG and Lender UG Audit
Guide

Lender UG - Change in Fiscal Year End
Change in Fiscal Year End Submission

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 Lender-Uniform Guidance.
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.

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Lender UG - Closeout Audit Submission
Closeout Audit 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:

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Adding Entities to the Lender table on how to add Lenders.
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 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 SubmissionLender Annual Submission Completeness Checklist page. This is the next
stage in the submission process.

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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:

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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, 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.
•

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.

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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:

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1. Confirm the information displayed iscorrect.
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.

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 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. 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 Submissionsubmit page.

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NOTE

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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

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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 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:

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Adding Entity to the Lender table on how to add Lenders
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 SubmissionLender Annual Submission Completeness Checklist page. This is the next
stage in the submission process.

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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 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:

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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.
•

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.

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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:

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

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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 eZAudit 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.
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Lender UG - 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:

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1. Confirm the information displayed is correct.
2. Click on the Choose File button to search for document to be attached. The screen below
shouldappear:

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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.

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Lender UG - Additional Information
Additional Information 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 “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:

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NOTE

June 2021

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

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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.

NthOeT
E
ir submission.
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Users should periodically check the Entity Home Page for an up to date status of
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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.

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

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.

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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 whichannual submission is overdue. Letter will open in separate
window.

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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.

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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.

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File Type	application/pdf
Author	Vishali Kuchallapati
File Modified	2021-07-14
File Created	2021-07-14