TPS_manual

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

TPS_manual

OMB: 1845-0072

Document [pdf]

Download: pdf | pdf

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

Table of Contents
Table of Contents
Table of Contents ......................................................................................................................................... 1
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 ....................................................................................................13
Update My Profile Page .......................................................................................15
Forgot Password ..................................................................................................16
Logout ...................................................................................................................19
My Profile .............................................................................................................21
Change Challenge Questions ...............................................................................23
Change Password .................................................................................................24
Navigation ............................................................................................................26
Data Edits .............................................................................................................27

Manage Users ............................................................................................... Error! Bookmark not defined.

Types of Users and Responsibilities.................................................................................... 29
Entity Administrator Homepage ......................................................................................... 30
Creating/Deleting Data Entry/Submitter Users ...................... Error! Bookmark not defined.
Entity Profile Page/Status.......................................................................................................................... 33

Entity Profile ....................................................................................................................... 33
Historical Submissions........................................................................................................ 35
Notifications ........................................................................................................................ 36
Annual Submissions ................................................................................................................................... 37

Annual Submissions Compliance Audit ............................................................................. 37
Annual Submission Completeness Checklist ..................................................................... 42
Annual Submissions Upload Attachments ......................................................................... 45
Annual Submission-Submit ................................................................................................ 48
Closeout Audit Submission ........................................................................................................................ 50

Closeout Audit Submission Compliance Audit Information ............................................. 50
Closeout Audit Submission Completeness Checklist ......................................................... 52
Closeout Audit Submission Upload Attachments............................................................... 55
Closeout Audit Submission-Submit .................................................................................... 58
Stub Audit Submission ............................................................................................................................... 59

Stub Audit Submission Compliance Audit Information .................................................... 59
Stub Audit Submission Completeness Checklist ................................................................ 62
Stub Audit Submission Upload Attachments ..................................................................... 65
Stub Audit Submission-Submit ........................................................................................... 67

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
Change in Fiscal Year End ........................................................................................................................ 69
Exemption Request .................................................................................................................................... 71

Create Exemption Request .................................................................................................. 71
Additional Information .............................................................................................................................. 75

Additional Information Submission ................................................................................... 75
Resubmission ............................................................................................................................................. 77
Delinquent Letter ....................................................................................................................................... 80
Reminder Email Notifications.................................................................................................................... 82

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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 web form (follow this manual for complete instructions).
2. Your Entity also attaches an electronic copy of your audit report in a non-editable pdf
format (using Adobe Acrobat).
3. The eZ-Audit system automatically forwards flagged financials and 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 1-877-263-0780, 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

What role should my auditor play in eZ-Audit? You may choose to ask your auditor to serve in all roles listed above.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
If your auditor is not selected as a Data Entry/Submitter; you may request that your auditor
electronically send 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 (CAP), 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. Is the firewall information accurate/applicable?
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
●
●

June 2021

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

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

2
1

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 Third Party Servicer (TPS)

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

eZ-Audit Registration
All Entity’s must submit a registration request letter to the FSA to gain access to eZ-Audit. Please see
the Registration Instructions on the eZ-Audit Welcome Page for details.
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 submitted to FSA.
You will receive two registration confirmation emails. The first email from 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.
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 browser, and when the eZ- Audit
login screen appears, enter the user name and temporary password you received.
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 Institution/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 Third Party Servicer (TPS)

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 Third Party Servicer (TPS)
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.

**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.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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. Please confirm these
challenge questions.
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 were 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?

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
●
●
●
●

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 Third Party Servicer (TPS)
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 Third Party Servicer (TPS)
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.

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

By clicking on “Forgot Password?” link, the Password Reset page should appear requesting
your user information:

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

2
4

3
5

1.
2.
3.
4.

Click on the check box to indicate that you are an Entity user.
Enter your username.
Enter the TPSID of your Entity.
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.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
Challenge Questions
After eZ-Audit validates your username, the questions you initially chose will appear:

1
2
3

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 Third Party Servicer (TPS)
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 click Login.

1. To logout of the eZ-Audit system, click on the LOGOUT button at the top of this page. The

screen shown on
system.

June 2021

the next page should appear if you have successfully logged out of the

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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 Third Party Servicer (TPS)
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 lefthand 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 Third Party Servicer (TPS)

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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.
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 Third Party Servicer (TPS)
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.

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.

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
NOTE

June 2021

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 1-877-263-0780.

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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 twice.
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 Third Party Servicer (TPS)
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 Third Party Servicer (TPS)

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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 are the Institution/Entity
Administrator. Click on it to perform any of the managed 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 TPSID number. Confirm that this is correct.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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 Third Party Servicer (TPS)

3.
4.
5.

Complete all required fields providing the name and contact information for the “New User”.
Do not forget to specify the New User’s role(s) (see “Manage Users” for role definition).
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
Institution/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 Third Party Servicer (TPS)
Entity Profile

Entity Profile Page/Status

Entity’s should confirm that the information is correct.

1. To view the Entity Profile, click on the Entity Name:

NOTE

The Entity Profile can be viewed from Home page and any
submission page when clicked on Entity Name.

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 Third Party Servicer (TPS)

NOTE

June 2021

The following fields President, President Email, Financial Aid
Admin, FAA Email, Primary Accreditation Org, Other Accreditation
Org will remain blank. 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.

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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 Third Party Servicer (TPS)
Notifications

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 TPSID 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 submissions.

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

Annual Submissions

Annual Submissions Compliance Audit

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
“Create Annual Submissions” section. Click on the underlined text “Create FYE Annual
Submission”, and the screen in the next page should appear with your Entity’s name:

NOTE

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

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

2
3

1. Confirm the correct information is displayed correctly.
2. Select NO, if the entity needs to submit an Exemption request. Entity homepage will be displayed.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

See the Create Exemption Request section.

3. Select YES if the entity has disbursed Title IV funds

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

4. Select YES, and click on the Cancel button, Institution homepage will be displayed.

5. Select YES, and click on the Reset button, the selection will reset.
6. Select YES, and click on the Submit button, the Compliance Audit Information page will be
displayed.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

1
2
3
4
5

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.

Confirm the information displayed is correct.
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 Yes or No.
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.
Does this Compliance audit contain any findings related to the FSA Title IV
programs?
Opinion Type
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-GA
Annual Submission Completeness Checklist page. This is the next stage in
the submission process.

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---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 Third Party Servicer (TPS)

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
3

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.
● 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/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 Third Party Servicer (TPS)
Annual Submissions Upload Attachments

If you successfully entered or saved the information 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
“Create Annual Submissions” section. Click on the underlined text “Create FYE xx/xx/xxxx
Annual Submission”, and then click on the underlined text “Upload Attachments”.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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 Third Party Servicer (TPS)

3. Check all appropriate boxes for the documents you attached. (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 TPS -Annual-Submission-submit
page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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 “Create Annual
Submissions” section. 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.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
NOTE

June 2021

You will have “read” access once submitted.

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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 Third Party Servicer (TPS)

1
2
3
4

8
10
9

1.
2.
3.
4.
5.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
new auditor, please select NO, and update with current information.
6. Please fill up all the mandatory fields. When Country is “United States” then TIN
and State are required field.
7. Does this Compliance audit report contain any findings related to the FSA Title IV
programs?
8. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries
sine the last time you saved your work.
9. Click the SAVE button to ensure all entries are successfully stored by the system for this page.
10. Click the SAVE and PROCEED button to go to the Third Party Servicer Closeout Audit
Checklist page.

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 “Other Submissions”
section. 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 Third Party Servicer (TPS)

Continuation screen of Closeout Audit Submission CHECKLIST

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
3

1. Confirm the information displayed is correct.
2. Ensure all applicable documents are included with your audit report submission.
3. Provide contact information (name, phone, email) for ‘Third Party Servicer’ and
‘Firm and CPA Contact’ of whoever 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. 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 Third Party Servicer (TPS)
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
“Other Submissions” section. 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 Third Party Servicer (TPS)

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 Third Party Servicer (TPS)

3. Check all appropriate documents attached. (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 TPS-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 PDF format and NO personal
information such as Social Security Numbers should be contained
in attachments.

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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 “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 once submitted.

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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 Third Party Servicer (TPS)

1
2
3
4
5
6

8
9
11
10

1. Confirm the information displayed is correct.
2. Begin date is the beginning of the audit period.
3. End date is the end of the audit period.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
4. Provide a reason for Stub Audit.
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 FSA Title IV
Programs?
9. IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries sine
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 Third Party Servicer Stub
Audit Checklist page.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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:

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
1. Confirm the information displayed is correct.
2. Ensure all applicable documents are included with your submission.
3. Provide contact information (name, phone, email) for ‘Third Party Servicer’ and
‘Firm and CPA Contact’ of whoever 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. 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 Third Party Servicer (TPS)

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 Third Party Servicer (TPS)

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.

4.
5.
6.
7.

Please note: When uploading another document, please deselect the previous upload type
and then reselect the document type.)
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.
IMPORTANT WARNING: Click the CANCEL button to erase/delete all entries since the last
time you saved your work.
Click the SAVE button to save all entries currently on the screen.
Click the SAVE and PROCEED button to take you to the TPS -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 PDF format and NO personal

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
information such as Social Security Numbers should be contained
in attachments.

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 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.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

NOTE

June 2021

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. You will have read access once submitted.

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

Change in Fiscal Year End
Change in FY 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. This represents information on file with ED concerning current fiscal year.
3. Click on the dropdown list to change month as desired.
4. Click on the “SUBMIT TO ED” button to ensure that date change is captured by the

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
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 Third Party Servicer (TPS)

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 “Other
Submissions” section. 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 Third Party Servicer (TPS)

3
4
5

1. Confirm the information displayed is correct.
2. Click below link to view the waiver letter directly. On the bottom of the page the

Waiver letter should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)
3. Click on the Choose File button to search for document to be attached. The screen below
should appear:
(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 submission.
5. Select the Fiscal Year End date from the drop down menu for which you are requesting an
exemption.
6. IMPORTANT WARNING: Click the CANCEL button to erase all entries.
7. Click the “SUBMIT TO ED” button to submit your Waiver Exemption Request. This
will then take you to your Entity’s homepage with a displayed confirmation of your
transaction. 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 Third Party Servicer (TPS)

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
“Other Submissions” section. 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
should appear:

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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 Third Party Servicer (TPS)

Resubmission
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. A copy will also be sent to the Third Party
Servicer Oversight Group [email protected].
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 TPS ID.

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

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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. The
Delinquent letter will disappear once the school completes the submission.

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

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

2. Close or minimize the browser to return to your home page by selecting the window where the

eZ-Audit application was open.
3. Click on the Create Annual Submission link to submit your annual submission.

June 2021

Step-by-Step Guide to Using eZ-Audit for Third Party Servicer (TPS)

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

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