Postsecondary Education Participants System Training Guide

1

• Postsecondary Education Participants System
  Training Guide
• September 2006
  Volume III
• (Visit our webpage _at_ www.ed.gov/offices/OSFAP/PEPS
  )
  

2

• INDEX - Volume III
• Page
• Financial Statements
• Financial Statement 4
• Surety 25
• Correspondence Log 27
• Case Team Ratio Analysis Worksheet 31
• Tracking 33
• Waiver 36
• Change in Ownership 38
• Direct Loan Program
• Direct Loan Basic Information 40
• Program Review
• Program Review Information 46
• Deficiencies 62
• Reviewer Involvement 64
• Appeal 66

3

• INDEX - Volume III
• Page
• Management Improvement Service 68
• MIS Staff Involvement 75
• MIS Contact Log 77
• MIS Delivery Method 79
• MIS Issues 87
• Audit Resolution
• Tracking 90
• Audit Report 95
• Acceptability Review 104
• Finding 107
• Correspondence 111
• Appeal 113
• Missing Closeout Audit 115

4
Financial Statements From the main menu bar
select School, from the first drop down box
select Financial Statements, from the second
drop down box select Case Teams and from the
third drop down box select Financial Statement.
Note for policy questions pertaining to
financial statements please contact Janis
Presnell at 202-377-4264 or email
janis.presnell_at_ed.gov).
5
The Financial Statement Query screen will
display. The screen lists all financial
statements received by the Department since
1995/1996. Captured below are data fields Fiscal
Year End to Conclusion and a brief definition
of each of these data fields is provided on the
next page. Furthermore, all the data elements
housed on this rather lengthy screen are defined,
on subsequent pages.
6
FINANCIAL STATEMENT QUERY SCREEN Data
ElementsCurrent Status Indicates the current
status for the most recent Financial Statement
(FS).Fiscal Year End Schools fiscal year end
date.Sch Grp Indicator if the FS is for a
School Group.FY End Chg Indicator if the FS
is for a period ending different than
06/30/CCYY.Init Indicator if the FS is for an
initial (new) school to Title IV
participation.CIO Indicator if the FS is for a
Change in Ownership.Due Date Date the FS is
due to EZ Audit.Received Date Date the FS was
received by the Department.Reminder Letter Sent
Date Date a letter sent reminding school to
submit FS.Delinquent Letter Sent Date Date of
letter sent advising school it failed to submit
its FS and/or that the Department has not
received the schools FS.Release Date Date the
FS was released after the first round of QC.Out
Come Status of FS after primary review (i.e.
complete or incomplete).Flagged Indicates some
type of concern (i.e. audit score, late refund,
etc.).Score Score of FS from Primary Review
(Range 3 to 3).Concl Conclusion (final
determination) after Primary Review.
7
The middle-screen data fields of the Financial
Statement Query screen are viewed by using the
Horizontal Scroll bar as we have done on other
grid format screens. Captured below, data fields
Flagged Later to Determination make up this
portion of the screens content. A brief
definition of this group of data elements is
provided on the following page.
8
FINANCIAL STATEMENT QUERY SCREEN Data Elements
(Continued) Flagged Later Financial
statement was not originally flagged but the
School Participation Management Team requested an
override and based on the override request the
financial is now flagged.Admin Stay On/Off Dates
Date the audit, financial statement or recert
application was placed on/taken off
administrative stay.Admin Stay Reason Reason
for the administrative stay which is based on
certain pre-established criteria.Determin. Date
Date the School Participation Management Team
Financial Analysts completed their review/final
determination.Determination Code and type of
Determination made by the School Participation
Management Team Financial Analyst (i.e. without
condition, letter of credit, denial, heightened
cash monitoring 1, heightened cash monitoring 2
or reimbursement).
9
The last portion or farthest right of the
Financial Statement Query screen will display
by scrolling as far right as possible. A brief
definition for Financial Analyst and Case
Team are provided on the next page. Upon
completion of that material, select the Primary
Review button located on the lower left of the
screen. (Note the cursor is in the 06/30/2005
of the Fiscal Year End Date data field refer to
applicable discussion on page 14)
10
FINANCIAL STATEMENT QUERY SCREEN Data
Elements (Continued) Financial Analyst
Name of the School Participation Management Team
Financial Analyst responsible for the
determination. Case Team School Participation
Management Team responsible for the financial
statement.
11
Page 1 of the Primary Review screen will
display. Data is displayed on this screen once
the Document Receipt and Control Center (DRCC)
has released the financial statement (FS).
Remember, the FS data you get on this screen is
the result of which FS (i.e. for which fiscal
year end) your cursor was on while in the
Financial Statements Query screen. Select the
Next Page icon to continue.
12
Page 2 of the Primary Review screen will
display with some results of the initial review
of the financial statement by ED staff or
contractor. Select the Next Page icon to
continue reviewing data housed within the four
(4) pages of the Primary Review screens.
13
Page 3 of the Primary Review screen will
display. It captures the financial statements
data ranging from Total Assets to Total
Expenses. Select the Next Page icon to
continue.
14
Page 4 of the Primary Review screen will
display. Select the Incomplete Letter button
at the bottom of the page, left portion.
15
A forms message displays with an alert stating
that the financial statement is complete. Select
the OK button to dismiss the message.
16
Select the Exit icon to exit the Primary
Review screen.
17
The Financial Statement Query screen will
redisplay. Select the CM Worksheet button
located at the bottom of the screen.
18
Page 1 of the Case Team Ratio Analysis
Worksheet screen will display. As suggested by
its title, these two (2) screens serve as a
worksheet to the Financial Analyst (FA) of a
School Participation Management Team. The FA
reviews the financial statement and conducts an
analysis of its data to determine or derive an
acceptability conclusion. Select the Next
Page icon to view Page 2.
19
Page 2 of the Case Team Ration Analysis
Worksheet screen displays the summation of most
of the FS data. Select the Exit icon to return
back to Financial Statement Query screen.
20
The Financial Statement Query screen will
redisplay. Select the Participants button
located at the bottom of the screen.
21
The Financial Statement Participant screen will
display. This screen is used to view all the
schools within a group of extreme value should
one financial statement be submitted for the
group. Select the Exit icon to leave this
screen.
22
The Financial Statement Query screen will
redisplay. Select the Waiver button, or the
fifth access button located at the bottom of the
screen.
23
Solely for the purpose of providing a visual
display of the kind of information that is
captured by the data fields of the Financial
Statement and Compliance Audit Waiver screen, a
new example school Prima Medical Institute
Mesa (OPE ID 011570) is presented below. This
school applied for and was granted (06/06/2006) a
financial statement and compliance audit waiver
covering fiscal years 12/31/2004 12/31/2006.
When your review is complete, turn the page and
return to the Financial Statement Query screen
and Arizona Automotive Institute data.
24
The Financial Statement Query screen will
redisplay with Arizona Automotive Institute,
OPE ID 010847. The far right portion of the
screen captures Stay Reason (if applicable),
Determination descriptions, FA names and
Case Team identifying information. Select the
Exit icon to continue.
25
Financial Statements Surety From the main menu
bar select School, from the first drop down box
select Financial Statements, from the second
drop down box select Case Teams and from the
third drop down box select Surety.
26
The Surety screen will display the most current
surety data for the school. To view all Surety
Requested and Surety Received records for the
schools different Fiscal/Award Year End dates,
use the Next Record/Previous Record icons .
Select the Exit icon to continue.
27
Financial Statements Correspondence Log From
the main menu bar select School, from the first
drop down box select Financial Statements, from
the second drop down box select Case Teams and
from the third drop down box select
Correspondence Log.
28
The Correspondence Log screen will display.
This screen captures all incoming correspondence
via ezAudit for Audits, Financial Statements and
supporting documents pertaining to an EAPP
submission. The screen is displayed in a grid
format. Use the Horizontal Scroll bar located
on the bottom of the screen to view the screen in
its entirety.
29
Continue to use the Horizontal Scroll bar
located on the bottom of the screen to view more
information.
30
The farthest right portion of the Correspondence
Log screen ends with the Case Team data field
and the Print Letter button. Select the
Exit icon to continue.
31
Financial Statements Case Team Ratio Analysis
Worksheet From the main menu bar select
School, from the first drop down box select
Financial Statements, from the second drop down
box select Case Teams and from the third drop
down box select Case Team Ratio Analysis
Worksheet.
32
Data associated with the Case Team Ratio
Analysis Worksheet displays on two screens or
has two (2) pages. They are the identical
screens /pages of data viewed previously via the
CM Worksheet button on the Financial Statement
Query screen. Select the Exit icon to review
the tracking of financial statements and
compliance audits in PEPS.
33
Financial Statements Tracking From the main
menu bar select School, from the first drop
down box select Financial Statements, from the
second drop down box select Case Teams and from
the third drop down box select Tracking.
34
The Financial Statement/Audit Tracking screen
will display. This screen tracks all incoming
financial statements and compliance audits. The
screen is displayed in a grid format. Use the
Horizontal Scroll bar located on the bottom of
the screen to view more information.
35
The last portion of the Financial
Statement/Audit Tracking screen will display.
The farthest right data fields of this screen are
the Pre ACN Receipt Date field and the
Referral button. Select the Exit icon to
return to the PEPS main menu.
36
Financial Statements Waiver From the main menu
bar select School, from the first drop down box
select Financial Statements, from the second
drop down box select Case Teams and from the
third drop down box select Waiver.
37
The Financial Statement and Compliance Audit
Waiver screen will display. Note This is the
exact same screen previously accessed via the
Waiver button on the Financial Statement
Query screen. Select the Exit icon to return
again to the PEPS main menu.
38
Financial Statements, Change in Ownership From
the main menu bar select School, from the first
drop down box select Financial Statements, from
the second drop down box select Case Teams and
from the third drop down box select Change in
Ownership.
39
The Change in Ownership screen will display.
This screen serves somewhat as a one-time
balance sheet for the FA/School Participation
Management Team reviewing a schools E-APP
request for change of ownership approval.
Select the Exit icon to continue.
40
Direct Loan Program - From the main menu bar
select School, from the first drop down box
select Direct Loan Program and from the second
drop down box select Direct Loan Basic
Information.
41
The Direct Loan Basic Information screen will
display. The left side of this bi-sectional
screen provides the FDSLP ID number, DUNS number,
program eligibility status, deferred and
withdrawal information, if applicable.Select the
Locations... button.
42
The Location FDSLP ID Numbers screen will
display. Select the Exit icon.
43
The Direct Loan Basic Information screen will
redisplay. Select the Origination Option...
button below the second section of this screen
that captures Direct Loan Participation data
such as Start Date and Reason, End Date and
Reason and Origination Option information in a
free-form note space.
44
The Origination Option Information screen will
display with data such as Option Definitions,
Award Year, Option Start, and Option End
date and Reason data. Select the Exit icon.
45
The Direct Loan Basic Information screen will
redisplay. A Note button provides access to the
Direct Loan Notes screen that stores all
DLOPS/DL staff notes and comments. Like other
buttons, if a lt is present to its right, this
indicates that there is a written note/comment
which is accessible via the button. Select the
Exit icon to return to the PEPS main menu.
46
Program Review - From the main menu bar select
School, from the first drop down box select
Program Review and from the second drop down
box select Program Review Information.
47
The Program Review Information screen will
display. The screen will display a list of all
program reviews recorded for this OPE-ID. For
this exercise, be sure that PRCN (Program
Review Control Number) 200321121225 is
highlighted and select the OK button.
48
Page 1of 2 Program Review Information screens
will display. This screen overviews basic
Program Review (PR) information review type,
reason, level, scope, etc., and review and
correspondence dates. Select the Next Page
icon to continue.
49
Page 2 of the Program Review Information screen
will display. It captures award year and case
team actions data, as well as liability and
repayment data. Select the Current
Deficiencies button to continue.
50
The Program Review Deficiencies screen will
display in a grid format. Within this portion of
the screen is displayed deficiencies- by code
and name, liability dollar amount(s), formal
fine action, and appeal status and revised
liability dollar amount(s) if applicable. Use
the Horizontal Scroll bar located on the bottom
of the screen to view more information to the
right of the screen.
51
The farthest right portion of the Program Review
- Deficiencies screen will display the Revised
Reason and Repayment Amount data fields and
the Repayment button. Select the Repayments
button.
52
The Program Review Repayments screen will
display in a grid format. This portion of the
screen details specifics about the repayment such
as the FSA Program (FDSLP or Federal Direct
Student Loan Program, in this example) associated
with the repayment, the method or source the
repayment will be returned to (i.e. EDs Finance
Accounts Receivable Department) and the original
liability amount (i.e. 5,241). Use the
Horizontal Scroll to view more information.
53
The last portion of the Program Review
Repayments screen will display. It captures the
revised liability amount(s) (if applicable),
the actual repayment amount, the revised
repayment amount(s) (if applicable), and totals
for each. Select the Exit icon.
54
The Program Review Deficiencies screen will
redisplay. Select the Exit icon to leave this
screen and return to Page 2 of the Program
Review Information screen.
55
Page 2 of the Program Review Information screen
will redisplay. Select the Appeals button to
display Final Audit Determination (FAD) and
Final Program Review Determination (FPRD) data.
56
The FAD/FPRD Appeals screen will display
Talladega Colleges data. However below, Ross
University, School of Medicines (Ross)(022460)
has been substituted as an example of a full
cycle appeal. Documented below is Ross appeal
in response to the FPRD issued on 12/14/1989.
Ross appeal of program review (PRCN 19953021158)
resulted in a settlement agreement which lowered
the original appealed amount of 116,072 to a
lesser, revised liability amount of 21,789, on
07/12/1999. Select the Contact button.
57
The Appeal Contact pop-up box will display.
The name of the person responsible for any and
all communication requests regarding the Ross
appeal, including contact address and
telephone/fax number information, are housed
here. Select the OK button to dismiss the
Appeals Contact box.
58
The FAD/FPRD Appeals screen will redisplay with
Ross Universitys FPRD appeal data. Select the
Hearing button.
59
The AAA Hearings and Decisions screen will
display. The applicable data regarding Hearing
and Action activities by other entities of the
Departments AAA (Administrative Actions and
Appeals) staff will be housed here. In the case
of Ross, a settlement agreement was reached and
the hearing was dismissed, therefore it was only
assigned an OHA (Office of Hearing and Appeals)
judge and a docket number. Select the Exit
icon to continue.
60
The FAD/FPRD Appeals screen will redisplay. The
Stop Pay/Reimbursement button is another access
tool to any stop pay/reimbursement data (should a
school be involved in such monitoring) as
referred to in Volume II of the training guides.
Select the Exit icon.
61
Returning to Page 2 of the Program Review
Information screen with Talladega College
OPE ID 001046 as our example school, select
the Exit icon to close out the program review
screens and return to the PEPS main menu.
62
From the main menu bar select School, from the
first drop down box select Program Review and
from the second drop down box select
Deficiencies.
63
The Program Review Deficiencies screen will
display. This is the same screen that you viewed
earlier under Page 2 of the Program Review
Information screen. Select the Exit icon.
64
From the main menu bar select School, from the
first drop down box select Program Review and
from the second drop down box select Reviewer
Involvement.
65
The Program Review - Reviewer Involvement
screen will display. This screen list the ED
personnel (and occasionally, some of our
Partners personnel) that conducted or
participated in the ED program review. Select
the Exit icon.
66
From the main menu bar select School, from the
first drop down box select Program Review and
from the second drop down box select Appeal.
67
The Appeal Screen will display. Note this is
the same screen that you viewed earlier under
Page 2 of the Program Review Information
screen. Select the Exit icon.
68
From the main menu bar select School, from the
first drop down box select Management
Improvement Services, and from the second drop
down box select Management Improvement
Services.
69
MANAGEMENT IMPROVEMENT SERVICES The Management
Improvement Services (MIS) module houses Federal
Student Aids non-compliance oversight. All
technical support and assistance to institutions
on issues ranging from general administration to
closed school inquiries are entered into the MIS
module.All updates to MIS are performed by
School Participation Management Division, along
with their adjuncts, Quality Assurance Team,
Experimental Sites Team, Administrative Actions
and Appeals Team, Direct Loan Client Account
Managers (DL CAMS), Closed School Unit, and
Default Prevention.
70
The Management Improvement Services screen will
display. A message indicates that there is no
MIS records for the school selected. Select the
OK button to continue.
71
Select the Enter Query/Show Last icon so that
you can query for another school.
72
When the screen is cleared of Arizona Automotive
Institute data, enter 031021 in the OPE ID
field and the select the Find icon.
73
The Schools Matching Search Criteria box will
display. Select the OK button to continue.
74
The Management Improvement Service window will
display. There are schools where more than one
(1) management improvement service (MIS) has
been rendered. Hence, you must make sure the
Management Improvement Service Number (MISN)
that you wish to review is highlighted and then
select the OK button to continue. In this
example, OPE ID 031021 has only one (1) MISN.
75
The Management Improvement Service screen will
display the data for the MISN you requested.
Similar to the Program Review screen data, the
MIS information screen data includes reason,
level of MIS, team type as well as start
and end date data. There is also a free-form
note/comment space for pertinent information
related to the MIS. Select the Staff
Involvement button.
76
The MIS Staff Involvement screen will display.
Similar to the Program Review Involvement
screen, the names of ED personnel that conducted
or participated in the management improvement
service are listed here. Select the Exit icon.
77
The Management Improvement Service screen will
redisplay. Select the Contact Log button.
78
The MIS Contact screen will display. Select
the Exit icon to continue.
79
The Management Improvement Service screen will
redisplay. Select the Delivery Method button.
80
The MIS Delivery Method screen will display.
Use the horizontal scroll bar to scroll the
screen over.
81
The end of the MIS Delivery Method screen will
display. Select the Issues button.
82
The MIS Issues screen will display. Use the
horizontal scroll bar to scroll the screen over.
83
The end of the MIS Issues screen will display.
Select the Deficiency button.
84
The end of the MIS Deficiencies screen will
display. Select the Exit icon to continue.
85
The MIS Issues screen will display. Select the
Exit icon to continue.
86
The MIS Delivery Method screen will display.
Select the Exit icon to continue.
87
The Management Improvement Service screen will
redisplay. Select the Issues button.
88
The MIS Issues screen will display. This is
the same screen viewed earlier under the
Delivery Method button. Select the Exit icon
to continue.
89
The Management Improvement Service screen will
redisplay. Select the Exit icon to continue.
90
Audit Resolution From the main menu bar select
School, from the first drop down box select
Audit Resolution and from the second drop down
box select Tracking (for policy questions
pertaining to audits please contact Deborah
Godden at 202-377-4269 or email
deborah.godden_at_ed.gov).
91
The Audit Statement/Audit Tracking screen will
display for this school in a grid format. This
screen is the same as the one viewed earlier from
the Financial Statement module review. Select
the Enter Query/Show Last icon to select
another school to view.
92
Enter 008545 in the OPE ID field within the
Header Block and select the Find icon.
93
The Schools Matching Search Criteria box will
display. Select the OK button to continue.
94
The Audit Statement/Audit Tracking screen will
display for this school in a grid format. This
screen is the same as the one viewed earlier from
the Financial Statement module. Select the
Exit icon to continue.
95
From the main menu bar select School, from the
first drop down box select Audit Resolution and
from the second drop down box select Audit
Report.
96
The screen will display a list of all audit
reviews associated with this OPE-ID. Be sure
that ACN (Audit Control Number) 05-2002-36397
is highlighted and select the OK button.
97
Page 1 of the Audit Report screen will display.
Select the Programs button.
98
A Programs window will display. Select the
OK button to continue.
99
After the screen title you see the
number-of-screens designation (i.e. Page 1 of
3). Select the Next Page icon to access Page 2
of the Audit Report screen.
100
Page 2 of the Audit Report screen will
display. Select the Next Page icon again.
101
Page 3 of the Audit Report screen will display.
Select the Amend History button.
102
A system dialogue box posts the alert that there
are no amended liability amounts found for this
audit report no amended liability history.
Select the OK button.
103
Page 3 of the Audit Report screen will
redisplay. Select the Exit icon.
104
From the main menu bar select School, from the
first drop down box select Audit Resolution and
from the second drop down box select
Acceptability Review.
105
The screen will display a list of all audits
found for this OPE-ID. Be sure that ACN
05-2002-36397 is highlighted and select the
OK button.
106
The Acceptability Review screen will display.
Select the Exit icon.
107
From the main menu bar select School, from the
first drop down box select Audit Resolution and
from the second drop down box select Finding.
108
The Audit Finding screen displays. Place your
cursor in the Code field for the Deficiency
Code 2492. Select its Repay button on the
far right.
109
The Audit Finding Repayment screen will
display. Select the Exit icon.
110
The Audit Finding screen will redisplay.
Select the Exit icon to continue.
111
From the main menu bar select School, from the
first drop down box select Audit Resolution
and from the second drop down box select
Correspondence.
112
The Audit Correspondence screen displays.
Select the Exit icon.
113
From the main menu bar select School, from the
first drop down box select Audit Resolution and
from the second drop down box select Appeal.
114
Page 1 of the FAD/FPRD Appeals screen will
display. Note, this is the exact same screen
viewed earlier during the Financial Statement
module review. Select the Exit icon to
continue.
115
From the main menu bar select School, from the
first drop down box select Audit Resolution and
from the second drop down box select Missing
Closeout Audit.
116
The Missing Closeout Audit screen will display.
Select the Exit icon to continue.