O D_Reqs_-_Sec_5_-_O D_Results_ _Reporting_-_Final_v.3_UPDATED_2-28-14.pdf

Federal Student Aid, O&D To-Be Requirements 5-1 O&D Results and Reporting

Section 5. O&D Results and Reporting Solicitation ED-FSA-14-R-0013

5.0 Overview

5.0.1 Purpose and Objectives

The O&D Results and Reporting function is responsible for communicating the output of O&D Processing to the various stakeholders involved in the Origination and Disbursement process including, schools, third-party vendors supporting schools, FSA staff, O&D Operations Staff, and Customer Service Representatives (CSRs). The processing results, relevant status changes, and other unsolicited events are packaged and sent or made available to authorized users either in real-time or in batch mode, and on a one-time or scheduled basis (e.g. daily, weekly, monthly). The list of reports defined in this section is not meant to be an exhaustive list. FSA is not limited to any reporting as defined in this document and reserves the right to add or discontinue reports as deemed necessary.

5.0.2 Scope

The O&D Results and Reporting function shall support the following methods of communicating the results of processing to the relevant stakeholders:

A. O&D System – Notifications and Responses

• Notifications of receipt shall be returned by the O&D System acknowledging, the receipt of Common Record documents sent by schools for O&D processing.

• Responses shall be sent by the O&D System to schools after the processing of their Common Records and shall contain the results of processing and any action that may need to be taken.

B. Correspondence such as communication letters or emails shall be sent to foreign and domestic schools and applicants to convey important processing events/results and might outline action(s) to be taken by the recipient. While some manual processing and sending of correspondence shall continue, FSA would like to improve the automation of correspondence.

C. Reporting Module shall satisfy the need for reports sent to schools senior management, FSA staff, and other relevant stakeholders or made available for access or request through the O&D Web Module. It shall also contain a data repository along with appropriate reporting and analytical tools, with an intuitive, easy-to-use interface that allows for ad hoc reporting and analysis. Therefore, the O&D Reporting Module shall consist of the:

• Data repository / warehouse of all relevant production-level data for reporting and analysis purposes;

• Real-time or near real-time synchronization with the production environment so the most current data is available for reporting and analysis;

• Intuitive, easy-to-use, and robust reporting and analytical tools;

Federal Student Aid, O&D To-Be Requirements 5-2 O&D Results and Reporting

• Report Generation capability for standard and ad hoc reporting;

• Standard production-level reports; and

• Program-level Reports.

D. O&D Operations Portal shall provide FSA with a web-based repository for all O&D programmatic, technical, operational, procedural, and policy-related documentation.

5.0.3 O&D Architectural Framework

Figure 5-1 illustrates the role of the Results and Reporting function in the Origination and Disbursement Process.

Figure 5-1: Functional Architecture of O&D Results and Reporting.

Federal Student Aid, O&D To-Be Requirements 5-3 O&D Results and Reporting

The following modules shall be responsible for enabling various results communication methods as described above:

• O&D System – Receipts and Responses shall generate, process, and manage the O&D Receipts and Responses files that are an integral part of Origination and Disbursement processing.

• Correspondence module shall be responsible for generating, printing, and sending various correspondences to schools and applicants.

• O&D Reporting Module shall be responsible for generating, formatting, and delivering various reports to O&D stakeholders, and allowing for ad hoc analyses.

• O&D Operations Portal shall serve as a comprehensive repository for daily, weekly, and monthly operational reports, O&D work products and deliverables, standard operating procedures, policies, and other key O&D documentation.

5.1 O&D System – Receipts and Responses

5.1.1 Receipts

The O&D System shall generate O&D Receipts for every Common Record received via SAIG or the O&D Web and send transmit them to source entity in the same manner the Common Record was submitted. The O&D Receipt shall indicate that the Common Record document was received and can be read by the O&D System. Schools and Third-Party Servicers shall be able to opt out of receiving O&D Receipts. This option shall be available to authorized users via the School Options menu in O&D Web. One O&D Receipt shall be generated per Common Record document received via SAIG or O&D Web by the O&D System, once it validates the Common Record against the XML Common Record Schema, but before actual processing of the Common Record.

5.1.2 Responses

The O&D System shall return a Response document for each Common Record (embodying an origination, disbursement, or financial processing request) it receives and processes. The Response document shall indicate the status of the Common Record processing, including any rejected data elements and the reason for the rejection. If the Common Record was accepted, then the Response document shall indicate that the record was accepted.

The Response document shall also be encoded as an XML-based Common Record. For Common Records that the school transmits via the SAIG, the O&D System shall send the Response document to the school’s SAIG mailbox. For Common Record data entered into the O&D Web module, a school shall have the option to receive a Response document either via O&D Web or via its SAIG mailbox.

For Responses sent via the SAIG mailbox, a school also has the option to receive a Full or a Standard Response to Common Records processed by the O&D System. A Full Response shall contain all the original data sent by the school and the rejected data elements and reasons. A Standard Response shall contain only the rejected data elements and rejection reasons.

Federal Student Aid, O&D To-Be Requirements 5-4 O&D Results and Reporting

The following is a broad sample of O&D Responses that shall be generated by the O&D System based on processing results:

• Pell Grant, TEACH Grant, Perkins and Direct Loan with Warning Edit Response

• Pell Origination and Disbursement Response

• Pell Award Correction Response

• Pell Award Reject Response

• SSN Date of Birth Reject Response

• Direct Loan with Anticipated Disbursements and Warning Edits Response

• Direct Loan Denied Credit Decision Response

• Direct Loan Web Origination and Disbursement Response

• Direct Loan Booking Notification

• TEACH Grant Web Origination and Disbursement Response

• TEACH Grant Counseling Acknowledgement

• TEACH Grant Booking Notification

• ATS Acknowledgement

• Entrance Counseling Acknowledgement

• Exit Counseling Acknowledgement

• MPN Acknowledgment

• PLUS Application Acknowledgment

• Credit Override Response

• Credit Decision Override Response

• Financial Awareness Counseling Acknowledgement

• Negative Disbursement Response

• Negative Pending Record

• Concurrent Enrollment Response

• Payment to Servicing Response

5.2 Reports

The O&D Reporting Module is responsible for generating predefined, custom, and ad hoc O&D reports for schools, FSA Staff, Customer Service Representatives, and other authorized users to support the business needs of the various Title IV programs. These reports shall be delivered to users on a regular basis or, in some cases, on demand in a variety of formats. The reports shall be sent to schools using the SAIG or be accessible via O&D Web. Schools shall also be to request some reports via O&D Web.

The O&D Reporting Module shall provide FSA with ad hoc reporting capability via the O&D Reporting Web, a web-based, intuitive, and easy-to-use interface.

Federal Student Aid, O&D To-Be Requirements 5-5 O&D Results and Reporting

5.2.1 Data Repository / Warehouse

As part of the processing cycle(s), the O&D System shall populate data to a data repository or data warehouse to be used for post-processing reports and ad hoc analyses. FSA requires access to production-level data in real-time or near real-time for accurate and consistent reporting. The data fields in the data warehouse shall be consistent with the data fields in the production environment to ensure accuracy and consistency in reporting and analyses.

5.2.2 Business Intelligence and Reporting Tool

FSA would like to enhance the existing reporting ability to provide greater customization of reports, expanded ad-hoc reporting capabilities, and improved query functionality. This would include a user-friendly reporting tool interface and intuitive report building capabilities.

Additionally, FSA wishes to expand the existing high-level reports to assist in monitoring schools by expanding the O&D Reporting Module or other report system capabilities and functionality. Reports shall include more available data fields including but not limited to calculated cash fields in the O&D Reporting Module.

5.2.3 Report Generation Process

After the O&D System completes the financial processing, it shall send a copy of all data to the Data Warehouse, where it can be accessed by the O&D Reporting Module. The O&D Reporting Module shall then create reports for schools, FSA, and Customer Service and other internal use. Reports shall be generated either by the O&D System or by an external report creation system, and may be delivered daily, weekly, monthly, or on demand. Reports shall be available via SAIG and/or O&D Web.

Reports shall be retained for a specified period of time (which can vary by report). In general, daily reports shall be retained for a minimum of 180 days, weekly reports for a minimum of 26 weeks, and monthly reports for a minimum of 6 months.

5.2.4 Standard Reports

The following reports shall be frequently used by schools to manage their origination and disbursement activities:

A. Electronic Statement of Account (ESOA)

• Programs Pell (ACG and National SMART for prior award years). FSA requires that ESOA be expanded to include Direct Loans and TEACH data. O & D should have the ability an ESOA.

• Summarizes a school’s CFLs versus net drawdowns for a specified award year.

B. School Account Statement (SAS)

• Programs Direct Loan and TEACH. FSA requires that SAS reports be expanded to cover Pell and IASG Grants.

• Monitors student level disbursements and school level drawdowns for each school and provides summaries and details of a school’s processing activity for each month or year-to-date.

Federal Student Aid, O&D To-Be Requirements 5-6 O&D Results and Reporting

C. Reconciliation File

• Programs Pell (ACG and National SMART for prior AYs)

• Displays student level disbursement information for an entire award year.

• Used by schools for reconciliation between O&D and school records.

D. Multiple Reporting Record (MRR)

• Programs Pell and TEACH (ACG and National SMART for prior AYs)

• Provides schools with information on students’ O&D statuses at other schools and the amount of scheduled grant awards disbursed.

• Identifies two primary types of multiple reporting conditions:

• Concurrent enrollment

• Potential over award situations

E. Rebuild Report

• Programs Direct Loan and TEACH

• Requested by schools to rebuild a lost or corrupt school Direct Loan and/or

TEACH database or to recreate specific student records.

F. Year-to-Date (YTD) Report

• Programs Pell (ACG and National SMART for prior AYs)

• Displays the number of grant recipients, award and disbursement records and their edit statuses, and the number of times a school receives a specific edit code on a response document.

• Also used to replace corrupt databases or to reconcile records with accepted data on O&D.

G. Pending Disbursement List (PDL)

• Programs Pell, TEACH, and Direct Loan (ACG and National SMART for prior AYs)

• This report shall be provided to assist schools in determining if changes to disbursements need to be made before a drawdown request is processed.

H. 15 Day Warning

• Programs Direct Loan

• The 15-Day Warning Report is used by schools to view un-booked loans that are within 15 days of the first actual disbursement date. All items required to book a loan, such as a linked MPN, must be submitted and accepted by O&D within 15 days of the actual disbursement date or the school can be in violation of this 30-day reporting requirement.

• FSA requires more accurate reporting of the 15-day reporting requirement by allowing disbursement adjustments, and not just the original disbursement date, to be taken into account when generating the report.

• Note that FSA’s requirement may change to a different date parameter and therefore the system will need to adjust accordingly.

Federal Student Aid, O&D To-Be Requirements 5-7 O&D Results and Reporting

I. Schedule ABC series of reports include summaries on Direct Loan and TEACH data exchanged between O&D and the Servicers.

• Schedule A: Summary of accepted and/or manually closed financial records and accepted, rejected, and unacknowledged batches

• Schedule B: Summary of booked financial records and variances in activity that have not been accepted and/or manually closed

• Schedule C: Summary of outstanding work in process as of the end of the current month, including total rejected, not acknowledged, and held records

5.2.5 Program Reports

The following section provides a listing of the Pell Grant; TEACH Grant, and Direct Loan reports that shall be generated by the O&D Reporting module. Program reports are available via the school’s SAIG mailbox, via the O&D Reporting Web site, or via data requests.

A. Pell Grant Reports The following Pell and TEACH Grant Reports shall be available:

• Grant Reports Options

• Format and Delivery Methods

• Pell Grant Electronic Statement of Account (ESOA)

• Pell Grant School Account Statement (SAS) – new report

• Pell Grant Multiple Reporting Record (MRR)

• Pell Grant Reconciliation Report

• Pell Grant Year-to-Date Record (YTD)

• SSN/Name/Date of Birth Change Report

• Pell Grant Pending Disbursement List

• Pell Grant Verification Status Report

• Pell POP Report

• Pell Lifetime Eligibility Used Report (per year)

B. TEACH Grant Reports

The following Teacher Education Assistance for College and Higher Education (TEACH) Grant reports shall be available in a variety of format options:

• TEACH Grant Reports Options

• Format and Delivery Methods

• TEACH Grant Header/Trailer Layout

• TEACH Grant Multiple Reporting Record (MRR)

• TEACH Grant School Account Statement (SAS)

• TEACH Grant Pending Disbursement List

• TEACH Inactive Grants Report

• TEACH Grant SSN/Name/Date of Birth Change Report

• TEACH Rebuild File

• TEACH Exit Counseling File/Report

Federal Student Aid, O&D To-Be Requirements 5-8 O&D Results and Reporting

• TEACH ATS Discharge Report

C. Direct Loan Reports

The following Direct Loan Reports shall be available to schools in a variety of format options:

• Direct Loan Reports Options

• Format and Delivery Methods

• Direct Loan School Account Statement (SAS)

• Direct Loan Electronic Statement of Account (ESOA) – new report

• Direct Loan Pending Disbursement Listing Report

• Direct Loan 30-Day Warning Report

• Direct Loan Inactive Loans Report

• Direct Loan Duplicate Student Borrower Report

• Direct Loan SSN/Name/Date of Birth Change Report

• Direct Loan Rebuild File

• Direct Loan Actual Disbursement List

• Direct PLUS Loan Application Report

• Direct Loan MPN Report

• Direct Loan Exit Counseling File/Report

• Direct Loan Expired MPN Report

• Direct Loan MPNs Due to Expire Report

• Counseling Report

D. Non Program Specific Reports

• School Monitoring Report: The School Monitoring report shall assist schools with the financial aid disbursement process. It is an important tool to help schools identify potential issues in timely reporting of data to FSA so they can better meet regulatory and reporting requirements.

• FSA Management Reports: FSA management reports shall be produced to provide forecasting and status updates on programs and funding. Reports include, but are not limited to:

o Monthly Forecasting Report (Pell) – o All School Reporting o Available Balances After Pull and Apply o Insufficient Funds Alert o Budget Reports (Used Budget Report)

• CFL History Report: FSA requires a new report showing the incremental CFL funding history (e.g., G5 history report). This report mimics the G5 Award History Report which is a complete listing of authorization and drawdown adjustments.

Federal Student Aid, O&D To-Be Requirements 5-9 O&D Results and Reporting

5.3 O&D Operations Portal

The O&D Operations Portal serves as a comprehensive repository for daily, weekly, and monthly operational reports, O&D work products and deliverables, standard operating procedures, policies, and other key O&D documentation. FSA requires that the O&D Portal be a web-based system that provides FSA access to O&D documentation on a real-time basis. FSA requires that the O&D Operations Portal be maintained regularly, contain current information, and that documentation be subject to FSA’s configuration management process.

5.4 Correspondence

The O&D Results and Notifications function shall encompass a Correspondence module that is responsible for generating, printing, and mailing domestic and foreign correspondence to borrowers and schools. Correspondence shall be sent via postal mail and/or electronic mail. The Correspondence module shall also be responsible for handling correspondence rejects, reporting them to FSA, and for shredding returned undeliverable mail. O&D correspondence shall include the following:

• Extenuating Circumstances Credit Override Letters

• Borrower Acceptance Letter

• Endorser Acceptance Letter to Borrower

• Application and P-Note Federal Direct PLUS Loan to Borrower

• PLUS Master Promissory Note to Borrow

• Direct Loan Sub/Unsub Promissory Note Package to Borrower

• Direct Loan PLUS Disclosure Statement

• Direct Loan PLUS Disclosure Statement w/ PLD Insert

• Direct Loan Sub/Unsub Disclosure Statement

• Direct Loan Sub/Unsub Disclosure Statement w/ PPL Insert

• 60 Day Reminder Letters Sub/Unsub

• 60 Day Reminder Letter PLUS

• Endorser Addendum RFI Package

• MPN Endorser Addendum RFI Package

• MPN Close Confirmation Letter

• School Promissory Note Bundle Package, PLUS

• School Promissory Note Bundle Package, Sub/Unsub

• PLUS MPN Bundle Package to School

• Extenuating Circumstances Credit Rejection Package

• MPN Extenuating Circumstances Credit Reject Package

• Borrower Adverse Credit Letter Package

• MPN Borrower Adverse Credit Letter Package

• Endorser/Borrower Adverse Credit Letter

• MPN Endorser/Borrower Adverse Credit Letter

Federal Student Aid, O&D To-Be Requirements 5-10 O&D Results and Reporting

• Endorser Adverse Credit Letter to Endorser

• 30 Day Reminder Letter PLUS w/ Promissory Note Package

• 30 Day Reminder Letter PLUS w/ MPN Package

• 30 Day Reminder Letter Sub/Unsub w/ MPN Package

• Change in Zero Balance Letter for DL Closeout

• Negative Balance Warning Letter for DL Closeout

• Notification Warning Letter for DL Closeout

• Program Year Closeout Letter for DL Closeout

• Remaining Balance Letter for DL Closeout

• Re-Open Extended Processing Letter

• Re-Open Letter

• Zero Balance Letter

• Web Acceptance Letter Package

• Web Rejection Letter Package

• Direct Loan Program Subsidized/Unsubsidized Disclosure Statement

• Endorser Approval Letter to Endorser

• TEACH Disclosure Statement w/ Message

• TEACH Disclosure Statement w/o Message

5.0.3 O&D Architectural Framework