1. Education Service Center, Region 20 | FOR-C
Financial Organizational Review & Compliance (FOR-C) How to Use the Program Audit Tools
Education Service Center, Region 20
Education Service Center, Region 20 | FOR-C

2. LOGIN FOR FOR-C SUBSCRIBERS
If you are a FOR-C subscriber, go to Select the “Current User Login” on the left side of the webpage to access your organization’s FOR-C.
Education Service Center, Region 20 | FOR-C

3. LOGIN FOR FOR-C SUBSCRIBERS
Education Service Center, Region 20 | FOR-C

4. LOGIN FOR FOR-C SUBSCRIBERS
Enter your username and password and select the “Login” button.
Education Service Center, Region 20 | FOR-C

5. FEDERAL & STATE PROGRAM AUDIT TOOLS SECTION
Education Service Center, Region 20 | FOR-C

6. FEDERAL & STATE PROGRAM AUDIT TOOLS
The purpose of the “Program Audit Tools” is to provide a method for the LEA to perform a self-assessment of their organization’s compliance with the programmatic and fiscal requirements of a particular program.
Education Service Center, Region 20 | FOR-C

7. FEDERAL & STATE PROGRAM AUDIT TOOLS
The “Program Audit Tools” are designed for program administrators and other key personnel to:
Review program requirements
Internally identify whether the LEA is meeting the requirements
Document how the requirements are being met
Determine potential areas for improvement
Education Service Center, Region 20 | FOR-C

8. FEDERAL & STATE PROGRAM AUDIT TOOLS
The Program Audit Tools are also beneficial for training new personnel and assisting new program directors in developing an awareness of program requirements.
Education Service Center, Region 20 | FOR-C

9. FEDERAL & STATE PROGRAM AUDIT TOOLS
Recommendation:
Perform a self-assessment of each program:
Annually
When internal processes change
When personnel change
Education Service Center, Region 20 | FOR-C

10. FEDERAL & STATE PROGRAM AUDIT TOOLS
Select a program by clicking on that program’s title in the list.
Education Service Center, Region 20 | FOR-C

11. FEDERAL & STATE PROGRAM AUDIT TOOLS
A page will open that lists the requirements of that particular program.
Education Service Center, Region 20 | FOR-C

12. FEDERAL & STATE PROGRAM AUDIT TOOLS
Select the “Introduction” button in the Program Audit Tool for information and instructions on how to use the tool.
Education Service Center, Region 20 | FOR-C

13. FEDERAL & STATE PROGRAM AUDIT TOOLS
The tool has text boxes where you can enter comments on how your organization is compliant with a specific requirement or enter a recommendation for improvements or action to be taken.
Education Service Center, Region 20 | FOR-C

14. FEDERAL & STATE PROGRAM AUDIT TOOLS
For example, you might describe in the “Compliance Comments” text box:
Which position at your organization is responsible
Steps/methods performed for implementation
Timeframe for when the task is performed
Forms/materials/resources used for implementation
Education Service Center, Region 20 | FOR-C

15. FEDERAL & STATE PROGRAM AUDIT TOOLS
Optional: Place a checkmark in the “Compliance” box to indicate your organization is compliant with a particular requirement. Check the “NA” box if that particular requirement is not applicable to your organization.
Education Service Center, Region 20 | FOR-C

16. FEDERAL & STATE PROGRAM AUDIT TOOLS
The Program Audit Tool is for your use only. It is not something you are required to submit to an auditor or to TEA. It is a method by which you perform a self-assessment of compliance.
Education Service Center, Region 20 | FOR-C

17. FEDERAL & STATE PROGRAM AUDIT TOOLS
The self-assessment review should be a collaborative effort with a team of individuals connected to the specific program.
Education Service Center, Region 20 | FOR-C

18. FEDERAL & STATE PROGRAM AUDIT TOOLS
Recommendation of process:
Provide applicable personnel with a copy of the Program Audit Tool
Sections of the tool may be assigned to appropriate team members to gather data related to their indicators
When the team convenes, members may work together to review each section and identify the data that supports compliance or make recommendations for action
Education Service Center, Region 20 | FOR-C

19. FEDERAL & STATE PROGRAM AUDIT TOOLS
Designate one person to be responsible for the data entry for a particular program’s Program Audit Tool.
Education Service Center, Region 20 | FOR-C

20. FEDERAL & STATE PROGRAM AUDIT TOOLS
The Program Audit Tool allows multiple users to access the tool and perform data entry at the same time. Therefore, one person should be assigned the task of performing data entry in the tool, to prevent the possibility of data being overwritten by another user performing data entry in that same program tool.
Education Service Center, Region 20 | FOR-C

21. FEDERAL & STATE PROGRAM AUDIT TOOLS
One person can work on one program tool while another person works on a different program tool, with no issue of data entry being overwritten.
For example:
If one person performs data entry in the Title II, Part A tool and another person performs data entry in the Title I, Part C tool, each person’s comments will be saved
However, if two people perform data entry in the same program tool (such as two people entering comments in the Title I, Part C tool), the data entry from the person who saves last will be the final data saved
Education Service Center, Region 20 | FOR-C

22. FEDERAL & STATE PROGRAM AUDIT TOOLS
Save your data entry often by using the “Save Changes” button. The “Reset” button clears data entry that has not been saved, for a quick way to remove comments, if desired.
Education Service Center, Region 20 | FOR-C

23. FEDERAL & STATE PROGRAM AUDIT TOOLS
Use the “Print to PDF” button at the lower left side of the page to print the document.
Education Service Center, Region 20 | FOR-C

24. FEDERAL & STATE PROGRAM AUDIT TOOLS
All the comments entered in the text boxes will be displayed in the printed version, even though the online tool only displays a portion of the text.
Education Service Center, Region 20 | FOR-C

25. FEDERAL & STATE PROGRAM AUDIT TOOLS
Once you begin data entry and save the changes, a copy of the Program Audit Tool will appear in another section of the FOR-C.
This section is located below the “Federal & State Program Audit Tools” section
The section is titled with your organization’s name
For example, “XXX ISD’s Audit Tools”
Education Service Center, Region 20 | FOR-C

26. Education Service Center, Region 20 | FOR-C

27. FEDERAL & STATE PROGRAM AUDIT TOOLS
The Program Audit Tool with your saved comments will show a status of “Edit.” You can continue to access this tool at any time to continue working on it and entering comments.
Education Service Center, Region 20 | FOR-C

28. FEDERAL & STATE PROGRAM AUDIT TOOLS
Once you have finished your program review, select the “Executive Summary” button for that tool.
Education Service Center, Region 20 | FOR-C

29. FEDERAL & STATE PROGRAM AUDIT TOOLS
In the page that opens, you may enter summary comments related to each general topic, based on your program review. This is optional.
Education Service Center, Region 20 | FOR-C

30. FEDERAL & STATE PROGRAM AUDIT TOOLS
Regardless of whether you enter comments in the “Executive Summary” page, select the “Publish” button.
Education Service Center, Region 20 | FOR-C

31. FEDERAL & STATE PROGRAM AUDIT TOOLS
Selecting the “Publish” button will cause the status of your Program Audit Tool to change from “Edit” to “Published.”
Education Service Center, Region 20 | FOR-C

32. FEDERAL & STATE PROGRAM AUDIT TOOLS
Selecting the “Publish” button will also cause that Program Audit tool’s template, located in the upper section (“Federal & State Program Audit Tools” section), to be reset so that it is clear of comments.
This provides a clean slate so you can start fresh the next time you wish to perform a self-assessment of that program.
Education Service Center, Region 20 | FOR-C

33. FEDERAL & STATE PROGRAM AUDIT TOOLS
Please note: The FOR-C does not have a Program Audit Tool for IDEA-B (Special Education) because:
The Legal Framework* lists all requirements
The Legal Framework* will eventually have a template for Program Operating Procedures
Currently, a temporary template created by ESC-20 is located in Forms & Template under File Type: Operating Guidelines and Grant Manual. This template will discontinue once the Legal Framework’s template is available
Using a For-C Program Audit Tool could result in duplicative work
*Legal Framework located at:
Education Service Center, Region 20 | FOR-C

34. Education Service Center, Region 20 | FOR-C
CONCLUSION
Education Service Center, Region 20 | FOR-C

35. Education Service Center, Region 20 | FOR-C
CONCLUSION
We hope the FOR-C tool proves useful to you in taking a proactive approach to ensure compliance with fiscal and programmatic compliance.
To log out of the FOR-C, select the “Logout” link at the upper right corner of the page.
Education Service Center, Region 20 | FOR-C

36. Education Service Center, Region 20 | FOR-C
DISCLAIMER
Disclaimer: Use of the FOR-C product cannot guarantee that the LEA, if audited, will not have an audit finding. The FOR-C is designed to assist LEAs in being proactive in reducing their risk of non-compliance.
Education Service Center, Region 20 | FOR-C

37. Education Service Center, Region 20 | FOR-C
FOR-C Denise Dusek (210)
Education Service Center, Region 20 | FOR-C