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Auditing for Efficiency and Effectiveness with Continuous Improvement Tools

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Date(s): Feb 01, 2024
Time: 8:00AM - 4:30PM
Registration Fee: $109.00
Cancellation Date: Jan 25, 2024
City: Austin
Parking Info:

Parking for SAO, Professional Development courses is in Garage B (1511 San Jacinto Blvd.). The Garage signage may read 1511 San Jacinto or Garage B. The elevator in Garage B is not reliable. If you are unable to walk the stairs, please contact the for alternate parking arrangements. Handicapped parking is free at the meters around the downtown area.

A course coordinator will Email you a parking permit prior to the course start date. A permit must be displayed or you will be ticketed.

Course Description

The course will enable auditors to develop efficiency and effectiveness recommendations through the use of continuous improvement tools, concepts and techniques.  Use of these simple, but powerful analytical tools during the course of an audit will empower auditors to better and more rapidly understand the organization’s current challenges as they pull qualitative data.  These tools enable better auditor analysis with less relative time and effort.  Attendees will be able to write recommendations that are actionable and will have high potential for success when implemented. 

  • This hybrid analytical technique was specifically developed by experienced auditors and continuous improvement professionals practicing in a government environment. As a result, this approach is specifically tailored for government applications and has produced significant results in a variety of programs and service delivery models across the country.

Potential CPE Credits: 8.0
Govt Hours: This class meets 8.0 hours of the 24-hour requirement for governmental CPE under Government Auditing Standards (yellow book), in most cases.
Technical Hours: This class meets 8.0 CPE credits of technical training in compliance with Texas Admin. Code Rule 523.102.

Instruction Type: Live
Experience Level:
Category: Auditing

Course Objectives

Upon completion of this course, participants will be able to:

This half-day, hands-on course will equip auditors with proven Lean, 6 Sigma, and Theory of Constraints tools. Auditors have long-used value stream flowcharting to analyze program processes.  This course teaches how to conduct value stream mapping (VSM) and also teaches how to use 8 additional gap analysis tools.  Auditor-students will learn to identify opportunities for system improvement and will learn to develop recommendations to greatly improve efficiency and effectiveness.  Graduates will be able to:

  • Construct What Good Looks Like (WGLL) logic maps and detailed VSMs

  • Use gap analysis tools (5 Whys, fishbone diagramming, interference diagramming, vicious cycle analysis, Pareto charts)

  • Use future-state construction tools (e.g. Strategic Path, Capacity Model)

  • Data analysis techniques for use in audit resolution

Detailed Course Outline:

Introduction to Government Quality Improvement (GQI)

  • Methodology

    • 7 Phases of GQI:  1) Charter It 2) Vision It 3) Map It 4) Gap It 5) Build It 6) Launch It 7) Track It

  • Success in Government

  • Depicting the “art of the possible” with the 9 Dot game.  

Developing a Strategic Compass high-level system map

  • Conducting a SIPOC analysis (Suppliers, Inputs, Processes, Outputs, Customers)

  • Forming the Strategic Compass high-level system map

  • Five Focusing Steps of TOC

Performing data analysis

  • System level metrics

    • Intake

    • Throughput

    • Work-in-process

    • Lead time

  • Touch Time vs. Elapsed Time

  • Pareto analysis

Identifying process constraints

  • Constraint definition (depict the importance of constraints management with the Bead Game). 

  • Resource constraints

    • Using work-in-process to identify resource constraints

    • Using the additional FTE test to identify resource constraints

  • Policy Constraints

    • How to identify policy constraints using a TOC Vicious Cycle analysis

    • 5 Whys

Tools to identify constraint solutions

  • Interference diagram

  • The principles of process flow (depict superiority of flow over batch with the 3X5 Card Flow Vs. Batch game). 

    • Triage

    • Full-Kit

    • Work-in-process

    • Standard Work

    • System Coordination

  • Evaporating Conflict Cloud

  • Fishbone diagram to identify root causes

  • Reasons for Late/Reasons for Defect

  • Current reality tree

  • Progressive Resolution to find the sources of disagreement

Continuous improvement tools

  • Feedback loops and the value of measuring at the constraint

  • Strategic Path to lay out necessary goals and objectives

  • Journey Boards (aka Work-in-process boards)

  • Dashboards (aka Balanced Scorecards)


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Alfredo Mycue

Alfredo Mycue is the Co-founder of ReEngine Consulting has 13 years’ experience in public sector process improvement at the Federal, State and Local levels. Alfredo was the Director of Business Transformation at TWC for 7 years where he functioned as the senior government improvement expert in Texas. He has a Master’s from the LBJ School of Public Affairs at UT and is a Certified Lean Six Sigma Master Black-Belt and a Theory of Constraints Jonah.

Susan Oballe

Susan Oballe has over 20 years of internal audit experience at various Texas state agencies, where she has managed and conducted performance audits and facilitated process improvement workshops.  Susan has focused her career on internal audit -- assisting Texas state agencies in achieving their goals and objectives by partnering with agency leadership and incorporating process improvement methodologies in the audits she oversees.  

She holds the designations of a licensed Certified Internal Auditor and Certified Government Auditing Professional. She is a trained Lean Six Sigma Black Belt and is also a graduate of the Texas Fiscal Officer’s Academy.

Additional Information

TAC Rule 523.142(g) requires the CPE Sponsor to monitor individual attendance and assign the correct number of CPE credits. Participants will be asked to document their time of arrival and departure in compliance with this Rule. Additionally, attendance will be monitored throughout the day and CPE certificates will reflect actual attendance of each participant.

If you are making travel plans to come to Austin, we recommend making "refundable" air and hotel reservations or waiting until 14 days before the class to actually book your reservations. Courses are occasionally canceled or rescheduled due to low enrollment. We determine whether a course has enough participants 16 days prior to the course date. If we cancel or reschedule, we will email the participant and his or her billing contact no later than 14 days before the original class date.

Vending machines with Coca-Cola products and various snack items are available. There is also a refrigerator and microwave in our coffee bar area. Feel free to bring in your own drinks and food if you prefer.

You might want to bring a light sweater or jacket, as room temperatures vary.

To see answers to our Frequently Asked Questions, visit

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