1) Purpose & Framing
Apply the Stratenity Orbit to evaluate finance processes across people, process, data, technology, and governance, producing an AI- and automation-ready roadmap that strengthens transparency, compliance, and operating efficiency while supporting the organization’s mission.
Orbit Lens
Current State Scan → Diagnostic POV → Future State & Roadmap.
Non-Profit Focus
Restricted vs. unrestricted funds, grant reporting, stewardship, audit readiness, board oversight.
Outcome
Clear gaps, quick wins, and a sequenced 12–24 month roadmap with automation pilots.
2) Objectives
- Document and validate end-to-end finance workflows, controls, and data flows.
- Deliver a POV Diagnostic on inefficiencies, risks, and compliance posture.
- Assess AI & Automation Readiness (data quality, structure, accessibility, governance).
- Define a practical Recommendations & Roadmap aligned to mission and funding requirements.
3) 12-Week Orbit Timeline
Three phases with workshops, interviews, diagnostics, and executive checkpoints.
| Week | Focus | Key Activities | Primary Outputs | Checkpoints |
|---|---|---|---|---|
| 1 | Kickoff & Alignment | Launch workshop; scope confirm; stakeholder map; finalize data request v1. | Charter, stakeholder matrix, comms cadence. | Executive sponsor sign-off. |
| 2 | Discovery — Processes | Process walkthroughs (Budget, AP/AR, Payroll); collect artifacts. | Current state process drafts. | Weekly check-in. |
| 3 | Discovery — Data | Data inventory; sample GL/AP/AR/payroll pulls; COA review. | Data inventory & lineage sketch. | Phase 1 review (Leadership). |
| 4 | Controls & Compliance | Controls deep-dive workshop; SoD & policy review; transaction tracing. | Controls gap list (initial). | Weekly check-in. |
| 5 | Tech & Reporting | Systems fit assessment; reporting maturity scan; donor/grant reporting review. | Tech/Reporting findings. | Weekly check-in. |
| 6 | AI Readiness | Data quality scoring; access & structure review; governance posture. | Readiness heatmap (v1). | Weekly check-in. |
| 7 | POV Diagnostic | Synthesize gaps, risks, and quick wins; validate with teams. | POV Diagnostic report. | Phase 2 review (Leadership). |
| 8 | Future State Design | Co-design workshop; define target processes & controls. | Future state maps (v1). | Weekly check-in. |
| 9 | KPI & Reporting | KPI framework workshop; define baseline/targets & data sources. | KPI tree & owner matrix. | Weekly check-in. |
| 10 | Automation Scoping | Identify 3–5 pilots; feasibility & risk screen; value estimate. | Pilot charters (1-paged each). | Weekly check-in. |
| 11 | Roadmap & Investments | Prioritize initiatives; sequencing; resourcing & change plan. | 12–24 month roadmap. | Pre-read to leadership & board. |
| 12 | Final Presentation | Executive & Board presentation; adoption planning. | Final deck + playbook + trackers. | Orbit close-out & handoff. |
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4) Workshop Structures
Facilitated, outcome-driven sessions with clear inputs and outputs.
W-1 Kickoff & AlignmentWeek 1
- Audience: Sponsor, CFO/Controller, Finance Leads, PM.
- Inputs: Charter draft, scope, initial stakeholder list.
- Outputs: Final scope, success criteria, cadence, risks.
- Agenda (90m): Context (10) • Scope & success (20) • Risks (20) • Data ask (20) • Next steps (20)
W-2 Controls & Compliance Deep-DiveWeek 4
- Audience: Finance Ops, Internal Audit/External Auditor, HR/Payroll.
- Inputs: Policies, SoD matrix, prior audit notes.
- Outputs: Controls gap list, remediation hypotheses.
- Agenda (120m): Policy review (30) • SoD walk-through (45) • Trace samples (30) • Debrief (15)
W-3 Tech, Data & Reporting ReviewWeek 5
- Audience: Finance Systems, IT, Reporting/Analytics, Development/Donor Ops.
- Inputs: System list, data inventory, report samples.
- Outputs: Gaps in integrations, data quality, report automation.
- Agenda (120m): System map (20) • Data flows (30) • Report demos (40) • Issues/priorities (30)
W-4 Future State Co-DesignWeek 8
- Audience: Finance leadership, process owners, PMO/Change.
- Inputs: POV, gap list, constraints.
- Outputs: Target process maps, control points, change impacts.
- Agenda (150m): POV recap (20) • Target maps breakout (70) • Shareback (40) • Agree actions (20)
W-5 KPI & Reporting FrameworkWeek 9
- Audience: CFO/Controller, Reporting, Program leads, Board Finance rep.
- Outputs: KPI tree (outcome → driver → activity), owners, baselines.
- Agenda (120m): Mission → outcomes (20) • Draft KPIs (40) • Data map (40) • Targets & owners (20)
W-6 Roadmap PrioritizationWeek 11
- Audience: Exec team, Finance leads, IT/Change, Board Finance rep.
- Outputs: Sequenced 12–24 month plan, investment asks, pilot slate.
- Agenda (90m): Options (20) • Scoring (30) • Sequence (20) • Commitments (20)
5) Interviews & Sample Questions
Role-based interviews to validate processes, controls, reporting, pain points, and opportunities.
Roles & Objectives
- Sponsor / Executive — Success criteria, constraints, board expectations.
- CFO / Controller — Policies, controls, close, reporting, risks.
- Finance Manager / AP / AR — Daily operations, handoffs, delays.
- Grant / Development — Donor restrictions, reporting cadence, audits.
- Program Directors — Budget ownership, forecasts, service impact.
- HR / Payroll — Payroll cycles, benefits, approvals, integrations.
- IT / Systems — System landscape, access, integrations, data.
- External Auditor — Findings, recurring issues, recommendations.
Sample Questions (use/adapt)
- Process & Roles: Walk me through AP from request to payment. Where do delays occur? Who approves what?
- Controls: How is segregation of duties enforced? What exceptions happen and how are they logged?
- Close & Reporting: Close cycle length? Top 3 challenges each month/quarter? Which reports are manual?
- Donor/Grant: How are restrictions tracked? Re-reporting or rework with funders? Evidence trails?
- Data: Where do you trust the numbers least? Most common data errors? Reconciliation pain points?
- Systems: Which integrations break? What’s in spreadsheets vs. system? Access control model?
- Payroll: Off-cycle frequency? Retro adjustments? Interface with GL?
- KPI/Outcomes: What metrics matter to leadership/board? What’s missing today?
- Automation: Which tasks are repetitive and rules-based? Where would bots help immediately?
- Change/Risk: What initiatives failed before and why? What risks keep you up at night?
6) Data Request — Checklist & Protocol
Request secure samples (least-privilege) covering the last 12–24 months. Avoid PII where possible; redact sensitive fields.
| Artifact | Examples | Period | Owner | Format | Notes |
|---|---|---|---|---|---|
| Chart of Accounts | COA with classes, projects, restrictions | Current | Finance | CSV/XLSX, PDF | Include dimension structures used in reporting |
| General Ledger (sample) | GL detail for 2–3 representative months | 12–24m | Finance | CSV/XLSX | Include doc IDs, dates, approvers |
| AP & AR | AP aging, vendor master; AR aging, customer/donor master | 12–24m | AP/AR | CSV/XLSX | Redact bank details; keep unique IDs |
| Payroll | Payroll register summaries; journal postings | 12–24m | HR/Payroll | CSV/XLSX | No PII; aggregated where possible |
| Budgets & Forecasts | Approved budget; latest forecast; BvA reports | Current FY + prior | FP&A/Finance | XLSX/PDF | Show versions if available |
| Donor/Grant | Grant agreements; restriction schedules; funder reports | Active + prior | Development/Grants | PDF/XLSX | Include reporting templates due to funders |
| Policies & Controls | Procurement, expense, SoD, cash, accounting manual | Latest | Finance | Mark effective dates | |
| Audit & Board | Prior audits, management letters, board finance packs, Form 990 (or equivalent) | 2–3 years | Finance/Board Sec. | Summarize recurring findings | |
| Systems & Access | System list, integrations, roles/permissions model | Current | IT/Finance Systems | DOC/XLSX | High-level only; no secrets |
- Security: Use approved secure transfer; remove PII; apply least-privilege access.
- Sampling: Start with representative months; expand as needed for issues.
- Traceability: Retain unique IDs to follow document trails during walkthroughs.
7) AI Readiness & Automation Enablement
Readiness Heatmap — Dimensions (score 1–5)
- Data Quality: completeness, accuracy, timeliness.
- Structure & Standards: COA design, coding consistency, metadata.
- Accessibility: governed, auditable access; API/exports.
- Governance: policies, SoD, retention, model risk awareness.
- Use-Case Value: time saved, risk reduction, quality uplift.
- Risk & Compliance: privacy/PII, donor obligations, auditability.
Color key: Low | Medium | High
Candidate Automation & AI Use Cases
- Invoice triage & coding (AP): OCR + rules to COA; exception routing.
- Expense policy check: auto-flagging non-compliant claims pre-approval.
- Donor/grant reporting: assemble schedule tables, variance notes drafts.
- Restricted funds tracking: automate allocations and alerts.
- Close accelerators: auto-recons & anomaly detection on GL.
- Board pack drafting: generate first-draft commentary from KPI movements.
Each pilot gets a 1-page charter: owner, success metric, data needed, risks, timeline (6–10 weeks).
8) KPIs & Acceptance Criteria
Engagement Success
- 100% core processes mapped & validated by owners.
- ≥90% of data request fulfilled and quality-checked.
- 5–7 critical gaps documented with remediation options.
- 3–5 automation pilots identified & approved.
- Leadership alignment ≥90% (survey) on roadmap.
Operational Outcomes
- Close cycle reduced (target baseline −20%).
- Manual reporting hours reduced (target −30%).
- Exception/defect rate down (target −25%).
- On-time funder reports (target 100%).
Data & Governance
- Data quality score +1 point average across dimensions.
- All critical SoD gaps addressed or under plan.
- Access reviews operationalized (quarterly).
9) Deliverables & Milestones
Week 3
- Current State Process Maps
- Stakeholder & RACI matrices
- Data Inventory & Lineage (v1)
Week 7
- POV Diagnostic (gaps, risks, quick wins)
- AI Readiness Heatmap (v1)
- Controls Gap List & hypotheses
Week 12
- Final Recommendations Deck
- 12–24 Month Roadmap
- Automation Pilot Playbook (3–5 pilots)
- Executive/Board Presentation
10) Governance & Cadence
Meetings
- Weekly — Working team check-in (status, blockers, decisions).
- Bi-weekly — Executive sponsor update (risks, scope, asks).
- Orbit Reviews — Week 4, 8, 12 (leadership & board finance).
Risk & Change
- RAID log (risks, assumptions, issues, decisions) — updated weekly.
- Change control on scope; impact noted in roadmap.
- Comms plan with pre-reads 48h in advance.
Quality
- Two-up review for all deliverables (peer + lead).
- Evidence-based: link findings to artifacts/interviews.
11) RACI (Sample)
| Workstream | R | A | C | I |
|---|---|---|---|---|
| Process Mapping | Consulting Lead | CFO/Controller | Process Owners | Board Finance |
| Data Inventory | Data Analyst | Finance Manager | IT/Systems | Auditors |
| Controls Review | Controls SME | CFO/Controller | Internal Audit | Exec Sponsor |
| AI Readiness | AI/Automation Lead | Exec Sponsor | IT, Reporting | Board Finance |
| Roadmap | Engagement Lead | Exec Sponsor | Finance/IT Leads | All Staff |
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