Assign roles against obligations
Start with the obligations register rather than a generic organisation chart. For each material requirement, identify the accountable lead, people supplying inputs, reviewer, approver and submitter where relevant. One person may hold several roles in a small team, but the responsibilities should remain visible.
Use role labels that the team understands. A complex responsibility acronym does not help if nobody knows who must act when a report is late or a figure is disputed. Record the named person as well as the role where continuity matters.
Confirm decision rights
Ask which decisions the owner can make and which require another person’s approval. Examples include accepting a final report version, resolving a budget explanation or requesting clarification. Keep any external approval requirement tied to the actual agreement.
A delegated task does not automatically transfer governance responsibility or authority. Make the operating arrangement clear without implying that a spreadsheet changes the organisation’s formal responsibilities.
Plan for absence
Name a deputy for reporting tasks that cannot wait for the usual owner to return. Give the deputy access to the working instructions, source records and open actions. Test whether they can locate the next deadline and explain what is outstanding.
If only one person understands the evidence or finance schedule, record the dependency and an action to reduce it. Naming a deputy without a usable handover does not remove the risk.
Make escalation specific
Record the trigger, recipient and decision needed when an owner cannot complete a task. Use an internal date that leaves time before the external deadline. Keep unresolved issues visible in the exceptions log and management review.
Review the map after staff changes, a new award or a material process change. Ask the people named to confirm acceptance, and update affected calendar entries and evidence access at the same time.
A worked example
Fictional illustration. These dates, amounts and requirements are examples, not a rule for every funder or a client result.
| Reporting step | Responsible role | Handover / decision |
|---|---|---|
| Prepare spend schedule | Finance lead | Deputy can locate the dated source and reconciliation |
| Prepare delivery narrative | Delivery lead | Evidence gaps listed before joint review |
| Approve final version | Authorised approver | Approval recorded against the actual submitted version |
| Submit and retain receipt | Named submitter | Report owner receives confirmation and open follow-up items |
Check your working version
- Material obligations have named owners.
- Input, review, approval and submission roles are distinct.
- Owners understand their decision limits.
- Deputies can use the actual records.
- Escalation states the recipient and decision needed.
Use the free branded workbook (.xlsx) to record your own case. The workbook includes Obligations, Evidence and Exceptions tabs.
Sources and scope
The steps and example above are suggested operating practices. Confirm the actual requirements against your award agreement and current programme instructions. They are not a compliance opinion.
- Charity Commission: internal financial controls (CC8). General context for charities in England and Wales; different jurisdictions and organisations need the relevant guidance.
- National Lottery Community Fund: managing your funding. An example of funder-specific guidance, not a universal rule.
Published for Antony Draper Advisory with AI-assisted drafting. Examples are fictional and have not been presented as client evidence.
Choose a practical next step.
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