How to: Conduct a CoR compliance system desktop audit

Chain of Responsibility (CoR) compliance is an active and ongoing process. A CoR compliance system cannot be developed then set loose into the wilds of your business and left to either find its own way or starve.

Your CoR compliance system must be fed, trained, guided and, when it is not working properly, disciplined. In order to know when to conduct these activities, you need to be able to gauge whether your CoR compliance system has been designed – and is working – properly. One way to do this is to periodically audit the system. There are many types of audits that can be performed, at differing levels of formality, intervention and assurance.

In this article, we look at conducting a desktop compliance audit. We provide guidance on an informal audit process, as opposed to a formal audit process conducted in accordance with formal auditing standards.