What evidence do auditors commonly ask for on A&A-04 Requirements Compliance?

Register of legal, regulatory, contractual and standards obligations in audit scope; Compliance testing results or control test worksheets mapped to each obligation; Contract review records identifying customer-imposed audit or security clauses; Management sign-off of the obligations register and its periodic review; Exception log for obligations not yet met, with remediation dates.

What is the most common gap auditors find on A&A-04?

Obligations register omits contractual commitments made to customers

CSA CCM v4.1 · A&A - Audit & Assurance

`A&A-04` Requirements Compliance

The organisation confirms that it complies with every standard, regulation, legal or contractual obligation and statutory requirement that is relevant to the audit.

Source: CSA CCM v4.1, A&A-04. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open CSA CCM v4.1 in the compliance library.

Version 4.1 adds 11 controls (among them API security, log sanitisation and a service bill of materials) and renumbers several domains. CSA accepts v4.0.x during its transition; if your STAR assessment is still on v4.0.1, check the numbering against it.

artefacts

held by a system

at each review

hard

to go live

Policy repository / GRC workspace

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

Exception log for obligations not yet met, with remediation dates · SIEM / log platform

periodic reviewEvidence produced at each review

Management sign-off of the obligations register and its periodic review · Policy repository / GRC workspace

governing documentDocuments that govern the control

Register of legal, regulatory, contractual and standards obligations in audit scope · Policy repository / GRC workspace
Compliance testing results or control test worksheets mapped to each obligation · Document repository
Contract review records identifying customer-imposed audit or security clauses · Vendor register / contract repository

First move

Mostly documents and reviews. Pull the 1 system-held artefact from your SIEM / log platform on a schedule; put the documents under version control with an owner and review date, and log each review as a dated record with a named reviewer.

Common gaps auditors find

Obligations register omits contractual commitments made to customers
Compliance verified for certification standards only, not for statutory duties
Register not refreshed when a new jurisdiction or regulation comes into play

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

A&A-03 Risk Based Planning Assessment · A&A-05 Audit Management Process