What evidence do auditors commonly ask for on HRS-13 Compliance User Responsibility?

Register of applicable legal, statutory and regulatory obligations with owners; Code of conduct or compliance responsibility statement with staff acknowledgements; Compliance training records for affected roles; Interview notes or survey results showing staff understand their obligations.

What is the most common gap auditors find on HRS-13?

Obligations register not maintained, so communications miss new laws

CSA CCM v4.1 · HRS - Human Resources

`HRS-13` Compliance User Responsibility

Tell employees what they personally must do to stay aware of and comply with internal policies and procedures and with the legal, statutory and regulatory obligations that apply.

Source: CSA CCM v4.1, HRS-13. 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

moderate

to go live

HR system / LMS

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

Compliance training records for affected roles · HR system / LMS

periodic reviewEvidence produced at each review

Interview notes or survey results showing staff understand their obligations · Document repository

governing documentDocuments that govern the control

Register of applicable legal, statutory and regulatory obligations with owners · Policy repository / GRC workspace
Code of conduct or compliance responsibility statement with staff acknowledgements · Policy repository / GRC workspace

First move

Start with the 1 of 4 artefacts that already live in a system (HR system / LMS); keep the periodic reviews but log each one as a dated record with a named reviewer.

Common gaps auditors find

Obligations register not maintained, so communications miss new laws
Acknowledgement collected once at hire and never refreshed
Staff in regulated roles not given role-specific obligations

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

HRS-12 Personal and Sensitive Data Awareness and Training · I&S-01 Infrastructure and Virtualization Security Policy and Procedures