What evidence do auditors commonly ask for on STA-13 Supply Chain Compliance Assessment?

Annual internal assessment plan; Assessment reports covering policies, procedures and service level performance; Service level performance data used in the assessment; Corrective action log from assessment findings.

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

Assessments skip service level activities

CSA CCM v4.1 · STA - Supply Chain Management, Transparency, and Accountability

`STA-13` Supply Chain Compliance Assessment

The organisation defines and operates a process for internal assessments, carried out at least once a year, that confirm its standards, policies, procedures and service level activities are followed and are effective.

Source: CSA CCM v4.1, STA-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

SIEM / log platform

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

Corrective action log from assessment findings · SIEM / log platform

periodic reviewEvidence produced at each review

Assessment reports covering policies, procedures and service level performance · Policy repository / GRC workspace

governing documentDocuments that govern the control

Annual internal assessment plan · Policy repository / GRC workspace
Service level performance data used in the assessment · Document repository

First move

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

Common gaps auditors find

Assessments skip service level activities
Plan exists but the assessment did not run in the last year
Findings without owners or due dates

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

STA-12 Supply Chain Agreement Review · STA-14 Supply Chain Service Agreement Compliance