What evidence do auditors commonly ask for on UEM-02 Application and Service Approval?

Approved applications and services list with approved stores; Mobile device or endpoint management policy enforcing the list; Reports of unapproved software detected on endpoints; Review records of the approved list.

What is the most common gap auditors find on UEM-02?

List published but not enforced technically

CSA CCM v4.1 · UEM - Universal Endpoint Management

`UEM-02` Application and Service Approval

The organisation defines, records, enforces and evaluates a list of the services, applications and application sources, such as app stores, that endpoints may use when they access or hold organisation-managed data.

Source: CSA CCM v4.1, UEM-02. 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

Endpoint management (MDM / EDR)

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

Mobile device or endpoint management policy enforcing the list · Endpoint management (MDM / EDR)

periodic reviewEvidence produced at each review

Reports of unapproved software detected on endpoints · Endpoint management (MDM / EDR)
Review records of the approved list · Endpoint management (MDM / EDR)

governing documentDocuments that govern the control

Approved applications and services list with approved stores · Policy repository / GRC workspace

First move

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

Common gaps auditors find

List published but not enforced technically
Browser extensions and SaaS services omitted
No review of the list

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

UEM-01 Endpoint Devices Policy and Procedures · UEM-03 Compatibility