CPS 230 para 12 Key Principles for Operational Risk, Resilience and Service Providers
The entity must effectively manage its operational risks and set and maintain appropriate standards for conduct and compliance, hold its critical operations within tolerance levels through severe disruption, and manage t
3
artefacts
0
held by a system
2
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
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
- Evidence the three principles are reflected in the framework · Document repository
- Management attestation against each principle · Vendor register / contract repository
governing documentDocuments that govern the control
- Documented conduct and compliance standards · Policy repository / GRC workspace
First move
This control is evidenced by people and documents, not systems. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date. Do not try to automate it.
Common gaps auditors find
- Conduct and compliance standards absent
- Principles stated in policy with no operating evidence
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 sheetCPS 230 para 13 Identification, Assessment and Management of Operational Risk