What evidence do auditors commonly ask for on CPS 230 para 13 Prevent disruption, adapt within tolerance and return to normal promptly?

Preventive control inventory for each critical operation (redundancy, capacity, change controls); Post-incident reviews recording time to recover against the tolerance level; Recovery runbooks with dated recovery exercise results.

What is the most common gap auditors find on CPS 230 para 13?

Recovery planned for, but no preventive measures recorded for critical operations

APRA CPS 230 · Key principles and operational risk management framework (paras 11 to 18)

`CPS 230 para 13` Prevent disruption, adapt within tolerance and return to normal promptly

So far as practicable the entity must stop disruptions to critical operations from happening, must be able to adjust its processes and systems to keep operating inside tolerance when one does happen, and must restore normal operations quickly once the disruption ends.

Source: APRA CPS 230, CPS 230 para 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 APRA CPS 230 in the compliance library.

Applies to APRA-regulated entities.

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

none for this control

periodic reviewEvidence produced at each review

Post-incident reviews recording time to recover against the tolerance level · Document repository

governing documentDocuments that govern the control

Preventive control inventory for each critical operation (redundancy, capacity, change controls) · Policy repository / GRC workspace
Recovery runbooks with dated recovery exercise results · Policy repository / GRC workspace

First move

No system holds this evidence for you: it is people and documents. Reminders and routing to the owner still save time. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date.

Common gaps auditors find

Recovery planned for, but no preventive measures recorded for critical operations
Post-incident reviews do not measure return-to-normal time against tolerance

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

CPS 230 para 12 Identify, assess and manage operational risk · CPS 230 para 14 Rely on a service provider only where prudential obligations stay fully met