CPS 230 para 15 Precondition for Reliance on a Service Provider
The entity must not rely on a service provider unless it can ensure that in doing so it can continue to meet its prudential obligations in full and can effectively manage the associated risks.
3
artefacts
0
held by a system
2
at each review
hard
to go live
Vendor register / contract repository
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
- Pre reliance assessments confirming prudential obligations can still be met · Vendor register / contract repository
- Approval records for each reliance decision · Vendor register / contract repository
governing documentDocuments that govern the control
- Risk manageability conclusions · Vendor register / contract repository
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
- Reliance assumed rather than assessed
- No assessment of the effect on prudential 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 sheetCPS 230 para 14 Prevention, Adaptation and Return to Normal Operations · CPS 230 para 16 Operational Risk Elements of the Risk Management Framework