What evidence do auditors commonly ask for on CPS 230 para 35 Minimum set of critical operations unless justified?

Critical operations register showing each prescribed operation for the entity's industry; Written justification approved at the appropriate level for any prescribed operation not classified as critical; Inventory of supporting systems and infrastructure linked to each critical operation.

What is the most common gap auditors find on CPS 230 para 35?

Customer enquiries omitted from the register

APRA CPS 230 · Business continuity (paras 33 to 45)

`CPS 230 para 35` Minimum set of critical operations unless justified

Unless it can justify a different view, the entity must at least treat these as critical operations: for an ADI, deposit-taking and management, payments, settlements, clearing and custody; for a general, life or private health insurer, claims processing; for an RSE licensee, fund administration and investment management; and for every regulated entity, handling of customer enquiries plus the infrastructure and systems that support critical operations.

Source: APRA CPS 230, CPS 230 para 35. 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

none for this control

governing documentDocuments that govern the control

Critical operations register showing each prescribed operation for the entity's industry · Policy repository / GRC workspace
Written justification approved at the appropriate level for any prescribed operation not classified as critical · Document repository
Inventory of supporting systems and infrastructure linked to each critical operation · 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

Customer enquiries omitted from the register
Exclusion of a prescribed operation with no documented justification

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 33 Business continuity duties: critical operations register, minimise disruption, credible BCP, activate, return · CPS 230 para 37 Tolerance levels for each critical operation