What evidence do auditors commonly ask for on CPS 230 para 37 Tolerance levels for each critical operation?

Tolerance level schedule per critical operation stating maximum disruption time, maximum data loss and minimum service level; Board approval of the tolerance levels (see para 21(b)); Analysis supporting each tolerance (customer harm, financial system impact).

What is the most common gap auditors find on CPS 230 para 37?

Only a time-based tolerance set, with no data loss or minimum service level

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

`CPS 230 para 37` Tolerance levels for each critical operation

For every critical operation the entity must set tolerance levels for (a) the longest period of disruption it would accept; (b) the most data loss it would accept from a disruption; and (c) the minimum level of service it would keep up while running on alternative arrangements during a disruption.

Source: APRA CPS 230, CPS 230 para 37. 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

Document repository

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

Board approval of the tolerance levels (see para 21(b)) · Policy repository / GRC workspace

governing documentDocuments that govern the control

Tolerance level schedule per critical operation stating maximum disruption time, maximum data loss and minimum service level · Document repository
Analysis supporting each tolerance (customer harm, financial system impact) · Document repository

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

Only a time-based tolerance set, with no data loss or minimum service level
Tolerances copied from IT RTO/RPO targets without business impact analysis

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 35 Minimum set of critical operations unless justified · CPS 230 para 39 Required content of the BCP