EvidenceSheet
APRA CPS 230 · Management of service provider arrangements (paras 46 to 61)

CPS 230 para 49 Minimum material service provider classifications unless justified

Unless it can justify otherwise, the entity must at least treat providers of these services as material: for an ADI, mortgage brokerage, credit assessment, and funding and liquidity management; for an insurer, insurance brokerage, reinsurance, underwriting and claims management; for an RSE licensee, custodial services, fund administration, investment management, and arrangements with financial planners and promoters; and for all entities, internal audit, risk management and core technology services.

Source: APRA CPS 230, CPS 230 para 49. 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.

3
artefacts
0
held by a system
0
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. 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

  • Register showing providers of each prescribed service classified as material · Vendor register / contract repository
  • Approved justification for any prescribed-service provider not classified as material · Vendor register / contract repository
  • Mapping of core technology service providers · Vendor register / contract 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

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 48 Register of material service providers and management of their risks · CPS 230 para 50 Annual submission of the material service provider register to APRA