CPS 230 para 51 Annual Submission of the Material Service Provider Register to APRA
The entity must submit its register of material service providers to APRA on an annual basis.
3
artefacts
0
held by a system
1
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
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
- Submission records and dates for each annual cycle · Document repository
governing documentDocuments that govern the control
- The register as submitted · Policy repository / GRC workspace
- Reconciliation between the submitted register and the live register · Policy repository / GRC workspace
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
- Register maintained internally but never submitted
- Submitted register out of step with the live register
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 50 Mandatory Minimum Classification of Material Service Providers · CPS 230 para 53 Due Diligence Before Entering or Modifying a Material Arrangement