What evidence do auditors commonly ask for on CPS 230 para 54 APRA access, on-site visit and non-impediment clauses?

Clause references in each material agreement for APRA access, on-site visits and non-impediment; Contract review checklist confirming the three APRA clauses; Para 57 exemption record or para 58 APRA notice for any arrangement lacking them.

What is the most common gap auditors find on CPS 230 para 54?

Cloud or SaaS terms accepted without APRA access rights and no exemption analysis

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

`CPS 230 para 54` APRA access, on-site visit and non-impediment clauses

The formal agreement must also provide that (a) APRA can access documentation, data and other information about the service; (b) APRA may visit the provider on site; and (c) the provider undertakes not to obstruct APRA in performing its prudential regulator duties. Para 57 can exempt the arrangement (Attachment category provider on standardised terms or no formal agreement), and APRA can exempt it in writing under para 58.

Source: APRA CPS 230, CPS 230 para 54. 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

Clause references in each material agreement for APRA access, on-site visits and non-impediment · Policy repository / GRC workspace
Contract review checklist confirming the three APRA clauses · Policy repository / GRC workspace
Para 57 exemption record or para 58 APRA notice for any arrangement lacking them · 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

Cloud or SaaS terms accepted without APRA access rights and no exemption analysis
APRA access limited to documents, with no on-site visit right

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 53 Formal legally binding agreement for each material arrangement and its minimum terms · CPS 230 para 55 Manage the risks of each material arrangement, including BCP execution and orderly exit