CPS 234 para 35 APRA Notification of Material Incidents within 72 Hours
APRA must be notified as soon as possible and no later than 72 hours after the entity becomes aware of an incident that materially affected or could have materially affected the entity or its customers, or that has been
3
artefacts
0
held by a system
2
at each review
hard
to go live
HR system / LMS
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
- Notification records with awareness and submission timestamps · HR system / LMS
- Materiality assessment criteria and decision records · Document repository
governing documentDocuments that govern the control
- Register of notifications made to other regulators · 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
- Clock started at incident confirmation rather than awareness
- Incidents notified to other regulators not passed to APRA
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 234 para 34 Internal Audit Assessment of Third Party Control Assurance · CPS 234 para 36 APRA Notification of Material Control Weakness within 10 Business Days