DORA

Preamble (Recitals 1 – 106)

Recitals

Chapter I (Articles 1 – 4)

General provisions

Article 1

Subject matter

Article 2

Scope

Article 3

Definitions

Article 4

Proportionality principle

Chapter II (Articles 5 – 16)

ICT risk management

Section I

Article 5

Governance and organisation

Section II

Article 6

ICT risk management framework

Article 7

ICT systems, protocols and tools

Article 8

Identification

Article 9

Protection and prevention

Article 10

Detection

Article 11

Response and recovery

Article 12

Backup policies and procedures, restoration and recovery procedures and methods

Article 13

Learning and evolving

Article 14

Communication

Article 15

Further harmonisation of ICT risk management tools, methods, processes and policies

Article 16

Simplified ICT risk management framework

Chapter III (Articles 17 – 23)

ICT-related incident management, classification and reporting

Article 17

ICT-related incident management process

Article 18

Classification of ICT-related incidents and cyber threats

Article 19

Reporting of major ICT-related incidents and voluntary notification of significant cyber threats

Article 20

Harmonisation of reporting content and templates

Article 21

Centralisation of reporting of major ICT-related incidents

Article 22

Supervisory feedback

Article 23

Operational or security payment-related incidents concerning credit institutions, payment institutions, account information service providers, and electronic money institutions

Chapter IV (Articles 24 – 27)

Digital operational resilience testing

Article 24

General requirements for the performance of digital operational resilience testing

Article 25

Testing of ICT tools and systems

Article 26

Advanced testing of ICT tools, systems and processes based on TLPT

Article 27

Requirements for testers for the carrying out of TLPT

Chapter V (Articles 28 – 44)

Managing of ICT third-party risk

Section I

Key principles for a sound management of ICT third-party risk

Article 28

General principles

Article 29

Preliminary assessment of ICT concentration risk at entity level

Article 30

Key contractual provisions

Section II

Oversight framework of critical ICT third-party service providers

Article 31

Designation of critical ICT third-party service providers

Article 32

Structure of the Oversight Framework

Article 33

Tasks of the Lead Overseer

Article 34

Operational coordination between Lead Overseers

Article 35

Powers of the Lead Overseer

Article 36

Exercise of the powers of the Lead Overseer outside the Union

Article 37

Request for information

Article 38

General investigations

Article 39

Inspections

Article 40

Ongoing oversight

Article 41

Harmonisation of conditions enabling the conduct of the oversight activities

Article 42

Follow-up by competent authorities

Article 43

Oversight fees

Article 44

International cooperation

Chapter VI (Article 45)

Information-sharing arrangements

Article 45

Information-sharing arrangements on cyber threat information and intelligence

Chapter VII (Articles 46 – 56)

Competent authorities

Article 46

Competent authorities

Article 47

Cooperation with structures and authorities established by Directive (EU) 2022/2555

Article 48

Cooperation between authorities

Article 49

Financial cross-sector exercises, communication and cooperation

Article 50

Administrative penalties and remedial measures

Article 51

Exercise of the power to impose administrative penalties and remedial measures

Article 52

Criminal penalties

Article 53

Notification duties

Article 54

Publication of administrative penalties

Article 55

Professional secrecy

Article 56

Data Protection

Chapter VIII (Article 57)

Delegated acts

Article 57

Exercise of the delegation

Chapter IX (Articles 58 – 64)

Transitional and final provisions

Section I

Article 58

Review clause

Section II

Amendments

Article 59

Amendments to Regulation (EC) No 1060/2009

Article 60

Amendments to Regulation (EU) No 648/2012

Article 61

Amendments to Regulation (EU) No 909/2014

Article 62

Amendments to Regulation (EU) No 600/2014

Article 63

Amendment to Regulation (EU) 2016/1011

Article 64

Entry into force and application

Article 37 Request for information

TL;DR This article from the EU Digital Operations Resilience Act outlines the process by which the Lead Overseer may request information from critical ICT third-party service providers. This includes any relevant business documents, contracts, policies, incident reports, and outsourced operational functions/activities. The Lead Overseer will make a request (simple or by decision) which includes the basis of the request, purpose, information required, time limit and right to appeal. The third-party must provide the requested information, with lawyers able to supply on behalf of their clients. The Lead Overseer must provide the requesting decision a copy to the JON, as well as the financial entities using the services of the relevant third-party service provider.

  1. The Lead Overseermeans the European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation; may, by simple request or by decision, require critical ICT third-party service providersmeans an ICT third-party service provider designated as critical in accordance with Article 31; to provide all information that is necessary for the Lead Overseermeans the European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation; to carry out its duties under this Regulation, including all relevant business or operational documents, contracts, policies, documentation, ICT security audit reports, ICT-related incidentmeans a single event or a series of linked events unplanned by the financial entity that compromises the security of the network and information systems, and have an adverse impact on the availability, authenticity, integrity or confidentiality of data, or on the services provided by the financial entity; reports, as well as any information relating to parties to whom the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; has outsourced operational functions or activities.

    management body Paragraph has special considerations for 'management body' as defined by Article 3 point 30.

  2. When sending a simple request for information under paragraph 1, the Lead Overseermeans the European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation; shall:

    1. refer to this Article as the legal basis of the request;

    2. state the purpose of the request;

    3. specify what information is required;

    4. set a time limit within which the information is to be provided;

    5. inform the representative of the critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; from whom the information is requested that he or she is not obliged to provide the information, but in the event of a voluntary reply to the request the information provided must not be incorrect or misleading.

    management body Paragraph has special considerations for 'management body' as defined by Article 3 point 30.

  3. When requiring by decision to supply information under paragraph 1, the Lead Overseermeans the European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation; shall:

    1. refer to this Article as the legal basis of the request;

    2. state the purpose of the request;

    3. specify what information is required;

    4. set a time limit within which the information is to be provided;

    5. indicate the periodic penalty payments provided for in Article 35(6) where the production of the required information is incomplete or when such information is not provided within the time limit referred to in point (d) of this paragraph;

    6. indicate the right to appeal the decision to ESA’s Board of Appeal and to have the decision reviewed by the Court of Justice of the European Union (Court of Justice) in accordance with Articles 60 and 61 of Regulations (EU) No 1093/2010, (EU) No 1094/2010 and (EU) No 1095/2010.

  4. The representatives of the critical ICT third-party service providersmeans an ICT third-party service provider designated as critical in accordance with Article 31; shall supply the information requested. Lawyers duly authorised to act may supply the information on behalf of their clients. The critical ICT third-party service providermeans an ICT third-party service provider designated as critical in accordance with Article 31; shall remain fully responsible if the information supplied is incomplete, incorrect or misleading.

  5. The Lead Overseermeans the European Supervisory Authority appointed in accordance with Article 31(1), point (b) of this Regulation; shall, without delay, transmit a copy of the decision to supply information to the competent authoritiesas defined in Article 46 of the financial entitiesas defined in Article 2, points (a) to (t) using the services of the relevant critical ICT third-party service providersmeans an ICT third-party service provider designated as critical in accordance with Article 31; and to the JONJoint Oversight Network .

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