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dora-compliance-expert

DORA (EU 2022/2554) digital operational resilience compliance automation for financial entities. Assesses readiness against all 5 DORA pillars, classifies ICT incidents, validates third-party risk management, and generates resilience testing plans. Use for DORA compliance assessments, ICT risk management, incident classification, third-party ICT oversight, and digital operational resilience testing.

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DORA Compliance Expert

Tools and guidance for Regulation (EU) 2022/2554 on digital operational resilience for the financial sector (Digital Operational Resilience Act — DORA). DORA is a directly applicable EU regulation (applicable since January 17, 2025) covering 20 types of financial entities and their critical ICT third-party providers. This skill assesses readiness against the five pillars, classifies ICT incidents and computes reporting deadlines, and structures third-party risk and resilience-testing programs.

Core Capabilities

  • 5-pillar readiness assessment — score ICT risk management, incident management, resilience testing, third-party risk, and information sharing (0–100 per pillar) with gap analysis and prioritized remediation
  • Incident classification & reporting — classify ICT incidents per Article 18 criteria, determine major-incident status, and compute the 4h / 72h / 1-month reporting deadlines
  • Third-party ICT risk — register structure, Article 30 contractual provisions, exit strategies, and concentration-risk assessment
  • Resilience testing program design — basic testing (12 test types) plus advanced Threat-Led Penetration Testing (TLPT) per the TIBER-EU framework

When to Use

  • Running a DORA gap assessment or readiness scorecard for a financial entity
  • Classifying an ICT incident and confirming reporting obligations to a competent authority
  • Building or auditing an ICT third-party register and contracts
  • Designing a digital operational resilience testing program (basic + TLPT)
  • Determining whether and how DORA applies to your entity

Clarify First

Before running the assessment, confirm these inputs. If any is unknown or vague, ASK — do not assume:

  • [ ] Entity scope — whether the organization is one of DORA's 20 financial-entity types (determines applicability and proportionality)
  • [ ] Task — 5-pillar readiness, incident classification, third-party register, or testing-program design (picks the tool and workflow)
  • [ ] Incident facts (if classifying) — clients affected, duration, data loss, criticality, economic impact (drives major-incident determination and the 4h/72h/1-month deadlines)

Stop rule: ask only the 2-3 that most change the output. If the user says "just draft it," proceed and list your assumptions at the top of the assessment.

Quick Start

# Generate and run a 5-pillar readiness assessment
python scripts/dora_readiness_checker.py --template > assessment.json
python scripts/dora_readiness_checker.py --config assessment.json --json

# Classify an ICT incident and get reporting deadlines
python scripts/dora_incident_classifier.py --clients-affected 5000 --duration-hours 4 \
  --data-loss yes --services-critical yes --economic-impact 500000

References

Load the reference that matches the task — keep this file lean and pull detail on demand:

  • references/framework-overview.md — DORA background, legal nature, relationship to NIS2/GDPR/PSD2/MiCA/ISO 27001, the 20 in-scope entity types, proportionality, CTPP designation, and the penalty/enforcement regime. Read when scoping applicability or assessing enforcement exposure.
  • references/five-pillars-detail.md — article-by-article requirements for all 5 pillars (Articles 5–45), incident classification & reporting deadlines, testing/TLPT, and third-party contractual provisions. Read when assessing a specific pillar or mapping a requirement to its article.
  • references/dora-five-pillars-guide.md — complete implementation guidance for all 5 pillars with ISO 27001 control mapping, financial-sector-specific requirements, and RTS/ITS references. Read when implementing controls aligned to ISO 27001.
  • references/dora-third-party-management.md — ICT third-party register template, contractual requirements checklist, exit strategy framework, concentration-risk methodology, and critical-provider oversight. Read when building the register or reviewing contracts.
  • references/implementation-and-infrastructure.md — 9-month implementation roadmap, quick wins, infrastructure verification checklists, troubleshooting table, and success criteria. Read when planning the program or diagnosing assessment results.
  • references/tools-and-cli.md — full command examples, feature lists, and flag-by-flag reference for both Python scripts. Read when running or scripting the tools.

Scope & Limitations

In Scope:

  • Readiness assessment against all 5 DORA pillars with per-pillar scoring
  • ICT incident classification per Article 18 criteria with major incident determination
  • Reporting deadline calculation (4-hour initial, 72-hour intermediate, 1-month final)
  • Incident notification template generation for competent authority submissions
  • Third-party risk management guidance including register template and contractual requirements
  • Resilience testing program design covering basic and advanced (TLPT) testing
  • Gap analysis with prioritized remediation recommendations

Out of Scope:

  • Actual penetration testing execution or vulnerability scanning -- this skill provides planning and assessment frameworks, not testing tools
  • Direct interaction with competent authorities or ESAs (EBA, ESMA, EIOPA)
  • Legal determination of entity scope (whether your organization falls under DORA's 20 entity types) -- consult regulatory counsel
  • CTPP (Critical Third-Party Provider) oversight framework compliance -- applicable only to ESA-designated providers
  • Real-time ICT monitoring or SIEM implementation -- use infrastructure-compliance-auditor for technical security controls

Important Notes:

  • DORA became applicable January 17, 2025; regulators are treating 2025 as a transition year but enforcement is expected to intensify in 2026
  • Non-compliance penalties can reach up to 2% of total annual worldwide turnover or 1% of average daily global turnover for up to 6 months (for CTPPs)

Integration Points

| Skill | Integration | When to Use | |-------|-------------|-------------| | information-security-manager-iso27001 | ISO 27001 controls map directly to DORA Pillar 1 requirements; ISO 27001 certification supports DORA compliance evidence | When building ICT risk management framework aligned with both ISO 27001 and DORA | | nis2-directive-specialist | DORA is lex specialis for financial sector; NIS2 applies residually; coordinate incident reporting timelines | When financial entity also falls under NIS2 scope for non-financial ICT services | | infrastructure-compliance-auditor | Technical infrastructure checks validate DORA Pillar 1 (protection, detection) and Pillar 3 (resilience testing) controls | When assessing actual infrastructure security posture against DORA requirements | | nist-csf-specialist | NIST CSF 2.0 functions map to DORA pillars; useful for organizations with US operations | When building a unified resilience framework across US and EU requirements |

Last Updated: June 2026 Regulation Reference: EU 2022/2554 Applicable From: January 17, 2025