urn: urn:intuitem:risk:library:its-dora-incident-reporting
locale: en
ref_id: ITS-DORA-incident-reporting
name: ITS DORA incident reporting
description: 'Article 20 of DORA mandates the European Supervisory Authorities (ESAs)
  to develop through the Joint Committee and in consultation with the European Central
  Bank and European Union Agency for Cybersecurity, Draft Implementing Technical Standards
  (ITS) establishing the standard forms, templates and procedures for FEs to report
  a major ICT related incident or to notify a significant cyber threat.


  Here is the link of the Second batch of policy products under DORA:

  https://www.eiopa.europa.eu/publications/second-batch-policy-products-under-dora_en


  Here is the link of the document :

  https://www.eiopa.europa.eu/document/download/0dfbccfd-97b2-4076-9644-b5cf4566fc6f_en?filename=JC%202024-33%20-%20Final%20report%20on%20the%20draft%20RTS%20and%20ITS%20on%20incident%20reporting.pdf'
copyright: ESA
version: 1
publication_date: 2024-08-12
provider: ESA
packager: intuitem
objects:
  framework:
    urn: urn:intuitem:risk:framework:its-dora-incident-reporting
    ref_id: ITS-DORA-incident-reporting
    name: ITS DORA incident reporting
    description: 'Article 20 of DORA mandates the European Supervisory Authorities
      (ESAs) to develop through the Joint Committee and in consultation with the European
      Central Bank and European Union Agency for Cybersecurity, Draft Implementing
      Technical Standards (ITS) establishing the standard forms, templates and procedures
      for FEs to report a major ICT related incident or to notify a significant cyber
      threat.


      Here is the link of the Second batch of policy products under DORA:

      https://www.eiopa.europa.eu/publications/second-batch-policy-products-under-dora_en


      Here is the link of the document :

      https://www.eiopa.europa.eu/document/download/0dfbccfd-97b2-4076-9644-b5cf4566fc6f_en?filename=JC%202024-33%20-%20Final%20report%20on%20the%20draft%20RTS%20and%20ITS%20on%20incident%20reporting.pdf'
    requirement_nodes:
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      assessable: false
      depth: 1
      ref_id: Recital
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-1
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 1
      description: In order to ensure consistent reporting of major incidents and
        submission of good quality data, it should be specified which data fields
        need to be provided by financial entities at various stages of the reporting,
        when providing initial notification, inter- mediate and final reports as referred
        to in Article 19(4) of Regulation (EU) 2024/25542 . It is important that information
        provided over the different reporting stages until the final report is presented
        in a way that allows for a single overview. Therefore, there should be a single
        template which covers all necessary information throughout the reporting stages
        that should be used for the submission of the initial notification, the intermediate
        and final report.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-2
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 2
      description: Financial entities should complete those data fields of the template,
        which corre- spond to the information requirements of the respective notification
        or report. How- ever, where financial entities have information which they
        are required to provide at a later reporting stage, i.e. the intermediate
        or final report as relevant, they should be allowed to anticipate that data
        and complete those data fields and provide to the com- petent authorities.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-3
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 3
      description: The design of the template and data fields should also enable the
        reporting of multiple or recurring incidents, since those incidents may constitute
        a major incident in ac- cordance with Commission Delegated Regulation specifying
        Article 18(3) of Regu- lation (EU) 2022/2554.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-4
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 4
      description: In order to ensure accurate and up to date information, financial
        entities should up- date the previously submitted information when submitting
        the intermediate and final report, respectively, and should reclassify major
        incidents as non-major, where nec- essary.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-5
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 5
      description: The legal identification of entities within the scope of this Implementing
        Regulation should be aligned with the identifiers specified in the Commission
        Implementing Regulation specifying Art. 28(9) of Regulation (EU) 2022/2554.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-6
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 6
      description: To identify more easily the impact of an incident having occurred
        at or being caused by a third-party provider affecting multiple financial
        entities within a single Member State, and to reduce the reporting effort
        for financial entities, the reporting template should allow for the submission
        of an aggregated report covering aggregated infor- mation about the impact
        of the incident on all impacted financial entities that have classified the
        incident as major.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-7
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 7
      description: The design of the template should be technology and reporting format
        neutral to al- low for its integration into various incident reporting solutions
        that already exist or may be developed for the implementation of the requirements
        of the Regulation (EU) 2022/2554.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-8
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 8
      description: The design of the reporting templates and data fields should facilitate
        the reporting of major ICT-related incidents by third parties to whom financial
        entities outsourced their reporting obligation in accordance with Article
        19(5) of Regulation (EU) 2022/2554.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-9
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 9
      description: This Regulation is based on the draft implementing technical standards
        submitted to the Commission by the European Supervisory Authorities (ESAs).
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital-10
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:recital
      ref_id: Recital 10
      description: The ESAs have conducted open public consultations on the draft
        implementing tech- nical standards on which this Regulation is based, analysed
        the potential related costs and benefits and requested the advice of the Banking
        Stakeholder Group established in accordance with Article 37 of Regulations
        (EU) No 1093/2010, 1094/2010, 1095/2010 of the European Parliament and of
        the Council,
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node13
      assessable: false
      depth: 1
      name: Article 1
      description: Standard form for reporting of ICT-related major incidents
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.1
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node13
      ref_id: '1.1'
      description: 'Financial entities shall use the template in Annex I to submit
        the initial notification, intermediate and final report as follows:'
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.1.a
      assessable: true
      depth: 3
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.1
      ref_id: 1.1.a
      description: Where an initial notification is submitted, financial entities
        shall complete the data fields of the template which correspond to the information
        to be provided in accord- ance with Article 3 of Commission Delegated Regulation
        specifying Article 20a of Regulation (EU) 2022/2554. Financial entities may
        complete data fields, the com- pletion of which is not required for an initial
        notification, but for an intermediate or final report, where they have the
        relevant information.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.1.b
      assessable: true
      depth: 3
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.1
      ref_id: 1.1.b
      description: Where an intermediate report is submitted, financial entities shall
        complete the data fields of the template which correspond to the information
        to be provided in accord- ance with Article 4 of Commission Delegated Regulation
        specifying Article 20a of Regulation (EU) 2022/2554. Financial entities may
        complete data fields, the com- pletion of which is not required for the intermediate
        report, but for the final report, where they have the relevant information.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.1.c
      assessable: true
      depth: 3
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.1
      ref_id: 1.1.c
      description: Where a final report is submitted, financial entities shall complete
        the data fields of the template be completed which correspond to the information
        to be provided in accordance with Article 5 of Commission Delegated Regulation
        specifying Article 20a of Regulation (EU) 2022/2554.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.2
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node13
      ref_id: '1.2'
      description: Financial entities shall ensure that the information contained
        in the initial notification, intermediate and final report is complete and
        accurate.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.3
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node13
      ref_id: '1.3'
      description: Where accurate data is not available at the time of reporting for
        the initial notification or the intermediate report, the financial entity
        shall provide estimated values based on other available data and information
        to the extent possible.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.4
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node13
      ref_id: '1.4'
      description: When submitting an intermediate or final report, financial entities
        shall update, where applicable, the information that was previously provided
        with the initial notification or the intermediate report.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:1.5
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node13
      ref_id: '1.5'
      description: Financial entities shall follow the data glossary and instructions
        set out in Annex II when completing the template in Annex I
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node22
      assessable: false
      depth: 1
      name: Article 2
      description: Submission of initial notification, intermediate and final reports
        together
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node23
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node22
      description: Financial entities may combine the submission of the initial notification,
        intermediate report and/or final report to provide two or all of those at
        the same time, where regular activities have been recovered and/or the root
        cause analysis has been completed, provided that the timelines set out in
        Article 6 of the Commission Delegated Regulation specifying Article 20a of
        Regulation (EU) 2022/2554 are met.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node24
      assessable: false
      depth: 1
      name: Article 3
      description: Recurring incidents
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node25
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node24
      description: Where the information is provided for recurring incidents, which
        do not individually meet the criteria for a major ICT related incident but
        do so cumulatively in accordance with Article 8(2) of Commission Delegated
        Regulation specifying Article 18(3) of Regulation (EU) 2022/2554, financial
        entities shall provide aggregated information regarding such incidents.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node26
      assessable: false
      depth: 1
      name: Article 4
      description: Use of secure channels in case of deviation from established channels
        or time limits
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:4.1
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node26
      ref_id: '4.1'
      description: Financial entities shall use secure electronic channels set out
        by their competent author- ity to submit the initial notification and intermediate
        and final reports .
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:4.2
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node26
      ref_id: '4.2'
      description: Where financial entities are unable to use established channels
        to submit incident noti- fications or reports to their competent authority,
        financial entities shall inform the com- petent authority about the major
        incident through other secure means, after consulting with or as previously
        agreed with the competent authority. If required by the competent authority,
        financial entities shall resubmit the initial notification, intermediate or
        final report through the established channels under paragraph 1 once they
        are able to do so.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node29
      assessable: false
      depth: 1
      name: Article 5
      description: Reclassification of major incidents
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node30
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node29
      description: "Where after further assessment of the incident, the financial\
        \ entity reaches the conclusion that the incident previously reported as major\
        \ at no time fulfilled the classification criteria and thresholds in accordance\
        \ with Article 18(4) of Commission Delegated Regulation specifying Article\
        \ 18(3) of Regulation (EU) 2022/2554, the financial entity shall indicate\
        \ it has reclassified the incident from major to non-major and shall submit\
        \ the information related to the reclassification of the major incident as\
        \ non-major by completing the template in Annex II in relation to the fields\
        \ \u2018type of report\u2019 and \u2018other information\u2019 Where after\
        \ further assessment of the incident, the financial entity reaches the conclusion\
        \ that the incident previously reported as major at no time fulfilled the\
        \ classification criteria and thresholds in accordance with Article 18(4)\
        \ of Commission Delegated Regulation specifying Article 18(3) of Regulation\
        \ (EU) 2022/2554, the financial entity shall indicate it has reclassified\
        \ the incident from major to non-major and shall submit the information related\
        \ to the reclassification of the major incident as non-major by completing\
        \ the template in Annex II in relation to the fields \u2018type of report\u2019\
        \ and \u2018other information\u2019 Where after further assessment of the\
        \ incident, the financial entity reaches the conclusion that the incident\
        \ previously reported as major at no time fulfilled the classification criteria\
        \ and thresholds in accordance with Article 18(4) of Commission Delegated\
        \ Regulation specifying Article 18(3) of Regulation (EU) 2022/2554, the financial\
        \ entity shall indicate it has reclassified the incident from major to non-major\
        \ and shall submit the information related to the reclassification of the\
        \ major incident as non-major by completing the template in Annex II in relation\
        \ to the fields \u2018type of report\u2019 and \u2018other information\u2019"
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node31
      assessable: false
      depth: 1
      name: Article 6
      description: Notification of outsourcing of the reporting obligation
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node32
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node31
      description: Where financial entities intend to outsource the incident reporting
        obligation in accordance with Article 19(5) of Regulation (EU) 2022/2554,
        including where such outsourcing will be part of a general and/or long-term
        outsourcing arrangement, they shall inform their compe- tent authority prior
        to the first notification or reporting under such an arrangement and the latest
        as soon as the outsourcing arrangement has been concluded. Financial entities
        shall provide to the competent authority the name, contact details, and an
        identification code of the third-party that will submit the incident notifications
        or reports for them. Financial enti- ties shall also inform their competent
        authority, where such outsourcing no longer takes place or has been cancelled.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node33
      assessable: false
      depth: 1
      name: Article 7
      description: Aggregated reporting
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node33
      ref_id: '7.1'
      description: 'A third-party provider, to whom reporting obligations have been
        outsourced, may aggregate the information about a major ICT-related incident
        impacting multiple financial entities in one single notification or report,
        and submit it to the competent authority for all impacted financial entities,
        provided that all of the following conditions are met:'
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1.a
      assessable: true
      depth: 3
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1
      ref_id: 7.1.a
      description: the major incidents to be reported originate from or is being caused
        by a third-party provider;
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1.b
      assessable: true
      depth: 3
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1
      ref_id: 7.1.b
      description: this third-party provider provides the relevant ICT service to
        more than one financial entity, or to a group, in the Member State;
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1.c
      assessable: true
      depth: 3
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1
      ref_id: 7.1.c
      description: the incident is classified as major individually by each financial
        entity covered in the aggregated report,
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1.d
      assessable: true
      depth: 3
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1
      ref_id: 7.1.d
      description: the incident affects financial entities within a single Member
        State and the aggregated report relates to financial entities which are supervised
        by the same competent authority;
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1.e
      assessable: true
      depth: 3
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1
      ref_id: 7.1.e
      description: the financial entities affected by the incident have outsourced
        reporting obligations to a third-party provider in accordance with Art. 19(5)
        of Regulation (EU) 2022/2554 and Article 6 of this Regulation, and
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1.f
      assessable: true
      depth: 3
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.1
      ref_id: 7.1.f
      description: competent authorities have explicitly permitted aggregated reporting
        to those financial entities.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.2
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node33
      ref_id: '7.2'
      description: Significant credit institutions in accordance with Article 6(4)
        of Regulation (EU) No 1024/2013, operators of trading venues and central counterparties
        shall be required to submit an incident notification or report at solo level
        to their competent authority.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:7.3
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node33
      ref_id: '7.3'
      description: Upon request by the competent authority, financial entities shall
        submit a separate individual incident notification or report.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node43
      assessable: false
      depth: 1
      name: Article 8
      description: Standard form for voluntary reporting of notification of significant
        cyber threats
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:8.1
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node43
      ref_id: '8.1'
      description: When notifying the competent authorities of significant cyber threats
        in accordance with Article 19(2) of Regulation (EU) 2022/2554, financial entities
        shall use the template in Annex III and follow the data glossary and instructions
        set out Annex IV.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:8.2
      assessable: true
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node43
      ref_id: '8.2'
      description: Financial entities shall ensure that the information contained
        in the cyber threat notification is complete and accurate.
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node46
      assessable: false
      depth: 1
      name: Article 9
      description: Entry into force and application
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node47
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node46
      description: This Regulation shall enter into force on the twentieth day following
        that of its publication in the Official Journal of the European Union
    - urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node48
      assessable: false
      depth: 2
      parent_urn: urn:intuitem:risk:req_node:its-dora-incident-reporting:node46
      description: This Regulation shall be binding in its entirety and directly applicable
        in all Member States.
