[non-validated] DORA: Applicability, proportionality and governance | SF 3
Generated catalog draft. No operational assessment or human approval is claimed.
[non-validated] This question has unresolved selected work.
Question
[non-validated] Has the financial entity documented its size metrics (staffing levels, turnover, balance sheet) to determine eligibility for the appropriate ICT risk management framework under DORA requirements?
Explanation
[non-validated] Has the financial entity documented its size metrics (staffing levels, turnover, balance sheet) to determine eligibility for the appropriate ICT risk management framework according to repository-specified requirements?
Criterion and evidence
Actor: Financial entity as defined in repository sources. Scope: Framework eligibility determination per repository guidance. Evidence period: Ongoing compliance assessment. Positive: Documented size metrics meeting repository-specified requirements. Negative: Framework implementation without documented metrics. Missing evidence: Pending submission of metrics documentation.
AI assistance prompt
Develop sixteen bounded yes/no factors for DORA: Applicability, proportionality and governance. Identify the assessed legal entity, its DORA role, applicable regime and management-body accountability. Determine financial-entity category, exemptions, group boundary, size and proportionality; distinguish the standard and simplified ICT frameworks and the role of non-critical versus designated critical ICT providers. Cover management-body ownership, resourcing and ICT-risk oversight. Do not treat every provider as directly subject to every financial-entity obligation. DORA article references: 1, 2, 3, 4, 5, 16. Verify entity-role applicability and current primary sources. Missing evidence stays pending; no compliance or assessment is implied.
Clarifications
What constitutes sufficient evidence for framework eligibility determination?
Documented evidence of entity size metrics (staffing levels, turnover, balance sheet totals) demonstrating alignment with repository-specified requirements as shown in satisfied fixture-003-1.
How are missing metrics documentation scenarios treated?
Assessment remains pending per fixture-003-3; absence of documentation does not constitute automatic pass or fail. Entity must submit documented metrics during evidence period.
References
DORA: Applicability, proportionality and governance