Digital Operational Resilience Act (DORA), Article 33, General investigations.
1. In order to carry out its duties under this Regulation, the Lead Overseer, assisted by the examination team referred to in Article 34(1), may conduct the necessary investigations of ICT third-party service providers:
2. The Lead Overseer shall be empowered to:
(a) examine records, data, procedures and any other material relevant to the execution of its tasks, irrespective of the medium on which they are stored;
(b) take or obtain certified copies of, or extracts from, such records, data, procedures and other material;
(c) summon representatives of the ICT third-party service provider for oral or written explanations on facts or documents relating to the subject matter and purpose of the investigation and to record the answers;
(d) interview any other natural or legal person who consents to be interviewed for the purpose of collecting information relating to the subject matter of an investigation;
(e) request records of telephone and data traffic.
3. The officials and other persons authorised by the Lead Overseer for the purposes of the investigation referred to in paragraph 1 shall exercise their powers upon production of a written authorisation specifying the subject matter and purpose of the investigation.
That authorisation shall also indicate the periodic penalty payments provided for in Article 31(4) where the production of the required records, data, procedures or any other material, or the answers to questions asked to representatives of the ICT third -party service provider are not provided or are incomplete.
4. The representatives of the ICT third-party service providers are required to submit to the investigations on the basis of a decision of the Lead Overseer. The decision shall specify the subject matter and purpose of the investigation, the periodic penalty payments provided for in Article 31(4), the legal remedies available under Regulations (EU) No 1093/2010, (EU) No 1094/2010 and (EU) No 1095/2010 and the right to have the decision reviewed by the Court of Justice.
5. In good time before the investigation, Lead Overseers shall inform competent authorities of the financial entities using that ICT third-party service provider of the investigation and of the identity of the authorised persons.