Digital Operational Resilience Act Articles (Proposal)

The Articles (Proposal) of the Digital Operational Resilience Act

Digital Operational Resilience Act (DORA), Article 34, On-site inspections.

1. In order to carry out its duties under this Regulation, the Lead Overseer, assisted by the examination teams referred to in Article 35(1), may enter and conduct all necessary on-site inspections on any business premises, land or property of the ICT third-party providers, such as head offices, operation centres, secondary premises, as well as to conduct off-line inspections.

2. The officials and other persons authorised by the Lead Overseer to conduct an on-site inspection, may enter any such business premises, land or property and shall have all the powers to seal any business premises and books or records for the period of, and to the extent necessary for, the inspection.

They shall exercise their powers upon production of a written authorisation specifying the subject matter and the purpose of the inspection and the periodic penalty payments provided for in Article 31(4) where the representatives of the ICT third-party service providers concerned do not submit to the inspection.

3. In good time before the inspection, Lead Overseers shall inform the competent authorities of the financial entities using that ICT third-party provider.

4. Inspections shall cover the full range of relevant ICT systems, networks, devices, information and data either used for, or contributing to, the provision of services to financial entities.

5. Before any planned on-site visit, Lead Overseers shall give a reasonable notice to the critical ICT third-party service providers, unless such notice is not possible due to an emergency or crisis situation, or if it would lead to a situation where the inspection or audit would no longer be effective.

6. The critical ICT third-party service provider shall submit to on-site inspections ordered by decision of the Lead Overseer. The decision shall specify the subject matter and purpose of the inspection, appoint the date on which it is to begin and indicate 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, as well as the right to have the decision reviewed by the Court of Justice.

7. Where the officials and other persons authorised by the Lead Overseer find that a critical ICT third-party service provider opposes an inspection ordered pursuant to this Article, the Lead Overseer shall inform the critical ICT provider of the consequences of such opposition, including the possibility for competent authorities of the relevant financial entities to terminate the contractual arrangements concluded with that critical ICT third-party service provider.