What is the primary objective of **DORA**?

**The primary objective of DORA (Regulation (EU) 2022/2554) is to bolster digital operational resilience in the EU financial sector against ICT disruptions like cyberattacks and third-party failures.** Enacted December 14, 2022, and applying from January 17, 2025, it mandates ICT risk management, incident reporting, resilience testing, and third-party oversight across 20 financial entity types and critical ICT third-party providers (CTPPs), harmonizing rules for ~22,000 entities.

Who is legally or professionally required to comply with **DORA**?

**DORA legally requires compliance from 20 types of EU financial entities, including credit institutions, insurance undertakings, investment firms, payment institutions, and crypto-asset service providers, plus designated critical ICT third-party providers (CTPPs).** It covers ~22,000 regulated entities and ~1,000+ ICT providers like cloud firms, with ESAs designating CTPPs by end-2025 for direct oversight via Joint Examination Teams (JETs).

Does **DORA** require an external audit or third-party certification?

**DORA does not mandate external audits or third-party certification but requires independent digital operational resilience testing, including risk-based annual basic tests and triennial threat-led penetration testing (TLPT) for critical entities.** Testing may involve external providers, with results reported to authorities; third-party oversight includes contractual audit rights for CTPPs, per Batch 2 RTS (July 17, 2024).

How often should an assessment for **DORA** be performed?

**DORA requires annual basic ICT resilience tests (e.g., vulnerability assessments) for all in-scope entities and triennial advanced threat-led penetration testing (TLPT) for critical ones.** ICT risk management frameworks must undergo annual reviews, with testing tailored proportionally to size, complexity, and risk, as detailed in Batch 2 RTS (July 17, 2024).

What are the consequences of non-compliance with **DORA**?

**Non-compliance with DORA incurs administrative fines up to 2% of global annual turnover for firms or €5 million (or 10% of annual salary) for individuals, imposed by ESAs or competent authorities.** Additional penalties include oversight fees up to €1 million annually for CTPPs, remediation orders, and public naming, effective post-January 17, 2025.

Can **DORA** be mapped to other international frameworks?

**DORA cannot be directly mapped to other international frameworks within its standalone scope, as it establishes sector-specific EU harmonization for financial ICT resilience.** While it evolves from prior EBA guidelines, its RTS/ITS (Batches 1 and 2, 2024) define unique requirements like 4-hour incident reporting and TLPT, precluding direct equivalency.

What is the first step to begin implementing **DORA**?

**The first step to implement DORA is conducting a gap analysis against the ICT risk management framework RTS (Batch 1, January 17, 2024).** This identifies deficiencies in ICT strategies, incident classification, third-party policies, and testing plans, enabling proportional prioritization ahead of the January 17, 2025, deadline.

What is the primary objective of **ITIL**?

**The primary objective of ITIL is to align IT services with business objectives through its Service Value System (SVS), ensuring value co-creation via 34 practices, guiding principles, governance, and continual improvement.** ITIL 4 (2019) emphasizes the four dimensions—organizations & people, information & technology, partners & suppliers, value streams & processes—to deliver services that are fit for purpose (utility) and fit for use (warranty), optimizing resource utilization and service quality across the Service Value Chain's six activities: Plan, Improve, Engage, Design & Transition, Obtain/Build, and Deliver & Support.

Who is legally or professionally required to comply with **ITIL**?

**No organizations are legally required to comply with ITIL, as it is a voluntary best-practices framework for IT Service Management (ITSM), not a mandatory regulation.** Professionally, it is adopted by over 87% of global IT organizations, particularly large enterprises managing complex environments like 1 million endpoints across continents, to achieve alignment, cost efficiencies, and certifications via PeopleCert pathways from Foundation to Managing Professional.

Does **ITIL** require an external audit or third-party certification?

**ITIL does not require external audits or third-party certification, as it functions as flexible guidelines rather than a certifiable standard.** Organizations may pursue voluntary ISO/IEC 20000 certification, which aligns with ITIL practices, or PeopleCert credentials (e.g., ITIL 4 Foundation) to demonstrate competence, producing audit-ready artifacts like SLAs, CMDB records, and compliance registers through internal assessments.

How often should an assessment for **ITIL** be performed?

**ITIL assessments should be performed continually as part of the SVS's Continual Improvement practice, using the 7-step improvement model integrated into all 34 practices.** This involves regular gap analyses, KPI monitoring (e.g., incident resolution times, change success rates), and iterative reviews during the 10-step implementation roadmap, with phased pilots recommended every 3-5 sprints to measure progress and adapt practices.

What are the consequences of non-compliance with **ITIL**?

**There are no legal consequences for non-compliance with ITIL, since it is a non-mandatory framework, but organizations risk operational inefficiencies, higher downtime, and missed ROI like the reported 38:1 gains from adopters.** Internal impacts include poor service alignment, unoptimized resources, cultural resistance, and vulnerability to risks such as elevated data breach costs exceeding $3 million, without ITIL's structured incident, problem, and change enablement practices.

Can **ITIL** be mapped to other international frameworks?

**Yes, ITIL can be mapped to other international frameworks through its alignment with standards like ISO/IEC 20000 for ITSM certification.** ITIL 4's 34 practices and SVS integrate with Agile, DevOps, Lean, and SRE via flexible value streams, enabling hybrid models while supporting governance for compliance in areas like change enablement (RFCs, CAB reviews) and configuration management (CMDB).

What is the first step to begin implementing **ITIL**?

**The first step to implement ITIL is Project Preparation in the 10-step roadmap, securing executive sponsorship and defining scope aligned with the guiding principle "Start Where You Are."** This involves conducting an ITIL assessment and gap analysis of current processes against the SVS, prioritizing high-ROI practices like incident management and service desk for phased adoption.

DORA vs ITIL | GRADUM

Standards Comparison

DORA

Mandatory

2023

EU regulation for digital operational resilience in financial sector

ITIL

Voluntary

2019

Global framework for IT service management best practices

Quick Verdict

DORA mandates ICT resilience for EU finance firms via risk management and testing, while ITIL offers voluntary best practices for global IT service alignment. Firms adopt DORA for regulatory compliance; ITIL for efficiency and value creation.

Digital Operational Resilience

DORA

Regulation (EU) 2022/2554 Digital Operational Resilience Act

Cost

€€€€

Complexity

High

Implementation Time

12-18 months

Key Features

Requires management-approved ICT risk management frameworks
Imposes 4-hour major incident notification requirement
Mandates triennial threat-led penetration testing for critical entities
Establishes ESAs oversight of critical ICT third-parties
Harmonizes resilience standards across EU financial sector

IT Service Management

ITIL

ITIL 4 Framework for IT Service Management

Cost

€€€

Complexity

High

Implementation Time

12-18 months

Key Features

Service Value System (SVS) for value co-creation
34 adaptable practices across management categories
Seven guiding principles for holistic decisions
Four dimensions balancing people, tech, partners, processes
Continual improvement model with iterative feedback

Detailed Analysis

A comprehensive look at the specific requirements, scope, and impact of each standard.

DORA Details

What It Is

Digital Operational Resilience Act (DORA), Regulation (EU) 2022/2554, is an EU-wide regulation enhancing digital operational resilience against ICT disruptions like cyberattacks for 20 financial entity types and critical third-party providers (CTPPs). It uses a proportional, risk-based approach, harmonizing rules across 27 member states, effective January 17, 2025.

Key Components

Core pillars encompass ICT risk management frameworks for identifying/mitigating risks; incident reporting with 4/72-hour timelines and root-cause analysis; resilience testing via annual scans and triennial threat-led penetration testing (TLPT); third-party oversight including due diligence and ESAs supervision; plus information sharing. Supported by 2024 RTS/ITS batches, no certification but mandatory compliance.

Why Organizations Use It

Mandatory for EU financial firms to avert 2% turnover fines, addressing 74% ransomware prevalence. Bolsters systemic resilience post-outages like CrowdStrike, fosters trust, spurs €10-15B cybersecurity investments, and integrates with Solvency II/NIS2.

Implementation Overview

Conduct gap analyses, build frameworks/tools, execute tests, map vendors proportionally by size/risk. Targets financial sector geographically; audits by authorities. Urgent prep leverages existing EBA guidelines for larger entities.

ITIL Details

What It Is

ITIL (originally Information Technology Infrastructure Library, now standalone) is a framework of best practices for IT Service Management (ITSM). Its primary purpose is aligning IT services with business objectives across the full lifecycle, emphasizing value co-creation. ITIL 4 employs a flexible, value-driven approach through the Service Value System (SVS).

Key Components

**Service Value System (SVS)Guiding principles, governance, service value chain (6 activities), 34 practices, continual improvement.
**34 practices14 general management, 17 service management, 3 technical management.
7 guiding principles (e.g., Focus on Value, Progress Iteratively with Feedback).
**4 dimensionsOrganizations & people, information & technology, partners & suppliers, value streams & processes.
Certifications via PeopleCert (Foundation to Strategic Leader).

Why Organizations Use It

Drives cost efficiencies, reduced downtime (e.g., 20% faster resolutions), risk mitigation ($3M+ breach costs), 87% global adoption, proven ROI (up to 38:1). Integrates DevOps/Agile/SRE, enhances satisfaction, supports ISO 20000 compliance, builds stakeholder trust.

Implementation Overview

Phased ten-step roadmap: preparation, assessment, gap analysis, design, training, integration. Suited for all sizes/industries globally. Voluntary, with optional certifications/audits. (178 words)

Key Differences

Aspect	DORA	ITIL
Scope	Digital resilience in finance ICT	IT service management best practices
Industry	EU financial entities only	All industries worldwide
Nature	Mandatory EU regulation	Voluntary ITSM framework
Testing	Annual basic, triennial TLPT	No mandatory testing required
Penalties	Up to 2% global turnover fines	No legal penalties

Scope

DORA

Digital resilience in finance ICT

ITIL

IT service management best practices

Industry

DORA

EU financial entities only

ITIL

All industries worldwide

Nature

DORA

Mandatory EU regulation

ITIL

Voluntary ITSM framework

Testing

DORA

Annual basic, triennial TLPT

ITIL

No mandatory testing required

Penalties

DORA

Up to 2% global turnover fines

ITIL

No legal penalties

Frequently Asked Questions

Common questions about DORA and ITIL

DORA FAQ

ITIL FAQ

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DORA

ITIL

Quick Verdict

DORA

Key Features

ITIL

Key Features

Detailed Analysis

DORA Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

ITIL Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

Key Differences

Scope

Industry

Nature

Testing

Penalties

Frequently Asked Questions

DORA FAQ

What is the primary objective of DORA?

Who is legally or professionally required to comply with DORA?

Does DORA require an external audit or third-party certification?

How often should an assessment for DORA be performed?

What are the consequences of non-compliance with DORA?

Can DORA be mapped to other international frameworks?

What is the first step to begin implementing DORA?

ITIL FAQ

What is the primary objective of ITIL?

Who is legally or professionally required to comply with ITIL?

Does ITIL require an external audit or third-party certification?

How often should an assessment for ITIL be performed?

What are the consequences of non-compliance with ITIL?

Can ITIL be mapped to other international frameworks?

What is the first step to begin implementing ITIL?

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SOC 2 Audit Survival Guide: 10 Red Flags Auditors Flag and Model Answers for Walkthroughs

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