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

**DORA's primary objective is to strengthen the digital operational resilience of EU financial entities against ICT disruptions like cyberattacks and system failures.** Regulation (EU) 2022/2554 mandates proactive ICT risk management, incident reporting, resilience testing, third-party oversight, and information sharing for 20 types of financial entities and critical ICT third-party providers (CTPPs), applying fully from January 17, 2025.

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

**DORA legally requires compliance from approximately 22,000 EU-regulated financial entities across 20 types, including credit institutions, insurance undertakings, investment firms, payment institutions, and crypto-asset service providers, plus critical ICT third-party providers (CTPPs).** It targets entities with significant ICT dependencies, with ESAs designating CTPPs like cloud providers for direct oversight.

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 and oversight by competent authorities or ESAs for CTPPs via Joint Examination Teams (JETs).

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

**DORA mandates annual basic ICT resilience testing, such as vulnerability assessments, with triennial advanced threat-led penetration testing (TLPT) for critical or designated entities.** ICT risk management frameworks must undergo annual reviews, proportional to entity size, complexity, and risk exposure, per Regulatory Technical Standards (RTS) published in 2024.

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

**Non-compliance with DORA incurs administrative fines up to 2% of total global annual turnover for firms or €5 million (or 10% of annual salary) for individuals, imposed by ESAs or competent authorities.** Additional remedies include remedial directives, operational restrictions, and public disclosures, escalating for systemic risks like major incidents impacting over 5% of users or €100,000+ losses.

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

**Yes, DORA's ICT risk management, incident reporting, testing, and third-party oversight elements can be mapped to other international frameworks, leveraging existing compliance for efficiency.** Financial entities often align DORA's proportional controls, 4-hour incident notifications, and TLPT with prior EBA guidelines or sector-specific rules like Solvency II, though DORA imposes stricter harmonized mandates.

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

**The first step to implement DORA is conducting a gap analysis of current ICT risk management against the ESAs' Regulatory Technical Standards (RTS) on ICT frameworks, published January 17, 2024.** This identifies deficiencies in strategies, incident classification, third-party dependencies, and testing plans, enabling establishment of a comprehensive framework overseen by the management body ahead of the January 17, 2025, application date.

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

**The primary objective of **RoHS** is to restrict hazardous substances in electrical and electronic equipment (EEE) to protect human health and the environment during waste management and recycling.** Directive 2011/65/EU (RoHS 2) limits ten substances—**lead (Pb)**, **mercury (Hg)**, **cadmium (Cd)**, **hexavalent chromium (Cr(VI))**, **PBB**, **PBDE**, **DEHP**, **BBP**, **DBP**, and **DIBP**—at maximum concentration values (**MCVs**) of **0.1% by weight (1000 ppm)** in homogeneous materials (except **0.01% (100 ppm)** for Cd), unless exempted.

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

**Manufacturers, importers, distributors, and authorized representatives placing EEE on the EU market must comply with **RoHS**.** It applies to all EEE categories in Annex I unless explicitly excluded (e.g., large-scale fixed installations, military equipment), with obligations for technical documentation, **EU Declaration of Conformity (DoC)**, and CE marking where applicable, per the open-scope model of RoHS 2.

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

**No, **RoHS** does not require external audits or third-party certification.** Compliance is self-assessed via a risk-based technical file (per EN IEC 63000:2018), **DoC**, and traceability, with retention for 10 years; market surveillance by Member States verifies through documentation and testing.

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

**RoHS assessments must be performed upon product changes and periodically for ongoing compliance.** Conduct initial verification before market placement, re-assess with supplier changes or exemption expiries (typically 5-7 years), and annually for high-risk materials via tiered testing (XRF screening, IEC 62321 confirmatory analysis).

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

**Non-compliance with **RoHS** results in decentralized enforcement by Member State authorities, including product recalls, sales bans, and fines.** Penalties vary by jurisdiction (e.g., administrative fines, withdrawal orders); no unified EU fines exist, but risks include market exclusion and liability for unproven conformity.

An **RoHS** be mapped to other international frameworks?

**No, these FAQs address **RoHS** independently; mapping to other frameworks is outside scope.** Focus on EU RoHS 2 requirements for EEE substance control, documentation, and exemptions without cross-references.

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

**The first step to implement **RoHS** is to conduct product scoping against Annex I categories and exclusions.** Map bills of materials to homogeneous materials, identify restricted substances and exemptions (Annexes III/IV), and initiate supplier declarations for technical file assembly per EN IEC 63000.

DORA vs RoHS | GRADUM

Standards Comparison

DORA

Mandatory

2023

EU regulation for digital operational resilience in financial sector

RoHS

Mandatory

2011

EU regulation restricting hazardous substances in electrical equipment.

Quick Verdict

DORA mandates ICT resilience for EU financial firms against cyber threats, requiring risk management and testing. RoHS restricts hazardous substances in electronics for environmental safety, demanding material compliance. Firms adopt DORA for regulatory survival, RoHS for market access.

Digital Operational Resilience

DORA

Regulation (EU) 2022/2554, Digital Operational Resilience Act

Cost

€€€€

Complexity

High

Implementation Time

18-24 months

Key Features

Establishes mandatory ICT risk management frameworks for financial entities
Enforces strict 4-hour initial incident reporting deadlines
Mandates triennial threat-led penetration testing for critical functions
Implements oversight of critical third-party ICT providers
Harmonizes resilience standards across 27 EU member states

Hazardous Substances

RoHS

Directive 2011/65/EU (RoHS 2)

Cost

€€€€

Complexity

High

Implementation Time

6-12 months

Key Features

Restricts 10 hazardous substances at homogeneous material level
Open scope for all EEE unless specifically excluded
Requires technical documentation and EU Declaration of Conformity
Time-limited exemptions via Annexes III and IV
Tiered verification using IEC 62321 testing methods

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), formally Regulation (EU) 2022/2554, is an EU-wide regulation enhancing digital operational resilience of financial entities against ICT disruptions like cyberattacks. Applicable to 20 financial entity types and critical third-party providers (CTPPs), it employs a proportionality-based, risk-centric approach for harmonized oversight across 27 member states.

Key Components

**ICT Risk ManagementComprehensive frameworks for identification, protection, response, recovery.
**Incident Reporting4-hour initial, 72-hour intermediate notifications for major incidents.
**Resilience TestingAnnual basic tests; triennial threat-led penetration testing (TLPT).
**Third-Party OversightDue diligence, monitoring, ESAs supervision of CTPPs. No formal certification; compliance via management oversight and RTS/ITS standards.

Why Organizations Use It

Mandated to avert fines up to 2% global turnover; bolsters cyber resilience amid rising threats (74% ransomware hit); fosters trust, transparency; enables cross-border operations; drives cybersecurity investments.

Implementation Overview

Conduct gap analyses against 2024 RTS; develop policies, testing plans, vendor contracts. Targets EU financial sector; proportional to size/complexity; full application January 17, 2025, with ongoing reviews.

RoHS Details

What It Is

RoHS (Directive 2011/65/EU, recast as RoHS 2) is an EU regulation restricting hazardous substances in electrical and electronic equipment (EEE) to protect health and environment during waste management. It applies an open-scope approach to all EEE unless excluded, using homogeneous material thresholds (0.1% for most, 0.01% for cadmium).

Key Components

Restricts 10 substances (Pb, Hg, Cd, Cr(VI), PBB, PBDE, DEHP, BBP, DBP, DIBP).
Annexes III/IV for time-limited exemptions.
Built on IEC 63000 for documentation and IEC 62321 for testing.
Compliance via technical file, EU Declaration of Conformity (DoC), and CE marking.

Why Organizations Use It

Mandated for EU market access; reduces recycling risks, ensures level playing field. Mitigates fines, recalls; enhances sustainability, supply chain resilience, and ESG reputation.

Implementation Overview

Phased: scoping, gap analysis, supplier controls, DfX, tiered testing (XRF/ICP-MS), documentation. Applies to manufacturers/importers of EEE globally selling to EU; risk-based audits, 10-year retention. No central certification—market surveillance by Member States. (178 words)

Key Differences

Aspect	DORA	RoHS
Scope	Digital operational resilience in finance	Hazardous substances in electrical equipment
Industry	EU financial entities and ICT providers	EEE manufacturers worldwide, EU focus
Nature	Mandatory EU regulation	Mandatory EU directive with exemptions
Testing	Annual basic, triennial TLPT	XRF screening, lab confirmation IEC 62321
Penalties	Up to 2% global turnover	Fines, recalls, market bans by states

Scope

DORA

Digital operational resilience in finance

RoHS

Hazardous substances in electrical equipment

Industry

DORA

EU financial entities and ICT providers

RoHS

EEE manufacturers worldwide, EU focus

Nature

DORA

Mandatory EU regulation

RoHS

Mandatory EU directive with exemptions

Testing

DORA

Annual basic, triennial TLPT

RoHS

XRF screening, lab confirmation IEC 62321

Penalties

DORA

Up to 2% global turnover

RoHS

Fines, recalls, market bans by states

Frequently Asked Questions

Common questions about DORA and RoHS

DORA FAQ

RoHS FAQ

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DORA

RoHS

Quick Verdict

DORA

Key Features

RoHS

Key Features

Detailed Analysis

DORA Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

RoHS 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?

An DORA be mapped to other international frameworks?

What is the first step to begin implementing DORA?

RoHS FAQ

What is the primary objective of RoHS?

Who is legally or professionally required to comply with RoHS?

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

How often should an assessment for RoHS be performed?

What are the consequences of non-compliance with RoHS?

An RoHS be mapped to other international frameworks?

What is the first step to begin implementing RoHS?

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Run Maturity Assessments with GRADUM

Check out these other Gradum.io Standards Comparison Pages

CSL (Cyber Security Law of China) vs WCAG

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