Digital Operational Resilience for AI in Financial Services
Meet DORA requirements for AI systems in financial services. ICT risk management, incident reporting, and operational resilience for AI infrastructure.
DORA is live. Your AI systems are now ICT systems requiring operational resilience.
AI meets operational resilience
The Digital Operational Resilience Act (DORA) applies to financial entities across the EU from January 2025. AI systems used in financial services are ICT systems under DORA, requiring risk management, incident reporting, and resilience testing.
DORA doesn't specifically target AI, but AI systems fall squarely within its scope. If your AI makes credit decisions, processes transactions, or supports critical operations, DORA applies.
ICT risk management
Comprehensive framework for managing ICT risks, including AI systems. Identification, protection, detection, response, and recovery.
Incident reporting
Major ICT incidents must be reported to regulators. AI failures that impact operations trigger reporting obligations.
Resilience testing
Regular testing of ICT systems including threat-led penetration testing. AI systems need resilience validation.
Third-party risk
Strict requirements for ICT third-party providers. AI model vendors and cloud AI services under scrutiny.
DORA compliance timeline
DORA entered into force
Regulation published in Official Journal. Two-year implementation period began.
Technical standards developed
ESAs developed Regulatory Technical Standards (RTS) and Implementing Technical Standards (ITS).
Full application
DORA now applies to all in-scope financial entities. Compliance is mandatory.
Supervisory enforcement
National competent authorities and ESAs actively supervising compliance.
"DORA treats AI as critical ICT. If your AI fails, can you demonstrate resilience? If you can't, you have a compliance problem."
How Rotascale maps to DORA requirements
AI-specific capabilities for DORA compliance.
Article 6: ICT Risk Management Framework
Comprehensive framework to identify, protect, detect, respond to, and recover from ICT risks
AI-specific risk identification. Real-time monitoring for detection. Incident response workflows. Recovery procedures.
Article 8: Identification
Identify and document all ICT assets, including interconnections and dependencies
Complete AI system inventory. Agent registry with dependencies. Data flow documentation. Third-party model tracking.
Article 9: Protection & Prevention
Implement security policies, access controls, and protective measures
AI guardrails and constraints. Access controls for agent capabilities. Approval workflows for high-risk actions.
Article 10: Detection
Promptly detect anomalous activities and ICT-related incidents
Real-time anomaly detection. Drift monitoring. Hallucination detection. Sandbagging alerts. Automated incident triggers.
Article 11: Response & Recovery
ICT business continuity policy, response and recovery plans
Circuit breakers and kill switches. Fallback procedures. Graceful degradation. Recovery workflows.
Article 17: ICT-related Incident Reporting
Classify, report, and document major ICT incidents
Incident classification framework. Audit trail for root cause analysis. Report generation. Regulator notification integration.
Article 25: Testing ICT Tools
Regular testing of ICT systems for vulnerabilities and resilience
Continuous AI evaluation. Adversarial testing. Stress testing. Resilience validation.
Article 28: Third-Party Risk
Manage risks from ICT third-party service providers
Third-party model monitoring. Vendor AI performance tracking. External service risk assessment.
Why AI needs special attention under DORA
DORA was written for traditional ICT, but AI presents unique challenges. Model drift isn't a conventional ICT failure. Hallucinations don't look like system errors. Adversarial attacks on AI differ from traditional cyber threats.
Rotascale bridges the gap between DORA's ICT framework and AI's unique characteristics.
AI-specific incidents
Model drift, hallucinations, and bias aren't traditional ICT incidents, but they can be just as disruptive. Guardian detects AI-specific failure modes.
Third-party AI models
Using GPT-4 or Claude? That's a critical third-party ICT service. You need monitoring and fallback procedures.
AI resilience testing
Traditional penetration testing doesn't cover AI vulnerabilities. Eval provides AI-specific resilience validation.
Recovery from AI failures
When AI fails, what's the fallback? AgentOps defines graceful degradation and human takeover procedures.
DORA compliance services for AI
Specialized services for AI systems under DORA.
AI DORA Gap Assessment
$40K
3 weeks. AI system inventory under DORA scope. Gap analysis against ICT risk management requirements. Remediation priorities.
AI Incident Framework
$55K
4 weeks. AI-specific incident classification. Detection mechanisms. Reporting procedures. Response workflows.
Full AI DORA Implementation
$200K+
14-18 weeks. Rotascale platform deployment for DORA compliance. AI risk management, incident detection, resilience testing, third-party monitoring.
DORA is live. Is your AI resilient?
Financial services AI must meet DORA's operational resilience requirements. The deadline has passed.