DORA Review Agent
DORA compliance requires detailed and consistent assessment of ICT third-party providers across multiple regulatory areas. Each submission must be checked for required controls, documentation, and evidence, and missing elements need to be identified before audits or supervisory reviews. Manual review makes this work slow and difficult to apply consistently at scale.
The LuminIQ DORA Review Agent executes this first-pass regulatory review automatically as submissions are received. It applies the same criteria every time and produces a clear compliance summary. Compliance teams focus on judgement, remediation, and regulatory engagement, not on manually verifying every requirement.
What It Reviews
The agent automatically reviews DORA assessments as soon as they are submitted, applying regulatory criteria without backlog so teams engage only on exceptions.
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ICT risk management controls: Reviews whether vendors document required ICT risk management practices and governance controls defined under DORA. Missing or insufficient controls are flagged.
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Incident reporting readiness: Checks for required incident reporting processes, thresholds, and documentation, identifying gaps where reporting obligations are unclear or incomplete.
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Operational resilience and testing: Reviews evidence related to resilience testing and operational continuity, flagging missing or inadequate testing coverage.
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Third-party risk management: Assesses controls related to subcontracting, oversight, and concentration risk where required under DORA’s third-party risk provisions.
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Information sharing arrangements: Verifies whether required information-sharing mechanisms and cooperation commitments are documented where applicable.
Who this is for
This agent is for compliance, risk, and regulatory teams responsible for meeting DORA requirements across ICT third parties. It is designed for organisations where manual assessment makes it difficult to demonstrate consistent application of regulatory controls.
It supports procurement and vendor risk teams by reducing assessment overhead, and leadership teams by providing a scalable, auditable approach to regulatory compliance without increasing operational burden.
Manual vs automated agent execution
Before:
Before using the agent, DORA assessments are reviewed manually across multiple regulatory pillars. Each submission requires careful checking of controls and evidence, and missing elements may only surface after review has begun. Maintaining consistency across assessments requires additional coordination and documentation.
- Review effort increases with each submission
- Required controls are checked manually across pillars
- Incomplete responses surface late
- Interpretation varies between reviewers
- Demonstrating consistent compliance adds overhead
After:
After the agent is in place, DORA requirements are assessed automatically as submissions are received. Reviews are consistent, structured, and ready for regulatory judgement.
- Controls and evidence are checked immediately
- Gaps are identified with clear, specific detail
- Compliance summaries are produced automatically
- Review consistency is built into the process
- Compliance teams focus on remediation and judgement
See it in action
Configuration options
The DORA Review Agent is configurable to reflect how your organisation interprets and applies DORA requirements, ensuring assessments are consistent and defensible.
- Regulatory criteria: Configure which DORA requirements are evaluated.
- Pillar coverage: Define how ICT risk management, incident reporting, resilience testing, third-party risk management, and information sharing are assessed.
- Gap identification rules: Specify how missing or incomplete evidence is flagged.
- Summary outputs: Configure how compliance results are structured and reported.
- Audit logging: Ensure every review decision is logged with applied criteria.
Security & Compliance
DORA assessment data is processed within Gatekeeper’s secure environment. All review actions and decisions are logged with the criteria applied and results identified, providing a complete audit trail to support regulatory evidence and supervisory review.
The DORA Review Agent is part of LuminIQ, Gatekeeper’s AI engine for third-party lifecycle management. All agent actions are logged with complete audit trails. The agent operates within your configured permissions and routing rules—it doesn’t make decisions outside the parameters you set. Data handling follows Gatekeeper’s enterprise security standards, including SOC 2 Type II compliance and GDPR requirements.
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