Please provide exhaustive list of exclusions envisaged for microenterprises by DORA. In each case please refer to specific provision of DORA which provides a given exclusion.
Understanding the Legal Question
The user is seeking a comprehensive rundown of the specific exceptions within the Digital Operational Resilience Act (DORA) that apply to “microenterprises.” The user’s aim is to understand which provisions or requirements of DORA do not apply to these smaller entities.
Ambiguities in the Legal Question
The user’s question appears straightforward without apparent ambiguities. It calls for a detailed examination of DORA to extract provisions that explicitly exclude microenterprises from certain obligations or requirements.
Assumptions for the Legal Analysis and the Plan for the Junior Lawyer
Note: The junior lawyer is what we call a subsystem of Hotseat that completes helper tasks
Entity Definition: It is assumed that “microenterprises” refer to entities that meet the definition under DORA or, where not defined in DORA, the common definition in EU law of an entity employing fewer than 10 persons and with an annual turnover and/or annual balance sheet total not exceeding EUR 2 million.
Scope of DORA: The key assumption is that DORA encompasses various financial entities, and the user is specifically interested in any exclusion clauses that pertain to microenterprises within the scope of this regulation.
Plan for the Junior Lawyer:
Overview of DORA’s Applicability to Microenterprises:
Familiarize yourself with the overall structure of DORA to understand its scope and the entities it governs.
Examine the Definitions and Terms:
Start by consulting Article 3 to clearly understand how DORA defines a microenterprise. This will be necessary for the context of other exclusions.
Identify Explicit Exclusions for Microenterprises:
Carefully review each Article and Annex in DORA that contains the term “microenterprise” or variations of it to identify explicit exclusions.
In particular, examine Article 6 on the ICT risk management framework, Article 25 regarding the testing of ICT tools and systems, Article 28 on general principles for ICT third-party risk management to spot specific carve-outs for microenterprises.
Check Simplified Frameworks:
Review Article 16, which offers a simplified ICT risk management framework for certain entities. Verify if microenterprises come under the simplified framework due to their size and ascertain the detailed exclusions accorded to them.
Compare Provisions:
Cross-reference general obligations laid out in DORA with the exclusions found to ensure understood exceptions align with broader requirements.
Prepare a Summary Document:
Draft a concise document listing all exclusions found with direct references to the respective Articles of DORA where those exclusions are mentioned.
Regulatory Context for Exclusions:
Examine relevant Recitals to understand the regulatory intent behind the exclusion of microenterprises from certain provisions and incorporate this context where necessary for a full understanding of the exclusions.
Final Review:
Conduct a final review of all Articles and Annexes to ensure no exclusions pertaining to microenterprises have been missed.
Definitions and Terms from the Digital Operational Resilience Act (DORA):
Microenterprise: An entity which employs fewer than 10 persons and has an annual turnover and/or annual balance sheet total not exceeding EUR 2 million.
Question Clarity Rating
Somewhat clear
Clarity Rating Explanation
The original question has a clear intent: to identify exclusions for microenterprises within DORA. However, it lacks details regarding the scope of the exclusions the user is interested in, whether any specific provisions are of particular concern, or if there are operational aspects that need to be considered. These missing context elements can lead to assumptions that might be off the mark, although they do not hinder a knowledgeable attempt at a comprehensive answer.