DORA-14 – Documentation and Evidence Management Checklist

This course provides a practical, audit-ready explanation of the Documentation and Evidence Management Checklist and how it is applied in a real financial entity under the EU Digital Operational Resilience Act (DORA). It explains why the checklist exists, what risks it mitigates, and how organisations can demonstrate conformity through repeatable controls and evidence. The course connects the checklist to core DORA expectations on ICT risk management and operational resilience, with particular emphasis on DORA governance expectations across Chapter II.

Learners are guided through the operational lifecycle of the checklist: defining scope, assigning accountable owners, embedding controls into day-to-day processes, and producing evidence that can withstand internal audit, customer due diligence, and supervisory inspection. The course highlights common failure modes such as unclear decision rights, inconsistent practices across teams, missing documentation, or reliance on third parties without oversight, and it shows how to correct these weaknesses using governance mechanisms such as approvals, review cycles, monitoring checks, escalation thresholds, and corrective action tracking.

By the end of the course, participants can translate the checklist into concrete steps: what must be done, by whom, how often, and how success is verified. They will also understand how this checklist interfaces with the wider DORA control set, so that evidence quality and traceability remains coherent across governance, operational processes, and technical execution. The result is a consistent approach that reduces regulatory exposure, improves resilience outcomes, and increases confidence for management and supervisors.

In this course, you should learn to:

• Explain the purpose and scope of the Documentation and Evidence Management Checklist.
• Identify roles responsible for applying and monitoring the checklist controls.
• Apply operational steps and controls in day-to-day ICT risk management activities.
• Produce evidence that demonstrates ongoing conformity under EU DORA.

Learn how to implement and evidence the Documentation and Evidence Management Checklist in a practical, audit-ready way.

• Board members
• Senior Management
• CIO and CISO
• ICT and Security
• Risk Management
• Compliance
• Procurement and Vendor Management
• Business Continuity and Resilience
• Internal Audit
• System and Process Owners

15-25 minutes