Section 1: General considerations

General aims and principles

These Guidelines aim at ensuring that the ESAs and the competent authorities have:

• • an overview of the areas where cooperation and/or exchange of information between competent authorities and the ESAs is needed in accordance with Article 32(7) of the DORA;
• • a coordinated and cohesive approach between the ESAs and competent authorities in the exchange of information and when cooperating for the purpose of oversight activities to ensure efficiency and consistency as well as to avoid duplications;
• • a common approach to the rules of procedure and timelines that apply in relation to cooperation and information exchange, including roles and responsibilities and means for cooperation and information exchange.

These Guidelines constitute consistent, efficient and effective practices on the oversight cooperation and information exchange between ESAs and competent authorities in the context of Article 32(7) of the DORA. These Guidelines do not hinder the exchange of further information and extended oversight cooperation between ESAs and competent authorities. The practical details of the cooperation and information sharing between ESAs and competent authorities may be subject to bespoke target operating models.

The cooperation and information exchange set out in these Guidelines should take into account a preventive and risk-based approach which should lead to a balanced allocation of tasks and responsibilities between the three ESAs and competent authorities and should make the best use of the human resources and technical expertise available in each of the ESAs and competent authorities.

Unless otherwise specified in these Guidelines, ESAs refers to the three ESAs including the Lead Overseer.

1. Oversigt

1.1 Referencer

1.2 Identificerede krav

1.3 Relaterede standarder

2. Identificerede krav

3. Relaterede standarder

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