DORA templates: Excel downloads and work aids at a glance

Last updated: 2026-11-06

Downloads: Excel files (in German)

File	Purpose	Version	Framework	Guidance
BAIT-DORA mapping (xlsx, in German)	maps each paragraph of BAIT (BaFin’s supervisory requirements for IT in banks) to the provisions in DORA and the RTS, with status, continuing obligation and suitable evidence	version 2.1, 6 November 2026	both, shown separately	BAIT and DORA
Register of information filling aid (xlsx, in German)	shows on a completed sample contract how to fill in the fields of the templates, with a checklist	6 November 2026	both, not for microenterprises of the KWG group	Register of information

Notes on use are on the respective topic page. The files reflect our status as of the date shown. Later changes to the regulation or to BaFin guidance are not included. Both files are in German.

Guide to the templates in four numbered rows by task. 1 Classify: classification records (factoring, investment firm, IORP), reading map, Level 2 map, decision table DORA and NIS2, check scheme for intermediaries. 2 Build and rebuild the framework: BAIT-DORA mapping as Excel, BAIT rebuild list, transition plans for VAIT and KAIT, ZAIT checklist, obligations matrix, evidence matrix under Article 16, MaRisk interface matrix, sample case with exercise records, ISO 27001 mapping, outlines of the framework and the reference architecture. 3 Functions, providers and register: list of functions, register of information filling aid as Excel, contract checklist, client questionnaire. 4 Testing, business continuity, incidents and audit: testing plan, business continuity plan with test record, classification sheet, exercise playbook, preparation list for a DORA audit. The two Excel files have a download symbol. — Tap the graphic to open it at full size.The templates of dora-readiness.de by task, as of 6 November 2026, own illustration. The Excel files are in German.

Work products on the topic and service pages

These templates appear as tables on the respective page, mostly completed for a fictitious sample company. You can adopt them and adapt them for your organisation. The list covers all work products on this website.

Classify

Work product	Purpose	Framework	Page
Reading map of the regulation	leads from the question to the article and to the in-depth page	both	DORA regulation
Classification record	records whether DORA applies and under which framework	both	DORA applicability
Level 2 map with corrigenda table	lists all RTS, ITS and guidelines with reference and framework, plus the corrigenda to the German version	both	DORA RTS and ITS
Classification record for an investment firm	evidences the nine conditions of Article 12(1) IFR, including group values	Article 16	Investment firms
Classification record for an IORP	counts the members and records the reading applied	Article 16	IORPs and pension funds
Decision table DORA and NIS2	assigns, per obligation and legal entity, which regime applies, with the example of a banking group	both	DORA and NIS2
Check scheme with two check records	documents whether an insurance intermediary falls under DORA	intermediaries	Insurance intermediaries

Build and rebuild the framework

Work product	Purpose	Framework	Page
Obligations matrix with an extract for a fund management company	shows each DORA obligation with reference and framework	both	DORA requirements
List for rebuilding BAIT documents	classifies BAIT documents: keep, slim down or replace	both	BAIT and DORA
Transition plan for an insurer	transfers VAIT documents to DORA and MaGo	full framework	DORA for insurers
Interface matrix MaRisk and DORA	shows for each MaRisk module which document leads and which refers to it	both	MaRisk and DORA
Transition plan for a fund management company	transfers KAIT documents to DORA, KAMaRisk and the KAGB	full framework	KAIT and DORA
Checklist “What is still missing from the ZAIT era”	finds documents without a DORA basis at payment and e-money institutions	full framework	ZAIT and DORA
Evidence matrix, annual calendar and sample evidence folder	assigns evidence to each article of RTS Title III, the calendar sets the dates of the first year of operation	Article 16	DORA Article 16
Factoring sample case with exercise records	links function, provider, risk, measure and evidence	Article 16	Factoring and leasing
Outline of the framework with a BIA extract	shows how a framework under Articles 5 to 15 can be structured	full framework	ICT risk management
ISO 27001 mapping and ISMS comparison	maps clauses and Annex A to the DORA obligations and shows what an ISMS does not deliver	both	DORA and ISO 27001
Outline of the reference architecture with an inventory entry	links architecture, dependencies and inventories under Article 8	full framework	ICT reference architecture

Functions, providers and register

Work product	Purpose	Framework	Page
List of functions with reasons	classifies functions as critical or important	both	Critical or important functions
Filling aid with a sample contract	shows the fields of the register on one contract, also as an Excel file above	both, not for microenterprises of the KWG group	Register of information
Contract checklist	checks an ICT contract against the mandatory terms under Article 30	both, not for microenterprises of the KWG group	ICT third-party service providers
Completed client questionnaire	shows how an ICT provider answers requests from financial clients	providers	DORA for ICT providers

Testing, business continuity, incidents and audit

Work product	Purpose	Framework	Page
Classification sheet and exercise playbook	classifies an incident and plans a reporting exercise	both	Reporting ICT-related incidents
Testing plan with finding classes	plans a year’s tests and sets how findings are handled	full framework, under Article 16 as the plan under RTS Article 36	Resilience testing
Outline of the business continuity plan and test record	shows the components of the plan with references and records a failover exercise	both	ICT business continuity
Preparation list for an audit	names documents, references and contacts for internal audit, statutory auditors and supervisors	both	DORA audit

Examples on the service pages

Work product	Purpose	Framework	Page
Sample result of a gap analysis	shows an extract from a fictitious report	Article 16	DORA gap analysis
Sample timeline for the switch	shows the process for a start in November 2026	Article 16	Transition from BAIT
Agenda for the management body briefing	six modules with times and references for each framework	both	DORA training

What the templates do and do not do

The templates are general work aids. They do not replace an assessment of the individual case or legal advice, and they say nothing about how supervisors or auditors will assess your documents. If you want to adapt a template for your organisation and are looking for support, start with the DORA gap analysis.

Frequently asked questions

Which template should we start with?+

If you have not yet recorded whether DORA applies and under which framework, start with the classification record. Small investment firms and IORPs use the record on their own page. Institutions coming from BAIT then take the mapping, fund management companies the KAIT transition plan, payment and e-money institutions the ZAIT checklist, and everyone else the obligations matrix.

How current are the templates?+

Each template states its version date, which shows the last review. If the regulation, the Level 2 texts or BaFin guidance change, we review the template. The official text is binding.

Are the work products on the topic pages also available as Excel files?+

Currently only the BAIT-DORA mapping and the register of information filling aid, both in German. You can copy the other work products from the table on the topic page into your spreadsheet.

Sources

Regulation (EU) 2022/2554 (DORA) (retrieved 2026-11-06)
Implementing Regulation (EU) 2024/2956 (standard templates for the register of information) (retrieved 2026-11-06)
BaFin: Circular 10/2017 (BA) BAIT, version of 16 December 2024, in German (retrieved 2026-11-06)

This content provides general technical and organisational information and does not constitute legal advice (no legal services within the meaning of the German RDG).

All DORA templates and work products on this website